Implementation of the Single Window Training Report Legislative Procedures, Communication, Time Management and Planning

Transcription

1 Implementation of the Single Window Training Report Legislative Procedures, Communication, Time Management and Planning Financed by: Swiss Agency for Development and Cooperation (SDC) Partners in implementation: Government of Tajikistan UNDP Implemented by: Oxfam (Great Britain) 1

2 Contents 1.0 Executive Summary Background Summary of the Needs Assessment Training Topics and Objectives Trainer(s) Legislative Procedures Communication, Planning and Time-management Participants Training Methodology Legislative Procedures Lecture and Presentation Structured Discussion Question and Answer Communication, Planning and Time-Management Ice Breakers Lecture and Presentation Individual Work Group work Structured Discussion Training Execution Training Schedule Training Agenda Observations Benefits of Improved Efficiency Continued Support Land Committee Planning Obstacles Evaluation Implementation of the Single window Recommendations Computer and software training Exchange Visit Training Recommendations Neutral Venue Practice the presentation beforehand Interactive Exercises

3 1.0. Executive Summary During May, June and July, Oxfam Great Britain conducted a series of trainings aimed at strengthening the implementation of the Single Window mechanism in Muminabad and Rudaki. The Single Window refers to the changes to the orders of administrative procedures, which are part of a legislative reform process initiated in 2009, for granting permits and licences, such as permits for construction activities. During the course of a Needs Assessment, conducted in January and February 2011, specific capacity development and training measures were identified which could further facilitate the implementation of the Single Window. These measures, among others, include trainings in legislative procedures, communication, time management and planning, and the procurement of IT and computer equipment which will allow relevant government offices better perform their duties and responsibilities. The legislative procedures training was conducted by an independent legal expert and a representative of the National Agency of Construction and Architecture, while the communication, time management and planning trainings were conducted by the Institute for the Retraining of Government Officials. The participants of the trainings are all Government of Tajikistan officials from the local level, including from the Hukumat, the district Architect office and the various Engineering Services present in Muminabad and Rudaki. During the training some important specific comments were made by the participants; they recognised the importance of the new administrative procedures and how working according to them will lead to improved efficiency gains; that the strengthened implementation of the Single Window will required continued support and capacity development; that working with the Land Committee remains a challenge as they are not under the umbrella of the Hukumat; and that obstacles to proper planning remain. At the conclusion of the training, after evaluations were conducted certain recommendations resulted: Computer training should accompany the handover of the IT and computer equipment; An exchange visit to a jurisdiction outside of Tajikistan where a similar legislative reform package has been implemented would be a valuable experience; Conducting the training at a neutral venue outside of the city centre and father away from the Hukumat Office would be advisable; Contracted trainers could be asked to make practice presentations before the trainings are conducted; More interactive exercises could have been included in the legislative procedures training Background Over the past several years, the Government of Tajikistan (GoT) has undertaken comprehensive measures to improve the activities of the state bodies engaged in regulatory and licensing functions. Beginning in 2009, the GoT, in cooperation with international organisations such as the World Bank, International Finance Corporation, the United States Agency for International Development and others, have taken the necessary steps to reform the administrative-licensing system through the development and adoption of a number of regulatory legal acts, aimed at regulating and simplifying the orders of administrative procedures. The term Single Window refers to the simplified order of administrative procedures for applying for and obtaining various licences and permits. These reforms specifically affect the construction sector as the principle of Single Window relates to the process of obtaining permits for construction activities; in this case the Single Window is organised and coordinated at the district level by the local representative of the Agency of Construction and Architecture and falls under the activities of the local Hukumat. 3

4 However, the reforms concerning the simplification of the orders of administrative procedures in the construction field have not, in practice, been fully implemented. For the successful implementation of the Single Window, the minimum capacity of the direct regional executors needs to be considered. This largely depends on their level of knowledge concerning the new legislation and the associated reform measures, and their offices physical capacity. In addition, the coordination of the activities of various government offices and agencies involved in this mechanism needs to be considered. One of the primary objectives of the Tajikistan Water Supply and Sanitation Project (TajWSS) is a strengthened institutional structure and policy environment concerning the water supply and sanitation (WS&S) subsector at the local level; this includes a transparent, simplified and efficient process for obtaining construction permission for subsector related activities. The aim of the capacity building component of the TajWSS project, including the trainings outlined in this report, are designed to strengthen the institutional structure of the subsector at the local level by supporting the enabling environment necessary to implement the legislative reforms and the changes to the orders of administrative procedures adopted at the national level Summary of the Needs Assessment Participants doing individual work during the Legislative Procedures training in Rudaki As part of the TajWSS project, funded by the Swiss Agency for Development Cooperation (SDC) and being implemented by Oxfam Great Britain (OGB), in partnership with the United Nations Development Program (UNDP), during January and February 2012, a Needs Assessment (Annex I) was conducted, targeting those offices, at the national and local level, responsible for implemented in the Single Window. The aim of the Needs Assessment was to determine the current capacity and of the governmental agencies, bodies and departments involved in licensing and regulatory activities and what would be the most effective support measures needed to build their capacities. A working group was established under the TajWSS project to review the current capacities and needs of the agencies of Architecture and Urban Development, the agencies of the Engineering Services and the local Executive Offices (district Hukumat) as these are the primary offices and bodies responsible for issuing construction permits through the change of orders of administrative procedures, i.e. the Single Window mechanism. Included in the working group were members of the Agency of Construction and Architecture and the Institute of Advanced Training of Civil Servants, as well as staff from OGB. The working group activities included: Development and dissemination of a questionnaire to relevant government officials; Conducting various meetings at the national and local level with relevant governmental stakeholders; Analysis of various reports, documents and research produced by international organisations and government bodies relating to licensing and regulatory reform process; Development of a Needs Assessment report and the dissemination of the report with relevant stakeholders. The Needs Assessment determined that there exist a number of gaps with respect to the implementation of the licensing reform agenda and the full application of the Single Window mechanism: Human resources in the district offices of Muminabad and Rudaki is insufficient to meet the demands of the population and to review applications and deliver construction permits in a timely manner; The offices do not have the necessary technical equipment to perform their functions properly; 4

5 Reporting channels and chains of command are unclear as the district Architects are managed by both the local Hukumat and the Agency of Construction and Architecture; Clarity is needed regarding the calculation of fees; Lack of transparency regarding the collection of fees and how those fees are used to cover the costs of the activities of the local agencies of Architecture and Urban Planning; Contradictions between the process outlined in the new legislation and the actual practice of granting land-use permits still persists; Staff at the local level have not been properly trained and are not aware of the new legislation and reforms which have been enacted by the national government; Not sufficient enough decentralisation in the process, as still too many decisions need to be approved at the regional or national level; Few districts posses updated master plans which many decisions regarding the regulation of construction activities are based. The needs assessment also issued several important recommendations concerning the improved implementation of the Single Window. The recommendations specifically directed to international organisations and donors, including OGB and the TajWSS project include: Provide the necessary technical equipment and office materials needed to facilitate the implementation of the change of orders of administrative procedures; Provide clarification concerning the new legislation and administrative procedures; Provide training regarding the implementation of the Single Window. For the purposes of this report, only the recommendations aimed at OGB and other international donors and NGOs will be given further consideration; for a complete list of all recommendations provided please refer to Annex I (Assessment of the Capacity and the Needs of the local Agencies of Architecture and Urban Development in the Districts of Muminabad and Rudaki) Training Topics and Objectives Trainer giving a presentation during the Communication session in Muminabad The selection of the training topics and capacity building measures implemented by the TajWSS project relate specifically to the findings and recommendations contained in the Needs Assessment report. During the course of conducting the Needs Assessment, the working group members identified a lack of understanding and knowledge concerning the legislative changes and the changes to the orders of administrative procedures concerning regulatory reform process, among key staff working for the various offices and agencies responsible for the implementation of the Single Window. Therefore, training outlining the various changes to legislation and the orders of administrative procedures was designed specifically to fill this gap and provide local government officials with the necessary awareness concerning the new process. In addition, several respondents to the questionnaire and various key stakeholders interviewed highlighted the need for improved coordination and cooperation, specifically at the district level, between the various government bodies, offices and agencies responsible for implementing the new administrative procedures contained in the Single Window. The training topics of communication, time management and planning were identified by several interviewees and respondents as areas which required improvement if the new administrative procedures are to be fully implemented. The trainings topics have been chosen as a direct result of the information collected during the Needs Assessment report research process. Even though the training was 5

6 divided into two distinctly different sessions with separate trainers and training modules, the trainings have the same objectives relating to the implementation of the legislative reform process and the changes to the orders of administrative procedures as it relates to the Single Window. The main objectives of the trainings are: 2.1. Improved understanding of the legislative and regulatory changes regarding the Single Window ; 2.2. Improved knowledge regarding the specific role and responsibility of their respective office in the implementation of the Single window 2.3. Improved coordination between the different regionally based offices responsible for the implementation of the Single Window 2.4. Improved planning of activities amongst the different stakeholders leading to improved efficiency and coordination of activities 5.0. Trainer(s) 5.1. Legislative Procedures The training was conducted by an independent legal consultant employed by the TajWSS project and by a member of the Policy and Planning Department of the National Agency for Construction and Architecture. The trainers were chosen because of their knowledge and experience concerning the legislative reform process, specifically the changes to the orders of administrative procedures comprising the Single Window. The legal consultant has a long history in this regard, having previously worked with several governmental, non-governmental and donor agencies since the beginning of the reform process in In addition, as the district Architect is one of the most important stakeholders concerning the issuance of construction permits at the district level, it was important to include a representative of the National Agency of Construction and Architecture. Their expertise and input is vital to the training as they are the national body responsible for providing general direction, oversight and coordination for the Architect at the district level. Also, it is beneficial to pair trainers from different backgrounds and organisations in order to bring different perspectives, styles and techniques to bear. Trainer moderating a discussion during the Time Management and Planning training in Muminabad 5.2. Communication, Planning and Time-management The Institute for Retraining of Governmental Officials was selected to implement the training on Communication, Planning and Time-Management. Since all of the participants of the training are government officials, it seemed more appropriate and more effective to have trainers from a recognized government institute provide the training, rather than providing the training in-house or hiring a private firm or consultant. The Institute for Retraining of Government Officials has specific experience working with other government officials, at both the national and district level; it has a better understand of the demands of the public sector in Tajikistan and it has specific knowledge concerning the internal structure, organisation and culture of the GoT. This information allows them to provide a training which is specifically tailored to the needs of the local government officials in Muminabad and Rudaki. 6

7 6.0. Participants The participants of the training are government officials from the local district Hukumat level, who are responsible for implementing and working within the new changes to the orders of administrative procedures which comprise the Single Window. Represented at the training was the office of the district Architect, the various Engineering Services, local KMK representatives and key staff from the District Hukumat. Please see annex II for a complete list of all participants from Muminabad and annex III for Rudaki; in total 22 government officials attended the series of trainings Training Methodology The complete training modules used for both of the trainings are contained in annex IV (Legislative Procedures) and annex V (Communications, Planning and Time Management) Legislative Procedures Lecture and Presentation The course material was presented using traditional lecture and presentation techniques, accompanied by a Power Point presentation. Please see the following Section 7 for the complete list of topics contained in the agenda Structured Discussion At the end of each of the topics, the trainers provided time for the participants to engage in structured discussion. The trainers would usually end each of the sessions asking the participants for input or a specific question in order to engage in discussion Question and Answer In addition to facilitating structured discussion at the end of each of the topics presented, the trainers provided time for the participants to ask questions regarding the course material if any further clarification was needed Communication, Planning and Time-Management Ice Breakers Trainers would use ice-breakers, either by asking short introductory questions or conducting a short brainstorming session at the beginning of each topic Lecture and Presentation The course material was presented using traditional lecture and presentation techniques, accompanied by a Power Point presentation. Please see the following Section 7 for a complete list of the topics included in the training Individual Work At several points during the training, the trainers would follow a lecture or presentation with individual assignments. During these sessions, participants would be tasked with preparing short presentations of their own regarding their understanding of communication or how the communication process currently functions in their respective offices. At the end of the session, the participants would each make their own short presentation to the group. 7

8 Group work At the end of the two day training, the participants were divided into two groups and tasked with developing a strategic planning document, which also included a communications plan. At the end of the session one of the group members presented their group s plan to the participants and the trainers. Following the presentation, the entire group was provided with an opportunity to ask questions and provide their own assessment of the plan. This offered the presenter an opportunity to develop their presentation and public speaking skills while also the chance to respond to questions and critiques regarding their presentations Structured Discussion At the end of each of each topic, the trainers allowed the participants to engage in structured discussion. The trainers would usually end each of the sessions asking the participants for input or ask the participants a specific question in order to engage in further discussion Training Execution 8.1. Training Schedule No. Type of Training Location Date 1. Implementation of Legislative Procedures Rudaki Implementation of Legislative Procedures Muminabad Communication, Planning and Time-Management Muminabad Communication, Planning and Time-Management Rudaki Training Agenda Please see annex VI for the complete addenda for both training modules and the complete list of all the training topics Observations Participant from Muminabad presenting his group s strategic plan Benefits of Improved Efficiency Participants repeatedly mentioned the benefits to the change of orders of administrative procedures associated with the Single Window. It was mentioned that the reform process will result in shortened waiting times, more transparency concerning fees, expectations and responsibilities and improved efficiency gains Continued Support Participants in both Muminabad and Rudaki mentioned that the schedule and timeframe contained in the changes of the orders of administrative procedures are demanding. To fully implement them in a comprehensive manner, it would require further administrative and logistical support, specifically improved equipment and methods of communication and additional funds for transportation. In both districts, additional human resources was also identified Land Committee Participants in both Rudaki and Muminabad mentioned that working with the Land Committee presents an administrative challenge. The Land Committee is an important office in the construction application process as it 8

9 is responsible for offering the right to land use certificates to potential applicants (please see Annex I for a more comprehensive explanation of how land-use is granted). The District Land Committee is an office which is entirely separate of the District Hukumat and reports only to the national Land Committee, unlike the district Architect which reports to both the National Agency of Construction and Architecture and the district Hukumat. Participants mentioned that because of the administrative structure at the local level, coordination and cooperation with the District Land Committee remains a challenge Planning Obstacles Participants signalled long-term planning as a difficulty that they regularly face. The participants mentioned that they are responsible for producing monthly or 3-month long plans. These plans are then approved by their superiors or line-managers; however, when emergencies or other pressing business arise these plans are quickly changed or simply not followed. Participants mentioned that this is a frequent occurrence and makes proper planning and meeting deadlines difficult to achieve. Stricter planning processes and more emphasis on following these plans is one necessary factor needed to meet the time-schedule outlined under the new orders of administrative procedures Evaluation The effectiveness of the training has been evaluated in a number of ways. Participants have been asked to fill out questionnaires, provided by both the trainers and OGB at the conclusion of each training (annex VI); each of the trainers have submitted a training report to OGB (annex VII and VIII); and OGB staff responsible for organising the trainings have conducted a short follow-up workshop to discuss the effectives and the over-all training process. Much of what was discussed during the follow-up session amongst OGB staff is contained in this training report. Many of the participants mentioned that much of what was provided during the Legislative Procedures training was new information to them and that the clarification they received was very helpful. It was evident from the beginning of the training that many of the participants were not fully aware of the changes to the orders of administrative procedures and their new responsibilities brought about by the reform process. Participants mentioned in their comments during the training and in the questionnaires that they see significant benefits to the new procedures. They mentioned the efforts that their offices were making to implement the procedures and the benefits that the information contained in the training would have on these efforts Implementation of the Single window Recommendations Computer and software training As part of the capacity building measures provided to the agencies involved in the implementation of the Single Window, computers and IT equipment have been procured for the district Architect s office in Muminabad and Rudaki. It is recommended that follow-up IT and basic technical training be provided to the officials of these agencies so that they can use all the functions that the equipment provides and ensure basic up-keep and maintenance practices so that the life-span of the equipment can be maximised. In addition, it was suggested during the course of the training, that although the district Architect is the central office tasked with coordinating the Single Window mechanism, other offices, especially the District Utilities and Engineering Services, are also significantly involved in the process. It was suggested that basic IT and communication equipment be provided for them as well to build their capacity. This would allow both offices to share electronic documents and work on these files simultaneously, removing the burden to produce extra paper copies or to wait while another office has the documents. 9

10 10.2. Exchange Visit One recommendation would be to make an exchange visit for officials from Muminabad and Rudaki to another jurisdiction where a Single Window or similar reform package has been fully implemented and has been operating for some time. As the mechanism has only just begun to function in Muminabad and Rudki, it would be beneficial for officials to see the practices and the approaches applied by other jurisdictions to see if these bestpractices could strengthen the functionality in the pilot districts. This exchange visit would likely need to take place outside of Tajikistan as the Single Window is a new process for the entire country. This reform package has been a program under implementation in other Central Asian and CIS countries, there is a good possibility of finding a jurisdiction with a similar context to that of Tajikistan to conduct the exchange visit Training Recommendations 11.1 Neutral Venue In Rudaki the trainings were held at the District Hukumat office, while in Muminabad they were held at the office of the Local Development Council, which is located quite close to the district Hukumat and the Architect s office. Holding the trainings at a neutral venue or a venue farther away from the district centre could be a consideration for future trainings involving GoT officials. As all the participants at the trainings were senior GoT officials at the local level, their respective work-loads are quite heavy and they face many time constraints. Since the trainings were located in the same offices, or relatively near to their offices, occasionally during the training they would be asked by their staff to attend to daily matters. Although there were no significant interruptions during the training sessions, holding the trainings at a neutral venue would ensure that there would be fewer competing demands on the participants time Practice the presentation beforehand Before the trainings were conducted, the trainers for both sessions handed over to OGB the modules and the slides for comments and suggestions. Oxfam staff made some changes to closer align the training topics and the information contained in the modules with the intended objectives of the training. It would have been also beneficial to have the trainers make a practice presentation (such as presenting the introduction) in advance of the training so that OGB staff can have the opportunity to make suggestions or comments regarding the training style and the presentation skills of the trainers Interactive Exercises Although the subject may not lend itself to interactive exercises as well as other topics, the Legislative Procedures training could have been conducted in a more interactive fashion. One suggestion to achieve this would be to present a scenario (i.e. a person or organisation applying for a construction permit) and have a structured debate highlighting the differences between the old and the new systems, or divide the participants into two groups and have them develop a process flow chart concerning an applicant following the Single Window procedures compared to the old administrative procedures. 10