good practices in slovene public administration 2009 - Ministrstvo za ...

GOOD PRACTICES INSLOVENE PUBLIC ADMINISTRATION 2009Conference Proceedings

REPUBLIC OF SLOVENIAMINISTRY OF PUBLIC ADMINISTRATIONCONFERENCEGOOD PRACTICES INSLOVENE PUBLIC ADMINISTRATION2009CONFERENCE PROCEEDINGS21 st October 2009

ISBN 961-6651-10-39 7 8 9 6 1 6 6 5 1 1 03CIP - Kataložni zapis o publikacijiNarodna in univerzitetna knjižnica, Ljubljana35(497.4)(082)(0.034.2)KONFERENCA Dobre prakse v slovenski javni upravi (2009 ; Brdopri Kranju) Zbornik referatov [Elektronski vir] / Konferenca Dobreprakse v slovenski javni upravi 2009, Brdo pri Kranju, 21. oktober 2009 ;uredila Gordana Žurga ; prevajanje Sektor za prevajanje pri Generalnemsekretariatu Vlade Republike Slovenije = Conference proceedings /Conference Good Practices in Slovene Public Administration 2009,Brdo pri Kranju, 21st October 2009 ; editor Gordana Žurga ; translationTranslation and Interpretation Division of the Secretariat-General ofthe Government of the Republic of Slovenia. - Ljubljana : Ministrstvo zajavno upravo Republike Slovenije, 2009ISBN 978-961-6651-10-31. Dobre prakse v slovenski javni upravi 2. Žurga, Gordana248740608Published by: Ministry of Public Administration of the Republic of SloveniaConference Programme Committee: Irma Pavlinič Krebs, President, Dr Ivan Eržen, Miran Falež, Aleš Hauc,Prof Dr Lučka Kajfež Bogataj, Štefka Korade Purg, Dr Gordana Žurga, Deputy PresidentEditor: Dr Gordana ŽurgaLanguage Editing and Translation: Translation and Interpretation Division of the Secretariat-General ofthe Government of the Republic of SloveniaEdition: 300 izvodov

C O N T E N T SPageDr Gordana ŽurgaQUALITY AS A VALUE IN SLOVENE PUBLIC ADMINISTRATION . . . . . . . . . . . . . . . . . . . . . . . . 5Dominique LapierreAN OVERVIEW OF THE FRENCH ADMINISTRATIVE REFORM . . . . . . . . . . . . . . . . . . . . . . . . . 19Mirko PlojDEVELOPMENT AND USE OF THE MOBILITY APPLICATIONIN THE MARIBOR POLICE DIRECTORATE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25Ana JakšičAPPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TOPROPERTY – AJDA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39Jože Preskar, Zdenka Bajuk, Nevenka OrehekCHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNIT . . . . . . . . . . . . . 57Martina Kačičnik Jančar MSc, Matej Petkovšek, Mirjam Galičič Ph D, Matej Simčič,Tilen Smolnikar MSc, Roberto DeganNATURE CONSERVATION ATLAS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77Rajko HadjarCOMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILES . . . . . . . . . . . . . . . 91Darija Mohorič MSc, Majda Meško MSc, Aleksandra Stamničar Veronik, Helena SagajACHIEVING EFFICIENCY THROUGH RISK MANAGEMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . 111Katja ŠnuderlINTERACTIVE STATISTICAL ATLAS OF SLOVENIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129Damjan Vrečko, Jožica Tamše MScADMINISTRATIVE UNIT CELJE: COOPERATION WITH THE MEDIA FOR AMORE EFFICIENT AND USER-FRIENDLY PUBLIC ADMINISTRATION . . . . . . . . . . . . . . . . . . 137Mojca Žitnik, MScREDUCING THE RESPONSE BURDEN OF REPORTING UNITS THROUGHHARMONISATION OF ENVIRONMENTAL DATA COLLECTION . . . . . . . . . . . . . . . . . . . . . . . 145

QUALITY AS A VALUE IN SLOVENE PUBLICADMINISTRATIONDr Gordana ŽURGAMinistry of Public Administrationgordana.zurga@gov.si1 INTRODUCTIONIntensive development in the area of quality in public administration of theRepublic of Slovenia has been evident since the year 1999. In March 1999 theQuality Committee was established at the Ministry of the Interior which was,at that time in charge for the system of public administration. Purpose of theQuality Committee was defined as efficient, citizen-friendly, transparent and responsiblestate administration. In the year 2002, quality becomes one of the pillarsof the Slovenian public administration’s reform; customer orientation, responsibilityof public administration institutions for the results and for efficiency,and the role of public management were put in focus of the government’soperations. New impetus to the further quality development was achieved byestablishing the Ministry of Public Administration in December 2004. Duringthe years of intensive work in the area of quality, activities and projects werebroadened to the area of excellence as well, and scope of acting was widenedfrom the state administration to the public administration and even to the publicsector.Important guidance to activities in the area of quality and business excellencein public administration in the Republic of Slovenia was given by the NationalQuality Programme of the Republic of Slovenia from 1993. In the year 1996, theQuality Policy of State Administration Statement was adopted by the Government,and in the year 2003 Quality Policy of Public Administration Statementfollowed. Further development strategy of the Slovenian public sector 2003-2005 was adopted in the year 2003 and included quality management andcustomer orientation as important parts. Since 2005, quality of public administrationis incorporated in two important documents: Slovenian DevelopmentStrategy and the Reform Programme for achieving the Lisbon strategy Goals (C– Third developmental priority: Efficient and less costly state). In the year 2009,we would like to strenghten the strategic dimension of quality and businessexcellence therefore the process of the Further development strategy of qualityand business excellence in public administration of the Republic of Sloveniawas started.

QUALITY AS A VALUE IN SLOVENE PUBLIC ADMINISTRATION2 EXCELLENCE AS A GOAL, QUALITY AS A VALUEDevelopment made so far in the area of quality and business excellence provesthat the excellence of Slovenian public administration is being affirmed as agoal, and quality as one of its central values.Quality is a value especially when it is incorporated in all operations of an organizationand its employees who internalized the principles of quality andexcellence and the organization itself is in the circle of continuous learning andimprovements. It takes time to carry quality into real effect, as well as continuityin actions including constancy of purpose and credibility of leaders, andprogressing step-by-step.Also the research – comparative analysis of quality management in public administrationsin the EU member states 1 , conducted in the year 2008, has shownthat characteristics and results of quality management in public administrationsare dependent on the tradition countries have in this area.Figure 1 illustrates characteristics of quality management (QM) in public administrationsof the EU in relation to tradition whereas Figure 2 shows whenthe member states started quality initiatives in their public administrations.Shorter QM Tradition LongerQuality is incorporated in all strategic documents and initiativesQuality as a core valueImprovements and added value as a concept – a paper certificate itself does not matterUse of quality models, standards and tools voluntarily and upon the decision of a PublicAdministration organisation – what matters is the results achievedQuality as a (long-term) goalQuality, perceived as a ”magic” word, may sound hostileEmphasis on formalities – a certificate as a motivating factorUse of quality models, standards and tools strongly imposed,or even prescribed by lawFigure 1: Characteristics of quality management in public administrationsin relation to tradition1Quality Management in Public Administrations of the EU Member States; Comparative Analysis.6

DR GORDANA ŽURGAImportant learnings related to development of quality management in publicadministrations are, above all:— Sustainable quality development requires all-round co-operation;— Emphasizing a formal model / tool only or even its legally binding usage cannot be sustained in a long-run;— Launching a quality policy requires adequate support to its implementation;— Principles of quality should be incorporated in all governmental programmes;— To improve competitiveness of national economy, approach to quality managementat the national level is required.YearsEU Member States1980s1990s2000sEarlyLateDenmark, France, Spain, UKBelgium, Cyprus, Italy, the Netherlands, Poland, Portugal, SwedenAustria, Czech Republic, Finland, Germany, Greece, Hungary, Ireland, Latvia,Malta, SloveniaBulgaria, Estonia, Lithuania, Luxembourg, Slovak Republic, RomaniaFigure 2: Review of quality management tradition in the EU member statesAt the same time as the comparative analysis of quality management in the EUpublic administrations in the year 2008, a research was conducted which wasaimed in identifying how modernization and public administration reformscontribute to realisation of the Lisbon strategy goals 2 . Despite the fact that thetwo studies were not formally connected it was proved that the EU MemberStates with longer tradition of quality management in their public administrationscontributed more advanced national cases with higher added value to therealization of the goals of the Lisbon Strategy.3 FURTHER QUALITY AND BUSINESS EXCELLENCE DE-VELOPMENT STRATEGY IN PUBLIC ADMINISTRATIONOF THE REPUBLIC OF SLOVENIA3.1 STRATEGY PREPARATION PROCESSThe whole process for preparation of the further quality and business excellencedevelopment strategy in Slovenian public administration was started inJune 2009, at the Ministry of Public Administration. All public administration in-2Evaluation of Public Administrations’ Added Value to the Lisbon Strategy Goals.7

QUALITY AS A VALUE IN SLOVENE PUBLIC ADMINISTRATIONstitutions, public sector organizations, quality and business excellence associationsand whole interested public were invited to contribute their suggestionsand proposals for the initial strategic document. Public call was also publishedat the website of the Ministry and was open until 10 th September, 2009.All the suggestions and proposals received were considered and adequatelyincluded in the draft document by the Quality Committee which was the ownerof the strategy preparation process. For the continuation of the process, alsopublic consultation of the strategic document was planned and afterwards incorporationof the quality and business excellence strategy in the documentFurther public sector development strategy with an emphasize on efficiencyand effectiveness of public services 3 .3.2 STRATEGIC DIRECTIONSMinistry in charge of public administration has communicated the strategic directionsin the area of quality and business excellence simultaneously, especiallythrough national quality conferences entitled as Good Practices in SlovenePublic Administration or through quality tools and projects promoted by theministry. In all years of intensive working in the field neither the Ministry ofPublic Administration not the Quality Committee did not dictate the approachto building a quality management system in public administration organisations– this was always a decision of individual public administration organisationsas they were also responsible for achieving the results. This remains maindirection also for the future.The Ministry of Public Administration has – as ministry in charge – the leadingrole in further development of quality and business excellence in Slovenianpublic administration. Strategic directions for further development and workin this field are:Integrative and coordinative role of the Ministry of Public Administration— Widening the scope of activities (state administration à public administrationà public sector);— Expanding the Quality Committee in a manner to reflect the changed scope ofactivities;— Gradual sectoral broadening;3EVA 2009-3111-0005 (ID URED5058), Normative work programme of the Government for theyear 2009, chapter III. Democracy and active citizenship / 11. Public services, modernizationfor better public services – Ministry of Public Administration.8

DR GORDANA ŽURGA— Establishing strategic inter-sectoral working group / strategic council forquality to be in charge for introduction and implementation of quality in thewhole system.Promotion and further spreading of the quality and business excellence principles— Training for strengthening the administrative capacity and increasing competencesof public employees for quality management;— Including topics on quality in training programmes for top management (tostrengthen existing training module Quality Management in Public Administration)and for middle management in the administration;— Quality conferences.Promotion of individual quality management tools— Modernizing the usage of existing quality tools;— Common Assessment Framework – CAF;— CAF External Feedback Procedure;— Customers Satisfaction Management;— Employees Satisfaction Management;— Consultancy and methodological support.Organizational structure to support implementation of strategic directions— Establishing the appropriate organizational structure to support implementationof strategic directions;— Incorporation of quality programme into the existing programme classification.International projects— European public administrations network EUPAN / Innovative Public ServicesGroup IPSG;— Co-operation in projects financed by different international organizationswhere Slovenia could participate as a donor country of its good practices;— Active involvement in relevant quality conferences and events;— Participation in different recognition schemes, where Slovenia competes withits good practice cases.3.3 WORKING AREASSuggestions and proposals received on the bases of the public call from June2009, analyses performed as well as discussion at the Quality Committee have9

QUALITY AS A VALUE IN SLOVENE PUBLIC ADMINISTRATIONalready resulted in definition of some working areas to be potentially includedinto the strategic document.Progressive expansion of quality to the whole public sectorComposition of the Quality Committee at the Ministry of public administrationreflects the structure of state administration, and especially of administrativeunits. When widening the scope of the activities, the existing structure willhave to be widened accordingly. Initial orientation of the Quality Committeetowards administrative units was appropriate as through administrative unitscitizens exercise the most of their contacts with the state and its administration.Now the quality is well incorporated into daily operations of administrativeunits, and different organisational units are established at the system level. Asthe area of quality in public administrations is expanding, the new role of theQuality Committee was defined at the occasion of its re-composition in the year2008. This new role is now more strategic and connective as operational, scopeof its activities is broadened from the segment of administrative unites to thewhole state administration, public administration and even public sector. TheQuality Committee in a new composition will act especially as catalyst of newprojects and initiatives to foster promotion of quality in the whole administrativesystem, sectoral widening of its operation will simultaneously be reflectedin its structure.Gradual widening of the scope in the area of quality and business excellencerequires adequate support at the governmental level, as well. Setting up of astrategic inter-sectoral working group or strategic Council for quality is foreseento take lead and care in implementation of quality in the whole administrativesystem in the Republic of Slovenia as well as for co-ordination of projectsand activities.Customer orientation / Customer satisfaction managementTotal customer relations management is of a key importance to providing qualitypublic services. Receiving feedback information from administration’s customersthrough measuring their satisfaction includes annual as well as monthlymeasurements (upon the Decree on administrative operations), and also otherways for (regular) monitoring of their satisfaction. Different sectors introducealso their own monitoring of customers’ satisfaction, e.g. measuring publichealth users’ satisfaction (upon the Decree on operations with users in publichealth care system), etc.It is necessary that the existing ways and approaches to testing customers satisfactionwould be analysed and modernized to assure relevance as well as sensibilityof the tools used. According to the sectoral broadening of the scope of10

DR GORDANA ŽURGAoperations gradual involvement and incorporation of sectors into the activitiesof monitoring, processing and analysing the customers’ feedback informationis foreseen.Public employee orientationImportant quality principle – although too often neglected – is also orientationtowards public employees. In a long-run, only satisfied employees can have satisfiedcustomers therefore more attention has to be drawn to them. Followingareas should be emphasized:— Training for improving competences for quality and business excellence,— Involving relevant quality- and excellence-related topics into training programmesfor top and middle administrative management;— Development and implementation of the directions for public employeesfriendly administration.Strengthening administrative capacity for quality improvements on the basesof Common Assessment Framework – CAFUpgrading the existing usage of the Common Assessment Framework – CAF byestablishing the system for providing external feedback to the CAF users, leadinginto obtaining the ‘Effective CAF User’ label:— In the year 2010, establishing the system together with the pool of externalfeedback providers (feedback actors – FAs) and orientation towards existingCAF users;— Gradual broadening and intensifying the training for usage of the CAF and forproviding external feedback to the CAF users; annual involvement of 30 – 50public organizations or in accordance to financial sources available;— Exchange of knowledge and good practices, for promoting total quality managementin public administration and public sector organizations in connectionto annual quality conferences of the Ministry of public administration.Quality conferences in the Republic of SloveniaSince 2001, ministry of public administration organizes annual quality conferencesbeing affirmed under a title Good Practices in Slovene Public Administration.In this context, the year 2010 will be jubilee – 10 years of quality conferencesin public administration in Slovenia what can be taken as an opportunityfor re-definition of the conference format taking into account gradual sectoralwidening of operations.11

QUALITY AS A VALUE IN SLOVENE PUBLIC ADMINISTRATIONWeb centre for quality in public sectorWhen intensifying further activities in the area of quality and business excellenceand its gradual widening it is reasonable to establish a kind of a web centrefor quality in public sector – as a unified entry point for reviewing activities,projects and results in individual areas.Gradual implementation of the web centre for quality is foreseen, including alsomaintenance and upgrades of variety of existing web pages until the web centreis fully implemented. After its implementation, procedures for maintenance, gradualupgrading as well as for sectoral broadening will have to be established.All areas, activities and/or projects described above represent only a part of potential/ possible areas and projects to be included in the further developmentstrategy in the area of quality and business excellence in Slovene public administration;additional projects and initiatives are expected to be identified withinthe strategy consultation process. Which projects and activities will eventuallybe included in the strategic document, depends not only upon the interest andneeds expressed but upon the sources available as well – especially financialand human resources.3.4 PRESUMPTIONS AND LIMITATIONSIn the continuation, main presumptions and limitations to the further developmentstrategy in the area of quality and business excellence are presented; theyare illustrated in a form of SWOT analysis.Table 1: Presumptions and limitationsStrengths (S)– Strong need, interest and political will forfurther improvement of quality and businessexcellence in Slovenian administrative system;– 10-years tradition in the area of qualitymanagement in Slovenian administration;– Active involvement in the development of‘European’ quality toolsOpportunities (O)– Involvement in international projects whichhave their own financial sources;– Co-operation of interested parties andstakeholders who are following the commondevelopmental goal(s)Weaknesses (W)– Existing programme classification which doesnot reflect quality as a strategic direction;– Human resources available;– Financial sourcesThreats (T)– Interruption of the continuity due toimplications of the financial and economic crisis;– Entrance of un-professionalism due to financialinability to maintain the appropriate level ofgovernmental support to the area of quality andbusiness excellence12

DR GORDANA ŽURGAClear determination of realistic presumptions as well as awareness of limitationsare of a key importance when planning and afterwards implementing further activitiesin the area of quality and business excellence. It is reasonable to base thestrategy on strengths and opportunities, and at the same time include also wayshow to gradually overcome weaknesses and adequately consider the threats.4 STRENGTHENING THE ADMINISTRATIVE CAPACITYFOR QUALITY MANAGEMENTOne of important areas for continuation in the field of quality and businessexcellence (as described in the chapter 3.3) is upgrade of the Common AssessmentFramework CAF, namely implementation of a system for providing externalfeedback to the CAF Users leading into acquiring a label ‘Effective CAFUser’.The CAF tool was developed as early as 2000 – at that time, a pilot version waspresented, the first supplemented version followed in 2002 and the next in2006 4 . With regard to using the CAF, the objective is to achieve 2010 registeredusers of CAF by 2010. Since intensive use of the CAF tool requires its further development(an example is CAF in education) and with the purpose to providemore demanding CAF users with additional possibilities with respect to theachieved organisational maturity level, a new “module” is now being in concludingdevelopmental phase: a procedure for providing external feedback toCAF users, with the working title PEF – Procedure for External Feedback, andaffirming now as CAF External Feedback.A decision on developing this module was taken by the Directors-General forPublic Administrations in the EU at the 50 th working meeting in May 2008 atBrdo 5 , to announce the development of PEF at the 5QC conference in Paris, tocomplete it in detail and operationalise it by the 4 th European CAF Users Event,which was planned to take place in autumn 2009 in Romania with the officiallaunch of PEF. The 4 th CAF Event has been rescheduled for September 2010however development of the CAF External Feedback is in concluding phase– it is foreseen it would be confirmed at the 53 rd working meeting in December2009 in Stockholm.4A Slovenian translation of the CAF 2006 version was published in January 2007.5More: G. Žurga: Quality Management in the Public Administrations of the EU Member States– Main Findings and Further Development Trends, Proceedings of the Good Practices in SlovenePublic Administration 2008 conference, pages: 9 – 18.13

QUALITY AS A VALUE IN SLOVENE PUBLIC ADMINISTRATION4.1 THE CAF EXTERNAL FEEDBACK PROCEDUREThe CAF external feedback is based on the three pillars:— The process of self-assessmentFocus is on the process of self-assessment and not on the self-assessments results,meaning that in the scope of review and providing the external feedback aresteps 1 to 6 of the 10-steps process of improving an organization by using CAF 6 :StepDescription1 Decide how to organize and plan the self-assessment2 Communicate the self-assessment project3 Create a self-assessment group or groups4 Organize training5 Perform the self-assessment6 Prepare a report describing the results of self-assessmentThe evaluation scale has five levels:LevelThe activities have been carried out …1 in a very limited way.2 in a limited way.3 in an acceptable way.4 in a satisfying way.5 in an outstanding way.— The process of improvement actionsThe second pillar of the CAF external feedback process is focused on the improvementprocess in an organization, precisely on the steps 7, 8 and 9 of the10-steps process of improving an organization by using CAF 7 , which are:StepDescription7 Draft an improvement plan, based on the accepted self-assessment report8 Communicate the improvement plan9 Implement the improvement plan6See the tabel Ten steps to improve organizations with CAF, page 45 of the brochure CAF 2006.7See the tabel Ten steps to improve organizations with CAF, page 45 of the brochure CAF 2006.14

DR GORDANA ŽURGAThere is a separate questionnaire for evaluating the steps 7 – 9 however using thesame 5-levels scale as for evaluation of the first 6 steps. In the focus of the revieware not results of improvement actions but the process of improvement actions.— The TQM maturity of the organizationThe third pillar focuses on the eight principles of excellence and on a shift in focustowards these principles after applying the CAF model in an organization. Questionnairefor assessing the maturity is based on these principles of excellence:— Results orientation,— Citizen / Costumer focus,— Leadership & constancy of purpose,— Management of processes & facts,— Involvement of people,— Continuous improvement & innovation— Mutually beneficial partnerships,— Corporate social responsibility.Assessing the maturity is not oriented towards the results of improvement processbut is dealing with a question whether the self-assessment stimulated implementationand development of the culture of excellence in an organization.The evaluation scale has four levels:LevelDescription0 Initiation level has not been achievedI (Initiation)Initiation levelR (Realization)Realization levelM (Maturity)Maturity levelIn the questionnaire, each level is defined with a description for each of theprinciples of excellence.4.2 THE PHASES OF THE CAF EXTERNAL FEEDBACK PROCEDUREUpgrade of the CAF, the CAF external feedback procedure for providing externalfeedback to the CAF users has been developed within a special work groupof the Innovative Public Services Group (IPSG) of the European Public AdministrationNetwork (EUPAN); Slovenia was among countries actively engaged inthe development 8 .8Countries and organizations actively involved in the development: Belgium, Denmark, Italy, Slovenia,European Institute of Public Administration EIPA, and European Foundation for QualityManagement EFQM.15

QUALITY AS A VALUE IN SLOVENE PUBLIC ADMINISTRATIONIndividual EU Member State is responsible for implementation of the CAF ExternalFeedback procedure in their respective countries, in accordance to commonEuropean methodology and requirements which enable to follow commonstandards as well as consider the national context at the same time.The whole CAF external feedback procedure is composed out of three majorphases described in the continuation.1) Application of an organization – the CAF user – to obtain the external feedback1.1 Applicant organization – the CAF user – sends an application for obtaining external feedback.Organization has to fulfil two requirements:– Application has to be passed between 6 and 12 months after the CAF self-assessmentperformed and the self-assessment report delivered, and– It has to be registered as the CAF user, in the EIPA database.1.2 Ministry of Public Administration (MPA) as the national organizer of the CAF external feedbackprocedure invites applicant organization to provide:– A short presentation of the organization / institution,– A brief description of the CAF self-assessment process,– The last self-assessment report presented to the management, and– The action plan for improvements.1.3 The applicant organization sends the information required to the MPA1.4 MPA acknowledges the applicant organization of launching the CAF external feedbackprocedure.2) Providing the feedback2.1 MPA designates two or more experts acting as CAF Feedback Actors (CAF FAs) to provide thefeedback to the applicant organization – they may be peers or external experts.2.2 MPA informs the applicant organization about the CAF FAs designated and sends the threequestionnaires, to be completed and returned to the MPA.2.3 CAF FAs analyze the three completed questionnaires.2.4 Preparation of the site visit: CAF FAs communicate with the applicant organization regarding thesite visit.2.5 Site visit, at the applicant organization, in maximum duration of two days.2.6 CAF FAs prepare the report (within one month’s time frame) and send it to the MPA togetherwith their recommendation about obtaining the ‘Effective CAF User’ label.16

DR GORDANA ŽURGA3) Decision / designation of the ‘Effective CAF User’ label3.1 MPA makes the final decision about obtaining the ‘Effective CAF User’ label.3.2 MPA sends the feedback report together with the decision about obtaining the ‘Effective CAFUser’ label to the applicant organization.3.3 In case of positive decision, the applicant organization receives a diploma - ‘Effective CAF User’label.3.4 MPA informs the EIPA CAF Resource Centre about the ‘Effective CAF User’ label’s holder; EIPApublishes the information in the CAF users’ database.The ‘Effective CAF User’ label expires after two years, and may be renewed.If an applicant did not receive the ‘Effective CAF User’ label, it may apply againafter conducting the next self-assessment based on CAF.5 CONCLUSIONSAfter the ten years of deliberate work, activities and projects in the area of qualityand business excellence in public administration it has been proved thatthe excellence of Slovenian public administration is being affirmed as a goal,and quality as one of its central values. In this context, the Ministry of PublicAdministration acts in a way that introduces and continuously upgrades thesolutions with the most impact on public administration’s institutions as well ason customers of the administration and the general public.The development achieved demands now expanding the scope and upgradingthe present way of planning and executing the activities and projects in thearea of quality and excellence, as well as an appropriate organizational support.Following the premise that organization has to be in a function of goals,the new appropriate organizational and coordinative support has to be established– Strategic council of the Government for Quality is seen as an appropriatestructure to be established at the same time as the further developmentstrategy of quality and excellence of Slovene public administration would beadopted by the Government.It is necessary, that at the time when the further development strategy is beingprepared also the resources needed for the implementation and their sourcesare defined. Only that way it can be assured that the adopted strategic documentwould not be only a nicely written and structured document but livingand vivid document which would enable implementation of the directions andprojects planned, and would by this contribute to even higher quality of publicservices in the Republic of Slovenia.17

QUALITY AS A VALUE IN SLOVENE PUBLIC ADMINISTRATIONBIBLIOGRAPHY1. Common Assessment Framework, CAF 2006. Ministry of Public Administration, January2007. Publication also published on the address: http://www.mju.gov.si/fileadmin/mju.gov.si/pageuploads/mju_dokumenti/pdf/CAF_2006__SLO_.pdf.2. Normativni program dela vlade za leto 2009 / Normative work programme of theGovernment for the year 2009, http://www.vlada.si/si/delo_vlade/program_dela_vlade/.3. Proceeding of the conferences: Na poti k poslovni odličnosti slovenske javne uprave/ On the Path towards Business Excellence (2001), Od ideje o kakovosti dodobrih praks v javni upravi / From Idea of Quality to Good Practices in Public Administration(2002), and conferences Dobre prakse v slovenski javni upravi / GoodPractices in Slovene Public Administration, 2003 – 2008; http://www.mju.gov.si/si/delovna_podrocja/kakovost_v_javni_upravi/konference_dobre_prakse/.4. Program dela Ministrstva za javno upravo v letu 2009 / Work programme of the Ministryof Public administration for the year 2009, http://www.mju.gov.si/fileadmin/mju.gov.si/pageuploads/mju_dokumenti/doc/Gradivo_NK_-_POPRAVEK_2.doc.5. Reform Programme for Achieving the Lisbon Strategy Goals, October 2005, http://www.umar.gov.si/fileadmin/user_upload/projects/04_alizb-strategija.pdf.6. Training programme for middle management in the administration, Ministry ofPublic Administration of the Republic of Slovenia, http://www.mju.gov.si/si/usposabljanje_in_strokovni_izpiti/seminarji/(in Slovene language).7. Training programme for top public employees »Leadership and Management inthe Administration«, Ministry of Public Administration of the Republic of Slovenia,http://www.mju.gov.si/si/usposabljanje_in_strokovni_izpiti/vodenje_in_upravljanje_v_upravi/(in Slovene language).8. Uredba o poslovanju z uporabniki v javnem zdravstvu / Decree on operations withusers in public health care system. Uradni list Republike Slovenije / Official Gazetteof the Republic of Slovenia, št. / No. 98/2008.9. Uredba o upravnem poslovanju / Decree on administrative operations. Uradni listRepublike Slovenije / Official Gazette of the Republic of Slovenia, št. / No. 20/2005.10. Žurga, Gordana (2009): Management kakovosti v javnih upravah v Evropski uniji/ Quality Management in Public Administrations in the European Union. Zbornik28. mednarodne konference o razvoju organizacijskih znanosti / 28 th InternationalConference on Organizational Sciences Development, Conference Proceedings,Fakulteta za organizacijske vede / Faculty of Organizational Sciences, March 2009.11. Žurga, Gordana (Editor), (2008a): Quality Management in Public Administrations ofthe EU Member States; Comparative Analysis, Ministry of Public Administration ofthe Republic of Slovenia, Ljubljana, October 2008.12. Žurga, Gordana (Editor), (2008b): Evaluation of Public Administrations’ Added Valueto the Lisbon Strategy Goals, Ministry of Public Administration of the Republic ofSlovenia, Ljubljana, October 2008.13. Žurga, Gordana, (2008c): Quality Management in the Public Administrations of theEU Member States – Main Findings and Further Development Trends. Good Practicesin Slovene Public Administration 2008, Conference Proceedings. Pages: 9 – 18.18

AN OVERVIEW OF THE FRENCHADMINISTRATIVE REFORMDominique LAPIERREFrench Embassy in Ljubljana, Sloveniadominique.lapierre@missioneco.orgABSTRACTThe French administration is presently immerged in a process of structuralreform, the title of which is “Révision générale des politiques publiques”. Thisonly translates the simple fact that beyond securing quality and continuityof public service, public administrations also have to abide to the principleof “adaptability”. That means presently to adapt to the economic crisis andspend less while securing the same level of quality and continuity of publicservice.For State administrations, each Ministry has to work out a “Strategy for reform”compiling the results of the auditing processes carried out in each budgetoperational units. This strategy is adopted at interministerial level and atask force is created for its enforcement covering several years, with projectmanagers. This contribution explains the whereabouts of this reform andproduces two showcases from within the Ministry of Economy, Industry andEmployment.1 INTRODUCTIONFrance has a very strong tradition in Public Service and employs more than 4millions people in public service, these being in the State public service, in theautonomous Territorial Entities public service, in autonomous public agenciesdevoted to public services or in the health public service. The French publicservice is guided by three fundamental rules of personal and collective behaviour:“quality of service”, “continuity of service” and “adaptability of service”.Of course the conditions required to fulfil this guidance are “clear-cut competences”,“adequate budget means” and “flexibility of employment”.— clearcut competences: the government decides on administrative reforms ineach Ministry according to the law, no overlapping and conflict of competencesare allowed, no redundant department has to be maintained, any impedimenthas to be overcome for the employability of public officers, outsourcing maybe used if proved to be more efficient,

AN OVERVIEW OF THE FRENCH ADMINISTRATIVE REFORM— adequate budget means: budget programming is implemented already forsome years in France, providing proper financing for the tasks and quantitativetargets fixed in advance at ministerial level,— flexibility of employment: the French public service employs both civilservants and people under contracts with public entities (these being on fixedterm contract or on openended term contract). The French parliament hasrecently adopted a law for the “mobility and carrier management of publicemployees”, in order to promote their professional mobility and to organizenecessary changes of statuses, if a department is considered as overstaffed orin need of restructuringUnder the present economic situation there is a really strong pressure forstreamlining the budgets of public service. The economic crisis demands anincrease in public spending impinged on economic leverage and social protection,while tax resources are less productive. The issue is to find the ways andmeans to keep in line or even to reduce the excessive budget deficit, and tomake it a common understanding.Therefore program budgeting has become a prerequisite of the new frameworkfor a sustainable fiscal policy. This means defining operational units withinMinistries, auditing their functions and costs, planning their human resourcesmanagement, and looking for potential reduction in administrative work andspending.In fact, Slovenia and France follow presently very similar socioeconomic pathsand share the same interests:Macroeconomic ratios(% GDP) SLOVENIA FRANCEGeneral government expenditure 2007 43,3% 43,7%Taxes & contributions 2007 38,0% 41,2%Social protection expenditure 2006 16,9% 22,3%General public service expenditure 2006 6,1% 6,9%Education expenditure 2006 6,3% 6,0%2 THE BASICS: WHICH PRINCIPLES FOR THE ADMINIS-TRATIVE REFORM?The basics are very simple but seldom accepted as rationality by everyone,since they incur adaptability of employees. They may be labelled as Securing20

DOMINIQUE LAPIERREQuality, Continuity and Adaptability of public service, while reducing the burdenand spending less,This in turn implies an auditing process:— Defining operational units in each Ministry in cooperation with employees,— Carrying out an independent external/internal audit in each operational unit,— Securing transparency and strong involvement of employees, participation ofemployees in the auditing process, communication of the auditing results,— The basic questions being within each operational unit : what are we doing atwork?— what are the collective needs and expectations from us in the public atlarge? – what improvement may be introduced to reduce our work? – whichreorganization of our department is required for the changes? who shall payfor our public service? – how to fulfil it in a cheaper way? – what is the bestway to get to this result?Each Ministry has to work out a “Strategy for reform” compiling the results ofthis auditing process. A newly established “Council for modernisation of publicbodies” (an interministerial body placed by the Prime Minister’s Office), meetingregularly, examines closely these Strategies for reform of the different ministriesand adopt them.It checks that each “Strategy for reform” is well based on the “quality, continuityand adaptability of public service” principles, that it includes a contract forquantitative results covering several years, a contract with the budget departmentfor reducing the public spending over these several years, and a contractfor promoting the mobility of employees over these several years. Therefore, a“standard toolbox” has been defined, with quantitative indices.Each “Strategy for reform” also has to have a calendar for implementation anda forecast for progressive improvements of quality, continuity and adaptability,in each operational unit.Needed structural reforms may be envisaged, with abolition of departments inextreme cases, even if it implies mobility of employees and early retirements.3 THE DRIVES: WHAT ARE THE KEYS FOR THE SUCCESS?— Political commitment: do not take it for granted that Your Minister pledgesto fulfil its prescribed predictive management of human resources and taskswhen managing its operational units. You will have to secure his support. A21

AN OVERVIEW OF THE FRENCH ADMINISTRATIVE REFORM“task force for administrative reform” is created therefore in each ministry,with a project manager.— Grassroot ideas: start from social dialogue, opinion polls, head of departmentmotivation, insisting on the long term perspective: “where and how to adaptto changes, to act in a common enterprise ?”— Legitimacy: insure exchanges and rewards of best practices, engage a communicationcampaign to legitimate for the employees the necessity of changeswithin administrations, claim the support for the sustainability of publicspending, and display the satisfaction of customers,— Demonstrate with benchmarking the improvements of the new structure:more responsive, more communicative, better adaptability to emerging constraints…— Develop specific formations to motivate employees to change their behaviour,— Interconnect mobility with incentives for changes, assure prospective occupationsfor the employees who have to leave their standard occupation,— Adapt to time period, inform in advance but choose the right momentum toinform,— But always keep in mind the final objective “reducing work and expenditure,in spite of the administrative constraints you will have to face during the process”,— Last but not least, assure a long lasting support from Your authority.4 TWO TEST CASES: THE GENERAL DIRECTORATE FORCUSTOMS & THE GENERAL DIRECTORATE OF ECONOMICAFFAIRS OF THE FRENCH MINISTRY OF ECONOMY,INDUSTRY AND EMPLOYMENTTwo different challenges:— General Directorate for Customs:o Adapt to the entry into the Internal Market for 1993,o Abolition of systematic border controls along internal EU borderso Redeployment all over the French territoryo Loss of competences for VAT collection for intraeuropean trade operationso Simplification of custom clearance procedureso New competences for collection of excise dutieso New priorities put on fighting drug trafficking and money launderingo Not to forget counterfeiting and industrial property abuses22

DOMINIQUE LAPIERRE— General Directorate of Economic Affairs:o Merging of the External Economic Relation Department with the TreasuryDepartment and the Economic Forecast Department,o Screening Representations abroad, according to the geographical priorities,o Cooperating with the network of the French Chambers of commerceo Creating a “hub for information on market developments”o Adapting the new procedures for exporters with UBIFRANCE, COFACE,OSEO…)o Focussing on the new priority of supporting SME’so Developing the commercial presence in the BRICApplying the same method:— General Directorate for Customs, from 1988 onward, General Directorate ofEconomic Affairs from 2002 onwardo Internal audit analysing each new line of occupation related to thechallenges and its requirementso Defining the needs in employment for each new line of occupation andpromoting mobilityo Contracting with the General directorate for budget, for a yearly reductionof overall costs,o Assuring proper formation and incentives for changes in occupation ofemployeesThe results— General Directorate for Customs = redeployment of 3000 employees allover the French territory and closure of 230 offices + creation of ecustomclearance procedures + extension of random border controls along bordersand internal communication routes + creation of 30 regional custom offices inthe main French Embassies. 3000 employees have been split into two differentstatus : investigation officers on one side with judicial competences, customsprocedure officers on the other side with administrative competences— General Directorate of Economic Affairs = redeployment of 350 employees+ creation of 30 regional offices in main Embassies while increasing staffingin new geographic priority countries + merging commercial offices withUBIFRANCE offices in France + division into two parts of the economicsections in Embassies: 64 economic sections exclusively in charge of traderelations merge with UBIFRANCE, while the others remain with the foreignservice of the Ministry. 1200 employees are split into two different statuses:foreign trade officers depending from UBIFRANCE on one side, economicdiplomacy officers depending from the Ministry on the other side.23

DEVELOPMENT AND USE OF THE MOBILITYAPPLICATION IN THE MARIBOR POLICEDIRECTORATEMirko PLOJMinistry of Defence, Police Directorate Maribormirko.ploj@policija.siINTRODUCTIONIn all areas of policing and work processes, the Maribor Police Directoratemakes use of its advantages, explores possibilities for improvement and incorporatesand draws on good practice.In 2003, its began introducing business excellence based on the Common AssessmentFramework – CAF model, and then continued by the model of the EuropeanFoundation for Quality Management – EFQM. The two models of businessexcellence gave the police directorate a chance of a modern and thoroughself-assessment of its work, as well as identification of the results of its activity.Furthermore, they also enabled benchmarking and learning from other organisations,along with raising awareness of the importance of business excellenceand applying good practice to police work. The two business excellence models(CAF, EFQM) aim at rationalising and optimising all working processes.Using the aforementioned business excellence models, the situation at the policedirectorate was analysed and problems were identified. At the same time,we found solutions to certain administrative barriers or found possibilities ofimprovement. The police directorate has been constantly drawing comparisonwith and learning from similar police directorates or organisations. Our activitiesaim at spreading awareness of the importance of increasing our performance– providing a high quality security service. Throughout all our work, wehave been including as many collaborators as possible, guided by the beliefthat virtually anything can be achieved through cooperation. Human resourcemanagement is a priority for us. The individual – our fellow worker – is whatmatters most. Their knowledge, experience, work, motivation, responsibilityand sense of belonging are our true capital, which must be managed properly.The working hours of our fellow workers are the potential which can and mustbe managed by the leaders.The police’s main mission is to ensure, in cooperation with individuals and thecommunity, the security of people and their property. In the event of a security

DEVELOPMENT AND USE OF THE MOBILITY APPLICATION IN THE MARIBOR POLICE DIRECTORATEincident or a call from within the community, our reaction must be swift andeffective. Our goal is to sustain a high quality of the police service.The Maribor Police Directorate strives for internal progress and improvementof its work, in order to provide a high quality security service to the peoplein its territory. Our work is focused on the community, which is expected toprovide not only partnership cooperation but also criticism and suggestionsregarding our activities. The management and staff at the police directorateare committed to building up our business excellence in relation to users ofour services.Everybody has the possibility and opportunity to have an impact on the changesand the future. This, however, requires us to take certain actions, have ideas,provide incentives and suggestions. We are constantly on a cycle of planning,performing tasks, verifying, taking action, thus introducing changes and affectingour future.Our collaborators are encouraged to embrace changes and good practice in oureveryday work. In the last five years, we have regularly participated at the Policebest practice competition and have consistently achieved top rankings andawards. Awards for best practice have been won in the following categories:Coordinating the Work of Police Station Commanders in the City of Maribor,Investigating Offences against the Environment, Provisional Reorganisation ofOn-call Duty, Indicators for Work Efficiency Assessment, Application Supply ofGoods – Online Shop and Application Mobility.Examples of good practice are being successfully spread to other police directorates,with computer applications attracting the greatest interest. In addition,some of our good practice cases have even been included in the Police’s actionplan for 2008 and 2009.Such good practice aims to reduce administrative barriers to the work process– sending out available police officers to the scene of a security event ofintervention – and therefore providing urgent, effective and good support tothe operative work of police officers. The application Mobility fulfils this objectivein every way. It is crucial for users, in fact, that an information systemor a particular application helps their work to be carried out safely, quickly,smoothly and effectively. Externally the success of the police’s work is measuredby the level of satisfaction among those who use the police’s securityservices.26

MIRKO PLOJOPERATION AND COMMUNICATION ACTIVITY PRESENTA-TIONAt the regional level in Slovenia, the security of people and their property is inthe hands of 11 police directorates. Each of these has an internal organisationunit called the Operation and Communication Centre (hereinafter OCC).The OCC at the national level receives information and gathers data on activities,events and phenomena relevant to the police’s work and the day-to-dayassessment of the security situation in the Republic of Slovenia. It monitors,directs, coordinates and assesses the measures taken by the 11 regional operationand communication centres at police directorates, related to serious offences,traffic accidents, natural and other disasters as well as other importantactions, events and phenomena. By doing so, it also provides incentives, suggestions,guidelines or instructions, gives expert assistance and orders possibletasks and measures.The OCC at the General Police Directorate also provides an anonymous telephonenumber 080 1200 for anyone who wishes to communicate useful informationto the police but wants to remain anonymous.The Maribor Police Directorate is the second largest police directorate in Slovenia.Its territory has a population of 322,754, i.e. 16 percent of the country’spopulation. The security conditions throughout the territory under the MariborPolice Directorate are controlled by 17 police stations and 11 police offices.Police work continues non-stop for 24 hours a day. In 2008, the police directorate’sOCC had 38,335 interventions, deploying 43,111 police patrols, whichamounts to 19 percent of all deployments of police patrols to a designated securityevent in the country.The number of people requesting police assistance has been growing eachyear, in most cases because of traffic accidents, property damage or violationsof public order. A 2008 poll on public confidence in the police reveals a decreasein the number of those saying that the police came to the scene of asecurity event quickly enough, and a rise in those saying the police were notfast enough in coming to the scene. While the public perception of the police’sresponse has deteriorated, according to our data the average response time ofpolice patrols in Slovenia has improved.The OCC of police directorates are connected to the police’s intervention number113 used by citizens in urgent (intervention) cases. One of the main OCCtasks is to guide interventions and assist police units sent to the scene of the27

DEVELOPMENT AND USE OF THE MOBILITY APPLICATION IN THE MARIBOR POLICE DIRECTORATEintervention event, which is triggered in most cases by a call from a citizen tothe police’s intervention number 113.In every police directorate’s territory, for security events to be effectively controlled,they need a certain minimum number of police officers and patrols thatmust be provided by a police unit on a given day of the week. Police units haveto make daily reports to the police directorate’s OCC on the number and typeof police patrols present in a certain area.They must also communicate the time of availability of the patrols and theequipment at their disposal. The available patrols are used by the OCC and deployedto various security events.The role of the police directorate’s OCC is to:— receive information on security phenomena and events;— receive calls from people in need of police assistance;— send police patrols to the scene of security events, monitor, direct, order andcoordinate the initial urgent measures taken by police officers in the eventof offences, traffic accidents, violations of public order, natural and otherdisasters and other security-related events.For the police to be effective and successful, it is therefore essential to have asufficient number of police officers or patrols out in the field at all times (dayand night) that are able, in the shortest possible time, to act effectively andsuccessfully, or to respond to the orders given by the staff of the OCC of theMaribor Police Directorate.WORKING PROCESS PRIOR TO THE USE OF THE MOBILITY APPLICA-TION— Working process at police units prior to the use of the Mobility Application:Police units sent information on their available patrols daily to the OCC via thepolice’s e-mail (Lotus Notes program). In practice, however, the informationprovided was sometimes incorrect, which hindered the process of sending patrolsto a security event. Any change in patrol mobility was notified by the officeron call to the head of the OCC team on duty at the time. Based on a printeddocument of a particular unit, the latter made the appropriate changes. Thehead of the OCC team on duty was therefore often left to deal with resettingdata on police patrol availability.28

MIRKO PLOJPolice unit working process flowchart:Police unit workflow(previously)Police unit workflow(currently)The user signs in to Lotus Notes -police’s email boxThe user signs in the MOBILITYapplicationFinds the mobility document sentpreviouslyFeeds the database with patrols(entry form)Copies the document content into anew one and modifies the contentRecords the document into police’sinformation systemSends mobility via police’semail to the OCCReports mobility changes(by telephone or document)Figure 1: Police unit workflow diagram— Working process at the Maribor Police Directorate’s OCC prior to the use ofthe Mobility Application:The OCC operator received documents on police patrol mobility from allunits via the police’s email (Lotus Notes program). He or she printed themout in two copies, and sorted mobility documents in a certain order. Morningpatrols were highlighted in green, for example, afternoon patrols in yellowand night patrols in orange. When a patrol was needed at a security event ina specific area, the OCC operator first selected the mobility paper of a unitout of the printed material and then a particular patrol (morning, afternoonor night). Once a patrol was selected on the document, it was dispatched to adesignated security event, Such a process was lengthy, slow and burdensomefor the operator.29

DEVELOPMENT AND USE OF THE MOBILITY APPLICATION IN THE MARIBOR POLICE DIRECTORATEOCC working process flowchart:Workflow at OCC(previously)Workflow at OCC(currently)OCC operator receives mobilityinfo from all police unitsOCC operator clicks on an area orrelation in the applicationMakes two printed copies of alldocuments of unitsSelects an available patrol and sendsit out to the security eventSorts out mobility documentsin a certain orderHighlights patrols on eachdocument in different colours;morning/afternoon/nightIn case of an intervention, selects aunit’s document to find an availablepatrol and sends it outManually notes all changesas they occurFigure 2: OCC workflow diagramAPPROACH TO A SOLUTIONThe participants of the working process of sending out available police officersto the scene of an intervention security event became aware of the need to simplifyand shorten the time required to find available police unit patrols in thefield. This problem was highlighted at a restricted expert committee of the directorof the Maribor Police Directorate, which then included in the 2008 actionplan of the police directorate the task of developing an application capable ofremoving the administrative barrier and facilitating the work of participants inthe process.The Operational Support Service, Information and Telecommunications Officewas given responsibility for the task. In addition, a working group was set up,which found the right technical solution by developing the Mobility Application.The working group consisted of Information and Telecommunications Sectionstaff, acting as the technical service, a representative from the Operation andCommunication Centre of the Maribor Police Directorate and representativesof police units of the police stations in Ptuj and Podlehnik.The time schedule of the working group was divided into several phases:— technical development of the application,30

MIRKO PLOJ— technical testing of the application,— production of the application’s user guide,— test use of the application at certain units (police stations in Ptuj andPodlehnik),— rectification of irregularities and inclusion of better solutions suggested,— application start-up for all units of the Maribor Police Directorate.The application was developed gradually in cooperation with the end users.The aim was to enable the OCC operator to have constantly available on screenthe patrols available in a certain area that could be dispatched to a securityevent.The development of the application focused on functionality, cost-effectiveness,usefulness and possible expansion to other police directorates. The dataentered into the application’s base were to be constantly kept up to date, easilyaccessible and collected in one place.SOLUTION DESCRIPTIONThe Mobility Application functions on the basis of the Apachi web server in thePHP software environment and the MySQL database. All theses componentsare set and work on the server – workstation, which is located in the OperationalSupport Service, Information and Telecommunications Office, where thedatabase is archived on a daily basis.Access to the Mobility Application for users in the Maribor Police Directorate isenabled by connection to the police directorate’s Intranet.Access-wise, the Mobility Application has three levels:— the “unit” level of police stations and internal organisation units, which enablesentering, modifying and reviewing data entered for that unit,— the “OCC” level of the OCC of the Maribor Police Directorate, which allows ascan through available patrols of all units and entries made by units by date,— the “administrative access” level of the Operational Support Service,Information and Telecommunications Office, which enables updating the listand adding new users.Once the application and the user’s guide were completed, all units were sentthe final version of the guide so that users could learn how the applicationfunctions. In the initial stage of being brought into use, units suggested modifications,which were considered and incorporated into the application. The us-31

DEVELOPMENT AND USE OF THE MOBILITY APPLICATION IN THE MARIBOR POLICE DIRECTORATEers’ response was more than positive. They became aware of the application’spractical value, shortening the working process and increasing transparencyand traceability.The Mobility Application was developed for the needs of the Maribor PoliceDirectorate and is tailored to fit the needs and system of work of our police directorate.However, the application can be adapted to other police directorateswithout major problems.ADVANTAGES OF THE WORKING PROCESS AFTER INTRODUCING THEMOBILITY APPLICATION— Working process at police units after the introduction of the MobilityApplication:The police officer on call at the police unit has access to the application via theMobility connection on the Intranet of Maribor Police Directorate. A sign-inwindow pops up, which is used to enter the application. Once signed in, the officerfills in the empty entry form with data on the patrol and saves it. For everypatrol, he or she sets a call sign, date, time of duty, type of duty, number of officersin the patrol, area of work, road relation, special tasks and equipment.If data on a patrol changes, the officer on call selects the patrol already enteredand modifies the specific information. The change is instantly noted by theOCC operator.— Working process at the Maribor Police Directorate’s OCC after theintroduction of the Mobility Application:Once signed into the Mobility Application, the OCC operator can choosefrom different areas and relations on the screen. By clicking an individualicon (e.g. Ptuj), all patrols available to be sent to a designated security eventat the given time in the area of Ptuj police station are displayed. This gives theofficer simple and quick access to the data needed for carrying out his or hertask efficiently.Example of accessing the Mobility Application via the Intranet of the MariborPolice Directorate:32

MIRKO PLOJFigure 3: Access to the Mobility Application via the Intranet ofMaribor Police DirectorateA login box appears in which the user enters his or her user name and password.Every unit has its own user name and password for signing in.Figure 4: Login boxIf the user name and password are correct, the user can start using the application.Due to multiple access levels, police stations and the OCC have a differentscreen view after signing in. Police stations get an empty entry form for enteringdata on patrol mobility.33

DEVELOPMENT AND USE OF THE MOBILITY APPLICATION IN THE MARIBOR POLICE DIRECTORATEFigure 5: Patrol mobility entry formOn successful login, the OCC operator gets a list of area icons. After selectingan area, available police patrols are displayed, which can be used at a particulartime in an area previously designated.Figure 6: List of patrols available at a given time in a certain area34

MIRKO PLOJESTIMATED TOTAL COST REDUCTIONThe savings made by use of the Mobility Application are reflected in reducedlabour as well as material costs. They occur for police units and the OCC, particularlyin terms of working hours and less material and technical resourcesused (paper, printer toners etc.). Every working hour implies a cost becausethis time can be used for other purposes. Time savings per unit are about halfan hour a day, i.e. roughly 15 hours a month or 180 hours a year per single policeunit (180 hours is the basic monthly work per worker).The cost-effectiveness of the solution is also shown by a reduced OCC responsetime, with the operator needing less time to find an available patrol and, therefore,also to dispatch it to a security event. A reduction in response time may insome cases make a great difference for a person and can even save lives.Apart from working hours being saved, there is also less burden on the communicationchannel’s available space. The process of sending data on patrol mobilityfrom police units to the OCC is standardised and the format and contentof the form used to report on patrol mobility is unified. Finally, the applicationreduces costs also in that it enables the operator to have a constant view of allavailable patrols in a given area and at given time, which can be dispatched tosecurity events,The Mobility Application is easy to use and transparent. Data on a patrol are updatedand therefore of high quality and precision. Access to the application issimple. Every entry made in the application is immediately seen by both the authorand the person checking, using and controlling the data entered. The newapplication has achieved its goal and quality due to the users who suggested itbeing constantly involved in its development and introduction.The Maribor Police Directorate did not have any special and additional expenseswith the production, testing and introduction of the Mobility Application.The Mobility Application is the first application fully developed using theknowledge of the Maribor Police Directorate’s staff and the General Police Directorate’sInformation and Telecommunications Office.It was done during the normal working hours of information specialists andprogrammers at the Maribor Police Directorate. Due to the simple use of theapplication, no special training of users was needed; they only received a user’sguide, which was sufficient.In the future, the Mobility Application will have to be connected to the GlobalPositioning System – GPS, which would add an optical image of the patrol’slocation to the current availability data.35

DEVELOPMENT AND USE OF THE MOBILITY APPLICATION IN THE MARIBOR POLICE DIRECTORATECONCLUSIONThe Maribor Police Directorate has been using the Mobility Application since1 June 2008. Its development was guided by practicality and user-friendliness.It was created to answer the needs of the OCC of Maribor Police Directorateand police units. The former system of sending information on patrol mobilityand relevant changes was time–consuming and unclear- All the application’scomponents, the appearance of its sites, field colours and font size used in siteswere decided in cooperation with the users.The Mobility Application is a web application. Access is possible from all computersconnected to the Police’s network and equipped with the Internet Explorerbrowser.However, regardless of its computerisation, the working process objective hasstayed the same – dispatching available police officers to the scene of an interventionsecurity event. It is there to support the operative work done by policeofficers in the field. The application has made the process or the manner inwhich the OCC operator finds an available patrol that he or she can dispatch toa security event much easier, shorter and more transparent. The new methodof work saves a great deal of time in finding an available patrol and thus reducesthe response time of both the OCC and the police patrol.The Maribor Police Directorate is the leading police directorate in Slovenia inthe field of introducing and applying business excellence models. The integrationof a number of applications developed by the Maribor Police Directoratehas simplified the work of users. This all began with the development, introductionand use of the Mobility Application and is continuing with the creation ofnew applications. The Operational Support Service, Information and TelecommunicationsOffice, has staff that are able and willing to carry out such tasks.Their knowledge must be used to contribute to the computerisation of workingprocesses (in the police as a whole).The Mobility Application can serve as an example of good practice for the development,introduction and use of other similar applications that are currentlybeing developed, and will be used by the Police in the future. A vital role in thismust be played by the support of management, operative and expert services,the cooperation of end users and an expert team cable of fulfilling the task set.Prior to such a project, an assessment must be made as to the practicality as faras costs are concerned.The development, introduction and use of the Mobility Application have madeus aware of the time, effort, and will needed for an application to be put into36

MIRKO PLOJpractice. Implementing a new application therefore needs all the hurdles to beovercome in order to reach the desired goal.In the Maribor Police Directorate, we have been striving towards reducing thegap between the actual and the desired state of a working process. We mustensure the shortest response time possible needed for a police patrol to reachthe scene of a security event with the aim of protecting and helping people(victims, injured people …).Maribor Police Directorate has the ambition to become even more effectiveand successful. It is in our interest to provide high quality security to the peoplewho are the users of our security services. We would also like to be closer topeople and local communities. Our goal is to create a true partnership with allinterested public parties and our strategic partners. We want to gain the trust ofthe customers of our security services and be able to meet their expectations.Our aim is to have as many satisfied customers as possible. The results of ourwork will therefore depend heavily on realising these ambitions. All this is achance for us to improve our work further.Excellence is merely another step in ensuring a high quality working process inthe Police and policing in general. The entire process must mean better workquality and must be reflected in us being more efficient and successful.Long-term quality leadership and management of human, material and technicalresources is the only guarantee that the Maribor Police Directorate willbe able in the future also to achieve excellence in other areas of working processes.37

APPLICATION FOR ASSESSING DAMAGE TO CROPSAND DAMAGE TO PROPERTY – AJDAAna JAKŠIČMinistry of Defence, Administration of the Republic of Slovenia forCivil Protection and Disaster Reliefana.jaksic@urszr.si1 INTRODUCTIONNatural disasters, increasing in frequency and intensity, cause great damage tocrops, property and infrastructure every year. Slovenia’s system of protectionagainst natural and other disasters is unique in the European Union. The Administrationof the Republic of Slovenia for Civil Protection and Disaster Relief(ACPDR), a body attached to the Ministry of Defence that performs administrativeand professional tasks relating to protection against natural and other disasters,has also been responsible for assessing damage from natural and otherdisasters to crops and property since 2003. In other EU Member States, assessmentand compensation for damage depends on the insurance company-insuranceholder relationship, i.e. they have no developed mechanism for theremoval of consequences of natural disasters sustained by their citizens.The Republic of Slovenia has had detailed assessment procedures in place onthe national, regional and municipal level since 2004. The Decree on the damageevaluation methodology specifies a number of formulas; moreover, priceslist prices list are published annually on the ACPDR website.In 2003 and 2004, municipal committees, which conduct the bulk of assessmentactivities, faced a difficult task in completing the required forms consideringthe large number of forms and comprehensiveness of prices list prices list Consideringthe large number of compensation claims (individual municipalitieshad several hundred or even a thousand claimants for compensation), it wasvery difficult to complete the required forms and assess the damage in a relativelyshort period of time. All claimants for compensation and their claims hadto be entered in consolidated lists and errors, duplication of information, etc.sometimes occurred during registration. The Ministry of Agriculture, Forestryand Food (MAFF) and the Ministry of the Environment and Spatial Planning(MESP), which are responsible for the preparation of the programme of removalof the consequences of natural disasters and payment of compensations,encountered significant difficulties in the processing of this information.

APPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TO PROPERTY - AJDABased on that experience, ACPDR decided in 2005 to start developing an informationsystem that would allow users on all levels the same regularly updatedinformation. The new information system has the following advantages:— all entered data as well as the programme itself are saved in one place – on theserver at the ACPDR site;— an established system of application users and their rights; this also allowsaccess to data to be recorded on the level of specific data and consequentlyensures compliance with the Personal Data Protection Act;— simplified upgrading of application and data archiving;— uniform processing of the required forms;— fewer data-processing errors due to the use of uniform code tables and priceslist ;— direct communication with the Agency of the Republic of Slovenia for AgriculturalMarkets and Rural Development (AAMRD) and Surveying and MappingAuthority of the Republic of Slovenia (SMARS), eliminating the need toobtain data ex officio and— a direct link established between the general government and local community.AJDA is a centralised web system that provides its users with a friendly, easy-touseand unified working environment by allowing, at the same time, transferof verified data from official public records to various institutions, particularlyMAFF and MESP.AJDA has significantly contributed to improving the effectiveness and efficiencyof public administration through considerably accelerated data input andprocessing, has provided verified and quality data and has reduced the time requiredfor the National Commission for the Assessment of Damage to preparematerial to be presented for discussion to the Government of the Republic ofSlovenia. The transfer of digital data to MESP and MAFF has also greatly contributedto a less costly public administration by shortening the time necessary toprepare the damage-elimination programme by the ministries.2 DAMAGE ASSESSMENT PROCEDUREACPDR has laid down detailed procedural rules for the assessment of damagecaused by natural disasters and defined responsibilities for individual levelsof government (general government, region, and municipality). Following adisaster, the municipality concerned notifies the relevant ACPDR branch ofthe occurrence and extent of natural disaster (flood, storm, hail, draught, etc.)within three days in writing. In addition to a description of the disaster, thenotification also includes a graphic presentation of the area hit by the disaster40

ANA JAKŠIČ(by marking it on the map and attaching a photograph) as well as a preliminaryassessment of damage to crops and property.Table 1: Number of municipalities by ACPDR regionsRegionNumber of municipalitiesPosavje Region 4Western Štajerska Region 33Coastal Region 3Gorenjska Region 18Ljubljana Region 32Eastern Štajerska Region 22Pomurje Region 27Northern Primorska Region 13Dolenjska Region 14Notranjska Region 10Podravje Region 19Koroška Region 12Zasavje Region 3TOTAL: 210The relevant ACPDR branch notifies ACPDR of the event and proposes adoptionof a decision to initiate assessment of damage in the disaster-stricken areaswithin a single or several municipalities. When the overall preliminary assessmentapproaches the limit for granting state aid, ACPDR issues a decision toinitiate damage assessment, accompanied by a statement of the grounds forthe decision and instructions, and sends it to the municipality concerned with acopy to the relevant ACPDR branch and responsible ministries. The municipalityinvites claimants for compensation in the manner commonly practised inthe local area to report damage to the responsible municipal committee, whichthen assesses the damage by taking into consideration the evidence submittedby the claimant for compensation. It assesses damage to crops and property inaccordance with ACPDR instructions, enters the data in the AJDA application,prints out and signs official forms and sends the data (original requests, lists ofclaimants for compensation) to the relevant ACPDR branch.Damage to crops and property is assessed in accordance with the Protectionagainst Natural and Other Disasters Act 1 , the Removal of Consequences of NaturalDisasters Act 2 and the Decree on the Damage Evaluation Methodology 3 .1Uradni list RS, nos. 64/94 and 28/06.2Uradni list RS, nos. 75/03, 90/07 and 102/07.3Uradni list RS, nos. 67/03, 79/04 and 81/06.41

APPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TO PROPERTY - AJDAClaimants for compensation report the damage on prescribed forms: Form 1for assessment of damage to agricultural land, Form 2 for assessment of damageto crops, Form 3 for assessment of damage resulting from destruction ofbuildings, Form 4 for assessment of damage to buildings, and Form 5 for damageto civil engineering facilities.The reported damage is verified by regional damage-assessment committeesand a national damage-assessment committee. Competent inspectors of the Inspectorateof the Republic of Slovenia for Agriculture, Forestry and Food andcompetent inspectors of the Inspectorate of the Republic of Slovenia for theEnvironment and Spatial Planning are also invited to participate in on-site inspections.All committees are composed of agricultural and building professionals,representatives of the ministries, etc.The national damage-assessment committee makes a final assessment of damageto crops and property and sends it to the Government of the Republic ofSlovenia.The Government of the Republic of Slovenia confirms the final assessment ofdamage to crops and property when the level of the damage exceeds 0.03 percent of national budget revenues and instructs MAFF and MESP to draw up aprogramme for repairing the damage.MAFF prepares a programme for eliminating the consequences of damage tocrops, to be confirmed by the Government of the Republic of Slovenia. On thebasis of the damage assessment, the programme for eliminating damage to crops,and the decisions of the Government of the Republic of Slovenia to allocate fundsfrom the national budget, the Agency of the Republic of Slovenia for AgriculturalMarkets and Rural Development (AAMRD) issues decisions regarding the allocationof funds for the removal of the consequences of damage to agriculture.MESP prepares a programme for eliminating the consequences of damage toproperty to be confirmed by the Government of the Republic of Slovenia. Onthe basis of the assessment of the damage, the programme for eliminating theconsequences of damage to property and the decisions of the Governmentof the Republic of Slovenia to allocate funds from the national budget, MESPissues decisions regarding the allocation of funds for eliminating the consequencesof damage to property.3 REASONS FOR INTRODUCING THE AJDA APPLICATIONDrought was officially declared in Slovenia in 2003 (the reason for adoptingthe act and decree), and the southwestern part of the country was hit by earth-42

ANA JAKŠIČquake in 2004. Thunderstorms with hail and floods followed in 2004 and 2005.The type of thunderstorm and the number of affected municipalities and claimantsfor compensation are shown in Tables 2 and 3.Table 2: Damage to propertyThunderstorm Number of municipalities Number of formsEarthquake 17 July 2004 5 1,872Hail 9 August 2004 4 1,276Floods 9 and 10 October 2004 5 154Floods 31 October 2004 9 348Floods and hail 22 July 2005 8 759Floods 21 August 2005 44 1,711Table 3: Damage to cropsThunderstorm Number of municipalities Number of formsHail 2004 37 1,716Frost and hail 2005 64 6,082An analysis of the situation following an examination of all forms and proceduresafter the thunderstorms in 2004 and 2005 showed a great many cases ofirrational use of time and money. The analysis revealed the following weaknessesof activities carried out in those years:— data provided on the forms were incomplete and illegible;— claimants for compensation reported damage to crops growing on the sameplot and to the same crops simultaneously in several municipalities;— claimants for compensation reported damage to crops that they did not growat all;— claimants for compensation reported damage to crops grown on a larger areaand with a higher percentage of damage than actually sustained;— claimants for compensation reported damage to areas of buildings, roofs andfacades that were larger than actually sustained;— claimants for compensation reported damage to facilities situated at addressesthat did not exist;— municipalities reported damage to facilities and roads that were not damagedat all;— large quantities of debris on the road were reported;— construction works were reported that were not actually carried out;— damage calculations were often incorrect;— copying and unnecessary duplication of documents;43

APPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TO PROPERTY - AJDA— relevant ministries experienced long deadlines for data processing;— errors occurred in copying data from the submitted forms;— a large number of complaints were made by claimants for compensation withregard to the payment of compensations for damaged crops.It should be emphasised that ACPDR had no opportunity to verify the data reportedby claimants for compensation. As a solution to this problem, a centralisedweb software application for entering and reviewing requests was designed– the AJDA system. In designing AJDA, we complied with the LisbonStrategy. We set the following key objectives to meet our aims:— facilitating the work of municipal committees by creating a friendlier andmore uniform working environment;— facilitating a single entry of data;— providing all user levels with the same and regularly updated information;— systematically defining the rights of entering and reviewing data for differentuser levels;— linking databases in state administration and thus ensuring the authenticity ofsuch data, as well as faster processing of data contained in the register of agriculturalholdings, register of territorial units, cadastre of buildings and landcadastre;— ensuring high-quality processing of data used in damage calculation, inputdata control, printouts of all forms and consolidated lists of damage on thelevel of municipalities, regions and general government, sorted by claimantfor compensation, address of claimant or damaged facility, damaged crop,damaged building and type of construction work as evidenced by the priceslist , and reviewing damage assessment by municipality and by region;— reducing the volume of document copying and archiving;— eliminating lengthy procedures in searching for and eliminating errors;— setting up electronic transfer of data to MAFF and MESP for further processingand thus providing for faster preparation of damage elimination programmes,since there is no need to reinput data;— reducing the time limit and improving the quality of programmes for eliminatingconsequences of natural disasters, since the data is acquired from officialrecords and verified;— enabling the use of the gathered information by several institutions: MAFF,MESP, the Tax Administration of the Republic of Slovenia, the Statistical Officeof the Republic of Slovenia, the Chamber of Agriculture and Forestry, theAssociation of Municipalities and Towns of Slovenia, the Environmental DevelopmentFund of the Republic of Slovenia (Eco Fund) and the Institute forthe Protection of Cultural Heritage of Slovenia;— contributing to a friendlier, more efficient and less costly public administration.44

ANA JAKŠIČIn 2006, the Agriculture Act (Official Gazette of the Republic of Slovenia – Uradnilist RS, no. 18/2006) introduced the Graphical Agricultural Unit of a FarmHolding (GERK), which is being included in all databases of the ministry andused for the purpose of implementing agricultural policy through the amendmentof the Agricultural Act. ACPDR has, in agreement with MAFF, AAMRD andthe Tax Administration, adapted Form 2 accordingly. This resulted in shorterprocedures and significant savings. MAFF even simplified the procedure forclaimants for compensation, so that Form 2 is accepted as a request for paymentof compensation for damage caused by natural disaster, provided that theGovernment of the Republic of Slovenia decides to use funds for eliminatingthe consequences of damage in agriculture for the disaster that is the subject ofthe damage assessment.4 AJDA DEVELOPMENT AND UPGRADING4.1 AJDA 2006The bulk of administrative work is performed by municipalities. AJDA’s developmenthas been based on the provision of assistance to municipalities bymeans of a user-friendly application.In 2006, we proceeded with developing AJDA, which was originally conceivedas a conventional crop-damage assessment web application. Our intention wasto eliminate the identified deficiencies by upgrading the application. The upgradetook into consideration the strategic orientations of the Ministry of PublicAdministration, user proposals and the established linkage with public legalrecords. AJDA was directly connected to the Register of Agricultural Holdings(RAH), kept by MAFF, with a view to identifying ownership and avoiding duplicationof data. RAH provides information about claimants for compensation(KGM-MID, given name, family name, unique personal identification number,address, municipality of residence and GERKs (GERK no., area of individualGERKs).In this way, control has been established over KGM-MIDs and GERKs.AJDA users log into the local application (smart client), which is transferredand/or updated from the web address http://ajda.sos112.si. ACPDR approvesuser registration, opens individual loss events and enables data entry to themunicipalities and regions that have received ACPDR’s decision to initiate assessmentof damage.45

APPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TO PROPERTY - AJDADescription of the procedure:Users log in by means of a password that grants them various rights, accordingto user level. AJDA basically comprises three levels of users:— The first level of users includes the municipal committees that input the dataprovided by claimants for compensation and form printouts. After the expirationof the time limit for input of data, the forms are automatically transferredto the regional commission level. Municipal committees are not authorised tomodify the data and are only allowed access.— The second level includes regional damage-assessment committees, whichhave the authorisation to correct data relating to the assessment of damageand data reviewing and processing for their own regions, to printouts ofconsolidated lists (by municipality, crop culture, type of disaster, loss event,type of damaged facility, etc.). After the expiration of the time limit for datainput, the forms are transferred to the national committee level. Regionalcommittees are not authorised to modify the data and are only allowedaccess.— The third level represents the national committee for assessment of damage.At this level, data from all forms are examined and processed for the entirecountry: the committee may open any form and check, for example, the recordedquantities of gravel on the road against the real situation, examinedata inputs on regional and municipal levels, and print out consolidated lists(by region, municipality, crop culture, type of disaster, loss event, etc.).A description of a partial execution of the procedure is provided below:— Municipal committees use Form 2 to assess the damage to crops reported byclaimants for compensation.— Municipal committees start to input Form 2 information in AJDA. The datamay be input simultaneously by up to 100 municipalities.— On entering the KMG-MID of claimants for compensation in AJDA, thefollowing data are transferred from RAH: name and surname, tax ID no.— All GERKs of claimants for compensation and the crops comprised (142crops) are printed out.— The municipal committee enters the data about damaged crops, the percentageof damage and the area of damaged crops.— AJDA shows the damage for each crop separately.— AJDA prints out the names of members of the municipal committee.— Form 2 is printed out from AJDA.— The form modifies the levels by date.46

ANA JAKŠIČ— The forms are kept by the municipality in electronic or paper form, dependingon the structure of its organisation. ACPDR archives the data in electronicform only.— The data are transferred to AAMRD in digital form.Thunderstorms, hailstorms and drought affected crops in as many as 161 municipalitiesin 2006. The damage was estimated at EUR 59,546,289.90 involving22,118 claimants for compensation. The data were first processed by computeron the basis of registers, which were then handed over to AAMRD in writtenand digital form. There was no further need to enter data separately, which hadbeen the earlier practice at AAMRD. This also shortened the time necessary forpreparation of a damage-elimination programme. Municipalities, region andgeneral government thus had immediate access to indicative information onthe extent of damage on a community level.4.2 AJDA 2007AJDA was basically designed for entering 8,000 forms. However, the numberof forms entered in the system in 2006 was almost three times this number. Inupgrading AJDA, we also took into account suggestions by the Association ofMunicipalities and Towns of Slovenia. A new client-server application was setup, particularly due to the poor and slow access of municipalities to the Internet.The upgrade of AJDA in 2007 comprised, in particular, two new solutions:— prior to entering the data for Form 2 on a community level, ACPDR entersdata about damaged crops and the maximum percentage of damage in AJDAon the basis of reports submitted by regional committees. This prevents entryof undamaged crops and unrealistic damage percentage data;— municipalities may print out all forms at the same time.4.3 AJDA 2008In order to enable assessment of damage by a single application, we upgradedAJDA by an integral module for assessing damage to property in 2008. With aview to reducing the possibility of errors, we linked the module to the followingelements of the database of the Surveying and Mapping Authority of theRepublic of Slovenia (SMARS):— the Register of Spatial Units (streets, addresses, house numbers, post offices);— the Land Cadastre (lots, lot parts);— the Building Cadastre (information about buildings).47

APPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TO PROPERTY - AJDAEntry of data is also enabled on a municipal level for Forms 1, 3, 4 and 5. Thedatabase also includes prices list for:— average construction price by type of building;— original average prices for the assessment of partial damage on buildings;— groups of works for assessment of damage to transport infrastructure;— original average prices for the construction of distribution lines;— average prices by group of works in electricity power network.SMARSFigure 1: Connection diagram of AJDA with databases and users5 APPLICABILITY OF AJDA FOR USERS AND COMPETENTINSTITUTIONSGeneralA. Prior to introduction of AJDA— Data was entered manually both at MAFF and MESP.— Claimants for compensation reported damage for each thunderstorm separatelyand ACPDR had no access to the records of damage previously damage.— Claimants for compensation with recognised 100% damage (total loss ofcrops) could also obtain a subsidy in addition to compensation, and couldsell the same crops (e.g. hops) with the Slovene Quality Certificate.48

ANA JAKŠIČB. After the introduction of AJDA— The output database is transferred electronically to MAFF and MESP accordingto a protocol agreed in advance.— On opening a new request for the current year, AJDA displays the informationabout the claimant’s earlier requests if any.— Due to the connection with other registers, claimants cannot receive fundsfrom several sources for the same crop. This was the underlying concept ofAJDA since the European Commission allows only a one-off state aid to bepaid to claimants.Assessment of damage to crops prior to and after introduction of AJDAA. Prior to introduction of AJDA— It was left to the claimant for compensation to choose the crop, the crop yieldand the percentage of damage to be reported. Claimants for compensationreported maximum damage for all crops, and municipal committees did notverify the reported information during the assessment and later, prior to harvest,and entered the information as given in AJDA.— Prior to entering the information in AJDA, claimants for compensation filledin the claimant information in Form 2 themselves; this information mostlyproved to be incomplete, illegible and inaccurate. Municipal committees enteredthis information in consolidated lists and sent these lists to the competentACPDR branch together with Form 2, and the ACPDR branch consolidatedthe information received on a regional level and submitted it to ACPDR.Simultaneous reporting of damage to the same crop in several municipalitieswas made impossible.— The list of members of damage-assessment committees was kept manually.B. After the introduction of AJDA— The introduction of a loss-event based list of damaged crops and the settingof a maximum damage limit have prevented undamaged crops and an unrealisticassessments of the extent of damage from inclusion.— All claimant data and all damaged crop areas are now displayed on the basisof KGM-MID.— Information about municipal committee members is entered in AJDA, allowingit to be printed out on the forms and permitting an overview of trainingand issued IDs.The process of acceptance and processing of Form 2 also provides for a printoutof compensation claimant data on official forms and a printout of variousconsolidated lists (by claimant, crop, disaster type, and municipality).49

APPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TO PROPERTY - AJDAAssessment of damage to property prior to and after introduction ofAJDAAssessing damage to property is more complex since it requires the use of severalforms (Forms 1, 3, 4 and 5) and prices list . The prices list for the originalaverage prices for the assessment of partial damage on buildings for Form 4alone cover several hundred pages or 1,000 items.A. Prior to introduction of AJDAClaimants for compensation filled in the claimant information in Forms 1, 3, 4and 5 themselves; this information mostly proved to be incomplete, illegibleand inaccurate. In particular, damage calculations were incorrect since activitydescriptions and prices other than those laid down by the compulsory priceslist had been used. Municipal committees entered the information about damageassessment contained in individual forms in consolidated lists and sentthese lists to the competent ACPDR branch together with Forms 1, 3, 4 and 5.The ACPDR branch consolidated the information received on a regional leveland submitted it to ACPDR.B. After the introduction of AJDAThe connection with the Register of Spatial Units allows AJDA to display correctaddresses of claimants for compensation. Municipal committees have beenlimited to recognising equal costs for the same type of damage. This and theuniform prices list have enabled accurate damage calculations.AJDA also displays the names of the members of municipal and regional committees.The system of accepting and processing the forms provides the following features:— printout of a compensation claimant’s data on an official form, including thecompensation claimant’s correct address and accurate assessment of damage,— printout of consolidated lists (by compensation claimant, by form, by addressof compensation claimant, by type of building, and by type of constructionwork).Various printouts for various usersA wide range of printouts, as shown partly by Figure 2, is available only at themunicipal committee level. An overview of the damage shown in a particular50

ANA JAKŠIČform may also be classified by address of compensation claimant, by address ofthe building and by request reference number.Figure 2: Examples of possible municipal-level printouts.On 13 and 14 July, and 8, 15 and 16 August 2008, thunderstorms with heavy rainand hail caused extensive damage to property, particularly to roofs of buildings.As many as 27,716 forms were entered in AJDA, of which 22,586 for the15/16 August 2008 thunderstorm alone. A number of municipalities enteredover 1,000 forms and one municipality more than 5,000. Without AJDA’s support,this large quantity of forms could not have been processed within therequired time limits. An overview and control of these forms would also havebeen ineffective without AJDA. Table 4 presents a printout on a regional level.51

APPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TO PROPERTY - AJDATable 4: Regions that suffered damage on 15 and 16 August 2008Name of region1 Dolenjska Region2 Ljubljana Region3 Podravje Region4 Pomurje Region5 Posavje Region67Eastern ŠtajerskaRegionWestern ŠtajerskaRegionTOTALTotal Form 1 Form 3 Form 4 Form 5No. of claims No. of claims No. of claims No. of claims No. of claimsDamage Damage Damage Damage Damage145 0 0 45 100215,283.15 0.00 0.00 38,458.96 176.824.1924 9 0 0 15213,729.13 21,647.29 0.00 0.00 192,081.8413,705 0 0 13,517 18839,023,733.98 0.00 0.00 38,428,703.28 595,030.703,745 0 0 3,638 1076,894,979.46 0.00 0.00 6,675,613.81 219,365.65508 84 0 298 1252,536,357.61 833,561.00 0.00 1,189,333.40 513,463.211,506 0 2 1,308 1962,912,438.38 0.00 70,725.03 2,606,182.36 235,530.992,954 183 45 2,595 1315,791,376.76 1,109,878.60 367,823.68 3,395,343.05 918,331.4322,586 276 47 21,401 86257,587,898.44 1,965,086.89 438,548.71 52,333,634.86 2,850,628.01AJDA processes the input data and provides statistics on, for example, damagedroof coverings in a particular region (Table 5). This information was of greatassistance to the Slovenian National Building and Civil Engineering Institute inpreparing their assignment “Damage due to thunderstorms in 2008 – analysisof the situation following the latest thunderstorms and proposed short-termand long-term measures”.Table 5: Type of damaged roof covering in Pomurje RegionPomurje Region Number DamageBD01 – Roof covering / Ridges and hips 283 24,821.28BD02 – Roof covering / Covering – tile covering 344 203,877.59BD03 – Roof covering / Covering – cement roof covering 51 17,608.90BD04 – Roof covering / Covering – “Salonit” and “Eternit”roof covering295 188,276.32BD05 – Roof covering / Covering – Tin roof covering 23 64,888.71BD06 – Roof covering / Covering – Other materials 73 180,063.28BD07 – Roof covering / Snow guards 3 1,080.81TOTAL 1,072 680,616.89Electronic transfer of data to MAFF and MESPThe output database is transferred electronically by MAFF and MESP in accordancewith the Government’s decision following approval of the final assessmentof damage to crops or property.52

ANA JAKŠIČPrior to introducing AJDA, data was entered manually both at MAFF andMESP.Storage of dataWorking data is accessible to users for a particular year under review. On openinga new request for a particular claimant for compensation, AJDA displays theinformation about the claimant’s earlier requests, if any.Transparency of dataOwing to the control of data provided by other institutions, no other state aidwas granted to claimants for compensation that suffered 100% damage fromhail i.e. total loss of crops, and at the same time sold, say, hops with a SloveneQuality Certificate and even received a subsidy for this purpose. Claimants forcompensation who suffered damage to crops of less than 30% were also deniedstate aid, although some large fruit producers received as much as EUR1,000,000 in aid in the past. The European Commission permits a one-off aidpayment to claimants hit by disaster.Innovation and savingsAJDA provides a uniform solution for all municipalities, uniform processing ofrequired forms, a reduction of data processing errors, makes obtaining data exofficio redundant, provides better communication between the general governmentand local communities, a friendlier and uniform working environment toits users, a centralised system of monitoring requests by municipality and procedure,and the same and regular updating of information for all user levels.AJDA is user friendly and offers a range of types of processing and printouts ofinput data. This has reduced costs on the general government level since thereis no need to for MAFF and MESP to duplicate data input. Data is transferredby MAFF and MESP electronically. The costs of developing AJDA were repaidas early as the first year of its production – the use of the application made theinput of requests by AAMRD redundant since all data had been provided in theform of an XML file. Moreover, input of data by MESP was no longer necessary,and there was no need to hire students to do this job. The cost of postage wasreduced by 30–40%. Savings are also reflected in the reduced costs of productionof the application for data input by AAMRD and MESP, since this data isalready acquired by ACPDR. This enables a faster preparation of programmesfor eliminating consequences of natural disasters and, at the same time, contributesto accelerating the disbursement of state aid to claimants.AJDA also supports enhanced transparency of damage assessment.53

APPLICATION FOR ASSESSING DAMAGE TO CROPS AND DAMAGE TO PROPERTY - AJDACooperation and building of partnershipsAlongside the legislative provisions, suggestions by MAFF, MESP and the Associationof Municipalities and Towns of Slovenia have been taken into considerationin AJDA’s development. The database was built in cooperation withMAFF and SMARS.AJDA connects databases across state administration, including databases fromthe Register of Agricultural Holdings, the Surveying and Mapping Authority ofthe Republic of Slovenia (Register of Spatial Units, Building Cadastre, etc.).AJDA has significantly contributed to improving the effectiveness and efficiencyof public administration and ensuring the cooperation of several bodies,since other institutions have also benefited from various application data:MAFF, MESP, the Tax Administration of the Republic of Slovenia, the StatisticalOffice of the Republic of Slovenia, the Chamber of Agriculture and Forestry, theAssociation of Municipalities and Towns of Slovenia, the Environmental DevelopmentFund of the Republic of Slovenia (Eco Fund) and the Institute for theProtection of Cultural Heritage of Slovenia.6 SUMMARYAJDA’s development began in 2006. It was originally designed as a tool forassessing damage to crops only. The upgrade of AJDA in 2008 also allowedthe assessment of damage to property. Municipalities can enter the damagereported by claimants for compensation: assessment of damage to agriculturalland on Form 1, assessment of damage to crops on Form 2, assessment of damageresulting from destruction of buildings on Form 3, assessment of damageto buildings on Form 4 and damage to civil engineering facilities on Form 5.Damage is calculated using approved prices list . AJDA has the following advantages:— AJDA is very simple to use;— AJDA has significantly reduced the number of errors in calculating damage;— AJDA allows various printouts on the level of municipalities, regions and generalgovernment;— Data already entered need not be re-entered by MAFF and MESP;— Time and money is saved because of a shorter procedure;— Data may be used by several institutions at the same time;— Data verification is guaranteed, which facilitates traceability of input data;— Further upgrades and easy archiving of data are possible;— Unauthorised receipt of state aid is prevented.54

ANA JAKŠIČSOURCES AND BIBLIOGRAPHY1. Decree on Damage Assessment Methodology.2. Procedural Rules for Assessment of Damage Caused by Natural and Other Disasters2008, ACPDR, A. Jakšič.3. Protection Against Natural and Other Disasters Act.4. Removal of Consequences of Natural Disasters Act.5. Rules of Procedure for Regional Committees for Assessment of Damage Caused byNatural and Other Disasters 2008, ACPDR, A. Jakšič.6. Tender documents 1/2005 ACPDR.7. Tender documents 1/2007 ACPDR.8. Tender documents 1/2008 ACPDR.55

CHANGE MANAGEMENT IN THE NOVO MESTOADMINISTRATIVE UNITJože PRESKAR, Zdenka BAJUK, Nevenka OREHEKAdministrative unit Novo mestoue.novomesto@gov.si1 INTRODUCTIONThe Novo mesto Administrative Unit (NMAU) is one of fifty-eight (58) administrativeunits in the Republic of Slovenia. According to the methodology ofthe Ministry of Public Administration, it is classified as one of a group of largeadministrative units with more than 50,000 inhabitants. It operates in the areaof eight communities: the municipality of Novo mesto and communities of DolenjskeToplice, Mirna Peč, Straža, Šentjernej, Škocjan, Šmarješke Toplice andŽužemberk, in which there are a total of 64,000 inhabitants in 329 settlements.Within NMAU there are 87 employees organised in four organisation units:the Internal Administrative Affairs Section (IAAS); the Environment and SpatialPlanning Section (ESPS); the Social Activity, Economy and Agriculture Section(SAEAS) and the Joint Affairs Service (JAS). In 2001, a quality management systemwas established according to the ISO 9001:2000 standard, in 2003, self-assessmentunder the CAF model was performed, and in 2006 and 2007 NMAUparticipated in the PRSPO quality-assessment project. NMAU ranked among thefinalists and was awarded first a bronze diploma and then a silver.In accordance with Slovenian public administration policy and strategy, stateadministration must be well organised. The organisation of work must be flexibleand capable of quick response to developments in the environment, sinceservice-users expect efficient and high-quality services. Creating indicators andmeasuring efficiency has already become an established part of administrationin the private sector, whilst they are also becoming increasingly establishedin the public sector and state administration in connection with the introductionof quality criteria such as effectiveness, economy and productivity. We certainlycannot and should not directly transfer the concepts of efficiency measurementfrom the private to the public sector, since there is a big differencein performance indicators. In state administration, legality, equality before thelaw, access to services on an equal basis, justice, protection of rights of parties,protection of the public interest, etc. are of crucial importance and thus the criteriamust be harmonised also with these, less measurable parameters.In state administration, there is much knowledge in the field of law and administration,but not enough knowledge in other fields such as project man-

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNITagement, communication and conflict management, work organisation, planning,information technology, etc. that must essentially have an impact on theintroduction and management of changes and quality of work, efficiency andeffectiveness.NMAU participated in the project entitled Renovation of Operation of AdministrativeUnits, which standardised administrative processes and still plays an activerole in the working group on administrative unit efficiency. Participation inthe projects mentioned and business excellence obliges us to regularly followthe quality system and review business excellence, efficiency and effectivenessand to introduce new improvements. In its operation, NMAU implements theprovisions of the Rules on Quality and the Business Plan and other implementingacts. Measurement of efficiency and productivity calls for quality data onthe results achieved and the resources used in planned tasks. At the nationallevel, not all comparable indicators on the operation of administrative units areavailable, and consequently, it is not possible to compare effects and achievementsamong administrative units in the Republic of Slovenia for a longer periodof time. In this area, improvements have been identified in recent years.The SPIS 1.45 application has contained a list of administrative units (AU) andother administrative tasks (OAT) with norms since 2004. SPIS 1.45 shows theadministrative statistics for individual administrative proceedings, for each activityand for the entire administrative unit on a monthly basis and for the entireyear. This is an important contribution to determining efficiency. The secondand very important part of information to determine efficiency was preparedby NMAU itself. Under the records of the use of working time (absence andpresence records-APR), we established a record of hours used only for administrativeprocedure management. These are called effective hours. We preparedtables using Excel to calculate planned hours and efficiency for individual workareas at the level of the workplace and at the level of internal organisationalunit. In addition to other quality indicators, these calculations of efficiency arean excellent tool or a basis for evaluating work performance of employees(monthly performance, annual assessment), planning tasks, organising workand distributing staff.The determination of efficiency in NMAU dates back to 2004 and a presentationat the 11 th professional consultation on modern aspects of operational andorganisational analysis, which was organised by the Union of Economists ofSlovenia, Business Analysis Section, in 2005 in Portorož.This contribution shows how changes are governed and managed with thehelp of monthly monitoring of efficiency and performance in NMAU and whatthe effects have been. The information is taken from internal documents inNMAU.58

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEK2 MANAGED CHANGES IN ADMINISTRATIVE UNIT NOVOMESTOFor the preparation of a monthly business plan and objectives, a precise analysisof environmental expectations, available staff, competences and capacityas well as available financial and material resources is necessary. Measurableand realisable objectives must be in line with all resources. A key question ishow to plan and realise and monitor objectives when continuous changes in awider society and in the state administration are enacted. How effectively andefficiently are changes managed?2.1 APPROACH TO A SOLUTION AND SHORT DESCRIPTION OF DEVEL-OPMENTIn NMAU, a method of targeted management (planning and monitoring annualgoals) was introduced in 2001 and has been improved and adjusted to change.Changes in regulations, the increasingly high requirements and expectationsof users of our services and changes within the administrative unit over theseyears as described below have certainly had a strong impact on NMAU.Large annual fluctuations of the number and structure of applications asshown in Table 4 force us to prepare and adjust the organisation of workpractically every year during the preparation of the annual plan. Long-termpractice showed that internal organisations and job classifications cannot bechanged solely on the basis of comparing certain statistical data. Comparisonof the number of settled cases and the number employed or the number of resolvedcases per employee for a certain work area within a certain period hasnot provided data of sufficient quality. For the purpose of qualitative planning,the solution of administrative matters and other administrative tasks andplanning of objectives (at workplaces, by type of activities, in organisationalunits and at the level of administrative units) and the preparation of qualityannual plans, an in-depth analytical approach is indispensable. NMAU has developeda system of quality, using calculations of efficiency at three levels: atthe level of employees, at the level of work area and at the level of internalorganisational units. NMAU began to develop and use the method immediatelyafter the publication of the list of administrative procedures (AP) andother administrative tasks (OAT) including the norms, in the SPIS 1.45 Codetables. Continuous improvements have been made over several years of use,the most recent this year.59

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNIT2.2 IMPLEMENTATION OF THE SOLUTION IN PRACTICE2.2.1 Efficiency calculationThe efficiency of employees, a group or an organisation unit is calculated andmonitored on a monthly basis and annually on specially prepared forms. Amodel (approach) is designed in such a way that employees calculate efficiencyfor themselves and heads of internal organisation units for internal organisationunits. By transferring statistical data on resolved cases to tables, the calculationis practically completed and consequently does not result in a greater lossof time. The calculation of efficiency is based on:1. precise analysis and knowledge of staff potential (number and structure ofemployees, their competences, distribution, authorisations, etc.) and recordsof the hours performed by employees. Data on staff is regularly updated in theMFERAC program and in administrative unit staff records. Data on workinghours and absences is recorded daily in the program for verifying absence andpresence (PAP) in NMAU, which is structured by type of absence and intentionto use the working time. Records and the program facilitate examination ofall levels (employees, internal organisation units, administrative units) anddifferent time periods (day, month, and year).2. list of administrative procedures (AP) and other administrative tasks (OAT)including norms that were published by the Ministry of Public Administrationin the SPIS 1.45 Code Tables.3. statistical data published on a monthly basis and for the entire year for typesof administrative procedures, by activities and for the entire administrativeunit. These statistics include important data (backlogs, time required forresolving cases, appeals etc.) that is urgent for monitoring the performanceand achieving certain objectives.The effect of an employee (U 1) is the sum of the standardised hours to solveadministrative cases and other administrative tasks in a determined time period(∑nu 1) divided by the actually used hours for resolving these cases, which wedesignated as effective hours (eu 1).U 1= ∑ nu 1: the effect (U 1) may differ. 1 ≤ U 1< 1The effect of the group of employees (U s) is the sum of standardised hours forthe resolved administrative cases and other administrative tasks within a determinedtime period (∑nu s) divided by the actually used hours to solve thesecases and effective hours (eu s).U s= ∑ nu s: eu sthe effect (U s) may differ: 1 ≤ U s< 160

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEKExamples of calculations are in NMAU documents.The capacity utilisation of a group (IZ s), department (IZ o) and administrativeunit (IZ ue) depends on the capacity utilisation of employees (IZ 1) and is correlatedwith the efficiency as described in Table 1.Table 1: Capacity utilisation of employees with regard to achieved effectCapacity utilisation of employees (CU)CaseEffectCapacity of anemployee (IZ 1)Capacity of a group(IZ s)Capacity of a section(IZ o)Capacity of anadministrative unit (IZ ue)A U < 1 – not used– there are reservesfor sure– not used in group– in group as a whole,there are reserves– Case A,B or Cmay appear withemployees of agroup– not used in section– in section as awhole, there arereserves– Case A,B or Cmay appear withemployees of asection– not used in AU– in AU as a wholethere are reserves– Case A,B or C mayappear with sectionsand employeesB U = 1 – mostly used– reserves are possible– mostly used ingroup– reserves in groupare possible– Case A,B or Cmay appear withemployees of agroup– mostly used insection– reserves in sectionare possible– Case A,B or Cmay appear withemployees of asection– mostly used in AU– reserves in AU arepossible– Case A,B or C mayappear with sectionsand employeesC U > 1 – used– small reserves– used in group– reserves in groupare small– Case A,B or Cmay appear withemployees of agroup– used in section– reserves in sectionare small– Case A,B or Cmay appear withemployees of asection– used in AU– reserves in AU aresmall– Case A,B or C mayappear with sectionsand employeesCalculations of efficiency and analysis showed all the examples stated in Table1. The difference in capacity utilisation among employees, groups and internalorganisation units were enormous in some cases and consequently reorganisationwas started immediately after analyses were complete.2.2.2 Performance of employees and internal organisation unitsPerformance of employees is monitored, analysed and evaluated on a monthlybasis according to the criteria for determining a part of salary for regular workperformance in NMAU, which include knowledge and professionalism, qualityand accuracy, attitude to work and means of work, scope and efficiencyand innovation. In monthly evaluation of work performance for determining apart of salary for regular work performance according to the criteria laid downin Article 31 of the collective agreement for the public sector, the definitions61

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNITof average and above-average work performance are taken into considerationwhere average work performance means the expected working results, whichhave already been evaluated in the basic salary. The above-mentioned criteriaand definitions of work performance are published on the Internet and havebeen used since 1 December 2008. The performance of internal organisationalunits and administrative units is analysed and evaluated on a monthly basis andon the basis of reports on implementing the Business Plan. An integral part ofthe report is a tabular and graphical presentation of certain important data bymonth for administrative units and internal organisational units in addition toother goal-achievement indicators.2.2.3 Implementation of organisational changesIn order to manage changes, all data, correctly analysed at the appropriate time,and used in combination with the most important data on employees who createthese results, are relevant.The effectiveness and efficiency of an administrative unit depend particularlyon the effectiveness and efficiency of each of the employees (their capacities,satisfaction and efficiency), as well as the competences of management in managingthem, leading them and organising their work.Organisational changes based on efficiency and effectiveness analyses graduallyimprove results. The difference in efficiency among co-workers and internalorganisational units is reduced. An equal workload for individuals in internalorganisational units is provided. This is carried out by means of calculation ofthe necessary number of officials to solve a specific number of administrativecases and other administrative tasks in the planned period.The number of officials (NO) for a work area and/or for internal organisationunits is calculated in such a way that the amount of norm hours for theplanned number of administrative cases and other administrative tasks (∑NU) is divided by an annual average number of working hours per employeeintended for resolving these cases, which are designated as effective hours(Aeh/employee).When taking into consideration the annual number of 2,125 hours per an employeeand 80% average annual presence of employees, the average annualnumber of effective hours per an employee amounts toAeh/employee = 2125 x 0.80 = 1,700 hours/employee.NO = ∑ NU : Aeh/employee, and/or NO = ∑ NU : 1,70062

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEKThe calculation of the necessary number of officials is precise enough and reliablefor taking decisions on organisational changes, as has already been provenin our current practice and presented in cases.Case 1: In 2009, it was planned that the Environment and Spatial Planning Section(ESPS) would solve 2,028 cases according to specific assessment procedures,for which 34,465 norm hours and 674 other administrative tasks wouldbe required, for which an additional 1,335 norm hours would be required givinga total of 35,800 norm hours. When preparing the plan in November 2008,the calculation indicated that the ESPS must be reinforced in terms of staff. Foran average annual efficiency in the ESPS, U o= 1.0, we obtain the necessary numberof officials.Number of officials = 35,800: 1,700 = 21.05, rounded to 21 officials.Twelve officials worked in the ESPS at the time of the calculation. The calculationindicated a deficit of nine officials. Based on analysis in other internalorganisational units, we concluded that on 1 January 2009, only four officialscould be transferred to the ESPS and these would have to be first trained in conductingthe relevant administrative procedures. Thus 16 officials are plannedfor 2009 in the ESPS. The share of resolved cases (Src) that can be achieved by16 officials during regular working hours and in cases so that the average annualefficiency of a section Uo≥1 is calculated:Src = (∑Peu x Uo): NU, ∑Peu = 16 x 1,700 = 27,200 hours,∑Peu is a total of planned effective hours to resolve all administrative casesWith Uo = 1.00: Src = (27.200 x 1,00): 35,800 x 100 = 75.98 – rounded 76%With Uo = 1.20: Src = (27.200 x 1.20): 35,800 x 100 = 91.17 – rounded 91%On the basis of past experience, it was determined that the ESPS in 2009 wascapable of achieving Uo = 1.20 and solving 91% of cases. In the first six months,the efficiency in the ESPS has been greater than 1.00 (average 1.17), and thereforeit can be expected that the set objective (Uo = 1.20) will be achieved, oreven exceeded.Case 2: This comparative analysis includes administrative procedures betweenthe ESPS and the SAEAS) in the period from 1 January to 31 August 2008, madebecause of the transfer of staff. This was sent to the Employment RelationshipAppellate Commission as an enclosure to an official’s appeal against a decisionon the transfer to another work post. The commission rejected the appeal andthe arguments from the previous analysis prevailed. In Table 2, we collecteddata from the stated analysis and compared them with ESPS and SAEAS.63

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNITTable 2: Comparison of the number of cases under consideration and the necessaryhours for ESPS and SAEAS in the period from 1 January to 31 August 2007Ref.No.Organisation unitNumberof administrative casesNumberof foreseen hours1. ESPS 1,030 22,7622. SAEAS 1,579 6,667ESPS/SAEAS relationship 0.65 3.41Table 2 shows that the comparison of the number of cases under considerationis not sufficient for taking decisions on the organisation of work but itis necessary to calculate the number of working hours with a view to solvingthe received cases. In ESPS, fewer applications were received than in SAEAS;however, 3.41 times more time was needed for their solution than for the applicationsreceived in SAEAS in the same period. Such findings suggest a needfor organisational changes. Internal transfers of staff with appropriate educationand qualification need to be transferred from SAEAS to ESPS, as was alsocarried out in a specific case. Our decision on the transfer was thus grounded,legitimate and urgent.The analytical approach to governance and management that is demonstratedin the above cases enables at least three solutions:1. we adjust objectives to the planned scope of tasks and available resources;2. we adjust resources and organisation of work to the planned scope of tasksand3. we adjust the organisation of work and objectives to the planned scope oftasks and available resources.The planned scope of tasks for a specific period (month, several months or ayear) is defined in the annual Business Plan on the basis of statistical data fromthe past year and forecast changes in the environment. Sources and objectivesare determined in the AU Business Plan, and that is why they are not stated indetail in this contribution.Management and administration of changes are conducted according to theDeming Cycle: plan, do, check, act, while also observing the specific conditionsof state administration. This is shown in Table 3.64

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEKTable 3: Management and administration of changes in AUAnalysis of situationand planning(Plan)Introduction of changes(Do)Monitoring effectsand changes(Check)Introductionof improvements(Act)Scope of tasks:– administrativeprocedures– otheradministrativetasks– professionaltechnicaltasksAvailable resources:– staff– finances– technical meansObjectives:– planned– achievedUsers’ expectations:– kindness– professionalism– speed of resolutionExpectationsof employees:– work loads,– motivation– co-operation.1. We do not change theorganisation of work, we adjustthe objectives to the existingorganisation and resources2. We adjust the organisationof work and supplement theresources to the plannedobjectives3. We adjust the organisationof work and objectives to theavailable resourcesOn the basis of monthly and annualreports, we monitor and analysethe situation of all indicators andimplement the objectives, inparticular:– number of appeals toadministrative decisions,– decisions at the second instanceand Constitutional Court,– number of resolvedadministrative cases.– number of backlogs,– time for resolving cases,– costs of operation,– absence of employees,– efficiency of employees,– satisfaction of customers (qualitybarometer),– satisfaction of employees(meetings),– professional training,– change introduction programme.We also analyse the reasons foreventual deviations from the planand adopt an improvement actionImplementationof improvementaction plan no. 1Implementationof improvementaction plan no. 2Implementationof improvementaction plan no. 3The most frequent is the third solution, which is adjustment of the organisationof work and objectives to the available resources i.e. staff, finances and spatialand other technical conditions. Management of staff is closely connected tofinancial resources. The costs of salaries represent 70% to 80% of all administrativeunit costs; consequently, urgent attention should be paid to managementand administration as well as introduction of changes in this segment.Key resources such as staff and finances cannot be changed and adjusted withthe same dynamics as changes which occur in the environment, particularlyduring the present crisis when the limitations in the area of employment anduse of budget funds are stricter. We respond to the requirements of the environmentwith greater efficiency, which can be achieved with internal organisationalsolutions such as:— rationalisation of work processes,— internal transfer of tasks,— change of internal organisation and job classification as well as transfer ofemployees or— a combination of several of these solutions.65

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNITThis can be designated as organisational flexibility based on all co-workers.In the light of experience, we have to agree with many theoreticians that thegreatest attention should be paid to the treatment of people at all stages ofthe preparation and implementation of organisational changes, otherwise thesolution will not succeed. Changes do not usually happen because managementand employees wish them to, but because they are triggered by externalinfluences, which are understood by some people as pressures. It is clear thatfor every action (change), there is a reaction. It is quite understandable that acertain number of co-workers will oppose the introduction of changes, andtherefore changes must be introduced on the basis of argument (based on analyticaldata), gradually and in co-operation with co-workers.In the case of case NMAU, this is particularly the conduct of administrativeprocedures i.e. professional work, and consequently we have to analyse thoroughlythe distribution of staff, their competences, workload, eventual obstaclesat work and use of working time. Based on these analyses, we preparenew, optimal organisational solutions, which must offer better results. Thechanges are introduced during the time that is most appropriate for employeesand users. Normally, this is the beginning of the business year. Immediatelyafter the introduced organisational change, management must monitorall processes and if necessary offer help to individuals. After six months, it isof vital importance to make a first analysis and impact assessment of changes,and after one year to finally assess the approach and the impacts of thechanges introduced and to prepare possible improvements. The procedureof adjustment of the organisation of work and objectives is carried out ineight steps:1. monthly and annual monitoring of efficiency and effectiveness of individualemployees and internal organisational unitsWe calculate the effects of individual employees or groups and/or internal organisationalunits that provide a basis for optimal daily delegation of tasks andpreparation of all plans by means of statistical data, standards and records ofworking time – effective hours for a certain period.2. Analysis of the past monthly, semi-annual and annual periodsA thorough analysis must answer the following questions: What are the tasksand how many tasks have been carried out? Which have not been carried outand why? Who implemented them and how? Have all the objectives beenreached? What is the gap between the planned and achieved objectives? Whatis the atmosphere among the co-workers? What is the user satisfaction? Wheredid overloads occur and where are the reserves noted? What organisationalchanges may contribute to better results?66

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEK3. Preparation of a plan for organisational changes and/or an annual plan aswell as determining objectives with regard to the planned scope of tasks andavailable resourcesThe plan is based in particular on the calculation of efficiency, findings fromanalyses from the previous period and available resources: employees, financialresources, spatial possibilities and information technology. It must result inan optimal setting of objectives.4. Preparation of organisational change programmeThe organisational change programme includes identified performers of taskand deadlines for preparation, consideration, adoption and introduction of organisationalchanges.5. Co-ordination of the planned change programme with co-workersCo-ordination with co-workers is carried out gradually (in the draft phase andin the proposal phase) at working meetings and depends on the planned organisationalchange requirements. The trade union that has the possibility ofdelivering its opinion and comments must be notified of the planned changes.6. Elaboration and adoption of organisational change programmesThe proposal is considered and harmonised at the meeting of the head of theadministrative unit and adopted by the head of the administrative unit. Communicationis sent to all employees and changes are published in the intranet.7. Introduction of organisational changesThe management in co-operation with co-workers provides for the implementationof the programme of planned changes.8. Monitoring the effects and approaches to introduced changesThe effects and approaches to introduced changes are monitored by co-workers,heads of internal organisation units, the head of the administrative unit and inmeetings through SPIS 1.45, monthly reports and meetings. Everybody can makecomments and propose improvements that are also gradually introduced.In NMAU, the following organisational changes were carried out using this approach:1. Two sections were merged.A merger of the General Administration and Economy Section (GAES) with theAgriculture, Forestry and Food Section (AFFS) into the SAEAS was carried out67

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNITdue to the changed scope and structure of tasks and the inappropriate managementof AFFS. A new manager was appointed for managing a new merged section.Preparation for adoption of a programme for change was carried out in thesecond half of 2005 and the changes were introduced on 1 January 2006. Theeffects of the change have been positive, since more is being done to a higherstandard with fewer employees in this section and with a lower number of performedeffective hours, as the achieved results in the annual reports show.2. Transfer of employees from one section to another.Due to the reduced scope and structure of tasks in the three working areasof SAEAS, four employees were gradually transferred from this section to theESPS, where the scope of tasks had continuously increased. Transfers weremade gradually and in compliance with employee legislation. The first transferwas realised on 1 September 2007. The reasons for transfer are stated undercase 2. A transfer of two officials was made on 1 March 2008 and then the transferof one more official on 1 January 2009. We adjusted the organisation to thestructures and the scope of tasks in other areas. In 2009, three officials weretransferred to the ESPS, one from the Internal Administrative Affairs Sectionand two from the Joint Affairs Service.The responses of co-workers to the proposed and introduced changes wereexpected and differed significantly. Since all the stated changes bring morepositive than negative effects, they were well accepted by the majority of coworkers.The most negative response was expressed among certain transferredco-workers because changes such as: the change of the head of the section,transfer to another section, assumption of new, more demanding tasks, etc.3. In two local offices, business time and working hours as well as organisationof work were harmonised.In 2008 and 2009, business time and working hours were adjusted to the scopeof tasks which has decreased in recent years due to changed regulations in 11local offices. The use of working time at a local office intended for servicingcustomers was low, since it amounted only to 27% in 2007 and 29% in 2008.The rest of the available time was intended for carrying out other administrativetasks that can be performed at the local office, particularly for the extensivetransfer of data from central registers to the electronic central register. Whenthe transfer of data was in its final phase, we adjusted the business time andworking hours at the local office to meet the needs of residents. In 2008, businesstime and working hours were reduced at all local offices. This year threelocal offices were eliminated.In all cases, during the preparation of the organisational change programme, efficiencycalculations that indicate the workload of individuals and internal or-68

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEKganisational units were significantly helpful. An example of the calculation of theworkload of two internal organisational units is shown in Table 2. This calculationwas used as evidence in an appellate procedure initiated by a transferredofficial. The Staff Commission of the Government of the Republic of Sloveniarejected the appeal and confirmed the decision concerning the transfer. Whenintroducing changes at a local office, the decisions were supported with analysesprovided to community mayors and the Ministry of Public Administration.2.3 RESOURCES NECESSARY FOR APPLYING THE SOLUTIONIn order to apply the described solution, no additional personnel, financial,technical and other resources are necessary. All the activities are carried outaccording to the quality management system with the NMAU’s own staff andknowledge within the framework of annual budget funds. Reports, calculations,analyses and their considerations with co-workers are carried out according tothe annual Business Plan.2.4 APPLICABILITY OF THE SOLUTION FOR OTHER PUBLIC ADMINIS-TRATION INSTITUTIONSAs all the administrative units in the Republic of Slovenia are confronted withsimilar external impacts on operations and have available the same applications(SPIS 1.45, MFERAC), we assess that the described approach of establishingefficiency as a basis for introducing changes can also be used by other administrativeunits.The solutions described could also be used in other bodies of public administration,provided that they have a list and temporal norms of all tasks.3 MEETING THE CRITERIA FOR THE ASSESSMENT OF THEPROPOSED SOLUTION3.1 CONTRIBUTION TO THE IMPLEMENTATION OF THE LISBON STRAT-EGY OBJECTIVESThe presented practice of management and administration of changes viaefficiency and effectiveness analysis contributes to a more efficient and consequentlyless costly and more user-friendly state administration. It is worthnoting that, after the presented approach, several demanding organisationalchanges were made that contributed to the optimisation of operation that isreflected in the operational results presented below.69

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNIT3.2 INNOVATIONA project on efficiency of administrative units has been under preparation forseveral years in state administration, but activities have been halted. The listof tasks and prestandard-norms is available. The Quality Improvement Committeeat the Ministry of Public Administration, in which the head of NMAUparticipates, became acquainted with the further activities and solutions in thisproject which would enable quicker processing of data for analysing the situationand taking decisions concerning the management and governance of anadministrative unit.The presented original solution is appropriate for different time periods, dealswith different organisational levels, and provides a quick, professional and economicalresponse to changes in the environment.3.3 OPERATION RESULTSDuring the period from 2004 to 2008, the management of NMAU administeredand presented organisational changes in the unit by monitoring effectivenessand efficiency. The results achieved are shown in Table 4. As is evident fromthe table, better results have been achieved in spite of great changes in thenumber and structure of administrative cases and other administrative tasks. Inmaintaining an equal share of resolved (increasingly demanding) matters, anda significantly increased number of other administrative tasks resolved, the followinghas been noted: the number of appeals, the use of effective hours andadministrative costs for each resolved case have been reduced; the satisfactionof employees is slightly lower and the satisfaction of customers (by annual surveyand barometer) has increased.3.3.1 Results among customersThe assessment of customer satisfaction (scale 1–5) according to the annualresults of the survey is higher every year (Table 4, Graph 1). The evaluationsof quality assessment (scale 1–5) which have been published on the e-governmentwebsite since May 2006 are increasing on average. Table 4 shows only theassessments for December. From the records of entries to the book of remarksand commendations and expressed commendations in person it is evident thatthe share of expressed commendations is in increase and amounts to over 80%.It is evident from the statistical records (SPIS 1.45) that the time for solvingcases has reduced and the number of backlogs dropped. The percentage ofcustomers who were considered first is on the rise and is evident from theanalysis of results of the annual customer survey.70

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEKAssessmentOcenaYearDosežena Assessment ocena of customer zadovoljstva satisfaction strankGraph 1: Presentation of achieved level of satisfaction of customersin the period 2001–20083.3.2 Results among employeesThe satisfaction of employees has slightly decreased during the period of introductionof organisational changes. In 2004, the estimate of satisfactionamounted to 3.92 (scale 1–5) compared with 3.60 in 2008, despite organisationalchanges, transfer of staff and extraordinary conditions resulting from theintroduction of the new pay system. Special satisfaction in connection with theorganisational changes made was expressed by co-workers at meetings and inyearly interviews. The employees understood the need for monitoring of efficiencyand it became an integral part of monthly reporting. Regular monitoringof efficiency has an impact on better use of working time and a better overviewof the efficiency of individuals.3.3.3 Results in societyMonitoring efficiency is, as already stated, of great interest to other administrativeunits and other state bodies. The analysis of assessment of satisfaction ofservice suppliers and providers with NMAU services and the co-operation ofour administrative unit with state and other bodies indicates that the achievedaverage assessment of satisfaction is 4.8 (scale 1–5) showing a high level ofsatisfaction. Positive stories and comments on the operation of NMAU are alsonoted in the media and in public.3.3.4 Key results— In spite of the essential structural change of cases under consideration andthe fact that in the past years, the number of specific assessment procedureswas increasing and the number of reduced procedures which are shown inEU annual reports is decreasing, the share of resolved administrative casesexceeds 97% , as shown in Table 4.71

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNIT— A reduced number and share of appeals was achieved, as shown in Table 4and in Figure 2.— The share of confirmed decisions of NMAU at the second stage has exceeded68%, as shown in Table 4.— The number of resolved administrative matters and other administrative taskshas increased while the number of effective hours has decreased, as shown inTable 4 and Figure 3.— The costs per resolved administrative case, as shown in Table 4 and Figure 4,decreased in 2006 compared with 2005 from EUR 109.84 to EUR 91.44 afterthe merger of the GAES with the AFFS in the SAEAS. In 2008, costs slightlyincreased (to EUR 95.00) due to certain extraordinary conditions, such ashigher costs for salaries resulting from the introduction of the new pay systemand the elimination of a part of pay disparities, alongside price increase inmaterials, services and energy, which could not be prevented.— Administrative costs (salaries, material costs and investments) were reducedby EUR 35.235 in 2006 compared with 2005 because of the reorganisation, asshown in Table 4. In the following years, the administrative costs followed theinflation rate and the change in the pay system.Number of appealsYearTotal number of all appeals during the reporting periodGraph 2: Presentation of joint number of all appeals in the period 2004–200872

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEKTable 4: Results of NMAU operation in the period 2004–2008Ref.No.Description 2004 2005 2006 2007 2008numbersharein %numbersharein %numbersharein %numbersharein %numbersharein %1 2 3 4 5 6 7 8 9 10 11 121.total number of administrative casesunder consideration32,827 100 21,452 100 25,401 100 28,002 100 26,767 1002.total number of resolved administrativecases32,27298.31(2/1)20,96397.72(2/1)24,79897.63(2/1)27,42597.94(2/1)26,06697.38(2/1)3.the number of unresolvedadministrative cases5551.69(3/1)4892.28(3/1)6032.37(3/1)5772.06(3/1)7012.69(3/1)4.total number of all appeals during thereporting period1370.42(4/2)122 0.58(4/2)1170.47(4/2)940.34(4/2)860.33(4/2)5.total number of resolved cases at thesecond stage1350.40(5/2)1220.58(5/2)1270.51(5/2)1000.36(5/2)610.23(5/2)6.the number of confirmed decisions ofNMAU at the second stage9268.1(6/5)9577.9(6/5)8566.9(6/5)6464.00(6/5)4268.85(6/5)7.the number of resolved otheradministrative cases58,004 83,863 121,754 113,516 103,3808. used effective hours 152,732 147,089 141,146 140,266 134,7639.administrative costs (salaries + materialcosts + investments and investmentmaintenance)2,206,916 2,302,645 2,267,410 2,328,342 2,476,64710.administrative costs per resolvedadministrative case EUR/resolved case68.38 109.84 91.44 84.90 95.0011. satisfaction level of employees 3.92 3.82 3.82 3.60 3.6012.satisfaction level of customers afterannual survey(estimate 1–5)4.17 4.20 4.26 4.56 4.5913.satisfaction level of customers acc. tobarometer at the end of December/ / 4.43 4.66 4.7373

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNITNumber of cases and effective hoursYearNumber of resolvedadministrative casesTotal number of all appeals during the reporting periodNumber of resolvedother administrative casesUsed effective hoursGraph 3: Presentation of received and resolved cases and use of effective hours inNMAU in the period 2004–2008Number of resolved casesCost for each resolvedcase in EURYearThe number of resolved administrative casesCosts per resolved administrative case in EURThe number of resolved other administrativecasesGraph 4: Number of resolved cases and costs per resolved NMAUadministration case in the period 2004–20083.4 CO-OPERATION AND BUILDING OF PARTNERSHIP RELATIONSHIPThe co-operation of NMAU in several different working groups contributedsignificantly to the solutions presented in the administrative unit: in the projectgroup for computerisation of administrative units, which operated in theperiod 1996–2000 at the Government Centre for Informatics; in the Quality ImprovementCommittee, which started operation in 1999 at the Ministry of the74

JOŽE PRESKAR, ZDENKA BAJUK, NEVENKA OREHEKInterior and currently operates at the Ministry of Public Administration; in theworking group for the preparation of the list of administrative procedures andother administrative tasks, which has operated at the Ministry of the Interiorsince 2001 and still operates at the Ministry of Public Administration; in theworking group for determining the efficiency of administrative units, whichstarted to work in 2003 at the Ministry of the Interior and still operates at theMinistry of Public Administration; in the working group for determining theefficiency of inspectorates of the Republic of Slovenia, which operated duringthe period 2006–2008 and in which NMAU started active partnership workyears ago. Co-workers from all internal organisational units worked periodicallyin the above working groups (on description of processes, preparationof the list of tasks, determination of time use, etc.) and this was very useful inintroducing the aforementioned changes.Teamwork and the partnership relationship among co-workers were based onconstructive criticism and propositions, which contributed significantly to theimprovement and applicability of our solution. The NMAU also used the experiencegained in the group for determining the efficiency of inspectorates ofthe Republic of Slovenia.A number of other administrative units showed interest in the NMAU’s solutions(Ljubljana, Velenje, Ilirska Bistrica, Krško, Trebnje, Kranj, Koper, Metlika,Črnomelj).3.5 SUSTAINABLE QUALITYIn the presentation of the solution, the comprehensive and active co-operation ofemployees over a number of years was mentioned several times. The proactiveinvolvement of management has been transferred to the majority of co-workers.It can be stated with certainty that new solutions based on monitoring efficiencymust not be abandoned and that quality and excellence in NMAU have a reliablefuture when supported by the majority of co-workers, as seen from the meetingdiscussions, yearly interviews with co-workers and employees’ survey results.4 CONCLUSIONAs elsewhere, a constant feature in the state administration is changes. In recentyears in the work of administrative units, frequent and large changes have beencaused by amended rules, changes in the environment, greater expectationsof users, etc. We can establish that external changes happened faster than expected;therefore, we had to find new flexible solutions for managing the internalorganisational changes, with a view to adjusting to the changed externalrequirements.75

CHANGE MANAGEMENT IN THE NOVO MESTO ADMINISTRATIVE UNITThe contribution presents a method for managing changes in NMAU basedon the quality system, in particular on regular monthly monitoring of the efficiencyand effectiveness at all levels, at the level of employees and at the levelof internal organisational units and administrative units.Monthly calculation and monitoring of efficiency is an important integral part ofthe management and administration of the operation in NMAU, facilitating rapidand flexible adjustment to changes. It also provides a basis for planning and preparingthe annual Business Plan, determining measurable objectives, monitoringbusiness processes, determining internal organisations and job classification, thedistribution and delegation of tasks and the implementation of necessary changesin the operation and management of staff and other resources. It further providesa basis for taking decisions in connection with the introduction of preventiveand curative measures and other activities to improve operation. It is a tool forconducting yearly interviews, assessing the performance of employees and takingdecisions on promoting employees. On the basis of monitoring data on theachieved efficiency, the employees themselves receive feedback on the achievedeffectiveness and opportunities to improve the results of their own work. Thework in NMAU has established that the management of changes cannot be of sufficientquality on the basis of data on the number of resolved cases per official orper employee, but a wider, thorough and analytical approach is required.In practice, it is shown that the reorganisations of internal operation carriedout in NMAU were timely and effective because of thorough monitoring andanalysing of the efficiency of co-workers and internal organisation units. Organisational,staff and other changes could be prepared and grounded on thebasis of data supported with efficiency calculations and implemented with theaforementioned management approach.The analytical approach presented is original and is appropriate for managingchanges in administrative units, in particular in crisis situations when there isa need to perform more and better with limited resources, without causing additionalcosts. The results achieved after the introduction of changes have beendescribed. The change-management approach that has been proven in NMAUcould, with minor adjustments, also be introduced in other state bodies.SOURCES1. Aplikacija SPIS 1.45 (Application SPIS 1.45).2. Poslovna dokumentacija UE Novo mesto (Poslovnik kakovosti, Poslovni načrti,Poročila o delu UE in drugi interni dokumenti) (Business documents of Novo mestoAU (Rules on Quality, Business Plan, Report on the Work of the AU and other internaldocuments))76

NATURE CONSERVATION ATLASMartina KAČIČNIK JANČAR MSc, Matej PETKOVŠEK,Mirjam GALIČIČ PhD, Matej SIMČIČInstitute of the Republic of Slovenia for Nature ConservationTilen SMOLNIKAR MSc, Roberto DEGANLjubljana Urban Institute1 INTRODUCTIONWell organised nature conservation related data are of great importance innature conservation and nature conservation activities. The development ofnature conservation in Slovenia caused a significant increase in the amount ofsuch data. With new legislation adopted after 1999, the scope of the term “natureconservation” was extended beyond natural heritage to cover valuable naturalfeatures and biodiversity. In legal terms, new mechanisms for protectingand managing areas important for nature conservation have been introduced.In Slovenia, various institutions are engaged in nature conservation. Natureconservation policies, strategies and legislation are developed by the Ministryof the Environment and Spatial Planning. The Environmental Agency of theRepublic of Slovenia (EARS) and administrative units handle administrativeprocedures. The Institute of the Republic of Slovenia for Nature Conservation(IRSNC) is a public expert organisation engaged in recording and assessingnature, monitoring its status, directing the use of space and activities affectingnature by preparing nature conservation guidelines; it also carries out maintenanceand reconstruction works on valuable natural features and preparesexpert opinions. Numerous expert and scientific organisations and other nongovernmentalorganisations participate in gathering and evaluating data onbiodiversity and its status. All these institutions use existing nature conservationdata in their work and many also produce new data. The wide use of natureconservation data makes their maintenance and accessibility very important.The IRSNC has recognised the necessity of efficient management of nature conservationdata and the problems caused by disorderly databases; for that reason,a decision was taken to build an information system for managing natureconservation data within the framework of the LIFE III – Nature project “Natura2000 in Slovenia – Management Models and Information System”, specifyingthat such a system was to be transparent and easily accessible to experts andthe general public.

NATURE CONSERVATION ATLAS2 MANAGEMENT OF NATURE CONSERVATION DATA BE-FORE THE INTRODUCTION OF AN INFORMATION SYS-TEMIn Slovenia, the management of nature conservation data has a rich history. Inrespect of natural heritage, so-called record sheets were introduced as early asthe mid-20 th century. They contained data on individual items of natural heritage,including a cartographic representation and a photo. In the 1980s and1990s, most of these record sheets were digitised. Data on individual itemshave always been kept separately. Attribute data have been transferred to differentMS Access databases, while cartographic data have been kept in the .shp(ESRI) format. Legislation concerning nature conservation adopted at the endof the 1990s envisaged data collection and record keeping on biodiversity componentsin addition to these data.Besides basic data on biodiversity and valuable natural features, the processof nature conservation also includes a large amount of other data. In the past,data on direct (protected areas, contractual conservation) and indirect (natureconservation guidelines) nature conservation measures were collected in adispersed manner. Likewise, data on the monitoring of the status of valuablenatural features and biodiversity and data on maintenance works carried out innature were not kept in appropriate records. The introduction of managementplans for protected areas and Natura 2000 sites is expected to generate an extensivenew dataset from the management field. The quantity of data linked tonature conservation has been increasing steadily over the past decade.The IRSNC databases used to be kept at regional level. EARS is responsible forkeeping records of areas important for the conservation of biodiversity (Natura2000 sites, EIA), records of protected areas and records of valuable naturalfeatures; for that reason and prior to their transfer to ARSO, regional databaseswere merged together, which caused an additional workload and was a sourceof potential errors. EARS and IRSNC employees used and processed the samedata layers and worked with data copies, which they subsequently exchanged,generally by way of electronic data media (CDs and floppy disks beforehand).Data on individual nature conservation subjects were kept in separate databasesand were not of a uniform configuration and form. Separate keepingof graphic and attribute data presented a significant difficulty. A great amountof work was duplicated, and the quality of data became questionable becausethere were data versions that differed between both organisations and individualregional units within the IRSNC. Maintenance of data was time consumingand ineffective. Before the analysis of expert data was conducted, individualsections of databases had to be merged; when legal acts were amended, extensivedata reviewing and updating were required, as well as mutual coordina-78

MARTINA KAČIČNIK JANČAR MSC ET AL.tion. The existing methods of data collection, storage and distribution were nolonger adequate.3 NATURE CONSERVATION ATLAS: NEW ORGANISATIONOF NATURE CONSERVATION DATAAll the problems described above, notably the increased quantity and diversityof nature conservation data, led to the idea of setting up a single database. Theemployees of both organisations would have simultaneous access to the database,which was to include a variety of data in a uniform format; at the sametime, the public would also have easy access to the same database (taking accountof the provisions of the Aarhus Convention, national legislation and theINSPIRE 1 initiative). This was expected to indirectly improve the performanceof public servants and to facilitate and speed up the procedure for providingpublic information.Within the LIFE III – Nature project: “Natura 2000 in Slovenia – ManagementModels and Information System”, lasting a total of three years (from January2005 to December 2007), the IRSNC started to regulate and resolve issues concerningthe efficient management of Natura 2000 2 sites. One of the project’sobjectives was to prepare a “Natura 2000” geographic information system, ornature conservation atlas. EARS was not the original project partner and joinedthe project later because of the linked work processes and data flows betweenthe IRSNC and EARS. The information system was developed by the LjubljanaUrban Institute (hereinafter: contractor).Basic premises of the information system design were:— good practice rules, not related to actual data, which have to be observed bya geographic information system (Šumrada, 2005a; Šumrada, 2005b; Tomlinson,2003; Burrough, McDonnell, 1998);— experience gained by managing existing databases;— requirements of future users of the information system.1INSPIRE is a European Commission initiative. Its aim is to build European spatial data infrastructurewhich will provide users with a comprehensive information service concerning spatialplanning.2Natura 2000 is a European network of ecologically important areas defined pursuant to theBirds Directive and Habitats Directive. The entire system is dedicated to the preservation of habitatsof international importance and animal and plant species. Natura 2000 sites in individualEU Member States are selected pursuant to uniform criteria and make up a joint network whichprovides a basis for the cross-border protection and conservation of natural heritage.79

NATURE CONSERVATION ATLASThe leading idea was to build a modern database in which all nature conservationdata produced, collected and distributed by the IRSNC and EARS would bestored. Data were to be arranged transparently, allowing easy access for specialistservices and the public, as well as management, over the Internet andwere to allow for the required analyses. All data must have a standardised metadatadescription.A major aim in building the information system was to include functionalitieswhich would improve the linking-up of data and, consequently, ensure moreefficient data use. These functionalities are:— the capacity to collect and maintain combined spatial data;— the capacity to link geo-referenced location and descriptive data;— the capacity to perform vector area and network analyses and raster modellingthrough data layer overlap;— the capacity to display geo-referenced special data (Smolnikar, 2008).The architecture of the information system is designed to comply with the followingrequirements: linkability, flexibility, possibility of upgrading, stability,transparency, accessibility and interoperability. The system can be linked withother existing applications and databases, and allows for adding data from otherorganisations through web services or by copying data to the database. Itfeatures a modular design and allows future upgrading with additional datasets. The user interfaces can be adjusted to the users and their tasks (Smolnikar,Kačičnik Jančar, 2008).The information system is managed centrally and works in the intranet/internetenvironment. It is composed of a production and distribution environment, andan additional test environment ensures smooth functioning of new applications.The information system has a web-based graphical user interface for reviewingand managing data; its functionalities adjust to the needs of particular datasets.Within the framework of developing and setting up the information system,a user interface (named Nukleus) was developed; it is available at www.naravovarstveni-atlas.si.Because of tradition and identification, it has preserved thename of the old version of the nature conservation atlas (EARS), while in termsof substance and functionality it has entirely replaced and far surpassed theprevious one. The information system succeeded in arranging a large quantityof data so as to store each individual piece of data only once and arrange andgroup all data into logical datasets. Considering the task to be performed and/orsubject to be viewed, users can choose among the following profiles 3 : Valuable3A particular profile shows in detail one of the sets of nature conservation data for Slovenia whilealso enabling access to other datasets. The profile is composed of different pre-determined andprepared subject layers.80

MARTINA KAČIČNIK JANČAR MSC ET AL.Natural Features (NV), Natura 2000 sites (NATURA), Ecologically ImportantAreas (EPO), Protected Areas (ZO), Habitat Types (HT), Protection Measures(UV), Nature Conservation Guidelines (NS) and Opinions-Consents.Because of a large quantity of data and for better transparency, the NatureConservation Atlas displays data in four profiles which can be accessed bypublic and internal users (profiles differ in the level of detail and range offunctionalities):ProfilenameNATURAEPONVZOUsed by the public (public access)− geographical display of Natura 2000 sites− general data on individual sites− policies and regimes in Natura 2000 sites− data on qualification species and habitat types− photographs of most qualification species andhabitat types− geographical display of ecologically importantareas− general data on individual areas− policies and regimes (*.pdf)− geographical display of valuable natural featuresin Slovenia− data on valuable natural features from the Ruleson the designation and protection of valuablenatural features− policies and regimes (*.pdf)− geographical display of large and small protectedareas− general data on individual protected areas− regulations concerning protection, includingpolicies and regimes (*.pdf)Used by employees (internal access)− all information under Public access− additional data on species and habitat types− all information under Public access− information about species and habitat typesoutside particular areas− status of the area− all information under Public access− status of valuable natural features (input and/ormanagement through the web)− management of all attributes through the web− data on resources providing a basis for thegraphics− data on newly proposed and modified valuablenatural features− all information under Public access− data on resources providing a basis for thegraphics81

NATURE CONSERVATION ATLASIn addition, internal users (IRSNC employees) also have access to four profileswhich enable them to carry out specialist work through the Internet:ProfilenameProfile contentUsed by employees(internal access)Specific featuresUV− geographical display of areas in whichother protection measures apply− general data on individual areas− textual section of individual protectionmeasures, i.e. contracts (*.pdf)− access to leasecontracts− link to other datasetsNS− geographical display of areas inrespect of which nature-conservancyguidelines have been drawn up− general data on individual areas− information about the instruments forwhich guidelines have been drawn up(including *.pdf)− preparation of data fordrawing up guidelines− web input of graphic andattribute section of guidelines− web management of attributedata on individual guidelines− data entry from ArcGISHTOpinionsconsents− geographical display of habitat typeareas− geographical display of the Natura2000 sites, ecologically importantareas, valuable natural features andprotected areas− geographical displayof habitat type areas− quick search ofinformation forthe preparation ofopinions− updating of layer app. oncea year 4− allows only data reviewing,not managing− cross-sectioning of natureconservation content withother spatial data allowedWhen entering the Nature Conservation Atlas, users select a profile or contentand a three-fold display shows (Picture 1): map viewer (A), attribute section (B)and communication section (C).Picture 1: Appearance of the Nukleus graphical interface4In Slovenia, the mapping of habitat types is carried out progressively, consequently updating isdone periodically.82

MARTINA KAČIČNIK JANČAR MSC ET AL.The map viewer offers a spatial display of selected content. Users can adjustthe content scope of displayed data by switching the auxiliary layers availablein the communication section. By selecting a button on the right edge of theviewer, the user can access different additional information (on the project, onthe selected layers, measurement of distance/surface area, zoom in/out…) andhelp. The user can enlarge the map viewer to full screen size.The communication section enables the display of auxiliary layers, searchingby different criteria, display of information about selected layers, display oflegends and switching between active profiles.Picture 2: Communication section (presentation of content of individual tabs).In the attribute section, the user can access all records in the selected profile.For example, the attribute section of the NV profile (valuable natural features)shows all valuable natural features in alphabetical order and detailed informationabout the selected valuable natural feature. The user can limit the set ofrecords by predefining a range of criteria (i.e. category/type of area, regionalIRSNC unit, habitat type) or by entering the name/code of the area, in part or infull, in the search window.83

NATURE CONSERVATION ATLASPicture 3: The attribute section comprises a panel of all records in the selected profileand detailed information about the selected record accessible through the tab headers.The Nature Conservation Atlas allows the printing of a map with legend informationand selected attribute data and the generation of a picture in .JPEG format.Printing and digital generation of a picture is enabled by an additional module.The databases and software are installed on hardware at EARS; this producesmajor savings in terms of purchasing software licenses, maintenance and humanresources. The Nature Conservation Atlas is a complex user-friendly informationsystem which is easy to navigate because of the Nukleus interface.4 DATA IN THE NATURE CONSERVATION ATLAS: TARGETPUBLIC AND ORGANISATIONData in the Nature Conservation Atlas are intended for IRSNC and EARS professionals,the expert public, administrative entities (mainly municipalities andadministrative units) and the general public. Through the Atlas, the user hasfree access to public data on nature conservation and to a vast scope of otherspatial data, i.e. land cadastre and house numbers (source: Surveying and MappingAuthority of the Republic of Slovenia), actual agricultural land use (source:Ministry of Agriculture, Forestry and Food), data on water bodies (source: Institutefor Water of the Republic of Slovenia), etc. Users can utilise data forvarious inquiries and manipulation; they can print the current view or save it asan image file. IRSNC employees use the information system to draw up natureconservation guidelines, opinions and other expert materials, and to manage,correct and amend data contained in different layers.All the above features are possible because the data model has been built progressivelyand professionally. Before the project started, the following objectiveswere set:84

MARTINA KAČIČNIK JANČAR MSC ET AL.— to prepare an overall analysis of data and work processes and to develop, onthis basis, a comprehensive data model for managing nature conservationdata;— to transfer all existing data to a new database;— to draw up procedures and rules for permanent updating of the database.The first and very important phase in building the information system was athorough analysis of the existing situation, including an analysis of existing databaseswith a precise definition of their interconnections, an analysis of thecode tables and in-stock values, an analysis of processes between individualdatabases and an analysis of used data and the requirements of database users.The key factor in the implementation of this phase was excellent ongoingcooperation between the IRSNC and the contractor; continuous availability ofboth parties was assured for the duration of the cooperation. Reverse engineering,where the new system derives from a pre-existing and functioning one,was used by the contractor in the analysis. IRSNC employees participated intesting the information system; they also attended educational workshops toprepare them for independent work.In cooperation with the contractor, planning rules 5 were established before thenew data structure was designed:— data remain arranged in seven existing datasets (NV, Natura, EPO, ZO, HT, UV,NS);— tables linking several datasets and the common code tables are organised separately;the same applies to external databases;— tables and fields are structured and named according to rules (with the exceptionof the Cntrys tables in the Natura dataset with a structure set by theEuropean Commission);— according to their type, tables are classified in four categories: graphic, attribute,code and relational;— all graphic layers use a unique field identifier (ID); attribute data are recordedin various relational tables.Based on these rules, the existing data were transferred to a central database;their display in eight profiles is enabled by the Nukleus interface through theInternet. One of the outstanding qualities of the Nature Conservation Atlas is itseasily accessible nature conservation data (through the Internet).5Other more “technical” rules were also established but are not relevant to this text.85

NATURE CONSERVATION ATLAS5 NATURE CONSERVATION ATLAS APPLICABILITY ANDINNOVATIONThe information system was completed in December 2007 and was thoroughlytested by IRSNC and EARS employees in the first two months of 2008; sinceMarch 2008, it has been available to the public (professionals, administrationand general public) at www.naravovarstveni-atlas.si. Visitor numbers to thewebsite have increased rapidly. At present (July 2009), there are approximately3000 website visits and over 50,000 website inquiries and other actions permonth.In the data overview and databases analysis phase implemented prior to thedevelopment of the information system, data were uniformly arranged and thestructure of tables was standardised so that at present the data structure is adequateand prepared for potential integration with other systems; the structurealso allows for the interoperability between individual datasets. The informationsystem of modular architecture facilitates simple upgrading and/or addingnew modules which might prove necessary to meet user needs.A very useful option for IRSNC employees is the possibility of direct input ofthe status of valuable natural features recorded during a field visit. Functionalityhas been developed which allows employees to print out a specificationlist directly from the Nature Conservation Atlas before a field visit; the list providesthe basis for a successful and comprehensive review of a valuable naturalfeature. Thus, a single form and a set of data collected by employees duringfield visits are ensured. When additional funds are obtained, computer inputof data directly from the field will be made available. This feature is alreadyfunctioning in a test environment and needs to be implemented in practice.In drawing up nature conservation guidelines for particular areas, employeesenter relevant geographic and attribute data from the Nature Conservation Atlasin the database. Thus, all employees of the Institute have one-stop-shop accessto graphic and content displays of areas in respect of which the guidelineshave been prepared; this enables the examination of work already done andprevents duplication of work. Another very useful tool that can also be usedby public users is a “cross-section” displaying any area with the entire relevantnature conservation content and other layers; with a few clicks on the plot, thistool enables the user to determine the exact nature conservation content. Allthese functions also assist employees in their preparations for field visits. Somecontent items are displayed as photographs; printouts of protection regimes,policies and acts concerning protection can also be obtained.In contrast to the old method of managing nature conservation data, the newsystem provides:86

MARTINA KAČIČNIK JANČAR MSC ET AL.— a single database of nature conservation data which replaces several databases;— a one-stop-shop for all nature conservation data (centrally managed);— simultaneous access to data by the IRSNC, EARS and the public;— a user-friendly environment (numerous tasks can be carried out over the Internet);— the updating of existing and input of new nature conservation content via theInternet;— public preview and spatial unit status before planned activities;— transfer of data and forms from the Nature Conservation Atlas;— easy updating owing to its modular architecture;— one system for all types of users (public users, IRSNC employees, analysts).To facilitate the work of public users, website instructions for working with theNature Conservation Atlas are available. Internal users have detailed writteninstructions for working with all demanding functionalities in the internal profilesavailable on the server; they can also communicate with the administrator,who receives comments/proposals and helps eliminate potential problems.The administrator is available to provide help to all users, public and internal,via e-mail.6 CONCLUSIONSThe Nature Conservation Atlas information system was built to optimise workprocesses at the IRSNC and EARS involving nature conservation data and toprovide the public with better access to such data. In building the informationsystem, a thorough analysis of the current status of nature conservation databaseswas of key importance.The strengths of the information system can be seen at the level of data, as wellas at the level of hardware and software, work processes and human resources.The modular structure of the information system enables future upgradingwith new modules when the need arises. It will only be possible to assess theeffect of building and introducing the information system after a longer periodof use.We have developed the solution in the way we envisioned it. We believe that theinformation system works well in practice and serves the purposes and aims setbefore the work began; nevertheless, improvements are always possible.Because of its complexity and scope, the design and implementation of an informationsystem represents a demanding task for any organisation in terms87

NATURE CONSERVATION ATLASof human and, in particular, material resources. It is therefore reasonable fororganisations to network on major projects such as setting up and maintainingthe information system for managing a variety of spatial data. Additionalfunding for setting up the information system was obtained from the Europeanproject “Natura 2000 in Slovenia – Management Models and InformationSystem”. In terms of cost, the building of such system was too expensive for asingle small organisation such as the IRSNC. In view of the overall complexityof the information system, we must not overlook the fact that the system is notfinal; it allows for further upgrading and adding of new content. For its unhinderedfunctioning, the information system must be supported by a qualifiedteam for its initial installation and subsequent maintenance.We seek to introduce the Nature Conservation Atlas to the widest circle of professionalsand the general public. To this end, we attend professional meetingsand conferences dedicated to the management of spatial data, where oursolution was generally recognised as an example of good practice in terms oforganisation of data as well as potential upgrading and/or linking with othersimilar systems.For an organisation such as the IRSNC and for the society at large, the NatureConservation Atlas is of great importance. Its functionalities signify a shift towardsthe information society and increased efficiency of our organisation.The setting up of the information system demonstrates that as a public entitywe make every effort to provide quality and professional services in a transparentmanner.SOURCES AND BIBLIOGRAPHY1. Burrough, P. A., McDonnell, R. A. (1998): Principles of geographical information systems.Oxford University Press. Oxford. 333 p.2. Kaj je pomembno pri uvajanju IT rešitev, 1. in 2. del. http://www.askit.si/clanek_meseca_2_07.asp,http://www.askit.si/clanek_meseca_4_07.asp (16.07.2009)3. Nature conservation atlas. http://www.naravovarstveni-atlas.si4. Petkovšek, M., Kačičnik Jančar, M., Galičič, M. (2008): “Naravovarstveni atlas” – theSlovenian information system for nature conservation. Bridging the gap: Respondingto environmental change: from words to deeds: 63-65.5. Smolnikar, T. (2008): Izgradnja geografskega sistema Natura 2000. Magistrsko delo.Univerza v Mariboru, Fakulteta za organizacijske vede. Kranj. 80 p.6. Smolnikar, T., Kačičnik Jančar, M. (2008): Zasnova geografskega informacijskegasistema za upravljanje z naravovarstvenimi podatki. Varstvo narave 21: 125-135.7. Šumrada, R. (2005a): Tehnologija GIS. Fakulteta za gradbeništvo in geodezijo. Ljubljana.330 p.88

MARTINA KAČIČNIK JANČAR MSC ET AL.8. Šumrada, R. (2005b): Strukture podatkov in prostorske analize. Fakulteta zagradbeništvo in geodezijo. Ljubljana. 284 p.9. Tomlinson, R. F. (2003): Thinking about GIS: Geographic information system planningfor managers. ESRI Press. New York. 283 p.89

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILES2 CONCEPT OF COMPUTER-ASSISTED TAX INSPECTIONIn the case of inspection with ACL software, the tax inspector captures the taxableperson’s data for inspection in electronic form (files) and transfers the informationto his or her personal computer for further processing. Data processingcan involve any electronic data of taxable persons, most often the following:general ledger, record of deductible VAT, record of VAT charged, data onelectronic cash registers, supply records, goods records, etc. Taxable personsusually submit data to the inspector on a storage device (CD, DVD, USB flashdrive), or the inspector can directly connect to the taxable person’s database byusing his or her PC. Data capture is followed by conversion into ACL files (definitionof logical properties of the file, definition of fields, deletion of surplusdata, etc.) used for analysis and verification with the commands and tools integratedinto ACL (separation of records of the highest value, data addition, dataclassification, search for duplication and missing data in a series of records,logical reviews, mathematical analysis, statistical analysis, etc.) The review resultsmay be displayed on screen or stored in a file or printed out on paper. Ifneeded, an inspection of the original bookkeeping documents or other bookkeepingand tax records is performed on the basis of the review results. ACLalso enables a quick and simple comparison of the data given by the personinspected by DURS or other official data (e.g. comparison with data from theregister of taxable persons, with data from the Customs Administration of theRepublic of Slovenia (CURS), with VIES data) as well as cross-comparison withthe data of other taxable persons.Taxable person'saccounting systemThe with a record fromthe general ledgerFile with a record fromVAT deductedFile with a record fromVAT chargedOther electronic data ofthe taxable personInspector's PCImport and definitionof the taxable person'sfiles in ACLElectronic data fromDURS on the taxableperson or data fromother sourcesTaxable person'sdata analysis in ACLReview of bookkeepingdocumentsFigure 1: Computer-assisted tax inspection flowchart92

RAJKO HADJARACL software therefore enables the capture of the original electronic bookkeepingdata of the taxable person, which are then turned into the form needed forfurther processing and analysis.EXAMPLE OF THE TAXABLE PERSON’S GENERAL LEDGER IN ELECTRONIC FORM(test data)EXAMPLE OF THE TAXABLE PERSON’S GENERAL LEDGER CAPTURED IN ACLEXAMPLE OF DATA ANALYSIS IN ACL (ADDITION OF GENERAL LEDGER ACCOUNTS)Figure 2: Example of capture, transformation and analysis of original bookkeepingdata of the taxable person in ACL2.1 TECHNICAL PROPERTIES OF ACL SOFTWAREACL software properties:— simple to use in Windows;— also suitable for users with average computer skills;93

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILES— integrated data analysis functions (integrated tools for classification, gradingby class, inspection of missing data and duplications in a series of records,indexation and grading by key, separation of relevant data from mass data,data filtering by different keys, statistical analysis, sampling, etc.)— unlimited size of databases examined;— capture of different database types (simple and relational databases, tablesfrom MS Office, COBOL, AD 400, SAP, dBASE, XML, etc);— capture of databases from different sources (access to databases througha network, local disc, CD or tape drive or ODBC drivers directly from theserver);— direct access to SAP/R3 enterprise software (possible direct SAP inspection);— audit report and audit trail generation (tools for creating reports on screen,printing them out or storing them in a separate file, including graphicrepresentations of the review results);— inability to modify the original data processed (read only);— direct access to and import of databases in the form used by the database ownerfor its business (while preventing the database owner from manipulating thedata).2.2 ADVANTAGES OF USING ACL SOFTWAREIn ACL software, all the benefits must be taken into consideration, for DURS aswell as for taxable persons: their value should be seen beyond the tax subsequentlycharged in the course of tax inspection:— more wholesome and effective inspection, faster and simpler work forinspectors, increased automation of the work process;— increased amount of documents inspected and examination of risk documents(instead of choosing them randomly);— additional methods of inspection enabled by computer technology(classification of data by category, adding up data, separation of items ofhighest value, exclusion of negative values, use of filters, search for duplicationand missing data in a series of records, statistical analysis, sampling, linkingdatabases of the taxable person with DURS databases, etc.);— faster and more accurate identification of irregularities;— reduced audit/inspection risk (reducing the “tax gap”);— reduced burden on the part of the taxable person (quick and simple submissionof electronic data to DURS);— better image of DURS among taxable persons (modern work methods,electronic data submission, etc.);— preventive effect on taxable persons (integrating tax protection mechanismsin the taxable person’s accounting system, encouraging taxable persons to94

RAJKO HADJARuse internal control of electronic data in order to test the accuracy of their taxreturns, etc.);— following the European Commission recommendations related to taxinspection.2.3 LEGAL BASIS FOR COMPUTER-ASSISTED TAX INSPECTIONThe legal basis for such tax inspection is Article 38 of the Tax Procedure Act (Ur.l. RS [Official Gazette of the Republic of Slovenia], Nos 117/06, 24/08-ZDDKIS,125/08 and 20/09 – Zdoh-2D; hereinafter: ZDavP-2): the latter stipulates thatpersons liable for tax that use electronic data processing shall, at the request ofthe tax authority, provide a printout from their electronic books of account andrecords in the form of structured standard computer files so as to enable simpleelectronic data processing.2.4 PROBLEMS IN COMPUTER-ASSISTED TAX INSPECTIONIn Slovenia, as in other EU Member States, one of the major difficulties of computer-assistedtax inspection is the provision of taxable persons’ electronic recordsto the tax authority. The variety of taxable persons’ accounting software(different file formats, diverse file content, data scattered in several relationalfiles, etc.) results in a demanding and lengthy process of capturing a taxableperson’s data and then transferring and converting them onto the inspector’sPC. As for taxable persons, such inspection may also mean a significant workloadand a heavy financial burden, because it requires them to provide theirelectronic records in the form and manner requested by the tax inspector. In aneffort to solve this problem, some EU Member States and the OECD introducednational standard audit files (Tax or SAF-T).According to the European Commission, the OECD and tax administrations ofEU Member States, the latter is a file containing data exportable from an originalaccounting system of the taxable person, for a specific time period andeasily readable by virtue of its standardisation of layout and format that can beused by revenue authority staff for compliance checking purposes. With sucha file, fiscal control therefore becomes faster and more efficient, incorporatingnew fiscal control methods such as statistical methods, sampling, audit automation,etc., whereas for taxable persons the whole process is simpler, involvingmore transparency, less time, cost and burden. Accordingly, the content andform of the file are fixed and the same for all taxable persons, regardless oftheir size, characteristics or activity. Taxable persons are aware in advance ofthe information requested by the tax administration for control and have alreadyequipped their accounting software with the interface for exporting suchinformation in the content and form required.95

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILESIn 2007, Slovenia became the fourth EU Member State to introduce the standardaudit file, after the Netherlands, Great Britain and Germany. Later thatyear, Portugal followed, while Austria is planning to do the same in 2009, withsome Member States using informal standard requests for submission of data.As early as in 2005, the OECD adopted recommendations for implementationof the standard audit file (SAF-T).2.5 UPGRADING COMPUTER-ASSISTED INSPECTION AT DURS: INTRO-DUCING THE STANDARD AUDIT FILEDURS incorporated the “Slovene Standard Tax Audit File” into tax inspectionprocedures with the Rules on the Content, Format, Method of Drawing-up andTime Periods for Presentation of Readout of Data from Electronically GuidedBusiness Books and Records of Taxable Person (Ul. l. RS, Nos 59/07; 126/07,hereinafter: Rules). In accordance with the Rules, applied since 1 January 2008,taxable persons that process their data electronically shall at the request of thetax authority in the tax control procedure submit records in structured computerfiles in the content, form and manner specified in the Annex, which is anintegral part of the Rules. They must submit the following records from electronicbooks of account and records:— records from the general ledger (general ledger data)— record of VAT deducted (data on deductible VAT)— record of VAT charged (data on VAT charged)Based on the Rules, taxable persons must, during the fiscal control procedure,also provide other records whose content and form are not specified by theRules (e.g. cash register data, data on accounting related to goods, current accountbooks, etc.). Taxable persons must submit the records within three workingdays, with the possibility of extending this period to a maximum of fiveworking days. Taxable persons that do not provide records of the content andin the form determined by the Rules must at the tax authority’s request for submissionof records notify the latter of the records they can provide; such recordsare deemed to be suitable if they contain at least the content prescribedby the Rules.The Annex to the Rules gives a detailed description of the form and format ofeach of the three files (records from the general ledger.txt, records from VATdeducted.txt, records from VAT charged.txt). The files requested are in textualformat, and have a fixed length and semicolons to separate individual fields.The data are submitted to the tax authority’s official on a standard storage device.The Annex to the Rules sets out in detail the following for each file: file96

RAJKO HADJARstructure (field heading, abbreviated field heading, field beginning, field end,length, type), file content, time period of the record, field content and otherdata.The general ledger file covers the calendar or financial year, whereas the VATdeduction and VAT charged files are for the calendar year. If at the request ofthe tax authority the taxable person submits records from the general ledgerin the current calendar or financial year, such records must consist of data forthe previous three-month, six-month or nine-month period. If at the requestof the tax authority the taxable person submits records of VAT deductions orVAT charged in the current calendar year, such records contain the data of thetax periods of the calendar year for which tax returns have already been submittedto the tax authority. Under such provisions, the tax authority can obtainthe files as soon as it detects possible irregularities (e.g. in tax return controls)and perform a tax inspection. The general ledger file is used to store the datacontained in the general ledger as defined in the Slovene Accounting Standardsor the International Accounting Standards: records of the complete databasewith individual accounting events that affect assets and liabilities, revenues andexpenditures stated by individual breakdown accounts as well as records ofoff-balance-sheet items. The VAT deduction file comprises data on deductibleVAT, as shown in appropriate documents. The VAT charged file includes dataon VAT charged, as shown in appropriate documents.In compiling the Rules or introducing the Slovene standard audit file, DURSdrew on European Commission documents, the experience of other EU MemberStates, OECD documents, its own experience in ACL-assisted inspectionfrom 2000 to 2007, agreements made with the biggest Slovene accounting softwareproducers/traders, the specific nature of the ACL tool, the provisions ofZdavP-2, ZDS-1, SRS, ZGD-1. ZDDV-1 and the ancillary Rules, the single procedurefor taxable persons used by DURS in the case of electronic data submission,and the DURS system of expert assistance for taxable persons during thetransitional period from adoption until entry into force of the Rules.The dispositions of the Rules and the standard audit file have had the followingeffects:— For taxable persons, their obligations have not been expanded with the passingof the new Rules, considering that they already had to submit electronic datain the control procedure before the Rules were adopted. What did change isthat they are now being informed beforehand of the content and form of thedata to be provided to the tax authority.— All the information prescribed by the Rules already exists in the electronicbooks of account and records of taxable persons, which means that they only97

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILEShave to arrange their accounting software so as to enable the extraction ofsuch information into the prescribed files. They therefore had to equip theirsoftware with data extraction according to the “press-one-button” principle(where data can by exported by the taxable person alone using a simplecommand from the program menu without the need for a computer expert)due to the short time span between the tax authority’s request and the filebeing submitted (3 working days).— The prescribed file format is a textual format of fixed and precisely definedlength, using a semicolon to separate columns, which is frequently used inSlovenia, with the majority of accounting software enabling data export tothis format. The file also determines a single recording of date and value, andalso specifies left or right alignment of records for each column. Such a formatand form of the file enable simple export and definition with ACL software.— The content of the columns of the deductible VAT and VAT charged filesis consistent with the provisions of ZDDV-1, the ancillary Rules and the taxreturn form.— The files are thematically interconnected, which makes the VAT deductedand VAT charged files analytical records of the general ledger because theycontain every invoice received and issued.— The prescribed files will be used for fiscal control of all types of taxes andcontain the basic information needed to check the accuracy of tax returns.Since the files cannot include all analytic tax data, in some fiscal controlprocedures taxable persons will have to provide additional electronic data(e.g. data from electronic cash registers, supply records, data from currentaccount books, on transactions via transaction accounts, etc.).— The Rules set out the content, form and format of the file; however, taxablepersons may also submit another file which must contain at least the contentprescribed.— The required amount of data for each file is the minimum required for taxinspection. All of the three files have an extra column added, which canbe formatted by the taxable person and filled with information specifyingbusiness events from fiscal and other perspectives according to the taxableperson in each case. This gives the files the possibility of multiple use, e.g. forthe taxable person’s business needs, internal audit, external audit, etc. They canalso be utilised by other supervisory institutions in the Republic of Slovenia,such as the Court of Audit, the Customs Administration of the Republic ofSlovenia, the Securities Market Agency, the Insurance Supervision Agency,etc. By introducing the file, DURS has been contributing to the developmentand improvement of the audit sector as a whole.— The Rules and the standard audit file will therefore help make fiscal controlmore efficient and simple.98

RAJKO HADJAR— As far as taxable persons are concerned, the Rules and the standard audit filemean fiscal control that is simpler, more transparent, quicker, cheaper andless burdensome.Below is an example of the prescribed content and form of the VAT deductedfile.Ref.No.ItemsfromItems toLengthFieldtypeField heading and descriptionAbbreviatedfield heading1 1 4 4 N Tax Period Obd16 272 287 16 N17 289 304 16 N18 306 321 16 NDeductible VAT at therate of 20% (right aligned -999999999999.99)Deductible VAT at the rateof 8.5% (right aligned -999999999999.99)4% flat-rate compensation (rightaligned -999999999999.99)VST 20% DDVVST 8,5% DDVPavnadomestiloFigure 3: Tabular presentation of the form and content of the files containingrecords of VAT deductionsThe file is fully consistent with the value added tax return form; the sums ofindividual columns are therefore identical to the amounts of the tax returnitems.Figure 4: Part of the value added tax return formThe ACL software allows the capture of such a file of the taxable person andthen, using a simple command, adding up all tax return items for the calendaryear and comparing the sum of the file with the tax returns actually submitted.99

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILESFigure 5: Example of the sum of the deductible VAT for all VAT tax returnsin 2008 in the ACL software2.6 INTRODUCING ACL-ASSISTED INSPECTION OF STANDARD AUDITFILESIn 2000, DURS obtained its first ACL licence and carried out the first ACL-assistedcontrol. Based on practical experience in the initial ACL-assisted controls,the first ACL inspection methodology was developed. Along with the acquisitionof new ACL licences, DURS began with training programmes for itsinspectors, while in 2004 new legislation was passed so as to align computerassistedinspection with the guidelines and recommendations of the EU. ACLassistedinspection eventually became the standard method of inspection. Asof 2009, DURS has 130 ACL licences and the same number of inspectors whohave undergone training in ACL software.In 2007, in order to improve the efficiency and speed of computer-assisted taxinspection with ACL, a decision was made to introduce the standard audit fileat DURS. By 2007, DURS had gained sufficient experience and knowledge inACL-assisted control procedures, which made it well aware of the appropriatecontent and structure of such a file. At the same time, it knew that taxable personswould not have major problems or extra cost in providing it. The standardaudit file became part of the tax inspection procedure on 1 January 2008.During the introduction phase of the standard audit file, the following activitieswere carried out:— The amount of ACL licences acquired was enough to cover 30 percent of all taxinspectors, this being an informal EU rule regarding the minimum technicalconditions required for the computer-assisted tax inspection systems ofMember States to be efficient.100

RAJKO HADJAR— In 2008, there were 10 internal training workshops on the use of ACL software,in particular the standard audit file, which involved over 150 inspectors.— In 2008, DURS produced two methodological manuals: PRIROČNIK ZAINŠPICIRANJE GLAVNE KNJIGE Z UPORABO PROGRAMA ACL (ver. 9.0)(inspection of general ledgers with ACL software) and PRIROČNIK ZAINŠPICIRANJE DAVKA NA DODANO VREDNOST Z UPORABO PROGRAMAACL (ver. 9.0) (inspection of value added tax with ACL software). The Annexesto the manuals also included test files in a form consistent with the Rules. Themanuals are intended for self-education of inspectors and are designed sothat the inspector performs tax inspection with test files by learning how touse ACL software and performs inspection with the standard files. They liststandard checking procedures required in every control, which representsthe first step towards automatic inspection.— Inspectors had the possibility to rely on direct assistance or counselling inthe use of ACL and the standard audit file, either by telephone or email, oreven with personal assistance in complicated cases (by a computer expert, ifneeded).— Inspectors constantly received electronic data from the DURS records whichthey completed or compared with the electronic data of taxable persons.— New inspection methods began to emerge, enabled by the standard audit file,e.g. audit automation with script files.In order to provide taxable persons with information on the introduction ofthe standard audit file, the following activities were carried out:— A meeting was held involving the biggest producers/traders of accountingsoftware in the Republic of Slovenia and experts.— During the process of introducing the standard audit file and afterwards, all theproducers/traders of accounting software had the possibility of counsellingby DURS (by telephone or email) and testing their test files.— The DURS website updated taxable persons and experts beforehand on theintroduction of the standard audit file.— Several expert publications published notices and articles by DURS on thenew standard audit file.— Some tax offices (e.g. the Special Tax Office) informed their taxable personsof the standard audit file being introduced by direct mail.All of these activities contributed considerably to the positive outcome of theproject as well as successful use of the standard audit file in practice: in 2008,for example, no major problems were reported, neither by taxable persons thathad to provide such files nor inspectors who used the latter for tax inspection.In 2008, DURS carried out 2066 inspection procedures with ACL software, 201of which were tax inspections, and 1865 data reviews in accordance with Article101

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILES39 of the ZdavP-2 (verification of the data needed for collecting taxes). All theverifications were performed on standard audit files. In 2008, 100 ACL licenceswere used for the purpose of inspection procedures, whereas ACL softwarewas used for inspection procedures by more than 140 inspectors. A single ACLlicence accounted for, on average, 20 inspection procedures.2.7 FUNCTIONALITY AND USE OF COMPUTER-ASSISTED INSPECTIONIN PRACTICEComputer-assisted tax inspection with ACL software on standard audit files enablesthe following functionalities to be put into practice:1. Standard verifications: verifications that can be performed in the case of everytaxable person, regardless of the entity’s size, activity or other characteristics.Standard verifications therefore enable a certain degree of automation.According to the source of the data obtained, they can be divided into twogroups:a) verifications of the taxable person’s data, andb) verifications of the taxable person’s data based on DURS data.2. Specific verifications: verifications carried out on the basis of any specificdata characteristics, and are not standardised or foreseen in advance.Below are examples of standard verifications in the case of the VAT deductionfile:a) SUMS OF THE VAT DEDUCTED FOR INDIVIDUAL TAX PERIODSWith the ACL software, it is possible to, by using the VAT deducted file, totalthe documents received on the basis of which the taxable person claimsdeductible VAT and thus verify the entity’s tax returns.b) VERIFYING THE DEDUCTION OF INPUT VAT FROM SUPPLIERS IN THECASE OF WHICH THE TAXABLE PERSON NORMALLY DOES NOT HAVETHE RIGHT OF DEDUCTION – SEPARATING POTENTIALLY “SUSPICIOUS”SUPPLIERSACL classifies all the taxable person’s suppliers and tries to eliminate thosefrom which VAT has been deducted where the name of the supplier and othercircumstances provide reason to believe that such cases involve goods andservices from which the taxable person (considering its activity and othercircumstances) does not have the right of VAT deduction. Such suppliers arefound and singled out with the help of filters incorporated in ACL.102

RAJKO HADJARc) SEPARATING RECORDS OF THE HIGHEST VALUEInvoices received in which VAT has been deducted are sorted with ACL bysize from the highest amount to the lowest, and those with the highest sumsare verified. A simple procedure therefore enables separating from an array ofrecords or invoices those of the greatest weight or tax risk, which is followedby their verification. This puts the focus on the essential items of the tax returnand contributes considerably to shortening the search for documents of thehighest value from the fiscal point of view.d) VERIFYING SIMULTANEOUS CHARGING AND DEDUCTING OF VATIn cases of self-assessment (e.g. acquisitions from other Member States), ACLhelps to verify whether, in any of the invoices used to claim a VAT deduction,VAT has been previously charged and or has been charged in the sameamount. ACL creates a relation between the VAT charged and the deductibleVAT, and finds the differences.e) VERIFYING MULTIPLE DEDUCTION OF INPUT VAT BASED ON THE SAMEINVOICEThe analysis tools integrated into ACL enable verification of whether thedeductible VAT was deducted two or more times based on the same invoice,which clearly constitutes an anomaly.f) VERIFYING THE PERIOD OF CLAIMING DEDUCTIBLE VATACL is used to verify whether VAT was deducted in the right tax period or tocheck for other irregularities related to the date of the document, of receipt orof posting the document.g) VERIFYING THE AMOUNT OF DEDUCTIBLE VAT ACCORDING TO THE TAXBASEACL is used to verify whether the amounts of deductible VAT at the 20 or8.5 percent rate are correct according to the tax base. The cases of incorrectamounts of VAT according to the tax base can be singled out.h) VERIFYING VAT DEDUCTIONS AFTER RECEIVING INVOICES FROMSUPPLIERS NOT LIABLE FOR VATWith ACL, the taxable person’s data are completed with those of DURS (inelectronic form as well): on the basis of both, an attempt is made to eliminatethe potentially “suspicious” suppliers or discover cases of VAT deductionin breach of ZDDV-1. The taxable person’s data on suppliers from which itdeducted VAT are completed with the data that DURS has on liability for VAT(start of registration, end of registration and number of employees per certain103

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILESmonth). The filters are used to separate the received invoices from suppliersthat are not liable for VAT but showed it nonetheless, while the taxable persondeducted it as input VAT, which again is a clear anomaly.i) SEARCHING POTENTIAL “MISSING TRADERS” OF THE TAXABLE PERSONUNDER INSPECTIONBased on DURS data combined with the taxable person’s data, it is possibleto single out those suppliers of the taxable person under inspection thataccording to certain criteria can be seen as potentially “suspicious”, whichmeans they could act as suppliers known as “missing traders”:— newly registered persons liable for VAT (registered for instance 30 or 60days prior to the issuing of the invoice), having issued to the taxable personunder inspection invoices in a high amount with VAT charged;— persons liable for VAT without any employees, having issued to the taxableperson under inspection an invoice in a high amount with VAT charged;— the supplier has already been listed by DURS under “missing trader”businesses and has issued to the taxable person an invoice with VATcharged.Such criteria are used by all EU Member States as risk criteria for taxablepersons’ suppliers, to whom particular attention is paid in verification andinspection procedures.The examples outlined above are only a few of the cases of standard verificationwhich can be carried out on any taxable person, regardless of its size, activityor other characteristics. In order for such verifications to be efficient, i.e. automatic,they require standard audit files. In 2008, DURS performed 1865 dataverifications on standard audit files by using ACL, which mainly included electronicVAT deduction records in order to discover whether the taxable personhad done business with “missing trader” suppliers or other suppliers of high fiscalrisk. The inspectors completed taxable persons’ electronic VAT deductionrecords with the information contained in official DURS records (registrationof VAT, number of the supplier’s employees, etc.) and, with tools integratedinto ACL, quickly and simply singled out the largest invoices received in thetax period and the invoices received from suppliers potentially related to fiscalrisk. Since taxable persons have to provide such files for the tax periods of thecalendar year for which tax returns were already submitted to the tax authority,the latter can perform inspections with ACL even prior to refunding the VATdeduction to the taxable person and therefore immediately detect any irregularitiesand not return VAT improperly deducted. ACL-assisted verifications enableexamination, using the above criteria, of all the data of taxable persons,104

RAJKO HADJAReven if their amount is substantial (from several hundreds to several millions),while the verifications themselves are extremely fast, transparent and detailed.2.8 RESULTS AND EFFECTS OF ACL-ASSISTED INSPECTIONThe main advantages of introducing the standard audit file into computer-assistedtax inspection are the following:— the content and form of the file are set in advance and the same for all taxablepersons, regardless of their size, characteristics or activity, which meansless confusion for both the taxable person and DURS as to the type of filerequested: this in turn facilitates and simplifies the submission of accountingdata and tax records in the control procedure;— the standard file leads to simpler and quicker submission of data to the taxauthority, and quick and efficient verification on the part of the tax authority,which reduces the length of control and the burden on taxable persons,increases the efficiency of tax inspectors and allows tax evasion to be revealedbefore any damage may occur (e.g. undue VAT refund);— the standard file also enables audit automation, which is the common term forvarious computer-assisted techniques aimed at automation of certain capture,analysis and verification operations of taxable persons’ data, which shortensthe time of inspection, reduces errors in inspection and the fiscal risk ofinspection, saves taxable persons’ time and money, etc.DURS has been carrying out inspections with the help of ACL since 2000, andhas in the last five years achieved the following results in this area:2004 2005 2006 2007 2008Number of ACL licences 27 49 101 99 101Number of verifications performed withthe use of ACLNumber of data verifications carried outpursuant to Article 39 of ZdavP-2 with ACLNumber of inspectors having performedverification92 90 282 243 201– – – – 186540 41 125 121 139The table shows a yearly increase in the number of inspections with ACL as wellas in the number of inspectors performing verifications with ACL. The introductionof the standard audit file in 2008 opened the way for fast data verificationswith ACL, due to all files being standardised and therefore the same forall taxable persons, regardless of their size and activities: as such, they can beobtained and verified by inspectors in a short period of time. In 2008, this led105

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILESto 1865 such verifications with ACL on standard audit files which had not beenperformed by DURS in previous years. Based on experience in tax inspectionin 2008 and 2009, and on the data concerning standard software and accountingsoftware, it is estimated by DURS that 80 to 90 percent of taxable personsprovide the exact file required, using the “press-one-button” principle, whichallows the taxable person to export data via a simple command from the programmenu without the help of a computer expert: this proves that the file hasbeen successfully introduced.Apart from verifying standard audit files, between 2008 and 2009 ACL softwarewas also used for the following verifications:— verifications of various data of taxable persons in electronic form (supplyrecords, current books of account, diverse analytical records, etc.);— verifying the data from electronic cash registers;— acquisition and analysis of electronic data of banks and savings institutions,related to transactions carried out by taxable persons under inspection ontransaction accounts, using the tools incorporated in ACL to analyse andsingle out potentially risky money transactions.Integrating the standard audit file into control procedures has lead to the followingeffects:— increased quality of inspection, reduced audit risk;— introduction of new inspection methods (audit automation, adding data fromofficial DURS records to the data of the taxable person, statistical analysis,sampling, etc.);— increased speed of inspection, possibility of swift reaction to detected irregularities;— better efficiency of tax collection;— better efficiency, satisfaction and reduced burden on the part of inspectors;— reduced costs and burdens on taxable persons and their increased satisfaction;— standard audit files are also used for internal and external audits;— the use of computer-assisted inspection and standard audit files means achievingimportant strategic objectives of DURS as far as control is concerned;— permanent quality of DURS’s work in the field of inspection (use of the latestinspection methods);— improved quality of the entire audit and inspection sector of the Republic ofSlovenia.106

RAJKO HADJAR3 SPECIAL ACHIEVEMENTS OF DURS IN THE FIELD OFCOMPUTER-ASSISTED TAX INSPECTIONIn introducing computer-assisted tax inspection and the Slovene standard auditfile, the special achievements of DURS in the field should be noted:— DURS fully independently incorporated computer-assisted tax inspectionwith ACL software into inspection procedures;— in 2000, DURS obtained its first ACL license and also performed the firstinspection control in that year; it currently has more than 130 licenses, over 150inspectors trained to use ACL software and a systemised methodology; DURStrains inspectors by itself and provides support, and has also been alone indrawing up the relevant legislation and harmonising it with the requirementsand recommendations of the European Commission;— in 2004, Slovenia was the only new EU Member State to use computer-assistedtax inspection;— apart from the purchase of ACL licences, DURS did not spend any additionalresources for introducing computer-assisted inspection (in other new EUMember States, the costs of hiring external advisors amounted to severalmillion euros);— DURS has been conducting its own ACL training, with over 50 ACL workshoporganised by 2008, which involved more that 250 inspectors (participatingonce or several times);— until 2009, the ACL licence versions were constantly updated so that DURScurrently works with the latest version, ACL 9, for which it has developed itsmethodology of use;— DURS set up by itself the methodology for computer-assisted tax inspection,focusing on the standard audit file;— Slovenia is one of the first EU Member States to introduce the standard auditfile;— DURS has been actively involved in the European Commission’s projectFISCALIS E-AUDIT PROJECT GROUP, which aims at setting up commonstandards of computer-assisted inspection in Member States;— in computer-assisted inspection among EU Member States, SLOVENIA andDURS are recognised for their efficiency and creativity.4 SUMMARYIn carrying out tax inspection of electronic books of account and records oftaxable persons, the Tax Administration of the Republic of Slovenia (DURS)has also been using the method of computer-assisted tax inspection with ACLsoftware (Audit Command Language). In inspections with ACL software, the107

COMPUTER-ASSISTED TAX INSPECTION AND STANDARD AUDIT FILESinspector captures data from the taxable person (general ledger, records of deductibleVAT, records of VAT charged, data from electronic cash registers, supplyrecords, goods records, etc.) in electronic form and transfers them to his orher PC for further processing. The data capture is followed by conversion intoACL files (definition of logical properties of the file, definition of fields, deletionof surplus data, etc.) which are used for analysis and verification with thecommands and tools integrated into ACL (separation of records of the highestvalue, data addition, data classification, search for duplication and missing datain a series of records, logical reviews, mathematical analysis, statistical analysis,etc.); ACL also enables quick and simple comparison of the data of the personunder inspection with DURS or other official data. With computer-assisted taxinspection, fiscal control becomes faster and more efficient, incorporating newfiscal control methods such as statistical methods, sampling, audit automation,etc., whereas for taxable persons, the whole process is simpler, more transparent,faster, and less costly and burdensome.In 2008, DURS upgraded the method of computer-assisted inspection by introducingthe Slovene standard audit file, i.e. a file which contains data exportablefrom an original accounting system of the taxable person, for a specific timeperiod and easily readable by virtue of its standardisation of layout and formatthat can be used by DURS staff for compliance checking purposes. This fileeven further facilitates computer-assisted tax inspection with the content andform of the file set in advance and the same for all taxable persons, regardlessof their size, characteristics or activity. It consists of the general ledger recordfile, the deductible VAT file and VAT charged file. The standard audit file hasbeen successfully put into practice: in 2008, in fact, there were no major problemsrecorded by taxable persons that had to provide such files, nor by inspectorswho used the files for tax inspection. The smooth transition was a result ofsupplying ample information to taxable persons and cooperating with the producers/tradersof accounting software, as well as intense training of inspectorsand providing them with technical and other support. In 2008, DURS carriedout 2066 inspection procedures with ACL software, 201 of which were tax inspections,and 1865 data verifications in accordance with Article 39 of ZdavP-2(verification of the data needed for collecting taxes); all data verifications werecarried out on standard audit files, a novelty in inspection procedures comparedto the previous years when there were no such verifications.REFERENCES1. Audit Automation Guidance Paper, European Commission, 20052. E-Audit RoadMap, European Commission, July 20053. ERP Systems Guidance Paper, European Commission, November 2005108

RAJKO HADJAR4 Guidance for the Standard Audit File – Tax, OECD, May 20055. Guidance on Tax Compliance for Business and Accounting Software, OECD, May20056. Netherlands Standard Audit File XML Schema7. PAS 76 Accounting software – Value Added Tax in the UK8. SCAT DOCUMENT 29, European Commission, 2 July 20019. SCAC DOCUMENT NO 330 REV 1, European Commission, September 2002109

ACHIEVING EFFICIENCY THROUGH RISKMANAGEMENTDarija MOHORIČ, MSc, Majda MEŠKO, MSc,Aleksandra STAMNIČAR VERONIK, Helena SAGAJLjutomer Administrative Unitue.ljutomer@gov.si1 PROCESS APPROACH FOR BETTER EFFICIENCYStandard ISO 8402 defines a process as “an integrated set of activities that usesresources to transform inputs into outputs” (ISO 8402). Marolt and Gomišček(2005:15) say that a process approach has been created as a response to newdemands of globalized markets, to improve certain elements that enhance theefficiency and effectiveness of management, such as: increased customer satisfaction,inclusion of staff in the process of improvements through teamwork,reduction of operational costs, increasing the staff expertise level, increasingthe general cultural level of staff, achieving optimum yield from resources used,increased staff satisfaction, etc.VhodPROCES(»skupek medsebojnopovezanih ali vzajemnihaktivnosti«)VMESNI ALI KONČNIPROIZVOD(materialni izdelek,storitev, ...)IzhodFigure 1: Schematic presentation of the processSource: Spletni priročnik, 2004: 45In Ljutomer Administrative Unit, too, we have analysed the processes withinthe organisation and divided them into two main groups:— key processes, and— supporting processes.Key processes add value to our services, enhance customer satisfaction and reflectthe mission statement of our organisation. They are the basis of our existence.The second set of processes, called supporting processes, do not add value

ACHIEVING EFFICIENCY THROUGH RISK MANAGEMENTto our services but are essential for the good operation of the organisation as awhole and allow for efficient and effective implementation of key processes. Theprocess approach is a way of improving the organisation’s quality managementsystem by identifying and defining key and supporting processes and by integratingthe needs of the customers into the system (Strle Vidali, 2001:58).1.1 DEFINITION OF PROCESSESA process is defined by determining the following elements: name, process guardian,in-house and external customers, and identifying the customers’ needsand requirements The necessary inputs of the process and the outputs generatedas the result of the activities carried out are defined, as well as the timelineof activities, and appropriate resources are ensured. It is also important todefine the relationships of the process with other processes, to document theprocess and identify documents that define the process, set the criteria and themethods for efficient process management, and specify communication channelswithin the process.1.1.1 Identification of processes in Ljutomer Administrative Unit and their interrelationVodenjeNabavaFinanciranjeUpravnipostopekProcesses are defined and documented in the administrative unit’s Quality Manual.Every process has a process guardian, responsible for ensuring the effectivenessof the process and for establishing relations between clients and pro-KomuniciranjeUpravljanjeodnosovs strankamiUpravljanjezzaposlenimiFigure 2: Interactions and interrelationsSource: Ljutomer Administrative Unit’s Quality Manual112

DARIJA MOHORIČ MSC, MAJDA MEŠKO MSC, ALEKSANDRA STAMNIČAR VERONIK, HELENA SAGAJviders of services, irrespective of their position or department within the unit.The process approach enables us to see the operation of the unit as a structuredsystem of interrelated processes. Such an approach enables continual monitoringof interrelations among process and, specifically, a management of processesthat generates results within perimeters set in compliance with admissibilitycriteria. Since any process must be managed, it is possible to follow anyproblem to its very source, analyse its causes and prevent, through the use ofadequate corrective and preventive measures, its reoccurrence.1.1.2 Definition of processes and goals in a risk registerWhen defining the goals of the administrative unit and the relevant processesto create a risk register we referred to the unit’s Quality Manual in which boththe key process - the administrative procedure - and supporting processes areidentified. Processes that are mutually complementary were merged and sevenprocesses that define the unit as a system were identified. For each process,goals on the basis of internal documents and our vision and mission statementswere identified.Table 1: Processes in the risk registerNO.PROCESSES1 Performing administrative and related tasks2 Performing administrative procedures3 Managing human resources4 Managing customers5 Managing financial resources6 Managing material resources and the IT system7 LeadershipSource: Ljutomer Administrative Unit Quality ManualGoals are achieved through the implementation of processes, procedures andactivities. The strategic goals of the Ljutomer Administrative Unit are the following:satisfied customers, satisfied staff, socially responsible and efficient work.The efficiency and effectiveness of the unit’s operation is assessed by means ofindicators, specific for each of the goals.1.2 QUALITY SYSTEMAn organisation that wishes to prove compliance with ISO 9001:2000 requirementsmust be able to provide evidence of the effectiveness of their qualitymanagement system. ISO 9000 requires that the organisation sets up and ma-113

ACHIEVING EFFICIENCY THROUGH RISK MANAGEMENTintains process records of document and data management, including also allexternal documents. All elements of the ISO 9000 group of standards, as well asall requirements and provisions that an organisation has adopted in its qualitymanagement system, must be recorded systematically and orderly in the formof written rules, processes and instructions.2 DESCRIPTION OF THE PROPOSED SOLUTION – PRINCI-PLESSince 1999, when Ljutomer Administrative Unit obtained the certificate of quality,the number of internal operational instructions (hereinafter IOI) has beenconstantly augmented. Currently, together with about 20 internal general instructionson the general operation of the unit, there are over 130 IOIs.Our goal was to eliminate the majority of them. However, to be able to monitorand control the implementation of tasks, we replaced the IOIs by a common riskregister of 7 key processes that take place outside the unit. This new risk registerreplaced more than 130 different documents. As a result, the burden on staff hasbeen greatly diminished, and the unit’s management has been able to have a clearoverview of events that are likely to affect the achieving of the set goals.2.1 INNOVATIONA risk register is a key management tool and evidence that the managementis aware of its responsibility concerning risk assessment and evaluation. Theaim of the register is to be a repository of all objectives, risks and controls,and to help identify and evaluate risks in management processes. In 2007, alladministrative units were required to set up financial risk registers. LjutomerAdministrative Unit decided to make a step forward and to set up a risk registerfor seven processes that were identified as essential for the performance of ourprimary task – the administrative procedure. When the risk register was launchedin 2008, the Unit abolished 130 IOIs separately describing each activity. Inpreparing and setting up the register we used the internal documents that hadbeen prepared for obtaining the quality certificate, which, over the years, havegrown out of proportion. In order to ensure the effectiveness of work processesand to achieve the set objectives, we identified in the risk register risksaccording to individual processes.Positive aspects:— achievement of goals is measured by objective criteria (measurable criteria),— enhanced ability to respond to internal and external changes and to controlthem,114

DARIJA MOHORIČ MSC, MAJDA MEŠKO MSC, ALEKSANDRA STAMNIČAR VERONIK, HELENA SAGAJ— more effective management of resources,— reduced likelihood of the occurrence of uncontrollable events,— greater probability that planned changes will be effectively carried out,— decision-making is based on better information, there is less space for doubt,— major risk and changes in operation are given more attention,— the likelihood of achieving objectives is increased.A risk register is a log of identified risks, listed by importance, place of occurrence,level and existence of internal control system by which risk may be controlledand managed in order to minimise the possibility that objectives set ina particular field will not be achieved. A risk register is a single document inwhich not only risks, but also risk controls and measures to manage risks arecomprehensively defined. An organisation can thus understand its comprehensiverisk profile, and achieve greater efficiency in risk management throughidentification of lead persons. It is a practical tool and shows that the managementis aware of its responsibility concerning risk assessment and evaluation.in the broader context of achieving the Lisbon strategy objectives in terms ofwork organisation, implementation of tasks, assessment of the efficiency ofprocesses and seeking improvements. Events identified in the register are thebasis for a circular process called risk management which, in turn, increases theprobability that set objectives will actually be achieved.2.1.1 Abolition of IOIs and setting up a common risk registerSince the unit obtained the certificate of quality (1999), the number of internaloperational instructions has been constantly augmented. These documentswere internal instructions containing detailed descriptions of administrativeprocedures. The first IOI was written when we were preparing to adopt theISO standard, but the number of IOIs has since grown out of all proportions.They were, however, constantly maintained, updated, revised etc. Togetherwith general internal instructions (GII) on the general operation of the unit,there were more than 130 IOIs. All members of staff were responsible for theirupdating and management.2.1.2 Other administrative units had the same problemOf course, Ljutomer Administrative Unit is not the only unit fighting the problemof an excessive number of documents resulting from the adoption of theISO 9000 standard; other administrative units are plagued by the same ailment,as indicated by answers to a question we sent to the websites of all administrativeunits in March 2008. We asked all administrative units that have alreadyobtained the certificate of quality (the relevant data were obtained from theMinistry of Public Administration website (13 March 2008). ). Most administra-115

ACHIEVING EFFICIENCY THROUGH RISK MANAGEMENTtive units provided answers to the question of how many additional internaloperational and other instructions had been prepared since the certificate wasobtained. In the table below are presented the answers of the five administrativeunits with the highest number of IOIs.Table 2: Number of new IOIs in individual administrative unitsADMINISTRATIVE UNIT No. of GIIs No of IOIsOrmož 5 318Maribor 29 317Ptuj 30 200Krško 15 152Ljutomer 37 136Source: Answers to the question of the number of new IOIs, March 2008.2.1.3 How we approached the problemThe management of the Ljutomer Administrative Unit has been aware of theproblem of excessive number IOIs for some time and was seeking a way to reducethem without compromising the efficiency and effectiveness of the unit’swork. It was also evident from the onset that the staff was not happy with theadditional work of preparing all those IOIs.A questionnaire was prepared with the purpose of obtaining information fromthe staff on the following: when they used IOIs, how often they used them, howmuch time it took them to use IOIs, whether they use them in their everydaywork, whether they use them when they are seconded to another post, etc. Theaim of the research was to prove that IOIs were an unreasonable burden, andto use the results as a starting point for modifications.2.2 RISK REGISTERThe first step in setting up a risk register was to identify the objectives includedin the register. The sources were certain indicators used in Ljutomer AdministrativeUnit to monitor the realisation of objectives. Other sources importantfor efficient risk management are reports on discontinuities in administrativeprocedures, discontinuities in financing procedures, follow-up of decisions ofsecond-instance bodies, results of internal and external audits, monthly barometerdata, results of staff satisfaction surveys, etc. The sources of informationcan be an effective tool for identifying risks, and also a good basis for measuringthe effectiveness of risk management.116

DARIJA MOHORIČ MSC, MAJDA MEŠKO MSC, ALEKSANDRA STAMNIČAR VERONIK, HELENA SAGAJAn important element of risk management is the identification of the risk levelthat the administrative unit is ready to accept before adopting measures to controlthe risk.2.2.1 Measurable criteriaWhen defining measurable criteria, we focused on indicators that help monitoringrealisation of the set objectives. We used as measurable criteria a range ofindicators, CAF and PRSPO (Slovenia’s award for business excellence) modelcriteria, administrative statistics, the SPIS monitoring application, half-yearlyand monthly reports, assessment analyses, etc.2.2.2 Identifying riskWe identified risk in relation to two set objectives. We used an integrated approachand a clearly structured risk identification process. We identified processelements that are most vulnerable. We started with the strategic objectivesand continued with operative objectives of the administrative unit. Example:Managing human resources – recruitment. We knew that we had to focus oneach and every phase of the recruitment process. We established, for instance,that risk may originate in the lack and inadequacy of skills of the person responsiblefor recruitment (does he/she master his/her field of work, know relevantlegislation, is he/she unbiased, does he/she respect ethical principles , possessthe necessary personal integrity etc.). By means of measurable criteria (trainingplan, training reports and personal skills of the human resources manager), weestablished that the likelihood of serous consequences was minimal. Hence, toachieve the lowest risk, the process had to be clearly defined. Neutrality and impartialitycan best be achieved if several people participate in the recruitmentprocess. It was further established that risk is further minimised if members ofthe recruitment commission are different for each candidate. This greatly diminishesthe risk of partiality, and furthermore, all members of staff participate inthe process of recruitment , not only the management.2.2.3 Assessment and level of riskRisk assessment is the establishment and analysis of risks that might prevent theunit from achieving its objectives, and is the basis of effective risk management.Risks were assessed at the meeting of the senior staff. It was established thatguardians of an individual process must be involved in the renovation of theregister and in the assessment exercise, as they are best acquainted with theirdomains and can use their experience. At the same time, they are best able toidentify possible threats. Since most administrative units have already obtainedthe certificate of quality, each unit must have process guardians with clearly de-117

ACHIEVING EFFICIENCY THROUGH RISK MANAGEMENTfined competences and responsibilities. The process guardians are those whoare best able to assess risks and define the level of threat.2.2.4 Measures to control the riskIdentified risks, risk assessments and levels of threat that are acceptable for theunit are contained in the risk register, which is the basis for further action. It isreasonable to define measures to control the risk as the threats emerge. LjutomerAdministrative Unit, for instance, adopted a measure of internal controland supervision of the financial operation of local offices. In doing so, we tookinto consideration the level of acceptable risk, which is risk that the unit wasstill willing to accept. In view of the fact that the unit is a budget user and thatfinancial controls are an essential element in the preparation of yearly reports,internal controls were set up mainly in areas connected with commitmentscharged to the budget, data accuracy, public procurement, awarding contracts,payments and reimbursements etc. It should be noted that in the process ofmaking the risk register, necessary new controls were defined and introduced.For example: in the process of purchases. In this process, control is focused onthe element of delineation of responsibilities.2.2.5 Risk management instructionsThe following had to be done in order to achieve efficient risk management:appoint a responsible person, obtain the agreement of management and staffand define the risk management processes. These elements were defined andexplained in the risk management manual.2.2.6 Abolition of IOIs and adoption of the risk registerSince 1999, when the first IOIs were prepared, IOIs have been continually changing.In 2007, a new format of IOIs was adopted – a graphic presentation. However,on 17 November 2008, by the unanimous decision of the managementand staff, most IOIs were abolished. To enable traceability and facilitate transitionto the new risk register, a list of abolished IOIs was prepared. Three newdocuments were prepared, in the form of memos for individual administrativeactions. These check lists are inserted in the file and help the person responsiblefor the file to follow all the necessary steps of the administrative procedure.Other check lists were prepared for procedures in the fields of construction,aliens and nationality.2.2.7 Accessibility of the risk register and check listsThe risk register is a strategic document that is essential for achieving the objectivesof the organisation and must, therefore, be accessible to all staff. In Lju-118

DARIJA MOHORIČ MSC, MAJDA MEŠKO MSC, ALEKSANDRA STAMNIČAR VERONIK, HELENA SAGAJtomer Administrative Unit, the risk register is published on the website bulletinboard. It is accessible in two formats (PDF and doc), with links to individualprocesses.Figure 3: Risk register on the websiteFigure 4: Links to processesSource: Ljutomer Administrative Unit website bulletin board, 2008Check lists are published in the same way. Check lists are connected to individualdepartments. A click on the department opens the department’s page119

ACHIEVING EFFICIENCY THROUGH RISK MANAGEMENTwith a list of tasks performed by the department. Another click and the desiredinformation is available. If the task requires a special administrative procedure,there is a link directly from the check list to the general risk register – administrativeprocedures.2.2.8 Risk register - a tool for better workEach process that was identified within the administrative unit was assigned aguardian, whose responsibility is to coordinate work and spot new risk factors,and to manage the process by means of internal controls and sharing responsibilities,so that the likelihood of failure to achieve the set objectives is minimised.In what way this will be achieved is left to the discretion of the processguardians. Process guardians are, at the same time, persons who work withinthe process, and are personally confronted with the risks.Additional controls and supervision have been introduced in the administrativeprocess. Some controls were already in place, and some new controls wereintroduced. Great emphasis in Ljutomer Administrative Unit is place on internalself-monitoring. For instance, we introduced double checking of administrativedecisions. A first person prepares an administrative document, a secondperson checks it, and the document is finally rechecked and signed bythe responsible person.For monitoring the process, heads of departments prepare check lists, in whichproblems encountered on the critical path are entered. On the basis of thesecheck lists potential risks are identified and, hopefully, prevented. They arealso used as evidence that measures have been taken.3 RESULTS AND EFFECTS OF THE SOLUTIONIn seeking a solution for reducing the number of IOIs, we wished primarily toreduce the number of quality management system documents and thus reducethe load on the staff, enhance transparency and combine, or at least harmonize,manuals referring to related processes, although we were aware that such areduction must in no way affect the effectiveness and efficiency of our work.Quite the opposite, the modified approach must yield better results for bothclients and staff.3.1 RISK REGISTER – ITS IMPACT ON CUSTOMER SATISFACTIONCustomers expect the service to be delivered in accordance with their expectations.In particular, they want their demands resolved in the shortest possibletime.120

DARIJA MOHORIČ MSC, MAJDA MEŠKO MSC, ALEKSANDRA STAMNIČAR VERONIK, HELENA SAGAJThe impact of the introduction of the risk register is evaluated on the basis ofthe results of the monthly staff satisfaction survey, which permits comparisonof data “before” and “after” setting up the register. Data referring to the periodfrom 1 January 2009 to 31 May 2009 have been compared to those referring tothe period from 1 January 2008 to 30 June 2008.Graph 1: Customer evaluation of how speedily work is doneSource: monthly surveyGraph 1 shows average evaluations from monthly surveys before and after thesetting up of the risk register and its impact on the speed of resolving cases.Results show an increase in customer satisfaction from 4.53 in 2008 (before theintroduction of the risk register) to 4.75 in 2009. This result is above the comparablenational average, which is 4.66 in the first five months of 2009.The positive impact of the introduction of the risk register is also evident alsofrom the average customer satisfaction evaluation of overall services providedby Ljutomer Administrative Unit. Graph 2 shows average data on customer satisfactionbefore and after the introduction of the risk register: 4.50 in 2008 against4.79 in 2009. This result is above the comparable national average which is4.69 in the first five months of 2009.121

ACHIEVING EFFICIENCY THROUGH RISK MANAGEMENTGraph 2: Monthly evaluation of overall servicesSource: monthly survey3.2 RISK REGISTER – ITS IMPACT ON STAFF SATISFACTIONThe introduction of the risk register had a positive impact on the staff, the abolishmentof IOIs had a direct effect The introduction of the risk register had thedirect effect of alleviating the burden on staff, who no longer had to keep trackof large quantities of documents, as shown below.Graph 3 shows the time used by staff keeping track of IOIs. More than threequarters (75.87 %) of the staff employed about 20 minutes to keep track ofchanges or amendments of a particular IOI.Graph 3: Time employed by staff tokeep track of changes of IOIsGraf 4: Managing IOIs in relation to timeavailable for other tasksObvladovanje ONN vpliva na čas reševanja ostalih delovnih nalogSource: survey, March 2008122

DARIJA MOHORIČ MSC, MAJDA MEŠKO MSC, ALEKSANDRA STAMNIČAR VERONIK, HELENA SAGAJThe time used for keeping track of IOIs was also reflected in the time for carryingout other tasks. Graph 4 shows staff evaluation of how time used forkeeping track of IOIs affects the time for carrying out other tasks The resultsshow that 93.1 % of the staff fully or partially agreed that keeping track of IOIsnegatively affects the time devoted to other tasks. Only 6.1 % of the staff feltthat keeping track of IOIs had no bearing on the time for fulfilling other tasks,but felt that the introduction of the risk register helped finding inconsistenciesduring internal audits. Between 2005 and 2008, the number of inconsistenciesdiscovered in IOIs represented 22.2 % of all inconsistencies discovered by internalaudit.3.3 RISK REGISTER – ITS IMPACT ON SOCIETYRisk management and abolition of IOIs has also an economic impact. The abolitionof IOIs resulted in a more rational use of material resources (less paper,for instance). The risk register has been prepared in digital form and also supplementedand amended in that form. This also allows a more rational andeffective use of working hours.3.4 RISK REGISTER – ITS IMPACT ON KEY OUTPUTSEffective risk management has also had a positive effect on our output, i.e., onthe provision of our services. Judicial review of our decisions by the secondinstance body shows that we provide quality services in compliance with thelaw. Since the introduction of the risk register, the number of our decisions thatwere confirmed by the second instance body following a complaint, increasedin the first half of 2009 as compared to the same period of 2008.The action of introducing the risk register and abolishing IOIs involved all staffof the Ljutomer Administrative Unit. Each employee, in collaboration with hisor her superior, had to assess whether a particular IOI was still effective anduseful for the fulfilment of his/her task, or whether it was already addressed bythe risk register and can be abolished. On the basis off such an assessment, only10 IOIs were retained which were felt to be needed for the effective fulfilmentof relevant tasks. All staff are also involved in the management of the register,proposing improvements in order to make it even more effective.The introduction of the risk register for all processes identified within the LjutomerAdministrative Unit has had a positive affect on our work. We have achievedthe objective of abolishing most IOIs, and, by adopting a risk register,have enhanced the quality and effectiveness of our services and our work. Theresults are not accidental; on the contrary, they are the fruit of a thoughtful decisionto increase the effectiveness and efficiency on the basis of a risk register.123

ACHIEVING EFFICIENCY THROUGH RISK MANAGEMENT3.5 EFFECT OF IMPROVED PARTNERSHIP RELATIONSOn the basis of an analysis of the causes of discontinuities and errors in processes,monitored through the risk register, the unit has instituted a dialogue withexternal partners, based on an exchange of opinions and know-how. Since thisdialogue was instituted, indicators have shown that cases have been resolved inless time and that the satisfaction of all involved is increasing.In order further to improve the unit’s efficiency and customers’ satisfaction, webegan to monitor the time necessary to receive data from other bodies fromdatabases that these bodies keep in compliance with Article 139 of the GeneralAdministrative Procedure Act At the end of each year, these data are analysedand the providing bodies are informed thereof. Last year’s analysis already showeda major increase in the responsiveness of our providers, while analysisof the first half of this year shows 100 % responsiveness, which means that allbodies have provided data within the period specified by law.This year, the unit has started to monitor risks and delays that are due to incompletedossiers for the delivery of building and operational permits in theDepartment of the Environment and Spatial Planning and General Affairs. A listof documents that are most frequently missing is published twice yearly on theunit’s website. We thus try to minimize the risks produced by our partners andproviders that are likely to affect our risk management system. By doing so, wespeed up the resolution of matters, reduce costs and help with the overall economyand effectiveness of our unit’s operation.3.6 CONTRIBUTION TO ACHIEVING LISBON STRATEGY OBJECTIVESEndeavours to enhance effectiveness and efficiency of the administrative unittouch on all aspects of the management of the organisation, from the organisationof processes to the implementation of tasks, monitoring process efficiencyand seeking better solutions. In the context of meeting the commitment of theEU and of Slovenia to reduce the administrative burden by 25 %, the setting upof a risk register within the quality management system and the elimination ofIOIs is the realization of one of Lisbon objectives. Monitoring process activitiesthrough the risk register has definitely enhanced our efficiency. In this way,small inputs in the form of staff time may greatly increase the likelihood of successfullyachieving the set objectives.4 SUSTAINABLE QUALITYModern management and the process approach enable a greater predictabilityof objectives by reducing, through control and risk management, uncertainties124

DARIJA MOHORIČ MSC, MAJDA MEŠKO MSC, ALEKSANDRA STAMNIČAR VERONIK, HELENA SAGAJon the critical path. A risk register is a tool that enables the management processesin such a way that risk is kept at an acceptable level. The internal controlsystem provides a series of procedures and methods for risk management thatare likely to affect:— the achievement of objectives,— the transparency of operation in compliance with laws and regulations,— cost-effective, efficient and effective use of material resources,— the protection of assets, and prevention of bad management and fraud,— timely, comprehensive and reliable reporting.5 SUMMARYThe analysis carried out in Ljutomer Administrative Unit after the adoption ofthe ISO standard showed that the burden on the staff had increased. The requirementto provide detailed descriptions of processes resulted in the completerewriting of such descriptions every time there was an amendment to relaventregulations. The time spent on the maintenance of these documents could havebeen spent on activities that enhance the quality of services (monitoring legislation,participation in training seminars, carrying out professional tasks, preparingnotifications on the expiry of documents etc.). Such activities can havean indirect impact on the quality of services and contribute greatly to creatinga user-friendly administration.On the basis of these findings, the Ljutomer Administrative Unit decided toabolish all IOIs and to set up a risk register. The setting up the risk register hasproven to be a major turning point and positive advance, in terms of both rationalizationand enhanced effectiveness of the unit’s operation. The risk registerthus enabled the setting up of a systematic and regulated approach to assessment,and brought about the enhanced effectiveness of risk management, controland management processes. Risk management is the responsibility of theunit’s management, which must implement a suitable risk management policy.REFERENCES1. DSRD – Department of State and Regional Development: Risk Management Guidefor Small Business. B.k.: Global Risk Aliance URL: http://www.smallbiz.nsw.gov.,11.11.2008.2. Mohorčič Zobec Nataša: Notranje revidiranje obvladovanja tveganj v bankah, zaključnodelo Inštituta za pridobitev strokovnega naziva PREIZKUŠENI NOTRANJIREVIZOR, 2000.125

ACHIEVING EFFICIENCY THROUGH RISK MANAGEMENT3. Možič Cecilija, Lesjak Marija: Kako doseči, da register tveganj v organizaciji ne bosam sebi namen, gradivo za seminar z delavnico, 24.9. 2008.4. Nemec, Tomislav (2000) Elementi mehke kakovosti v državni upravi, Upravna enotaLjutomer, dostopno na: http://www.upravneenote.gov.si/ljutomer/o_upravni_enoti/kakovost/prispevki_in_referati_ue_ljutomer_na_temo_kakovosti/,2. 4. 2008.5. Novis, Glasilo Združenja zdravstvenih zavodov Slovenije, 2007, št. 10, URL: http://www.zdrzz.si/files/Novis_10-2007.pdf, 14. 4. 2008, članek Irma Kovač.6. Pivka Marijan, Ekonomsko-poslovna fakulteta Maribor, 2000 – zapiski.7. Spletni priročnik za kakovost poslovanja, URL: http://www.mojdenar.com, Potkonjak,Petar, 11. 11. 2008.8. Upravljanje s tveganji in analize tveganj, URL: http://www.unp.gov.si/slov/notranji_nad z o r / N o t r a n , 1.10.2008.9. Vloga UE Ljutomer za PRSPO, 2004.10. Zbornik referatov (2001) Posvet na poti k poslovni odličnosti javne uprave. Ljubljana:Ministrstvo za notranje zadeve, prispevek Strle Vidali Marjetka, 12 in 58-59.11. Zbornik referatov (2004) Konferenca Dobre prakse v slovenski javni upravi. Ljubljana:Ministrstvo za notranje zadeve, prispevek Volčnjak Jožica, 111-119.12. Zbornik referatov, Bernardin 8 in 9 november (2007) Kakovost - inovativnost inodgovornost. Ljubljana: Slovensko združenje za kakovost, prispevek Košir Aleš, DomajnkoBoris, 101 – 103.126

DARIJA MOHORIČ MSC, MAJDA MEŠKO MSC, ALEKSANDRA STAMNIČAR VERONIK, HELENA SAGAJDokumentacija Upravne enote LjutomerAnnex 1: RISK REGISTERMANAGING FINANCIAL RESOURCESDate of entryidentificationof riskRefno.Processes and objectivesSources ofinformation to identifythe riskMeasurablecriteriaDescriptionof riskRisk assessmentLikelihood1 2 3 4 5 6 7 8 7 x 8 = 9Impact..RiskratingApril 2008 5 MANAGING FINANCIAL RESOURCES5.1 Preparation of financial planFinancial plan is in line with thelegislation in force, with thecostanalysis of the precedingyear, and with the yearly plan ofLjutomer AU.– financial audit,– results of internalassessments,– results of externalassessments,– check-list to monitorthe process,– half-yearly (interim)financial report– set of indicators:CAF and PRSPOmodel criteria– half-yearly report,– relation betweenplanned and realizedactions,– legislation in force– financial plan isunsustainable because ofbad planning– too many resources arebeing transferred from onebudget account to another– budget deficit– failure to comply withlegislation2 2 4Measures to manage risks – existent controlsAdequacy ofexistentcontrolsAction required Responsible personImplementationdeadline10 11 12 13 14– appointed guardian of the process– appointed responsible person of the process of acquisition of supplies– enforcement of legislation in force and following the methodology fordrafting the budget and regulations– careful preparation of biannual financial plan and appropriate planningof financial resources (provision of funds)– analysis of spending trends in preceding financial years,– defining the scope of budgetary commitments in relation to theadministrative process– half-yearly (interim) report comprising a comparison of actualexpenditure with the plan– monthly financial plan– analysis of preceding year’s expenditure. annual financial statement1 – acting in compliance with the legislationin force, with Ministry of Financeinstructions and guidelines, cost-effectiveexpenditure in compliance with the law– financial service– responsible personof the processof acquisition ofsupplies– responsible personof the financingprocess– in compliancewith Ministryof Financeinstructions– as and whenrequired127

INTERACTIVE STATISTICAL ATLAS OF SLOVENIAKatja ŠNUDERLStatistical Office of the Republic of Sloveniakatja.snuderl@gov.si1 INTRODUCTIONThe Interactive Statistical Atlas of Slovenia is a new tool on the website of theStatistical Office of the Republic of Slovenia (SORS). It facilitates an easy reviewof selected statistical indicators on maps of municipalities and statisticalregions. Through this tool, SORS is expanding its set of web services to differentprofiles of users and invites them to discover the distinctions betweenSlovenian regions and municipalities by way of statistical data. The tool is intendedfor users who are less skilled in using statistical data, as well as for moredemanding users applying it, for example, as database support in strategic decision-makinginvolving Slovenia’s regional development.By publishing the Interactive Statistical Atlas of Slovenia, SORS is realising theobjectives of its statistical data dissemination strategy. In developing this tool,the needs of various user groups, the principles of cartographic display of dataand international experience in the area of interactive web tool developmentwere considered. This paper provides a detailed description of the basic premisesand project elements.2 NATIONAL STATISTICS AND DISSEMINATION OF STA-TISTICAL DATAThe mission of Slovenian national statistics is to provide users with statisticaldata. The regulatory framework covering national statistics (National StatisticsAct (Official Gazette of the Republic of Slovenia [Uradni list RS], Nos45/1995 and 9/2000)) provides that “users” shall mean public administrationbodies and organisations, the corporate sector and the general public. Thedata must demonstrate quality and be published in good time. They shouldalso be comparable both as to time and place and internationally, and coverall areas of human existence and creation, which includes economic, demographicand social areas, as well as the areas of environment and natural resources.SORS performs statistical services at the national level, together withauthorised providers defined in the Medium-term Programme of StatisticalSurveys 2008–2012. One of the most important tasks defined at the end of

INTERACTIVE STATISTICAL ATLAS OF SLOVENIAthe statistical process is the task most perceived by users, i.e. disseminationof statistical data.The term “dissemination” means the activity of disseminating or publishing statisticaldata and methods. The strategic policies of the national statistics coveredin the Medium-term Programme of Statistical Surveys 2008–2012 also includethe Strategy of Dissemination and Communication with Users.The objectives of the Strategy are:— user satisfaction,— increased statistical literacy,— visibility and reputation of the SORS trademark, users’ trust and effective useof statistical data, and— effective preparation, promotion and communication of information.Internationally, the role of the official (national) statistics as a basis for informeddecision-making, being one of the fundamental elements of democracy,has been increasingly emphasised in recent years. Official statistics provideinternationally comparable data obtained by scientific methods and commonprinciples of statistical data quality. In most countries, the set of statistical dataoffered by the official statistics is very comprehensive, while their use is quiteoften limited or poorly developed. There are various reasons for this situation:from poor acquaintance of users with the set of accessible statistical data tothe demanding search for adequate data and their proper understanding andinterpretation. Therefore, several statistical offices increasingly emphasise theimportance of better accessibility and comprehensibility of statistical data.(Thygesen, 2008)In planning the development of the Interactive Statistical Atlas of Slovenia, theexperience of other international organisations and foreign statistical officeswas considered. By organising the conferences entitled “Innovative Approachesto Turning Statistics into Knowledge” (Rome 2007, Stockholm 2008, Washington2009), the Organisation for Economic Cooperation and Development(OECD) encouraged an intensive exchange of experience in the internationalenvironment. By publishing the new tool, SORS is joining the newest guidelinescovering the development of web services for statistical data users.3 STATISTICAL DATA USERS AND THE INTERNETWith the appearance of the Internet, the number and structure of statistical datausers have radically changed. In the period of printed publications, SORS hadtransparent databases of users (clients) at its disposal, and personal visits of us-130

KATJA ŠNUDERLers to the Office were nothing rare. There were fewer users who, as a rule, werestatistically educated and their needs were easier to monitor. The outset of publishingdata on websites saw a substantial increase in their number; their skillsand needs became quite differentiated, while the possibilities of their identificationwere very limited.In developing websites, it is not possible to satisfy the needs of all users by applyingthe same methods of presenting statistical data. Therefore, SORS’s productsvary in respect of various needs and possibilities of statistical data applicationdetermined by the statistical and computer literacy of user groups. Usergroups can be defined in various ways. The initial segmentations of users werebased on the area of activity of particular users (public institutions, schools,research community, media, etc.), while recently there has been an increasingtendency to generally classify them into three groups: the so-called “tourists”(schools, media, general public – users with general interest), “producers” (decision-makers,managers – users with business interest) and “miners” (universities,experts, government institutions – users with research interest). This usersegmentation in the area of statistics was first applied by Grossenbacher (2006).In spite of the fact that this segmentation allows different interpretations, it neverthelessemphasises substantial differences as to the interests, skills and needsof individual user groups.Because of its clear and simple communication capacity, interactivity and dynamicpresentation of phenomena, the Interactive Statistical Atlas of Sloveniais a suitable tool for the widest circle of users. Although primarily intendedfor the general public, it nevertheless offers more demanding (business or research)users additional options provided by supplementary definitions andlinks to detailed or more updated information.4 CARTOGRAPHIC PRESENTATION OF STATISTICAL DATAFor different profiles of users, SORS is preparing various products, one of theconstants being data visualisation. The most common methods of data visualisationare charts and maps. The primary objective of data visualisation is tocommunicate information in a comprehensible and effective manner by wayof computer graphics. To emphasise the idea in an effective and aesthetic waymeans that, instead of complex databases, key views are presented in an intuitivemanner.Maps are the most efficient tools to visualize spatial patterns. When carefullydesigned and presented, they are more than just decorative features in astatistical presentation. They can help people identify and highlight distribu-131

INTERACTIVE STATISTICAL ATLAS OF SLOVENIAtions and patterns that might not be apparent from tables and charts. If “a pictureis worth a thousand words”, then “a map is worth a thousand numbers”.In our visual era, maps are a powerful information medium. They serve asvaluable decision-making tools for experts, politicians and the general public,and meet a growing demand for information in all parts of society (UNECE,2009).Well designed maps are easy to understand. It is typical of many software solutionsthat during the development stage a new tool, although easy to use and intuitiveand not requiring specific training, demands most analysis, intellectualinput and thorough testing. Solutions which at first sight seem complex andexacting, perhaps indeed support demanding processes, however they usuallyreflect the fact that the implementation was not designed to sufficiently emphasisethe end user’s needs. The same is also true of the content-related preparationof maps on which any data can be displayed. However, the sole displayingof data in space does not ensure the communication capacity of the map. Inorder to display data on maps, the absolute statistical data must be convertedinto indicators, as this is the only way to ensure comparability between unitsof various sizes. Thus, the Interactive Statistical Atlas of Slovenia shows indicatorsper 1,000 population in a region or municipality, coefficients, indices,averages, various structures (percentages) and also a number of calculationsper municipality surface area. The explanations of the meaning of individualindicators are displayed below the chart, where users are also offered links tomore detailed data published on SORS’s web pages.5 DESIGN AND PROJECT IMPLEMENTATIONIn recent years, SORS has published several printed publications for the purposeof presenting statistical data at lower territorial levels (e.g. SlovenianRegions in Figures and Slovenian Municipalities in Figures, published in 2009for the first time). Through cartographic methods of presenting statisticaldata we wish to encourage discussions on regional differences in Sloveniaand facilitate the appropriate design of regional development strategies. Thepresentation of statistical data has for quite some time been facilitated by theSI-STAT data portal, which is basically intended for more demanding users.In order to effect the map display, the data must first be found in the correspondingtable and typed on the monitor. However, more advanced tools fordata display on maps, which have in recent years been developed internationally,provide for the display of pre-produced data suitable for cartographicpresentation. Although the development of such a tool requires a more sophisticatedprocedure of preparing data and producing the tool, it qualifiesfor use by a wider circle of users.132

KATJA ŠNUDERLSORS developed the Interactive Statistical Atlas of Slovenia in cooperation withthe company Monolit d.o.o., selected by way of a public call for tenders. The keytasks in developing this web tool were performed by the Dutch company MappingWorld, which had also developed similar tools for the International MonetaryFund (IMF Data Mapper) and the World Bank (Millennium DevelopmentAtlas, World Bank Atlas). The development stage was concluded in December2008, while the Atlas has been accessible on the SORS website since June 2009upon the completion of the operational test period. The tool is designed in twolanguages, i.e. Slovene and English.The innovative web information solution thus enabled SORS to transfer andadapt international good practices for the benefit of Slovenian statistical datausers. The basic policy in producing the tool was to make it as simple as possible,as well as to ensure flexibility and adaptation to specific characteristics ofthe Slovenian environment. Consequently, the tool facilitates the supplementationof new content, the display of the number and boundaries of municipalities,and presentation of data in various time series.We included in the Interactive Statistical Atlas of Slovenia the initial set of indicatorsprepared according to data previously published on SORS’s web pages.When the set of indicators will be expanded, it would be wise to include dataproduced by other public institutions.The criteria for the selection of indicators and data intended for publication:— socially topical statistical data and/or statistical data of interest to the generalpublic;— availability of quality data at the level of municipalities and statistical regions,and— suitability of a phenomenon for cartographic presentation.One of the important functions of web applications is the promotion of nationalstatistics among the general public and in national institutions. As thestatistical data entry point for integration in various websites, we intend to offerthe Interactive Statistical Atlas of Slovenia to other national institutions, particularlyto public sector organisations which operate in the area of regionaldevelopment.6 HOW TO USE THE INTERACTIVE STATISTICAL ATLAS OFSLOVENIAThe tool is intended for use in a web browser. Its functioning was tested withthe two most widely used browsers, i.e. Internet Explorer and Mozilla Firefox.133

INTERACTIVE STATISTICAL ATLAS OF SLOVENIAThe use of the tool requires the user to install Adobe Flash Player, which is quitea common requirement of modern websites with interactive content.Starting the application brings up the welcome window. To display a map, theuser must select either content or an indicator. Interactivity means that the usercan control individual functions by using the mouse. These functions are thefollowing:a) moving the cursor across the map or chart displays data on the map;b) selecting individual regions on the map or in the pull-down menu limits thedisplay to the selected region;c) in selecting the region, the chart also displays only data for the selectedregion;d) charts facilitate the arrangement of regions or municipalities according todata and consequently an easy assessment of the highest or lowest values;e) the field providing methodological explanations includes basic definitionsand a link to more detailed data;f) users can save the displayed image or data for the selected indicator at anytime on their computer.A specific mode of cartographic presentation features so-called “metamorphoses”.In this mode, the surface area of territorial units (regions or municipalities)changes according to the size of the selected phenomenon. In terms ofcomprehension, this mode is somewhat more demanding. However, in comparisonwith the arrangement of spatial units in a limited number of classes, itfacilitates a more attractive illustration of distinctions.Due to the technical requirements of this type of data display, the metamorphoseswere included in the initial version of the Interactive Statistical Atlas ofSlovenia only for the last reference year (2007) relating to the following threeindicators: number of population, number of persons in employment and selfemployedpersons, and number of unemployed persons in a region or municipality.The colours used on the map reflect data for the selected content, whilethe size of spatial units reflects the selected metamorphosis.7 SUMMARYStatistical data are an important basis for both the preparation of strategic documentsand a review of the achievement of set objectives. Because of its clearand uncomplicated communication capacity, interactivity and dynamic presentationof phenomena, the Interactive Statistical Atlas of Slovenia is a suitabletool for the widest circle of users. This is an innovative solution which imple-134

KATJA ŠNUDERLments international examples of good practice into the Slovenian environment.It facilitates an easy review of selected statistical data and indicators on interactivemaps, as well as the presentation of time-related types of data at the level ofstatistical regions and municipalities.The Interactive Statistical Atlas of Slovenia is also intended for users with lowerstatistical literacy and persons who do not have their own tools for the cartographicpresentation of data. The tool facilitates an easy review of otherwisecomplex data and phenomena, and the rules of their arrangement in space.Quite often, a phenomenon described by statistical data is easier to understandon maps than in other forms of presentation. In designing the tool, the needsof various user groups, the principles of cartographic indication of data andmodern web technology were considered. The tool has been accessible to userssince June 2009 on the SORS website (http://www.stat.si/).8 SOURCES AND BIBLIOGRAPHY1. Grossenbacher, Armin. 2006. The shift from print to electronic publishing. Strategy,concepts and daily life in dissemination of statistical information. IMAODBC, Avila,Spain.2. Medium-term Programme of Statistical Surveys 2008–2012, Uradni list RS (OfficialGazette of the Republic of Slovenia), No 119/2007.3. Ponniah, Paulraj. 2001. Data Warehousing Fundamentals: A Comprehensive Guidefor IT Professionals. A Wiley-Interscience Publication. New York / Chichester / Weinheim/ Brisbane / Singapore / Toronto.4. Rosling, Hans. 2007. Visual technology unveils the beauty of statistics and swaps policyfrom dissemination to access. Statistical Journal of the IAOS 24: 103–104.5. Ten Bosch, Olav, De Jonge, Edwin. 2008. Visualising official statistics. Statistical Journalof the International Association for Official Statistics, Special issue: Web 2.0 andOfficial Statistics. Vol. 25, Numbers 3, 4: 103–124.6. Thygesen, Lars, Sundgren, Bo. 2008. Innovative approaches to turning statistics intoknowledge. Statistical Journal of the International Association for Official Statistics,Special issue: Web 2.0 and Official Statistics. Vol. 25, Numbers 3, 4: 93–102.7. UNECE: Making Data Meaningful. Part 2. Style guide on the presentation of statistics.Final draft, July 2009.8. Zakon o državni statistiki (National Statistics Act), Uradni list RS (Official Gazette ofthe Republic of Slovenia), Nos 45/1995 and 9/2000.9. Wikipedia, Free Encyclopaedia: Data visualization. Internet source: http://sl.wikipedia.org/wiki/Podatkovna_vizualizacija, 18.8.2009.135

ADMINISTRATIVE UNIT CELJE: COOPERATIONWITH THE MEDIA FOR A MORE EFFICIENT ANDUSER-FRIENDLY PUBLIC ADMINISTRATIONDamjan VREČKO, Jožica TAMŠE, MSc.Celje Administrative Unitue.celje@gov.si1 INTRODUCTIONThe primary goal of any public administration body should be to provide efficientand user-friendly service. Decreasing differences between administrative andservice activities brings about a sharply different concept of public administration,which, through a variety of contents and forms, becomes more businesslike.The Celje Administrative Unit has material and territorial jurisdiction over fourmunicipalities: the Urban Municipality of Celje, with 48,991 inhabitants, the Municipalityof Dobrna, with 2,179 inhabitants, the Municipality of Vojnik, with8,287 inhabitants and the Municipality of Štore, with 4,260 inhabitants. CeljeAdministrative Unit serves a total of 63,717 inhabitants 1 and covers an area of230 km 2 . Celje Administrative Unit has two local offices, in municipal premisesin Vojnik and Dobrna.2 DESCRIPTION OF THE SOLUTIONIn 2007, Celje Administrative Unit, in order to enhance its effectiveness and toestablish better communication with its clients, began to publish answers toFAQs in the media. These FAQs are collected from three sources: questions putdirectly to the advisor for customer assistance, questions received via email andquestions concerning relevant amendments to legislation. The aim is to make thepublic administration more accessible to the general public and provide advanceinformation on topical issues. The information is broadcast on local televisionin a weekly programme called “UE Celje svetuje” (Celje Administrative Unit advises)and published weekly in the local newspaper CELJAN, and in some otherlocal newspapers. All the answers concerning various administrative fields arealso published and available on the Celje Administrative Unit website.1Source: Statistične informacije-Prebivalstvo (Statistical information – Population) of 17.6.2009,No. 27.2Situation as per 30 June 2009.

ADMINISTRATIVE UNIT CELJE: COOPERATION WITH THE MEDIA FOR A MORE ...Table 1: Articles published in the media:No. Published in no. of articles in 2008 no. of articles in 2009 21. DELO, VEČER, NT, Dobro jutro 12 52. CELJAN 52 263. Ogledalo (Vojnik) 2 14. Štorski občan 2 15. Dobrnčan 4 26. Celjska TV 40 emissions 25 emissions7. Press conferences 2 1The head of the Celje Administrative Unit answersthe questions personally. This is well acceptedby the general public, since it shows apositive attitude of the public administrationtowards its clients.On TV Celje, the programme “Celje AdministrativeUnit advises and answers your questions”is broadcast every Friday in prime time and repeatedon Saturdays and Sundays.Here is a list of the most frequent questions towhich the head of the Administrative unit hasalready answered in the cited TV programmeand have also been published in the local newspapers:— Where do I apply to get an extract from theRegister of Births, Marriages and Deaths, or acitizenship certificate?— How long does it take to obtain a new passport,a new identity card? How much does itcost?— Where do I unregister my car?— What documents do I need when applyingfor a visa extension?— What documents must I attach to a letter ofguarantee for a business visit?— When an identity card is delivered to a 9-yearold, must the child be present?— What must I do before starting to repair asupporting wall?Picture 1 Article from thenewspaper “Celjan”138

DAMJAN VREČKO, JOŽICA TAMŠE, MSC— What permits do I need for the construction of a shed?— Where do I get a document attesting that a certain building was constructedbefore 1968?— We want to modernise a barn. What permits do we need?— What are the requirements to set up a business as an independent businessperson?— What are the requirements for obtaining a change the intended use of an agriculturalplot?— Where do I apply to get a certificate of permanent residence, and on the periodof residence in the Urban Municipality of Celje?3 MEETING REQUIREMENTSCelje Administrative Unit, from the moment when it decided to provide advisoryassistance also through the media, has become more visible and, consequently,able to offer a more satisfactory service to its clients. This claim is supportedby the results of regular yearly and monthly (barometer) surveys, from entriesin the book of remarks and commendations, yearly surveys carried out in enterprises,yearly surveys among members of the coordinating advisory committee,and surveys carried out by the media.Regular yearly surveys of user satisfaction:The key result evident from these surveys is that the quality of services is constantlyrising. Furthermore, users are aware of the efforts that Celje AdministrativeUnit has been making for the past thirteen years constantly to improve itsservice. The surveys indicate that the quality of service surpasses users’ expectations.Table 2: Quality of service (survey results)Graph 1: Yearly surveys of usersatisfaction2006 2007 2008Celje Administrative Unit 4,29 4,44 4,72139

ADMINISTRATIVE UNIT CELJE: COOPERATION WITH THE MEDIA FOR A MORE ...Quality barometerSince 2006, the Slovenian Public Administration has been carrying out surveysof user satisfaction by way of short questionnaires, which are either sent bypost together with documents requested by a customer, or filled in at the counter.The table shows average and above average results for Celje AdministrativeUnit, in comparison to the mean value calculated for the whole country, for2006 and 2007, and slightly below average results in 2008. However, the averageresult of 4.58 indicates that our users are extremely satisfied with the qualityof services provided, with the attitude of civil servants and with the way thepremises of the Celje Administrative Unit are kept.Table 3: Monthly surveys of user satisfaction -BarometerGraph 2: Monthly surveys of user satisfaction– Celje Administrative Unit2006 2007 2008Celje Administrative Unit 4,46 4,66 4,58Surveys carried out among members of the coordinating advisorycommitteeIn 2008, the third consecutive survey was carried out among members of thecoordinating advisory committee, The survey gathered information on thefollowing topics: service quality, expertise of civil servants, responsiveness ofcivil servants, assessment of the premises, equipment and environment, availabilityand comprehensibility of information, time for processing applications,one-stop-shop procedures, level of knowledge of staff, is the service providedas soon as possible, readiness to help the customer, The results are the following:Table 4: Surveys among members of thecoordinating advisory committee - resultsGraph 3: Surveys among members of thecoordinating advisory committee - resultsYear 2006 2007 2008Average 4,45 4,77 4,46140

DAMJAN VREČKO, JOŽICA TAMŠE, MSCSurvey of media satisfaction with the quality of communication withCelje Administrative UnitA survey inquiring about media satisfaction with the quality of communicationwith Celje Administrative Unit and the quality of information provided wasconducted for the first time in 2008.Table 5: Media satisfaction survey - resultsQuestionWould you say the work of the AdministrativeUnit is interesting for your readers?Is information provided in an understandableway?Evaluation3,923,67Is information provided of a professional level? 4,5Cooperation with Celje Administrative Unit 3,83Visibility of Celje Administrative Unit in the media 4,33Staff attitude 4,67Accessibility and orderliness of Celje AU premises 4,67Willingness to provide information 4,5Graph 4: Evaluation of individualelements of media exposure of CeljeAdministrative Unit3,67Economic sector satisfaction surveysCelje Administrative Unit also evaluates the satisfaction of the economic sectorwith the quality and friendliness of its services and uses the results as the basisfor further improving the quality of its services. In January 2009, the secondenterprise satisfaction survey was carried out. The questionnaire was sent to 86enterprises established within the area of Celje Administrative Unit which hadused our services in 2008. The survey gathered information on the following topics:service quality, expertise of civil servants, responsiveness of civil servants,assessment of the premises, equipment and environment, availability and comprehensibilityof information, time for processing applications, one-stop-shopprocedures, level of knowledge of staff, is the service provided as soon as possible,readiness to help the customer. Answers are shown in the table below.Table 6: Enterprise satisfactionsurvey resultsGraph 5: Major enterprise satisfactionsurvey resultsYear 2007 2008Average 4,42 4,46141

ADMINISTRATIVE UNIT CELJE: COOPERATION WITH THE MEDIA FOR A MORE ...Entries in the book of remarks and commendationsIn order to monitor, analyse and constantly improve our services and in orderbetter to appreciate the requirements of our users, we collect and analyse entriesin the book of remarks and commendations, and remarks sent by eithere-mail or regular mail.The table below shows that the number of entries in the book of remarks andcommendations is steadily growing and that, in particular, the number of commendationsis increasing. In 2006, they were 45%, in 2007 86% and in 2008 97%.Table 7: Entries in the book of remarksand commendationsGraph 6: Share of commendations inrelation to the total number of entries2006 2007 2008Commendation 27 61 71Remark 29 10 1Grievamce 4 1Total 60 71 733.1 INNOVATIONInnovation is no longer a driving force reserved only for the economic sector; itis also welcome in public administration Such a user-oriented strategy of publicadministration bodies has resulted in a growing number of innovations withinthe domain. In the context of its advisory activities, also provided throughcommunication with the media, Celje AU has promoted a series of innovativesolutions and introduced them in the public administration environment. Variousactivities have been carried out in this domain, such as:— even before e-government was introduced, Celje Administrative Unit preparedinformation for its users in both leaflet 3 and electronic form, containinginstructions concerning individual administrative procedures and sample applicationforms,— a CD ROM showing the most common mistakes made by candidates for a Bcategory driving license was published,— electronic documents for the introduction of a quality management systemwere prepared,3Fold-out (presentation of the Celje Administrative Unit), Leaflet on the Celje Administrative Unit,Guide of the Celje Administrative Unit, Collection of sample applications.142

DAMJAN VREČKO, JOŽICA TAMŠE, MSC— and the head of the Unit introduced regular monthly “informal” meetings withstaff over “morning coffee”.3.2 RESULTSAdministrative units, as part of public administration, provide a variety of servicesto their users, mostly in the domain of internal administrative affairs (identitypapers, registration of residence and vehicles, driving licenses, civil registry),environment and spatial management (building and operational permits), agricultureand economy (trade in agricultural land, reference parcels – GERK, e-vem), labour, family and social affairs (war victims), etc.Through the presentation of our work in the media and by providing answersto the most frequently asked questions in local newspapers and TV stations, westrive to raise the quality and effectiveness of our administration, and make iteven more transparent, accessible and user-friendly. The goal we have set is toenhance the satisfaction of our customers and employees, and reduce costs.The results of yearly surveys show that this system of interaction is favourablyaccepted by the general public, which is satisfied with the answers and informationconcerning innovations in legislation provided in the media.The following table shows how the customers evaluated the availability andcomprehensibility of information (yearly customer satisfaction survey):Table 8: Customers’ evaluation of theavailability and comprehensibilityof informationGraph 7: Customers’ evaluation of theavailability and comprehensibility ofinformationYear 2006 2007 2008Evaluation 4,32 4,40 4,553.3 COOPERATION AND PARTNERSHIP RELATIONSCelje Administrative Unit cooperates with other local public administrationbodies within its coordination advisory committee. Cooperation focuses onactivities for solving problems in areas of common interest, such as relations143

ADMINISTRATIVE UNIT CELJE: COOPERATION WITH THE MEDIA FOR A MORE ...with customers and staff, harmonisation of legal ambiguities, and preparationof common answers to FAQs.Specifically, the questions received by the administrative unit or by the advisorfor customer assistance – by phone, regular or email, often reach beyond thefield of work of the unit. Such questions are referred to the institution responsiblefor the relevant area, and the answer is sent to both the customer and tothe media.4 SUMMARYThrough its advisory and assistance operations, Celje Administrative Unit ismaking its operation more efficient and raising its quality, contributing to theelimination of administrative barriers affecting its clients and employees, andenhancing the satisfaction of all users of our services. Responding to FAQs andproviding information on legislative innovations in the media has proven to bean excellent means of shaping a more efficient and user-friendly public administration.Positive developments may be observed in speedier completion ofprocedures, reduced operational costs, reduced costs for users and, in particular,in greater satisfaction of both users and staff.144

REDUCING THE RESPONSE BURDEN OFREPORTING UNITS THROUGH HARMONISATIONOF ENVIRONMENTAL DATA COLLECTIONMojca ŽITNIK, MScStatistical Office of the Republic of Sloveniamojca.zitnik@gov.si1 INTRODUCTION1.1 THE STATISTICAL OFFICE OF THE REPUBLIC OF SLOVENIAThe Statistical Office of the Republic of Slovenia (SORS) is an independent governmentinstitution and the principle provider of national statistics, as well asfacilitator and co-ordinator in this area. Its principle tasks are: international cooperation,determination of methodological and classification standards, anticipationof users’ needs, collection, processing and dissemination of data, and takingcare of their confidentiality. The national statistics provides the public administrationbodies and organisations, the economy and the general public with dataon the existing conditions and trends in the economic, demographic and socialfield, as well as in the field of the environment and natural resources.In performing its activities, SORS is, as a matter of priority, advocating the positionthat the national statistics should be high quality and user friendly. Inthe past, the quality of statistical data was primarily considered in connectionwith data accuracy in the narrower sense (in particular, in the balance betweenstatistical data and true values). However, in the last decade, the statistical disciplinehas made great progress with regards to the quality of statistical data.1.2 DEPARTMENT FOR ENVIRONMENT AND ENERGY STATISTICSThis department is one of the three departments in the Environmental StatisticsSector. Among other tasks, the department collects data on water (public water-distributionsystem and public sewage system supply, water use in industry,agriculture and construction, and irrigation water use), waste (waste generationand treatment in production and service activities, public waste removaland landfills), environmental disasters, environmental protection expenditure(investment and current expenditure for environmental protection), environmentalaccounts (air emissions and material-flow accounts) and energy. Datawhich represents the basis for individual statistical surveys in this area is ob-

REDUCING THE RESPONSE BURDEN OF REPORTING UNITS THROUGH HARMONISATION ...tained at reporting units, while the results are published once a year in the FirstRelease and in the SI-Stat database on the web site, in the Statistical Yearbook,and partly also in the publication entitled Slovenia in Figures.1.3 SORS SURVEYS ON WASTESORS carried out a pilot statistical waste survey in 1991 and in the followingyear this survey became part of its regular survey activities. During the initialperiod, these surveys were performed every three years (i.e. in 1992, 1995, 1998and 2001). During individual years, the methodology of data collection sawsubstantial changes, developments and supplementations, accompanied bythe expansion and supplementation of the list of reporting units. The resultwas that the coverage differed from survey to survey. Therefore, data on wastecannot usually be compared reliably in time series. In 2001, SORS decided torevive waste surveys. Taking account of the Eurostat requirements, it definedthe methodology of waste data-collection, harmonised the waste classificationlist in order to bring it in line with all EU Member States, and determined thedata-collection threshold, meaning that data acquisition would cover all unitsemploying 10 or more employee. By considering these requirements, wastesurveys across EU Member States were harmonised, which also provided themore-detailed data on waste required for biannual reporting to Eurostat accordingto the Joint OECD/EUROSTAT questionnaire. When Slovenia joinedthe EU and adopted the Waste Statistics Regulation, the reporting of data onwaste to Eurostat became obligatory.1.4. EARS SURVEYS ON WASTEThe Environmental Agency of the Republic of Slovenia (EARS) has in the past,and independently of SORS, also monitored the generation and treatment ofwaste in Slovenia. Because EARS is not dependent to Eurostat, it was not obligedto consider Eurostat instructions and recommendations. Therefore, it carriedout surveys according to its own methodology. It considered its own list ofreporting units and sent the data thus obtained to the European EnvironmentAgency (EEA). Owing to the differences in the method of data collection, thefinal data collected by EARS substantially differ from those obtained by SORS.2 REASONS FOR ARRANGEMENT WITH EARSOne of the principle tasks of SORS is to collect data in various fields, including theenvironmental field. SORS has been collecting data on environmental occurrencefor almost 20 years. Almost the same is true of the Environmental Agency of the146

MOJCA ŽITNIK, MSC.Republic of Slovenia (EARS), as it has also been collecting environmental datafor a number of years. Every year, the two institutions invested much time, work,energy and money into the acquisition of this data. Eventually, however, theyhad at their disposal entirely different data on the same matter.The differences between the data of the two institutions primarily resulted fromdifferent methods of data collection. Due to different collection methodology, inparticular, alongside a different list of reporting units and different processing ofthe data obtained, the final data collected at SORS substantially differed from thatcollected by EARS. This was particularly true of data on waste, because the twoinstitutions collected fully identical data, but using different methodology andmostly at different reporting units. The consequence of these various methodsof data collection was that the two institutions operated with different data. Thesituation became even more complicated when the two institutions separatelysent their respective data to various European and domestic databases, SORS toEurostat and EARS to EEA. Both at home and abroad, Slovenia thus presenteddifferent data on waste. An additional difficulty caused by double data collectionwas also a double burden imposed on the same reporting units, and, of course,effectively doubled costs for processing the data obtained.PRIOR to thearrangementEARS− approximately 1,200 units covered bysurvey− data published in raw form withoutadditional controls− raw data sent to EEASURS− approximately 3,700 units covered bysurvey− data published in consolidated form− consolidated and processed data sentto EurostatAFTER thearrangement− approximately 6,000 units covered by survey− consolidated and processed data published− identical data sent to EEA and EurostatDuring the 1990s, environmental data became increasingly important. This datawas the basis for launching the design of analysis and forecasts for the future.This, of course, called for a high level of accuracy, credibility and reliability.Environmental data was also the basis for producing analyses of drinking water,water pollution, water stocks, environmental pollution caused by excessiveamounts of generated waste and, in particular, by the disposal of excessiveamounts of this waste, as well as analyses of the emission of harmful substancesinto the atmosphere and greenhouse gas emissions, etc.For all these reasons, SORS and EARS began, at the beginning of 2001, discussingan agreement on joint collection of data on waste in Slovenia. Afterinitial difficulties, this process saw the design of a common methodology andcommon questionnaires, which have been used for collecting data on wastesince 2002.147

REDUCING THE RESPONSE BURDEN OF REPORTING UNITS THROUGH HARMONISATION ...The common methodology is founded on the requirements of SORS, which isbound by the requirements of EUROSTAT and the Waste Statistics Regulation(EC 2150/2002), and the requirements of EARS, which is bound by the WasteTreatment Regulation (34/2008).This co-operation and the design of common questionnaires for data collectionresulted in:— reduction of administrative burden of reporting units,— reduction of costs for carrying out surveys and— harmonisation of data.Following the successful introduction of co-operation in waste statistics, SORSand EARS extended their partnership work to other environmental areas andprecisely defined/determined the transfer of environmental data from oneinstitution to the other. Thus, they harmonised and legally regulated otherareas of environment statistics, and drafted a legal and formal Agreement onRationalisation of Data Collection in Environment Statistics in Slovenia.3 AGREEMENT ON RATIONALISATION OF DATA COLLEC-TION IN ENVIRONMENTAL STATISTICSThe idea of an agreement between the two institutions arose soon after thecommencement of preparations for a common methodology and the introductionof common questionnaires for waste statistics. In 2002, an agreement on cooperation,including a detailed definition of distribution of tasks to be performedin the area of waste by the individual institutions, was drafted. The tasks havebeen distributed so that EARS primarily attends to the send and receive ofquestionnaires, while SORS is in charge of the preparation, processing, analysingand tabulating of data and results. Upon completion of a survey, both institutionsuse the obtained data for international and domestic reporting. The introductionof the agreement and the distribution of tasks has allowed costs to be reducedin the implementation of surveys, eased the response burden on reporting unitsand harmonised the presentation of data. So far, the results of the Agreementhave been very positive. Therefore, both institutions have decided to extendtheir co-operation to the exchange of data on air, biodiversity and environmentaltaxes. In the initial stage, the agreement consisted of four annexes: waste statistics,emission data, biodiversity and environmental taxes. Firstly, it was implementedon a voluntary basis, and then in 2007, the two institutions signed the agreementand thus also formally regulated their co-operation.In view of the positive experience gained on the basis of the officiallyconcluded and signed agreement, co-operation was subsequently extended148

MOJCA ŽITNIK, MSC.to an additional three environmental areas. SORS and EARS supplementedthe existing agreement with annexes covering the exchange of data in waterstatistics, environmental taxes and the quantity and content of liquid fuels, andbiofuels and other renewable fuels for motor vehicle propulsion in road traffic.Although the supplement to the agreement has been in effect since 2007 (waterand environmental taxes) and 2008 (fuels), respectively, it has not yet beenofficially signed. It is expected that the signing will still take place in this year.4 SORS – EARS CO-OPERATION RESULTSBy establishing co-operation and signing the agreement on joint collection ofenvironment statistics, SORS and EARS:— established close partner relations,— harmonised data in the environmental area,— reduced the operational costs of both institutions and costs for carrying outindividual surveys,— did away with confusion among data users and— in particular, eased the response burden of reporting units.The positive effects of co-operation can also be observed in the light ofinnovation and sustainable data quality, and also as a contribution to meetingthe objectives of the Lisbon strategy.— InnovationThe innovative nature of the described solution is particularly emphasisedby a higher level of harmonisation between the two institutions, which havedifferent databases at their disposal covering the same area. A good exampleis air or greenhouse gas emissions: as the body in charge of the calculation ofgreenhouse gas emissions, EARS is using the existing energy sector databases,which, on the other hand, are updated with data collected and entered bySORS. The calculations of greenhouse gas emissions made by EARS are takenover by SORS and used to calculate emissions of harmful substances into theair. Consequently, both institutions use the same databases, enhance their cooperationand lessen the burden on reporting units.— Sustainable qualityBy signing the Agreement on Rationalisation of Data Collection Harmonisation inEnvironmental Statistics in Slovenia, SORS and EARS harmonised the collectionand processing of environmental data, thus ensuring a sustainable quality offuture data. By applying this harmonised data, Slovenia can, accordingly, presentitself both at home and abroad with confidence and a single approach.149

REDUCING THE RESPONSE BURDEN OF REPORTING UNITS THROUGH HARMONISATION ...— Contribution to implementation of the Lisbon strategy objectivesAmong other things, the objectives of the Lisbon strategy aim at increasingthe efficiency of national public administration, improving the quality ofits services and strengthening its advisory function. The establishment ofco-operation between SORS and EARS indeed raised the efficiency of thepublic administration, as it contributed to the reduction of the costs of surveyimplementation and eased the burden on companies. This, of course, wasalso accompanied by an increase in quality, as environmental data requiredfor future analyses, projects and plans were harmonised and correspondinglyimproved. The advisory role of the two institutions thus acquired added valueresulting from their single appearance and the single approach to advisoryservices provided for users and reporters of these data.5 CONCLUSIONBy signing the Agreement on Rationalisation of Data Collection andHarmonisation in Environment Statistics in Slovenia, SORS and EARS madea major step towards the reduction of response burden on reporting units.A detailed distribution of work in carrying out surveys and determinationof procedures, as to what and when was involved, and how, simplified theexchange of administrative data between the two institutions, reduced thecosts of collecting and processing data, eased the burden on reporting units,over-burdened as they already are, and, of course, harmonised environmentalstatistics and data representing Slovenia both at home and abroad.6 SUMMARYIn a time characterised by lack of time, which is particularly true of reportingunits, and the further need for cost reduction, all progress is welcome. Somefive years ago, SORS and EARS followed current trends and tried to introducejoint surveys in the field of waste statistics. By harmonising surveys, the twoinstitutions reduced the response burden on reporting units and survey implementationcosts, and, in particular, harmonised the results or data that are requiredfor environment-related national and international reporting purposes.In the light of good results in the area of waste statistics, SORS and EARS extendedtheir co-operation to other environmental areas, such as water, air (air emissions),biodiversity and environmental taxes earmarked for environmental protection.At the beginning of 2007, they signed the Agreement on Rationalisationof Data Collection and Harmonisation in Environment Statistics in the Republicof Slovenia, thus finalising the establishment of their joint co-operation.150