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FIG PUBLICATION NO. 41
Capacity Assessment in Land Administration
Stig Enemark, Denmark, and Paul van der Molen, the Netherlands
Contents
Foreword
Executive Summary
1. Introduction
2. What Is Capacity Assessment?
2.1 Capacity Building
2.2 Levels and Dimensions of Capacity Building
2.3 Capacity Development
2.4 Capacity Assessment
3. Basic Land Administration Principles
3.1 Definitions of Land Administration (LA)
3.2 Developing a logical framework for capacity assessment in
land administration
4. Methodology
5. Self Assessment Guidelines
5.1 Introduction
5.2 Land Policy Framework ('what does LA do')
5.3 Institutional Infrastructure ('how is LA organized')
5.4 Human Resources and Professional Competence ('who carries out
LA')
Bibliography
Orders for printed copies
This FIG Guide is facing the widely stated problem of poor institutional
capacity of land administration agencies in many developing and transition
countries. Responding to this problem is not simple. The challenges of
building capacity in land administration are immense and not similar to just
human resource development. Capacity building must be seen as a broader
concept of building the ability of organisations and individuals to perform
functions effectively, efficiently and sustainable.
The Guide aims to function as a basis for improving existing land
administration systems through in-country self-assessment of the capacity needs
especially in developing and transition countries where the financial resources
often are limited. The government may form a group of experts to carry out the
analysis, as a basis for political decisions with regard to any organisational
or educational measures to be implemented for meeting the capacity needs.
The research behind this publication was initiated and funded by the Food and
Agriculture Organization of the United Nations (FAO). FIG and FAO hope that this
Guide can contribute to developing effective and efficient land administration
infrastructures especially in developing and transition countries in support of
poverty reduction, economic growth, good governance, and sustainable
development.
Stig Enemark
FIG President |
Paul Munro-Faure
Chief, Land Tenure and Management Unit
FAO |
Land administration covers a number of functional areas in relation to
governing the possession and use of land. It comprises a range of systems
and processes to administer land rights, land valuation and taxation, and
existing and future land use. Land administration systems are concerned with
the social, legal, economic and technical framework within which land
managers and administrators must operate.
This Guide addresses the ability/capacity of land administration systems at
the societal and institutional level as well as the individual level in terms of
professional competence and human resource development. The guidelines are
developed to serve as a logical framework for addressing each step in the
process of building adequate land administration systems - from land policy,
policy instruments, and legal framework; over mandates, business objectives, and
work processes; to needed human resources and training programs. For each step
the capacity of the system can be assessed and possible or needed improvements
can be identified.
This FIG Guide attempts to provide some practical guidance in addressing the
capacity needs. The first part of the Guide provides a general understanding of
the capacity building concept. It is emphasised that even if the key focus may
be on education and training, to meet the short and medium term needs, capacity
building measures should be addressed in a wider context of developing
institutional infrastructures for implementing land polices in a sustainable
way.
The second part of the Guide presents a methodology for an in-country
self-assessment of capacity needs and some suggestions for addressing these
needs. The methodology is based on a three stage approach by addressing firstly
the national land policy framework (the societal level), secondly the
institutional infrastructure (the organizational level), and finally the human
resources and competences (the individual level). The guidelines are presented
in the form of boxes with relevant questions to be analysed for assessing and
addressing the capacity needs.
It is of course recognised that individual countries are facing specific
problems that may not have been addressed in these guidelines at all. Hence, the
guidelines are meant as a tool for undertaking a structured and logical analysis
of the capacity needs.
In short, the guidelines are designed to pose the right questions in a
structured way rather than giving all the right answers.
1. Introduction
All countries have to deal with the management of land. They have
to deal with the four functions of land tenure, land value, land use, and land
development in some way or another. National capacity may be advanced and
combine the activities in one conceptual framework supported by sophisticated
ICT models. More likely, capacity will involve very fragmented and basically
analogue approaches. Different countries will also put varying emphasis on each
of the four functions, depending on their cultural basis and level of economic
development.
The operational component of any land administration system are
the range of land administration functions that ensure proper management of
rights, restrictions, responsibilities and risks in relation to property, land
and natural resources. These functions include the processes related to land
tenure (securing and transferring rights in land and natural resources); land
value (valuation and taxation of land and properties); land use (planning and
control of the use of land and natural resources); and, increasingly important,
land development (implementing utilities, infrastructure and construction
planning). The functions interact to deliver overall policy objectives, and they
are facilitated by appropriate land information infrastructures that include
cadastral and topographic datasets.
There are two key aspects in building such land administration
infrastructures: first the establishment of the appropriate land administration
system itself; and secondly ensuring that there is a sustainable long-term
capacity of educated and trained personnel in both the public and the private
sector to operate the system. In many developing and transition countries this
second aspect of human resource development is often the weakest link. However,
it is important to emphasise that capacity building must be seen in a wider
context of providing the ability of organisations and individuals to perform
functions effectively, efficiently and sustainable. This includes the need to
address capacity needs also at institutional and even more broadly at societal
levels.
This logical framework for capacity assessment is presented in a
number of boxes posing the relevant questions that should enable assessment of
the capacity needs. In total 17 boxes are presented that in a practical way
should reveal both the strengths and weaknesses of the system. The analysis may
lead to the need for organizational changes or improvements. The analysis may
also indicate the need for developing the necessary human resources and skills
base or for improving the competence of the existing personnel.
Identified needs can then be addressed within available resources
of the individual country.
2. What Is Capacity Assessment?
2.1 Capacity Building
“Capacity can be defined as the ability of individuals and
organizations or organizational units to perform functions effectively,
efficiently and sustainable.” (UNDP, 1998). This definition has three
important aspects: (i) it indicates that capacity is not a passive state but is
part of a continuing process; (ii) it ensures that human resources and the way
in which they are utilized are central to capacity development; and (iii) it
requires that the overall context within which organizations undertake their
functions will also be a key consideration in strategies for capacity
development. Capacity is the power of something – a system, an organization or a
person to perform and produce properly. Capacity Building is seen as
two-dimensional: Capacity Assessment and Capacity Development, as
presented in section 2.3 and 2.4 below.
2.2 Levels and Dimensions of Capacity Building
Capacity Building relates to three levels: society level,
organizational level and individual level. These levels relate to their
application of capacity in society and have been identified as follows (UNDP,
1998):
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The broader system/societal level.
The highest level within which capacity initiatives may be cast is the
system or enabling environment level. For development initiatives that are
national in context the system would cover the entire country or society and
all subcomponents that are involved. For initiatives at a sectoral level,
the system would include only those components that are relevant.
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The entity/organisational level.
An entity may be a formal organization such as government or one of its
departments or agencies, a private sector operation, or an informal
organization such as a community based or volunteer organization. At this
level, successful methodologies examine all dimensions of capacity,
including its interactions within the system, other entities, stakeholders,
and clients.
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The group-of-people/individual level.
This level addresses the need for individuals to function efficiently and
effectively within the entity and within the broader system. Human Resource
Development (HRD) is about assessing the capacity needs and addressing the
gaps through adequate measures of education and training.
Strategies for capacity assessment and development can be focused
on any level, but it is crucial that strategies are formulated on the basis of a
sound analysis of all relevant dimensions. It should also be noted that the
entry point for capacity analysis and development might vary according to the
major focus point. However, it is important to understand that capacity building
is not a linear process. Whatever is the entry point and whatever is the issue
currently in focus, there may be a need to zoom-in or zoom out in order to look
at the conditions and consequences at the upper or lower level(s).
2.3 Capacity Development
Capacity development is a concept which is broader than
institutional development since it includes an emphasis on the overall system,
environment and context within which individuals, organizations and societies
operate and interact. Even if the focus of concern is a specific capacity of an
organization to perform a particular function, there must nevertheless always be
a consideration of the overall policy environment and the coherence of specific
actions with macro-level conditions. Capacity development does not, of course,
imply that there is no capacity in existence; it also includes retaining and
strengthening existing capacities of people and organisations to perform their
tasks.
2.4 Capacity Assessment
Capacity Assessment or diagnosis is an essential basis for the
formulation of coherent strategies for capacity development. This is a
structured and analytical process whereby the various dimensions of capacity are
assessed within a broader systems context, as well as being evaluated for
specific entities and individuals within the system. Capacity assessment may be
carried out in relation to donor project e.g. in land administration, or it may
be carried out as an in-country activity of self-assessment. This paper provides
some basic guidelines for self-assessment of the capacity needs in the area of
land administration. The guidelines attempt to address the capacity of the total
land administration system, at societal, institutional and individual level.
3. Basic Land Administration Principles
3.1 Definitions of Land Administration (LA)
FAO defines land administration as “'the way in which the rules
of land tenure are applied and made operational”. It comprises an extensive
range of systems and processes to administer the
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Holding of rights to land (allocation, delimitation,
transfer, disputes)
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Economic aspects of land (gathering revenues valuation,
disputes)
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Control of land use (regulation, land use planning, disputes)
There are more definitions of land administration. In the UN/ECE
Land Administration Guidelines (1996) land administration is defined as the
“process of determining, recording and disseminating information about the
ownership, value and use of land when implementing land management policies”.
Dale & McLaughlin (1999) define land administration as “the processes of
regulating land and property development and the use and conservation of the
land, the gathering of revenues from the land through sales, leasing, and
taxation, and the resolving of conflicts concerning the ownership and use of
land”.
Whatever the case, the definitions share at least certain common
functions. These are shown in the diagram Figure 1 below:
Figure 1. A Global Land Administration Perspective (Enemark, 2004).
Land administration is considered to include a core parcel based
cadastral and land registration component, multi-purposed cadastres and/or land
information systems. Many land administration systems also facilitate or include
information on land use planning and valuation/land taxation systems – although
land administration does not usually include the actual land use planning and
land valuation processes.
The operational component of the land management paradigm is the
range of land administration functions that ensure proper management of rights,
restrictions, responsibilities and risks in relation to property, land and
natural resources. These functions include (Enemark 2004):
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Land Tenure: the allocation and security of rights in
lands; the legal surveys to determine the parcel boundaries; the transfer of
property or use from one party to another through sale or lease; and the
management and adjudication of doubts and disputes regarding rights and
parcel boundaries.
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Land Value: the assessment of the value of land and
properties; the gathering of revenues through taxation; and the management
and adjudication of land valuation and taxation disputes.
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Land-Use: the control of land-use through adoption of
planning policies and land-use regulations at national, regional/federal,
and local levels; the enforcement of land-use regulations; and the
management and adjudication of land-use conflicts.
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Land Development: the building of new infrastructure;
the implementation of construction planning; and the change of land-use
through planning permission and granting of permits; and the distribution of
developing costs.
Inevitably, all the functions are interrelated. The
interrelations appear through the fact that the actual conceptual, economic and
physical uses of land and properties influence land values. Land values are also
influenced by the possible future use of land determined through zoning, land
use planning regulations, and permit granting processes. And the land use
planning and policies will, of course, determine and regulate future land
development.
The modern land administration system acts within adopted land
policies that define the legal regulatory pattern for dealing with land issues.
It also acts within an institutional framework that imposes mandates and
responsibilities on the various agencies and organisations. As such it should
service the needs of both the individual and the community at large. As a result
the system acts as a kind of backbone in society since it is the key to
administering the relationship of people to land. Benefits arise from efficient
land administration through its role in guarantee of ownership, security of
tenure and credit; facilitating efficient land transfers and land markets;
supporting management of assets; and providing basic information and efficient
administrative processes in valuation, land use planning, land development and
environmental protection. A Land Administration System designed in this way
forms a backbone for society and is essential for good governance because it
delivers detailed information and reliable administration of land from the basic
foundational level of individual land parcels to the national level of policy
implementation.
3.2 Developing a logical framework for capacity assessment
in land administration
The land administration activity is never an end in itself, but
operates within a certain context of land policy, land management and good
governance. The justification for paying attention to land administration is to
be found in its application in the field of providing security of tenure,
regulating the land markets, levying land tax, planning and control of land use,
land reform etc. From a financial point of view this will mean that the
investments and costs of a land administration system should be justified by
macro-economic factors (like the importance of land market transactions;
industrial and agricultural development towards economic growth; and
environmental sustainability of land and natural resources) and micro-economic
factors (such as land as a collateral for micro credit for households and small
businesses; paid mortgage interests that underpin the financial institutions;
and paid land taxes that underpin public services).
To put it briefly: capacity needs in land administration are
highly influenced by the way governments want to administer the land, and also
by the way regulations and organisations are implemented and managed within the
country.
It emanates from the earlier given definitions of land
administration that governments pursue political objectives of which many are
land related, such as poverty eradication, sustainable agriculture, sustainable
settlement, development of economic activity, and strengthening the role of
vulnerable groups within the society. In order to realise these objectives
governments could develop a policy on how the land ('access to land') and the
benefits of the land ('access to land related opportunities') are to be
allocated. With the aim of implementing such policies governments define how
they want to regulate land related activities in society, such as holding rights
to land, economic aspects of land, and control of land use and development.
For this, the government needs a mandate. Therefore the
government promulgates laws and prescriptions to legitimize these regulations
within the three areas of holding rights to land, control of land use, and
economic aspects of land:
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Regarding the issue of 'holding rights to land', the rules
and prescriptions define the mode in which rights to land can be hold
(customary law, land law), who will have access to holding rights to land
(land reform), through which mechanisms people can acquire rights to land
(e.g. sale, lease, loan, gift, inheritance, allocation by chief), how
security of tenure can be guaranteed (customary traditions, land
registration system and cadastre), how land disputes are to be adjudicated
(customary traditions, civil or administrative law).
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Regarding the issue of 'economic aspects of land', the rules
and prescriptions define how the government might levy taxes on land (land
taxation), through which mechanisms the tax base might be assessed (land
valuation), and how disputes might be adjudicated (administrative law).
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Regarding the issue of 'control of land use', the rules and
prescriptions define how the government might regulate the use of land and
its resources (planning control, subsidies, permits, management of state
lands, customary traditions), through which mechanisms the government will
have the competence to interfere in private rights to land (planning law,
public acquisition of land, expropriation), and how disputes are to be
adjudicated (customary traditions, administrative law).
In order to implement the rules and prescriptions the government
assign mandates within the public administration regarding the tasks to be
carried out. This includes policies on centralization/decentralization,
public/private roles, customer orientation, public participation,
accountability, liability, and good governance in general. In order to exert the
given mandate, the organizations have to define their business objectives, work
processes, ICT policy, quality management procedures, and their relationships
with other organizations e.g. by means of spatial data infrastructures. (van der
Molen, 2003b).
In order to make the organizations work they have to identify the
staffing policy, the required expertise and skills (education and training
analysis), and the tools for educational development such as education and
training programs and opportunities for continuing professional development.
By consequence, basic principles for land administration capacity
are as follows:
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Policies and a legal framework that define the private and
public status of land in terms of tenure, value, and use.
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Mandates allocated to the public administration in order to
establish transparent and viable institutions.
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Organisations that are empowered to meet the societal demands
at lowest possible costs in order to optimize the support to land tenure
security, land markets, land use control, management or natural resources,
land reform and other land related social structures
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Managers and employees who are empowered to meet individual
demands in terms of skills and professional competence for working efficient
and effective.
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Businesses and citizens, who are empowered to participate
effectively in order to comply with the land related social arrangements.
4. Methodology
As already stated above, capacity building is not similar to just
human resource development. It addresses the broader concept of the ability of
organisations and individuals to perform functions effectively, efficiently and
sustainable. The logical framework developed in section 3.2 above may then be
organized into specific steps that can be considered as building blocks in the
Guidelines on Capacity Assessment in Land Administration.
This should not be done in a normative way. Research reveals that
because of the very nature of land administration systems no systems can be
designated as “the best”. As explained in section 3.2 above, land administration
systems have to serve certain functions in society, as they are defined by the
same society given its own policy, jurisdiction, history, and national and local
culture.
Therefore, the specific steps should serve as a guideline for
countries which are ambitious to assess, in logical way, the capacity of their
existing land administration system in order to identify any needs for
improvements in terms of organisational or educational measures.
The guidelines will then serve as a logical framework for
addressing each step from land policy, policy instruments, and legal framework;
over mandates, business objectives, and work processes; to needed human
resources and training programs. For each step the capacity of the system can be
assessed and possible or needed improvements can be identified.
The steps are identified in the logical framework presented in
figure 2 below. Each step is then addressed in a box posing some key questions
to be analyzed. Some comments are given in each box in order to facilitate the
analysis. The analysis may lead to the need for organizational changes or
improvements. The analysis may also indicate the need for developing the
necessary human resources and skills base or for improving the competence of the
existing personnel.
The analysis must of course be realistic. For example if a
country such as Indonesia wished to have a land administration system supported
by a land title and cadastral surveying system similar to Denmark or Australia,
this could possibly require 40,000 professional land surveyors and 30 or more
university programs educating professional surveyors (based on Steudler et. al.,
1997). Clearly this is not realistic even in a medium term perspective. As a
result, there is a need to develop appropriate solutions matching the stage of
development and specific characteristics and requirements of the individual
country.
Therefore, the analysis may lead to adjustment of the political
objectives and/or adjustment of the business objectives for the individual
organizations. This is shown in the diagram below. It should be stressed that
the methodology is mainly aiming at developing and transition countries.
Figure 2. A logical framework for self-assessment of
capacity needs in land administration
5. Self Assessment Guidelines
5.1 Introduction
The guidelines are presented as a number of boxes following the
logical framework presented in section 4 above. The guidelines aim to function
as a basis for in-country self-assessment of the capacity needs in land
administration. The government may form a group of experts to carry out the
analysis, as a basis for political decisions with regard to any organisational
or educational measures to be implemented for meeting the capacity needs.
5.2 Land Policy Framework ('what does LA do')
5.2.1 Political Objectives
What are the political objectives that relate to access to land
and land related opportunities?
- Is the government well aware of the importance of the land issue
for sustainable development?
- Is it recognised that land is a key issue in terms of political
objectives?
Comments:
In many global documents such as Agenda21 and other UN, FAO and
Habitat declarations land is considered as crucial issue. Main political
objectives such as poverty eradication, sustainable housing and
agriculture, strengthening the role of vulnerable groups (indigenous,
women), are one way or another related to access to land, and to
land-related opportunities. This definitely impacts on the policy of
donor agencies (e.g. the English policy on 'better livelihoods for
people', the German policy on 'land tenure in development cooperation',
and the Dutch policy on 'business against poverty'), and on Poverty
Reduction Strategy Papers for the World Bank.
Land policy could be defined as the way governments deal with the
land issue. It is within this context that we can identify the function
of land administration systems, as a supporting tool to facilitate the
implementation of a proper land policy in the broadest sense.
Impact on capacity:
Linking land administration systems to political objectives promotes
good business focus for land administration organizations, and provides
a justification for investments in establishment, maintenance, and good
governance |
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5.2.2 Land Policy
Are the political objectives well expressed in the current land
policy?
- Does the land policy address the key issues?
- Is the access to land, the allocation of land, and the resulting
land use in conformity with the political objectives?
Comments:
Governments should develop a policy on how the land ('access to
land') and the benefits of the land ('access to land related
opportunities') are to be allocated. With the aim to implementing this
policy governments define how she wants to regulate land related
activities in society, such as holding rights to land, control of land
use, and economic aspects of land.
Access to land and land related opportunities can be approached in
different ways, for example from the point of view of equality of land
distribution, or encouraging viable farming through imposing a minimum
size of the holdings, or combating large holdings through enforcing
ceilings of land ownership, etc. Access to land can also be through the
rental market, which is especially applicable in urban areas, but also
in rural areas in the form of short leases. Access to land is not only a
matter of having the opportunity to benefit from land. Important is that
this should be possible in a sustainable way; therefore the security of
tenure plays a key role.
Impact on capacity:
If the way the government wants to allocate the land and the benefits
of the land is clear, it provides focus to land administration
activities, which will enhance their ability/capacity to fulfil the
political objectives. |
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5.2.3 Policy Instruments
Which instruments are at the disposition of the government to
regulate the land related activities in society regarding:
- The whole complex of holding rights to land?
- The whole complex of planning, development and control of land
use?
- The whole complex of land valuation and taxation for gathering
revenues?
Comments:
Governments have to identify which instruments they want to apply in
order to implement the political objectives and the way of allocating
land and the benefits of land. If a government aims at providing its
citizens with very secure title to land, it should for example put an
adequate title registration system in place. If the government wants to
control land use, e.g. there should be a system of land-use approvals
through permits. If governments want to redistribute land ownership,
e.g. there should be a land reform policy in place combined with
mechanisms for acquisition and distribution. If a government wants to
control the land market, there should be measures of a market
regulation. Briefly: policy objectives and the 'how to do' question go
together.
Impact on capacity:
A good link between objectives and instruments provide a good
starting point for the clarification of user requirements for land
administration systems and thereby the ability/capacity of systems. |
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5.2.4 Legal Framework – General
Does the legal framework provide sufficient legitimization of the
government's regulations?
- To which extent does the framework meet the demands of the rule
of law, e.g. the constitutional law?
- Is the issue of public consultation well addressed in the
procedural rules?
Comments:
Governments are expected to work within the principles of good
governance and the rule of law. Good governance is normally defined as
'the way power is exercised in managing a country's economic and social
resources for development'. This includes five major elements:
effectiveness of the law making process; existence of mechanisms for
mobilizing public support; effectiveness of the management of the public
sector; effectiveness of the enforcement of the law; and existence of
appeal procedures.
The Rule of Law can be defined to exist when there are measures for
peaceful solution of disputes based on law rather than on force, and
measures for controlling the government itself through limitations of
official power by a variety of legal mechanisms, both substantive and
procedural (Moore, J.B., University Virginia). There are five major
elements: guarantee of basic rights; separation of powers; legality of
the administration; constitutionality of laws; judicial remedies and
judicial review.
Impact on capacity:
A legal framework that legitimizes governmental actions also provides
a legally meaningful land administration system, and enhances its use. |
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5.2.5 Legal Framework – Land Rights
Does the legal framework provide enough clearness and transparency
regarding the whole complex of holding rights to land?
- Are the rights people might have to land (including role of
customary law) sufficiently transparent?
- Is it clear who has access to obtaining rights to land?
- Do the regulations address the equity and fairness on access to
rights to land (land reform)?
- Are the procedures for establishment, transfer and abolition of
rights to lands clear and well accepted?
- Do the regulations for the land market serve equity and fairness
without moving people in illegality or informality?
- Is security of tenure provided and to which extent (land
registration, titles, cadastres, conveyance procedures)?
- Are there appropriate means for conflict resolution in place
(courts, mediation, traditional means)?
- Can legal and administrative arrangements enforce these issues
in a way that comply with good governance and the rule of law?
Comments:
The latest definition land registry and cadastre is from Kaufmann &
Steudler in 'Cadastre 2014' (1998, saying it is 'a methodically arranged
public inventory of data concerning all legal land objects in a certain
country or district, based on a survey of their boundaries; such legal
land objects are systematically identified by means of some separate
designation; they are defined either by private or public law; it
contains the official records of rights to legal land objects'. This
definition is building upon earlier definitions for example by the
International Federation of Surveyors (FIG, 1995).
Important is that land administration systems, which exist in the
first place of land registers and a cadastre, are based on legally
recognised rights and interest in land. Such systems therefore flourish
if there is enough clarification on the nature and form of lands rights,
procedures for establishment, transfer and abolition etc. Regarding the
earlier mentioned policy objectives (box 1 above), these should be
reflected in the way rights to land is defined, and how procedures for
holding rights in land are designed.
Impact on capacity:
The existence of an adequate legal framework for land rights that
meets the demands of society, enterprises and individuals will enhance
the ability and capacity of the land administration system to serve
society needs. |
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5.2.6 Legal Framework – Land-Use
Is the whole complex of planning, development and control of land
use well defined and enforced?
- Is there a policy at various government levels clarifying about
how to use the land?
- Is the relationship between planning, development and control of
land use well defined?
- Is it clear how the government might interfere in private rights
to dispose of their land?
- Are there enough opportunities for the government to acquire
private land for public development purposes?
- Are the rules for the governmental management of state lands
clear and adequate?
- Are there enough legal and administrative arrangements to
enforce these issues in a way do they comply with good governance
and the rule of law?
Comments:
Governments tend to exert a certain control to the development of
space in the country. In extreme form this might occur by declaring all
landownership to the state and allowing land use according to the
government's decisions only. The government in any case has to decide to
which extent she wants to have control over land use. This requires
regulations defining the way these powers might be exerted.
For example, the legal meaning of zoning plans should be clear. In
what way are they binding to the citizen, and are they binding to the
government itself? If citizens do not comply with the land-use
regulations, how can the government enforce the regulations and
interfere in private rights to land? This is even more demanding in
situations where the government may want public acquisition of land,
through pre-emptive rights and expropriation. Planning, development and
control are, this way, interrelated components of land use control.
Impact on capacity:
Referring to earlier definition of land administration (UN/ECE,
1996), it was said that land administration provides the context for
determining, recording, and disseminating information about ownership,
value and use of land when implementing land management policies. The
existence of an adequate legal framework for land planning and land use
rights will enhance the ability and capacity of the land administration
system to serve society needs from both the government and the citizen
perspective. |
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5.2.7 Legal Framework – Land Value
Is the whole complex of valuation and taxation of land for
gathering revenues well defined and enforced?
- Can land be used as a tax base?
- Is the impact of taxation on the use of land and land markets
taken into account?
- Do the valuation methods fit to the societal needs?
- Do the people comply with the rates that convert land value into
the levied tax amount?
- Are there legal and administrative arrangements in place to
enforce these issues in a way responding to good governance and the
rule of law?
Comments:
Land taxation is considered as a major source of income especially
for local governments. Four aspects are of importance: who is the
taxpayer; what kind of land and property is the land to be taxed; what
is the valuation mechanism; and what is the rate to be levied based on
this information.
The balance between income tax and land tax should be carefully
considered and the procedures and efforts invested in the land
valuation/taxation procedures should be balanced against the revenue
gained through taxation of land and property.
Major valuation mechanisms are based on an assessment of the market
value of the property. This means that the system should provide the
most important basic information regarding the taxpayer, the taxable
land, and the taxable value. This also goes for countries where the land
tax is based on some form of what is called cadastral income (as a kind
of estimate of the benefit one could reap from the property).
Impact on capacity:
Clearness about valuation procedures, land taxation laws, and the
authorities will contribute heavily to the ability/capacity of the land
administration system. |
5.3 Institutional Infrastructure ('how is LA organized')
5.3.1 Allocation of Mandates - General
Are the mandates in place for exertion of land related legal
framework?
- Are the mandates overlapping?
- Are the mandates clear and manageable?
Comments:
Clear mandates within the public administration enhance the
effectiveness. There are countries where various organisations have a
mandate on land related issues (for example the issuing of land titles).
This is not only causing frictions in the public administration, but
moreover also confuses the citizens. Governments should take into
account the operational aspects of the mandate. It makes no sense to
impose a mandate that is expected not to be workable and manageable.
Impact on capacity:
The ability/capacity of any land administration system relies on
clear mandates. Without a clear and manageable mandate, good performance
can never be guaranteed. |
| |
5.3.2 Allocation of Mandates - Decentralisation
Does the allocation of mandates reflect a well-balanced approach
to decentralisation?
- Are the linkages between the mandated organizations well defined
to ensure good institutional co-operation?
Comments:
Land administration is often associated with decentralization. The
reason is that decisions on land very much affect ordinary people, and
therefore it is efficient and effective to allocate these tasks at the
appropriate local level of government. In allocation of tasks at that
specific level, the need for sharing information should be taken into
account. E.g. application of information technology can provide a system
of central processing and storage, and local information management.
Impact on capacity:
The ability of land administration organisations should on one hand
reflect the importance of local presence, on the other hand guarantee
countrywide application. This balance is important to meet customer
demands. |
| |
5.3.3. Business Objectives - Customer Orientation
Are the business objectives for mandated organisations clear and
specific?
- Does the mandate include meeting the demands of the customers
and other stakeholders?
- Is there a clear policy in place for the management of customer
relations?
Comments:
Implementing a mandate is one thing, doing it in a customer friendly
way is another. Many government organizations seem to believe that good
customer orientation is not relevant for them, because they perform a
public task. On the other hand it could be argued that exerting a public
monopoly includes even more attention to customers than in commercial
business, as the customers of public organizations normally don’t have a
choice. Dissatisfaction will be their basic attitude.
To push government organizations forward towards customer
friendliness, it might be advised to include ‘customers’ in their
mandate, or in the derived mission statement.
Maintaining good relationships with customer’s urges for good market
communication such as telling the customer what he can expect and
thereby avoiding over-expectations. This may sound very commercial, but
if -for example- land registers and cadastral maps are in digital
format, these databases could provide many sorts of land information,
both standards- and customized products that can be electronically
accessed, making helpdesks necessary, call centres, product folders,
complaints procedures etc. If customers have to pay a certain price for
a product, they require financial transparency, especially in the case
of government organizations. In the commercial environment this is less
important, as customers can go to the competitor if they are unsatisfied
by the performance of a company.
Impact on capacity:
Customer orientation requires a certain amount of dedicated staff,
with specific expertise and skills. |
| |
5.3.4 Work Processes
Are the work processes for realization of the mandate well defined
and manageable?
- Are the work processes monitored and evaluated?
- Is the organizational structure well designed for the execution
of the work processes?
- Is there a policy in place for design of spatial data
infrastructures at national and local level?
Comments:
Having good control of the organization’s performance is impossible
without a clear description of work processes, in terms of activities,
requirements and responsibilities. This is the basis for monitoring and
accountability. At the same time a clear description offers
opportunities to identify and abolish inefficiencies. Processes in the
field of land management often tend to be very complicated and
bureaucratic. The lack of transparency regarding procedures in, for
example, the areas of land titling, the land market, and land use
control is often mentioned as a main source for cumbersome operations.
Therefore, talking about capacity in the sense of ability, the
capacity of organizations to deliver is at stake. From the management
point of view, the way of monitoring of work processes is important.
During the process itself the key steps should be evaluated, in order to
identify bottlenecks and delays.
Sound land administration also requires support from a well-developed
spatial information infrastructure for sharing geo-referenced
information at national and local level. This includes the need of
adequately to address conceptual and policy issues such as data access,
intellectual property, cost recovery, and design of an efficient
institutional framework.
By creating an infrastructure and the relevant linkages positive
results will emerge. Clear responsibility for data maintenance and
upgrade will be established, duplication will be reduced and analysis
improved. Sound decision-making processes are developed for governments
at all levels, and valuable information is created for academic
institutions, the private sector and the community (see FIG publications
no 30 and 31 on Spatial Information and Land Information Management for
Sustainable Development).
Impact on capacity:
Basically capacity is delivered through work processes. Without
appropriate attention to work processes, and the structures in which
they have to operate, the ability of organizations for a good
performance can be questioned. |
| |
5.3.5 Information and Communication Technology (ICT)
Are the ICT applications well designed to support the work
processes and the business objectives?
- Is the internal and external information flow clearly specified?
- Is the information technology sufficient for further development
and maintenance of the information system?
Comments:
Many processes in the field of the administration of land require
huge amounts of data. This is typically the case for land registration
and cadastre, but also –as examples- for monitoring the land market,
land use planning and control, land taxation, management of natural
resources and land reform.
In the case of land registration and cadastre the maintenance of
these datasets is the main challenge, as the establishment, transfer and
deletion of rights and interests to land is a continuous process
resulting in changes of the datasets at a daily bases. Without
mechanisms for maintenance, the investments in the establishment of
these datasets will soon have no return. The solution for dealing with
these high transactional datasets is the application of ICT, although
prior to the introduction of adequate ICT products many countries were
successful in keeping their datasets up to date in a manual way. It
could even be good for employment! Whatever the case, nowadays these
organizations dedicate substantial amounts of money to system design,
system development, and system operations.
It is, however, well understood that installing hardware and software
as such is not the way to fully benefit from ICT. At the contrary, it is
actually considered as the last step in the process of applying
ICT-tools. Management literature reveals a (at least) three-step
approach. Beginning with analyzing the flows of information within the
organization itself and between the organization and its external
environment (customers, other stakeholders), then analyzing which
software is suitable for good support of these flows, and then finally
the selection of hardware that suits best. In ICT-terms one says that
first of all there should be a good understanding of the ‘information
infrastructure’, before entering to the issue of ‘ICT-architecture’.
Impact on capacity:
Ability of organizations to meet their specific functions in society
requires appropriate management of ICT in the organization. Whatever
level of ICT application is at stake, this remains important. Especially
organizations that apply ICT gradually - from simple to more complex
approach - should have a sound ICT-policy otherwise it may lead to
serious problems at a later stage. |
| |
5.3.6 Good Management
Are the guiding principles for good management clear and
understandable at all governmental levels?
- Is the allocation of tasks and responsibilities to managers
appropriate and do they have the necessary power of execution?
- Are the managerial tools in terms of planning control,
accountability and liability appropriate?
- Is the system of performance monitoring appropriate?
- Are the financial mechanisms appropriate and do they meet the
business demands?
- Does the organisational culture encourage the sharing of values
towards good performance?
Comments:
Good management of organizations is about responsibility and
accountability, as this is the way people co-operate. The more functions
in the organization are spread over people, the more people are asked to
rely on the performance of the other people. The allocation of tasks and
responsibilities by consequence should be clear and transparent. Besides
it might be observed, that sometimes people have certain
responsibilities, without having the powers to exert their
responsibility properly. Allocation of tasks and responsibilities
therefore should go together with the allocation of appropriate mandates
to these people.
A related issue is the way managers administer in the sense of
planning and control. Meeting business objectives (for example:
delivering building permits based on zoning plans within e delivery time
of say 30 days) require careful planning at various levels, and control
mechanisms to guarantee delivery. In the quality management approach one
speaks about the ‘plan-do-check-act’ cycle. Embedded in the system of
clear allocation of tasks, responsibilities, powers and accountability,
this way of working forms the basic tool for managers.
Planning is not only about staff resources; it is also about money.
Being responsible for budgets requires similar mechanisms as mentioned
above. Again embedded in the allocation of tasks and responsibilities,
planning and control with respect to money is the basic tool for
financial management.
Impact on capacity:
Ability of organizations to deliver depends on the mechanisms of
planning and control to form good management. |
5.4 Human Resources and Professional Competence ('who
carries out LA')
5.4.1 Assessment of Human Resources
Is there a policy in place determining the amount of staff and
their required competences?
- Do the managers and employees know which job-categories require
which expertise and skills?
- Do the organizations know how to assess the need for qualified
personnel?
Comments:
In most developing and transition countries capacity assessment and
development in terms of human resources is considered to be the most
critical. This is about assessing the need for individuals to function
efficiently and effectively within organizations and within the broader
system, and it is about addressing the gaps through adequate measures of
education and training.
Land Administration is about people – from politicians, senior
professionals and managers, middle managers and administrators, to
office and field personnel, - whether in public or private sector. At
the senior level a broad vision and understanding is required. At the
more practical level the players in the system need to have an
understanding of the overall system but some will have much more
detailed and specific skills that need to be developed.
In order to assess the capacity needs there is a need to identify the
work processes in relation to the different land administration areas,
such as land registration, subdivision, surveying and mapping, land-use
planning and sectoral land management, land valuation and taxation. The
content of these work processes should be identified in relation to, the
legal and organisational framework for fulfilling the land policies.
Next step is to identify the personnel needed at various competence
levels to carry out the work processes. This is simply to assess the gap
between the existing capacity and the capacity needed to undertake the
land administration tasks in the short, medium and long term. The
assessment should include both the public and the private sector.
Impact on capacity:
Assessing and addressing the capacity needs in terms of human
resources is of course crucial to the ability/capacity of total the land
administration system. |
| |
5.4.2 Assessment of Educational Resources
What kind of educational and training resources are currently
available?
- Do the educational and training programs have sufficient
capacity?
- Are the educational and training programs appropriate?
Comments:
Once the capacity needs in terms of qualified personnel are
identified, the next step is to consider the ways and means to address
the gap. For the purpose a review of the current educational and
training resources is essential.
The review should include in country as well as out-of country
educational opportunities, and it should include national as well as and
local educational institutions at different levels.
The existing programs at university level should be reviewed and
assessed against the capacity needs. However, since land administration
is a very interdisciplinary area there may be any adequate educational
programs available. A new program may then be developed and hosted by a
faculty providing the right combination of professional and research
skills.
Surveying education has traditionally leaned strongly toward
engineering. A Land management approach to surveying education will,
however, need a shift to teaching management skills applicable to
interdisciplinary work situations and developing and running appropriate
systems of land administration. Surveying and mapping are clearly
technical disciplines (within natural and technical science) while
cadastre, land management and spatial planning are judicial or
managerial disciplines (within social science). The identity of an
adequate land administration program should be in the management of
spatial data, while maintaining links to the technical as well as social
sciences.
The existing programs at technician level should also be examined
against the capacity needs. These programs may, however, have a more
specialised profile to meet the needs for trained technicians in
specific fields.
The review of the current educational resources should of course
include the range of qualified teaching staff, range of equipment,
instruments and building facilities, etc.
Impact on capacity:
Sufficient and adequate educational resources are essential to
provide the professional competence required for developing and
maintaining appropriate land administration systems. |
| |
5.4.3 Means of Educational Development
What kind of educational development is needed and adequate to
address the capacity needs?
Capacity development includes a whole range of options with regard to
the design of educational programs:
- The design of in-country programs at diploma, bachelor, and
master’s level should consider the immediate short-term needs for
well-trained technicians as well as the longer term needs for
qualified professionals. The training policies should meet these
needs by adopting a modular structure to ensure flexibility, e.g.
the diploma program may be merged with the first part of the
bachelor program, and the program may allow existing personnel to be
updated and upgraded to fulfil the capacity needs. A recently
developed educational program in Malawi is an example of such a
flexible and interdisciplinary approach (Enemark and Ahene, 2003).
The programs should draw from local/regional teaching expertise to
ensure long-term sustainability.
- The design of programs at certificate level, e.g. a one-year
program aiming at training “land clerks” for the tasks undertaken by
traditional authorities such as basic land measuring and recording
related to the formalization of customary land rights.
- Sandwich and franchise programs: Such programs should be
considered to balance the lack of in-country educational capacity.
Out-of country training, and study tours abroad may also be
considered in this regard.
- Training programs may be designed for e.g. hands-on training at
the workplace. This will normally also include a program for
training the trainers.
- Continuing Professional Development (CPD): Such programs may be
designed to improve the competencies of the existing work force in
relevant areas. The programs may be developed provided by the
universities as well as by private course providers. The programs
should be developed in cooperation between the course providers and
professional practice.
- Virtual programs: This includes distant training at local,
regional, national and international level. Such programs are
normally rather expensive to develop and the provision demands a
well-established national IT-infrastructure.
- Other measures: This may include workshops, seminars, etc. to
promote understanding, debate, and analysis of land issues at the
policy, management and operational levels.
Impact on capacity:
Land administration systems cannot be developed and sustainable
maintained without an adequate and sound educational base. |
| |
5.4.4 Means of Professional Development
What kind of professional development is needed and adequate to
address the capacity needs?
Professional development in the area of land administration is a
shared responsibility of the employers, the employees, and professional
institutions, supported by the educational institutions. A range of
options are available:
- Professional institutions such as a National Association of
Surveyors play a key role in developing and enhancing professional
competence. This relates to areas such as ethical principles e.g.
through adoption of model codes of professional conduct suitable for
performing the tasks and serving the clients and the societal needs.
FIG offers some guidance in this area (FIG publication no. 16 on
Constituting Professional Associations, and no. 17 on Statement on
Ethical Principals and Model Code of Professional Conduct).
- Professional associations may adopt requirements continuing
professional development to be followed by their member in order to
maintain and enhance professional competence (see FIG publication
no. 15 on Continuing Professional Development).
- Professional associations may also cooperate on regional level
e.g. to enhance educational and professional standards, and to
facilitate mobility through means of mutual recognition of
professional competence (see FIG/CLGE, 2001 on Enhancing
professional Competence of Surveyors in Europe, and FIG publication
no. 27 on Mutual Recognition).
- Establishing a National education and research centre may be
used a means ensure sustainability and continuity, and to develop a
corporate memory of land administration experience within the
country.
- In countries where there is an on going land administration
project e.g. supported by the World Bank, the Centre could act as an
ongoing body of knowledge and experience in land administration and
using the actual project as a long-term case study and operational
laboratory. The centre could provide educational programs and
supervise establishment of educational programs at other
institutions. The centre could interact with international academics
and professional bodies to interact and assist the development of
local academics.
Impact on Capacity:
Land administration systems cannot be developed and sustainable
maintained without sound professional institutions supporting
professional development. |
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