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LEGISLATIVE-EXECUTIVE RELATIONS Rick Stapenhurst World Bank Institute
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OVERVIEW OF PRESENTATION Core Functions of Legislatures Types of Legislative Systems – and Ways in Which Legislatures Hold the Executive to Account The Budget Cycle + The Legislature (Ex-Ante) The Budget Cycle + The Legislature (Ex-Post) Conclusions
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Reminder : Core Functions of Legislatures The Legislative Function Passing Laws Participation in Public Policy Making The Oversight Function Holding Governments to Account The Representative Function Representing Constituents
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Types of Legislative System Parliamentary System Executive “in the Legislature” Semi-Presidential System o Presidential System Executive separate from thed Legislature
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Heart of Executive-Legislative Relations : The Budget Process
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Oversight : The Budget Process “The development, deliberation and passage of a budget with both legislative and executive participation represents one of the vital checks and balances of democracy” Budget development is typically the domain of the executive branch. However, in most countries the legislature exerts often considerable influence over the budget through the amendment process. Proactive budget committees can seek public input into the budget planning cycle Public Accounts and other oversight committees, often chaired by a member of the opposition, oversee the integrity, economy, efficiency, and effectiveness of government financial management
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Oversight : The Budget Process “The development, deliberation and passage of a budget with both legislative and executive participation represents one of the vital checks and balances of democracy” Budget development is typically the domain of the executive branch. However, in most countries the legislature exerts often considerable influence over the budget through the amendment process. Proactive budget committees can seek public input into the budget planning cycle Public Accounts and other oversight committees, often chaired by a member of the opposition, oversee the integrity, economy, efficiency, and effectiveness of government financial management
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The Budget : Amendment powers: a survey (from Krafchik + Wehner)
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Case Study : Parliamentary Oversight (Commonwealth Countries) 54 countries in the Commonwealth “Old” Commonwealth (UK, Canada, Australia, New Zealand) + the New The “Large” (India, Pakistan, Bangladesh) + the “Small” (Caribbean, Pacific Islands)
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Conceptual Approach: Key Actors and their Relationships Auditor General Parliament Executive Reports Examines Accountability Relationship PUBLIC FINANCIAL ACCOUNTABILITY
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Conceptual Approach…cont. : Fiduciary Obligations Explained Parliament, PAC and public audit Parliament holds ‘power of the purse’ and obligation to hold the Executive to account Public Accounts Committees oversee use of public funds & resources by Executive Do this by examining public accounts
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Conceptual Approach…cont. : Fiduciary Obligations Explained Mandates of PACs : PAC mandate determined by Rules/ SOs, some case by Constitution Narrow Focus - financial probity and regularity Wider Focus - value for money, perf. audits, program effectiveness Other matters can be referred to PAC
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Conceptual Approach…cont. : Fiduciary Obligations Explained PAC and the Auditor General PAC work often determined by the AG reports PAC must decide follow-up issues An effective PAC = depts. taking AG concerns more seriously Cooperation with AG on follow-up = greater accountability Ensures Depts. are taking corrective action
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Current Situation in the Commonwealth ( Recent Empirical Work): Recent CPA study on PACs – The Overseers - similar issues, developments and challenges across Commonwealth Key issues : Status of PAC, Relations with the AG, Membership, Training/ Capacity-Building, Resources, Working Practices, Reporting and Follow-up
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Current Situation in the Commonwealth: Common Features: Average size = 11 MPs Size reflects party in legislature. 2/3 of Chairs from an opposition party; and 1/3 from the governing party Prime focus on Public Accounts & reports of AG. PAC reports generally available to the public. Generally, PAC hearings are open to the public and media.
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Current Situation in the Commonwealth : Success Factors* A broad scope Power to select issues w/o gov’t direction Power to report, suggest improvements, and follow-up Strong support from AG, MPs and research staff that creates a unity of purpose about PAC work. * Based on recent World Bank survey
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Current Situation in the Commonwealth: Common Challenges: Highly partisan climate Government dislike of legislative oversight Lack of media or public involvement Lack of a strong ethical base for public service
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Conclusions: The legislature is a key player in promoting good governance Input into, and passes legislation Input into and oversees the budget process Holds government to account Provides a voice to citizens at the highest level of the state But…..
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