FUNCTIONAL REVIEW IN CAMBODIA SHELLEY FLAM CONSULTANT German Technical Cooperation Administrative...
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Transcript of FUNCTIONAL REVIEW IN CAMBODIA SHELLEY FLAM CONSULTANT German Technical Cooperation Administrative...
FUNCTIONAL REVIEW IN CAMBODIA
SHELLEY FLAMCONSULTANT
German Technical Cooperation
Administrative Reform and Decentralization ProgramImplemented by GTZ
About this Presentation
This presentation – Looks at how functional review fits into D&D
reform process Presents ideas about designing an overall
process to review government functions in order to identify which functions to transfer to sub-national councils
Discusses some guiding concepts for deciding what functions to transfer and how
The presentation expands on the legal framework (Organic Law), but does not come from the law
Background
In 2001, the Law on the Administration and Management of Communes/ Sangkats was approved
1,621 commune/sangkat councils were elected and established in early 2002
Councils have general role to serve the interests of their citizens, to improve socio-economic development
Councils have some specific decentralized functions, i.e. to protect and conserve the environment & natural resources
But councils have focused almost exclusively on infrastructure
Councils also delegated functions (i.e. civil registration delegated by MoI)
Functional Review and D&D Reform
In May 2008, the National Assembly/Senate approved the Organic Law that establishes councils for Phnom Penh, provinces, towns, districts and khans
Elections for these councils are expected around April 2009
The Organic Law provides that councils for Phnom Penh, provinces, towns, districts and communes will receive specific sectoral functions to implement
The Organic Law provides for these councils to have a unified administration aiming at coordination of sectors in the jurisdiction of the councils
… Functional Review and D&D Reform Every sector (i.e. education, health, NRM) must
be reviewed to decide which functions to transfer to which councils, or which to retain at the national level
When a council receives a function, it must also receive the corresponding resources to implement the function effectively (resources = finances, personnel, assets)
Each council, therefore, will be transferred and will implement specific functions, and will have corresponding resources to do
so
Definitions of Key Terms
Will look next at definitions of – decentralization delegation deconcentration functional review
Definitions of Key Terms
Decentralization = the transfer/”assignment” of functions and resources to elected sub-national councils that have local discretion to implement the functions and utilize the resources, and that are accountable to citizens (highest level of local discretion)
Delegation = the transfer of a function to sub-national councils to be carried out on behalf of the delegating authority, i.e. a ministry (less local discretion)
Deconcentration = the transfer of tasks from a ministry to its sub-national units, i.e. provincial departments or district offices (often no/little scope to make decisions)
Definition: Functional Review Process
The process of analyzing a sector in order to identify its functions, then determining whether each function should be allocated to a level of sub-national council
For functions that are to be allocated to councils, the process determines whether the function is obligatory or permissive, whether it should be assigned (decentralized) or delegated, and what resources & capacity development are required
Definition: Functional Review Process
The process also identifies what functions should be retained as national level functions, and which of those national level functions should be deconcentrated to line ministry sub-national units
Implications for Sector Ministries
The Organic Law establishes a National Committee to implement the law (NCDD)
A responsibility of the NCDD is to oversee the review of each sector to determine which functions and resources should be transferred to councils
That process will require participation of concerned ministries and should also involve councils Which functions are best decentralized / delegated /
deconcentrated / retained at national level ? What are resources correspond to a function to be
transferred?
Key Considerations
Space for political buy-in and consensus at all levels Membership of new NCDD and its structures, and
other informal opportunities at national level Mechanisms to engage stakeholders at sub-national
levels (councils, line ministry departments/offices) Mechanisms to engage civil society
Long term vision – predominant roles for each level of council strategy for decentralization versus
deconcentration
… Key Considerations
Continuity Critical that the process of transferring functions
does not unduly disrupt currently provided services
Equity issues Strategic Framework and Organic Law stress the
promotion of equity for women & men, children, youth, the poor, minority and ethnic groups
Equity must be considered in the functional review process - this will require conscious effort
… Key Considerations
Sectors, not Ministries Not all ministries correspond to a single sector Not all sectors correspond to a single ministry
Specifying exclusions The NCDD may choose to identify matters
that are ‘off the table’ If so, how to ensure that the list is appropriate
Creating in-country capacity Functional review will be an intensive exercise
for ~10 years, then an on-going task
… Key Considerations
Phasing Critical in terms of capacity to review
sectors at national level, and capacity of councils to absorb new functions
Which sectors first? (Organic Law and NSDP) Geographic sequencing? Sequencing by sub-national level? First package of functions in each sector? Issue of symmetry (significant differences in
size of jurisdictions)?
What entry points for consensus building (key consideration #1) might the NCDD offer in terms of its composition and the composition of its structures?
New NCDD
NCDD is at the centre of implementation of the Organic Law, including functional review
NCDD’s central role in functional review should be considered when determining its leadership and membership – What are options for NCDD leadership? What are options for NCDD membership? What are options for NCDD structures?
…
ButtonNational Committee
NATIONAL COMMITTEE AND ITS STRUCTURES
Secretariat
Other Commissions
Commission for
Fiscal and Financial Affairs
Commission for
Functions and Resources
SectorTechnical Working Group
Technical Working Group
Technical Working Group
Technical Working Group
Technical Working Group
SectorTechnical Working Group
Commission for
Personnel of Sub-National
Administrations
Technical Working Group
Technical Working Group
Technical Working
Group (pool of officials)
Proposed 3-Step Process for Functional Review
Three-step process is proposed here for functional review –
Preparatory phase Technical component Political component
PROPOSED APPROACH TO FUNCTIONAL REVIEW PROCESS
NCDD APPROVES PROCESS FOR
FUNCTIONAL REVIEWAND APPROVES
TECHNICAL GUIDELINES
Technical guidelines focus on sector studies to inform
the functional review process
The technical guidelines deal with -- key actors to involve
- mechanisms for consultation and participation
- addressing equity issues- common terminology/typology- steps to conduct sector studies
EDUCATION
EDUCATION SECTOR STUDY IS CONDUCTED AND
RECOMMENDATIONS MADE
FUNCTIONS & RESOURCES COMMISSION REVIEWS
RECOMMENDATIONS FROM STWGs AND MAKES OWN
RECOMMENDATIONS TO NC
NC REVIEWS
RECOMMENDATIONS FROM
FUNCTIONS AND RESOURCES COMMISSION AND REACHES
CONSENSUS
POLITICAL COMPONENTTECHNICAL COMPONENTPREPARATION
NREM
NREM SECTOR STUDY IS CONDUCTED AND
RECOMMENDATIONS MADE
HEALTH
HEALTH SECTOR STUDY IS CONDUCTED AND
RECOMMENDATIONS MADE
FOR EACH SECTOR, NCDD CREATES A SECTOR TECHNICAL WORKING GROUP (STWG) COMPRISED OF TECHNICAL OFFICIALS FROM
NCDD MEMBERS AND CONCERNED MINISTRIES
EACH STWG CONDUCTS A SECTOR STUDY
AGRICULTURE
AGRICULTURE SECTOR STUDY IS CONDUCTED AND
RECOMMENDATIONS MADE
OTHER SECTORS(including sectors relevant to NC
members, ie financial management, prisons, sub-national civil service)
Proposed 3-Step Process for Sector Studies
Map functions, corresponding
resources (finances, personnel,
assets) and key stakeholders -
1. review background materials (legal
framework, RGC powers & functions database and existing studies/analyses)
2. obtain information about current functions and resources through meetings/field visits at
national and sub-national levels
ST
EP
1M
AP
FU
NC
TIO
NS
, R
ES
OU
RC
ES
& S
TA
KE
HO
LD
ER
S
ST
EP
2ID
EN
TIF
Y S
UC
CE
SS
ES
, C
ON
ST
RA
INT
S,
PO
TE
NT
IAL
Identify successes,
constraints, initiatives and future potential in
service delivery, through meetings/field
visits at national and sub-national levels
ST
EP
3D
EV
EL
OP
RE
CO
MM
EN
DA
TIO
NS
& R
EP
OR
T B
AC
K Develop recommendations
for functional review in the sector -
- first package of functions for transfer
- appropriate levels for allocation
- corresponding resources- whether functions should
be obligatory or permissive, assigned or
delegated - any minimum basic
services- timeframe/phasing of
transfers- required capacity
development- necessary amendments
to legal framework
THREE-STEP SECTOR STUDIES
Actors Involved in Sector Studies
Proposed that sector studies be conducted by sector technical working group under the Functions & Resources Commission
Sector technical working group members are technical officials from concerned ministries plus the ministries that are involved cross-sectorally
Proposed that a sector technical working group periodically consult with a sector-specific resource group (sub-national stakeholders, including sub-national administrations; relevant depts/offices, and councils; civil society; academia)
First Sectors for Review
The Organic Law (Article 215) suggests that the following sectors will be reviewed first –
Agriculture Education Forestry, natural resources, environment Health, nutrition and related services Industry and support to economic
development
….
First Sectors for Review
And – Land use Electricity production &distribution Water management Infrastructure and facilities related to the above Special needs (i.e. Phnom Penh, Siem Reap)
These sectors are consistent with the priorities set out in the National Development Strategic Plan
Key Concepts for Functional Review
Part 2 of the presentation looks at the following key concepts –
unbundling functions obligatory functions/minimum basic
services concept of subsidiarity functions common across sectors (if time
permits) corresponding resources
Unbundling Functions
A function is an action that delivers or contributes to the delivery of a service. If refers to a responsibility or a set of responsibilities that can be allocated to a governance unit
primary education versus building primary schools
The first exercise in functional review is to identify what are the functions in a sector
… Unbundling Functions
Functions are identified by ‘unbundling’ a sector
Unbundling is the process of dividing a sector into its parts until a function can be identified for allocation to a level of council (or it is determined that there are no functions that can appropriately be transferred to councils)
… Unbundling Functions
Once functions are unbundled and allocated to the appropriate levels, different levels of governance will have their own functions within the same sector
For instance – commune councils might be responsible for health
posts district councils might be responsible for district
hospitals provinces might be responsible for provincial hospitals
and to inspect health posts and district hospitals National level might be responsible to legislate
minimum standards for health posts and hospitals
… Unbundling Functions
The RGC database on powers and functions, supported by ARDP, will be an important tool to assist in identifying functions, determining where they are currently implemented, and, where applicable, for suggestions about future arrangements
Obligatory Functions/Minimum Basic Services
Once a function is identified, the Organic Law requires that the function be identified as obligatory or permissive
An obligatory function is one that the council MUST implement
A permissive function is one that the council may choose to implement or choose not to implement
It may also be desirable to indicate what are the basic expectations (minimum basic services) for a function, i.e. a health post for every xx families
Concept of Subsidiarity
Concept of subsidiarity is set out in the Strategic Framework (June 2005)
Concept of subsidiarity is a guide for deciding where to transfer a function
The concept of subsidiarity is that a function should be transferred to the lowest level that can effectively implement the function
When thinking about where to transfer a function, consideration starts at the lowest level
Criteria for Concept of Subsidiarity
Some criteria for applying the concept of subsidiarity include –
economy of scale (where the unit cost is lowest) population size/service benefit area cost-benefit (balancing cost and benefit to citizens) equity issues (where equitable outcomes are more
likely) need for high level of accountability (i.e. potable
water) …
… Criteria for Concept of Subsidiarity
local preferences (difference across jurisdictions) local conditions (differences across jurisdictions, i.e.
geography) spillover (negative consequences to other jurisdictions) traditional local functions (i.e. conflict resolution) local information (i.e. whether teachers attending
class)
…
… Criteria for Concept of Subsidiarity
inter-jurisdictional and local coordination/cooperation (scope/reason for councils to cooperate, i.e. drainage system)
sectoral coordination (need for strong cross-sectoral coordination, i.e. land use planning)
international lessons learned weighing and balancing all the criteria
Common Functions Across Sectors
Every sector will have its own distinct functions Every sector will also have generic management
functions in common with other sectors, for instance – Policy setting Regulation (i.e. setting standards) Legality control/enforcement Planning, budgeting, M&E Determining beneficiaries at local level Ensuring public participation Implementation of services, management of assets
Corresponds to RGC Powers and Functions Database
… Common Functions Across Sectors
With certain common functions across sectors, it may be possible to have rules of thumb (but not stringent rules!) about where those common functions should typically be transferred
For instance, overall policy setting = national function?
Implementation of services = sub-national function?
Ensuring public participation = commune function?
Corresponding Resources
Transferring a function without the corresponding resources (finances, personnel, assets) = empty mandate
When a function is transferred, at the same time its corresponding resources must be transferred
Just as functions will be re-allocated, therefore, finances, civil servants and state assets will be re-allocated/re-deployed
Finances, personnel and assets will follow functions Part of the functional review process is to identify
what resources correspond to a function to be transferred
Big Picture
Clear that functional review is an immense, complex and politically sensitive task that will take years
Yet, governments around the world have introduced D&D reform
Why?
Why Introduce D&D Reform?
Rationale was discussed in another presentation. To summarize the potential benefits –
More opportunities for citizens to participate in governance and influence decision-making
Government more responsive to real local needs More responsive and effective service delivery More sustainable development activities More transparent and accountable governance Contribution to poverty reduction efforts
Big Picture
How to maximize chances that the benefits will be realized?
Make good decisions about which level should receive functions (subsidiarity as a guide)
Ensure that functions are accompanied by their corresponding resources, and capacity development
Include mechanisms to require councils to practice principles of good governance