LEGISLATIVE-EXECUTIVE RELATIONS

1. LEGISLATIVE-EXECUTIVE RELATIONS Rick Stapenhurst World Bank Institute

2. 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

3. 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

4. Types of Legislative System • Parliamentary System • Executive “in the Legislature” • Semi-Presidential System • Presidential System • Executive separate from thed Legislature

6. Heart of Executive-Legislative Relations : The Budget Process

7. 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

8. 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

9. The Budget : Amendment powers: a survey (from Krafchik + Wehner)

10. 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)

11. Conceptual Approach: Key Actors and their Relationships PUBLIC FINANCIAL ACCOUNTABILITY Parliament Accountability Relationship Reports Public Auditor General Executive Examines

12. Conceptual Approach…cont. : Fiduciary Obligations ExplainedParliament, 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

13. Conceptual Approach…cont. : Fiduciary Obligations ExplainedMandates 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

14. Conceptual Approach…cont. : Fiduciary Obligations ExplainedPAC 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

15. 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

16. 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. Current Situation in the Commonwealth: Common Features:

17. 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 Current Situation in the Commonwealth: Success Factors*

18. 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

19. 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…..