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Presentation by D. Ivarsson, M. Lemke, K. Paabusk, SIGMA Bilateral Event on the Principles of Public Administration and their use for public administration reform in Azerbaijan, 24 November 2016, Baku, Azerbaijan.

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Presentation given by D. Ivarsson, M. Lemke, K. Paabusk at the SIGMA Bilateral Event on the Principles of Public Administration and their use for public administration reform in Azerbaijan. This event was hosted by Center for Analysis of Economic Reforms and Communication of Azerbaijan on 24 November 2016 in Baku, Azerbaijan.
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  • 1. © OECD AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU The Principles Of Public Administration: Key elements Marian Lemke Daniel Ivarsson Kaido Paabusk SIGMA The Principles of Public Administration and their use for public administration reform in Azerbaijan Baku, Azerbaijan, 24 November 2016
  • 2. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Areas of public administration reform that SIGMA works in 1
  • 3. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Overall framework of the Principles • 12 Key Requirements outline general characteristics of good public administration in the six key areas that SIGMA works in • 29 Principles, grouped under key requirements, focus on:  Implementation  Performance of the system in practice • Sub-principles then define more precisely which components need to be in place
  • 4. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Strategic framework of public administration reform Key requirement: The leadership of public administration reform is established, and the strategic framework and administrative resources provide the basis for implementing prioritised reform activities aligned with the country’s financial circumstances. • Principle 1: An effective public administration reform agenda is developed which addresses key challenges and is systematically implemented and monitored. • Principle 2: The financial sustainability of public administration reform is ensured. • Principle 3: Institutions involved in public administration reform have clear responsibility for reform initiatives and the capacity to implement them. 3
  • 5. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Policy development and co-ordination I Key requirement: Policy planning is harmonised and supports the country’s ability to achieve its objectives; policy co-ordination ensures that decisions are prepared in a transparent and professional manner. • Principle 1: Medium-term policy planning is harmonised, with consistent system-wide objectives, and is aligned with the financial circumstances of the state; sector policies meet the overall objectives set by the leadership and are consistent with the medium-term budgetary framework. • Principle 2: Regular monitoring of performance against the plans enables public scrutiny and ensures the achievement of stated objectives. • Principle 3: Policy and legislative decisions are prepared in a transparent manner and based on the administration’s professional judgement. • Principle 4: The parliament oversees government policy making. 4
  • 6. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Policy development and co-ordination II Key requirement: Inclusive, evidence-based policy and legislative development enables the achievement of intended policy objectives. • Principle 5: The organisational structure, procedures and staff allocation of the responsible state institutions ensure the capacity to develop and implement policies and legislation that meet medium-term and annual objectives and plans. • Principle 6: The policy-making and legal-drafting process is evidence-based, and impact assessment is regularly used across ministries. • Principle 7: Policies and legislation are designed in an inclusive manner that enables the active participation of society and allows for co-ordinating perspectives within the administration • Principle 8: Legislation is consistent in structure, style, and language; legal drafting requirements are applied consistently across ministries; legislation is made publicly available. 5
  • 7. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Public service and human resource management I Key requirement: The scope of public service is clearly defined and applied in practice so that the policy and legal frameworks and institutional set-up for a professional public service are in place. • Principle 1: The policy and legal frameworks for a professional and coherent public service are in place; the institutional set-up enables consistent and effective human resource management practices across the public service. • Principle 2: The scope of public service is adequate and clearly defined. 6
  • 8. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Public service and human resource management II Key requirement: Professionalism of public service is ensured by good managerial standards and human resource management practices. • Principle 3: The recruitment of public servants, including those holding senior managerial positions, is based on merit and equal treatment in all its phases; the criteria for demotion and termination are explicitly stipulated by law and limit discretion. • Principle 4: The remuneration system of public servants is based on the job classification; it is fair and transparent. • Principle 5: The professional development of public servants is ensured; this includes regular training, fair performance appraisal, and mobility and promotion based on objective and transparent criteria and merit. • Principle 6: Measures for promoting integrity, preventing corruption and ensuring discipline in the public service are in place. 7
  • 9. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Accountability Key requirement: Proper mechanisms are in place to ensure accountability of state administration bodies , including liability and transparency. • Principle 1: The overall organisation of central government is rational, follows adequate policies and regulations, and provides for appropriate independent accountability. • Principle 2: Functioning mechanisms are in place to protect both the rights of the individual to good administration and the public interest. • Principle 3: The right to access public information is enacted in legislation and consistently applied in practice. • Principle 4: Fair treatment in administrative disputes is guaranteed by internal administrative appeals and judicial reviews. • Principle 5: The public authorities assume liability in cases of culpable breach of duty of a public servant and guarantee redress and/or adequate compensation. 8
  • 10. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Service delivery Key requirement: Administration is service-delivery oriented; the quality and accessibility of public services is ensured. • Principle 1: Policy for delivery-focused state administration is in place and applied. • Principle 2: Good administration is a key policy objective underpinning the delivery of public service, enacted in legislation and applied consistently in practice. • Principle 3: Mechanisms for ensuring the quality of public service are in place. • Principle 4: The accessibility of public services is ensured. 9
  • 11. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Public financial management I Key requirement: The budget is formulated in compliance with transparent legal provisions and within an overall multi-annual framework, ensuring that the general government budget balance and the debt-to-gross domestic product ratio are on a sustainable path. • Principle 1: The government publishes a medium-term budgetary framework on a general government basis that is founded on credible forecasts and covers a minimum period of three years; all budget institutions operate within it. • Principle 2: The budget is formulated in line with the national legal framework, with comprehensive spending appropriations that are consistent with the medium-term budgetary framework and are observed. 10
  • 12. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Public financial management II Key requirement: Accounting and reporting practices ensure transparency and public scrutiny over public finances; cash, assets and debt are managed centrally, in line with legal provisions. • Principle 3: The central budget authority, or authorised treasury authority, centrally controls disbursement of funds from the treasury single account and ensures cash liquidity. • Principle 4: There is a clear debt management strategy in place and implemented so that the country’s overall debt target is respected and debt servicing costs are kept under control. • Principle 5: Budget transparency and scrutiny are ensured. 11
  • 13. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Public financial management III Key requirement: A policy for internal control, including internal audit, is applied throughout the public administration. • Principle 6: The operational framework for internal control defines responsibilities and powers, and is implemented by general budget institutions in line with the overall internal control policy. • Principle 7: The operational framework for internal audit reflects international standards and is applied consistently by government institutions. 12
  • 14. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Public financial management IV Key requirement: Public procurement is regulated by duly enforced policies and procedures, ensures an independent, transparent, effective and efficient remedies system, and is supported by suitably competent and adequately resourced institutions. • Principle 8: Public procurement regulations are aligned with internationally recognised principles of economy, efficiency, transparency, openness and accountability; there is central institutional and administrative capacity to develop, implement and monitor procurement policy effectively and efficiently. • Principle 9: The remedies system is aligned with applicable agreements and international regulations and with internationally recognised good practice of independence, probity and transparency and provides for rapid and competent handling of complaints and sanctions. • Principle 10: Public procurement operations comply with basic principles of equal treatment, non-discrimination, proportionality and transparency, and ensure the most efficient use of public funds; contracting authorities have appropriate capacities and use modern procurement techniques. 13
  • 15. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Public financial management V Key requirement: The constitutional and legal framework guarantees the independence, mandate and organisation of the supreme audit institution to perform its mandate autonomously according to the standards applied for its audit work, allowing for high-quality audits that positively impact on the governance and functioning of general government institutions. • Principle 11: The independence, mandate and organisation of the supreme audit institution are established and protected by the constitutional and legal frameworks and are respected in practice. • Principle 12: The supreme audit institution applies standards in a neutral and objective manner to ensure high-quality audits, which positively impact on the functioning of the public sector. 14
  • 16. AjointinitiativeoftheOECDandtheEuropeanUnion, principallyfinancedbytheEU Thank you for your attention! More information can be found at: www.sigmaweb.org 15
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