Strasbourg, 17 May 2010                                                                      LR-IC(2010)4

                                                                                                                         

EUROPEAN COMMITTEE ON LOCAL AND REGIONAL DEMOCRACY

(CDLR)


COMMITTEE OF EXPERTS ON LOCAL AND REGIONAL GOVERNMENT INSTITUTIONS AND CO-OPERATION

(LR-IC)

ANALYTICAL TOOL FOR ASSESSING THE DEGREE OF AUTONOMY

OF FIRST-TIER LOCAL AUTHORITIES: RESULTS OF TESTING

Secretariat Memorandum

prepared by the Directorate General of

Democracy and Political Affairs

Directorate of Democratic Institutions


This document is public. It will not be distributed at the meeting. Please bring this copy.

Ce document est public. Il ne sera pas distribué en réunion. Prière de vous munir de cet exemplaire.


Introduction

Further to the detailed comparative study of municipal competences prepared for the CDLR by the consultant-expert, Prof. Gerard Marcou (University of Paris I Panthéon-Sorbonne/France) and adopted by the CDLR in 2007, the Committee agreed to continue the work in this area by developing an analytical tool for assessing the degree of autonomy of first-tier local authorities.

This document contains a simplified version of the analytical tool (see Appendix), a detailed user’s guide, and a scoring system to quantify, for four competence profiles, the extent of the responsibilities exercised by local authorities and the powers and resources at their disposal.

A number of countries have volunteered to test the tool at national level; however, so far only Finland, France and Hungary have sent their results and remarks.

The testing experience suggests that the application of the tool is rather complex, which may explain the low level response. In any case, the level of response to testing so far does not provide a sufficient basis to propose the validation of the tool. More work, involving both the Secretariat and member States will need to be done in order to complete the validation process. However, before discussing a concrete proposal to that effect, it is important to confirm there is a sufficient degree of interest among member States to see the tool completed. In particular this means being clear about the use that could be made of the tool, once validated.

There following possibilities for the future use of the tool are suggested.

Firstly, the tool could be used individually by governments which are interested in analysing the situation of local government in view of possible further reforms. The tool enables such governments to assess in detail the level of decentralisation and to compare the competencies of their local authorities to those of other countries.

Secondly, the tool could also be used when preparing future peer reviews: the country receiving the peers would first prepare a self-assessment on the basis of this tool, which would subsequently be transmitted to peers in order for them to prepare for the visit. Together with the Structure and Operation reports and other basic information gathered and sent by the country under review, this information would allow peers to have a better understanding of the situation of local government in the country concerned before arriving and thus to use their time in the country more effectively.

Thirdly, the tool could be put to use in the assistance and co-operation programmes; the results of the assessment could be a source of inspiration for the governments of the countries concerned, but also for Council of Europe experts and staff in their work of drafting policy and, as the case may be, legislative reforms.


The LR-IC Committee is invited to discuss the use that could be made of the tool once completed, with a view to deciding whether its development should be completed or abandoned.

Should the Committee decide that the development of the tool is to be completed, the following is proposed.

A further three countries (France, Finland and Hungary having already done so) are sought to test the tool on a voluntary basis. In choosing these countries the aim would be to have a variety of local government systems represented  In order to facilitate the testing, these three countries would be accompanied in the filling in of the questionnaire by a member of the Secretariat who would have received a special training for that purpose. This assistance would include a visit to the country to meet with persons having the specialised information on local authority competences.

On the basis of all the tests (three already completed and three new ones) it should be possible to finalise and validate the tool. The results of these tests would also serve as points of reference for future users of the tool, whilst the experience the Secretariat will have gained with using the tool could also benefit future use.

Action required

Taking account of the above, and of any additional information and views members may wish to put forward at the meeting, the Committee is invited to discuss and decide:

-      whether the development of the analystical tool is to be completed or abandoned;

-      in case its completion is decided upon, to decide the modalities for doing so.


APPENDIX

MUNICIPAL COMPETENCES

ANALYTICAL TOOL FOR ASSESSING THE DEGREE OF AUTONOMY

OF FIRST-TIER LOCAL AUTHORITIES

Results of the application of the tool

to the municipalities of

(name of the testing country)

Contents:

1.            Methodology for a large scale test of the analytical tool for assessing the degree of autonomy of first-tier local authorities

2.            Analytical tool for assessing the degree of autonomy of first-tier local authorities

-                      Introduction

-                      “Guide” to using and interpreting the tables

-                      Analytical tables for four competence profiles :

Table 1:    Social affairs competence profile

Table 2:    Economic affairs competence profile

Table 3:    Town planning and environment profile

Table 4:    Police and security competence profile

Table 5:    Summary of the scores obtained for tables 1 to 4


1.    Methodology for a large scale test of the analytical tool for assessing the degree of autonomy of first-tier local authorities

Objectives

-          Assess the degree of autonomy of first-tier local authorities (municipalities and intermunicipal bodies) according to four competence profiles (economic; social; town planning and environment; police and security);

-          Generate quantified results allowing for the comparison, at European level, of different degrees of autonomy of local authorities;

-          Open the debate on the key factors (both facilitating and limiting) of this autonomy in order to provide member States (central administrations) with elements to help them orient their future policies on the scope of action of local authorities, to re-examine the distribution of competences between different administrative levels and to facilitate the consideration of the issue of decentralisation in measures aimed at evaluating public policies

Suggested individual testing procedure for participating delegations

-          Each participating administration (ministry) will designate a civil servant with sufficient research experience for collecting any relevant information, co-ordinating the analytical work on the competence profiles and giving reasoned conclusions  with regard to the extent of powers and the degree of autonomy caracterising the exercise of competences.

-          Administrations concerned may collaborate with national associations of local authorities to carry out the analysis and fill in the tables; the minstry will, however, remain the main contact in the context of the work undertaken in the CDLR and its sub-committees.

-          The Secretariat and the consultant may be contacted for further information on applying the method, either in the run-up to or during its application.

-          On the condition that persons concerned agree, the participating delegations constitute a “network” in which they may contact each other with regard to bilateral technical exchanges.

Consultant Contact details

Prof. Gérard Marcou

GRALE, Université Paris I (Panthéon Sorbonne)

Centre Universitaire Mahler, 9 rue Mahler, 75181 PARIS, France

Tél : (33 3) 20 90 74 51 / (33 1) 44 78 33 44 ;

E-mail : [email protected]

CDLR Secretariat contact

Mr Frank Steketee, Administrator, CDLR Secretariat

Direction of Democratic Institutions

Directorate General of Democracy and Political Affairs

Tel : +33 (0)3 88 41 39 61 ; Fax: +33 (0)3 88 41 27 84;

E-mail: [email protected]


2.    Analytical tool for assessing the degree of autonomy of first-tier local authorities

INTRODUCTION

Proposed method: background, objectives and target groups

The report on The Extent and Nature of Local Authority Powers and Responsibilities in Council of Europe Member States, written by Prof. Gérard Marcou and adopted by the CDLR in 2007, presents a new comparative approach to the powers and responsibilities of local authorities in Council of Europe member States.

What emerged from the report was an analytical method for assessing the degree of autonomy of first-tier local authorities (municipalities, including their co-operation bodies). The method is based on tables that cross-reference the substantive competences (functions) exercised to the powers and resources at local authorities’ disposal, taking into account the institutional constraints inherent in the various legal and political systems. A sectoral approach is adopted, bearing in mind that the degree of autonomy (or decentralisation) may vary considerably from one sector to another within the same country and proceeding on the principle that local powers and responsibilities (competences) may be analysed as a combination of four competence profiles conflating a set of functions exercised by local authorities. The user’s guide is set out below.

In particular, this dual analytical method facilitates more detailed analysis of shared competences, which constitute the largest category in all countries.

It is first of all proposed to national administrations responsible for local authorities who can expect the following results when using the method:

-      Re-examine the distribution of competences between different administrative levels, in the light of an analytical grid based on international comparison;

-      Position the system of competences of local authorities in the country with regard to other European countries;

-      Facilitate exchanges and co-operation with neighbouring countries on the basis of a common methodology;

-      Facilitate the consideration of decentralisation in approaches aimed at evaluating public policies.

Interested administrations should use this method by means of a mandate to a civil servant having sufficient experience and authority. The mandatary will co-ordinate the analytical work along competence profiles, then draw up and validate conclusions from the point of view of the extent of powers, as well as that of the degree of autonomy caracterising the exercice of competences.

This method may also prove to be interesting for several other types of users, beyond the Council of Europe and the Congress of local and regional authorities, such as:

-      parliaments;

-      associations of local authorities or locally elected representatives;

-      specialised journalists;

-      specialists in universities and the research field.


Analytical tables

Format and content of the tables

In concrete terms, the analytical method is based on the four competence profiles referred to in the report on local authorities’ powers and responsibilities: social affairs, economic affairs, town planning and environment, and police and security. A table is presented for each profile, in which substantive competences (functions) are broken down and linked to categories of powers and categories of conditions or relationships (supervision, contract) affecting the degree of freedom enjoyed by local authorities. The tables were established on the basis of the knowledge acquired about numerous European systems of local self-government and by seeking to anticipate the particular features of these systems in defining the content of the tables.

Owing to the method’s highly synoptic approach (replies are given in the form of symbols or just a few words), a “guide” is needed to assist the people responsible for filling in the tables and those subsequently wishing to use them.

Approaches tailored to each competence profile

The competence profiles vary in format. In the town planning and environment and police and security competence profiles, most functions take the form of legal, regulatory or individual acts. This makes it impossible to distinguish as clearly between functions, on the one hand, and powers and resources, on the other, as in the other two tables; a different matrix has therefore been adopted.

In the town planning and environment table, the columns show indicators for the degree of freedom enjoyed by local authorities in respect of the acts listed in the lines. In the police and security table, it seemed preferable for the columns to list possible types of police authority, divided into categories, while the lines show the various functions – including legal acts related to policing, insofar as they are directed at third parties – and the substantive fields making up this competence profile: public security, emergency services, public health and hygiene. Legally speaking, policing is also a cross-sectoral function, an aspect that cannot be reflected in the tables: there are numerous police powers associated with the town planning and environment field, for example. The approximation adopted here seems acceptable, however, given that the purpose of this study is to assess the degree of freedom with which local authorities fulfil their remit in the substantive fields of competence assigned to them.

Quantifying the degree of local autonomy

The tables are supplemented by a score “quantifying” the degree of local autonomy. Points for autonomy are awarded or subtracted on the basis of the information set out in the form of lines and tables; for a given competence profile, a country’s local authorities can then be positioned on a scale of local autonomy. Care must be taken, however: the assessment calculates a degree of autonomy, which may be combined with a measure of the extent of local authorities’ powers and responsibilities (corresponding to the scope of the competence profile in terms of the actual powers and responsibilities exercised by the local authorities in question); the performance and quality of the resulting administrative setup in specific sectors are not evaluated. The maximum degree of local autonomy is not always an optimum, as the utilisation of the tables will show.


GUIDE TO USING AND INTERPRETING THE TABLES

Glossary

Firstly, definitions should be given for certain terms that may be interpreted differently from one country to another:

Local authority

a public law entity, freely administered by at least one body having been elected directly by the citizens of its territorial area of responsibility and exercising the competences attributed by law, under control of the State. Federal entities and autonomous regions are non local authorities. The notion of “territorial authority” is sometimes used as a synonym of “local authority”.

Competence: delegated

competence exercised by a local authority on behalf of a higher-level authority (such as the State or region), in accordance with directives or instructions issued by the latter

Competence: shared (or sharing of competence)

refers to a situation in which a higher-level authority enjoys operational or decision-making powers in the same field as the local authority in question; depending on the circumstances, the exercise of such powers may either be neutral in terms of the latter’s freedom of action or influence its decisions

Competence: own

competence exercised by a local authority on its own responsibility, in accordance with laws and regulations but not subject to directives or instructions from higher-level authorities; such competences may be mandatory, where their exercise is a statutory obligation, or optional, where their exercise depends solely on a decision by the competent local authority

Co-operation agreement

contract between public corporations on the organisation of a joint venture rather than an exchange of services

Supervision: general/ specific 

a distinction is made between implementation of a general supervisory procedure relating to acts by local authorities and implementation of a subject-specific supervisory procedure  

Supervision: prior

supervision exercised before an act has taken effect, including explicit or tacit prior approval, or the taking of measures by a higher-level authority in the place and on behalf of the local authority in question (in the event of the latter’s failure to act)

Supervision: subsequent

supervision exercised once an act has taken effect, for instance the power to set it aside or refer it to a court with the power to set it aside

Individual decisions

a) mandatory

b) discretionary

a decision is mandatory if an administrative authority is obliged to take it where the conditions stipulated by law exist (this is checked in each case); it is discretionary if the law requires the administrative authority to assess each case, or where the administrative authority’s decisions are not subject to any requirements (a situation that is becoming less and less common)  

Financing, earmarked

financing from budgetary revenue earmarked for a particular item of expenditure, as an exception to the principle of budgetary universality. In some countries, this may take the form of a supplementary budget covering revenue and expenditure specific to a particular department, in which case the supplementary budget is based primarily on revenue from users, with budgetary assistance constituting a secondary source of revenue

Housing (policy)

policy designed to meet housing needs, in terms of both the location and composition of housing stock; ensures that housing is incorporated into town planning policies

Non-ministerial national (regional) body

administrative authority or public or private body to which the law has entrusted certain powers within the purview of one or more ministries, and which has a nationwide (or regional, if applicable, in the case of a federal State or one with autonomous regional entities) geographical remit

Planning

planning meets a need for projection and co-ordination; it takes the form of a document, or set of documents, serving as a basis for individual or specific decisions in a given geographical area or sphere of activity, or both

Regulatory power

power assigned to an administrative authority to lay down general legal rules; in some countries, this comes within what is known as standard-setting power, which can take a number of forms (including the power to make laws or issue administrative regulations); in the tables below, a distinction is made in respect of each field according to the purpose of the regulatory power

Deconcentrated agencies

administrative authorities within a local area which are subordinate to central or regional government, and to which certain decision-making powers are delegated

Standards

norms intended to guide their addressees’ behaviour, but not specifying an obligation to act or not to act. An example might be: “to ensure the regular, punctual operation of buses and the comfort of travellers”, which can be evaluated using specified indicators


Expected replies

The tables are designed for simple replies:

-          yes/no;

-          using the symbols indicated when options are given at the head of the column or line:

·         letters in the columns (a, b, c, etc.);

·         figures in the lines (1, 2, 3, etc.);

-          using a single word, or a few words if necessary.

These replies are to be synthesised by noting in the box the number of points resulting from the application of the scale.

The method allows flexible replies designed to accommodate specific national features and complex „on the ground“ situations:

In many cases, more than one reply can be given simultaneously, for example:

-          where the local authority is able to regulate both the organisation of the function in question and the procedure for securing certain rights, and to set standards (see tables 1 and 2, column 5);

-          where the function is financed by charging users a fee set by the local authority (see tables 1 and 2, column 12).

In some cases, the table calls for combined replies (for example, columns 13 and 14 of tables 1 and 2: supervision of legality or expediency, where it exists, is necessarily prior or subsequent in nature). Insofar as such an approach makes sense, the proposed replies are set out in order of increasing freedom for local authorities.

The lines are often divided into sub-headings, in which case a reply should be given for each sub-heading, according to the procedure described above, unless the sub-heading in question is not applicable, in which case the reply should be “n”.

Those filling in each table may amend the line or column headings as appropriate to their own country, giving an explanation in their comments.

The authors of replies given to each table can modify the contents of headings of lines or columns in order to adapt these to their countries’ situation. They should justify this by relevant comments.

Scoring: basic principle

The indicators given in the tables are used to develop a scoring (points) system reflecting the extent of local authorities’ substantive competence and the degree of autonomy they enjoy.

Scores must be calculated for each table; the tables cannot all follow exactly the same model, owing to the nature of the powers and responsibilities in question.

Firstly, information is obtained about the particular sectors covered: for example, the extent of local authorities’ powers and responsibilities depends on the number of applicable headings in the list of functions set out in the lines.

In practice, comparisons of the extent of local authorities’ powers and responsibilities should be confined to each competence profile, or even – to adopt a still more rigorous approach – to each line, since there is no way of weighting the breakdown of substantive competences by competence profile. Subject to this proviso, one point may be allocated for each section heading in the lines.

Points allocation and type of results obtained

Points for autonomy are allocated according to a scale drawn up for each column (see below). A slightly different method is used for competence profiles 3 and 4, however, given that as a rule it is impossible to separate substantive competences from specific legal powers.

A practical example: if we combine the measure of the extent of French municipalities’ competence with the degree of autonomy they enjoy, we find that they have limited competence in the public health field, but enjoy a greater degree of local autonomy in respect of outpatient care (an optional competence) than in respect of public hospitals, even though legally speaking the latter are local institutions. This is a minor competence exercised by French municipalities and their public institutions, but the same type of analysis can be applied to any competence.

The points allocation grid allows the competence in question to be positioned on a scale of autonomy (or freedom) in relation to the maximum number of points that could theoretically be allocated.

It should be emphasised that the method’s scope is strictly limited to its purpose: it enables us to ascertain the extent of the powers and responsibilities exercised by a country’s municipalities, within a given competence profile, and whether they enjoy a low or high degree of autonomy in the context of that profile. It is often the case, however, that extensive powers and responsibilities in a given area are coupled with a lesser degree of freedom, and that the greatest degree of autonomy is enjoyed in the least important areas or those of purely local interest (such as sport and leisure). Moreover, it is clear from the table that, in some cases, the maximum degree of autonomy may have undesirable effects: in the area of primary and secondary education, for example, nobody would want local authorities to have discretionary power when it comes to individual decisions about students.   

It follows that the measure of the extent of local powers and responsibilities and the degree of local autonomy does not equate to an assessment of the proper organisation of the sector or function in question or the quality of its operation. Such assessments must be conducted by other means. Nevertheless, it is helpful to compare systems of local government and to position countries in relation to one another in terms of decentralisation (or the degree of autonomy enjoyed by local authorities), in such a way as to highlight differences between sectors as well.

The degree of decentralisation within a given competence profile may be assessed, therefore, by adding the number of points allocated for the extent of local authorities’ powers and responsibilities and the number of points allocated for autonomy. In order to facilitate the comparison, the scoring results will be ascribed a basis of 100, which will allow for a fair appreciation of values between the extent of powers and the extent of autonomy. In order to facilitate the comparison, the scores will be referred to a base of 100, which will then allow to weigh the extent of the competence against the extent of autonomy.

The number of points to be allocated are given prior to each of the tables set out below.

Limitations of the proposed analytical method

Before going on to discuss how the tables and their scoring systems apply to national situations, we ought to clarify the limitations of the proposed method.


While it is true that the tables are not intended to be comprehensive, the section headings and sub-headings were chosen because they are representative of both local powers and responsibilities and the variations found across Europe (see the aforementioned report on “The Extent and Nature of Local Authority Powers and Functions in Council of Europe Member States”).

It would be paradoxical, however, if the impression were given that systems in which local authorities exercise wide-ranging substantive competences, but in fields that are mandatory precisely because of their importance, appeared to be less decentralised. In order to avoid such an outcome without distorting assessments of the degree of freedom enjoyed in local decision-making, two points instead of one are to be counted as concerns the scope of the competence where headings and sub-headings correspond to mandatory competences. Such a convention is, however, warranted only for the social and economic affairs profiles, however. In the case of the town planning and environment and police and security profiles, staff management may simply be dealt with as part of local self-government resources.

Likewise, in various fields – and specifically the main competences within the social affairs profile – responsibility for staff management is a key variable when it comes to assessing the extent of local authorities’ powers and responsibilities. In this case, therefore, and if the competent local authority has responsibility for staff management, points for the extent of the powers and responsibilities should be added to the score. This convention is not incompatible with the inclusion of such responsibility as part of local self-government, provided that it is systematically followed, particularly in respect of all those countries to which the analytical matrix is to be applied.

Secondly, there is an issue that must be resolved as regards the interpretation of the column dealing with resources represented by staff and facilities. The convention should be that this power is only included in respect of staff and facilities used directly to provide a service to the public, but not in respect of those used for general administration.

Lastly, it is important to bear in mind the institutional constraints arising from the impact that powers and responsibilities exercised by deconcentrated bodies, non-ministerial bodies answerable to central (or regional) government or other local authorities have on the exercise of local powers and responsibilities. Such sharing of competence may either be neutral in terms of its effect on the local authority in question, or reduce both the latter’s freedom of action and the extent of its powers and responsibilities. Replies should therefore reflect an assessment of this aspect.

A similar problem arises in relation to the consideration of the power to raise taxes, which is a key component of local self-government. It appears in column 12, which assesses local authorities’ ability to modify the resources they commit in exercising their powers and responsibilities. It is a general power, however, unlike the power to charge fees, which always applies to a specific function. There is a case for having two separate columns, but this would be an unnecessary complication: 1) even in a separate column, the existence of the power to raise taxes would have to be noted in respect of each competence, since it contributes to the latter’s financing; 2) cases in which the power to raise taxes is exercised specifically in respect of a tax whose proceeds are earmarked for certain items of expenditure, in application of the law, would be left out. Given that the analytical tool focuses specifically on powers and responsibilities, the solution adopted seems preferable.

ANALYTICAL TABLES FOR FOUR COMPETENCE PROFILES

Table 1: Social affairs competence profile

Preliminary remarks

The table identifies substantive competences according to a standardised format. Details about the country in question should be specified in an appendix; where necessary, the line headings in the tables may be adapted. This applies, for example, to questions of the following type:

-          whether families and children are covered by the same regulations as far as local powers and responsibilities are concerned;

-          whether a distinction is made between the general social protection system and social welfare, or whether such a distinction does not exist;

-          whether the distinction made in the table between different levels of education is relevant; if not, describe the specific situation.

Instructions for filling in the table

Columns 1 to 3 

Background information designed to assess the extent to which powers and responsibilities are shared among three separate categories of institutions.

Column 3 is confined to local authorities in the true sense; federated States and autonomous regions are covered in columns 1 and 2.

Columns 4, 5 and 6

Closely inter-related information designed to assess the degree of freedom enjoyed by local authorities in the exercise of such powers; replies are set out in order of increasing freedom for local authorities; only one reply is possible in columns 4 and 6; more than one reply is possible in column 5

Column 7

Existence or otherwise of a planning function based on a text

Column 8

Replies are weighted as follows: 1 point for an affirmative reply, 2 points for two affirmative replies, 0 points for no affirmative replies (see proposed weighting system further down)

Columns 9 and 10

Column 9 requires a yes/no answer (can the local authority choose the form of management adopted in respect of the function in question?); column 10 ascertains whether the use of public- or private- sector enterprises is a legal requirement or one of the choices available. The public and private sectors are grouped together, since in either case the enterprise is outside the local authority’s control.

Columns 11 and 12 

Column 11 deals with how the function is funded; earmarked resources or financing by users or third parties are taken to indicate less autonomous management, since such financing is outside the local authority’s control; financing from the local authority’s general budget indicates a greater degree of autonomy, but is not secure and depends on the said authority’s total resources and expenditure; column 12 indicates whether the local authority has power to raise taxes and/or set fees

Columns 13 and 14 

Column 13 covers the purpose of supervision (legality or expediency), and column 14 its timing. Supervision confined to legality is regarded as neutral in terms of local autonomy, as is subsequent supervision, but supervision of expediency and prior supervision reduce the degree of local autonomy (-1)

Column 15 

Covers contracts or agreements with higher-level authorities (such as the State or region); specify the nature of the other contracting party; also state whether the signature of such contracts is optional or a statutory obligation. The existence of such contracts is neutral in terms of the degree of autonomy enjoyed by local authorities, as is, therefore, the ability to enter into them; one point is subtracted, however, for the obligation to enter into such contracts


Scoring

Tables 1 and 2 use the same scoring system, which is therefore presented only once. In particular, in calculating the number of points allocated, a distinction is made between cases in which the score is graduated (only one reply possible), alternative (yes/no) or cumulative (more than one reply possible).

Scoring for tables 1 and 2

Column

Subject

No. of pts

Comments

1 to 3

Sharing of competence

0 to -1

Graduated

0: the authority in question plays a monitoring role and participates in the supervision mentioned in columns 13 and 14, with no effect on local autonomy

-1: the authority exercises decision-making power and/or plays an operational role which affects the exercise of local powers and responsibilities or reduces their scope

4

Type of competence

1 to 3

Graduated

1: where some form of competence is enjoyed; delegated competence corresponds to the lowest level of autonomy

2: mandatory own competence

3: optional own competence: in general, such competences are less significant but more autonomous

5

Regulatory power

0 to 2

Cumulative

0: no regulatory power

1: confined to organisational and sometimes procedural aspects

1: including the setting of service standards and the nature of entitlements/services

6

Individual decisions

0 to 2

Graduated

0: no power to take individual decisions

1: mandatory power

2: discretionary power

In some cases, however, mandatory powers are more advantageous for those concerned

7

Planning

0 or 1

Alternative

0: no power to draw up plans

1: power to draw up plans

8

Management and earmarking of resources

0 to 2

Cumulative

0: no power

1: facilities, infrastructure

1: staff

9

Choice of form of management

0 or 1

Alternative

0: no choice

1: freedom of choice (even subject to restrictions)

10

Delegation to the public or private sector

0 or 1

Alternative

0: mandatory

1: optional

11

Financing: sources

0 to 2

Cumulative

1: local authority’s general budget

0: earmarked external financing, budget or third parties

In the former case, local authorities are in control of financing, subject to the constraints of their own budgets; in the latter case, financing is secure but outside their control.

1: however, where third-party financing is coupled with fees set, at least to some extent, by local authorities

12

Financing: powers

0 to 2

Cumulative:

1: existence of power to raise taxes in their own right, regarded as significant in the light of financing needs (to be evaluated)

1: power to set fees, at least to some extent

0: no power to raise taxes or set fees

13

Supervision: expediency or legality

-1, 0 or +1

Graduated

-1: supervision of expediency

0: supervision of legality

+1: no supervision by a higher-level authority

In this context, supervision is a power exercised by a higher-level authority: it may be considered to reduce the degree of autonomy (supervision of expediency) or to be neutral (compliance with the law is required in any case – in theory); the absence of supervision by a higher-level authority is considered to boost the degree of autonomy. This may have adverse effects (less compliance with the law), but that is not what we are attempting to measure here.

14

Prior (ongoing) or subsequent supervision

-1 or 0

Alternative

-1: prior supervision reduces the degree of local autonomy

0: subsequent supervision is neutral

15

Co-operation agreements

-1 or 0

Alternative

-1: an obligation to contract agreements reduces the degree of autonomy

0: the ability to contract agreements is neutral

Total number of points that can be allocated

17

This total represents the maximum degree of autonomy in respect of a given substantive competence; it is not the optimum score. Comparisons can then be drawn between the different substantive competences in terms of the degree of decentralisation, and between countries in respect of the same substantive competences.

NB : For certain issues, it will be considered that there are no significant charges generated by staff direcly assigned to the public sector (for the competence “prevention” in the field of public health and for the competence “conservation in the cultural field”), because the staff and facilities used for these powers and responsibilities are included within the charges of general administration.


Table 1: Social affairs competence profile

Constraints, powers and resources

Functions

Sharing of competence

Powers and resources

1

 

2

3

4

5

6

7

8

9

10

11

12

13

14

15

Deconcentrated government departments (federated State or region in some countries)

Non-ministerial body answerable to central (or regional) government

Other local authorities

Type of competence

a) delegated

b) own, mandatory

c) own, optional

Regulatory power

a) organisation

b) procedural aspects

c) standards

d) rights

Individual decisions

a) mandatory

b) discretionary

Planning

Management and allocation of resources

a) facilities

b) staff

Choice of form of management

(yes/no)

Delegation to public or private sector

a) statutory obligation

b) optional

Financing

a) earmarked

b) fee-based, from outside org.

c) general budget

Financing

a) power to raise taxes

b) fees set by local authorities

Supervision

a) expediency

b) legality

Supervision

a) prior

b) subsequent

Co-operation agreement

a) mandatory

b) optional

1. Public health

-prevention

n

-outpatient care

-hospitals

2. Social services and benefits

-family

-children (protection, accommodation)

-elderly

-disabled

-minimum income

-integration

-welfare (relief)

3. Education

-primary

 

-secondary

-compulsory

-vocational

-special (children with disabilities)

4. Culture

-artistic education

-museums

-libraries

-conservation

n

-theatres, shows

5. Sport and leisure

-sports facilities

-leisure centres


Table 2: Economic affairs competence profile

Preliminary remarks

The difference between the substantive competences (functions) in table 1 (the social affairs profile) and those in table 2 (the economic affairs profile) lies in the predominantly market-based focus of profile 2, which is not a feature – or only to a marginal extent – of profile 1. This aspect does not coincide with the use of the private sector: in the social field, public authorities may also purchase services aimed at the general public which are not provided on a market basis; conversely, market services may be offered by local public enterprises, sometimes State-run.      

Instructions for filling in the table

Columns: same comments as for table 1.

Explanation of the lines:

Line 3: “energy”

-          Renewable energies come under “electricity”, because they are generally primary energy sources (wind or solar).

-          Distribution is a network function, so it corresponds to the “facilities” function in the columns: in the case of France, for example, the fact that municipalities have to delegate the management of distribution networks (gas and electricity) to companies designated by the State (by law) means the answer should be “no” in the column headed “choice of form of management” and a) (statutory obligation) in the column dealing with delegation to the private sector (even though the companies in question are government corporations).

Line 5: “public transport”

The table is confined to local authorities’ powers and responsibilities, meaning that in some countries responsibility for regional links will not appear. In order to avoid a distorted picture resulting from the omission of certain information, it is possible to specify the competence of the regional authority and its nature.

Line 6: “housing”

Distinction between three different areas of competence:

-          local housing policy (see above glossary);

-          building and management of social housing;

-          allocation of social housing to eligible persons.

Line 7: “measures to promote economic development”

Heading that can cover various forms of action to promote economic development, including activities outside the economic sphere as such. It may be appropriate to highlight a specific function regarded as an instrument of economic development, provided that it is not included in another table (such as the one on town planning and environment).

Scoring

The scoring system to be applied is the same as for table 1 (see above).

It will be considered that for certain powers and responsibilities there are no significant charges generated by staff and facilities different of the general administration and direcly assigned to the public sector: “management of municipal properties” (roads); “general housing policy” and “assignment of public housing” (housing); “business grants” and “provision of sites” (measures to promote economic development).


Table 2: Economic affairs competence profile

Constraints, powers and resources

Functions

Sharing of competence

Powers and resources

1

 

2

3

4

5

6

7

8

9

10

11

12

13

14

15

Deconcentrated government departments (federated State or region in some countries)

Non-ministerial body answerable to central (or regional) government

Other local authorities

Type of competence

a) delegated

b) own, mandatory

c) own, optional

Regulatory power

a) organisation

b) procedural aspects

c) standards

d) rights

Individual decisions

a) mandatory

b) discretionary

Planning

Management and allocation of resources:

a) facilities

b) staff

Choice of form of management (yes/no)

Delegation to public or private sector

a) statutory obligation

b) optional

Financing

a) earmarked

b) fee-based, from outside org.

c) general budget

Financing

a) power to raise taxes

b) fees set by local authorities

Supervision

a) expediency

b) legality

Supervision

a) prior

b) subsequent

Co-operation agreement

a) mandatory

b) optional

1. Household services

-water

-sewerage

-household refuse: collection

-household refuse: treatment

-district heating

-telecom networks

2. Funerals and burials

-funeral service provision

-cemeteries

3. Energy

-electricity

*production, supply

*renewable energies

*distribution

-gas

*production, supply

*distribution

-energy conservation

4. Roads

 

-building, maintenance, use

-parking

-public lighting

-management of municipal properties assigned to communications

n

5. Public transport

-urban transport

-inter-urban transport

-regional links

6. Housing

-general housing policy

n

-building/management of social housing

-allocation of social housing

n

7. Measures to promote economic development

-business grants

n

-provision of sites

n

-economic infrastructure

* ports, airports

* other

-services to businesses (industrial waste disposal, etc.)


Table 3: Town planning and environment competence profile

Preliminary remarks

Table 3 differs in format from the previous two tables, since most of the functions relate to legal powers. For instance, the section on powers and resources focuses primarily on aspects of the competent local authority’s relationships with other authorities and bodies in the sector in question. Supervision proper is covered in three separate columns.

Where a substantive competence (function) is associated with specific legal powers (such as the adoption of binding or non-binding plans or the issue of permits), a degree of autonomy is inherent in the powers conferred. This has certain implications for the way the score is calculated.

Instructions for filling in the table

Not every aspect is relevant to all the competences listed in the lines. Accordingly, the initial column indicates whether the competence in question is one exercised by first-tier local authorities (municipalities). The column cells are then filled in only if the aspect in question applies to that competence.

The background information appearing in columns 2 and 3 differs from that in tables 1 and 2, but serves the same purpose: ascertaining the limits of local competence.

Column 5:

Does not concern the powers and responsibilities of group 2

Column 6:

Does not concern the powers and responsibilities of group 2

Column 9:

Does not concern the powers and responsibilities of group 2 which are normally ensured within the scope of general administration.

Column 10:

Reply by a) if a right is perceived.

Then specify if this right is assigned to the owner or the builder (letter b or c: one single answer possible, exceptions to be justified).

Columns 11 to 13:

More than one reply may be given in each column. If several bodies enjoying supervisory powers are named in column 10, separate replies should be given for each in columns 11 and 12.

Each of lines 1 to 5:

Corresponds to a separate main function in the town planning and environment profile; not all the aspects listed in columns 4 to 13 apply to every function, but answers in the columns should be given under the sub-headings set out in the lines.

Scoring

Given that each substantive competence is associated with certain powers, one point for autonomy is allocated for each competence exercised. Accordingly, additional headings or lines should be added if there is not enough room in the table for competences considered significant; these will each count for one extra point for autonomy.

It is true that the “roads and services” heading (line 5) is presented as a separate substantive competence, as is the case in table 2, but in operational terms it comes under the planning competence. In some countries, however, it is the responsibility of national bodies outside local authorities’ control. The inclusion of this substantive competence here should highlight cases in which competence for planning is more limited (confined to amenities and sale of land) by indicating that it is not exercised by local authorities. It is also possible that local authorities may not have any powers or responsibilities in the area of planning.


The points allocated for the aspects listed in the columns may increase or decrease the degree of local autonomy associated with each line. As an example: where a country’s municipalities are responsible for drafting local plans prohibiting the granting of planning permission, 0 points will be added if municipalities can only prepare and propose plans, 1 point if this is a delegated competence (plans are adopted on behalf of a higher-level authority: central or regional government), 2 points if it is a mandatory own competence, or 3 points if it is an optional own competence.

As regards competence for issuing town planning permission, it is possible that a country’s legislation may allow only one type of permission. In this case, so as not to distort comparisons, each item identified in line 2 should be treated as a separate procedure. Where necessary, another type of authorisation may be added if it is not covered by those already listed in the table; this will count for an extra point for autonomy.

Scoring for table 3:

Column

Subject

No. of pts

Comments

1

Existence of the competence

1

One point if the local authority has this power; 0 or cell left empty if it does not.

A) Starting point: total number of points that can be allocated if all the substantive competences listed in the lines of the table are exercised

13

This total will be higher if other functions are added. In the line dealing with plans, however, local and detailed plans will count for just one point, since the fact that the law provides for detailed plans does not appear to indicate a greater degree of autonomy in respect of town planning.

2

Derogation procedures

-0.5

Half a point is subtracted if such procedures reduce the degree of local autonomy only when they are applied

3

Opposable plans (or subject to “relevant consideration”) issued by higher authorities

-0.5

Higher-level plans reduce the degree of local autonomy but do not take away local authorities’ competence

4

Nature of competence

0 to 3

Graduated

0: limited to proposal and drafting

1: delegated competence

2: mandatory own competence

3: optional own competence

5

Research/planning bodies answerable to local authorities

0 or 1

Alternative

0: none

1: existence, since this contributes to autonomy

Fill in only the cell(s) for the competence(s) concerned

6

Relationship between planning permission and plans

1 or 2

Graduated

1: obligation to comply, since the plan’s effectiveness contributes to autonomy in respect of local town planning policy

2: discretion, which allows a greater degree of autonomy (for instance: UK = “relevant consideration”)

Relates only to the lines under section 2 (planning permission)

7

Exercise of functions

1 or 2

Graduated

1: competence exercised exclusively by local government (subject to column 4); administrative capacity contributes to autonomy

2: option of using private sector

8

Co-operation agreements

0 or 1

Graduated:

0: no contracts

0: contracts between public corporations – neutral, because they can either contribute to autonomy or extend the sphere of competence, on the one hand, or reduce the degree of autonomy, on the other

1: development contracts with operators: this is a means of monitoring the activities of developers and builders, thereby boosting the degree of autonomy enjoyed by local authorities

9

Financing

1 to 2

Cumulative

1: financing by means of earmarked grants – extending the resources available to the authority in the areas of planning and development, in particular

1: from the local authority’s general budget – it decides on its investment in respect of town planning and the environment

10

Financing by interested parties

0 to 1

Alternative

0: no duty payable

1: duty payable – contributes to autonomous exercise of the competence; it should be assessed whether such duty is significant enough to be worth mentioning

11

Body with supervisory power

0

Nature of the body has no effect on local autonomy

12

Supervision of expediency/legality

-1 to +1

Graduated:

-1 : control of usefulness

0 : legal control

+1 : absence of control by a superior authority

The control mentioned here is part of the powers of a superior authority: it is considered that it reduces the autonomy (control of usefulness), that it is neutral (the respect of law does anyhow impose itself – in theory), or that the absence of control by a superior authority expresses a gain in autonomy. The latter could have negative effects (laws respected to a lesser extent), but this is not the object of the present analysis.

13

Type of supervision: prior/ongoing/ subsequent

-1 or 0

Alternative:

-1: prior supervision reduces the degree of local autonomy

0: ongoing or subsequent supervision is neutral

B) Total number of points for autonomy that can be allocated in the columns

13

A + B: Total number of points for autonomy for the town planning/ environment competence profile

26

The maximum of 26 points is not the optimum score; it is simply the top of a scale on which local authorities may be positioned in terms of the degree of local autonomy they enjoy in respect of town planning.

Column 1 serves only to identify the existence of the power mentioned in the table, in order to show the number of points attributed concerning the material extent of powers in the profile. There are 13 rows corresponding to distinct powers, and therefore a maximum of 13 points is possible.

The columns allow for the attribution or deduction of points of autonomy. Taking into consideration the scale proposed in the table presented below, the maximum score is 13.

The maximal extent of powers and degree of autonomy related to these powers result in a total of 26 points, but as mentioned before, this maximum score is not an optimal score.


Table 3: Town planning and environment profile

Constraints, powers and resources

Functions

Background

Powers and resources

Administrative supervision

1

 

2

3

4

5

6

7

8

9

10

11

12

13

Substantive competence enjoyed by local authorities

Existence of derogation procedures under central/ regional supervision

a) exceptional

b) occasional

Existence of a binding development plan issued by a higher-level authority

a) principle

b) exception

Nature of competence

a) own, optional

b) own, mandatory

c) delegated

d) drafting/proposal

Research/development bodies under local supervision

Relationship between planning permission and plans:

a) obligation to comply

b) discretion

Exercise of functions

a) Local government: obligation

b) Delegation to private sector: possible

Co-operation contracts

a) between public corporations

b) with operators

Financing

a) earmarked grant from higher-level authority

b) local authority’s general budget

Funding by rights holders

a) planning permission (or declaration) fees

b) builders

c) owners

Exercised by:

a) central government

b) regional government

c) general

d) specific

Purpose

a) expediency

b) legality

Nature

a) prior

b) ongoing

c) subsequent

1. Plans

land use, structural or strategic plans

n

local plans binding to (to be considered by) planning permission

n

detailed plans

n

2. Permission

-to develop

n

n

-to divide into plots

n

n

-to build

n

n

-to demolish

n

n

3. Land measures

-expropriation

n

-right of pre-emption

n

-redistribution of urban land

n

4. Planning

 

-roads and networks

n

-development and sale of land

n

5. Establishment and maintenance of environmental/urban conservation areas

n


Table 4: Police and security competence profile

Preliminary remarks

Several types of police authorityare listed in the columns of the police and security table, so as to provide scope for recording the complex institutional arrangements often found in this field. In some countries, the reforms of recent decades have tended to result in a form of organisation involving specialised institutions over which local authorities no longer have sole control. The same applies to the emergency services.

The different authorities are listed in the columns, and their functions in the lines. The column covering central (or regional) government authorities is designed to highlight areas in which competence is shared and indicate the relative roles of local and higher-level authorities. The three columns dealing with supervision (5 to 7) place police and security competences within the context of the general institutional framework of local government.

Instructions for filling in the table and scoring

As in the town planning and environment profile, competences are associated with certain powers. In the police and security profile, the degree of local autonomy may be assessed according to the nature of the competent bodies and the supervision exercised as well as the type of functions assigned.

The lines list a number of powers; in some cases, restrictions are specified that will influence the subsequent replies. The police and security field is one in which the central government or higher-level authorities always enjoy some competence, however. What matters are the areas or powers assigned to local authorities, the scope of which is determined by law and cannot be measured in this kind of table; local competence should therefore be noted only where it is deemed significant enough to be representative of local powers and responsibilities in general. The aim here is to measure local powers and responsibilities in terms of the degree of autonomy, but not as an alternative to the competence exercised by central government or higher-level authorities.

Column 1 (central government authority) shows the competence enjoyed by central government in those areas in which local authorities also exercise powers and responsibilities. The aim is not to draw up a list of central government competences in the police and security field. Accordingly, the existence of central government competence is recorded with a 0, reflecting a neutral score when measuring local autonomy. If powers of the central government are competing with those of local authorities at local level, it is possible, however, to subtract one point from local autonomy, given the fact that central government powers will reduce the freedom of action of the local authority by imposing co-ordination or co-operation.

In line 1a, for instance, a 0 will be noted in the “central government authority” column, since most acts punishable under regulations are issued by central (or regional) government authorities and thus at a level superior to that of local authorities. Generally speaking, however, local powers and responsibilities are assigned to a decentralised local authority or a joint authority, for example.


Similarly, there may be a local security policy implemented by central government authorities, in addition to a local security policy implemented by joint bodies in which local authorities are involved. In this case, there is competition at the local level, which leads to the dimunition of the freedom of action of local authorities in the context of their territorial competence. In this case, -1 is noted in the column 1 which corrects the positive score in the columns listing different types of local body (see below).

In lines 2a to 2d, the existence of restrictions on the powers of members of the local police force, as compared with those of the national force, in the public security field conditions decisions of the local authority beyond traditional modes of supervision (columns 5-7), and will, for example, stand for a dimunition of autonomy, even though such local forces remain in place. Accordingly, half a point is subtracted in respect of autonomy where such restrictions exist. In order to take into consideration such restrictions, the corresponding column on central government authority shall indicate the score -1, which corrects the score on local autonomy determined by the nature of the local authority.

In this competence profile, the degree of local autonomy may, in fact, be assessed according to the nature of the bodies vested with the competences under consideration. The more supervision local authorities exercise over these competences, the higher the degree of autonomy they enjoy; conversely, therefore, the inclusion of local authorities in joint bodies alongside central government implies central government supervision, corresponding to a lesser degree of autonomy. In addition, if some of the powers listed in the lines necessitate simultaneous replies, the table should be supplemented by a memorandum or specific comment.

In order to reflect the degree of supervision local authorities exercise over the competence in question, 1 point is allocated for competences assigned to joint local bodies, 2 points for those assigned to local bodies answerable to local authorities and 3 points where local authorities enjoy direct competence. The impact of supervision is assessed in the same way as for the previous tables: supervision of expediency and subsequent supervision each result in the substraction of one point for autonomy, supervision of legality and subsequent supervision are neutral when it comes to measuring local autonomy, and no supervision (which is never found in the police field) is awarded one point for autonomy.

Where higher-level authorities have the right to take measures in the place and on behalf of local authorities, this may be indicated in column 5. It is nevertheless a form of subsequent supervision, intended to address failure to act on the part of local authorities. It may, however, be triggered on grounds of expediency, where this is allowed by law. This form of supervision directly affects local autonomy, but to varying degrees, depending on its purpose and nature (columns 6 and 7); it is used only in exceptional circumstances. Accordingly, half a point for autonomy is subtracted where such a supervisory power exists (-0.5).


Scoring for table 4:

Column

Subject

No. of pts

for autonomy

Comments

1

Central government authority

0 or -1

0 expresses the fact that the powers of these authorities are neutral with regard to local autonomy; the column remains empty if these authorities are not competent.

-1 expresses the dimunition of local autonomy by the competition of central government authority.

2

Joint bodies: central government/local authorities

1

Competence is shared

3

Local bodies answerable to local authorities

2

Local autonomy is recognised

4

Local authorities

3

In this case, police matters (depending on the line in question) are a purely local competence

5 to 7

Supervision

-1 to +1

Graduated:

-1 : control of usefulness

0 : legal control

+1 : absence of control by a superior authority

The control mentioned here is part of the powers of a superior authority: it is considered that it reduces the autonomy (control of usefulness), that it is neutral (the respect of law does anyhow impose itself – in theory), or that the absence of control by a superior authority expresses a gain in autonomy. The latter could have negative effects (laws respected to a lesser extent), but this is not the object of the present analysis.

Total number of points that can be allocated for autonomy

14 x 3 = 42 points

The maximum number of points is obtained if the competent authority is always the local authority (column 4): there is no restriction on the powers of members of the local police force as compared with those of the national force, and subsequent supervision of legality is the only form of supervision.

It should again be emphasised that the maximum number of points is not necessarily the optimum score.


Table 4: Police and security competence profile

Authorities and forms of supervision

Functions

Authorities

Administrative supervision

1

 

2

3

4

5

6

7

Central (regional) government authority

Joint local bodies: central (regional) government/local authorities

Local bodies answerable to local authorities

Local authorities

1) lowest tier (municipalities)

2) higher tier

Exercised by:

a) central government

b) regional government

c) right to take measures in the place and on behalf of local authorities

Purpose

a) expediency

b) legality

Nature

a) prior

b) subsequent

1. Legal acts related to policing

a) acts punishable under regulations

b) authorisations whose absence or violation carries penalties

c) power to set penalties within limits laid down by law

d) power to order administrative penalties

2. Public security

a) Local public security policy

b) Power to set up/run a local police force

c) Existence of restrictions on the powers of members of the local police force as compared with those of the national (regional) force

d) Command of local police

3. Emergency services

a) Monitoring of safety standards

b) Maintenance and supply of equipment to the fire service

c) Operational command of emergency services

4. Public health and hygiene

Maintenance of an inspection and monitoring service covering:

a) the fitness of housing for occupancy

b) the conservation and use of foodstuffs

c) the purity of water supplied for domestic consumption


Table 5: Summary of the scores obtained by the municipalities of … (name of the country) for tables 1 to 4

Scope of competence: number of points

Autonomy points

Total

(basis of 100)

Competences (number of rows completed)

Extra points (obligatory competences)

Extra points (competence in staff matters)

Sub-total

Table 1

Maximum score to be obtained

22

22

20

64

100%

374

100%

100%

Score obtained by … (name of the country)

                    

         

Table 2

Maximum score to be obtained

29

29

24

82

100%

493

100%

100%

Score obtained by … (name of the country)

Table 3

Maximum score to be obtained

13

n

n

13

100%

152

100%

100%

Score obtained by … (name of the country)

Table 4

Maximum score to be obtained

13

n

n

13

100%

42

100%

100%

Score obtained by … (name of the country)


Table 5 allows for a synthesis of observations summarised by the tables related to the four competence profiles. For each table, it is recalled which is the total number of points possibly to be attributed, for the extent of powers and responsibilities and for the degree of autonomy, including those points that might have been added in those cases where a country has justified the addition of one or several material competences in order to better reflect the reality. For each table and in each column, the number of points obtained for the country examined are then added underneath.

For the sub-total of points related to the extent of powers and responsibilities, for the total of autonomy points and for the general total, the maximum figure is also represented by a basis of 100, which allows to refer to a certain percentage the number of points assigned to a given country. These percentage then allow to weigh the relative importance assigned to the extent of a competence against the degree of autonomy according to which a competence is exerted (by assigning an equal importance to them). The percentages also allow for an easier comparison between the degrees of decentralisation by competence profile and between countries.

If wished, the results could then be visualised by charts in form of surface areas more or less extended defined by points for the extent of powers and responsibilities and by points for autonomy, the two respectively noted as x-coordinates and y-coordinates, or by situating the countries, according to the competence profile, by a point between the two axes. The definition of coordinates will also allow to balance the relative importance of the extent of powers and responsibilities with regard to the degree of autonomy in exercising a competence.