2008年-世界发展银行全球_Decentralization_in_the_Democratic_Republic_of_Congo___Opportunities_and_Risks_42页_2mb

Summary of Democratic Republic of Congo Decentralization: Opportunities and Risks

Core Content

This document, prepared jointly by the World Bank and the European Commission, analyzes the decentralization process in the Democratic Republic of Congo (DRC), focusing on technical and policy aspects. It outlines the challenges and opportunities associated with the transfer of competencies and fiscal resources, while emphasizing the importance of capacity building, accountability, and legal frameworks in ensuring the success of the reform.

Main Views and Key Information

1. Decentralization as a Political and Governance Process

• The decentralization process in DRC is a political initiative, part of a broader peace and reconciliation effort.
• It aims to establish a new intergovernmental equilibrium and national consensus on resource sharing.
• Unlike other African countries, the DRC's decentralization is not donor-driven and requires a politically conscious approach from the international community.

2. Constitutional Framework and Competency Transfers

• The 2006 Constitution sets the broad parameters for decentralization but leaves implementation details to be decided.
• 40% of domestic non-oil revenues are to be transferred to the provinces, as per the Constitution.
• The debate centers on how and when to implement these transfers and the allocation of competencies.

3. Models for Competency Transfers: Gradual vs. 'Big Bang'

• Two main models are discussed:

  • Big Bang (e.g., Indonesia, Philippines): Immediate transfer of competencies, often based on political imperatives or clean break from previous systems.
  • Phased approach (e.g., Spain, Slovakia): Transfer of responsibilities based on absorption capacity and budget management readiness.

• The DRC appears to have elements of both models, but the 'Big Bang' approach is not advisable due to:

  • Lack of preparatory work at the provincial level.
  • Uncertainty about the fiscal viability of provinces under different scenarios.

4. Fiscal Transfer Scenarios

Several fiscal transfer allocation options have been proposed, with varying implications for equity, viability, and provincial capacity:

• Literal Constitutional (CON): 40% of all non-petroleum revenues, including customs and large taxpayers.
• Commission Paritaire (CP): 40% of non-petroleum revenues, with 20% of customs revenue allocated based on population.
• Solidarity Scenario (SO): A more equitable approach, allocating revenues based on population, area, and equal lump sum.
• Progressive Solidarity Scenario (SOP): A phased implementation of the Solidarity Scenario, with 20% in 2008, 30% in 2009, and 40% in 2010.

5. Challenges in Implementing Fiscal Transfers

• Provincial capacity to manage transferred resources is limited, particularly in terms of financial management and human resources.
• Central government has unilaterally reduced transfers to 6-7% of domestic revenue in early 2007, creating uncertainty and political tension.
• The 'forfait' system (fixed percentage of revenue) has been used, but it does not reflect the actual needs of provinces.

6. Importance of Accountability

• Accountability is a key element of successful decentralization and must be addressed in three directions:

  • Upward accountability: Provinces must report to the central government.
  • Horizontal accountability: Relationships between elected and appointed officials.
  • Accountability to voters: Ensured through elections and additional civic engagement.

• Historical lessons from Indonesia show that decentralization without accountability can lead to systemic failure.

7. Role of the Equalization Fund (CNP)

• The Caisse Nationale de Péréquation (CNP) is a national fund for public investments in provinces, receiving 10% of domestic budget revenues.
• The CNP is designed to address disparities and support less developed provinces.

8. Impact on the Education Sector

• Education is a key area of decentralization, with provinces expected to take on major responsibilities.
• Under the literal constitutional model, many provinces would be unable to fund teacher salaries.
• The solidarity scenario allows provinces to cover basic costs, though disparities remain.
• A progressive approach is considered more realistic and feasible for the DRC.

9. Recommendations

• A phased transfer of competencies and resources is recommended, aligning with the planned administrative reorganization.
• Central government should temporarily manage certain functions (e.g., wage payments) to ensure stability.
• Capacity building is essential, especially in financial management and human resource development.
• Legal clarity and supervision mechanisms must be established to prevent mismanagement and corruption.

Conclusion

• The DRC’s decentralization process is complex and politically sensitive.
• A balanced approach combining central guidance with provincial autonomy is necessary.
• Fiscal viability, capacity development, and accountability mechanisms are critical to the success of the reform.
• The solidarity with central guidance model is seen as the most reasonable option for the current context, allowing for equity and stability in the implementation process.