Challenges and Prospects in ASEAN and Beyond - Thaipaat ...

Public Administration Association of Thailand

Thailand International Conference on Public Administration and Public Affairs:

Challenges and Prospects in ASEAN and Beyond Bangkok, Thailand

August 30-31, 2012

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Thailand’s First International Conference on Public Management and Public Affairs: Challenges and Prospects in ASEAN and Beyond.

โครงการจัดประชุมนานาชาติสาขาวิชารัฐประศาสนศาสตร� หัวข�อ “The 2012 Thailand International Conference on

Public Administration and Public Affairs: Challenges and Prospects in ASEAN and Beyond”

ความเป?นมา อิทธิพลของโลกภิวัตน�และความเจริญก�าวหน�าทางเทคโนโลยีสารสนเทศได�ส#งผลให�สภาพสังคมเศรษฐกิจ การเมืองของประชาคมโลกเปลี่ยนแปลงไปอย#างรวดเร็ว และควบคุมกํากับดูแลได�ยาก การเปลี่ยนแปลงภายใต�กระแสโลกาภิวัตน�ท่ีมีเทคโนโลยีสารสนเทศเป1นตัวเร#งได�ส#งผลให�รัฐบาลของแต#ละประเทศต�องปรับเปลี่ยนกรอบแนวคิด ยุทธศาสตร� ยุทธวิธี แผนงานและโครงการเพ่ือให�สอดรับกับความต�องการท่ีหลากหลายมากข้ึนจากประชาชนภาคส#วนต#าง ๆ โดยต�องคํานึงถึงหลักธรรมาภิบาล และความสมประโยชน�ทางเศรษฐกิจ นอกจากนั้น โลกาภิวัตน�และเทคโนโลยีสารสนเทศได�สลายพรมแดนแห#งความเป1นรัฐ ส#งผลให�ปฏิสัมพันธ�ระหว#างภาคประชาชน ภาคเอกชน และภาครัฐบาลของแต#ละประเทศมีความเป1นสากล (Internationalized) มากข้ึน เนื่องจากปฏิสัมพันธ�ดังกล#าวมิได�ถูกจํากัดอยู#แต#เฉพาะภายในประเทศอีกต#อไป แนวคิดเรื่องการรวมกลุ#มทางเศรษฐกิจและการค�าในระดับภูมิภาค และอนุภูมิภาคจึงเกิดข้ึนให�เห็นท่ัวไป เช#น EU APEC AFTA NAFTA AICO เป1นต�น สมาคมประชาชาติอาเซียน (ASEAN) เป1นการรวมกลุ#มประเทศในระดับภูมิภาคเอเชียตะวันออกเฉียงใต� ซ่ึงประเทศไทยมีบทบาทสําคัญยิ่งประเทศหนึ่งในการผลักดันให�เกิดการรวมกลุ#มของชาติสมาชิกเพ่ือสร�างความเข�มแข็งให�แก#ระบบเศรษฐกิจ การเมือง และสังคม โดยต้ังเปPาหมายเอาไว�ท่ีปQ พ.ศ.๒๕๕๘ การรวมกลุ#มประเทศในระดับเอเชียตะวันออกเฉียงใต� จะส#งผลให�เกิดการเปลี่ยนแปลงในทุกภาคส#วนของแต#ละประเทศสมาชิก โดยเฉพาะอย#างยิ่งการเปลี่ยนแปลงในกลไกบริหารจัดการของภาครัฐ เนื่องจากการบริหารจัดการภาครัฐของแต#ละประเทศต�องเป1นไปตามทิศทางท่ีส#งเสริมสนับสนุนต#อสมาคมประชาชาติอาเซียน ดังนั้น ประเด็นเรื่องสมาคมประชาชาติอาเซียน จึงกลายเป1นเรื่องท่ีสําคัญสําหรับรัฐบาลไทย และเป1นเรื่องท�าทายสําหรับวงวิชาการด�านบริหารรัฐกิจ และรัฐประศาสนศาสตร� สถาบันอุดมศึกษาท่ีผลิตบัณฑิต และงานวิจัยด�านบริหารรัฐกิจและรัฐประศาสนศาสตร� ของแต#ละประเทศในภูมิภาคเอเชียตะวันออกเฉียงใต�จึงหันกลับมาทบทวนบทบาทและสถานภาพทางวิชาการของตนเองเพ่ือให�สอดรับกับปรัชญาและปณิธานของสมาคมประชาชาติอาเซียน ดังนั้น การแลกเปลี่ยนเรียนรู�ทางวิชาการและงานวิจัยระหว#างนักวิชาการด�านบริหารรัฐกิจและรัฐประศาสนศาสตร�จากประเทศต#าง ๆ จึงกลายเป1นช#องทางสําคัญเพ่ือสร�างเครือข#ายและทิศทางทางวิชาการร#วมกันในระยะยาว สมาคมรัฐประศาสนศาสตร�แห#งประเทศไทย (Public Administration Society of Thailand) ในฐานะองค�กรนิติบุคคลท่ีขับเคลื่อนโดยนักวิชาการด�านบริหารรัฐกิจและรัฐประศาสนศาสตร� และบุคคลสําคัญท่ีมาจากภาครัฐ และภาคเอกชน ได�เล็งเห็นถึงความสําคัญต#อเรื่องดังกล#าว จึงริเริ่มจัดการประชุมวิชาการ

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นานาชาติสาขาวิชารัฐประศาสนศาสตร� ว#าด�วยเรื่อง “The 2012 Thailand International Conference on Public Administration and Public Affairs: Challenges and Prospects in ASEAN and Beyond” เพ่ือนําไปสู#การสร�างเครือข#ายทางวิชาการท่ีเข�มแข็งยั่งยืนต#อไป วัตถุประสงค�

๑) เพ่ือระดมนักวิชาการ/นักวิจัย จากในและต#างประเทศ ร#วมแลกเปลี่ยนความรู� ประสบการณ�เก่ียวกับวิชาการ ระดมความคิดเพ่ือพัฒนางานวิจัยของเครือข#ายฯ

๒) เพ่ือสร�างเครือข#ายความร#วมมือกับอาจารย�ในสถาบันการศึกษาต#างประเทศ เพ่ือประโยชน�ด�านการเรียนการสอน และการวิจัย

๓) เพ่ือเผยแพร#/ถ#ายทอดความรู� ท่ีได�จากโครงการให�กับนักศึกษาระดับบัณฑิตศึกษา และประชาชนท่ัวไป

กลุBมเปCาหมาย ๑) อาจารย� นักวิชาการ และผู�ทรงคุณวุฒิในประเทศและต#างประเทศ ๒) ผู�เชี่ยวชาญจากภาครัฐ เอกชนและประชาสังคมท่ีมีส#วนเก่ียวข�องกับการบริหารงานของรัฐใน

ประเทศและต#างประเทศ ๓) นิสิต และนักศึกษาระดับตรี ปริญญาโทและโดยเฉพาะอย#างยิ่งปริญญาเอก ๔) ประชาชนและผู�สนใจท่ัวไป ๕) สื่อมวลชน

ลักษณะของการประชุม

๑) การบรรยายพิเศษโดยวิทยากรและผู�ทรงคุณวุฒิรับเชิญจากในประเทศและต#างประเทศ ๒) การนําเสนอบทความและผลงานวิจัยจากอาจารย� นักวิชาการ นิสิต นักศึกษา และผู�สนใจท่ัวไป ๓) การอภิปราย ซักถาม เสนอความคิดเห็น ๔) การนําเสนองานวิจัยแผ#นปfด (Poster Presentation)

เม่ือเสร็จสิ้นการประชุม จะมีการรวบรวมบทความและผลงานท่ีนําเสนอ (Proceedings) ท้ังในรูปของ

proceedings รวบรวมบทคัดย#อ และ proceedings รวบรวมบทความฉบับเต็ม เพ่ือเผยแพร#ในรูปแบบของ CD เผยแพร#ให�กับสถาบันการศึกษาท่ีสนใจ และประชาชนท่ัวไป

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หัวข�อยBอยในการประชุม (Subthemes) ครอบคลุมประเด็นตBางๆ ดังนี้

๑. Contemporary Public Administration: Ethics, Innovation, Theories, and Management

๑) ICT, Innovation and Creativity in Public Sector Management ๒) Ethics and Integrity of Public Management/Affairs ๓) Human Resource Management and Development ๔) Responsive Budgeting and Fiscal Policy ๕) Public Service Management ๖) Others

๒. Public Administration and Governance ๗) Intergovernmental Prospects in ASEAN ๘) Regional Development Issues and the Role of Public Sector ๙) Comparative Public Management Reform/Public Affairs in Asia ๑๐) Centralization and Decentralization ๑๑) Public Policy ๑๒) Others

๓. Current issues ๑๓) NGOs and Public Affairs ๑๔) Citizenship and Community ๑๕) Emergency/Disaster Management ๑๖) Gender and Equality in Public Affairs ๑๗) Human Security: Disability, Trafficking, Ageing, and underprivileged groups ๑๘) Others

ประโยชน�ท่ีคาดวBาจะได�รับ

๑) นําไปสู#การรวบรวมประเด็นวิจัยใหม# ๆ ด�านรัฐประศาสนศาสตร�และบริหารรัฐกิจเพ่ือตอบสนองต#อการรวมกลุ#มของ ASEAN

๒) เกิดเครือข#ายทางวิชาการท่ีเข�มแข็งด�านรัฐประศาสนศาสตร�และบริหารรัฐกิจในระดับนานาชาติ ๓) มีเวทีการแลกเปลี่ยนทางวิชาการในประเทศและต#างประเทศกับประเทศเพ่ือนบ�านและประเทศ

อ่ืนๆ เป1นโอกาสในการแลกเปลี่ยนประสบการณ�จากปฏิบัติสู#การสร�างทฤษฎzและองค�ความรู�ทางรัฐประศาสนศาสตร�

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๔) ผู�เข�าร#วมประชุม และประชาชนท่ัวไปได�รับรู�ข�อมูลข#าวสารใหม# ๆ ด�านรัฐประศาสนศาสตร�ในเชิงเปรียบเทียบ ท้ังในระดับทฤษฎี งานวิจัย และนโยบายภาครัฐ

วันเวลาและสถานท่ีจัดประชุม วันท่ี ๓๐ - ๓๑ สิงหาคม ๒๕๕๕ ณ ไบเทค บางนา กรุงเทพมหานคร

��

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การประชุมนานาชาติด�านรัฐประศาสนศาสตร�และการบริหารกิจการสาธารณะ: ความท�าทายและทิศทางในกลุBมอาเซียนและภูมิภาคอ่ืน

(The 2012 Thailand International Conference on Public Administration and Public Affairs:

Challenges and Prospects in ASEAN and Beyond)

สมาคมรัฐประศาสนศาสตร�แห#งประเทศไทย (Public Administration Association of Thailand: PAAT) ร#วมมือกับมหาวิทยาลัยของรัฐและเอกชนในประเทศและต#างประเทศ จัดประชุมการประชุมนานาชาติด�านรัฐประศาสนศาสตร�และการบริหารกิจการสาธารณะข้ึนท่ีไบเทค บางนา กรุงเทพมหานคร ระหว#างวันท่ี 30 – 31 สิงหาคม 2555 โดยมี ผู�ว#าราชการกรุงเทพมหานคร ม.ร.ว. สุขุมพันธ� บริพัตร กล#าวเปfดงาน และ Professor Meredith Newman, Ph.D. อดีตประธานสมาคมรัฐประศาสนศาสตร�แห#งสหรัฐอเมริกาเป1นผู�กล#าวสุนทรพจน�

ในการจัดประชุมนานาครั้งนี้ มีผู�สนใจนําเสนอบทความรวมท้ังสิ้น 67 คน จาก 9 ประเทศ และผู�เข�าร#วมประชุมจํานวนประมาณ 200 คนจากประเทศต#างๆ ได�แก# ประเทศญ่ีปุ�น อินโดนีเซีย มาเลเซีย ฟfลิปปfนส� ฝรั่งเศส สาธารณรัฐประชาชนลาว และประเทศไทย เนื้อหาของบทความท่ีได�มีการนําเสนอครอบคลุมในประเด็นท่ีน#าสนใจในภูมิภาคอาเซียน ได�แก#

• การปฏิรูประบบราชการในญ่ีปุ�น

• ผู�หญิง เพศสภาพ และสิทธิพลเมือง

• การจัดการภัยพิบัติและทรัพยากร

• การปฏิรูปภาครัฐและรัฐบาลในฟfลิปปfนส�

• นโยบายสาธารณะ / การบริหารงานและการจัดการระดับท�องถ่ินในอินโดนีเซีย

• การจัดการผลการปฎิบัติงาน

• การปกครองท�องถ่ิน

• ศาลปกครองในประเทศไทย

• การปฏิรูประบบราชการในอินโดนีเซีย

• ASEAN

สุนทรพจน� ศาสตราจารย� ดร. เมอเรดิธ นิวแมน ศาตราจารย� ดร. นิวแมน ได�กล#าวสุนทรพจน�ในหัวข�อ “Public Administration In Times Of

Change: Disasters And Why Public Administration Matters” เน�นให�เห็นถึงความสําคัญของภาคสาธารณะ และโดยเฉพาะอย#างยิ่งการบริหารจัดการภัยพิบัติและทรัพยากร (Disaster and Resources Management) สําหรับความสําคัญของภาคสาธารณะนั้น ศาตราจารย� ดร. นิวแมน เน�นย้ําความสามารถของ

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ทุนมนุษย�ในการพัฒนาระดับท�องถ่ิน ซ่ึงหน#วยงานท�องถ่ินมีความสําคัญอย#างมากต#อการพัฒนาประเทศ โดยเฉพาะในกรณีของการบริหารจัดการและการเตรียมพร�อมต#อการเกิดภัยพิบัติ เพราะเม่ือเกิดภัยพิบัติเกิดข้ึน หน#วยงานรัฐในระดับท�องถ่ินเป1นหน#วยงานท่ีใกล�ชิดกับประชาชนมากท่ีสุด จึงเป1นหน#วยงานด#านแรกท่ีทําหน�าท่ีต�องบริหารจัดการกับสิ่งท่ีเกิดข้ึนในเบ้ืองต�น

การปฏิรูประบบการบริหารของประเทศไทยให�ความสําคัญกับการมีส#วนร#วมตามระบอบประชาธิปไตย เป1นการให�ประชาชนเข�าถึงการบริการของรัฐ และมีส#วนร#วมในการตัดสินใจ รวมถึงการยกระดับความสามารถตอบคําถามได� (Accountability) ท้ังในส#วนกลางและส#วนท�องถ่ิน แนวคิดในการปฏิรูปของในไทยอดีต ต้ังแต#ปQ 2540 เป1นต�นมา เน�นระบบการบริหารจัดการท�องถ่ินแบบรายบุคคล และสร�างระบบการบริหารท่ีทันสมัย มีประสิทธิผล ตลอดจนตอบสนองต#อความต�องการของบุคคล จากการปฏิรูประบบราชการนี้ ศาตราจารย� ดร. นิวแมน เห็นว#า “คนเป1นส#วนสําคัญของการพัฒนา” ดังนั้น จึงต�องมีการพัฒนาทุนมนุษย� โดยยกระดับความสามารถท่ีจําเป1นต#อการปฏิรูประบบราชการในป�จจุบัน โดยเฉพาะความสามารถในการเตรียมการ การตอบสนอง และการฟ��นฟูความเสียหายจากการเกิดภัยพิบัติซ่ึงต�องยกระดับความสามารถของหน#วยงานท�องถ่ินเพ่ือให�สามารถจัดการกับป�ญหาหรือภัยพิบัติท่ีมีความซับซ�อนมากข้ึน พร�อมท้ังสามารถจัดการบริการท่ีสร�างความเท#าเทียมกันให�แก#ผู�รับบริการ ซ่ึงเจ�าหน�าท่ีของรัฐต�องมีท้ังความสามารถหรือทักษะในการจัดบริการแก#ประชาชน รวมถึงทักษะทางอารมณ� (Emotive skills) หรือทักษะในการจัดการอารมณ�ความรู�สึกของประชาชนในวิกฤตการณ�ต#างๆ

ทักษะทางอารมณ� (Emotive Skills) เป1นทักษะท่ีมีความสําคัญต#อการจัดบริการสาธารณะในสังคมป�จจุบันนี้ ซ่ึงเป1นการการบริหารจัดการท่ีให�ความสําคัญกับความพึงพอใจของประชาชนต#อบริการสาธารณะ เพราะการทํางานของรัฐเป1นการเศรษฐกิจการบริการ (Service Economy) คือ การบริการด�วยรอยยิ้ม โดยในภาคเอกชนได�ตระหนักถึงคุณค#าของการบริการลูกค�ามาเป1นระยะเวลานานแล�ว ส#วนในภาคสาธารณะหรือภาครัฐกําลังอยู#ในระยะเริ่มดําเนินการ สําหรับประเทศไทยได�สนับสนุนการพัฒนาทรัพยากรมนุษย�ด�วยการสัมมนา การอบรม และการศึกษา โดยให�ความสําคัญว#าเป1นยุทธศาสตร�ฉุกเฉิน (Immediate Strategy) ซ่ึงไม#ว#าการอบรมใดๆ เก่ียวกับการบริการสาธารณะล�วนจําเป1นต�องคํานึงถึงท้ังทักษะการจัดบริการ (Cognitive Skills) และทักษะทางอารมณ� (Emotive Skills) อันส#งผลให�การจัดบริการสาธารณะมีประสิทธิผล ท้ังนี้ ทักษะท้ังสองด�านต�องนํามาใช�ในการพิจารณาความต�องการของประชาชน และจัดบริการให�ถูกต�องเหมาะสมดังนั้นผู�ให�บริการสาธารณะจึงต�องมีท้ังทักษะทางความคิด (Cognitive Labour) และการคํานึงถึงอารมณ�ความรู�สึก(Emotive Labour)

การทํางานท่ีคํานึงถึงอารมณ�ความรู�สึก (Emotion Work) สามารถอธิบายได�ง#ายๆ ว#าเป1นพ่ีน�องกับความฉลาดทางอารมณ� (Emotional Intelligence) และเพ่ืออธิบายคําว#า “การทํางานท่ีคํานึงถึงอารมณ�ความรู�สึก (Emotive Labour)” ให�เห็นได�ชัดมากข้ึน ว#าการทํางานท่ีคํานึงถึงอารมณ�ความรู�สึก มีลักษณะดังนี้

1. การทํางานท่ีคํานึงถึงอารมณ�ความรู�สึก (Emotive Labour) ไม#ใช#ความฉลาดทางอารมณ� (Emotional Intelligence) ซ่ึงหมายถึงความสามารถในการควบคุมอารมณ�และแสดงออก หรือโต�ตอบในทิศทางท่ีเหมาะสม อันเป1นการคํานึงถึงท้ังตนเองและผู�อ่ืน แต#การทํางานท่ีคํานึงถึงอารมณ�เป1นการประยุกต�ใช�

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ความฉลาดทางอารมณ�โดยต�องสามารถทํางานได�ตามความต�องการของตําแหน#งงาน และสามารถตัดสินใจภายใต�สภาพแวดล�อมท่ีมีความกดดันและมีความม่ันใจ เพ่ือทําให�ทีมงานและเหยื่อผู�เคราะห�ร�ายใจเย็นลงได� ดังนั้น ความฉลาดทางอารมณ�และการทํางานท่ีคํานึงถึงอารมณ�จึงมีความเก่ียวพันอย#างใกล�ชิด

2. การทํางานท่ีคํานึงถึงอารมณ�ความรู�สึก (Emotive Labour) ไม#ใช#การสร�างแรงจูงใจในการบริการภาครัฐ (Public Service Motivation) ท้ังสองมีความแตกต#าง คือ การทํางานท่ีคํานึงถึงอารมณ�ความรู�สึกไม#ได�เก่ียวข�องกับการจ�างงาน แต#ต�องการองค�ประกอบของงานบริการสาธารณะ ซ่ึงจะเกิดจากแรงบันดาลใจภายในของแต#ละบุคคล ไม#ใช#คุณสมบัติของงาน หรือไม#ใช#เง่ือนไขท่ีจะได�รับสิ่งตอบแทน ไม#เหมือนการกระตุ�นการบริการ ซ่ึงใช�เป1นแรงขับเคลื่อนให�คนให�ทํางานหรือบริการประชาชน

3. การทํางานท่ีคํานึงถึงอารมณ�ความรู�สึก (Emotive Labour) ไม#ได�หมายถึงความเป1นผู�นํา (Leadership) แต#มีความคล�ายคลึงกัน เป1นการผสมผสานความเป1นส#วนตัว (Individual) และบริบทของงานเข�าด�วยกัน องค�ประกอบด�านความรู�สึกของการเป1นผู�นําเป1นสิ่งท่ีสําคัญ เพราะผู�นําสามารถขับเคลื่อนหรือเปลี่ยนแปลงอารมณ�ของคนอ่ืนให�ดีข้ึนหรือแย#ลงได� ความเป1นผู�นํายังสามารถอธิบายได�ว#าเป1น “การจัดการความสัมพันธ�อย#างมีประสิทธิภาพ ท้ังด�านการสื่อสาร การทํางานเป1นทีม การจัดการความขัดแย�ง รวมถึงความสามารถในการช#วยให�คนทํางานได�ตามเปPาหมายร#วมกัน” หรือกล#าวได�อีกอย#างว#าความเป1นผู�นําเป1นการบริหารในบริบทต#างๆ ให�เหมาะสมกับรูปแบบ (Style) การทํางานของแต#ละคน อาจกล#าวได�ว#า การทํางานท่ีคํานึงถึงอารมณ�เป1นองค�ประกอบหนึ่งของงาน หรือเป1นลักษณะ/ธรรมชาติของการทํางาน ส#วนความเป1นผู�นํา แรงจูงใจในการบริการ และความฉลาดทางอารมณ�เป1นคุณสมบัติของผู�ปฏิบัติงาน การทํางานท่ีคํานึงถึงอารมณ�ความรู�ยังเป1นการการบริหารจัดการความรู�สึกของตนเองและคนอ่ืน เพ่ือให�การทํางานสําเร็จลง โดยคํานึงถึงความรู�สึกของประชาชนเป1นหลัก

การสัมมนาในชBวงบBายของวันท่ี 30 สิงหาคม 2555 การสัมมนาแบ#งออกเป1น 4 หัวข�อ ได�แก# หัวข�อท่ี 1: การปฏิรูประบบราชการในญ่ีปุdน (Public Reform in Japan) ในหัวข�อนี้มีผู�นําเสนองานวิจัยท้ังหมด 3 ชิ้น ดําเนินการสัมมนาโดย Professor Jun Matsunami, Ph.D. และการนําเสนองานวิจัย ประกอบด�วย

1) การบริหารงานบุคคลใหม#และพนักงานรัฐบาลท�องถ่ินในญ่ีปุ�น: จะรักษาศีลธรรมได�อย#างไร (New Personnel Administration and Local Government Employees in Japan: How to keep High Morals) นําเสนองานวิจัยโดย Professor Jun Matsunami, Ph.D., Kobe University

2) การผ#อนคลายกฎหมายระดับชาติส#งผลกระทบต#อการกระทําของรัฐบาลท�องถ่ินอย#างไร: กรณีศึกษานโยบายการคมนาคมในเมืองของญ่ีปุ�น (How National-Level Deregulation Affects Local Government Behavior: A case Study of Urban Transport Policy in Japan) นําเสนอโดย Associate Professor Junya Matsunami, Ph.D., Meijo University

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ความสัมพันธ�ระหว#างรัฐบาลผ#านพรรคการเมือง: กรณีศึกษาการตัดการส#งผ#านนโยบายระหว#างรัฐบาลในญ่ีปุ�นและแคนาดา (Intergovernmental Relation through Party Route: A Case Study of Intergovernmental Transfer Cut in Japan and Canada) นําเสนอโดย Hideki Kido, Lecturer, Nara Prefectural University

หัวข�อท่ี 2: ผู�หญิง เพศสภาพ และสิทธิพลเมือง” (Women, Gender and Civil Rights) มีผู�ดําเนินการสัมมนา คือ รศ.ดร. ศุภวัฒนากร วงศ�ธนวสุ ซ่ึงหัวข�อนี้มีผู�นําเสนองานวิจัยท้ังสิ้น 2 ชิ้น คือ

1) นโยบายเก่ียวกับผู�หญิงในไทย: อดีต ป�จจุบัน และความท�าทาย (Women’s Policy in Thailand: Past, Present and its Challenges) นําเสนอโดย อาจารย�สรวงสุรางค� มิตรสัมพันธ� มหาวิทยาลัยแม#ฟPาหลวง

2) การปกปPองสิทธิพลเมืองในฝรั่งเศส (The Protection of civil Rights in France) นําเสนอโดย Professor Nathailie Jacquinot, Toulouse 1 Capitole University หัวข�อท่ี 3: การจัดการภัยพิบัติและทรัพยากร (Disaster/Resources Management) มีผู�ดําเนินการสัมมนา คือ รศ.ดร. โสภารัตน� จารุสมบัติ ซ่ึงมีผู�นําเสนอผลงานวิจัย 4 ชิ้น คือ

1) การเปลี่ยนโครงสร�างของกรมป�าไม� : ความสําเร็จหรือล�มเหลวจากการจัดการทรัพยากรป�าไม�ในประเทศไทย (Restructuring of the Royal Forest Department: Success or failure in Forest Resources Management of Thailand) นําเสนอโดย ดร. รัชนี โพธิแท#น

2) การจัดการอุทกภัยและแนวคิดของรัฐบาล (Flood Disaster Management and Governance Mindset) นําเสนอโดย Mochamad Chazienul Ulum, Brawijaya University

3) การวางแผนเพ่ือความไม#แน#นอนในอนาคต (Planning for Future Uncertainty) นําเสนอโดย ดร. ผกามาศ ถ่ินพังงา สถาบันสิ่งแวดล�อมไทย

4) การตัดสินใจกําหนดนโยบายการเปลี่ยนแปลงสภาพอากาศของไทย ภายใต�ความสัมพันธ�ระหว#างโลกาภิวัตน�ของท้ังสองระบบ (Thailand’s Climate Change Policy-Making under the Interaction of Two Globalization Regimes) นําเสนอโดย ดร.บัณฑูร เศรษฐศิโรตม� หัวข�อท่ี 4: การปฏิรูปภาครัฐและรัฐบาลในฟhลิปปhนส�: กรอบการทํางาน ประเด็นท่ีนBาสนใจ และความท�าทาย (Public Sector Reform and Government in the Philippines: Framework, Issues and Challenges) ในหัวข�อมีผู�ดําเนินการสัมมนา คือ Professor Alex Brillantes Jr., Ph.D. และมีการนําเสนอผลงานวิจัย 4 ชิ้น ได�แก#

1) การปฏิรูปภาครัฐ: กรอบการพัฒนา (Public Sector Reform: An Evolving Framework) นําเสนอโดย Professor Alex Brillantes Jr., Ph.D., University of the Philippines

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2) ประเด็นและการประยุกต�ใช�พระราชบัญญัติการต#อต�านกฎระเบียบท่ียุ#งยากซับซ�อนในการปฏิรูปภาครัฐ (Issue and Implications of Anti-Red Tape Act on Public Sector Reform) นําเสนอโดย Lizan Perante Calina, เจ�าหน�าท่ีกฎหมายอาวุโส, สภาผู�แทนราษฎร (House of Representatives)

3) ความเป1นห#วงกังวลหลักในการปฏิรูปภาครัฐ (General Concerns of PSR) นําเสนอโดย Professor Roberto Valerio, Ph.D., Ateneo de Zamboanga University

4) การกําหนดกฎระเบียบและการปฏิรูปภาครัฐ (Legislation, Law-making and Public Sector Reform: Approaches, Issues and Concerns) นําเสนอโดย Atty Mailin Yap, เลขาธิการประจําสภาผู�แทนราษฎร การสัมมนาในวันท่ี 31 สิงหาคม 2555 การสัมมนาในช#วงเช�าของวันท่ี 31 สิงหาคม 2555 แบ#งห�องสัมมนาออกเป1น 3 หัวข�อ ได�แก# หัวข�อท่ี 1: นโยบาย / นโยบายด�านสังคม (Policy / Social Policy) มีผู�ดําเนินการสัมมนา คือ รศ.ดร.จีระ ประทีป และมีผู�นําเสนองานวิจัย 5 ชิ้น ได�แก#

1) การส#งเสริมนโยบายสาธารณสุข: กรณีศึกษาการออกใบอนุญาตพ้ืนฐาน (A Promotion of Public Health Policy: A Case Study of the Issuance of Compulsory Licensing in Thailand) นําเสนอโดย ดร.จักรี ไชยพินิจ มหาวิทยาลัยบูรพา

2) นโยบายการจัดการอุตสาหกรรมไฟฟPาในประทศไทย (Electricity Generation Industry and Policy in Thailand) นําเสนอโดย ผศ.ดร.ธันยวัฒน� รัตนสัค มหาวิทยาลัยเชียงใหม#

3) ผลกระทบของเครื่องมือนโยบายการเงินต#อผลผลิตรวม: กรณีศึกษาประเทศฟfลิปปfนส� (The Impact of Fiscal Policy instrument on Aggregate Output: The Philippines Case) นําเสนอโดย Melly L. Paraiso, Ph.D. and Geranfel Z. Narido, มหาวิทยาลัยโปลีเทคนิคแห#งฟfลิปปfนส� (Polytechnic University of the Philippines)

4) การประเมินผลการรับรู�ของประชาชนต#อการปฏิรูปรัฐบาลในมาเลเซีย (Evaluation of Citizen’s Perceptions on Government Transformation Program (GTP) in Malaysia) นําเสนอโดย Ahmad Martadha Mohamed Ph.D, วิทยาลัยกฎหมาย, รัฐบาลและนานาชาติศึกษา, Universiti Utara Malaysia วิสัยทัศน� 2563: มาเลเซียเดินมาถูกทางหรือไม# (Vision 2020: Is Malaysia on the Right Direction?) นําเสนอโดย Tunku Nashril Tunku Abaidah, Universiti Teknologi MARA, Kedah, Malaysia หัวข�อท่ี 2: นโยบายสาธารณะในอินโดนีเซีย /การบริหารงานและการจัดการระดับท�องถ่ินในอินโดนีเซีย (Public Policy in Indonesia/Local Administration and Management in Indonesia) มี

การนําเสนองานวิจัยต#างๆ ดังนี้

11


1) ประชาชนมีส#วนเก่ียวข�องกับนโยบายสาธารณะด�านการพัฒนาความชอบธรรมตามกฎหมายและความสามารถตอบคําถามได�ในแบบประชาธิปไตยหรือไม# (Does Citizen Involvement in Public Policy Improve Democratic Legitimacy and Accountability?) นําเสนอโดย Professor Soesilo Nauhar, Brawijaya University

2) พลวัตรของการปฏิบัติงานบริหารปกครองในสังคมท่ีมีความหลากหลายทางวัฒนธรรม (The Dynamics of Governance Implementation in Multicultural Societies) นําเสนอโดย Professor Bambang Supriyono, Brawijaya University

3) นโยบายสังคมในการกําจัดความยากจนในเมือง: กรณีศึกษามุมมองนานาชาติท่ีโดดเด#น (Social Policy on Eliminating Urban Poverty: A case Highlighted from International Perspective) นําเสนอโดย Mardiyono, Brawijaya University

4) มุมมองการบริหารงานภาครัฐในด�านการประกันสุขภาพสําหรับคนจนในอินโดนีเซีย ภายในปQ 2557 (Perspective of Public Administration in Health Insurance for the Poor in Indonesia by the year 2014) นําเสนอโดย Achmad Chusnul Chuluq Ar, Ph.D. Student, Brawijaya University

5) โลกาภิวัตน�และความร#วมมือทางวิขาการในชาติอาเซียน (Globalization and International Academic Cooperation in ASEAN) นําเสนอโดย ผศ.ดร.สัมฤทธิ์ ยศสมศักด์ิ มหาวิทยาลัยบูรพา

6) ผลกระทบทางการเมืองจากการเปลี่ยนแปลงรูปแบบความสัมพันธ�ระหว#างรัฐบาลในการรวมชาติของอินโดนีเซีย (Political Impacts of Change in the Pattern of Intergovernment Relationships (IGR) on National Integration of Indonesia) นําเสนอโดย Luqman Hakim, Ph.D., Brawijaya University

7) ความซับซ�อนในความร#วมมือระหว#างรัฐบาลท�องถ่ิน (The Complexity of Inter-Local Government Cooperation) นําเสนอโดย M.R. Khairul Miuk, Ph.D., Brawijaya University

8) การบริหารจัดการผลงานรัฐบาลท�องถ่ินตามความเหมาะสมของแผนปฏิบัติการเชิงยุทธศาสตร� (Managing Local Government Performance through the Appropriateness of the Strategic Planning Implementation) นําเสนอโดย Andy Fefta Wijaya, Ph.D., Brawijaya University

9) ประเด็นทางจริยธรรมในการจัดซ้ือทางอิเล็กทรอนิกส�: การปฏิบัติงานและบทเรียนจากระดับท�องถ่ิน (Ethical Issues of E-Procurement: Practice and Lesson Learned from Local Level) Mohammad Nuh, Ph.D. หัวข�อท่ี 3: การจัดการผลการปฎิบัติงาน (Performance Management) ในหัวข�อนี้มีผู�ดําเนินการสัมมนา คือ รองศาตราจารย� ดร.อัมพร ธํารงลักษณ� ซ่ึงมีการนําเสนองานวิจัย 3 ชิ้น ได�แก#

1) อัตราการแลกเปลี่ยนและความสามารถในการส#งออกของประเทศ: การวิเคราะห�วาทกรรมเชิงประจักษ� (Exchange Rate and Nation’s Export Competitiveness: An Empirical Discourse

12


Analysis) นําเสนอโดย ดร.ชยงการ ภมรมาศ มหาวิทยาลัยเทคโนโลยีมหานคร, ดร.กิตติศักด์ิ เจิมสิทธิประเสริฐ และ ดร.ธนภรณ� ศรียกุล

2) มิติของหารบริหารผลงาน (Dimensions of Performance Management) นําเสนองานวิจัยโดย ดร.พจนา พิชิตป�จจา มหาวิทยาลัยเชียงใหม#

3) การบริหารผลงานในการวิเคราะห�องค�การภาครัฐโดยใช�มาตรฐาน Baldrige ศึกษางบประมาณภาครัฐ จาร�กาต�า (Performance Management of Public Organization Analysis Baldrige Criteria Organization Studies in Public Finance, Jakarta) นําเสนอโดย Professor Azhari A Samudra, and Ni Putu Tirka Widanti, Ph.D., Universitas Ngurah Rai การสัมมนาช#วงบ#ายของวันท่ี 31 สิงหาคม 2555 แบ#งห�องสัมมนาออกเป1น 4 หัวข�อ ได�แก# หัวข�อท่ี 1: ศาลปกครองในประเทศไทย (Administrative Court in Thailand) มีผู�ดําเนินการสัมมนา คือ ศาตราจารย� ดร.ศุภชัย ยาวะประภาษ และผู�การนําเสนองานวิจัย 3 ชิ้น ได�แก# มุมมองใหม#ของการพัฒนาความยุติธรรมทางการปกครองของไทย: กระบวนการขับเคลื่อนโดยประชาชน (New Aspect of Thai Administrative Justice Development: A Citizen-Driven Process) นําเสนอโดย นายดิเรกฤทธิ์ เจนครองธรรม เลขาธิการ สํานักงานศาลปกครอง และงานวิจัยอีก 2 ชิ้นนําเสนอโดย นายสุชาติ เวโรจน� ประธานคณะกรรมการพิทักษ�คุณธรรม และชิ้นท่ี 3 คือ นายขจรศักด์ิ พุทธานุภาพ อัยการผู�เชี่ยวชาญพิเศษ หัวข�อท่ี 2: การปกครองท�องถ่ิน (Local Government) มีผู�ดําเนินการสัมมนา คือ ศาตราจารย� ดร.จรัส สุวรรณมาลา และมีการนําเสนองานวิจัยในหัวข�อนี้ 7 ชิ้น ได�แก#

1) เครือข#ายและกระบวนการเรียนรู�ของผู�นําท่ีน#าเชื่อถือในภาคเหนือของไทย ในการบริหารจัดการองค�กรปกครองส#วนท�องถ่ินระดับบน (Network and Learning Process of Authentic Leaders Northern Thailand of Local Government Organization Administration in Upper) นําเสนอโดย นางสาวสุชาดา สายธิ มหาวิทยาลัยแม#โจ�

2) หมู#บ�านในอินโดนีเซีย: สถาบันของสังคมท่ีควบคุมหน�าท่ีของรัฐ (Village in Indonesia: Institution of Society Conducting State Task) นําเสนอโดย Hhnif Nurcholis, Ph.D., Dra. Ace Sriati Rachman, M.Si, และ Suryarama SH, มหาวิทยาลัยเปfดแห#งอินโดนีเซีย

3) ระบบสหพันธ�ของรัฐบาลสําหรับภูมิภาคท่ีมีอํานาจปกครองตนเองในมุสลิมมินดาเนา (The Federal System of Government for the Autonomous Region in Muslim Mindanao) นําเสนอโดย Edwin C. Du, Capitol University

4) ยุทธศาสตร�คนชราและผู�ไร�ความสามารถต#อแนวคิดการบริการภาครัฐใหม#ในเทศบาลตําบลหนองตองพัฒนา อําเภอหางดง จังหวัดเชียงใหม# (Elderly and Disabled People Strategy toward the New Public Service Approach in Nong Tong Pattana Municipality, Hang Dong District, Chiang Mai Province) นําเสนอโดย ดร.พจนา พิชิตป�จจา มหาวิทยาลัยเชียงใหม#

13


5) ผลกระทบของการแบ#งป�นความรู�ต#อผลงานรายบุคคลในรัฐบาลท�องถ่ินมาเลเซีย (The Impact of Knowledge Sharing Practices on Individual Performance in Local Government in Malaysia) นําเสนอโดย Halimah Abdul Manaf, Ph.D., and Associate Professor Ahmad Martadha Mohamed, Ph.D., Universiti Utara Malaysia

6) การยกระดับผลงานทางการเงินระดับเทศบาล: ความต�องการระบบการควบคุมดูแลงบประมาณของเทศบาลในประเทศไทย (Enhancing Municipal Fiscal Performance: The Need for a Municipal Fiscal Surveillance System in Thailand) นําเสนอโดย ผศ.ดร.วีระศักด์ิ เครือเทพ จุฬาลงกรณ�มหาวิทยาลัย

7) การพัฒนาสาธารณสุขในองค�กรปกครองส#วนท�องถ่ินจังหวัดเชียงใหม# (Healthy Public Development in Local Administration Organization, Chiang Mai Province, Thailand) นําเสนอโดย นายสินธุ� สโรบล หัวข�อท่ี 3: การปฏิรูประบบราชการในอินโดนีเซีย (Administrative Reform in Indonesia) มีผู�ดําเนินการสัมมนา คือ ผศ.ดร.กมล ส#งวัฒนา และมีการนําเสนองานวิจัย 4 ชิ้น ได�แก#

1) การทบทวนการสร�างประชาธิปไตย การกระจายอํานาจ และการบริหารปกครอง กรณีศึกษาของอินโดนีเซีย (Rethinking Democratization, Decentralization, and Governance: The Case of Indonesia) นําเสนอโดย Himawan Bayu Pardia, Ph.D., Jember University

2) การบริหารโดยแผนพัฒนาชนบทท่ีอยู#บนพ้ืนฐานการพัฒนาชุมชน (Administration by Public Rural Development Planning Based on Community Development) นําเสนอโดย Oscar Radyan, Ph.D. Brawijaya University

3) การปฏิรูปราชการในอินโดนีเซีย: กรณีศึกษาผลกระทบของการบริหารต#อการพัฒนาการปฏิบัติงานและผลงาน (Bureaucratic Reform in Indonesia: The Study on the Government Effects to Implement Improvements to the Bureaucracy Performance) นําเสนอโดย Alfi Haris Wanto, Ph.D.

4) ความท�าทายและทิศทางของการปฏิรูปราชการในอินโดนีเซีย (Challenges and Prospects of Indonesia’s Bureaucratic Reform) นําเสนอโดย Dehan Faturohman, Ph.D. หัวข�อท่ี 4: ASEAN มีผู�ดําเนินการสัมมนา คือ รศ. สีดา สอนศรี และมีการนําเสนองานวิจัย 3 ชิ้น ได�แก#

1) การปฏิรูปงบประมาณเปลี่ยนแปลงโครงสร�างการใช�จ#ายของรัฐบาลหรือไม# (Does Budget Reform Change Government Spending Structure? Lesson Learnt from Asian Countries) นําเสนอโดย Associate Professor Arwiphawee Srithongrung, DPA, University of Nebraska at Omaha

14


2) ตัวแบบการจัดการของมหาวิทยาลัยเปfดในชุมชนอาเซียน (Management Model of Open University for ASEAN Community) นําเสนอโดย ดร.จุฑาวรรณ คะชา, ดร.นิพนธ� ศุขปรีดี รองอธิการบดี มหาวิทยาลัยสยาม

3) การเลือกนโยบายต#อกลุ#มผู�ย�ายถ่ินด�านสาธารณสุขจากประเทศในอาเซียนสู#ญ่ีปุ�น ภายใต�ความเป1นหุ�นส#วนทางเศรษฐกิจ (Migration Selection Policy of Healthcare Labour from Southern Asian Countries to Japan under Economic Partnership) นําเสนอโดย นางสาวอุษามาศ สยามภักดี มหาวิทยาลัยเชียงใหม#

15


“The 2012 Thailand International Conference on

Public Administration and Public Affairs:

Challenges and Prospects in ASEAN and Beyond”

August 30-31, 2012

Conference Program

August 30, 2012

0800 – 0900 hrs. Registration

0900 – 0910 hrs. ASEAN Choir

0910 - 0920 hrs Welcome Address by Prof. Supachai Yavaprabhas, Ph.D.

The President of Public Administration Association of Thailand

(PAAT)

0920 – 0930 hrs. Opening Remarks by M.R.Sukhumbhan Poribhat, Bangkok

Governor

0930 – 0945 hrs. Coffee break/Group Photos

1000 – 1200 hrs. Keynote Speech by Professor Meredith Newman, Ph.D.

Past President of American Society for Public Administration

(ASPA)

Topic:

“Public Administration in Time of Change: Disaster and Why

Public Administration Does Really Matter?'

1200 – 1330 hrs. Lunch break

1330 – 1700 hrs. Parallel sessions for paper presentations

*Coffee break is Taken between 1500 – 1515 hrs.

Room 211 Public Reform in Japan

1) Professor Jun Matsunami, Ph.D., Kobe University

“New Personnel Administration and Local Government

Employees in Japan: How to Keep High Morals”

2) Associate Professor Junya Takamatsu, Ph.D., Meijo University

“How National-Level Deregulation Affects Local Government

Behaviour: A Case Study of Urban Transport Policy in Japan”

3) Hideki Kido, Lecturer, Nara Prefectural University

“Intergovernmental Relation through Party Route: A Case

16


Study of Intergovernmental Transfer Cut in Japan and

Canada”

Chairperson: Professor Jun Matsunami, Ph.D.

Room 212 Women, Gender and Civil Rights

1) Saidamin P. Bagolong, The University of Mindanao

“Participation and Governance of Bangsamoro Women on

Political Processes in Lanao Del Sur”

2) Associate Professor Jyoti Trehan Sharma, Ph.D. University of

Delhi

“Public Affairs and the Issue of Gender Equality: From

Shadows to Self”

3) Suangsurang Mitsamphanta, Mae Fah Lung University

“Women’s Policy in Thailand: Past, Present and Its

Challenges”

4) Professor Nathalie Jacquinot, Toulouse 1 Capitole University

“The protection of civil rights in France”

Chairperson: Associate Professor Supawatanakorn

Wongthanavasu, Ph.D.

Room 213 Disaster / Resources Management

1) Rachanee Pothitan, Ph.D. Candidate, Thammasat University

“Restructuring of the Royal Forest Department: Success

or Failure in Forest Resources Management of

Thailand”

2) Mochamad Chazienul Ulum, Brawijaya University

“Flood Disaster Management and Governance Mindset”

3) Pakamas Thinphanga, Ph.D., Thailand Environment Institute

“Planning for Future Uncertainty”

4) Buntoon Srethasirote, Ph.D., Thailand Environment Institute

“Thailand’s Climate Change Policy-Making under the

Interaction of Two Globalization Regimes”

5) Kanittha Tambunlertchai, Ph.D., Chulalongkorn University

"Does the Government Have a Role to Play in

Promoting Voluntary Environment Programs? The Case

of ISO 14001 Environment Management System

Certification in Thailand"

6) Chanatporn Limprapoowiwattana, Master of International

Relations student, Thammasat University

"The Study on the Interaction among Key Actors in

Clean Development Mechanism Projects in the

Kingdom of Thailand: A Case Study of Korat Waste to

Energy Project"

Chairperson: Associate Professor Soparat Jarusombat, Ph.D.

17


Room 214 Public Sector Reform and Government in the Philippines:

Framework, Issue and Challenges

1) Professor Alex Brillantes Jr., Ph.D., University of The Philippines

“Public Sector Reform: An Evolving Framework”

2)Lizan Perante Calina, Senior Legislative Staff Officer, House of

Representatives

“Issues and Implications of Anti-Red Tape Act on Public

Sector Reform”

3) Professor Roberto Valerio, Ph.D., Ateneo de Zamboanga University

“General Concerns of PSR”

4) Atty Mailin Yap, Secretary General, House of Representatives

“Legislation, Law -Making and Public Sector Reform:

Approaches, Issues and Concerns”

Chairperson: Professor Alex Brillantes Jr.

1830 - 2030 hrs. Welcome Dinner hosted by the Bangkok Governor

August 31, 2012

0830 – 0900 hrs. Registration

0900 – 1200 hrs. Parallel sessions (continued)


Room 211 Policy/Social Policy

1) Chakkri Chaipinit, Ph.D., Burapha University

“A Promotion of Public Health Policy: A Case Study of the

Issuance of Compulsory Licensing in Thailand”

2) Thanyawat Rattanasak, Ph.D., Chiangmai University

“Electricity Generation Industry and Policy in Thailand”

3) Yuli Tirtariandi El Anshori, Open University of Indonesia

“Mixing Logic, Ethics, and Aesthetics in Making Public

Policy”, and “Policy Trap for Public Organization in Making

Popular Public Policy (The Case of Organization “X” in

Indonesia)”

4) Melly L. Paraiso, Ph.D. and Geranfel Z. Narido

“The Impact of Fiscal Policy Instruments on Aggregate Output:

The Philippines Case”

5) Mohd Foad Sakdan, Ph.D., Ahmad Martadha Mohamed, Ph.D.,

Abdul Halim Ahmad, Ph.D., and Mohd Shukri Khalid, Ph.D.,

Univeriti Utara

“Evaluation of Citizen’s Perceptions on Government

Transformation Program (GTP) in Malaysia”

18


6) Tunku Nashril Tunku Abaidah,Mohd Helmi Abu Yahya, and

Nor Ardyanti Ahmad, Universiti Teknologi MARA

“Vision 2020: Is Malaysia on the Right Direction?”

Chairperson: Associate Professor Chira Prateep, Ph.D.

Room 212 Public Policy in Indonesia

1) Professor Soesilo Nauhar, Brawijaya University

“Does Citizen Involvement in Public Policy Improve

Democratic Legitimacy and Accountability?”

2) Professor Bambang Supriyono, Brawijaya University

“The Dynamics of Governance Implementation in

Multicultural Societies”

3) Mardiyono, Brawijaya University

“Social Policy on Eliminating Urban Poverty: A Case

Highlighted from International Perspective”

4) Achmad Chusnul Chuluq Ar, Ph.D. Student, Brawijaya University

“Perspective of Public Administration in Health Insurance for

the Poor in Indonesia by the Year 2014”

Chairperson: Professor Bambang Supriyono

Room 213 Local Administration and Management in Indonesia

1) Keynote provided by Assistant Professor Samrit

Yossomsakdhi, Ph.D., Burapha University

“Globalization and International Academic Cooperation in

ASEAN”

2) Luqman Hakim, Ph.D., Brawijaya University

“Political Impacts of Change in the Pattern of

Intergovernmental Relationships (IGR) on National Integration

of Indonesia”

3) M.R. Khairul Mluk, Ph.D., Brawijaya University

“The Complexity of Inter-Local Governmental Cooperation”

4) Andy Fefta Wijaya, Ph.D., Brawijaya University

“Managing Local Government Performance through the

Appropriateness of the Strategic Planning Implementation”

5) Mohammad Nuh, Ph.D. Candidate, Burapha University

“Ethical Issues of E-Procurement: Practice and Lesson Learned

from Local Level”

Chairperson: Assistant Professor Samrit Yossomsakdhi, Ph.D.

Room 214 Performance Management

1) Chayongkan Pamornmast, Ph.D., Mahanakorn University of

Technology, Kittisak Jermsittiparsert, Ph.D. Candidate, Kasetsart

University, and Thanaporn Sriyakul, Ph.D. Candidate, Kasetsart

University

19


“Exchange Rate and Nation’s Export Competitiveness: An

Empirical Discourse Analysis”

2) Pojjana Pichitpatja, Ph.D., Chiangmai University

“Dimensions of Performance Management”

3) Apichai Srimuang, Ph.D., Southeast Asia University

“Effectiveness of Security Measurement for Provincial Halls in

Thai Political Riot during March-May, 2010”

4) Mostafa Bachrane, Ecole Superieure de Technologie-Sal, Avenue

Prince Hritier Sidi Mohammed

“Strategic Planning as Engineering Tool for the Territorial

Intelligence”

5) Professor Azhari A Samudra, and Ni Putu Trika Widanti, Ph.D.,

Universitas Ngurah Rai

“Performance Assessment of Public Organization Analysis

Baldrige Criteria Organization Studies in Public Finance,

Jakarta”

6) Lely Indah Mindarti, Ph.D. Candidate, National University of

Malaysia, and Budi Wiyoto, Ph.D. Candidate,University of

Brawijaya,Indonesia

“Factors Affecting Performance and Empowerment Efforts

Indonesian Domestic Workers (Prt) In Recipient Countries”

Chairperson: Associate Professor Amporn Tamronglak, Ph.D.

1200 – 1330 hrs. Lunch break

1330 – 1700 hrs. Parallel sessions for paper presentations


Room 211 Administrative Court in Thailand

1) Derekrid Janekrongtham, Secretary General of the Office of the

Administrative Courts

“New Aspect of Thai Administrative Justice Development: A

Citizen-driven Process”

2) Suchart Verojana, Chairman of Bangkok Metropolitan Authority

Civil Servant and Personnel Merit Protection Commission

“Case Study : Public Personnel Administrative Disputes”

3) Khajornsak Putthanuparp, Executive Director’s Office of Thailand

Criminal Law Institute

“ระบบยุติธรรมทางเลือกสําหรับประเทศไทย”

Chairperson: Professor Supachai Yavaprabhas, Ph.D

20


Room 212 Local Government

1) Suchada Saithi, Maejo University

“Network and Learning Process of Authentic Leaders

Northern Thailand of Local Government Organization

Administration in Upper”

2) Hanif Nurcholis, Ph.D., Dra. Ace Sriati Rachman, M.Si, and

Suryarama SH, Open University of Indonesia

“Village in Indonesia: Institution of Society Conducting

State Task”

3) Edwin C. Du, Capitol University

“The Federal System of Government for the Autonomous

Region in Muslim Mindanao”

4) Pojjana Pichitpatja, Ph.D., Chiangmai University

“Elderly and Disabled People Strategy toward the New Public

Service Approach in Nong Tong Pattana Municipality, Hang

Dong District, Chiang Mai Province”

5) Halimah Abdul Manaf, Ph.D., and Associate Professor Ahmad

Martadha Mohamed, Ph.D., Universiti Utara Malaysia

“The Impact of Knowledge Sharing Practices on Individual

Performance in Local Government in Malaysia”

6) Assistant Professor Weerasak Krueathep, Ph.D., Chulalongkorn

University

“Enhancing Municipal Fiscal Performance: The Need for a

Municipal Fiscal Surveillance System in Thailand”

7) Sinth Sarobol, Maejo University

“Healthy Public Development in Local Administration

Organization, Chiang Mai Province, thailand”

Chairperson: Professor Charas Suwanmala, Ph.D.

Room 213 Administrative Reform in Indonesia

1) Himawan Bayu Pariadi, Ph.D., Jember University

“Rethinking Democratization, Decentralization and

Governance: The Case of Indonesia”

2) Oscar Radyan Danar, Ph.D., Brawijaya University

“Administration by Public: Rural Development Planning

Based on Community Development”

3) Alfi Haris Wanto, Ph.D. Candidate, Burapha University

“Bureaucratic Reform in Indonesia: The Study on the

Government Efforts to Implement Improvements to the

Bureaucracy Performance”

4) Dedan Faturohman, Ph.D. Candidate, Brawijaya University

“Challenges and Prospects of Indonesia’s Bureaucratic

Reform”

Chairperson: Assistant Professor Kamol Songwathana, Ph.D.

21


Room 214 ASEAN

1)Associate Professor Arwiphawee Srithongrung, DPA, University

of Nebraska at Omaha

“Does Budget Reform Change Government Spending

Structure? Lesson Learnt from Asian Countries”

2) Jutawon Kacha, Ph.D. candidate, Siam University and Professor

Nipone Sookpreedee, Ph.D., Vice-President, Siam University

“Management Model of Open University for ASEAN

Community”

3) Usamard Siampukdee, Chaing Mai University

“Migration Selection Policy of Healthcare Labour from

Southeast Asian Countries to Japan under Economic

Partnership Agreements”

Chairperson: Associate Professor Sida Sornsri

1600 hrs. Closing Ceremony by PAAT President

��

22


Conference Program

“The 2012 Thailand International Conference on Public Administration and Public Affairs:

Challenges and Prospects in ASEAN and Beyond”

August 30 – 31, 2012 at BITEC

Bangkok, Thailand

August 30, 2012 (Afternoon session, 1330 – 1700 hrs.)

Rooms Panels Time Chairperson Coordinator Presenters Topics

MR

211

(1)

Public Reform in

Japan

1330 – 1700

hrs.

Professor Jun Matsunami, Ph.D.

Wasan Luangprapat,

Ph.D.

(Lecturer,

Thammasat

University)

1. Professor Jun Matsunami

(Ph.D., Kobe University)

2. Associate Professor Junya Takamatsu

(Ph.D., Meijo University)

3. Hideki Kido

(Lecturer, Nara Prefectural University)

New Personnel Administration and Local Government Employees in Japan:

How to Keep High Morale

How National-Level Deregulation Affects Local Government Behaviour: A

Case Study of Urban Transport Policy in Japan

Intergovernmental Relation through Party Route: A Case Study of

Intergovernmental Transfer Cut in Japan and Canada

MR

212

(2)

Women, Gender

Equality and Civil

Rights in

Governance

1330 – 1700

hrs.

Associate Professor

Supawatanakorn

Wongthanavasu, Ph.D.

(Khon Kaen University)

Thirapong Bualar,

Ph.D.

(Lecturer, Silpakorn

University)

1. Saidamin P. Bagolong

(The University of Mindanao, Davao City)

2. Associate Professor Jyoti Trehan

Sharma, Ph.D.

(I.P.College for Women, University of

Delhi, India)

3. Suangsurang Mitsamphanta (Lecturer, School of Liberal Arts, Mae Fah Lung University) 4. Professor Nathalie Jacquinot

(Toulouse 1 Capitole University, France)

Participation and Governance of Bangsamoro Women on Political

Processes in Lanao Del Sur

Public Affairs and the Issue of Gender Equality: From Shadows to Self

Women’s Policy in Thailand: Past, Present and Its Challenges

The protection of civil rights in France

MR

213

(3)

Disaster /

Resources

Management

1330 – 1700

hrs.

Associate Professor

Soparat Jarusombat, Ph.D.

(Thammasat University)

Isares

Sansaneewitayakul,

Ph.D.

(Lecturer, Sukhothai

Thammathirat Open

University)

1. Rachanee Pothitan

(Ph.D. candidate, College of

Interdisciplinary Studies, Thammasat

University)

2. Mochamad Chazienul Ulum

(Lecturer, Public Administration

Restructuring of the Royal Forest Department: Success or Failure in Forest

Resources Management of Thailand

Flood Disaster Management and Governance Mindset

Department, Brawijaya University)

3. Pakamas Thinphanga, Ph.D.

(Senior Researcher, Thailand Environment

Institute)

4. Buntoon Srethasirote, Ph.D.

(Director, Good Governance for Social

Development and The Environment

Institute, Thailand)

5. Kanittha Tambunlertchai, Ph.D.

(Faculty of Economics, Chulalongkorn

University)

6. Chanatporn Limprapoowiwattana

(Master of International Relations student,

Faculty of Political Science, Thammasat

University)

Planning for Future Uncertainty

Thailand’s Climate Change Policy

Globalization Regimes

Does the Government Have a Role to Play in Promoting Voluntary

Environment Programs? The Case of ISO 14001 Environment Management

System Certification in Thailand

The Study on the Interaction among Key Actors in Clean Development

Mechanism Projects in the Kingdom of Thailand: A Case Study of Korat

Waste to Energy Project

MR

214

(4)

Public Sector

Reform and

Government in the

Philippines:

Framework, Issue

and Challenges

1330 – 1700

hrs.

Professor Alex Brillantes Jr.

(University of The Philippines)

Prakorn Siriprakob,

Ph.D.

(Lecturer,

Chulalongkorn

University)

1. Professor Alex Brillantes Jr., Ph.D.

(National College of Public Administration

and Governance, University of The

Philippines)

2. Lizan Perante Calina

(Senior Legislative Staff Officer, House of

Representatives)

3 Professor Roberto Valerio, Ph.D.

(Vice President, Philippine Society for

Public Administration, Ateneo de

Zamboanga University)

4. Atty Mailin Yap

(Secretary General, House of

Public Sector Reform: An Evolving Framework

Issues and Implications of Anti General Concerns of PSR Legislation, Law and Concerns

August 31, 2012 (Morning session, 0900 – 1200 hrs.)

Rooms Panels Time Chairperson Coordinator Presenters

MR

211

(5)

Policy/Social Policy

0900 – 1200

hrs.

Associate Professor Chira

Prateep, Ph.D.

(Sukhothai Thammathirat

Open University)

Assistant Professor Piyakorn

Whangmahaporn, Ph.D.

(Lecturer, Sripatum

University)

1. Chakkri Chaipinit, Ph.D.

(Lecturer, Burapha University)

2. Thanyawat Rattanasak, Ph.D.

(Assistant Professor, Chiangmai

University)

3. Yuli Tirtariandi El Anshori

(Faculty of Social and Political Science,

Open University of Indonesia)

4. Melly L. Paraiso, Ph.D. and Geranfel Z.

Narido

(Polytechnic University of The

Philippines)

5.Mohd Foad Sakdan, Ph.D.,

Ahmad Martadha Mohamed, Ph.D.,

Abdul Halim Ahmad, Ph.D., and

Mohd Shukri Khalid, Ph.D.

(College of Law, Government and

International Studies, Universiti Utara

Malaysia)

6. Tunku Nashril Tunku Abaidah,

Mohd Helmi Abu Yahya, and

Nor Ardyanti Ahmad

(Universiti Teknologi MARA, Kedah,

Malaysia)

A Promotion of Public Health Policy: A Case Study of the Issuance of

Compulsory Licensing in Thailand

Electricity Generation Industry and Policy in Thaila

1) Mixing Logic, Ethics, and Aesthetics in Making Public Policy

2) Policy Trap for Public Organization in Making Popular Public Policy (The

Case of Organization “X” in Indonesia)

The Impact of Fiscal Policy Instruments on Aggregate Output: The

Philippines Case

Evaluation of Citizen’s Perceptions on Government Transformation

Program (GTP) in Malaysia

Vision 2020: Is Malaysia on the Right Direction?

MR

212

(6)

Public Policy

0900 – 1200

hrs.

Professor Bambang

Supriyono

Suphanee Navakul,

Ph.D.,

1. Professor Soesilo Zauhar

(Public Administration Department,

Does Citizen Involvement In Public Policy Improve Democratic Legitimacy

and Accountability?

University)

4. Achmad Chusnul Chuluq Ar

(Ph.D. Student, Public Administration

Department, Faculty of Administrative

Science, Brawijaya University)

Perspective of Public Administration in Health Insurance for the Poor in

Indonesia by the Year 2014

MR

213

(7)

Local

Administration and

Management in

Indonesia

0900 – 1200

hrs.

Assistant Professor

Samrit Yossomsakdhi, Ph.D.

Thirapong Bualar, Ph.D.

(Lecturer, Silpakorn

University)

1. Assistant Professor Samrit

Yossomsakdhi

(Ph.D., Dean of Faculty of Political

Science and Law, Burapha University)

2. Luqman Hakim

(Ph.D., Head of Study Program of

Administrative Government, Faculty of

Administrative Science, Brawijaya

University)

3. M.R. Khairul Mluk

(Ph.D., Head of Public Administration



4. Andy Fefta Wijaya

(Ph.D., Head of Master in Public

Administration Program, Faculty of

Administrative Science, Brawijaya

University)

5. Mohammad Nuh

(Ph.D. Candidate, Faculty of Political

Science and Law, Burapha University)

Keynote speech: Globalization and International Academic Cooperation in

ASEAN

Political Impacts of Change in the Pattern of Intergovernmental

Relationships (IGR) on National Integration of Indonesia

The Complexity of Inter

Managing Local Government Performance Through The Appropriateness of

the Strategic Planning Implementation

Ethical Issues of E-Procurement: Practice and Lesson Learned from Local

Level

MR

214

(8)

Strategic Planning,

Performance

0900 – 1200

hrs.

Associate Professor Amporn

Tamronglak, Ph.D.


Pakorn Siriprakob, Ph.D.

(Chulalongkorn

University)

1. Chayongkan Pamornmast, Ph.D.

(Head of the Department of Banking and

Finance, Faculty of Business

Exchange Rate and Nation’s Export Competitiveness: An Empirical

Discourse Analysis

3. Apichai Srimuang, Ph.D.

(Public Administration Department,

Southeast Asia University)

4. Mostafa Bachrane and

Jamila El Alami

(Ecole Suprieure de Technologie-Sal,

Avenue Prince Hritier Sidi Mohammed)

5. Professor Azhari A Samudra and

Ni Putu Trika Widanti, Ph.D.

(Universitas Ngurah Rai, Bali, Indonesia)

6. Lely Indah Mindarti (Ph.D. Candidate,

National University of Malaysia), and

Budi Wiyoto (Ph.D. Candidate, University

of Brawijaya, Indonesia)

Effectiveness of Security Measurement for Provincial Halls in Thai Political

Riot during March-

Strategic Planning as Engineering Tool for the Territorial Intelligence

Performance Assessment of Public Organization Analysis Baldrige Criteria

Organization Studies in

Factors Affecting Performance and Empowerment Efforts Indonesian

Domestic Workers (Prt) In Recipient Countries

August 31, 2012 (Afternoon session, 1330 – 1700 hrs.)

MR

211

(9)

Court in Thailand

1330 – 1700

hrs.

Professor Supachai

Yavaprabhas, Ph.D.

(Dean, Faculty of Political

Science, Chulalongkorn

University)

Associate Professor

Ackadej Chaiperm, Ph.D.

(Lecturer, Chulalongkorn

University)

1. Derekrid Janekrongtham

(Secretary General of the Office of the

Administrative Courts)

2. Suchart Verojana

Chairman of Bangkok Metropolitan

Authority Civil Servant and Personnel

Merit Protection Commission)

3. Khajornsak Putthanuparp

(Executive Director’s Office of Thailand

Criminal Law Institute)

New Aspect of Thai Administrative Justice Development: A Citizen

Process

Case Study : Public Personnel Administrative Disputes

Restorative Justice for Thailand

MR

212

(10)

Local

Administration and Policy

Development in Thailand,

Malaysia, and Indonesia

1330 – 1700

hrs.

Professor

Charas Suwanmala, Ph.D.

(Chulalongkorn University)

Associate Professor

Amporn Tamronglak,

Ph.D.


1. Suchada Saithi

(School of Administrative Studies, Maejo

University)

2. Hanif Nurcholis, Ph.D.,

Dra. Ace Sriati Rachman, M.Si, and

Suryarama SH, MH

(Faculty of Social and Political Sciences,

Open University of Indonesia)

3. Edwin C. Du

(Capitol University, Cagayan de Oro City)

4. Pojjana Pichitpatja, Ph.D.

(Lecturer, Chiangmai University)

5. Halimah Abdul Manaf, Ph.D. (School of

Government, Universiti Utara Malaysia)

and Ahmad Martadha Mohamed, Ph.D.

(Associate Professor, School of

Network and Learning Process of Authentic Leaders Northern Thailand of

Local Government Organization Administration in Upper

Village in Indonesia: Institution of Society Conducting State Task

The Federal System of Government for the Autonomous Region in Muslim Mindanao

Elderly and Disabled People Strategy toward the New Public Service

Approach in Nong Tong Pattana Municipality, Hang Dong District, Chiang

Mai Province

The Impact of Knowledge Sharing Pract

Local Government in Malaysia

MR

213

(11)

Administrative

Reform in

Indonesia

1330 – 1700

hrs.

Assistant Professor Kamol

Songwathana, Ph.D.

(Prince of Songkla

University)

Chakkri Chaipinit, Ph.D.

(Lecturer, Burapha

University)

1. Himawan Bayu Pariadi, Ph.D.

(Lecturer, Faculty of Social and Political

Sciences, Jember University)

2. Oscar Radyan Danar, Ph.D.

(Lecturer, Faculty of Administrative


3. Alfi Haris Wanto

(Ph.D. Candidate, Faculty of Political

Science and Law, Burapha University,

Thailand)

4. Dedan Faturohman

Ph.D. Candidate, Public Administration



Rethinking Democratization, Decentralization And Governance: The Case of

Indonesia

Administration by Public: Rural Development Planning Based on

Community Development

Bureaucratic Reform in Indonesia: The Study on the Government Efforts to

Implement Improvements to the Bureaucracy Performance

Challenges and Prospects of Indonesia’s Bureaucratic Refor

MR

214

(12)

Management and

Policy in Building

ASEAN Community

1330 – 1700

hrs.

Associate Professor Sida

Sornsri

(Dean, College of Political

and Governance,

Mahasarakham University)

Pannavij Tamtai

(The Royal Thai

Government Scholarship

student in Master of

Politics and Public Policy,

Macquarie University)

1. Arwiphawee Srithongrung, DPA

(Associate Professor, School of Public

Administration, University of Nebraska at

Omaha)

2. Jutawon Kacha

(Ph.D. Candidate, Siam University) and

Professor Nipone Sookpreedee

(Ph.D., Vice-President, Siam University)

3. Usamard Siampukdee

(Lecturer, Faculty of Political Science and

Public Administration, Chiang Mai

University)

Does Budget Reform Change Government Spending Structure?

Lesson Learnt from A

Management Model of Open University for ASEAN Community

Migration Selection Policy of Healthcare Labour from Southeast Asian

Countries to Japan under Economic Partnership Agreements

Public Administration Association of Thailand Thailand International Conference on Public Administration and Public Affairs:

Challenges and Prospects in ASEAN and Beyond Bangkok, Thailand August 30-31, 2012

30


Contents Page

A Brief History of the Public Administration Association of Thailand (PAAT) 31 Welcoming Remarks by Professor Supachai Yavaprabhas 35 Keynote Presentation: ‘Public Administration in Times of Change: Disasters and Why Public Administration Matters’ - Meredith A. Newman 37 Full Paper ———————————————————————————————— Public Reform in Japan New Personnel Administration and Local Government Employees in Japan: How to Keep High Morale 71 How National -Level Deregulation Affects Local Government Behaviour: A Case Study of Urban Transport Policy in Japan 76 Intergovernmental Relation through Party Route: A Case Study of Intergovernmental Transfer Cut in Japan and Canada 86 Disaster and Resources Management Thailand’s Climate Change Policy-Making under The Interaction of Two Globalization Regimes 94 Does the government have a role to play in promoting voluntary environmental programs? The Case of ISO14001 Environmental Management System Certification in Thailand 100 The Study on the Interaction among Key Actors in Clean Development Mechanism Projects in the Kingdom of Thailand: A Case Study of Korat Waste to Energy Project 109 Policy and Social Policy The Impact of Fiscal Instruments on Aggregate Output: The Philippine Case 121 Vision 2020: Is Malaysia on The Right Direction? 128 Public Policy in Indonesia The Dynamics of Governance Implementation in Multicultural Societies 135 Social Policy on Eradicating Urban Poverty: A Case Highlighted from International Perspective 142 Perspectives of Public Administration in Health Insurance for the Poor in Indonesia by the year 2014 151

31


Local Administration and Management in Indonesia Globalization and International Academic Cooperation in ASEAN 161 Political Impacts of Change in the Pattern of Inter Government Relations (IGR) on National Integration: The Case of Indonesia 163 The Complexity of Inter-Local Governmental Cooperation 170 Managing local government performance through the appropriateness of the strategic planning implementation 175 Administrative Court in Thailand มิติใหมBของการพัฒนากระบวนการยุติธรรมทางปกครองไทยโดยประชาชน 180

การศึกษากรณีข�อพิพาททางปกครองเกี่ยวกับการบริหารงานบุคคลภาครัฐ 198

แนวคิดและข�อเสนอแนะในการนาํกระบวนการยุติธรรมทางเลือกมาใช�ในชัน้พนักงานอัยการ 212

Local Administration and Policy Development in Thailand, Malaysia, Indonesia and The Philippines The Federal System of Government for the Autonomous Region in Muslim Mindanao 231 The Impact of Knowledge Sharing Practices on Individual Performance in Local Government in Malaysia 239 Administrative Reform in Indonesia Rethinking Democratization, Decentralization and Governance: The Case of Indonesia 251 Administration by Public: Rural Development Planning Based on Community Development 259 Challenges and Prospects of Indonesia’s Bureaucratic Reform 265 Abstract ————————————————————————————————— Women, Gender Equality and Civil Rights in Governance 274 Disaster and Resources Management 279 Public Sector Reform and Government in the Philippines: Framework, Issue and Challenges 283 Policy and Social Policy 285

32


Public Policy in Indonesia 291 Local Administration and Management in Indonesia 293 Strategic Planning, Performance Management, and Organizational Analysis 295 Local Administration and Policy Development in Thailand, Malaysia, and Indonesia 303 Administrative Reform in Indonesia 308 Management and Policy in Building ASEAN Community 310 Executive Committee Members of PAAT 315 Sub-Committee Members of PAAT for the Conference 316 Working Group Members for the Conference 317 Co-Hosts and Sponsors of the Conference 318

33


A Brief History of the Public Administration Association of Thailand (PAAT)

1. The Beginning of the Public Administration Association of Thailand

Since the country’s First Economic Development Plan in 1961, the government of Thailand has cherished modernization in an attempt to improve the livelihoods of people, especially those who live in rural areas, by investing in the country’s infrastructure. This involved connecting rural livelihood development to macro-economic development.

Since 1961, the role of government has dramatically expanded in providing essential domestic services, such as education, healthcare, social security, transportation, etc. Obviously, the general process of economic growth has permitted governments almost everywhere to extend the range of public goods and services provided for their citizens. Therefore, the body of knowledge in public administration and development has become increasingly relevant. Public administration scholars and civil servants have been expected to contribute to the country’s development. Because of the scarcity of scholars and professional civil servants to serve the country, public administration and development has grown rapidly in tertiary education, both in state universities and private colleges.

For nearly two decades after the First Economic Development Plan, the government of Thailand had produced sufficient graduates and post-graduates in public administration to serve the country’s development. Subsequently, young scholars and active civil servants were eager to gather well-experienced persons involved in the country’s development and governance and to establish a network that connected scholars, civil servants, and others working in public administration.

The idea of connecting well-experienced persons in public administration was well-received by society at large and an association eventually was established. In 1975, after receiving consent from various parties, Mr. Chumpol Silpa-archa registered this professional association as the Public Administration Society of Thailand (PAST) and he became the first president.

Located at the Faculty of Political Science, Thammasat University, 2 Prachan Road, Grand Palace sub-district, Pranakorn District, Bangkok, PAST was legally documented by the Department of Religion on October 10, 1975 with Permission No.226/2518 (226/1975). On November 28, 1975, PAST received legal Endorsement No. Jor 1340 from the Police Special Branch Division, Police Department.

As stated in the registration document, the objectives of PAST are:

1. Coordinate efforts in public administration affairs locally and internationally

2. Disseminate public administration knowledge, including organizing training programs

3. Be an information center for new thinking and movement in public administration

4. Supply public administration expertise to any government agency or state enterprise

5. Protect the benefits and interests of public administrators

6. Promote further public administration knowledge through advanced studies, research and development, and public forums and dialogue

34


7. Promote healthy relationships among public administration scholars, public administrators, and those interested in public administration

8. Promote public administration projects, governance, and management

9. Promote a public administration career path through higher education on non-political basis.

2. Public Administration of PAST

Since its inception, PAST, under the leadership of Mr. Chumpol Silpa-archa, its first President, has gained in popularity. Consequently, the number of members has grown to more than 600. Since PAST members come from all walks of life, the organization administrators keep PAST balanced between scholars and civil servants. As a result, scholars and civil servants are alternately chosen to be PAST Presidents. In 1996, Mr.Anek Sithiprasasana won the presidency by majority support from PAST members and later appointed Mr.Wattama Yookpan as the PAST Secretary-General. In order to facilitate PAST administration, President Anek Sithiprasasana moved the location of PAST from Thammasat University to Manangkasila House, Lan Luang Road, Dusit District, Bangkok.

To keep PAST diversified, President Anek Sithiprasasana chose administrative committees from academia and government agencies and, since his time in office, subsequent Presidents have upheld this practice.

The administrative committee members under President Anek Sithiprasasana were recruited from a group of well-recognized persons in public administration, as indicated below:

The President’s advisory team consisted of Prof. Dr. Amorn Raksasat, Dr. Arthit Urairat, Mr. Krajang Poonpipat, and Mr. Samaran Thawarayuth.

The administrative committee members were Prof. Dr. Purachai Piumsombun, Mr. Sombun Kawsamang, Prof. Dr. Thepanom Muangman, MD., Mr. Jirapong Sivayaviroj, Mr.Theerayuth Lorlertrat, and Mr. Saneh Ratchinda.

In addition, President Anek Sithiprasasana appointed Vice-Presidents. These included Vice-President for Academic Affairs (Associate Prof. Dr. Prasin Sophonboon), for Foreign Affairs (Prof. Dr. Kanok Wongtrangan), for Financial Affairs (Assistant Prof. Dr. Supin Kechakupt) and for General Administration Affairs (Mr. Sunan Nuan-Chan-Kun).

3. PAST Activities

From the beginning, PAST administrators have conducted various activities concerning social responsibility and public administration academic standards. PAST administrators visited many areas of the country to promote their mission. Moreover, they hosted open forums on public administration, including ‘Thailand’s Economic Crisis’, ‘Mandatory Retirement’, ‘Local Governance in France’, ‘The Role of Government Officials in Political Development’, and ‘Watchdog Organizations and the Bangkok Gubernatorial Election’. Apart from being an open forum host, PAST was the public administration think-tank center for Thailand’s Constitution Drafting Committees in 1997.

In addition, PAST has given Recognition Awards to excellent public administration scholars and government officials. The group who received Recognition Awards from PAST include: Prof. Dr. Wichit Srisa-an and Dr. Rung Kaewdang, Mr. Pan Chantarapan, and Mr.

35


Chansak Yuwaboon, as excellent public administrators; Mr. Apai Jantanajulaka and Mr. Yuwat Vuthimedhi, as excellent government administrators; Dr. Tawat Wichaidit and Ms. Chuanpit Thammasiri, as excellent state enterprise administrators; Mr. Chuan Leekpai and Mr.Uthai Pimjaichon, as excellent politicians; Mr. Attasit Vejjachiva and Dr. Arthit Urairat, as excellent higher education administrators; General Boonsak Kamhaengrittirong, as an excellent homeland security expert; Mr. Tin Pratchapruek, as an excellent public administration scholar; Mr. Somkiat Onwimon, as an excellent mass-media expert; Mr. Tanin Jiarawanon, as an excellent private sector administrator; Mr. Pornthep Pornprapa and Ms. Sisawang Puawongpat, as excellent NGO administrators.

4. The Association Today

Since its inception in 1975, PAST has made a positive impact on wider Thai society. With strong determination, PAST Administrative Committee members have devoted their time to a number of activities. Every PAST President, especially Mr. Chumpol Silpaarcha, Mr. Anek Sithiprasasana, Mr. Chanasak Yuwaboon, and Mr.Yongyuth Wichaidit, has been particularly interested in public administration promotion.

The transfer of authority from a past President to one who is newly elected is an important process. At the PAST annual meeting in 2011, held at the Department of Land, Ministry of Interior, Laksi Bangkok, Professor Dr. Supachai Yavaprabhas, Dean of the Faculty of Political Science, Chulalongkorn University won the Presidency by an overwhelming vote from PAST members.

After taking office, Professor Dr. Supachai Yavaprabhas continued the mission of PAST in public administration promotion. He appointed thirty Executive Committee Members to achieve mission goals. They are:

1. Professor Dr. Supachai Yavaprabhas President 2. Associate Professor Dr. Chakrapand Wongburanavart Vice President 3. Associate Professor Sida Sornsri Vice President 4. Assistant Professor Dr. Bussabong Chaijaroenwatana Vice President 5. Assistant Professor Dr. .Samrit Yossomsak Vice President 6. Associate Professor Dr. Mr.Chira Pratheep Vice President 7. Associate Professor Anongthip Eksaengsri Vice President 8. Mr. Anuwat Metheewiboonwut Committee 9. Associate Professor Dr. Ms.Supin Kechakupt Committee 10. Assistant Professor Dr. Thanyawat Rattanasak Committee 11. Dr. Theeraphong Bualar Committee 12. Dr. Nopraenue Sajjarak Dhirathiti Committee 13. Ms. Orathai Liangjindathaworn Committee 14. Mr. Natti Jitsawang Committee 15. Mr. Bunharn Chongcharoenprasert Committee 16. Dr. Thawilwadee Bureekul Committee 17. Mr. Narongsak Atcharanuwat Committee 18. Mr. Kajornsak Putanuparb Committee 19. Mr. Wetchayan Hengsuwanit Committee 20. Mr. Umnart Sripoonsuk Committee 21. Associate Professor Manit Sutasakun Committee 22. Assoc. Prof. Dr. Supawatanakorn Wongthanavasu Committee 23. Associate Professor Dr. Kamol Songwattana Committee

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24. Mr. Bunjong Chuensuwan Committee 25. Professor Dr. Tin Prachayapruek Committee & Advisor 26. Assistant Professor Dr. Piyakorn Whangmahaporn Committee & Receptionist 27. Associate Professor Dr. Ackadej Chaiperm Committee & Registrar 28. Mrs.Ladavan Bua-aim Committee & Public Relations 29. Ms. Nanthawan Therasoradej Committee & Treasurer 30. Associate Professor Dr. Amporn Tamronglak Committee & Secretary General

While the Public Administration Society of Thailand has been renamed the Public Administration Association of Thailand (PAAT), its core mission, public administration promotion, has continued to occupy the President and his Administrative Committee members. From 2011 to 2012, PAAT has performed two important activities : 1) conducting research on the National Qualification Framework in Public Administration, sponsored financially by the Office of the Higher Education Commission, in order to maintain public administration standards, and 2) organizing the first international conference under the theme of ‘2012 Thailand International Conference on Public Administration and Public Affairs: Challenges and Prospects in ASEAN and Beyond’ at BITEC, Bangna, from August 30-31, 2012.

At present, as the information center on the public administration movement in Thailand and the international community, PAAT has continuously conducted fruitful activities that still adhere to original purposes and objectives. In the near future, it will expand its scope and extend its capacity to academically assist its members and others who are particularly interested in public administration locally and internationally to other Public Administration Associations/Society in ASEAN and neighboring countries

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Welcoming Remarks by

Professor Supachai Yavaprabhas

President of the Public Administration Association of Thailand

*************************************************** ***********

Excellency Professor Sukhumbandhu Paribatra, Governor of Bangkok, Professor Meredith Newman, Former President of American Society for Public Administration, Members of the Public Administration Association of Thailand, Distinguished Guests, Ladies and gentlemen, It is my great pleasure and honor to welcome you all to this important gathering in Bangkok today. Let me, first of all, express my sincere appreciation to Excellency Professor Sukhumbandhu Paribatra, Governor of Bangkok for sparing his busy schedule to be with us and will later officiate this conference, and to Professor Meredith Newman for coming a long way to share with us her keynote speech entitled, “Public Administration in Times of Change: Disasters and Why Public Administration Matters”

Before moving into our agenda, may I spend a few minutes to share with you a brief history of our organization. The Public Administration Association of Thailand or PAAT was founded on October 10, 1975 by Mr. Chumpol Silpa-archa who was at that time a professor at the Faculty of Political Science, Thammasat University. Mr. Chumpol later served as the very first President of this organization. When it was first established, it was registered as a professional organization for both educators in the university and practitioners in Thai public services and was named the Public Administration Society of Thailand (PAST). PAST was last year changed to The Public Administration Association of Thailand or PAAT.

Since the beginning, PAAT was aimed to achieve various purposes, including: 1. Coordinate efforts in public administration affairs locally and

internationally 2. Disseminate public administration knowledge, including organizing

training programs 3. Be an information center for new thinking and movement in public

administration 4. Supply public administration expertise to any government agency or state

enterprise 5. Protect the benefits and interests of public administrators 6. Promote further public administration knowledge through advanced

studies, research and development, and public forums and dialogue 7. Promote healthy relationships among public administration scholars,

public administrators, and those interested in public administration 8. Promote public administration projects, governance, and management 9. Promote a public administration career path through higher education on

non-political basis.

From the inception, PAAT had experienced a period of rise and fall. It had been silent

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for many years until last year when the administration has been transferred from the previous executive board to the present one. With full support of the former president and former secretary general, this present executive board has been formed and be able to launch new initiatives to bring life to PAAT and the community of public administration in Thailand again. This present PAAT executive board has set as its challenge to achieve two targets this year; first is to develop, together with public administration colleague from various universities, a national qualification framework for public administration , and second is to organize an international conference. This conference is a result of our long and hard work. It is however gratifying to note that we have gathered more than sixty international participants, together with a big number of Thai participants from different universities in Thailand.

I am delighted that PAAT in collaboration with different school of public administration and agencies have made this conference possible. With that note, I would like to thank all partners and supporters. To name a few of them, Burapha University, Chiangmai University, Chulalongkorn University, The Government Lottery Office, Khonkaen University, Mahasarakham University, Mahidol University, Office of the National Research Council of Thailand, Silapakorn University, Prince of Songkla University, and Thammasat University. Special thanks goes to Sripathum University and her team for their tireless efforts and dedication on every activities of PAAT.

On this occasion, I wish the meeting every success and look forward to the fruitful deliberations. Thank you and welcome.

***************

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Keynote Presentation

Public Administration in Times of Change: Disasters and Why Public Administration Matters

Meredith A. Newman, Ph.D.

Professor and Chair Department of Public Administration

Florida International University, Miami, USA and

Past President, American Society for Public Administration

[email protected] The focus of my presentation is on the significance of public administration in disaster preparedness and crisis management. As such, it fits squarely within our conference theme – Public Administration and Public Affairs: Challenges and Prospects in ASEAN and Beyond. Over the next two days, we will hear from experts (scholars, practitioners, students) on subjects ranging from administrative reforms in Japan, Thailand, Indonesia, and the Philippines, the ASEAN community, local administration and management in Indonesia and Thailand, disaster and resources management, public policy, women and gender, performance management, administrative courts, and local governance. We are in for an intellectually stimulating time. I would like to begin our sessions by speaking with you about what has become the focus of my research over the past ten years – emotion work, emotional labor, and its centrality to public service generally, and to disaster preparedness, crisis response and management more specifically. This work continues to be a collaborative endeavor with my colleagues Professors Mary Guy (University of Colorado Denver) and Sharon Mastracci (University of Illinois Chicago).

But first, a personal note. I would like to thank Professor Supachai Yavaprabhas, President of the Public Administration Association of Thailand, for his kind invitation to participate in this international conference. I am honored to represent the American Society for Public Administration in my capacity as Past President, and pass on greetings from our officers and our more than 8,000 members in the US and in over 70 countries. I would also like to acknowledge my university, Florida International University in Miami, and our highly-ranked Department of Public Administration. We have a saying in our Department – that our Department is “on the move.” I encourage you to take a look at our programs, faculty and students on our website – our BPA, NASPAA-accredited MPA, our new Executive MPA, and our PhD in Public Affairs. We have a strong reputation for both academic rigor and international outreach, and would welcome you to our campus in Miami. Miami is a microcosm of cultural diversity, presenting a somewhat unique set of administrative challenges – its 2.5 million residents come from 156 different countries, speaking 64 languages – representing a wonderful living laboratory for social science research.

As a final personal note, my visit represents my second time in Bangkok in two months. I participated at the IASIA conference in Bangkok last month and it’s thrilling to have the opportunity to return so soon afterwards. My previous stay in Bangkok was more than 30 years ago, when I served with the Australian Foreign Service at our Australian Embassy in Hanoi. At that time, I was one of 5 Australian diplomats in Hanoi, so it was my turn every 5th week to hand carry the diplomatic mail pouch to Bangkok (via Vientiane). This part of the world holds special meaning to me. I met my husband in Vientiane when I was on

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my way to begin my appointment in Hanoi – it was a party to farewell one of the last of the French journalists who was (involuntarily) leaving the country. It was a fortuitous meeting – we have been happily married for 34 years! Our son was born during our 3-year diplomatic posting in Kuala Lumpur – so he is a Bumiputra! Our son and daughter began school during our 2-year posting in Singapore. I’m from Melbourne, Australia, a neighbor to ASEAN. This is all to say that I feel privileged to participate together with you in the Conference, and to be back in your friendly and beautiful country. Now to my formal remarks - on the significance of public administration in disaster preparedness and management.

I have three points. First, the relationship between a strong professionalized public sector and development, with an emphasis on the development of human capital. Second, and relatedly, the (emotive) skills necessary for the delivery of public services in contemporary society. And third, the centrality of emotional labor in extreme service delivery – namely, crisis response and management.

To set the stage, a quick look at some hard facts. Many countries in Asia and the Pacific have seen remarkable achievements in growth and poverty reduction in the last two decades (Asian Development Bank, 2012). While income inequality permeates most Asian countries, there are exceptions such as Malaysia and Thailand, who are visibly reducing inequality through universal social policies, including basic education and health (Jomo & Baudot, 2007). Thailand’s 2012-2016 Development Strategy is based on the “sufficiency economy” philosophy and people-centered development, with a vision of equity, fairness, and resilience (Asian Development Bank, 2012). However, despite the impressive strides made by nations like Brazil, Russia, India, China and South Africa and within the ASEAN region, absolute inequality between the richest and poorest countries is greater than ever before. This has an obvious bearing on a state’s capacity to respond to, and recover from, crises. According to the latest data from the World Bank (Ortiz & Cummins, 2011), regional and national income inequalities are being exacerbated due to the global economic crisis. Not only does inequality slow economic growth, but it results in health and social problems and generates political instability, with graver social inequalities among children in particular (resulting in lower levels of education and health inequalities). Selected data tell part of the story: - The wealthiest 20% of the population enjoyed more than 80% of the world’s income as of 2007, with the poorest 20% holding on to just over 1% -It will take more than 800 years for the bottom billion to achieve 10% of global income under the current rate of change - In 2007, 2.2 billion people (40% of the world population) were living on less than $2 per day - 50% of them are children and youth - 40% of women were below the $2 per day mark

- According to the U.N., 924 million people lived in slums in 2001; the figure is expected to be 1.5 billion by 2020; and the number of people suffering from hunger has now topped 1 billion globally - The global food crisis has devastating human consequences, with particularly severe impacts on women and children - In the United States in 2008, nearly 17 million children (22.5%) lived in households in which food at times was scarce, 4 million children more than the year before – representing significant and growing food insecurity - Inequalities cumulate and create the most formidable challenges for those least capable of surmounting them

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- Two-thirds of the 1 billion illiterate in the world are women and girls - Minorities, women and indigenous peoples are acute victims of inequality traps, and face disproportionate impediments to accessing capital and education

Crisis response can be defined broadly of course. The UN Millennium Development Goals provide a framework for looking at any number of intractable challenges, including:

- eradicating extreme poverty and hunger - achieving universal primary education - reducing child mortality - improving maternal health - combating HIV AIDS, malaria and other diseases - ensuring environmental sustainability - promoting gender equality and empowering women

The world-wide economic recession of 2008, the Arab Spring, the unfolding European financial crisis, and the aftermath of the housing collapse in the US and elsewhere combine to raise the stakes for public administration and policy. This is the snapshot of the world context and global challenges in which I want to situate my comments. I will stay close to my research interest in the emotive aspects of (crisis) response work, and pay tribute to crisis response as a public service.

I. The Importance of a Strong Public Sector to Development

In addressing the relationship between a strong professionalized public sector and development, I am focusing on the importance of human capital for capacity building for local development. An emphasis on local governance is especially important when discussing disaster preparedness and management. Like the expression that all politics is local, most disasters are really local disasters. Natural and man-made disasters in the United States are primarily the responsibility of the local governmental jurisdictions in which they occur. Operational control of the initial response to damage and destruction rests with a variety of local organizations, most of them agencies of city and county governments. Local government is often the first and only operational responder through organizations such as fire departments, emergency medical services, hospitals, police departments and county rescue squads. These first responders have situational dominance during the preliminary stages of an event. As the “face” of government, first-responders and emergency services personnel carry a unique responsibility. They are the government, up close and personal, on the worst day of a citizen’s life. Attention to what happens at the local level is timely, and was the focus of the recent IASIA annual conference sponsored by NIDA which took place here last month.

First, a brief overview of the administrative reforms underway in Thailand. The decision to transition towards a decentralized unitary system of local self-government in Thailand was undertaken with the goal of strengthening democratic participation, bringing service delivery and decision making closer to the people, addressing regional disparities and enhancing central and local accountability for service delivery performance (The World Bank, 2012).

One key aspect of administrative reform since the passage of the Constitution of the Kingdom of Thailand in 1997 and the subsequent Decentralization Act of 1999 focuses on reforming the local personnel management system. Building a modernized, efficient, and responsive public personnel administration system is key. My interest in this issue is consistent with that of the UN that “people should be the focal point of development.” The nexus between the task of serving the public (and the quality of service delivery at the local

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level) and developing the country is acknowledged. A well-trained and professionalized public service enables the development and well-being of the country and its citizens. Providing responsive and accountable public services are necessary for maintaining trust in government and fostering cohesion (The World Bank, 2012).

My comments are informed by my own experience with the Australian Foreign Service in France and Vietnam, with the World Bank in Washington DC and Dakar Senegal, and with the US Department of State in Senegal, Malaysia and Singapore; and my recent visits to Haiti, China and Australia as part of my on-going research into the emotive skills involved in crisis response and disaster recovery. My brief time in Haiti’s capital of Port-au-Prince and City de Soleil was unforgettable. I was there to interview officials with the International Organization for Migration at the United Nations base, and also had an opportunity to interview staff at a prison, an orphanage, and a women’s maternity clinic. Conditions are basic, at best. There is limited, if any, local government capacity. Much of the Haitian citizenry struggles to engage with central governmental bodies for the provision of basic needs – access to low-cost water and sanitation, primary health care and family planning, safety, education, shelter, and nutrition. The requirement to engage with the government in the French language serves to further complicate interacting with the state as the common language is Creole. My final meeting was with a former Minister of Tourism who currently serves as a consultant to the central government on opening a new university in the north of the country. This struck me as somewhat misplaced – the majority of Haitian children do not have access to primary schooling and much of the population is illiterate. This brings me to the importance of local governments to development, and my own interest in the emotive skills that are central to much of the work in public sector service delivery – at the point of interaction between the citizen and the state.

In contrast to the Haiti experience, Thailand has an extensive local government structure, with 7,953 local authorities (Sopchokchai, 2001), and a two-tier administrative structure consisting of the Provincial Administrative Organization (PAO), and municipality and Tambon Administrative Organization (TAO). PAO is the upper-tier which operates large-scale administrative duties and public services, while the municipality and TAO are the lower-tier which is responsible for small-scale duties.

Why a focus on the development of human capital? Enhanced human capacity is necessary to implement the current administrative reforms – and represents the foundation of a state’s capacity to prepare for, respond to, and recover from disasters. As a consequence of the transfer of many core functions and tasks from the national government to local authorities (especially those that are the most closely related to the local quality of life such as social welfare, educational services, public health, disaster prevention and relief, and public safety) (National Economic and Social Development Board, 2009), enhancing the capacities of local government to handle more complex responsibilities has become a high and urgent priority (Krueathep, 2004; Nagai, Funatsu & Kagoya, 2008). Unqualified personnel cause poor performance in social service provision, as evidenced by the level of satisfaction in a recent survey by the National Economic and Social Development Board (2009). As noted by the UNDP, Thailand and Department of Local Administration of the Ministry of Interior in their 2009 publication, Improving the Local Administrative Structure (http://www.undp.or.th/resources/documents/ExecutiveSummaryImprovingLocalAdmStructure.pdf), “the local administration personnel may lack the experience and capacity to carry out its new functions. This can be due to various limitations, such as …the lack of personnel. Consequently, the local administrations with newly devolved functions are unable to fulfill local expectations.” I would amend their conclusion by saying “the lack of personnel with the full set of skills to engage with and respond to the needs of the citizenry.” In other words, I

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am arguing for the need for both cognitive (technical) and emotive skills in the management and provision of public services generally, and crisis management more specifically.

Since the passage of the Local Public Personnel Administration Act in 1999, attention to the development of local personnel management has been ongoing. Pressure was put on the government to streamline, modernize and improve its HR systems According to the UN report, Administrative Reform Efforts in Thailand: Current Experiences and Successes (http://unpan1.un.org/intradoc/groups/public/documents/un/unpan000233.pdf), the 1992 Civil Service Act, which deals with all aspects of personnel management in the public sector, “has been continually updated and revised in response to rapidly changing national and global situations.” Reform has focused on “functions involving serving, supporting, and directing” and an emphasis on “the principles of customer service and orientation.” But much remains to be done. Strategies to control the size of the public service workforce, improve the effectiveness of the recruitment process, encourage existing personnel to their full potential, establish standardized regulations, monitor performance, develop evaluation processes based on the merit system and competency-based approaches, reduce the “brain drain,” and establish adequate compensation for public sector employees in general and for the more senior levels in particular, are major administrative reforms that are in various stages of implementation.

Reengineering government agencies is underway (beyond the concepts of New Public Management). Old work systems are being changed. Work processes that result in tangible improvement in service quality, attitudes, behavior and morale are a central part of the overall management reform. There are new words for serving the public: “with pleasure”, “fast service,” “conveniently and accurately.” This is illustrated by the main district of Ratchaburi Province: “Modern Amphur, Going Forward, Service First, With Pleasure.” Officials of the district office hold that “public satisfaction be ensured and…that service be provided with a good attitude, in a convenient, accurate and timely manner…The work environment has been improved and a new paradigm of customer-orientation has been adopted.” Emotive skills and the performance of emotional labor are central to this approach.

II.Emotive Skills in Service Delivery

This brings me to my second point: the emotive skills necessary for the delivery of public services in contemporary society. Moving away from an approach of “business as usual” and towards a citizen-centered/citizen satisfaction model of public service delivery relies upon the development of new skills in the public sector work force. We live in a service economy – service with a smile. The private sector has long recognized the value of “customer-service.” Public administration is in the process of catching up. For the Thai government, encouraging human resources development through seminars, training and educational programs is highlighted as an immediate strategy. Any training needs to encompass both cognitive (technical/analytical) and emotive skills that are essential to effective public service delivery. This point is illustrated by a recent two-day workshop I conducted in Melbourne with the Australian and New Zealand School of Government. Twenty high-level Australian and New Zealand public servants participated in this workshop on emotional labor and quality public service delivery. The participants reinforced our points that emotion work skills are both necessary to effective management, and that they are, at the same time, missing from their position descriptions, performance evaluations, and compensation plans. They do this work, but it is not captured in their formal human resource systems. I’ll return to this point later.

Why are emotion work skills and emotional labor necessary in the delivery of public

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services? Cool heads, warm hearts. Isn’t that what we want when public workers meet citizens? To achieve that combination requires not only cognitive labor but also emotional labor. Consider a citizen’s response when a public employee seems cold and uncaring. Such a perception causes the citizen to criticize the services being rendered, whether the job performance is technically correct or not. To achieve that combination requires not only cognitive labor but also emotional labor. Public service jobs require emotional labor because they involve working directly with people on relational matters and, more crucially, because they target vulnerable populations or people in vulnerable situations. This is especially the case in times of crisis. Emotive skills are required in the emotive exchange between worker and citizen and worker and worker. To engage in emotional labor is not simply to act with emotions at the forefront, but to recognize the way in which emotions influence outcomes in terms of service. It is not simply a matter of having feelings or emotions on the job, but about the need to bring emotional skill and work to bear in order to meet the requirements of the job.

Let me explain the concept of emotion work in relation to its better known sibling, emotional intelligence. To clarify what emotional labor is, I’ll first tell you what it isn’t. It isn’t emotional intelligence; it isn’t motivation; nor is it leadership. What differentiates emotional labor from these other topics is that it is an attribute of a job, while public service motivation, leadership, and emotional intelligence are personal attributes of the worker. In other words, the job requires emotional labor.

It is not Emotional Intelligence

Emotional intelligence is the ability to accurately sense one’s own emotional state, to control it in a manner that is constructive, and to accurately sense the emotional state of another person, responding in a way that elicits desired behavior. Emotional intelligence is a construct analogous to cognitive intelligence. It is a trait that captures the ability to sense and control one’s own emotional state and to sense, understand and react to others’ emotions in a constructive fashion. Emotional labor, on the other hand, refers to the application of emotional intelligence to the work setting. It is analogous to manual labor and cognitive labor and is required in order to do the job. Responders, for example, need to work smoothly in their squads and make good decisions under stressful circumstances, appearing calm and confident in order to calm teammates as well as victims. This requires emotional labor. The terms “emotional intelligence” and “emotional labor” are closely related and often used interchangeably. The correct terminology, though, is as follows: Those who have higher levels of emotional intelligence are more capable of performing emotional labor. While the former is a trait, the latter is the type of work that requires the management of one’s own emotions as well as those of teammates and citizens.

To reiterate, emotional labor is confused most often with emotional intelligence due to the similarity of the words, but the two differ considerably. Emotional intelligence is a broader term than emotional labor in that it denotes the individual’s capacity to recognize emotions in oneself and others, much as cognitive intelligence measures the capacity to perform analytic and verbal tasks. It is emotional intelligence that makes it possible to recognize emotions in oneself and others and to use this knowledge for improved self-management and relationships with others. Emotional intelligence provides the substrate by which a worker has the ability to perform emotional labor. Again, the former is located in the person while the latter is located in the job. The latter is a noun: “She exerts emotional labor”; and the former is an adjective: “She possesses emotional intelligence.”

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It Is Not Public Service Motivation

The fundamental difference between the constructs of public service motivation and emotional labor is where each is “located.” While the former is not anchored in a particular job and may not involve formal employment at all, the latter is specific to a job. Public service motivation is what drives a person to serve. It is not a required element of a public service job. One’s inspiration to serve the public lies within oneself; it is neither an attribute of a job, nor a condition to obtain one.

It Is Not Leadership

Leadership is similarly conflated with emotional labor, but it is intertwined between the individual and the context of the job. The emotive component of leadership is an essential one, because it is “a series of social exchanges in which the leader can drive the other person’s emotions into a better or worse state” (Goleman, 2006, p. 276). Leadership has been described as “relationship management that involves effective communication, teamwork, and conflict management skills, as well as the ability to help people work toward common objectives” (Berman & West, 2008, p. 743). Leadership is a personal attribute exercised in a complementary context that suits the individual’s style. Emotional labor, on other hand, is an element of the job. While emotional labor comes from the nature of the work, leadership, public service motivation, and emotional intelligence are qualities of the worker.

Emotional Labor: What It Is

Having carved out the negative space surrounding emotional labor, I’ll now fill in its center. The term “emotional labor” refers to the management of one’s own feelings as well as those of the other in order to get the job done; i.e., emotion management. It has multiple facets, ranging from authentic expression of the worker’s emotional state, to requiring workers to don masks and display an emotion that they do not actually feel. The purpose is to affect how the citizen feels. Successful performance depends on it. Law enforcement needs citizens to be deferential and to trust their authority. Social services need citizens to feel that there is a constructive way to deal with their problems. Emergency responders need citizens to trust their expertise and be confident of their actions. In these terms, the jobs of a social worker and correctional officer can be viewed as opposite poles. One employs a smile and requires its incumbents to be “nicer than natural.” The other employs toughness and requires “tougher than natural” behavior. Acting in a neutral manner also demands emotion work as workers suppress their true feelings in order not to under- or over-react and to present an air of fairness and lack of bias.

For example, to maintain order, prison guards must create an air of authority, even if they are afraid of some prisoners. Social workers and investigators must build trust so that children who have been victims of abuse will confide in them and tell their stories (suppression of their personal feelings). Operators at 911 call centers must create a sense of calm in order to obtain the information that they need to help callers who are in crisis situations. Performing emotional labor is both proactive and reactive.

Emotional labor is behavior performed for a wage. It includes analysis and decision making in terms of the expression of emotion, whether actually felt or not, as well as its opposite: the suppression of emotions that are felt but not expressed. More specifically, emotional labor comes into play during communication between worker and citizen and it requires the rapid-fire execution of:

- Emotive sensing, which means detecting the affective state of the other and using that information to array one’s own alternatives in terms of how to respond

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- �Analyzing one’s own affective state and comparing it to that of the other - Judging how alternative responses will affect the other, then selecting the best alternative - Behaving, such that the speaker suppresses or expresses an emotion—in order to elicit a desired response from the other (Newman, Guy & Mastracci, 2009, p. 8).

Service exchanges between worker and citizen require the worker to sense the right tone and medium for expressing a point and/or feeling and then to determine whether, when, and how to act on that analysis. To ignore this combination of analysis, affect, judgment, and communication is to ignore the social lubrication that enables rapport, elicits desired responses, and ensures that interpersonal transactions are constructive.

The exercise of emotional labor is important because it results in heightened citizen satisfaction when they have had an exchange with a public official who is skilled at it (Meier, Mastracci & Wilson, 2006; Hsieh & Guy, 2009). It also results in heightened job satisfaction on the part of workers (Hsieh, Jin & Guy, 2012; Jin & Guy, 2009). Moreover, it reduces employee turnover (Meier, Mastracci & Wilson, 2006) and contributes to productivity (Meier, Mastracci & Wilson, 2006).

My colleagues and I have been researching emotional labor for almost a decade, introducing it into the lexicon of public administration theory and practice. In 2008 we published Emotional Labor: Putting the Service in Public Service. Our next book, Working on the Razor’s Edge: Emotional Labor in Crisis Response (2012), probes the actual performance of emotional labor more deeply. We focus on how it is done, and we go to extremes to find answers. We query public servants working in dangerous, emotionally intense crises every day: work that is on the razor’s edge.

What have we learned from our research and what does it mean? First, we have long argued the importance of recognizing emotional labor. Emerging research in this area underscores its crucial importance. At varying levels of intensity, it plays a role in nearly all government jobs. It is a “comes with” for all jobs where public servant meets citizen. Whether you are working directly with clients/citizens or managing your agency’s workforce, you probably recognize that your job entails emotion work, even though you may not be familiar with the term emotional labor itself. Frontline workers deal with the day-to-day needs of an increasingly demanding public; management handles the inter- and intra-agency demands of subordinates and superiors on everything from budget and human resources to agency turf battles. Not only are cognitive skills essential, emotive skills are as well. If we are to hire, train, develop, and evaluate workers on the basis of their performance, we must include consideration of the whole job, not just its technical aspects. Workers must be able to suppress, control, or elicit their own and others’ emotions as the job demands. In other words, their capacity to engage in, and their efficacy in, exerting emotional labor is essential to job performance.

Second, we challenged mainstream management theory, proverbs, and principles, because we are still left with a fairly barren landscape when it comes to explaining emotional labor in public service. We are still stuck with an image of work forged during the industrial age by management scientists blind to the human processes by which work gets done.

Third, we found that the performance of emotional labor need not lead to burnout. Public servants are as energized by intense emotional labor demands as they are exhausted. The difference lies in how management and workers address the emotive labor demands of these jobs. In emotion work, the highs are high and the lows can be very low. Employers and supervisors need to acknowledge the highs and anticipate the lows. They can do this by

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providing mechanisms that celebrate the upside while not ignoring the downside and leaving individuals to rebound on their own. In the absence of strategies for coping with haunting recollections long after the job is done, workers too often turn “crispy” engaging in dysfunctional behaviors, losing interest in their work, and seeking work elsewhere. Losing trained, competent workers is expensive and, with forethought, avoidable.

Fourth, emotional labor is part of an occupation, not simply something that a person brings to the job (or not). The characteristics of the job – its purpose and role in the organization, its demands and requirements – determine whether or not job holders will find themselves exerting emotional labor.

This led to a fifth conclusion: Agencies can screen, train, retrain, and evaluate employees on the quality of emotional labor that they exercise on the job. But it is the rarest office that even recognizes the emotive demands of its workers, much less evaluates and compensates for them. In sum, we found that emotion work is inherent in the provision of social welfare services, emergency services, and crisis response and, more generally, in being responsive and accountable to citizens in the provision of public services.

Back to the Thai context. It is commonly expected that the demand for social services will increase over the course of development (National Economic and Social Development Board, 2009). In addition, the push towards decentralization has the potential, the promise, of promoting public participation in local government affairs. Under the 1997 Constitution and the subsequent 2007 Constitution, the need for people’s participation in local government is specially emphasized (http://www.unescap.org/huset/lgstudy/country/thailand/thai.html). The introduction of direct elections for local executives and local representatives has provided people with channels for direct participation. There are also other opportunities for local governance involvement such as civic consultation, monitoring local institutions, public hearings, and so forth. People now have the right to access information on local management practices, and to take part in procurement processes. Local citizen interactive participation is key to local development to ensure that the services provided are relevant and in accordance with the needs of local citizens (National Economic and Social Development Board, 2009).

This age of citizen engagement has many benefits for all involved, but it can also involve a high degree of emotional labor. In dealing with government, citizens have emotions ranging from apathy and disinterest to anger or even rage. Emotional labor on the part of public servants is essential to forming trusting and collaborative relationships with and between citizens.

Relatedly, the Thailand Development Research Institution Foundation’s study utilized a powerful brainstorming technique known as the A-I-C (Appreciation, Influence, and Control) to mobilize people’s participation. This tool is cueing on the emotive skills that are central to the citizen-state exchange. Moreover, contacts with and between local authorities (for example, between village headmen and officials from district offices) play an important role in enhancing the Local Administrative Organization’s (LAO) local capability. As Ngai and Kagoya (2008) note, “the more contacts that the LAO enters into, the more capable it tends to be” (p. 59). Emotive skills are key to relationship-building and developing rapport such that interactions are effective.

It is telling that, in the National Economic and Social Development Board’s recent report (2009), they conclude, in part, that: “Surprisingly, the level of community development and public satisfaction does not depend solely on the TAO’s expenditures. Some TAOs which spend less on social service per capita have higher levels of public satisfaction with their performance…This result suggests that the satisfaction of local people toward quality of social services depends on other factors besides overall expenditure…” For those of us who

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practice and study public sector reform, from a perspective of a “people- and service-orientation,” this may not be so surprising. Citizen satisfaction rests upon the quality of the relationships between citizens and the state. III. The Centrality of Emotional Labor in Crisis Ma nagement

This leads me to my third point: the centrality of emotional labor in extreme service delivery – namely, crisis response and recovery. Two years ago, at the joint congress of IASIA and IIAS that was held in Bali, I spoke about public service in times of crisis. My focus was on the “human face of governance” – at the point where citizens interact with the state, often on the worst days of their lives. This morning I want to pick up where I left off and speak with you about what it’s like to work “on the razor’s edge” and what it takes to maintain one’s professional balance and to avoid burnout.

The recent devastating bushfires in my home state of Victoria, Australia remind us that we live in an era of crises, in a risk society. Crises situations are ubiquitous, including crises or disasters involving whole communities, regions or nations. The September 11 attacks in New York in 2001, the 2004 Indian Ocean Tsunami that killed more than 230,000 in a dozen nations, Hurricane Katrina in the United States in 2005, earthquakes in China in 2008, Indonesia in 2009, Haiti and Chile in 2010, and Christchurch New Zealand and Tohoku Japan in 2011 are just a handful of recent crises that engage public servants around the world. Closer to home here, the 2011 Thailand floods triggered by Tropical Storm Nock-ten resulted in more than 800 deaths and 13.6 million people affected. Sixty-five of Thailand’s 77 provinces were declared flood disaster zones, and over 20,000 square kilometers (7,800 sq. mi) of farmland were damaged. The World Bank has estimated 1,425 billion baht (US$ 45.7 billion) in economic damages and losses due to flooding as of December 1, 2011; and as such, the floods represent the world’s fourth costliest disaster as of 2011 surpassed only by the 2011 Tohoku earthquake and tsunami in Japan, the 1995 Kobe earthquake, and Hurricane Katrina in 2005 (http://www.bbc.co.uk/news/world-asia-15610536).

The human toll of crises in developing nations becomes exacerbated by the areas’ relative poverty and questionable construction standards and the concomitant limited state capacity and infrastructure. It is the interaction between nature and society that produces the vulnerability of places. In Haiti we saw, as we did with Hurricane Katrina, the profound importance of social factors in so-called natural disasters. While the initiating event was natural, the factors that turned this 7.0 magnitude geological event into a catastrophe are entirely human. We have known for years the role that poverty plays in creating vulnerability to natural hazards. I touched on this point in my brief discussion of the global challenges confronting us. Limited state capacity, poor physical and social infrastructure and educational opportunities combine to create tragic consequences when a crisis strikes. Consider that in Haiti (the poorest country in the hemisphere), the earthquake claimed at least 220,000 lives and left a million homeless. Devastation was so complete in the Haitian capital, that the government virtually disappeared. Similarly, in Guatemala, one of Latin America’s poorest countries, the combination of poverty and the lack of land-use regulation resulted in a catastrophe that hit the poorest the hardest. Two years ago, Hurricane Agatha damaged more than 24,000 homes, affecting more than 400,000 people there.

By contrast, the earthquake’s toll in Chile – with a magnitude of 8.8 – was limited to about 700 deaths by sound planning and the nation’s enactment and enforcement of stringent building codes. Laws requiring construction that can withstand temblors, and an immediate-response network of rescuers and emergency personnel was able to quickly spring into action. President Michelle Bachelet was visible in the first hours after the earthquake, clearly in

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charge, speaking to the public and overseeing rescue efforts.

The human tragedy in the aftermath of the earthquake in Haiti continues to unfold some two and a half years later. As with Tropical Storm Nock-ten twelve months ago, disaster victims rely on government to take the lead in coordinating the response, and to rally local, national and international donors and relief organizations. First-responders become the lifelines to citizens in crisis. Calculations of success and failure are fluid, and accountability, discretion and responsiveness are bound together. Where should rescue efforts be focused? Which area to search first? Which victim to help? These same questions were asked in the aftermath of the Tohoku earthquake, and will be asked again in the next disaster.

Responsiveness also exacts a toll on those who respond. The line between victims and non-victims is not as obvious as might appear at first glance. Beyond those who have been hurt physically – or have incurred losses of possessions – are a wide variety of hidden victims. Rescuers themselves are impacted by disasters. Like personnel in emergency organizations, such individuals constitute a portion of the hidden victims of disaster – its “collateral damage” (Mitchell, 2011).

For example, journalists reporting from the front lines of the Haiti earthquake revealed their struggle to reconcile the incompatible goals of filing their stories and, simultaneously, needing to help those whom they were reporting on. The emotional toll on those working at “the edge of chaos” can manifest itself in Post-Traumatic Stress Disorder and other physiological or psychological symptoms. Mitchell (1988) found that more than 86% of disaster workers experience some symptoms of PTSD within 24 hours after their experiences at the scenes of major emergencies. Approximately 10% may be profoundly distressed by the event. They are unable to continue in that line of work, they experience a personality change, their marriages and family life are disturbed, or they become physically ill. A large percentage of emergency workers experience powerful physical and psychological “aftershocks” to their work. These findings are reinforced by Fullerton, Ursano & Wang (2004) in their study of 440 exposed disaster workers responding to a United Airlines midair explosion. Nearly 40% of these workers met criteria for at least one diagnosis of acute stress disorder, PTSD, and depression (p. 1374).

This was the case for several of the NGO administrators whom I interviewed in Port-au-Prince, Haiti in June as part of our research funded by the US National Institutes of Health. The aims of the project, called “Emotional Labor After the Haitian Earthquake: Haitian and International Disaster Relief And Early Recovery Workers in the Rubble,” are to study the professional skills disaster response and recovery workers find necessary in the field (especially emotion skills), and to understand the consequences of emotional labor for disaster response and recovery workers (both international and Haitian). This was my first visit to Haiti and it made an indelible impact on me. The sheer scope of the devastation (earthquake, cholera outbreak, hurricane), the abject poverty, the lack of basic infrastructure and governmental capacity that I mentioned earlier, combined with the resilience of the Haitian people, made for a unique and unforgettable experience. The interviews were conducted at the UN base with International Organization for Migration officials. They told us that they had “seen it all.” This vignette captures this sentiment:

I’ve been in wars, I’ve been shot at, I’ve seen death, all that had never bothered me before, like Haiti. It’s devastating to just think through it. I keep myself pretty busy just not to think about it. I’m under some medication to help me get through it. While I was doing it I didn’t feel anything because I was focusing.

The burden of crisis response and recovery work can be overwhelming. Responding in these environments can be career-changing, even career-ending. As part of my ongoing

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research with my colleagues, we have interviewed emergency services personnel in Florida, Colorado and Illinois to learn how they do this work. We have recently broadened our scope of enquiry to include emotion workers in China, Australia, and, as mentioned, Haiti. This research extends our earlier work on the concept of emotional labor (see Guy, Newman & Mastracci 2008, Emotional Labor: Putting the Service in Public Service, M.E. Sharpe). Listen to a chief in the fire rescue domestic preparedness division speak about “responding to New York” in the aftermath of September 11, 2001:

We were deployed up there and that took me a good two plus years to get past. The pictures don’t do it justice. But when you physically get up there and you get out and you see 23 acres of destruction and fires underground you know there’s nothing you can do except volume recovery...Other guys had problems from that for years.

First-responders are exposed to dangerous and life-threatening situations on a daily basis. A sense of fatalism and the fragility of life is a common refrain as first-responders describe their experiences. For example, the tragic consequences of crimes place a great emotional burden on law enforcement officers to make sense of these outcomes.

Crises and disasters happen. Indeed, we plan on it. To lessen their impacts in the future, we need strong governments and highly trained public servants to tackle these challenges. This takes us back to my first point – the relationship between a strong professionalized public sector and development, with an emphasis on the development of human capital. Let’s take a look at some of these public servants – those working in times of crisis, some of the most demanding, dangerous and challenging of all public service jobs. What skills do they need to bring to the job? What skills are missing from the KSAs that got them hired in the first place?

Crisis management relies upon a highly trained public service. Public administrators who excel in both cognitive (technical) competencies as well as emotive skills are likely to be more effective. There is probably no argument that our graduates should become proficient in management, analytic skills, and policy. These are essential cognitive skills. But these skills are necessary but insufficient for preparing our students to be effective public servants. Feedback from graduates often indicates that their training failed to adequately prepare them for the human processes (the emotion work) involved in the administration and delivery of public services. Although provided with training in cognitive skills, they are left on their own to acquire an appreciation for, and to develop skill in, nuanced emotive skills. This is especially the case for graduates who work in service delivery programs that are emotionally intense, such as disaster services and emergency medical services.

As an example, I would like to read a short passage from the start of our most recent book. Tragically, this example of a paramedic responding to a vehicular accident illustrates emotional labor on two fronts: eliciting a particular emotional state in another person and emotion regulation within oneself.

Another example, this time from Haiti, reinforces the need for training for emotionally-intense work:

When I came the first time I wasn’t prepared in any way at all. Not technically, not emotionally, not any way. So I think what people could do is have briefings with colleagues who’ve worked in some of the situations before who can share their experiences and maybe give you a heads up as to what to look out for and maybe coping mechanisms.

How do emotion workers – first responders, emergency medical personnel, victim assistance counselors, and public spokespersons – manage to perform emotional labor – and

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regulate their own emotions – in extreme circumstances without losing their professional edge; i.e., without falling off the “razor’s edge.” How do they maintain their professional balance as they do this extraordinarily difficult work of crisis response and recovery? In order to address these questions, a recent tragic disaster provides some answers. I’m speaking of the horrific shooting in Colorado. I’d like to ask you to try to identify and think about the emotion work skills that are being used by the emergency response personnel and public spokespersons. We’ll come back to these after this case.

The Batman Massacre

In the early hours of July 20, 2012, about fifteen minutes into the much-anticipated midnight premier of a Batman sequel, “The Dark Night Rises,” a gunman wearing protective gear and gas mask, and armed with an assault rifle, shotgun, Glock, and tear gas, entered a packed movie theater. Having come in through the exit door near the screen, he looked up at the audience, tossed canisters of tear gas, then proceeded to shoot moviegoers as they fled. All the while, the movie played on.

Calls for help cascaded into the Aurora, Colorado emergency dispatch center. Police arrived in less than two minutes with rescuers and ambulances close behind. When the ambulances were full, police officers loaded wounded into their cars and rushed them to emergency rooms. Other officers called the dispatcher for more help with the wounded and dying [1]. Frantic medical rescuers were triaging victims and radioed, “If they are dead, just leave them. We are in a mass-casualty response” (Meyer, 2012).

While police cleared the other theaters in the building (there were 16 screens), including one next to Theater 9 where the gunman had wrought his devastation, they found additional victims hit by bullets that had exploded through the adjoining wall. Outside, rescue vehicles were wending their way through the crowded shopping mall parking lot, trying to park close enough to the theater to reach severely injured victims. But bloodied moviegoers who were ambulatory ran up to them, begging for aid, which prevented them from getting close enough to the theater to help those even more seriously wounded. As one driver radioed, “we can’t bypass these wounded to get to others.” When the smoke had cleared, twelve people had been murdered and fifty-eight injured. Victim assistance counselors were called to the scene to comfort victims and provide supportive services as the wounded and terrified sat on blood-soaked sidewalks and tried to make sense of what had happened.

In the chaos, cellphones and purses had been left behind, making identification of the dead and badly wounded laborious. Distraught family members would wait for up to two days before learning whether missing loved ones were dead or alive. In the aftermath, one of the dispatchers described the event. Swamped with an emergency too large for the resources available, everyone had to innovate. To listen to the recorded calls for help and her response, one hears a calm, authoritative voice directing police and rescuers to the theater and to staging areas in the surrounding parking lot. Afterwards, she admitted that inside she was roiling: “Our job is to send help, and the guys we sent to help were calling for help, and we couldn’t help them. Normally, they get on the radio and the magic dispatcher gets them what they need. They needed help and they couldn’t get it” (Murphy, 2012).

The dispatchers who relayed information from 911 callers to police and firefighters had to control their personal reactions to the anguished pleas for help from victims as well as the pleas from rescuers for more ambulances, more police, more rescuers, more trauma centers. Their job was to dispassionately transmit messages to rescuers quickly, clearly and authoritatively. There was no time to sit back, catch their breath, and comprehend the horror of the event. They had never encountered anything like this before.

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Police were running into the theater as bloodied moviegoers were running out. They had to overlook the terror of not knowing whether the gunman was around the corner and aiming his guns on them. And their eyes were met with dozens of bloodied victims rushing to escape a deathtrap. Emergency medical staff came face to face with the dead, the dying, the bleeding, the pleading. Without enough ambulances to remove everyone from the scene and get them to a trauma center, they had to triage. Those already dead or so severely wounded that their survival was unlikely had to be overlooked in order to focus on the wounded who, with help, could be saved. Those injured but not seriously were left to fend for themselves. The shooter was apprehended in the parking lot of the theater shortly after the shootings but at that time there was no way to know whether he had an accomplice.

After the event, counselors debriefed the dispatchers to allay the stress that was a combination of the intensity of the emotions they had to suppress during the ordeal, survivor’s guilt, and the experience of being in the middle of the night’s horror, hearing the calls for help from victims and pleas for more resources from responders. After several days on less stressful duty, they returned to the dispatch console: “It’s just like anything you’re scared of,” one said. “You just have to face it and get through it” (Murphy, 2012).

For days afterward, spokespersons from the six trauma centers that received the wounded, the Police Department, federal explosives experts, the jail holding the shooter, and court officials trying the case, held news conferences to provide information on the status of the case. Spokespersons approached the microphone, spoke in a constrained voice to the facts they were free to reveal, then quickly moved away from the podium, saying no more and no less than they were scripted while reporters jumped up and down, asking for more detail, more information. Except for the police chief, whose anger was unusual in a briefing. Within hours of the arrest, police learned that the gunman had booby trapped his apartment with explosives should anyone enter it. In a press conference the next day, after the bombs had been disabled, the Police Chief angrily described the explosives and incendiary devices that the bomb squad had found there. The Chief’s anger was aimed at the shooter whom he said intended to kill his officers should they have entered the apartment without first disarming the bombs.

First responders, and all the staff that surround their work, are trained to be effective, responsive, cool, and compassionate. During emergencies, effects – both direct and indirect – ricochet in unpredictable ways. While the desirable state is for workers to keep their emotions in check, be empathic to those directly affected, and exhibit grace under pressure, that often means suppressing their emotions and dealing with them later or not at all. The sights they see, the sounds they hear, the scents they smell, are often horrific, always emotionally intense, and usually unprogrammable. The chaos of, in this case slaughter, hysteria, and anguished screams of the wounded and dying, coupled with the uncertainty of whether the shooter was lurking around the corner, are riveting on a television screen but overpower the brain and heart when encountered in person. In the words of a bomb squad officer, “It is something that can never be wiped from your mind. All I can do is encourage people to talk and try to get some help and not be the tough guy and keep so many of those emotions inside” (McGhee, 2012).

Victims of the Batman massacre sought cool heads and warm hearts to come to their rescue. The cognitive and physical tasks of emergency services are well understood, but my presentation is focusing on the latter expectation – the heart. Emotional labor is required of those who work in emergency response. As noted earlier, the term refers to the work of managing one’s own emotions in order to do the job and to manage the emotions of others.

Emergency management means planning how to prepare for, mitigate, respond, and

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recover from anticipated but improbable incidents and disasters. In other words it prepares for the expected and the unusual (VanWart & Kapucu, 2011). This is the cognitive function that develops protocols, command centers, and procedures. The physical function is the actual response, running into the theater that everyone else is running out of. It is the crisis – the unexpected, the uncertain, the horrific – caused by the emergency that spurs responders’ emotional response. For the dispatchers, it was being unable to access enough resources to respond to the need. With every officer in the city’s police force and many from neighboring jurisdictions, there were still not enough to barricade the shopping center where the theater was located while the shooter was located, to question moviegoers as they fled the theater to ask what they had seen, and to drive the wounded to nearby trauma centers when the ambulances were full. For police, it was watching the wounded bleed out in front of them as they called for another ambulance. For medical personnel, it was sorting through waves of victims, treating those they could while others screamed for help. For emergency room staff, it was rushing to evaluate and treat wave after wave of gunshot victims shot in the head, the spine, the gut.

The emotional sequelae to this kind of work are profound. The adrenalin rush, coupled with training and protocols, guide responders’ hands and minds through the motions of what must quickly be done and this temporarily overrides the emotions that arise. But what can police, firefighters, medical squads, and trauma centers do to foster and develop effective emotion work skills that help staff decompress once incidents are behind them? What emotive skills are required of public spokespersons during and after a crisis? What does it mean to “just have to face it and get through it”?

These questions are the focus of what follows. First, the emotional labor performance of first responders and public information officers is discussed. And second, the human resource practices—hiring, promoting, training, and compensating—that can equip responders with requisite skills are enumerated.

I asked you to see if you can identify the emotion work skills that were applied during this crisis. The ability to think on one’s feet: “everyone had to innovate;” emotion suppression: “control their personal reactions;” the ability to focus and “overlook the terror;” coping despite not being able to do more to help: “hearing the calls for help from victims and pleas for more resources from responders” and “being unable to access enough resources to respond to the need;” maintaining one’s cool , expressing compassion; and self-awareness: “All I can do is encourage people to talk and try to get some help and not be the tough guy and keep so many of those emotions inside” – all these emotive skills came into play during the crisis. It’s one thing to watch the massacre unfold on television. But as the rescue workers said, it’s an entirely different experience to be in the midst of it and still perform one’s job. The purpose of detailing this crisis is to highlight the actual performance of emotional labor in extremis and to illustrate the skill in emotion management on the job (emotion regulation/suppression).

Not surprisingly, there are individual differences in the performance of emotional labor, just as there are individual differences in the performance of cognitive and manual labor. This is evident in studies of workers in a number of settings, ranging from clerical staff to caseworkers to police officers to emergency medical personnel to victim assistance counselors (Guy, Newman, & Mastracci, 2008; Mastracci, Guy, & Newman, 2012). Those who are good at it report that it is the emotional labor aspect of their jobs that gives them meaning and a sense of fulfillment.

But it is a double-edged sword. While it is the emotive aspect of jobs that give workers the sense that their performance has made a difference in people’s lives, it has a

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downside. When workers must suppress one feeling in order to express another, the risk of burnout increases (Hsieh, Jin & Guy, 2012). In other words, when responders must suppress their horror/terror/fear and perform in a dispassionate, matter-of-fact manner – to “just get through it” – there is an increased likelihood that burnout will result. In the case of the movie massacre, dispatchers had to calmly relay information and instructions to responders in the midst of panicked calls from the wounded, police who needed more backup and rescuers who needed more ambulances. This is why the bomb squad officer quoted above said that responders should not try to “tough it out.” Instead, after the incident concludes, they should take stock of their feelings, be open about them, and find a constructive means for dealing with them.

Events such as this massacre require responders and public information officers to adeptly exercise emotional labor. They must address not only issues of safety, search and rescue, and medical aid, but must also calm traumatized victims enough to determine what services they need. For victim assistance counselors, this is their primary function. The morning after the event, one of the moviegoers who escaped unhurt told an interviewer how she sat on the curb, victim assistance counselor by her side listening to her retell her experience and probing to learn whether she needed medical help while she calmed down. These counselors, who are assigned to police departments throughout the metro area, are trained to understand victims’ emotional tones and be responsive in a caring manner. In other words, for some responders, such as police, emotional labor is tangential to their job, but nevertheless essential. For others, such as the victim assistance counselors, it is central to their job. Whether it is tangential or central, it is nevertheless required.

Now to explaining what happened. Emergency response requires responders to work collaboratively both horizontally and vertically across jurisdictions, sectors, and departments (Koliba, Mills & Zia, 2011; Getha-Taylor, 2007; Kapucu, Arslan & Collins, 2012; Weber & Khademian, 2008; Wise, 2006). This was the case in the Batman massacre. The scope of the incident was so large that police and victim assistance counselors were called in from neighboring cities, victims filled beds at six different trauma centers, and ambulances were used from multiple locales. Because the shooter had armed his apartment with explosives, experts were called in from federal, state, and local bomb squads. As the investigation proceeded, it was learned that up until a month before the event, the gunman had been a first year doctoral student at the nearby University of Colorado Denver Medical Campus and had worked in labs there. At the completion of the year he had withdrawn from school. As the investigation proceeded, officials at the university grew wary and proceeded to heighten security at the labs where he had worked, in case they had been booby-trapped. Speakers at press conferences expanded from, first, the police chief, to the chief with elected officials and bomb squad officials, to the chief with elected officials, court officials, and university officials. Separate press conferences were held at the medical facilities treating the wounded. In other words, the panoply of stakeholders behind the podium grew ever larger as survivors and media wanted more and more information and as the scope of the investigation expanded.

The public information officer (PIO) plays an important but different role from that of responder. Being at arm’s length from direct response, the spokesperson is the information gatherer and deliverer, and is the official responsible for communicating competence to those who are once removed from the event. They are the boundary spanners who must tease out and release the facts in a confident, compassionate manner, speaking directly to the public and framing the situation in such a way as to control the message. PIOs must establish credibility with the audience, project confidence, convey an image of competence (Jarret, 2007), and express compassion.

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Being able to express care and concern for citizens in dire circumstances is an important skill for public spokespersons. For example, in the case of Hurricane Katrina, federal officials failed to communicate the proper tone for handling the crisis. Much of the public tone communicated by them was one of being in control rather than showing appropriate engagement that fosters trust and builds community. The message that government cares about what has happened to people because of the crisis, that efforts are underway to cope with the crisis, and here is what the public needs to do to minimize damage and help government efforts are key. An agency must establish control during a crisis but also show compassion. For people whose lives have been disrupted or who are in shock, symbols of competent caring on the part of their government are extremely important. As we have seen with the events of September 11, governments suffer if they exhibit apathy. President George W. Bush’s reaction to the news of the World Trade Center attacks (characterized as a paralyzing lack of emotion), and the more recent criticism of President Obama’s reported “lawyerly and passive” response to the BP Gulf of Mexico oil spill illustrate both how the media’s portrayal can shape, if not predict, public perception, and the importance of serving “with feeling.” I have a short video of communicating during a crisis – with feeling (former governor of Queensland at the time of the devastating flooding).

Communicating to the public is usually a routine process requiring good language skills. But communicating in times of chaos, rapid change or unpredictable circumstances requires that and more. The burden on the spokesperson is multiple: People want facts but they also want an emotive tone that conveys confidence amid chaos, trustworthiness amid tumult, and compassion amid calculation. This role is instrumental in framing the understanding of the event and creating a readiness to prepare for the “new normal.” How do spokespersons provide the information that is necessary, withhold the information that parties do not want disclosed, and make their listeners feel that they, and by extension the authorities they represent, are credible, confident, sincere, and accessible? How do they protect victims’ privacy, withhold information that would be injurious to an ongoing investigation, engender a positive image of the agencies involved, and still provide meaningful information sufficient to quench the insatiable thirst for news? The answer lies in the combination of their communication and emotive skills. Such skills come into play in reading the audience, tailoring the message to fit the circumstances, making judgments about how much information to deliver, and managing the delivery.

“Encoding” skills (devising a message), “sender” skills (writing, speaking, body language), and “receiver” skills (the importance of understanding the audience and crafting the message accordingly) are all in play (Garnett 1992). Developing and maintaining rapport is essential (Grunig et al., 2002). These are emotive skills. Below is a more specific list of tasks, accompanied by a description of the emotive aspect of each.

Composure: Affect Must Be Appropriate To the Situation:

The spokesperson is the primary source of authoritative information by which hunches and confirmations are formed. How the event is reported is as important as what is reported (Berge, 1990; Berry, 1999; Lee, 1999). There must be both competence and compassion. Of these twin dimensions of credibility, competence engenders an impression of expertise, and compassion engenders an impression of trustworthiness.

Spokespersons play the pivotal role in crafting, delivering, interpreting, making sense of, and translating facts into a message that conveys competence and compassion, serves to console and counsel, and instills confidence and trust. How the news media view the spokesperson’s presentation will set the tone for how the aftermath unfolds. For example, the Batman massacre occurred in the early hours of a Friday morning. The first press conference

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was held late that morning, after there had been a fairly reliable count of the dead and wounded. The spokesperson was the police chief. The next day, as more information was known, there was a press conference conducted by a public information officer attached to the police department and the scope of the information was about the shooter’s apartment and the procedure that the bomb squad would use to defuse the bombs. The next press conference was again conducted by the PIO to announce that the bomb had been defused. Residents living in nearby buildings had been evacuated so they eagerly awaited news as to the safety of their homes. The next press conference was held on Sunday and was huge. The President of the U.S. attended and opened the comments, then the governor of the state, who called himself the “Griever-in-Chief” for the state. Then the mayor of the city, then the police chief. On and on the speeches went. The dead had finally been identified, their next of kin notified, and their names released. The purpose of the press conference was to express condolence mixed with optimism and this determined (a) who spoke; (b) what they said; (c) and the tone of the message. That evening, there was a prayer vigil in which choirs sang and representatives from many of the city’s churches spoke. The choreography of the public presentations served to acknowledge the horror, honor the dead and wounded, and begin the process of putting the event in the community’s rear view mirror.

Factual: Information Given Must be Accurate:

Public relations and organizational communication literature have long emphasized the importance of openness and candor in crisis communication (see, for example, Seeger, 2006).

Addressing rumors by presenting accurate information is a key communication strategy, especially in unpredictable situations. Thus, the police chief held a press conference a few hours after the event, before much was known. But he held it in order to acknowledge the event and announce what was known, and to tell how long it might be before all the dead and wounded might be identified and why. And on Saturday, as the bomb squad was about to attempt its disabling of the bombs in the gunman’s apartment, a police spokesperson held a brief conference to explain what was being attempted. After the disabling was successful, the spokesperson held another brief conference to report that the goal had been achieved. These were small bits of information to many, but for those who had been evacuated from their homes in the neighborhood close to the apartment, it was very important information. A few facts are better than none.

Wilson and Patterson (1987) suggest that there be one spokesperson to ensure that the organization speaks with one voice. In this case, an organization tangential to the event itself and eventually central to the event – the university from which the shooter had withdrawn after one year of study– struggled to control information that would inevitably creep out from former classmates and instructors. Reminders were sent to all faculty and staff telling them to direct all media inquiries to the university’s spokesperson. And in order to present negative information while framing the situation more positively, a “bump and run” tactic was used in the Sunday press conference. This means that the speakers addressed the tragedy, expressed sympathy for all affected, then spoke upliftingly of an optimistic future. Acknowledging the bad and then moving to the good is designed to focus attention on a better future rather than to dwell on what happened (Englehardt, Sallot & Springston, 2004).

Responding to a crisis addresses multiple publics with different predispositions. For example, in the case of this massacre, audiences include survivors and next of kin, the university where the shooter had been enrolled, residents in the neighborhood around his apartment, and media who were feeding the world’s insatiable hunger for news. Each of these has its own perspective that affects how messages are received and interpreted. And even

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simple messages can be misinterpreted. For example, a few hours after the gunman had been taken into custody and his name was known, a reporter located his mother who lived in San Diego, California. Being awakened by the call, she was asked if she had heard of the shooting and was told the gunman’s name and asked if she was his mother. She responded, “you have the right person.” The reporter interpreted the response as meaning that the mother had said that police had arrested the right person. In a subsequent press conference held by the attorney she soon hired to represent her, that interpretation was corrected such that the mother had meant by her comment that she was the right person, in other words, she was the person the reporter had intended to reach.

Speed: Information Must Be Updated Frequently:

A quick response creates the impression of control (Coombs, 1999). For example, the police chief’s Friday press conference could do little more than report the number injured and dead, and the facts of the case as they were known at that time. But because of the enormity of the event, people wanted to know. Investigators had not yet gained entrance to the shooter’s apartment and information about his background was not known. A major thoroughfare for people driving to work was closed to traffic because of the threat that the shooter’s apartment might explode. All those living in apartments close to his had been evacuated. Even when so little was known, the press conference needed to be held to explain what had happened and the status of the investigation.

In sum, the role of the spokesperson is fundamentally about human relations and the art of translating “just the facts” into a message of competence and care. Composure, speed, accuracy, and compassion are required. The spokesperson must control personal emotion while focusing on the facts of the matter and yet not sound cold or uncaring. Done well, PIOs project confidence and competence. They do so by managing their own emotions at the same time as they take the emotional pulse of their audience and adjust their manner and tone accordingly. Their work is more art than science and more about “human relations” than “just the facts.” This discussion has pointed up the centrality of emotion work and emotional labor in extreme service delivery, in crisis response and recovery. Like the Australian and New Zealand senior public servants whom I mentioned, first responders and agency spokespersons do this work, but it is not captured in their formal human resource systems. Emotion work skills should be included in the human resource function. It is to this subject that I want to turn to next. My interest is in line with the Thai government’s call for human capital skills development and training, especially for local government.

Human Resource Practices:

As I mentioned earlier, there is a mismatch between HR procedures/instruments and the actual work performed. As long as HR policies and procedures barely recognize emotion work, it remains ill-defined and dismissed as “good interpersonal skills” or “gets along well with others.” HR processes need to capture all the skills required in the workplace. Emotion work is not well understood in HRM, yet we know that those who employ relationship skills are patently familiar with the effort, knowledge, and skill that it takes to do this kind of work well. Emotional labor skills are the ghost in the room. When job candidates are interviewed, when the ability to work well in teams is required, when knowing how to work amid conflict is important, and when jobs have high burnout rates, no one mentions it. Recognizing the emotion management demands faced by employees allows managers to hire the most suitable candidates, train them to excel, evaluate their performance based on the actual skills they use, compensate them for doing so well, and mitigate the downside of its performance.

Most human resource departments have yet to integrate an appreciation for emotive

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skills into job descriptions, performance appraisals, training protocols, and reward systems. Long thought to be extraneous to work performance, if not deleterious, the Batman massacre case demonstrates how the emotive aspects of emergency response are threaded through all aspects of the work. How should emotional labor be reflected in human resource (HR) functions?

Job Analysis, Performance Appraisal, and Compensation:

The traditional HR focus on cognitive and manual labor has blinded analysts to emotional labor and the skills required. A comprehensive job analysis would reveal the emotive demands of the job, however, just as the Colorado case demonstrates. These work expectations should appear in the job description because it provides applicants with a more accurate picture of the skills required and provides the interviewer with the latitude to query an applicant’s emotive skill set. It also sets the groundwork for including emotion work on the performance appraisal and including it as a skill to be compensated and it provides a more accurate, comprehensive representation of the work performed (Mastracci, Newman, & Guy, 2006).

Applicant Selection:

Recruitment and selection of employees for jobs requiring high levels of emotion work begin with job descriptions that explicitly state the emotional demands. The selection process, then, focuses not only on applicants’ cognitive skills but also on their emotive skills. Interviews probe for applicants’ experience in handling emotionally intense job demands. This is one of the most critical steps for recruiting and promotion since selecting the right person with the right skills will prevent turnover of employees who cannot handle the stress of the job. For example, the Executive Director of an agency that serves crime victims says that when she interviews applicants, emotional self-awareness is an essential job skill:

I’m looking for self-awareness, self-management. We ask what strategies do you use to cope with stress and the answers are amazing. Some people think the answer is to tell us that they don’t have any stress. That that’s it. ‘Oh, I don’t get stressed.’ Impossible. . . . Self-awareness is huge. Self-management is huge. That’s at the top of my list (Mastracci, Guy, & Newman, 2012, p. 47).

Training and Development:

Workshops designed for new recruits should include training in how to display situationally appropriate emotions, especially when their own emotional response differs from that which is appropriate to display. This is why the experienced bomb squad officer said that he “encourage(s) people to talk and try to get some help and not be the tough guy and keep so many of those emotions inside.” The energy it takes to lock down one feeling (horror) while expressing another (calm self-confidence) must be dealt with. And training can be developed for employees, supervisors, and managers, so that they continue to sharpen their emotive skills. Role playing, scenario writing, simulations, case studies, and team discussions are useful methods. There is also preemptive training that can forestall or prevent the downside to emotion work. Alerting workers that it is normal to experience intense, lingering images of horrific scenes helps them to understand that their reaction is predictable, rather than being a sign of weakness.

Just as there are individual differences in employees’ abilities to perform emotion work, there are individual differences in peoples’ ability to imagine how it feels to experience an emotion of terror, or sadness, or elation, or satisfaction (Guy & McCarter, 1978). Thus, not all trainees will benefit to the same degree from this training. The assignment can be handled in steps. The first is to focus on the management of one’s own emotions. To do this,

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a role play can be developed by showing a video depicting a sudden, terrifying incident. This may be an excerpt from a movie or documentary or, simply listening to the audio between responders and dispatchers. Then trainees can be asked to imagine how they would feel if they were a participant in that event. Then, to practice the art of being a spokesperson, they can stand at a podium and explain what has happened, how it happened, and what the next steps will be in order to restore calm.

Many communities practice disaster drills that require coordination among service providers and involve people pretending to be victims. Debriefing after these drills should include an articulation of the responders’ emotive response as well as the usual articulation of procedures and protocols. This exercise calls upon several skills: the individual’s ability to identify his/her own feelings as well as the emotional state of the other while performing rescue; the ability to control those emotions and express a situation-appropriate emotion through body language and tone of voice; and the ability to sense the emotional state of the victim and respond in such a way that the victim is calmed.

Important to remember is that gender influences the type of emotional labor that is expected of workers. Both men and women perform it but the type of emotional expression differs. Women are expected to express nurturance while men are expected to express toughness. In training settings, it is not unusual for women to find it easier to talk about their emotions than men do. But because of the role that self-awareness plays, it is important for all trainees, regardless of gender, to learn to identify their own emotions and be able to talk about them. If they cannot identify their own, they will be unable to respond to others’.

Providing support to employees is also necessary. Emotion work can result in emotional exhaustion (Tolich, 1993; Wharton, 1993) as well as stress (Sharrad, 1992) and self-alienation (Ashforth & Humphrey, 1993). I’d like to speak about the outcomes of performing emotion work next and the implications for managing, training and development.

Outcomes of Performing Emotional Labor:

Why should senior public servants and academics care about the costs and benefits of emotion work? From multiple perspectives – employee wellness, quality of work life, performance, citizen trust, service outcomes – management has an important role to play ensuring that the emotive aspects of work are appreciated and acknowledged, that there are systems in place to reward its good performance, and that there are systems in place to address its downside. Our research makes it obvious that agencies should be screening, training, evaluating, and rewarding employees on the quality not just of their cognitive (technical) skills but also of their emotive (affective) skills and on their ability to mitigate overloads when the stress is too much.

Emotion work is not negative per se. Rather, empirical studies show that emotion work has both positive and negative outcomes. Accordingly, engagement and burnout may be viewed as opposite ends of a continuum in the relationship people establish with their jobs. We know from our research that the performance of emotion management increases job satisfaction and burnout. The coin comes with two sides. Emotion work produces benefits – a heightened sense of personal and professional accomplishment, a more productive interpersonal exchange, and a facility to achieve workplace goals. The downside to the “masks of impression management” is a tendency towards worker stress and burnout.

Workers can experience both positive and negative outcomes concurrently – exhilaration for a successful work episode on the one hand, and emotional exhaustion and depersonalization on the other. The men and women we interviewed demonstrated burnout in some aspects of their jobs and fulfillment in others. As a program manager with the

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International Organization for Migration told us, “it’s not an either/or; there is both an upside and a downside. It’s impossible to find people here who are immune to burnout. Everyone is affected” (personal communication, June 7, Port-au-Prince, Haiti).

Another interviewee, a director of a regional division in the Committee of Youth League in Shanghai, provides an illustration of the duality of emotion work. His responsibilities include frequent interactions with young people – dealing with troubled teenagers, motivating others to participate in events, and developing trust with his clientele. He states that he values his work and he can see how it is appreciated by others. “The working environment is rather positive and friendly. It is a happy scenario. However, the work is not as simple as it seems.” The job requires him to be patient and positive in his interactions with his charges. He needs to listen to them, hear their needs, and understand their concerns. He states that he feels “the stress of being professionally friendly to everyone. The stress does not only come from the relationship with clients but also from the relationship with colleagues” (personal interview with Jue Wang, February 2012).

Emotional exhaustion (individual stress), cynicism (negative reaction to others and the job), and ineffectiveness (negative self-evaluation) are the principal dimensions of burnout. At the other end of the continuum stands the positive state of engagement with work, with its three dimensions of energy, involvement, and efficacy. Its first dimension is energy, defined as a persistent, positive affective-motivational state of fulfillment that is characterized by vigor, dedication and absorption. A criminal investigator with the Illinois Department of Corrections provides an illustration:

I must be just emotionally drained; but by the same token, when we’ve done something really great here, nothing beats that feeling. You go home and it’s like, wow, I’ve really accomplished something.

A social worker at the Office of Public Guardian in Chicago, Illinois echoes this sentiment:

Once a month I do the death review. It’s my least favorite thing to do, literally, it’s an entire afternoon of hearing about one dead baby after another dead baby. I can say there’ve been plenty of times when I’ve thought I have to quit this job. This is making me nuts. But somehow I always come back. It makes a difference that I am there and that is worth it all, and how could I ever survive in a job where I’m making widgets.

Engagement is particularly related to job resources – job control, availability of feedback, and learning opportunities. Predictors of engagement and burnout are mirror images. Burnout, then, would occur when job control, lack of closure/feedback and opportunities to learn are absent.

Burnout is a critical occupational hazard for those in the helping professions (such as social work, teaching, health care, criminal justice, crisis response and emergency services). Burnout is an indication of the employees growing inability to adequately manage their emotions when interacting with clients. Burnout is an issue of primary concern in “high-touch” occupations, those that involve lots of face-to-face contact – in other words, those with heavy emotional labor demands. Today, more and more jobs can be characterized as high-touch and as requiring emotional labor. References to “soft skills,” “interpersonal skills,” or simply “people work” contain an admission that the job requires some kind of emotional labor.

This is illustrated by reference to an interviewee, an immigration officer at an inspection station in Shenzhen, China. This job entails heavy emotional labor demands. The officer needs to greet and serve hundreds of passengers each day. In addition to the technical

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aspects of the job (for example, ensuring the validity of travel documents), his job requires that he treat every passenger in a professional and friendly manner – irrespective of whether he feels like doing so or not. As he puts it: “our work used to be managing people…now it is serving people” (personal interview with Jue Wang, February 2012). Immigration officers need to stay calm when they encounter unexpected situations or rude and unruly passengers – all for the purposes of doing their job.

Burnout is increasingly costly in human and economic terms. In order to burn out, a person needs to have been on fire at one time. One of the greatest costs of burnout is the reduction of the effective service of the very best people in a given profession, and the resultant loss of productivity.

Emotional Exhaustion:

Emotional exhaustion is the main symptom of burnout and its most obvious manifestation. It refers to feeling overextended and depleted of one’s emotional and physical resources. Workers feel drained and unable to unwind and recover. They experience a general malaise that accompanies a paradoxical combination of weariness and sleep problems. Within the human services, the emotional demands of the work can exhaust a service provider’s capacity to be involved with, and responsive to, the needs of recipients. Moreover, workers who perform emotional labor under conditions of low job autonomy and high job involvement are more at risk of emotional exhaustion than others. This means that burnout is a serious risk in impossible jobs, such as in family services agencies in the U.S. where caseworkers have huge caseloads, little discretion, and service budgets that cannot possibly cover all needs.

Cynicism:

The second dimension is cynicism. People use cognitive distancing to protect themselves from repeated emotional demands that are overwhelming. They become cynical and, in colloquial terms, become crispy in that they are negative, callous, or excessively detached from their jobs. They are “absent on the job,” going through the motions in a detached, uncaring, even robotic manner. They depersonalize the citizens they work with, treating them as objects and they become mechanical in their discussions with coworkers. Such “hardening” and “deadening” is expressed as becoming numb to the repeated adrenalin “highs” that accompany so much of high-stakes people work.

Ineffectiveness:

Ineffectiveness is the third dimension of burnout and is the tendency to evaluate one’s work negatively. The belief that one is no longer able to achieve one’s goals is accompanied by feelings of inefficiency, poor professional self-esteem, and a growing sense of inadequacy. For many public service workers who spend each day working with citizens who are in dire need, they may feel that no matter how hard they try and what actions they take, they will not have a lasting impact. This causes a discouraging sense of fatalism. And seeing so much need and deprivation on a daily basis can make it difficult to maintain a professional “edge” and psychic balance.

Our fieldwork in the US provides a window into these dynamics. For any one of us who has ever felt apathetic towards their government, spending time at the Chicago Office of Public Guardian (OPG) or a similar human service agency provides a powerful antidote. This can be better illustrated than explained by the vignettes that follow.

For people in human service professions, helping others gives a sense of meaning to life; not being able to help is most stressful. The vicarious involvement in clients’ lives can

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produce over-identification, unrealistic expectations, and finally a painful letdown. Over-involvement can also upset the delicate balance of “detached concern” and cause a loss of objectivity. An attorney at the OPG provides an illustration (Guy, Newman & Mastracci 2008, p. 32-33):

One of my sex abuse clients…she’s been raped by her father for seven, eight years. She got a full scholarship to the university – she’s been my client for eight years and she called me in May because she’s come back after her sophomore year pregnant and, you know, I hung up the phone and just sobbed and thought, of all the things that are going on in her life and I thought we were on track and that things are better and I realized how emotionally attached I am to her.

The absence of concrete evidence of success causes feelings of insignificance, disillusionment, and helplessness, which are the hallmarks of burnout. For many of our respondents, irrespective of their particular job, there was a feeling that no matter how hard they tried, they could not have a lasting impact on the lives of their clients. This sense of fatalism is expressed by an attorney as he describes the state of a co-worker (Guy, Newman & Mastracci 2008, p. 32):

We can’t control what happens to our clients…He’s being tortured by this job – he feels out of control – that whatever he does, he can’t help these kids…The outlooks for our clients are mostly bleak…Ninety-nine percent of what we do has been done before.

Law enforcement provides a fertile ground for examining the management of emotions on the job. Burnout among correctional staff is legion. The dangerous working conditions and the lack of support from the public or the system combine to produce enormous emotional labor demands upon these workers. Emotion management is the modus operandi for correctional workers. Not being able to “set it down” takes its toll (Guy, Newman & Mastracci 2008, p. 30):

Our jobs are far more difficult emotionally because you have to overcome your own feelings and their feelings and try to make something happen at the same time…One thing I do really stress for myself is not flying off the handle, but remaining calm and that takes a great deal sometimes out of me. Sometimes I go home at night and I’m just exhausted because I’ve had to be professional when I sometimes would like very much not to be…All that tension just goes right into you. And it’s like you carry it around with you. Because I’m not allowed to shout, scream, yell, carry on like a fool, it just kinda goes around with you.

When physical distancing is impossible, correctional staff use emotional withdrawal – time outs – as a respite from the stressors of their work. Negative “absence behavior” and “time abuse,” such as taking longer breaks, calling in sick, spending more time on paperwork, leaving work early, and tardiness, are all examples of withdrawal by means of spending less time with clients. An employee of the Illinois Department of Corrections provides an example (Guy, Newman & Mastracci 2008, p. 34-35):

This staff member has called in sick all week. She is always giving me excuses on why she can’t be on her unit at the time she’s supposed to be there…there’s an issue that I have with staff and that issue is the use of time…I mean they’re calling in at the last minute – just won’t come to work…[Discussing another worker:] He’s never here. He’s always calling in. He’s always trying to find a way to get off from work…The counselors that give me the biggest problems are those that don’t come to work.

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Implications for Practice:

Emotion work is “real” work. The voices heard here lead us to the primary practical implication, namely that emotional labor must be recognized, acknowledged, and compensated. Selection mechanisms that capture the goodness of fit between job demands and worker characteristics, the development of more accurate and complete job descriptions, and meaningful performance evaluation procedures for human service workers are necessary first steps. A second implication is to respond to the evidence that emotional labor has both positive and negative outcomes. A focus on both engagement and burnout can lead to workplace interventions that aim to increase worker energy, involvement, and efficiency, and alleviate emotional exhaustion, cynicism, and ineffectiveness. Job autonomy represents a key point of intervention. Autonomy and control over one’s work and hence over the expression of “display rules” becomes a crucial factor in determining which outcome is likely to prevail. What are the techniques that serve to loosen the “pressure valve” after emotionally intense work?

Ameliorative Measures:

There are several mechanisms that have been used successfully by first responders. These involve procedures designed to mitigate the effects of post-traumatic stress and vicarious trauma.

Critical incident debriefings. Openness and self-awareness are the best antidotes to vicarious trauma and burnout. Critical incident debriefings are used by firefighters and police officers as a means to process an event that “went wrong,” meaning the scene lingers in workers’ minds and the outcome was traumatic for all involved. Debriefings are discussion forums in which teammates meet as a group, usually facilitated by someone skilled in overcoming post-traumatic stress. The meeting is an opportunity to talk about what happened, how they feel about it, and what went right or wrong. It is also an opportunity to treat the outcome as a learning opportunity where those involved can process what went wrong and develop a plan for handling such a situation in the future. It is a cognitive exercise as well as an emotive one. This provides workers with a forward perspective that benefits from past experience. It also addresses any finger-pointing that may be going on among those involved. In the case of the midnight movie massacre, such debriefings help police and rescuers to process what they saw and how they felt as they rushed to help victims or as they stood helplessly by, unable to assist.

Time out. Another technique that can be helpful when a crisis is protracted is to relieve workers from the work station from time to time, which allows them to remove themselves temporarily from the emotional demands. Relieving one another provides an opportunity to establish a shared sense of responsibility as well as a respite. In the case of the dispatchers who could not free themselves from the intensity of the calls, the time out came after the event was over. They were taken off the dispatch console and assigned to routine tasks for a few days, until they are ready to face emergency calls again.

Job redesign. For positions that are frequently called upon to respond and perform in the midst of a crisis, it can be helpful to redesign the position so that the burden is shared with others. This allows the worker to keep in touch with other aspects of the organization not affected by the crisis. And, it brings another worker into the position who will have shared experiences. The goal is to relieve emotional pressure on workers. One way of doing this is to rotate responsibilities so that the individual alternates between work that is intensely involved with citizens and administrative work that removes the worker from the emotive demands of daily face to face contact. For example, at a prison in Illinois, correctional officers and counselors routinely divide their time between interacting with offenders in the housing units,

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and performing administrative tasks in offices in a different building. Administrators can also reduce demands on workers by varying the work load. They can structure “time-outs” that enable workers to temporarily escape from usual job demands, giving them a change of pace during which they “recharge their batteries.”

Self-care plan. Another tool is to require workers to develop self-care plans, an annual document that the worker updates at performance appraisal time and discusses with the supervisor. It contains the worker’s personal goals that are important to them and are achievable within the year. Goals include anything of personal importance (e.g., quitting smoking) that the worker wishes to achieve in the upcoming year. The notion behind these is that the plan forces the worker to acknowledge their wholeness and their life outside of work. It helps to remind the worker that there is always “an escape plan” whereby their attention is drawn to a constructive part of their life that is removed from their daily worklife. This is a tool used by some of the victim assistance workers as a means for preventing themselves from becoming too absorbed in the misfortunes of victims (Mastracci, Guy, and Newman, 2012).

In sum, there are HR techniques that can be used to enhance responders’ and crisis communicators’ emotive skills. These include accurate job descriptions that delineate required emotive tasks as well as the cognitive tasks; selection procedures that query applicants’ emotive skills; training that develops emotive skills; and performance appraisal and compensation schemes that include acknowledgment of emotive skills. There are also HR techniques that can celebrate the upside of performing emotional labor while avoiding (or minimizing) its downside.

I have used the case of the Batman massacre as a case in point to demonstrate the emotive aspects of crisis response. Focusing not only on police, emergency medical personnel, and victim assistance counselors, but also public spokespersons, the discussion explains how emotion management is an important part of the job. Responders must manage their own emotions as well as the emotions of those affected by the event.

Disastrous events are frighteningly common. Hurricanes, tornadoes, tsunamis, floods, wildfires, and cyber terrorism affect communities, as do mass murders. Whether the crisis is human- or nature-made, the more sensitive that responders are to the emotive component of the job, the better served the community is as it recuperates and finds its “new” normal.

There are ways to prepare responders for emotionally intense work. First, the selection of personnel who have good emotive skills is important. Second, training that helps workers hone these skills is important. And third, there are developmental activities that can help workers cope with the downside of performing emotionally intense work. Emotion work produces benefits, including a heightened sense of personal and professional accomplishment, a more productive interpersonal exchange, and a facility to achieve workplace goals. The downside to the “masks of impression management” is a tendency towards worker stress and burnout. Mitigation and recovery efforts rely on having the right people with the right skills – including emotive skills – in place to respond.

To conclude, I began my presentation with a personal (emotional) expression – of appreciation to President Yavaprabhas and the Public Administration Association of Thailand for their kind invitation to participate in this prestigious international gathering. I focused my presentation on the significance of public administration in disaster preparedness and crisis management by making three points: first, the importance of a strong public sector to development, with an emphasis on human capital; second, the emotive skills in service delivery; and third, the centrality of emotional labor in crisis management. I drew upon my on-going research with my colleagues Professors Mary Guy and Sharon Mastracci into the

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concept of emotional labor – what it is (which is the focus of our first book), and how it is performed –in times of crisis (our second book). I illustrated the theoretical aspects of this work by reading a passage from “Working on the Razor’s Edge” of responding to a tragic vehicular accident, and expanded the discussion by exploring the horrific Batman massacre in Colorado. This is not to suggest that emotion work only comes into play in times of disaster and crises. As I mentioned previously, almost three-quarters of public sector jobs involve the performance of emotional labor. My own job as a university administrator is no exception. Your job is probably not either. If you weren’t familiar with the term “emotional labor” before my remarks, you now have a name to attach to the emotional demands of your job, including interacting with your agency clients and with your co-workers, and a sense of the emotive skills that are at the heart of public service. I chose to focus on the development of human capital in the public sector because I believe that a highly trained public service is the best means to implement the current administration reforms taking place, and represents the foundation of a state’s capacity to prepare for, respond to, and recover from crises – not only in Thailand but elsewhere.

Whether public servants come in contact with citizens over a reception desk, at the tax assessor’s office, at a zoning hearing, or in a crisis – in Bangkok, Port-au-Prince, Beijing, Melbourne, or Miami – emotional labor will be required. While the upside to emotion work is more prevalent, there is a downside. All public servants would do well to have at their disposal self-care plans and critical incident stress management in some form.

The implications for emotional labor in public service are thus: Through selective recruitment of applicants who are technically skilled and emotionally self-aware, the workforce is better equipped to deliver public services and to proactively address the “challenges and prospects in ASEAN and beyond.” Training and development that targets worker knowledge about emotional labor and the feelings that are normal in such work will advance the performance of emotion work and proactively reduce its downside. Emotional labor is a skill. It can be learned and developed. For those working in academia, you may consider including coverage of emotional labor and emotive skills in your curricula. Emotion work fits comfortably into courses that focus on interpersonal relations, as well as overview courses that describe the nature of public service work. These include introductory courses such as “The Profession of Public Service,” “Introduction to Public Administration,” “Leadership in Public Service,” and similar subjects. Courses that focus on organizational dynamics include “Organization Development,” “Administrative Theory,” “Human Resource Management, “Managing People, “Public Management,” and so forth. For a discussion on how to teach emotional labor, in terms of both content and style, see Mastracci, Newman & Guy (2010). For those of you who are practitioners – directors and managers – you can provide training that can improve workers’ job performance and mitigate the negative effects of emotional labor on their lives outside of work. This is possible – whether or not you work on the razor’s edge or manage or teach those who do. Endnotes [1] The fire dispatch audio can be accessed at http://www.youtube.com/watch?v=iZRNEHSZkYc&feature=related; the police dispatch audio can be accessed at http://www.youtube.com/watch?v=eFuNDOQ3b-0&feature=relmfu) References Ashforth, B. and Humphrey, R. 1993. Emotional labor in service roles: The influence of identity. Academy of Management Review, 18(1): 88-115.

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Full Paper

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Public Reform in Japan

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New Personnel Administration and Local Government Employees in Japan: How to Keep High Morale

1 Jun Matsunami,

Kobe University, Kobe, Japan

E-mail: [email protected]

Abstract

Facing new challenges, Japanese local governments have introduced new personnel administration. Some of them introduced personnel evaluation system, while others introduced examination for promotion. The Five City Civil Servants Survey in Osaka Prefecture, which we did in 2010, revealed that not all local government employees accepted these reforms.

New personnel administration may improve morale of some officers by promoting them faster and paying more to them. However, the total productivity may decrease because the reform may demoralize and decrease trust among government employees.

Introduction

Japanese local governments face new challenges in personnel administration. In the 1960s and the 1970s, the challenges were to recruit good university graduates for new public services. Welfare services to the elderly, disabled and children were expanded, while regulation on pollution became a big issue. If local populations increased, city halls had to build new school facilities, had to expand water supply capacity and sewage systems. Public transportation had to be changed to adjust new demands from citizens. To adapt to the new environment, city halls recruited new civil servants with university level education.

After the bubble economy burst in the 1990s, local governments have had to change themselves to the new situations. They have not been able to expand welfare services any more, or they have had to choose which services should be kept while which services should stop. Japan’s population has started to decrease, even in urbanized areas. Utilities built 30 or 40 years now have to be renovated.

Challenges of personnel administration have changed, too. Those who were recruited 40 years ago are now retiring as the Japanese retirement age is between 60 and 65 years old (we are now in the process of delaying the retirement age). Twenty years ago, when the baby boomers were middle aged, how to choose the best and

brightest civil servants for promotion, and how to keep morale high for the others were the topics of personnel administration. Now they are retiring.

There are other challenges. Criticism against bureaucracy always exists in Japan, just like the rest of the world. However, ever increasing competition in the private sector has made the criticism harsher. The public sector has to reply to the people who claim that civil servants are promoted regardless of their capacity, and their salaries are increased even when their performances are bad. Some cities introduced a unit chief examination or director examination and argue that they are promoting those who show their capacity. Other cities introduced personnel evaluations to make promotion (and salary raises, in some cases) evaluation based.

This paper examines what is happening in Japanese local government personnel administration and how local government employees themselves understand the new personnel administration. The paper argues that there are merits as well as demerits in the new personnel administration, and we need to handle it carefully if we really want to improve public service with new personnel administration tools. This is the first step to know if the new personnel administration is really working or not.

New Personnel Administration in

Japanese Local Governments

Personnel Evaluation System Why does a director become a director in a local government? In some countries, those who believe themselves qualified for the position apply for an opening; and from the applicants the best candidate should be selected. In other countries, from those who are already in the local government, the best candidate should be selected and promoted internally to a directorship. Japan is one of the latter, the so-called closed labor market countries.

The internal selection can be done by exams, qualifications, interviews, job experience or a combination of these. Some selections are more transparent, while others are more closed. When the criteria of the selection procedure are not so clear, we use the metaphor of a black box to refer to the

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procedure and the personnel section.

In the public sector, it is said that there are many offices where simple and clear criteria for promotion, which may exist in the private sector, cannot be found. A salesman who sells a lot is a good worker, but what kind of city hall officer is a good officer? Because of these problems, promotions in Japanese local governments have been decided by the job experience and the judgments by the bosses, but we always wonder if there is any better personnel administration.

Kobori (2007) argues that the personnel evaluation system which many Japanese local governments are now introducing has several aims. It makes the process of evaluation more transparent. Some local governments want to introduce it to cut personnel cost. He also points out that local governments followed what the private sector did after the 1990s. To cut personnel cost and to improve productivity, companies reorganized their personnel systems to a more result-oriented system. Pay and promotions should be decided by the results of one fixed term for each employee. The public sector is following what the private sector has done for the past twenty years. We can also say that the personnel evaluation system is one of NPM reforms.

It is important that still we continue the debates on the results-oriented personnel system in the private sector. Some pointed out that it improved productivity in a short period and Japanese companies regained competitiveness. Others criticized that it failed to keep employee morale high and thus damaged net productivity in the long run. Senior workers no longer want to give advice to younger workers because they are in competition. Skills that need a long period to learn will not be passed to the next generation, since the new personnel system demands that workers have had results in the previous year (or half year).

Therefore, Kobori (2007) pointed out that there were two types of personnel evaluation systems which local governments introduced. They were “treatment management type” and “human capital development type”.

The first one, the “treatment management type” personnel evaluation system aims to use personnel evaluation as a tool of management. For example, managers (deputy directors or above) have to be evaluated every year at Neyagawa city. The final evaluation is five steps (S 5%-A 20%-B 55%-C 15%-D 5%), and if a manager receives a D, his/ her salary will be cut and the annual pay increase will be affected (Neyagawa City 2012). Thus, it can control and decrease the total human cost. It can exclude those government employees whose evaluations are very poor.

The second one, the “human capital

development type” personnel evaluation system aims to develop each public employee’s capacity. It aims to find the positive or strong aspects of each government employee, rather than their negative or weak aspects. Figure 1 is an example of the Evaluation Sheet of Kishiwada City. Here, officers can chose two areas of evaluation from the six areas, thus express in which aspects of work they have confidence in (Kishiwada City 2006).

Figure 1 Evaluation Sheet (Kishiwada City) (Kishiwada City 2006:21) Examinations to promote managers Those who introduced the examination system argued that it is fair and transparent as evaluation. They also pointed out that not only the officers who pass the examinations, but all officers who took examinations increased their knowledge and deepened their understanding by preparing for examinations. However, there are always criticisms against examinations. Many wonder if we can estimate the needed capacity for managers by paper exams. Is an officer who knows a little bit more than his colleagues about the local government law, economics or contemporary urban problems really a good manager? Others point out that those who devote all of their energy to solve the most difficult problems the government faces cannot prepare for the exams, while those who do not have difficult

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tasks and who reserve their energy can study for exams and can gain good marks. They argue that exam-based selection is biased to those who were good in schools, but they are not always good as practitioners. Therefore, not all local governments have introduced examinations to promote managers yet, and those local governments which already introduced the exam usually have other promotion routes for those who work hard but are not able to pass exams. Kishiwada and Neyagawa Here we will describe two cities where we did survey research in 2010. Kishiwada City Kishiwada City is located in the southern part of Osaka Prefecture, near Kansai International Airport. Its population is 199,172 (2010 Census). Historically it was a castle town and from the 19th century it was an industrial city of cotton textiles. In recent years its main industry has shifted to the production of other textiles and machinery. It is a commuter town city for Osaka and Sakai and famous for its festival in September. In 2003 Kishiwada City started its personnel evaluation and from 2006, the personnel evaluation system has been fully used. Kishiwada became famous for introducing the “human capital development type” personnel evaluation system. Neyagawa City Neyagawa City (Population 238,244 (2010 Census)) is famous for many manufacturing companies having their factories in the city. Most famously, Panasonic has its headquarters in Kadoma City (one of the neighboring cities of Neyagawa City), and Sanyo Electric has its headquarters in Moriguchi City (another neighboring city of Neyagawa City). Neyagawa City itself has many parts suppliers to these companies. It is located between Osaka and Kyoto, which means that Neyagawa is also a commuter town. As a part of its administrative reform, Neyagawa City introduced director examinations in 1998. In 1999, it introduced section chief examinations. In the same year, the voters of Neyagawa chose Yoshihiro Baba as their new mayor. It can be said that the newly elected mayor accelerated the personnel administration reform. After the election, Baba made an autonomy management room to implement reform. Its head (director) was Naotsugu Nishiwaki, who worked for Sanyo until retiring. Under his leadership, Neyagawa City tried to introduce private sector-like management. In 2001, Neyagawa City introduced the personnel evaluation system for managers (deputy director or above). In 2006, the personnel evaluation

system expanded to all of its employees as an experiment, and in 2010, finally the personnel evaluation system was fully implemented.

Survey Results and Discussions Five City Civil Servants Survey in Osaka Prefecture Following is the summary of the five city civil servants survey in Osaka Prefecture in 2010 (for more information on this survey, see Matsunami (2012)). We added some questions on personnel administration when we did the surveys in Kishiwada City and Neyagawa City. This paper will use mainly the added questions to the two city civil servants. Table 1 Five City Civil Servants Survey in Osaka Prefecture (Matsunami (2012))

Personnel Evaluation System First of all, we find that Kishiwada city officers gave us more positive replies on the personnel evaluation system. Figure 2-Figure 4 show that, Kishiwada officers had more trust in the personnel evaluation system. They believed that it could improve their morale and motivation (Figure 2). They argued that it could improve human capital and organizational power (Figure 3). They even demanded that results of personnel evaluations should be used more in promotion and placement (Figure 4).

Population （ 2010 Census）

Area（ 2010 km2）

City Employees

Collected (%)

City

Kishiwada 199,172 72.32 511 354 (69.3%)

Ikeda 104,171 22.09 311 180 (57.9%)

Izumiotsu 77,564 13.26 221 149 (67.4%)

Kaizuka 90,531 43.99 327 237 (72.5%)

Neyagawa 238,244 24.73 650 274 (42.1%)

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Figure 2 The personnel evaluation system can improve civil servants’ morale and motivation

Figure 3 The personnel evaluation system can improve human capital and organizational power

Figure 4 The results of personnel evaluation system should be used more in promotion and placement We should note that in the same year, 2010, and the following year, 2011, local government trade unions of Neyagawa City negotiated with the city on the personnel evaluation system. One trade union demanded the abolishment of the personnel evaluation system itself, while the other trade union asked not to link its result and pay. However, the city hall refused their demands. (http://www.city.neyagawa.osaka.jp/index/soshiki/jinji/kouseitantou/danntaikousyou.html) Negative replies from Neyagawa City employees can be explained by their fear and distrust of its personnel administration, particularly to the newly introduced

personnel evaluation system. Examinations We also asked Kishiwada and Neyagawa city employees their opinions about manager examinations. The most interesting fact on this question is that Kishiwada City had not yet introduced examinations for director or section chief, but its employees argued that it could make personnel administration fair (Figure 5). It may be explained that there were some officers who believed that they were better in examinations thus they could be promoted faster if the city hall introduced it.

Figure 5 Examination to promote managers can make personnel administration fairer

Conclusion It should be noted that the arguments of this paper are based on a survey in two cities. We should be careful to draw a general statement on Japanese local government personnel administration from this survey only. Nonetheless, what we found is important because it showed that reforms were not welcomed by all local government employees. Particularly in Neyagawa City, where a more NPM-oriented reform was introduced, the ratio of negative replies in the survey was larger.

Of course, all reforms can meet resistance from those who benefit from the current system. However, if a reform can demoralize and decrease trust among government employees, we should be more careful in the whole picture. Even if we could improve morale of some officers by promoting them faster and paying more to them, if their faster promotions and higher salaries delay others’ promotions and cut their salaries, the total productivity may decrease. Since Financial Year 2001, the Japanese Ministry of Internal Affairs and Communication (MIC) has published standardized financial reports (Settlement Cards) of all local governments (http://www.soumu.go.jp/iken/zaisei/card.html). According to that data, Neyagawa City successfully

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decreased its personnel cost from 29.6% (of its FY2001 expenditure) to 17.8% (FY2010 expenditure). If we check the ratio of the personnel expenditure to the standardized local government budget, the decrease was from 38.6% to 26.5%. In Kishiwada City, the decrease was from 24.2% to 17.1% and the ratio of the personnel expenditure to the standardized local government budget changed from 34.9% to 25.0%. From these data we can understand Neyagawa City did a more drastic reform, but we cannot know how the reform affected their employees as MIC data is one page for one financial year.

Acknowledgement This paper is a product of the Japanese Ministry of Education, Culture, Sports, Science and Technology (MEXT) Grant-in-Aid for Scientific Research (C) 21530119 (2009-11). We, the research group, are very thankful to the two former mayors who allowed us to interview them for long hours. We are also very thankful to five city halls in Osaka Prefecture who allowed surveys and hearings to the officials. I personally would like to thank other research group members who prepared surveys and gave comments to my earlier draft.

References

Kishiwada City (2006), “Jinji Koka Seid Katsuyo Manuaru” (Personnel evaluation system manual) http://www.city.kishiwada.osaka.jp/uploaded/attachment/726.pdf Kobori, Yoshiyasu (2007), Gyakutenn Hasso no Jinji Hyoka, (Upside down Personnel Evaluation System), Gyosei Matsunami, Jun (2012), “Long-serving mayors: An alternative leadership?” (2012 IASIA Annual Conference: 16-21 July 2012, Bangkok) Neyagawa City (2012), “Jinji Hyoka Seido ni Kansuru Jisshi Yoryo” (Personnel evaluation system implementation manual)http://www.city.neyagawa.osaka.jp/var/rev0/0028/4693/rijidairiyouryou24_.pdf

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How National -Level Deregulation Affects Local Government Behaviour: A Case Study of Urban Transport Policy in Japan

Junya TAKAMATSU,

Meijo University Faculty of Law, Nagoya, Japan


Abstract

The aim of this paper is to examine the issues related to delivering public transport services in rural areas. In recent decades, local authorities have faced various changes to both administrative institutions and socio-economic circumstances. As part of the New Right policy in the 1980s, the Japanese government introduced a market-based regulatory and subsidiary framework into the public transport policy area. These changes include deregulation of railway business licensing and subsidy framework. Furthermore, changing socio-economic circumstances, such as aging society and decreasing population in rural areas gave difficult conditions for keeping public transport. These changes in public transportation policy and markets have resulted in a decrease among local lines. From a rational perspective, a loss-incurring railway line should be closed and converted into bus services. In fact, according to the MLIT, 33 lines totalling 634.6 km of railway were abolished after the deregulation process. However, we can also find that some railway lines have survived, even after a former operator abandoned its loss-incurring railway. The purpose of this paper is to investigate factors that can rescue these railway lines from abolition. As such, this paper focuses on the process of negotiation among local governments, private companies, citizens and prefectural governments to keep public transport in place.

Introduction

The aim of this paper is to examine the issues related to delivering public transport services in rural areas. In recent decades, local authorities have faced various changes to both administrative institutions and socio-economic circumstances. As part of the New Right policy in the 1980s, the Japanese government introduced a market-based regulatory and subsidiary framework into the public transport policy area. First, the Japanese government deregulated railway business licensing. The government had previously introduced the strict Approval and Licensing System for public transportation, which was enforced until the 1980s. Companies were severely regulated with respect to both entry into and withdrawal from the public transport market. In the case of withdrawal, for instance, abolishing a loss-incurring railway line had

not been easy for railway companies, since consensus amongst all local authorities along the line was one of the legal requirements for doing so. This framework was deregulated in the 1980s, signalling greater respect from the government for the management decisions of private companies.

Second, the central government’s subsidy framework for sustaining public transport was also changed. Until that point, subsidies were granted to offset the operating losses of local railway companies. However, this institution has since changed into subsidies for investment into railway equipment. This means that a railway company should invest its money if it wishes to maintain its business.

In addition to changes within administrative institutions, local authorities have also faced sociological and economic changes, especially in rural areas of Japan. Most rural areas have seen a decrease in population, especially among the young generation, who prefer to leave for a metropolitan area such as Tokyo; this is partly because it is difficult for young people to find a job in rural areas. These circumstances affect the public transportation market, including railway and bus services. Residents in these areas tend to use their own cars instead of public transportation, since private cars are seen as more convenient than public transport, which runs with low frequency and has high fares. As a result, transportation companies cut their services due to low numbers of passengers, which in turn leads residents to use private cars; this becomes a vicious cycle. Finally, a transport company will choose to close the railway line itself.

These changes in public transportation policy and markets have resulted in a decrease among local lines. From a rational perspective, a loss-incurring railway line should be closed and converted into bus services. In fact, according to the Ministry of Land, Infrastructure, Transport and Tourism (MILT), 33 lines totalling 634.6 km of railway were abolished after the deregulation process.

However, we can also find that some railway lines have survived, even after a former operator abandoned its loss-incurring railway. This may be because a public authority must pay attention to demand for public transport from elderly people or high school students who cannot drive a private car and need a public alternative. The purpose of this paper is to investigate factors that can rescue these railway lines from abolition. As such, this paper focuses on the process of negotiation among local

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governments, private companies, citizens and prefectural governments to keep public transport in place.

This paper consists of the following four

sections: first, it will describe the above-mentioned public transportation policy framework in Japan in detail. Second, by exploring the case of Toyama city, well-known as a front-runner of public transportation reform in rural areas, we will find various factors to keep public transportation alive in the region. Third, two case studies will be investigated in order to illustrate the differences between successful and unsuccessful political processes for maintaining rural railway lines. Finally, as a conclusion, this paper reveals that it is local governments, not the central or prefecture government or private companies, that have the responsibility to preserve public transport. Public Transport Policy Framework in Japan

This section describes the change in regulatory and subsidy framework for railways in Japan before and after the implementation of neo-liberal policies. This change would also come to affect the behaviour of actors described in the following section. In the 1980s, as in many other western countries such as the UK and the USA, the Liberal Democratic Party, which ruled in Japan from 1955 to 2009, began a series of New Right policies including privatisation, deregulation and public administration reform. Due to length constraints, this paper will not review this policy as a whole; rather, this section focuses on the two main policy factors, regulatory framework and subsidies for rural railways. Regulatory Framework

Since rail is a natural-monopoly industry, a central government will often introduce various regulations in order to stabilise the market, such as for licences, fares and safety. Specifically, this section will discuss licensing policy in Japan. Within the railway industry, the government would issue a licence for operating each line to a railway company; this policy was introduced to adjust for supply and demand, and to supervise and guide the companies in question. The government would grant the licence to only one company for the entry of a railway business.

The government also imposed regulations regarding line closures. Because of the highly public nature of rail services, the government would not simply permit a company to abolish a line, even if it had incurred a huge loss. These regulatory frameworks meant that the government imposed an obligation upon a railway company to supply services in exchange for a regional monopoly. Under this policy, a local authority was a veto

player who could reject a proposal from a railway company for the closure of a loss-incurring line.

This regulatory framework began to be eased during the process of reforming the Japan National Railway (JNR). In the process of JNR privatisation, the policy concerning local lines changed. In the past, the government had been inclined not to close loss-incurring lines because of political pressure from MPs and local governments against these closures. Various literature including works by academics, journalists and former JNR personnel (Kakumoto 1989, Kasai 2003, Kusano 1989) point out that constructing and keeping loss-incurring lines was part of the reason for the JNR’s collapse.

JNR privatisation in 1986 changed the structure of transportation policy in Japan. The Railway Business Act prescribed the regulation of the railway business in Japan. This policy was enacted in order to unify the legislation relevant to railway companies, such as the Japanese National Railways Act and the Local Railway Act. In 1999, this act was revised to ease regulation. Prior to this, in December 1996, the Ministry of Transport resolved to ease regulation with respect to entering and withdrawing from the market in the field of public transportation, including railways, civil aviation, taxis and buses. For the purpose of proceeding with this deregulation, the Minister of Transport consulted the Council for Transport Policy to propose a new regulatory framework. The council responded as follows (Un’yu Seisaku Shingikai Tetsudo Bukai 1998): first, entry into the rail services market would be changed to an approval system for each line. Those who wished to begin operation of a line could easily enter into the railway business, as long they met minimum standards regarding passenger safety and conductors’ licences. Moreover, in order to promote competition, the government encouraged new entries into the railway business to employ various configurations. For example, the ministry introduced a new licensing scheme that would allow a company to use other companies’ railway infrastructure.

Second, line closure policy was also changed from the conventional permission system into the prior notification system. According to this system, a railway company that has decided to abolish a railway line is required to ask for opinions about the line closure from local governments and residents along its line. After a public hearing, the company can submit a notification of line closure to the MLIT a year before the planned closure. This means that the closing process should take up to one year. The local authorities concerned can thus support and maintain the railway financially if they wish to keep it, or accept the closure and convert the railway line into another mode of transportation thought to be more suitable, such as a bus line.

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Government Subsidies to Railway Companies In general, public transport, not only in the

form of railways but also buses, receives subsidies from various levels of public institutions, such as national or prefectural governments and local authorities. These subsidies include revenue grants, investment subsidies, fare adjustments and tax exemptions. In Europe, central and local governments subsidise operation costs regardless of loss or profit in the railway business (Docherty 1999, Glaister et al 2006, Headicar 2009, Utsunomiya 2012). This is because they believe that public transport cannot exist without public financial support. In contrast, in Japan, business conditions determine whether public bodies offer subsidies to a transportation company; this stems from the idea that a transportation company should first run its business without public funds. This idea, known as the ‘self-support system’, has been a major guiding principle for public transport in Japan.

In Japan, there are two kinds of subsidies from the central government to an existing railway line. On the one hand, the government provides a revenue grant to offset a train operator’s operation deficit. On the other hand, the government subsidises the construction or modification of the railway infrastructure. The focus of the MLIT’s subsidy framework for local railways changed from revenue grants to assistance for infrastructure development in the 1990’s.

The revenue grant system would assist with the amount of loss to a company that operated a socially required but loss-incurring line. The revenue grant system is a common system employed to assist a railway company that has fallen into financial difficulties. Within this system, the central government and a local authority would grant an amount equal to the operational loss; the central government abolished this system in 1997. Subsequently, local authorities introduced their own framework.

Subsidies for the modernisation of a railway infrastructure are designed to support a company’s capital investment, and are an effective way to achieve notable improvements in service and safety. The central government and a local authority provide 20% of the amount of investment in principle, and the railway company is responsible for the rest. From 2005, the central government imposed the condition that in order to receive a subsidy for an investment, a statutory council, which comprises a train operator, a local authority and residents, may draw up a five-year plan to increase the number of passengers and improve the line’s operational income. This scheme must receive the authorisation of the MLIT. If the Ministry were to authorise a scheme, the government would increase their subsidy to 30% of the total investment.

By changing regulatory and subsidiary frameworks in the local railway policy area, the central government shifted its priority from the survival of existing loss-incurring railway lines to the promotion of infrastructural investment. This can be interpreted as having strengthened the ‘self-support system’ mentioned above. If a company decides to relinquish a railway line, the company can withdraw from the market without the possibility of a veto from public entities. These policy changes indicate that the government decided to respect the management decisions taken by private companies. This change is consistent with the idea of New Right policy, which values market competition. It is not the central government or private companies but local authorities along a railway line that are responsible for the supply of local public transportation. When a railway line faces difficulties in continuing its business, the relevant local authority needs to decide whether to involve itself in the operation of the railway company, or accept the line’s closure. The Case of Toyama City: Front-Runner of Public Transport Reform

This section reviews the case of local transportation policy by Toyama City. Toyama City, with a population of about 416,000, is the capital city of Toyama Prefecture. The city, located on the Sea of Japan coast, lies about 255 km north-west of Tokyo. As with other cities in rural areas, it faces an aging population and a private car-based society. In recent years, researchers and practitioners interested in public transport policy have been paying close attention to this city (Doi 2005a, Doi 2005b, Miyama et al. 2007, Moriguchi 2011, Utsunomiya 2012), because it has demonstrated various challenges to a public transportation system in a city centre. This paper argues that the experience of Toyama provides a range of conditions necessary to preserve public transport in rural areas.

In 2006, Toyama Light Rail Co. Ltd, a third-sector company established mainly by the Toyama City government, took over the Toyamako Line, which had been operated by JR West; the line was then converted into LRT (Light Rail Transit). LRT is a system of urban public transport that is, in terms of capacity of passengers and train speed, an intermediate system between a heavy or underground railway and traditional tram. Following this conversion, the company improved its services. For instance, the company increased the frequency of trains from two per hour to between four and six per hour, and the number of total trains per day nearly tripled. Prior to the introduction of LRT for this line, about 1,700 passengers were using the line on weekdays. Under Toyama Light Rail ownership, however, the usage of the line increased: 12,750 people used the line on its first day of operation. By November 9, 2006, one million passengers had used

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the line (Toyama City 2006). Thus, it can be said that this policy by Toyama City was successful.

This case demonstrates several factors that are essential for a discussion of public transportation reform. As a successful case of local transportation reform, Toyama is often examined by local authorities, journalists and academics (Doi 2005a, Doi 2005b, Miyama et al. 2007, Moriguchi 2011, Utsunomiya 2012). Their research shows that the main aspects of this successful reform are divided into three factors: political factors, business factors and administrative factors.

First, regarding political factors, considerable research has pointed out that the mayor of Toyama City had a steadfast idea and broad power of execution. For example, according to Moriguchi (2011) who interviewed Masashi Mori, mayor of Toyama City, the mayor himself went to Europe, where various cities run LRTs, in order to personally inspect the policy. In Europe, he acquired the idea not only of the LRT system itself but also the improvement of city planning as a whole. Moreover, the mayor also had experience in transportation policy reform because he, as a member of the Toyama Prefectural Assembly, had participated in the reform of Kaetsuno Railway, which had fallen into financial difficulties.

With respect to business factors, JR West, which had operated Toyamako Line, assumed a cooperative attitude towards Toyama City. Primarily, it was the company that proposed that the line be converted into an LRT system. Moreover, the company also proposed financial assistance to Toyama City. When the Toyamako Line was transferred to Toyama Light Rail Inc., the third-sector company paid JR West for its value. At the same time, JR West made a donation to Toyama City, which was same as the value of Toyamako Line. In other words, JR West effectively donated the Toyamako Line. In the case of public transport, especially in a rural area, a railway company that considers withdrawal from a loss-incurring line generally starts to negotiate with local authorities with a view to abolish the line.

Finally, in the case of administrative factors, Toyama City succeeded in obtaining financial assistance from both the central government and the Toyama Prefectural government. On the one hand, Toyama City secured the financial support of the central government, receiving subsidies not only from the public transport division of the MLIT, but also the road division of the MLIT. It is important to point out the difference between subsidies provided to public transportation including railway, and those provided to a road construction: subsidies for road construction have been abundant, since there are financial resources exclusively set aside for this purpose, totalling about 5.6 trillion yen per year. On the other hand, sources of revenue for public transportation are limited. In 1969, the Ministry of

Transport and Ministry of Public Building and Works, both of which were predecessors of the MILT, formed an agreement called ‘Ken-Un Kyotei’ in Japanese. According to this agreement, the budget for road construction could also be used for railway investment, which would in turn improve road traffic. For instance, the construction of elevated rail tracks would be subsidised from this budget, because elevated rail tracks will remove level-crossing and improve road congestion. In the case of Toyama, the project of elevating Toyama Station and related rail tracks including the Toyamako Line was authorised to employ this agreement.

On the other hand, Toyama City was also able to receive financial assistance from the Toyama Prefecture. Since the extension project of Hokuriku Shinkansen Line was authorised by the government, Toyama Prefecture developed a serious concern for the redevelopment around Toyama Station, including the JR Toyamako Line. As a result, the reform plan of the Toyamako Line became one of the most significant issues for the public transportation network in Toyama Prefecture, rather than an issue of one isolated railway line in a particular region.

Using the framing theory (Tversky and Kahneman 1981, Rein 2006), Miyama et al. (2007) discuss this policy process. At first, the primary issue for Toyama City was to unify the central city area, where the north and south parts were divided by Toyama Station. The issue of the Toyamako Line reform was part of this discussion. To solve this issue, Toyama City intended to reconstruct railway lines into elevated lines; however, since this scheme required a huge budget, the city assembly and local residents did not support it.

The mayor of Toyama City succeeded in placing this issue within the greater policy arena instead of merely within the sphere of individual city planning. This is an expansion of framing. First, the mayor positioned the issue of the Toyamako Line in the context of the entire urban policy of revitalisation in a central city area in order to accommodate an aging society. Furthermore, the mayor also succeeded in obtaining the political and fiscal support from central government and Toyama Prefecture for this project. He connected the issue of the Toyamako Line with the Hokuriku Shinkansen, thus converting the issue from a part of the transportation policy within the prefecture, to an issue concerning the entire prefecture.

Miyama et al. (2007) also point out that the mayor had the ability to manage this process effectively and concluded that this case became an advanced case of not only a mere public transportation reform, but a broader town planning scheme. Thus, the case of Toyama has been referred to as an example to follow by various local authorities across Japan.

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This research, however, argues that the case of Toyama is in fact quite a unique case. This is because all of the conditions for preserving the railway as a form of public transportation in the region were fortunately aligned at the same time. That is, like Kingdon’s (1984) policy theory of ‘a window of opportunity’, these factors may fortuitously converge at one point. Therefore, Toyama City succeeded in reforming the local railway with little fiscal burden. Though the respective factors should not be overlooked, this research argues that public transportation reform is possible even if all of these factors are not necessarily met in the process. This is because we can find that various local authorities have succeeded with their reforms despite not fulfilling all of the factors observed in the case of Toyama. Therefore, in the next section, this research makes a comparative analysis between successful and unsuccessful cases in order to investigate the key factors for successful reform in the age of deregulation. Case Studies

This paper investigates two cases of public transport policy by local authorities in Japan, and looks at two political processes used to deal with a local railway in Ibaragi Prefecture. Both of these processes faced the danger of line closure because the companies running the lines were in a management crisis. They planned to close the railway lines, which had resulted in a huge amount of debt, in order to salvage the companies themselves. Arena and Actors in this political process

This section defines the arena and actors involved in this policy area. The arena where actors discuss this issue is a council called Taisaku Kyogikai (a council for discussing railway issues) chaired by the city’s mayor. A branch of the city government serves as a secretariat. Members of this council, defined as actors in this paper, are local authorities, the prefectural government, representatives from local associations of commerce and industry, residents and the railway company operating the railway line.

First, the railway company, a private company, seeks to maximise its profit while also paying attention to the public value of railway transportation. Compared with other transportation modes such as buses, the costs of participating in the railway industry are very high. These costs include both infrastructure and rolling stock, while a bus company, in comparison, does not need to own roads. Therefore, a railway company must usually monopolise resources in order to operate a railway. These include the line licence, railway infrastructure such as cars, tracks, stations and depots, and mechanical personnel such as drivers, mechanics

and conductors. Furthermore, the railway industry has a very complicated regulatory structure. For example, a conductors’ licence for train operation is divided into 12 categories. This complex structure plays the role of an entry barrier.

Secondly, the preferences of local authorities along the railway line is to take into account that residents receive public transportation services. If a railway company provides railway services without public support, local authorities need not do anything. In the past, due to the system in place for withdrawal from a railway line, public authorities had veto power to prevent line closure. However, when this authority is taken away, the behaviour of authorities becomes politically important. Since most local authorities are faced with financial restrictions, they must choose policy options based on cost effectiveness. However, since a city’s layout is often shaped by a train station, authorities also have to consider that railway abolition may affect not only a transport service supply, but also a town planning scheme.

Thirdly, in addition to the local authorities along the line, the prefectural government is also interested in public transportation within the region, though it is not necessarily concerned with the individual interests of each city. Prefectural governments are specifically concerned as to whether the prefecture can maintain the most suitable public transportation network. A public official, not a prefectural governor, attends meetings at the council.

Fourthly, the preferences of residents with respect to transportation policy are to secure a means of transportation for everyday life. Senior citizens and high school students form the majority of railway users in the region. How to provide public transportation services for these residents remains an important issue.

Finally, although it is not a member of the council, the MLIT, which is responsible for broader transportation policy, is also an important actor in this political process. Using District Transport Bureaus, the MLIT affects local transportation policy in the region. The MLIT utilises its authority to give permission or subsidies to influence the political process. However, it is not among the actors who play a leading role in this political process; rather, the MLIT is an actor that sets up overarching rules, such as a regulation framework and subsidies. Case Study 1: Kashima Railway and along Cities Outline

Kashima Railway ran a railway line between Ishioka City and Hokota City for 27.2 km. This railway company was a subsidiary of Kanto Railway, which runs a transport business including railway, bus and coach, mainly in Ibaragi Prefecture. The line experienced a sharp downturn

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in passenger numbers to about 770,000 in 2005, compared to about 3 million passengers per year in the 1970s. The company registered an operating loss of 13 million yen, and thus received subsidies from local governments and the parent company in order to keep its line in operation. In 2001, the line first faced the possibility of its closure following the loss of one of the railway’s core businesses. This particular freight business involved the transportation of aviation fuel for battle planes of the Japanese Air Self-Defence Force at Hyakuri Air Base, and was valued at about 100 million yen per year. Local governments along this line organised a council to deal with this matter in 2001, when the line was first in danger of closing. People living along the Kashima Railway formed organisations to support this line, and the movement soon received a major compliment from the MLIT in the form of an award for distinguished achievement in the revitalisation of public transport. Finally, the parent company and the council decided to provide subsidies to preserve this railway line.

However, in 2005, the parent company went into a management crisis because its coach branch, which was its core business, faced intensifying competition and ran a deficit. The board of the Kanto Railway announced a rehabilitation plan, which included cutting subsidies to Kashima Railway. This decision forced Kashima Railway to terminate its business and submit a notification of line closure to the MLIT. Behaviour of Actors in the Political Process

The preference of cities along the Kashima Line was to preserve the railway line, and the council thus investigated the options to keep the line running. The first option was the extension of subsidies by a member of the council; this was an extension of the existing policy. The council calculated that member cities could offer a total of 650 million yen over five years. The second option was to invite another operator to take over the Kashima Line operation. In this option, they would accept Kashima Railway’s withdrawal of its train operation and arrange the transfer of its railway assets and license to another railway company for an appropriate market value or, if possible, for free. The third option was to establish a third-sector company, which meant that a local authority would contribute money to a new company and take over management responsibility. In the fourth option, they considered that it may be inevitable to abolish the railway and create bus services as a substitute. This option was seen the most cost-effective, although high school students, who had formed the majority of railway passengers along with elderly people, would be affected in their morning commute to school due to limited road capacity in the cities.

The prefectural government did not want to take a primary role in this issue, so it announced that

city offices and residents along the line should take a responsibility in dealing with the problem. If they came to an agreement, the prefecture would help. However, in a press conference, the governor of Ibaragi Prefecture made criticisms the council for not improving a situation (Press Conference Minutes of the Governor of Ibaragi Prefecture, 2006/6/16). Even after the implementation of policy measures to increase passengers, the Kashima Line was failing to increase the number of pasengers.

The Kashima Line’s parent company, Kanto Railway, could not afford the subsidiary railway company any longer, because the amount of passengers had diminished by 50,000 in every year. The transport density, which is the amount of passengers of the line per km and per day, was only 600; to keeping a railway in operation, the transport density should be more than 2,000. In order to keep the line, the company estimated that it would cost 1,100 million yen for five years, which included 530 million yen for operation costs, 200 million yen for investment, 330 million for two new cars (Ibaragi Shinbun, 2006/9/9). Results

On the 19th of November 2006, the council for Kashima Railway proposed that its parent company provide a subsidy of 650 million yen over five years (Ibaragi Shinbun, 2006/11/20). However, the company turned down this proposal because the amount of the subsidy was far lower from its estimate. The company responded to the council that it would keep its plan to close the line.

In response, the council invited other operators to take over the line as a substitute for Kashima Railway. The council indicated some specific terms to potential operators. First, the operator company should purchase and retain railway equipment and facilities from Kashima Railway. Second, the operator company should obtain the qualification of Type I Railway Business, which means the company is responsible for operating trains and obtaining railway infrastructure. Third, cities would subsidise an operator for investment and operation losses. Two companies applied for this position. One of the two was the Kasumigaura Peoples’ Railway, established by citizen organisations in favour of keeping the line in operation. It proposed to keep this line as a people’s train and entrust train operation to the Okayama Denki Railway, a company that operates trams in Okayama City and operates trains as a trustee company in Wakayama City.

However, proposals from the two companies were rejected by the council because of the amount of subsidies required and time schedule for accession of railway assets. In the first, applicants demanded greater subsidies than the council could provide. In the second, four months was not enough for the applicant to take over railway assets and train

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crews from Kashima Line, and obtain the qualification of Type I Railway Business from the MLIT. Furthermore, the Kashima Railway did not offer assistance to the applicants. The company rejected gratuitous conveyance of railway assets and the extension of operations beyond April 2007 until the successor company was ready.

Finally, the Kashima Line Council gave up keeping the line, the closure of which was officially inevitable. In March 2007, the Kashima Line was closed. Case Study 2: Minato Line and Hitachinaka City Outline

Minato Line, a 14.3 km line in Hitachinaka City, was property of Ibaraki Kotsu Co. Ltd, which runs a transport business including railway, bus and coach in Ibaragi Prefecture. This line was under similar circumstances to the Kashima Railway discussed in the previous section, including a downward trend in the number of passengers, increasing operational losses and a financial crisis for its parent company. The number of passengers on the line had fallen from 3.5 million people in the 1960s to 700,000 in the early 2000s. This downward trend brought about the discussion of whether this line would be kept or abolished.

In March 2006, due to a management crisis, Ibaraki Kotsu Co. Ltd was put under the control of Resolution and Collection Corporation (RCC) and two main banks (Mizuho Bank and Joyo Bank). In September, the company announced a management revitalisation scheme that included the abolition of the Minato Line, which was a loss-incurring segment of the company. This abolition had been scheduled for the end of March 2006 if no improvement was shown (Nihon Keizai Shimbun, 2006/9/2).

When Ibaragi Kotsu announced the plan to close this line, Hitachinaka City organised the Minato Line Council to deal with this issue. The council, chaired by the mayor of Hitachinaka City, included public officers of the city and Ibaragi Prefecture, representatives of business, schools and residents along the line, and Ibaraki Kotsu Co. Ltd. The council would discuss promotion plans to increase passengers and the bail-out package for railway continuation. In the fourth meeting of council on October 31, Ibaraki Kotsu Co. Ltd presented its prediction that the line’s operating loss would exceed 500 million yen for five years from the 2007 fiscal year. However, Hitachinaka City presented a different opinion: in its preliminary calculation, if the line utilised the facility land-improvements bounty system from the national government or a prefecture, the deficit would be reduced to about 220 million yen.

Discussion amongst Actors in the Arena At the third session of the Minato Line

council, Hitachinaka City presented five options for assistance for a local railway (minutes of the Minato Line Council, 2006/9/6). Among these options, the city had determined that two options, a revenue grant system and the Gumma Prefecture model, were plausible. First, a revenue grant system was simply to subsidise the operational losses of the line. The advantage of this system was that it is a well-known system for securing rural lines, and one that various local authorities had chosen in the past. Furthermore, the amount of subsidies that the city would have to pay was clear; in this case, the required amount calculated by Ibaraki Kotsu was 1,100 million yen over five years. On the other hand, the disadvantage of this proposal was that the subsidy would be needed on a permanent basis if the train operator did not improve its loss-incurring business model. In this scenario, the fiscal burden on the city would become much larger and residents may not support the scheme any longer.

The Gumma Prefecture model was a system adopted when the Gumma Prefecture offered public assistance to Jomo Railway and Joshin Railway in its region (Railway Bureau of the Ministry of Land, Infrastructure and Transport, 2004). A local authority provided companies with subsidies for the expenditure of railway infrastructure, such as rail track, maintenance, depots, electric installation and rolling stocks. Although this model did not include vertical separation, meaning that train operating companies continued to hold their railway assets, it was based on the idea that a local authority should bear the responsibility for the fiscal burden of railway infrastructure, as is the case with road infrastructure.

The council, however, started to consider another option, which would separate Minato Line from Ibaragi Kotsu to establish a subsidiary company. This scheme was developed in order to apply for the subsidy program from the MLIT. In this program, known as the Program for the Promotion of Modernisation of Local Railway Infrastructure, the central government and local authorities subsidised a railway company for its investment in railway infrastructure improvement and the equivalent amount of fixed property tax. However, there were conditions concerning the financial condition of the company that intended to receive subsidies. The company must have declared a current loss in operation of all of its enterprises including railway or, if making a profit, current profits should be 5% or less of all of the fixed-assets prices of the company. Since these conditions did not apply to Ibaraki Kotsu, it became necessary to consider the establishment of a subsidiary company that would operate the Minato Line. At that time, the council, which was inclined to take direct responsibility for railway business, assumed that

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Ibaraki Kotsu would establish a subsidiary without capital injection from local authorities.

The council also drew upon the Minato Line Revitalisation package, which included market research from questionnaires given to residents and companies along the line, events for collecting customers, a symposium that discussed the survival of public transportation and the establishment of a supporters’ organisation for railway. In turn, the number of passengers on the line stopped declining. For three years until the announcement of line closure, the number of passengers had decreased by 157,000, a larger reduction than in the case of the Kashima Railway. However, this decrease was kept to only 20,000 in the 2006 fiscal year, and ridership increased slightly in the 2007 fiscal year. The council thus believed that the package was successful.

The prefecture governor offered his view that it was Hitachinaka City’s responsibility for drawing up a reform plan to secure and improve the condition of the railway market in the city. This was the same attitude as the case of the Kashima Railway, and the revitalisation package put forth by Hitachinaka City seemed to be effective in helping the railway stay in operation. Furthermore, the governor made the positive remark that he ‘hoped that the Minato Line would survive unlike other lines such as Kashima’ (Press Conference Minutes of the Governor of Ibaragi Prefecture, 2006/11/6).

On the other hand, Ibaraki Kotsu repeatedly stated its view that since its top priority was the survival of Ibaraki Kotsu itself, not its railway branch, the loss-incurring Minato Line should be closed (Ibaraki Shimbun, 2006/11/1). Its major creditors, such as the RCC and certain main banks, shared this view (Ibaraki Shimbun, 2006/12/23, 2007/2/3). Result

The Minato Line Council presented Ibaraki Kotsu the grating of the assistance of a total of 676 million yen, which was shared by Hitachinaka City, Ibaragi Prefecture and the central government. First, Ibaraki Kotsu would split up the railway sector and establish a new railway company as a third-sector company, supported by investments from both Hitachinaka City and Ibaragi Kotsu. Ibaraki Kotsu would own 49.43% of the new company by using railway facilities, such as rolling stock, rail track, stations and depots as investment in kind. The appraised value of the railway asset was 88 million yen. Hitachinaka City invested 90 million yen and owned 50.56% of the new third sector company. Capital investment on the part of Hitachinaka City included a donation of about 12 million yen from residents and a subsidy from the Ibaragi Prefecture of 30 million yen. The prefectural government was required to choose subsidies instead of direct investment for the new company because the

prefectural reform of the administrative structure prohibited investment into a third sector.

Moreover, the council also decided subsidy for an operating loss and an investment. First, as a subsidy for the company’s operating losses, the city would reduce rates and offer an exemption of the fixed property tax of the new company within the limits of its operating loss. Second, the city, the prefecture and the central government subsidies would total 561 million yen for railway infrastructure investment, including funding for an improvement of rail tracks and new rolling stocks. This subsidy would be shared equally by these three actors. Finally, Minato Line was separated from Ibaraki Kotsu and was started anew as Hitachinaka Kaihin Railway in April 2008.

Discussion and Conclusion

After deregulation in 2000, a number of local railway lines were facing a reduction in ridership and the accumulation of operational losses. At first glance, the circumstances surrounding rural areas in Japan provide a pessimistic outlook for public transportation. Firstly, the population of these areas are shrinking due to an aging society and a declining birthrate. Secondly, public transport has lost competitiveness due to the high rate of car ownership in these areas. In general, though local authorities understood that keeping a railway in operation was the best option, they could ultimately not afford their fiscal burden. Specifically, this is because there may be no chance of improving fiscal operations, and due to the accepted conversion of railway lines into bus services, leading to a lighter fiscal responsibility. However, there are some cases in which loss-incurring rural railways, like the Minato Line, survived even after the former operator had given up on maintaining it. In searching for core factors for the survival or termination of public transport, this research observed political processes within councils discussing rural railways and focused in particular on the behaviour of the actors who had an interest in public transportation in rural areas.

In a comparative analysis, it should be pointed out that actors in both cases had similar preferences, especially in the early stage of political process. First, the preference of local authorities and residents along the railway lines was to continue their operation. In the case of Kashima Railway, though local authorities along the line had experience cooperating with each other from keeping the railway line running in 2001, they could not provide any effective evidence to persuade other actors to keep the railway in 2006. Furthermore, public evaluation of the citizens’ movement by high school students who had used the line for going to school was also highly rated.

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In the case of Ibaraki Kotsu Minato Line, the council discussed the financial schemes to keep the railway and conducted market research to promote railway usage in their region. In response to the authorities, a supporters’ group, named the ‘party for cheering our railway’, including students, tourist agencies, and the Chamber of Commerce and Industry, was formed to help promote the council.

In both cases, the train operators, Kashima Railways and Ibaragi Kotsu, were reluctant to continue their operation and cooperate with public bodies. In the case of Kashima Railway, after the formal notification of line closure was submitted to the MLIT, the political process began. A management decision of Kanto Railway, the parent company of the railway, including the staff assignment conversion plan after the line was discontinued, had already been determined. Therefore, there was very little time left for the council to discuss this issue.

In the case of Ibaragi Kotsu, though the company did not immediately submit a formal notification, a date for abolition was set up by the company’s creditors. Ibaraki Kotsu, whose preference was the continuation of the company without a railway branch, was strongly opposed to the continuation of the Minato Line because of its unprofitable operation. Compared with the case of Toyama City, which succeeded in obtaining JR West’s cooperation, the hurdles for these cities to keep their railways were much higher. Thus, the original preferences of the actors in political process had little bearing in both cases, even though the results were different.

In order to explain the difference in the conclusions of these two cases, this paper argues the following two points. First, it was important whether a council composed of local authorities could propose a suitable financial scheme before the deadline. Second, it was equally important that the railway revitalisation package developed by a council could successfully show its effectiveness in a few months, in terms of, for example, increasing the number of passengers, in a few months.

Concerning the first point, it is local authorities along the line that have the responsibility to deal with public transport in their region. As has already been pointed out, following deregulation, it became easy for a private transportation company to withdraw from a loss-incurring business. Various transportation companies that operate railways also operate other modes of public transportation mode, such as bus, coach, taxi, and/or real estate businesses. It seems to be the general case that the deficit incurred by the railway branch was covered by the operational profit of others businesses. Therefore, subsidies from local authorities to offset the operation deficit of railways had only been

life-prolonging treatment, unless the company was to invest in railway infrastructure or services to improve their business.

In the case of Kashima Railway, local authorities along the line persisted with the option of deficit assistance, even though they had argued for other options as well. This behaviour was a wasteful use of time and resources in the effort to preserve the railway. After its subsidy package had been rejected by the Kanto Railway, the council pursued to option of the taking over the company for the first time. At that point, business succession was impossible within the required time frame. On the contrary, in the case of the Minato Line, the council chaired by the Hitachinaka City had a pragmatic strategy to keep the line. At the beginning, the council had considered the line’s continuation by establishing a subsidiary wholly owned by Ibaraki Kotsu. However, when the plan was found to lack the support of the railway company, the proposal changed, suggesting the establishment of a third sector railway company, half of which would be owned by the city council.

The other factor required for railway’s survival was an effective revitalisation package for a surviving rural railway. During the discussions regarding the line, local authorities along the line and residents drew up plans for gathering passengers. Despite the fact that councils implemented this plan in both cases, the results were different. In Kashima, their plan failed to increase the number of passengers, while the Minato Line Council succeeded in stopping a rapid decrease in the first year and increasing the number of passengers in the following year. Showing the ability to improving the railway, local authorities were able to persuade other actors, such as the governor of prefecture and the central government, to cooperate in preserving the railway. Thus, it is important for local authorities to show that they can make a revitalisation package that demonstrates an immediate effect.

In conclusion, this research shows that these

two factors were important for involving other actors, namely the prefecture and the central government, into a rural railway revitalisation scheme on the part of a local authority. Although a prefecture was a formal member of a council, it was not the primary actor in preserving local public transportation in the region. In addition, it was the responsibility of local authorities along the line to present a persuasive plan. Furthermore, the MLIT, which held a veto with respect to the granting of governmental subsidies for the railway lines, also held the same attitude towards rail services in rural areas. That is to say, it was necessary for local authorities to make a practical scheme with respect to both financial aid and improving the public

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transportation market in order to attract other actors into this political process.

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Nihon Keizai Shinbun (Japan Economic Newspaper). Rein, Martin (2006), Reframing Problematic Policies. In Michael, Moran, Rein, Martin & Goodin, Robert E. (eds.), Oxford Handbook of Public Policy, pp.389-405. Tversky, Amos and Daniel Kahneman (1981) Utsunomiya, Kiyohito (2012), Tetsudofukken: Jidosha Shakaikara no Daigyakuryu (Restoration of Railway: Adverse Trend from Automobile Society) . Shincho-sha. Un’yu Seisaku Shingikai Tetsudo Bukai (1998) Ryokaku tetsudobunya niokeru Jukyuchouseikiseihaishi nimukete hitsuyoutonaru Kankyoseibihousakutou ni tuite (About Setting of Conditions for the Abolition of Entry and Withdrawal Regulation in Passenger Railway).

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Intergovernmental Relation through Party Route: A Case Study of Intergovernmental Transfer Cut in Japan and Canada

Hideki Kido

Nara Prefectural University, Nara, Japan E-mail: [email protected]

Abstract

This paper deals with how party organization plays a role in intergovernmental relations in Canada and Japan. This paper will compare these two countries focusing on the negotiation between the central and sub-national government on financial transfer cut from the central and sub-national government. Central governments in these two countries have implemented financial transfer cut to sub-national governments since the 1990s. In Japan, the central government has significantly changed the financial transfer system since the 2000s. Canadian federal government also carried out financial transfer cut since 1996. This paper will examine whether the difference of party system in Japan and Canada would affect the result of financial transfer cut and reveal the importance of party organization in shaping the negotiation between the central and sub-national government.

Introduction

This paper will clarify how party organization influences the policy outcome in intergovernmental relations between the central and sub-national (provinces and prefectures) governments. How does the party organization matter in intergovernmental negotiation? To answer this question, this paper will compare two countries; Canada and Japan. Canada represents the country where party organization is completely separated between the central and sub-national government. On the other hand, Japan is often pointed out that the patronage linkage between the central and local party is quite strong.Therefore, the party organization between the two level of governments is strongly connected.

A lot of studies have been done about the relation between party organization and intergovernmental relations. Most of them, however, have placed too much emphasis on how intergovernmental relations affect the party organization. Therefore, past literatures have overlooked the reverse causal relation. It is how party organization would affect intergovernmental relations. In fact, some important studies since the 1970s have pointed out that party organization is the key for local governments to make their voice heard at the central government. Therefore, this paper tries to fill this gap in the past research by focusing on the party organization connection between the central and sub-national government.

To achieve this goal, this paper will make a comparative analysis between Canada and Japan. Japan would be a typical example where has a strong party connection between the central and sub-national government. The LDP and DPJ, two major parties in Japan, have established local branches in every prefecture. As a result, sub-national governments can work on the ruling party at the central government through party organization. In contrast, Canada would be the best example where the party organization is divided between the central and provincial government. Parties at the federal government have local branches at provinces, but they are different from the provincial party organization. Thus, provincial governments in Canada do not have party route to work on the ruling party at the federal government.

This paper will compare these two countries focusing on the negotiation between the central and sub-national government on financial transfer cut from the central and sub-national government implemented since the 1990s. Financial transfer from the central to sub-national governments is one of the main revenue sources for sub-national governments in most countries in the world. Sub-national government should make every effort to avoid the cut. Canadian federal government carried out financial transfer cut since 1996. In Japan, the central government has significantly changed the financial transfer system since the 2000s. This paper will examine whether the difference of party system in Japan and Canada would affect the result of financial transfer cut and reveal the importance of party organization in shaping the negotiation between the central and sub-national government. Past Studies

A large number of studies have dealt with intergovernmental relations and its consequences on decision making at the central government. Recent studies especially pay their attention to the partisanship at central, sub-national and local governments. However, less attention is paid to party organization itself. In the following part, this paper will review the past studies which would explain the difference of Canada and Japan. Political Leadership

First, the political leadership is one of the key factors in the policy making at the central government. Especially, some studies argue that

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financial transfer cut is key idea in accomplishing smaller government in both Canada and Japan (Iwasaki 2002, Harder and Patten 2006). However, these studies almost ignore sub-national government in their research because they focus on only central government policy making. Therefore, sub-national governments seem to be powerless in infecting the decision making at the central government. If we accept their argument, we regard sub-national governments as just the follower of central government decision making passively. We can obtain the first hypothesis from this view point. That is (H1) the central government unilaterally rules sub-national governments and the central decision making do not reflect sub-national government interest. Governmental and Political Institution Many studies have dealt with how local governments affect the central government decision making. One of main argument about this is that governmental institution plays an important role. Some scholars argue that the parliament at the central government itself sometimes represents sub-national governments. This is especially explicit at federal countries (Watts 2008).

Another governmental institution is the government itself. For example, some ministries at the central government works like an agency of sub-national government. This linkage between central and sub-national governments is based on vertically integrated governmental administration. A lot of scholars point out this kind of governmental route. Especially, many scholars have revealed that the ministry of internal affairs in Japan behaves to protect sub-national and local governments’ interest in the central government policy making process (Kitamura 2009).

From these governmental and political institution view point, we can obtain the following hypothesis; (H2) if there is a governmental and political institution which represents sub-national governments at the central government, decision making at the central government would be supportive to sub-national governments, and vice versa. Political Party

Recent studies of intergovernmental relationscast their focus on the political party in influencing the decision making at the central government (Eaton 2004, Rodden 2006, Bonvecchi and Lodola 2011). These studies point out that the political party is one of the key factors in representing the interest of sub-national governments at the central government. They suggest that a central government promote governmental reforms in favor of subnational governments if the partisanship between the central and sub-national governments is coincident. This is

because the central government tries to protect sub-national governments in order to enhance the influence of the party at both the central and local governments. On the other hand, if the partisanship is different between the two levels of governments, the central government tries to centralize thegovernmental system.

We can draw the following hypothesis from this view point. (H3) the central decision making reflects sub-national interest when the partisanship of central and sub-national governments is same. Party Organization

Recent studies focus particularly on the partisanship at the central and sub-national government. However, they fail to capture the role of political party organization itself. As pointed out in the 1980s, political party organization is the key influence route in the representation of sub-national governments at the central government. However, such studies in the 1980s remain at the level of describing how this type political route is in each country. In this point, it is necessary to broaden how the variety of political route influences political outcome in each country. This paper will focus on this side of political route; party organization. In this point, this paper contributes to broaden the relevance of party route from the local to central government.

Although there are a lot of studies in the 1980s which deal with how party organization influences on the intergovernmental negotiation, recent studies on party organization seem to ignore this role of party organization.In this sense, this paper looks closer about the party organization in terms of party connection between the central and sub-national level. Then, why does the central party takes care of sub-national government? The logic would be the same as the case of partisanship theory mentioned above. The public would consider the central and regional parties as the same when the party label is the same. If the national party ignores the demand from the local party, it means that the national party ignores the demand from the local people. Therefore, the national party cannot ignore the local interest being afraid of the punishment at the election from the public.

However, there would be another reason.It is that the national party rely human resources on sub-national and local party branch. First, the national party rely latent candidates for the national election on sub-national and local party organization. In most democratic countries, the certain parts of national parliament members come from the provincial and local level1. Second, the national party members depend on local party organization for the election campaign. Without the

1

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local party organization, the national party cannot carry out the election campaign.

From these view point, this paper obtains a hypothesis, (H4) when the party organization at the central and regional level is connected, the central government has to consider the regional interest.

In the following section, this paper examines which hypothesis would be the most persuasive by comparing institutional arrangement and tracing policy making process in Canada and Japan. Intergovernmental Relations in Canada and Japan

It is said that today, Canada is one of the most decentralized of existing federal systems (Watts, 2008). There are four major features of the structure of Canadian fiscal federalism; (1) The Constitutional division of legislative, taxation, and expenditure powers, (2) the evolved pattern of tax allocation, sharing, and harmonization, (3) the system of intergovernmental transfers to bridge the gap between revenue and expenditure responsibilities, that is, to reduce vertical and horizontal fiscal imbalances, and (4) the process by which fiscal arrangements are made by the federal and provincial governments (Brown, 2002: pp.60). On the other hand, Japan is a unitary system with three-layer structures: central government, prefectures and municipalities like cities, towns and villages. Connecting central government and local governments like prefectures or municipalities, there were two main institutional settings which shaped intergovernmental relations in Japan.

One is the agency-delegated function. This agency-delegated function is quite peculiar to the Japanese intergovernmental system. For example, granting a passport, urban planning and national election were implemented by prefectures or municipalities as agency-delegated functions. These functions composed 80% of work in prefectures and 40% in municipalities. As a result, public expenditure at the local government level was 60% of total public spending and local public expenditure accounts for about 20% of GDP.

These functions, like granting a passport or national election, are seen as the central government’s work by their nature, because they have a strong relationship with the national civil service. However, these works were delegated to local governments by law or government decree, and sub-national and local governments or sub-national and municipal governors implemented such works in place of the central government. In this sense, sub-national and local governments, and sub-national and municipal governors are regarded as agencies of the central government. It was often pointed out that agency-delegated functions have many problems. For instance, local parliaments were prohibited from interrupting or influencing agency-delegated functions. They could not enact

measures concerning agency-delegated functions, although sub-national and local governments implemented these functions. Another problem was that the prefecture governor or city mayor had to obey the central government’s orders, though community residents directly elect a governor or a mayor. This means that a governor or a mayor could not behave reflecting the opinion of community residents in cases where it runs against the central government’s intent.

Another institutional setting is financial transfer from central government to local governments. This transfer takes two forms. One is local allocation tax and another is a subsidy. First, local allocation tax is determined based on the shortage of local governments’ financial ability, to reallocate financial resources among local governments. Local governments can use this transfer for any purpose, so this transfer can be considered as one of the independent financial resources of sub-national and local governments. This transfer has played a role in redistributing financial resources to support rural areas because local governments in rural areas are more likely to face adverse financial conditions than those in urban areas. Consequently, rural areas, having smaller populations, have received more local allocation tax per capita. Another transfer was a subsidy. It is for a specific purpose set by the central government, and sub-national and local governments cannot use it for their own purpose. This transfer has been mainly used for community development.

These intergovernmental relations have experienced radical changes since the 1990s in a wave of decentralization in Japan. The first wave came in the middle of 1990s. In 1995, the Committee for the promotion of decentralization was established in the General Administrative Agency of the Cabinet based on the Law for the promotion of decentralization. This committee had made recommendations five times, and as a result, the comprehensive law on decentralization was enacted in 1999.

In this stage, the most significant change in intergovernmental relation was the elimination of agency-delegated functions imposed upon local governments by the central governments. About 560 functions were delegated to local governments as a result of the decentralization reform. For example, granting a passport, urban planning and national election administration were implemented by local governments, though they are originally central government’s work. As a result of reform, 11 works were eliminated, 20 were transferred to the central government,255 were transferred to local governments, and 275 were delegated again to local governments by law (called “Houtei Jutaku Jimu [Functions delegated by law]”). At the same time, the involvement in local governments by central governments are reconsidered and the rule was

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established that such intervention in local governments have to be based on law and in writing. As shown above, decentralizations before 2000 can be considered as more focused on the relation between central and local governments. However, when I see its influence over public expenditure, its impacts are seen to be somewhat limited. To see the impact of reform before 2000, I will compare the public expenditure in 1999, just before the reform, and in 2001 just after the reform in the first place.

The public expenditure in Japan, which contains social welfare funds, central government expenditure and local government’s expenditure, was about 120 trillion Yen in 1999 fiscal year. After the 2000 reform, it was at about the same level (119 trillion Yen in 2001). Concerning public expenditure as a whole, decentralization to 2000 had a quite limited impact. Local governmental expenditure, including both sub-national governments and municipalities, was 71 trillion Yen in 1999 and 67 trillion Yen in 2001. As a result of reform, the local public expenditure had been slightly decreased, but it is important to notice that there still exists the financial transfer from central to sub-national and local governments. Decentralization reform before 2000 did not change financial intergovernmental relations and revenue structure of local governments. This enabled sub-national and local governments to implement policies without considering financial problems seriously.

Japanese prefectural governments have a limited ability to pay for their expenditures from their own financial resources. In Japan, prefectural governments play an intermediate role between the central government and municipal governments. Prefectural governments depend for their revenue mainly on financial transfers from the central government, residential tax, corporate income tax, and prefectural bonds. Financial transfer (Local Allocation Tax and Subsidies) from the central government to the prefectures constitutes of about 30% of their total revenue. Local Tax accounts for about 30%, prefectural bonds consist of 15%, and miscellaneous income accounts for about 15%. There are strong constraints imposed by the central government on prefectures in issuing prefectural bonds, and prefectural governments cannot alter tax rates freely by their own authority. Intergovernmental Transfer Cut

In Canada, the federal government changed the financial transfer to provincial governments under the Chretien Administration in 1996. In 1996, the Canadian federal government introduced the combined CHST (Canada Health and Social Transfer) instead of the former separate EPF (Established Program Financing) and CAP (Canada Assistance Plan). In 1992, the Former EPF constituted 53% and CAP accounted for 18% of the total transfer (39.2 billion dollars). In 1995-96, the

sum of EPF and CAP was 29.9 billion dollar. However, in 1996-97, when CHST was introduced, the transfer decreased to 26.9 billion dollars and in 1997-98, it was 25.1 billion dollar. In these two years the transfer decreased by about 15%.

From 2001, under the Koizumi Administration, several structural reforms have been carried out. The financial transfer reform labeled, the “Trinity reforms”, consisted of three simultaneous reforms in the areas of local allocation tax, subsidies and tax revenue sources.

First, the local allocation tax was reduced from 2001. In 2000, the amount of local allocation tax was 21.8 trillion yen (21.7% of the annual revenue of local governments), but it decreased to 17.0 trillion yen in 2004 (18.2% of annual revenue). This amounts to roughly a 20% reduction in four years. Secondly, subsidies from the central to local governments were reduced by three trillion Yen in the 2005 to 2007 fiscal period (20% cut) and, at the same time a 3 trillion yen tax revenue source is going to be transferred from central government to local governments.

These reforms are thought to bring a wider range of variance among prefectures. In the past, differences or inequity among local governments were corrected by a local allocation tax and subsidies, but such redistribution has been eliminated, and sub-national and local governments have to rely more on their own resources. Seen from this point of reduction, both Canadian and Japanese sub-national governments lose financial resources because of the central government reform implemented with the strong leadership of prime ministers. This would be supportive to the hypothesis 1. However, there is another aspect of reform. It is about the tax point transfer. In the process of reform, Canadian provinces insist on increasing the tax point transfer. This means that although they accept the decline of financial transfer, they can enhance the autonomy of finance at the same time. However, the federal government denies this pressure about the tax point transfer from the provincial governments. In Japan, however, the central government admits the tax point transfer to prefectural governments. In addition, this is carried out by increasing the major tax resources to sub-national and local governments. The central government of Japan decreases the income tax rate, and the sub-national and local governments can increase the residence tax. The residence tax is one of the major tax resources for the sub-national and local governments in Japan. Although the Ministry of Finance Japan witch is sometimes seen as the strongest government organization in Japanstrongly opposes to the reduction of income tax rate, sub-national governments achieve a positive outcome.

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As shown in this section, both in Canada and Japan political leadership plays an important role in starting the transfer cut to sub-national governments. From this point, the leadership hypothesis may explain how the reforms started, however it cannot explain why there are difference between Canada and Japan. That is, Japanese prefectures obtain tax point transfer in the reform, although Canadian provinces could not that, even lost the tax point transfer. This difference is obviously important, and the leadership hypothesis (H1) cannot explain this issue. We need another hypothesis to explain this difference in the following section. Intergovernmental Relations in Canada and Japan

In this section, this paper will compare governmental and political institution and political party to examine the hypothesis above. Governmental and political institution Parliament system First, we think about the parliament system in Canada and Japan. The Lower House in Canada and Japan adapts the similar electoral system based mainly on single member district. In this sense, the Lower House does not differentiate Canada and Japan in terms of the representation of sub-national government. Second, as mentioned above, the upper house represents sub-national interest in a lot of federal countries. For example, the US senate represents the States in the US. This is accomplished by providing even seats to each state. Germany is another example. The Bundesrat is a typical example of the upper house which represents sub-national governments. The Bundesrat has a veto to the proposed law which relates to sub-national governments. In this point, sub-national governments in Germany have a direct access to policy making at the central government. How about Canada and Japan?Canada is definitely the federal state, however the upper house of Canada, the Senate, does not represent provinces of Canada. Indeed, the Prime Minister of federal Government of Canada selects the member of the Senate, therefore, the member is not elected by the public directly. This promote the senate members of Canada to build royalty to the Prime Minister or the Central government rather than provincial governments. Japanese Upper House uses both the mixture of the SNTV and SMD, and PR system similar to the Lower House. Therefore, the Upper House of Japan does not represent sub-national governments directly. As shown in this part, the parliament system in Canada and Japan takes similar system at both Lower and Upper House. This would mean that the H2 does not apply directly for Canadian and Japanese case.

Governmental organization In this part, this paper discusses about the governmental organization. First, the government ministry sometimes represents sub-national governments. In both Canada and Japan, the central ministries often are seen as the agent of sub-national governments. Second, there is a specified ministry which is incharge of intergovernmental relations in Canada and Japan.

In Canada, there is the office of intergovernmental relations in the Privy Council. Although it is true that OIR is not the independent government ministry, it has its own minister. This means that this organization is at least seen as important as other ministries in the government. In Japan, the ministry of internal affairs stands for sub-national and local governments. It is often said that MIA behave in favor of sub-national and local governments in the negotiation of intergovernmental transfer (Kitamura, 2009). In sum, the governmental organization in Canada and Japan plays a similar role in the negotiation of intergovernmental relation. In this sense, H3 cannot fully explain the difference between Canada and Japan. Political Party Canadian political party is generally characterized by divided party organization between the federal and provincial level. Although they use the same name (Ex. Liberal Party, Conservative Party, etc.), they establish totally independent organizations each other. For example, there are the Ontario branch of Liberal Party of Canada and the Ontario Liberal Party separately. In addition, the public also recognize these differences between the federal and provincial level. However, there is the only exception in Canadian party system. The Bloc Quebecois is the federal party established by the Parti Quebecois. The Bloc represents the interest of Quebec at the federal politics. In this point, the Bloc Quebecois would behave to reflect the interest of Quebec in the policy making process of transfer cut. In Japan, contrary to Canada, the party label at the central and prefectural level is seen as the same. Each prefecture has the branch of national party (“Kenren”) and both national and prefectural politicians belong to the branch. Especially, the national Diet members rely heavily on local politicians for their election campaign. In this sense, the connection between the central and local is quite strong. As mentioned in this section, H4 is not persuasive because it cannot explain the difference between Canada and Japan. So only the H5 is still alive to explain the Canadian and Japanese case. This paper will continue to examine the H5 in the following section by exploring the policy making process more closely.

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Political Process of Transfer Cut Transfer Cut in Canada As mentioned before, Chretien Government Proposed the 1995-96 budget including the transfer cut in February 1995. Provincial governments opposed to this budget and decided a strong protest at the 1995 Premiers’ conference in August. After negotiating at several meeting between the federal and provincial governments, provincial governments proposed to increase the tax point transfer at the First Premiers’ Conference. However, the federal government of Canada refused this proposal from provincial governments. Then, how did the political party at the federal government react to the transfer cut? It was the Chretien Government which is based on the Liberal Party. Did someone support the proposal from provincial governments? Within the Liberal Party there is just minor opposition to the transfer cut. The left wing group in the Liberal Party opposed to the transfer cut because they think it would bring the social welfare cut operated by provincial governments. However, even the left wing group did not support the proposal of increasing tax point transfer. Other political parties neither support the provincial proposal except for the Bloc Quebecois (BQ). The BQ was strongly against the transfer cut in the Parliament discussion. As the BQ was the first opposition party, they said no to the transfer cut. However, their opposition was limited to the cut to the Province of Quebec. However, the BQ was against the budget mainly because is invades the independency of Quebec. The BQ emphasizes only the interest of Quebec. They proposed an amendment of budget focusing the elimination of transfer cut, but it was turned down. In sum, the political party in Canada did not play a role in representing provincial interest at the federal government except for the BQ. As a result, the federal government decided to cut the financial transfer. In addition, the proposal of increasing tax point transfer from provincial governments was also denied by the federal government. The Case of Japan The Koizumi Administration implemented the financial transfer cut in Japan. Prefectural governments could not influence the decrease of transfer cut same as Canadian provinces, but they obtained the tax point transfer instead. This paper will look at how prefectures got this fruit. Sub-national and local governments requested the tax point transfer instead of cutting the financial transfer. They mentioned that the tax point transfer must be the main tax resource. However, at the first time in May 2003, the central government tried to cut financial transferfirst, and postpone the argument of tax point transfer. Of course prefectures strongly opposed to this saying that the tax point

transfer is the baseline for cutting the financial transfer (Governors of Kyoto, Osaka, Hyogo). Other governors in Tohoku and other areas also made comments supporting this comment. What is different from Canadian case, the major party members supported the request from prefectures. Some members of the LDP supported the comment and said that it is not the first to cut the transfer, but the first to transfer tax point. This support changed the central government slightly and the Minister of Finance announced that the central government can transfer the tax point which is seen as appropriate to sub-national and local governments. However, this did not mean the central government would transfer the main tax resources. The Ministry of Finance planned to transfer only minor tax resources such as Gas Tax, Tabaco Tax, and Alcohol Tax, all of which are seen to be shrinking in the future. After this announcement, prefectures did not give up getting the main tax resource. In October and December 2003, governors discussed with the executive of LDP about this issue requesting the tax point transfer in the major tax resources like consumption tax or residence tax. In spite of these request from prefectures, the central government decided to transfer the Tabaco Tax in the fiscal year of 2004 at the Government’s Tax Commission on December 15, 2003. Governors immediately raised an opposition to this

decision. Following to the opposition, the LDP members also opposed to this decision and the LDP’s Tax Commission announced that the government should renounce the transfer of Tabaco tax. This is the totally opposition to the government commission which is the formal government commission. In addition, the LDP’s Tax commission decided to transfer the tax point from the Income Tax of the central government to Residence Tax of sub-national and local governments. This LDP decision overturned the decision of government commission and finally, the central government decided to transfer the tax point in the area of residence tax.

Conclusion

As examined above, there is a significant difference between Canada and Japan in how sub-national interest is reflected the decision making at the central government.

In Canada, provincial governments cannot earn any result in negotiating with the federal government. In Japan, prefectural governments cannot prevent the central government from cutting the financial transfer either. However, they extract concessions from the central government in transferring the tax point.

There are several hypotheses which can explain these differences. However, most of them cannot

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fully explain the Canadian and Japanese cases. Only party organization hypothesis seems to explain the difference of Canada and Japan. In Canada, the party organization is separated between the federal and provincial level. This lack in party organization brings the lack of representation of provincial interest at the federal government. There is an only exception of Bloc Quebecois, but the majority seats are occupied by the Liberal Party. In Japan, on the other hand, party organization is strongly connected between the central and local level. This connection encourages central party to represent local interest at the central government.

Of course, this study is just a starting point. This paper is just a single comparative research of Canada and Japan. However, this study opens up the new view point in the study of intergovernmental relation. To build a solid foundation, we need to explore this dimension of study. Acknowledgement This paper is financially supported by the JSPS Kakenhi 23730144. References Bonvecchi, Alejandro, and German Lodolay. (2011). The Dual Logic of Intergovernmental Transfers: Presidents, Governors, and the Politics of Coalition-Building in Argentina. Publius:TheJournal of Federalism, 42(2), pp. 179-206. Brown, Douglas M. (2002). Fiscal Federalism: The New Equibrium between Equity and Efficiency. In Herman Bakvis and Grace Skogstad. Eds. Canadian Federalism: Performance, Effectiveness, and Legitimacy. Don Mills: Oxford University Press. Eaton, Kent. (2004). Politics beyond the Capital: The Design of Subnational Institutions in South America. Stanford, CA: Stanford University Press. Harder, Lois, and Steve Patten.Eds. (2006).The Chretien Legacy: Politics and Public Policy in Canada. Montreal, QC; Kingston, ON: McGill-Queen’s University Press. Iwasaki, Mikiko. (2002). GyoseiKaikaku to ZaiseiSaiken. Tokyo: OchanomizuShobo. Kitamura, Wataru. (2009). ChihoZaisei no GyoseigakutekiBunseki. Tokyo: Yuhikaku. Rodden, Jonathan A. (2006). Hamilton’s Paradox: The Promise and Peril of Fiscal Federalism. New York: Cambridge University Press. Watts, Lonald L. (2008). Comparing Federal Systems 3rdEdition. Montreal, QC; Kingston, ON: McGill-Queen’s University Press.

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Disaster and Resources Management

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THAILAND’S CLIMATE CHANGE POLICY-MAKING UNDER THE INTERACTION OF TWO GLOBALIZATION REGIMES

BuntoonSrethasirot, Ph.D. Good Governance for Social Development and the Environmental Institute, Bangkok, Thailand


Abstract

Climate Change is a global environmental crisis which has been the subject of increasing awareness among the international community. It is one factor leading to an intense process of “Environmental Globalization” during the 1990s as well as to the establishment of the United Nations Framework Convention on Climate Change (UNFCCC) in 1992 and the Kyoto Protocol in 1997. These international agreements limit the sovereignty and capacity to determine public policy of the member states. In other words, member states are not allowed to implement any policies or measures which are inconsistent with the obligation to mitigate greenhouse gases, specified in the Convention and Protocol. These restrictions have direct impacts on the desired scale of economic growth, the promotion of free trade, reductions of trade barriers, and decreased state intervention, which are key concepts and goals of “Economic Globalization.” Economic Globalization expanded extensively during the 1990s, due to the success of the Uruguay round of multilateral trade negotiations, resulting in the establishment of the World Trade Organization in 1995. Climate change policy formulation is thus located at the interface between environmental and economic globalization as many of their concepts and purposes are contentious. Thailand has integrated into both streams of globalization. On the one hand, it has been a member of WTO since its inception and the development policies of the country have followed a neo-liberalist approach, pushing for Free Trade Agreements with many countries. On the other hand, Thailand is also a member of several multilateral environmental agreements. Often, the disagreements between the two regimes have created conflicts in policy formulation and implementation.

According to the study on Thai climate change policies since the UNFCCC, the Kyoto Protocol and international climate change negotiations of the post-2012 regime, it has been pointed out that interactions between both globalization regimes as the policy environment play crucial roles in the development and progress of Thai climate change policies in terms of process and content. Nevertheless the pattern of interactions between

environmental and economic globalizations is not definite but mostly complex and dynamic. At times, environmental globalization is able to create greater impacts than economic globalization or vice versa. In some cases, both regimes complement each other in a relatively harmonious manner.

The patterns and characteristics of interactions among Thai climate change policy actors comply with the multi-level governance theoretical framework, in which the policy decision-making authority is not state-centralized but distributed to different levels of governance. Thai climate change policy actors, either state or non-state collaborate and interact with external policy actors or supra-national actors at the institutional stage causing the shift of political activities from national to sub- and supranational levels. The traditional hierarchy of government is challenged in terms of the state’s limited authority and role as a gatekeeper to regulate and control the central-periphery gate, the domestic-international gate, and the state-society gate.

1.Interactions between 2 globalization regimes as a “policy environment”

Interactions between economic and environmental globalizations have an immense impact on increasing the complexity of climate change policy formulation at both global and national levels. These 2 globalization regimes originate and evolve within overlapping timeframe.

”Economic Globalization “substantially expanded around the world during 1990s as a success ofthe Uruguay round of multilateral trade negotiations, resulting in the establishment of the “World Trade Organization”(WTO) in 1995 and signatory commitments of another 15 agreements under WTO auspices to promote the goal of “Neo-liberalism” in free trade. They emphasize the limitation and decrease of states’ role, the promotion of free market mechanism, private ownership rights system for the sake of the economic growth. On the other hand, the climate change is the global environmental crisis which has also gained increasing awareness across the global community and hence intensively accelerated the “Environmental Globalization” during 1990s. It led to the establishment of the

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United Nations Framework Convention on Climate Change (UNFCCC) in 1992 and the Kyoto Protocol in 1997. Both are the international agreementsthat demarcate the authority and public policy determination of member states. Member states are not allowed to formulate any policies nor measures that contradict the goal and obligation of greenhouse gas (GHG) mitigation as specified in the Convention and the Protocol. At the same time the states are required to take a more influential role in regulating the economic activities, enforcing the rules and measures of market intervention against GHG emission. Such obligations have direct impacts on economic growth targets, free trade promotion, reductions of trade barriers and decrease of governments’ interventionist roles which found the cornerstone concept and goal of neo-liberalist economic globalization.

The formulation of public policy on climate change is located at the midst of complex interface between environmental and economic globalizations in both contradictory and supportive terms. The interactions of the 2 globalization regimes act as the influential “Policy Environment” in developing“public policy” on climate change in many countries, including Thailand and create an impact on behavior as well as mobilization of “policy stakeholders”. On the contrary the policy environment is also influenced by public policy and policy stakeholders, hence having mutually reinforced interactions (Dunn, 1994, p.70).

Thailand is integrated into both globalization regimes; on the one hand it is a member of WTO from its outset in 1995 which adopt development policies under neo-liberalist economic approach andnegotiate free trade agreements with several countries, such as Australia, New Zealand, Japan, India, China, the USA, etc., when the Doha round of multilateral trade negotiation was delayed from agreed timeframe. On the other hand, Thailand is the member party of numerous multilateral environmental agreements, for instance the Convention on International Trade in Endangered Species of Wild Flora and Fauna (1973), the Vienna Convention for the Protection of the Ozone Layer (1985),the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (1989), the United Nation Framework Convention on Climate Change (1992), and the Kyoto Protocol (1997). In many cases, there are potential conflicts of policy formulation and implementation as a consequence of opposition between both globalization regimes, for example the case of signing the Japan-Thailand Economic Partnership Agreement (JTEPA) and the ensuing commitment of trade in goods that may be classified as hazardous waste according to the Basel Convention.

Due to these reasons, Thailand which interweaves its national economy with economic globalization faces the difficult and complicated challenges in formulating climate change policy, particularly on GHG mitigation. The attempts to pursue neo-liberalist economic policies are in various aspects contradictory to international climate change agreement. Even though the developing countries are not obliged to reduce GHG emission under international climate change agreement, they receive pressure from the international negotiations and the trade measures of trading partners to conduct GHG mitigation policies.

2.Interactions between Free Trade Regime and Climate Change Regime

Interactions between the “Climate Change Regime” composing of the UNFCCC, the Kyoto Protocol and the Secretariat Office of the UNFCCC as a result of environmental globalization and the “Free Trade Regime”composing ofthe agreements under WTO, bilateral or regional Free Trade Agreements, the WTO, other international financial institutions, and world organizations as a result of neo-liberalist economic globalization have gained wider interest from many scholars, especially during the negotiation for post-2012 climate change regime. The negotiation proposed many mechanisms and additional measures to solve global warming which may oppose to the regulations under WTO agreements.

In conclusion, the “Free Trade Regime” and the “Climate Change Regime” interact in various dimensions. They can be opposing and contradictory as well as collaborative and mutually supportive. The contradiction is the consequence of the goal, principles and characteristics of climate change regime which focuses on the enhancement of state’s role, the market intervention by state, the control of economic activities with high GHG emission, and the relaxation of intellectual property protection to promote the transfer of global warming solution’s technologies. These are opposed to the free trade regime which directs towards the limitation and reduction of state’s role, the transfer of power from state to the market system, and the protection of intellectual property rights.

Regarding the collaborative or supportive dimension, certain mechanisms and measures under the climate change regime are compatible with regulations of the free trade regime, for instance the use of market mechanism and trade measures as solving tools. The environmental-related trade measures of the multilateral agreements, especially the post-2012 climate change regime and unilateral measures of developed countries, are likely to be used more as global warming solution initiatives in

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the future (though they may also lead to trade and environmental conflicts).

3. The Interactions of Policy Actors in Multilevel Governance

According to the concept of multilevel governance, the government’s role is decreased in parallel with emerging multilevel governance structure. This is the result of (1) the supranational organizations’ influence on policy formation process in which the decision-making is no longer limited to state actor, (2) the necessity of collective decision for complex problems leading to the reduced control by state, and (3) the linkage of political arena between state, sub-national, andsupranational levels through policy networks. Therefore the decision-making power is distributed among various actors operating at different administrative levels. This notion takes into consideration the process and political authority which transcend the conventional boundary between state and non-state actors as well as between domestic and international political space. The multilevel governance conceptual framework is thus an approach beyond the limitation of conventional political organization and a starting point of understanding of how central government and other actors both state and private sectors interact to formulate and implement policies at international, national and local levels. It emphasizes that state’s policy execution is not only located at different boundaries but also increasingly depended on the interactions with other non-state actors across these levels (Hooghe& Marks, 2003; Betsill&Bulkeley, 2006).

At the beginning of his published article, Marks defined the multilevel governance asa system of continuous negotiation among nested governments at several territorial tiers—supranational, national, regional, and local—as the result of a broad process of institutional creation and decisional reallocation. In addition to the involvement of other actors in decision-making process, the state’s operation is restricted because of the distribution of political authority with other actors from supranational, national and non-governmental organization.The multilevel governance is therefore related to the decentralization of central government’s authority to actors in different levels vertically as well as horizontally to other non-state actors.The “multilevel governance” indicates that policy formation and political authority are influenced or transferred from central government upward to supranational level and downward to sub-national level as well as expanded sideways to non-governmental/public networks.“Multi-level” refers to an increased interdependence of government’s operation within different boundaries whereas “Governance” refers to an increased

interdependence between state and non-state actors also in such various boundaries (Marks, 1993; Hooghe& Marks 2001; Bache & Flinders, 2004).

The concept of multilevel governance focuses on the vertical and horizontal connections of state actors at different levels. Such concept then integrates both vertical and horizontal dimensions.The organization or institution of multilevel governance is no longer bounded in formally hierarchical territorial system but in a non-hierarchical functionally oriented process of context-specific interactions of challenges and the decision-making process. It represents or exerts the authority without considering the official government’s structure but with self-functioning through complex negotiations among actors at several policy layers. This concept describes the replacement of hierarchically political structure by interdependently nested “governance” or network of diverse participatory actors without hierarchical order or center (Braun &Santarius, 2008, p. 9). A part of the reasons why the multilevel governance is still proposed within state’s jurisdiction is its adaptive capacity for the fluctuations of policy externality. The policy externality is caused by the provision of large-scale public goods from the global level such as the case of global warming to local level such as the urban service management (Bache & Flinders, 2004, p. 16).

In conclusion, the general characteristics of multilevel governance are the participation of sub-national authority in multilevel policy formulation to challenge the existing hierarchical processes or stages; the mobilization of societal actors in all spheres and levels of government; the support of societal actors in policy formation, implementation and evaluation; the structure and institutionalization of governance by continuous engagement of both institutional and non-institutional actors; the transformation of government from supranational level to fundamental level; and the transfer of political activities from sub-national to supranational level (Piattoni, 2010, pp. 249-252).

4. Thailand’s Climate Change Policies Underthe Interface of two Globalization Regimes and Interactions Among Policy Actors

According to the study during the negotiations of the United Nations Framework Convention on Climate Change (UNFCCC), the Kyoto Protocol, and the post-2012 international climate change regime, of overall climate change policy in Thailandon 4 thematic comparative policy cases which are (1) the Reducing Emission from Deforestation and Forest Degradation in Developing

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Countries (REDD), (2) the carbon credit project in forest sector, (3) the National Master Plan on Climate Change, and (4) the carbon labeling, the interaction between the 2 globalization regimes provides the policy environment that influences the change and evolution of climate-related policies in terms of policy process and content. Nonetheless the pattern of interactions between environmental and economic globalization regimes is uncertain, complicated and dynamic. Oftentimes the environmental globalization is more influential than economic globalization but vice versa in various occasions. In many cases, both regimes are relatively harmoniously integrated. The key findings of this study are:

4.1 Each international climate change agreement - the UNFCCC, the Kyoto Protocol, and the post-2012 international climate change regime – is the “product” of environmental globalization regime. However, it is not the sole influencing factor in the period of negotiation. The economic globalization regime also exists in parallel. Thus the negotiating process of these agreements involves the aspects of contradiction, bargaining or harmonization of environmental and economic goals. Each international climate change agreementtherefore is the outcome of the interaction between the 2 globalization regimes and provides the policy environment that influences the change and evolution of climate-related policies in terms of policy process and content in Thailand.

The pattern of interactions between environmental and economic globalization regimes is uncertain, complicated and dynamic depending on other external factors such as scientific knowledge on global warming, the severity of climate change situations, the roles of policy actors in driving globalization process, etc.

Although the environmental globalization regime was very influential during the negotiation for the UNFCCC, the economic globalization led by the USA managed to impose resistance on it. Together with the lack of clarity in scientific knowledge on global warming, this resulted in voluntary GHG emission reduction target in the UNFCCC without any mandatory obligation.The environmental globalization regime still acquired high influence in the negotiating process of the Kyoto Protocol. Japan which played the leading role in the international environmental platform as the host country of COP3 took as its national political agenda to finalize the Kyoto Protocol. In addition, the scientific knowledge on global warming gained increasingly solid evidence that the anthropogenic GHG emission was the cause of climate change. As a result, the mandatory GHG emission reduction target was determined even with low level of targeted parameter due to the compromise from the

resistance of economic globalization significantly driven by the USA (the Senate).

During the negotiation of the post-2012 international climate change regime, there were heightened clash between environmental and economic globalizations. The requirement of high GHG mitigation and the shared obligation of both developed and developing countries resulted in thefailure to reach the conclusion as expected in the negotiation plan in 2009. In order to push forward the negotiating process and resolution, the Cancun Agreement was designed in its structure and content to mediate the conflicts between environmental and economic goals through increased convergence of 2 globalization regimes. The GHG mitigation target was hence changed from global cap to nationally determined target (pledge).

4.2 Each climate change agreement is an influential policy environment in policy formation of Thailand. Policy-making process and climate change policy in Thailand within each time frame were adjusted and responded to the international climate change agreements of the same period. This article focuses on analyzing GHG mitigation target as a direct collision of both globalization regimes.

Within the period of the Kyoto Protocol, the climate change policy making of Thailand was attached to the principle of Common ButDifferentiated Responsibility. No-regret policy or win-win policy framework underlay its GHG mitigation policy in which Thailand was involved through the sustainable development approach without a quantitatively set GHG target. The awareness and participation of the stakeholders and the public were limited at this stage. Because the structure of the Kyoto Protocol aimed to set GHG reduction obligation only for the developed countries, the national organization responsible of policy development of Thailand was thus designated as “subcommittee” under theNational Environment Board chaired by the Secretary-General of the Ministry of Science, Technology and Environment (in that period).

For the period of the post-2012 international climate change negotiation, the stakeholders and general public increased the awareness and participation in policy-making process extensively. The policy actors engaged in setting global warming policy framework have connected the issue with national policies on development, economic growth, international trade, etc, not specifically on the environment. Moreover there were numerous emerging policy issues such as REDD Plus, Nationally Appropriate Mitigation Actions (NAMAs), Sectoral Approach, etc, the establishment of new policy-based organization as the National Board chaired by the Prime Minister

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which portrayed the increased level of importance of climate change policies. The policy making process reached the turning point during this period by recognizing the necessity to set GHG mitigation target, to divert national development policy concept and direction towards “low carbon society,” and to modify the production structure to “low carbon economy” as clearly stipulated in the draft of the 11th National Economic and Social Development Plan. The private policy actors under the name of “Private Sector Joint Committee” (the Federation of Thai Industries, the Thai Chamber of Commerce, and the Thai Bankers’ Association) had officially proposed the government for a clear GHG emission mitigation target.

4.3 The interactions among policy actors in climate change policy making process of Thailand in general and in the 4 case studies share many patterns and characteristics with the multilevel governance theoretical framework. In other words, the policy decision-making authority is not state-centralized but more dispersed among other policy actors at different levels. The climate change policy actors in Thailand, either state or non-state actors, collaborate and interact institutionally with international or supranational policy actors. The political activities as a corollary have shifted from the national stage downwards to sub-national level and upwards to supranational level.

The conventionally hierarchical governance structure is being challenged in a greater scale. The state’s authority and role as a regulator and gate keeper are restricted in terms of central-periphery gate, domestic-international gate, and state-society gate. Cases such as the low carbon city policy of Muangklang Municipality inRayong Province, the involvement in the international networks of local governments (International Council for Local Environmental Initiatives – ICLEI) of Klang Municipality, Phuket Municipality and Bangkok, the participation in the project for carbon credit from forest sector in voluntary carbon market, the opposition against the National Climate Change Master Plan by civil society organizations and networks, etc. are the examples that represent the change and interactions towards multilevel governance.

Further than that, there are several cases which the external and supranational policy actors conduct the activities in order to push forward the relevant climate change policies. These GHG reduction activities do not require the official approval or sanction from governmental agencies. They are the results of political and policy mobilization which transcend the boundaries of domestic and international political arenas. For instance, the UK government placed as a precondition for budgetary assistance in climate change that pressured Thailand

to support Copenhagen Accord, the project for carbon offset in forest sector which the private companies acted as brokers to convince farmers and general public to participate so that the carbon offset from this sector can be collected and sold in global voluntary carbon market, etc.

Taking into account the overall scenario of interactions among different policy actors in climate change policy making process in Thailand, many cases revealed that the policy decision-making authority was transferred vertically from the government to supranational and sub-national governance as well as horizontally to other non-state actors, civil society organization networks, and private sector.

At the supranational level, the post-2012 international climate change regime (one of the global environmental regimes) is an influential factor for political mobilization, policy formulation, and interactions among climate change policy actors in Thailand.At the sub-national level, the state actors – national, regional, and local governments (especially the local administrative organizations) – play an important role in driving climate change policies and interact directly with supranational and external policy actors. Horizontally the non-state policy actors are the driving force of political and policy process which has an impact on the change of decision and policy formation process of state sector as in the case of developing the National Climate Change Master Plan.

Nonetheless, not all political mobilizations by sub-national actors from both civil society organizations and private sector will always succeed in influencing the policy formulation. Such cases are the opposition against Copenhagen Accord by the Climate Change Working Group under the “Private Sector Joint Committee”, the proposal by civil society organizations for the moratorium and review of clean development mechanism, for instance. They are consistent with a criticism that the multilevel governance over estimates the capacity of sub-national policy actors (Fairbrass& Jordan, 2004).

4.4 Based on the study of climate change policy evolution within the context of 2 globalization regimes and the transformation towards multilevel governance in Thailand, the state still maintain its authority and leading role in some aspects while at the same time necessarily adjusting the pattern or methods of exercising its power.

On the one hand, the state has lost its authority and role as a “gate-keeper” between central-periphery, state-society, and domestic-international gates according to centralized state approach. Cases in this respect are the involvement of international

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network such as ICLEI which accelerates the GHG reduction by local administrative organizations, the participation in carbon offset project from forest sector in voluntary market, the presence of civil society organizations from Thailand in COP without government’s approval, etc. In addition, there are many new mechanisms which restrict and monitor the exercise of state’s authority and operation; for example, GHG emission inventory reports, the monitoring schemes of GHG mitigation activities by international community, and the Measurement, Reporting and Verification (MRV) mechanism of GHG mitigation.On the other hand, the state still plays a decisive role even without previous absolute authority. In contrast to the continuous resistance from private and business sector since early 2010, the government eventually decided to render support to the Copenhagen Accord at the end of 2010.

The impact of globalization on state’s authority and overall impact from economic globalization have led to the transfer of authority from state to the market. The state’s role becomes restricted and decreased. Nevertheless, within the environmental globalization regime, the multilateral environmental agreements have not completely rid the state of its authority. In certain aspects, the state must assume more authority and role in intervening in the market mechanisms, such as setting GHG mitigation target, controlling and reducing economic activities with high GHG emission to fulfill the determined obligation, developing a list of GHG reduction activities and measures for Nationally Appropriate Mitigation Actions (NAMAs), setting of GHG emission referencing scale for REDD plus mechanism.

References

Bache, I. and Flinders, M. (2004). Themes and Issues in Multi-level Governance. In Bache, I. and Flinders, M. (2004). Multi-level Governance. Oxford University Press.

Betsill, M. M., &Bulkeley, H. )2006 .( Cities and the Multilevel Governance of Global Climate Change. Global Governance, 12, pp.141-159.

Braun, M., &Santarius, T. (2008). Climate politics in multi-level governance system: Emission trading and institutional changes in environmental policy-making. Wuppertal Institute for Climate. Environment and Energy.

Dunn, N. W. (1994). Public policy analysis: An introduction. New Jersey: Prentice Hall.

Fairbrass, J., & Jordan, A. )2004 .( Multi-level governance and Environment Policy. In Bache, I. and Flinders, M. (2004). Multi-level Governance. Oxford University Press.

Hooghe, L. and Marks, G. (2001). Multi-level Governance and European Integration. Boulder: Rowman& Littlefield.

Hooghe, L and Marks, G. (2003) Unraveling the Central State, But How? Types of Multi-Level Governance. IHS Political Science Series: 2003, No. 87. [Working Paper]

Marks, G. (1993). Structural policy and multilevel governance in the EC. inCafruny, A. and Rosenthal, G. (1993). The state of European Community Vol. 2: The Maastricht Debates and Beyond. Boulder/Harlow: Lynne Rienner.

Piattoni, S. (2010). The Theory of Multi-level governance: Conceptual, empirical, and normative challenges. New York: Oxford University Press.

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Does the government have a role to play in promoting voluntary environmental programs? The Case of ISO 14001 Environmental

Management System Certification in Thailand

Dr. KanitthaTambunlertchai Faculty of Economics, Chulalongkorn University,Bangkok, Thailand

Email: [email protected].

Abstract

This paper examines the case of the international voluntary certification scheme for environmental management systems, ISO 14001, within the setting of three manufacturing sectors in Thailand. The paper raises the question of whether or not the government has a role to play in promotingthe use of these non-mandatory commitments to improve firm environmental performance, and attempts to provide an answer to this question through a mixture of theory and findings from a primary survey questionnaire. The focus of the paper is on firms from food and beverages, textiles and wearing apparel, and electronics and electrical appliances industries, which are representatives of the three main types of manufacturing activities in the country. The paper finds that the government does have a role to play in promoting the adoption of ISO 14001,and it goes on toprovide policy recommendations for state agencies. 1. Introduction

While the decades since the end of the Second World War have seen the rapid industrialization and improvements in social welfare indicators of many Third World countries, growing environmental problems have generated concerns that such unsustainable patterns of growth in these countries must be addressed. In the United Nations Economic and Social Commission for Asia and the Pacific’s (UNESCAP) state of the environment report, it was clearly stated that rapid economic growth has exacted ‘a very high cost’ on the region’s natural environment and that ‘declining environmental sustainability represents a critical political, institutional, social and economic threat for many countries in the region’ (UNESCAP 2006: p.18). In Thailand, the focus of this paper, the process of industrialization has led to the loss of once-abundant forestland, degradations of rivers and coastlines, rising industrial pollution, increasing incidents of industry-related accidents and illnesses, and increasingly serious conflicts over natural resources, especially the allocation and management of water, between industrial and other uses(World Bank 2000, 2001, 2002, 2003, ONEP 2008, PCD 2008, World Bank 2011).

One solution to growing environmental problems worldwide is voluntary environmental program (VEP). Broadly defined as any non-mandatory commitment on the part of the firm that aims to improve their environmental performance, VEPis the newest tool in the environmental managers’ toolbox in addition to the more traditional command-and-control (CAC) approach, and the theory-based economic instruments (EIs). The tool has enjoyed a rapid increase in the last few decades, with numbers rising first in the developed world, and now spreading quickly to the developing countries (UNRISD 2000, Brink 2002, Lyon and Maxwell 2002, Blackman 2008, Blackman et al. 2009, ISO 2010). Of the array of VEPs in existence, the International Organization for Standardization’s (ISO) environmental management system (EMS) certification (ISO 14001) is the most prominent (Prakash and Potoski 2007). With 250,972 certifications in 155 countries worldwide(ISO 2011), the global presence of the scheme and its uptake in an array of sectors in many developing countries have made the understanding of the program an imperative. Yet data limitations have hampered analysis of the program in the developing country context, leading to an incomplete understanding of this international voluntary scheme in a setting where environmental protection and poverty-reduction goals must go hand-in-hand and where policymakers are constrained by limited institutional capacity, tight budgets, and little information(Eskeland and Jimenez 1992, Turner et al. 1994, Kruger et al. 2003, Russell and Vaughan 2003, Welford 2004, Graham and Woods 2006, Blackman 2010). This paper addresses this gap in the literature by studying the role of the government in the adoption of ISO 14001 in three key manufacturing sectors in Thailand. These are the food and beverages, textiles and wearing apparel, and electronics and electrical appliances industries. 2. ISO 14001 Voluntary Environmental

Management System Certification in Thailand

Rapid industrialization in the 1960s through to the 1990s saw the Thai economy transformed from an agricultural economy to one reliant on manufacturing industries and exports. The Thai

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manufacturing sector today accounts for roughly forty percent of the country’s GDP and brings in over eighty percent in export revenues. While this change has brought about improvements in the country’s social welfare indicators, the country also suffered severe environmental degradation as a result of the ‘grow first, clean later’ policy of successive governments. Thailand’s response to growing industrial environmental threats has traditionally been state-led, with the mainstay and most prominent of the environmental management tools used being the command-and-control approach implemented through two key legislations regulating all manufacturing facilities in the country2. However, the country has not had a very good track record in monitoring and enforcement of these legislations (Rock 2002). In addition to this, for developing countries such as Thailand, weak institutions, limited budgets, pro-growth mindset, and corruption have all hampered the implementation of command and control policies (Rock 2002, Welford 2004, Jarusombat 2008). Furthermore, attempts to remedy the problems associated with CAC tools by introducing emission charges, a form of economic instrument, have failed to gather support from pro-growth legislators, resulting in limited application of economic instruments in the country. As a result, policymakers in Thailand are increasingly looking to voluntary environmental programs as a means of supplementing existing environmental management tools. ISO 14001 is an internationally-recognized certifiable voluntary standard that organizes a firm’s environmental management system. Developed by the International Organization for Standardization with inputs from its member countries, the certification was designed to serve as a benchmark international standard for EMS with the hope that it would facilitate global trade (Roht-Arriaza 1995, Clapp 1998). Since its promulgation in 1995, the standard has since spread to 155 countries and certifications have reached 250,972 at the latest annual ISO survey(ISO 2011). The global status of the voluntary standard has further been compounded by its recognition by the World Trade Organization (WTO) as a permissible non-technical barrier, permitting its use as a trade condition (Clapp 1998). This development has made the ISO 14001 voluntary program especially relevant to developing economies such as Thailand, which seeks to achieve economic development through export-led industrialization but are, at the same time, faced by growing environmental problems. Thus, it is hardly surprising that countries of the Far East accounts for

2These legislations are the Factory Act of 1992 and the Enhancement and Conservation of Natural Environmental Quality Act of 1992.

roughly 49.8 percent of all ISO 14001 certifications worldwide(ISO 2011). ISO 14001 is a process-based standard, designed to be compatible with the functions of any organization or entity. As such, it differs from CAC and EIs in that it does not set specific emissions or technology standards, and neither does it set pollution charges. Under ISO 14001, firms have the freedom to set their own environmental objectives, although they will have to strive to keep their operations in compliance with all aspects of existing regulations3.This condition makes the standard more similar to VEPs operating in developing countries, which aim at combating the long-standing problem of widespread non-compliance with existing environmental regulations (Blackman and Sisto 2006). Industrialized countries’ VEPs, on the other hand, are used to encourage firms to go beyond compliance with existing environmental regulations. As a tool for environmental improvement, ISO 14001 certification requires the firm to invest non-trivial amounts of its resources. Costs borne by the firm include those directly associated with the certification process such as auditor fees, application fees, and annual fees, and additional costs borne when preparing for and implementing EMSs according to specified standards. While costs differ from firm-to-firm, Raines et al. (2002) estimates that the average cost to a developing country firm seeking ISO 14001 certification is 76,975 US Dollars4. For a typical firm in Thailand, certification ranges from 40,000 to 80,000 Thai Baht for the first year and 20,000 to 40,000 Baht annually for subsequent years5. However, when non-direct costs are taken into consideration, the total expenditure can exceed 1 million Baht (31,763 US Dollars)(TEI 1999, Sutthanund 2000). Implementation costs can be substantially higher for larger firms (Prakash and Potoski 2006). One such firm in the electronics sector in Thailand reports spending almost 50 million Baht (1.57 million US Dollars) to become ISO 14001 certified (TEI 1999).6

3In theory, the job of theISO 14001 auditor is to look at the EMSs that are in place to address regulatory compliance and not the actual compliance status. However, according to Prakash and Potoski (2006), external review audits invariably address compliance issues. 4 Average costs are lower for Chinese firms, at an estimated 58,111 US Dollars (Raines et al. 2002). 5 Figures from personal correspondence with an officer at one of the country’s official certification body. Fees quoted are for Thai-brand certification bodies. Foreign-brands typically charge higher fees. 6The exchange rate used is 31.763 Thai Baht to 1 US Dollar.

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3. Is there a role for governments in voluntary programs?

While VEPs are non-mandatory, this paper argues that successful implementation of voluntary programs such as ISO 14001 requires the government to play many important roles.7 One important role by the government is as the provider of background regulatory and policy context within which the firms operates, a role that has received much attention from the voluntary program literature. In the model developed by Segerson and Miceli(1998), a firm will choose to accept the government’s offer of participating in a voluntary agreement when the probability of the government enacting tougher legislations if the firms fail to participate is non-zero. Club theory also predicts that more stringent background regulations will result in higher likelihood of participation in voluntary schemes since it reduces the relative cost of adoption (Prakash and Potoski 2006). These theories are empirically supported by Henriques and Sadorsky(1996),Tambunlertchai et al. (In Press), and Welch et al. (2000), which find that regulators play a role in determining the adoption of environmental plans and ISO 14001 environmental management system certification among Canadian, Thai, and Japanese firms respectively. On the flip side, voluntary programs have been shown to be a better policy choice when legislative threats are low under some circumstances. In a model developed by Glachant(2007), voluntary programs are preferred to a legislative pollution quota when lobbying by businesses are particularly strong. Glachant(2007) also concludes that in situations where legislative threats are credible and sufficiently strong, it is better to use legislation as a tool for environmental management rather than voluntary approaches. This view coincides with Blackman et al. (2006), which uses a dynamic game theory model to show that promoting voluntary agreements may be social-welfare-enhancing when the probability of federal enforcement is low, and voluntary agreements allow for a significant penalty for non-compliance in the future.8 The role of the government in determining the existing background regulatory context for

7VEP adoption impose costs on participating firms while under non-participation clean-up costs would generally be borne by the public or other third parties. In the presence of externalities, governments are usually looked upon to correct these market failures. 8Blackman et al. (2006) examines voluntary approach by way of negotiated agreements between environmental regulators and industries. The paper develops a dynamic model in which voluntary agreements adopted provides a grace period when no penalties are exacted on non-complying firms. However, outside of this period, more stringent penalties will be applied if firms still fail to comply with environmental regulations.

voluntary programs is especially important for schemes such as the ISO14001 environmental management system certification. Sponsored by an international non-governmental organization such as ISO, the ISO14001 program is overseen by nationalmember agencies. For Thailand, this agency is the Thailand Industrial Standards Institute (TISI), which is a part of the Ministry of Industry (MOI). As a member of ISO, TISI is responsible for overseeing all aspects of ISO 14001 in Thailand including participation in its development, and supervision of the qualification of ISO 14001 auditors and certification bodies (CBs), private agencies authorized to award ISO 14001 certification. Furthermore, the minimum requirement for having ISO14001 certification is compliance with existing regulations. As a result, the government’s role in determining the background regulatory context within which the firm operates is also important for the ISO14001 program. Thus, environmental standard-setting bodies, and regulatory agencies are also important players. For the Thai manufacturing sector, the relevant agencies are the Department of Industrial Works (DIW), a department within MOI which is responsible for regulating industrial facilities in Thailand;and the Industrial Estates Authority of Thailand (IEAT), a state enterprise overseen by MOI, which has jurisdiction over industrial facilities located in industrial estates that are situated in various locations throughout the country. ISO 14001 is also relevant to many non-governmental institutions that play advisory roles to ISO 14001 adoption or to industrial firms, many of which were once government agencies or are closely associated with the government. These include the Thailand Productivity Institute (TPI), the Management System Certification Institute (MASCI), and national industrial institutes such as the National Food Institute, the Electrical and Electronic Institute, and the Thailand Textile Institute. As a policymaker, the government also has a role to play in determining whether or not to promote the use of voluntary programs as a means for environmental management. While the government does not set the requirements for programs such as ISO14001 certification, the government can choose whether or not to promote the use of voluntary programs as an environmental policy tool. It is also within the jurisdiction of the government to decide whether such programs should be the sole environmental policy adopted, or should it be implemented as one policy instrument in a mixture of other policy tools. This latter option is the recommendation of many policy-oriented studies (Bizer and Jülich 1999, OECD 2003, Prakash and Potoski 2006).

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Thailand has a long track record of government involvement in planning and promoting industrial activity beginning with the setting up of the Board of Industrial Investment in 1960 to promote private and foreign investment in the country9 . The government also drafted five-year national social and economic development plans to provide a framework for industrial development in the nation. The first plan was implemented in 1961, and the eleventh plan (2012 – 2016) is in operation today. IEAT was also established to develop industrial estates and monitor activities within them. Government agencies and non-government organizations have also established schemes to help firms with the implementation of EMSs and ISO 14001. For example, the Department of Industrial Works has its ‘EMS for SMEs’ program which aim at helping small and medium enterprises (SMEs) establish EMSs and, if it chooses it, to obtain ISO 14001 certification. Thailand Industrial Standards Institute alsoperiodically provides trainings and consultations on ISO 14001 under its ‘TLC10 ISO 14001’ scheme, and national standards institutes also offer trainings on ISO 14001 and EMS process. The focus of the data collection phase of this research is to examine the role of government in terms of policy options to promote the application of ISO 14001. The paper takes the perspective of the firm, since they are the main targets of government policies to promote ISO 14001 adoption, and, ultimately, it is the firms themselves who are responsible for implementing the EMS standard. 4. Data Collection

To determine the view from the Thai manufacturing sector on the role of the government in promoting ISO 14001, this study collected data through mail surveys of manufacturing firms in Thailand. Three main types of manufacturing activities are especially important to the country. These are resource-based industries, which mainly use agricultural products as raw materials; labor-intensive industries, which have high labor content in production; and engineering or high-technology industries, which manufacture products such as automobiles and parts, computer parts, and other electronic and electrical appliances. This paper has selected three industries which correspond to each type of manufacturing activity. These are the food and beverages industry, a representative of the resource-based industries; the textiles and wearing apparel industry, representing the labor-intensive type; and the electronics and

9 The Board is now known as ‘Board of Investment (BOI)’ and operates under MOI. 10TLC stands for Training Lead Consultancy, and is a term TISI uses to refer to its sessions of training and consultation aimed at helping firms achieve international industrial standards.

electrical appliances to represent the last type of industries. A questionnaire was developed, pilot-tested, and eventually mailed out in April 2008 to a sample of approximately 4,400 firms from the three industries of interest. Those sampled include both ISO 14001 and non-ISO 14001 firms, with the sampling frame obtained from MOI’s list of registered factories and TISI’s list of ISO 14001 certified firms. All ISO 14001 firms were sampled, while non-ISO 14001 firms were stratified by industrial classification, size, and location, and then randomly sampled within each strata. Follow-up calls were made to increase response rates. These methods yielded 494 usable responses, a response rate of 11.3 percent, a figure in line with non-governmental mail surveys of firms in Thailand. Of this number, 157 responses come from the food and beverages industry, 141 from the textiles and wearing apparel industry, and the remaining 194 are from the electronics and electrical appliances industry. 188 of 494 firms have ISO 14001 certification. (See Table 1).

5. Characteristics of Responding Firms

and Their Opinions

Responding firms are of various sizes, and produce a variety of products. Most firms are located outside pollution-control areas, and less than one-fourth (123 firms out of 494 firms) are located in industrial estates. Of the 494 responses, 183 firms or 37 percent receive varying degrees of foreign direct investment (FDI), and more than half of this number reply that they are wholly foreign owned. Of the total respondents, 257 firms have varying percentages of exports. Thus, there is a good mix responding firms between FDI and non-FDI firms, export and non-export oriented firms, and firms with varying sizes and producing different product types.

5.1 Food and Beverages Industry Responses

5.1.1 For Those With ISO14001

Of the 157 firms which have replied to the questionnaire from the food and beverages industry, 47 firms have ISO14001 certification. Most of the firms which replied said they obtained ISO 14001

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certification through their own initiatives, although some did receive help from their parent companies and were encouraged by non-governmental agencies and their trading partners.

Asked if they thought the government had a role to play in encouraging ISO 14001 certification, 30 firms out of the 64 which replied said that they believed the government does have a role to play and that the state has been fairly successful in promoting ISO 14001 adoption. 23 firms said that the government does have a role to play, but that it has not been successful in promoting adoption. Three firms replied that the government has done an excellent job, while the rest of the firms said the government does not play any role in promoting ISO 14001.

When asked what things the government could do to encourage ISO 14001 adoption, 42 firms replied that they wanted the government to provide financial aid such as tax reductions/ exemptions, and low interest loans. 24 firms stated that they want the government to provide advice on how to follow ISO 14001 standards, and 25 firms replied that they want the government to create a database of environmental laws, and to provide information to interested firms. Many would also like the government’s help in training employees on ISO 14001 procedures. Replies to open-ended questions include calls for provision of free training to environmental managers and other environmental personnel, and comments that the government should provide funds for environmental improvements.

5.1.2 For Those Without ISO14001

For those without ISO 14001 certification, the questionnaire included a question asking firms if they have ever received any help from any sector (government and non-government) in improving their environmental performance. To this question, firms in the food and beverages industry which replied to this section answered that most have received help from government agencies such as DIW, Ministry of Energy (MOE), regional DIW offices, regional environmental offices, state technology universities, and research institutes. Firms have also been helped by non-governmental agencies such as MASCI, the Energy for the Environment Foundation, Thailand Environment Institute (TEI), and Federation of Thai Industries (FTI). Only a few companies replied that they have received help from their trading partners, or the IEAT.

Firms without ISO 14001 were also asked what measures they would like to see in order to make them consider ISO 14001 adoption. The majority of firms in the food and beverages industry replied that they would partake in ISO 14001 if they received financial benefits and/or free or partially subsidized

trainings. Incentives such as ISO 14001 consultation or the gathering of relevant information were less important. Another suggestion on potential measure is to reduce the cost of certifying to ISO 14001 standard.

5.2 Textiles and Wearing Apparel Industry Responses


From firms which replied to this question, about half of the responded that they find government efforts in promoting ISO 14001 have been successful to a certain extent. However, about a quarter reported that the government has been rather unsuccessful, while another quarter of firms replied that the government has failed in promoting ISO 14001. Only one firm replied that the government has been exceptionally successful.

Asked which measures they would prefer from the government to promote ISO 14001 certification, the majority of firms replied financial support such as tax incentives or low interest loans. Compilation and publication of information on relevant environmental regulations interested some firms, and a few firms supported help in training programs and the setting up of advisory systems for firms regarding certification. Other suggestions include revoking permits to operate to firms which do not have ISO 14001 certification, and having promotional measures that are applicable to organizations of all types and sizes.


Asked whether they had received help in improving their environmental performance from any government or non-government agencies, firms in the textiles and wearing apparel industry without ISO 14001 replied that they received help from DIW, the environmental department branch of the local Bangkok Metropolitan Administration’s offices, and state universities such as Chulalongkorn University, Mahidol University, and Rajamangala University of Technology. Non-government agencies which helped firms include Thailand Research Fund, TEI, and MASCI. A few firms also reported to have received help from their trading partners.

Firms that replied to this section commented that they would like to see government’s support in terms of provision of academic support and consulting services in order to improve the firm’s environmental management systems as the firms face high costs and suffer from a lack of trained personnel in overseeing environmental matters. Firms also think that the government should help them navigate the complex procedures in setting up ISO 14001 systems.

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5.3 Electronics and Electrical Appliances Industry Responses


The majority of responding firms in the electronics and electrical appliances industry with ISO 14001 believe that the government has been quite successful in promoting ISO 14001 certification. However, about 11.7 percent of the firms believe that the government has been unsuccessful in encouraging ISO 14001 certification, or that the government does not have a role to play in helping firms apply for the standard.

Asked what measures they would like to see from the government to promote ISO 14001 adoption, approximately half replied that they would like financial support such as tax exemptions or low interest loans from the government. Firms also wish for personnel training programs, as well as the publication of information on ISO 14001, but more weight is given to the compilation and publication of ISO 14001-relevant information.

Firms which replied to open-ended questions further suggested that they would like the government to promote EMSs in SMEs. One firm also said that the government should target polluting factories such as sugar mills and cement factories, while one other firm suggests that the government should give specific criteria for the firms they would like to see adopt ISO 14001. A large firm suggests that the government should be stricter towards SMEs which are heavy polluters, asking them to have plans for both short and long term to manage pollution. Several firms also suggest a participatory approach where all stakeholders are involved in environmental management.


For firms without ISO 14001 in the electronics and electrical appliances industry, agencies which have helped them improve their environmental performance include both government and private-sector agencies. Government agencies include PCD, regional DIW offices, the DIW itself, TISI, and, in terms of energy usage, the Electricity Authority of Thailand (EGAT). Private sector agencies which have been cited include TPI, TEI, and FTI. A handful of firms also replied that they received help from their trading partners and one firm was helped by IEAT.

Asked what measures they wish the government would implement to induce them to adopt ISO 14001, the majority of firms replied financial benefits such as tax exemptions and low interest loans. A number of firms reported that they would like help in training their personnel, and more information and

advice on ISO 14001. A similar number of firms reported that they would sign up if there was a database of all relevant environmental legislations in place.

In answer to the open-ended question asking firms to comment on the role of the government and non-governmental sectors, one firm replied that the government should have more environmental campaigns. Another said that the government should provide training on how to monitor pollution. Yet another firm replied that they wish to see the government provide knowledge to organizations of all sizes.

6. Summary of Findings and Discussion

Responses from firms in the three manufacturing industries in Thailand suggest that there are industrial differences in the level of satisfaction on the role played by the Thai government in encouraging ISO 14001 certification. In general, firms in the more traditional industries, i.e., food and beverages, and textiles and wearing apparel industries, are less satisfied with the government than firms in the electronics and electrical appliances industry. Of the state agencies that have been cited by firms as being helpful to furthering their environmental improvement, DIW takes the leading roles in all industries, followed by state universities, with TISI being mentioned as helpful by firms in the electronics and electrical appliances industry. However, many of the firms cited that they have been helped more by non-state organizations, particularly MASCI, TEI, TPI and FTI.

Measures the firms in all industries would like to see are invariably financial incentives that would help firms handle the high costs associated with ISO 14001 certification such as low interest loans and tax incentives. Firms would also like personnel training, and for the government to provide them with information and consultation services on ISO 14001 adoption. These latter policies are cited less than financial incentives. This could be because government agencies already provide some services in this area such as DIW’s ‘EMS for SMEs’ program and TISI’s periodical ‘TLC ISO 14001’ schemes. However, these programs are at present limited. For example, ‘EMS for SMEs’ is currently being implemented for firms in two locations, and ‘TLC ISO 14001’ occur only periodically.

Findings from the primary survey concur with discussions in Section 3 that the government does have a role to play in promoting the adoption of ISO 14001 certification for firms in the three manufacturing sectors in Thailand. The findings also suggest that, in addition to providing background regulatory and policy contexts, the government can also play a part in promoting ISO 14001 adoption

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through the provision of financial incentives, personnel training, and provision of relevant information. However, while firms from all industries agree on what measures they would like to see from the government, there are some discrepancies in their appraisal of prior government roles in promoting the certification to ISO 14001. Firms from more traditional industries such as the food and beverages, and textiles and wearing apparel sectors are less happy with the role played by the government, compared to firms in the electronic and electrical appliances industry. This could be due to the fact that firms in these industries are less capital intensive than firms in more high-technology sectors, and obtaining ISO 14001 certification requires non-trivial investments on the firm’s part. Since there are, at present, no substantial financial help from the government to allay the costs, firms which would need assistance to obtain ISO 14001 certification are dissatisfied with the government’s role. Furthermore, dissatisfaction could result from the fact that many firms in these two industries are small and medium enterprises (SMEs) which have not received much help from the government in establishing EMSs and applying for ISO 14001 certification until recently.

However, such support for direct financial measures such as tax incentives and low interest loans on the part of the firms need not mean that government intervention should only take this form. In fact, from the policymaker’s perspective, budget constraints often faced by developing country governments may make it difficult to offer direct assistance in the form of financial measures. Instead, the government should aim to address the high costs of ISO 14001 certification, which pose obstacles to VEP adoption in less capital-intensive industries using less funds-based means. This could be done through the provision of training, information, and consultation services, which could be achieved by using in-house experts within TISI and DIW, and through collaborations with existing non-governmental agencies that already provide such services such as MASCI, TEI, TPI, and the national industry institutes.

Provision of information on ISO 14001 will not only help firms overcome misgivings regarding the VEP due to misconceptions, but will also address the problem of non-participation resulting from the lack of understanding of the complicated procedures of ISO 14001. Information provided could be tailored to suit the needs of firms, which could be ‘novice’ firms with no knowledge of ISO 14001, or ‘intermediate’ firms with some knowledge of ISO 14001. Novice firms could be provided with an introductory course to give them an overview of the program in order for them to make an informed decision on pursuing certification. Firms which already have the basic knowledge of EMSs, but are

just starting out would benefit from contacts with experts. Peer-to-peer learning can also be initiated by policymakers to get non-certified firms in touch with certified ones who are willing to share their experience with ISO 14001 certification. Advanced firms well on their way in implementing ISO 14001 systems can also benefit from contacts with experts at TISI, MASCI, TEI, and TPI, or even contact with each other to share success stories and to discuss potential solutions for obstacles. Firms would also benefit from the gathering of relevant legislations pertaining to different types of firms and industries. This could be done, and provided for firms at little or no cost. A list of providers of certification services should also be published in order to reduce search costs for those firms seeking to certify their EMSs. Furthermore, it would be beneficial to set up a taskforce comprised of members of the relevant government and non-government agencies who work on ISO 14001 to serve as the go-to point for those firms interested in signing up for ISO 14001 certification. The taskforce should work closely with industry-specific institutes, which have close contact to manufacturing firms, and which have been increasingly keen on addressing environmental issues. 7. Conclusion

This paper studies the ISO 14001 international voluntary certification scheme within the context of three manufacturing sectors in Thailand, and began by asking the question of whether or not the government has a role to play in promoting these non-mandatory commitments by firms to improve their environmental performance. The paper argues that there is room for government involvement, even though a firm can obtain ISO 14001 certification without state intervention. By providing the regulatory and policy context within which the firm operates, and through the setting of environmental legislations that firms seeking to achieve ISO 14001 status must strive to adhere to, the government plays a direct role in the implementation of the ISO 14001 voluntary program. Furthermore, the government can also be directly involved through activities and schemes that can help promote ISO 14001 certification. Implemented schemes include DIW’s ‘EMS for SMEs’, TISI’s ‘TLC ISO 14001’, and other trainings and seminars. Further policies that can be implemented by the relevant policymakers include the gathering of information and provision of consultation services on matters pertaining to ISO 14001 certification. Government agencies such as DIW and TISI could also work with non-government entities such as MASCI, TEI, and TPI, as well as the relevant national institutes to set up a taskforce for ISO 14001 certification that could serve as the go-to point for firms wishing to attain

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ISO 14001 status. With all the existing and proposed policies, this paper has shown that there is, indeed, a role for the government to play in promoting the use of the ISO 14001 international voluntary environmental program.

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The Study on the Interaction among Key Actors in Clean Development Mechanism Projects in the Kingdom of Thailand: A Case Study of Korat Waste to Energy Project

Ms. Chanatporn Limprapoowiwattana

Master of International Relations student, Faculty of Political Science, Thammasat University

Supervised by Prof. Dr. Soparatana Jarusombat

ABSTRACT

This paper focuses on the interaction among key actors in Clean Development Mechanism(CDM) projects, specifically studied on a case of Korat Waste to Energy project.In this case the interaction among key actors will be studied at international, national, and local levels. The key actors focusing in this project include the United Nations,Korat Waste to Energy Company Limited, Trading Emissions PLC, Eco Security Group Plc,governments of the United Kingdom of Great Britain;the Kingdom of Thailand (a host party);Northern Ireland; and Switzerland.

In the study I found that the levels of cooperation among international actors in Korat Waste to Energy project depend on types of goal interdependence among parties.Also, the interaction among key actors taking place during the implementation process of Korat Waste to Energy projects reflects both cooperation and competition. Positive goals interdependence among key actors resulted in a high level of cooperation, while negative goals interdependence led to competition among key actors in Korat Waste to Energy project. Key Words: Interaction, Key Actors, Clean Development Mechanism

INTRODUCTION

Statement of Research Problem Due to the fact that the problem of climate change is a cross border problem, it requires collaboration among international actors. UNFCCC is a main organization that has active roles for combating the climate challenge. Because there is an urgent need for tackling the problem of climate challenge; the United Nations took a lead in creating effective mechanism for responding to the problem. As a result “the Kyoto Protocol was adopted in Japan on 11 December 1997 and it entered into force on 16 February 2005”11. Kyoto Protocol is expected to be an effective element, possibly helps to decrease the severe level of global warming, the factor leading to

11 UNFCCC, “Kyoto Kyoto Protocol.” 1997 Accessed May 12, 2012, from http://unfccc.int /kyoto_ protocol/ items/ 2830.php/

climate change. “The Kyoto Protocol is an international agreement linked to the United Nations Framework Convention on Climate Change. The major feature of the Kyoto Protocol is that it sets binding targets for 37 industrialized countries and the European community for reducing greenhouse gas (GHG) emissions.”12 The reduction must be at approximately 5 percent lower than that of the level in 1990. Also, the reduction period is between 2008 - 2012.

Even though Kyoto Protocol creates a commitment that industrialized countries have to reduce the amount of GHG emission, the Protocol has flexible mechanisms that help the industrialized countries to meet their emission reduction target. In this case the Protocol provides them with the market - based mechanisms, including emission trading (the carbon market), Clean Development Mechanism (CDM), and Joint Implementation (JI). It is expected that the flexible mechanisms of Kyoto Protocol would help to promote green investment and at the same time the industrialized countries would be able to reach the emission reduction target with cost effectiveness. As the first commitment of the Kyoto Protocol will come to the end in 2012, it is essential that the new framework is adopted for carrying out the plan of GHG emission reduction.

In this paper I specifically focus on the Clean Development Mechanism (CDM). “The CDM allows emission – reduction projects in developed countries to earn certified emission reduction (CER) credits, each equivalent to one tone of CO2.These CERs can be traded and sold, and used by industrialized countries to meet a part of their emission reduction targets under Kyoto Protocol.” CDM was created with the concept of sustainable development stimulation and GHG emission reduction. It is expected that CDM would help the developed countries to achieve emission reduction target and the developing countries can benefit from technological transfer, foreign financial investment, and sustainable development. There are 4,175 CDM projects13 that have already registered and many developing countries have become significant

12Ibid. 13UNFCCC, “Registered Project Activities by Host Party. Total: 4177.” Access May 12, 2012, from http://cdm. unfccc.int/Statistics/Registration/NumOfRegisteredProjByHostPartiesPieChart. html

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parties in CDM projects. Also, there are many CDM projects developed by developing countries in Asia. For example, there are 2,025 CDM registered project activities in China (48.50% of overall registered project activities in developing countries)14, 836 CDM registered project activities in India (20.02% of overall registered project activities in developing countries)15, and 69 CDM registered project activities in Thailand16. In general CDM projects are established in many sectors, including energy, industrial processes, solvent and other product use, agriculture, and waste.

A case study of Korat Waste to Energy project (KWTE project) in Thailand developed by Korat Waste To Energy Company (KWTE Company) will be presented for creating a clear image of how a CDM project is created at a global level and implemented at a local level.There are many reasons why KWTE project is selected as a case study of this paper. First of all as KWTE project is in the energy sector and concerns the energy conversion of industrial waste to energy and fuel switching, the project has significant qualifications that comply with CDM project priory announced by Thailand Greenhouse Gas Management Organization (TGO). Also, KWTE project is among the first qualified CDM projects in Thailand and it was developed by KWTE under “Asia Biogas, the leading and largest biogas group in the ASEAN region.”17 KWTE project is a large scale CDM project and resulted in the great volume of CER issuance (at about 714546 CERs in May 2003 and another set of CER is expected to be issued soon). In addition, KWTE project was built to support SanguanWongse Industries Co Ltd (SWI), the biggest tapioca starch industry in Asia. As tapioca starch is one of the most significant agricultural products of Thailand, KWTE project contains the implication of economical impact for Thailand’s economy. Lastly, as KWTE project is developed by KWTE, a company that has high competent human resource, it appears that KWTE project was mainly developed by professional staffs from KWTE. KWTE staffs developed from a Project Design Document (PDD) to Initial Environmental Evaluation - Sustainable Development (IEE - SD). KWTE only hired few companies for working as Designated Operational Entities (DOE). It is required by UNFCCC that the project participants must hire DOE. This is different from many CDM projects in Thailand that were developed by outsourcing company instead of the company of project developers.

14Ibid.3 15Ibid.3 16Ibid.3 17 Asia Biogas, “Welcome to Asia Biogas.” Accessed May 10, 2012, fromhttp://www.asiabiogas.com/main/

One may see that CDM projects reflect the collaboration among developing and developed countries and it intertwines with international politics. This is one of the reasons why I view it as a significant issue for studying in international relations. Also, there are international actors, i.e. the United Nations, states (developing and developed countries), MNCs involve in the projects. It is essential that we (as international relations students) understand the roles of each actor and the process of CDM projects. In addition, as carbon offset scheme is set up as a mechanism to solve the problem of climate change; CDM projects become one of the most significant global issues. Despite the fact that CDM is studied by the scholars from various fields (i.e. economics, business, social sciences, political science), there are not many scholars from the field of international relations that conduct the research concerning CDM projects, which exist in the international arena. The study of CDM projects in this paper will help to create a clearer picture of how CDM projects exist and create an impact in the international system. Objectives 1.2.1 To study roles of key actors in Korat Waste to Energy project 1.2.2 To study the interaction of key actors in Korat Waste to Energy project from the aspects of cooperation and competition 1.2.3 To study the result of cooperation and competition evolved in Korat Waste to Energy project Theoretical Framework The interaction between actors varies by the areas in which they work together. In some areas it reflects cooperation and in some areas it reveals competition. Therefore, a theory of cooperation and competition is applied as a theoretical framework of this paper. This is because it can best explain why actors cooperate or compete with one another in different context.

A theory of cooperation and competition was originally introduced by Morton Deutsch, one of the most famous professors specialized in conflict resolution. “In a research career spanning more than 50 years, he has conducted pioneering studies on cooperation and competition, intergroup relations, conflict resolution, social conformity, and the social psychology of justice.”18 A theory of cooperation and competition contains two fundamental elements. The first one involves interdependence between goals of parties in specific situations. Another one

18Social Psychology Network, “Morton Deutsch.”, Accessed June 10, 2012, from http://deutsch.socialpsy chology .org/

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involves the kind of actions of parties in the situations. There are two types of actions. They are ““effective actions,” which improve the actor’s chances of obtaining a goal, and “bungling actions,” which worsen the actor’s chances of obtaining the goal.”19 In order to explain the interaction among key actors in KWTE project, I focus on types of goal interdependence that actors involved in KWTE project have.

There are “two basic types of goal interdependence: positive (where the goals are linked in such a way that the amount or probability of a person’s goal attainment is positively correlated with the amount or probability of another obtaining his goal) and negative (where the goals are linked in such a way that the amount or probability of goal attainment is negatively correlated with the amount or probability of the other’s goal attainment). To put it colloquially, if you’re positively linked with another, then you sink or swim together; with negative linkage, if the other sinks, you swim, and if the other swims, you sink.”20

Sometimes a situation could be absolutely positive or negative. However, it occurs in a rare case. Most of the time parties involved in a situation have goals that are mixed between positive and negative interdependence. There are many reasons why goals of parties have linkage. The positive interdependence possibly results from parties sharing the accomplishment or it is necessary that they have to share a resource. In some cases parties’ goals are linked because parties need to “overcome an obstacle together, holding common membership or identification with a group whose fate is important to them, being unable to achieve their task goals unless they divide up the work….being bound together because theyare treated this way by a common enemy or an authority, and so on.”21 In contrast, parties’ goals have negative interdependence when one gets less making another one get more.

It is important for one to be aware that it is not necessary that parties have to be interdependent. In many situations parties can be independent. In this kind of situation, it appears that actions of parties do not create an impact on the others. When the parties are absolutely independent, conflict will not emerge. When conflicts occurred it reflected a type of interdependence. Methodology Type of research: This paper is conducted using a qualitative method. This is because it is an

19Coleman, P.T. (Ed.)(2012), “Conflict, Interdependence, and Justice”, The Intellectual Legacy of Morton Deutsch, Chapter 2 Cooperation and Competition, pp 23-40, Accessed May 7, 2012, from http://www.springer .com /978-1-4419-9993-1 20Ibid.9 21Ibid.9

appropriate way to study roles and cooperation of states, MNCs, and the United Nations in CDM projects. In addition, qualitative method is descriptive based research that will be facilitated when I study the impact of CDM projects and the obstacles for implementing CDM projects in Thailand. Data Collection: I select the case of Korat Waste to Energy in Thailand as a case study.

- Primary Data: The primary data will be acquired through an in depth interview. I will interview the officials fromKorat Waste to Energy company (KWTE)

- Secondary Data: The data that I used in this paper comes from reviewing academic articles, journals, books and research of academics from different fields, such as sciences, politics, and economics. I will also review papers related to CDM projects and its implementation in Thailand. Korat Waste to Energy Project (KWTE Project) The Cooperation between Trading Emissions PLC (TEP) and SanguanWongse Industries Co Ltd (SWI) Korat Waste to Energy Project (KWTE project)is one of the largest CDM projects in Southeast Asia. The two main significant actors in KWTE project is Trading Emissions PLC (TEP), a project developer and SanguanWongse Industries Co Ltd (SWI), a local industry of host country, Thailand. In this part I will introduce the essential data related to TEP and SWI and how they became partner in KWTE project.

“Trading Emissions PLC is a UK listed fund investing in a range of tradable environmental permits, with a focus on carbon units such as CERs from CDM projects. It was incorporated in the Isle of Man on 15 March 2005 for the purpose of investing in environmental and emissions assets. The company's main investment objective is to make capital profits from purchasing emissions assets at appropriate prices in the European Economic Area. The core part of the portfolio is a long position in carbon assets, although some trading does take place.”22 One may see that TEP is not only known for its involvement in projects that help to promote greenhouse gas emission reduction, but it is also known for various experience in investing in different kinds of emission assets, for instance “US Sulphur and GHG emissions credits compliant with the provisions of the Kyoto Protocol.”23 In this case the company’s roles vary by projects. In some projects TEP is a carbon credit purchaser whereas in many projects TEP remains as a financier or a developer. Until

22Trading Emission Plc., “Company Profile.” Accessed May 30, 2012, from http://www.Trading emissionsplc.com/index_english.htm 23Ibid.12

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now TEP has been investing in different parts of the world including Asia, Middle East, Latin America, North America, Africa, and Europe. As TEP, the UK company (the company from the United Kingdom of Great Britain and Northern Ireland are major shareholders) invested through Asia Biogas for KWTE project, it is specifically stated in the project - PDD (Project Document Design) that the United Kingdom and Northern Ireland involved in KWTE project indirectly. In addition, the United Kingdom and Northern Ireland are not only investors in KWTE project, but also carbon credit traders (could buy CERs from KWTE and sell it to other buyers or use it for offsetting the carbon emission in the United Kingdom). On the other hand, as Thailand is a host party and Switzerland has a contract with KWTE as a carbon credit buyer, they are considered as indirectly involved in KWTE project.

In 1947SanguanWongse Industries Co., Ltd. (SWI) was founded in Nakhonratchasima (Korat), Thailand. At the prior stage the company produced tapioca ships until a later stage the company moved to produce tapioca starch. “The company had growth from 30 mt. of tapioca starch in 1974 to 400 mt. in 1989 and 1000 mt. in 2008.”24 SWI produces products for both domestic and international markets, for example, Asian, European, and the U.S.A. Markets. “Today the plant is the largest single tapioca starch plant in Asia with maximum capacity of 1,000 metric tons of starch per day.”25 In addition, SWI continues to add value to Thai tapioca starch by producing and modified the tapioca starch for supplying both food and non-food industries. SWI is considered to be the tapioca starch industry that used to develop the biggest biogas project in Asia. “SWI got ISO 14001 : 2004 certificate. The company focuses on energy saving and how to maximize benefits from tapioca by products such as wet fiber waste water, tapioca skin, etc.”26 The wet fiber obtaining from the production process of tapioca starch was dried and supplied to the animal food industries.

The quality that makes tapioca starch industry of SaguanWongse Company to be interested by many MNCs is its large size and capacity, which implied high potential of the industry for producing the great volumes of carbon emission reduction. In this case the great volumes of carbon emission reduction will lead to efficient investment. As project developers (MNCs) have to spend large amount of money on CDM projects, they need to make sure that the industries that they select for the CDM projects contain reasonable

24SanguanWongse Industries Co., Ltd. (SWI), “Company Profile.” Accessed June 15, 2012, from http:// www. swi.co.th/profile/profile.php?tab=2 25Ibid.14 26Ibid.14

qualifications and have high capacity to produce good profit in return. As SWI has a large tapioca starch plant, it becomes one of the most attractive options for developing a large scale CDM project. A large scale industry possibly results in the high number of water waste release, which can be used for biogas CDM projects.

In the prior time KWTE project had proceeded under the name of EcoSecurities Group plc. and later it sold the share to TEP. This is the reason why KWTE project was transferred to TEP. TEP invested through Asia Biogas Co Ltd. (ABC) for developing KWTE project. “Asia Biogas Group is Southeast Asia’s largest biogas systems design, engineer, construction and operating company.”27 The company’s headquarter is located in Bangkok, Thailand. ABC operates in four different countries in Asia including Thailand (Clean THAI), the Philippines (Philippines BioScience Co, Inc. or PhiBIO), Vietnam (Rep. Office of Clean THAI), Indonesia (PT Asia Biogas Indonesia) and Malaysia. “ABC was created to be the regional holding company for the Southeast Asian operating companies controlled by renewable energy developer Silk Roads Ltd. and the carbon fund Trading Emissions PLC.”28 Its main focus is developing renewable waste to energy projects. Until the present day, ABC is a company with the largest number of CER issuance in Thailand and Southeast Asia29

With the funding from Silk Roads Ltd., Clean Energy Development Thailand (Clean THAI) was established in 1999. Therefore, “Clean THAI is a wholly owned subsidiary of Asia Biogas Company”30 Clean THAI was built up as a company that develops the renewable energy projects. It continues to develop biogas energy projects and KWTE project is one of them. In this case CleanTHAI is a project developer of KWTE project under TEP. Before the year of 2004 “recognizing the latent energetic and financial potential of this waste stream, Clean THAI approached the Tantiwong family, the owners of SWI, with the offer of 20 percent saving on their energy costs at no risk”. As a result cooperation between SanguanWongse Industries Co Ltd (SWI) and Clean THAI on KWTE project took place by starting on implementing the project proposal.

27 All Chambers Sundowners, “Partner Directory - Details” Accessed June 20, 2012, from http://www.austchamtha iland.com/atcc/asp/corpdetail.asp?SponsorID=0&CorpID=1553 28Ibid.17 29 Ibid.17 30 Clean Energy Development Company Thailand Ltd.,“About Clean THAI” Accessed June 19,2012, from http://www.clean energymgmt.co.th/home/index.php?option=com_content&task= view&id=1&Itemid=2

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Before the agreement occurred there was a competition amongMultinational Corporations (MNCs) that attempted to cooperate with SWI on CDM projects. The competition occurred in a form of biding. With the strong relationship between the executives in Clean THAI and SWI and the attractive conditional offers from Clean THAI, SWI decided to become a business partner with Clean THAI.

At the beginning the project developer of KWTE project was known as Clean THAI until later it changed to Korat Waste - to - Energy Co. Limited (KWTE). KWTE is a Special Purpose Vehicle (SPV), a sub-company under Clean THAI. KWTE was created by Clean THAI for directly supporting the development of KWTE project. As a result KWTE becomes a project developer of KWTE project. On the other words KWTE can be described as an operational body in KWTE project, while Clean THAI remains as a consulting company for the project. KWTE is responsible for co-working with SWI. The responsibility of KWTE also covers issues concerning payment or profit that come from KWTE project. General Description of Korat Waste to Energy Project (KWTE Project) The Korat Waste to Energy project is an anaerobic digestion project, treating wastewater from the starch industry, at the SanguanWongse Industries (SWI) facility in Korat, Thailand.”31 It is known for being “the largest anaerobic digester biogas plant in Asia with a maximum 125,000 cubic metres of biogas generated per day fueling five large boilers and 3.3 MW power plant.”32 In this case KWTE is responsible for building up facility on BOOT basis. BOOT stands for Build - Own - Operate - Transfer. Created by Clean THAI to be a Project Operating Company (POC), KWTE acting as an investor who built up the biogas energy plant and it has a right to operate the plant for 10 years, started from the time that the plant was built. During the first 10 year KWTE remains as an owner of the plant and after this period the plant will be transfer to SWI. Because the facility is built upon BOOT, KWTE becomes a main actor that is responsible for a commercial risk. “KWTE and its investors absorb all financial, technological and management risks; SWI needed provide only land and wastewater.”33 However, the BOOT contract will reach 10 years in 2013. After that SWI will resume the role of biogas plant ownership and will be responsible for the plant operation. As it is stated in the PDD that KWTE

31Korat Waste To Energy, “Project design document form of Korat Waste to Energy project in Thailand. (version 3)”. Eco Securities Group Ltd.Oxford, United Kingdom, 2006. 32Ibid.19 33 Asia Biogas, “News and Updates.” Accessed June 10, 2012, from http:// www.asiabiogasm gmt.co.th/news.html

project has a fixed crediting period (Fixed crediting period is 10 years and renewable crediting period is 7 years (allow for additional 2 times project re-submission (equal 21 years)34, the project is last for 10 years. This means that KWTE project and its CER issuance will come to the end on 31st April 2013 (started on 1st May2003). One of the main reasons why KWTE selected a fixed crediting period is that the capacity of KWTE plant is estimated to effectively produce CERs for only 10 years. After 10 year period, the plant might have lower capacity and result in less amount of CERs issuance. However, the process of biogas production and electrical generating will still be running by SWI.

The installation of biogas plant has created great opportunities for both SWI and KWTE as both companies can make profit out of wastewater energy source. Also, at the same time it helps to promote green projects. “Cassava processing presents an ideal opportunity for distributed generation, coupling an excellent renewable resource with large heat and electricity loads. Significant energy is required to dry the starch, reducing its moisture content from 70 - 80 percent to 15 – 17 percent for bagging and shipment.”35 Also, the huge number of wastewater released by the starch factory can be used for generating electricity. After the biogas plant was built, within a day it can generate electricity up to 8000 m3 (Asia Biogas, “News and Updates”)

Without the biogas plant, the wastewater would be delivered to facultative lagoon system. Before the biogas plant installation, in order to meet the environmental standard SWI industry must use about 48 hectares of land (Asia Biogas, “News and Updates”) located two kilometer away from the factory for developing facultative lagoon system. This resulted in wasting huge size of land and energy resource. “In addition, several of the early ponds have become anaerobic, releasing large quantities of methane - a potent greenhouse gas - into the atmosphere.”36

34Boonrittigul, Pornnapa, “In-depth Interview”, Asia Biogas Management, Korat Waste to Energy Company, Korat Waste to Energy project. July 5, 2012. 35Ibid. 22

36Ibid.22

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Baseline Consumption Data at SWI (Pre- KWTE) 37

The following project activities and emission sources are considered within the project boundaries: Sources and gases included in the project boundary38

37 Ibid 22 38Ibid.21

Summary of the ex - ante estimation of emission reductions: Emission Reductions Profile39

Both SWI and KWTE have benefited from KWTE project “SWI has committed to purchase up to 100 percent of its electricity and heating demand from KWTE; the energy services are sold to the factory for 80 percent of current (floating) market rates for comparable quantity of grid electricity and fuel oil respectively.”40 In some situations when KWTE could not supply adequate electricity to SWI, SWI could use fuel oil as a mean of energy resource. In this case KWTE has built the system to support fuel switching by upgrading starch drying system for SWI. Then the system can use both biogas and fuel oil as a mean of energy resource. Also, the biogas that SWI bought from KWTE at low price (cheaper than fuel oil) is used for the tapioca starch drying process. Without KWTE project, SWI would have to use the energy from fuel oil for the drying process.

On the other hand, KWTE is justified to sell CERs to Switzerland and use it for offseting carbon emission in the United Kingdom. KWTE not only benefited from carbon trading, but it also benefit from selling electricity, biogas, and fuel oil to SWI. While SWI can pay for low cost electricity provided by KWTE, KWTE can earn money from selling the units of electricity to SWI. However, there is no specific period of selling the carbon credit (CERs). It depends on the price rate in the carbon market and KWTE will sell carbon credit when the carbon credit price rises up. As a result, the highest dividend that KWTE received in KWTE project came from selling carbon credit. As a result,

39Ibid.21 40Ibid.22

Energy Requirement

Annual Demand

Annual Costs

Unit Cost

Heat 7.5 - 8 million litres HFO

60 million Baht (US$ 1.45 million)

7.50 - 9.0 Baht/ litre ($0.18 - 0.21)

Electricity 35 - 37 million kWh

85 million Baht (US$ 2.06 million)

2.40 - 2.50 Baht/ kWh (~$0.06)

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as a main investor, Trading Emission Plc benefit from gaining dividend from the selling of biogas and electricity to SWI. It also benefit from being carbon credit buyer in KWTE project. The Development of KWTE project The CDM cycle consists of seven main steps including Project Design, National Approval, Validation, Registration, Monitoring, Verification, and CER Issuance.(UNFCCC) Project Design

As EcoSecurities Ltd. had a prior control over the development of KWTE project, EcoSecurities Ltd. remained as a Project Design Document (PDD) preparer of KWTE project. “Korat Waste to Energy project, Thailand, whose Project Design Document, New Baseline and Monitoring Methodology were prepared by Ecosecurities Ltd. on behalf of Korat Waste to Energy Company, SanguanWongse Industries Co Ltd, Clean Technologies, Thailand, Waste Solutions Ltd and EcoSecuties Ltd.” (AM0022/ Version 04, UNFCCC)

The PDD was developed in reference to the approved emission baseline and monitoring methodology. The emission baseline can be simplified as data concerning greenhouse gas emission released by SWI (without the installation of an anaerobic digestion project from KWTE). In case of KWTE project it is called an approved baseline methodology AM0022, “Avoid Wastewater and Onsite Energy Use Emissions in the Industrial Sector” (UNFCCC, KWTE PDD).

In order to complete the step of Project Design, EcoSecurities Ltd. would obtain CDM - PDD form developed by the CDM Executive Board and use it for submitting the data concerning a proposed CDM project. The content of KWTE project - PDD includes “general description of project activity, application of a baseline and monitoring methodology, duration of the project activity/ crediting period, environmental impacts, and stakeholders’ comments.”41

Before KWTE project went through the step of validation and project submission (for registration), the proposed new baseline methodology was submitted to the CDM Executive Board. Then the Executive Board then reviewed and made an approval. However, the new baseline methodology of KWTE project was required to be submitted by the Designated Operational Entity (DOE) and KPMG, a company from Switzerland was an accredited DOE that was responsible for validation process in the case of KWTE project. It is important that a methodology that approved by CDM Executive Board and related information must be made available for the public. After the approved methodology was applied to the KWTE project,

41 Ibid21

KPMG company has done the validation for the project and submitted CDM- PDD to CDM Executive Board for requesting registration. National Approval and Project Validation KWTE (a project developer) presented KWTE project - PDD, and reported the result of environmental impact preliminary evaluation and Initial Environmental Evaluation - Sustainable Development (IEE - SD)42 to Thailand Greenhouse Management Organization (TGO), which is a Designated National Authority (DNA). Then TGO issued the Letter of Approval (LOA) for KWTE. KPMG company used LOA as a referent document for the process of validation “Validation is the process of independent evaluation of a project activity by Designated Operational Entity against the requirements of the CDM as set out in CDM modalities and procedures and relevant decisions of the Kyoto Protocol Parties and the CDM Executive Board, on the basis of the project design document.”43 In the LOA, DNA stated that Thailand has ratified the Kyoto Protocol and the participation of SWI and KWTE in KWTE project was occurred on voluntary basis. In addition, it stated that KWTE project will contribute to sustainable development44 in Thailand. After the validation was completed KPMG company requested that CDM Executive Board approved for the KWTE project registration. In this case one may see that TGO plays significant roles in a sense that it had to investigate KWTE project and submitted the comment to CDM Executive Board that the project complies with the qualification of CDM project required by UNFCCC45and conforms to the national sustainable development policy.

42 “This project (KWTE project) does not require an Environmental Impact Assessment (EIA) under Thai Law” (PDD). EIA is required when CDM projects installed over 10 MW gen. However, KWTE project installed only 3 MW gen. Therefore, it does not require an EIA.(Boonrittigul, Pornnapa, “In-depth Interview”, Asia Biogas Management, Korat Waste to Energy Company, Korat Waste to Energy project. July 5, 2012.)

43UNFCCC, “CDM Project Cycle.” Accessed May 25, 2012, from http://cdm. unfccc.int/ Projects/diagram.html

44Sustainable Development Criteria/Indicator for CDM Projects in Thailand includes Natural Resources and Environment, Social Indicators, Technology Development and/or Technology Transfer Indicators, Economic Indicators (TGO, “Approval Criteria for CDM Projects in Thailand.” Accessed June 12, 2012, from http://www.tgo.or.th/english/index.php?option=com_content&view=article&id=18:approval-criteria-for-cdm-projects-in-thailand&catid=27:approval-process&Itemid=45) 45 1. CDM project activities must be developed only through voluntary action. 2. Countries are required to ratify the Kyoto Protocol and establish a Designated National Authority (DNA) in order to participate in CDM. 3. CDM

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Registration and Monitoring After KPMG company validated the KWTE project, it submitted the validated project to CDM Executive Board with request for registration. KWTE project was registered on 16 June 2007, which indicated the formal acceptance of CDM Executive Board. In this case KWTE project became CDM project activity. “Registration is the prerequisite for the verification, certification and issuance of CERs related to that project activity.”46 Therefore, KWTE project must be registered before going through the later steps. In the monitoring part, KWTE is responsible for monitoring the actual emission. The monitoring must be proceeded in according with an approved methodology. Even though KWTE has done the monitoring step, TUV SUD company (a company from Germany) must verify that emission reduction claimed by KWTE actually occurred. Verification and CER Issuance “Verification is the independent review and ex-post determination by the designated operational entity of the monitoring reductions in anthropogenic emissions by sources of greenhouse gases that have occurred as a result of a registered CDM project activity during the verification period.”47 KWTE has passed the step of verification for two times, meaning that it has passed the two times of requesting CER issuance. In the first time of verification, TUV SUD was the verifier company for KWTE project and it verified that the actual amount of emission reduction matched with the amount claimed by KWTE. Then TUV SUD processed this in according with the approved monitoring plan. In the second time KWTE hired DNV company (a company from Malaysia) for a verification process. In this case a project developer, KWTE was responsible for the cost of the two time verifications. After the verification process, a project certifier had to reassure that KWTE project contributed to a certain amount of emission reduction as verifier stated. After that DOE

project activities must promote sustainable development in the host countries. 4. Funding for CDM projects from any Annex I Parties must not result in the diversion of official development assistance. 5. CDM projects are subject to stakeholder consultations and initial assessment of environmental impacts created by the project activities. 6. CDM projects must meet the “additionality” requirements, in terms of finance, investment, technology and environmental aspects. 7. All the processes involving the development of a CDM project must be transparent, efficient and accountable, under independent auditing and verification. (TGO, “Modalities and Procedures.” Accessed June 12, 2012, from http://www .tgo.or.th /en glish /index.php?option=com_content&view=category&id=27&Itemid=45) 46Ibid.31 47Ibid.31

submitted the verification report and requested that CDM Executive Board issued CERs for KWTE. The Interaction among Key Actors in Clean Development Project: A Case of Korat Waste to Energy Project At a global level, ones may see that there is an international cooperation among key actors includes the United Nations, MNCs, developed and developing countries on solving environmental issues. They share the same goal of solving the problem of climate change by reducing greenhouse gas. If the greenhouse gas is reduced, then it will help to diminish the intenseness of climate challenge. This will benefit all parties as a whole. Therefore, actors have positive goal interdependence for the issue of combating the problem concerning environmental issues.

Even though both developed and developing countries agree to cooperate on reducing global greenhouse gas emission, the competition among developed and developing countries still exists. Developed countries still want to gain benefit from their industrial advancement. Developed countries view that a reduction of greenhouse gas emission might affect the industrial advancement of the countries. In the same way developing countries do not want to share an equal burden on reducing the amount of greenhouse gas emission. Also, they claim that they are not main polluters and they should have right to develop. Also, they view that greenhouse gas reduction possibly obstructs industrial growth. In this case the situation reflects that actors have negative goal interdependence.

After negotiation developed countries (Annex I countries) agreed to have a commitment under the Kyoto protocol that they will reduce the amount of greenhouse gas emission. Under the framework of UNFCCC, developed countries are required to take a lead in reducing greenhouse gas emission. However, with the flexible mechanism of the Kyoto protocol developed countries are allowed to reduce the amount of emission through Clean Development Mechanism (CDM). Developed countries can purchase the emission reduction or carbon credit from developing countries. In this case the United Nations and MNCs play crucial roles in CDM projects. In this situation developed countries, developing countries, the United Nations, and MNCs cooperate with positive goal interdependence.

For the case of KWTE project, at the global level, the interaction among key actors including the United Nations, Korat Waste to Energy Company Limited,the governments of the United Kingdom of Great Britain; the Kingdom of Thailand (a host party); Northern Ireland; and Switzerland, take place in a form of cooperation. However, the interaction between Korat Waste to Energy Company Limited

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(one of key actors) and other MNCs occurred in a form of competition.

At the national level, Thailand respond to the carbon offset scheme under the Kyoto Protocol by permitting development of CDM projects in Thailand. Also, Thailand created the national climate change policy to support the process of solving climate change problem. “Thai government clarified that it was encouraging CDM energy projects, which hold the largest potential in the countries for GHG reduction”48 Among CDM projects developed in Thailand, KWTE project is one of the projects which developed under energy sector. The project reflects cooperation between key actors, including Korat Waste to Energy Company Limited, Thailand Greenhouse Gas Management Organization (TGO), and DOE (Designated Operational Entities). In this case actors have positive goal interdependence.

At a local level, the implementation of KWTE project reflects strong cooperation between local private company or SanguanWongse Industries Co Ltd and Korat Waste to Energy Company Limited, which is a MNC from the united kingdom of Great Britain investing in KWTE projects. The strong cooperation occurs at this stage because SanguanWongse Industries Co Ltd and Korat Waste to Energy Company Limited share positive goal of interdependence. Both sides gain benefit from KWTE projects.

In the situation when the United Nations, Korat Waste to Energy Company Limited, SanguanWongse Industries Co Ltd, the governments of the United Kingdom of Great Britain; the Kingdom of Thailand (a host party); Northern Ireland; and Switzerland agree to tackle the problem of climate change by cooperating in KWTE project, their goals have positive linkage. This is because they share the accomplishment and the accomplishment will not be achieved by the action taken by one actor alone. As the problem of climate change is global and it is viewed as a threat to mankind all party needs to overcome the problem of climate change together. In addition, the United Kingdom of Great Britain; Northern Ireland; and Switzerland are Annex I countries remaining as parties in Kyoto protocol; they have the commitment to reduce the greenhouse gas emission.

Conclusion

This paper reflects the cooperation among key actors from three main sectors, including

48Toldoc, Jessi, “CDM in Thailand:Status and Policy Issues.” Accessed June 10, 2012, from http://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.195.2246

governments, private sectors, and local company. The cooperation occurred at the global, national, and local levels. However, it appeared that the competition among MNCs occurred at the local level when they bid for working with SWI on CDM project. Because there were about four MNCs49who wanted to work on CDM project with SWI, they had to compete through bidding process. The cooperation originated when key actors shares common goal of reducing the amount of GHG emission. They agree to reduce GHG emission through the Clean Development Mechanism. The cooperation took place after TEP approached SWI and they agreed to work on KWTE project

At the global level, UNFCCC remained as an essential body for setting rules and regulations for the CDM projects. The CDM Executive Board has to make sure that CDM projects meet basic criteria required by UNFCCC. Beside UNFCCC, at the national level TGO appeared to be one of the most significant actors in KWTE project as it helped to facilitate the process of KWTE project development. At the national level, TGO represents the Thai government. Remaining as DNA, TGO had to investigate KWTE project and make sure that it complied with CDM criteria declared by UNFCCC and conform to Thai national policy.

In addition, TGO had crucial roles in promoting CDM projects in Thailand. TGO worked on promoting CDM projects that are prioritized by the Thai government. Thailand prioritizes CDM projects in four main sectors including the energy sector that involves energy production and efficiency improvement projects (i.e. fuel switching, energy conversion of industrial waste to energy, improvement of cooling system effectiveness, and improvement of efficiency in buildings); the environment sector (i.e. production of heat and electricity from municipal solid wastewater treatment for energy production), the transport sector (i.e. improvement of fuel efficiency and demand side management), and the industrial sector (i.e. emission reductions from manufacturing process).50

Also, TGO is not only responsible for LOA issuance; it also remained as a coordinator between KWTE project developer and UNFCCC. After TGO was announced to CDM Executive Board that KWTE project was developed on a voluntary basis and it will lead to sustainable development, the project had high possibility to be approved51. This is because TGO is a reliable organization representing Thai government. Therefore, it is significant that KWTE project was supported by the positive comment from TGO.

49 Ibid.23 50 Ibid.32 51 Ibid.23

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In some dimensionsKWTE project reflects that government (TGO), private sectors (KWTE company), and local company (SWI) cooperate to make sure that KWTE project would not have negative impacts on local community. In this case TGO set the environmental standard criteria for CDM projects in Thailand. “Sustainable Development Criteria/Indicator for CDM Projects in Thailand includes Natural Resources and Environment, Social Indicators, Technology Development and/or Technology Transfer Indicators, Economic Indicators.”52TGO would request that the developer of KWTE project submit the Initial Environmental Evaluation (IEE) and Self – Evaluation on Sustainable Development of CDM projects in Thailand (IEE – SD Report). “Thailand Greenhouse Gas Management Organization. (Public Organization) orTGO, recognizes the importance to approve CDM projects within the shortest timepossible. There is a need to prevent negative social and environmental impacts caused byCDM projects in Thailand.”53

REFERENCES

Books Duraiappah, Anantha K.Global warming and economic development : a holistic approach to international policy co-operation and co-ordination. Dordrecht, The Netherlands : Kluwer Academic Publishers, c1993. Giddens, Anthony.The Politics of Climate Change.Cambridge:Polity Press,2009. Peake, Stephen and Joe Smith.Climate Change: From Science to Sustainability.Oxford University Press,2009. Internet All Chambers Sundowners, “Partner Directory – Details.” Accessed June 20, 2012, from http://www.austchamthailand.com/atcc/asp/corpdetail.asp?SponsorID=0&CorpID=1553 Asia Biogas, “News and Updates.” Accessed June 10, 2012, from http:// www.asiabiogasm gmt.co.th/news.html Asia Biogas, “Welcome to Asia Biogas.” Accessed May 10, 2012, from http://www. asia bio gas .com/main/

52 Ibid.32 53TGO, “Guidelines for Preparing Report on Initial Environmental Evaluation (IEE) andSelf-Evaluation on Sustainable Development of CDM Projects in Thailand (IEE-SD Report).” Accessed June 12, 2012, from http://www.tgo.or.th/download /Announce/ CDM/Guideline_ IEE_SD_Report_EN.pdf

Clean Energy Development Company Thailand Ltd.,“About Clean THAI.” Accessed June 19,2012,fromhttp://www.cleanenergymgmt .co.th/home/index .php?option =com_conten t& task= view&id=1&Itemid=2 Coleman, P.T. (Ed.)(2012), “Conflict, Interdependence, and Justice.”, The Intellectual Legacy of Morton Deutsch, Chapter 2 Cooperation and Competition, pp 23-40, Accessed May 7, 2012, from http://www.springer .com /978-1-4419-9993-1 Korat Waste To Energy, “Project design document form of Korat Waste to Energy project in Thailand. (version 3)”. Eco Securities Group Ltd.Oxford, United Kingdom, 2006. SanguanWongse Industries Co., Ltd. (SWI), “Company Profile.” Accessed June 15, 2012, from http:// www. swi.co.th/profile/profile.php?tab=2 Social Psychology Network, “Morton Deutsch.”, Accessed June 10, 2012, from http://deutsc h.socialpsychology .org/ TGO, “Approval Criteria for CDM Projects in Thailand.” Accessed June 12, 2012, from http://www.tgo.or.th/english/index.php?option=com_content&view=article&id=18:approval-criteria-for-cdm-projects-in-thailand&catid=27:approval-process&Itemid=45 TGO, “Guidelines for Preparing Report on Initial Environmental Evaluation (IEE) andSelf-Evaluation on Sustainable Development of CDM Projects in Thailand (IEE-SD Report).” Accessed June 12, 2012, from http://www.tgo.or.th/download /Announce/ CDM/Guideline_ IEE_SD_Report_EN.pdf TGO, “Modalities and Procedures.” Accessed June 12, 2012, from http://www .tgo.or.th /en glish /index.php?option=com_content&view=category&id=27&Itemid=45 Toldoc, Jessi, “CDM in Thailand:Status and Policy Issues.” Accessed June 10, 2012, from http://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.195.2246 Trading Emission Plc., “Company Profile.” Accessed May 30, 2012, from http://www.Trading emissionsplc.com/index_english.htm UNFCCC, “CDM Project Cycle.” Accessed May 25, 2012, from http://cdm. unfccc.int/ Projects/diagram.html UNFCCC, “Kyoto Kyoto Protocol.” 1997 Accessed May 12, 2012, from http://unfccc. int/ kyoto protocol/items/2830.php/

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UNFCCC, “Registered Project Activities by Host Party. Total: 4177.” Access May 12, 2012, from http://cdm.unfccc.int/Statistics/Registration/NumOfRegistered ProjByHostPartiesPieChart. html Interview Boonrittigul, Pornnapa, “In-depth Interview.”, Asia Biogas Management, Korat Waste to Energy Company, Korat Waste to Energy project. July 5, 2012. Thesis Foubert, Arnaud.Definition and Diffusion of Standards for High – Quality Carbon Credits: Exploratory Case Study Gold Standard.A Thesis. University of St. Gallen, 2010.

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Policy and Social Policy

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THE IMPACT OF FISCAL INSTRUMENTS ON AGGREGATE OUTPUT: THE PHILIPPINE CASE

Melly L. Paraiso, Ph.D

Chairperson, Master of Arts in Economics Polytechnic University of the Philippines

Manila, Philippines Philippine Society for Public Administration, Inc.

Philippine Economic Society Philippine Association for Graduate Education

East Asian Economic Association Pi Lambda Theta (Philippine Chapter)

Resource and Environmental Economics Foundation of the Philippines [email protected]

Geranfel Z.Narido, MAE

Market Research Analyst, Thomsonreuters Phils.ROHQ Manila, Philippines

Philippine Economic Society [email protected]

Abstract

This study examines the degree of association between aggregate output that is expressed in terms of Real Gross National Product of the Philippine economy and fiscal policy instruments such as Real Government Expenditures (RGXP), Government Tax Revenues (GVTR), and the implementation of the Tax Reform Act of 1997. The impacts of these fiscal policy tools as well as their collective effect on real output are measured. An autoregressive multiple regression model and diagnostic tests are employed in this study. These are tests for stationarity, correlation and its significance, autocorrelation, significance of parameter estimates, measure of goodness of fit, overall significance of regression model, multicollinearity, heteroskedasticity, specification error, normality of residuals and cointegration. The results of the study show that both Real Government Expenditures and Government Tax Revenues have significant positive correlations with Real Gross National Product. Moreover, Real Government Expenditures, Government Tax Revenues, and Real Gross National Product lagged by one period have significant impacts on Real Gross National Product. On the other hand, the Comprehensive Tax Reform Program does not have a significant effect on real output. Taken collectively, the fiscal policy instruments used by the government exert a significant effect on the aggregate output of the Philippine economy.

Introduction The role that the government plays in output determination is significant. This significance emanates on the ability of the government to influence output and economic activity through the

use of fiscal policy. The fiscal policy is carried out by the legislative and executive branches of government. There are two main instruments of fiscal policy available to the government, namely government expenditures and taxes. The government collects taxes in order to finance expenditures on a number of public goods and services. The two types of fiscal policy stance used by the government to influence output are expansionary fiscal stance and contractionary fiscal stance. Government initiates expansionary fiscal stance by increasing government expenditures and/or by decreasing taxes. On the other hand, if the government decreases its expenditures and/or increases taxes, it is said that government is exercising contractionary fiscal stance. Since countries differ in terms of economic conditions and financial position, it is perceived that government fiscal policy stance will vary from country to country (Arpaia and Turrini, 2008). Hence, factors affecting output through fiscal policy determinants are country-based phenomena; and with that, policies to be formulated should be adaptable and specific in the financial and economic conditions of the country. In order for the government to lead the economy to its desired economic growth, appropriate fiscal policies, among others, specifically on expenditure policies, revenue generation policies must be initiated on a timely manner in order not to distort economic activities. Government expenditures must be utilized to sustain economic activity when private funds are not available. Revenue generation must likewise be improved to sustain the spending requirement of the government, and finally raising

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and lowering of taxes must be able to govern the level of economic activity. In view of the importance of fiscal tools in the economy’s growth, hence this investigation. This intends to measure the effects of government expenditures, government tax revenues, lagged value of Real Gross National Product and Republic Act No. 8424 cited as Tax Reform Act of 1997 on the output of the Philippine economy for the period, 1981-2009. Theoretical Framework

Fiscal stance, is a term used to describe whether fiscal policy is being used by the government to actively expand aggregate demand and output in the economy (expansionary fiscal stance) or conversely to take demand out of the circular flow (contractionary fiscal stance). An expansionary fiscal stance happens when the government is running a large deficit budget (G > T). Loosening the fiscal stance, the government borrows money to inject funds into the economy so as to increase the level of aggregate demand and economic activity. On the other hand, a contractionary fiscal stance happens when the government runs a budget surplus (G < T). The government is injecting fewer funds into the economy than it is withdrawing through taxes. The level of aggregate demand and economic activity falls (Blanchard, 2003). The belief that fiscal policy stance can be used to influence output and economic activity, is often associated with Keynes. The Keynesian School of Thought posits that fiscal policy can have powerful effects on output, when the economy is operating well below full employment, and where there is a need to provide a demand stimulus to the economy. Thus, the government can use fiscal policy to stimulate aggregate demand, either through tax cuts or a rise in planned government spending. In this way, the level of aggregate demand can be managed. The Keynesian case is shown graphically in Figure 1.

Figure 1 Aggregate Supply and Aggregate Demand

Given the Keynesian aggregate supply curve (AS) and aggregate demand curve (AD), the initial equilibrium is at point E where the goods and assets market are in equilibrium. The aggregate supply curve (AS) is horizontal due to price rigidities in the short run. This is in accordance with the Keynesian’s belief that price level adjustment takes quite a long time, even several years. In the long run, firms tend to adjust their prices. Thus, the price level rises. With a fiscal expansion, i.e., increase in government expenditure, or a cut in tax rates, aggregate demand shifts from AD to AD’. At E’ aggregate demand for output is greater than full-employment output. Eventually firms raise their prices. This makes E’ as the new equilibrium point and output increases from Y to Y’. It could be seen in Figure 1 that the only effect of government expenditure is an increase in output and employment (Dornbusch, et.al, 1998).

Review of Literature

In a study pertaining to government spending and revenues of Japan from 1990 to 2001, it was found out that the budget deficit of Japan steadily increased as a result of government spending. Much of this increased spending has taken the form of public work projects which should have contributed to an increase in demand; but many of them were of doubtful usefulness (Blanchard, 2003).

Government expenditure and debt management are meaningful in terms of fiscal policy. Government budget deficit expands aggregate demand and stimulates output in the short run but crowds out capital and dampens economic growth in the long run. A budget deficit or surplus is used by government to reduce the distortion of incentives caused by the tax system since high tax rates impose a cost on society by discouraging economic activity. It helps to stabilize the economy (Mankiw, 2001). In analyzing the budget and defining the macroeconomic fiscal policy position, there is a need for economic classification of expenditures. For purposes of fiscal and economic analysis, the importance of making a distinction between interest payments (expense transactions from loan repayment which are financing transaction) and current expenditures from capital expenditures was mentioned (Allen and Tommasi, 2001). The study showed the behavior of public spending and economic growth of the Philippines. Cointegration and causality analysis were employed on the nominal data of both Gross Domestic Product and government expenditures. The study revealed that nominal output increased faster than nominal government expenditures; and that there exists a unidirectional causality originating from nominal

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output to nominal government expenditures (Tatlonghari, 2007). The relative strengths of fiscal policy (expressed in terms of nominal government spending) and monetary policy (expressed in terms of M2 or broad money) in promoting growth of the Real Gross National Product were determined by using a double log distributed lag model. Fiscal policy was found to be relatively weaker than monetary policy. Fiscal policy has a positive effect on output but statistically insignificant. On the other hand, monetary policy has positive immediate and net long-term effect but tends to exert a negative effect on output after two consecutive years (Tatlonghari, 2008). Data and Procedures The time series data, covering the period 1981-2009, on Gross National Product, Government Tax Revenues and Government Expenditures were sourced from various issues of Selected Philippine Economic Indicators published by the Bangko Sentral ng Pilipinas. These data were crosschecked from the websites of the Department of Finance, National Economic Development Authority and Department of Budget and Management. The Gross National Product and Government Expenditures were converted into real terms by using the GNP Deflator with 1985 as base year. An autoregressive multiple regression model was utilized. The regression model is specified as follows: RGNP = β0 + β1 RGXP + β2 GVTR + β3 RGNPt-1 + β4 DUMMY + µ

(1) where: RGNP = Real Gross National Product RGXP = Real Government Expenditures GVTR = Government Tax Revenues RGNPt-1 = Real Gross National Product lagged by

one period Dummy = 1, Implementation of Tax Reform Act starting 1998;

= 0, otherwise β’s = Regression Coefficients µ = Error Term

To facilitate computations of the needed statistics, Econometric Views (E-Views) version 7 was used. This empirical study employed the following diagnostic tests: Augmented Dickey-Fuller (ADF) for unit root test, Breusch-Godfrey Serial Correlation LM Test for autocorrelation, correlation

for the degree of association between variables, Variance Inflating Factor (VIF) for multicollinearity, Student’s t-ratio for the test of significance of regression coefficients, Coefficient of Determination or R2 for the test of the goodness of fit, F-test for overall significance of the model, White’s test for heteroscedasticity, Ramsey RESET for regression specification error test, Jarque-Bera Normality Test for the test on the normality of residuals, and Johansen Cointegration Test to identify long-run equilibrium. All these tests were sourced from the book of (Gujarati, 2003). Results and Discussions

As shown in Figure 2, the Real Gross National Product (RGNP) of the Philippines from 1981 to 2009 had an upward trend. The increases during the more recent years could be attributed to the remittances sent by Filipinos who are working abroad. The average output covering the period of 29 years was Php926.183 Billion. The said output ranged from a minimum of Php551.428 Billion and a maximum of Php1.6 Trillion. While the general behavior of RGNP was increasing, but it also dropped dramatically by Php59.403 Billion or 9.1 percent, i.e., from Php652.097 Billion in 1983 to Php592.694 Billion in 1984. In the succeeding year, RGNP fell to Php551.428 Billion. Although the decline of Php41.266 Billion or 6.97 percent was relatively lower than that of 1984, but this was the lowest RGNP recorded in the entire 29 years under study. This was a part of the aftermath of Sen. Benigno Aquino’s assassination in 1983. Conversely, the highest RGNP was in 2009 with Php1621.749 Billion; but in terms of RGNP growth rate, the highest posted was in 2007 with 7.5 percent when it rose from Php1391.289 in 2006 to Php1495.589 Billion.

Source: Bangko Sentral ng Pilipinas

Figure 2

Real Gross National Product (RGNP)

Figure 3 indicates some fluctuations in Real Government Expenditures (RGXP). However, its general behavior followed an increasing trend

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except for the years 1983, 1984, 1991, 1992 and 1998, where downturns were experienced. Real Government Expenditures reached its lowest in 1984 with merely Php 78.726 Billion or 17.7 percent fall from the preceding year. The highest percentage increase in Real Government Expenditures transpired in 1986 with 34 percent. The average annual expenditures of the government for the period under study amounted to Php 160.059 Billion. The said expenditures ranged from Php78.726 Billion to Php 260.793 Billion per annum. The increase in government expenditures can be ascribed to the progressive increase of current operating expenditures and personal services. Moreover, debt servicing has also contributed to the increase in government expenditures; specifically, the expenditures on interest payments had dragged the financial health of the government. On the other hand, some expenditure items like maintenance and other operating expenses consistently declined (Diokno, 2010).


Figure 3 Real Government Expenditures (RGXP)

Figure 4 presents a positive trend of the amount of Government Tax Revenues (GVTR) collected by the Philippine Government from 1981 to 2008 and a decrease in 2009. Such decrease was due to lower collections of customs receipts and income tax. The collections of the Bureau of Internal Revenue (BIR) and that of the Bureau of Customs fell by 6 percent and 19 percent, respectively against their targets. GVTR reached its peak in 2008 that amounted to Php1049.179 Billion. The largest increase in GVTR was attained in 1989 with 35.5 percent, three years after the Tax Reform Program was formulated by the government under President Corazon C. Aquino. The other years with relatively high increases in tax collections were: 1984 with 25.8 percent, 1985 with 22.1 percent, 1987 with 31.2 percent, and 1990 with 23.9 percent. GVTR ranged from a low of Php31.423 Billion to a high of Php1.049 Trillion. The annual average GVTR for the covered period was Php368.096 Billion.

Source:Bangko Sentral ng Pilipinas

Figure 4 Government Tax Revenues (GVTR)

Statistical Results The time series data on RGNP, RGXP, and GVTR were tested for unit root using Augmented Dickey–Fuller test to ensure that the regression would not be spurious. The results of this test indicate that the time series data on both RGNP and GVTR are stationary at 2nd difference since the ADF test statistics of 4.60 and 5.43 exceed the Mc Kinnon critical value of 3.68. On the other hand, the time series data on RGXP are stationary at 1st

difference where the ADF test statistic of 3.87 is greater than the Mc Kinnon critical value of 3.68 at 1st difference. Since all the time series data on the variables are found stationary at 1st and 2nd differences, then it can be inferred that the regression results are not dubious. Based on the result of Breusch-Godfrey Serial Correlation LM Test, the computed nR2 of 0.21 is lower than the chi-square value of 3.84 at 0.05 percent level with 1 degree of freedom. This indicates that the autoregressive model does not suffer from higher order serial correlation. The correlation coefficients between RGNP, RGXP and that of GVTR are 0.75 and 0.57, respectively. Since both correlation coefficients are more than the critical value of 0.37 at α=0.05 percent level with 26 degrees of freedom, it can be surmised that both RGXP and GVTR have significant and positive correlation RGNP. This implies that RGNP increases as RGXP and GVTR increases. The results of the computed VIF of RGXP, GVTR, TRA of 1997 as Dummy Variable and RGNP lagged by one period are 3.75, 1.18, 3.56, and 1.09, respectively. None of the computed VIF exceeds the value of 10, which is the general rule of thumb value regarded by practitioners as a sign of severe multicollinearity. Hence, the inference is valid that the degree of multicollinearity among the regressors is not serious.

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The regression coefficient of RGXP indicates that for every Php1 Million increase in RGXP, ceteris paribus, RGNP will increase by Php 602,532. RGXP has a significant effect on RGNP since the computed t-value of 3.87 exceeds the critical t-value of 2.08 at 5 percent level of significance with 21 degrees of freedom. The result is consistent with the argument of Keynes that increases in government spending can boost growth by injecting purchasing power into the economy. He even argued further that deficit spending could provide short-term stimulus to help end recessions and depressions. But once the economy has already fully recovered, the government should be prepared to reduce spending to prevent inflation (Mitchell, 2005). The coefficient for GVTR shows that when it rises by Php1 Million, when all other variables are held constant, RGNP goes up by Php 238,070. The computed t-value of 2.35 is greater than the critical t-value of 2.08 at 5 percent level of significance. The result implies that GVTR has a significant and positive impact on the behavior of the real output. Since the economy grows in the long run due to an increase in population and improvement of technology, tax base grows along with the economy. It means that more funds can be utilized to provide investments and other government purchases thereby increase output. Moreover, the positive sign of the coefficient could be attributed also to inflation because government revenues are in nominal terms. Since taxes levied on individual taxpayers are not adjusted for inflation, it pushes wages and salaries into higher tax brackets, creating bracket creep. The Comprehensive Tax Reform Program (CTRP) did not have a significant effect on the RGNP because the computed t-value of 1.107 is less than the critical t-value of 2.08 at 5 percent level of significance, with 21 degrees of freedom. However, its negative sign is consistent with theoretical expectation. This is so because one of the objectives of Comprehensive Tax Reform Program is to reduce the highest tax rates. Tax cuts must have increased aggregate demand and increased output. An increase of Php1 Million in RGNP lagged by one period, ceteris paribus, leads the current RGNP to increase by Php344,281. The influence of the previous period’s real output to the current period’s real output is statistically significant. The computed t-value of 2.31 for the RGNP lagged by one period is more than the critical t-value of 2.08 at 5 percent level of significance, 21 degrees of freedom. This is indicative that previous period’s levels of economic activity is a good predictor of the current economic activity. An R2 of 0.7533 indicates that 75.33 percent of the variations in RGNP, are explained by the variations

in RGXP, GVTR, TRA of 1997, and RGNP lagged by one period. Moreover, this means that 24.67 percent of the variations in RGNP could be attributed to other factors that were not included in the model and to the error term. The computed F-value of 16.02 which exceeds the critical F-value of 2.84 at 5 percent level of significance with 4 and 21 degrees of freedom, exhibits a statistically significant model. The variance of the error term has been constant over time based on the result of the White’s Heteroscedasticity test where the computed χ

2 of 15.65 is lower than the tabulated χ2 of 22.36 at α=0.05 with 13 degrees of freedom. The regression model was correctly specified based on the result of Ramsey RESET test. The result of the computed F-statistic which is 0.72 with a probability of 0.49 is less than the critical value of F=3.52 at 5 percent level of significance with 2 and 19 degrees of freedom. Moreover, the residuals are normally distributed based on the Jarque-Bera statistic of 0.33 with a probability value of 0.84. Finally, Johansen Cointegration was employed to test if a long term equilibrium relationship exists between the dependent variable and the explanatory variables of the chosen model and to identify the number of possible cointegrating vectors that exist in the chosen model. The computed trace statistic of 59.16 exceeds the critical value of 47.87 at 5 percent level of significance. It could be inferred that there exists a long term equilibrium relationship between RGNP and the explanatory variables such as RGXP, GVTR, and TRA of 1997.

Concluding Remarks

RGXP has a significant and positive relationship with RGNP. It exerts a positive and significant effect on real output. Consequently, a change in government spending is a potent instrument that influences the behavior of real output of the Philippine economy, which is in accordance with the Keynesian expectation. This being the case, the Executive branch of the national government with the concurrence of the House of Representatives and that of the Senate can continue to adopt an expansionary fiscal policy by increasing government expenditures in order to generate more output. However, prudence must be exercised in government spending so that the needs of the different sectors are met. GVTR has also a significant and positive relationship with RGNP. It has a significant impact on RGNP as well. Because of this, it is important that tax administration and collections must be further enhanced in order to generate more revenues. Taxes

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on sin products can be increased to raise more revenues inasmuch as these products have inelastic demand. The Department of Finance together with its bureaus that are mandated to collect taxes, with the assistance of the Philippine Information Agency, can engage in promoting awareness and nationalistic commitment among individual taxpayers and businesses as to the degree of importance of tax revenues in the growth of the economy. Good governance and transparency among government agencies are necessary to make this campaign credible and effective. It can also be of help if the present dispensation will take a harder stance on tax evaders, smugglers,.and corrupt officials of fiscal agencies of government. The lagged value of the regressand serves as a significant predictor of current economic activity. The TRA of 1997 has no significant effect on RGNP but its negative sign is consistent with theoretical expectation. Taken collectively, these fiscal policy instruments exert significant impact on RGNP. Since the time series are cointegrated, there exists a long run equilibrium relationship between the dependent variable and the independent variables.

Appendices

Appendix 1 Augmented Dickey Fuller and Critical Value

Appendix 2 Correlation Matrix Results

Appendix 3 Regression Results

Appendix 4 Breusch-Godfrey Serial Correlation Test

Appendix 5 Variance of Inflating Factor Test

Appendix 6

White’s Heteroscedasticity Test

Appendix 7 Ramsey RESET Test

Appendix 8 Jarque-Bera Test

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Appendix 9 Johansen Cointegration Test

Appendix 10 Time Series Data of the Variables

References

Allen, Richard and Daniel Tommasi (2001). Managing Public Expenditure,OECD Publications,Paris,France.

Arpaia, Alfonso and Alissandro Turinni (2008),”Government Expenditure and Economic Growth in the EU: Long-Run Tendencies and Short Term Adjustment”, European Economy Economic Papers 300: pp.2-28.

Blanchard, Oliver ( 2003). Macroeconomics 3rd ed. Pearson Education.

Diokno, Benjamin (2010), “The Philippine Fiscal Behavior in Recent History”, The Philippine Review of Economics,Vol. XLVII:1.pp.39-87.

Dornbusch,Rudiger, Stanley Fischer and Richard Startz (1998). Macroeconomics, Irwin Mc Graw Hill,Boston, Massachusetts, U.S.A.

Gujarati, Damodar (2003). Basic Econometrics, 4th ed., Mc Graw-Hill.

Mitchell, Daniel J.(2005),”The Impact of Government Spending on Economic Growth”, The Heritage Foundation,No.1831, p.6.

Tatlonghari,Virgilio.(2007).” Public Spending and Economic Growth in the Philippines: A Cointegration and Causality Analysis”, Ad Veritatem Vol.7, No.1, pp. 49-70.

--- (2008). “The Relative Strengths of Fiscal and Monetary Policy Actions in the Philippine Economy”, Ad Veritatem Vol.8, No.2, pp.347-368.

Year Real Gross

National Product

Real Government Expenditures

Government Tax Revenues

CTRP (1997)

Real Gross National

Product t-1

in million pesos

in million pesos

in million pesos

in million pesos

RGNP RGXP GVTR dummy RGNPt-11981 626321 104686 31423 0 01982 641510 108390 33800 0 6263211983 652097 95715 39848 0 6415101984 592694 78726 50118 0 6520971985 551428 80102 61190 0 5926941986 571492 107327 65491 0 5514281987 600907 108344 85923 0 5714921988 644229 112128 90352 0 6009071989 684231 129980 122462 0 6442291990 716929 145909 151700 0 6842311991 720218 141888 182275 0 7169291992 731396 137600 208706 0 7202181993 751479 140559 230170 0 7313961994 786136 144802 271305 0 7514791995 824525 147378 310517 0 7861361996 884226 158021 367895 0 8245251997 930658 173083 412165 0 8842261998 934481 170764 416585 1 9306581999 969334 182022 431687 1 9344812000 1037856 188219 460034 1 9693342001 1061283 193772 489860 1 10378562002 1105695 202933 496372 1 10612832003 1171431 207767 537684 1 11056952004 1252331 210292 598014 1 11714312005 1320000 210360 705615 1 12523312006 1391289 220995 859857 1 13200002007 1495589 236200 932937 1 13912892008 1587797 242957 1049179 1 14955892009 1621749 260793 981631 1 1587797


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VISION 2020: IS MALAYSIA ON THE RIGHT DIRECTION?

Tunku Nashril Bin Tunku Abaidah,

Universiti Teknologi MARA Faculty of Administrative Science and Policy Studies

P.O.B 187, 08400 Merbok, Sungai Petani Kedah, Malaysia E-mail: [email protected]

Mohd Helmi Bin Abu Yahya Universiti Teknologi MARA

Faculty of Administrative Science and Policy Studies P.O.B 187, 08400 Merbok, Sungai Petani Kedah, Malaysia


Nor Ardyanti Bt Ahmad Universiti Teknologi MARA

Faculty of Administrative Science and Policy Studies P.O.B 187, 08400 Merbok, Sungai Petani Kedah, Malaysia


Abstract

In 1991, former Prime Minister Dr Mahathir Mohamad announced the new vision of Malaysia to be a developed nation by the year 2020. Various programmes and policies had been formulated to keep Malaysia aligned with the vision. The beginning seems to be promising for Malaysia to achieve the status. However things are not like expected especially after the 1998 financial crisis. Economic recovery is slow and Malaysia looks like losing its focus. The change of Prime Minister in 2003 was seen as a new dawn to keep Malaysia back on the right path. Conversely Mahathir successor seems like shifting the government focus with less attention given on the 2020. The current Prime Minister Najib Razak is putting on effort to make things happen. Various programmes and policies had been formulated as a final sprint for Malaysia to achieve the objectives of vision 2020. With 8 years left, this article examined the Malaysia’s policies and programmes and drawbacks for Malaysia in achieving the status of developed nation. This article concluded, economic wise, it is almost impossible for Malaysia to achieve the target as the developed nation by the year 2020 but still on the right direction to be a developed nation. Malaysia has to work hard and learn from the neighbouring countries as well as make use the existing networking for the benefit of all.

Introduction

On 28 February 1991, the then Malaysian Prime Minister, Dr Mahathir Mohamad inaugurated the National Business Council (NBC) with a speech entitled ‘Malaysia: The Way Forward’, in which he announced the new national objective of achieving ‘fully developed country’ status by the year 2020. It was then known as Vision 2020, which anticipated

competitive, outward-looking and dynamic economic. It was designed to develop Malaysia into an industrialised country. Average growth target was set at 7 per cent for the next three decades. This was based on the Malaysia’s over 8 per cent average growth during 1988 -1990. The initial idea projected by Dr Mahathir was for Malaysia to be a developed nation without duplicating any other developed nations, but by using the Malaysian mould. However, Dr Mahathir did also emphasis that Malaysia should not be developed only in the economic sense but also in all dimensions: economically, politically, socially, spiritually, psychologically and culturally. Malaysia must be fully developed in terms of national unity and social cohesion, in terms of our economy, in terms of social justice, political stability, and system of government, quality of life, social and spiritual values, national pride and confidence. Nine challenges was outlined by Dr Mahathir so that by the year 2020, Malaysia can be a united nation, with a confident Malaysian society, infused by strong moral and ethical values, living in a society that is democratic, liberal and tolerant, caring, economically just and equitable, progressive and prosperous, and in full possession of an economy that is competitive, dynamic, robust and resilient. Malaysians were overwhelmed by the introduction of vision 2020. Shortly after the introduction, various policies and programmes were design to provide medium-term policy perspective as the Vision 2020 provides the long term objectives. Nine Central Strategic Challenges

It is to be noted that the aim of vision 2020 is not just the economic development, but the development that should take in multiple dimensions. As stated

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earlier, Dr Mahathir intended Malaysia to be a developed nation by using its own mould. To accomplish the aspiration, nine strategic challenges need to be successfully addressed in order to achieve holistic development. According to Dr Mahathir, there can be no fully developed Malaysia until nine central strategic challenges have been overcome. The nine challenges are (Mohamad, 1991):

1. Establishing a united Malaysia nation made up of one Bangsa Malaysia (Malaysia nations);

2. Creating psychologically liberated, secure, and developed Malaysian society;

3. Fostering and developing a mature democratic society;

4. Establishing a fully moral and ethical society;

5. Establishing a mature, liberal and tolerant society;

6. Establishing a scientific and progressive society;

7. Establishing a fully caring society; 8. Ensuring an economically just society, in

which there is fair and equitable distribution of wealth of the nation;

9. Establishing a prosperous society with an economy that is fully competitive, dynamic, robust and resilient.

Policies to support vision 2020: A kick start In mid-1991, Malaysian government announced its National Development Policy (NDP) with a ten-year Second Outline Perspective Plan (OPP2) followed by Sixth Malaysia Plan (6MP) several weeks later. These policies are meant to complement Vision 2020 as it will provide medium-term economic policy perspective while Vision 2020 will provide long-term objectives. Apart from medium and long term economic policies, Dr Mahathir also embarks on Mega Projects with the objective to boost up economic development and to put Malaysia on the world’s map. Despite all the criticism, he continues to modernise Malaysia economic landscape in his own way with the end results of achieving 7 per cent average growth.

National Development Policy (NDP) The broad economic development framework set forth in the NDP strengthened Malaysia’s position as a modern industrial-based economy and as a result brought significant economic and social progress. It was launched on the 17th June 1991 as a continuation of the previous New Economic Policy which has been crafted for the period of 1991-2000 to complement vision 2020. The primary trusts of the NDP entailed striking an optimum balance between economic growth and equity. Five

perspectives have been identify as a prime mover of NDP; politics, economy, social, physical, and environment. Under privileged groups were given educational incentive to improve their social well-being and ultimately will help in providing workforce. Private sectors were also encouraged to actively involve in economic activity and government also actively privatised its entity in order to promote greater private sector involvement. During this period, more job opportunities were available for the local. This is due to the industrialisation and foreign direct investment which brought in foreign factories to Malaysia. Though, some of these measures failed to achieve intended objectives which eventually need government remedies and had slowed down the effort to achieve vision 2020. This will be discussed in details in the analysis part. The Second Outline Perspective Plan (OPP2) The Second Outline Perspective Plan (OPP2) provided the platform for the implementation of the NDP, which was aim at achieving balanced development. During the OPP2 period, the Malaysian economy continued to undergo structural transformation. The country witnessed the strengthening of its manufacturing base both in terms of its contribution to growth as well as composition of industries. The services sector expanded in size and improved in qualitative terms. The change in the structure of production was also reflected in the employment pattern and export composition of the economy. Overall, the economy grew at an average rate of 7.0 per cent per annum and achieved the target for the OPP2 period, despite the economy experiencing the financial crisis in 1997-1998 (Hazim et al, 2003). The per capita income increased at an average rate of 7.8 per cent per annum and doubled from RM 6, 298 to RM13, 359 at the end of the OPP2 period. Private investment grew at an average rate of 2.9 per cent per annum, well below the target of 8.0 per cent per annum, on account of the severe economic contraction in 1998. During the first seven years of the OPP2 period, private investment was the main catalyst for growth, expanding rapidly at 17.0 per cent per annum, attributed largely to better economic conditions, lowers corporate tax rate and the increase in reinvestment allowance. The accelerated privatization programme generated domestic investment, particularly in the utilities, transportation and social services sectors. In addition, the large inflow of foreign direct investments (FDIs) into the manufacturing sector for building capacity in the export-oriented industries and investments in capital-intensive and high-technology areas, contributed to the high rate of private investment. The promotion of FDI was reinforced in 1996 to attract information and

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communications technology (ICT) companies to establish their operations in the Multimedia Super Corridor (MSC). The Sixth Malaysia Plan (6MP) The Sixth Malaysia Plan (6MP), covering the period 1991-1995, is the first phase in the implementation of the OPP2. The main thrust of the 6MP is to sustain the growth momentum and manage it successfully so as to achieve a more balanced development of the economy. The strategy for balanced development will, therefore, encompass policies to diversify the industrial base, enhance human resource development, promote technological upgrading and reduce structural imbalances among sector and regions in the country. This strategy is in line with the aim of the NDP. The principle of growth with equity was the concern of the government to ensure the realisation of a fair and equitable distribution of national wealth. The balanced development of the economy is essential to ensure stable growth, minimise social conflicts, promote racial harmony and enhance national unity, which will eventually address the challenges of the vision 2020. Aftermath financial crisis The 1997-1998 Asian financial crisis originating from Thailand struck one country after another and Malaysia is not excluded from being a victim. One of the immediate factors that triggered the 1997 crisis was negative perceptions of the Malaysian economy following the dramatic collapse of the Thai economy. Foreign investors and international rating agencies had failed to consider underlying risks in the Thai economy, and spurred by fear that the same currency devaluation would occur throughout the region, foreign portfolio investors withdrew from regional markets that were perceived to have underlying weakness. Malaysia which was over dependent on the FDI was badly affected by this situation hence forcing the government to take immediate remedial action. The ringgit-US dollar exchange rate fell sharply from RM 2.48 per US $1, to RM 4.88 per US $1 in the early 1998. Immediate action taken by Bank Negara Malaysia to shore up the value of the ringgit by rising short-term interest rate, but this did nothing to stop the slide. The 1998 budget proposed some principle measures to be taken. The measures introduced in immediate response to the crisis were not found to be effective. On the contrary, led to disastrous consequences, some of which were borrowers were faced with high debt obligations, construction projects with high import content had to be deferred, and rise in unemployment. Exports also did not improve despite intended policy measures because of worsening external demand since the crisis was

widespread in East Asia. The unfavorable outcome of this policy had called the government to draft more aggressive policy. As a result, the government announces a set of selective capital controls that were implemented on 1 September 1998. The following day the ringgit exchange rate was fixed at RM 3.80 to US $1 and the ringgit was made non-legal tender outside Malaysia. There were also restrictions to Malaysian residents bringing capital out of the country, but there were no restrictions on the purchase of foreign currency for purposes of trade. Though measures were taken to conquer the crisis, it was not enough to restore investors’ confidence. The contraction of trade and FDI inflows has had an impact on developing Malaysia. As a result, economic development was slow and Malaysia has to focus on economic recovery rather than developing and maintaining the objectives stated in the vision 2020.

Evaluation

Is Malaysia on The Right Direction? This part will provide an analysis of the Malaysia’s situation on route to achieve the status of developed nation. Policies and events have been evaluated in an attempt to provide insight of the situation. It was found that Malaysia is facing policy continuation problems especially during the transition of power. Policies and direction have been change several times and this has impeded the Malaysia economic growth. Besides, several policies yield unintended consequences that made the government sought immediate remedial action to correct the situation. To some extent, some of this policies are deemed fail to achieve the objectives. Government also failed to foresee the future and slow in learning the lesson from the crisis. Beneficial policies like DDI were not the priority of the government until recently. Current administration is seen working so hard in an attempt to transform Malaysia to be a developed nation. With 8 years left, it is deemed impossible for Malaysia to achieve the status of developed nation by the year 2020. Below are some of the evaluations provided to support the arguments. The Change of Prime Minister: From Mahathir to Abdullah In 2003, Malaysian witnessed another power transition which last took place in 1981. Abdullah Ahmad Badawi, Dr Mahathir’s successor was seen as the right candidate for the Prime Minister post. Politically, Abdullah inherited stable government with full support from the society though the 1999 election result was quite upsetting. Economically, Abdullah has nothing much to worry as economic recovery works well and Malaysia is undergo rapid

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development post financial crisis. However, Abdullah chose different path as compare to his predecessor. Much of the attention was given on strengthening government institution with less attention given to the economic development. Abdullah promised to clamp down on corruption, thus empowering anti-corruption agency. Several public figures which has close connection with Dr Mahathir has been arrested, a move which was applauded by the public. Abdullah administration also emphasised a revival of the Malaysian agricultural sector, a policy which was totally opposite with Dr Mahathir economic vision and had shifted the government focus on industrialisation. For Abdullah, agriculture is part of the business and it should not be neglected by government and society. Therefore, agriculture was made the priority and the government announced measures to strengthen agriculture activity. Land for agriculture was made forbidden for any development. During Dr Mahathir tenure, land reclamation for development was a normal situation. Agriculture and biotechnology are some of the highlighted issues in Ninth Malaysian Plan (9MP) that the government believes such sectors are able to generate wealth especially to those in rural areas. On September 2004, Abdullah who was also the Finance Minister presented his maiden budget which was seen by many as maintenance-oriented as opposed to the growth policies emphasised by Dr Mahathir. During the 57th UMNO General Assembly, he announced an end to the economic legacy and grandiose projects of his predecessor, an announcement that ignited tension between him and Dr Mahathir. In defence of his announcement, he claimed his administration inherited lots of debt from the previous administration. As a result, Abdullah made a decision of not pursuing the economic strategies adopted two decades ago by Dr Mahathir, a decision which gave tremendous effect on vision 2020. Abdullah view on economic growth was considerably different from Dr Mahathir. For Abdullah, wealth was not generated by innovation and creativity in the past, but by foreign investment, government contracts, and privatisation, point that Dr Mahathir recently agreed on and urges the current government to focus more on Domestic Direct Investment (DDI). The power transition between Dr Mahathir and Abdullah had slow down the progress of vision 2020. The later administration seems like shifting the government focus with less attention given on the 2020. Policy wise, it is seen as no continuation of policy though administration is under the same ruling party and consequently gives tremendous effect on vision 2020 which made it almost impossible for Malaysia to achieve the objectives.

From Privatisation to Re-nationalisation As mentioned in the previous part, Malaysia embarked on the privatisation policy as a means to achieve the objective of vision 2020. Private investment was highly encouraged and some of the government entities were rapidly privatised. Well over 400 projects were privatised, ranging from power utilities, telecommunication, highways, ports, water, TV stations to rubbish disposal. Privatisation had increased the capitalisation of the Malaysian stock market and contributed to asset price bubbles, attracting massive inflows of foreign portfolio investment. Following the 1997-1998 financial crisis and the collapse of the stock market, most of the private investment and company were badly affected. Mahathir administration undertook series of policy measures to bail out public interest companies. Indah Water Konsortium (IWK), which has been awarded 28-year concession to own, operates and maintains sewage-treatment plants nationwide had been bailed out by government amounted RM 192 million and still inheriting an estimated RM 0.9-1.4 billion in debt (Jomo, 2002). The government then agreed to pay RM 1.79 billion for the 29 per cent stake in Malaysia Airlines System Bhd (MAS), at RM 8 per share which is more than double of the market value. MAS had accumulated debt of about RM 9.4 billion and had experienced six year of loses by the end of 2001 (Hui et al, 2007). The privatisation of public transport also has cost the government RM 15 billion, buying back privatised companies. Most of the failed companies were associated with the politically well-connected business interest. This has been identified as the source of failure of the privatised companies. Most of the contracts were awarded base on the connection rather than capabilities of the companies. In the end, the government has to bail-out these companies as it is a public interest companies and show the failure of the private entities to play vital role in the market in helping the government to achieve the target of vision 2020. Influx of Foreign Workers The boom of industrialisation in the 90’s had caused an excessive demand for the industrial workers. This phenomenon had provided job opportunity to locals as Malaysia can supply cheap skilful workforce. Despite rapid industrialisation and corporate operational restructuring towards more capital intensive manufacturing activities, strong growth in the economy resulted in labour shortages at all levels. Other major economic sectors, namely agriculture, construction and services faced the same problem. As an immediate solution to the problem, foreign workers are allowed to be employed in the plantation, construction and selected services sectors

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as well as the manufacturing sector. This is to avoid disruption to the economic growth process. This however had attracted the influx of both legal as well as illegal foreign workers. Total foreign workers rose from 4% of total employment in 1990 to about 10.7% in 1997 and 9% in 2001. As at July 2004, there are about 1.3 million registered foreign workers, constituting 12% of total employment in the country (Ministry of Finance, 2004). The growing presence of foreign workers in Malaysia can be explained by cheap foreign labour cost and thus had outcast Malaysian workers. Most of the sectors have been dominated by foreign workers and this situation had portrayed Malaysia over-dependent on foreign labours. The need for Domestic Direct Investment (DDI) On September 2010, former Prime Minister, Dr Mahathir said Malaysia should not depend too much on FDI. He added Malaysia economy is over dependent on FDI and Malaysia cannot depend more on FDI anymore as other Asian countries provide more and better opportunities to encourage FDI such as cheap labour. Malaysia government should start focusing on DDI rather than FDI to be competitive in global economic market by giving similar benefits and assistance that has been given to FDI. It should be noted that DDI also play a vital role alongside FDI in the nation’s quest towards greater industrialisation and development. Dr Mahathir has warned that Malaysia would not achieve vision 2020 if the countries to rely on FDI. This however is quite late for Malaysia as they failed to learn from the 1997-1998 situations where FDI withdrew from the market and failed to help the government to overcome the crisis. Current policies such as New Economic Model, Economic Transformation Programme (ETP) and the 10th Malaysia Plan from 2011 to 2015 are premised on a growing contribution of domestic direct investments (DDIs). Domestic investment is targeted to account for 73 per cent of total investments by 2020 under the ETP (Domestic investment, 2012). Najib’s Administration The current Malaysia administration is working very hard to envisage the impact of future business environment in Malaysia. Najib’s administration is now seeking on transforming Malaysia to be a developed nation. Najib introduced 4 pillars of National Transformation that requires Malaysia to work hand in hand in achieving the vision 2020. The ultimate goal of this National Transformation is Vision 2020 and he outlined 4 pillars namely; 1Malaysia concept, Government Transformation Programme, Economic Transformation Programme (ETP), and 10th Malaysia Plan. All these 4 pillars try to perk up the business environment in Malaysia

thus accelerating the economic growth. A part from that, Najib also introduced New Economic Model (NEM) - part of the 4 key trusts to transform nation into a high-income economy and to ensure Malaysia is on the right path towards attaining developed nation status by 2020. This analysis will not focus on all 4 National Transformation pillars but will only focus on NEM and ETP as the current government is putting much efforts on these 2 thrusts.

New Economic Model (NEM)

The New Economic Model (NEM) is Malaysia’s current economic plan unveiled on 30 March 2010 which intended to more than double the per capita income in Malaysia by 2020. NEM aims to shift affirmative action from being ethnically-based to being need-based hence becoming more competitive, market and investor friendly (National Economic Advisory Council,

2012). The NEM to be achieved through ETP constitutes a key pillar which will propel Malaysia to being an advanced nation with inclusiveness and sustainability in line with goals set forth in Vision 2020. For centuries Malaysia has made slow progress and economic growth prospects have weakened considerably as well as failed to be among the top high performing economies. NEM is seen as the corrective mechanism and will put Malaysia back on the right direction as it will complement policies and strategies that have been used which is deemed inadequate to take Malaysia to the next stage. NEM strives for broader goals than just boosting growth and attracting private investment. The NEM takes a holistic approach, focussing also on the human dimension of development, recognising that while we have substantially reduced poverty, a hefty 40% of Malaysian households still earn less than RM1, 500 a month. This is based on 3 objectives stated under NEM which are high income, inclusiveness and sustainability. The real challenge of NEM is the second objective-inclusiveness, a prerequisite for fostering a sense of belonging. The government need to make sure pro-poor policies and pro-poor growth is working perfectly so that the wealth of the nation could be enjoyed by all. Malaysia should learn from previous pro-poor policies and affirmative action which is still fails to yield balance development and widening the rich-poor income disparities.

Economic Transformation Programme (ETP) The ETP which was unveiled on

September 2010, set forth and ambitious 10-year economic roadmap to power the country towards becoming a high income nation by 2020 (Economic Transformation Programme, 2012). ETP involves

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investments worth approximately RM 1.4 trillion (US$523 billion) with an objective to grow the Gross National Income (GNI) at six percent annually to hit RM 1.7 trillion (US$ 523 billion) by 2020, from RM 660 billion (US$ 188 billion) in 2009. As an initial catalyst towards economic transformation, 131 Entry Point Projects (EPPs) would be carried out across 12 National Key Economic Areas (NKEAs), with 60 Business Opportunities (BOs) being made available. ETP would be private sector driven while government will act as enabler and catalyst. There are 12 NKEAs that were jointly identified by the private and public sectors to kick-start the ETP. These NKEAs represent economic sectors that will drive the highest possible income over the next 10 years, will ensure high impact projects, together with policy support and incentive from the government. The 12 NKEAs are: Tourism, Education, Agriculture, Communication, content and infrastructure, Palm Oil, Healthcare, Wholesale and retail, Electronic and Electrical, Oil, Gas and Energy, Business Services, Financial Services and the last NKEA is Greater Kuala Lumpur. It is too early to evaluate the achievement and the effectiveness of ETP. However, by looking at industries involve and participation from foreign and domestic investment, government action is deemed on the right path to make Malaysia a developed nation as it fully utilised the existing capacity. ETP identify key industries that can give Malaysia advantage as compare to neighbouring countries. The realities of more local companies are investing abroad and the rise of competition from China, India, Indonesia, and Vietnam should be given emphasis by the government in making this transformation a reality.

Conclusion

In this analysis, policy priority has been identified as vital area that needs to be given serious attention by the government in achieving the stated objectives. There have been variety policy failures that are policy that yield unintended results. Malaysia needs to learn the lesson in order to make current policy workable. With 8 years left, it is almost impossible for Malaysia to achieve the target as the developed nation by the year 2020 but still on the right direction to be a developed nation. The new world growth engines, such as ‘BRIC” (Brazil, Russia, India and China) and other emerging economies like Indonesia, will grow faster and richer. Malaysia need to be at least at par with these countries or else will be drifted away. To remain relevant in market competition on a regional and global scale, Malaysia must retain, attract talent and must be seen by its people and by others as a land of equal opportunity to earn a good living and provide a secure, happy life for each individual and the family.

References

Domestic investment play crucial role alongside FDIs: MIDA. (2012, February 23). Bernama. Retrieved April 17, 2012 from http://www.mida.gov.my

Economic Transformation Programme. (2012). Retrieved April 20, 2012, from http://etp.pemandu.gov.my.

Foreign workers and Malaysian economy. Economic Report 2004-2005. Available from Ministry of Finance Web site, http://www.mof.gov.my

Hazim Shah, Jomo, K.S, & Phua Kai Lit (eds) (2003). New Pespectives in Malaysuan Studies. Kuala Lumpur:Malaysian Social Science Association.

Hui., C.R., Sin., N.Y., Ling., C.W., & Fei., W.K. (2007). Privatization in Malaysia: debates and issues. Retrieved September 2, 2011 from http://www.harwaimun.com/Malaysian_Economics_Development.pdf

Jomo, K.S. (2003). M way: Mahathir’s economic legacy. Kuala Lumpur: Vinlin Press Sdn Bhd.

Jomo., K.S. (2002). Privatization’s distributional impact in Malaysia: From Initiative for policy dialogue privatization task force. University of Malaya: Applied Economic Department, Malaysia. Retrieved July 26, 2012, from http://www0.gsb.columbia.edu/ipd/programs/program.cfm?ptid=2&prid=22&tyid=itemtype&iyid=13

Mohamad, M. (1991). The way forward: Vision 2020. Retrieved 15 June, 2012 from http://www.epu.jpm.my

National Economic Advisory Council, Federal Government Administrative Centre. (2012). New Economic Model: Part 1, 2012. Available from Prime Minister Office Web site, http://www.pmo.gov.my

Rafikul Islam, (2011). Prioritizing the nine challenges of Malaysian vision 2020. Proceeding of the International Symposium on the Analytic Hierarchy Process 2011, Italy. Retrieved 27 April, 2012 from http://www.isahp.org

Siti Sakinah, A.L. (2010). Malaysia to raise ratio of

domestic investment to 60% by 2020. The edge.

Retrieved May 5, 2012, from

http://www.theedgemalaysia.com.my

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Public Policy in Indonesia

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THE DYNAMICS OF GOVERNANCE IMPLEMENTATION IN MULTICULTURAL SOCIETIES

Bambang Supriyono Professor in Local Government, Public Administration Department,

Faculty of Administrative Science, University of Brawijaya.

Abstract Governance in multicultural societies such as in Indonesia has a higher dynamics rather than the governance in a society that tends to mono cultural. The dynamics are often caused problems that could undermine the foundations of governance, even the threat of national disintegration, if it is not managed according to the principles of good governance. Implementation of these principles need to be preceded by a comprehensive understanding of the multicultural societies characteristics, find the dimensions of diversity and at the same dimensions of unitary as the basis for managing governance system.

What does it meant by managing governance system is promoting democratic values according to the characteristics of the community and managerial values in order to ensure the implementation of effective, efficient, accountable and equitable governance. It is no less important is the support of the leader as a reliable administrator, has integrity and ability to describe the vision, mission, policy direction, to control the operationalization of management. Keywords: multicultural, good governance, and political leadership. Background Governance in multicultural societies has a higher dynamics than in a society that tends to mono cultural. Dynamics can be significantly positive, if in governance occur harmonization between stakeholders in promoting and realizing the welfare of its people; otherwise be significantly negative if there is a conflict among stakeholders and no comprehensive settlement. Conflict can be caused, because of governance is not able to realize a healthy democratic process, began at national level to local level, the fragility of economic development is not able to drive an increase in welfare, or the management of government that can not realize the effectiveness and efficiency of public services.

As one of the countries that has multicultural society characteristics, the experience in Indonesia show high dynamics in governance, both positive and in some cases negative. The positive dynamics, for instance since 1998 there was governance reform followed by the emergence of Act No. 22 Year 1999 regarding Local Government and revised with the enactment of Act No. 32 Year

2004. Some principles in these Act are: the greater delegation of authority through political decentralization to local government to conduct governance process, the central government handle only 5 (five) pillars of government affairs to keep the existence of a unitary state. The purpose of this policy includes encouraging the establishment of local knowledge based on local independence, reduce disparities between regions and improve the effectiveness of public services.

The impact of these reforms turned out to be more autonomy local government in governance, the process of direct elections at local, provincial, and national much more democratic than the previous. Parliament elections members at the local and national, Head of Local Government elections and Presidential elections have been held directly as a manifestation of people's participation in the democratic process. Each region also has set the vision, mission, policy direction, development programs and public service indicating the quality of governance. Through this process of reform can be understood if the incremental implementation of governance and development in Indonesia up to now begin to show significant results.

Although, it is undeniable that there are negative sides arising from the reform process or the dynamics of governance. As an illustration, in Indonesia the relationship between local government is both coordinate as a manifestation of autonomy or independence, while the relationship between central and local governments are subordinate as a consequence of unitary state (Hoessein, 2000). Implementation of state system that has a balance between sub-ordination and co-ordination, centralization and decentralization has not been fully realized. The research results from Supriyono (2006) showed that, in terms of policy formulation in the area has not been a significant shift from representative democracy toward participatory democracy, which means that there are still many areas of government policy in various forms of legislation, does not involve the participation of various segments of society. Many policies has not been established in accordance with the wishes and interests of citizens. In addition, the role of local government is still very dominant in the provision of public services (strong public sector), while the involvement of the private sector and communities are still very limited. Because the burden of local governments in service provision and development of the service quality in education, health,

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infrastructure provision, or other services have not been fully realized.

Governance in Indonesia is operate in pluralist or multicultural society. Characterized by a plurality of horizontal diversity of ethnicity, language, religion, culture, customs and potential areas. In addition there is also a vertical plurality which is characterized by sharp differences in economic stratification, social, or political. Understanding of the plurality and multicultural dimensions seems not fully paint the regional administration. Diversity potential of the region can not be optimally explored to realize the local self-government, it would be make a spirit of regionalism and emerging ethnocentrism or even bring up the attitude of separatism. Borrowing concepts from Purwasito (2003), efforts to build unity in diversity which should be based on the cultural approach to cultural proximity (closer culturally) as broad as possible can not be realized. Multicultural Society Dynamics Multicultural society is a feature of a dynamic society, composed of groups with the characteristics of different ethnic, geographical, religious, and culture that has an equal positions among the groups. In a multicultural society there are also differences between groups which are non-equal positions due to the economic social stratification. A variety of studies ranging from classical social theory to development theory shows that the stratum (lapisan) was triggered by development policies that has not been able to increase employment opportunities and social welfare. Even an inefficient bureaucratic culture also affected the growing of economic inequality, relationships between economy and society forms the cornerstone for our contemporary understanding of the cultures of a bureaucracy (Broekman, 2002).

Characteristics of a multicultural society that have been described above can be observed in Indonesia. In general, the people of Indonesia have two characteristics, namely the horizontal structure to describe equity characteristic and vertical structure to refer stratum characteristic (Furnivall, 1967: 446-469). Horizontal structure is characterized by diversity of ethnicity, religion, culture which inherent to the tribal and local characteristics; also called by plural society. Geographical condition of Indonesia consists of approximately 17,000 islands, consist of more than 300 ethnic groups, each group has different language and cultural identity. Based on the criteria of language, regional, cultural, and social order, Taneko (1986: 65) suggests that in Indonesia there are 366 ethnic groups spread over parts of the various archipelago. In Indonesia there are also a plurality of religions, including: Hinduism, Buddhism, Islam, Catholicism and Protestantism. Even in the reform period has also formally

recognized the existence of Confucianism as a religion in Indonesia.

Besides the horizontal structure with the characteristics as mentioned above, can be explained also on the vertical structure of a multicultural society. Vertically in a multicultural society, there is a significant difference between the upper and lower layer, or in other words there is a sharp social and economic polarization on political power and wealth. There are layers of the ruling group on the basis of political or economic power in a relatively small number of layers of society, that control weak or poor in a very large number. The magnitude of the polarization of the stratum is largely determined by the state role in the management of development policy. Countries that succeed in managing development policy reflected in the low polarization in the vertical structure of society, otherwise the state is failing to manage development policy will impact on the amount of polarization in the vertical structure.

Reality of the horizontal structure or vertical structure as described above, it is still facing many problems mainly related to prolonged conflict. Efforts to eliminate or resolve conflicts that stem from the vertical and horizontal structure will require the involvement of government with the support of all levels of society. Government involvement in the formulation and implementation of development policies and public services should be based on a plurality or multicultural society. In this case there is a difference of interests, on one hand the government interest to bring together a variety of differences as one integrated force in nation building, on the other hand each area (local people) are concerned to achieve independence in governance in accordance with the choices and desires of its people.

Burrell and Morgan (1982: 202-205) uses the term pluralists society to call multicultural society and distinguish it with unitary society. On the basis of this distinction, if related to the bureaucratic perspective in governance, there is a difference between the pluralist concept and unitary concept. In view of unity: the interests, conflict, and power is a unit that needs to be managed simultaneously through appropriate managerial approach so that common goals can be achieved. While the flow of a pluralist view that the divergence of interests and conflicts among groups is fundamental and always occurs in the community, so the use of power should be built on a deal between the groups in a democratic manner. Can be said also that the unitary view put forward managerial values in an effort to achieve common goals; while pluralist view emphasizing the importance of understanding more pluralist democratic values, so that conflict between groups can be eliminated in order to achieve common goals. Looking at the view of the above, efforts to achieve

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common goals in a multicultural society can only be realized if there is a system of government that is able to integrate the perspective that puts the unity of managerial values and views of pluralism that emphasizing democratic values optimally.

Burrell and Morgan use the terminology of a pluralist society to call multicultural society and distinguish it with unitary society. On the basis of this distinction, if related to the bureaucratic perspective in governance, there is a difference between the pluralist concept of the unitary concept. Bureaucratic perspective is a reflection of the three sets of assumptions related to interest, conflict, and power, as shown in Table 1.

Table 1 The Unitary and Pluralist Views of Interests,

Conflict, and Power Assumptions The Unitary

View The Pluralist View

Interests Achievement of common objective

Diversity of individual and group interests

Being united under the umbrella of common goals

Organization is regarded as a loose coalition

Achievements of a well integrated team

A remote interest in the formal goals of the organization

Conflict Regards conflict as a rare

Regards conflict as an inherent and in-eradicable

Removed through appropriate managerial action.

Characteristic of organizational affairs

Attribute to the activities of deviants and troublemakers

Stresses its potentially positive or functional aspect

Power Largely ignores the role of power in organizational live

Power as a variable crucial to the activities of an organization

Managerial prerogative of guiding the organizations

Conflict of interest are alleviated and resolved

Achievement of common interest

Power holders drawing their power from a plurality of source

Looking at Table 1 shows that in the light of unitary, interest is seen as an effort to achieve common goals and objectives through an integrated team. While the pluralist view, see a distinction between individual interests with the interests of the group that required a formal coalition with goal setting formally agreed. In view of unity, the conflict can be eliminated through appropriate managerial action, while the pluralist view sees conflict as something that always happens, and therefore required a functional linkage between groups. Regarding power, in unity view, the power is directed to a common interest with the importance of managerial role support; while in pluralist view, power is a crucial variable in the organization activities so that conflicts of interest should be reduced or overcome through the use of resources that are pluralist.

In view of unity: the interests, conflict, and power is a unity that need to be managed simultaneously through appropriate managerial approach so that common goals can be achieved. While, in pluralist view, the divergence of interests and conflicts among groups is fundamental and always occurs in the community so that the use of power should be built on a deal between the groups in a democratic manner. Also can be said that the unitary view put forward managerial values in an effort to achieve common goals, while pluralist view emphasizing the importance of understanding more democratic values so that conflict between groups can be eliminated in order to achieve common goals. Governance Strategy in Multicultural Society After looking at several theories or concepts related to a multicultural society, further would be explain that the strategy can be done to solve the problem of governance in a dynamics multicultural society. The first steps that need to be done is re-mapping the characteristics of multicultural, ethnic diversity, the potential of local autonomy, change in behavior and socio-cultural, socio-economic stratification until pattern change in the relation of central and local powers. Administration or economic development will not be possible to improve the quality of human life, except when it is done within the framework of cultural development. Cultural development is : an essential dimension of the overall development of peoples (Anonymous, 2004:113). This approach puts not only the cultural aspect as the auxiliary value, but as an intrinsic value in the administration and economic development. On the basis of such mapping, can be drawn up a strategy of governance and even change direction, according to the dynamics of communities to support the role of effective leadership.

Study of a multicultural society can be the foundation to develop an independent system of government based on the potential or the local culture (local self-government) into a single unified

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nation state system of government. Efforts to build unity in diversity should be based on the cultural approach, namely by conducting cultural proximity to build a strong system of government. This effort which can be done through: building open and egalitarian culture in social communication channels, open the widest inter-ethnic public spaces and open the widest possible dissemination channels at various levels as a way to capture the aspirations and social reality, through the sharing of creativity (Purwasito, 2003: 311).

In terms management of government authority (affairs) submitted by the central government to the local government, to areas that has potential for notable local authority should be emphasized in an effort to manage this potential systemically in order to improve the welfare of local communities, without neglecting management of the other affairs. As for the local economy which has more pronounced social stratification need to handle the affairs of mandatory or optional with an emphasis on efficiency and economical aspects in dealing with these matters. In the management of authority there is a need for harmony between the authority transferred, revenue sources that are owned and the obligation in funding, so that the high dependence on central government can be reduced (Prasojo, 2006).

Autonomy in the management of authority can be realized if it meets several principles. First, Stigler principle: decision making should occur at the lowest level of government consistent with the purpose of resource allocation efficiency. Optimal size of jurisdiction varies depend on economies of scale and cost advantage spillovers. Second, the principle of fiscal Equivalency: the alignment of political boundaries with the benefit, it is necessary for clarity of jurisdiction for any kind of public service. Third, the correspondence principle: the clarity of jurisdiction relating to the authority of the central and local government regarding any provision of public goods to all society. Fourth, the decentralization theorem: every public service should be provided with a clear jurisdictional boundaries through limited control mechanisms, instituting profit and service charges. Fifth, the subsidiarity principle: spending and regulatory functions should be at the lowest level of government, nevertheless for not capable areas needs proportional assistance, coordinated by the central government.

Associated with the change of governance direction, for the areas that have salient tribal and culture, needed more emphasize to the role of the government sector and local communities. While, for the areas that have different social stratification, political, and economic policy direction is needed more prominent government affairs management that emphasizes the role of government and the private sector. In the sphere of public

administration, refers to the Stilman and Kickert mapping study (1999: 29-33) needed a balance between the implementation of the concept of plurality (pluralist) with a dominance concept of nation (state centrists). The concept of plurality can be implemented properly if it is supported by the reduction of the dominance of the state (statelessness) through a comprehensive policy of decentralization, while the concept may be applied if the state centrists supported understanding of the complexity of society and increasing state intervention in a positive way for the prosperity of the people.

We can said that the balance between political approach and administrative/ managerial approach is needed to conduct local government. This is because of governance that emphasizes the use of political approaches would weaken managerial values, whereas the use of excessive managerial approach would undermine the democratic political process as an important requirement to ensure a government powerful system. Borrowing the concept of Smith (1985: 46-60) required a balance between the administrative needs and political demands.

Demands of a democratic political process is needed to ensure the desires, choices, and the representation of citizen rights; reverse the process of administrative / managerial as well is needed to achieve effective and efficient governance in order to meet local and community welfare. Improving the welfare of the citizens of which rests on economic needs, both characterized by indicators of per capita income, regional income, the development of small and medium businesses to large scale. Therefore, it is understood that it is very important to use the two approaches in governance as have mentioned before; it should be directed to accelerate economic growth in order to realize an increase the welfare of residents / local communities.

In a study of public administration a balance between the use of political and administrative approach is often known as the concept of governance (entrepreneurial approach). This approach seeks to realize the governance that emphasizes the values of democratization, effectiveness and efficiency. Governance is a word and concept that performs a kind of rhetorical distancing of public administration from politics, government, and bureaucracy (Frederickson, 1997 : 78). The concept of governance emphasizes the forms of public action, including the arrangement of cooperation with non-governmental organizations, actions which in its operation using the concept of decentralization and the techniques of persuasion and consensus.

In the context of a comparison between the bureaucratic approach to the governance approach, Frederickson reviewed Osborne and Gaebler opinion to distinguish between entrepreneurial

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approach (governance) with a bureaucratic approach in governance. The difference can be seen in Table 2.

Table 2 The Difference Between Government and

Bureaucracy

No

Governance Bureaucracy

1 Steering Rowing 2 Empowering Service 3 Competition Monopoly 4 Mission-driven Rule-driven 5 Funding outcomes Budgeting inputs 6 Customer-driven Bureaucracy-driv

en 7 Earning Spending 8 Preventing Curing 9 Teamwork/participat

ion Hierarchy

10 Market Organization Source : H George Frederickson. The Spirit of Public Administration. p. 80 The principles in govenance approach can be expressed as follows :

Catalytic government: steering rather than rowing. The function of entrepreneurial government is to separate the role of decision-making (steering) and the role of service delivery (rowing). Government acts as a catalyst to form new organizations to take the role of decision-making.

Community owned government: empowering rather than serving. Government cooperate with or through the community, empower communities to control the environment and their own needs and no longer has service dependence to the bureaucrat or service personnel.

Competitive government: injecting competition into service delivery. Government that acts as a service provider must be competitive, for example should be cheaper and faster so that communities can be satisfied. Monopoly by the government no longer happened and therefore there is a need to revitalize public institutions.

Mission driven government: transforming rule driven organization. Government has more mission / goals oriented rather than regulation, because it will make government more effective, efficient and innovative. Implementation can be delegated to institutional units which have clear working procedures, the availability of funds and enough personnel.

Result oriented government: funding outcomes not inputs. Government more results oriented. Any increase or additional resources must be considered carefully so that the results can be achieved, not just a waste of resources arbitrarily. In this case the activities are developed to monitor,

evaluate performance and accountability for the achievement of the government performance.

Customer-driven government: meeting the needs of the customer, not the bureaucracy. The Government created a service system in accordance with the wishes of the people in a holistic manner. Communities were given the right to determine which services are more profitable and satisfying. This encourages the service provider always be sensitive to the needs and desires of the communities.

Enterprising government: earning rather than spending. Government urged to be able to run entrepreneurial principles that try to continue in increasing revenue and increase investment. In this case there is a necessary, for more rational management techniques.

Anticipatory government: prevention rather than care. The Government required more preventive than curative, anticipatory and proactive, rather than reactive, in the fore-sighted decision-making, developing a more strategic direction which is considered very important.

Decentralized government: from hierarchy to participation and team-work. The Government emphasizes decentralization because provides opportunities / empowerment to the underlying institutional units to develop skills, improve morale, has a high commitment to the tasks and organization of the centralized government.

Market oriented government: leveraging change through the market. Government that is more market oriented rather than command-style bureaucracy strategy. The goal is to develop market structure in such a way to redesign the necessary rules to meet public needs. Observing the development of governance approach, as already stated, it can be concluded that the role of government institutions in the implementation of development programs or the provision of public services needs to develop entrepreneurial values. The involvement of government institutions, private sector, and society is needed to realize the synergistic implementation of effective and efficient development while promoting the values of justice and democracy. Between the three sectors need to have a mutual dependence, to build a network of strong ties and autonomous in implementing various development programs and public service. The role of government in this case could be as catalysator and enabler, or the role of taking care the implementation of development programs that can not be handled by the private sector and the community. In this way can promote the development of democracy institutions and managerial values as well as in improving the productivity of the institution / organization.

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Application of governance approaches in governance needs to support governance reforms in a comprehensive manner. The meaning of reform is the use of new ideas to improve the system administration deliberately in order to achieve development goals. Hahn-Been Lee (1970: 177-189) suggested: administrative reform as an effort to apply new ideas and combinations of ideas to an administrative system with a conscious view to improving the system for positive goals of national development. Further He said : three broad categories of variables in reform: the nature of reform, reform agents, and the environment.

Nature of reforms, are related to the content, complexity, and level of usefulness, reform agents, arises from the characteristics of agents, including agents of reform of political leadership and social political conditions. While the environment is related to the social and political structures that correlate with the leadership in the reform, which includes agents of reform and its internal structure. Correlations in the environment variable will resulted in reform strategies as follows: Strong leadership if it is supported by social and political structure will produce a comprehensive reform strategy (comprehensive strategy).

Strong leadership if it is not supported by the social and political structures, or if the leadership is weak but is supported by the social and political structures will result in reform strategies that are selective (selective / incremental strategy).

If the leadership is weak and not supported social and political structure will not be able to do the reform strategy (no alternative strategy).

In the context of community development (societal development) taking into account the problems encountered, presumably a strategy of administrative reform is necessary whether using the comprehensive strategy or incremental strategy. Administrative reform did not yet have encountered problems, means showing weak leadership and lack of support for social and political environment. This is certainly not an option, if we want to perform administrative reform in arranging the pro-society development. Referring to the opinion of Elcock (2001: 106-124), required a strategic function in terms of governance: a clear value orientation (setting the values), developing goals, community support (leading people), effective coordination among government institutions (coordinating the departments).

In addition, the need of leaders capacity who promote honesty, transparency and accountability, upholding the ethical and cultural values. According to Peters and Baum (2007: 261-273), the leader of such capacity is characterized by: its ability to exploit opportunity, developed a management systems, manage human resources systems, developing a corporate culture and overcome the work obstacles wisely.

Characteristics of a leader like have mentioned will help reduce dependence of the local government to the central government, given the local government has a very high fiscal dependence on central government.

Conclusion

Governance in multicultural societies has a higher dynamics escalation than society which tends to mono cultural. In response to these dynamics, innovation or reform is needed in a comprehensive government with the support of powerful leadership to realize democratization, effectiveness and efficiency in governance. The initial steps that need to be done to make this happen is to understand in depth the characteristics of a multicultural society. Further, requires the application of the principle of good governance through a balance between the political and managerial processes in governance. The role of a reliable leader is related to the clarity of the value orientation (setting the values), developing goals, community support (leading people), effective coordination among government institutions (coordinating the departments).

REFERENCE

Anonymous. 2004. Cultural Insights for Development: Looking at Local Wisdom (Wawasan Budaya untuk Pembangunan: Menoleh Kearifan Lokal). Pilar Politika, Kelompok Pilar Media. Yogyakarta. Berman, Evan M and Jonathan P West. 2003. “Values Management in Local Government” in Douglas J. Watson and Wendy L. Hassett (ed). Local Government Management, Current Issues and Best Practices, An ASPA Classics Volume. M.E. Sharpe. London, England. Broekman, Jan. 2002. Solidarity and Multiculturalism. Social Science Research Network Illinois Law and Economics Working Papers Series. Working Paper No. LE03-006. December 2002. Burrell, Gibson and Gareth Morgan. 1982. Sociological Paradigms and Organizational Analysis. Ashgate Publishing Limited. USA. P. 202-205. Elcock, Howard. 2001. Political Leadership, New Horisons in Public Policy Series. Edward Elgar, USA. Furnivall, JS. 1967. Netherlands India: A Study of Plural Economy. The University Press. Cambridge.

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Frederickson, H George. 1997. The Spirit of Public Administration, San Fransisco : Jossey-Bass Publishers. Grindle, Merilee S. 2007. Going Local, Decentralization, Democratization, and the Promise of Local Governance. Princeton University Press. New Jersey. Hoessein, Bhenyamin. 2000. Hubungan Penyelenggaraan Pemerintahan Pusat dengan Pemerintahan Daerah. Hoessein, Benyamin. 2000. The Relation of Central Government Implementation with Local Government. (Hubungan Penyelenggaraan Pemerintahan Pusat dengan Pemerintahan Daerah). Jurnal Bisnis and Birokrasi, No. 1, Vol. 1. Kickert, Walter JM and Richard D Stilman. 1999. The Modern State and its Study. Edward Elgar. Cheltenham, UK. Lee, Hahn-Been and Samonte AG. 1970. Administrative Reforms in Asia. Eastern Regional Organization for Public Administration. Manila. Phillippines. Peters, Larry and John Baum. 2007. “The Importance of Local Context in Leadership Development and Evaluation. In Kelly M Hannum etc. The Handbook of Leadership Development Evaluation. John Wiley & Sons, Inc. San Fransisco. Prasojo, Eko. 2006. Re-construction of Government Relations and the Center for Local Government in Indonesia: Between Sentripetalism and Sentrifugalism. Professor Inauguration Speech, University of Indonesia. (Konstruksi Ulang Hubungan Pemerintah Pusat dan Pemerintah Daerah di Indonesia: Antara Sentripetalisme dan Sentrifugalisme). Pidato Pengukuhan Guru Besar FISIP Universitas Indonesia. Jakarta. Purwasito, Andrik. 2003. Multicultural Communication : Indonesian Perspective (Komunikasi Multikultural: Perspektif Indonesia). Muhammadiyah University Press. Surakarta. Taneko, Soleman. 1986. Social System Concept and Social System in Indonesia (Konsepsi Sistem Sosial dan Sistem Sosial Indonesia). Penerbit CV Fajar Agung. Jakarta. Smith, BC. 1985. Decentralization, The Territorial Dimension of the State. London : George Allen & Unwin Publishers Ltd. Supriyono, Bambang. 2006. The development of Local Government Institution to Provide Urban

Infrastructure in Malang City. Dissertation. (Pembangunan Institusi Pemerintahan Daerah Dalam Penyediaan Prasarana Perkotaan di Kota Malang) Disertasi. FISIP. Universitas Indonesia. Jakarta.

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SOCIAL POLICY ON ERADICATING URBAN POVERTY A CASE HIGHLIGHTED FROM INTERNATIONAL PERSPECTIVE

Mardiyono Senior Lecturer at Faculty of Administrative Science

Brawijaya University, Indonesia

Abstract

One of the social policies is addressing concern to poverty in developing countries as general phenomenon that easy to find out. Even though there exist close relation between rural and urban poverty, the last given more that most discussed in urban study, then the second part highlights scope of urban policy that historically connected to urban development, access to shelter and basic services. The third part discusses on urban lives, especially access to their survival strategy. Fourth part analyzes government challenge in combating urban poverty and strategy to apply social urban policy.

Tracing urban poverty in developing countries showed that the fast development of central urban industries resulted in the movement groups of people into those industrial facilities without adequate skills they should have. Urbanization tendency from rural area into urban cities will effect to the human deficiency of old rural residence, while new urban areas will become densely urban population that creates further social problems like crime, land conflict and long range development disparities in developing country.

There are three crucial problems faced by urban poverty at large, i.e. system of adequate living standard, capacity to get job with adequate income earning, and home environmental sanitation standard. In accordance with the structuralism or Marx’s exploitation theory, the social marginality is caused mainly by capitalism. In the meanwhile, individualism focuses on value and individual behavioral misconduct within urban modern society. Property concentration, industrial organization and the increase of social and economic gap have generated social dualism, i.e. people with political and economic strengthens in the one hand, and people in social exclusion without getting access to income and asset in the other hand. Income gap become worse and worry us over time and necessarily attracts social policy that pro poor not be designed by the government for the interest of its own.

The design of social policy to solve such social problems can be executed by the government through a variety of program. Problem of poor accumulation in urban area can be solved by the companion assistance of non government organization. Housing policy is intended to overcome slum areas. Informal sector development policy is addressed to solve unemployment. In the

case of Indonesia proved that informal sector capable of surviving from financial and economic crises in the year 1997 and 2007 ago. In turn, developed informal sectors are able to leverage urban economy much higher than formal economic sector.

¹This article is written by Mardiyono ([email protected]) as a senior lecturer for the Faculty of Administrative Science, University of Brawijaya. He is now assigned to another additional position as Vice Dean responsible for general and financial administration at the Faculty of Political and Social Sciences, University of Brawijaya, Malang-Indonesia. 1. Introductory In this paper will be explained about Social Policy which supposed to be applied to overcome city problems, especially problems that interrelated with urban affairs poverty. This paper will consisted in four main analyses, first part of the analysis discuss about the concepts which often used in urban studies, second part will discuss about urban policy area which historically interrelated with urban development, access to shelter as well as basic services. The third part of this chapter discuss about urban life, include job in every sector that reachable by urban citizen, such as what needs to be done by urban citizen to survive. Last chapter discuss about government challenges to cope with urban poverty and applies urban social policy, which in the end will be able to conclude which policy could work if being applied in wide Nations. 2. Urban Poverty Growth

Poverty in developing Nations were common phenomenon that happened in developing Country. Although actually there was relatively strong correlation between poverty in rural area and poverty in urban area, however urban poverty get more attention in international social policy agenda. The cause of urban poverty growth which commonly happened sporadically suspected as the result of urban rapid development of centrals industry. Which cause a group of people approach those centrals industry. The effect of these people movement will bring up urban poor citizen community. The policy to overcome urban poverty is often not based on social poverty in urban area characteristic comprehension and the process which come along urban poverty, that is presence of social

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exclusion. In this situation, government commitment to overcome poverty in urban areas is being tested. One of the best way is to aim at poor citizen who actually have capital, such as social capital. By giving capital to poor citizen to be entrepreneur, therefore government chances to overcome poverty can precede optimally.

2.1. Urban Poverty Context

The criteria of poverty is an important matter that must be decided before making social policy in purpose to aim urban poor citizen. These criteria consist of two main part, which is quantitatively related to population or the quantity of poor citizen, and qualitatively criteria which is standard or parameter to define urban lifestyle, to group a family as a poor one or the opposite. Even though this policy generally applied, but there some weakness often found in these urban poverty criteria determination, in example this numeric application of criterion have high variation between Nations so that it’s difficult to set international ratio. Furthermore, classification of city limit which sometimes blurry, whether one area has been include in urban area, or just hinterland or sub-urban. 2.2. Urbanization and Urban Growth

Davis (1965) mention that demographic criterion for urban citizen were minimum 20.000 people; whereas 100.000 people used to call one area as urban. Davis also argues that urbanization can be defined as a process and measure. Urbanization as a process involving the growth in absolute terms has a number of people living in urban areas, while urbanization in the context of the measure is in terms of the proportion of the national population of people living in urban areas. There are some general picture to be gained by focusing on three key statistics: first, the urban population is the number of people living in urban areas and expressed in absolute terms. Second, the proportion of total population living in urban stated percentage, and the third is the number of people living in urban areas absolutely. Based on studies conducted in Beijing China, it can be concluded that urban growth is dependent on increasing the quality of the natural resources located in urban areas, where these natural resources are able to support the production process. Urbanization is a process of social mobility impacts of urban poverty. Desire to approach a group of people means the industry will lead to the patterns of dense urban settlement but shabby. The trend of urbanization to urban areas will make the area left retarded, while the area designated as a point of urbanization will be an area of high density levels. Predictable, high population density will create further problems such as crime, land disputes,

and can not be unequal development which would better accommodate the urban community. This makes long-term problems, namely uneven development within a country.

2.3. Megapolitan City

Largest cities in the world have historically shown that this city is a city that has a large-scale industry. Berry (1976) look at a phenomenon that a mega city in the world will reach a point where they will cease to increase the population of the population of his town, or even decline in the population of the city, as happened in the city of Tokyo. The concept of mega cities contain the notion of a city that has a very high population density, and likely does not make sense when compared to the ratio of the area and the people who inhabit the region. Mega city has a very high density, and urban problems that have followed. Mega cities in general are in third world countries as well as the city became the center of the industry. The data showed that Tokyo remains the world's mega cities from 1995 to 2015. While cities in India at the center of the technology industry such as Mumbai and Calcutta is estimated to be the new mega city in the future.

3. Understanding Urban Poverty

In 1950, there is an opinion of Rostov (1960) who believed that urban poverty is something that is only temporary. in other words, when a country takes off, poverty will disappear by itself. This opinion has challenged. Lewis (1966) states that marginal groups are indeed perpetuating culture of poverty. Changes in the fluctuating world economy and increase the burden of the cities in developing countries. Governments of cities in these countries to shape policies that are then ease the burden of the state in the face of global economic blow. As a result, the nature of the urban population that is integrated in the economic system in cash to make a lot of the urban population suffered from the city government's policies. Policies such as removal of subsidies on fuel, making many small industries to close, so that unemployed workers. Those who are unemployed and previously came from the village is overlooked by the city, where they are then considered as a marginal urban groups. Urban poverty in general, always involves the phenomenon of social exclusion, namely the neglect by the government on the actual group must be assisted, because they had minimal access to the products of development. For example, urbanization is the workers who move from villages to cities to become laborers in the fields of industry, then there should be concern for the survival of these workers. However, in practice the workers who came from this village is no more considered as municipal waste. As a result, there was the government's

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exclusion of their city. For example, female workers were denied access to health services because they can not afford to pay, the children were not allowed to attend urban schools, and others. The result was structural poverty in these families that do not allow them to mobility, because in order to improve their living standards, they have closed access. There is some literature that says that the marginal urban areas are often characterized by physical features; the poor dwelling, dwelling house that is not feasible, as well as family income resulting erratic family members often experience hunger (Pryer and Cook, 1988). While Nick Devas (2001) a sociologist and economist nationals India stated that in a study in urban Mumbai, then the poor in Mumbai often forced to pay higher rents in a region compared with that derived from the higher strata, although the region they are actually the same rent. This relates to the position of marginality of the poor, where they once had access to less protection or security from the police, so they must accept these injustices. Based on the approach used to understand poverty, then there are two core approaches are often used to understand the problems of poverty in urban areas. The first approach is an approach that comes from within individuals, the concerns about the internal condition of the individual being unable to avoid poverty. Understanding of poverty with such an approach often used in theories of modernization; which among others are said to be:

Pathological poverty or poverty caused by the behavior, life choices fatalistic, and the absence of the ability of the poor in order to rise from poverty itself

Natural poverty, or poverty caused by family education

Cultural poverty or poverty due to their culture and daily life in favor of poor lifestyle.

The second approach to poverty, often used in the Marxist-based theories. This approach understands that poverty is caused by many external factors, or due and actions caused by another person. Poverty in this approach can be divided into three big parts, that is:

Poverty agencies: the poverty caused by the action of individuals or groups of individuals who deliberately impoverishing others.

Structural Poverty: states that the cause of poverty is the result of social structures.

Poverty caused by social exclusion or poverty which states that the poverty of a group was deliberately impoverished by the system.

Based on his understanding of the poverty, social exclusion due to poverty only which does not allow for mobility status. One of the hot issues of social exclusion in the open is what happened to the Dalit community in India. Dalit is a group that is not considered a part of the caste system in India, so that their position is lower than the Sudra caste. This is

because the Brahmin (highest caste in India) consider that being a Dalit human karma incurred in the past because of the Dalits is believed to come from the descendants of the giants who do evil in the past, and to achieve nirvana one day, then they should be severely punished in the world. As a consequence of the Dalits have to fetch water from springs that are separate from that used by other community members. They can be severely punished if dared raise his head, wearing the typical names of other castes, and caste dare to marry another. They also must occupy a seat on the bus that had been prepared for the Dalit, where seats are separated by other castes. Dalit groups are often the victims of the many acts of violence in India, especially rape, forcible taking of organs, torture, and forced the amputation cases Dalit children; where after Dalit children are forced to be beggar. This violence is actually a real violent and frequent, but police are reluctant to record and deal with cases affecting Dalits because the police could be involved in it. Remarkable discrimination against the Dalit community is getting a lot of support and international attention began early in 1990 and became a hot issue in the World Conference in Durban, South Africa 2001 against racial discrimination and xenophobia and other intolerance. According to Human Rights Watch in New York, at least 100,000 atrocities, including murder and rape occur every year against the Dalit group. Dalit communities are discriminated against for centuries as a group that can not be touched from the Hindu caste system in India.

3.1. Urban Poverty Characteristic

Beall identified that there are three main issues of concern in urban poverty, namely: decent standard of living systems, the ability to obtain employment with a decent income, and sanitation standards in which they live.

Marginality and marginalization process was originally developed in Latin America between the years 1960-1970. Structuralism and individualistic approach is used to explain the phenomenon solve new problems of urban poverty as a consequence of the massive migration from rural to urban areas, and important changes in the structure of production. According to the structuralism approach (based on the Marxist theory of exploitation), marginality is the result of capitalism. While the individualistic approach focusing on individual behavior and the deviation of values in modern society of the city. Marginalization is also caused by a lack of political participation.

Concentration of wealth, industry organizations, and increasing economic and social disparities have created a dualistic society, namely

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those with the power of political Economy, as well as those who rejected due to shortcomings (like lack of access to income and assets). Sunkel (1973) argue that limited access to means of production and discrimination (social, cultural, racial, and political) are two major causes of marginalization. In general, there are two types of poverty, the poverty that show a minimum monthly income required to meet all the basic needs of individuals and the poverty line which allows only basic food needs of the individual. Thus, the measure of poverty can be seen from the proportion of population below the income poverty line of 1 USD per day. By this measure, it is quite severe income inequality in developing countries; where it caused more severe poverty in rural villages than in cities. The root cause the alarming income gap over time, not only because of economic factors (low wages), but also the social structure, ethnic differences, unequal distribution of property ownership and education gap. Ethnic and racial inequalities also become one of the reasons for differences in income. Ethnic diversity lead to slower economic growth of poverty with the assumption: the existence of distrust between different ethnic discrimination public services to different ethnic, ethnic minorities tend to be lower mobility compared to other social groups, so that limited their access to income opportunities, goods and service, minority ethnic groups may be more suffer from social discrimination and economic policies designed by government which is only concerned with the interests of social groups.

3.2. Housing and Basic Amenities

A growing trend of social policies abroad, always try to aim for housing as a means of alleviating poverty. This is because there is a kind of apron, that if a city has a decent houses for the poor, the city is said to be a successful urban poverty population. In addition, every life that comes from home, becoming a sort of reason why the housing program in social policy has always been the underdog in a program of social policy. Other reasons, the government in developing countries have a policy idea to follow the policies in developed countries are very concerned about the condition of housing residents, including sanitation, urban transport, health services and education. Thus, the housing policy is closely linked to poverty reduction in urban areas. 3.3. Circle of Poverty Reduction

Housing and basic services is one of the most important thing in social welfare policy. The house, which is a residential facility must have a high level of hygiene, because of the house can be seen from the population's health. For the poor, the healthy house is also beneficial. Because, if they are rarely

sick, then the expenditure is used for health care can be pressed as hard as possible. The house can also be used for the workplace, so that an economy can be started from the builders of the house. Finally, the reason why the houses were targeted in development policies are important, because home is where private ownership, a place to build self esteem, where the education of children from infancy, as well as a place to build an intimate relationship and communication fellow members. There is some tendency residence Bealls concern, namely residential housing in the area of Muslims who have a tendency to separate the space in between the men and women. Then residents in south Asian countries are still adhered to live with extended family system. Some of them, especially the poor need housing policy because sometimes their sanitation is inadequate housing can lead to diseases caused by bacteria due to poor sanitation, such as cholera. In 1991, in Peru had a cholera epidemic in which the epidemic is crippling the tourism sector one billion dollar loss circuitry. Satterhwaite (1997) estimates that in 1990 there are 600 million people in urban areas such as Latin America, Africa and Asia live in housing that does not have adequate health standards. This resulted in at least 2.6 billion people died from the contamination of water (UNDP, 1995). Other areas are also not escaped the attention of Beall, namely the countries of Asia in the third world, for example in the city of Mumbai in India. Countries that follow the caste system has a level of social exclusion are very high, which can be seen in the Dalit community. Most of them live on the street. This is what is felt by Bealls as a group are in desperate need of housing facilities. Not much different from Mumbai, India; then there are the Hong Kong boat people phenomenon. Government had budgeted cheap flats in order to overcome this problem, but the apartments turned into a rundown apartment. The gap also occurs in Karachi Pakistan, which is 40 percent of city residents live in urban housing with a size of 2x3 square meters per family. Thus, it can be concluded that the urban poor, to pay more to get the facilities and infrastructure available in urban areas, but not matched with a decent quality of life. Stephens (1966) says that "the urban poor, to pay more to have cholera." 3.4. Housing Policy

The findings of UNHCS / Habitat (1996) states that 30-60 percent of housing units about some of the towns in the South who illegally mostly inhabited by refugees. In addition to breaking the rules of land ownership, the building they are in conflict with applicable laws. Guarantee housing for residents suspected to be an indication that the government in a city runs a successful social policy program. Turner (1972) suggested an approach to housing policy. There are

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several approaches that he used, among others (1) The first approach to housing policy, called the Self-help Housing or housing organizations. Government set a large piece of vacant land, and connect with public infrastructure, which the government subsequently sold the residential plots to citizens with a fairly cheap to build their own citizens then living according to what they want. The disadvantage, since most land is not used for housing close to industrial sources, it is usually of poor people will be reluctant to utilize the facilities of this housing. (2) The second approach to housing policy is the core housing (Core House). Similarly, the concept of economies of flats or apartments, then the core is a residential housing built close to industrial sources, then certainly more expensive, is certainly the poor can not afford these housing facilities. (3) Upgrading of housing policy approach. The addition of a means of supporting the housing is much more suitable as a healthy place to live is called upgrading. Recent trends of housing policy implemented by the government further developed the system upgrading. This is because the system is more economical upgrading of government budget allocations. The downside, upgrading is aimed at targeting the poor who already have homes, thus, only certain people who can enjoy upgrading facilities. The other downside of upgrading the people who occupy land illegally helped his home occasionally improved facilities and infrastructure, and thus the legitimacy of the status of the land to be doubted.

3.4.1. Basic Needs Services

Basic services are the most popular program is the provision of clean water is one of the social policies implemented by the government. Clean water is closely related to environmental sanitation, is a very important thing to support the communal health. Mar Del Plata International Conference and the Opening of the International Sanitation Decade (1990). Delegates from New Delhi for instance, proclaimed that simple targets such as "healthy water for all." Furthermore, a conference in Dublin revealed that water is the source of all sources of life, including economic resources. If public health is maintained, then the government would be easier to implement other policies to the poor. The Government, in its efforts to meet and support the social policy program, then the government has a new method; the holding of non-governmental organizations (NGOs) to assist in the implementation of social policy. NGO task is to bridge levels of local communities and government spokesman made the parties neglected or experiencing social exclusion or marginalization of groups within a society, so they can get up and get access to one of the services of government policy.

Use of private companies involved in helping the government policy, sometimes inviting a number of problems. Privatization of enterprises are not fully accountable to the people they serve. Thus, the commitment of private companies is much different than the government's commitment. Batley, (1996). NGO involvement is quite successful, even with all this, some workload related to environmental sanitation, hindered by the goverrnment. As examples, such as Aorangi Pilot Project NGO located in Karachi Pakistan. They help the sanitation program, but had difficulty connecting with the sewer system is a major sanitation in urban areas. This is because local governments do not allow the sanitation program on the grounds that too much will it cost. Barriers experienced by other NGO is, the nature of social NGOs, sometimes considered the needs of government for a profit. NGOs conduct sanitation usually also asked the government to eliminate the means of basic needs, while on the other hand, the government also needs to fund basic infrastructure maintenance. Thus, it is if both parties do not have a defeatist, a meeting point between them can never come to fruition.

3.4.2. Urban Livelihoods

One of the main causes of poverty is scarcity of jobs. Jobs for urban communities conceptualized only in jobs that are formal. More than that, the job may actually be interpreted as an effort that aims to earn income so they can make ends meet. In this chapter will explain what the policy could generate income for the urban poor; which will consist of two main parts. The first part of the informal economy forward, while the second part relates to the strategies of informal relationships with social security. 3.4.3. How to Get Income

Changes to transform the economy into the global system of employment opportunities in urban areas tend to be located. Global economic system is then urged a number of corporations to save big-scale of the costs of production. In the end, there is a demand for workers by providing a system to calculate the employment contract to workers, so that this condition is likely to increase unemployment by a very large number. Hart (1973) has led the ILO employment mission to Ghana and Kenya. Hart then concluded that in a business, it takes an alternative of economic enterprises which he called the informal economic sector. Crucial things that must be nurtured in order to develop the informal economy include: ease of access to open businesses, cooperatives that provide assistance to a business by providing soft loans with interest, the use of natural resources as well as adjustments to the conditions and needs of local people, the workers worked intensively although the

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numbers were few, the use of skills can be acquired outside the formal school, low-interest loan capital, as well as the use of labor from family or relatives. Many people considered that the people who work in the informal sector is a collection of work performed by a group of people who become unemployed due to not having a job. Therefore, social policy at present trying to develop a policy that gave rise to the creative economy, the policies that make the informal sector as valuable and as important as formal sector employment. For the government and NGOs, it is necessary to establish informal sector is the presence of social capital. Social capital is the basic things that have met or possessed by the poor who can not afford to build their businesses due to having no assets. Furthermore, social capital is considered more powerful because the distribution of social capital is more favorable to the poor than the other, investment in building social capital will be useful in poverty reduction strategies because social capital is returned to the poor would be more beneficial. 3.4.4. Addition of Income Support policy

Granting legal status to the informal sector is a way of empowering the informal sector. Thus the main ideas contained Hernando de Soto in The Mystery of Capital: Why Capitalism triumphs in the West and Fails Everywhere Else. According to de Soto, the informal sector is economic activity that is outside the legal economic system, not protected by law, and vulnerable to exploitation of those who have formal and informal power. De Soto argues that informal workers are a bunch of dynamic entrepreneurs in their efforts to improve living standards, which unfortunately is often blocked by burdensome government regulations. Based on his research in Lima, De Soto believes that the informal sector entrepreneurs who turned out to have high strength, able to build institutions of democracy and market economic order that is not discriminatory. Difficulties of the approach used to implement a policy for informal entrepreneurs are related to structural problems. Informal sector is always regarded as relating to people who are in poverty, so that the treatments they receive often have injustice. Data collection problems identified number of informal entrepreneurs sometimes make the government implemented a policy that is not favorable for informal entrepreneurs. Privatization of public land to land the business often make informal sector workers are accused of a worker who is not adjustable and disturbing public order, although in fact the biggest mistake the government is, do not build adequate infrastructure as an area of informal workers to earn a living for themselves. International Labor Organization (ILO) has established a policy that aims to support the informal business sector. The strategy used is to apply the policy to move trade businesses with a soft

loan from the World Bank. Trade sector is successfully moving the informal sector in third world countries, such as the Philippines, Indonesia, and Thailand. The next step is holding an NGO (Non Government Organization) in urban areas. NGO is a legal duty to protect and provide guidance on informal workers. For example, mentoring programs are ADOPEM contained in the Dominican Republic that provides counseling to the regulation of business, calculation, and the procedures relating to the issue of the Bank; then there is also The Self Employed Women's Union who are in India are on a mission assistance in terms of banking procedures for informal sector, health insurance, protection against domestic violence, as well as legal protection for informal workers. Although the NGO is a small body, but at least be an inspiration for the protection of informal sector workers. 4. Social Networks, Social Security, and Social

Change

System of urban life not only compiled from a variety of activities to make the production process, but more than that: we need a social network that works to support the marketing and expansion efforts in urban communities. Life social network started from the family or household as the smallest unit in society. Reality prevailing in the community during this construction is, that if the family income in a thin, then the wife or mother will also work. Another alarming fact is, education for girls are sometimes sacrificed. In fact, the reality shows that a woman's ability to make an effort to improve the standard of living is much better than men. By the World Bank, the girl is then targeted as objects as informal entrepreneurs. This is logical, given in third world country; women are regarded as second-class citizens. Given the informal business assistance program to the girls, so they could play a role in addition to being a mother and wife, then they also have the opportunity to work in the informal sector. The struggle of women as informal workers do not just stop at the factors providing the opportunity for business expansion, but more than that needed a security system for women informal workers to legal protection and security for their respective businesses. In addition to security protection, it is necessary to the construction of adequate facilities and infrastructure to launch these informal businesses. For example, the step proposed by Solo Mayor Joko Widodo the relocation of street vendors is one of the informal trade is considered to be the city's problems is endless. Street vendors and is considered to be a matter that harm the public interest, because they often disturb traffic order, use the nearest water channel to the trash and wash, and make an open space facilities to slums. The presence of street vendors is then a kind of burden the city,

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where the issue of eviction and clashes with the municipal Civil Service often disrupt their business. In 2006, the city of Surakarta makes policy in the management and arrangement of street vendors. This decision is based on the decision by the Mayor of Surakarta Number 644/140/1/2006 on the Determination Location Market Development in Sub Clover Klithikan POND Surakarta City Market District, which in it also regulates the relocation of street vendors conducted by Solo Mayor Joko Widodo in bridging the business informal to be able to bring optimum benefit, but does not interfere with public facilities. The informal sector includes street vendors, according to Hernando de Soto, a group that has a great asset. Calculation of De Soto said the informal sector assets in the third world 20 times greater than the flow of foreign investment and 90 times more than foreign aid in 30 years. Wealth of the poor exceeds the given countries. Informal sector development efforts will be raising the economy. Instead the deterioration of the informal sector is not only detrimental to the informal sector, but also the country's economy. Clarity of the status of land into residential and business location of the informal sector, informal sector will be able to address the issue of legality. It can then be used as collateral to get capital. (Kompas, 7 November 2006) Vision of the arrangement of street vendors who often delivered Mayor of Surakarta, symmetrical with the paradigm of street vendors to enter the formal sector so that it has asset can be formally documented and can be used as an input. Relocation is supported also by the political communication carried out between the Mayor of Solo with street vendors, which is recognized by street vendors as a method of communication that support the people. Because of this sympathetic communication, the street vendors are willing to be moved from Monument 45 Banjarsari to the Klithikan Market Semanggi.

4.1. Implementation and City Government

Urban policy in recent years in various parts of the world adheres to the principles of decentralization, where it shows trend changes when compared with previous years the policy is centralized. One consequence of decentralization is the existence of city government. Furthermore, the city government has primary responsibility in the fight against urban poverty. This is caused by three main elements, that is:

Failure of previous systems that often fail to be central in implementing a program, because it is not exactly on target. If decentralization is applied to a country, it is expected that the target is not appropriate due to the failure of a policy will not happen because of a companion as well as the

evaluator that oversees urban policy, such as NGOs, non-governmental organizations, and others.

System of democratic centralism and closed channels in developing countries as a centralized system of local government makes only a puppet of the central government. In fact, there is a fundamental difference between dealing with a country's overall handling of an area.

Assistance programs for poverty reduction stemming from international institutions will more quickly get to the hands of the people in need, and help minimize any deductions that are often carried out by the central government. 4.2. Relationship between the City Business Government and Urban Poverty Reduction Based on the capabilities and functions, the city government is theoretically expected to be able to solve urban problems by sticking to two commitments, that is:

The municipality must have a commitment to designing a service that works to alleviate poverty in accordance with the needs of urban areas. In other words, the determination of the city council should represent all stakeholders, especially those who have been marginalized.

The municipality must have a commitment to report on the mechanism of transparency and bureaucracy in order to evaluate their targets to be achieved. Thus, the government is an interactive product between the government and other relevant institutions.

In line with this commitment, then one of the other duties of government is, community organizing, markets, and countries in order to achieve prosperity. Think it is proper government policies that pro with the people. In deciding policy, then there should be mutual co-ordination is done by people, so that decisions taken in accordance with the joint agreement between the people and government. 4.3. Strength and Weakness of City Government

There are several advantages of the new perspective of the city government. It is more on the patterns of arrangement and combination of state power, markets, and society. If all of these institutions run and coordinate synergistically, then the role of these institutions will be able to cover the weaknesses of the municipality. In short, the private sector can be physically combined with the style of NGOs that focus on social justice. NGOs in the work force is covered in a society can be combined with a country that has a focus and purpose of accountability and their availability to conduct cross-subsidies from the rich to the poor. Thus, the number of potential difficulties can be identified. In government, it is common sometimes two different perspectives. For example, the government should be pro-poor with respect to their

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welfare. However, on the other side of the poor is also resistance to the owners of capital or business and corporate holders. Government in this regard is expected to be neutral, able to look at issues objectively. If the government can not be neutral then the corruption and collusion will easily occur in the administration. If corruption and collusion takes place, then that's when government policy would be a policy that is not in favor of the poor. 5. Conclusion

The first section of this chapter discusses the qualitative and quantitative differences are used to define areas that are used to study the study of urban problems. Further, the first part also tries to explore the issues related to urban areas due to the quality of the city itself. This chapter also suggests that the problems of urban development must first understand the roots of urban problems. Problem raised is the author of, among others, urban trend shows that in the days to come the poor will live in the city, where the emerging new cities. Cities that have become a big city before, will move into mega cities. Identified, problems arising in connection with the poor, housing problems, unemployment is not absorbed in jobs. The second part of this chapter discusses the social policy that is used to solve the problem. The first social problem, that is stacked on the urban poor, overcome by policy advocacy by non-governmental institutions. Policies on housing, is used to address the problems associated with slum houses, and residents who can not afford to buy a home sold by a conventional developer. Later, the city government's policy to support the economy in the informal sector is used to address urban problems, particularly with regard to unemployment. If the policy in the informal sector is more in favor of the people, the informal sector are developed to boost the urban economy is much higher than the formal economy sector.

Reference Alam, Wawan Tunggul. 2009. Di bawah Cengkeraman Asing: Membongkar Akar Persoalannya dan Tawaran Revolusi Untuk Menjadi Tuan Di Negeri Sendiri, Jakarta: Ufuk Press Anwar, Rosihan. 2010. Sutan Sjahrir: Demokrat Sejati, Pejuang Kemanusiaan, Jakarta: Gramedia Budiardjo, Miriam. 1984. Simposium Kapitalisme dan Demokrasi, Jakarta: Gramedia Budiman, Arief. 1991. Negara dan Pembangunan: Studi tentang Indonesia dan Korea Selatan, Jakarta: Yayasan Padi dan Kapas

_____________. 1993. “Pengantar : Stabilitas Politik dan Pertumbuhan Ekonomi,” dalam INFID (Peny.), Pembangunan di Indonesia: Memandang dari Sisi Lain, Jakarta: Yayasan Obor Indonesia, hal. vii-xxi _____________. 1995. Teori Pembangunan Dunia Ketiga, Jakarta: Gramedia Chaniago, Andrinof A. 2001. Gagalnya Pembangunan: Kajian Ekonomi Politik Terhadap Akar Krisis Indonesia, Jakarta: LP3ES Carrol, Toby. 2010. “Pembangunan Sosial sebagai ‘Kuda Troya’ Neoliberal: Bank Dunia dan Program Pengembangan Kecamatan di Indonesia,” dalam Prisma, Juli, 29(3): 84-101 Feith, Herbert. 1980. “Rezim-rezim Pembangunan Represif di Asia: Kekuatan lama, Kerawanan Baru,” dalam Prisma, November, 9(11): 69-84 Kleden, Paskal. 2005. Menuju Tengah Baru: Labour Party Inggris dan SPD Jerman di Bawah Tekanan Neoliberalisme, Jogyakarta: Pustaka Pelajar Kurniawan, Nanang I. 2009. Globalisasi dan Negara Kesejahteraan: Perspektif Institusionalisme, Jakarta: FISIPOL UGM Lewis, Oscar. 1988. Kisah Lima Keluarega: Telaah-telaah Kasus Orang Meksiko Dalam Kebudayaan Kemiskinan, Jakarta: Yayasan Obor Indonesia ___________. 1993. “Kebudayaan Kemiskinan,” dalam Parsudi Suparlan (Peny.), Kemiskinan di Perkotaan, Jakarta: Yayasan Obor Indonesia Meyer, Thomas, 1988. Sosialisme Demokratis Dalam 36 Tesis, Jakarta: Friedrich Ebert Stiftung Moertopo, Ali. 1973. Akselerasi Modernisasi Pembangunan 25 Tahun, Jakarta: CSIS Mullard, Maurice dan Paul Spicker. 2005. Social Policy in a Changing Society, London: Routledge Press Muller, Johannes. 2006. Perkembangan Masyarakat Lintas Ilmu, Jakarta: Gramedia Peet, Richard & Elaine Hartwick. 2009. Theories of Development: Contention, Arguments, Alternatives, New York: The Guilford Press Rivero, Oswaldo de. 2008. Mitos Perkembangan Negara: Perekonomian-perekonomian Negara Yang Tidak Memiliki Kemampuan Untuk Berkembang di Abad XXI, Jogyakarta: Pustaka Pelajar

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Rubin, Herbert j. & Irene S. Rubin. 2001. Community Organizing and Development, Boston: Allyn and Bacon Sampurno-Kuffal, F Harry. 2011. Keruntuhan Industri Strategis Indonesia, Jakarta: PT Suka Buku Soedjatmoko. 1983. Dimensi Manusia Dalam Pembangunan, Jakarta: LP3ES Soemardjan, Selo. 1984. “Kemiskinan Struktural dan Pembangunan: Kata Pengantar,” dalam Selo Soemardjan, Alian an Mely G. Tan, Kemiskinan Struktural: Suatu Bunga Rampai, Jakarta: Sangka Pulsar, hal. 3-112 Soetrisno, Loekman. 1995. “Substansi Permasalahan Kemiskinan dan Kesenjangan,” dalam awan setya Dewanta dkk, Kemiskinan dan Kesenjangan di Indonesia, Jogyakarta: Aditya Media Subono, Nur Iman. 2009. “Sosial Demokrasi di Amerika latin: Jalan Alternatif atau Kompromi Terhadap Neoliberalisme?,” Jurnal Sosial Demokrasi, September-Desember 7(2): 78-85 Suharto, Edi. 2008. Kebijakan Sosial sebagai Kebijakan Publik, Bandung: Alfabeta Swasono, Sri-Edi. 2005. Menegakkan Ideologi Pancasila: Daulat Rakyat Versus Daulat pasar. The Real War: Perang Globalnya Nixon Sedang Terjadi, Jogyakarta: Pustep-UGM _____________. 2006. Indonesia dan Doktrin Kesejahteraan Sosial, Jakarta: Perkumpulan PraKarsa _____________. 2012. “Pasal 33, Freeport dan Papua,” dalam Kompas, January 2nd, Halaman 6

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Perspectives of Public Administration in Health Insurance for the Poor in Indonesia by the year 2014

Achmad Chusnul Chuluq Ar Doctoral Student, Faculty of Administrative Science, Brawijaya University Malang Indonesia Medical Doctor

Master of Public Health and Lecturer in Medical Faculty, Brawijaya University Malang

Abstract "Poor people are prohibited from sick, the poor are also banned from school".

Maybe that's an apt phrase as a description of how difficult and expensive to get health care and education for the poor in Indonesia

Official statistics from the Central Bureau of Statistics No. 45/07/th.XIII, July 1, 2010 that the number of poor residents in March 2010 reached 31.02 million (13, 33%), lower than in March2009 is 32.53million (14.15%). And 64.23% in rural areas they are higher than in March 2009 is 63.38%. March 2010 contributed an eye out poverty food poverty-line by73.5% and not much different from the period of March 2009 is 73.6%

Health is a basic human need to be able to live decent and productive, it is necessary for the implementation of a controlled health care costs and quality controlled. The poor and unable was spread throughout Indonesia requires special attention and treatment from the Government as mandated in the Constitution of the Republic of Indonesia.

Assurance Health Services, mainly of the poor will contribute greatly to the realization of the acceleration of the achievement of better health indicators.

Fund management services for the poor from the Government which is a social assistance fund, to be managed effectively and efficiently, and implemented in coordinated and integrated from various stakeholders, central and local Key words: Health, Health Care Insurance, Health Insurance Strategy for Poor Families

Question -How does the planning and implementation of the provision of health insurance for the poor ? -How strategy-oriented health service delivery, to the quality given to the poor, in suppressing the morbidity and mortality, especially Infant and Maternal Mortality -Expected health care for the poor can be conducted with the best quality or an oriented to achieve improved health status the whole community.

Introduction Health status of Indonesia for 30 years of health development, experienced significant improvement. However, infant mortality and maternal mortality

rates are still far behind when compared to the health status of neighboring countries. Report of the World Health Organization (WHO) 20051 years shows that the infant mortality rate in Indonesia is 46 per 1,000 live births, while in Muangtai 29, 36 Filipinos, 18 Sri Lanka, and Malaysia 11 per 1,000 live births.

Various studies show that low infant mortality rate correlates strongly with the performance of health systems, particularly health financing. Indonesia's health system performance is on the order-92, which is much lower than the performance of health systems neighboring countries such as Malaysia (ranked 49), Muangtai (number 47) and the Philippines which are on the order of 60 (WHO, 2000)2

The low performance of health systems are highly correlated with low health expenditure. Indonesia rose only 2.9% of Gross Domestic Product (GDP) in 1999 to 3.1% of GDP in 2003. While in China's health spending rose from 4.9% of GDP in 1999 to 5.6% of GDP in 2003, and in India fell slightly from 5.1% to 4.8% of GDP.

That during this period, the Government of China to spend between 9.7% - 12.5% of government budget for health and the Philippines spends 4.9% - 7.1%, and while the Indonesian government spends only 3.8% - 5.1% government budget for health (WHO, 2006)3. Indonesia low government budget for health is one indicator of the government's lack of commitment and lack of social policy areas of health.

Indonesia's health system is not impartial to the Folk, which is reflected in service per service payment system (fee for service) is applied to Indonesia, although the service was provided in the Public Hospital (Government). That is, the people of Indonesia to face uncertainty (uncertainty) in obtaining health services. In government hospitals / publikpun, people do not know how much it costs to pay if he or a family care, until he was discharged from the hospital. It is therefore not surprising that the people ultimately seek traditional treatment or no treatment because of lack of money, which ended with a high mortality and low life expectancy.

WHO report in 2006 showed that the contribution of government, from central and local governments for health spending during the years 1999-2003 ranged between 28.1% - 35.9% while the contribution of government of Thailand in the same period ranged between 54.8% - 61.6% of health spending people. In many developed countries,

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public funding based health financing (government) to take a larger portion. In the UK, France, Australia, and Taiwan public funding for health services reach more than 80% of total health costs. In Indonesia the contrary, more than 70% of health costs should be borne by each family (out of pocket-OOP).

10% poorest households have to spend 230% income once a month to pay for inpatient family members. While the 10% richest families only spend 120% of family income once a month to pay for inpatient family members. As a result of access to hospital services to be very unfair, because the poor can not afford the cost of hospital care (Thabrany, et al (2000)4.

Richest 10% of the population had access to hospital impatient are 12 times greater than the poorest 10% of the population (Thabrany and Pujiyanto (2000)5. Indicates that the health system in Indonesia is far from the ideals of social justice for all citizens. Small people so burdened with health systems that are traded. People who pay more get more services or better quality, you get what you pay for.

TV-7 February 2005, showing the reality program in which a baby boy janitor University of Indonesia, had to die because they do not have any money. Babies with pneumonia cannot be treated at Pasar Rebo Hospital, Capital Regional Government's recently converted into a Limited Liability Company (PT, which of course is oriented trade / profit), because they have no down payment. Government of Jakarta could not use the health insurance fund for the poor, because elderly patients are not residents of Jakarta. If there are funds, and the HIP program is already running, of course, the life of the baby will almost certainly be saved.

There's a saying that says "The poor are prohibited sick, the poor are also prohibited from school". as an illustration of how difficult and expensive to get health care and education for the poor in Indonesia.

In the perspective of public administration , there are three important points in public policy, namely: 1) Authoritative decision focused on the things that is most essential decision-making, 2) Formula or the design of interventions to solve public problems that focus on addressing the complexity of a problem, such as universal coverage, and 3) Policy making is the standardization of the pattern of government to deal with specific problems and the group must follow the standards of governance, like good health governance. INSURANCE HEALTH IN SOCIAL SECURITY SYSTEM In many text books of insurance, health insurance covers the social health insurance products and commercial. Social health insurance is insurance

which is mandatory for all or part of the population (eg employees), the premium or whose nominal value but not a mandatory percentage of wages paid, and insurance benefits (benefits) and the same set of laws for all participants. Commercial health insurance is insurance sold by insurance companies or other bodies, the voluntary nature of membership, depending on the willingness of the person or company to buy and the premiums are set in nominal terms according to the insurance benefits offered. Therefore, health insurance premiums and benefits and the commercial is not the same variation for each participant.

Amendment of section 28H of the 1945 Constitution of 2000 - "... every resident is entitled to health services". Inclusion of the right to health services aimed at ensuring the rights of the fundamental health in accordance with the Declaration of Human Rights by the United Nations in 1947. Guaranteeing the right is strengthened by amending the Constitution 45 dated August 11, 2002 Article 34 paragraph 2 ---"The state develops social security for all people ...." and paragraph 3 of -------"The State is responsible for the provision of health services ....".

With the amendment of article three, the duty of government explicitly placing health as a major part of the development of the people who should be available equally to all people. The principle of equity has been plugged in the Constitution 45 so that central and local governments now can no longer shy away from providing a larger budget for the health sector or to develop a security system for all citizens kasehatan. President Megawati issued a Presidential Decree No. 20 of 2002 formed the authors: "The National Social Security System (Navigation)", chaired by prof. Agus Yaumil Akhir, which will be the design of the National Social Security Act. Because of his death, Chairman of the Drafting delegated to Dr. Sulastomo, MPH, AAK by Presidential Decree No. 110/2003 by Prof Dr Tabrani, Prof. Indra Hattari, FSAI, Prof Sentanoe, and Drs. A Mungid as a member. The concept of social security to Indonesia by a team built on three pillars, namely The first pillar, the bottom is the pillar of social assistance (social assistance) for those who are poor and can not afford or do not have a regular income sufficient to meet the basic needs of living. In practice, social assistance is realized with the help of contributions by the government to those who are poor and can not afford to remain a participant Social Security System (premiums paid by the government)

The second pillar, the pillar of social insurance is an insurance system which is mandatory for all residents who have income (above poverty line) for a fee that is proportional to the

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income / wages. Pillar one and pillar two is the foundation of Social Security System to meet basic life needs to be followed and accepted by all the people (social security pillars of the public).

The third pillar, pillars or additional supplement for those who want greater assurance of the security needs of decent living standards and those who can afford to buy such insurance (private insurance pillar / based private voluntary / trade). These pillars can be filled with the purchase of commercial insurance (both health insurance, retirement, or life insurance), your own savings, or other programs that can be done by individuals or groups such as stock investments, mutual funds, or buy a property as a saving for himself or family.

In the third pillar of welfare benefits, which will be met is the desire (want, demand) while on the first two pillars are filled with the need (need).

President of the Republic of Indonesia Mrs. Megawati SOEKARNOPUTRI on October 10, 2004 has approved the Draft National Social Security Act into the National Social Security Act, and came into effect from the date of enactment. National Social Security Act actually manage the repair and expansion of the social security system in Indonesia and set up a program of health insurance, employment injury, old age insurance, including pensions and life insurance are labih fair and equitable for all citizens. National Social Security Act outlining the implementation of security / health insurance for all citizens, and therefore referred to as the National Health Insurance.

There are five essential national health insurance in the National Social Security Act, namely:

The essence of the first National Social Security, as an effort to create a common platform for civil servants, private employees, and workers in the informal sector (which do not receive wages from the other party, but produces its own) in the face of socio-economic risks in the future. Provision of a guarantee of fair and equitable

The essence of the Social Security System, change the legal status of the existing Board Operator (PT Taspen, PT ASABRI, PT Askes and PT Jamsostek), a Social Security Administering Bodies (BPJS) are not intended for profit for the state treasury. Not that BPJS will lose money, but the entire value-added (surplus-profit which has been called) must be returned to the participants, rather than to shareholders (in this case, government).

SJSN third essence, ensuring that the funds collected from contributions and investment results JUST managed for the benefit of participants. Contributions, accumulated contributions, and investment results are participants deposit funds

(Fund Commission, the trust fund) and not receiving (revenue) or loss of assets organizers.

The essence of the fourth National Social Security, to ensure that the contributor or participant or tripartite (labor, employers, and government) have control of the highest policy embodied in the National Social Security Board (such Board of Trustees or tripartite institutions) who represented the union two, the employers union two, five government representatives, and six representatives from community leaders / experts. Organ DJSN, this will ensure that the management of social security programs of the political influence of government sterile.

SJSN fifth essence, the national security programs should reach out to guarantee the portability and the entire population of Indonesia (in areas where they live) obtain a guarantee (Universal Coverage). Indonesia population mobility across the city / province is very high and will be higher. Collateral must be portable, should not be lost when he was out of town. Now this every month not less than 28 million people in Indonesia who are traveling. Early implementations, Family Health Insurance to the Poor (HIP) The concept was originally proposed by Prof Azrul Anwar, as Dirrektur General Health Department and Community Health Development Team National Social Security, fighting for the establishment of Social Security Administering Agency (BPJS) specifically to handle health insurance for the poor. PT Taspen, PT ASABRI, PT Askes and PT Jamsostek is the fourth Social Security Administering Bodies (BPJS) recognized legally organized national social security program.

Managed Care (Community Health Insurance = JPKM), a concept commercial health insurance sold by an entity called implementing agency (Bapel) and permission granted by the Ministry of Health. This provision actually violated the Insurance Law sets the insurance business license must be granted by the Minister of Finance, who understand the business selukbeluk insurance, including health insurance.

The word "social security" in the Regional Autonomy Law (Law Otoda) No. 32/2004, which is understood by the general public such as taking care of abandoned children, elderly people, unemployed, victims of Termination of Employment (FLE), the homeless, victims of natural disasters, and so forth. Local government is the obligation of social service which is temporary and local.

The word 'social security' in the National Social Security Act only regulates five insurance programs (specific) long-term nature, which is valid for life for all citizens nationwide.

The word 'social security' in the Act is not intended Otoda 'health insurance, "because the

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clause relating to health is set up, as an obligation of local government in the same letter f Article:" Government is obliged to provide health facilities". The word 'health facility', according to the literature, includes the funding, equipment, and human resources (Thabrany, 2003)6 It is therefore no contradiction between the Law 32/2004 and Law 40/2004 about National Social Security, because the authority of the second set The law is different. HEALTH INSURANCE BENEFITS FOR POOR FAMILIES HIP program, as the initial implementation of national health insurance program in the National Social Security Act, show that the program is very useful for many people. Menkes performance Reuters poll earlier in August 2006 reached 59.4% resulted from the fact that the MOH has developed a program that is felt useful to many people. PT Askes report in March 2006 showed that 54 million cards have been idistribusikan HIP participants. This means that there is certainty for poor families who hold the card is entitled to comprehensive health services.

In the early stages of implementation of the HIP program, a lot of complaints and identification inaccuracies residents are eligible to receive tuition subsidies (elijibilitas), because the calculation of the number of poor people in an area based on Central Bureau of Statistics census and establishment of the names of the poor by the Regional Government of the methods and criteria varies between one region to another. Only 6% of recipients Askeskin cards that are not considered poor according to the criteria for receiving cash aid, because the criteria are different from the poor to feed the poor to medical needs.

All developed countries have ratified the UN convention on human rights and ILO Convention 152 concerning the social security number and place of health care as one of the fundamental rights of the population (the fundamental human right). As a consequence of laying down the basic rights of the government seek a healthcare system that is able to cover the entire population (universal) in a fair and equitable (equity).

Developed countries generally embody the role of community participation in the financing and provision of public health which is governed by a law. Public financing is intended by the state of financing the state budget funds or funded by social health insurance system that is based by law. Organizers of public funding to a government agency can also be a non-profit private entities.

Provision of public health services is the provision of hospitals, clinics, health centers, etc. provided by the state that can be organized autonomously (independent of the government bureaucracy) or not autonomous.

Placement of health as human right does not necessarily mean that the government should provide all services free of charge. Funding and service provision can be made by the government and the private sector, such as the following schematic drawings.

Matrix Funding and Provision (delivery)

Health Services

Provision

Funding Publik Swasta

Public

England, Malaysia, Hongkong, Australia, etc.

Indonesia and other developing countries

Private

Canada, Germany, Japan and Taiwan

America

Japan and Germany to give up some of the funding and provision to the private sector, but are social (nonprofit) is regulated by the government, while the Americans gave to the market mechanism (for profit and not for profit)

Social insurance is the insurance held or

controlled by the government to protect the economically weak and weak is not a guarantee distributive justice (equity). Its implementation of social insurance has cirri: (a) Membership shall be for a group or an entire population, (b) the amount of dues / premium stipulated by laws / regulations, generally proportional to income / salary, and (c) the package is set equal for all classes revenue, which is usually in accordance with medical needs (Thabrany, 1999)7

In terms of financing, social insurance has the advantage of achieving efficiency in the macro because it does not require the cost of product design, marketing, and optimal attainment of economies of scale. Taiwan for example, only spend less than 3% premium for administrative costs (Department of Health Taiwan, 1997)8 in the U.S. Medicare program, only the administrative costs of 3-4% while private commercial insurance in the United States spent an average of 12% (Shalala dan Reinhardt, 1999)9

Initial implementation, the Health Insurance for Poor Families (HIP) The concept was originally proposed by Prof Azrul Anwar, as Dirrektur General Health Department and Community Health Development Team National Social Security, fighting for the establishment of Social Security Administering Agency (BPJS) specifically to handle health insurance for the poor. PT Taspen, PT ASABRI, PT Askes and PT

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Jamsostek is the fourth BPJS recognized legally organized national social security program.

Managed Care (Community Health Insurance), a concept commercial commercial health insurance sold by an entity called Bapel and permission granted by the Ministry of Health. This provision actually violated the Insurance Law sets the insurance business license must be granted by the Minister of Finance, who understand the business selukbeluk insurance, including health insurance.

The word "social security" in the Regional Autonomy Law (Law Otoda) No. 32/2004, which is understood by the general public such as taking care of abandoned children, elderly people, unemployed, victims of Termination of Employment (FLE), the homeless, victims of natural disasters, and so forth. Local government is the obligation of social service which is temporary and local.

The word 'social security' in the National Social Security Act only regulates five insurance programs (specific) long-term nature, which is valid for life for all citizens nationwide.

The word 'social security' in the Act is not intended Otoda 'health insurance, "because the clause relating to health is set up, as an obligation of local government in the same letter f Article:" Government is obliged to provide facilities keseahatan ". The word 'health facility', according to the literature, includes the funding, equipment, and human resources (Thabrany, 2003)6 It is therefore no contradiction between the Law 32/2004 and Law 40/2004 about National Social Security, because the authority of the second set The law is different. BENEFITS HEALTH INSURANCE FOR THE POOR HIP (Health Insurance for the poor family) program, as the initial implementation of national health insurance program in the National Social Security Act, show that the program is very useful for many people. Performance of the Minister of Health in early August 2006 Reuters poll reached 59.4% resulted from the fact that the Department of Health has developed a program that is felt useful to many people. PT Askes report in March 2006 showed that 54 million cards a poor family health insurance participants (HIP) has been distributed. This means that there is certainty for poor families who hold the card is entitled to comprehensive health services.

In the early stages of implementation of the HIP (Health Insurance for the poor family) program, a lot of complaints and identification in accuracies residents are eligible to receive tuition subsidies, because the calculation of the number of poor people in an area based on Central Bureau of Statistics census and establishment of the names of the poor by the Regional Government of the methods and criteria varies between one region to another. Only 6% of recipients Askeskin cards that

are not considered poor according to the criteria for receiving cash aid, because the criteria are different from the poor to feed the poor to medical needs. Table 2: The similarity of "Poor Criterion BLT (Direct cash assistance)" with HIP(Health Insurance for the poor family) (Balitbangkes, 2006) Kriteria Karan

g

BLT vs Askeskin

Asem Padang

Ende

Lebak

Total

Not Poo 6,9 % 5,6 5,0 6,6 6,0 Almost Poor

5,9 6,1 6,5 10,2 7,2

Poor 7,9 18,7 8,0 17,8 13,1 Very Poor

79,2 69,7 80,4 65,5 73,7

Perceptions About Benefits Card HIP (a poor family health insurance participants), Balitbangkes Ministry of Health, 2006

In terms of funding, as set forth in the

National Social Security Act, the health insurance program administered by a nonprofit. That is, if a surplus of funds, the surplus should not be booked as profit PT Askes, but must be accumulated to fund the program next year. This is the nature of the Funds Commission, the funds that are mandated only for the funding program. The detailed usage of funds stipulated in the guidelines according to Minister of Health Decree number 56/2005. Askes only receive management fee of 5% of the fund.

Soon after the National Social Security Act was placed in the official gazette, Susilo Bambang Yudhoyono government guarantee program of the poor start which is now known as HIP. Although, admittedly, that the initiative for the implementation originally not a National Social Security Act, but the same breath.

As stipulated in the National Social Security Act, the main task of the National Social Security Council (DJSN) adala UUSJSN Article 7: National Social Security Board is responsible to the President.

National Social Security Council to work to formulate common policies and synchronization

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implementation of the National Social Security System.

National Social Security Council in charge of: (a). conduct studies and research related to the implementation of social security, (b). proposed investment policy of the National Social Security Fund, and (c). proposed budget for beneficiaries of social security contributions and the availability of the operating budget to the Government

National Social Security Council authority to conduct monitoring and evaluation of an organizer of the social security program.

For the successful implementation of the National Social Security Act, to change patterns of thinking and action (mind set and action programs) politicians, academics, officials at central and local government to promote the benefits for the people / the public rather than their interests. A strong state can only occur if its leaders give priority to public interests than the interests of the group or themselves. Rationally change could be accomplished if there is public control (public pressure) is strong. Behavior of the bureaucracy, politicians, academics and even more oriented to the power and interest groups that have been planted many years is difficult to change in a short time, in the absence of strong public control. Correct public control in Indonesia has been a strong and viable.

How can health service-oriented strategy, with the quality given to the poor, in suppressing morbidity and mortality, especially death of Baby and Mother ?

National Social Security Act which was passed and the Constitutional Court has stated that the design-build has fulfilled the mandate of the National Social Security Act UUD45 Article 34 paragraph 2, all citizens of Indonesia and the Government is bound to implement the National Social Security Act. What are formulated in the National Social Security Act is the best choice from a variety of design options are discussed and offered in the process of formulating Act for three years.

Welfare office has sent the names of candidates for chairman and members of the President DJSN totaling 15 people consisting of five government representatives, two union representatives, two employer representatives, and six community representatives and experts of social security. HEALTH INSURANCE FUTURE STRATEGY Generally the most rational strategy in the years 2009-2014 in the implementation of Law National Social Security System (UUSJSN) at once in order to reduce morbidity and mortality, especially the baby and mother are as follows:

Hopefully this year the National Social Security Council (DJSN) inaugurated President and begin working to produce legislation (just two regulations and two presidential decree).

In the next five years, the Health Insurance Programme for Civil Servants (PNS Askes), Health Insurance Social Security Work force (Social Security), and poor health insurance should be harmonized and synchronized to the same benefits. In terms of meeting the needs of medical services, there should be no discrimination between groups of the population. The whole population must have health insurance medical needs, as a manifestation of Sila Social Justice. Organizers are still Social Security Administering Bodies (BPJS) health insurance (Askes) and Social Security Administering Agency (BPJS), Social Security Work force (Social Security).

Both BPJS, now PT Corporation (Persero), must be converted into a non-profit BPJS. BPJS no longer form the State Owned Enterprises (SOEs), but the specialized agencies. Changes in legal status of PT Limited to Social Security Special Agency carried out immediately. To prevent seizure of the central-region, need to be understood that not BPJS Government agencies or local governments. Program administered by the Social Security System is designed quasi public or parastatal bodies, BPJS, which are not government agencies nor private companies.

In the next five years, law enforcement must be done to organiasi employers, both public and private, that has not guaranteed its employees (and their family members). BPJS governance must be improved to reliable (good corporate governance). During the period 2009-20014, BPJS must demonstrate the various advantages of the benefits of national health insurance program - the national social security system (AKN-Navigation), which may not be provided by the company and or commercial health insurance.

HIP program continued in the next five years should be forwarded to the improvements and the calculations are feasible and reasonable fees. Funding was shared between the Government and Local Government, according to their fiscal capacity. While government funding may not be sufficient and capable local government, can make contributions to the potential of poor people (can Sadikin = Pain Be Poor Little) who do not work as employees. Local governments are even richer, it can pay for all the people who are not insured by health insurance and labor and social security (Social Security) is currently services at health facilities in order to satisfy the participants, the government health facilities should be converted into a Public Service Board (BLU) Regional Health Facility. Can be coupled between the Community Health Centre (PHC) and the Regional General Hospital (Hospital) to enable the continuity of service. BPJS payments to health facilities conducted prospectively, the amount determined in advance, with the amount of economic markets at reasonable costs. This design also fairness, people

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who want to seek treatment at private health facilities, which he believed to be better quality, they have to pay extra (out of pocket). That choice. If they do not have money, they went to public health facilities.

Government of Indonesia has yet to provide protection hello to all people in the face of risk of disease affecting a huge financial loss for households. In fact, almost all local governments, the system is a system imposed by the sale of hospital services by requiring people who are sick pay for various services at a rate determined by a regulation. As a result, the people have no assurance can be treated if he was sick. In 2004 the majority (83%) of the people who need care have the financial disturbances of households having to pay the cost of hospital care beyond the capacity to pay. Meanwhile in neighboring countries such as Malaysia, Sri Lanka, and Muangtai entire population has been free from financial burden when misfortune befell them sick.

Discussion Talking about insurance or social security or public health, including poor families, as the target of public services, demanding a public policy making and governance in which government can not be separated from one another.

In the perspective of public administration, there are three important points in public policy, namely: 1) Authoritative decision focused on the things that is most essential decision-making, 2) Formula or the design of interventions to solve public problems that focus on addressing the complexity of a problem, such as universal coverage, and 3) Policy making is the standardization of the pattern of government to deal with specific problems and the group must follow the standards of governance, like good health governance.

The term governance is already known in the literature of administration and political science nearly 120 years, since Woodrow Wilson, who later became President of the United States to 27, introduces the study area is about 125 years ago. But during that governance is only used in political literature in the narrow sense.

Into the Indonesian language, Governance translates as good governance, governance or management of government-civil governance, emerging about 15 years, especially after the international financial institutions establish "good governance" as a key requirement for any program assistance.

Theorists and practitioners of the Indonesian state administration, good governance is translated in different terms, for example, the mandate of governance (Bintoro Tjokroamidjojo), good governance (UNDP), good governance and is

responsible (LAN), and are interpreted narrowly as a clean government (clean government).

That the most fundamental difference between the concept of "government" and "governance" lies in how the organization of political authority, economic and administrative management of the affairs of a nation. The concept of "government / governance" connotes a more dominant role of government in the delivery of various authorities. While the governance implies a nation how to distribute power and manage the resources and the various problems facing society. This means that the elements contained in the concept of democratic governance, equitable, transparent, rule of law, partisipati and partnerships. IIAS define governance is the process whereby elements in society wield power and authority, and influence and enact policies and decisions concerning public life, economic and social development.

OECD in 1992, the collapse of the Soviet Union, is used as a momentum to justify the liberal ideology of the core system are: (1) uphold human rights values, especially the rights and freedoms of individuals, (2) democracy, (3) enforcement of Rule of Law, (4 ) and the free market (5) concern for the environment. Since then good governance in recipient countries as one of the requirements by the provider of international financial institutions.

That there are three main pillars that support the ability of a nation in implementing good governance, namely: government (the state), civil society (public manners, civil society, civil society), and market or business world. Good governance and the new charge is reached when the application of political authority, economic and administrative --- all three elements have an equivalent network and the interaction and sinerjik. Interaction and partnership as it usually can thrive when there is confidence (trust), transparency, participation, and clear rules and procedures must

Good governance will also develop a healthy sense of authority under the leadership of and have a clear vision.

The Indonesian government has tried to introduce the principle of insurance since 1947, two years after Indonesia's independence. begins with a social insurance in the field of occupational accidents and diseases. The Government requires all companies to insure their employees against accidents and occupational diseases. But failed because the security situation has not stabilized due to the various rebel and Dutch attempts to re-take Indonesia. In 1960 the government again tried to introduce the concept of health insurance through Basic Health legislation in 1960 that requested the Government to develop 'sick funds' with the aim of providing access to health care for all people. Due to socio-economic conditions are not conducive, command laws can not be implemented at all.

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In 1967, Secretary of Labor (Minister of Manpower) issued a decree to set up a fund similar to the concept of Health Maintenance Organization (HMO) or Health Insurance Society (Managed Care), which grew to realize the mandate of health legislation in 1960 and Minister of set fees by 6 % of wages by the employer to bear the details of 5% and 1% by karyawan46

Social health insurance development efforts more systematically began to be realized in 1968 when the Secretary of Labor (Minister of Manpower), Awaludin Djamin, in the form of health insurance for civil servants. Since 2004 the Government as an employer to bear the 2% and 2% pay cut so that the total contribution of health insurance for civil servants to 4%. State employee health insurance program was originally managed by an agency in the Department of Health Agency for Health Care Provider Fund (BPDPK). Then managed in a corporate health insurance by converting BPDPK a Public Corporation (Housing), known as Bakti Husada Perum (PHB) in 1984. Furthermore PHB converted to PT Limited by Government Regulation No. 6/1992 and changed its name to PT Health Insurance Indonesia (PT Askes-Corporation) so as to have flexibility in asset management and expand the membership to swasta.Di sector in 1971, began to set up Workers' Social Insurance Company Work (Astek) and February 1992, the statute of Labor Social Security (Social Security) approved by Parliament and enacted. Social Security Act includes four programs, namely Social Security Health Insurance (JPK), Work Accident Insurance (JKK), Old Age Security (JHT), and Security Death. Major constraints facing the Social Security program is often the employee moves from one firm to another, making it difficult for attendees data collection. Obstacles such as these do not occur in the civil service health insurance program.

Due to the economic crisis in Indonesia in June 1997, the Health Sector Social Safety Net (JPSBK) developed a Managed Care funded by an ADB loan of U.S. $ 300 million for a five-year funding program to a health clinic, the midwife in the village to handle high-risk pregnant women, purchase of vaccines, and the provision of health insurance through an agency Pre Managed Care Executive Agency. Then there is the Program of Energy Subsidy Fund Transfer (PDPSE) or Compensation Program Transfer Subsidy Fuel (BBM PPP) for health, education, poor rice and some other programs. On October 19, 2004 in passes the Act of the National Social Security System as a continuation of insurance for the entire people of Indonesia as the basis for the implementation of insurance in Indonesia.

In Indonesia, the development of health insurance begins with the social insurance health insurance civil service followed by a social

insurance work accident, and followed by social health insurance for private employees. Due to regulations that allow an opt out for private sector workers, social health insurance for private sector workers do not develop until the National Social Security System as the foundation to the National Health Insurance held consistently.

Health insurance system in Indonesia is different from Thailand. Health insurance for the entire system of Thailand known as the system is 30 Baht. Root system is Ayyuddhaya Project in 1989 and is a collaboration between the Thai government and experts from Belgium. Three main components are: (1) finance reform, (2) health care reform, and (3) reforms in public relations with service providers. Note that the role of academics uatama very large. In the context of Evidence-Based Policy, 30 Baht program clearly has used a variety of scientific evidence that can be accounted for. 30 Baht program is not a momentary decision, a being the ability to develop good governance.

Various assessments conducted by international institutions as long as it concluded that Indonesia has yet been able to develop good governance. Mandate Reform has not been realized because of the policy are not clear, personl placement that is not credible, using enforcement, and political life that is less oriented to the interests of the nation but to the interests of group-oriented. Cause the world to ask whether Indonesia is seriously implement good governance?

Indonesia so requires good governance as conceptualized by the IIAS. Development of good governance is one aspect of social insurance that has been initiated since 1947 should be the responsibility of us all of the nation.

Government, which has had a dominant place in the organization of political authority, economic and administrative, are expected to be difficult to consciously and voluntarily, would be changed and transformed into an effective part of good governance Indonesia. Therefore, the development of good governance in Indonesia towards the future should be done through external pressures from outside the bureaucracy or the government, through the empowerment of civil society to increase the participation of citizens in government peneyelenggaraan, including the realization of the implementation of the National Social Security Act for all the people of Indonesia. Other external forces that can "force" timbuilnya good governance is the business world. Patterns of collusive ties between business and the government are superbly developed over three decades have transformed into a more fair and open.

Conclusion Planning and implementation of the provision of health insurance for the poor, including by fully

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implementing the National Social Security Act, by developing the implementation of good governance The strategy is carried out, the President immediately swore in the National Social Security Council (DJSN) and immediately begin working to produce legislation by legislation (two regulations and two presidential decree) to guide the implementation of the National Social Security Act, nationally, fair and equitable

The three main pillars supporting the implementation of good governance, namely: government (the state), civil society (public manners, civil society, civil society), and market or business must be run in synergy and coordination with the advanced kepetingan people while upholding the values of Human Rights (HAM) in particular the rights and individual freedoms, democracy, rule of law enforcement, and environmental concerns.

Recommendation Required personnel from the three main pillars of good governance is a credible personnel, who have popular support, as a visionary and capable personnel with a legitimate leadership so as to carry out a full UUSJSN as a form of good governance

Reference WHO, The World Health Report 2005. Make Every Mother and Child Count. Geneva, 2005 WHO, The World Health Report 2000. Health Systems, Improving Performance. Geneva,2000 WHO, The World Health Report 2006. Working Together for Health. www.who.int.

Thabrany, dkk. Telaah Komprehensif Jaminan Pemeliharaan Kesehatan di Indonesia. YPKMI, Jakarta, 2000 Thabrany, H dan Pujianto. MKI, Jakarata, 2000 Thabrany, H. Makna Fasilitas Kesehatan. Makalah disajikan dalam Diskusi Majelis Pelayanan Kesehatan, Ditjen Yanmed, Depkes, Jakarta 2003. Thabrany, H. Introduksi Asuransi Kesehatan. Yayasan Penerbit Ikatan Dokter Indonesia, Jakarta, 1999. Depkes Taiwan. Public Health in Taiwan, ROC. Taipei, 1997

Shalala, DE dan Reinhardt UE. Interview: Viewing the US Health Care System from Within: Candid Talk from HHS. Health Affairs 18(3): 47-55, 1999

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Local Administration and Management in Indonesia

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Globalization and International Academic Cooperation in ASEAN

Samrit Yossomsakdi Ph.D., Dean of Faculty of Political Science and Law, Burapha University

Dear The President of PAAT, Distinguished Professors, Honorable Guests, Ladies and Gentlemen, It is my honor and privilege to be here today for the first International Conference in Thailand on public administration 2012 organized by Public Administration Association of Thailand. The topic of our Conference today is “Challenges and Prospects in ASEAN and Beyond.” I would like to take this opportunity to express my appreciations to the organizer and involved supporters, as well as all participants from ASEAN members and around the world who make this conference a successful meeting. Their contributions will help strengthen academic collaboration among nations, especially higher education institutions in ASEANs and beyond . Ladies and Gentlemen,

With the progress of globalization, many changes have occurred in the world. Transfers of goods and services, currencies, information, and population are now swiftly moving across borders of various countries. One can learn incidents on the other side of the world which is a result of technological progress. This advance made possible because the world market economies link nations together. Globalization would also provide people around the world with an opportunity to strengthen mutual cooperation and understandings. However, emerging global issues such as the gap between the rich and the poor, intensified terrorism, arms conflicts, climate change, and the spread of infectious diseases, are also strongly related to globalization. In the era of globalization, human resources supported with realistic perception and positive attitudes, as well as academic expertise are necessary for international cooperation. Learning academic concepts and analytical methodologies should help us understand problems in a comprehensive and systematic way. At the same time, as globalization has been associated with continuous changes in the world, we should see and face realities without being confined to an existing intellectual framework. All problems we are now facing are those without ready-made clean-cut solutions. Ladies and Gentlemen,

We are all aware that the provision of

education in the 21st century is facing many

challenges. Burapha University has also been directly engaged in making practical contributions to educational development and international academic cooperation. As you know, Burapha University is located in Bangsaen, Chonburi, about 100 km. from Bangkok, in the Eastern Seaboard Area of Thailand. The campus covers an area of 256 acres.

The University has 53 years of its history. However, the former name was changed to Burapha University in 1990 due to the need for more college-trained personnel. The Bangsaen Campus of Srinakharinwirot University was upgraded to full university level and renamed Burapha University, which means "University of the East".

In recent years, Burapha University has expanded rapidly. Enrollment in 2011 was approximately 50,000 students, with over 1,000 teaching staff and over 1,500 general staff. Ladies and Gentlemen, I would like to spend the next few minutes presenting the development of academic unit, the Facuty of Political Science and Law at Burapha University, as an example of how our universities can develop academic cooperation with each other. Faculty of Political Science and Law is a recently established academic unit of Burapha University. This happened after Burapha University had changed its status to become an autonomous university in early 2008. The Burapha University Council unanimously approved the establishment of this Faculty by detaching two departments from the Faculty of Humanities and Social Sciences and upgrading them to the faculty level. The faculty’s academic jurisdiction currently covers three major academic disciplines including political science, public administration, and law. The establishment of this faculty is to expand the education opportunity to Thai people in the Eastern region of Thailand. We are now providing 8 bachelor degree programs. The first two degrees include Bachelor Degrees of Public Administration in General Administration ( two-year continuing and four-year degree programs) and Bachelor Degrees of Public Administration in Local Government Administration. These two degrees are under the supervision of Department of Public Administration. The Department of Law offers two Bachelor’s Degrees in Law (second-degree and four-year degree programs), while the Department of Political Science is providing Bachelor’s Degree of Political Science. Besides, the Faculty of Political Science and Law also offer five Minor Degree programs in Political Science, Law, Justice Administration,

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Personnel Resource Administration and a recently established ASEAN Studies consecutively. At the graduate level, we offer five Master’s Degree programs in Political Science and Law. Four Master of Political Science degrees include different majors in Political Science: 1) Political Economy and Governance; 2) Security Resource Management; 3) Social and Justice Administration; and 4) Thai Politics and Governance. As for the Master of Law degree, two subfields include 1) Criminal Law and 2) Criminology. Furthermore, our faculty also offered two doctoral degree programs in political science: the first one is Strategy and Security, and the latter Political Economy and Governance. We are proud to say that all of our doctoral students are excellent and scholastic. Right now our doctoral degree program also admitted some international students as a part of our student body. Now, the Faculty of Political Science and Law has approximately 4,500 undergraduate students and 550 graduate students. The main mission is to upgrade the standard and quality of teaching and research as an educational provider. We need to upgrade the quality of our faculty members and staff. Now we have 50 full-time faculty members, most of them hold or are pursuing doctoral degrees both in domestic and foreign universities. Making full use of our available resources, the faculty has been fostering human expertise required for international cooperation and related studies under globalization. Increased autonomy of

Burapha University is to ensure more effective and efficient management and administration practices. This new management with good leadership and good governance practices of administrators at all levels will help manage the necessary changes successfully. Ladies and Gentlemen, The Faculty of Political Science and Law continues to explore potential cooperation with foreign institutions to create joint degree programs in political science and public administration with Brawijaya University. The purpose of this cooperation is to improve the University’s teaching quality. The joint degree programs are expected to be implemented in next academic year. However, there are still a plenty of rooms to create new activities with our sister universities in ASEAN such as cultural exchange, joint research programs as well as faculty and student exchange. We need to start implementing all these activities by strengthening our students and faculty members’ English proficiency. We start with minor degree program in ASEAN in which all required courses are taught in English. Ladies and Gentlemen, On behalf of the Faculty of Political Science and Law, I would like to express my confidence in expanding and improving academic quality and contributing to the better quality of life, and strengthening academic cooperation with our sister universities, especially in ASEAN nations Thank you.

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Political Impacts of Change in the Pattern of Inter Government Relations (IGR) on National Integration: The Case of Indonesia

Dr. Drs. Luqman Hakim M.Sc1

Abstracts

Consistency in the Inter-Government Relations (IGR) assures effective performance of individual country in maintaining its national integration. There are three different types of IGR called law and administration, community politics, and inter-organizational politics. Indonesia has experienced a radical change both in the pattern and function of the IGR within the last three decades. Based on some evidences, it can be said that during the New Order era the IGR was very much influenced by the spirit of autocratic politic or centralization in the exercise of power as well as in government. Theoretically, in term of IGR the tendency as such is classified as law and administration. Mean while, after the president Soeharto resignation, the nature of IGR changed radically into what is called inter-organizational politics. The power which under Soeharto’s reign was exercised in such an autocratic manner was suddenly changed by spirit of democracy or decentralization. Through the political change it can be expected that there will be more rooms for individual freedom because of which the political change can also be expected to result in creativity, courage, responsiveness and responsibility of the individual local government to promote social welfare and better public services. Furthermore, the change will give positive impact to the national integrity. Unfortunately, it seems not to be the case. The process constitutes leap frogging rather than natural of maturity. In effect, national integrity is at risk accordingly.

The aim of this paper is to analyze the recent development of political change taking place in Indonesia as well as its impact on national integration. While the wave of political change cannot be denied, the result of which is not always in accordance to the expected one. The main question to be answered through the paper accordingly is whether or not the changing pattern of in the IGR strengthens political cohesiveness of the nation. The research method through which the writer comes to conclusion is exploratory. The data are obtained from both secondary sources and observation. The result of the research shows that in general all recent processes of political change, including the change in the IGR, has weakened control of the central government over local governments. In other word, it is to say that the recent political processes has put national integrity of the country at risk.

Key Words: IGR, Autonomy, Decentralization, Decencentration and Political Integration A. Introduction

“Some of local governments of the province, district, and city level tend to run business individually as whatever they want to do with no link between one to another. Indeed, without such a strong-imposed coordination by the central government the development of local autonomy will find itself difficult to focus on a particular vision. The social welfare will also be difficult to be achieved accordingly. “ This deliberative statement was made by Kausar, a former Director General of Local Autonomy of the Ministry of Domestic Affair in a forum of discussion on “The Revitalization of the Province in Local Development” (KOMPAS, 18 April 2012).54

In his further explanation, Kausar reminds all of Us that Indonesia constitutes an archipelagic country which at the time being is divided into 33 provinces consisting of 495 districts/cities. Constitutionally, law number 32 Year 2004 on the Local Government has put local government of districts and cities under coordination of governor. Under this scheme, ideally, the Governor should be seen as representative of central government which functions as coordinator of districts and/or cities, source of direction, control, provider of general affairs as well as promoter of social welfare in the region. It means that, normatively, we have system but unfortunately, he criticizes, the management does not work well. Clearly, the existing central government is not capable enough to manage and control the governor which under the era of transition from the law no 5 year 1974 to the the law no 32 year 2004 has been downgraded to be government without power even in the authority of coordination. As the result, as it had been stated earlier, the provinces, districts and/or cities tend to pursue their own programs for the sake of their own no matter of national interests in the area.

There is no doubt that to the large extent such a circumstance has been a factor to the ongoing underdevelopment. Economic-development as well as public-wealth programs in the area have no longer been the first concern of government. Quite number of infrastructures in the provinces which connect provinces and districts for quite

1The Forum of Discussion was held by Collective Leadership of National Assembly of KAHMI in Jakarta.

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some times have been in bad conditions with no hope of rehabilitation in the near future. In the frontier areas of the two provinces usually the condition is even worse. In consequence, due to bad roads and transportation high cost economy is inevitable. In fact what deteriorate are not limited only to the infrastructures. Both physical and social environment can not avoid the down grading tendency. The regulating norm from the law no 5 year 1974 on the local government which put emphasis on “deconcentration” was then amended by the law no 22 year 1999 which put emphasis on decentralisation. Less than 5 years later, the last regulation was revised by law no 32 year 2004 which covers wider scope compared to the previous one. However, in many instances the shift in the has not been perceived by most, if not all, local governments (especially provinces and districts) as a reform in the nature of Centre – Local Government, but as justification for both exploration and exploitation of under-state control natural resources like wood, gas, oil, minerals, coal, gold, nickel locates in the remote or in the sea. The Provinces of Aceh and Papua wherein many strategic natural resources locate have claimed more authority for exploitation of natural resources in the area. So far the claim has resulted in the specific law and regulation by which claims of the two provinces are approved. However, since the claim was undertaken in such a politicized way, the relationship between the two provinces and the central government after that has been fraught with suspicion and political tension rather than trust and cooperation.

Such a political claim had occurred in the form of local rebellions to the centre during the early period of independence far before implementation of law no 22 year 1999. Thus, basically, the claim represents a repeatation of the past. Unfortunately, not many provinces draw some lessons from the experience but, quite the contrary, copy the experience to reshape their relationship vis a vis the central government no matter of political impacts to the national integration. Localising the power has now become phenomena characterizing local–central government relations. Clearly, by now the central government has found itself difficult, to replace the mechanism of appointment by election for the Head of Specific Region of Yogyakarta (DIY). The idea has received a strong resistance from the incumbent the governor and vice governor, Sri Sultan Hamengkubowono X (HB X) and Sri Paku Alam IX (PA IX) which is based on historical as well as cultural reason automatically appointed governor and vice governor no matter the death of HB X and PA IX personally. Accordingly, this political position must be held permanently hereditary procedure. The central government however, in the name of the law no 32 year 2004 not only wants to

limit the power of HB X and PA IX up to the coordination in accordance to the law but also replaces the appoinment by election.

The introduction of law no 32 year 2004 not only has encouraged the provinces to reshape their institutional relations with the central government, but also between districts and/or cities with the province and, even between districts and/or cities. The instructive line organization of government institution has now been reshaped into coordinative line because of which there lies a room for districts and/or cities to reject or avoid governor’s policy in order to pursue their own. The “wider room” for local governments to initiate their own program is in fact positive as far as the decentralization can encourage bravery, creativity and interdependence. Quite the contrary, a tight control of central government over the locals leads to state-led development which to certain extent may emasculate the potentials of the local government to develop. Unexpectedly, after the introduction of decentralization policy, most of local governments fail in producing local income generating system of their own. In effect, natural resources which their authority of exploitation is the hand of central government becomes target of their income generation. Conflict of local versus central government is inevitable. Accordingly, the “wider room” of authority of the local governments may lead to national disintegration. Based on this argument, it can be stated that decentralization resulted from the implementation of the law no 32 year 2004 leads to fraction in the administrative relations between the region and local government and national disintegration.

B. Theoretical Framework

Basically the independent Indonesia is still relatively young ini age. Accordingly, Indonesia represents a young social entity which is still in the process of becoming a nation. As a mater of fact, the entity consists of so diverse ethnic groups, languages, religions, and other things including traditions and physical appearance. It is understandable if during it’s process of becoming there exist so many political up heavals which are vary in scale from local, regional, national to international. As not all of the political up heavals can be successfully settled down, the government system of Indonesia remain in the mid of push and pull of House Rule and Consolidationist. Theoretically, based on the Constitution of 1945, the government system of Indonesia must follow House Rule theoretical model. Here, Indonesia Indonesia ideally to be a democratic country by which the government system must follow decentralization policy with high level autonomy of

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the local government. The underlying assumption of this model is that ‘small is beautiful.’ This theoretical model is supported by a number of political philosophers as Dillon dan Alexis de Tocqueville of the 19th century.

According to this theoretical perspective, a system of government must be perceived as spatial and territorial system of distribution of power. The system of government is described as an institution which has an institution of local government which has structure and function in the form of limited authority as it also exists in every state. The complexity of structural as well as functional relations is represented, among others, by a number level of tiers (sub-national). Within this context, the IGR between components within society is coloured by the position of one structure to the other structure. Usually, both geographic and demographis condition becomes main consideration to the division. How the division of structures and functions take place vary depends upon the existing condition of the state. Humes & Martin state “many factors influence the number of tiers and the number and size of the intermediate units. Some of the most obvious are the geographical size of the country, the population of the country, the number of basic units and the degree of centralization” (Humes & Martin, 1969: 63).

In line with this argument, the local governments can be classified into three groups that is basic unit, intermediate unit, regional unit. Basic unit is local government at the lowest level such as cities in the United State, Gemeente in the Netherland, Commune in France, Gemeinde in Germany, and District and City in Indonesia. Intermediate unit is a local government which covers one or more basic units like counties in America, Provincie in the Netherland, Department in France, Kreise in Germany, and Province in Indonesia. Regional unit only exists in certain countries as states in the United State, Region in France, and Land in Germany.

In reality, such a theory cannot be implemented unversally and homogenously throughout the country but only partially by considering some aspects of wisdom and locality. In the context of Indonesia, the relationship between the basic units and intermediate units follows model implemented in the UK Ingris or France. In the UK’s model, the relationship between the basic unit and the intermediate unit is based on the equal level. This means that there is no supervision relations between the two levels of intermediate government institutions. The supervision exists, however, between the intermediate (province) and the lowest level (districts/cities). In the France model, there exists supervision relations between ordinate and sub-ordinate level or between the region and the commune.

Nevertheless, there exists a prominent characteristics of the region or intermediate unit. Humes & Martin (1969, 77), state that “The intermediate units generally have more deconcentrated and fewer decentralized activities than the basic units. At the intermediate levels, too, there is generally less emphasis on the representative aspect of the governmental process.” Furthermore, Humes & Martin also note that government activities of the intermediate unit such as region and province may also include functions as follow: a) As the same as basic unit like commune, district or city in Indonesi. Here, the intermediate unit provide local public services directly in accordance with the instruction or guidance of the central government; b) Responsible of coordinating vertical institutions down from the central government to the basic units; c) Responsible of supervision activities on the basic units; d) In addition to the deconcentration activities, intermediate unit may also have representatives responsible to the decentralized policies.

In reality, Country like Indonesia which constitutes an archipelago is vulnerable to the challenge of disintegration. For the sake of integration of the country, number of scientists as well as practician are in favour of supporting implementation of the Consolidationist Model Theory which is centralistic in essence. Following this model, at least, the central government must enjoy stronger position over the local government. The maintenance of Indonesia as a political entity wil be very dependent upon two things that is strong imposition of political power of the central government and interdependence between state institutions including between local governments. Different from the House Rule Model, perspective of this paper more relies on the Consolidationist Model which emphasizes on the principle of ‘big is beautiful.’ Accordingly, for such a long time central – local government was based on the law no 5 year 1974 which is much closer to the idea of the consolidationist model. Nevertheless, in 1998 a monetary crisis occurred in Indonesia. Impact of the crisis was not only limited to national economy but not less important than that it also has promoted a serius political change. How the power should be exercised was redefined. President Soeharto who had been in power for 32 years ought to step down from his position as the president. The military, functional group (Golkar) and bureaucracy which for such a long time had become three main pillars of power were restructured, and the law no 5 year 1974 was also replaced by law no 22 year 1999 which was then amended by the law no 32 year 2004. As the last regulation is more decentralistic in essence, in fact the system of government has also been in the process of radical change from the

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Consolidationist to the House Rule government system. Lesson Learned There is a proverb saying that experience is the best teacher. Given the fact that the proverb has been widely accepeted by people all over the worlds, it seems that in the context of IGR in Indonesia, the proverb seems to have been perceived more as question rather than statement. Indonesia has now been 67 year old accounted from the first time the country gained her independence. This age can be no longer said too young although it can not also said old. Throughout the history of independence, IGR, especially in term of the central – local government relations has been in difficult situation, between regime which tend to follow Consolidationist and regim the House Rule model. First, the regime of the consolidationist model has very much coloured the period of leadership of our two first presidents, Soekarno and Soeharto. Each of the two presidents stayed in power relatively long. President Soekarno was in power not less than 20 years while President Soeharto was even longer that is 32 years. Along the reign of the two presidents, the central – local government relations was very much coloured by the consolidationist regime manivestation of which was deconcentration policy rather than decentralization. Under this policy, orientation of the local governments was more to national interest or central government rather than local – government interests. During the period of both Old Order and the New Order, the central government’s penetration to the leocal interest covered the whole social life including all aspects of autonomy such as human resource, finance, equipments and facilities, public services and development. In the human resource, for example, who is allowed and not allowed to head of district or even head of village will be pursued by appointment, not election no matter of procedure of selection had been implemented. It is true that during the implementation the Law no 5 year 1974 there existed indirect election over the head of local government. Nevertheless, who will be eventually throwned the head of locacal government is dependent upon the amount of vote the candidates gained, but dependent upon the approval of the president or team of selection legally set up by the Secreatry of Domestic Affair in the name of president. The mechanism as such does not apply to the governor or head of district only, but down to the lowest level of government, village headman. In the other position of different field as far as the position still in the domain of political position the same mechanism applies. The central government proposes major part of draft of law just to be approved by the legislative.

Etimologically, the word deconcentration consists of two components that “de” which means negative or no and contrationconcentration. Accordingly, the word “deconcentration” means “no concentration of power in the hand of someone nor institution.” In the reality, the term has been politicized in such away and simply interpreted as the right of central government to appoint government officers based on their subjective consideration. In other words this mechanism similar to putting central government apparatus in the local government. Accordingly, governor, head of district and village headman are president in the area. Based on this reality, in essence, there is no significant difference between deconcentration and centralization although technically it may be said in different terminology.

No public policy is made in the vacuum space of interest. There always exists who loses and who gains in every single policy. Moreover, some times there also exist a hidden agenda of any particular policy which is made for the expence of a particular group. Based on this assumption, government decision on deconcentration which means in favour of the consolidationist regime, or other way around by choosing decentralization which means following the regime of house rule is must be motivated by a particular interest of conflicting parties. Here one can see that any single public policy taken by the government represents a struggle for the interest which in the era of President Soekarno and President Soeharto the conflicting parties, among others, were the central government vis a vis the local governments.

Several decades before the Indonesia’s proclamation of independence was declared, the colonial government of the Netherland had indicated some political movements leading towards independence. Since the movements were initiated by elites of the society, every year the movements tended to be bigger in size and became more difficult to be eradicated. Boedi Oetomo movement ini 1908 which established Stovia School of Medicine may be seen as a resultante of series of similar movements which had taken place previously although many of them were unidentified. The colonial government seems to have a political calculation the movements would develop out of control of the government and eventually become an independence movement against the government. In order to maintain the colony, the colonial government smartly accommodate local political aspiration by setting up the rule called Decentralizatie Wet. In this regulation, the colony at level of province was granted autonomy by which to certain extent they can enjoy the right to self managed with more rooms to make their own decision separated from the the Governor General. However, since the nature of autonomy is “limited independence,” not

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liberation, the colonial government got both political and economic adavantages from the policy. First, as a whole the fracted colony would be much easier to be controlled. In other words, the decentralization policy is in fact nothing but politics devide at impera in the different name. The policy was taken by the colonial government not to show their commitment to the etish politics as it has been widely published. Quite the contrary, the policy was taken for the sake of their own interest of maintaining their grips in the colony. Secondly, as the province has also to be responsible upon their own expenditure, economic burden of the central government might decrease significantly. Moreover, it was quite possible that the central government could get additional revenue from the contribution made by the local governments.

The presence of Japan in 1942 upsided down interrelationship of the central and local government which had been established by the Colonial Dutch. While the Dutch wanted decentralization, the Colonial Japan wanted centralization. Surely, as the same as the Conlonial Dutch who had hidden agenda with their decentralization policy, Japan also has their own interest with the centralization policy. However, unlike the Dutch, basically at the initial stage of occupying the new colony, Japan needed such a big political power to overthrow the Dutch as well as to establish their own power in the Indonesia. It was believed that the power hardly ever could be gained various policies but centralization.

Indonesia learned to build up relationship between the central government and local government from the colonial governments, both Dutch and Japan. The wo model of policy from two different colonial governments have become big inspiration for Indonesia in managing intergovernment relations between government institutions especially between central and local government. Deconcentration and decentralization are applied inconsistently, dependent upon existing condition. AS a whole, from early independence in 1945 up to no, the process of learning can be categorized into three stages. The three stages are as follow. Stage of euphoria, that is between 1945 – 1948 and 1998 – 1999; stage of transition, that is between 1949 – 1959 and 2000 – 2004; and stage of formation, that is between 1959 – 1965 and 2004 – on.

First, stage of euphoria. The term euphoria used in this article refers to a stage of political development which is mainly coloured by selfishesm. Political chaotic situations reveal in many places due to strengthening selfish orientation at the personal as well as sectoral level. Most, if not all, people want to pursue their own personal interest while taking for granted the rule, social values, as well as right of others to agree or not to agree. In the mid of 20th century there existed

political movements among the nations throughout Asia and Africa demanding freedom and liberation from the colonial governments. Similar tendency also occurred in Indonesia which has been colonized by the Dutch for more or less 350 years. Together with political awakening among the nations, high political spirits also revealed from within Indonesian society to reject any political influence of the colonial government. In 1945 at the time Soekarno in the name of Indonesian proclaimed independence, people were fraught with an unprecedented joy and happiness or euphoria. People demonstated their spirit and joy in such a way like big waves on the sea hitting the shore without stoping. Unfortunately, the spirit at this stage was not only against the colonial power but, to a certain extent, also against any authority including Indonesia which at that time the state was still very young and vulnerable to be disintegrated from within. In respons to the potential danger of disintegration the state established central – local government relations by publishing Law No 1 Year 1945 (21 November 1945) wich put emphasis on the deconcentration.

At the first instance, the deconcentration policy seemed to have not been accepted by the whole population. In 1948 the government of Indonesia, again, issued law No 22 year 1948 . which put into more detail regulation on the relations of right and obedience between the cental and local governments. People still wanted to enjoy “freedom” which was just gained. Besides, still did not want to be much regulated. Political impact of the policy was not only social resistance, but also transformation of the nature of the state from unitary to united state. It means that political cohesiveness and national integration which had strengthened before independence tended to weaken and potential to be disintegrated.

Surely, this represents hard political pressure for the state to replace policy of deconcentration to decentralization. Similar situation to this reoccurred when President Soeharto steped down from his presidency. Soeharto was the longest ever man in Indonesia who became president. He became president of Indonesia for about 32 years long. During his reign, the deconcentration policy was strengthened in such away so many say that the deconcentration policy during his policy would be much properly said as centralization.

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Table 1 Summary of the Implemented Law on Local Government

1903Pemberlakuan UU desentralisasi yang

pertama (Decentralizatie Wet) oleh Pemerintah Kolonial

UU 1/1957 memberikan kewenangan kepada pemerintah daerah

UU 5/1974 tentang Prinsip-prinsip Pemerintahan Daerah

UU 1/1945 (23/11/1945) menetapkan struktur wewenang pusat-daerah

UU 18/1965 mengokohkan kembalinya desentralisasi

UU 22 dan 25/1999 memfasilitasi desentralisasi

Pendudukan Jepang: Penguatan Sentralisasi Kekuasaan

Dekrit 5/7/1959. Penpres No. 6/1959: Sentralisasi

Jatuhnya Soeharto. Tuntutan otonomi daerah meningkat

UU 222/1948 makin merinci kewenangan pusat-daerah

Jatuhnya Sukarno. Bangkitnya Orde Baru. Sentralisasi!

UU 32/2004 menggantikan UU 22/1999. Pilkada mulai dipraktikkan.

1942

1945

1948

1957

1959

1965

1967

1974

1998

1999

2004

2007

2008

Revisi UU 32/2004: Calon perseorangan diperbolehkan ikut

Pilkada

[1] Keputusan MK (23/07/2007) mengizinkan calon perseorangan ikut Pilkada. [2] UU

Penyelenggaraan Pemilu 2007 memposisikan Pilkada sebagai bagian dari “Pemilu”

Second, the stage of transition. This stage describes a situation that old regulation was rejected but the new regulation has not been set up. Quite similar to the stage of euphoria, the absence of the regulation in this stage was also fraught with political chaos in many places. Besides, while people were in waiting for the new regulation, many of them became opportunistic, fighting each other to gain political advantage and establish political role for next situation when the transition period is over.

Figure 1 The Changing Pattern of IGR

31 Tahun2 Bulan9 Hari




20 Oktober 2004 s.d.Sekarang

Negara Federal

Negara Kesatuan


DekonsentrasiDesentralisasi

This refers to two periods of 1949 – 1959 and

200 – 2004. During these two periods, people, groups within society as well as political parties were difficult to be controlled nor directed by the central government because the state itself was weak vis a vis society. Under this circumstance, there is no alternative policy to be taken by the state but decentralization. Accordingly, during President

Soekarno era the government issued Law No 1 year 1957 while after resignation of President Soeharto, the government issued Law No 22 year 1999 which soon after that this law was amended to be Law No 32 yeaar 2004. C. Conclusion

Given the fact that Independent Indonesia has been 62 years, the government system has not been established. The central – local relations needs special attention due to the fact that such a relations is still seeking a political format acceptable by quite great diverse ethnic groups in the archipelago. Under this circumstance, the changing pattern of IGR may put national integration at risk.

Bibliography Dirdjosanjata, Pradjarta and Nico L. Kana, eds, 2006, Demokrasi dan Potret Pemilu Lokal, Pemilu 2004, Yogyakarta, Percik Humes & Martin, 1969: 63 Hoessein, Bhenyamin, 2011, Perubahan Model, Pola, dan Bentuk Pemerintahan Daerah: Dari Era Orde Baru ke Era Reformasi, Jakarta, Departemen Ilmu Administrasi, FISIP, Universitas Indonesia KOMPAS, 18 April 2012 Mahfud MD, Moh, 2000, Demokrasi dan Konstitusi di Indonesia, Jakarta, Rineka Cipta McLeod, Ross H and Andrew MacIntyre, eds, 2007, Indonesia Democracy and the Promise of Good Governance, Singapore, ISEAS Nordholt, Henk Schulte & Gusti Anan, eds, 2003, Indonesia in Transition, Work in Progress, Yogyakarta, Pustaka Pelajar Nordholt, Henk Schulte and Irwan Abdullah, eds, 2002, Indonesia in Search of Transition, Yogyakarta, Pustaka Pelajar Nordlinger, Eric A, 1981, On the Autonomy of the Democratic State, Cambridge, Harvard University Press The Law no 5 year 1974 The Law No 22 year 1999 The Law No 32 year 2004

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Siahaan, Uli Sintong & Siti Nur Solechah, eds, 2001, Peran Politik DPR-RI pada Era Reformasi, Jakarta, PPPI –Setjen DPR-RI Smith B.C, Decentralisation, The Territorial Dimension of the State, Boston, George Allen & unwin

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THE COMPLEXITY OF INTER-LOCAL GOVERNMENTAL COOPERATION

Dr. M.R. Khairul Muluk, M. Si Head of Public Administration Department

Faculty of Administrative Science University of Brawijaya, Indonesia

Abstract

Local government brings local problems solving based on local voice and choice. Local autonomy needs local resources in order to delivery local needs. Occasionally, local government faces inadequacy local resources due to its obligatory function to deliver local needs. In this case, local government needs inter-governmental cooperation. This study explains that inter-local government cooperation faced many problems to be realized. The problems are non-cooperation culture and ego-regional situation. These problems direct to discatchment area situation, the problems of incompetence to delivery service to the whole citizen in the city or regency. This situation is able to be solved by increasing inter-local governmental cooperation rather than inter-local governmental conflict or local governmental independencies. This cooperation will be increased by eradicating non-cooperation culture and ego-regional situation. Keywords: local government, intergovernmental relations, inter-local governmental cooperation.

Introduction Local autonomy is the local authority to manage and run governmental affairs in accordance with the aspirations and preferences of local society. To run this autonomy, it should also consider the potential diversity among local regions. There are local regions which have the big potential natural resources supported by the society ability and the society quality in running such potential resources. Conversely, there are also local regions which have the less potential natural resources, even hazardous, and it is not supported by the adequate society resources quality to face such challenges. Such conditions result the poverty problems, either related to cultural poverty, natural poverty or structural poverty.

Facing the potential diversities in achieving the state and nation objectives needs the role of local government to suppress the inter-regional disparities and improve the rising society welfare synergies. The efforts to suppress the disparities can be done through various ways. The first effort is by improving the effectiveness and efficiency of governance and development in various fields conducted by the district/city government. These

efforts include the infrastructure provision, the economic development through increasing the role of small and medium enterprises, and the social and employment development. The second one is by increasing the role of the central or provincial government through the policy intervention in order to reduce the disparity levels. In East Java Province, it is conducted by applying pro-poor policy, creating the employment opportunities in agriculture, applying education and health policies for the poor, developing the road infrastructure in the south rim region. The last effort is by running the inter-local government cooperation oriented to reduce the disparities. These efforts can be done through inter-local cooperation to run every potential resources in order to spur the development of each area so that it can reduce the disparities. INTERGOVERNMENTAL RELATIONS

The needs on public services and more effective and participatory development lead to the importance of intergovernmental relations which are effective and efficient. The intergovernmental relations are also a logical consequence from the federalism existence of the federal states and the decentralization of unitary states. In federal states, the intergovernmental relations occurs in federal and state relations, interstate relations, relationship among local government (Rosenbloom, 1989).

Meanwhile, related to the unitary states, Smith (1985) provides interesting limitation on the intergovernmental relations, namely: the relationships between levels of government. Referring to the scope, the intergovernmental relations basically are the relationship between the government structure or government level, namely the relationship between the central government and provincial government, the central government and the regency/city governments, the provincial government and the regency/city governments and inter-local governments.

About the limitations of these intergovernmental relations, Henry (2004) has given the interesting scope such as the relationship between the Federal Government and the State, the relationship between the State of which resulted in two special studies namely interstate cooperation and interstate conflict. The special emphasis is given by Henry on the relationship between the state and the local government, and the cooperation among

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the local governments (interlocal cooperation). The emphasis on inter-local cooperation is also provided by Cooper, et al (1998) which includes local government cooperation as an important part in intergovernmental relations.

The investigation of intergovernmental relations has classified such relationships into three interpretations (Smith, 1985), namely: the law and administration approach, the community politics approach, and the inter-organizational politics approach. Those three approaches are commonly used by the social scientists, politician, and the administration scientists to conduct an analysis on the phenomenon of intergovernmental relations.

The first approach, the law and administration approach more emphasizes on that the top-down approach by watching the practice of intergovernmental relations from the central government perspective. This approach looks at how the intergovernmental relations provide the big benefits to the national interest so that it needs to develop an instrument to combine various local interests with national interests. The main instrument in this approach is the control and influence of central government toward the local governments. The control is a harder instrument while the influence is a softer and smoother instrument.

Basically both the control and influence remains an important instrument for the central government to control the local government either in the interests of nationally equal service standard distribution or the effort of reducing welfare disparities inter-local, as well as the creation of national stability. The control is the direct control of central government toward autonomous regions which can take place in two forms, namely: the administration control and the legislative or judicial control. Meanwhile, the influence is an indirect control, but it has the developing effect of autonomous regions adherence toward central government. The influence can take place in three forms, namely: the communication and consultation between local and central, and the provision of specific grant, and the supervision of central government to the local government. This supervision absolutely involves the public services quality, development, and general governance in the local.

The second approach is the community politics approach. It is a bottom-up analytical approach because it sees that the practice and phenomenon of intergovernmental relations emphasis on the struggle for the local communities interests when it face the central government interests. The community politics tends to struggle for the local autonomy which is embodied in local voice and local choice. In this approach, the decentralization is seen as an instrument which is able to accommodate the local government which

actually works for the interests of local communities either in policy making or in policy implementing. The decentralization is seen as a way to reach greater autonomy to the community so this approach is also aware of various forms of penetration and the central government intervention toward local government. The central government intervention is seen as a situation which can threaten or at least reduce the levels of local autonomy.

This community politics approach considers that local choice dan local voice are influenced by the community characteristics which are different from each other so that the inter-local government cooperation has different interests from each other. The alignment on these local characteristics indicates the local autonomy level so that it often gives too much attention on the community characteristics. The characteristics include: natural, social, economic resources of the autonomous region, the cultural differences with other regions, and political structures in such autonomous community. These three characteristics which must be fought to be the aspirations and community choice in the public policy making and the implementation. The output of this approach is the strong local government which reflected from the dominant local values in the implementing the local autonomy, the power degree which concentrated in the local, the levels of community integration, and the formal structure of local government.

The third approach is the inter-organizational politics which puts the position of central and local governments are more equal and fitted as a relationship between organizations which need each other and work together to achieve their respective goals. The key word in this approach is the network because it assumes the organizational relationship between central and autonomous regions such as the type of network in the theory of organizational structure. As the network, the hierarchy metaphor is ignored in this approach and replaces it as an organization which is equivalent to one another. Some views that underlie this approach are as follows. First, the central government does not always have willingness or capability to use its power to dominate the autonomous region. Second, the autonomous region has sufficient resources to withstand the pressure from the central government. Third, the autonomous region has various wills to use resources of politic, financial, law, and administration to take the fight against the central government. Fourth, there is an assumption that the position of the center and local is run by the opposing actors yet they are mutually dependent on each other in achieving their goals. Thus, there is always wide open space for negotiation, bargaining, and the initiation of the cooperation program.

In this inter-organizational politics approach, the term 'interaction' is deemed better to

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describe the central and local relations. The word interaction is considered better than the term of central control over the local or the local resistance toward the center. The term of central and local interactions are considered much egalitarian than the two previous approaches. The interaction and interdependence between the various levels of government are heavily influenced by many political and organizational factors, namely: the consistency of central government policy, the influence of the local government toward the central government projects and priorities, the technological devices, and the physical distance between the government levels.

INTER-LOCAL GOVERNMENTAL

COOPERATION

Furthermore, the development of economy, politic, and technology has led to the relations between local government became more numerous and complicated. Many activities are now having an impact beyond the boundaries either positive or negative (externalities). The location of hospitals, educational institutions, the movement of vehicle ownership, investment of economic activity, and others are now often beyond the boundaries of autonomous regions. The dynamics of community activity causes none of the regions be able to maintain a variety of activities are always conducted within its territory.

Rosenbloom (1989) saw the relationship between the autonomous regions in the three perspectives. From managerial side, the regional activities in some local governments will be very expensive if it is held by each of them. The regional economy scale also requires the regional implementation so that the efficiency and effectiveness of government can be realized. Therefore, to face the needs on the regional scale, it requires the local governments consolidation if such regions have the same large and the same strong, or by doing an annexation of smaller regions to the larger regions, or the strengthening of inter-local governmental cooperation.

From the political perspective, Rosenbloom (1989) expressed the clash view from what considered important in economic perspective. If the smaller local government so the better local political system ability to strengthen the responsiveness and representation. The local government is basically a manifestation of local democracy. Thus, the strengthening of public service and development in the autonomous region level will emphasize the importance of governance based on the community aspirations and choices. From this perspective, the inter-local governmental relation actually is considered less favorable to the community independence in running their local government. To balance the demands of need and public services

which are across the autonomous region, and to balance the interests from economic and political perspectives, Rosenbloom (1989) stated the importance of establishing regional council. The Council has duty to coordinate the policies and administration activities from various local governments in their region so that it can strengthen the coordination among the local governments. Some matters which are considered important to be managed by this regional council are regional planning, security, quality of clean water services, settlement, and economic development.

How the interlocal relations established can be identified not as a single value, but precisely as multi-value. Rosenbloom (1989) asserted that the need for local autonomy and the need for better services precisely will lead inter-local governmental relations to be competitive. Each region competes to get the economic incentives achieved from the superstructure government institutions and also races to avoid the disincentive provided by the institutions. On the other hand, each region also competes to be able to provide better public services than other areas in order to improve community satisfaction toward public services provided.

By combining the Nicholas Henry’s and David Rosenbloom’s theories about how the interlocal relations established, it is obtained three categories, namely the competition (Rosenbloom, 1989), inter-local governmental relation and conflict (Henry, 2004). Each category seems requiring further study for theoretical development because there is still scarce attention to the inter-local governmental relation. The study is important to reveal the background, form, consequences, and impact of each inter-local governmental relation category.

Cooper, et al. (1998) stated that the cooperation between the autonomous regions is always based on cooperative agreements among local governments. The characteristics of such cooperative agreements are: The agreement is generally an agreement between the two governances related to a specific single activity; The agreement seems to provide public services rather than to master certain facilities; such agreement is not permanent and contains an opportunity for renegotiation and termination even cooperation by each party; The agreement contains an applying clause if it meets the certain requirements which have been mentioned before; The agreement is allowed by the higher laws which gives authority to conduct inter-local cooperation in specific areas; The inter-local cooperation can be in the form of regional cooperation with or without a new institution.

The regional cooperation can be run on a difficult subject who is done by a certain autonomous region and should be done in the form of cooperation. Cooper (1998) demonstrated the

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benefits which can be got from the regional cooperation: the consistency of policies or region regulations and its application which can reach the local political boundaries; the efficient resources management; the responsibilities distribution; the combination of multi-parties political power; the combined capabilities in gaining the public support to support the regional programs.

The inter-local cooperation agreement is run through the interlocal service arrangements. Such agreement is an agreement of a certain local government with other local governments to provide public services to their citizens. The main motivation of the local government to conduct inter-local cooperation in public service is a consideration of service economy scale. It is believed that the certain public services are more effective and efficient if it is run by the broader border of jurisdictions and region (Henry, 2004). Furthermore, Henry also illustrates that there are three forms of inter-local cooperation agreements, namely: Intergovernmental service agreements, joint service agreements, Intergovernmental service transfer.

Intergovernmental service agreements are an agreement which ensures that public services can be enjoyed by people not only from the local government itself but also from other local governments, especially which have the adjacent borders. Its consequence is the local government where the people live (native local government) should pay to the other local government (serving local government) as the replacement cost of public services provided. Thus, the native local government has not to make the service institution for the whole population, especially for people who live in the adjacent area to the other autonomous regions. The efficiency can still be achieved and at the same time the public service can still be provided well. For the serving local government, the additional population from other areas which should be served means more customers and increases the economy scale so that there is additional revenue to cover the overhead cost of its load.

Joint service agreements are an ongoing agreement between two or more autonomous local governments to run certain public services. The form of this agreement is a merger of service activities starting from the planning, financing, and provision of services until the control. Thus, the cost and resources of certain public services are obtained from the combined strength of the agreeing local government. Generally the form of this agreement is conducted for the public services which need great money and resources which cannot be fulfilled by just one local government and at the same time the service users are from people who live in various regions. Thus, the efficiency and effectiveness of public services will be received optimally by such various local governments.

Intergovernmental service transfer consists of three forms of authority transfer agreement in the certain public services. The first is the public service transfer agreement fixedly to the other autonomous regions which are adjacent. The second is the public services transfer permanently to other local government in the different level. This second form can be the public services transfer which cannot be implemented solely by the certain district/city toward the provincial government or vice versa. The third is the public services transfer permanently to the institution outside the government, namely the private firm or nonprofit or social organization. This agreement brings the more serious risk than the previous two agreements because it is run by expensing the authority of certain local government. It means diminishing the power of such local government. LEARNING FROM THE THREE LOCAL GOVERNMENT EXPERIENCES Although there are various potentials, one of the problems faced by the East Java Province is the existence of disparities between regions. There are 38 regencies and cities in East Java which each region does not have the same potential. As an illustration, in the western part of East Java, there are Magetan and Ponorogo which have relatively fertile agricultural land although it is unevenly across the region. Ngawi, although in general it has relatively fertile land but there are some areas which are dry land which inhabited by poor people. Pacitan, it has the forest and natural resources potentials but it is an area which is geographically difficult to reach than other regions. Madiun Regency, it has large area, but its natural potential has not been managed optimally yet. Similarly Madiun City, it has the potential of trade and services are much higher than other areas but this area has not been a strong bearing capacity to advance other areas.

As the center of development in the western part of East Java, the position of Madiun City is very strategic and has the potential for collaboration with other areas within such development area. Actually, Madiun City is the center of East Java Development in the western part also that includes Regency of Madiun, Ngawi, Pacitan, Ponorogo, and Magetan. Having area of 33 km2, which consists of 3 sub-districts, 27 villages and the population approximately 203.000 inhabitants, The Gross Regional Domestic Product (PDRB) of Madiun City is supported by the trade and industry sectors as one of the prominent sectors in the area. The growth of agricultural sector is still low (0.04%). The shift of agricultural sector to the manufacturing and services trade are very apparent due to the increasing conversion of agricultural land into non agricultural land as the result of city development.

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Research conducted by the Soeadi, et al (2011) showed astounding results about the inter-local governmental relation because it is difficult to call the inter-local cooperation in a coordinated regional development. The cooperation in the three regions studied (Madiun (city), Madison (district), and Ngawi) shows that there has not occurred yet because the situation of non-cooperation culture. Nevertheless, the development of economy, politic, and technology led to the relationship between the regions became more numerous and complicated. Many activities now have an impact beyond the boundaries both positive and negative (externalities). The service of hospitals and educational institutions, the movement of vehicle ownership, economic activity investment, and others are now often beyond the boundaries of autonomous regions. The dynamics of community activity causes none of the regions be able to maintain a variety of activities are always conducted within its territory. Another phenomenon which occurs is the "ego-regional". It is apparent on the context of inter-local cooperation which is not written formal-legally. The inter-local cooperation is still informal. The communication between the leaders of the local bureaucracy between regions are often made, and only exploring thoughts on the importance of inter-local cooperation in specific areas such as roads, tourism, and education. However, practically there is no official cooperation and even conflict arises because externalities from the certain types of services which are not covered by the beneficiary. Each local government still runs on their own foot and just struggles with their own interests without seeing the needs of other local governments.

Although there is no regional cooperation and ego-regional occurs, in fact there is cooperation potential between the three regions studied. What required by Madiun City is spatial planning which led to the development synergy of western part of East Java. Madiun Regency requires good cooperation in health and education services so that it can help the accessibility of those two services for its citizens. Meanwhile, Ngawi does not really need cooperation with Madiun City and Regency as the region which is most closely adjacent in the same province. The economic activity is precisely to put a few districts in the neighboring province, namely Central Java, as the regions which need to be developed.

The situation which occurs in Ngawi becomes interesting for further action. If the Ngawi’s economy dependence toward regions in the other provinces is bigger than toward regions in the same province, it shows some signs. The first sign is that there is a discatchment area in East Java Province because Ngawi is a remote area from the center of East Java government and economic. The second signs shows that Ngawi is not an economic

unity of the Western Development Region of East Java or Ngawi becomes a marginalized region in the region development because of too focusing on Madiun City and Regency. The third sign indicates that the economic attraction of regions in the border region of Central Java and East Java are much better than the regions in East Java which are closest to Ngawi.

CONCLUSION

The effective and efficient implementations of local autonomy require the availability of sufficient resources both from internal and external local government. In many ways of the implementation of regional affairs will also intersect with the affairs, resources, and other local communities which cannot be avoided because of the mobility of people and goods, information and communication technology development, and the externalities of various things. Therefore, the inter-local cooperation as part of intergovernmental relations is necessary to ensure the availability of adequate public services. However, despite the inter-local cooperation is considered important by many people, apparently all regions do not run the inter-local cooperation with a sufficient level of seriousness. The problem of ego-regional is a big barrier for the inter-local cooperation despite the huge potential and the need for inter-local cooperation.

REFERENCES

Cooper, P.J., et. al. 1998. Public Administration for the Twenty-First Century. Orlando: Harcourt Brace & Company. Henry, N. 2004. Public Administration and Public Affairs. 9th edition. New Jersey: Pearson Education, Inc. Rosenbloom, D.H. 1989. Public Administration: Understanding Management, Politics, and Law in the Public Sector. 2nd edition. New York: McGraw Hill. Smith, B.C. 1985. Decentralization: the Territorial Dimension of the State. London: George Allen & Unwin. Soeaidi, S., dkk. 2011. Pengembangan Kerjasama Antar Daerah: Studi di Kabupaten Madiun, Kota Madiun, dan Kabupaten Ngawi. Balibang Provinsi Jawa Timur bekerja sama dengan RCCP Fakultas Ilmu Administrasi Universitas Brawijaya.

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Managing local government performance through the appropriateness of the strategic planning implementation

Andy Fefta Wijaya, Ph.D University of Brawijaya

Abstract Local government performance is vital to ensure that citizens will be served in an appropriate way. A blue print of a strategic planning of the new elected head of local government is a means to manage and evaluate the progress of performance achivements as her/his promise. This paper argues that a manipulated political intervention into the strategic planning process and its implementation contribute to the failure of local government performance. A limitation of political interference and the demands of a mind-set change and an inovative leadership are considered as a pra condition to have a better performance of the local government. This paper suggest that the local government performance need to be monitored and evaluated periodically to ensure the strategic planning process and its implementation that are not manipulated and in the line of the vision and mission for the people. Keywords: Public management, strategic planning, strategic management and performance management

Introduction Decentralizing authorithy from central to local government is not automatically improving the local governance performance. After being elected through a political election process, a local leader should approve the realization of his/her campaign’s promises to the public. Generally, political leader candidates in the election process promised to improve better services, welfares and developments for the public especially the marginal people such as the poor.

In fact, it is not always aproveable when they are being elected. There is sometimes no strong correlation between a plan as promised and its implementation. Elected leaders and his/her financial supporters spent a lot of money during the campaign process to win the election. They want to get refund after his/her candidates wining the election. So this way, their interests dominantly influence allocation and distribution of their local government budget in the planning process.

A strong political intervention from them into the budgetary planing process and its implementation to secure their interests in order to get not only a refund money but also a profit return from their financial supports. So this way, government’s programs and projects are sometimes under quality performances, because they corrupt the total amount of budgets supposed to be used in

the those programs/projects. In the Indonesian cases of local government, the planning process is a combination between integrative and exclusionary approaches (see Hendrick, 2003, p. 493). At the beginning of the planning process is integrative. It involves stakeholders to bargain and aggree in each step of planning stages started at lower level in villages (called ‘Musrenbangdes’), then moved to higher level in sub-districts (‘Musrenbangcam’) and finally in district (‘Musrenbangkab/kot’). However in the final stage at the district level, the planning process implements exclusionary approach in which only fewer people involve in the final decesion making process. Those exclusive people include the wining leaders, his/her political allies and budgetary team to decide programs and projects that are approved in the financial year. Proposed programs and projects from the villages and sub districts are rarely agreed at the final stage of the distric level unless they are in the interests of the governing party and leader. Political actors are among other actors who are identified to conduct corupt practices. As mentioned by the Transparancy International (2007, p 2) on the Transparency International Global Corruption Barometer 2007 interviewed 63,199 people in 60 countries and territories between June and September 2007. Key findings in the Global Corruption Barometer 2007 mentioned that ‘the general public believe political parties, parliament, the police and the judicial/legal system are the most corrupt institutions in their societies’ and ‘the poor, whether in developing or highly industrialised countries, are the most penalised by corruption’. The poor is the most vulanarable people because of the corruption practices. Political actors are accused as the party who is generally involved in the corrupt practices. As well as the police and the judicial/legal system as the party should stop the corruption rather than involve the corruption process. This paper wants to argue several aspects contributing to a better management performance of local government through an apropriateness of strategic planning implementation that can prevent the corrupt practices and help leaders to accomplish their visison and misssion. Bryson (2004, p xii) mentioned that ‘Strategic planning is a set of concepts, procedures, and tools designed to assist leaders and managers with these tasks. Indeed, strategic planning may be defined as a disciplined effort to produce fundamental decisions and actions that shape and guide what an organization (or other entity) is, what it does, and why it does it’. So, strategic planning can be considered as a tool to link

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their strategy and performance in order to accomplish their vission and mission. Previous studies mentioned the correlation between strategic planning process and performance such as Kaplan and Norton (1993, 1996a, 1996b) and Hendrick (2003). 1. Limitation of a Strong Political Interference

into the Administration

To diferentiate between political and administrative actors, it can be seen from the process they come into the postion. The political actors are appointed in the election process including members of legislative body and local government leaders including Mayors, Governors, while the administrative actors are appointed in the personnel-carrer management system. They can be called as bureaucrats. A strong political interference of the local government leaders in the promotion of the higher ranks of bureaucrat positions is caused by the fact that the personnel management system is not desgined and implementated on a merit system based on competencies. So, the political leader wining the election will appoint bureaucrats who support them during the campaign process and replace to those who clearly support the opposant leader. The civil servant carrer and promotion are not based on the merit system, but it is based on the like in this like of the election winner of the local government. A consequence of the situation above can be seen in the strategic planning process including the budgetary system. The appointed bureucrats serve on what the local government leaders want and ask to do. It includes the wants of their allies particularly financial sponsors who backed up the leader during the campaign. The local government policies, programs and projects will be designed and executed for the sake of their benefits. It might not be done without corruption. In the case of Indonesia, 18 Governors of the total 33 Governors in Indonesia have been being accussed to be involved in corruption. Several of them including their bureaucrats have been sent into jails. At the end, the poor is the weakeast victim. Programs and projects are designed to eliminate poverty but they are corrupted. So, the poor can not get on what is supposed to be received. But they need the programs and projects in whatever conditions they will take it, even sometimes they are manipulated and being involved in mal practices designed by bureaucrats.

2. A Mind-Set Change toward Strategic

Planning and Management

A bureaucratic machine is like a machine which is sometimes not compatible anymore with the new environment which is always changed in the high dinamics, variety and uncertainty. So, the buraucracy also need to be changed and inovated in response to changed demands and needs. However, it is not an easy to change and innovate a bureaucracy. Because, they are humans who need to renew the way they look and to up grade their capacity. It is not simply like just a machine which can be replaced at any time. They have souls, feelings and ways of thinkings who culturize their behaves and acts such as a long time.

In the autoritarian political system, a political leader vision and mission can be predicted and accomodated more easily in what they decide and how they implement, because they already have a similar norms, values and code of conduct from the same govering party which is in the government position for a long time. But, in the democratic political system, a governing party is always changed and the coalition among them across local governments are also in variation. So, they experience with the different leadership styles and approaches. Unfortunately, bureaucrats may not follow as the leader wants they conduct and behave. Vision and mission of the leaders may be changed, but the ways of their bureaucrats doing business are not changed. So, there is a gap between the leader expectation and the buraucracy machine practices. A mind set change of the buraucrats should be the main priority of chaning agenda, if the local government want to reform and inovate themselves. Local government performance is determined by the local government employees perform their jobs and tasks in implementing the vision and mision as mentioned in the strategic plan.

Transformational and Collective Leadership Leader is an actor who can contribute to the change and inovation of the current system. A leader who initiate a reform usually has a strong and innovative vision and mission. The strong leader can influence other stakeholders to agree on his/her innovative ideas designed to transform the current system into the new (future) system which is considered more relevant and appropriate with the changed environment.

In a democratic political system, the implementation of executive leader’s vision and mission will be more effective if the leader get supports from the legislative body. It is not a big problem if the leader’ party is dominant in the legislative body. But if the leader’s party is formed on the coalition among parties. It is more difficutl to

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control the situation. The coalition is fragile. Every member of the coalition has their own interest. If they get benefits from the decision they will support. Conversely if they get disadvantages they oppose the decision, even though they are the coalition member. To tie the coalition member, they including their partner individually or collectively are given a control to manipulate programs and projets of the local government for their own ineterest. So this way, the local government strategic planning and management process are highly politized and designed to give benefits to the supporting allies.

Improving the local goverment performance can be attained when the transformational and collective leadership support the innovative ideas for better condition as the top priorities. They sometimes have to sacrifice their own interests for the goodness of public sector and all people. A good and rigth leader should be resulted from a fair democratic election that is a pra condition to get a good leadership and governance. 3. Strategic Planning and Performance

Management

The vision and mission of the local government are the leader promises in the election process. It should be srategically designed and managed to ensure its implementation resulting positive outcomes and impacts to the public. So this way, the strategic planning and its implementation have to be monitored and evaluated periodically. Performance management system provides a tool to accomplish this assignment. Kenny (205, p xiii) mentioned that Strategic Planning and Performance Management is intended for all employees, managers or not, in organizations of all types and sizes – manufacturing or service, large or small. It is intended for people in non-profit as well as profit organizations. It is aimed at people managing an organization as awhole or a business unit such as a product division or a support department like human resources. It is directed at people in both the public and private sectors who wish to develop and measure strategy that focuses energy in the right direction and leads to success.

So, a performance measurement is a strategic tool to monitor and lead the direction of the local government on the right track of its vision and mission.

However, a performance measurement is not a 'hands off' instrument, and only provides information about performance (Carter, 1989, p. 209). They only function as a tin opener; it is then the task of analysts to put meaning on what is inside. The information provided by a performance indicator cannot be used without further explanation. People are still needed to analyze and use performance indicators for organizational improvement, because performance indicators by

themselves do not directly improve organizational performance. As Reid (2000, p. 1) mentions, the function of performance indicators is to link between strategic issues, which are the main concern of policy makers, and operational matters, the main concern of those who implement them. In this case, performance indicators can be considered as organizational tools to make sure those decision-makings and goals being well translated and implemented at operational levels.

The same situation in reporting performance indicators in private businesses also apply to the public sector where “performance information can inform or perhaps guide decision making and accountability, but it can not direct and should not replace decision making and accountability” (Mayne & Goni, 1997, p. 17). Decision-makers and society should critically analyze performance information, and creatively use it for accountability. However, the performance information system is also crucial for supporting situation that can supply good information for citizens. This model of performance measurement system is an alternative for bridging the gap and its model implementation needs supports administratively and legally. The quality of indicators made available is also essential as Jackson (cited by Ball, 1998, pp. 56-57) states criteria for performance indicators: consistency, comparability, clarity, controllability, contingency, comprehensive, bounded, relevant and feasible.

There are some valid reasons for an organization to be not totally accountable for its performance, since it has incomplete control over some performances which are measured and show up in particular performance indicators. However, several aspects should be managed and not accepted as valid reasons for an organization not performing well. As Carter (1989, p. 209) says, an organization may not perform well because of some factors: unclear performance ownership; ambiguous goals; unsupported management styles; insufficient information system; uncontrolled inter-governmental relationship; and unbalanced relationships between professionals and administrators. These should not be acceptable reasons.

Furthermore, in performance reporting a large number of performance indicators may be reported but the performance information they provide may not cover indicators needed for evaluating social and environmental goals. The dilemma is that collecting and reporting each item of performance information normally has a cost but not all stakeholders are interested in all of the same information, with perhaps even some preferring they or others not know about particular information. In the case of water supply service provision, many performance indicators have been developed by water institutions which use them to serve their own

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measurement intentions, not necessarily representing wider society interests in evaluating social and environmental justice.

Reference Ball, R., (1998), Performance Review in Local Government, Ashgate, Aldershot. Brysson, John M., 2004, Strategic Planning for Public and Non Profit Organizations, Jossey Bass, San Fransisco. Carter, N. (1989), Performance indicators: 'Backseats Driving' or 'Hand off' Control? In D. McKevitt & A. Lawton (Eds.), Public Sector Management: Theory, Critique and Practice (1994 ed.), Sage Publications, London. Hendrick, Rebecca, 2003, Strategic Planning Environment, Process and Performance in Public Agencies in Milwaukee, in Journal of Public Administration Research and theory, Vol 13 No 4 : p. 491-519. Kaplan, R. S., & Norton, D. P. (1993). Putting the Balanced Scorecard to Work, In Harvard Business Review on Measuring Corporate Performance (1998 ed., pp. 147-182), Boston: A Harvard Business Review Paperback. Kaplan, R. S., & Norton, D. P., (1996a), The Balanced Scorecard, Harvard Business School Press, Boston. Kaplan, R. S., & Norton, D. P. (1996b), Using the Balanced Scorecard as a Strategic Management System, In Harvard Business Review on Measuring Corporate Performance (1998 ed., pp. 183-212), A Harvard Business Review Paperback, Boston. Kenny, Graham, 2005, Strategic Planning and Performance Management, Elsevier, Oxford. Mayne, J., & Goni, E. Z. (1997). Effective Performance Monitoring: a Necessary Condition for Public Sector Reform. In Monitoring Performance in the Public Sector. New Brunswick: Transaction Publishers. Mayne, J., & Goni, E. Z. (1997), Effective Performance Monitoring: a Necessary Condition for Public Sector Reform. In Monitoring Performance in the Public Sector, Transaction Publishers, New Brunswick. Reid, G. (2000). Service Standards and Performance Measurement. Retrieved 6 August, 2001, from http://www1.w Kaplan, R. S., & Norton, D. P. (1992). The Balanced Scorecard: Measures that

Drive Performance. In Harvard Business Review on Measuring Corporate Performance (1998 ed., pp. 123-146), A Harvard Business Review Paperback, Boston. Transparancy International, 2007, Report on the Transparency International Global Corruption Barometer 2007, Transparancy International, Berlin.

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Administrative Court in Thailand

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มิติใหม�ของการพัฒนากระบวนการยุติธรรมทางปกครองไทยโดยประชาชน (New Aspect of Thai Administrative Justice Development:

A Citizen-driven Process)

ดิเรกฤทธ์ิ เจนครองธรรม (Derekrid Janekrongtham) เลขาธิการสํานักงานศาลปกครอง (Secretary General of the Office of the Administrative Courts)

Abstract

The development of Thai administrative justice became manifest when the institution for exercising administrative jurisdiction was established on 9 March, 2001. The inauguration of the “Administrative Court” transformed the Thai court system from a single court system to a dual court system as at present. The Administrative Court is considered the main pillar of the country with its judicial power to adjudicate administrative disputes and to render justice. Yet with a view to maintaining equilibrium between the people’s rights and liberties and the public interest. This to be carried out within the framework of a Democratic form of Government with the King as Head of State and who exercises his prerogative power as stated in the Constitution and within the concept of a Legal State.

For over 12 years, the Administrative Court has been consistently taking action within the public expectations of its performance. In this respect it is clear that the court must deliver its effective and impartial services without unnecessary delay in resolving judicial matters in order to protect the rights and liberties of the public. Consequently, the court has to develop its function and role by considering the context of rapid social change.

The qualitative research “New Aspect of Thai Administrative Justice Development: A Citizen-driven Process” focuses on verifying all academic papers and various situations effecting the administration of the Court from 2001 to the present time (2012). The research covers the attitude of the public towards administrative judgment development, case procedures and court management systems as a whole to create guidance for the development of the Thai justice system whilst ensuring public trust and confidence, especially from those whom it serves. The researcher also studied the background of the Administrative Court establishment based on the concepts of administrative justice management extracted from the "Constitution of Thailand B.E. 2550 (2007)", to create the framework of

administrative justice management: (4 main principles : impartiality, equality, rapidity and rationalization, and 4 supporting : convenience, accuracy, accessible to justice and timeliness) , and the concept of good governance for State

administration focusing on transparency and accountability, this as the key to proposing the concept of a new aspect of Thai administrative justice development driven by people.

This concept of justice development, as proposed in the research, becomes the principle of a well-balanced development in 3 areas. The first one is “public accessibility” emphasizing the concept that the Administrative Court belongs to the people. “The enhancement of administration performance” is the second one, using strategic management performance and improve the operational process, seeking the best practice with emphasis on the outcome of the work; creating an Administrative Court culture of accomplishment and good work. The last one is “leadership” with emphasis on the role of leaders who are courageous and dedicated to their work. This will lead to a new aspect of Thai Administrative Justice development which fulfills completely the demands of the people and public.

บทคัดย�อ

พัฒนาการของกระบวนการยุติธรรมทางปกครองไทยมีผลเป&นรูปธรรมเม่ือเกิดสถาบันผู+ใช+อํานาจตุลาการในการพิจารณาพิพากษาคดีปกครองเกิดข้ึนเม่ือวันท่ี 9 มีนาคม พ .ศ . 2544 ซ่ึงเป&นวันเป8ดทําการ “ศาลปกครอง” มีผลทําให+ระบบศาลของประเทศไทยปรับเปลี่ยนจาก “ระบบศาลเด่ียว” เป&น “ระบบศาลคู<” อย<างท่ีเป&นอยู<ในป=จจุบัน โดยศาลปกครองถือเป&นสถาบันหลักของประเทศท่ีใช+อํานาจตุลาการในการอํานวยความยุติธรรมทางปกครองให+เกิดข้ึนแก<สั งคมไทย และมุ< ง คุ+ มครองสิทธิ เสรีภาพของประชาชนและประโยชนAสาธารณะอย<างสมดุล บนพ้ืนฐานการปกครองในระบอบประชาธิปไตยท่ีมีพระมหากษัตริยAทรงเป&นประมุข ผู+ทรงบริหารพระ

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ราชอํานาจตามขอบเขตท่ีกําหนดไว+ในรัฐธรรมนูญ และการบริหารงานรัฐท่ีเป&นไปตามหลักนิติรัฐ

ระยะเวลากว<า 12 ปEท่ีผ<านมา การทําหน+าท่ีของศาลปกครองยังคงต+องดําเนินการอยู<ท<ามกลางความคาดหวังจากสังคมและสาธารณะมาโดยตลอด โดยเฉพาะอย<างยิ่งการปฏิบัติหน+าท่ีในภารกิจการพิจารณาพิพากษาคดีท่ีต+องเป&นไปด+วยความรวดเร็ว ถูกต+อง มีคุณภาพ มีเหตุผลเป&นท่ียอมรับจากสังคม ส<งผลให+แนวคิดการพัฒนางานของศาลปกครองต+องพิจารณารูปแบบและวิธีการพัฒนาให+สอดรับกับบริบทของสังคมท่ีเปลี่ยนแปลงไปอย<างรวดเร็วด+วย

การศึกษาวิจัยเรื่อง มิติใหม<ของการพัฒนากระบวนการยุ ติ ธรรมทางปกครองไทยโดยประชาชน (New Aspect of Thai Administrative Justice Development: A Citizen-driven Process) เป&นการศึกษาวิจัยเชิงคุณภาพท่ีเน+นการสอบทานเอกสารวิชาการและวิ เคราะหAสถานการณAแวดล+อมท่ีส<งผลต<อการดําเนินงานของศาลปกครองในช<วงระยะเวลาท่ีผ<านมา (พ.ศ. 2544- 2555) โดยครอบคลุมประเด็นความคาดหวั งของประชาชนต< อการ พัฒนากระบวนการยุติธรรมทางปกครอง สถานการณAด+านคดี และระบบการบริหารงานศาลปกครองในภาพรวม เพ่ือจัดทําเป&นข+อเสนอแนะ แนวทางการพัฒนารูปแบบการบริหารกระบวนการยุติธรรมทางปกครองไทยท่ีเน+นการพัฒนาบนพ้ืนฐานการสร+างความเชื่อม่ันศรัทธาจากประชาชน และผู+รับบริการเป&นสําคัญ ซ่ึงผู+ศึกษาวิจัยได+พิจารณาพัฒนาการความเป&นมาของการจัดต้ังศาลปกครองร<วมด+วย และใช+แนวคิดการบริหารกระบวนการยุติธรรมทางปกครองซ่ึงผู+ศึกษาได+สกัดจากหลักการสําคัญของกฎหมายรัฐธรรมนูญ

แห<งราชอาณาจักรไทย พุทธศักราช 2550 เป&นหลักการบริหารกระบวนการยุติธรรม 4 หลัก 4 เสริม ผสมผสานกับแนวคิดธรรมาภิบาลในการบริหารรัฐยุคใหม<ท่ีเน+นการปฏิบัติราชการด+วยความโปร<งใส ตรวจสอบได+จากภายนอกมาใช+เป&นหัวใจสําคัญในการเสนอแนวคิดการพัฒนากระบวนการยุติธรรมทางปกครองไทยท่ีเน+นให+ประชาชนเข+ามามีส<วนร<วมในการพัฒนาอย<างแท+จริง ทําให+แนวทางการพัฒนาซ่ึงเป&นข+อเสนอแนะสําหรับผลการศึกษาวิจัยชิ้นนี้จึงเป&นหลักการพัฒนาอย<างสมดุลใน 3 มิติ 5 องคAประกอบสําคัญ นั่นคือ “มิติเป!ดสู�สาธารณะ” โดยคงหลักคิดสําคัญท่ีเน+นให+ศาลปกครองเป&นของประชาชน “มิติการเพ่ิมสมรรถนะการบริหาร” โดยใช+การบริหารงานเชิงยุทธศาสตรAขับเคลื่อนการทํางาน พัฒนากระบวนงานท่ีมุ<งสู<การปฏิบัติงานท่ีเป&นเยี่ยมโดยเน+นการทํางานท่ีผลลัพธA พร+อมท้ังขับเคลื่อนวัฒนธรรมศาลปกครองเพ่ือผลสําเร็จของงาน และท+ายสุดของการพัฒนากระบวนการยุ ติ ธรรมทางปกครองไทยโดยประชาชน นั่นคือ “มิติผู)นํา” ซ่ึงเน+นบทบาทผู+นําท่ีต+องทุ<มเท กล+าหาญ และเสียสละ จึงจะมีผลทําให+การพัฒนากระบวนการยุติธรรมทางปกครองของไทยจะสามารถก+าวไปสู<มิติใหม<ท่ีตอบสนองความต+องการของประชาชนและภาคสาธารณะได+อย<างสมบูรณA 1. ความเป-นมาของกระบวนการยุติธรรมทาง

ปกครองไทย นับต้ังแต<ปE พ.ศ. 2475 เป&นต+นมา ประเทศไทยได+เปลี่ยนแปลงระบอบการปกครองจากระบอบสมบูรณาญาสิทธิราชยA (Absolute Monarchy) เป&นการปกครองในระบอบประชาธิปไตยอันมีพระมหากษัตริยAทรงเป&นประมุข (Democratic

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form of Government with the King as Head of State) โดยใช+รูปแบบการบริหารประเทศผ<านระบบรัฐสภาหรือท่ีเรียกว<า ประชาธิปไตยแบบมีผู+ แ ท น ( Representative Democracy) มีพระมหากษัตริยAทรงเป&นประมุข ผู+ทรงบริหารพระราชอํานาจตามขอบเขตท่ีกําหนดไว+ในรัฐธรรมนูญ และประชาชนจะใช+อํานาจบริหารประเทศผ<านค ณ ะ รั ฐ ม น ต รี ท่ี ไ ด+ รั บ ก า ร คั ด เ ลื อ ก จ า กสมาชิกสภาผู+แทนราษฎรซ่ึงผ<านการเลือกต้ังอันเป&นวิถีทางในระบอบประชาธิปไตย พร+อมท้ังส<งเสริมและให+ความสําคัญกับการคุ+มครองสิทธิ เสรีภาพของประชาชน โดยประชาชนมีบทบาทและมีส<วนร<วมสําคัญในการปกครอง การบริหารประเทศ และ การตรวจสอบการใช+อํานาจรัฐอย<างเป&นรูปธรรม โดยกําหนดองคAกรผู+ ใช+ อํานาจผ<านสถาบันทางการเมืองท้ังฝsายนิติบัญญัติ และฝsายบริหาร ให+สามารถปฏิ บั ติหน+ า ท่ีอย< า ง มี ดุลยภาพและมีประสิทธิภาพตามวิถีทางการปกครองท่ีใช+อํานาจการบริหารผ<านระบบรัฐสภา ในขณะท่ีเม่ือเกิดประเด็นโต+แย+งอันเป&นข+อพิพาทท่ีต+องนําเข+าสู<กระบวนการวินิจฉัยตัดสินคดีความต<างๆ หรือตัดสินลงโทษผู+กระทําความผิด ฝsายตุลาการจะเป&นผู+ใช+อํานาจทางสถาบันตุลาการผ<านกระบวนการศาล ซ่ึงอํานาจดังกล<าวต+องต้ังอยู<บนพ้ืนฐานความเป&นอิสระและไม<ถูกครอบงําโดยฝsายการเมืองเพ่ือรักษาสิทธิเสรีภาพของประชาชน และผดุงความเป&นธรรมแก<ทุกฝsายให+ปฏิบัติตามกฎหมายอันเป&นหลักการพ้ืนฐานของการอยู<ร<วมกันในสังคมท่ีเป&นปกติสุข จึงกล<าวได+ว<า ประเทศไทยได+จัดโครงสร+างองคAกรของรัฐอันเป&นตัวแทนการใช+อํานาจอธิปไตยผ<าน 3 สถาบันหลัก นั้นคือ อํานาจนิติบัญญัติ อํานาจการบริหาร และอํานาจตุลาการ ซ่ึงสอดรับกับแนวคิดการแบ<งแยกการใช+อํานาจ (Separation

of Powers) โดยมีเปuาหมายสําคัญเพ่ือให+อํานาจแต<ละฝsายถ<วงดุลและตรวจสอบซ่ึงกันและกัน รวมท้ังปuองกันมิให+เกิดการใช+อํานาจโดยมิชอบขององคAกรภาครัฐท่ีอาจใช+อํานาจหนึ่งอํานาจใดละเมิดหรือลิดรอนสิทธิและเสรีภาพของประชาชนได+ จึงเป&นท่ีประจักษAชัดว<า หลักการแบ<งแยกอํานาจด+วยการจัดโครงสร+างผู+ ใช+ อํานาจตามรูปแบบดังกล<าวเป&นหลักประกัน พ้ืนฐานในการคุ+มครองสิทธิและเสรีภาพแก<ประชาชน

หลักการสําคัญอีกประการหนึ่งของการปกครองประเทศ คือ “หลักแห<งนิติรัฐ” (Legal State)55 ซ่ึงเน+นย้ําฐานรากของการจัดโครงสร+างอํานาจอธิปไตยในรูปแบบการแบ<งแยกอํานาจท่ีสมดุลระหว<างองคAกรผู+ใช+อํานาจเพ่ือคุ+มครองสิทธิและเสรีภาพแก<ประชาชนในรัฐประเทศนั้นๆ รวมท้ังเน+นย้ําการตรวจสอบการใช+อํานาจของฝsายบริหารหรือฝsายปกครองโดยฝsายตุลาการ เพ่ือหลีกเลี่ยงประเด็นป=ญหาความเชื่อมโยงและความใกล+ชิดในฐานแห<งอํานาจระหว<างฝsายบริหารกับฝsายนิติบัญญัติท่ีมีฐานท่ีมาจากแหล<งเดียวกัน (การเลือกต้ัง) และมีความใกล+ชิดในทางการบริหารการปกครอง (ฝsายนิติบัญญัติท่ีได+รับเสียงข+างมากจะเข+ามาทําหน+าท่ีในฝsายบริหารได+) ด+วยผลเหล<านี้ ทําให+ผู+ใช+อํานาจในรัฐประเทศท่ีปกครองโดยนิติรัฐซ่ึงก็คือ “เจ+าหน+าท่ีรัฐ” หรือ “รัฐ” จะกระทําการใดๆ

55 นิติรัฐ (Legal State หรือ Elat de droit หรือ Rechtsstaat)

คําน้ีเกิดขึ้นในช<วงปลายศตวรรษท่ี 19 มีท่ีมาจากประเทศสหพันธAสาธารณรัฐเยอรมนี และใช+กันอย<างแพร<หลายในประเทศแถบยุโรป โดยนัยสําคัญของ “นิติรัฐ” ถือว<ากฎหมายเป&นกรอบแห<ง การใช+อํานาจของรัฐ หรือกล<าวอีกนัยหน่ึงคือ เป&นการจํากัดการใช+อํานาจของรัฐโดยกฎหมายน่ันเอง อักขาทร จุฬารัตน. การใช)และการตคีวามกฎหมาย, (กรุงเทพฯ : บริษัท บพธิการพิมพA จํากัด, 2553), หน+า 93.

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ท่ีมีผลกระทบต<อประชาชนจะต+องมีฐานท่ีมาของอํานาจหรือมีกฎหมายให+อํานาจไว+แก<การกระทํานั้น ซ่ึงหมายความว<า “ทุกอย<างจะต+องอยู<ภายใต+กฎหมาย ทุกอย<างต+องทําตามกฎหมาย ทุกอย<างต+องปฏิ บั ติตามกฎหมาย”56 ยังผลให+ เ กิดการควบคุมการใช+อํานาจโดยมิชอบของฝsายปกครองและฝsายบริหาร (Supremacy of Law) อันเป&นคุณลักษณะสําคัญของรัฐประเทศท่ีเป&นนิ ติรัฐ นั่นเอง

จากคุณลักษณะดังกล<าวทําให+เกิดองคAกรท่ีมีภารกิจสําคัญในการควบคุมการใช+อํานาจของรัฐหรือฝsายปกครองข้ึน นั่นคือ “ศาลปกครอง” ซ่ึงเป&นองคAกรตุลาการในรูปแบบ “ศาลคู<” ทําหน+าท่ีพิจารณาพิพากษาอรรถคดีทางปกครองอันเป&นการตรวจสอบการใช+อํานาจไม<ว<าจะในทางบริหารและ ทางปกครองว<าขัดต<อกฎหมายหรือไม< ภารกิจดั ง ก ล< า ว จึ ง เ ป& น จุ ด เ ริ่ ม ต+ น ข อ ง ก า ร พั ฒ น ากระบวนการยุติธรรมทางปกครองของประเทศไทยภายใต+ระบบการบริหารของรัฐสมัยใหม<

หากพิจารณาภูมิหลังซ่ึงเป&นรากฐานการเกิดข้ึนของศาลปกครองไทยนั้น จะพบว<า ศาลปกครอ ง ไทย ได+ เ กิ ด ข้ึ น ตามบท บัญ ญั ติ ขอ งรัฐธรรมนูญแห<งราชอาณาจักรไทย พุทธศักราช 2540 อันเป&นผลมาจากการวางรากฐานในรัชสมัยของพระบาทสมเด็จพระจุลจอมเกล+าเจ+าอยู<หัวท่ีทรงจัดต้ัง “เคาน3ซิลออฟสเตด คือ ท่ีปรึกษาราชการแผ�นดิน” ซ่ึงมีรูปแบบมาจากสภาแห<งรัฐ Conseil d´Etat ของประเทศในแถบยุโรป อันเป&นองคAกรวินิจฉัยชี้ขาดข+อพิพาททางปกครอง และต<อมาได+สําเร็จเป&นรูปธรรมเกิดเป&นศาลปกครองข้ึนในรัชสมัยของพระบาทสมเด็จพระเจ+าอยู<หัว รัชกาล

56 เรื่องเดียวกัน, หน+า 95-96.

ป=จจุบัน โดยเป8ดทําการครั้งแรกเม่ือวันท่ี 9 มีนาคม 2544 ประเทศไทยจึงได�เปลี่ยนจาก “ระบบศาลเด่ียว” คือ มีศาลยุติธรรมทําหน�าท่ีในการพิจารณาพิพากษาอรรถคดีท้ังปวงซ่ึงรวมถึงคดีปกครองด�วย ให�มาเป+น “ระบบศาลคู-” คือ มีศาลปกครองแยกเป+นเอกเทศเพ่ือทําหน�าท่ีพิจารณาพิพากษาอรรถคดีทางปกครอง ซ่ึงเป&นข+อพิพาทอันเกิดจากการใช+อํานาจทางปกครองหรือการดําเนินกิจการทางปกครองโดยไม<ชอบด+วยกฎหมายของฝsายรัฐ หรือกรณีท่ีฝsายรัฐละเลยล<าช+าในการปฏิบัติหน+าท่ีตามท่ีกฎหมายกําหนด หรือกรณีอ่ืนท่ีกฎหมายกําหนดให+อยู<ในอํานาจของศาลปกครอง คดีปกครองจึงมีคู<กรณีอย<างน+อยฝsายหนึ่ งเป&นผู+ ใช+ อํานาจทางปกครองเสมอ ไม<ว<าจะเป&นข+อพิพาทระหว<างหน<วยงานทางปกครองหรือเจ+าหน+าท่ีของรัฐด+วยกันเอง หรือข+อพิพาทระหว<างหน<วยงานทางปกครองหรือเจ+าหน+าท่ีของรัฐกับประชาชนหรือเอกชน ฉะนั้น โดยธรรมชาติของคดีปกครอง คู�กรณีจึงอยู�ในสถานะท่ีไม�เท�าเทียมกัน กล<าวคือ ประชาชนหรือผู+ท่ีเป&นคู<กรณีกับฝsายปกครองย<อมเป&นฝsายท่ีเสียเปรียบในการต<อสู+คดี เนื่องจากเอกสารหลักฐานส<วนใหญ<ท่ีเก่ียวกับคดีจะอยู<ในความครอบครองของหน<วยงานทางปกครองเกือบท้ังหมด ประกอบกับประชาชนส<วนมากยังมีความรู+ในทางกฎหมายค<อนข+างน+อย การสู+คดีเพ่ือเรียกร+องความเป&นธรรมให+แก<ตนเองจึงเป&นเรื่องค<อนข+างยากลําบาก ท้ังนี้ ก<อนท่ีจะมีการจัดต้ังศาลปกครองข้ึน คดีปกครองจะอยู<ในอํานาจพิจารณาของศาลยุติธรรมซ่ึงใช+วิธีพิจารณาคดีด+วยระบบกล<าวหา โดยการวินิจฉัยชี้ขาดของผู+พิพากษาจะข้ึนอยู< กับข+อเท็จจริงและพยานหลักฐานท่ีคู<ความนําเสนอต<อศาลเท<านั้น ศาลจะไม<แสวงหาข+อเท็จจริงหรือพยานหลักฐานใดๆ เพ่ิมเติม นอกเหนือจากการกล<าวอ+างของคู<ความ ซ่ึง

184


เป&นไปตามกระบวนวิธี พิจารณาคดีของระบบกล<าวหา เพราะไม<เช<นนั้นอาจทําให+เกิดความไม<เป&นธรรมแก<คู<ความอีกฝsายหนึ่งได+ วิธีพิจารณาด+วยระบบดังกล<าวจึงเหมาะสําหรับการต<อสู+คดีท่ีคู<ความอยู<ในสถานะท่ีเท<าเทียมกันเช<นในคดีแพ<งท่ัวไปซ่ึงแตกต<างจากคดีปกครองท่ีสถานะของคู<ความทางกฎหมายแตกต<างกัน และเม่ือได+จัดต้ังศาลปกครองข้ึน ทําหน+ า ท่ี พิจารณาพิพากษาคดีปกครองโดยเฉพาะ และใช)วิธีพิจารณาคดีด)วยระบบไต�สวน เพ่ือแก+ไขป=ญหาดังกล<าว โดยศาลมีบทบาทสําคัญในการดําเนินกระบวนพิจารณาคดี ท้ังการแสวงหาข+อเท็จจริงและพยานหลักฐานต<างๆ ซ่ึงจะไม< ได+ ถู กจํ า กั ดอยู< แ ต< เ ฉพาะข+ อ เ ท็จจ ริ งหรื อพยานหลักฐานท่ีคู<กรณียื่นเสนอต<อศาลเท<านั้น หากศาลเห็นว<าข+อเท็จจริงหรือพยานหลักฐานท่ีมีอยู<ยังไม<เพียงพอต<อการวินิจฉัยคดี ศาลอาจเรียกคู<กรณีมาไต<สวน หรือเรียกเอกสารหลักฐานจากฝsายปกครอง หรื อออก เ ดิน เ ผชิญสืบ เ พ่ื อ ให+ ไ ด+ข+อเท็จจริงท่ีเป&นจริงและจําเป&นต<อการพิจารณาคดีอย<างครบถ+วนด+วยตนเอง การทําหน+า ท่ีเช<นนี้จําเป&นต+องใช)ตุลาการผู) ชํานาญการท่ีเป-นผู) มีประสบการณ3และมีความเช่ียวชาญในการบริหารราชการแผ�นดินและมีความรู)ในเชิงสหวิทยาการ จึงจะสามารถพิจารณาได+ว<าเอกสารหลักฐานใดท่ีมีความสําคัญและจําเป&นต<อการวินิจฉัยคดี อันจะทําให+การตัดสินคดีเกิดความเป&นธรรมมากยิ่ง ข้ึน นอกจากนี้ กระบวนวิธี พิจารณาคดีของศาลปกครองยังมีระบบถ�วงดุลการใช)อํานาจระหว�างตุลาการ ท่ีเรียกว<า “ตุลาการผู+แถลงคดี” ซ่ึงมิใช<ตุลาการท่ีอยู<ในองคAคณะพิจารณาพิพากษาคดีนั้นๆ ทําหน+าท่ีจัดทําคําแถลงการณAในคดีท่ีตนได+รับมอบหมาย โดยทําการสรุปข+อเท็จจริง ข+อกฎหมาย รวมท้ังความเห็นในการวินิจฉัยคดีเสนอต<อองคAคณะ

ว<า หากตนมีหน+าท่ีตัดสินคดีดังกล<าว ตนจะมีคําพิพากษาอย<างไร ซ่ึงคําแถลงการณAของตุลาการผู+แถลงคดีนี้เป&นความเห็นและการให+เหตุผลท่ีไม<มีผลต<อคดี แต<การเสนอคําแถลงการณAดังกล<าวจะทําให+องคAคณะท่ีมีอํานาจพิจารณาตัดสินคดี วินิจฉัยคดีอย<างรอบคอบและถูกต+องมากยิ่งข้ึน เพราะหากองคAคณะไม<เห็นด+วยกับคําแถลงการณAของตุลาการผู+แถลงคดี องคAคณะจะต+องแสดงให+เห็นถึงเหตุผลท่ีหนักแน<นและน<าเชื่อถือยิ่งกว<า ซ่ึงจะทําให+ได+คําพิพากษาท่ีมีคุณภาพและสามารถอํานวยความเป&นธรรมให+แก<คู<กรณีอย<างเป&นธรรม ด+วยเหตุนี้หน+าท่ีของศาลปกครองจึงเป&นหน+าท่ีท่ีพิเศษและมีลักษณะเฉพาะ ซ่ึงมิได+หมายถึงเพียงเฉพาะรูปแบบหรือวิธีการพิจารณาคดีเท<านั้น แต<ยังหมายรวมถึงเนื้อหาสาระ ภูมิหลัง แนวคิดในการก<อต้ังศาลปกครองและการทําหน+าท่ีของตุลาการศาลปกครองท่ีต+องมีความเป&นอิสระและยึดม่ันในเจตนารมณAของการจัดต้ังศาลปกครองท่ีมุ<งให+เกิดความสมดุลในการคุ+มครองสิทธิเสรีภาพของประชาชนและการดําเนินงานของรัฐเพ่ือประโยชนAสาธารณะอย<างแท+จริง

2. ความสําคัญและประเด็นการศึกษา

การปฏิบัติหน+าท่ีของศาลปกครองซ่ึงเป&นสถาบันหลักของประเทศท่ีใช+อํานาจตุลาการในการอํานวยความยุติธรรมท่ีเก่ียวข+องกับข+อพิพาททางปกครอง ท้ังการพิจารณาพิพากษาคดีด+วยความรวดเร็ว เป&นธรรม มีเหตุผล การบังคับคดีให+เป&นไปตามคําสั่งและคําพิพากษาของศาลปกครอง อันเป&นการเยียวยาความเดือดร+อนเสียหายแก<คู<กรณีให+เป&นไปอย<างครบถ+วน ทันเวลา รวมท้ังการวางหลักกฎหมายเพ่ือสร+างบรรทัดฐานการปฏิบัติราชการทางปกครองท่ีดี และการเผยแพร<คําพิพากษา คําสั่ง

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รูปที่ 1 : 4 หลัก 4 เสริม หัวใจการบริหารงานยุติธรรม

ของศาลปกครอง องคAความรู+ด+านกฎหมายมหาชนแก<ประชาชน เจ+าหน+าท่ีรัฐ หน<วยงานทางปกครอง อันเป&นการสร+างและส<งเสริมภูมิรู+และภูมิคุ+มกันในการปฏิบัติหน+าท่ีแก<รัฐ ผู+ใช+อํานาจทางปกครองให+สามารถปฏิบัติหน+าท่ีในราชการด+วยความชอบธรรม ถูกต+องตามกฎหมาย ไม<ลิดรอนสิทธิ เสรีภาพของประชาชน และสร+างภู มิรู+แก<ประชาชนเพ่ือให+สามารถคุ+มครองสิทธิและเสรีภาพจากการกระทําทางปกครองของหน<วยงานทางปกครองและเจ+าหน+า ท่ีของรัฐได+อย<างเป&นธรรม ท้ังนี้ การดําเนินงานของศาลปกครองดังกล<าว ย<อมต+องมีหน<วยงานทําหน+าท่ีด+านบริหารจัดการองคAกรเพ่ือสนับสนุนการปฏิบั ติงานด+านการอํานวยความยุติธรรมทางปกครองให+เกิดสัมฤทธิ์ผล นั่นคือ สํานักงานศาลปกครอง57 ซ่ึงมีบทบัญญัติกําหนดไว+นั บ แต< รั ฐ ธ ร รมนูญแห< ง ร า ช อ าณาจั ก ร ไท ย พุทธศักราช 2540 และต<อเนื่องมาถึงรัฐธรรมนูญฉบับป=จจุบัน กําหนดให+ศาลปกครองมีหน<วยธุรการของศาลปครองท่ีเป&นอิสระ ดังนั้น สํานักงานศาลปกครองจึงมีฐานะเป&นส<วนราชการท่ีเป&นหน<วยงานอิสระตามรัฐธรรมนูญ และเป&นนิติบุคคล โดยมีเลขาธิการสํานักงานศาลปกครองเป&นผู+บังคับบัญชา ทําหน+าท่ีเป&นฝsายสนับสนุนเพ่ือให+การดําเนินการข อ ง ศ า ล ป ก ค ร อ ง เ ป& น ไ ป ไ ด+ ด+ ว ย ดี แ ล ะ มีประสิทธิภาพ

57 รัฐธรรมนูญแห�งราชอาณาจักรไทย พุทธศักราช 2550 มาตรา 227 ศาลปกครองมีหน<วยธุรการของศาลปกครองท่ีเป&นอิสระ โดยมีเลขาธิการสํานักงานศาลปกครองเป&นผู+บังคับบัญชาขึ้นตรงต<อประธานศาลปกครองสูงสุด การแต<งต้ังเลขาธิการสํานักงานศาลปกครอง ต+องมาจากการเสนอของประธานศาลปกครองสูงสุดและได+รับความเห็นชอบของคณะกรรมการตุลาการศาลปกครองตามท่ีกฎหมายบัญญัติ สํานักงานศาลปกครองมีอิสระในการบริหารงานบุคคล การงบประมาณ และการดําเนินการอื่น ท้ังน้ี ตามท่ีกฎหมายบัญัติ

การพัฒนาระบบบริหารงานของภาครัฐยุคใหม<ต+องเน+น “ประชาชนเป&นศูนยAกลางพัฒนา” เช<น เ ดียว กับศาลปกครองท่ี เน�นการเ พ่ิมขีดความสามารถการบริหารจัดการองค�กรบนฐานการสร�างความเช่ือม่ัน ศรัทธาในกระบวนการยุติ ธ รรมทางปกครองจากประชาชน และผู�รับบริการ โดยยึดหลักการบริหารงานตามหลักธรรมาภิบาลท่ีให+ความสําคัญกับ “ความตระหนักในภารกิจ ด�วยจิตสํานึกในหน�าท่ี ภาระรับผิดชอบต.อสังคม ท่ีสามารถตรวจสอบได� มีความโปร.งใส บริหารราชการด�วยความเป1นธรรม และพร�อมดํ า เ นิ น กา ร โ ดย มุ. ง เ น� นปร ะ สิทธิ ภ าพและประสิทธิผลของภารกิจเป1นสําคัญ”58 อีกท้ัง ยังตระหนักถึงถ+อยคําอันเป&นภาษิตทางกฎหมายดังความตอนหนึ่งท่ีว<า “Justice delayed is justice denied : ความยุติธรรมท่ีล-าช�าคือความไม-ยุติธรรม” นั่นหมายถึง หากกฎหมายจัดให+มีการเยียวยาความเสียหายแก<ผู+เสียหาย แต<การเยียวยานั้นไม<ทันกาลหรือล+าสมัย ก็ไม<ต<างอะไรกับการไม<ได+รับการเยียวยา จากหลักการดังกล<าวถือเป&นหลักสําคัญแห<งสิทธิข้ันพ้ืนฐานในการเข+าถึงกระบวนการยุติธรรมของประชาชนท่ีต+องเป&นไปโดยง<าย สะดวก

58เอเจอรA, แซม. ธรรมาภบิาล การบริหารการปกครองที่โปร�งใสด)วยจริยธรรม. แปลโดย ไชยวัฒนA คํ้าชู และคณะ. กรุงเทพฯ : บริษัท สํานักพิมพAน้ําฝน จํากัด, 2545. หน+า 60.

186


รวดเร็ว และท่ัวถึง ตามบทบัญญัติในมาตรา 4059 แห<งรัฐธรรมนูญฯ เช<นเดียวกับเปuาประสงคAเพ่ือการขับเคลื่อนระบบบริหารจัดการกระบวนการยุติธรรมทางปกครองของศาลปกครองให+รวดเร็วข้ึนเช<นกัน ดังนั้น หัวใจสําคัญเพ่ือบริหารงานยุติธรรมทางปกครองจึงต+องคํานึงถึงองคAประกอบ 4 หลัก 4 เสริม คือ

(1) ความเป-นธรรม เป&นความถูกต+อง ไม<เลือกปฏิบัติ ยึดหลักกฎหมายเป&นท่ีตั้ง

(2) ความเสมอภาค เป&นภาวะแห<งสิทธิและเสรีภาพตามท่ีกฎหมายบัญญัติเพ่ือการดํารงชีพท่ีได+รับความคุ+มครองตามกฎหมายอย<างเท<าเทียมกัน

(3) ความรวดเร็ว เป&นการรับรองสิทธิในกระบวนการยุติธรรมแก<บุคคล ซ่ึงบัญญัติไว+ในรัฐธรรมนูญฯ อย<างชัดเจน

(4) ความมีเหตุผล เป&นหลักสําคัญยิ่งท่ีจะสร+างความเชื่อม่ัน ศรัทธาต<อผลการพิจารณาพิพากษาคดีของศาลปกครองท่ีต+อง “มีเหตุผลชัดเจน” เป&นไปตามท่ีกฎหมายกําหนด พร+อมท้ังพิจารณาควบคู<กับหลักการเสริมอีก 4 ประการเพ่ือ

59รัฐธรรมนูญแห�งราชอาณาจักรไทย พุทธศักราช 2550

มาตรา 40 บุคคลย<อมมีสิทธิในกระบวนการยุติธรรม ดังต<อไปน้ี

(1) สิทธิเข+าถึงกระบวนการยุติธรรมได+โดยง<าย สะดวก รวดเร็ว และท่ัวถึง

(2) สิทธิพื้นฐานในกระบวนพจิารณา ซ่ึงอย<างน+อยต+องมีหลักประกันขั้นพื้นฐานเร่ืองการได+รับการพิจารณาโดยเป8ดเผย การได+รับทราบข+อเท็จจริงและตรวจเอกสารอย<างเพียงพอ การเสนอ ข+อเท็จจริงข+อโต+แย+ง และพยานหลักฐานของตน การคัดค+านผู+พิพากษาหรือตุลาการ การได+รับการพิจารณาโดยผู+พิพากษาหรือตุลาการท่ีนั่งพิจารณาคดีครบองคAคณะ และการได+รับทราบเหตุผลประกอบ คําวินิจฉยั คําพพิากษา หรือคําส่ัง

(3) บุคคลย<อมมีสิทธิที่จะให+คดีของตนได+รับการพิจารณาอย<างถูกต+อง รวดเร็ว และเป&นธรรม

ฯลฯ..........................................ฯลฯ..............................

การบริหารงานยุติธรรมทางปกครองท่ีสัมฤทธิผล ประกอบด+วย (1) หลักความสะดวกแก-ผู�รับบริการ (Convenience) (2) หลักความละเอียดรอบคอบของผู�ปฏิบัติงาน (Accuracy) (3) หลักการเข�าถึงกระบวนการยุติธรรมโดยง-าย ท่ัวถึง (Accessible to Justice) และ (4) หลักแห-งเวลาท่ีเหมาะสม (Timeliness) ซ่ึงเป&นแก<นความคิดสําคัญในการพัฒนาระบบงานของศาลปกครองตลอดมา

จ า ก ห ลั ก ก า ร สํ า คั ญ ใ น ก า ร พั ฒ น ากระบวนการยุติธรรมทางปกครองดังกล<าวข+างต+น ประกอบกับช<วงระยะเวลาดําเนินงานของศาลปกครองท่ีผ<านมากว<าทศวรรษ (ปE พ.ศ. 2556 เข+าสู< 12 ปEศาลปกครอง) ย<อมมีสาระสําคัญท่ีศาลปกครองจะได+พิจารณาสถานการณAแวดล+อมท้ังภายในและภายนอกองคAกรเพ่ือการปรับปรุง พัฒนากระบวนการดําเนินงาน รวมท้ังการปรับเปลี่ยนทัศนคติ และแนว คิดการบริหารจัดการงานกระบวนการยุติธรรมทางปกครองของไทยท่ีต+องเน+นการพัฒนาบนพ้ืนฐานการสร+างความเชื่อม่ันศรัทธาจากประชาชน และผู+รับบริการเป&นสําคัญ มากกว<าการพัฒนาจากกระบวนการภายในเพ่ือสนองความต+องการของผู+ปฏิบัติงาน ดังนั้น ผลการศึกษาวิ จั ย เ รื่ อ ง “ มิติ ใหม� ของการ พัฒนากระบวนการยุติธรรมทางปกครองไทยโดยประชาชน” จึงมุ<งเน+นการวิเคราะหA สอบทานสถานการณAแวดล+อมของศาลปกครองในช<วงระยะเวลาท่ีผ<านมา พร+อมกับเสนอแนะแนวคิด วิธีการพัฒนาระบบบริหารจัดการกระบวนการยุ ติธรรมทางปกครองของไทยให+ เป&นไปอย<างเหมาะสม สอดคล+องกับสถานการณA ซ่ึงจะส<งผลให+การพิจารณาพิพากษาคดีดําเนินไปได+ด+วยความรวดเร็ว มีคุณภาพ และมีประสิทธิภาพ ตลอดจน

187


เ กิ ดป ร ะสิ ท ธิ ผ ล ท้ั ง ต< อ อ งคA ก ร สั ง คม แล ะประเทศชาติสืบต<อไป

3. วัตถุประสงค3การศึกษา

3.1 เ พ่ื อ ส อ บ ท า น แ ล ะ วิ เ ค ร า ะ หAสถานการณAแวดล+อมท่ีส<งผลต<อการดําเนินงานของ ศาลปกครองในช<วงระยะเวลาท่ีผ<านมา (พ.ศ. 2544 - 2555) โดยครอบคลุมประเด็นความคาดหวังของประชาชนต<อการพัฒนากระบวนการยุติธรรมทางปกครอง สถานการณAด+านคดี และระบบ การบริหารงานศาลปกครองในภาพรวม

3.2 เ พ่ือจัดทําข+อเสนอแนะ แนวทางพัฒนารูปแบบการบริหารกระบวนการยุติธรรมทางปกครองไทยท่ีเน+นการพัฒนาบนพ้ืนฐานการสร+างความเชื่อม่ันศรัทธาจากประชาชน และผู+รับบริการเป&นสําคัญ

4. วิธีการศึกษา

เป& นการ ศึกษาวิ จั ย เชิ ง คุณภาพ (qualitative research) โดยใช+แหล<งข+อมูลปฐมภูมิ (Primary Data) ในรูปแบบสถิติการแจงนับค<าความถ่ีของข+อมูลเปuาหมายจากอดีตถึงป=จจุบัน (30 มิถุนายน พ.ศ. 2555) และข+อมูลทุติยภูมิ (Secondary Data) ในรูปแบบเอกสารประกอบการประชุม/สัมมนา รายงานผลการศึกษา บทความทางวิชาการ และกฎหมายท่ีเ ก่ียวข+องในการพัฒนาระบบการบริหารงานยุ ติธรรมทางปกครองของไทย เ พ่ือวิ เคราะหAสถานการณAแวดล+อมท่ีส<งผลต<อการดําเนินงานของ ศาลปกครอง โดยใช+วิธีการวิเคราะหAข+อมูลเชิงเนื้อหา (Content Analysis) ประกอบกับประสบการณAบริหารราชการสํานักงานศาลปกครองกว<า 10 ปE ซ่ึงป=จจุ บันผู+ ศึกษามีฐานะเป&น “เลขาธิการสํานักงานศาลปกครอง” จึงเชื่อม่ัน

อย<างยิ่งว<า ประสบการณA ความรู+ ความเชี่ยวชาญของผู+ ศึกษาจะสามารถใช+เป&นฐานเพ่ือวิเคราะหAข+อมูลอันเป&นสถานการณAและความคาดหวังการดําเนินงานได+อย<างชัดเจน ตรงประเด็น และสามารถนําไปสู<การเสนอแนะแนวทางพัฒนากระบวนการยุติธรรมทางปกครองไทยได+อย<างเหมาะสม

5. การวิเคราะห3สถานการณ3และแนวโน)มการพัฒนางาน

การดําเนินงานด+านกระบวนการยุ ติธรรมทางปกครองท่ีเป&นไปได+ด+วยความรวดเร็ว ถูกต+อง ยุติธรรม นั้น จะต+องประกอบด+วย เนื้อหาสาระของกฎหมาย ทัศนคติ ความรู+ความสามารถ ความรับผิดชอบของตุลาการ โดยศาลต+องมีหลักประกันในการทําหน+าท่ีให+สามารถดําเนินการไปได+อย<างเป&นอิสระและเป&นกลาง ในขณะท่ีความถูกต+องและยุติธรรมอันเป&นสาระสําคัญท่ีจะบรรลุผลสมดังเจตนารมณAในการคุ+มครองสิทธิเสรีภาพของป=จเจกชนจะเป&นไปไม<ได+เลย หากการดําเนินกระบวนการพิจารณาคดีล<าช+า ไม< ทันการณA ดังนั้น ป=ญหาเก่ียวกับความล<าช+าของการดําเนินคดีจึงเป&นป=ญหาสําคัญและเป&นป=ญหาท่ีทุกศาลท่ัวโลกท้ังท่ีใช+ระบบศาลเด่ียวหรือระบบศาลคู<กําลังเผชิญเช<นเดียวกับสถานการณAท่ีศาลปกครองกําลังเผชิญอยู<ในป=จจุบัน โดยสถานการณAท+าทายท่ีส<งผลต<อการดําเนินงานของศาลปกครอง และแนวโน+มความคาดหวังของประชาชนต<อการพัฒนางานด+านกระบวนการยุติธรรมทางปกครองของไทยมีดังนี้

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5.1 สถานการณ3ด)านคดีปกครอง

เม่ือพิจารณาสถิติคดีปกครองนับต้ังแต<เป8ดทําการศาลปกครองในปE พ.ศ. 2544 - 30 มิถุนายน พ.ศ. 2555 พบว<า มีปริมาณคดีปกครองเข+ าสู< การพิจารณาของศาลปกครอง จํ านวน 74,257 คดี โดยจํ าแนกเป&นคดีรับ เข+ า ในศาลปกครองชั้นต+น จํานวน 54,590 คดี และคดีรับเข+าใน ศาลปกครองสูงสุดจํานวน 19,667 คดี ท้ังนี้ เป&นคดีท่ีศาลปกครองพิจารณาพิพากษาแล+วเสร็จจํานวน 58,644 คดี คิดเป&นกว<าร+อยละ 78.97 ของปริมาณคดีท่ีรับเข+าสู<การพิจารณาคดีของศาลปกครองท้ังหมด อย<างไรก็ตาม หากพิจารณาประสิทธิภาพการบริหารจัดการคดีของศาลปกครองจะพบว<า แนวโน+มสถิติคดีคงค+างเพ่ิมสูงข้ึนอย<างต<อเนื่อง โดยข+อมูล ณ วันท่ี 30 มิถุนายน พ.ศ. 2555 ปรากฏคดีท่ีอยู<ระหว<างการพิจารณาคดีของศาลปกครองในภ า พ ร ว ม จํ า น ว น 15,613 ค ดี ใ น ข ณ ะ ท่ีความสามารถของตุลาการในการพิจารณาพิพากษาคดีอยู<ในช<วงระหว<าง 4,000-7,000 คดีต<อปE เท<านั้น ประกอบกับเม่ือพิจารณาสถิติคดีของศาลปกครองชั้นต+นจําแนกตามพ้ืนท่ีมูลคดีเกิด ยังพบอีกว<า พ้ืนท่ีท่ีมีมูลคดีเกิดมากท่ีสุดหรือพ้ืนท่ีสีแดง (จํานวนคดีต้ังแต< 1,300 คดีข้ึนไป) มีจํานวน 6 จังหวัด คือ กรุ ง เทพฯ (17,307 คดี) นนทบุรี (1 ,620 คดี ) ขอนแก<น (1 ,582 คดี ) เชียงใหม< (1 ,522 คดี ) นครราชสีมา (1,469 คดี) และสมุทรปราการ (1,310 คดี) ตามลําดับ ซ่ึงสอดคล+องกับฐานข+อมูลประชากรในพ้ืนท่ีเรียงตามจังหวัดท่ีมีประชากรหนาแน<นมากท่ีสุดของกรมการปกครอง60 ดังนั้น

60 กรมการปกครอง. กระทรวงมหาดไทย. "ประกาศสํานักทะเบียน

กลาง กรมการปกครอง เรื่อง จํานวนราษฎรทั่วราชอาณาจักร แยกเป-นกรุงเทพมหานครและจังหวดัต�าง ๆ ตามหลักฐานการทะเบียนราษฎร ณ วันที ่31 ธันวาคม 2554." [ออนไลนA].

จากข+อมูลดังกล<าวจึงคาดการณAได+ว<า ปริมาณคดีท่ีเข+าสู<การพิจารณาของศาลปกครองจะเพ่ิมสูงข้ึนอย<างต<อเนื่อง และปริมาณคดีท่ีอยู<ระหว<างการพิจารณาจะเพ่ิมสูงข้ึนเป&นเงาตามตัว ซ่ึงส<วนหนึ่งเป&นผลมาจากจํานวนประชาชนท่ีเพ่ิมข้ึน ความเจริญก+าวหน+าของสังคมท่ีมีการพัฒนาเป&นลําดับ ส<งผลให+ปริมาณคดีเพ่ิมสูงข้ึนอย<างมากจนไม<ได+สัดส<วนกับจํานวนตุลาการ อีกท้ัง คดีก็มีความสลับซับซ+อนมากยิ่งข้ึน ทําให+ตุลาการมีปริมาณคดีท่ีต+องนั่งพิจารณาในแต<ละวันเป&นจํานวนมาก วันละหลายเรื่องหลายคดี ก<อให+เกิดป=ญหาการจัดลําดับความสํา คัญของคดีก<อนหลัง การรอคอยการพิจารณาคดีของคู<กรณีมีมากข้ึน แต<เวลาท่ีตุลาการมีให+แก<การพิจารณาพิพากษาคดีกลับน+อยลง ความแออัดของจํานวนประชาชนท่ีมาติดต<อขอรับการอํานวยความยุติธรรมทางปกครองกับศาลปกครองมีมากข้ึนเป&นทวีคูณ การเลื่อนคดีมีสถิติสูงข้ึน อันส<งผลให+ประสิทธิภาพการพิจารณาคดีน+อยลงซ่ึงเท<ากับเป&นการซํ้าเติมประชาชนผู+มีอรรถคดี ผู+ท่ีมีความทุกขAร+อนอยู<แล+วให+ ทุกขAร+อนหนักยิ่ ง ข้ึน

เข+าถึงได+จาก: http://stat.bora.dopa.go.th/stat/y_stat54.html 2555. สืบค+น 10 สิงหาคม 2555

รูปที่ 2 : สถิติคดีปกครองในภาพรวมของศาลปกครอง

189


โดยเฉพาะผลกระทบต<อสิทธิเสรีภาพของคู<กรณี และประชาชนผู+มีอรรถคดีจะลดความเชื่อถือในกระบวนวิธีพิจารณาท่ีล<าช+าได+ในท่ีสุด

สําหรับการบังคับคดีปกครองซ่ึงเป&นการเยียวยาความเดือนร+อนเสียหายแก<คู<กรณีและอาจส<งผลต<อสาธารณชนในวงกว+าง พบว<า สถิติการบังคับคดีท่ีถึงท่ีสุด ณ วันท่ี 30 มิถุนายน พ.ศ. 2555 มีปริมาณคดีท่ีสามารถยุติการบังคับได+คิดเป&นร+อยละ 75.38 ของปริมาณคดีท่ีเข+าสู<การบังคับท้ังหมด อย<างไรก็ตาม หากพิจารณาสัดส<วนของการบังคับคดีท่ีถึงท่ีสุดเปรียบเทียบกับจํานวนคดีท่ีเข+าสู<การบังคับท้ังหมดจะปรากฎแนวโน+มท่ีลดลงอย<างต<อเนื่อง (พ.ศ.2551 – พ.ศ. 2554 เท<ากับ ร+อยละ 90.81 ร+อยละ 85.44 ร+อยละ 84.30 และ ร+อยละ 58 ตามลําดับ)61 ซ่ึงส<วนหนึ่งเป&นผลมาจาก

61 โดยธรรมชาติของสถิติการบังคับคดี พบว<า คดีที่สามารถยุติการ

บังคับได+จะมีแนวโน+มเพิ่มสูงขึ้นในช<วงไตรมาสสุดท+ายของปE ดังน้ัน ร+อยละการบังคับคดีที่ถึงท่ีสุดเม่ือเทียบกับจาํนวนคดีที่เข+าสู<การบังคับท้ังหมดในช<วงปE พ.ศ. 2555 (ระยะเวลา 6 เดือน) ซ่ึงเท<ากับ ร+อยละ 9 น้ัน คาดว<าจะมีปริมาณเพิ่มสูงขึ้นได+ในช<วงปลายปE และคาดว<าจะอยู<ในระดับ 400 คดี ซ่ึงคิดเป&นร+อยละ 70-80 ของจํานวนคดีที่เข+าสู<การบังคับท้ังหมด

การไม<มีบทบัญญัติกฎหมายเก่ียวกับการกําหนดบทลงโทษ กรณีไม<ปฏิบัติตามคําพิพากษาของศาลปกครองทําให+การบังคับคดีของศาลปกครองไม<เป&นไปตามเปuาหมายเท<าท่ีควร จึงเป&นผลให+ศาลปกครองต+องเร<งดําเนินการให+การบังคับคดีเป&นไปอย<างมีประสิทธิภาพ ท้ังกฎหมายกําหนดบทลงโทษ กรณีไม<ปฏิบัติตามคําพิพากษาของศาลปกครองซ่ึงยังไม<มีบทบัญญัติกําหนดไว+ รวมท้ังคุณภาพคําพิพากษาต+องมีความชัดเจน สามารถบังคับได+อย<างเป&นรูปธรรม

5.2 สถานการณ3ด)านอัตรากําลังและการบริหารจัดการ

แม+ศาลปกครองจะได+เร<งสร+างฐานรากสําคัญท้ังการจัดหาทรัพยากรทางการบริหาร การจัดโครงสร+างพ้ืนฐานท่ีจําเป&นท้ังอาคารท่ีทําการถาวร ครุภัณฑA อุปกรณA เทคโนโลยีสารสนเทศ อัตรากําลังคน การจัดวางระบบงานและวิธีการทํางาน เพ่ืออํานวยความยุติธรรมทางปกครองแก<ประชาชนให+เป&นไปอย<างรวดเร็ว มีประสิทธิภาพบนพ้ืนฐานการดําเนินงานท่ียึดหลักการบริหารจัดการภาครัฐท่ีดีแล+วก็ตาม ก็ยังประสบป=ญหาสําคัญอีก

รูปที่ 3 : สถิติการบังคับคดีปกครอง

รูปที่ 4: สถานการณAกําลังคนและงบประมาณ

190


หลายประการ อาทิ อัตรากําลัง โดยเฉพาะจํานวนตุลาการท่ีมีบทบาทสําคัญต<อการพิจารณาพิพากษาคดีท่ีมีจํานวนไม<เพียงพอ หากเทียบเคียงกับสัดส<วนจํานวนคดีในความรับผิดชอบของตุลาการ62 จะพบว<า ในช<วง 2 ไตรมาสแรกของปE พ.ศ. 2555 (1 มกราคม พ.ศ. 2555 - 30 มิถุนายน พ.ศ. 2555) ตุลาการศาลปกครองสูงสุดต+องรับผิดชอบคดีจํานวนกว<า 400 คดีต<อคนต<อเดือน และตุลาการศาลปกครองชั้นต+นต+องรับผิดชอบคดีจํานวนกว<า 50 คดีต<อคนต<อเดือน เม่ือเฉลี่ยต<อวันแล+วหมายความว<าตุลาการ 1 ท<านต+องสามารถพิจารณาพิพากษาคดีให+แล+วเสร็จอย<างน+อย 1-3 คดีต<อวัน จึงจะสามารถสะสางคดีในความรับผิดชอบได+ท้ังหมดอย<างสมบูรณA ซ่ึงขัดแย+งกับธรรมชาติของลักษณะงานคดีท่ีต+องใช+ระยะเวลาในการวินิจฉัยประ เ ด็นแห< งค ดี ระยะเวลา ในการแสวงหาข+อเท็จจริงให+เป&นไปอย<างครบถ+วน ครอบคลุมในทุกประเด็น โดยเฉพาะอย<างยิ่ งการเรียกเอกสาร หลักฐานต<างๆ จากคู<กรณีท่ีต+องใช+ระยะเวลาเพ่ือให+การพิจารณาพิพากษาคดีเป&นไปด+วยความละเอียด รอบคอบ มีเหตุผล และเป&นไปตามท่ีกฎหมายกําหนด ดังนั้น จึงเป&นไปได+ยากท่ีศาลปกครองจะไม<มีคดีคงค+างในกระบวนการพิจารณา

เม่ือพิจารณาสัดส<วนงบประมาณท่ีศาลปกครองได+รับจัดสรร จะพบว<า ต้ังแต<ปE พ.ศ. 2552 เป&นต+นมา ศาลปกครองได+รับจัดสรรงบประมาณเพียงร+อยละ 50 ของวงเงินงบประมาณ

62 คํานวณจาก ปริมาณคดีในความรับผิดชอบของตุลาการศาล

ปกครองในช<วง 2 ไตรมาสแรกของปE พ.ศ. 2555 (จําแนกตามช้ันศาล) ซ่ึงประกอบด+วย จํานวนคดีที่รับเข+าใหม<ของปE พ.ศ. 2555 บวกด+วยจาํนวนคดีที่อยู<ระหว<างการพจิารณายกมาจากปEก<อน และนํามาหารด+วยจาํนวนตุลาการศาลปกครอง (จําแนกตามช้ันศาล โดยยกเว+นตุลาการท่ีดํารงตําแหน<งทางบริหาร)

ท่ีเสนอขอท้ังหมด ซ่ึงขัดแย+งกับทิศทางการขยายตัวของศาลปกครองซ่ึงต+องมีงบประมาณเพ่ือการก<อสร+างอาคารศาลปกครองเพ่ิมเติม อันเป&นการขยายโอกาสในการเข+าถึงการอํานวยความยุติธรรมทางปกครองแก<ประชาชนและสาธารณชนให+เป&นไปอย< าง ท่ัว ถึง ดังนั้ น ในสถานการณA ดั งกล< าว ท่ีงบประมาณเป&นไปอย<างจํากัด การเพ่ิมอัตรากําลังตุลาการศาลปกครองเพ่ือให+สอดคล+องกับปริมาณคดีจึงต+องพิจารณาอย<างรอบคอบและสอดคล+องกับสถานการณAงบประมาณท่ีศาลปกครองได+รับจัดสรรด+วย

สํ าหรั บแนวทาง ท่ีศาลปกครองเลือกใช+เพ่ือการพัฒนาการอํานวยความยุติธรรมทางปกครองในช<วงเวลาท่ีผ<านมานั้น ได+เน+นการปรับปรุงและพัฒนากระบวนการภายในการปฏิบัติงานเพ่ือเพ่ิมประสิทธิภาพด+านการสนับสนุนงานคดี โดยหวังว<า การดําเนินการดังกล<าวจะสามารถเร<งรัดและเพ่ิมศักยภาพการปฏิบัติหน+าท่ีของตุลาการศาลปกครองให+ เป&นไปด+วยความสะดวก และรวดเร็วยิ่งข้ึน อาทิเช<น ใช+ระบบงานแบบเบ็ดเสร็จ (ONE FOR ALL) ในส<วนสนับสนุนงานคดีปกครองของศาลปกครองสูงสุด63 เพ่ือลดความซํ้าซ+อนในการปฏิบัติหน+าท่ีของพนักงานคดีปกครองในกลุ<มสนับสนุนคดีปกครอง การพัฒนาซอฟแวรAเพ่ือสอบถามและติดตามคดีปกครองผ<านเว็บสําหรับผู+บริหารศาลปกครอง64 อันเป&นการ

63 สํานักงานศาลปกครองสูงสุด สํานักงานศาลปกครอง. คู�มือ

ระบบงานแบบเบ็ดเสร็จ (ONE FOR ALL). โครงการปรับปรุงระบบงานในส<วนสนับสนุนงานคดีปกครอง สํานักงานศาลปกครอง. กันยายน 2547.

64 สํานักนโยบายและแผน. สํานักงานศาลปกครอง. รายงานการปฏิบตัิงานของศาลปกครองและสาํนักงานศาลปกครอง ประจําปR 2550. กรุงเทพฯ: โรงพิมพAสํานักงานพระพุทธศาสนาแห<งชาติ. 2552. หน+า 74.

191


พัฒนาระบบเทคโนโลยีสารสนเทศเพ่ือสนับสนุนผู+บริหารศาลปกครอง ตุลาการศาลปกครองให+สามารถกํากับ ติดตาม และบริหารจัดการคดีได+อย<างมีประสิทธิภาพ การจัดทําแนวคําวินิจฉัยศาลปกครองสูงสุด ฉบับ Day to Day65 เพ่ือเป&นข+อเรียนรู+เก่ียวกับคําพิพากษาอันจะเป&นแนวทางการวินิจฉัยคดีของตุลาการและพนักงานคดีปกครองได+ การแต<งต้ังคณะกรรมการวิชาการเพ่ือสนับสนุนการพิจารณาคดีของ ตุลาการ 66 เ พ่ือทําหน+า ท่ี ให+คําปรึกษา แนะนํากรณีเกิดข+อขัดแย+งในประเด็นเนื้อหาแห<งคดี ซ่ึงคณะกรรมการท่ีจัดต้ังข้ึนเสมือนหน<วยงานวิชาการด+านคดีซ่ึงมีองคAประกอบเป&นตุลาการท่ีมีความเชี่ยวชาญในแต<ละประเภทคดีทําหน+าท่ีศึกษา ค+นคว+า วิเคราะหA และหาข+อสรุปอันจะเป&นการสร+างมาตรฐานการพิจารณาคดีและสร+างความเชื่อม่ันต<อกระบวนการพิจารณาของศาลปกครอง การจัดให+มีโฆษกศาลปกครองพร+อมทีมงาน67 เพ่ือสร+างความเข+าใจในคําพิพากษาของศาลปกครองต<อสาธารณชน การจัดต้ังกลุ<มงาน (ภายใน) เพ่ือสะสางคดีท่ีค+างเกินกว<า 2 ปE68 เพ่ือเ ร< ง รั ด ให+ ค ดี ท่ี อยู< ร ะหว< า งกระบวนการสรุ ปข+อเท็จจริงและการจัดทําความเห็นของตุลาการเจ+าของสํานวนให+แล+วเสร็จโดยเร็ว รวมท้ังการ

65 ดูที่ http://intranet/core/index.php 66 คําสัมภาษณAประธานศาลปกครองสูงสุด (นายหัสวุฒิ วิฑิตวิริ

ยกุล). “มิติใหม�ศาลปกครองสูงสุด แก)ปSญหาคดีล�าช)า-ตั้งโฆษก แจงคดี”, วันท่ี 4 ตุลาคม 2553, [ออนไลนA]. เข+าถึงได+จาก: http://www.manager.co.th/daily/ ViewNews.aspx?NewsID=9530000139517. สืบค+น 9 สิงหาคม 2555.

67 เรื่องเดยีวกัน. 68 เรื่องเดยีวกัน.

พัฒนาศักยภาพและความเชี่ยวชาญของตุลาการผู+ทําคดีผ<านหลักสูตรอบรม/สัมมนาต<างๆ69 เป&นต+น

5.4 สถานการณ3ความคาดหวัง ความเช่ือม่ัน ศรัทธา และการตื่นตัวของประชาชนในสิทธิและเสรีภาพของบุคคล

ท< า ม ก ล า ง ส ภ า พ แ ว ด ล+ อ ม ท่ีเปลี่ยนแปลงท้ังกฎหมายรัฐธรรมนูญ กฎ ระเบียบใหม<ๆ ท่ีมุ<งคุ+มครองสิทธิและเสรีภาพของประชาชนมากข้ึนกว<าในอดีต ดังปรากฏในมาตรา 40 มาตรา 60 มาตรา 66 และ มาตรา 67 ตามบทบัญญัติในรัฐธรรมนูญแห<งราชอาณาจักรไทย พุทธศักราช 2550 ส<งผลให+ภาคประชาชนและสังคมเกิดกระแสต่ืนตัวเข+ามามีส<วนร<วมแสดงความคิดเห็นทางการเมือง การปกครอง การตรวจสอบการใช+อํานาจรัฐ ก า ร คุ+ ม ค ร อ ง อ นุ รั ก ษA สิ่ ง แ ว ด ล+ อ ม แ ล ะทรัพยากรธรรมชาติในท+องถ่ินของตนเพ่ิมมากข้ึน ซ่ึงบางครั้งนํามาสู<ประเด็นพิพาททางปกครองและนําเข+าสู<กระบวนการทางคดีของศาลปกครอง ดังนั้น แนวทางการบริหารจัดการคดีท่ีสนองตอบต<อความ

69 คณะอนุกรรมการจัดกิจกรรมแสดงผลงานและประชาสัมพันธA.

สํานักนโยบายและแผน. สํานักงานศาลปกครอง. 9 ปRศาลปกครองแห�งความเชื่อมั่น. กรุงเทพฯ: บริษัท ดิน ดีไซนA จํากัด, 2553. หน+า 24-25.

รูปที่ 5: สถิติคดีส่ิงแวดล+อมท่ีรับเข+า แล+วเสร็จ ของศาลปกครอง

192


คาดหวังของประชาชนจึงต+องเป&นไปด+วยความรวดเร็ว ทันต<อการเยียวยา เช<นเดียวกับแนวคิดท่ีศาลปกครองได+เป8ดทําการ “แผนกคดีสิ่งแวดล+อม” ในศาลปกครองข้ึน เม่ือวันท่ี 2 สิงหาคม 2554 เพ่ือยกระดับมาตรฐานกระบวนพิจารณาคดีให+เร<งด<วน ทันต<อการแก+ไขเยียวยาความเดือดร+อนเสียหายแก<คู<กรณี และเพ่ือประโยชนAในการบริหารราชการแผ<น ดินของรัฐ 70 ท้ั งนี้ หากพิจารณาสถิ ติค ดีปกครองท่ีเ ก่ียวกับสิ่ งแวดล+อมภายหลัง ท่ีศาลปกครองได+จัดต้ังแผนกคดีสิ่งแวดล+อมแยกออกจากกระบวนวิธี พิจารณาโดยปกติ พบว<า สถิติคดีสิ่งแวดล+อมมีมากกว<า 1,017 คดี โดยแยกเป&นคดีสิ่งแวดล+อมในศาลปกครองสูงสุด 29 คดี และในศาลปกครองชั้นต+นจํานวน 988 คดี จึงเป&นการสะท+อนชัดเจนว<า ประชาชนมีความคาดหวังและเชื่อม่ันต<อกระบวนการอํานวยความยุติธรรมทางปกครองของศาลปกครองท่ีจะเป&นไปอย<างรวดเร็วและทันต<อการแก+ไข เยียวยาความเดือดร+อนเสียหายได+อย<างทันท<วงที เม่ือพิจารณาผลสํารวจความเชื่อม่ัน ศรัทธาของประชาชนท่ีมีต<อการอํานวยความยุติธรรมทางปกครองในช<วง 3 ปEท่ีผ<านมา (พ.ศ. 2553-2555) พบว<า มีแนวโน+มเ พ่ิมสูง ข้ึนอย<างต<อเนื่อง และค<าสถิติปรากฏอยู<ในระดับสูงกว<าร+อยละ 85 มาโดยตลอด ซ่ึงมีนัยสําคัญว<า ประชาชนมีความเชื่อม่ันศรัทธาท้ังต<อองคAกรและตัวบุคคล (ตุลาการ) ผู+ ทําหน+าท่ีอํานวยความยุติธรรมทางปกครองด+วยความรู+ความสามารถในการพิจารณาคดีปกครองอย<างเชี่ยวชาญ มีคุณธรรม ไม<มีเรื่องผลประโยชนAทับซ+อน รวมท้ังเชื่อม่ันในคําตัดสินคดีท่ีมีเหตุมีผล เป&นไปตามข+อเท็จจริง และข+อกฎหมายอย<าง

70 สํานักงานศาลปกครอง ศาลปกครอง. ศาลปกครอง: แผนกคดี

สิ่งแวดล)อม. กรุงเทพฯ : บริษัท ดิน ดีไซนA จํากัด. 2554, หน+า 89.

เคร<งครัด ไม<โอนอ<อนตามแรงกดดันหรือกระแสสังคม ทําให+การตัดสินคดีของศาลปกครองยืนอยู<บนหลักการสร+างสมดุลระหว<างสิทธิของเอกชนกับประโยชนAสาธารณะเสมอมา

6. ข)อเสนอเพ่ือการพัฒนา

จากสถานการณAและแนวโน+มการพัฒนากระบวนการยุติธรรมทางปกครองไทย (ศาลปกครอง) ในช<วงเวลาท่ีผ<านมาจะสังเกตได+ชัดเจนว<า การดําเนินงานของศาลปกครองอยู<ภายใต+สภาพแวดล+อมอันเป&นข+อจํากัดท้ังด+านงบประมาณ และบุคลากร แต<ด+วยความเชื่อม่ัน ความศรัทธา และความคาดหวังของสังคม สาธารณะ ในการทําหน+าท่ีของศาลปกครองเพ่ือผดุงและรักษาไว+ ซ่ึงความยุติธรรมท่ีถูกต+องเ พ่ือให+สังคมมีธรรมาภิบาลอย<างแท+จริ ง ศาลปกครองจึงทําหน+าท่ีในการอํานวยความยุติธรรมทางปกครองท่ียืนหยัดบนความถูกต+อง และต้ังม่ันบนพ้ืนฐานของกฎหมายอย<างเคร<งครัด พร+อมกับรักษาประโยชนAสาธาณะอย<างสมดุล โดยไม<อ<อนโอนต<อกระแสสังคม การเมือง อย<างไรก็ตาม แนวทางพัฒนางานของศาลปกครองท่ีผ<านมาแม+ว<าจะเป&นไปในเชิงรุก ท้ังการจัดต้ังคณะบุคคลเพ่ือเร<งรัดคดีค+างกระบวนการพิจารณาให+แล+วเสร็จโดยเร็ว การปรับปรุงกระบวนวิธีพิจารณาคดีให+

รูปที่ 6: ความเช่ือม่ันศรัทธาต<อกระบวนการยุติธรรมทางปกครอง

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กระชับแต<คงไว+ซ่ึงความละเอียดรอบคอบ การจัดต้ังแผนกคดีสิ่งแวดล+อมเพ่ือเป8ดช<องทางให+คดีซ่ึงมีลักษณะพิเศษท่ีส<งผลกระทบในวงกว+างสามารถดําเนินการได+อย<างเร<งด<วน และทันต<อการเยียวยา การจัดทําเอกสาร/คู<มือ/แนวคําวินิจฉัยแก<ตุลาการและพนักงานคดีปกครองเพ่ืออํานวยความสะดวกในการพิจารณาคดี หรือแม+แต<การพัฒนาระบบเทคโนโลยีสารสนเทศเพ่ือการกํากับ ติดตามคดีของผู+บริหารศาลปกครอง เป&นต+น การพัฒนาตามแนวทางเหล<านี้ล+วนพัฒนาอยู<ในมิติของผู+ปฏิบัติงานท่ีเน+นกระบวนการเท<านั้น โดยมิได+เป8ดมุมมองการมีส< ว น ร< ว ม พัฒนาจาก มุ มมองภาคประชาช น สาธารณะ อันเป&นประเด็นท+าทายสําคัญและยังสอดรับกับการแนวทางการบริหารภาครัฐสมัยใหม<ท่ีเน+นความโปร<งใส การตรวจสอบการปฏิบัติราชการได+จากมุมมองภายนอกตามหลักธรรมาภิบาล

ดั ง นั้ น ข+ อ เ ส น อ เ พ่ื อ พั ฒ น ากระบวนการยุติธรรมทางปกครองของไทยและพัฒนาทุกภาคส<วนของสังคมซ่ึงมีศาลปกครองเป&นกลไกสําคัญท่ีขับเคลื่อนระบบในหน<วยย<อยของสังคมในทุกมิติให+ก+าวสู<การพัฒนากระบวนการยุติธรรมทางปกครองในมิติใหม<โดยเน+นการมีส<วนร<วมจากภาคประชาชนภายใต+แนวคิดพ้ืนฐานสําคัญ คือ หลักการพัฒนาในมิติของผู+รับบริการหรือภายใต+แนวคิดท่ีว<า “ศาลปกครองของประชาชน”เพ่ือให+กระบวนการยุติธรรมทางปกครองของไทยมีความก+าวหน+าทัดเทียมกับนานา

อารยประเทศ ธํารงไว+ซ่ึงความเชื่อม่ัน ศรัทธาของประชาชนต<อการอํานวยความยุติธรรมทางปกครอง ข+อเสนอเพ่ือพัฒนาภารกิจจึงกําหนดพิจารณาใน 3 มิติ 5 องคAประกอบ คือ

“มิติเป3ดสู.สาธารณะ” โดยเน+น

สร+างกระบวนการมีส<วนร<วมจากภาคประชาชนและสาธารณะในทุกมิติ ท้ังความร<วมมือทางวิชาการภายในและต<างประเทศ การเผยแพร<ให+ความรู+แก<ประชาชน สาธารณะ การเตรียมบุคลากรด+านกฎหมายมหาชนให+ เ พ่ิมจํานวนมากข้ึนและมีศักยภาพเพ่ือขยายบทบาทความร<วมมือด+านการพัฒนากระบวนการยุติธรรมทางปกครองของไทยสู<อารยประเทศ โดยส<งเสริมให+ศาลปกครองเป&นไปตามองคAประกอบข+อท่ี (1) ศาลปกครองเป-นของประชาชน นั่นหมายถึง การเป&นองคAกรในระบบเป8ด ท่ีเน+นการมีส<วนร<วมในการสร+างความสําเร็จของการบริหารงานศาลปกครองผ<านมุมมองความต+องการของผู+รับบริการ และสาธารณะ เพ่ือให+เกิด ความพึงพอใจ ความเชื่ อ ม่ันในกระบวนการ

รูปที่ 7: มิติใหม<ของการพัฒนากระบวนการยุติธรรมทางปกครองไทย

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พิจารณาคดี และคําพิพากษาของศาลปกครองจากสาธารณชน ผู+บริหารศาลปกครองและสํานักงานศาลปกครองต+องให+ความสําคัญ ยอมรับฟ=งข+อคิด ความเห็นจากผู+มีส<วนเก่ียวข+องท้ังจากบุคลากรภายในและภายนอก เพ่ือนํามาพิจารณาปรับปรุงและพัฒนางานในระบบต<างๆ ขององคAกรให+เกิดสัมฤทธิผล สอดคล+อง และสนับสนุนการปฏิบัติงาน ด+านการพิจารณาพิพากษาคดีให+เป&นไปด+วยความรวดเร็ ว มี คุณภาพ รวมท้ังต+องเน+นการสร+างเครือข<ายความร<วมมือจากบุคลากร และหน<วยงานท้ังภาครัฐและเอกชนเพ่ือลดและปuองกันการเกิดข+อพิพาททางปกครอง ส<งเสริมงานวิชาการ การเสวนา สัมมนา เ พ่ือการแลกเปลี่ ยนองคAความรู+ ด+ านกระบวนการยุติธรรมทางปกครองระหว<างบุคลากรของศาลปกครองกับองคAกร บุคลากรจากภาคสาธารณท้ังในประเทศและต<างประเทศ รวมท้ังเสริมสร+างความรู+ด+านกฎหมายมหาชนแก<นิสิต นักศึกษาในระดับอุดมศึกษาท้ังภาครัฐและเอกชนผ<านกระบวนการสร+างและปรับปรุงหลักสูตรด+านกฎหมายมหาชนให+ได+มาตรฐานในระดับสากล รวมท้ังการแลกเปลี่ยนบุคลากรของศาลปกครองไทยกับต<างประเทศเพ่ือนําองคAความรู+ท่ีได+มาปรับใช+เพ่ือการบริหารงานของศาลปกครองไทย เพ่ือให+เกิดความเชื่อม่ัน ศรัทธา และเกิดความไว+วางใจในกระบวนการของศาลปกครองอย<างแท+จริง

“มิติการเพ่ิมสมรรถนะการบริหาร” เน+นพัฒนากระบวนการภายในท่ีเป8ด

มุมมองใหม<แก<ผู+ปฏิบัติงานท่ีต+องตระหนักเสมอว<า “ใจเขา ใจเรา” มีผลให+แนวทางพัฒนางานและการปฏิบัติตนของเจ+าหน+าท่ีในทุกระดับต<อประชาชนเปลี่ยนแปลงไปอยู<ในมุมความต+องการของผู+ได+รับความเดือดร+อน เสียหายท่ีต+องการรับคําปรึกษาแนะนําในการดําเนินคดี ต+องการรับทราบความ

เคลื่อนไหวของคดีท่ีเข+าสู<กระบวนการศาล ต+องการได+รับการเยียวยาโดยเร็ว เป&นต+น เหล<านี้มีผลให+แนวทางการพัฒนางานของศาลปกครองในการเพ่ิมสมรรถนะการบริหารจึงต+องครบองคAประกอบท้ังสามส<วน คือ (2) ใช)การบริหารงานเชิงยุทธศาสตร3ขับเคล่ือนการทํางาน โดยใช+แผนยุทธศาสตรAเป&นหลักในการบริหารงานอย<างจริงจัง โดยต+องมีความชัดเจนในผลงานและเปuาหมายผลงานท่ีจะเสนอต<อประชาชน เจ+าหน+าท่ีของรัฐ และสังคม ให+เกิดการยอมรับ เชื่อม่ัน ศรัทธา และไว+วางใจในการปฏิบัติภารกิจของศาลปกครอง พัฒนากลยุทธA วิธีการทํางานจากมุมมองภายนอก พัฒนาการสื่อสารกลยุทธAหรือสิ่งท่ีจะดําเนินการให+บุคลากรภายในและภายนอกมีความเข+าใจร<วมกันอย<างชัดเจน ท่ัวถึง ตลอดเวลา มีการตรวจสอบ ติดตาม และประเมินผลการปฏิ บั ติงานอย<างต<อเนื่อง ตลอดจนรับฟ=งข+อคิด ความเห็น คําวิจารณAเพ่ือการพัฒนา ปรับปรุงงานจากบุคคลทุกภาคส<วนมากข้ึน พร+อมท้ังมุ<งเน+นการพัฒนาระบบสารสนเทศเ พ่ือการตัดสินใจเชิ งนโยบายของผู+บริหารให+มีความสมบูรณA เพ่ือการพัฒนางานและระบบการบริหารจัดการศาลปกครองให+บรรลุเปuาประสงคAอย<างมีประสิทธิภาพ (3) มุ�งสู�การปฏิ บัติงานท่ีเป-นเ ย่ียมโดยเน)นการทํางานท่ีผลลัพธ3 ให+ความสําคัญกับการวิจัยและพัฒนา การเทียบเคียงกับหน<วยงานท่ีเป&นเลิศในด+านต<างๆ การจัดการความรู+ และเผยแพร<ความรู+ ท่ีส< ง เสริ มประสิทธิภาพการทํางานอย<างเป&นระบบท่ัวทุกกลุ<มของบุคลากร พร+อมท้ังปรับโครงสร+างและวิธีการทํางานให+สํานักงานศาลปกครองเป&นองคAกรท่ี “แบนและเร็ว” โดยการศึกษา วิเคราะหA ปรับปรุงพัฒนาเพ่ือลดลําดับข้ันตอนการทํางานให+เหลือเท<าท่ีจําเป&น ให+สั้นท่ีสุด และทําทุกอย<างให+เรียบ

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ง<ายท่ีสุด สนับสนุนให+บุคลากรทุกคนเกิดความร<วมมือและแลกเปลี่ยนข+อมูลข<าวสารได+อย<างรวดเร็ว นําเทคโนโลยีสารสนเทศมาใช+สนับสนุนให+เกิดประสิทธิภาพในการสื่อสาร รับ-ส<งข+อมูล จัดโครงสร+างและระบบงานให+เหมาะสม เพ่ือสนับสนุนการปฏิบัติงาน รวมท้ังพิจารณามอบหมายงานให+คนเก<งได+ มี โอกาสแสดงความสามารถในการปฏิ บั ติ ง าน ท่ีสํ า คัญ ท่ีสุ ดหรื อ มีผลกระทบต< อประชาชนผู+รับบริการมากท่ีสุด เพ่ือการบริหารงานท่ีมีประสิทธิภาพสูงสุด บนพ้ืนฐานการเร<งสร+างความพร+อมในทรัพยากรเพ่ือสนับสนุนการบริหารจัดการขององคAกรอย<างเหมาะสมและเพียงพอ (4) ขับเคล่ือนวัฒนธรรมศาลปกครองเพ่ือผลสําเร็จของงาน ซ่ึงวัฒนธรรมเป&นรากฐานทางความคิด ความเชื่อท่ีจะกําหนดพฤติกรรมและการกระทําของบุคลากรให+มีพฤติกรรมการทํางานท่ีสอดคล+องกับกลยุทธAองคAกร และมีผลต<อการสร+างแรงกระตุ+นให+บุคลากรขององคAกรทํางานอย<างเต็มศักยภาพ เกิดผลสําเร็จในการปฏิบัติงาน และสร+างความเชื่อม่ัน ยอมรับและศรัทธาในองคAกรจากสายตาของสาธารณชน จึงเป&นผลให+ต+องเร<งส<งเสริม รณรงคA เผยแพร<ให+ทราบท่ัวกันในการปฏิบัติตามค<านิยมท่ีเหมาะสม โดยส<งเสริมกิจกรรมท่ีก<อให+เกิดการปรับเปลี่ยนพฤติกรรมตามค<านิยมท่ีพึงประสงคA ท้ัง 5 กลุ<ม (T R U S T) ซ่ึงมาจากคําห+าคําท่ีสําคัญ คือ Transparency : โปร<งใส Righteousness: ถูกต+อง Unity : เอกภาพ Standard : มีมาตรฐาน และ Teamwork : ทํางานเป&นทีม โดยมีใจความสรุปว<า “บุคลากรของศาลปกครองเป+นผู�มุ-งม่ันทํางานอย-างเต็มกําลังความสามารถ เพ่ือประโยชนQของส-วนรวมและองคQกร เป+นผู�ท่ีมีจรรยาบรรณตามวิชาชีพ เป+นกลางและไม-เลือกปฏิบัติ มีความเป+นน้ําหนึ่งใจเดียวกันและมีความ

ภาคภูมิใจท่ีได�เป+นส-วนหนึ่งของศาลปกครอง มีการทํางานท่ีเป+นมาตรฐาน มีความรับผิดชอบ ทํางานอย-างมีคุณภาพให�เป+นท่ียอมรับ และสุดท�ายคือ สามารถทํางานร-วมกันได� อย-างเป+นทีม เป+นน้ําหนึ่งใจเดียวกัน มีความเคารพ ไว�เนื้อเชื่อใจกัน” ให+กลายเป&นจิตวิญญาณของการดํารงชีวิตและการปฏิบัติงานของบุคลากรทุกคนในศาลปกครองจนเป&นวัฒนธรรมศาลปกครอง พร+อมท้ังสนับสนุนให+นําเรื่องวัฒนธรรมศาลปกครองไปสู<รูปธรรมท้ังในระบบบริหารงานบุคคล และการพัฒนาบุคลากรอย<างต<อเนื่อง มุ<งเน+นการรักษาและพัฒนาบุคลากร โดยการพัฒนาระบบค<าตอบแทนให+เป&นไปตามหลัก “การตอบแทนตามผลงาน” อย<างแท+จริง และปรับปรุงสวัสดิการต<างๆ ให+เท<าเทียมกับหน<วยงานอ่ืนๆ ท่ีมีลักษณะงานใกล+เคียงกัน ปรับบรรยากาศองคAกรให+เ อ้ือต<อการเสริมสร+างวัฒนธรรมศาลปกครอง วางแผนสายทางความก+าวหน+าให+บุคลากรตําแหน<งต<างๆ รวมท้ังวางแผนสร+างผู+บริหารอย<างต<อเนื่อง โดยใช+การทดแทนตําแหน<งผู+บริหารระดับสูงและระดับกลางด+วยบุคลากรภายในทุกครั้งท่ีเป&นไปได+ มีระบบการพัฒนาและฝ�กอบรมท่ีเป&นเลิศ สอดคล+องกับวัฒนธรรมองคAกรและส<งเสริมประสิทธิภาพการปฏิ บั ติงาน ผู+บริหารต+องให+ความสําคัญและมีส<วนร<วมในการพัฒนาและสรรหาบุคลากรท่ีมีความสามารถและมีค<านิยมท่ีเหมาะสมเข+ามาปฏิบัติงานแก<องคAกรอย<างต<อเนื่อง การดําเนินการต<างๆ เหล<านี้จะส<งเสริมให+บุคลากรทุกคนเกิดความรัก ภาคภูมิใจ เชื่อม่ันในความเป&นศาลปกครอง และจะสะท+อนผลให+การ ทํางานมีประสิทธิภาพ เกิดภาพลักษณAท่ีดี สร+างความเชื่อม่ัน ศรัทธาสู<สาธารณะสืบไป

แ ล ะ ท+ า ย สุ ด ข อ ง ก า ร พั ฒ น ากระบวนการยุ ติ ธรรมทางปกครองไทยโดย

196


ประชาชน นั่นคือ “มิติผู�นํา” โดยริเริ่มพัฒนา

จากอัตลักษณAความมีตัวตน แนวคิด และทัศนคติของผู+นําหรือหัวหน+าทีมผู+ทําหน+าท่ีบริหารองคAกรในทุ ก ร ะ ดั บ ใ ห+ ต+ อ ง มี คุ ณ ลั ก ษ ณ ะ สํ า คั ญ ต า มองคAประกอบท่ี (5) เน)นบทบาทผู)นําต)องทุ�มเท กล)าหาญ และเสียสละ โดยผู+นํามีบทบาทสําคัญในการ ขับ เคลื่ อน สร+ า งแรง บันดาลใจ และดึ งความสามารถของบุคลากรในองคAกรเ พ่ือการบรรลุผลสําเร็จแห<งเปuาหมายองคAกร ผู+บริหารซ่ึงเป&นผู+นําองคAกรจึงต+องลงมือปฏิบัติ เป&นแบบอย<างท่ีดี มีความสามารถสร+างแรงจูงใจแก<บุคลากรให+พร+อมท่ีจะทุ<มเทความรู+ ความสามารถเพ่ือผลสําเร็จของงาน มีความกล+าหาญ เสียสละ มีความโปร<งใสในการบริหารราชการ พร+อมกล+าแสดงความรับผิดชอบ และมีความยุติธรรม พร+อมสนับสนุนและส<งเสริมโอกาสให+บุคลากรทุกคนได+แสดงออกซ่ึงความสามารถ ซ่ึงจะส<งผลต<อกระบวนการขับเคลื่อนทางการบริหารและการปรับกระบวนทัศนAการบริหารเพ่ือมุ<งสู<ความสําเร็จของการดําเนินงานศาลปกครองอย<างยั่งยืน

บรรณานุกรม

กรมการปกครอง .กระทรวงมหาดไทย ."ประกาศสํานักทะเบียนกลาง กรมการปกครอง

เรื่อง จํานวนราษฎรท่ัวราชอาณาจักร แยกเป ็นกรุงเทพมหานครและจังหวัดต�างๆ ตามหลักฐานการทะเบียนราษฎร ณ วันท่ี 31 ธันวาคม 2554 ." ]ออนไลนA .[เข+าถึงได+จาก :http://stat.bora.dopa.go.th/stat/y_stat54.html 2555. สืบค+น 10 สิงหาคม 2555.

คณะอนุกรรมการจัดกิจกรรมแสดงผลงานและประชาสัมพันธA .สํานักนโยบายและแผน .สํานักงานศาลปกครอง . 9 ปRศาลปกครอง

แห�งความเช่ือม่ัน. กรุงเทพฯ :บริษัท ดิน ดีไซนA จํากัด, 2553.

คณะอนุกรรมการด+านประชาสัมพันธAและรับรองผู+เข+าร<วมพิธีสํานักงานศาลปกครอง .พิธีวางศิลาฤกษ3 และ เป!ดอาคารท่ีทําการศาลปกครอง. กรุงเทพฯ : บริษัท ติน ดีไซนA จํากัด ,2552.

คําสัมภาษณAประธานศาลปกครองสูงสุด )นายหัสวุฒิ วิฑิตวิริยกุล .( “มิติใหม�ศาลปกครอง

สูงสุด แก)ปSญหาคดีล�าช)า -ตั้งโฆษกแจงคดี”, วันท่ี 4 ตุลาคม 2553, [ออนไลนA .[เข+าถึงได+จาก :http://www.manager.co.th/daily/ViewNews.aspx? NewsID=9530000139517. สืบค+น 9 สิงหาคม 2555.

ฐานข)อมูลจากห)องปฏิบัติการทางการบริหารของศาลปกครอง )Management Cockpit) ณ วันท่ี 30 มิถุนายน พ .ศ . 2555

แผนยุทธศาสตร3ศาลปกครอง )ฉบับท่ี 3) พ .ศ .2554-2557.

รัฐธรรมนูญแห�งราชอาณาจักรไทย พุทธศักราช 2550.

สํานกงานคณะกรรมการกฤษฎีกา .การพัฒนาระบบกระบวนการยุติธรรมทางปกครองของไทย . กรุงเทพฯ : มปพ ,2539.

)เอกสารไม<ตีพิมพAเผยแพร<( สํานักนโยบายและแผน .สํานักงานศาลปกครอง .

รายงานการปฏิบัติงานของศาลปกครองและสํานักงานศาลปกครอง ประจําปR

197


2550. กรุงเทพฯ :โรงพิมพAสํานักงานพระพุทธศาสนาแห<งชาติ . 2552.

สํานักงานศาลปกครองสูงสุด สํานักงานศาลปกครอง .คู�มือระบบงานแบบเบ็ดเสร็จ )ONE FOR ALL). โครงการปรับปรุงระบบงานในส<วนสนับสนุนงานคดีปกครอง สํานักงานศาลปกครอง .กันยายน 2547. (เอกสารไม<ตีพิมพAเผยแพร<(

อักขราทร จุฬารัตน .กว�าจะมาเป-น ...ศาลปกครอง. พิมพAครั้งท่ี 3 .กรุงเทพฯ : บริษัท ติน ดีไซนA จํากัด ,2554.

----------------------- .การใช)และการตีความกฎหมาย. กรุงเทพฯ :บริษัท บพิธการพิมพA จํากัด. , 2553.

เอเจอรA, แซม .ธรรมาภิบาล การบริหารการปกครองท่ีโปร�งใสด)วยจริยธรรม. แปลโดย ไชยวัฒนA คํ้าชู และคณะ .กรุงเทพฯ

:บริษัท สํานักพิมพAน้ําฝน จํากัด , 2545. เอกสารประกอบการประชุมคณะกรรมการกํากับ

ติดตามและพัฒนายุทธศาสตร3การดําเนินงานของศาลปกครองและสํานักงานศาลปกครอง ครั้งท่ี 45-7/2555, วันศุกรAท่ี 20 กรกฎาคม 2555 เวลา 13.30 น .ณ ห+องประชุม ชั้น 10 อาคารศาลปกครอง ).เอกสารไม<ตีพิมพAเผยแพร<(

198


การศึกษากรณีข)อพิพาททางปกครองเก่ียวกับการบริหารงานบุคคลภาครัฐ (Case Study: Public Personnel Administrative Disputes)

นายสุชาติ เวโรจนA (Suchart Verojana) ประธานกรรมการพิทักษAระบบคุณธรรม

ข+าราชการกรุงเทพมหานครและบุคลากร กรุงเทพมหานคร (Chairman of Bangkok Metropolitan Authority

Civil Servant and Personnel Merit Protection Commission)

๑. บทนํา การบริหารงานบุคคลภาครัฐ (Public Personnel Administration) เป&นกระบวนการสํา คัญท่ีสุดกระบวนการหนึ่งของการบริหารราชการ เพราะส<วนราชการหรือหน<วยงานใดแม+ว< าจะมีการวางแผนงานอย<างดีเสิศ มีกําลังเงินและวัสดุอุปกรณAม า ก แล ะ ดี เ พี ย ง ไ ร ก็ ต าม ห า กข า ดค น ดี มีสมรรถภาพในการปฏิบัติงาน การบริหารงานของหน<วยราชการก็ไม<อาจเป&นไปอย<างมีประสิทธิภาพและได+ผลงานตามเปuาหมายท่ีกําหนดไว+ได+ การบริหารงานบุคคลเป&นกระบวนการในการจัดการ นับแต<การสรรหาคนดี มีความสามารถมาไว+ปฏิบัติงานให+เหมาะสมกับตําแหน<งหน+าท่ีและอัตราเงินเดือน การพัฒนาคนให+มีความรู+ความสามารถและสมรรถภาพในการทํางานให+มากยิ่งข้ึน การบํารุงขวัญกําลังใจและให+ความม่ันคงในการทํางาน การถนอม หรือดึงคนดีมีความรู+ความสามารถให+อยู<ทํางานนานๆ โดยไม<คิดจะโอน ย+าย หรือเปลี่ยนอาชีพเสียก<อนเวลาอันควร ตลอดจนการกําจัดคนเลว ไม<มีความรู+ ความสามารถ และสมรรถภาพเหมาะสมให+ออกจากงานด+วย ใ น ร ะ บ บ ข+ า ร า ช ก า ร ก ร ะ บ ว น ก า รบริหารงานบุคคลภาครัฐหากจะพูดให+คนท่ัวไปเข+าใจเห็นภาพชัดในเวลาสั้นๆ สามารถแสดงด+วยหัวข+อท่ีร+อยเรียงคล+องจองกัน คือ กระบวนการ

คําว<า สรรหา (Recruitment) หมายถึง การแสวงหาคนดีมารับราชการ ซ่ึงอาจทําด+วยวิธีการใดๆ เช<น การชักจูง การประกาศรับสมัคร การให+ทุนการศึกษา โดยมีสัญญาผูกมัดว<าเม่ือจบการศึกษาต+องเข+ารับราชการ รวมท้ังการเลือกสรร (Selection) ให+ได+คนดีเข+าราชการด+วย นอกจากนี้ข้ันตอนของการสรรหาคนเข+ารับราชการยังหมายถึง การบรรจุ (in-statement) ซ่ึงได+แก< การทําให+คนมีสถานภาพเป& นข+ า ราชการ และการแต� งตั้ ง (appointment) ซ่ึงได+แก< การทําให+ข+าราชการมีตําแหน<ง อํานาจหน+าท่ี และความรับผิดชอบ71 คําว<า พัฒนา (Development) หมายถึง การเพ่ิมพูนประสิทธิภาพในการปฏิบัติราชการของข+าราชการ เพ่ือให+เกิดผลสัมฤทธิ์ต<อภารกิจของรัฐ ซ่ึงได+แก< พัฒนาให+ข+าราชการเป&นท้ังคนดี คนเก<ง โดยดําเนินการให+ข+าราชการมี

1. คุ ณ ภ า พ ห ม า ย ถึ ง ค ว า ม รู+ ความสามารถ ความเฉลียวฉลาด ความชํานาญการ

2. คุณธรรม หมายถึง ความดีงามในจิตใจทําให+เคยชินประพฤติดี

71 สํานักงาน ก.พ. ,พระราชบัญญัติระเบียบข)าราชการพลเรือน พ.ศ.2551 : สรุปสาระสําคัญและคําอธิบายรายมาตรา (กรุงเทพฯ:

บริษัทธนาเพรสจํากดั,2551) หน+า 77

สรรหา – พัฒนา – รักษาไว� – ใช�ประโยชนQ

199


3. จริยธรรม หมายถึง ความประพฤติตามมาตรฐานท่ีกําหนด หรืออันเป&นท่ีมุ<งหวัง72

นอกจากนี้การพัฒนายังหมายรวมถึง การทําให+ข+าราชการมีจรรยาและมีวินัยท่ีพร+อมท่ีจะเป&นข+าราชการ ซ่ึงคําว<าวินัยมองได+ ๒ มุมมอง คือ มองในแง<บทบาท หมายถึง “แบบของคน” เป&นลักษณะ เชิงพฤติกรรมท่ีคนปฏิบัติหรือไม<ปฏิบัติตามข+อปฏิบัติ หรือไม<ฝsาฝ�นข+อห+ามทางวินัยท่ีกําหนดไว+เป&นปทัสถานแห<งความประพฤติสําหรับคนในหมู<เหล<านั้น ส<วนอีกมุมมองหนึ่งคือการมองวินัยในแง< “การบังคับ” ซ่ึงจะมุ<งไปท่ีการพิจารณาความชั่วความดี หรือความรับผิดชอบของคน ต<อจรรยาและวินัย ท่ีกฎหมายกําหนดให+ข+าราชการต+องปฏิบัติ73 คําว<า รักษาไว) (Retainment) ได+แก<การเสริมสร+ า งแรงจู ง ใจ ในการปฏิ บั ติ งาน ให+ แก<ข+าราชการ เพ่ือดึงดูดรักษาให+ข+าราชการอยากรับราชการ ทุ<มเท อุทิศตนให+กับงานราชการ การเสริมสร+างแรงจูงใจในการปฏิ บั ติงานสําหรับข+าราชการสามารถดําเนินการโดยให+ข+าราชการมี74 1. คุณภาพชีวิต หมายถึง การให+ความพอเพียงแก<ข+าราชการในการดําเนินชีวิตตามฐานานุรูป โดยให+พออยู< พอกิน พอสะดวกสบาย พอเข+าสังคม และพอม่ันใจในความปลอดภัยท้ังชีวิต ร<างกายและทรัพยAสิน เพ่ือเป&นแรงจูงใจในการปฏิบัติราชการ 2. ขวัญและกําลังใจ ขวัญ เป&นความรู+สึกในจิตใจซ่ึงทําให+เกิดผลกระทบต<อพลังในการทํางาน โดยอาจเป&นผลบวกหรือผลลบก็ได+ ถ+าเป&นผลบวกก็จะทําให+

72 เพ่ิงอ)าง หน+า 105

73 เพ่ิงอ)าง หน+า 112-113

74 เพ่ิงอ)าง หน+า 105

เกิดขวัญดี มีการทุ<มเทในการทํางาน ถ+าเป&นผลลบก็จะทําให+เสียขวัญ มีการท+อถอยในการทํางาน เม่ือต+องการให+การปฏิบัติราชการของข+าราชการเกิดผลสัมฤทธิ์ต<อภารกิจของรัฐ ก็จะต+องดําเนินการให+ข+าราชการมีขวัญดีเพ่ือให+ทุ<มเทในการทํางาน กําลังใจ เป&นพลังผลักดันให+สู+ ถ+ากําลังใจดีก็จะทําให+ร<างกายปลดปล<อยพลังออกมามาก ถ+ากําลังใจไม<ดีร<างกายก็จะปลดปล<อยพลังออกมาน+อย เม่ือต+องการให+การปฏิบัติราชการของข+าราชการเกิดผลสัมฤทธิ์ต<อภารกิจของรัฐ ก็ต+องดําเนินการให+ข+าราชการมีกําลังใจในการปฏิบัติราชการเพ่ือเพ่ิมพลังในการทํางาน

กระบวนการรักษาข+าราชการไว+ให+อยู<ในระบบได+ก็คือผู+บังคับบัญชาต+องดูแลคุณภาพชีวิตและสร+างขวัญและกําลังใจให+แก<ข+าราชการ ป=จจัยสําคัญท่ีสุดประการหนึ่งในการสร+างขวัญและกําลังใจให+เกิดข้ึนกับข+าราชการ ก็คือ “ความยุติธรรม” ท่ีผู+บังคับบัญชาจะต+องมอบให+แก<ผู+ ใ ต+ บั ง คับ บัญชา ในกรณี พิจารณาบํา เหน็ จความชอบต<างๆท่ีจะมอบให+ข+าราชการท้ังในรูปของเงิน โอกาสและผลประโยชนA การเลื่อนตําแหน<ง การโยกย+าย รวมท้ังการพิจารณาและลงโทษวินัยแก<ข+าราชการ คําว<า ใช)ประโยชน3 (utility) หมายถึง ข้ันตอนของการนํ า เอ าข+ า ร าชการ ท่ี ได+ ผ< า นกระบวนการสรรหา พัฒนา รักษาไว+ จนเป&นข+าราชการท่ีดี เก<ง มีความสามารถ มีคุณภาพชีวิตท่ีดีและมีขวัญกําลังใจท่ีสูง มาใช+ให+เกิดประโยชนAแก<งานราชการซ่ึงหากข+าราชการดีและเก<งจริงรวมท้ังมีคุณภาพชีวิตท่ีดีมีขวัญกําลังใจสูงจริง เม่ือนํามาใช+ประโยชนAกับงาน ก็จะทําให+งานมีคุณภาพ ประสิทธิภาพ และประสิทธิผลอย<างไม<มีป=ญหา แต<การจะได+ผลสูงเพียงไรนั้นจะข้ึนอยู<กับระบบงาน

200


และวิธีบริหารจัดการของผู+บังคับบัญชาแต<ละคนท่ีทําให+ เ กิดข้ึนโดยอาศัยความยุ ติธรรมทางด+านบริหารงานบุคคล ๒. ความขัดแย)งและข)อพิพาททางปกครองเก่ียวกับการบริหารงานบุคคล ในเอกสารการศึกษาฉบับนี้ มีขอบเขตท่ีจะจํากัดการศึกษาการบริหารบุคคล ให+อยู<ในขอบเฉพาะเรื่องของการสร+างหลักประกันท่ีปกปuองขวัญกําลังใจข+าราชการในการปฏิบัติหน+าท่ี ซ่ึงเป&นมิติท่ีแตกต<างจากมุมมองของนักบริหารงานบุคคลภาครัฐท่ัวไป เพราะนักวิชาการด+านบริหารงานบุคคลซ่ึงส<วนใหญ<มิใช<เป&นนักกฎหมายมหาชนหากแต<เป&นนักบริหาร จะสนใจศึกษาในประเด็นของขอบเขตด+านการบริหารจัดการท่ีมุ<งเน+นการดึงศักยภาพของคนออกมาใช+ประโยชนAเ พ่ือให+งานเกิดคุณภาพ ประสิทธิภาพ และประสิทธิผลมากท่ีสุดเป&นหลัก แต<จะไม<มองการบริหารงานบุคคลในขอบเขตท่ีเป&นบริบทของกรณีพิพาทในทางปกครองเก่ียวกับ การบริหารงานบุคคลซ่ึงจําเป&นต+องอาศัยความยุติธรรมในมิติของกฎหมายปกครองเข+ามาแก+ไข ต+องเข+าใจว<า ในโลกยุคโลกาภิวัตนA ท่ีเน+นการแข<งขันกันอย<างเสรี คนเป&นป=จจัยสําคัญท่ีสุดในการชี้ขาดชัยชนะของการแข<งขัน คนดีคนเก<งจึงเป&นยอดปรารถนาของทุกองคAการ เพ่ือการเป&นผู+ชนะเด็ดขาดในการแข<งขัน องคAการท่ีประสบความสําเร็จสูงสุดในการแข<งขันจึงมีคนดีคนเก<งท่ีอุทิศกายและใจทํางานให+กับองคAการเป&นจํานวนมาก แต<กองทัพคนดีคนเก<งในหน<วยงานจะไร+ประโยชนAโดยทันที ถ+าคนดีคนเก<งท้ังหลาย หรือคนใดคนหนึ่งขาดขวัญกําลังใจ ซ่ึงสาเหตุสําคัญท่ีทําให+คนทํางานในหน<วยงานขาดขวัญกําลังใจส<วนสําคัญจะมาจากการไม<ได+รับความยุ ติธรรมจากหน<วยงานหรือ

ผู+บังคับบัญชา ซ่ึงหากคนในองคAการรู+สึกว<าไม<ได+รับความยุติธรรมจากหน<วยงานเม่ือไร ความรู+สึกอยากทํางานรวมท้ังความซ่ือสัตยAต<อหน<วยงาน หรือความคิดท่ีทุ<มเททํางานให+หน<วยงานจะสูญหายไปจากตัวบุคคลผู+นั้นทันที การมีคนดีคนเก<งจํานวนมากของหน<วยงานจึงไม<มีประโยชนAอันใดเลย หากคนดีคนเก<งนั้นไม<อุทิศพลังกายและใจทํางานให+กับหน< วยงาน เพราะการขาดขวัญ กํ าลั ง ใจ อั นเนื่องมาจากการไม<ได+รับ “ความยุติธรรม” จากหน<วยงานหรือผู+บังคับบัญชา บทความนี้จึงจํากัดขอบเขตการศึกษาเฉพาะกรณีพิพาททางปกครองท่ีเ ก่ียวกับการบริหารงานบุคคลภาครัฐ เพ่ือให+เป&นแง<คิดมุมมองหนึ่งสําหรับให+นักบริหารงานบุคคลภาครัฐได+เห็นความสําคัญ ข+อพิพาททางปกครองโดยเฉพาะข+อพิพาททางด+านการบริหารงานบุคคล ซ่ึงได+แก< กรณีพิพาทระหว< า งข+ า ร าชการ ท่ี เป& นผู+ บั ง คับ บัญชา กับผู+ใต+บังคับบัญชาหรือนายกับลูกน+องส<วนมากจะเป&นเรื่องข+อขัดแย+งเก่ียวกับ การบรรจุ การแต<งต้ัง การโยกย+าย การให+สวัสดิการ และวินัยของข+าราชการ โดยปกติหากหาข+อยุติกันไม<ได+ ก็จะนําไปสู<การเรียกร+องของความเป&นธรรมจากศาลหรือองคAกรวินิจฉัยข+อพิพาท ซ่ึงในกรณีข+อพิพาทเก่ียวกับการบริหารบุคคลนี้องคAวินิจฉัยชี้ขาดเพ่ือให+เกิดความเป&นธรรมตามกฎหมายจะได+แก< ศาลปกครองซ่ึงจัดต้ังโดยพระราชบัญญัติจัดต้ังศาลปกครองและวิธีพิจารณาคดีปกครอง พ.ศ.๒๕๔๒ และคณะกรรมการพิทักษAระบบคุณธรรมซ่ึงจัดต้ังโดยกฎหมายว<าด+วยระเบียบข+าราชการในแต<ละประเภทจะเป&นกลไกในการวินิจฉัยชี้ขาดและเยียวยาผู+ได+รับความเสียหายในกรณีพิพาททางปกครองเก่ียวกับการบริหารงานบุคคลภาครัฐ

201


ศาลปกครองเป&นองคAการตุลาการ ในขณะท่ีคณะกรรมการพิทักษAระบบคุณธรรมเป&นองคAกรก่ึงตุลาการ เพราะต<างมีอํานาจประกาศิตบังคับคู<กรณีท่ีเป&นหน<วยงานทางปกครองซ่ึงเป&นฝsายแพ+คดีได+เหมือนกันแต<ต<างกันตรงท่ีศาลปกครองเม่ือตัดสินชี้ขาดแล+วข+อพิพาทนั้นยุตินําไปฟuองร+องต<อท่ีไหน มิ ได+ แ ล+ ว แต< คํ า วิ นิ จ ฉั ยข+ อ พิพาทขอ งคณะกรรมการพิทักษAระบบคุณธรรมเม่ือตัดสินออกมาแล+วจะไม<ยุติเหมือนศาล คู<กรณีมีสิทธิโต+แย+งไม<ย อ ม รั บ คํ า ตั ด สิ น โ ด ย นํ า คํ า วิ นิ จ ฉั ย ข อ งคณะกรรมการพิทักษAระบบคุณธรรมไปฟuองต<อศาลปกครองได+ นอกจากนี้ศาลปกครองยังมีกฎหมายว<าด+วยการละเมิดอํานาจศาลคุ+มครองศาลอยู<ในขณะท่ีคณะกรรมการพิทักษAระบบคุณธรรมไม<มีกฎหมายคุ+มครอง อย<างไรก็ตามต+องยอมรับว<าท้ังศาลปกครองและคณะกรรมการพิทักษAระบบคุณธรรมมีส<วนเยียวยาและลดข+อขัดแย+งทางด+านการบริหารงานบุคคลระหว<างข+าราชการท่ีเป&นผู+บังคับบัญชากับผู+ใต+บังคับบัญชาได+อย<างมาก และเม่ือมีการตัดสินข+อพิพาทแล+วคําตัดสินวินิจฉัยจะทําให+เกิดบรรทัดฐานท่ีเป&นแนวทางในการตัดสินชี้ขาดคดีในครั้งต<อไปเพ่ิมมากข้ึนๆ ป=จจุบันมีกฎหมายจัดต้ังคณะกรรมการพิ ทั ก ษA ร ะ บ บ คุ ณ ธ ร ร ม แ ล+ ว ๒ ฉ บั บ 75 คื อ คณ ะ กร ร มก า ร พิ ทั ก ษA ร ะ บบ คุ ณธ ร รม ต า มพระราชบัญญัติระเบียบข+าราชการพลเรือน พ.ศ.2555 ท่ีแยกตัวมาจากคณะกรรมการข+าราชการพลเรือนหรือ ก.พ. เรียกว<า คณะกรรมการพิทักษAระบบคุณธรรม หรือ ก.พ.ค. กับอีกคณะกรรมการหนึ่งคือ คณะกรรมการพิทักษAระบบคุณธรรมของ

75 พระราชบัญญัตริะเบียบข+าราชการพลเรือน พ.ศ.2551 และพระราชบัญญัตริะเบียบข+าราชการกรุงเทพมหานคร พ.ศ.2554

ข+ า ร าชการกรุ ง เ ทพมหานคร หรื อ ก .พ . ค . กรุงเทพมหานคร ๓. ขอบเขตและประเภทข)อพิพาททางปกครอง ตามรั ฐธรรมนูญแห< งราชอาณาจักรไทยและพระราชบัญญัติจัดต้ังศาลปกครอง ศาลปกครองมีอํานาจพิจารณาพิพากษาหรือมีคําสั่งในคดีปกครอง อันได+แก< คดีระหว<างหน<วยงานของรัฐด+วยกัน หรือหน<วยงานของรัฐกับประชาชน อันเนื่องมาจากการกระทําทางปกครองหรือการใช+อํานาจท่ีอยู<ภายใต+บังคับของกฎหมายปกครอง กรณีพิพาทในเรื่องการบริหารงานบุคคลเป&นคดีปกครองเพราะเป&นกรณีพิพาทระหว<างหน<วยงานของรัฐกับเจ+าหน+าท่ีของรัฐ หรือระหว<างเจ+าหน+าท่ีของรัฐด+วยกัน อันเกิดจากการใช+อํานาจตามกฎหมายท่ีเก่ียวกับการบริหารงานบุคคล โดยปกติข+อพิพาททางปกครอง ได+แก< คดีหรือข+อพิพาทท่ีเกิดข้ึนเนื่องจากการกระทําทางปกครองของ “หน<วยงานทางปกครอง” หรือ “เจ+าหน+าท่ีของรัฐ” ซ่ึงมีความหลากหลายและครอบคลุมถึงบรรดาการกระทําต<างๆ ของฝsายปกครอง ท้ังท่ีมีลักษณะเป&นการใช+อํานาจตามกฎหมายและแสดงเจตนาหรือสั่ งการ ท่ี มีผลก<อให+ เ กิดนิ ติสัมพันธA ข้ึนระหว<างบุคคลหรือมีผลกระทบต<อสิทธิและหน+าท่ีของบุคคล ท่ีเรียกว<า “นิ ติกรรมทางปกครอง” (กฎและคําสั่ งทางปกครอง) และสัญญาทางปกครอง เช<น การออกใบอนุญาตก<อสร+างหรือการสั่งการให+รื้อถอนอาคาร การ ทํ าสัญญาจ+ า งก< อสร+ า ง เ ข่ื อน โ ร ง เ รี ยน โรงพยาบาล รวมท้ังการกระทําท่ีไม<ใช<การแสดงเจตนาหรือสั่งการแต<เป&นการกระทําของเจ+าหน+าท่ีท่ีอาจมีผลทางกฎหมาย หรือท่ีเรียกว<า “ปฏิบัติการทางปกครอง” (Administrative Real Acts) เช<น

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เจ+าหน+าท่ีตํารวจใช+รถยกรถยนตAท่ีจอดในท่ีห+ามจอด การรื้อสิ่งปลูกสร+างในคูคลองสาธารณะท่ีปลูกสร+างโดยผิดกฎหมาย เป&นต+น เนื่องจากการกระทําทางปกครองนั้นมีความหลากหลายและแบ<งแยกได+เป&นหลายประเภท แต<คดีปกครองท่ีเก่ียวกับการบริหารงานบุคคลส<วนใหญ<จะได+แก< คดีพิพาทเก่ียวกับการกระทําฝnายเดียวของหน�วยงานทางปกครองหรือเจ)าหน)าท่ีของรัฐ ซ่ึงก็คือ คดีพิพาทเก่ียวกับการท่ีหน<วยงานทางปกครองหรือเจ+าหน+าท่ีของรัฐกระทําการโดยไม<ชอบด+วยกฎหมาย ไม<ว<าจะเป&นการออกกฎ คําสั่งทางปกครอง เนื่องจากกระทําโดยไม<มีอํานาจหรือนอกเหนืออํานาจ หรือไม<ถูกต+องตามกฎหมาย หรือโดยไม<ถูกต+องตามรูปแบบข้ันตอน หรือวิธีการอันเป&นสาระสําคัญท่ีกําหนดไว+สําหรับการกระทํานั้น หรือโดยไม<สุจริตหรือมีลักษณะเป&นการเลือกปฏิบัติท่ีไม<เป&นธรรม หรือมีลักษณะเป&นการสร+างข้ันตอนโดยไม<จําเป&น หรือสร+างภาระให+เกิดกับประชาชนเกินสมควร หรือเป&นการใช+ดุลพินิจโดยไม<ชอบ ท้ังนี้ ตามมาตรา 9 วรรคหนึ่ง (1) แห<งพระราชบัญญัติจัดต้ังศาลปกครอง ข+อพิพาททางปกครอง ท่ี เ ก่ียว กับการบริหารงานบุคคลส<วนใหญ<จะเ กิดจากการ ท่ีผู+ใต+บังคับบัญชาได+แย+งการใช+อํานาจออกคําส่ังทางปกครองและออกกฎโดยผู+ บังคับบัญชาซ่ึงเป&นหัวหน+าสูงสุดของส<วนราชการ “คําส่ังทางปกครอง” หมายความว<า การใช+อํานาจตามกฎหมายของเจ+าหน+าท่ีท่ีมีผลเป&นการสร+างนิ ติสัมพันธA ข้ึนระหว<างบุคคลในอันจะก<อ เปลี่ยนแปลง โอน สงวน ระงับ หรือมีผลกระทบต<อสถานภาพขอสิทธิหรือหน+าท่ีของบุคคล ไม<ว<าจะเป&นการถาวรหรือชั่วคราว เช<น การสั่งการ การอนุญาต การอนุมัติ การวินิจฉัยอุทธรณA การ

รับรอง และการรับจดทะเบียน แต<ไม<หมายความรวมถึงการออกกฎ เช<น คําสั่งให+รื้อถอนอาคารท่ีมีลักษณะเป&นอันตรายต<อสาธารณชนตามกฎหมายควบคุมอาคาร การเพิกถอนหรือพักใช+ใบอนุญาตประกอบวิชาชีพเวชกรรมหรือวิชาชีพอ่ืน การวินิจฉัยการเป8ดเผยข+อมูลข<าวสารตามกฎหมายข+อ มูลข< าวสารราชการ การรับจดทะเ บียนเครื่องหมายการค+า การรับจดทะเบียนสิทธิและนิติกรรมเก่ียวกับท่ีดิน เป&นต+น นอกจากนั้น คําสั่งทางปกครองยังรวมถึงการอ่ืนท่ีกําหนดในกฎกระทรวงท่ีออกตามความในพระราชบัญญัติวิธีปฏิบัติราชการทางปกครอง พ.ศ.2539 ด+วย เช<น การดําเนินการเก่ียวกับการจัดหาหรือให+สิทธิประโยชนAเก่ียวกับการพัสดุ อาทิเช<น การสั่ งรับหรือไม< รับคํา เสนอขายรับจ+างแลกเปลี่ ยน ให+ เช< า ซ้ือ เช<า หรือให+สิทธิประโยชนA การอนุมัติสั่งซ้ือ จ+าง แลกเปลี่ยน เช<า ขาย ให+เช<า หรือให+สิทธิประโยชนA การสั่งยกเลิกกระบวนการพิจารณาคําเสนอ หรือการดําเนินการเก่ียวกับการให+หรือไม<ให+ทุนการศึกษา คํ า สั่ ง ท า ง ป ก ค ร อ ง ท่ี เ ก่ี ย ว กั บ ก า รบริหารงานบุคคลเป&นการใช+อํานาจตามกฎหมายท่ีทําต<อเจ+าหน+าท่ีของรัฐ หากเป&นการกระทําท่ีมีผลกระทบต<อสิทธิหน+าท่ีของเจ+าหน+าท่ีผู+นั้นเป&นการส<วนตัว เช<น คําสั่งท่ีเก่ียวกับการบริหารงานบุคคลหรือสวัสดิการ อาทิเช<น คําสั่งแต<งต้ัง เลื่อนข้ัน เลื่อนตําแหน<ง คําสั่งลงโทษทางวินัย คําสั่งพักราชการในระหว<างสอบสวนทางวินัย คําสั่งให+ออกจากราชการไว+ก<อน คําสั่งไม<อนุมัติให+เบิกค<าเช<าบ+านหรือค<ารักษาพยาบาล คําสั่งให+เจ+าหน+าท่ี ท่ีทําละเมิดในการปฏิบัติหน+าท่ีชดใช+เงินท่ีหน<วยงานของรัฐได+ชดใช+ค<าสินไหมทดแทนแก<ผู+ เสียหายตาม

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มาตรา 12 แห<งพระราชบัญญัติความรับผิดทางละเมิดของเจ+าหน+าท่ี พ.ศ.2539 เป&นต+น “กฎ” หมายความว<า พระราชกฤษฎีกา กฎกระทรวง ประกาศกระทรวง ข+อบัญญัติท+องถ่ิน ระเบียบ ข+อบังคับ หรือบทบัญญัติอ่ืนท่ีมีผลบังคับเป&นการท่ัวไป ไม<ใช<บังคับแก<บุคคลใดบุคคลหนึ่งหรือกรณีใดกรณีหนึ่งโดยเฉพาะ เช<น พระราชกฤษฎีกากําหนดเขตอุทยานแห<งชาติ กฎกระทรวงท่ีกําหนดเวลาเป8ดหรือป8ดสถานบริการ ระเบียบมหาวิทยาลัยท่ีกําหนดให+นักศึกษาต+องทําวิทยานิพนธAเป&นภาษาอังกฤษ กฎ ก.พ. ท่ีวางหลั ก เ กณฑA เ ก่ี ย ว กั บกา ร ส อบส ว นทา ง วิ นั ย หนังสือเวียนของกระทรวงการคลังเก่ียวกับสิทธิการเบิกค<าเช<าบ+านท่ีได+กําหนดหลักเกณฑAจํากัดสิทธิของข+าราชการเพ่ิมเติมไปจากท่ีกําหนดไว+ในพระราชกฤษฎีกาค<าเช<าบ+านข+าราชการ พ.ศ.2527 หนังสือเวียนสํานักงาน ก.พ. เก่ียวกับหลักเกณฑA การเลื่อนและแต<งต้ัง และหลักเกณฑAการย+ายข+าราชการ เป&นต+น ๔. หลักเกณฑ3และวิธีการท่ีศาลปกครองและคณะกรรมการพิทักษ3ระบบคุณธรรมใช)ในการวินิจฉัยความถูกผิดของการดําเนินการของรัฐ ศาลปกครองและคณะกรรมการพิทักษAระบบคุณธรรมจะมีวิธีการตรวจสอบความชอบหรือไม<ชอบด+วยกฎหมายของคําสั่งทางปกครอง หรือกฎระเบียบเก่ียวกับการบริหารงานบุคคลโดยใช+กฎหมายหลักเกณฑAตามกฎหมาย และอนุบัญญัติท่ีออกโดยอาศัยอํานาจตามกฎหมายเก่ียวกับการบริหารงานบุคคลของข+าราชการต<างๆหลายฉบับ ซ่ึงมีกฎหมายหลักๆได+แก< (๑) กฎหมายรัฐธรรมนูญในส<วนท่ีเป&นสิทธิเสรีภาพของประชาชน

(๒ ) พระราช บัญญั ติวิ ธี พิจารณาทางปกครอง พ.ศ.2539 (๓) พระราชบัญญัติจัดต้ังศาลปกครองและวิธีพิจารณาคดีทางปกครอง พ.ศ.2542 (๔) พระราชบัญญัติระเบียบข+าราชการพลเรือน พ.ศ.2551 (๕) พระราชบัญญัติระเบียบข+าราชการกรุงเทพมหานคร พ.ศ.2554 (๖ ) พ ระ ร าช บัญญั ติ ท่ี เ ก่ี ย ว กั บก า รบริหารงานบุคคลของข+ าราชการต< างๆ เช<น ข+าราชการครู ข+าราชการตํารวจ ข+าราชการรัฐสภา (๗) กฎระเบียบและอนุบัญญัติท่ีออกโดยอาศัยอํานาจตามกฎหมายโดยองคAการกลางบริหารงานบุคคลของข+าราชการประเภทต<างๆ (๘) หลักกฎหมายท่ัวไปเช<นลําดับชั้นของกฎหมาย หลักความยุติธรรม (๙) หลักการบริหารราชการแผ<นดิน เช<น หลักบริการสาธารณะ หลักการใช+อํานาจบังคับบัญชา หลักการใช+อํานาจกํากับดูแล หลักปฏิบัติราชการแทน หลักรักษาราชการแทน รวมท้ังหลักบริหารบุคคลภาครัฐ เช<น หลักการแต<งต้ังโยกย+าย หลักการมอบหมายงาน หลักพัฒนาบุคคล เป&นต+น พระราชบัญญัติวิธีปฏิบัติราชการทางปกครอง พ.ศ.๒๕๓๙ หลักเกณฑAตามกฎหมายวิธีปฏิบัติราชการทางปกครองกําหนดโดยสรุปจะได+แก< หลักประกันสิทธิของข+าราชการท่ีจะอยู<ในบังคับของคําสั่งทางปกครอง 9 ประการ ซ่ึงผู+มีอํานาจออกคําสั่งทางปกครองจะต+องปฏิบัติตามโดยเคร<งครัดและต+อง

204


ระมัดระวังท่ีจะไม<ละเมิดอย<างเด็ดขาด มิฉะนั้นคําสั่งทางปกครองนั้นจะไม<ชอบด+วยกฎหมาย คือ76 (1) สิทธิได+รับแจ+งผลกระทบต<อสิทธิ เม่ือจะมีการออกคําสั่งทางปกครอง (2) สิทธิ มี ท่ีปรึกษา และผู+ ทําการแทน เพ่ือช<วยเหลือในการชี้แจงในกระบวนพิจารณาเพ่ือออกคําสั่งทางปกครอง (3) สิทธิได+รับคําแนะนําและได+รับแจ+งสิทธิหน+าท่ีในกระบวนการพิจารณาเพ่ือออกคําสั่งทางปกครอง (4) สิทธิได+รับการพิจารณาโดยสมบูรณA โดยผู+ออกคําสั่งทางปกครองแจ+งพิจารณาจากความจริงทุกด+านเท<าท่ีจะทําได+ (5) สิทธิตรวจดูเอกสารของเจ+าหน+าท่ีผู+เตรียมการออกคําสั่งทางปกครอง ( 6) สิ ท ธิ ท่ี จ ะ ไ ด+ แ ย+ ง แ ล ะ แ ส ด งพยานหลักฐานเพ่ือคัดค+านการพิจารณาออกคําสั่งทางปกครอง (๗) สิทธิได+รับการพิจารณาโดยรวดเร็ว (๘) สิทธิได+ทราบเหตุผลของคําสั่งทางปกครอง (๙) สิทธิได+รับแจ+งวิธีการอุทธรณAหรือโต+แย+งคําสั่งทางปกครอง พระราชบัญญัติจั ดตั้ งศาลปกครองและวิธีพิจารณาคดีปกครอง พ.ศ.๒๕๕๒ ตามมาตรา ๙ ของพระราชบัญญัติจัดต้ังศาลปกครองและวิธีพิจารณาคดีปกครองยังได+กําหนดหลักเกณฑAในการตรวจสอบความไม<ชอบด+วยกฎหมายของคําสั่งทางปกครอง รวมท้ังกฎไว+เป&นรูปแบบหรือลักษณะ ๑๐ ประการ ซ่ึงหากเข+า

76 ชัยวัฒนA วงศAวัฒนศานตA, กฎหมายวิธีปฏิบัติราชการทางปกครอง (กรุงเทพ : ส่ือป=ญญา, 2540) หน+า 263-271

ลักษณะดังกล<าวนี้กฎหรือคําสั่งทางปกครองนั้นย<อมไม<ชอบด+วยกฎหมาย คือ77 กฎ คําสั่ งทางปกครอง ท่ี ไม< ชอบด+ วยกฎหมาย สามารถพิจารณาได+จากเจ+าหน+าท่ีผู+ มีอํานาจดําเนินการออกกฎหรือคําสั่งทางปกครองโดย (๑) กระทําโดยไม<มีอํานาจ หรือ (๒) กระทํานอกเหนืออํานาจหน+าท่ี หรือ (๓) กระทําไม<ถูกต+องตามกฎหมาย หรือ (๔) กระทําโดยไม< ถูกต+องตามรูปแบบข้ันตอน หรือ (๕) กระทําโดยไม<ถูกต+องตามวิธีการอันเป&นสาระสําคัญท่ีกําหนดไว+สําหรับการกระทํานั้น หรือ (๖) การทําโดยไม<สุจริต หรือ (๗) มีลักษณะเป&นการเลือกปฏิบัติท่ีไม<เป&นธรรม หรือ (๘) มีลักษณะเป&นการสร+างข้ันตอนโดยไม<จําเป&น หรือ (๙) สร+างภาระให+เกิดกับประชาชนเกินสมควร หรือ (๑๐) เป&นการใช+ดุลพินิจโดยมิชอบ รูปแบบของการกระทํา ท่ี ไม<ชอบด+วยกฎหมายท้ัง ๑๐ ประการ สามารถอธิบายอย<างย<อได+ ดังนี้78 (ก) ไม�มีอํานาจหรือนอกเหนืออํานาจหรือไม�ถูกต)องตามกฎหมาย ได+แก< ผู+กระทํามิใช<เจ+าหน+าท่ีท่ีกฎหมายให+อํานาจไว+หรือกฎหมายมิได+ให+อํานาจเจ+าหน+าท่ีในการกระทําเช<นนั้น ไว+ตาม

77 สุชาติ เวโรจนA , ศาลปกครองกับการตรวจสอบการใช)อํานาจรัฐ เอกสารวชิาการส<วนบุคคล สถาบันพระปกเกล+า พ.ศ.๒๕๔๗ หน+า ๕๕

78 สุชาติ เวโรจนA , การฟsองคดีปกครอง, รายงานผลการศึกษา ตามหลักสูตรนกับริหารกระบวนการยุติธรรม ระดับสูง พ.ศ.๒๕๔๕ หน+า ๓๑-๓๕

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หลักกฎหมายปกครองท่ัวไปท่ีว<า “ไม<มีอํานาจ หากไม<มีกฎหมาย” นอกจากนั้น แม+เป&นเจ+าหน+าท่ีท่ีกฎหมายให+อํานาจในการออกคําสั่งทางปกครองไว+ ในบางกรณีก็ไม<อาจออกคําสั่งทางปกครองได+ เพราะกฎหมายห+าม เช<น เจ+าหน+าท่ีเป&นคู<กรณีเอง เป&นญาติ หรือเจ+าหนี้ลูกหนี้ของคู<กรณี การกระทําโดยไม<มีอํานาจนั้นอาจเกิดข้ึนในกรณีท่ีมิได+รับมอบอํานาจจากเจ+าหน+าท่ีอ่ืนโดยชอบ เช<น อ+างว<าปฏิบัติราชการแทนหรือรักษาราชการแทนเจ+าหน+าท่ีอ่ืน ท้ังท่ีไม<เข+าเง่ือนไขหรือหลักเกณฑA ท่ีจะปฏิ บั ติราชการแทนหรือรักษาราชการแทนได+ด+วย ส<วนกรณีกระทําการนอกเหนืออํานาจนั้น อาจเป&นกรณีของการใช+กฎหมายเกินกว<าท่ีกฎหมายบัญญัติให+อํานาจไว+ (Ultra Vires) สําหรับกรณีกระทําโดยไม<ถูกต+องตามกฎหมายนั้นอาจเกิดข้ึนได+หลายกรณีเช<นเดียวกัน เช<น เป&นการกระทําหรือใช+อํานาจโดยไม< มี เหตุตามท่ีกฎหมายกําหนดไว+ หรือไม<เข+าเง่ือนไขท่ีกฎหมายกําหนด (ข) ไม�ถูกต)องตามรูปแบบข้ันตอนหรือวิธีการอันเป-นสาระสําคัญท่ีกําหนดไว)สําหรับการนั้น เช<น การออกคําสั่งทางปกครอง โดยมิได+ผ<านความเห็นชอบขององคAกรท่ีกฎหมายกําหนดให+ต+องให+ความเห็นชอบก<อน การออกคําสั่งลงโทษหรือท่ีมีผลกระทบต<อสิทธิของคู<กรณีโดยไม<ให+โอกาสบุคคลนั้นทราบข+อเท็จจริงและโต+แย+งแสดงพยานหลักฐานอย<างเพียงพอ เป&นต+น อย<างไรก็ตาม ในกรณีท่ีไม<ได+กระทําการภายในระยะเวลาท่ีกฎหมายกําหนดไว+ การกระทําดังกล<าวอาจไม<เสียไป หากไม<ใช<สาระสําคัญ หรือเป&นระยะเวลาในการเร<งรัดการปฏิ บั ติงาน เช<น คณะกรรมการพิจารณาอุทธรณAไม<อาจวินิจฉัยอุทธรณAให+เสร็จภายใน ๖๐

วันตามท่ีกฎหมายกําหนดไว+ก็ไม<ใช<เหตุท่ีจะทําให+คําวินิจฉัยนั้นไม<ชอบด+วยกฎหมาย (ค) ไม�สุจริต การกระทําโดยไม<สุจริต ในท่ีนี้หมายถึง การบิดเบือนการใช+อํานาจ (Abuse of power) โดยมีเจตนา หรือวัตถุประสงคAนอกเหนือไปจากวัตตุประสงคAท่ีกฎหมายให+อํานาจในเรื่องดังกล<าวไว+ ไม<ว<าจะมีเจตนากลั่นแกล+งผู+ อ่ืน หรื อ เจตนา ทุจริ ต เ พ่ือประโยชนA ส< วน ตัวของเจ+าหน+าท่ีของรัฐหรือของบุคคลอ่ืน การกระทําโดยไม<สุจริตนั้นอาจจะเป&นการใช+ อํานาจเ พ่ือประโยชนAส< วนรวม ไม< ใช< เ พ่ือประโยชนAของตนเองก็ได+ แต<หากใช+อํานาจในเรื่องท่ีกฎหมายไม<ได+มีเจตนารมณAเพ่ือการนั้นการใช+อํานาจนั้นก็ไม<ชอบด+วยกฎหมาย (ง) เป-นการเลือกปฏิบัติโดยไม�เป-นธรรม การเลือกปฏิบัติโดยไม<เป&นธรรม ก็คือกรณีการปฏิบัติท่ีขัดต<อหลักความเสมอภาค มีความลําเอียง อคติ หรือใช+ความแตกต<างในเรื่องของเชื้อชาติ ศาสนา เพศ หรือความคิดเห็นทางการเมืองมาเป&นหลักเกณฑAในการปฏิบัติท่ีแตกต<างกันแก<บุคคลในฐานะและข+อเท็จจริงเดียวกัน (Discrimination) อันเป&นการขัดต<อมาตรา ๓๐ ของรัฐธรรมนูญแห<งราชอาณาจักรไทย (จ) สร)างข้ันตอนโดยไม�จําเป-น หรือสร)างภาระให)เกิดกับประชาชนเกินสมควร เหตุแห<งการไม<ชอบด+วยกฎหมายดังกล<าวนี้คงบัญญัติมาจากหลักการท่ีว<าการกระทําหรือมาตรการท่ีฝsายปกครองจะออกมาบังคับแก<ประชาชนนั้นต+องเป&นมาตรการท่ีเหมาะสมและจําเป&นในการดําเนินการให+บรรลุวัตถุประสงคAหรือเปuาหมายของกฎหมาย โดยให+ มีผลกระทบต<อสิทธิ และเสรีภาพของประชาชนน+อยท่ีสุด ดังนั้น หากฝsายปกครองสร+างข้ันตอนโดยไม<จําเป&นหรือสร+างภาระแก<ประชาชน

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เ กินสมควรแล+ ว ก็ย< อม เป&นการกระทํา ท่ี ไม<เหมาะสมและไม<จําเป&นในการดําเนินการตามวัต ถุประสงคA หรื อ เจตนารมณA ของกฎหมาย หลักการดังกล<าวเป&นหลักการทํานองเดียวกันกับท่ีรัฐธรรมนูญได+บัญญัติเก่ียวกับ “กฎหรือข+อบังคับ” ท่ีฝsายปกครองจะออกได+นั้น ว<ากฎหรือข+อบังคับนั้นจะจํากัดสิทธิและเสรีภาพของบุคคลท่ีรัฐธรรมนูญรั บรอง ไว+ ได+ “ เท< า ท่ี จํ า เป& น เท< านั้ น และจะกระทบกระเทือนสาระสําคัญแห<งสิทธิและเสรีภาพนั้ น มิ ได+ ” ซ่ึ ง ในทางปฏิ บั ติ คงต+อ ง พิจารณาข+อเท็จจริงเป&นเรื่องๆไปว<า มาตรการหรือการกระทําของฝsายปกครองในเรื่องนั้นสร+างข้ันตอน “โดยไม< จํ า เป& น” หรื อสร+ า งภาระให+ เ กิ ดแก<ประชาชน “เกินสมควร” หรือไม< (ฉ) ใช)ดุลพินิจโดยมิชอบ “ดุลพินิจ” หมายถึง การท่ีฝsายปกครองมีอํานาจตัดสินใจอย<างอิสระท่ีจะเลือกกระทําการหรือไม<กระทํา หรือกระทําการอย<างใดอย<างหนึ่งในกรณีท่ีกฎหมายให+ทางเลือกหลายทาง ซ่ึงหากเลือกกระทําการไปในทางใดทางหนึ่งโดยมีเหตุผลอันสมควรแล+ว ก็ล+วนเป&นการกระทําท่ีชอบด+วยกฎหมาย การใช+ดุลพินิจโดยมิชอบนั้น อาจเกิดได+จากการ ท่ี เจ+ าหน+ า ท่ีของรัฐ มี อํานาจ ดุลพินิ จ (Discretionary Power) ตามท่ีกฎหมายได+บัญญัติให+อํานาจไว+ แต<ได+ใช+อํานาจดุลพินิจนั้นไปในทางท่ีมิชอบด+วยกฎหมายหรือโดยไม<มีเหตุผลอันสมควร กล<าวคือ ศาลมีอํานาจพิจารณาพิพากษาได+ว<าคําสั่ง คําวินิจฉัยนั้นถูกต+องชอบด+วยกฎหมายหรือไม< ท้ังนี้ ศาลย<อมไม<รื้อฟ��นข+อเท็จจริงหรือดุลพินิจท่ีเจ+าหน+าท่ีรับฟ=งหรือวินิจฉัยมา โดยถือว<าการใช+ดุลพินิจก็เป&นป=ญหาข+อเท็จจริง การจะฟ=งข+อเท็จจริงหรือใช+ดุลพินิจไปในทางใดจะถือว<าเป&นการมิชอบด+วยกฎหมายไม<ได+ เว+นแต<การฟ=งข+อเท็จจริงหรือการใช+

ดุลพินิจนั้นไม<มีพยานหลักฐานหรือเหตุผลสนับสนุนเพียงพอหรือมิได+เป&นไปโดยสุจริต อันถือได+ว<า การวินิจฉัยเช<นนั้นไม<เป&นการชอบด+วยกฎหมาย ท้ังนี้เนื่ องจากดุลพินิจไม< ใช< เป&นการใช+ อํานาจตามอําเภอใจ เช<น กรณีการลงโทษทางวินัยอย<างไม<ร+ายแรงแก<ข+าราชการ ซ่ึงผู+บังคับบัญชาสามารถเลือกได+ว<าจะลงโทษภาคทัณฑA ตัดเงินเดือน หรือลดข้ันเงินเดือนเป&นจํานวนเท<าใด เป&นต+น การใช+ดุลพินิจวินิจฉัยอาจมิชอบด+วยกฎหมายได+ ถ+ามิได+ใช+โดยมีเหตุผลอันสมควรหรือเป&นไปตามหลักความได+สัดส<วน (Principle of Proportionality) ของการกระทํา โดยมีหลักการโดยสรุป คือ (๑) มาตรการท่ีเลือกใช+จะต+องมีความเหมาะสม คือ สามารถบรรลุวัตถุประสงคAท่ีต+องการได+อย<างแท+จริง (๒) มาตรการท่ีเลือกใช+จะต+องเป&นไปเท<าท่ีจําเป&นเท<านั้น กล<าวคือ จะต+องมีผลกระทบต<อสิทธิหรือสร+างภาระให+แก<ผู+ใดน+อยท่ีสุดเท<าท่ีจําเป&นแก<การบรรลุผล และ (๓) เม่ือชั่งน้ําหนักระหว<างผลดีท่ีเกิดต<อประโยชนAสาธารณะกับผลกระทบต<อสิทธิหรือภาระของบุคคลใดหรือผลเสียอ่ืนๆ แล+ว จะต+องปรากฏว<าผลเสียท่ีจะเกิดนั้นย<อมไม<มากเกินไปเม่ือเทียบกับผลดีหรือประโยชนAสาธารณะท่ีจะได+รับจากการดําเนินการนั้น นักกฎหมายมหาชนเปรียบเปรยอํานาจแห<งดุลพินิจไว+ว<า79 “อํานาจดุลพินิจเป&นโลหิตท่ีให+ชีวิตแก<กระบวนการทางปกครองท้ังมวลได+สูบกิน หากปราศจากความเก้ือกูลของอํานาจนี้แล+ว กลไกการทํางานของรัฐบาลก็จะเป&นอํานาจท่ีปราศจากพลังใดๆ ไร+ท้ังความมุ<งหมายและทิศทาง”

79 วรพจนA วิศรุศพิชญA , ข+อความคิดและหลักการพ้ืนฐานในกฎหมายมหาชน (กรุงเทพฯ:สํานกัพิมพAนติิธรรม,๒๕๔๐), หน+า ๘๕

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โดยปกติย<อมเป&นเรื่องท่ีศาลไม<ควรก+าวล<วงเข+าไปควบคุมตรวจสอบการใช+ดุลพินิจโดยแท+ดังกล<าว เพราะเป&นเรื่องท่ีกฎหมายไว+วางใจให+หน<วยงานฯ หรือเจ+าหน+าท่ีฯ ท่ีกฎหมายให+อํานาจเป&นผู+เลือกตัดสินใจ การเข+าไปตรวจสอบจะเท<ากับว<าศาลทําตนเป&นเจ+าหน+าท่ีฯ หรือผู+บังคับบัญชาของเจ+าหน+าท่ีฯ เสียเอง อย<างไรก็ตามในอีกด+านหนึ่ง เม่ือมีหลักว<าการใช+ดุลพินิจของหน<วยงานฯ และเจ+าหน+าท่ีฯ ต+องกระทําไปโดยชอบด+วยกฎหมาย ด+วยเหตุนี้การใช+ดุลพินิจโดยมิชอบจึงเป&นเหตุอีกประการหนึ่งท่ีศาลปกครองสามารถควบ คุมตรวจสอบได+ เ ช< น กฎหมายว<าด+วยระเบียบข+าราชการพลเรือนให+อํานาจผู+บังคับบัญชาสั่งลงโทษข+าราชการท่ีกระทําความผิดวินัยไม<ร+ายแรงโดยอาจลงโทษลดข้ันเงินเดือน ตัดเงินเดือน หรือภาคทัณฑA ถ+าปรากฏว<า ข+าราชการรายหนึ่งถูกลงโทษลดข้ันเงินเดือนซ่ึงเป&นโทษท่ีสูงสุด ในกรณีนี้ ท้ังท่ีความผิดของข+าราชการดังกล<าวเป&นท่ีเห็นได+อย<างชัดเจนว<า ไม<ถึงขนาดหรือไม<ได+สัดส<วนกับการต+องรับโทษลดข้ันเงินเดือนเม่ือเทียบกับกรณีอ่ืนๆ ท่ีเคยมีการกระทําผิดและมีการลงโทษกัน เช<นนี้ ถือว<าการสั่งลงโทษดังกล<าวเป&นการใช+ดุลพินิจโดยมิชอบ ตัวอย<างคําสั่งศาลปกครองสูงสุดท่ีเก่ียวกับการใช+ดุลพินิจโดยมิชอบในเรื่องอ่ืน ได+แก< กรณีคําสั่งศาลปกครองสูงสุดท่ี ๙/๒๕๔๕ ซ่ึงเป&นเรื่องท่ีผู+ฟuองเสนอผลงานทางวิชาการเพ่ือขอกําหนดตําแหน<งทางวิชาการในระดับผู+ช<วยศาสตราจารยA แต< อกค.กรมไม<อนุมัติการกําหนดตําแหน<งของผู+ฟuองคดีเนื่องจากผลงานมีคุณภาพไม<ถึงเกณฑAท่ี อกค.กรมกําหนด ซ่ึงศาลปกครองสูงสุดเห็นว<าการฟuองว<าไม<ได+รับความเป&นธรรมในการพิจารณาผลงานทางวิชาการเพ่ือขอกําหนดตําแหน<งทาง

วิชาการในระดับผู+ช<วยศาสตราจารยAเป&นคําฟuองท่ีอยู<ในอํานาจพิจารณาพิพากษาของศาลปกครองตามมาตรา ๙ วรรคหนึ่ง (๑) แห<งพระราชบัญญัติจัดต้ังศาลปกครองฯ ในส<วนของการออกคําสั่งทางปกครองโดยการใช+ดุลพินิจไม<ชอบ กฎหมายว�าด)วยระเบียบข)าราชการต�างๆ รวมท้ังอนุบัญญัติต�างๆ ท่ีเก่ียวกับการบริหารงานบุคคล

หลักเกณฑAในการตรวจสอบการใช+อํานาจการบริหารงานบุคคลของหน<วยงานทางปกครองท่ีสําคัญอีกประการก็คือ หลักเกณฑAท่ีเก่ียวกับระบบคุณธรรมตามกฎหมายการบริหารงานบุคคลของข+าราชการประเภทต<างๆ รวมท้ังกฎระเบียบหนังสือเวียนท่ีเกิดจากองคAการกลางการบริหารงานบุคคลประเภทนั้นๆ หลักเกณฑAดังกล<าวท้ังศาลปกครองและกรรมการพิทักษAระบบคุณธรรมจะใช+เป&นบรรทัดฐานในการตัดสินชี้ขาดว<ากรณีพิพาททางปกครองเก่ียวกับการบริหารงานบุคคลนั้นๆ ถูกหรือผิดประการใด ตัวอย<างหลักเกณฑAดังกล<าว ได+แก< มาตรา ๔๒ ของพระราชบัญญัติระเบียบข+าราชการพลเรือน ท่ีว<าด+วยการวางหลักการจัดระเบียบข+าราชการพลเรือนสามัญ กําหนดไว+ดังนี้ มาตรา ๔๒ การจัดระเบียบข+าราชการพลเรือนสามัญตามพระราชบัญญัตินี้ ให+คํานึงถึงระบบคุณธรรม ดังต<อไปนี้ (๑) การรับบุคคลเพ่ือบรรจุเข+ารับราชการ และแต<งต้ังให+ดํารงตําแหน<งต+องคํานึงถึง ความรู+ความสามารถของบุคคล ความเสมอภาค ความเป&นธรรม และประโยชนAของทางราชการ (๒) การบริหารทรัพยากรบุคคล ต+องคํานึงถึงผลสัมฤทธิ์ และประสิทธิภาพขององคAกร

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และลักษณะของงาน โดยไม<เลือกปฏิบัติอย<างไม<เป&นธรรม (๓) การพิจารณาความดีความชอบ การเลื่อนตําแหน<งและการให+ประโยชนAอ่ืนแก<ราชการ ต+องเป&นไปอย<างเป&นธรรม โดยพิจารณาจากผลงาน ศักยภาพ และความประพฤติ และจะนําความคิดเห็นทางการเมือง หรือสังกัดพรรคการเมืองมาประกอบการพิจารณามิได+ (๔) การดําเนินการทางวินัย ต+องเป&นไปด+วยความยุติธรรมและโดยปราศจากอคติ (๕) การบริหารทรัพยากรบุคคลต+องมีความเป&นกลางทางการเมือง ห ลั ก ก า ร ใ น ม า ต ร า ๔ ๒ นี้ ไ ด+ ถู กกรุงเทพมหานครนําไปใส< เป&นหลักการในการบริหารงานบุคคลของข+าราชการกรุงเทพมหานครไว+เช<นกัน ใน พระราชบัญญัติระเบียบข+าราชการกรุงเทพมหานครและบุคลากรกรุงเทพมหานคร พ.ศ.๒๕๕๔ มาตรา ๔๐ และมาตรา ๔๑ นอกจากนี้ พระราช บัญญั ติ ระ เ บียบข+าราชการพลเรือน พ.ศ.๒๕๕๑ ยังได+กําหนดหลักเกณฑAในเรื่องเก่ียวกับวินัยโทษทางวินัยและการดําเนินการทางวินัย เ พ่ือเป&นแนวทางให+ผู+ดําเนินการต+องปฏิบัติตามรวมท้ัง กฎ ก.พ.ค. หรือระเบียบหลักเกณฑAและหนังสือเวียนต<างๆ ซ่ึงเป&นต+นแบบให+ข+ า ราชการประเภทต<างๆ ท่ี ไม< ใช<ข+ า ร าชการพล เรื อนสา มัญได+ อนุ โ ลมนํ า เอ าหลักเกณฑA เหล< านี้ ไป ใช+ ซ่ึ ง ทํา ให+ กลายเป&นหลักเกณฑAท่ีศาลปกครองและคณะกรรมการพิทักษAระบบคุณธรรมใช+เป&นฐานในการตรวจสอบ สอบทานความชอบหรือไม<ชอบด+วยกฎหมายของกฎระเบียบและคําสั่งทางปกครองต<างๆ ท่ีเก่ียวกับการบริหารงานบุคคล

๕. ตัวอย�างแนวคําพิพากษาศาลปกครองสูงสุดท่ีวางบรรทัดฐานในการช้ีขาดข)อพิพาทท่ีเก่ียวกับการบริหารงานบุคคลท่ีผ�านมา คือ การสรรหาและคัดเลือกบุคคลเข)ารับราชการ เม่ือวิเคราะห3จากคําพิพากษาศาลปกครองสูงสุดแล)วพบว�าศาลปกครองสูงสุดวางหลักการสรรหาและคัดเลือกบุคคลเข)ารับราชการไว)ดังนี้ (๑) การออกกฎจะต+องไม<เกินขอบเขตของกฎหมายท่ีเป&นแม<บทท่ีให+อํานาจ โดยเฉพาะในส<วนท่ีมีผลเป&นการจํากัดสิทธิของบุคคลจะกําหนดเกินขอบเขตของกฎหมายแม<บท มิได+ (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๕๘/๒๕๕๐) (๒) กรณีหน<วยงานทางปกครอง นําเหตุแห<งความแตกต<างในเรื่องสภาพทางกายภาพหรือสุขภาพบุคคลมาอ+าง เพ่ือเลือกปฏิบัติให+ต<างไปจากบุคคลอ่ืน โดยไม<มีเหตุผลท่ีหนักแน<นควรแก<การรับฟ=งย<อมถือเป&นการเลือกปฏิบัติโดยไม<เป&นธรรม (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๑๔๒/๒๕๔๗) การบรรจุและแต�งตั้ง ศาลปกครองสูงสุดวางหลักไว)ดังนี้ (๑) องคAการกลางบริหารงานบุคคลกําหนดหลักเกณฑAหรือวิธีปฏิบัติราชการในเรื่องใด ย<อมผูกพันหน<วยงานทางปกครองท่ีเก่ียวข+องท่ีจะต+องปฏิบัติให+เป&นไปตามนั้น ในกรณีท่ีมีการฝsาฝ�นหรือปฏิบัติแตกต<าง จนทําให+เกิดความไม<เป&นธรรมหรือเสียหายแก<สิทธิหรือหน+าท่ีของบุคคล ย<อมมีผลทําให+การดําเนินการดังกล<าว ไม<ชอบด+วยกฎหมาย (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๑๙๕/๒๕๔๙) (๒) การคัดเลือกข+าราชการเพ่ือแต<งต้ังให+ดํารงตําแหน<ง ต+องถือปฏิบัติตามหลักเกณฑAและวิธีการท่ีองคAการกลางในการบริหารงานบุคคลกําหนดไว+โดยเคร<งครัด หากดําเนินการคัดเลือกโดย

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ไม< เป&น ไปตามหลัก เกณฑAและวิ ธีการ อัน เป&นสาระสําคัญท่ีกําหนดไว+ ย<อมมีผลทําให+คําสั่งแต<งต้ังนั้นไม<ชอบด+วยกฎหมาย (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๘๙/๒๕๔๙) (๓) การใช+ อํานาจตามกฎหมาย เ พ่ือกําหนดหลักเกณฑAเก่ียวกับการบริหารงานบุคคล องคAการกลางในการบริหารงานบุคคล ต+องปฏิบัติต า ม น โ ย บ า ย ก า ร บ ริ ห า ร ง า น บุ ค ค ล ข อ งคณะรัฐมนตรี ซ่ึงเป&นองคAกรสูงสุดในการบริหารงานราชการแผ<นดินตามรัฐธรรมนูญ การกําหนดหลักเกณฑAให+แตกต<างไปจากหลักเกณฑAซ่ึงเป&นสาระสํ า คัญท่ีคณะรั ฐมนตรี กําหนดย<อมเป&นหลักเกณฑAท่ีไม<ชอบ (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๘๙/๒๕๔๙) (๔) เม่ือกฎเกณฑAเก่ียวกับการเลื่อนและแต<งต้ังข+าราชการให+ดํารงตําแหน<งสูงข้ึน กําหนดให+กระทําได+ไม<ก<อนวันท่ีข+าราชการผู+นั้นผ<านการประเมิน เพราะผู+ผ<านการประเมินผลงานเกิดสิทธิ ท่ี จ ะ ไ ด+ รั บ ก า ร เ ลื่ อ น ตํ า แ ห น< ง ต้ั ง แ ต< วั น ท่ีคณะกรรมการประเมิน ผลงาน มีมติอนุมัติ การใช+ดุลพินิจออกคําสั่งเลื่อนและแต<งต้ังโดยให+มีผลภายหลังจากวันท่ีผ<านการประเมินหากกระทบต<อสิทธิหรือประโยชนAของบุคคลดังกล<าว ย<อมเป&นการใช+ดุลพินิจโดยไม<ชอบ (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๕๙/๒๕๔๘) การเล่ือนเงินเดือน ศาลปกครองสูงสุดวางหลักไว)ดังนี้ (๑) เม่ือกฎหมาย กําหนดหลักเกณฑAและวิ ธี ก าร เ พ่ือ เป& นกรอบในการ ใช+ ดุ ล พินิ จของผู+บังคับบัญชาในการพิจารณาเลื่อนข้ันเงินเดือน หากผู+ บังคับบัญชาไม<ปฏิบัติตามหลักเกณฑAและวิ ธีการ ย<อมส< งผลให+ การพิจารณาเลื่ อน ข้ัน

เงินเดือนไม<ชอบด+วยกฎหมาย (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๔๑/๒๕๔๘) (๒) คําสั่งเลื่อนข้ันเงินเดือนข+าราชการเป&นคําสั่งทางปกครอง หากผลการพิจารณาเกิดจากข+อเท็จจริงท่ีไม<ถูกต+อง หน<วยงานทางปกครองย<อมมีอํานาจเพิกถอนและแก+ไขคําสั่งเลื่อนข้ันเงินเดือนดังกล<าวได+ตามกฎหมายว<าด+วยวิธีปฏิบัติราชการทางปกครอง (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๙๗/๒๕๔๗) การออกคํ า ส่ังย) ายข) าราชการ ศาลปกครองสูงสุดวางหลักไว)ดังนี้ (๑) ผู+บังคับบัญชาต+องใช+ดุลพินิจโดยชอบด+ ว ยกฎหมาย ในการออก คํ าสั่ ง ใ ห+ข+าราชการในสังกัดไปปฏิบัติหน+าท่ี โดยต+องเป&นคําสั่ ง ท่ีสามารถดําเนินการให+ เจตนารมณAของกฎหมายบรรลุ และมีผลเป&นการจํากัดสิทธิและเสรีภาพของข+าราชการเพียงเท<าท่ีจําเป&น และประชาชนต+องได+รับประโยชนAจากคําสั่งดังกล<าวมากกว<าความเสียหายท่ีข+าราชการผู+รับคําสั่งได+รับ (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๙๐/๒๕๔๗) (๒) แม+ว<าการสั่งย+ายข+าราชการเป&นการใช+อํานาจตามกฎหมายของผู+บังคับบัญชาในการคัดสรร หรือจัดบุคลากรเพ่ือปฏิบัติงานในตําแหน<งหน+าท่ีได+ตามท่ีเห็นสมควร แต<การใช+อํานาจดังกล<าวจะต+องคํานึงถึงเหตุผลความจําเป&นความเหมาะสมและประโยชนAของหน<วยงานเป&นสําคัญ แต<ต+องไม<กระทําโดยมีอคติหรือเจตนากลั่นแกล+งข+าราชการผู+ถูกย+ายให+ได+รับความเสียหายจึงจะถือว<าใช+ดุลพินิจ โดยชอบด+วยกฎหมาย (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๑๑๒/๒๕๔๘)

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การบริหารงานบุคคลเรื่องอ่ืนๆ ศาลปกครองสูงสุดวางหลักไว)ดังนี้ (๑) การ ท่ีผู+ บังคับบัญชามอบหมายให+ผู+ใต+บังคับบัญชาปฏิบัติงานท่ีตรงกับตําแหน<งหน+าท่ี ตามสายงานและในเวลาราชการปกติ แม+จะทําให+ผู+ได+รับมอบหมายต+องปฏิบัติงานหนักข้ึน ถือได+ว<าเป&นการกระทําท่ีชอบด+วยกฎหมาย (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๖/๒๕๕๐) (๒) ในกรณีท่ีกฎหมายกําหนดตัวเจ+าหน+าท่ีผู+ทรงอํานาจกระทําการทางปกครองเรื่องใดไว+เป&นการเฉพาะแล+ว การกระทํานั้นต+องกระทําโดยเจ+าหน+าท่ีผู+ทรงอํานาจเจ+าหน+า ท่ี อ่ืนแม+จะเป&นผู+บังคับบัญชาหรือเป&นผู+มีอํานาจเหนือเจ+าหน+าท่ีผู+นั้นก็ไม<อาจกระทําการในเรื่องนั้นได+ (คําพิพากษาศาลปกครองสูงสุดท่ี อ.๒๒๙/๒๕๔๙) สรุป สิ่งจําเป&นพ้ืนฐานสําหรับชีวิตมนุษยA นอกจากป=จจัย ๔ ซ่ึงได+แก< อาหาร เครื่องนุ<งห<ม ยารักษาโรค และท่ีอยู<อาศัยแล+ว ความยุติธรรมก็เป&นป=จจัยจําเป&นพ้ืนฐานท่ีมนุษยA ทุกคนล+วนแล+วมีความต+องการเช<นกัน เพราะความยุติธรรมมีผลต<อความรู+สึกและจิตใจของมนุษยAอย<างมหาศาล การบริหาร “คน” จึงไม<อาจละเลยเรื่องความยุติธรรมได+อย<างเด็ดขาด เพราะมีผลกระทบต<อขวัญกําลังใจ และความซ่ือสัตยAภักดีต<อหน<วยงาน ของเจ+าหน+าท่ีผู+ปฏิบัติงานทุกคน หน<วยงานใดท่ีมุ<งม่ันสร+างความยุติธรรมให+เกิดข้ึนในการบริหารงานบุคคลอย<างแน<วแน< หน<วยงานนั้นย<อมประสบความสําเร็จในความมีคุณภาพ ประสิทธิภาพและประสิทธิผล ของผลงานอย<างค<อนข+างแน<

ป=จจุบันในโลกยุคประชาธิปไตย ได+เกิดกลไกในการตรวจสอบการใช+อํานาจรัฐท่ีไม<ถูกต+องจํานวนมาก เพ่ือปuองปรามและแก+ไขการใช+อํานาจท่ีไม< ถูกต+องของรัฐ กลไกท่ีสําคัญท่ีสุดในการตรวจสอบการใช+อํานาจรัฐโดยเฉพาะท่ีเก่ียวกับการบริหารงานบุคคลภาครัฐ ก็คือ ศาลปกครองและกรรมการพิทักษAระบบคุณธรรม ซ่ึงท้ังสององคAกรได+ใช+หลักเกณฑAและวิธีการตามกฎหมายต<างๆ ท่ีคล+ายคลึงกันตรวจสอบอํานาจรัฐ โดยจุดมุ<งหมายของการตรวจสอบก็เพ่ือให+ข+าราชการได+รับความยุติธรรม จากหน<วยงานและผู+บังคับบัญชาโดยแท+ ซ่ึงความยุ ติธรรมในทางปกครองเ ก่ียวกับการบริหารงานบุคคลภาครัฐ หากพิจารณาจากหลักเกณฑAและวิธีการตามกฎหมายตรวจสอบอํานาจรัฐต<างๆ แล+ว สามารถสรุปได+ว<า ยุติธรรมหรือไม<ยุ ติธรรมให+ ดูจากความสมดุลระหว< างประโยชนAสาธารณะท่ีสังคมได+รับ กับประโยชนAส<วนบุคคลท่ีเอกบุคคลได+รับการปกปuองคุ+มครอง หรือพูดอีกนัยหนึ่ง ในเชิงการบริหารงานบุคคลก็คือ ให+ดูจากความสมดุลระหว<างการทุ<มเทอุทิศแรงกายแรงใจของข+าราชการท่ีให+ต<อหน<วยงานของรัฐเพ่ือให+เกิดประโยชนAส<วนรวม กับประโยชนAท่ีหน<วยงานของรัฐมอบตอบแทนการทํางานให+ข+าราชการเป&นส<วนตัวแต<ละคน หากมีความสมดุลกัน ข+อพิพาททางปกครองระหว<างหน<วยงานหรือผู+บังคับบัญชา กับผู+ใต+บังคับบัญชาก็จะไม<เกิด แต<หากขาดสมดุลเม่ือไร ข+อพิพาทย<อมเกิดข้ึนอันอาจเป&นการนําไปสู<การฟuองร+องต<อกลไกในการพิจารณาข+อพิพาทในท่ีสุดได+ ฉะนั้ น ห ากหน< ว ย ง านทา งปกครองระมัดระวังในการปuองกันมิให+เกิดความไม<ถูกต+องในการบริหารงานบุคคลมากเพียงไร ขวัญกําลังใจและความรู+สึกได+รับความยุติธรรมจะเกิดข้ึนในหมู<

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ข+าราชการมากข้ึนเพียงนั้น ซ่ึงแน<นอนว<าความมีคุณภาพ ประสิทธิภาพ และประสิทธิผลในการ

ทํางานของหน<วยงานย<อมตามมาอย<างแน<นอน

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แนวคิดและข)อเสนอแนะในการนํากระบวนการยุติธรรมทางเลือกมาใช)ในช้ันพนักงานอัยการ

ขจรศักดิ์ พุทธานุภาพ (Khajornsak Putthanuparp)

Executive Director’s Office of Thailand Criminal Law Institute

ความหมายของกระบวนการยุติธรรมทางเลือก กระบวนการยุ ติธรรมทางเลือก (alternative justice) คือ กระบวนการสร+างความเป&นธรรมท่ีเป8ดโอกาสให+หน<วยงานของรัฐ ประชาชน ชุมชน เข+ามามีบทบาทในการกําหนดแนวทาง หลักเกณฑA กลไกวิ ธีการ ร< วมปฏิ บั ติ งานปuอง กันควบคุมอาชญากรรม จัดระเบียบชุมชนเพ่ือแก+ไขป=ญหาอาชญากรรมท่ีไม<รุนแรงซับซ+อน โดยการดําเนินการร<วมกับกระบวนการยุติธรรมกระแสหลัก หรือเพ่ือสนับสนุนการดําเนินการของกระบวนการยุติธรรมกระแสหลัก ภาพรวมของกระบวนการยุติธรรมทางเลือก กระบวนการยุติธรรมทางเลือกท่ีคณะผู+วิจัยศึกษาเป&นกระบวนการยุ ติธรรมทางเลือกท่ีใช+อยู< ในประเทศฝรั่ ง เศส เยอรมัน ญ่ีปุsน อังกฤษ และสหรัฐอเมริกา ซ่ึงท้ังสามประเทศมีความแตกต<างกันดังมีรายละเอียด คือ ประเทศญ่ีปุnน ในประเทศญ่ีปุsนมีวิธีการหันเหคดีอาญาออกจากกระแสหลัก (diversion) ต้ังแต<ในชั้นเจ+าหน+าท่ีตํารวจ ในการดําเนินคดีอาญาท่ีไม<ร+ายแรง คือ พนักงานอัยการมีอํานาจในการกําหนดประเภทของความผิดท่ีไม<ร+ายแรง ซ่ึงพนักงานสอบสวนมีอํานาจไม<ส<งคดีไปยังพนักงานอัยการได+ แต<หลักเกณฑAท่ีใช+พิจารณากําหนดฐานความผิดดังกล<าวของพนักงานอัยการไม<มีการเป8ดเผยข+อมูลสู<สาธารณะตามสถิติ

ในปE ค.ศ.๒๐๐๗ มีคดีอาญาท่ีพนักงานสอบสวนไม<ส<งคดีไปยังพนักงานอัยการในความผิดตามประมวลกฎหมายอาญา จํานวน ๓๘.๒ เปอรAเซ็นตA นอกจากนี้พนักงานอัยการมีอํานาจในการสั่งชะลอการฟuองตามประมวลกฎหมายวิธีพิจารณาความอาญา มาตรา ๒๔๘ เ ม่ือ พิจารณา ถึ งคุณลักษณะ อายุ สภาพแวดล+อมของผู+กระทําความผิด ความหนักเบาของความผิด ตลอดจนพฤติการณAภายหลังกระทําผิดแล+ว พนักงานอัยการมีอํานาจท่ีจะไม<ยื่นฟuองคดีอาญาต<อศาลได+ แม+จะปรากฎข+อเท็จจริงจากพยานหลักฐานน<าเชื่อว<าผู+ต+องหาเป&นผู+กระทําความผิดจริงและไม<ต+องห+ามฟuองคดีตามเ ง่ือนไขการฟuองคดี อย<างไรก็ตามพนักงานอัยการสามารถเพิกถอนคําสั่งชะลอการฟuองและยื่นฟuองผู+กระทําต<อศาลได+ไม<ขัดต<อหลัก non bis in idem (การกระทําครั้งเดียวไม<อาจถูกดําเนินคดีหลายครั้ง) เพราะคําสั่งชะลอการฟuองมิใช<คําพิพากษาของศาล กรณีท่ีพนักงานอัยการสั่งชะลอการฟuองแล+ว หากจําเป&นอาจสั่งให+มีการฟ��นฟูผู+ต+องสงสัยว<าได+กระทําความผิดอาญาด+วยก็ได+ ซ่ึงการฟ��นฟูดังกล<าวอยู< ในอํานาจหน+า ท่ีของสํานักงานคุมประพฤติ อย<างไรก็ตามในประเทศญ่ีปุsนมีระบบคณะกรรมการตรวจสอบการสั่ งไม<ฟuองคดี ซ่ึงรวมถึงการชะลอการฟuองด+วย โดยคณะกรรมการมาจากการสุ<มเลือกบุคคลจากประชาชนท่ัวไป ๑๑ คน ท่ีบรรลุนิติภาวะแล+ว ทําหน+าท่ีวินิจฉัยว<าการปฏิบัติ

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หน+าท่ีของพนักงานอัยการนั้นเหมาะสมหรือไม< คณะกรรมการนี้จะประจําอยู< ณ ศาลชั้นต+นทุกแห<ง อํานาจการสอบสวนมาจากการท่ีคณะกรรมการยกเรื่องใดเรื่องหนึ่งข้ึนมาพิจารณาด+วยตนเอง หรือเป&นกรณีท่ีมีการร+องขอจากประชาชน ในทางปฏิบัติมีคดีเข+าสู<การตรวจสอบของคณะกรรมการไม<มากนัก เพราะประชาชนญ่ีปุsนม่ันใจในการทํางานของพนักงานอัยการ ประเทศเยอรมัน ในประมวลกฎหมายวิธี พิจารณาความอาญา

เยอรมันได+ให+อํานาจพนักงานอัยการไว+ตาม มาตรา ๑๕๓ ซ่ึงว<าด+วยการไม<ดําเนินคดีอาญาในกรณีท่ีเป&นความผิดเล็กๆ น+อยๆ คือ (๑) ก<อนฟuองคดีในความผิดอาญาธรรมดา โดยความยินยอมของศาลท่ีรับผิดชอบในชั้นไต<สวนมูลฟuอง พนักงานอัยการสามารถท่ีจะไม<ดําเนินการฟuองร+องคดีได+ หากว<าความน<าตําหนิของผู+กระทําความผิดมีเพียงเล็กน+อยและปราศจากประโยชนAสาธารณะท่ีจะดําเนินคดีอาญาดังกล<าว (๒) ในกรณีท่ีได+ยื่นคําฟuองไปแล+ว ในทุกข้ันตอนศาลสามารถท่ีจะยุติคดีโดยได+รับความยินยอมจากพนักงานอัยการและผู+กล<าวหา กล<าวโดยสรุป คือ การไม<ดําเนินคดีต<อผู+ต+องสงสัยว<ากระทําผิดนั้น เยอรมันวางระบบท่ีศาลและอัยการจะต+องขอความยินยอมซ่ึงกันและกันแบบไขว+กัน กล<าวคือ กรณีก<อนฟuองคดีพนักงานอัยการต+องได+รับความยินยอมจากศาล แต<เป&นกรณีหลังการฟuองคดี ศาลจะยุติคดีได+ต+องได+รับความยินยอมจากพนักงานอัยการและผู+กล<าวหา นอกจากนี้ตามมาตรา ๑๕๓ b ได+กําหนดว<าในกรณีท่ีเง่ือนไขท่ีทําให+ศาลยกเว+นโทษได+นั้นมีอยู<ครบ พนักงานอัยการสามารถท่ีจะไม<ยื่นฟuองได+

โดยได+รับความยินยอมจากศาลท่ีจะทําหน+าท่ีในการสืบพยานคดีนั้น กฎหมายเยอรมันวางหลักไว+อย<างนี้ ทําให+การทํางานของศาลและพนักงานอัยการต+องมีการปรึกษากันอย<างใกล+ชิด (การดํารงตําแหน<งก็เช<นกัน ศาลสามารถโอนมาเป&นอัยการได+ และอัยการสามารถโอนมาเป&นศาลได+ โอนกลับไปกลับมามากกว<าหนึ่งครั้งก็ได+) สําหรับเง่ือนไขการระงับคดีบัญญัติไว+ในมาตรา ๑๕๓a ได+แก< (๑) กระทําการอย<างใดอย<างหนึ่งเพ่ือเป&นการชดใช+ความเสียหายท่ีเกิดจากการกระทําผิด (๒) บริจาคเงินแก<องคAกรการกุศล หรือรัฐ (๓) กระทําการท่ีเป&นประโยชนAต<อชุมชน (๔) จ<ายค<าเลี้ยงดูตามท่ีกําหนด (๕) ทุ<มเทอย<างจริงจังในอันท่ีจะทําให+ผู+เสียหายได+กลับคืนสู<สภาพเดิมก<อนการกระทําผิด (๖) เข+าร<วมการสัมมนาโครงสร+างตามกฎหมายจราจร นอกจากการสั่งชะลอฟuองแล+ว เยอรมันยังมีหลักเกณฑAเก่ียวกับการต<อรองคํารับสารภาพด+วย ซ่ึงตามประมวลกฎหมายวิธีพิจารณาความอาญา มาตรา ๒๕๗c ได+กําหนดหลักเกณฑAการต<อรองคํารับสารภาพในชั้นศาล ซ่ึงบังคับระหว<างศาลกับจําเลย ประเทศฝรั่งเศส พนักงานอัยการฝรั่ ง เศสมีดุลพินิจในการสั่ ง

คดีอาญา ๓ ประการ คือ สั่งฟuอง สั่งไม<ฟuอง และสั่งให+ มีการใช+กระบวนการยุ ติธรรมทางเลือก ซ่ึงกระบวนการยุติธรรมทางเลือกเป&นมาตรการใหม<ท่ีเกิดข้ึนในฝรั่งเศสเป&นเวลาไม<เกิน ๑๕ ปE ท่ีผ<านมา โดยมีการแก+ ไขเ พ่ิมเ ติมประมวลกฎหมายวิธีพิจารณาความหลายครั้ ง จนกระท่ังสรุปได+ว<า

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ป=จจุบันฝรั่งเศสมีมาตรการทางเลือก ๕ รูปแบบ คือ ความตกลงทางอาญา การไกล<เกลี่ยคดีอาญา การต<อรองคํารับสารภาพ การเยียวยาทางอาญา และการลงโทษเชิงเยียวยา โดยมีรายละเอียด คือ ๑. การไกล<เกลี่ยคดีอาญา ในคดีความผิดเล็กๆ น+อยๆ เช<น ทําให+เสียทรัพยA ทําร+ายร<างกาย เป&นเหตุให+ได+รับบาดเจ็บท่ีมีลักษณะไม<รุนแรงนั้น พนักงานอัยการเป&นผู+มีอํานาจสั่งให+มีการไกล<เกลี่ย โดยพนักงานอัยการ ต้ังผู+ ไกล< เกลี่ย เป&นคนดําเนินการเรียกผู+เสียหายและผู+ต+องหามาเจรจากัน หากตกลงกันได+ผู+ ไกล< เกลี่ยจะทําบันทึกเสนอพนักงานอัยการ ผู+เสียหายและผู+ต+องหามีสิทธิปฏิเสธท่ีจะไม<ทําการไกล<เกลี่ยได+ตลอดเวลาท่ีการไกล<เกลี่ยยังไม<เสร็จสิ้น หากผู+ ต+ องหา ทําตามข+ อตกลง ท่ี ไกล< เกลี่ ย ได+ พนักงานอัยการจะไม<ฟuองคดี แต<หากปฏิบัติไม<ได+ พ นั ก ง า น อั ย ก า ร อ า จ ดํ า เ นิ น ค ดี ต< อ ไ ป ต า มกระบวนการยุติธรรมกระแสหลักหรือดําเนินการทําความตกลงทางอาญา (หรือการชะลอฟuอง) ดังจะกล<าวต<อไปในข+อ ๓.๒ ๒. การทําความตกลงทางอาญา หรือการชะลอการฟuองคดีอาญา ในคดีโทษจําคุกไม<เกิน ๕ ปE คดีท่ีผู+กระทํา กระทําความผิดเป&นครั้ งแรก ก<อนท่ีพนักงานอัยการจะมีสั่งฟuองหรือไม<ฟuอง พนักงานอัยการอาจเสนอข+อปฏิบัติให+แก<ผู+กระทําความผิดปฏิบัติตามเพ่ือแลกกับการไม<ถูกฟuองคดีอาญา ซ่ึงต+องได+รับความยินยอมจากผู+ เสียหายและศาลตรวจสอบและรับรองแล+ว กระบวนการนี้เรียกว<าการทําความตกลงทางอาญา ซ่ึงมีผลเป&นการชะลอการฟuองคดีอาญาไว+ระยะเวลาหนึ่ง หากผู+ต+องหาปฏิบัติตามข+อตกลงครบถ+วนพนักงานอัยการจะสั่งไม<ฟuอง แต<หากฝsาฝ�นข+อปฏิบัติพนักงานอัยการจะ

สั่งฟuองต<อไป (ระหว<างชะลอการฟuองอายุความจะสะดุดหยุดลง) ๓. การต<อรองคํารับสารภาพ การต<อรองคํารับสารภาพท่ีเกิดข้ึนในฝรั่ ง เศสล+วนเป&นผลจากอิทธิพลของระบบกฎหมาย common law มีลักษณะคล+าย plea bargaining ของประเทศสหรัฐอเมริกา โดยมีลักษณะท่ัวไปคือ พนักงานอัยการจะเสนอโทษท่ีจะลงโทษเพ่ือให+ผู+ต+องหาตัดสินใจรับสารภาพ เพ่ือแลกกับการรับโทษเบา ซ่ึงจะใช+วิธีการนี้กับคดีโทษจําคุกไม<เกิน ๕ ปE หรือคดีท่ีมีโทษปรับ โดยหลักการคือเป&นคดีท่ีไม<ร+ายแรง พนักงานอัยการจะเสนอโทษโดยเป&นโทษจําคุกไม<เกินก่ึงหนึ่งของท่ีกฎหมายบัญญัติและต+องไม< เ กิน ๑ ปE ผู+ ต+องหามี เวลาตัดสินใจโดยปรึกษาทนายความเป&นเวลา ๑๐ วัน หากผู+ต+องหายอมรับสารภาพและรับการลงโทษศาลจะเป&นผู+ตรวจสอบอีกครั้ง โดยศาลจะทําคํารับรองหรือไม<รับรอง แต<ศาลไม<อาจปรับโทษท่ีพนักงานอัยการเสนอได+ หากศาลรับรอง ( เห็นชอบ) ผู+กระทําผิดจะถูกลงโทษทันที แต<หากศาลไม<รับรองพนักงานอัยการจะทําคําสั่งฟuองคดีอาญาต<อไป ซ่ึงก็คือต+องกลับเข+าสู<กระบวนการยุติธรรมกระแสหลัก และเม่ือกลับเข+าสู<กระแสหลักแล+วคํารับสารภาพก<อนหน+านั้นไม<สามารถนํามาอ+างอิงในศาลได+ ๔. การเยียวยาทางอาญา การเยียวยาทางอาญาจะใช+กับคดีเด็กและเยาวชนกระทําความผิด มุ<งเน+นให+เด็กและเยาวชนรู+ค<านิยมของสังคมเพ่ือการปรับตัวเข+าสู<สั งคม รูปแบบวิ ธี การคล+ ายการประชุมกลุ< มครอบครัว (Community order) ท่ีใช+อยู<ในประเทศไทยกล<าวคือ เจ+าหน+าท่ีสถานพินิจฯ จะจัดประชุมระหว<างผู+กระทําความผิดกับครอบครัว ประเมินผู+กระทําผิดแล+วรายงานศาลพร+อมเสนอ

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ศาลถึงมาตรฐานการเยียวยา ศาลจะสั่งเยียวยาทางอาญา ได+แก< การทํางานสาธารณะท่ีสถานีตํารวจ สถานีดับเพลิง หรือเยียวยาชดใช+ค<าสินไหมทดแทนแก<ผู+เสียหาย ซ่ึงศาลเป&นผู+ตรวจสอบ หากศาลไม<เห็นชอบ คดีจะกลับสู<กระบวนการยุติธรรมกระแสหลักต<อไป ๕. การลงโทษท่ีเป&นการเยียวยา การลงโทษท่ีเป&นการเยียวยาเป&นการสมานฉันทAระหว<างผู+กระทําความผิดกับผู+สียหายในชั้นท่ีศาลพิจารณาคดีเสร็จและกําลังกําหนดโทษจําเลย เช<น เม่ือศาลได+พิจารณาคดีเสร็จและเห็นว<าจําเลยกระทําความผิดศาลอาจกําหนดโทษจําคุกและปรับเอาไว+ก<อน และศาลอาจกําหนดเง่ือนไขว<า ถ+าหากจําเลยเยียวยาครบถ+วนศาลจะไม<ลงโทษตามท่ีกฏหมายกําหนดไว+คล+ายกับการรอการลงโทษตามกฎหมายไทย เ ม่ือจํ า เลย เยี ยวยาผู+ เ สี ยหายครบถ+วน พนักงานอัยการจะรายงานให+ศาลทราบ คดีเป&นอันระงับไป หากจํา เลยไม< เยียวยาแก<ผู+เสียหายพนักงานอัยการก็จะแถลงศาล ศาลจะนําโทษท่ีได+กําหนดไว+ก<อนแล+วลงโทษจําเลยทันที ประเทศอังกฤษ แยกพิจารณาเป&น 3 กรณี คือ - คดีอาญา - คดีแพ<ง - คดีปกครอง

1. คดีอาญา การฟuองคดีอาญาในอังกฤษและเวลสA ถือหลักการฟuองคดีอาญาโดยประชาชน (popular prosecution) ซ่ึงต<างจากการฟuองคดีอาญาในระบบกฎหมายเยอรมัน ญ่ีปุsน และในสหรัฐอเมริกาท่ีให+พนักงานอัยการเป&นองคAกรท่ีฟuอง

คดีอาญาในนามของรัฐ อย<างไรก็ดี ก<อนปE ค.ศ. 1985 การฟuองคดีอาญาของอังกฤษ อยู<ในความรับผิดชอบของตํารวจและ Director of Public Prosecution (DPP) ซ่ึงหน<วยงาน DPP ได+จัดต้ังโดย the Prosecution of Offences Act 1879 โดยมีภารกิจในการดําเนินคดีอาญาและเป&นท่ีปรึกษาทางกฎหมายให+แก<หัวหน+าตํารวจหรือหน<วยงานภาครัฐหรือบุคคลในการฟuองคดีอาญา ส<วนหน<วยงาน DPP มีบทบาทหลักในการฟuองคดีความผิดฐานฆ<าคน (murder) ความผิดต<อความม่ันคงของรัฐ ความผิดท่ีกระทบต<อ ความปลอดภัยสาธารณะและความผิดท่ีกระทําโดยตํารวจ ส<วนหน<วยงานตํารวจจะฟuองคดีท่ีเป&นคดีอาญาพ้ืนฐาน และเกิดข้ึนบ<อยครั้งในศาล magistrate ส<วนท่ีเหลือจะเป&นหน<วยงานของรัฐในอังกฤษอีก 43 หน<วย ท่ีฟuองคดีในศาล magistrate และในคดีท่ีซับซ+อนท่ีต+องฟuองในศาล crown court ซ่ึงในกรณีเหล<านี้ หน<วยงานภาครัฐจะมีท่ีปรึกษากฎหมายให+คําแนะนําในการฟuองคดีหรือมีทนายความท่ีฟuองคดีเอง การ ท่ี ตํ ารวจ ทําหน+ า ท่ี ในการสืบสวนสอบสวนและสั่งฟuองคดีเองนั้น มีข+อสังเกตจากคณะกรรมการปฏิรูปกฎหมายของอังกฤษ (Royal Commission) ใน ค.ศ. 1929 และ 1932 ว<า การท่ีตํารวจทําหน+าท่ีท้ังสองน<าจะก<อให+เกิดความขัดแย+งในหลักการควบคุมอาชญากรรม (crime control) และการรักษาสิทธิเสรีภาพของประชาชน (due process) ในการดําเนินการสอบสวนและฟuองร+อง ท้ังนี้ เพราะการรวบรวมพยานหลักฐานของตํารวจจะมุ<งในประเด็นการฟuองคดีเป&นหลัก โดยขาดการคํานึงถึงหลักประกันของผู+ต+องหาในระหว<างการสอบสวนฟuองร+อง

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ในปE ค.ศ. 1985 อังกฤษได+ต้ังหน<วยงานท่ีทําหน+าท่ีฟuองร+องแยกออกมาจากการสอบสวน โดยมีชื่อว<า Crown Prosecution Service (CPS) โดยมีกฎหมายออกมารองรับคือ the Prosecution of Offence Act 1985 หน<วยงานนี้ทําหน+าท่ีฟuองร+องและยุติคดีอาญาในระดับชาติ (nationwide) และมีอํานาจในการตรวจสอบกระบวนการฟuองร+องในทุกข้ันตอนหากมีป=ญหา ดังนั้น ในกระบวนการดําเนินการก<อนฟuองร+องซ่ึงเดิมเป&นอํานาจหน+าท่ีของตํารวจ จึงมีความสับสนในการดําเนินการ และต<อมาได+มีแนวทางปฏิบัติระหว<างตํารวจและ CPS ท่ีจะประสานงานและกําหนดภารกิจในการตรวจสอบพยานหลักฐานหรือเง่ือนไขในการดําเนินคดีและไม<ดําเนินคดีก<อนฟuองไว+ ซ่ึงออกโดยอาศัยอํานาจตามมาตรา 37a ของ the Police and Criminal Act 1984230 โดยในแนวทางปฏิบัตินี้ ได+กําหนดให+ตํารวจมีอํานาจหน+าท่ีในการปฏิบัติต<อผู+ต+องหาท่ีมีหลักฐานเพียงพอในการฟuองคดี และการปล<อยชั่วคราวผู+ต+องหาท่ีถูกจับระหว<างรอคําสั่ งจากพนักงานอัยการ กําหนดประเภทความผิดท่ีตํารวจหรือพนักงานอัยการมีอํานาจในการออกคําสั่งฟuองได+ กําหนดการให+คําปรึกษาในคดีท่ีสําคัญและระยะเวลาในการให+คําปรึกษาของพนักงานอัยการแก<ตํารวจก<อนท่ีจะมีการฟuองคดี กําหนดพยานหลักฐานหรือข+อมูลอ่ืนใดท่ีต+องมีเพ่ือใช+ในการฟuองคดีต<อศาล และกําหนดพฤติการณAของบุคคลผู+เป&นผู+ต+องหาว<าได+กระทําผิดในการท่ีพนักงานอัยการจะใช+มาตรการเตือนหรือเตือนโดยมีเง่ือนไขแทนการฟuองคดีต<อศาล อํานาจของพนักงานอัยการท่ีจะดําเนินคดีอาญาหรือไม<ดําเนินคดีอาญานั้น เป&นไปตามหลักเกณฑAท่ีกําหนดไว+ใน the Code of

Crown Prosecutors231 ซ่ึงระเบียบดังกล<าวออกโดย theDirector of Public Prosecution โดยอาศัยอํา นาจตามมาตรา 10 ของ the Prosecution of Offences Act 1985 เพ่ือให+พนักงานสอบสวนและพนักงานอัยการถือปฏิบัติในการพิจารณาออกคําสั่งฟuองหรือไม<ฟuองคดี โดยมีหลักเกณฑAการออกคําสั่งคดีดังนี้ “ข+อ 3.1 การทําคําสั่งฟuองหรือไม<ฟuองคดีท่ีร+ายแรงหรือมีความซับซ+อน พนักงานอัยก า ร และพนั ก ง านส อบส ว นต+ อ ง ถื อต ามหลักเกณฑAใน the Code of Crown Prosecutors และ The Director’s Guidance on Charging ข+อ 3.2 ตํารวจหรือหน<วยงานสืบสวนสอบสวนอ่ืนมีหน+าท่ีรวบรวมพยานหลักฐานเพ่ือให+พนักงานอัยการได+ตรวจสอบ โดยพนักงานอั ย ก า ร จ ะ ต+ อ ง ต ร ว จ ส อ บ ถึ ง ก า ร ไ ด+ ม า ซ่ึ งพยานหลักฐาน และคุณภาพของพยานหลักฐาน รวมถึงการให+คําแนะนําในแนวทางการสืบสวนสอบสวน และการให+ความช<วยเหลือต<างๆ แก<ตํารวจหรือพนักงานสืบสวนสอบสวนอ่ืน แต<ข+อแนะนํานี้ไม<ถือเป&นอํานาจสั่งให+ทําการ ข+อ 3.3 การพิจารณาหลักฐานท่ีส<งให+แก<พนักงานอัยการ พนักงานอัยการมีอํานาจพิเคราะหAว<าพยานหลักฐานใดท่ีมีน้ําหนักน+อย และหากพิจารณาตามหลัก Threshold Test แล+วพนักงานอัยการมีสิทธิยุติคดีได+หากพยานหลักฐานไม<ครบตามหลักเกณฑAท่ีกําหนดไว+ใน the Full Code Test เพราะเป&นเง่ือนไขท่ีจะสอบสวนต<อไป หรือไม<ครบเง่ือนไขท่ีจะฟuองคดีได+เพราะไม<ครบเกณฑAท่ีกําหนดไว+ในการพิจารณาเรื่อง the public interest อย<างไรก็ดี การพิจารณาพยานหลักฐานของพนักงานอัยการไม<ได+จํากัดเฉพาะหลักฐานท่ีตํารวจหรือพนักงานสืบสวนสอบสวนอ่ืนส<งมา

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เท<านั้น แต<ผู+ต+องหาสามารถยื่นพยานหลักฐานเพ่ือให+พนักงานอัยการพิจารณาก<อนมีคําสั่งฟuองหรือไม<ฟuองได+ ข+อ 3.4 การท่ีพนักงานอัยการจะดําเนินคดีต<อไปได+นั้น จะต+องครบเง่ือนไขตาม the Full Code Test เว+นแต<พยานหลักฐานจะครบ ตามเกณฑA Threshold Test แต<มีความจําเป&นต+องขอฝากขังต<อศาลหลังจากฟuอง แต<พยานหลักฐานยังไม<ครบตามเง่ือนไขของ the Full Code Test ข+อ 3.5 พนักงานอัยการต+องไม<อนุญาตให+มีการฟuองคดีหรือดําเนินคดีต<อไปหากพิจารณาแล+วเห็นว<าจะเกิดความไม<เป&นธรรมหากได+มีการดําเนินคดีในศาล ข+อ 3.6 ในกรณีท่ีมีการตรวจสอบกระบวนการ พนักงานอัยการจะต+องนําพฤติการณAท่ีเปลี่ยนแปลงในคดีมาพิจารณาในเรื่องของการเปลี่ยนแปลงข+อหาหรือยุติคดี โดยต+องร<วมกับพนักงานสอบสวนอย<างใกล+ชิดแต<การตัดสินใจในท+ายท่ีสุดจะอยู<ท่ี CPS ข+อ 3.7 ในคดีความผิดท่ีร+ายแรงหรือมีความละเอียดอ<อน รัฐสภาต+องการท่ีจะจํากัดประเภทคดีเหล<านี้ท่ีจะฟuองคดีต<อศาล ดังนั้น การฟuองคดีจึงต+องขอความยินยอมจาก DPP ในคดีเหล<านี้ DPP หรือพนักงานอัยการท่ีได+รับมอบหมายจะเป&นผู+ออกคําสั่งฟuองหรือไม<ฟuอง” หลักเกณฑA the Full Code Test ท่ีพนักงานอัยการจะใช+ในการวินิจฉัยคดีก<อนท่ีจะมีคําสั่งฟuองหรือไม<ฟuองคดีนั้น แยกได+ออกได+สองข้ันตอน ข้ันตอนแรก the evidential stage ซ่ึงพิจารณาว<าพยานหลักฐานเพียงพอท่ีจะฟuองหรือไม< และข้ันตอนท่ีสอง the public interest stageซ่ึงพนักงานอัยการจะต+องพิจารณาว<าการดําเนินคดีต<อไปจะเป&นประโยชนAแก<สาธารณะ

1. พนักงานอัยการส่ังไม�ฟsองคดีเพราะเหตุไม�เป-นประโยชน3สาธารณะ (public interest) ในข้ันตอนแรก พนักงานอัยการต+องพิจารณาว<าพยานหลักฐานท่ีรวบรวมมาในชั้นสอบสวนนั้นเม่ือนํามาฟuองคดีแล+วจะทําให+ผู+ต+องหาถูกตัดสินว<ากระทําผิดได+ ซ่ึงต+องคํานึงถึงเหตุท่ีผู+ต+องหาจะสามารถยกแก+ตัวให+พ+นผิดด+วย ซ่ึงการพิจารณาของพนักงานอัยการจะต+องคํานึงถึงว<าพยานหลักฐานท่ีรวบรวมได+นี้ต+องสามารถทําให+คณะลูกขุนหรือศาล magistrate ท่ีมีความเป&นกลาง และมีเหตุผลเม่ือพิจารณาพยานหลักฐานท่ีนําเสนอแล+วจะตัดสินว<าจําเลยกระทําความผิดได+หลังจากท่ีพิจารณาแล+วว<าเพียงพอท่ีจะตัดสินว<าผิดได+ ข+อพิจารณาต<อไป คือ ความน<าเชื่อถือของพยาน เพราะในหลายคดีท่ีเม่ือนําเสนอต<อคณะลูกขุนหรือ magistrate แล+วพยานอาจให+การในข+อเท็จจริงท่ีอ<อนกว<าตอนให+การในครั้งแรกในข้ันตอนท่ีสอง หลังจากผ<านการพิจารณาพยานหลักฐานตามข้ันตอนแรกแล+วพนักงานอัยการจะต+องพิจารณาถึงประโยชนAสาธารณะท่ีฟuองคดีต<อศาล โดยมีป=จจัยท่ีเป&นประโยชนAและไม<เป&นประโยชนA ดังนี้ ปSจจัยท่ีเป-นประโยชน3ในการฟsองคดี ได+แก< 1) ถ+ามีการตัดสินว<าผิด จําเลยจะได+รับโทษสูง 2) หากมีการตักเตือนแทนการฟuองคดี ศาลจะมีคําสั่งให+มีเง่ือนไขท่ีปuองกันอันตรายเพ่ิมข้ึนในระหว<างท่ีมีการเตือนโดยมีเง่ือนไข 3) เป&นความผิดท่ีมีการใช+อาวุธหรือการใช+กําลังทําร+าย

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4) เป&นความผิดท่ีประทุษร+ายต<อบุคคลท่ีให+บริการสาธารณะ เช<น สมาชิกท่ีเป&นฝsายกู+ภัยสาธารณะ ตํารวจ ราชทัณฑA แพทยAหรือนักสังคมสงเคราะหA หรือผู+ให+บริการขนส<งสาธารณะ เป&นต+น 5) ความผิดท่ีมีการเตรียมการหรือไตร<ตรองไว+ก<อน 6) ความผิดท่ีกระทําต<อเด็ก 7) ความผิดท่ีมีมูลเหตุจูงใจในการเลือกปฏิ บั ติต<อผู+ เสี ยหาย ท่ี เ ก่ียวกับชาติ พันธุA สัญชาติเพศ ผู+พิการ อายุ ศาสนา ความเชื่อ ความเห็นทางการเมือง หรือเป&นการกระทําท่ีกระทบต<อศักด์ิศรีของผู+เสียหาย 8) ความผิดท่ีกระทําเพ่ือความสะดวกในการท่ีจะกระทําความผิดร+ายแรง 9) เป&นความผิดท่ีผู+ต+องหากระทําผิดโดยอาศัยความอ<อนแอหรือด+อยโอกาส 10) มีองคAประกอบของการทุจริตต<อผู+เสียหายในการกระทําความผิด 11) เป&นการกระทําความผิดโดยการเอาเปรียบจากการท่ีผู+ต+องหามีอายุมากกว<าผู+เสียหาย 12) เป&นการกระทําความผิดโดยการเอาเปรียบจากท่ีผู+ เสียหายมีความเข+าใจในสาระสําคัญด+อยกว<า 13) ผู+ต+องหามีฐานะทางสังคมหรือหน+าท่ีการงานอันเป&นท่ีไว+วางใจ แต<อาศัยตําแหน<งดังกล<าวกระทําความผิด 14) ผู+ต+องหาเป&นผู+บงการหรือจัดให+มีการกระทําความผิดเกิดข้ึน 15) ผู+ต+องหาเคยถูกตัดสินว<ากระทําความผิดอาญา หรือถูกเตือนโดยมีเงือนไขในความผิดท่ีเก่ียวพันกับคดีท่ีพิจารณาสั่งฟuอง

16) ผู+ต+องหาถูกกล<าวหาว<าได+กระทําความผิดในการฝsาฝ�นคําสั่งของศาล 17) การฟuองคดีจะทําให+เกิดความเชื่อม่ันต<อสังคม 18) มีเหตุอันควรเชื่อว<าจะมีการกระทําความผิด ซํ้าหรือมีการกระทําความผิดต<อเนื่อง ส�วนเหตุท่ีไม�ควรฟsองคดี ได+แก< 1) คดีดังกล<าวศาลจะพิพากษาลงโทษน+อย 2) เป&นคดีท่ีความร+ายแรงและผลของการกระทําความผิดท่ีควรใช+มาตรการอ่ืนแทนการฟuองคดี และผู+ต+องหายอมรับท่ีจะรับการเตือนโดยมีเง่ือนไข 3) ผู+ต+องหาได+ถูกดําเนินคดีท่ีไม<ใช<คดีอาญา หรือถูกลงโทษปรับทางแพ<งซ่ึงเหมาะสมกับการกระทําท่ีได+กระทําผิด 4) ความผิดท่ีได+กระทําเป&นความผลจากการสําคัญผิดหรือเข+าใจผิด 5) ความเสียหายท่ีเกิดข้ึนเล็กน+อยและเกิดจากการกระทําท่ีเป&นผลจากการตัดสินใจท่ีผิดพลาด 6) มีการล<าช+าในการดําเนินคดีนับแต<วันท่ีได+กระทําความผิดจนถึงวันฟuอง อันมิใช<เหตุเพราะความผิดท่ีร+ายแรง หรือเป&นความล<าช+าอันเกิดจากความผิดของผู+ต+องหา หรือความผิดนั้นเพ่ิงปรากฏ หรือเป&นคดีท่ีซับซ+อนจนต+องใช+เวลาในการสอบสวนนาน มีเทคนิคใหม<ท่ีกระทําเพ่ือตรวจสอบความผิดท่ีได+กระทําไปแล+วและพบว<าผู+ต+องหาเป&นผู+กระทําความผิด 7) การฟuองคดีมีผลกระทบต<อสุขภาพกายหรือจิตของผู+เสียหาย

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8) ผู+ต+องหามีส<วนร<วมในการกระทําความผิดเล็กน+อย 9) ผู+ต+องหาได+ชดเชยความเสียหายท่ีเกิดข้ึน แต<ไม<ใช<เพราะต+องการหลีกเลี่ยงการถูกฟuองคดีหรือเพ่ือให+ได+ถูกเตือนแทนการฟuองคดี 10) ขณะกระทําความผิดผู+ต+องหาได+รับผลกระทบจากการเจ็บปsวยทางกายหรือจิตใจอย<างรุนแรง และความผิดท่ีกระทําไม<ร+ายแรง หรือไม<มีลักษณะท่ีกระทําความผิดซํ้า ท้ังนี้ พนักงานอัยการจะต+องดําเนินการตามแนวทางท่ีปฏิบัติต<อผู+กระทําผิดท่ีมีจิตผิดปกติและรักษาความปลอดภัยให+แก<สังคมด+วย 11) การฟuองคดีอาจมีผลกระทบต<อความสงบเรียบร+อยของสังคมหรือความม่ันคงของประเทศ นอกจากนี้ พนักงานอัยการต+องคํานึงถึงความเห็นของผู+ เสียหายหรือครอบครัวประกอบ ดังนี้ 1) พนักงานอัยการต+องนําความเห็นของผู+เสียหายท่ีได+รับผลกระทบจากการกระทําความผิดของผู+ต+องหา หรือในกรณีท่ีผู+เสียหายเป&นเด็ก พนักงานอัยการต+องรับฟ=งความเห็นของครอบครัวด+วย 2) อย<างไรก็ดี การสั่งคดีของพนักงานอัยการจะไม<เหมือนกับการเป&นทนายความของผู+เสียหาย เพราะจะต+องพิจารณาถึงประโยชนAสาธารณะในภาพรวมมากกว<าประโยชนAของฝsายผู+เสียหายแต<เพียงอย<างเดียว 3) การท่ีพนักงานอัยการจะไม<ดําเนินคดีต<อไปจะต+องอธิบายเหตุผลให+ผู+เสียหายทราบด+วย และต+องปฏิบัติตามหลัก Code of

Practice for Victims of Crime และแนวทางของ CPS ท่ีเก่ียวข+องท้ังหมด236 จากหลักพิจารณาในการสั่งคดีของพนักงานอัยการท่ีกล<าวข+างต+น พนักงานอัยการอาจจะไม<ฟuองคดีอาญาท่ีมีหลักฐานว<าผู+ต+องหากระทําความผิดได+ หากเข+าเหตุท่ีจะไม<ฟuองเพราะไม<เป&นประโยชนAสาธารณะตามท่ีกล<าวไว+แล+วถึงเหตุท่ีไม<ควรฟuองคดี 2. พนักงานอัยการหรือตํารวจออกคําส่ังเตือนแทนการฟsองคดี (caution or condition caution) กระบวนการนี้ ในกฎหมายอังกฤษเรียกว<า Out-of-Court Disposals ซ่ึงถือเป&นการเ บ่ียง เบนคดีไม<ต+องฟuองศาลในคดี ท่ีพนักงานอัยการมีความเห็นว<าคดีดังกล<าวได+ มีเ ง่ือนไขครบถ+วนท้ังในเรื่องของการพิจารณาพยานหลักฐานและการพิจารณาเรื่องประโยชนAสาธารณะ ท้ังนี้ โดยมีหลักกฎหมายท่ีกําหนดไว+ใน the Criminal Justice Act 2003 มาตรา 22-23 และมีระเบียบการดําเนินคดีของพนักงานอัยการกําหนดไว+ใน the Code of Crown Prosecutors ข+อ 7.1-7.8 และ the Director’s Guidance on Charging ท้ังนี้ พนักงานอัยการจะพิจารณาถึงพฤติการณA ท่ี เหมาะสมของคดีแต<ละคดีว<าคดีดังกล<าวเป&นคดีท่ีร+ายแรงหรือไม< เป&นผลจากการกระทําความผิดของผู+กระทําความผิดติดนิสัย พฤติการณAของผู+ กระทําในอดีตของผู+ กระทําความผิด และแนวโน+มท่ีผู+นั้นจะถูกลงโทษน+อยหากฟuองคดีต<อศาล นอกจากนี้ ยังต+องพิจารณาความเห็นของผู+เสียหายมาพิจารณาด+วย หรือในกรณีท่ีตํารวจเสนอให+มีการเตือนโดยมีเ ง่ือนไข พนักงานอัยการอาจมีคําสั่งเตือนโดยมีเง่ือนไขได+หากเห็นสมควร

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หลักเกณฑAท่ีกําหนดไว+ใน the Criminal Justice Act 2003 มาตรา 22 และมาตรา 25 มีดังนี้ “มาตรา 22 การเตือนโดยมีเง่ือนไข (1) เจ+าพนักงาน (ท่ีกําหนดไว+ในมาตรา 22 (4)) อาจสั่งเตือนโดยมีเง่ือนไขแก<ผู+กระทําความผิดท่ีมีอายุสิบแปดปEข้ึนไป หากมีองคAประกอบครบท้ังห+าประการตามมาตรา 23 (2) ในส<วนนี้ “การเตือนโดยมีเง่ือนไข” หมายความว<าการเตือนจําเลยท่ีได+กระทําความผิดโดยกําหนดเง่ือนไขให+ต+องปฏิบัติตาม (3) เง่ือนไขท่ีกําหนดจะต+องมีวัตถุประสงคAอย<างใดอย<างหนึ่งหรือท้ังสองประการ ดังนี้ (a) เป&นการฟ��นฟูจิตใจผู+กระทําความผิด (b) เป&นการทําให+ผู+ กระทําความผิดได+ชดใช+ความเสียหาย ท่ีได+ก<อให+เกิดข้ึน (4) ในส<วนนี้ “เจ+าพนักงาน” หมายความว<า (a) ตํารวจ (b) เจ+าพนักงานสืบสวน หรือ (c) พนักงานอัยการผู+ฟuองคดี มาตรา 23 องคAประกอบห+าประการ ได+แก< (1) ประการท่ีหนึ่ง เจ+าพนักงานต+องมีหลักฐานว<าผู+นั้นกระทําความผิด

(2) ปราการท่ีสอง พนักงานอัยการพิจารณาแล+ว และเห็นว<า (a) มีหลักฐานเพียงพอท่ีจะฟuองคดีอาญาต<อผู+กระทําความผิด และ (b) การกําหนดเง่ือนไขในการเตือนนี้เหมาะสมกับผู+กระทําความผิด (3) ประการท่ีสาม ผู+กระทําความผิดยอมรับกับเจ+าพนักงานว<าเขาเป&นผู+กระทําความผิด (4) ประการท่ีสี่ เจ+าพนักงานได+อธิบายให+ผู+กระทําความผิดได+ทราบถึงผลของการเตือนโดยมีเง่ือนไข และเตือนให+ทราบว<าหากมีการฝsาฝ�นเง่ือนไขจะต+องถูกฟuองเป&นคดีอาญา (5) ประการท่ีห+า ผู+กระทําความผิดได+ลงนามในเอกสาร ซ่ึงมีข+อความในเรื่องดังนี้ (a) รายละเอียดท่ีเก่ียวกับความผิด (b) คํารับสารภาพของผู+กระทําว<าได+กระทําความผิด (c) ความยินยอมของผู+กระทําว<ายอมรับเง่ือนไขในการเตือน และ (d) เง่ือนไขในการเตือน มาตรา 24 ในกรณีท่ีผิดเง่ือนไข (1) ในกรณีท่ีจําเลยผิดเง่ือนไขในการเตือน โดยไม<มีเหตุแก+ตัวอันสมควร บุคคลนั้นจะต+องถูกฟuองเป&นคดีอาญา (2) เอกสารตามท่ีกําหนดไว+ในมาตรา 23(5) ไม<อาจนํามารับฟ=งในการพิจารณาคดีอาญาได+

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(3) ในกรณีท่ีมีการพิจารณาคดีอาญาแล+ว เง่ือนไขในการเตือนเป&นอันยกเลิก มาตรา 25 ระเบียบปฏิบัติ (1) The Secretary of State ต+องออกระเบียบปฏิบัติท่ีเก่ียวกับการเตือนโดยมีเง่ือนไข (2) ในระเบียบปฏิบัตินี้ ต+องประกอบด+วย (a) พฤติการณAท่ีจะมีการเตือน (b) กระบวนการท่ีเก่ียวข+องกับการเตือน (c) เง่ือนไขและเวลาในการท่ีต+องปฏิบัติ (d) ประเภทของตํารวจและพนักงานสืบสวนท่ีจะมีอํานาจเตือนได+ (e) บุคคลผู+ฟuองคดีท่ีจะมีอํานาจในการเตือน (f) แบบฟอรAมการเตือน (g) สถานท่ีท่ีออกคําสั่งเตือน (h) การติดตามผลการปฏิบัติตามเง่ือนไขในการเตือน (3) หลังจากท่ียกร<างระเบียบแล+ว The Secretary of State จะต+องตีพิมพA รับฟ=งความเห็นและนํามาปรับปรุงแก+ไข ท้ังนี้ โดยความยินยอมของ Attorney General (4) หลังจากดําเนินการตาม (3) แล+วต+องยื่นให+แก<รัฐสภาหลังจากนั้น จึงออกคําสั่งให+มีระเบียบปฏิบัติ และอาจมีการแก+ไขเพ่ิมเติมได+”

หลักเกณฑAในข+อ 7.1-7.8 ของ the Code of Crown Prosecutors มีดังนี้ “ข+อ 7.1 ก<อนท่ีจะพิจารณาออกคําสั่งเตือนโดยมีเง่ือนไข พนักงานอัยการต+องพิจารณาแล+วเห็นว<า คดีดังกล<าวมีหลักฐานเพียงพอท่ีจะถูกตัดสินว<าผิดและการดําเนินคดีจะเป&นประโยชนAสาธารณะ อันเป&นการครบ Full Code Test พนักงานอัยการมีอํานาจสั่งเตือนโดยมีเง่ือนไขได+เพ่ือประโยชนAในการแก+ไขฟ��นฟูผู+กระทําความผิด การเยียวยาชดเชยกับผู+เสียหายและสังคมและการลงโทษตามท่ีกําหนดไว+ใน the Criminal Justice Act 2003 ข+อ 7.2 การเตือนโดยมีเง่ือนไข ไม<ใช<การตัดสินว<ากระทําความผิดอาญา แต<เป&นรูปแบบหนึ่ ง ท่ีจะ บัน ทึกประวั ติของผู+ กระทําความผิด และอาจอ+างอิงประวัตินี้ต<อศาลได+ หรือเป&นข+อพิจารณาแก<พนักงานอัยการท่ีจะมีคําสั่งเตือนโดยมีเง่ือนไขหากมีการกระทําความผิดซํ้าพนักงานอัยการอาจสั่งเตือนโดยมีเง่ือนไขได+หากเห็นว<ามีเหตุสมควรกระทําเ พ่ือประโยชนAของผู+ต+องหา ผู+เสียหายและชุมชน ข+อ 7.3 การดําเนินการนั้น พนักงานอัยการต+องปฏิบัติตาม Code of Practice ท่ีเก่ียวข+องและ DPP’s Guidance on Condition Cautioning เม่ือจะพิจารณาออกคําสั่ง ข+อ 7.4 ในกรณีท่ีผู+ต+องหาไม<ยอมรั บผิ ดหรื อปฏิ เ ส ธ ท่ี จ ะรั บ เ ง่ื อน ไขตาม condition caution ท่ีพนักงานอัยการเสนอ พนักงานอัยการจะต+องดําเนินคดีแก<ผู+ต+องหาในความผิดเดิมต<อไป ข+อ 7.5 พนักงานอัยการเท<านั้นท่ีมีสิทธิ เสนอการเ ตือนแก<ผู+ กระทําความผิดในความผิดท่ีต+องพิจารณาในศาล Crown Court

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ข+อ 7.6 ในคดีอ่ืนๆ พนักงานอัยการอาจเสนอการเตือนตามท่ีกําหนดไว+ในแนวทางปฏิบัติของ CPS และ Home Office หรือแนะนําให+มีการดําเนินการแก<ผู+กระทําความผิดท่ีมีจิตไม<ปกติ แต<การพิจารณาในเรื่องผู+มีจิตไม<ปกตินี้เป&นอํานาจของตํารวจ ข+อ 7.7 ในกรณีท่ีเป&นการเตือนโดยตํารวจ พนักงานอัยการจะต+องตรวจสอบมีหลักเกณฑAครบถ+วนตาม Full Code Test และผู+กระทําความผิดมีความรับผิดทางอาญา ข+อ 7.8 ในกรณีท่ีมีการเตือนหรือมีการเบ่ียงเบนคดีจากศาลโดยเง่ือนไขอ่ืน หากมีการ ปฏิเสธข+อเสนอ พนักงานอัยการจะดําเนินคดีนั้นต<อไป” 3. การต�อรองให)จําเลยรับสารภาพ (plea bargaining) เดิมอังกฤษไม<มีการต<อรองคํารับสารภาพ แต<ในศตวรรษท่ี 17 ได+มีการนํามาใช+เพ่ือลดโทษในคดีชิงทรัพยA แต<ในคดีดังกล<าวเป&นกรณีท่ีศาลตกลงกับจําเลยเพ่ือให+รับในข+อหาท่ีพนักงานอัยการฟuองอันจะมีผลต<อการลดโทษ ซ่ึงมีความแตกต< า ง กับก ารต< อ ร อง ให+ รั บ ส า รภาพของสหรัฐอเมริกา อย<างไรก็ดี ในป=จจุบัน กฎหมายอังกฤษมีหลักเกณฑA ท่ีจะให+พนักงานอัยการมีดุลพินิจต<อรองกับจําเลยหรือทนายจําเลยท่ีจะให+รับสารภาพในข+อหาท่ีเบาได+เช<นเดียวกับสหรัฐอเมริกา โดยมีหลักเกณฑAในการดําเนินการไว+ ใน ข+อ 10 ของ the Code of Crown Prosecutors หลักเกณฑAตาม the Code of Crown Prosecutors ข+อ 10 กําหนดเก่ียวกับการต<อรองรับสารภาพในชั้นศาลซ่ึงพนักงานมีบทบาทในการดําเนินการ ดังนี้

“ข+อ 10.1 ในกรณีท่ีจําเลยต+องการรับสารภาพบางส<วนในข+อหาท่ีถูกฟuอง จําเลยอาจรับสารภาพในข+อหาท่ีเบากว<าได+ เพราะจําเลยได+รับในข+อหาบางส<วน ข+อ 10.2 พนักงานอัยการจะยอมรับคํารับสารภาพบางส<วนของจําเลยได+ต<อเม่ือพิจารณาพยานหลักฐานแล+วเห็นว<าหากพนักงานอัยการได+ฟuองคดีต<อศาล ศาลจะลงโทษจําเลยแต<พนักงานอัยการไม<อาจยอมรับคํารับสารภาพบางส<วนได+หากเป&นเพราะเหตุเพ่ือความสะดวก ข+อ 10.3 ในการพิจารณาคํารับสารภาพของจําเลย พนักงานอัยการจะต+องคํานึงถึงประโยชนAสาธารณะและประโยชนAของผู+เสียหายหรือครอบครัวของผู+เสียหายด+วย ข+อ 10.4 พนักงานอัยการต+องคํานึงถึงว<าหากมีการยอมรับคํารับสารภาพท่ีแตกต<างไปจากคําฟuอง และศาลเห็นสมควรไต<สวนข+อเท็จจริงท่ีแตกต<างนั้น ศาลอาจลงโทษในข+อเท็จจริงท่ีแตกต<างนั้นได+ ข+อ 10.5 ในกรณีท่ีจําเลยมีความประสงคAท่ีจะนําความผิดท่ีฟuองเข+าสู<การพิจารณาลงโทษของศาล แต<ได+ยอมรับสารภาพในข+อหาท่ีต<อรอง พนักงานอัยการจะต+องพิจารณาท่ีจะสั่งฟuองในข+อหาท่ีรับสารภาพ และอธิบายให+แก<ทนายความและศาลว<าความผิดท่ีได+ฟuองนั้นอาจได+รับการตรวจสอบ ข+อ 10.6 ในกรณีท่ีจําเลยรับสารภาพในข+อหาท่ีมีโทษและมีโทษข้ันตํ่า พนักงานอัยการจะต+องคํานึงถึงโทษอุปกรณAท่ีจําเลยอาจถูกลงโทษได+นอกเหนือจากโทษประธาน ข+อ 10.7 พนักงานอัยการต+องปฏิบัติตาม “ Attorney General’s Guidelines on the Acceptance of Pleas and the

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Prosecutor’s Role in the Sentencing Exercise” ซ่ึงกําหนดรายละเอียดท่ีพนักงานอัยการจะต+องปฏิบัติและบทบาทของพนักงานอัยการท่ีจะยอมรับคํารับสารภาพ” 4. อํานาจของพนักงานอัยการท่ีจะยุติคดีท่ีเอกชนฟsอง (private prosecution) ในกฎหมายอังกฤษ ซ่ึงถือหลักประชาชนมีสิทธิฟuองคดี ดังนั้น การฟuองคดีอาญาโดยเอกชน (ซ่ึงไม<ใช<พนักงานเจ+าหน+าท่ีของรัฐหรือตํารวจเป&นผู+ฟuองคดี) สามารถกระทําได+ตามมาตรา 6(1) of the Prosecution of Offences Act 1985 แต<กฎหมายให+อํานาจพนักงานอัยการท่ีจะเข+ามาควบคุมคดีของเอกชนท่ีฟuองคดี แต<ในบางคดีการเข+ามาควบคุมคดีของพนักงานอัยการต+องได+รับความยินยอมจากเอกชนผู+ฟuองคดีนั้นก<อน (มาตรา 6(2)) การเข+ามาในคดีของเอกชนนั้น พนักงานอัยการมีดุลพินิจท่ีจะเข+ามาโดยไม< มี เ ง่ือนไขท่ีกําหนดไว+ตามกฎหมาย และการเข+ามาในคดีของเอกชนท่ีฟuองนั้น พนักงานอัยการจะเข+ามาเพ่ือดําเนินคดีต<อไปหรือยุติคดีก็ได+ กระบวนการท่ีพนักงานอัยการจะเข+ามาในคดีของเอกชนนั้น อาจกระทําได+โดยการร+องขอของเอกชน หรือผู+แทนของเอกชน โดยมีรายงานคดีของศาล หรือมีการส<งคดีไปให+แก<พนักงานอัยการโดย justice clerk ตามมาตรา 7(4) of the Prosecution of Offences Act 1985เม่ือพนักงานอัยการได+คําร+องแล+ว พนักงานอัยการจะขอสํานวนคดีและหลักฐานจากเอกชนท่ีฟuองคดี และพิจารณาถึงเหตุยกเว+นโทษหรือยกเว+นความผิดของจําเลย ตลอดจนประโยชนAสาธารณะ และขอให+ท้ังโจทกAและจําเลยยื่นหลักฐานมาให+แก<พนักงานอัยการภายในสิบสี่วันนับแต<วันท่ีได+รับแจ+ง เพ่ือเป&นข+อมูลในการทําคําสั่ง

ในกรณี ท่ีพนักงานอัยการเข+ าควบคุมคดีของเอกชนท่ีฟuอง และดําเนินคดีต<อไปพนักงานอัยการจะต+องพิจารณาแล+วว<าคดีดังกล<าว มีพยานหลักฐานครบถ+วน ตาม Full Code Test และมีเง่ือนไขครบ public interest และมีเหตุท่ีพนักงานอัยการจะเข+าควบคุมคดี ส<วนในการเข+ามาในคดีของเอกชนและยุติคดี เป&นกรณีท่ีพนักงานอัยการพิจารณาแล+วเห็นว<า พยานหลักฐานท่ีพิจารณาได+ไม<ครบตาม Full Code Test หรือไม<มีเหตุท่ีจะดําเนินคดีเพราะไม<มีประโยชนAสาธารณะ public interest หรือการดําเนินคดีต<อไปจะทําให+เสียประโยชนA ของความยุติธรรม ได+แก< - เป&นการฟuองคดีท่ีก+าวล<วงการสอบสวนของคดีอ่ืนหรือเป&นการก+าวล<วงการฟuองคดีอาญาอ่ืน - เป&นคดีท่ีเอกชนฟuองโดยไม< มีหลักฐานเพียงพอแต<เป&นการฟuองเพ่ือให+อีกฝsายหนึ่งเกิดความกังวล (vexatious) หรือเป&นการฟuองโดยเจตนาทุจริต - เป&นคดีท่ีเจ+าหน+าท่ีของรัฐท่ีมีสิทธิฟuองคดีอ่ืน เช<น ตํารวจ CPS หรือเจ+าหน+าท่ีอ่ืนได+ให+สัญญากับจําเลยไว+ว<าจะไม<มีการฟuองจําเลยเป&นคดีอีก แต<ไม<รวมถึงกรณีท่ีพนักงานอัยการได+ให+สัญญากับจําเลยว<าจะไม<ดําเนินคดีแก<จําเลยในเรื่องนั้นต<อไป - เป&นคดีท่ีจําเลยได+รับการเตือน โดยมีเง่ือนไขจากพนักงานอัยการ และเป&นการเตือนท่ีถูกต+องตามกฎหมาย ก า ร ท่ี พนั ก ง าน อั ยกา ร จ ะ ไม<ดําเนินคดีแก<จําเลย เพราะเหตุท่ีไม<อาจดําเนินคดีได+หรือเพราะไม<มีเหตุท่ีเป&นประโยชนAสาธารณะท่ีจะดําเนินคดี จึงเป&นเง่ือนไขท่ีพนักงานอัยการจะยุติ

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การดําเนินคดีของเอกชนท่ีฟuองคดีในอังกฤษได+ โดยถือว<าเป&นการอํานวยความยุติธรรมในการดําเนินคดีแก<จําเลย 5. การตรวจสอบคําส่ังไม�ฟsองของพนักงานอัยการ นอกจากการตรวจสอบโดยองคAกรภายในตามลําดับชั้น และมีแนวทางปฏิบัติตามท่ีกล<าวแล+วข+างต+น การสั่งไม<ฟuองของพนักงานอัยการ จะถูกตรวจสอบโดยองคAกรภายนอก ดังนี้ 1) ตรวจสอบโดยรัฐสภา โดยรัฐสภาจะสอบถาม Attorney General ซ่ึงเป&นผู+แต<งต้ัง DPP และ CPS ดังนั้น รัฐสภาจึงสามารถตรวจสอบการทํางานในทางนโยบายได+จากการต้ังกระทู+ให+ Attorney General ตอบในสภา และกรรมาธิการรัฐสภาอาจให+ CPS ตอบในสภาโดยตรงได+ 2) ตรวจสอบโดยศาล ศาลมีดุลพินิจท่ีจะไต<สวนคดีท่ีพนักงานอัยการฟuองได+ 3) ตรวจสอบโดยองคAกรสํานักงานตรวจเงินแผ<นดิน (National Audit Office) 2. คดีแพ�ง ในคดีแพ<ง เป&นเรื่องของเจ+าหน+าท่ีในหน<วยงานภาครัฐแต<ละหน<วยท่ีจะดําเนินคดีพนั ก ง าน อั ยกา ร อั งกฤษไม< ไ ด+ มี ส< ว น ในกา รดําเนินการให+ 3. คดีปกครอง ในการดําเนินคดีเพ่ือโต+แย+งการปฏิบัติหน+าท่ีของเจ+าพนักงาน ในอังกฤษมีการร+องเรียนต<อ Ombudsman ซ่ึงผู+ตรวจการแผ<นดิน จะสืบสวนสอบสวนการกระทําได+ประชาชนร+องทุกขAว<ามีการบริหารท่ีไม<ถูกต+อ และไม<ได+รับความเป&นธรรม ซ่ึงในอังกฤษท่ีมีการตรวจสอบข+อร+องเรียนดังกล<าวโดยแยกเป&นแผนก เช<น เด็ก

การเงินการคลัง การเคหะ การให+บริการทางกฎหมาย การใช+พลังงาน การสื่อสาร เป&นต+น ประเทศสหรัฐอเมริกา

1. คดีอาญา การฟuองคดีอาญาในสหรัฐอเมริกา อัยการในสหรัฐและในมลรัฐมีสิทธิฟuองคดีอาญาได+ท้ังนี้เพราะในแต<มลรัฐจะมีกฎหมายอาญา และกระบวนพิจารณาตลอดจนศาล อัยการ ตํารวจของตนเอง แต<ในบางความผิดอาจมีการฟuองคดีท้ังในมลรัฐและในสหรัฐ อย<างไรก็ดี ในความผิดท่ีร+ายแรงส<วนใหญ<จะฟuองคดีในสหรัฐ เช<น ความผิดฐานค+ายาเสพติด อาชญากรรมท่ีกระทําโดยองคAกร หรือความผิดเก่ียวกับการเงิน การฉ+อโกงเงินจํานวนมาก หรือความผิดท่ีกระทําต<อเจ+าหน+าท่ีของสหรัฐ หรือต<อประโยชนAของสหรัฐ เป&นต+น แต<ความผิดท่ีฟuองในแต<ละมลรัฐจะเป&นความผิดท่ีกระทําต<อตัวบุคคลหรือทรัพยA เช<น การฆ<า ทําร+าย ลักทรัพยA เป&นต+น การดําเนินคดีอาญา โดยตํารวจและพนักงานอัยการนั้น ถือเป&นการดําเนินคดีโดยฝsายบริหาร ซ่ึงต<างจากพนักงานอัยการในยุโรปท่ีถือว<าพนักงานอัยการเป&นองคAกรหนึ่งของศาล ดังนั้น การท่ีศาลจะเข+ามามีบทบาทในการสอบสวนนั้นเป&นไปได+ยาก แต<จะมีอํานาจในการตรวจสอบการใช+อํานาจจับค+นของตํารวจ การฟuองคดีอาญาในสหรัฐอเมริกา อยู<ในความรับผิดชอบของ U.S. Attorney ซ่ึงได+รับแต<งต้ังโดยประธานาธิบดีสหรัฐ และต+องรายงานการดําเนินงานต<อ The Attorney General ในการสืบสวนสอบสวนและสั่งฟuองคดีในสหรัฐอเมริกา หากหน<วยงานสืบสวนเชื่อว<ามีการกระทําความผิดอาญาเกิดข้ึน หน<วยงานดังกล<าวจะเสนอเรื่องต<อ Office of the U.S.

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Attorney ในแต<ละเขต ซ่ึงจะมีเจ+าหน+าท่ี ใน the Assistant U.S. Attorneys (AUSA) จะเป&นผู+ตรวจสอบข+อมูลหลักฐานและสอบถามข+อมูลเพ่ิมเติมก<อนท่ีจะพิจารณาว<ามีหลักฐานน<าเชื่อ (probablecause) ว<ามีการกระทําความผิดหรือไม< ถ+าเห็นว<าไม<มี AUSA อาจขอให+สืบสวนต<อไป หรืออาจนําเสนอให+คณะลูกขุนใหญ<เพ่ือพิจารณาว<าควรให+สืบสวนต<อไปหรือไม< แต<ถ+า AUSA พิจารณาแล+วเห็นว<ามีหลักฐานน<าเชื่อ ก็จะนําเสนอให+คณะลูกขุนใหญ<พิจารณาเพ่ือจะมีมติว<าจะฟuองผู+กระทําความผิดหรือไม< หากมีการฟuองก็จะมีการออกหมายจับเพ่ือนํามาฟuองเป&นการดําเนินคดีแบบ indictment ต<อไป พนักงานอัยการสหรัฐอเมริกาไม<มีอํานาจออกหมายเรียกบุคคลมาให+การ แต<เป&นอํานาจของ คณะลูกขุนใหญ<ท่ีจะออกหมายเรียกได+ในสหรัฐอเมริกา พนักงานอัยการมีดุลพินิจท่ีจะไม<ฟuองคดีอาญา หรือมีการต<อรองให+รับสารภาพอย<างกว+างขวาง ท้ังนี้ โดยมีหลักเกณฑA ดังนี้ 1) การส่ังไม�ฟsองคดีท่ีมีมูล ใ น ก า ร ดํ า เ นิ น ค ดี อ าญ าขอ งพนักงานอัยการเพ่ือจะพิจารณาออกคําสั่งฟuองหรือไม<ฟuองคดีอาญาท่ีมีมูล ในสหรัฐอเมริกา ได+มีหลักเกณฑAเก่ียวกับการใช+ดุลพินิจไม<ฟuองคดีหรือการต<อรองท่ีจะฟuองคดีหรือต<อรองคํารับสารภาพในชั้นฟuองคดีหรือในการพิจารณาของศาลโดยมีหลักเกณฑAกําหนดไว+ใน 9.27.00 ของ US. Federal Procedure Code : Principles of Federal Prosecution( USAM) เ ปu า ห ม า ย ข อ ง ก า ร กํ า ห น ดหลักเกณฑAการใช+ดุลพินิจของพนักงานอัยการท่ีจะ

ไม<ฟuองคดีท่ีมีหลักฐานเพียงพอว<าจําเลยได+กระทําความผิด มีในมาตรา 9.27.220 โดยอาศัยเหตุผลว<า - การฟsองคดีไม�เป-นประโยชน3ต�อสหรัฐ - บุคคลดังกล�าวได)ถูกฟsองเป-นอีกคดีหนึ่งท่ีมีประสิทธิภาพกว�า - มีการดําเนินคดีอย�างอ่ืนท่ีไม�ใช�การฟsองคดีอาญาท่ีเหมาะสมแล)ว หลักพิจารณาว<า การฟuองคดีจะไม<เป&นประโยชนAกับสหรัฐ มีป=จจัยท่ีพิจารณา ดังนี้ 1. ประสิทธิภาพของการบังคับใช+กฎหมาย เพ่ือเป&นการลดภาระของเจ+าพนักงานหรือศาลท่ีจะต+องมีภาระในการดําเนินคดีเฉพาะท่ีจําเป&นจริงๆ 2. ลักษณะและความร+ายแรงของความผิด 3. ผลในทางยับยั้งการกระทําความผิดหากการฟuองคดี 4. ความผิดของบุคคลท่ีมีส<วนเก่ียวกับการกระทําความผิด 5. ประวัติการกระทําความผิดของผู+นั้น 6. ความประสงคAของผู+นั้นในการให+ความร<วมมือกับเจ+าพนักงานในชั้นสืบสวนสอบสวนหรือชั้นฟuองคดี และในชั้นอ่ืนๆ 7. ในกรณีท่ีผู+นั้นถูกตัดสินว<ากระทําความผิด โทษท่ีผู+นั้นควรได+รับหรือผลด+านอ่ืนท่ีเก่ียวข+อง ข+อพิจารณาว<า บุคคลดังกล<าวอาจถูกดําเนินคดีในมลรัฐอ่ืนได+เหมาะสมกว<า มีข+อพิจารณาดังนี้ (USAM 9.27.240)

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1) ประโยชนAท่ีได+จากการฟuองยังมลรัฐอ่ืน 2) มลรัฐอ่ืนนั้นมีความประส งคA และ มีคว ามสามารถ ท่ี จะฟu อ ง ได+ มีประสิทธิภาพเพียงใด 3) โอกาสท่ีจําเลยจะถูกลงโทษหรือได+รับผลในทางกฎหมายอ่ืนหากฟuองในมลรัฐมีเพียงใดการพิจารณาว<ามีมาตรการทางอ่ืนท่ีไม<ต+องฟuองคดีอาญา มีข+อพิจารณาดังนี้ (USAM 9.27.250) 1. มีมาตรการทางแพ<งหรือทางปกครองท่ีนํามาใช+กับการกระทําของจําเลยโดยไม<ต+องฟuองคดีอาญา 2. มีมาตรการทางเลือกท่ีมีประสิทธิภาพแทนการฟuองคดี 3. การไม<ฟuองคดีเป&นประโยชนAต<อการบังคับใช+กฎหมายของสหรัฐเพียงใด ข+อพิจารณาในการไม<ฟuองคดีนั้น จะต)องคํานึงถึงข)อห)ามดังต�อไปนี้ (USAM 9.27.260) 1. จะต+องไม<เลือกปฏิบัติเพราะเหตุเชื้อชาติ ศาสนา เพศ ชาติกําเนิด หรือ เพราะเหตุมีกิจกรรมท่ีเก่ียวกับทางการเมือง ความเชื่อ 2. ความรู+สึกส<วนตัวของพนักงานอัยการท่ีมีต<อผู+กระทําความผิดหรือผู+ท่ีเก่ียวข+องกับผู+นั้นหรือผู+เสียหาย 3. ผลกระทบท่ีอาจเกิดข้ึนจากการสั่งคดีท้ังแก<วิชาชีพหรือพฤติการณAส<วนตัวของผู+สั่ง 2) การต�อรองเพ่ือให)รับสารภาพ (plea bargaining) เนื่องจากการดําเนินคดีของศาลโดยมีคณะลูกขุนนั้นอาจใช+เวลานานและต+องเสียค<าใช+จ<ายสูง ดังนั้น กระบวนการท่ีสหรัฐอเมริกา

นํามาใช+เพ่ือลดปริมาณคดีข้ึนสูงศาล จึงเป&นการต<อรองให+รับสารภาพ โดยมีผลดีในด+านการบริหารกระบวนการยุติธรรมท่ีไม<ต+องใช+เวลานานอันเป&นการลดภาระของบุคลากรท่ีจะพิจารณาคดี และในขณะเดียวกัน ผู+ต+องหาหรือจําเลยท่ีไม<ได+รับการประกันตัวก็จะมีโอกาสท่ีจะได+รับการพิจารณาคดีท่ีรวดเร็ว การทําข)อตกลงเก่ียวกับการต�อรองเพ่ือรับสารภาพ มีหลักเกณฑAในมาตรา 9.27.330 ดังนี้ ก<อนท่ีจะดําเนินการต<อรองให+รับสารภาพก<อนฟuองนั้น พนักงานอัยการจะต+องพิจารณาหลักเกณฑAของการต<อรองให+รับสารภาพตามมาตรา 9.27.430 และจะต+องมีองคAประกอบตามท่ีเก่ียวกับการเลือกฟuองคดีในกรณีท่ีจําเลยรับสารภาพ ในการจัดทําข+อตกลงในการรับสารภาพ (Plea agreement) มีหลักเกณฑAในการดําเนินการดังนี้ 1. พนักงานอัยการมีสิทธิเข+าทําข+อตกลงกับจําเลยท่ีรับสารภาพหรือท่ีมีการต<อรองให+รับสารภาพบางส<วน หรือรับสารภาพในความผิดท่ีมีโทษน+อยกว<าท่ีถูกฟuอง เพ่ือให+พนักงานอัยการไม<ฟuองคดีหรือดําเนินการอย<างอ่ืนแทนการฟuองคดี 2. มาตรา 9.27.400 เป8ดโอกาสให+พนักงานอัยการสามารถทําสัญญาเพ่ือการต<อรองให+จําเลยรับสารภาพ การทําสัญญานี้จะเป&นกระบวนการท่ีแยกออกจากการรับสารภาพ หรือรับสารภาพในฐานท่ีน+อยกว<า (nolo contendere) ซ่ึงในสองกรณีนี้ไม<จําเป&นต+องมีสัญญาตกลงกันก็ได+ 3. ในการต<อรองเพ่ือให+รับสารภาพนั้น มีกําหนดไว+ใน Rule 11 (e) (1) ของ Federal Rule of Criminal Prosecution ซ่ึงบัญญัติว<า

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“พนักงานอัยการและทนายความของจําเลยหรือจําเลยเม่ือได+ปรึกษาหารือกันแล+ว ท่ีจําเลยจะรับสารภาพหรือรับสารภาพในความผิดท่ีร+ายแรงน+อยกว<า เม่ือตกลงกันได+แล+วพนักงานอัยการ จะดําเนินการดังต<อไปนี้ A. ถอนฟuองความผิดอ่ืนๆ หรือ B. ทําข+อเสนอแนะหรือตกลงว<าจะไม<คัดค+านการท่ีจําเลยจะร+องขอให+ศาลมีการลงโทษหรือการร+องขอท่ีจะไม<นําคดีข้ึนสู<ศาล C. ตกลงท่ีจะรับโทษท่ีเหมาะสมโดยไม<มีการฟuองคดี” การต<อรองให+รับสารภาพในกรณีของการต<อรองในศาล nolo contendere ศาลจะต+องมี การตรวจสอบและให+ความยินยอมด+วย ดังนั้น ใน Federal Rule of Criminal Procedure Rule 11 จึงได+กําหนดหลักเกณฑAท่ีศาลจะต+องพิจารณาคํารับของจําเลยไว+ ดังนี้ “(a) คําให+การของจําเลยอาจเป&นคําให+การรับสารภาพ หรือให+การปฏิเสธ หรือให+การรับสารภาพโดยความยินยอมของศาล (nolo contendere) ในกรณีท่ีเป&นการรับโดยมีเง่ือนไข ซ่ึงจําเลยกระทําได+โดยความยินยอมของรัฐและศาล จําเลยอาจรับสารภาพหรือรับสารภาพโดยการต<อรองในศาล หรือสงวนสิทธิโดยทําเป&นหนังสือท่ีจะอุทธรณAต<อศาลอุทธรณAท่ีจะทบทวนการตัดสินคําร+องในชั้นก<อนฟuอง และถ+าจําเลยใช+สิทธิอุทธรณAดังกล<าวต+องถือว<าจําเลยถอนคํารับสารภาพ ในกรณีท่ีเป&นการต<อรองคํารับสารภาพในชั้นศาล ศาลต+องพิจารณาความเห็นของคู<ความและประโยชนAสาธารณะท่ีเก่ียวข+องกับการอํานวยความยุติธรรมประกอบกันในกรณีท่ีจําเลยไม<ได+ยื่นคําให+การ ต+องถือว<าจําเลยปฏิเสธ

(b) กระบวนพิจารณาท่ีจะรับหรือไม<รับคํารับสารภาพ หรือการรับสารภาพโดยต<อรองมีข้ันตอนดังนี้ 1) ก<อนท่ีจะพิจารณาคํารับสารภาพของจําเลย จําเลยต+องสาบานหรือปฏิญาณก<อนหลังจากนั้น ศาลต+องพบกับจําเลยเป&นการส<วนตัว ในห+องพิจารณาของศาลโดยเป8ดเผย เพ่ือจะทําความเข+าใจแก<จําเลยว<า จําเลยอาจถูกฟuองโดยรัฐได+หากจําเลยให+การอันเป&นเท็จ สิทธิท่ีจะไม<ให+การหรือให+การสิทธิท่ีจะได+รับการไต<สวนมูลฟuองจากคณะลูกขุนใหญ< สิทธิท่ีจะมีทนายความช<วยเหลือ สิทธิท่ีจะตรวจสอบและซักค+านพยานและหลักประกันท่ีจะไม<ถูกบังคับให+การเป&นปฏิป=กษAแก<ตัวเอง สิทธิท่ีจะสละสิทธิท่ีจะได+รับการพิจารณาหากจําเลยรับสารภาพหรือรับสารภาพโดยการต<อรอง นอกจากนี้ ศาลต+องอธิบายถึงลักษณะและความร+ายแรงของ ความผิดท่ีฟuอง โทษสูงสุดท่ีจําเลยจะได+รับ รวมถึงโทษจําคุก ปรับ หรือการคุมประพฤติ หรือโทษข้ันตํ่าสําหรับความผิดนี้ โทษริบทรัพยA คําสั่งศาลท่ีจะต+องชดเชยความเสียหาย หน+าท่ีของศาลท่ีจะพิเคราะหAสภาพความผิดของจําเลย และเง่ือนไขท่ีจะพิจารณาในการท่ีจะยอมรับคํารับสารภาพของจําเลย 2) ศาลต+องพิจารณาว<าคํารับสารภาพนั้นเป&นการรับโดยสมัครใจ ท้ังนี้ การพิจารณาโดยเป8ดเผยในศาลนั้น ศาลต+องตรวจสอบว<าคํารับสารภาพของจําเลยกระทําด+วยความสมัครใจมิได+เกิดจากการบังคับ ขู<เข็ญ ให+สัญญา เว+นแต<เป&นการสัญญาในข+อตกลงให+รับสารภาพ และศาลต+องพิจารณาถึงข+อเท็จจริงท่ีจะนําไปสู<เง่ือนไขการรับสารภาพด+วย 3) กระบวนการพิจารณา

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3.1) หลังจากท่ีพนักงานอัยการ และทนายจําเลยหรือจําเลยได+ตกลงกันในการต<อรองคํารับสารภาพ ซ่ึงห+ามมิให+ศาลเข+าไปร<วมกระบวนการต<อรองนี้ เม่ือจําเลยรับสารภาพในความผิดหรือรับสารภาพในความผิดท่ีมีโทษเบากว<า และเป&นเหตุให+พนักงานอัยการไม<ฟuองคดีหรือถอนฟuองเดิมหรือฟuองในข+อหาท่ีเบากว<า หรือเสนอโทษท่ีจะลงแก<ศาล หรือการลงโทษอ่ืนท่ีเหมาะสม รวมถึงเสนอข+อตกลงรับสารภาพท่ีได+ทําสัญญากันต<อศาล 3.2) ศาลพิจารณาเง่ือนไขในข+อตกลงรับสารภาพแล+ว ศาลอาจมีคําสั่งรับ ไม<รับหรือสั่งให+แก+ไขหรือเพ่ิมเติมเง่ือนไขข+อตกลงได+ 3.3) ในกรณีท่ีศาลรับข+อตกลง ถ+ามีการขยายเง่ือนไขท่ีกําหนดไว+ใน Rule 11 (c) (1) (A) หรือ (c) เง่ือนไขดังกล<าวจะรวมไว+ในคําพิพากษาด+วย 3.4) ในกรณีท่ีศาลปฏิเสธไม<ยอมรับข+อตกลง ศาลต+องบันทึกไว+ในการพิจารณาในศาลโดยเป8ดเผย เว+นแต<มีเหตุท่ีต+องพิจารณาลับ และแจ+งให+คู<ความทราบ แนะนําจําเลยให+ถอนคํารับสารภาพ และแนะนําจําเลยเป&นการส<วนตัวว<าศาลจะไม<ปฏิเสธคํารับสารภาพของจําเลยศาลอาจรับคํารับท่ีมีโทษเบากว<าได+ 3.5) จําเลยอาจถอนคําให+การรับสารภาพหรือคําให+การรับสารภาพโดยการต<อรองได+ หากเป&นการกระทําก<อนท่ีศาลจะยอมรับข+อตกลงคํารับสารภาพ ไม<ว<าจะมีเหตุผลสมควรหรือไม< แต<ถ+าเป&นการถอนคําให+การรับสารภาพหรือให+การรับสารภาพโดยการต<อรอง หลังจากท่ีศาลยอมรับแล+ว แต<ก<อนท่ีศาลพิพากษาลงโทษ จําเลยถอนได+ต<อเม่ือศาลปฏิเสธข+อตกลงรับ

สารภาพหรือจําเลยแสดงให+ศาลเห็นได+ว<าการถอนคํารับสารภาพจะก<อให+เกิดความเป&นธรรม และมีเหตุผลสมควรในกรณีท่ีศาลพิพากษาลงโทษจําเลยแล+ว หากจําเลยจะถอนคํารับสารภาพหรือ คํารับสารภาพโดยการต<อรอง การถอนดังกล<าวเป&นเหตุให+อุทธรณAได+” 3.6) ในกรณีท่ีศาลไม<ยอมรับคําให+การของจําเลย คําร+องขอยื่นคําให+การ และคําแถลงเก่ียวข+อง นอกจากสิ่งดังกล<าวมาแล+วข+างต+น พยานหลักฐานของคําให+การรับสารภาพการถอนฟuองให+ภายหลัง คําให+การรับสารภาพบางข+อหา หรือคําร+องขอให+การรับสารภาพตลอดข+อหา หรือให+การรับสารภาพบางข+อหาท่ีถูกฟuองหรือข+อหาอ่ืนๆ หรือคําแถลงท่ีเก่ียวข+องและสัมพันธAกับคําให+การหรือคําร+องใดๆ ท่ีได+กล<าวมาแล+ว จะนํามาใช+ในการดําเนินคดีลงโทษผู+ท่ีได+ยื่นคําให+การหรือคําร+องขอเช<นว<านั้น ไม<ว<าจะเป&นทางแพ<งหรือทางอาญาก็ตาม แต<อาจนํามาใช+กับการดําเนินคดีอาญาฐานเบิกความเท็จหรือแจ+งข+อความอันเป&นเท็จต<อเจ+าพนักงานถ+าคําให+การนั้น เกิดจากการสาบานหรือจําเลยมีทนายความ จากหลักเกณฑAของ Rule 11 ดังกล<าว เห็นได+ว<าการต<อรองคํารับสารภาพ อาจเป&นการต<อรองรับสารภาพโดยตรง โดยเป&นความตกลงระหว<างพนักงานอัยการกับทนายความจําเลยหรือจําเลย ส<วนการต<อรองรับสารภาพโดยอ+อม ซ่ึงกระทําโดยศาลกับจําเลยหรือทนายความจําเลย เพ่ือเจรจาแลกเปลี่ยนการลดโทษ เช<น การลดโทษในคดี felony มาเป&นความผิด misdemeanor หรือจากคดี felony ท่ีร+ายแรงมาเป&น felony ท่ีมีโทษเบากว<า ได+

สําหรับพนักงานอัยการนั้น การต<อรองคํารับสารภาพกับจําเลย มักจะเป&น

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กรณีท่ีเห็นว<าพยานหลักฐานไม<เพียงพอท่ีจะให+คณะลูกขุน (jury) เชื่อว<าจําเลยกระทําความผิดโดยปราศจากข+อสงสัยพนักงานอัยการจะเริ่มเจรจากับจําเลยหรือทนายความจําเลย เพ่ือให+จําเลยรับสารภาพในความผิดท่ีมีโทษเบากว<า ในช<วงเวลาก<อนท่ีจะยื่นฟuองคดีต<อศาล ถ+าจําเลยให+การรับสารภาพพนักงานอัยการจะฟuองข+อหาท่ีเบากว<าตาม ท่ีตกลง ไว+ ใน คํ ารั บสารภาพของจํ า เลย นอกจากนี้การต<อรองคํารับสารภาพอาจกระทําในศาลอย<างเป8ดเผยก็ได+ แต<อย<างไรก็ตาม เม่ือมีการให+

คํารับสารภาพตามท่ีเจรจาตกลงกันแล+วระหว<างพนักงานอัยการกับจําเลยหรือทนายความจําเลยความตกลงเช<นว<านั้นจะต+องนํามาเสนอต<อศาลเ พ่ือให+ศาล มี คําสั่ งยอมรับหรือปฏิ เสธและผู+พิพากษาท่ีนั่งพิจารณาจะต+องจดบันทึกการทําความตกลงในการต<อรองคํารับสารภาพพร+อมด+วยเหตุผลในการยอมรับหรือปฏิเสธคําให+การรับสารภาพไว+ในบันทึกรายงานกระบวนพิจารณาของศาลอย<างละเอียด ตามท่ีกล<าวไว+แล+วข+างต+น

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Local Administration and Policy Development in Thailand, Malaysia, Indonesia and The Philippines

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The Federal System of Government for the Autonomous Region

in Muslim Mindana o 1 Edwin C. Du,

Capitol University, Cagayan de Oro City, Philippines E-mail: [email protected]

Abstract

This paper is about the “long fought for” self-autonomy in Muslim Mindanao as conceived in the peace agreement between the government and the Muslim organization and the prospect of federalizing the ARMM. Further, this work contends that the realization of self-autonomy can only be fully acquired or actualized through federalization or the creation of the BangsaMoro federal state. Given the prevailing conditions of the ARMM as an autonomous region, is federalization politically viable? The focused area of examination is the ARMM specifically its political structure. Also considered in the analysis is the political culture like how patronage politics affects certain aspects of fiscal governance of the ARMM and its repercussion to the delivery of basic services to the people. The methodology used in this study is basically a single-country or area studies which is extrapolative for informational purposes but are also useful for comparison. It is also considered a case study where the unit of analysis is a specific region - in this study the ARMM region which is said to be a test case for the potential of federalism. The most significant outcome of this study is that federalism is politically viable in the ARMM in terms of its political structure of decentralization arguing from Brillantes Model that the next viable step to decentralization is federalization. However, there is much to be desired in actualizing decentralization and the need to enhance governance capabilities through accountability of public officials and transparency as well as providing solutions to the serious problem of patronage politics in the region.

Introduction

The quest for local autonomy has been a subject of discussion in the peace process for Muslim Mindanao, located in Southern Philippines predominantly Muslim community. The scope of discussion in this study covers the claim of Muslims for self-autonomy and the subsequent solution for peace through decentralization in the organization of the Autonomous Region in Muslim Mindanao (ARMM). In various discussions on the conflict in Mindanao the Muslims have identified themselves as the “Bangsamoro” people. The Bangsamoro is a term which denotes nationality coming from the

word “bangsa” which is the malay word for nation. The term “Moro” was used by the Spanish colonizers to the Muslims in Mindanao because they found similarity in religion and culture with the Muslims of North Africa who controlled the Iberian Peninsula (Lingga, 2007).The presentation of local autonomy through the organization of the ARMM is considered one of the avenues of the peace process. The establishment of the Autonomous Region in Muslim Mindanao was part of the peace process which instituted self-governance in the region. According to Montes (2006) a peace pact between the government of the Philippines and the Moro National Liberation Front called the Tripoli agreement, signed in 1976 resulted in the provision of the ARMM which was brokered by the Organization of Islamic Conference. It is also an indication of the application of decentralization giving legislative and administrative powers to the region. The ARMM with a population of more than 4 million (2007 census) which is roughly about 20 percent of the population of Mindanao was organized through Republic Act No. 6734 otherwise known as the Organic Act in accordance with a constitutional provision for the establishment of an autonomous region in Muslim Mindanao after a plebiscite was conducted where out of the 13 proposed provinces, only 4 provinces voted to join. The ARMM was originally composed of Maguindanao, Sulu, Tawi-Tawi, Lanao del Sur, and later Basilan and Marawi City were added.

Map of Mindanao showing the provinces of ARMM

According to Senator Aquilino Pimentel

(Inquirer, 2009), “the creation of the Bangsamoro State in a Federal Republic….. is the last viable option left for the government”. The realization of self autonomy and the creation of the BangsaMoro Federal State could only be possible through federalization. Given the prevailing conditions of

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the ARMM as an autonomous region, is federalization politically viable. This study concerns whether federalization of the ARMM is a viable option. It is also premised that the ARMM is a test case for federalism as it is part of the rational consideration for the peace resolution in the armed conflict that has been long standing in the region. It is limited to the political structure of the ARMM governance through decentralization, its political culture in relation to patronage politics, and the aspect of fiscal governance in the ARMM administration particularly in the delivery of basic services to the people. Hence, the problem of the study is as follows: 1. Is Federalism politically viable in the ARMM in the following dimensions: (a) Political structure of decentralization (b)Fiscal governance in terms of the delivery of basic services to the people (c) Political culture (related to patronage politics)

Theoretical and Conceptual Framework

This study is centered on the concept of “foedus” which signifies an associated agreement or alliance where federalism draws its origin. Atlhusius idea of “foedus” is the dispersion of power or diffusion of power among many centers (Eleazar 2000). Benoist (1999) expounds that the real key to Althusius’s ideas is the principle of subsidiarity which implies that the smallest political units retain substantial autonomous jurisdictions and that they be represented collectively on higher levels of power. In Robert A. Dahl’s view he defines federalism as a system of dual sovereignty "in which some matters are exclusively within the competence of certain local units--cantons, states, provinces--and are constitutionally beyond the scope of the authority of the national government, and where certain other matters are constitutionally outside the scope of the authority of the smaller units."(Cameron and Fellati, 2005). Ronald Watts (2002) also defined federalism according to the idea of two or more orders of government combining elements of “shared rule” for some purposes and regional “self-rule” for others. The model of federalism that coincides with this concept is dual federalism which means that various levels of government have distinct, autonomous centers of authority. It is the interest of this study to apply the concept of “foedus” which could be applied to the practice of power sharing in establishing a distinct autonomous region for the stability and peace of the region. Presently the Philippines have applied local autonomy in the Autonomous Region in Muslim Mindanao (ARMM) through the practice of decentralization. It is also the interest of this study to consider the idea that federalism in ARMM is the next step from decentralization. Federalism is said to be the “most advanced system of political decentralization” Using Brillantes model called “decentralization continuum” where decentralization is plotted along

a continuum leading to federalism. Montes (2006) also emphasized that the desire for greater decentralization and local autonomy, together with the desire to solve the conflict in Mindanao, are the paramount reasons for the federalist agenda in the Philippines. However the vehicle for arriving at this end product is whether decentralization is working in ARMM, intertwined in the practice of governance, particularly ARMM governance. The study of decentralization in this paper is discussed in relation to governance, particularly in the delivery of basic services to the concerned people. In Brillantes (2004) definition of decentralization, it is the transfer of functions, powers, responsibilities and accountabilities to lower level institutions for better governance. It is Brillantes’ view that given the lack of effective governance in poverty reduction efforts, decentralization can be a very powerful tool to effect good governance. In this theoretical constructs, Brillantes presented a “decentralization continuum” in which deconcentration would be on one end of the continuum suggesting the minimum allocation of powers to lower level units, devolution at the middle, and federalism and separatism at the other extreme end. (See Figure 1)

Fig 1:Decentralization Continuum (Brillantes, 2004)

Deconcentration Devolution Federalism Separatism Debureaucratization

Decentralized governments need good governance. In a broader sense governance according to Lyn and Henrich (2000) “refers to the means for achieving direction, control, and coordination of wholly or partially autonomous individuals or organizations on behalf of interests to which they jointly contribute”. The Institute of Governance (2006) also defines governance as “the process whereby societies or organizations make their important decisions, determine who has voice, who is engaged in the process and how account is rendered”. Fiscal governance is the fiscal powers granted to the ARMM governance under the Organic Act to promote the collective welfare of the people and to devote its resources for the improvement of the wellbeing of its citizens (INCITEGov, 2007). Abueva (2004) defines good governance “to mean the sustain capacity of the Government of the Philippines and related political institutions to make timely policies and decisions that effectively respond to our problems, challenges and goals as a nation.” In Rodriquez (2009) view a good system of governance should be able to accommodate the aspirations of its citizens to realize their genuine and reasonable needs by creating an environment of fair competition and cooperation among its citizens. In

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his paper which among others sought to answer the question of whether federalism can respond to good governance he specifically pushed for fair representation so that all stakeholders are allowed to determine government programs and policies and one that allows for the emergence of responsive and accountable leaders and allows an empowered citizenry to cooperatively govern itself (Ibid 2009). In the ARMM region there is also significant influence of political culture since the people have their own peculiar behavior and practices. Political culture involves attitudes towards politics (Almond and Powell 2004). It also encompasses the values and beliefs of the region where the people are situated. There is a strong paternalistic culture in which the patriarchal concept of political authority plays a vital role in decision making. Leaders are often considered patrons in Muslim society taking significant powerful influences in the community. This forms an elite group in the community. Hence patronage politics is prevalent in the ARMM in which politics coincide with dynastic or clannish political behavior making political rivalries a common ground for conflicts and violence. In fact it is common knowledge that the culture of patronage politics is often than not coupled with the culture of conflict and violence in many parts of Muslim Mindanao. A concrete example of political rivalry is the split between the Moro National Liberation Front (MNLF) and Moro Islamic Liberation Front (MILF). The former is led by Nur Misuari and the latter was led by Misuari’s vice-chairman Salamat Hashim who broke away from the MNLF in 1977 (Lingga, 2007). Both leaders came from different ethnic and political clans, Misuari, a Tausog Muslim while Hashim, a Maguindanao Muslim. Both have also taken differing stand in their revolutionary positions, Misuari, a nationalist, acceded to the Organization of the Islamic Conference (OIC) in dropping the independence bid while Hashim, an Islamic conservative was more of the separatist-independence track who wanted to continue the struggle for independence and organized the MILF political machinery and armed forces separate from the MNLF (Ibid 2007). Both leaders are well respected in their communities but the problem of ethnic rivalry exists because ethnic groups transform to powerful political clans vie for political power within the region. Therefore the political viability of federalism in the ARMM can be framed according to three dimensions – its political structure of decentralization, fiscal governance, and its political culture in relation to patronage politics. (See Diagram 1)

Diagram 1: Theoretical Design

Political viability of federalism in ARMM shown in 3 dimensions: Political structure, Fiscal governance, and Political culture

Research Methodology

The methodology used in this study is basically a single-country or area studies which is extrapolative for informational purposes but are also useful for comparison. It is also considered a case study where the unit of analysis is a specific region - in this study the ARMM region which is said to be a test case for the potential of federalism. The area of concentration in this study is focused on the governance of the Autonomous Region in Muslim Mindanao whether the federal system of government will work in the region. The case study points to the ARMM governance and is limited to the workings decentralization. It is also limited to the prevailing conditions of the ARMM in terms of the delivery of basic services to the people. The study also uses documentary materials and literature from secondary sources. Sources quoted from these literatures have signified direct content from original documents, books, and journals.

Presentation of Analysis Local autonomy according to Brillantes (2008) transfers the responsibility for the delivery of basic services to the local government. It has provided for a direct link to the people. It encourages local governance to promote self-reliance and administer public works. Governance according to Brillantes (ibid) is the delivery of basic service to the people. There are various innovations and creative projects that can be produced by think tank groups to

FEDERALISM IN ARMM

ARMM Political Culture of Patronage Politics

ARMM Political Structure of Decentralization

Political Viability

ARMM

Fiscal governance in delivery of basic services

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improve better living conditions of the people. Local autonomy also increases the capacity for raising revenues. It also ensures the allocation of the government funds directed to the local government through the automatic release of the Internal Revenue Allotment (IRA).

Under the ARMM structure of decentralization, it is given powers to create and establish an administrative and political organization, create sources of revenues, select leaders, and exploit wealth. The ARMM is also empowered to utilize its resources for the provision and maintenance of basic health services, quality education, agricultural and livelihood opportunities, construction of housing projects, and delivery of potable water to the people. Furthermore, the ARMM has a unicameral legislature and also provided with fiscal autonomy for acquiring financial resources and controls its own revenue collections. Since federalism provides a system of government where various levels of government have distinct autonomous centers of authority the structure of decentralization in the ARMM can be set to a federal polity. Hence the decentralized government is an indication that the ARMM has the structure of governance to apply federalism. However under existing practice of autonomy, any political subdivision such as the ARMM is an instrumentality of the national government and does not exercise powers, the Constitution does not explicitly provides (Salvador 1991). ARMM does not have “residual powers” which means that all powers, functions, responsibilities not granted by law are vested in the national government (ibid). Hence, there is the question of how autonomous is local autonomy. Regional or Local governments are still considered an extension of the national government since they are directly under the supervision of the executive department. Under a unitary system they are agents of the central government. The national government has the control of the policies and financial allocations for the ARMM government. The relationship between the national government and the regional or local government involves coordination with policies and goals. This means that local government plans must be aligned with the development plan of the national government. It is also conditioned in the minds of local officials that they must exert political connections and resort to lobbying for particular projects in order to received support from national leaders. With this situation there is a significant cause for gridlock between the national government and the regional or local government. The National government has control of the funds of the ARMM because the share of the national funds is tied to the national appropriations act which allows national government officials and politicians to determine its increase or withhold the same (Rodriquez 2009). In

fact during the ARMM Peace Summit held last September 2010 (Mindanao Times 2010) it was recommended that the Organic Act (RA 9054) governing the ARMM should be amended to include the control and supervision over the exploration, utilization, development and protection of strategic minerals as well as the devolution of the Department of Energy, Bureau of Mines and Minerals; creation of the Ligawasan Marsh Development Authority; full control over and management of Lake Lanao watershed by the ARMM and issuance of a national directive for the joint management of Sulu Oil Exploration, Tawi-tawi Gas Exploration, Watershed development and other similar future projects (Manila Times 2010). ARMM local officials, according to INCITEgov (2007) report alleged that the government has reneged on its commitment on the autonomy deal because it failed to provide the necessary funding to support the ARMM. The usual complaints of local officials in the region have been attributed to lack of funds which contribute to the dismal and inadequate delivery of basic services. But in the same report also stated that the government claims that substantial financial resources had been disbursed to ARMM but the resources were not judiciously utilized. This is where federalism offers a solution to the problem of gridlock between the national government and the regional or local government by the provision of exclusive powers given to the federal state it can exercise real autonomy without the control of the national government. In dual federalism, there is an equal and clear delineation between the responsibilities of state and national governments. The demand for greater autonomy has been asserted by the Muslims which is considered a focal theme in the peace process. One of the criticisms of regional autonomy in ARMM is that it is not really self-autonomy but rather it is treated as a provincial or municipal government. The more autonomy means better chances of peace in the region. However, although it is a very logical option to federalize the issues of governance must have to be addressed. It may be too conclusive to overemphasize the need to federalize without looking at the realities of governance in the ARMM. With an alarming poverty incidence of 45.4 percent in 2003, considering that all the then-four provinces of the ARMM were among the 10 poorest in the Philippines in the year 2000 this shows a great deal of governance issues. Rodriquez (2009) noted that life expectancy in ARMM is lower than the national average by at least 9 years which is possibly connected to the fact that the region has the least number of health workers and barangay health stations (BHS) in Mindanao. In education, INCITEgov (2007) also observed that for simple literacy which basically means the ability to read and write, and to understand a simple message in any language or dialect, ARMM has a simple

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literacy rate of 70.2 which is lower by 20 percent compared to Easter Visayas and Cordillera Administrative Region (CAR), and for functional literacy which covers not only reading but also arithmetic ARMM has only 62.9 percent which also trails behind the two other regions by 21 percent. This performance is quite disturbing because the highest fund allocation of 28% went to the education sector as the biggest department in the ARMM personnel and most complaints of delayed salaries come from this sector due to lack of funds (ibid). In agriculture, ARMM is the biggest fund recipient compared to the three other regions, doubled that of Eastern Visayas, four times that of CAR, and six times that of Caraga (ibid). However in the report of the Department of Agriculture on the Ginintuang Masaganang Ani Program on rice and corn, the actual performance showed that a lot needs to be done to improve agricultural output and productivity where it showed that rice production decreased from 319,096 MT in 2003 to 280,139 MT in 2004 (ibid). In connection with the lack of health services Notre Dame University in Cotabato City conducted a research wherein the DOH ARMM Regional Report in 2004 showed that of the 1,872 barangays about 238 or 12.7% have barangay health centers, health personnel includes 53 doctors, 83 nurses, 4 nutritionists, 19 medical technologists, 14 dentists, 299 midwives, 98 sanitary inspectors (Daquino, 2005). In Maguindanao province which has a poverty incidence of 62 percent is described as the third poorest province in the country in which 5 out of 6 residents live on less than 50 pesos a day (Arguillas, 2010). Of the 1.27 million people in the province only five percent – or just 63,500 have access to potable water and there are only 18 public health doctors in the province or one for every 70,555 people (Ibid). Summing up the ARMM Peace Summit (Mindanao Times 2010) the following issues require the most attention: leadership crisis; electoral system not suitable to ARMM situation; poor access to and control in the exploitation and utilization of strategic resources; weak fiscal autonomy; low agricultural and industrial productivity; land conflict; poor delivery and access to basic services and facilities. The abject poverty of ARMM demonstrates a lack of delivery in the basic services to the people. Financial resources intended for the needs of the communities have not reached their expected end. Rodriguez (2009) observes that one major factor that impedes the proper delivery of basic services, as well as limits the capacities of LGUs, is the lack of “decentralization” within ARMM itself. The Regional Government has become too centralized. The Regional government is supposed to devolve services to the municipal level but has remained under the control of the ARMM government (ibid).

So the regional government takes responsibility for delivery of services but those services have no efficiency or impact. The Regional Government does not also undergo sufficient process for accounting and fund allocations to respective government offices, thus municipalities and barangays have much difficulty delivering basic social services and cannot do much to improve their constituency’s quality of life (Ibid 2009). ARMM is also very much dependent on IRA funds because it has not generated sufficient collection of income from other sources such as taxes and entrepreneurial activities. This dependency is a setback since the IRA allocation municipalities receive from the regional government is intended for the costs of LGU operations so the only way for LGUs to support social development projects is through other sources of funds such that many parts of ARMM remain dependent on Official Development Assistance (ODA) from international funding agencies such as United States of America for International Development (USAID) and Asian Development Bank (ibid). Actually funds from the national government have been poured heavily to the ARMM local governments. For example, according to a study done by the Philippine Center for Investigative Journalism (PCIJ), former national treasurer and social convenor Leonor Briones said that in 2009, Maguindanao received IRAs worth P3.42 billion and raised to 3.56 billion in 2010; P1.08 billion for the province, P1.73 billion for its towns, and P616.57 million for its barangays (Arguillas, 2010). Ironically, despite the money that has been poured into this province, it is the 3rd poorest province in the country (ibid). INCITEGov also presented a review of funds released to the ARMM Regional Government (ARG) from 2001-2005. The study showed that ARG got Php 76.3 billion and the fiscal resources came from seven (7) sources, namely: 1. National government appropriations for ARMM Regional Government (RG); 2. National government appropriations for ARMM public works; 3. Congressional allocation; 4. ARMM-RG’s share in Internal Revenue Collection in ARMM; 5. Internal Revenue Allotment of ARMM Local Government Units; 6. National Government Agency Funds Disbursed in ARMM; and, 7. Regional revenues raised by ARMM-RG (INCITEGov, 2007). These figures show that the national government has been pouring money into the region but the problem is where did this money go? There is very little impact on the improvement of social services or any visible infrastructure projects in the area. Another major area of weakness in ARMM decentralization Rodriguez (2009) observes is the control of the region by political clans considered the elite of Muslim Mindanao. This kind of patronage politics has kept political power in the

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hands of powerful families and consequently resulted in political rivalries outsmarting each other and even killing one another. PCIJ also quoted the London-based peace-building organization International Alert which released a study that observed: “Fund transfers between the central government and the ARMM in the form of internal revenue allotments (IRAs) constitute the bulk of funds placed under the control of the clans… With government consumption expenditures in the ARMM growing at a faster rate than the rest of Mindanao combined, it was clear that whoever controlled the state would control these sums" (Arguillas, 2010). The political culture of patronage politics is a real setback to federalization since there is a tendency for a federal state to be under the control of an elitist or centric government and may cause civil unrest, factions, and seditions.

Lack of Good Governance

It was earlier premised that the ARMM is a test case for federalization. With the above scenario laid before us it reveals that for decentralization to work a lot of changes ought to be considered. In the analysis of the situation, local autonomy has been under several constraints and presumably most local leaders are ill-prepared to the task of governance. It is a significant factor that local autonomy will work better under an atmosphere of good fiscal governance and practice. Since the heart of local autonomy is the delivery of basic services to the people it is important to develop proper management and allocation of resources. Unfortunately, many local leaders in ARMM do not have the proper training in financial management. The Regional Government does not undergo sufficient process for accounting and fund allocations to respective government offices. In fact Rodriguez (2009) points out that the Organic Act vested the duty of fund management and allocation in the regional government with little transparency about how the funds are allocated to municipalities. It is even common knowledge that most local administrators do not see the difference between the use of funds for public needs and personal needs. It is mostly accepted practice that IRA funds are also used for personal purposes (Ibid 2009). The problems of local autonomy in the ARMM are rooted in the lack of fiscal governance capacities of local leaders. It poses a serious question on whether federalism will work in a political atmosphere of patronage politics, inefficiency, and mismanagement. The ARMM is also a test case for the deficiencies in the practice of decentralization. One of these deficiencies has been highlighted by the fact that ARMM expenses are used for personnel services since national government agencies (NGA) operating within ARMM was absorbed by the regional government

instead of devolving them to the local government units (INCITEGov 2007). Eventually this results in the lack of funds for other services that should have been given to a needy population. This means that the ARMM government itself must also practice devolution by transferring its government agencies to the local government units. The key to decentralization is empowerment of the local units which is the essence of power sharing. Empowerment of the local communities will provide a strong impetus for people to work hard for their locality. The spirit of cooperation will be aroused when devolution is properly practiced. This also develops self-reliance among local government units and helps them become innovative which results in better delivery of the needs of the community. In order to supply the needed resources for the delivery of public services in ARMM several measures can be adapted by the Regional government, one of which is intensifying its revenue collection. However, the problem of revenue collection may be attributed to the low income of the population due to its poverty situation, so there is a vicious cycle. To stop this vicious cycle of poverty and dependence on the national government the ARMM government will have to look for other means of revenue generation. ARMM must endeavor to raise funds on its own by making an inventory of potential revenues that can be raised by the regional government from authorized sources and also partner with local government unit in revenue generation under a sharing scheme INCITEGov 2007). Lastly, in order to enhance fiscal governance capacities ARMM regional government can focus on at least a couple of governance themes such as education and health so that clear indicators of public services can be seen (ibid 2007). At the same time the ARMM government must also provide clear transparency and accountability in the implementation of delivery programs. Interior and Local Government Secretary Jesse Robredo (PIA, 2010) made policy statements that his department would seek governance reforms in the Autonomous Region in Muslim Mindanao (ARMM), which he described as the "weakest link" of the country elaborating on Aquino's policy of transparency and accountability in governance. He further said that Local government units (LGUs) should fully disclose their financial transactions, such as procurements, budget and bidding lauding the present administration of ARMM for espousing transparent, accountable and moral governance. Thus good fiscal governance is vital in the practice of decentralized governance which leads to greater autonomy. Greater autonomy through federalization may just be a logical option for peace in Muslim Mindanao.

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Conclusion

Federalism is said to be the “most advanced system of political decentralization” Using Brillantes model called “decentralization continuum” where decentralization is plotted along a continuum leading to federalism. The impetus for applying greater decentralization and local autonomy and coupled with the purpose of securing peace in Southern Mindanao would be considered the instrument in pushing for federalism. Decentralized government is the stepping stone for federalism to take place. The ARMM decentralization is provided with the powers and resources at its disposal to ensure the practice of local autonomy. Hence, the ARMM structure of decentralization has the capacity of federalizing the region Federalism also offers a solution to the problem of gridlock between the national government and the regional or local government by the provision of exclusive powers given to the federal state it can exercise real autonomy without the control of the national government. Regional or Local governments are still considered an extension of the national government since they are directly under the supervision of the executive department. Under a unitary system they are agents of the central government. The national government has the control of the policies and financial allocations for the ARMM government. The relationship between the national government and the regional or local government involves coordination with policies and goals. This means that local government plans must be aligned with the development plan of the national government. It is also conditioned in the minds of local officials that they must exert political connections and resort to lobbying for particular projects in order to received support from national leaders. With this situation there is a significant cause for gridlock between the national government and the regional or local government. The study of decentralization cannot be divorced with governance, particularly in the delivery of basic services to the people. Decentralization is seen as the transfer of functions, powers, responsibilities and accountabilities to lower level institutions for better governance. It can be a very powerful tool to effect good governance. In the experience of ARMM it is necessary for local governance to be strengthened and local executives need to develop the capacities for self-reliance and financial management. Self-governance may be achieved with good governance. The problems of local autonomy in the ARMM are rooted in the lack of governance capacities of local leaders. It poses a serious question on whether federalism will work in a political atmosphere of patronage politics, insufficiency in the delivery of basic services to the people, and mismanagement. Another important factor to consider in

federalizing is the clear delineation of powers and functions between the National government and the State local government. Jurisdictions of the two entities must be properly separated. The danger in these two levels of jurisdiction is the overlapping of powers and encroachment of functions between each other. The case of ARMM is evident when the Regional Government overlapped its role with the LGUs and establishing itself as the central government which nullifies the very purpose of local autonomy. Federalism is a viable option to consider which will need enough preparation to establish its structures and practices. To be hasty in adopting this system of government might result in chaos and lead to secessionism and revolution. The most effective way to establish its political structure is to constitutionalize the ARMM federal state so that its powers and functions are permanent. For now the most significant consideration is to fully implement the practice of decentralization in the ARMM and rectify the lapses made in the process of devolution. Thus it is important that the ARMM governance take cognizance of the necessity to implement the needed services in full capacity to the people and a proper evaluation system that is responsive to change. The capacity of the ARMM governance to institute governance reforms should be the focus of both the national and local governments. Foremost of these reforms are: implementation and delivery of key services particularly in education and health, devolution of regional agencies to local government units, revenue generation, fund management, dismantling of political patronage, and transparency and accountability of government transactions. It is not only the local leaders that can realize good governance but it involves the participation and empowerment of the people to pursue and demand good governance. The dismantling of patronage politics is an exercise of political will not only coming from the people but also a cooperative effort between the national government and the regional leaders of the ARMM. Good governance has a significant role in achieving self-autonomy and greater autonomy means better chances of peace for Muslim Mindanao. If the ARMM regional government can demonstrate decentralized governance capacity and dismantle the practice of patronage politics then it can lead to a viable federal system.

References

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The Impact of Knowledge Sharing Practices on Individual Performance in Local Government in Malaysia

Dr. Halimah Abdul Manaf

Associate Prof. Dr. Ahmad Martadha Mohamed School of Government, College of Law, Government and International Studies

Universiti Utara Malaysia, Sintok 06010 Kedah, MALAYSIA

[email protected] [email protected]

Abstract

The objective of this paper is to examine the relationship between knowledge sharing practices and individual performance in the context of Malaysian local authorities. In this regards, this study proposed the mechanism of sharing tacit knowledge that is applicable to the public servant. This study has developed several hypotheses to examine the relationship between methods of sharing knowledge, tacit knowledge and individual performance. The variables tested involved mentoring programme, individual personalization, individual codification, institution codification, institutional personalization, managing self, managing tasks, managing others, and individual performance. A cross sectional field survey involved 308 officers in Malaysian Local Authorities including senior and middle managers from grade 41 to grade 54. The items in the questionnaire were analyzed using factor analysis in order to determine the factor structure underlying this study. Additionally, the authors utilized regression analysis to identify the percentage of each of the mechanism of knowledge sharing and managerial tacit knowledge that contributes to individual performance. The findings reveals that a knowledge sharing mechanism, specifically mentoring program, institutional codification, individual codification and institutional personalization are significant, with tacit knowledge that influenced individual performance. Keyword: Knowledge Sharing, Mentoring Programme, Individual Performance Paper Type: Research Paper

Introduction

In the public sector, there is an increasing demand to produce knowledgeable managers that are capable of generating a high quality of work for citizens and policy makers. This situation calls for public managers to produce more work in a shorter time. This, in turn, creates an additional challenge for public managers, as the nature of their jobs requires both tacit and explicit knowledge (Bennet & Bennet, 2008). Wagner and Sternberg (1987) claim that the ability to acquire and manage tacit knowledge

indicates managerial success. Using tacit knowledge is one of the main strategies to keep talent, loyal, and productive employees (Smith, 2000). Because of that, tacit knowledge must be kept from flowing out through retirement, outsourcing, downsizing, mergers and terminations (Abdullah, 2005; Smith, 2001).

In this regard, a knowledge sharing

approach should be able to utilise the talent,

perspectives, and ideas of members and create

common understandings, particularly regarding

work (Hackman, 1987). This paper aims to

explore the relationship between knowledge

sharing practices and managerial tacit

knowledge among managers working in local

government. Knowledge sharing practices (KSP)

consist of mentoring programme and knowledge

sharing mechanism (individual codification,

institutional codification and institutional

personalization) while managerial tacit

knowledge comprises managing self, tasks and

others. Some researchers have suggested

knowledge sharing mechanisms (KSM) consisting

of personalization and codification techniques

(Hansen et al., 1999; Boh, 2007) and mentoring

programmes (Lankau & Scandura, 2002) are

often used to exchange ideas, experiences and

skills among members.

The Roles of Knowledge Sharing In Public

Sector The discussion of knowledge sharing as part of knowledge management emerged during the previous decade (Yang, 2006). This applies particularly in the public sector because it relies mainly on work-based knowledge and implementation of knowledge sharing activities by departments (Willem & Buelens, 2007). Recently, there has been increasing awareness of knowledge sharing and its role in addressing the lack of expertise and loss of knowledge in the organization. Empirical research indicates that a declining lack of managerial talent in the public sector is reflected in the lost of valuable assets (Argote et al., 2003). The implementation of knowledge sharing enables better decision making by frontline workers (KPGM, 2003) and reduces time wasted in trial-and-error

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decisions (Lin, 2007). Although knowledge management has been widely discussed by many academics and practitioners, there is little information on knowledge management in the public sector organisations of developing countries such as Malaysia (Salleh & Syed Ahmad, 2006).

Thus, the knowledge sharing process involves individuals in a mutual exchange of tacit and explicit knowledge and creates new knowledge (Hoof & De Ridder, 2004). Tacit knowledge is a product of the learning process. However, some scholars argue that learning does not really occur unless an organization has an effective and efficient system for sharing and re-examining information (Moorman & Miner, 1998). This applies in particular to tacit knowledge, as this is difficult to transfer and to copy or to imitate since it is built through experiences and embedded as an individual skill (Liebeskind, 1996). The main reason for sharing tacit knowledge is to develop competencies that managers can use in recognising and responding to a problem, as they are the one who are in the possession of knowing (what to do) rather than only knowledge (Platts & Yeung, 2000). This leads to the development of the first hypothesis below; Ha 1: There is a positive relationship between

knowledge sharing practices and the managerial tacit knowledge.

Mechanisms of Knowledge Sharing Practices Mentoring Programs Mentoring programs involve an intense interpersonal exchange between a senior experienced colleague (mentor) and a less experienced junior colleague (protégé), wherein the mentor provides support, direction and feedback regarding career plans and personal development (Eddy et al., 2005). Shea (1995) defines the mentoring process as involving the development of caring, sharing, and helping others by investing time, know-how and effort in increasing and improving another person’s growth, knowledge and skills. Much of the knowledge a mentor possesses is tacit and learned from personal experience and from interacting with other employees (Bryant & Terborg, 2008). This is consistent with Swap et al. (2001), who found that much knowledge, particularly tacit knowledge, transferred informally through the process of socialization and internalization, including mentoring and storytelling can leverage tacit knowledge to build core capabilities in an organization as hypothesized below.

Ha 2: There is a positive relationship between mentoring programs and the managerial tacit knowledge.

Knowledge Sharing Mechanism Knowledge sharing mechanism is a method, procedure or process involved in knowledge sharing within organization, focusing on the differences between information technology (IT) mechanisms and a personal mechanism approach (Chai et al., 2003). Technology has the capacity to store knowledge and to exchange knowledge globally across time and geographical distance (Cho et al., 2007). Some individuals also prefer to share their valuable knowledge in electronic networks, as they perceive it enhances their professional reputations (Wasko & Faraj, 2005) and taps individual knowledge for collective use. In Malaysian public sector, the most widely used knowledge sharing initiatives are e-mail systems, inter-agency activities and the use of Information Communication and Technology (ICT), followed by support from top management (Sandhu et al., 2011). Thus, this study argues that tacit knowledge can be shared through different mechanisms, as hypothesized below; Ha 3: There is a positive relationship between

knowledge-sharing mechanism and the managerial tacit knowledge.

Individual-personalization mechanism- refers to mechanism at the individual level when employees share knowledge and information through ad hoc and informal sessions, word-of-mouth sharing through senior staff, personal networks and collaboration tools (e.g., e-mail, telephone calls) (Hansen, 1999). Individual-codification mechanism - refers to the ways in which the documents or other project artefacts are shared at individual level either in an informal or ad hoc manner such as sharing prior project documents informally and manuals written voluntarily (Boh, 2007). For instance, knowledge that is recorded in a codebook serves as a storage depository, reference point, and possibly as an authority. Institutional codification mechanisms - relates to the use of information technology in knowledge management to create electronic repositories for storing, searching and retrieving the intellectual capital. It includes databases, use of templates, broadcast emails and forums, an expertise directory and standardised methodology (Boh, 2007). Institutionalized-personalization mechanisms – refers to people or groups who have direct interaction with individuals by restructuring their

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knowledge across different tasks and facilitating person-to-person knowledge-sharing. Thus, experts in particular project work would naturally share knowledge and experience among the team; for instance, in meetings with high-level staff, project reviews, one senior person coordinating all staffing needs, having a common project director shared across projects, cross-staffing across projects, setting up a community, support centres and staff deployment policies (Boh, 2007).

Managerial Tacit Knowledge Knowledge can be classified into tacit and explicit knowledge (Nonaka, 1994). Explicit knowledge refers to knowledge that is formal, systematic and codified in records and documents (Polanyi, 1966). Managerial tacit knowledge is knowledge drawn from everyday experience that helps individuals to solve real world, practical problems (Hedlund et al., 2003). It is action-oriented knowledge that is acquired without the direct help of others that allows individuals to adapt, select, and shape their environments in ways that enable them to achieve their goals (Horvath et al., 1999). Wagner (1987) proposed three main areas of managerial tacit knowledge: managing self; managing tasks; and managing others. Managing Self - defined as knowledge about how to manage oneself on a daily basis to maximise productivity. For instance, it includes knowledge about the relative importance of the tasks one faces, efficient ways of approaching work and knowledge about the motivation skills required in order to maximise one’s accomplishments (Wagner , 1987). Therefore, this study predicts the following; Ha 4: There is a positive relationship between

managing self and knowledge sharing practices.

Managing Others - refers to knowledge about managing subordinates and social relationships. Knowledge about managing others can be seen from the actions of managers on how to assign tasks to match individual strengths and to minimise the effects of individual weaknesses; how to reward to encourage performance and satisfaction and how to get along with others (Wagner, 1987). This study proposes;

Ha 5: There is a positive relationship between

managing others and knowledge sharing practices.

Managing Tasks - relating to practical know how on how to accomplish specific work related tasks in the most productive and appropriate way (Colonia-Willner, 1998). From such situations, we derive the sixth hypothesis, which is as follows:

Ha 6: There is a positive relationship between

managing tasks and knowledge sharing practices.

Individual Performance Individual performance appraisal is a relevant mechanism for measurement because it has the tools to evaluate employees’ strength and weakness according to the standard criteria identified to achieve organisational goals (Rahman, 2006). In Malaysia, individual performances are evaluated using performance appraisal under the New Remuneration System (NRS). In performing work, workers should be able to accumulate, adopt and share knowledge in order to perform well on the job (Lee et al., 2005). This is because, job performance is directly related to obtain right information because actions for communicating and transferring conceptual and operational knowledge, experiences, and skills in an organization can speed up the procedure of knowledge sharing (Ingram & Simons, 2002). So, it can be said that new ways of doing job and shared experiences lead to better and innovative way and to better performance (Du et al. 2007). These previous studies have led to seventh hypotheses as below. Ha 7: Knowledge sharing practices have positive

influence on individual performance.

Methodology This present study took place in the Malaysian local governments. Survey questionnaires were distributed by mail to 308 middle managers using self-administered questionnaires, during March to July 2010. Middle managers were selected to be respondents because they are responsible for management activities and the supervision of subordinates. They act as mediators of the vision and ideals of top management to people on the front line (Nonaka & Teece, 2001). Instruments Knowledge Sharing Practices (KSP) The instruments in the KSP are a combination of the variables of mentoring programmes and knowledge sharing mechanisms as suggested by Hsu (2008). Mentoring - Mentoring effectiveness was assessed using an instrument developed in previous studies of

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the influence of peer mentoring on knowledge sharing/creation (Bryant, 2005; Bryant & Terborg, 2008) with reliability Cronbach’s alpha of 0.85. The peer mentoring knowledge and skills instruments consist of a 14-item with 5-point Likert scale was used for reporting agreement/disagreement for each item. This instrument measures the knowledge of peer mentoring skills as well as their actual behaviour in terms of using skills. Knowledge Sharing Mechanisms – These are defined as the methods, procedures, or processes of sharing, integrating and interpreting and applying know-what, know-how, and know-why in groups that directly influence task performance. Items are divided into four groups: individual codification; individual personalization; institutional codification; institutional personalization. A 5-point Likert scale was used for reporting agreement/disagreement for each item. The instrument was originally developed by Boh (2007), who explored mechanisms for sharing knowledge in project-based organizations. However, individual personalization was excluded after factor analysis. Managerial Tacit Knowledge This study employed managerial tacit knowledge inventory, known as the Tacit Knowledge Inventory for Managers (TKIM) which was developed by Wagner and Sternberg (1985), but reviewed and republished by Sternberg et al. (2000), with reliability Cronbach’s alpha of 0.90. This inventory was administered to all subjects in order to determine their levels of managerial tacit knowledge. This inventory describes typical work-related situations and respondents needs to give possible responses to them according to Likert scale 1 (extremely bad) to 7 (extremely good). In this inventory, there are nine scenario designed to extract different responses from different individuals. From the literature, normally experts are expected to respond differently from novices, influenced by working context and organizational tacit knowledge (Wagner et al., 1999). In this present study, the differences are used to identify the distinctions in level of managerial experience that are gained from practical managerial work. Scoring of tacit knowledge is calculated by comparing the rating of means of experts’ and rating scores with those of novice and typical group. This present study identified the group of experts in managerial aspects in the work content which is the Malaysian Public Sector as those who had received the Service Excellence Award (SEA) for management in the past three years (Mahmud, 2006).

Individual Performance Methods of measuring individual performance are similar to those used in previous studies (Baba et al., 2009; Brewer and Seldon, 2000; Hailesilasie, 2009) where reliance is placed on the outcomes of a formal performance appraisal system operated within the organisation. The system of appraisal used for managers and professional officers in the Malaysian Public Sector is known as the Malaysian Remuneration System (MRS). Outcomes of the MRS are scores for work productivity (50% weighting), knowledge and skills (25% weighting), personal qualities (20% weighting) and activities and contributions outside official duties (5% weighting). This leads to cumulative marks for overall performance given as percentages which are then used to form categories. Overall scores of 49.9% and below are considered poor, 50-59.9 % is considered unsatisfactory, 60-79.9 % is considered satisfactory, 80-89.9 % is considered good, and 90-100 % is considered excellent. Analysis and Results Factor Analysis for Knowledge Sharing Practices (KSP) The knowledge sharing practices variable was measured using 23 items representing the mentoring programme and knowledge sharing mechanism factors. These items were analysed using a principal axis factoring and oblimin rotation with a factor loading of 0.30 (Hair et al., 2010). The Kaisen Meyer Olkin (KMO) Measure of Sampling Adequacy for the 5 dimensions solution was 0.877, with significant Bartlett Test of Sphericity (sig=.000). The variance was explained by 57% with 5 extracted factors used an eigenvalue of more than 1.

The first factor is composed of 7 items and explains 31% of the variance in the knowledge- sharing practices construct representing mentoring 1 (competence). The second factor consists of 4 items of mentoring programme 2 (behaviour) and explains 6% of the variance in the knowledge-sharing practices construct. The third factor consists of three items for individual codification and explains 6% of the variance in the knowledge-sharing practices. The fourth variable consists of four items of institutional personalization and explains 5% of the variance in the knowledge sharing practices construct. The last variable consists of 5 items and explains 9% of the variance in the knowledge-sharing practices construct, corresponding to institutional codification. With these variances, the factor analysis results indicated that items in the knowledge sharing practices variable were practical and meaningful in a theoretical sense. The

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Cronbach’s Alpha coefficient for knowledge sharing practices variable were in the range α = 0.65 to 0.89. Factor Analysis for Managerial Tacit Knowledge (TK)

91 items were analysed used principal axis

factoring and oblique rotation. The analyses of

Kaiser Meyer Olkin Measures of Sampling

Adequacy (KMO) for three dimensions, which

was 0.804, with significant Barlett’s Test of

Sphericity (Sig.=.000). This indicates that the

data are appropriate for factor analysis (Hair et

al., 2010 & Meyers, 2006). The results for the TK

construct from factor analysis provide the

confirmation that this construct agrees with the

theory’s suggestions 3 factors: managing self,

tasks and others. Factor loadings dropped in the

three components with 25 items remained

meeting the criteria suggested by Hair et al.

(2010) that items should load at 0.3 or higher in

specific factors and have a loading no higher that

on the other factors. These three variables had

good value of reliability, namely managing

self=0.714, managing task=0.755 and managing

others=0.753.

The Level of Managers’ Accumulated Managerial

Tacit Knowledge (LAMTK)

The results of a one-way between-group analysis

of variance (ANOVA) indicates there were

significant differences between expert, novice

and typical group (F= 7.563, df=305, p<0.05) in

terms of level of accumulated managerial tacit

knowledge. The result of the ANOVA by post hoc

comparisons using the Scheffe indicated that the

mean score for experts (mean =1.13 sd = 0.342)

was significantly different from that of novices

(mean =1.44, sd = 0.321). The typical group

(mean =1.42, sd = 0.411) did not different

significantly from the novice group. The result is

indicating there was a different level of

managerial tacit knowledge for expert

(successful managers), novices and typical

managers. Relationship between Knowledge Sharing Practices and Managerial Tacit Knowledge To confirm this hypothesis, the Pearson correlation was conducted and it showed a significant result between the variables. Table 1 (see appendixes) illustrates the significant relationship between knowledge sharing practices (r=-.162, p<0.01) and TK. However, the relationship was in a negative direction. This negative sign appeared because of different scores in TKIM. Thus, the lower the score in the relationship

between knowledge sharing practices and TK, the closer the knowledge of responses corresponds to the expert prototype (Wagner, 1987). In this present study, the relationship between these two variables showed a weak level of correlation, although it was acceptable, with highly significant association. In other words, managers who practise knowledge sharing influence the increments in the accumulation of managerial tacit knowledge. Therefore, hypothesis 1 was accepted by considering the relationship between knowledge sharing practices and overall managerial tacit knowledge.

The second hypothesis concerned the

relationship between the content of the types of

knowledge being shared and how that

knowledge is shared (Bryant & Terborg, 2008).

To test this hypothesis, the correlation analysis

was conducted. Table 1 illustrates the significant

relationship between mentoring programme 1

(r=-.112, p<0.05) and TK. However, no significant

relationship is indicated between mentoring

programme 2 and the overall managerial tacit

knowledge (r=-.058,p>0.05). The relationship

appeared in a negative direction. This negative

correlation for tacit knowledge was expected

because of the deviation scoring system used, in

which better performance corresponds to less

deviation from the expert prototype and thus, to

lower scores (Sternberg et al., 1995) Hence, the

negative correlation indicates that higher scores

on mentoring programme 1 (competence) are

related to a high TK with a negative value, which

indicates better tacit knowledge scores, while the

values of the correlation indicate the level of the

relationship between constructs. However, the

result of the correlation reveals that the

behaviour of managers was not associated with

managerial tacit knowledge. Therefore,

hypothesis 2 was partly accepted by considering

the relationship between mentoring programmes

and overall managerial tacit knowledge. In detail,

mentoring programme 1 (competence) had a

relationship with managing others (r = - .112,

P<0.01), managing tasks (r = .105, p <0.05) and

managing self (r = -.174, p >0.01). While, for the hypotheses 3 indicates three dimensions of knowledge sharing mechanism were statistically related to TK with institutional personalization (r = -.132, p<0.05), institutional codification (r = -.136, p<0.01) and individual codification (r = -.140, p<0.01). As hypotheses 4 predicts, there was a relationship between managing self as a subscale of tacit knowledge and knowledge sharing practices. It was revealed that managing self was correlated with knowledge sharing practices (r=-.262, p<0.01). The correlation was expected to be negative, indicating that an increase in knowledge-sharing practices was associated with decreasing deviation from the expert prototype

244


(Wagner, 1987). Thus, this hypothesis was accepted. The results imply that managers who are involved with knowledge sharing practices are competent self-managers.

The dimension of TK was also measured in terms of managing others and a significant relationship with KSP supported hypotheses 5. A significant relationship between managing others and knowledge sharing practices (r = -.202, p<0.01) was found. This result of the Pearson correlation implies that KSP was correlated with the capabilities of managing others. Thus, this hypothesis was supported. The results of testing hypothesis 6 showed that managing tasks had a significant positive relationship with knowledge sharing practices. The results of correlation (r = 0.123, p<0.05) led to the conclusion that the involvement of managers in knowledge sharing practices significantly increased their knowledge in managing tasks. As explained by Sternberg and colleagues (1995), because TKIM is a deviation score, the smaller the deviation value, the stronger the agreement with experts.

Table 2 (see appendixes) was conducted to answer hypothesis 7. The multiple correlation (R), squared multiple correlation (R²), and adjusted squared multiple correlation (Adj. R²), indicate the degree of prediction of independent variables on dependent variables. The results indicate that the regression prediction was significant, R = 0.336, R² =0.113, R²adj = 0.080, F (3.413), p =0.000. This shows that the multiple correlation coefficient between independent and dependent variables was 0.33, and all these predictors accounted for 11 % of the variation in individual performance. This model can be generalised to another population as such 8%. The fact that the R²adj only differed by 0.033 from the R² demonstrates that the cross-validity of this model is still acceptable. The significant value of the F test (F = 3.413) indicates that the linear relationship and the independent variable significantly predict the dependent variable.

Hence, Table 2 represents the individual contribution of predictors within the regression block. This regression analysis shows that institutional codification was the highest prediction variance on individual performance with β = -0.206, t=-3.107, p = 0.02. In addition, the predictor variables appear as an important contributor to individual performance, as mentoring 1 (β = 0.195, t= 2.656, p = 0.008) and managing self (β = -0.190, t=-1.941, p = 0.050) had significant standardized beta coefficient responses to the individual performance. These significant results illustrate that individual performance was predicted by the variables of institutional codification, mentoring 1 and managing self while mentoring 2, individual codification, institutional personalization, managing tasks, managing others were not shown to have a significant influence on individual performance.

Discussion and Conclusion

The results of testing hypothesis showed that the

interaction between knowledge sharing practices

had a significant correlation with managerial

tacit knowledge that contributes to public

servants performance. The findings explain

sharing managerial tacit knowledge in the

government sector can help to manage human

capital and that knowledge management

strategies have come to be in the best interests of

government sector entities in Malaysia as one

way of managing human capital in a sustainable

manner.

The Mechanism of Sharing Tacit Knowledge

Mentoring programme and managerial tacit

knowledge

The present study found that mentoring was

correlated with TK in the competence

programme. Surprisingly, mentoring behaviour

was not found to be correlated with TK. The

results showed that within the preferable

mechanism of knowledge sharing practices,

competence programme had a significant

association with managerial tacit knowledge. In

this study, the relevance of the mechanism of

knowledge sharing according to the perceptions

of LG managers was the mentoring programme

(competence) rather than mentoring

(behaviour).

Thus, in a mentoring programme that

focuses on employees’ competence, it is more

important for the mentor to share expert

guidance such as best practices or successful

strategies of carrying out work. Therefore,

mentoring behaviour and competence are

relevant to the sharing of both tacit and explicit

knowledge. Bryant and Terborg’s (2008) study is

an initial empirical test of the relationship

between peer mentoring and knowledge creation

and sharing. This indicates that in the mentoring

programme, most mentors possess tacit

knowledge that they learn from personal

experience and interaction with other

employees. They tend to communicate their tacit

knowledge to others, most probably without

being consciously aware of this, as mentoring

programmes involve small groups of people,

enabling the exchange of tacit knowledge while

talking, exchanging ideas, writing on boards or

showing others how to perform certain activities

together.

245


Knowledge Sharing Mechanisms and Managerial

Tacit Knowledge

The results of the hypotheses testing showed that

the group of variables of the knowledge sharing

mechanism have a direct significant influence on

managerial tacit knowledge. The factor analysis

for individual personalization indicates items

loading in different factors that lead to the

elimination of that particular variable. Thus,

study only considers individual codification,

institutional codification and institutional

personalization as KSM. The main reason for

excluding individual personalization was

probability of people prefer personalization

approach at the institutional level rather than

individual. One explanation was it useful for

managers to disseminate information and

knowledge to people at institutional level,

because the value of knowledge grows and

multiplies when it is shared with various people

(Cabrera & Cabrera, 2002). In the

institutionalised mechanism, this is more

reasonable because an organization can use

collaboration between successful managers who,

through their joint experiences, can benefit many

employees in various circumstances and not

specifically for certain individuals. The findings

could imply that the learner must share some

context base of present work situation and that

the message will be assimilated based on

personal experiences and memories (Schacter,

1996) in various ways. This mechanism places

significant emphasis on the use of information

technology (IT) to create electronic repositories

for storing, searching and retrieving intellectual

capital (IC).

This study found that institutional

codification is a relevant mechanism for sharing

managerial tacit knowledge. The finding was

similar to Swap et al. (2001), that although

managerial tacit knowledge is difficult to share, if

stories are powerful in their verbal form, their

effect can be enhanced through the use of

multimedia. The elaboration effect of seeing and

hearing the storyteller can add weight and detail

to their story (Ibarra, 2000) as can visuals of the

environment in which the story occurred. For

instance, computer systems can help the experts

teach the novice by providing access to

repositories of knowledge that may have little

meaning to the inexperienced, but can be

interpreted by someone with more experience.

This study shows that the institutional

personalization mechanism is relevant for

sharing tacit knowledge. This mechanism

comprises of senior staff managing the staffing

needs of the programme, and organizations also

making use of cross-staffing in certain projects

that have the same clients or that centre around a

similar topic where staff work on the same

projects, to ensure that similar policies are

applied across projects. Senior staff can help to

identify aspects of the project that appear less

well-developed and then indicate the appropriate

individuals the project team can approach (Boh,

2007).

Managing Self and Knowledge Sharing Practices

The current study hypothesised that managing

self was positively associated with knowledge

sharing practices. As expected, there is a highly

significant positive correlation between

managing self and KSP. This finding also confirms

the theory of Wagner and Sternberg (1985), who

asserted that managing self consisted of

self-motivational and self-organizational skills

that are important in the management area.

People tend to share strategies in managing self;

for example, forcing yourself to spend at least 10

minutes on a task is a strategy that works for

many, who find that once they have begun a task

they will continue to work at it.

Managing Other and Knowledge Sharing Practices

This highly significant relationship between

managing others and KSP may be due to

successful managers knowing how to handle and

consult different levels of people, such as peers,

subordinates, top management, the wider

community and consultants. Having an

understanding of negotiation and diplomacy

skills with different levels of people contributes

to the confidence of successful managers.

Therefore managers believe that any techniques

to be more approachable in dealing with others

will have a positive impact on relationships and

also create a better perception of the public

sector.

Relationship between Managing Tasks and Knowledge Sharing Practices

The result indicates that managing tasks was

statistically significant in a positive direction

with KSP. Managing tasks refers to the ability of

managers to manage their tasks (Wagner 1987;

Colonia-Willner, 1998). This study found that

managers with a higher level of managing task

prefer to share their knowledge in KSP. This

relationship maybe explained sharing

task-handling by managers in the public sector

being an individual preference that needs

individual competitiveness aid in performs their

job well. Successful job performance has been

shown to be dependent on managers’ ability to

246


perform their work. It is likely that in Malaysian

local government, managers acquire tacit

knowledge by handling work in different ways

that are more effective for short-term service

delivery if they disseminate their knowledge to

others when necessary.

The Impact of Knowledge Sharing Practices on Individual Performance

The finding implies that individual performance

was predicted to increase when there are

contribution of knowledge sharing activities.

Particularly in mentoring behaviour, institutional

codification and managing self were benefit

managers in doing work. Managers’ more success

through mentoring programmes encourage

employees to share knowledge that helps

participants to enhance productivity. A

mentoring programme is a mechanism for expert

and novice managers to gain and learn the best

practices in doing work and at the same time

reduce trial and error for newcomers to improve

their works. This mentoring programme exists in

organisations such as the public sector to

develop excellent behaviour and encourage

competitiveness of managers while at the same

time allow managers to channel their knowledge

using technology such as email and video

conferencing at organizational level. Thus, the

interaction covered large amount of staffs. Along

with these, managers also need to able managing

self and increased individual motivation. It

means to increase individual productivity must

comes from ability to managing self and effective

mechanism of sharing knowledge.

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Appendixes Table 1: Correlation between Knowledge Sharing Practices and Managerial Tacit Knowledge Variables

Self

Task

Others

TK

Mentor1

Mentor2

Inst C

Inst P

Ind C

KS

Self (Self) r 1 -.063 .381** .633** -.174** -.243** -.186** -.192** -.166** -.262** Sig. .135 .000 .000 .001 .000 .001 .000 .002 .000

Task (Task) r - 1 .167** .580** .105* .211** .040 .057 .055 .123* Sig. .002 .000 .033 .000 .245 .158 .168 .015

Others (Others)

r - - 1 .778** -.166** -.106* -.136** -.140** -.176** -.202** Sig. .000 .002 .032 .008 .007 .001 .000

Tacit Knowledge (TK)

r - - - 1 -.112* -.058 -.136** -.132* -.140** -.162* Sig.

.025 .154 .008 .010 .007 .002

Mentoring1 (Mentor 1)

r - - - - 1 .551** .336** .431** .380** .792** Sig. .000 .000 .000 .000 .000

Mentoring 2 (Mentor 2)

r - - - - - 1 .413** .417** .333** .732** Sig. .000 .000 .000 .000

Institutional Codification (Inst C)

r - - - - - - 1 .480** .288** .723** Sig.

.000 .000 .000

Institutional Personalization (Inst P)

r - - - - - - - 1 .327** .726** Sig.

.000 .000

Individual Codification (Ind C)

r - - - - - - - - 1 .601** Sig.

.000

Knowledge Sharing (KS)

r - - - - - - - - - 1 Sig.

Correlation at the 0.01**, 0.05* (1 tailed) Table 2: Results of Multiple Regression Analysis

*Significance at the 0.05 level

Variables Unstandardised Coefficients

Standardised Coefficients

t Sig.

B Std. Error

Beta

(Constant) 86.590 2.173 39.849 .000 Managing Self -.886 .457 -.190 -1.941 0.05* Managing Tasks .173 .449 .037 .385 .701 Tacit Knowledge .107 .830 .016 .129 .897 Mentoring1 1.174 .442 .195 2.656 0.008* Mentoring2 -.049 .432 -.008 -.113 .910 Institutional Codification -1.011 .325 -.206 -3.107 0.002* Institutional Personalization

.506 .351 .097 1.441 .151

Individual Codification .079 .282 .017 .280 .780 Coefficient of Determination (R²):

.113

Adjusted R² .080 Std. Error of the estimate 2.65299 F-Value 3.413 Significance 0.000

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Administrative Reform in Indonesia

251


Rethinking Democratization, Decentralization and Governance: The Case of Indonesia

Himawan Bayu Patriadi, Ph.D.

Faculty of Social and Political Sciences Jember University - Jember Indonesia

Email: [email protected]

Abstract It is widely assumed that decentralization is part of democratization project. Democratization followed by decentralization theoretically would encourage establishment of good governance. Democracy is indeed seen to make local authorities to be more politically responsive, knowledgeable about localities so it in turn enables effective, efficient and responsive government to materialize. However, the case of Indonesia questions such an assumption. The decentralization policy adopted since 1999 following the installation of democracy empirically has hardly made conducive environment for governing. Democratization at the local level had indeed empirically encouraged too much politicization in which it has curtailed decentralization. It suggests that relatively poor democratic institutionalization has made the implemented decentralization hard to achieve its ideal goals. Keywords: decentralization, democratization, governance

Introduction Over the last quarter of twentieth century we witnessed democratization to sweep out all over the world. The process, as Huntington called it as ‘third wave of democratization’ (Huntington, 1993), has significantly changed the nature of political arrangement in many countries, including those were at the developing countries. Many previous authoritarian regimes had suffered from lack of political legitimacy and come to end and been replaced by democratic regimes.

Indonesia is one of countries that experienced such a political change. After being ruled under the authoritarian regimes for four decades since 1959, democracy finally appeared to be installed in 1998 following the collapse of the decayed Soeharto’s New Order regime. This political event has significant impacts on state and society with their various related aspects. This paper discusses the issue that involves both agencies by specifically paying attention on how democracy has conditioned the work of the state in governing. Some questions that will be explored here are: How has democracy practices shaped local governance? And how far has the adopted political

decentralization facilitated institutional arrangement for institutionalized good governance? Democracy, Decentralization and Governance Democracy has been widely adopted for some reasons. One of them, and perhaps the most substantive one, is assumption that as a system democracy venerates human being dignity. Under the democratic system people’s basic political rights that are hardly acknowledged under the authoritarian regimes such as freedom from fear, freedom of expression and freedom to assemble are now being guaranteed. This basic view then supports a philosophy that public voice is extremely important to be heard as being wrapped up into a famous Latino jargon “vox populi vox dei”. In order to applying this essential principle into political system people are encouraged to participate in any political process to expressing their aspiration. The adoption of democracy therefore has positive effect on policy making process particularly if it is seen from ordinary citizen view. In line with the democratization wave, the goodness of democratic principle is in turn also touching upon the management of state power in policy making process. In this respect, decentralization is basically part of the democratization project. Assuming that people are the most important political stake-holders, it is necessary that any decision making process should morally accommodate their aspirations as best as possible. Besides this, there has been a strong assumption that central government is too far from people it serves. This makes the central government knows little about local condition. This situation is worried that it can in turn result in producing misleading or distorted policies. This is why decentralization in its institutional arrangement of sharing power encourages the central government to delegate authority and responsibility into sub-national governmental units, either province/region or district. Such a kind of power devolution is based on what it is widely called as the subsidiarity principle insisting that “all governmental functions in a society or community should be carried out as close as possible to the citizens” (Martinussen, 1997:215). Having such a principle, it is quite logical that World Bank defined decentralization as “the transfer of authority and responsibility for public functions from central

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government to intermediate or local governments or quasi-independent government organizations and/or the private sectors” (as quoted in Green, 2005:2)

One main reason for the desired of transferring power is that the implementation of the subsidiarity principle would enable citizens to increase their participation in any policy making. Additionally, restructured government through decentralization theoretically could also establish greater efficiency, responsibility, accountability, responsiveness and better services provision (Grindle, 2008:167). Democratic control and better familiarity on localities seems to be the two foundations for such an optimistic view because both would enforce authorities to be accountable to their constituents and provide them with good modality to act. All these arguments underline the importance of handing many governmental functions over democratically elected local authorities. This assumption had made decentralization tends to be seen by many as a ‘panacea’ to resolving local problems. To say some, two well-known decentralization theorists, Shabbir Cheema and Dennis Rondinelli, even persuasively support the view by proposing two interrelated hypotheses. They argue that better knowledge on local needs and responsiveness to local condition are better at local government than those at the upper level. Also, democratically-elected local power-holders are believed to be more responsive to local demands than those who are undemocratically elected (as quoted in Martinussen, 1997:214).

While democracy focuses on imperative values to be adopted into political system and decentralization stresses more on the need of delegating power from central to local authorities, governance pays attention on how the assigned power to be exercised and what sort of mechanism that should be established to achieving the desired goals. There are many meaning of governance (Keesbergen and Waarden, 2004). One of its general meanings is “the organization and regulation of our collective life-the things that we do with people. Governance means making rules matters” (Hill, 2004:139). In this sense, governance may thus be either governmental or non-governmental. Bearing this in mind it is necessary for us to seek for a relevant meaning for the aims of this paper which specifically focuses on public matters. In this context, Saitos’s definition seems to be helpful when he states that “governance [is] process and outcome of consultative interaction between different constituent members including public, private and civil organizations in order to resolve common political economic and social issues (Saito, 2008:6). This definition implies that government is only part of the governance concept. This widening concept of governing substantively reflects the contribution of the New Public Management (NPM), a new approach in public administration

that wants to adopt management system in private sector to be implemented into public sector.

The introduction of the new approach has enriched the objects of governing analysis. Indeed, the broad shifting concept from ‘government’ towards ‘governance’ brings some implications of governing (Saito, 2008: 6-7). First, in terms of actor, government previously was assumed to be the main provider of public services. But, by the notion of governance, as said before, has placed government to be one of the concerned agencies, so in the process of governing it should imperatively interact with multi-stakeholders involved. Second, it is related to the changing process of governing from merely ‘to rule’ to become ‘to govern’. By using the term of government the governing process is more dominated by government. It tends to adopt top-down approach where people are treated as merely beneficiaries. Meanwhile, governance concept embraces more egalitarian and even bottom-up process where all stakeholders involved should interact with each others synergistically to resolving existing problems. In sum, in the process there are various actors and no dominant actor exists. Finally is the changing meaning of public. Before, public used to be referred to formal government, but with governance that accommodates multi-stakeholders the term of government is no longer the only agency of governing. As a result, the term of “public” does not signify exclusively government but all those who participate in governing including government, private agencies and civil organizations. Considering all these elaborations, Stoker seems to be right when he says that governance is becoming more complex and informal in the sense that discussion not only limited on the formal structure of government but also involves the informal structures and institutions. As being expressed in his own words that, governance concept “has opened to more ‘new’ institutionalist understandings that are concerned to address the informal construction and maintenance of institutions” (Stoker, 2006:14) Following elaborations above some points can be suggested here. First, the three elaborated concepts, democracy, decentralization and governance-are interrelated to each others. Decentralization and governance basically are the implementation of democratic values. The subsidiarity principle of decentralization that imperatively encourages any policy making process should be adjacent to people clearly reflects democratic values. Governance substantively is not much different. Its crucial notion of accommodating many actors by stressing more egalitarian process in policy making basically are also a democratically-rooted concept. However, the substantive linkage of the three concepts does not necessarily have positive correlations. As will be

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explored below, the case of Indonesia empirically provides foundation to elaborate such relationships. Decentralizing Indonesia: An Unlinier Process Decentralization is not something new for Indonesia. Since its independence in 1945 decentralization has been assigned to implement. As shown on table 1 (see apendixes). Autonomy for local government really existed in the late 1940s early 1950s. One possible reason for the implementation of it was the diversity of Indonesian geographically, ethnically and culturally. As a matter of facts, Indonesia is the largest country in Southeast Asia and the fourth most populated one in the world comprising of more than 13,000 scattering islands with 300 languages and over 20 cultural groups. Administratively, Indonesia currently is composed of 34 provinces and 410 sub-province regions called ‘kabupaten’ or district. (Tikson, 2008:25). There is a general presumption that decentralization would be good politically, economically and socially for Indonesia due to its diversity (Green, 2005:1). Unfortunately, however, decentralization in early 1950s was short-lived. The good desire of transferring political, administrative and fiscal authority faded away for at least two reasons. First, the adopted multiparty democratic parliamentary system has brought political conflicts that overtime threatened political stability. Second, imbalanced economic development between Java and outer islands provinces has triggered some regional grievances led to rebellions. All these brought a strong perception, particularly among political elites, that the implemented decentralization policy would threaten national unity that has become the project of central government (Tikson, 2008:25). Decentralization finally came to end when former President Soekarno-one of the prominent figures who obsessed with strong national unity-removed the decentralization policy by Presidential decree no. 6/1959. The 1965 regime change, signaled by the rise of General Soeharto, did not change the fate of decentralization. What happened during 1950s such as continuous political conflict and the threat of regional secession seemed to be have a deeper negative perception of Soeharto’ New Order. Instead of restoring decentralization the New Order regime tried to concentrate on development program based on the trilogy aspects, economic growth, stability and even distribution of growth. These goals could be achieved, it was assumed, by a centralized government and authoritarian military system. Such a kind of political management in turn facilitated what Mann called it as despotism in which state has capacity “to make decision and implementations without negotiating with civil society” (as quoted in Tikson, 2008: 28). The

characteristic of the regime relatively was unchanged until the collapse of Soeharto in 1998 due to the people’s power. Though in 1974 the regime tried to revive decentralization but it substantively was more purely an administrative decentralization rather than political or fiscal ones. Improving capacity of local government in public services is one of its normative goals. However, it was essentially more burdened by political mission to supporting the development trilogy because it should”…give priority to harmony…maintaining stability as well as national integrity and should apply both decentralization and deconcentration principles” (Tikson, 2008: 32). As shown on table 1, during the New Order period the form of autonomy was basically centralized. Decentralization under Democratic Regime 1998 was one of historic moments for Indonesian political history. People power, led by university students, successfully forced the former President Soeharto to step down. This was the beginning of the Reformation era under which democracy system was then adopted replacing the 32 years of the authoritarian regime. Democratization empirically does not only bring the change of political regime but also had significant impacts on governmental system. Following the installation of democratic political system, in 1999 government tried to resume decentralization policy for at least three possible reasons. First, it was likely that decentralization was almost completely political reaction against the outgoing New Order regime. The long-lasting authoritarian and centralized government seemed to have made democracy and decentralization interesting to be brought in. Additionally, the two concepts were also globally fashionable following the wave of democratization. One of examples was the UNDP global message. In its Human Development Report from 1993 this UN agency proposes that developing countries government should make a great effort to encourage participation of all citizens in both economic and political life as their development goal (Martinussen, 1997: 43). Second, the policy was part of resolving domestic problems. Indonesia has experienced of facing secessionist threats, particularly in Aceh and Papua. Unlike other provinces these two regions have, among others, different local political histories that in turn heartened aspirations to have self-determination. Government’s decentralization policy was likely one of alternative options to pacify them. Yet, the third reason should not be underrated. Decentralization was adopted due primarily to its normative aims that were assumed to be promising and determining. As being indicated before, there are at least three interrelated rationales of decentralization for good governance involving

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better local public services, room for local communities to freely convey their aspirations and accountability and transparency of local government activities (Green, 2005:2). No less important, decentralization was also believed to give a pathway for accelerated local development. One of the arguments behind this was it encourages an effective governmental organization in a sense that it “promotes internal competition and entrepreneurial talent” (Guess, 2005:218). The hope that decentralization would enable all these criteria to materialize was wide-spreading, especially among political elites. The initiative of implementing both local government act no. 22/1999 and no.25/1999 as foundations for local autonomy, followed by their a relatively smoothly process of revising the Acts into the local autonomy Act no. 32/2004 and the Act no. 25/2004, dealing with balanced fiscal distribution between local and central government, clearly evidenced it. Having all these, sub-provincial or district governments have been really assigned to have greater authority to coordinate power and arrange its own finance. In addition, the authority management that have been transferred to local government including education, general works, health, agriculture, communication, industry and trade, investments, environmental land, cooperative and human resources (Tikson, 2008:31). The implemented decentralization policy was relatively all-inclusive. Unlike Philippine which only focused on fiscal decentralization, Indonesia confidently adopted all decentralization aspects, namely administrative, fiscal and political, in a package. For this matter, USAID even described it as “one of the fastest and most comprehensive decentralization initiatives ever attempted by any country” (as quoted in Guess, 2005:220). This could be happened due to wide and strong political supports. Indonesian political elites indeed believed that the imperative local elections would really give a way for establishing genuine democratization and good governance (Tikson, 2008: 33). These substances are then formally accommodated in the existing Local Government Acts. Besides securing devolution of specified powers from central to local authorities the Act No. 32/2004, indeed, also barely mandates local people to have rights to voting for both provincial and district heads. In early application of decentralization local authorities generally seemed to be awkward in using their assigned power. Many local officials were confused about their new authority for at least two reasons. First, because of the long lasting centralized government local authorities had been keen in being implementators instead of decision makers. Second, while the implementation of the policy almost instantly needed adequate human resources, capable and competent local officials were hardly found. However, decentralization in some respects has facilitated some aspects of good

governance to materialize. To overcome the lack of personnel’s expertise and competence, for example, many trainings and capacity building programs were held by many local governments. Since then decentralization has been basically going on though the process had gone sluggishly and sometimes halting. A local official told me that at the beginning it was not easy for local officials to adapt themselves to the new imperative environment, but they have increasingly been becoming confident and their workings has also been improving overtimes due to a process of learning by doing (interview, 23 February 2012). Thus, in terms of personnel management decentralization has encouraged local officials’ capabilities and competences to improve. In line with its assigned power, local financial resource also relatively matched with local needed spending. From the onset of decentralization local budget steadily increased overtimes though about 80 percent of local revenues still came from central government in the form of Dana Alokasi Umum (DAU – general purpose grant) (Green, 2005:4). The available data suggest that nationally the allocation of local public expenditure rose dramatically from about US 40 billion in 1997 up to almost US 140 billion in 2007 (Australian Financial Review, 14 February 2007). At the same time, political decentralization to some extends has also pushed transparency and accountability. Head of Districts should consult and ask for endorsement from local parliament for their annual budgets. The use of the budget should also imperatively be reported annually to the same institution. Nevertheless, at the same time decentralization has also some bad sides for good governance. This is rooted in the fact that the development of political decentralization has gone far enough leading than administrative and fiscal decentralization. The mandatory local election stipulated by the 32/2004 Local Government Act had opened up an arena of political competition both at the grassroots as well as elite levels. At the grassroots level the saddened application of democracy really triggered massive political participation. Yet, the current adopted democracy system is basically an imported thing representing liberal democracy that is not a cultural-based democracy. It is true that in 1950s Indonesia adopted liberal democracy and it did workable enough characterized by low political tension and almost no conflicts happened (Feith, 1994:21). Nevertheless, the long-lasting authoritarian regime for more than 32 years had very likely eroded the stock of social capital implying the current applied democracy has no solid foundation to being workable and peaceful. The absence of strong and internalized social capital has made people generally lacking of democratic skills (Patriadi, 2010:2-25). They generally are poor in managing social and political differences, diverse interests, expressing

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aspirations and, at the same time, vulnerable to any provocative mobilization undertaken by the elites. As a result, the application of political decentralization has facilitated disquieting and high cost democracy. While conflicts are often embedded into local elections, money politics is also rampant. In this sense, local democracy is unavoidably expensive mainly due to the need of propelling political machines and buying votes to winning the elections. Similarly, press at many times reportedly was also not free from local politician influence resulting in the absence of accountability tools for society (Green, 2005:6)

All those have in turn made good governance hardly to materialize. Although political competition normatively aims at producing the best chosen leader, factually it is not rare that the elected Head of Regions “are not people of competence, vision and commitment, but rather ones of capital” (Tikson, 2008:41). Furthermore, at other level any mutual relationship amongst the available local stakeholders was also difficult to find. What has happened was they tended to bickering each others. It has been sharply described as follows: ...the functions and roles of the elements of government, political communities, business persons and even voluntarily organizations such as non-government organizations, the press, religious organizations and professional groups have been growing ineffective way. The logical consequence would be a severe distortion of relationships between the elements. The distortion is reflected in the tendency that people in such regions do not feel the need to be obedient to the government as the latter…does not act as protector but instead is considered as a predator. The government neither makes sufficient effort to assist the local people nor pays attention to the interest of local community. At the same time, the majority of business people did not comply with the regulations made by the government. They perceive that the local government is nothing but corrupt institutions that have to be deceived in any way. (Tikson, 2005:41)

The above judgment may be too sweeping. But it seems that some elements of it empirically do exist though the intensity may be different from one region to another. It can be argued therefore that introduction of local democracy scarcely made a synergetic partnership among the available multi-stakeholders because every single agency tends to ignore their imperatively progressive roles. All these are impediments for the emergence of either a healthy check and balances mechanism or good governance.

In the meantime at the elite level, particularly within high rank of local bureaucracy, political decentralization also often brought negative

impacts. Though the application of local election enables a democratically-elected Bupati (Head of District) or Walikota (Mayor of City) to emerge, its followed political consequences often makes a good synergetic coordination of local government elements hard to establish. One of the reasons is local politicians’ penetration into bureaucracy. In order to being elected any nominated Bupati always depends on political efforts of his supporting team, generally called as “the successful team”. Once being elected, the Bupati usually give rewards towards some members of his successful team by assigning them strategic positions within bureaucracy. According to one credible source inside bureaucracy, because they mostly are local politicians coming from outside bureaucracy, in many cases this has made bureaucracy inconvenience because such ‘personnel intervention’ presumably would disrupt their future bureaucratic career. The other reason, more importantly, is related to their professional capacities. It is not rare that the assigned officials are unfortunately not capable or competence people due to lacking of professional bureaucratic expertise. This in turn discouraged or made other bureaucratic officers reluctant to coordinate with them because the former often look down at the latter. (interview, 5 July 2012)

The other negative side of local election can also often be found in policy making and its implementation. Many policies do not meet with local needs because its formulation is more based on political calculation rather than genuinely responding people aspirations. A high rank local officer gives one of the illustrations as follows: Political decentralization puts Bupati in a strong position because he is a democratically-elected officer. As a result, his desires have often to be materialized whatever it takes. It is compulsory for all concerned bureaucrats to support it. If it should break the law or out of the procedures, the officers have to find a way and, if necessary, they should make such a kind of ‘engineered process’ to make it seems to be lawful or matched with the existing procedures. In this sense, the well-planned programs sometimes do not well-implemented because they were suddenly cancelled by the Bupati and replaced by his programs that are more based on his political needs, such as building political supports. This often happened as part of his effort to anticipate the incoming local election. Such policies, I am believed, were common to occur in entire Indonesian regions. As a result, the execution of the policies reportedly were not effective in the sense that they were taken not mainly aimed at fulfilling local needs but were more reliant on political calculation rather than professional considerations. (interview, 5 July 2012)

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The description above confirms that local democratization has made the Bupati or Head of Districts so powerful. It has even made them called as “Bantam Kings” in their regions (Tikson, 2008:42). While such strong position has often impacts on making distorted policies, the existing immature political culture has worsened the policy making process even further. It can be seen not only in the executive branch but also spilling over into the legislative branch in which the Bupati used various methods, sometimes may include the illegal ones, to achieve his political goals. An informant in the local parliament cogently says: Within local parliament there is always a group division between the Bupati’s supporters and those who oppose him. Money politics-based transaction is not uncommon in local parliament, including between executive and legislative branches. The recent example dealt with the expansion of nation-wide based retailers such as Alfa mart and Indomaret. There has been an increasingly strong popular aspiration demanding local government to regulate and limit the massive growth of the retailers as part of effort to protect the threatened traditional vendors. To respond the aspiration some local parliamentary members took an initiative of proposing a local regulation of it. However, the Bupati unfortunately disagreed with it. In order to curbing this aspiration he reportedly sent his close aid to buy off a number of parliament members, particularly those who supported the application of the aspiration. As a result, the proposed populist regulation has finally been disappearing. (interview, 11 July 2012)

Such practices seem to be present as other information supports it. A credible source inside local bureaucracy clarifies it by saying that the Bupati firmly stood for his disagreement because his policy of continuing to give licenses to anyone to opening new retailers was part of his efforts to collect ‘informal’ revenues for his personal gains. (interview, 2 July 2012). Whether this is classified as corruption or not needs further research. It should be noted, however, that there is general presumption that decentralization has relocated corruption from the central to regions. In an interview at Metro TV, Mahfud MD, the Head of Constitution Court, said that so far 283 Head of Regions nation-wide have been detained for corruption accusation. It means that it scores more than a half of the total Head of Regions (Metro TV, 5 July 2012). If all those are empirically true it strengthens the argument that political decentralization does not necessarily have positive correlation with good governance. Any effort of establishing the latter would face a bumpy road if there is no internalized democratic political culture

Concluding Remarks The implementation of political decentralization is substantively good. It could ideally capture genuine aspiration from below and establish good governance. International organizations including Worlds Bank formulate at least three criteria of good governance involving effectiveness, efficiency and responsiveness of governmental institutions. While the first two criteria are relatively clear in definition responsiveness refers to some elements. Besides being sensible to any public demand, responsiveness also implies access of people participation in policy making and a degree of accountability which in turn entails transparency (Martinussen, 1997:214).

As part of democratization project the implementation of political decentralization in Indonesia to a certain degree has accommodated some aspects of good governance such as participation, accountability and transparency at least formally. However, such a kind of accommodation seems to be still limited due to overdosed politicization both at the elite and grassroots levels. As elaborated above, local election has significantly curtailed certain aspects of good governance to exist, particularly the aspect of responsiveness. Political calculations, particularly those that concerns with Head of District’s political needs, in many times have distort policies to being unresponsive to local aspirations. It seems true that political decentralization is not a ‘panacea’ for resolving local problems. World Bank itself has indicated that under certain circumstances decentralization has negative impacts.

In the case of Indonesia, political decentralization that makes good governance hard to achieve is not unique. In comparative perspective, for example, Mexico which has implemented decentralization for almost 25 years local government empirically is also still facing legacies of previous centralized government, such as ineffectiveness, inefficiency, unresponsiveness and clientelism (Grindle, 2007:166). This paper does not aim at making generalization of decentralization phenomenon, and it even does not intend to formulate definitive conclusions about the linkage of political decentralization and good governance. Yet, it tries to make several conceptual contributions of relevance to better insights into the nature of linkage between the two. The Indonesian story may provide us a picture of how political decentralization that applied under the weak political institutionalization made good governance hard to emerge. What can be learned from it is political decentralization aiming at achieving good governance may be workable as long as it is being supported at least by two interrelated factors. First, the presence of competent, dedicated, and visionary leader. As political decentralization enables the

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elected local leaders to be powerful, their personal qualities would be determining. Second, the existence of strong political institutionalization. As elaborated above, poor political institutionalization was not conducive for good governance. The low quality of existing social capital, due to being eroded by the long-lasting authoritarianism, made democracy had no firm social basis to well-operate. It can be argued here that in the long term democracy is more supportive to decentralization rather than authoritarianism because the former provides enough space for people to learn and practice political matters properly. In this sense, the meaning of democracy should not be interpreted as merely the procedure of political system but also involve norms, attitudes and behaviors of doing politics. Part of it, it needs widely internalized positive social capital that permits all concerned stakeholders to have shared trust, mutual relationships and tolerance towards diversity for the desired goodness of the public.

Reference Feith, Herbert, “Constitutional Democracy: How Well Did It Function?”, in David Brouchier and John Legge, eds., Democracy in Indonesia: 1950s and 1990s, Centre of Southeast Asian Studies, Monash University, Clayton, 1994. Grindle, Merilee S., Going Local: Decentralization, Democratization and the Promise of Good Governance, Princeton University Press, Princeton, 2007. Green, Keith, “Decentralization and Good Governance: The Case of Indonesia”, MPRA paper No. 18097, 28 February 2005. Guess, George M., “Comparative Decentralization Lessons from Pakistan, Indonesia and the Philippines”, in Public Administration Review, Vol. 65, No. 2, 2005.

Hill, Carolyn J., “Governance, Governance Everywhere”, (book review), Journal of Public Administration Research and Theory, Vol. 14, No. 1, 2004. Huntington, Samuel P., The Third Wave: Democratization in the Late Twentieth Century, University of Oklahoma Press, Norman, 1991. Kersbergen, Kees Van and Frans Van Waarden, “Governance as a Bridge between Disciplines: Cross-disciplinary Inspiration Regarding Shift in Governance and Problem of Governability, Accountability and Legitimacy”, European Journal of Political Research, No 43, 2004. Martinussen, John, Society, State & Market: A Guide to Competing Theories of Development, Zed Book Ltd., New York, 1997. Patriadi, Himawan Bayu, “Rejim Baru, Masyarakat Lama: Budaya Politik dan Demokrasi di Indonesia” (New Regime, Old Society: Political Culture and Democracy in Indonesia), in Nurrudin and Hidayatullah, eds., Mozaik Pemikiran Demokrasi Indonesia, Litera Buku, Yogyakarta, 2010. Tikson, Deddy T., “Indonesia towards Decentralization and Democracy”, in Fumihiko Saito, ed., Foundations for Local Governance: Decentralization in Comparative Perspective, Physica-Verlag, Heidelberg, 2008. Saito, Fumihiko, “Decentralization and Local Governance: Introduction and Overview”, in Fumihiko Saito,ed., Foundations for Local Governance: Decentralization in Comparative Perspective, Physica-Verlag, Heidelberg, 2008. Stoker, Gerry, “Comparative Study of Local Governance: The Need to Go Global”, Hallsworth Conference, University of Manchester, 17-18 March 2006. _______, “Confidence Up Despite Waste at the Top”, Australian Financial Review, 14 February 2007.

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Appendixes Table.1: The Indonesian Political System and Government System since Independence 1945

Period Political System

Decentralization Acts

Forms of Autonomy

early independence (1945-1949)

democracy Act no. 1/1945 Act no. 22/1948

real autonomy

post-independence (1950-1959)

democracy Act no. 1/1957 real autonomy

Guided democracy

authoritarian

Presidential decree no. 6/1959 Act no 48/1965

restricted autonomy

New Order (1965-1998)

authoritarian Act no.5/1974 centralization

Reformation era (1998-current)

democracy presidential election

Act no 22/1999 Act no. 25/1999 Act no 32/2004 Act no. 33/2004

real autonomy local election

Source: Deddy T. Tikson, “Indonesia towards Decentralization and Democracy”, in Fumihiko Saito, ed., Foundations for Local Governance: Decentralization in Comparative Perspective, Physica-Verlag, Heidelberg, 2008. P.28

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ADMINISTRATION BY PUBLIC: RURAL DEVELOPMENT PLANNING BASED ON COMMUNITY DEVELOPMENT

OSCAR RADYAN DANAR

Lecturer in Development Planning Program, Public Administration Department, Faculty of Administrative Science, University of Brawijaya, Indonesia.

Abstract In public administration discussion, there are at least three perspectives to interpret what is public administration. The three perspectives are: administration of public, administration for public (Caiden, 1982) & administration by public (Keban, 2008). Administration of public shows how the government acts as an active regulator and always took the initiative in organizing or taking initiatives, by assumption that the public/society is less able and should be subject to accept anything that is set by the government. While the Administration for public shows the government role as provider of public services. In this context, it is assumed that government more responsive to what society needs and knowing more about how the best to community service. Thus, Administration by Public is a concept that oriented to the community development. In this case, government, tend to empower, meaning that governments try to facilitating societies, so that societies are able to manage public affairs by their self.

In the context of Administration by public, societies have a high participation in managing/administering the process of development planning, whether in planning, implementation or evaluation of the development process, would be manage directly by societies. The role of Government is focus to the role as a facilitator to empower societies. This is in line with the concept of Governance & Reinventing Government. This paper will discuss about how rural development planning based on community development can be seen as an alternatives in the development process, particularly in the perspective of public administration. Keywords: Public Administration, Rural Development Planning, Community Development

Introduction Public administration is a strategic factor in economic and social development. It influences and determines the success of any development plan, and is at the same time susceptible to deliberate social control and change. The inadequacy of administration in many developing countries is now recognized as a major obstacle to development, perhaps more serious an obstacle than the lack of capital or foreign aid. Even, Herbert Emmerich, speaking at the XIIIth International Congress of Administrative Sciences, Paris, 21 July 1965, have

estimated that 80 per cent of the plans of the world are incapable of being fulfilled because of administration (Rodman, 1968, p.7)

Administration by public (community) is the view that the process of development and public problems can be managed more effectively by the public (community) than when administered directly by the Government (Administration of Public). Various failures that undertaken by the Government, makes the scholars look for new ways in the development process. The development process that tends to government centered perceived cannot meet the "real" needs of people. To respond this problem, we need a process of development that focus to the community approach, which the development process, in terms of planning, implementation, control and evaluation, all carried out directly by the public (community). In the perspective of public administration, development planning based on community development is a part of Governance. In governance the process of public affairs is not managed just solely by the government, but also private sector and society sector. It is also suggested by Osborne and Gaebler in their popular book “Reinventing Government” (1992). In the second from ten principles, Osborne and Gaebler suggested “community owned government” principle. Meaning that, Government includes communities in the process of service delivery and development, giving them more control, sometimes even turning responsibility over to communities themselves. Rural Development Planning If we try to examine, development planning terminology consists of two words, namely development and planning. Therefore, discussion about development planning can not be separated from these two terminologies. Turner & Hulme (1997, p.4) argue that since the second world war, development has been synonymous with economic, social and political in the countries of Africa, Asia, Latin America, the Carribean and the south pacific. Countries in this region firmly stated that they are very committed to the development process. However, despite there was a big commitment to make development, it turns out that the consensus about what is development has not been obtained. But, with a simple definition Peet and Hartwick (2009, p.1) defines development as making a better life for everyone. Peet and Hartwick continues the definition of development as improvement a complex of linked natural,

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economic, social, cultural and political conditions (2009, p.1). Developmentalism is the belief in the viability and desire ability of this kind of economic progress. In the book Economic Development, Todaro and Smith States (Todaro and Smith, 2000) : Development is multidimensional process involving the reorganizations and reorientation of entire economic and social system. In addition to improvement of income and output it typically involves, radical, change in institutional, social and administrative structure as well as in popular attitudes and, in many cases, even customs and belief.

According to Seers (1979) the purpose of development is to reduce poverty, inequality, and unemployment. Development involves reducing deprivation or broadening choice. Deprivation represents a multidimensional view of poverty that includes hunger, illiteracy, illness and poor health, powerlessness, voicelessness, insecurity, humiliation, and a lack of access to basic infrastructure (Narayan et al. 2000, p. 4-5).

For Sen (1999) development is freedom. Freedom is the ultimate goal of economic life as well as the most efficient means of realizing general welfare. Overcoming deprivations is central to development. Unfreedom includes hunger, famine, ignorance, an unsustainable economic life, unemployment, barriers to economic fulfillment by women or minority communities, premature death, violation of political freedom and basic liberty, threats to the environment, and little access to health, sanitation, or clean water. One well-known planning expert Conyers and Hills (1990), defines Planning is a continues process which involves decisions, or choices, about alternatives ways of using available resources, with the aim of achieving particular goals at sometimes in the future. The definition of planning from Conyer and Hill (1990) attempts to incorporate the main points included in most other definitions and thus to convey the most important elements of planning, in order to explore the nature of planning in more detail, we shall now examine each of this basic elements in turn. These are the elements of planning (Conyer and Hill, 1990, p. 13-19) : To Plan mean to Choose However, planning also involves making choices between alternative course action; in other words, about alternative ways of achieving the same objective. Planning as a means of allocating resources Other important element of planning is that is concerned with the allocation of resources. Conyer and Hill use term “resources” to refer to anything which is ordered by those making decisions to be of potential use in achieving particular objective. This definition thus includes

not only natural resources (water, mineral wealth and so on), but also man power (or “human” resources), capital resources (such as roads, buildings and equipment) and others. Planning as a means of achieving goals It is not enough to say that planning involves making decisions about the use of resources because the “best” use of any particular set of resources will depend very much on what one is trying to achieve. In other words, planning involve making decisions about alternative ways of achieving particular goals. Planning for the future The other manifestation of planning’s concern with the future is its role in scheduling future activities. Planning involves not only deciding what should be done to achieve particular goal, but also deciding the sequence in which the various activities should be performed in order to proceed in a logical and orderly manner, step by step, towards the achievement of the goal. Based on the descriptions we can said that development planning is continues process which involves decisions or choices to make a better life for everyone in rural areas. While, based on chambers (1983, p.147) rural development is a strategy to enable specific group of people, poor rural women and men to gain for themselves and their children more of what they want and need. It involves helping the poorest among those who seek a livelihood in the rural areas to demand and control more of the benefits of development. Community Development Go to the people, Live among them Learn from them, Love them Start with what they know Build on what they have: But of the best leaders When their task is accomplished, Their work is done The people all remark “We have done it ourselves.” (Lao Tzu) Until the late 1970's there was a general view of the inherent that there are only two actors in the process of development : the government (state) and private sector. This view is based on the idea of the welfare-state. The concept of welfare state stated that the state plays a key role in the protection and promotion of the economic and social well-being of its citizens.

The state (government) is seen as the party most responsible for the prosperity of society. While, the private sector is partner of government to makes prosperity. In the 1980's in developed countries, began to give a critic to this approach. This is triggered by various limitations of government. Based on this idea then came a new idea, that the development process is no longer

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simply rely on government and private sector. Actors in the development process can also be directly based on community. Communities are responsible for themselves. This then led to concept of community development.

Mendes (2008, p.3) defines Community development as the employment of community structures to address social needs and empower groups of people. Community development combines the idea of “community” with “development”. Community us a group of people with a shared identity (Cavaye, p.1, n.d.). That’s why, to Cavaye Community Development is community itself engages in a process aimed at improving the social, economic and environmental situation of the community. Hence, community development relies on interaction between people and joint action, rather than individual activity – what some sociologists call “collective agency” (Flora and Flora, 1993). Based on Cavaye (p.3, n.d.), The key elements of community development are expressed to varying degrees in many definitions. Some key descriptions as follows : For community development to occur, people in a community must believe working together can make a difference and organise to address their shared needs collectively – Flora et. al. (1992). Community development is a group of people in a community reaching a decision to initiate a social action process to change their economic, social, cultural and environmental situation – Christenson et. al. (1989). Community development is a process that increases choices. It creates an environment where people can exercise their full potential to lead productive, creative lives. – Ron Shaffer (pers. com.). Community development is a process where people are united with those of governmental authorities to improve the economic, social and cultural conditions of communities and communities are integrated into the life of the nation enabling them to contribute fully to national progress. – (United Nations, from Biggs, 1999) Community capacity is the combined influence of a community’s commitment, resources and skills that can be deployed to build on community strengths and address community problems and opportunities – (Aspen Institute, 2000). Community vitality is the capacity of the local socio-economic system to survive and persist in generating employment, income, and wealth and to maintain if not improve its relative economic position. – Shaffer (1989).

Community economic development is about identifying and harnessing local community resources and opportunities and stimulating sustainable economic and employment activity – Kenyon (1994). Sanders (1958) saw community development as a process moving from stage to stage; a method of working towards a goal; a program of procedures and as a movement sweeping people up in emotion and belief.

Some key descriptions of community development that can be summarized from the various authors mentioned earlier are as follows (Zadeh, 2010, p.111 ):

As a group: Community development is a

group of people in a community reaching a decision to initiate a social action process to change their economic, social, cultural and environmental situation.

Work together: For community development to occur, people in a community must believe working together can make a difference and organize to address their shared needs collectively.

Unite: Community development is a process where people are united with those of governmental authorities to improve the economic, social and cultural conditions of communities and communities are integrated into the life of the nation enabling them to contribute fully to national progress.

One important aspect in community development is participation. Participation means the right of citizens to be involved in decision-making process at every stage of development from planning, implementation, monitoring and evaluation so that the community is not just a recipient or object, but as agents of development or subject. Community empowerment is a concept that summarizes the economic development of social values. It summarizes the concept of a new paradigms of development, which according to Chambers (1994) are "people centered, participatory, empowering and sustainable." This concept is developed to find what Friedman (1992) referred to as an alternative to development that requires : inclusive democracy, appropriate economic growth, gender equality and intergenerational equity (Kartasasmita, 1997, p. 8 - 9). Further, community development society (n.d.) arranges six principles in community development, there are :

Promote active and representative citizen participation so that community members can meaningfully influence decisions that affect their lives.

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Engage community members in problem diagnosis so that those affected may adequately understand the causes of their situations.

Help community leaders understand the economic, social, political, environmental, and psychological impact associated with alternative solutions to the problem.

Assist community members in designing and implementing a plan to solve agreed-upon problems by emphasizing shared leadership and active citizen participation in that process.

Disengage from any effort that is likely to adversely affect the disadvantaged segments of a community. Actively work to increase leadership capacity (skills, confidence, and aspirations) in the community. DEVELOPMENT PLANNING BASED ON COMMUNITY DEVELOPMENT : FROM INTITIATOR TO FACILITATOR Tell me, and I will forget Show me and I may remember Involve me and I will understand Empower me and I will act (Chinese Proverb) Efforts to empower communities consist of at least three aspects, namely:

Enabling: to create an atmosphere or climate that allows the potential for developing community

Empowering: strengthening the potential or power possessed by the community

Protecting prevent the occurrence of unequal competition, the exploitation of the strong over the weak.

Centralized planning to the Government can be more efficient when viewed from the standpoint of uniformity. However, centralized planning is not able to develop the community to develop new ideas that are better suited to local conditions. As a result planning is not able to directly touch the “real needs” of society. In addition, as mentioned earlier, the capacity of the government for the whole issues and problems of government is also limited. As a result, a program administered programs also not optimal. Besides, the centralized planning of the project may lead to dependence.

In the administration by public, state (government) no longer take care of and manage everything themselves. Communities have a high participation in managing / administering the process of development planning. Simply put, there is a change in the role of government “from the initiator to the facilitator”. This paradigm shift in development strategy is offered by:

Improving and involving communities in development planning processes;

Distributing the results of development of, by and for society;

Enhance the development focused on the ability of humans (human capacity building) that were grown by the community through empowerment strategies.

Based on these principles, the Government is no longer the dominant actor in the development planning process. The government only as a facilitator. The role of facilitator in the planning of this development program is created by creating a community development program. RURAL DEVELOPMENT PLANNING BASED ON COMMUNITY DEVELOPMENT : A CASE STUDY FROM AUTONOMY VILLAGE PROGRAM IN THE EMBODIMENT OF CIVILIZATION VILLAGE ( PROGRAM DESA MANDIRI UNTUK MENCAPAI PROGRAM DESA PERADABAN) IN WEST JAVA, INDONESIA One case study of Rural Development Planning Based on Community Development is the implementation of the Autonomy Village Program in the Embodiment of Civilization Village program, in West Java Province, Indonesia. The program is considered successful and even a pilot project in the process of community development. As pointed out in West Java Governor Decree No. 58 of 2010 on the “Autonomy Village Program in the Embodiment of Civilization Village” in West Java. States that, the background of this program is as one of the West Java Provincial Government commitment to community development, is the implementation of rural-based development program.

Autonomy Village program in the embodiment of the Village of Civilizations aims to: Improving the process of accelerated development in rural areas;

Realizing the village which have natural resources and human resources, institutions and facilities are adequate;

Improving the behavior of village people who support a clean lifestyle, healthy, orderly and safe as well as love for the environment;

Increasing business opportunities and work, and the opening of new jobs that are the result of creativity and innovation of the Village;

Creating the village as a center of activity for the village, in order to feel at home in the village;

Realizing Village people that enjoy living in the village, so villagers can be more focused on reducing the level of urbanization;

Providing basic infrastructure for socio-economic development of village communities, such as educational facilities, health,

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worship, entertainment, sports, green open spaces, shopping and community services; and

Realizing institutional capacity to realize the community and village officials to provide services to the community and facilitate the process of community empowerment in development implementation.

The approach used in the implementation of the Autonomy Village program in the Embodiment of Village Civilization, is as follows:

Development focused on the community (community-based development);

Bottom-up planning to determine the priority of activities through the mechanism of the village development planning meeting;

Lending capital and business co-operation more productive economy is formulated to communities or groups of people who have businesses in the informal sector, micro and small businesses through the empowerment of village-owned enterprises, and

Physical development and infrastructure that are formulated on the basis of rural infrastructure development to bring significant economic levels of society and increasing community access to basic health services, education and economic resources self-reliance through empowerment of local community organizations.

From the description it can be seen that the approach that used in the implementation of this program is a community development approach. Development planning is done based on community development through bottom-up planning mechanism. Although there are still many shortcomings, this program gains an appreciation as one of the recommended program to be implemented in other areas by central government.

Conclusion Concept of administration by public is a view that public affairs are no longer purely a matter for the state (Government). A paradigm shift towards public affairs that is maintained directly by the public, particularly related to the development planning process. Centralized development planning gradually delivered to the community. The government acts as a facilitator, no longer as an initiator, because the initiative came directly from the community. It is in line with governance paradigm which is public affairs is managed not only by state (government), but also private and society (community) sector. It is also has correlation with the second principle in reinventing government by Osborne & Gaebler : Community owned government.

Therefore, the mechanism and the concept of community development is the proper way to make this happen. Community development requires a people centered and participatory development is an effort to increase public participation in the development process. In the process of development planning, which determined by their own communities so that their needs in the planning, implementation and evaluation of development programs implemented directly by the public.

REFERENCE Caiden, G.E. 1982. Public Administration. Second Edition. California : Palisades Publishers. Chambers, Robert. 1994. The Origins and Practice of Participatory Rural Appraisal. World Development, Vol. 22, No. 7, 953-969, 1994 Community development society. Principle of Good Practice. http://www.comm-dev.org/. Retrieved on 20 June, 2012. Conyers, Diana and Hills, Peter. 1990. An Introduction to Development Planning In The Third World. C. R. Barber and Partners (Highlands) Ltd : Cichester. Kartasasmita, Ginandjar. 1997. Community Development : Development Concept that Rooted on Society. (Pemberdayaan Masyarakat : Konsep Pembangunan yang berakar pada masyarakat). Disampaikan pada sarasehan DPD Golkar Tk.1 Jawa Timur, Surabaya 14 Maret 1947. Keban, Yeremias. 2008. Six Strategic Dimension of Public Administration (Enam Dimensi Strategis Administrasi Publik). Penerbit Gava Media : Yogyakarta. Mendes, P. P. (2008). Teaching community development to social work students: A critical reflection. Community Development Journal, 2008. Narayan, Deepa, Raj Patel, Kai Schafft, Anne Rademacher, & Sarah Koch Schulte. 2000. Voices of the Poor: Can Anyone Hear Us? New York: OUP. Osborne, David and Ted Gaebler. 1992. Reinventing Government: How the Entrepreneurial Spirit Is Transforming the Public Sector. Reading, MA: Addison-Wesley. Peet, Richard and Hartwick, Flaine. 2009. Theories of Development : Contntions, Arguments, Alternatives. The Guilford Press : New York.

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Rodman, Peter W. 1968. Development Administration : Obstacles, Theories and Implications for Planning. International Institute for Educational Planning, 7 rue Eugene-Delacroix, 75 paris-16e, December 1968. http://unesdoc.unesco.org/images/0007/000755/075535eo.pdf Sen, Amartya. 1999. Development as Freedom. New York: Alfred A. Knopf. Seers. 1979. “The Meaning of Development, with a Postscript.” In Seers, Nafziger, Cruise O’Brien, & Bernstein, pp. 9-30.

Todaro, Michael and Smith, Stephen. 2000. Economic Development. Pearson Education Limited Edinburgh gate harlow essex : England. Turner, Mark & Hulme, David. 1997. Governance, Administration & Development. Kumarian Press : Connecticut. West Java Governor Act No. 58 Year 2010 about Autonomy Village in the embodiment village civilization in west Java. Zadeh, Zaheb. 2010. The Social Capacity to Develop a Community. Current Research Journal of Social Sciences 2(2): 110-113, 2010. © Maxwell Scientific Organization, 2010.

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Challenges and Prospects of Indonesia’s Bureaucratic Reform

Deden Faturohman, M.Pol.Admin. Student of Administrative Science Faculty of Brawijaya University-Malang-East Java- Indonesia

Email: [email protected]

Abstract In general speaking, it is supposed that bureaucracy has gained a pejorative reputation over time. Some significant symbols attach to bureaucracy as red-tape, delay, corruption, collusion, nepotism and stifling processes in getting things done. It has also gained a negative reputation as a machine for a repressive of domination, control, and class rule in the hands of ruling elites. However bureaucracy has also been for such a long time as recognized institution for bridging and processing a policy, in certain class structures searched by the ruling elites to ensure broader political bases of support. In addition it may also apply to make law enforcement through bureaucratization of society. Both positive and negative evidences of bureaucracy have also occurred in Indonesia. Since 1998, Indonesia has started to release the policy as known as bureaucracy reform. This policy is a package as one of significant objectives of reformation era. It is due to the need for better bureaucracy role to face globalization era.

The Indonesian government has launched a bureaucratic reform policy framework for short-term, medium term and long term. In long-term framework set out in the grand design of bureaucratic reform years of 2010-2025 through Presidential Decree No.81/ 2010. Medium-term reform of bureaucratic guidelines listed in the roadmap set in Ministry Decree No. 20/2010 and in short-term guidelines set in the guidelines set in specific regulation no.7-15 and 53 in 2011.

Bureaucratic reform launched by the government of Indonesia is a major change in governance paradigm. The scopes of changes are: (1) Management changes (mind set and culture set the apparatus); (2). Empower legislation (3).Strengthen the organization (4). Increase the Human Resource Management capacity (5).Organize better apparatus (6).Strengthening supervision (7).Empower performance and accountability (8).Increase quality of public services. Buraucratic reform has also supported by ethic codes of institution and apparatus, specific public policies, and culture for public services.

However, there are still far from those eight objectives. The negative evidences still keep going on, such as many government officials have trapped into corruption. In 2011- May 2012, more than 170 Majors and governors are accused for corruption. Many handicaps in public services both on national and local levels still occur. So, it is assumed that bureaucratic reform in Indonesia is in transition

between challenges and prospects. It is a fruitful suggestion to have further efforts by minimizing negative challenges and maximizing positive prospects Key Words: Bureaucratic reform, scope of reform, internal and external facotrs for reform 1. Intruduction The Indonesian government has launched a bureaucratic reform policy framework for short-term, medium term and long term. In long-term framework set out in the grand design of bureaucratic reform years of 2010-2025 through Presidential Decree No.81/ 2010. Medium-term reform of bureaucratic guidelines listed in the roadmap set in Ministry Decree No. 20/2010 and in short-term guidelines set in the guidelines set in specific regulation no.7-15 and 53 in 2011.

According to Indonesia’s Structural Reform Priorities Submitted by: Indonesia Residential Training Workshop on Structural Reform Singapore 10-12 August 2011:APEC. USA 2011

The 5 Five National Development Agenda then translated to 11 (eleven) national priorities as follows: • (1) bureaucratic and administrative reforms • (2) education • (3) health • (4) reducing poverty • (5) food security • (6) infrastructure • (7) investment in the business sector • (8) energy • (9) environment and natural disasters • (10) development in the least developed, frontier, outer and post-conflict areas • (11) culture and technological innovation

Bureaucratic reform as the first priority of eleven national priorities to implement launched by the government of Indonesia is a major change in governance paradigm. The scopes of changes are: (1) Management changes (mind set and culture set the apparatus); (2). Empower legislation (3).Strengthen the organization (4). Increase the Human Resource Management capacity (5).Organize better apparatus (6).Strengthening supervision (7).Empower performance and accountability (8).Increase quality of public services. Buraucratic reform has also supported by ethic codes of institution and apparatus, specific

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public policies, and culture for public services. Further,

However, there are still far from those eight objectives. The negative evidences still keep going on, such as many government officials have trapped into corruption. In 2011- May 2012, more than 170 Majors and Governors are accused for corruption. Many handicaps in public services both on national and local levels still occur. So, it is assumed that bureaucratic reform in Indonesia is in transition between challenges and prospects. It is a fruitful suggestion to have further efforts by minimizing negative challenges and maximizing positive prospects.

This study will discuss on Indonesia’s bureaucratic reform in terms of its challenges and prospetcs. Both aspects can be described by concepts and evidences of what has occurred in Indonesia. Although for such a long time Indonesia bureaucracy still in a conventional phase, many efforts has been implementing to reform it bureaucracy. Indonesia has specific policies such as grand design of bureaucracy reform, road map of bureaucracy reform and many technical poicy to do reform. Further, increasing apparatus skills to make a better services have also impelemented. In additon, right sizing of public institutions have also become one of programs released by government. Those government efforts is backed up by supervision and monitoring to make reform in a right way. However, there are still questionable to have a good result. It is due to the complexity of problems faced by bureaucracy.

Further explaination of bureaucracy reform is about strategies for building the bureaucratic capacity and accountability are developed as an effort to realize good governance and public service. The human resources development, for instance, can be viewed as a strategy to improve efficiency and effectiveness as well as maintaining moral values and work ethos. When observed further, capacity building in fact is concerned with a strategy to manage input and process in reaching the output and outcome and organize feedback to make reformation in each of the next stages.

Positive responses in relation to capacity building have appeared from regions in Indonesia. This seems to be an important momentum to improve the competence of the regional bureaucrats especially after autonomy is granted. Unfortunately, this momentum has also be taken as an advantage by the bureaucrats to form a business of training in relation to the problem of “ low” capacity of the personnel.

Capacity building is interpreted as a project and as a result the outcome is unsatisfactory. Bureaucratic accountability is carried out to create a system of monitoring and controlling the performance which is connected with quality, inefficiency, downgrading of human resources, and

transparency in financial management. Performance evaluation must be viewed as a continuous effort to improve public organization performance. The basis for performance evaluation is not simply the process to be conducted such as treatment for subordinates or common people, but it should go to quality of service and public needsIn conceptual background of Weberian bureaucracy of patrimonial domination, Hutahaean, 2005, stated that it is individuals and groups of powerful people who control the power and job authority for their political and economic interests. The characteristics of Weberian patrimonial bureaucracy as quoted by Santoso (1973) are as follows: (1) officials are screened according to the criteria of personal and political background, (2) positions are considered sources of income and wealth, (3) officials control both political and administrative functions because there is no distinction between production and administration facilities, and (4) any act is directed towards a personal and political relation. Indonesian bureaucracy tends to be corrupt. According to Arief Budiman (1991) cited by Hutahean called this as rent-seeking bureaucracy. The examples of this can occur in seeking jobs among others in settling permission for business or giving access for successing the proposal for having government projects. Bureaucracy Culture For many years, the performance of Indonesian bureaucracy has been presented as relatively negative performances. It often relales to poor or unprofessional organizational culture entitled to the bureaucracy. The concept of bureaucracy is often sued as characteristic contributed to the poor management and low performance of Indonesian bureaucracy. Lay people in Indonesia, including experts, seems to agree that the bureaucracy becomes contributed factor for this negative thing. In case of Indonesia bureaucracy, there are public perceptions having negative assumption on it. They argue that bureaucracy is complicate, unresponsive, slow, over regulated, lack of innovation, paternalistic and corrupt, cullusion nepotism (KKN). We can not avoid that there are many evidences supporting this negative factors such as hundreds of local governments leaders are accussed of corruption, many new local government erected but lack of public services, mis-management on government programs, problems of apparatus neutrality and many others.

In addition to this negative factors, pressure from national reform and public, democratization wave and globalization have been supprting bureaucracy to make reform. So, we know that there are some handicapes of bureaucracy as problems and challenges in one hand. On the other hand, there are significant prospects to implement bureaucracy reform. For example, government policy that cope

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with reform, governance wave, law enforcement, ICT innovation, regional development among neighbour countries and so on. These dynamic phenomena has given a chance for government to reform its bureacuracy in a right way.

1. Empowering Legislation as Policy

background of Bureaucracy Reform.

SBY as the Indonesia President with his Cabinet has made many regulation to empoeer legislationon bureaucratic reform. Those are: Presidential Regulation Number 81/2010, Grand Design Bureaucracy Reform of 2010 – 2025 In detail it is mention in Article 4 (1) The Grand Design Operational Reforms 2010-2025, will be poured in the Road Map for Reforms determined every 5 (five) years by the Minister of State for Administrative Reform and Bureaucratic Reform.And (2) Road Map for Reforms 2010-2014 set by the Minister of State for Administrative Reform and Bureaucratic Reform. Further, this policy is followed by:

1. PERMENPAN RB No. 20 of 2010 on Road Map for Reforms from 2010 to 2014.

2. PERMENPAN RB on : a. Guidelines for Submission of Proposed

Reforms Document K / L and Local Government (RB No. PERMENPAN. 7/2011);

b. Assessment Guidelines for Implementation of Reforms Proposed Document (RB No. PERMENPAN. 8/2011);

c. Guidelines for Preparation Road Map Bureaucracy K / L and Local Government (RB No. PERMENPAN. 9/2011);

Guidelines for Implementation of Quick Wins (RB No. PERMENPAN. 10/2011);

Guidelines for the Implementation of Change Management Program (RB No. PERMENPAN. 11/2011);

Structuring Guidelines for Treatment (Business Process) (RB No. PERMENPAN. 12/2011);

Success Criteria and Measures Reform and bureaucracy (RB No. PERMENPAN. 13/2011); Guidelines for Implementation of Knowledge Management Program (Knowledge Management) (RB No. PERMENPAN. 14/2011);

Approval of Reforms Implementation Mechanism and Benefit Performance (RB No. PERMENPAN. 15/2011).

All regulations resulted by government is to support the implementationm of bureaucracy reform. However, policy as regulation has no given better impact on reform if these are not backed up by value, behaviour and culture of instituions and

apparatus. However, conceptually, empowering legislation will give positive impact on implementation, moinitoring and evaluyating the reform program. As a result, making regulation is challenging. Implementing regulation is a way of giving positive evidence. Further, monitoring and evaluation are the way to respon on regulation challenges. Finally, reform can have a better prospect for the future of bureaucracy.

2. Empowering Buraucracy as Institution and Apparatus

In the second term of President Susilo Bambang Yudoyono (2009-2014), bureaucracy reform became the first priority of the Long-term National Development Plan (RPJP) 2010-2025. In December 2010, a Grand Design with a 15 year timeframe for rolling out National Bureaucracy Reform was decreed by the President, and a Road Map, was signed by the Minister for State Administration, changing even the name of the ministry to incorporate the spirit of reform. Thus was born the Ministry of State Apparatus and Bureaucracy Reform (KemenPAN & RB). The approach was seen as a necessary response to the urgency of spreading the reforms across all seventy six ministries and agencies. However, the approach had certain limitations, namely:

Arguably, the rise of and unreformed KemenPAN & RB, protracted the command-and-control approach to reforms. Reform procedures and processes required by KemenPAN& RB placed an emphasis on compliance, hence adding further layers of bureaucracy, a phenomenon contrary to the mandate of reform.

The reform initiative commanded nationally may have increased awareness of the need for reforming bureaucracy. However, core functions to support reform, namely, strategic direction; performance management; and support to build capacity, capability and culture were lacking. Absent clear institutional and governance frameworks, execution was divorced from strategy and complex decisions floundered in the bog of uncertainty. One of the most contentious issues from an institutional and governance perspective remained the role of KemenPAN & RB in directing reforms and the issue of a peer agency perceived to be controlling reform. The role of President’s Delivery Unit (UKP4) has been thrown into focus, specifically, the question: to whom are agencies are accountable, for delivering reforms.

Performance and accountability mechanisms for carrying out reforms were lacking. Firstly, remuneration as an incentive for reform was not linked to productivity and performance. Secondly, there was no mechanism to measure the impact and outcomes of reform. Thirdly, without

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transparency, citizens are unable to follow or comment on reform outcomes.

Bureaucratic reform according to Prasojo—the Deputy Ministry of Bureaucracy Reform, 2012, has been declared a priority during the administration of President Susilo Bambang Yudhoyono. It is not an easy effort indeed, as it concerns both structural and cultural changes. The administrative reforms minister as institutional front line to reform has formulated a strategy to accelerate bureaucratic reform phase 1 until 2014, reflecting what has been stipulated in the Grand Design of Bureaucratic Reform 2025 as well as the Roadmap 2010-2014. Based on the policies Prasojo further mentions, unfortunately, Indonesian bureaucracy is facing at least five major problems, those are asfollow:

The oversized organizational structure of national institutions--ministries and agencies and also local governments, which not only causes severe inefficiency, but also the overlapping and ineffectiveness in service, governance and development. The excessive amount of human resources, increasing routine expenditure for apparatus and difficulties in achieving strategic targets are a result of the oversize. In the era of decentralization, such organizational structure is no longer rational and contradicts the necessity to run government services properly. Regional governments, however, maintain an oversized bureaucracy in order to adopt political interests and gain cash from the central government, which requires the presence of certain organizational structures. These contardictary is a challenge for reform.

The competence of the apparatus. Indonesian bureaucracy is suffering from overstaffing and understaffing. Generally, Indonesian civil servants do not possess specific competence but a very general competence, which makes them known as general administrators. In addition, this is also contributing somewhat to creating a gap between Java and outer Java regions, both in terms of quantity and quality. The other problems concerning the apparatus are the poor attitude and behave of apparatus in terms of their integrity and mentality. This phenomenon is more a sturtural and systemic disease, which creates corrupt mentality and poor integrity. For example, abuse of authority to make money.

The mismatch between various sub-systems of state administration, which includes the planning system, budgeting system, good and service procurement system, delivery of public service systems and performance accountability report systems. These incompatibilities make it hard to measure the outcome and impact of all series of government, development and public service process. Occasionally, what has been planned does not correlate with the budget; nor is it derived into

sub-activities directed toward the achievement of outcomes. Indonesia’s bureaucratic performance is still very much oriented toward output, instead of outcome, let alone impact. In many cases, sub-activities are made only to create a pretext for business trips and additional income. For exmaple, Formaly, a good bottom up planning for local and national level has already implemented every year. However, when all input and propose from the bottom are resulted, the policy on planning is having many deviation. So, the planning is far from the need of society.

The poor quality of most public services. Apart from the vague of operational standards, the public service in Indonesia is characterized by levies and an ignorance of the constitutional rights of the citizens. The mechanism for public complaints is only available at a formal level, but without follow-up action. In terms of NPS, citizens become victims of apparatus who can not give a suitable services. The souveregnity that actually belong to citizens is shifting to bureaycrats.

The overlapping laws both vertically and horizontally, which complicate coordination and cooperation among government agencies at the central and local levels. Juxtopising amonmgs vertical and horizaontal public institutions are still occurring in bureaucracy.

To challenge those five problems which can be summarized from eight changes strategies prepared by governmanet, there have been nine bureaucratic reform acceleration programs set up to be implemented until 2014, those are: the organizational restructuring of ministries, agencies and local governments, Organizational restructuring, the restructuring of the number and distribution of employees through the recalculation of workloads and the need for a civil apparatus at each government agency, an open system of selection and promotion using technology and assessment centers, the enhancement of the apparatus’ professionalism through the setting of competency standards, competency tests, competency-based training, performance measurements and the strengthening of functional position, of e-government through the creation of a government resource management system that integrates planning, budgeting and performance reporting systems, the improvement of the quality of services by developing public service standards, public satisfaction index, as well as public complaints and follow-up systems at the national level, the improvement of state apparatus accountability and integrity systems through the integrity zone, namely extending the wealth report, code of ethics enforcement, conflict of interest handling, whistle blower system, post-employment policy, and the tracking of questionable account transactions, the improvement to payroll systems, welfare systems and retirement systems for state apparatus and finaally, the enhancement of

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government efficiency by re-regulating matters concerning the use of infrastructure, such as the office position and facilities.

In addition, Effendy, 2012, has made another propose to reform Indoneisa bureaucracy as follow: four ways to earn people’s trust, namely (i) improved budget efficiency; (ii) better public services; (iii) improved bureaucratic accountability; and (iv) improved the capacity of public employees.These are forms of governance which occurred due to globalization and democratization waves.

The realization of this basic acceleration strategy will push bureaucratic reforms beyond rhetoric so as to build public trust in the government and the state. This is a positive side of conceptual reform. In practice, the outcome or impact of this stratgegy for reform as a propect for the dynamic of Indonesia bureaucracy still need further evidence. According to Purmerend, 2012, it is foolish to assume a task of this magnitude can be achieved quickly or even within a decade or two. According to the World Development Report 2011, transformations of society take a generation at the least. It took the 20 fastest-moving countries 20 years to achieve a quality functioning bureaucratic, 27 years to bring corruption under reasonable control and 36 years to have a “good enough” government that operates effectively. This is ture when we describe the sturcture of Indoneisa bureaucracy which has a population of around 237 million people living in 33 provinces, comprising 399 regencies, 98 cities, 6,747 sub-districts and 78,198 villages spread over 17,504 islands with a total surface area of nearly 1.9 million square kilometers. The daunting task of administering these quantities is the job of 4.6 million civil servants. Leadership in Bureaucracy Reform Another significant factor as challenge and also porspect of bureaucracy reforrm is leadership. Lukito, 2012, stated that Leadership is a key to Indonesian bureaucratic reform. Therefore, bureaucratic reform without developing a performance-oriented leadership would be ineffective, and this kind of leadership should be based on strong and authentic values. Some say leadership is a combination of strategy and integrity, but if you have to choose one, integrity is preferable. With strong character and values, strategic leadership can be developed through training and the accomplishment of one assignment through the career path and leadership development in bureaucracy. This leadership challenge is required at all levels of the bureaucracy in view of the fact that within an organization, the creation of ethics and a working culture lies not only with senior management but also with those at the front liner as implementation level. Leaders at all bureaucratic levels should be expected to appropriately identify

problems, set the agenda and direction, and have the courage to immediately take action and, if necessary, take risks in the implementation of their programs. Another important matter is the capacity to monitor and evaluate the results of the measures taken, which can be used as input for the improvement of programs and policy.

A few progressive ministries, such as the Foreign Affairs (2002) and Finance (2006) have led a Bureaucracy Reform Initiative focusing on reforming organizational structures and procedures, Human Resources policies and practices to achieve the often complementary objectives of: (i) creating a clean, professional and accountable state apparatus; and (ii) creating an efficient and effective bureaucracy that provides high quality public services. This has been coupled with an extensive modernization program that has included the development of new business processes and procedures, followed by the introduction of Information and Communications Technologies (ICTs). The Evidences of Challenges and Prospects of Bureaucratic Reform Sturctural adjustment for national institution of Indonesian government:

Further, in detail, bureaucracy reform can be seen in the institution of Indonesia Ministry under SBY regime as follow: Executive structure below Presidency: Minsitry in Unity Cabinet Part 2

Political, Law and Security Affairs Air Chief Marshal (Ret.) Djoko Suyanto

Economics Hatta Rajasa National Mandate Party

People's Welfare Agung Laksono Golkar State Secretary Lieutenant General (Ret.)

Sudi Silalahi Home Affairs Gamawan Fauzi

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Foreign Affairs Marty Natalegawa Defense Purnomo Yusgiantoro Justice and Human Rights Patrialis Akbar

(2009-2011) to Amir Syamsuddin (2011-present) National Mandate Party

Finance Sri Mulyani Indrawati (2009-2010) to Agus Martowardojo (2010-present)

Energy and Mineral Resources Darwin Zahedy Saleh (2009-2011) to Jero Wacik (2011-present) Democratic Party

Industry M S Hidayat Golkar Trade Mari E. Pangestu (2009-2011) Gita Wirjawan (2011-present)

Agriculture Suswono Prosperous Justice Party

Forestry Zulkifli Hasan National Mandate Party

Transportation Vice Admiral (Ret.) Freddy Numberi (2009-2011) to Major General (Ret.) Evert Ernest Mangindaan (2011-present) Democratic Party Democratic Party

Maritime Affairs and Fisheries Fadel Muhammad (2009-2011) Sharif Cicip Sutardjo (2011-present) Golkar

Manpower and Transmigration Muhaimin Iskandar National Awakening Party

Public Works Djoko Kirmanto Health Endang Rahayu Sedyaningsih

(2009-2012) National Education (2009-2011) Education and Culture (2011-present)

Muhammad Nuh Social Services Salim Segaf Al Jufri

Prosperous Justice Party Religious Affairs Suryadharma Ali United

Development Party Culture and Tourism (2009-2011) to

Tourism and Creative Economy (2011-present) Jero Wacik (2009-2011) to Mari E. Pangestu (2011-present) Democratic Party none Informatics and Communication Tifatul Sembiring Prosperous Justice Party

State Ministers Research and Technology Suharna Surapranata (2009-2011) Gusti Muhammad Hatta (2011-present) Prosperous Justice Party

Cooperatives and Small and Medium Enterprises Syarief Hasan Democratic Party Environment Gusti Muhammad Hatta (2009-2011) Berth Kambuaya (2011-present)

Female Empowerment and Child Protection Linda Amalia Sari Agum Gumelar

Administrative and Bureaucratic Reform Major General (Ret.) Evert Ernest Mangindaan (2009-2011) to Azwar Abubakar (2011-present) Democratic PartyNational Mandate Party

Development of Disadvantaged Regions Ahmad Helmy Faishal Zaini National Awakening Party

National Development Planning and Chairperson of the National Development Planning Agency (Bappenas) Armida Alisjahbana

State Enterprises Mustafa Abubakar (2009-2011) Dahlan Iskan (2011-present) (1) Youth and Sports Affairs Andi A

Mallarangeng Democratic Party (2) Public Housing Suharso Monoarfa

(2009-2011) (3) Djan Faridz (2011-present) United

Development Party (4) Officials of ministerial rank Head of the

Presidential Working Unit for Development Supervision and Control Kuntoro Mangkusubroto

(5) Head of the Investment Coordination Board Gita Wirjawan (2009-2011)

(6) Head of the State Intelligence Agency (7) Police General (Ret.) Sutanto (2009-2011)

Lieutenant General Marciano Norman (2011-present)

(8) Attorney General Hendarman Supandji (2009-2010) Darmono (2010, temporary) Basrief Arief (2010-present)

(9) Indonesian National Armed Forces Chief of Staff General Djoko Santoso (2009-2010) Admiral Agus Suhartono (2010-present)

(10) Indonesian National Police Chief Police General Bambang Hendarso Danuri (2009-2010) to Police General Timur Pradopo (2010-present)

Faturohman, 2011, Public Policy Reform at Higher Education in Indonesia, Recently, The program of higher education reform in Indonesia is very strategic and futuristic. It reflects, and in the same time accommodates, the demands of external global advancements and internal changes relating to reformation spirit of post Suharto era. The prospective substance of the reform can be seen from its elements: autonomy, quality, access and equity. The reform in autonomy includes: (1) decentralizing the authority from the central government and providing more autonomy as well as accountability to institutions; and (2) facilitating legal infrastructure, financing structure, and management processes that encourage innovation, efficiency, and excellence. On the near future, it is assumed that Indonesia Higher Education has its own autonomy. It is absed on the Draft of New Higher Education Policy that still in hand of Ntional Legislative Body.

Further Evidences of Bureaucracy Reform in Indonesia National and Local government based on Agus Pramusinto, www.menpan.go.id/ as follow:

Problems as Challenges of Reform in central government. – It is the fact that without regulation, reform cannot

work. However, regulation does not necessarily

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make the reform work (UU No. 43/1999 to create National Personnel Commission, but it does not exist)

– There are many conflicting regulations at the central level

– No coordination among ministries in conducting bureaucracy reform because of poor leadership (it is assumed that each ministry has its own reform strategy and design)

– Reform is perceived narrowly as remuneration only. Reform is a continuous process. However, when President SBY said that reform will finish in 2011, it means remuneration.

– Central government ministries are too fragmented (they do not know what other units are doing). For example: two similar projects have been conducted by two units under the same directorate without any communication between them)

In addition to evidences of Bureaucracy reform at

national level. Here are reform at Local Government: One stop services (Sragen, Sidoarjo, Solo,

Jembrana, Kota Bandung, Takalar, Banjarbaru) Remuneration system (Gorontalo, Riau, Solok,

NAD Province, Kota Jogjakarta, Jembrana) Open recruitment (DIY and NAD Provinces,

Jembrana) Transparency and Participation Commission

(Lebak, Kota Gorontalo) Integrity Pact (Solok, Kota Jogjakarta) Integrity Pact for Procurement (Banjarmasin,

East Java) Citizens’ Charter (Blitar, Yogyakarta) Assessment Centre (DIY Province) E-Procurement (Kota Surabaya, Kota Jogjakarta,

DIY, West Java Province, Riau, Pekanbaru Province, East Java Province)

Organizational Rightsizing (NAD, Jembrana, DIY Province, Gorontalo Province)

Participation forum for Development (NTB, Kota Jogjakarta, Kota Blitar) Primary Education for free (Jembrana, Kutai

Kertanegara, Riau) Health Services for free (Jembrana, Kutai Kertanegara, Riau, Kota Jogjakarta) Local Ombudsman (DIY Province, Kabupaten

Asahan) Public Service Commission in East Java Province Communication Forum between Public Officials-

Citizens (Kota Jogjakarta, Kabupaten Kebumen, Gorontalo Province, Jembrana)

E-Government (Jembrana, Kebumen, Sragen, Takalar)

Governance Bodies for (NAD and DIY Provinces)

Budget Transparency for Local Budgeting (Kota Jogjakarta)

(1) Public-Private Partnership (Purbalingga, Wonosobo, DIY Province)

(2) Regional Cooperation (Kartamantul [Yogyakarta], Pawonsari [Pacitan areas], Gerbangkertasusila [Gresik areas], Aksess [Bulukumba areas])

Based on The Political and Economic Risk

Consultancy Ltd (PERC) cited by Kompas, concludes that Indonesia is the second worst country for investment in terms of bureaucracy.: Evaluation on Bureaucracy in Asia Country Points Country Points China 7.3 Philippines 6.2 Hongkong 3.1 Singapore 2.2 India 8.95 South Korea 4.9 Indonesia 8.2 Taiwan 5.5 Japan 4.6 Thailand 5.6 Malaysia 6.45 Vietnam 7.63 Source: Kompas 2 July 2005 Notes: The points range from 0 up to 10. Point 0 indicates the best score while point 10 is the worst value. Those are challenges and prospects for Indonesia’s Bureaucracy Reform. Problems occurred in national government can be assumed as chaqllenges fro reform. Many Reform at Local Government Bureaucracy are also prospects for enhancing the quality and quantity of reform. Especially, evidence of regional evaluation on Indonesia Bureaucracy in Asia, this is the fact that we have to push harder on reform. 3. Conclusion Challenges and Prospects of Indonesia’s Bureaucratic Reform seem both sides at one coin. Challenges can consist of problems and prospect is potencial factors that occure in reform. Strating by the Reformation Era at 1998, Indonesia have been struggling for develop its institution for making better service to the citizens. Many significant efforts have been implemented to cope with the reform. In addition, the reform is formerly based on empowering legislation—policy. Then, this has moved to be more deeply in terms of culture, structure and function, and leadership.

There are many evidences regarding Indoneisa’s bureaucracy reform, such as restructuring and modifying the national and local institutions. Creating road map of bureaucracy reform for every national and local governments is the strategy for achieving the reform objectives. Further, Indonesia’s bureaucratic reform has a mid term planning 2009 – 2014 and a long terms planning 2009- 2025. So, it is still far a way to go. We can say that to date is still in transition period of reform. If there are many problems as challenges, it

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would be normal. However, many efforts has also given positive results. Furthermore, We are very optimistic that in the long term planning, Indonesia bureaucracy could reach the objectives. Focusing on eight strategies for change, we diagnose the five main problems of bureaucracy reform. Then we put in place the program including strucutral and functional adjustment, culture, incerasing human resources, coping with ICT and so on. As a result we can finds the facts of challenges and prospects of bureaucracy reform. It is assumed that Indonesia Bureaucracy Reform is a very ultimate factor that should be solved. However, it is not as easy as pouring the water to a river. In Indonesia or supposedly in many developing countires, a long and winding road is an idiom that suitable for reaching the bureaucracy reform. Coping with global environment and acting in local level is a wisdom way to make reform in a down to earth strategy.

Refrences

Asmorowati, Sulikah, 2010, Bureaucratic Culture or Citizen Oriented Culture? Bureaucracy, Community and Reform in the National Program for Community Empowerment (PNPM) in Surabya, Indonesia , The 18th Biennial Conference of the Asian Studies Association of Australia in Adelaide, 5-8 July 2010. Effendi, Sofian , Reforming the Indonesian Bureaucracy., Professor of Public Policy at University of Gadjah Mada presented at Indonesian student association’s (PPIA) academic discussion on 16 January 2012 in Adelaide. Faturohman, 2011, Public Policy Reform at Higher Education in Indonesia, Unpublised, FIA, Braijaya University, Indonesia. Horhoruw, Maggy, et al., 2012, Transforming the Public Sector in Indonesia: Delivering Total Reformasi

Hutahaean, Marlan, 2005, Bureaucratic Reformation in Governance and Public Services as Effort to Materialize Equity and Civil Society: Indonesia in the Decentralization Era, Network of Asia-Pacific Schools and Institutes of Public Administration and Governance (NAPSIPAG), Annual Conference 2005 Beijing, PRC, 5-7 December 2005 Indonesia Residential Training Workshop on Structural Reform Singapore, 2011, Indonesia’s Structural Reform Priorities Submitted by: 10-12 August 2011:APEC. USA 2011 Kang, Hwang-Sun, , 2005, Administrative Disretion in the Transparent Bureaucracy Public Administration Quarterly; Spring 2005; 29, 1/2; ProQuest Research Library Kompas 2 July 2005 Mangkusubroto, Kuntoro, President’s Delivery Unit. Development Monitoring & Oversight: Bureaucracy Reform: International Knowledge Management Forum Shangri-La, 9 November 2011 Penny K. Lukito 2012, Leadership key to Indonesian bureaucratic reform, the Jakartapost, Jakarta. Pramusinto, Agus, www.menpan.go.id/ Prasojo, Eko, 2012, Accelerating bureaucratic reform, http://ww,w.thejakartapost.com/news/2012/06/05/accelerating-bureaucratic-reform.html SPAN-CMC UKP4 Presentation, 2011, Change Management to Facilitate Implementation of Reform: SPAN Project , Presentation to International Knowledge Management Forum on Bureaucracy Reform November 2011. Yap, Alex, 2012, The inevitable process of bureaucratic reform in Indonesia, The Netherlands.

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Abstract

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Women, Gender Equality and Civil Rights in Governance

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Participation and Governance of Bangsamoro Women on Political Processes in Lanao Del Sur

Saidamin P. Bagolong1

Abstract

This study determined the participation and governance on political processes among Bangsamoro women in Lanao del Sur. Findings served as bases for action plan for the recommended programs. This study used descriptive-correlational study which was conducted in Lanao del Sur during the Fiscal Year 2011. Findings showed that there was a significant relationship exists between the level of participation and the level of governance on political processes of the Bangsamoro women in Lanao del Sur. And there was also a significant difference between the level of participation and the level of governance on the political processes among the Bangsamoro women in Lanao del Sur in relation to demographic profile. The Bangsamoro women’s participation and governance on political processes reflected a unified ideology between Islamic values being practiced by a Muslim woman and equality and empowerment as mandated in the law. Despite problems in governance on political processes, the Bangsamoro women in Lanao del Sur pride themselves as contributor of strong electoral, policy-making and peace processes amidst cultural barriers. The proposed action plan for the Bangsamoro women shall be implemented, monitored and evaluated by both the government, women organization and other stakeholders.

1 The University of Mindanao, Davao City

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Public Affairs and the Issue of Gender Equality: From Shadows to Self

Jyoti Trehan Sharma2

Abstract

Administration as an activity is as old as the human civilization that has created the administrative states in the contemporary times. It is the management of public affairs by the Government that systematically uses human and material resources through the creation of higher civil service. But what is essential to probe is as to how far the country’s civil service is representative of the various cross sections of the society; a socity that is a coalition of several publics, the defining belief being that those who live differently think differently. In the present age of post – modernity, the entry of women in matters concerning public affairs is a more recent phenomenon in most of the countries. The question of gender participation is evolving, although striving hard to make its presence felt in the corridors of power. Women are under represented at decision making levels in most areas of public affairs. The ardent question remains the grant of equality of oppertunities that is the hallmark of the law of any land. Even competitive pressures of globalization are consistently increasing the need to tackle the gender inequality in public affairs. How can human talent be wasted any more? But the hard fact is that men and women are not equally factored in this equation. “People talk about working mothers but they don’t talk about working fathers; they talk about career women, they don’t talk about career men. As far as many employers are concerned, men don’t have children.” Government action creates gender – differentiated impacts like house hold responsibilities, type of work and the labour market and access to key resources like capital, property and credit. Underlying inequalities and cultural assumptions need to be adressed as a priority. (Paper would have enough illustrations in this regard). Women’s participations in decision making can actually have a major impact in shaping economy and society. Need to strengthen policies peretaining to skill development, public consultation and gender - equitable policies. As far India is concerned, situation is highly differenciated. Women employees have started enterering public services in a perceptible number, all though still very small in comparision to their proportion in the population. (6% total membership in All India Service). Even these are mostly concentrated in the lower echelons of administration. Lower rate of employement due to low literacy rate and high preference for domesticity. All those who enter have distinct back grounds – education, educated parents, belonging mostly to professional families and big town background. However other fronts notable –

(a) 33% reservation for women in local self Government Institutions (b) Mnay states governed by Woman Chief Minister (c) Have had a woman Prime Minister, even leaders in the opposition

(d) President of India is a woman However notable is the fact that a woman has arison with affluent and powerful political leanings.

2 Associate Professor, Ph.D., I.P.College for Women, University of Delhi, India

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Women’s Policy in Thailand: Past, Present and its Challenges

Suangsurang Mitsamphanta3

Abstract

Recently Thailand has the first female Prime Minister Yingluck Shinawatra. As the first female Prime Minister, the government promotes the women policy “Thai Women Empowerment Funds”. This policy aims to raise women’s income, equality and network. Accordingly the Thai government promotes the equality of women for election in the First Constitutional of Thailand (1932). Besides, with the stream of Feminist movement at the global level and the commitment of the Thai government to ensure women’s right with the International Organization such as United Nation since 1945. As a result, it is interesting to investigate all the policies concerning women’s status and equality in Thailand. This paper aims to investigate the development and evaluation of women’s policies in Thailand since 1932 to the present (2012). The dimensions of the policies will be categorized into education, poverty and income security, family, health and safety, social welfare, and politic and society.

3 Lecturer, School of Liberal Arts, Mae Fah Lung University

278

The protection of civil rights in France

NathalieJacquinot4

Abstract Civil rights are only a part of fundamental rights which also include economic and social rights. They have been for the first time guaranteed by the Declaration of human and civic rights dating from 1789. They are the most ancient rights protected in France and are considered as negative rights or liberty rights permitting the right holder to act or to refrain from acting, being thus opposed to claim rights. They are nowadays mainly protected by the Constitution itself. Constitutional review performed by the Constitutional Council is essential to make sure no legislative provision infringes the rights and liberties guaranteed by the Constitution. Institutional Acts can be referred to the Constitutional Council before their

promulgation and there is also the possibility, since the constitutional reform of July the 23rd of 2008, of a priority preliminary ruling on the issue of constitutionality which allows a person involved in legal proceedings before a court to argue that a legislative provision infringes fundamental rights or liberties. If the constitutional review takes place before promulgation, a provision declared unconstitutional shall be neither promulgated or implemented and if it takes place once the institutional Act has already came into force a provision declared unconstitutional shall be repealed. Civil rights are also protected against the acts of the Administration thanks to the very active part played by the Council of State and more generally by administrative tribunals and courts. Indeed one of their principal missions is to protect freedom and fundamental rights. Historically the Council of State was even the first one (with the Judicial Authority in the case of a blatantly unlawful act), to protect such rights and, during the end of the twentieth century, it took an increasing part in this protection with the development of new powers mainly due to the admission and rise of the control of conventionality of French legislation and the reform of emergency proceedings.

4 Professor, Toulouse 1 Capitole University, France

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Disaster and Resources Management

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Restructuring of the Royal Forest Department: Success or Failure in Forest Resources Management of Thailand

Rachanee Pothitan5

Abstract

The Royal Forest Department (RFD) was established in 1896 by King Rama V, to support forest resources management command centralization. The commercial logging was the main purpose of forest management following by protected area management when forests degradation became a crisis. However, RFD had been criticized in the area ofits inefficient organization and dominant agency of forest management. Bureaucratic was reformed in 2002, RFD was restructured into 3 departments as 1) RFD which is responsiblele for national reserve forests 2) Department of National Parks, Wildlife and Plant Conservation which is responsible for protected area such as national parks and wildlife sanctuaries and 3) Department of Marine and Coastal Resources which is responsible for mangrove forests. The Restructuring of RFD is affect to organizational administration, forest resources management, public services, and decentralization. However, the successes such as, protected areas and mangrove forests have good trends of management. More exploit of national forest reserves, reduction of personal’s morale supports are weak points. As well as, the promoting of community forests, forest plantations, including people participation and decentralization have been delayed and is not progressive as they should be. This paper thus aims to present the causes and effects of restructuring of RFD to forest resources management and recommendations to improve its.

5 Ph.D. Candidate, College of Interdisciplinary Studies, Thammasat University

281

Flood Disaster Management and Governance Mindset

Mochamad Chazienul Ulum6

Abstract Basically the idea of writing this paper is to connect two sides of the actual issues, namely the empirical side that associated with flood disaster management in Indonesia, and the theoretical side that associated with the application and development of governance model. Good coordination and cooperation among stakeholders such as related government institutions, private sectors, and local community is strongly required in handling the floods. The research attempt to describe the extent of the rationale of governance concepts in the context of flood disaster management in the form of a synergistic network of inter-actor collaboration and mapping roles and responsibilities of each party. This research is descriptive approach with qualitative data analysis, thereby its discussion was done by figuring and interpreting the research object condition based on data that obtained during inquiry both secondary data from official documents, especially from the local government, and primary data that obtained by interview, particularly with officials. This research was conducted in Bojonegoro Municipality, East Java Province, Indonesia.

6 Lecturer of Public Administration Department Brawijaya University, Indonesia

282

Planning for future uncertainty

Pakamas Thinphanga7

Abstract Climate change has the potential to alter frequency, intensity and type of natural disasters, undermining development activities of governments and communities. National and local disaster risk management plans are developed based on understanding of local hazards and responding to current risks, thus relying heavily on historical information and events, that are likely to reoccur differently. In addition to uncertain climate risks, urbanisation and development processes exacerbate and contribute to disaster impacts on communities and vulnerable groups. New risks emerging from the interaction of urbanisation and climate change effects are not anticipated and incorporated into decision-making and planning processes, further limiting implementation of disaster management plans. However, disasters are low probability events that place large demands on resources and preparedness competes against front-line service provision and development activities of the local government. Despite disaster risk reduction plans in place, disaster management has repeatedly failed as experienced widely in Oct-Nov 2011 and in Hat Yai in 2010. Infrastructure solutions without proper assessment will exacerbate impacts on already vulnerable groups. The local government lacks institutional capacity and effective coordination mechanisms across government tiers and sectors to properly manage disasters. With rapid, unregulated urbanisation and lack of clear urban development policy, Thailand is faced with increasing vulnerabilities, putting most people at risk.

7 Ph.D., Senior Researcher, Thailand Environment Institute

283

Public Sector Reform and Government in the Philippines: Framework, Issue and Challenges

284

Public Sector Reform and Governance in the Philippines: Framework, Issues and Challenges

In most general terms, the four person panel will address the burning issue of reforming the public sector for good governance in the Philippines. Taking off from a framework for public sector reform (PSR) , the paper will present cases where various such approaches will be applied. More specifically, these will be in the areas of promoting accountability and transparency by addressing the problem of red tape; promoting predictability and responsiveness through legislation ; promoting participation for local governance; and general concerns of PSR. The following are the papers for this Panel. “Public Sector Reform: An Evolving Framework,” Dr. Alex Brillantes, Jr., Professor, National College of Public Administration and Governance and President, Philippine Society for Public Administration “Issues and Implications of Anti-Red Tape Act on Public Sector Reform,” Ms Lizan Perante Calina, Senior Legislative Staff Officer, House of Representatives “General Concerns of PSR,” Dr Roberto Valerio, Vice President, Philippine Society for Public Administration, and Professor, Ateneo de Zamboanga University. Zamboanga City “Legislation, Law -Making and Public Sector Reform: Approaches, Issues and Concerns.” Atty Mailin Yap, Secretary General, House of Representatives

285

Policy and Social Policy

286

A Promotion of Public Health Policy: A Case Study of the Issuance of Compulsory Licensing in Thailand

Chakkri Chaipinit8

Abstract

The issuance of compulsory licensing (CL) in Thailand during 2006-08 is the new phenomenon in the Thai politics. During the short period of the Surayud Chulanont administration, Ministry of Public Health of Thailand (MoPH) had enacted CL on seven patented medicines; two for anti-HIV medicines, one for heart-disease medicine, and four for cancer medicines. Not surprisingly, such alternative measure to access medicine had brought about series of condemning criticism from the US, EU countries, and global pharmaceutical corporate. Some argues that the unprecedented coup d’état in 2006 enabled CL since such regime needs no any participating process in the policy formulation. Because of that, the compulsory licensing can be firstly launched at the end of 2006. According to this, many scholars quickly jump to a conclusion that because of the coup, Thailand was easily able to conduct CL in sense that the military-supported government can do no wrong. Similarly, for those who oppose Thailand’s CL, mainly the US-based pharmaceutical corporate, had criticized the Thai government for violating an international law as well as Thailand’s Patent Acts.

However, it is my contention that the above conclusion is too simplistic. If it appears on such conclusion, the question is why CL has not been launched after several previous coups in Thailand. Instead, my primary argument is that although the compulsory licensing in Thailand had been issued shortly during 2006-2008, it is important to trace back to see an emergence and the interacting of social forces in Thailand that have been collaborating in the intellectual property rights policy and drug patent. These social forces are ranging from political parties, bureaucrats, gigantic pharmaceutical agents, civil society groups, patients, academics and media. This is a complex relationship between state, governance, and citizen in formulating the promotion of public health in Thailand.

8Lecturer, Ph.D., Faculty of Political Science and Law, Burapha University, Thailand

287

Electricity Generation Industry and Policy in Thailand

Thanyawat Rattanasak9

Abstract

This article is a part of the research entitled “Electricity Generation and Distribution in Thailand: Policy Making, Policy Actors and Conflict in the Policy Process.” The research used Historical Institutionalism to guide the investigation of Thailand’s electricity development policy and its industry.

The research revealed that Thailand’s electricity generation industry and its policy influenced by socio-economic and political factors, as well as external factors such as conditionalities imposed by foreign government and multinational lending agencies. These factors have constrained the political institutions and political elites who play a key role in setting the rules for structuring the industry and shaping the policy. In 1968, the nationalization of electricity supply industry policy was formulated and created the Electricity Generating Authority of Thailand (EGAT) as a single authority in electricity development policy making and operation. During 1968-1991, the sole electricity development policy was energy security. Following this policy objective, a number of large hydroelectric dams and centralized large-scale thermal power plants were constructed. Since 1992, the liberalization force influenced by multinational lending agencies led to an attempt to privatize the electricity supply industry. This policy led to the re-structuring of the power sector and established a semi-competitive market in electricity generation that private generators could participate in form of independent power producers (IPPs) and small power producers (SPPs). However, the new regime maintained a centralized structure and style in terms of policy-making with EGAT and Energy Policy and Planning Office (EPPO) both playing a significant role, and this left few chances for the civil society organizations to participate in the policy making process.

9 Ph.D., Assistant Professor, Chiangmai University

288

Mixing Logic, Ethics, and Aesthetics in Making Public Policy

Yuli Tirtariandi El Anshori10

Abstract

Public policy is the result of a synergy of compromise, or even a competition between various ideas, theories, ideology, and representing the interests of a country's political system. As a strategy for realizing the objectives of the government in question, then there will be a variety of conflicts of interest in it. Elements of logic, ethics and aesthetics is a blend that is integral to create a government policy that is good and right. A policy that combines the three elements will be a populist policy that reflect the interests not only of the unilateral decision maker who ignored the rights of stakeholders. A public policy should take into consideration ethical standards where there are alignments to the marginal. Then there is the spirit of equality which animates every policy issued by the Government. Various government policies lately are rated not based on public ethics. For example, the approach used in setting up the street traders. Repressive approach was used more often than persuasive approach. This paper analyzes how the government policies that consider the elements of logic, ethics and aesthetics from the stage of formulation, implementation and evaluation, will be more easily acceptable to the general public and other stakeholders. Not only that, the various innovations that the government does will have the full support of the community. For example, how The Major of Surakarta Joko Widodo in West Java made a good approach to the street traders. Final result of this study includes recommendations that can be given is the emergence of a common perception that the policy of the government or a public policy needs to integrate the three elements, namely logic, ethics and aesthetics. Those aspects could not be separated in generating a populist policy and is based on the ethics of the public. The integration of these three elements will make it easy for the government to implement the various policy innovations and breakthroughs.

10 Faculty of Social and Political Science, Open University of Indonesia

289

Policy Trap for Public Organization In Making Popular Public Policy: The Case of Organization “X” In Indonesia

Yuli Tirtariandi El Anshori11

Abstract

Making a popular public policy is a challenge for public organization. Moreover, if the policy is formulated without involving the various elements of society. Nevertheless, a public policy remains a policy which is essentially the result of synergy compromise, or even competition between different ideas, theories, ideologies, and interests that represent a country's political system. In making up the policy implementation phase, there can be a trap implementation of the policy. This trap is created when the government fails to communicate and socialize policy to the recipient of policy (the stakeholders) well. Communication failure can cause failure of policy implementation. A policy is highly dependent on the presence of coordination and communication between policy maker and the recipient of policy. One of the key variables that influence the successful implementation of the policy is the policy target group response and the occurrence of changes in society. A lack of socialization and communication can make a target group of policy has negative responses. Negative response and the absence of changes in public attitudes are two effects that happens as a result of implementation trap of policy.

This paper presents a result of research in the field of urban planning policy ie policy One-Way Traffic (case of organization “X” in Indonesia). Qualitative approach was used in this study. This research found that lack of communication and socialization make the government caught in the trap of policy implementation. The policy caused a lot of rejection or a negative response. Then the impact of changes in public attitudes have not been as expected.

11 Faculty of Social and Political Science, Open University of Indonesia

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Evaluation of Citizen’s Perceptions on Government Transformation Program (GTP) in Malaysia

Mohd Foad Sakdan, Ph.D.,

Ahmad Martadha Mohamed, Ph.D., Abdul Halim Ahmad, Ph.D., and

Mohd Shukri Khalid, Ph.D.12

Abstract

Government Transformation Program (GTP) introduced by the current Prime Minister, Datuk Seri Najib Tun Razak has been in effect for two years. One of the major features of GTP is New Key Results Area (NKRA). This research, then, attempts to study the attitudes and expectations of the citizens towards NKRA. The respondents for this study constituted 848 citizens from four opposition-ruled states. The selection of the states was determined based on political consideration. The data obtained were analyzed using inferential and descriptive statistical analysis. The findings show that only 19 percent of respondents have the knowledge on NKRA. From the seven areas of NKRA, respondents indicate that the area on decreasing the crime rate was most successful. Besides that, respondents also suggested that government pay particular attention concerning foreign immigrants. However, when asked to prioritize the areas on NKRA, respondents had mixed reactions. This finding may shed some lights on the differing attitudes of respondents particularly when respondents are from opposition-ruled states.

12College of Law, Government, and International Studies, Universiti Utara Malaysia

291

Public Policy in Indonesia

292

Does Citizen Involvement in Public Policy Improve Democratic Legitimacy and Accountability?

Soesilo Zauhar13

Abstract

In many policy areas, demands for enhance citizen participation have been met in the last twenty years. Recently, the participatory discourse has entered highly expert-oriented debates over science and technological policy making. In the field of technology assessment in particular, different types of participatory procedures have been developed that aim to include stakeholders, those directly affected and/or the general public at local, national or even supranational level. Numerous procedures have been employed, not just in many European countries, but also elsewhere in the world. Participatory procedures are believed to (a) increase the motivation of those involved; (b) enhance the knowledge and values basis of policy making; (c) initiate a process of social learning; (d) open up opportunities for conflict and resolution and achieving the common good and (e) improve the level of acceptance and legitimacy of political decisions. A more direct relation between citizens and policy maker shall foster democracy and accountability. I argue that these claims are based on reductionism of what “true” democracy is i.e. deliberative democracy, where as empirical research on the impacts of participatory procedures display a more differentiated picture. Participatory procedures are still in an experimental stage; their linkage to the institutions of representative democracy vary from case to case and from country to country – and are, by and large, weak. Consequently, many procedures have, at best, a limited impact on the socio-technological conflict and resolution. I claim that participatory procedures do not per se improve the democratic legitimacy and accountability of policy making. One-third of Head of Local Government (Regent / Mayor / Governor) involves in corruption case, although they were elected with high participation. This clearly proves that there is no positive correlation between participation and accountability. High participation can‘t increase government accountability. In order to do so, their linkage to the political system has to be reconsidered and improved – empirically as well as conceptually.

13 Professor, Public Administration Department, Faculty of Administrative Science, University of Brawijaya.

293

Local Administration and Management in Indonesia

294

Ethical Issues of E-Procurement: Practice and Lesson Learned from Local Level

Mohammad Nuh14

Abstract

The development of electronic government concept has inspired various governmental organizations in numerous countries around the world to make some innovations based on the utilization of information and communication technology in public service delivery. One manifestation of those innovations is the implementation of electronic government in the procurement mechanism by public organizations or often called e-procurement. Procurement process is an activity conducted on every government organization since it is a logical consequence of the organization's needs for goods and services that must be completed in carrying out its main duties and functions. Implementation of e-procurement is aimed to enhance the quality of public services in the areas of goods and services procurement to be more efficient, fast, transparent, and accountable. This paper describes the strategic dimension of the e-procurement implementation on local level regarding to the corruption eradication in the public sector. Ethics issues discussion in the implementation of the procurement of goods and services is important because the process is considered still dealing with collusion, nepotism and corruption so that the outcomes were less qualified. By the new mechanism through the implementation of e-procurement, the improvement of goods and services quality in the public sector is expected. I applied ethical perspective to describe the local government innovation process in procurement services through the concept of e-procurement. The use of local level case study method is expected to clarify the barriers and challenges faced in the e-procurement application and to explain the implications of e-procurement for preventing corruption, nepotism, and collusion on the local level.

14 Ph.D. Candidate, Faculty of Political Science and Law, Burapha University

295

Strategic Planning, Performance Management, and Organizational Analysis

296

Exchange Rate and Nation’s Export Competitiveness: An Empirical Discourse Analysis

Chayongkan Pamornmast15

Kittisak Jermsittiparsert16 Thanaporn Sriyakul17

Abstract

The objective of this study is to empirically analyze the discourse on correlations between exchange rate and nation’s export competitiveness, which is another part that has been continuously and extensively reproduced in the Thai society by the authorities from academia, the public and private sectors. The study analyzes the time-series data of the exchange rate, overall exports, exports of agricultural products, and exports of industrial products by employing advanced statistical analysis, regression, and the Johansen Cointegration Test. Through regression, the research find that exchange rate is negatively related to overall exports, exports of agricultural products and exports of industrial products. On the contrary, Johansen Cointegration Test does not demonstrate any long-term relationship between exchange rate and three variables of export. The claim that the appreciation of domestic currency will negatively affect nation’s export competitiveness, whether in overall, agricultural products or industrial products is not a defect in good faith but another example of the dominance of oriented discourse, which gives way for elites to take advantage as a camouflage in the form of knowledge and truth, while others in the society never suspect nor argue about it.

15Ph.D., Head of the Department of Banking and Finance, Faculty of Business Administration, Mahanakorn University of Technology 16Ph.D. candidate, Academic committee of the Political Science Association of Kasetsart University 17Ph.D. candidate, President of the Political Science Association of Kasetsart University

297

Dimensions of Performance Management

Pojjana pichitpatja18

Abstract

This research aimed to study performance management approach in accordance with organization strategy structural organization design and complex environment. It used documentary research, content analysis and data synthesize method to construct performance management approach in accordance difference context. The result of this study developed 3 criterias consisting of the strategy determination, structural organization design and environmental context and 8 dimensions as following & 1. Measurement approach 2. Goal based approach 3. Cultural based approach 4. Complex adaptive approach 5. Collaborative approach 6. Process approach 7. Interpretive approach 8. Orchestra approach

18Ph.D., Instructor, Public Administration school, Chiangmai University

298

Effectiveness of Security Measurement for Provincial Halls in

Thai Political Riot during March-May, 2010

Apichai Srimuang19

Abstract

Radically and chaotically in the year 2010, it was the political crisis in which was broadly criticized as a civil war, emerging in the democratic and peaceful state as Thailand. It was a dispute between the existing government ,at that time, and a huge irony groups of opponent political party supporters - “the Pue thai” or “Red shirts” . At the end, it was truly recorded as one of the great tragedy event in Thai political history. Starting this turbulence, In the mid of March,2010, after a court verdict to seize some illegal property of the former Thailand Prime Minister ,Thaksin Chinnawat, who was toppled down by coup d’état in the year 2007. Later, there were continuously political crisis from 2007 though 2011 between two separatist groups of people, “Red shirts” and “Yellow shirt”. The enormous groups of “Red shirts” political supporters, mostly in the north and northeast, later turned to be violent rioters, maneuvered their huge forces which aimed to close down Bangkok, in order to oppress the Prime minister Apisith Vetchajiva and his cabinet to have just two alternatives, resigning or dissolving the parliament urgently, although he did nothing wrong. Hopefully, the forthcoming general election would make “Puethai” party gain a landslide victory on voting to form the next government. After a long term political rally for 3 months since March 2010, the government still resisted to go on their functions ; moreover, no sending any signal to consent as the protesters asked for. The situation turned to get more stressed. It was a calamity incident, consecutively, starting with fighting, crackdown, and ending up with bloodsheds. Various protestors were killed and wounded. These incidents caused instigation to all “Redshirt” from the north to the south and the west to the east. A majority of them were planning to strengthen by compiling a large group in Bangkok. In this case, the government tried to suspend them to expand a violent formulation. Therefore, the martial law enforcement was declared in some area of Bangkok and peripheral areas. Apart from this, some movement protesters, heading up to wade Bangkok, were stopped along their way and pushed back to their hometowns. By the way, these measurements could turn their faces to gather locally at their provinces area instead of central region, Bangkok. Totally, thirteen provinces, as strongholds of “Redshirt” turned to be the target areas for political campaign, namely, Chingmai, Chiengrai Nan, Nonthaburi, Ayuthaya, Ubonrathanee, Udornthanee, Mukkdaharn Khonkean, Kalasin, Mahasarakam, Roi-Et, and Srisaket. In the early of May, the situation tended to be more serious.

Actually, during the crisis, the government ordered all provincial administration agencies to tie up their security measurement, strictly alert, surveillance and control all state building and compounds.

At last, On May 19, 2010, after a long time fighting, the situation in Bangkok was ended up with the last war and tragedy, when the government ordered the military to grind up a massive group of protesters at Ratchaprasong intersection. This operation led to a surrendering of “Red shirt” leaders. Consequently, extreme chaotic was occurred, because majority of protestors disagreed with their leaders. The calamity, when they tried to set fire in many areas, in order to burn Bangkok. Meanwhile, the violently situations were occured in four provinces, namely, Ubonrathanee, Udornthanee, Mukkdaharn ,and Khonkean. Everything tended to be out of control when the massive rioter raid and burned down the province hall buildings. Some suspects were arrested and many officials were investigated why to let them do and how security measurements were handled.

19Ph.D., Public Administration Department, Southeast Asia University, Bangkok, Thailand.

299

In fact, there were thirteen provinces that the riot emerged, but results of each province were varying different. Nine provinces could be able to control these situations and maintain peace keeping, their provincial halls building and compound areas could be prevented and protected from attackers. These different consequence are the causes of research questions, as followings

1. Why were four provincial halls buildings burned down but nine ones were protected? 2. What were the extents of state security measurements to prevent violent situation? 3. How did all province administrations implement security measurements during the political

riot? 4. How were these incidents explained in term of the Organization and Management Theory?

300

Strategic planning as engineering tool for the territorial intelligence: Toward a conceptual model for the Local Plans of Development in

Morocco (CMLPD)

Mostafa Bachrane and Jamila El Alami20

Abstract

The inability of the protective national systems social to protect the citizens of

poverty, the precariousness and the exclusion, results of the economic and social crises and the unpredictability of the environmental costs ,it translated in one crisis of legitimacy of the State-nations. What has succeeded in the same way to the reaffirmation of the local identities, to the accentuation of the administrative deconcentration, to the delegation expertises and to the transfer of the public policies of the state toward the territorial collectivities. The territories appear more and more as privileged places for the organization of the development processes and the creation of wealths.

Thus, the role of the territorial collectivities must pass the simple administrative function, to decline in intervention for the cohesion economic and social of the territory. This is how the constraints bound to the multiple changes that affect various components of their environment (legal, economic, social, etc.), the extension of their expertises and assignments to the favor of the decentralization movement, as well as the increasing requirements of their citizens for benefits of better quality services at the same time as a rigorous management of the local public finances imposes to the local decision-makers a scheduling leaning on the strategic gait to conceive their territorial development project.

It is what explains the return in vogue to the strategic planning in the setting of the territorial intelligence. it aims to help the territorial actors to project, to define, to animate and to value the policies and the actions of lasting territorial development. What clearly binds the territorial intelligence to the lasting development to the scale of the territory.

The multiple crises that increase the vulnerability of the populations and territories found the ambition of the territorial intelligence concept to constitute an alternative facing their conjugated effects and repeated on a global scale.

This article aims to present a conceptual model of the intelligent strategic diagnostic in Morocco written down in a gait of territory project. it is in line with a puzzle that remains to articulate the contributions of the perspective, the contractualisation and the evaluatio

20 Ecole Supérieure de Technologie-Salé - Avenue Prince Héritier Sidi Mohammed, Morocco

301

PerformanceAssessment of Public orGanization Analysis Baldrige Criteria Organization Studies in Public Finance, Jakarta

Azhari A Samudra21

Ni Putu Tirka Widanti22

Abstract This research is intended to find facts regarding the causes of failure to increase the

level of internal revenue in the Province of Jakarta Capital City. The causes will be analyzed in terms of performance which is measured in the six dimensions commonly used to measure the performance of an organization, namely the Baldrige Criteria/ MBQNA). The object of research is the Office for Regional Revenue with a population of 841 persons and sample of 124 persons. The research applies a quantitative approach and the data is processed using the SPSS technique.

The research results showed that out of the six dimensions tested there are two dimensions that function as important leverage in determining the success or failure in raising the level of internal revenue, namely ‘strategic planning’ and ‘human resources’.

The recommendation of this research stresses that an organization hoping to formulate good strategic planning should focus its attention on minimizing its potential loss due to various tax objects that are exempt from taxation, whereas in order to develop reliable and skilled human resources the concept of learning and growth should be implicated and for this a well-planned education and training program is required.

21 Professor, Universitas Ngurah Rai, Indonesia 22 Ph.D., Chair for Master of Administrations Science, Universitas Ngurah Rai, Indonesia

302

Factors Affecting Performance and Empowerment Efforts Indonesian Domestic Workers (PRT) in Recipient Countries

Lely Indah Mindarti23

Budi Wiyoto24

Abstract Expansion of globalization, on one side an opportunity to capitalize on international migration of women to do, one of the low-skilled women who make international migration a Domestic Workers (PRT) in the receiving country. By the PRT that migrant women are able to provide good service in the receiving country (where the employers work), required the strengthening of the PRT efforts in the receiving country. This study aimed to discuss the factors that influence the performance of any work PRT and what has been done and should be done in the empowerment of stakeholders PRT in the receiving country. This study was conducted in the Klang Valley, MalaysiaTop of Form. The methodology of this research was conducted by using qualitative. Types of data used in this study, accounted for qualitative data through interviews, with data sources obtained from: (1) key informants other stakeholders, selected sampling Balling snow cover Embassy and NGO offices Care of Migrants, and the respondent employer and PRT. (2) events observed in this study, especially the form-factor of the internal and external factors affecting the performance of the PRT work, and empowerment stakeholder.Method PRT by collecting qualitative data was obtained through in-depth interview techniques and documentary techniques, the techniques ‘Interactive Data Analysis’ (Miles and Huberman 1992) to process / procedures, namely (1) Data reduction is, (2) Presentation of Data, (3) Withdrawal conclusion. The findings showed that the main factors affecting performance were two of PRT (1) internal factors included: (a) socio-economic background PRT poor migrants who cause morality, mental attitude and behavior PRT less support their work performance, (b ) morality PRT migrants work also showed poor results, (c) factors engineering skills (hard skills) and non-technical (soft skills), the findings relative to hard skill is good, but soft skills are still low. (2) external factors included: (a) working conditions in the employer menjukkan finding the cause is not the dominant factor migrant PRT performance quality, and (b) factors in strengthening the role of the Government of Indonesia migrant PRT, the findings indicated the lack of empowerment of disabled PRT migrant in the receiving country (Malaysia).

23 Ph.D. Candidate, National University of Malaysia 24 Ph.D. Candidate, University of Brawijaya, Indonesia

303

Local Administration and Policy Development in Thailand, Malaysia, and Indonesia

304

Network and Learning Process of Authentic Leaders of

Local Government Organization Administrators in Upper Northern Thailand

Suchada Saithi25

Abstract

The objectives of this research are 1) to investigate components of authentic leadership of local government organization administrators 2) to investigate factors of network and learning process on administration related with authentic leadership. Population of the study covered total 823 chief executives of subdistrict administration organizations and subdistrict municipalities in upper northern Thailand. For quantitative research, 270 chief executives responded to the questionnaires. Descriptive statistics were analyzed using factor analysis and correlation analysis. For qualitative research, in-depth interviews were conducted with 10 chief executives of subdistrict administration organizations and subdistrict municipalities who took the high-level position in authentic leadership. The results of the study revealed that components of authentic leadership of local government organization administrators consisted of the 6 followings: Self Awareness, Self Motivation, Relational Transparency, Balanced Processing , Internalized Moral Perspective and Patience in hard work. There was a relationship between authentic leadership and ten factors on network and nine factors of learning process on administration. The qualitative research results showed that the work in aspect of preserving natural resources network plays essential roles to initiate authentic leaders and to create the procedure to learn the perspective transformation

25 School of Administrative Studies, Maejo University, Chiang Mai, Thailand

305

Village in Indonesia: Institution of Society Conducting State Task

Dr. Hanif Nurcholis, Dra. Ace Sriati Rachman, and

Suryarama26

Abstract VillagesinIndonesiaexisted beforethe colonialera. However, their positionin the structureof government inIndonesiais stillambiguous: as a government agency or an institution of society. This study answered the question. This reseach used qualitative approach. Data obtained through observation, interviews, literature studies, and focus group discussion. Data were analyzed by qualitative descriptive. This study found that the village government in Indonesia is not a formal unit because the state only gives the duties and obligations to it without giving its rights as a state institution. Those rights are, 1) public servant rights, 2) the budget rights and 3)capacitybuilding rights. State only reorganizes structure of the villagewithoutfundamentallychanging thestaffingmodel ofthe villagewhich is stillthe traditionalemployment-based pre-colonial relic. State maintains a budget model based on communal land and corvee, herendients in pre colonial, not allocate funds from the state budget and / or regional budget provided for in the Act. State can not do the rational capacity building of the villagedue to hit theinstitutionalmodel ofvillage-based traditional institutions pre-colonial heritage. With the position that case, the Village can not serve as the official agent of government in public services and the development of welfare of the people.

26 Ph.D., Faculty of Socialand Political Sciences, OpenUniversity ofIndonesia

306

Elderly and Disabled People Strategy toward the New Public Service Approach in Nong Tong Pattana Municipality, Hang Dong District,

Chiang Mai Province

Pojjana Pichitpatja27

Abstract This research aimed to study elderly and disabled people strategy of Nong Tong Pattana Municipality toward the New Public Service Approach base on seven core concepts of Denhardt & Denhardt. It used qualitative research and case study method. The result of this study showed that Multi-purpose senior citizen center is the important strategy. The center focus on server citizen not customer, collaborative public interest, creating citizenship value, public accountability and community centric. Network mechanism is the importance method to drive the center successfully.

Healthy Public Policy Development in Local Government Organizations,

27Ph.D., Instructor, Public Administration school, Chiangmai University

307

Chiang Mai Province, Thailand.

Sinth Sarobol28

Abstract

At present, various research shows that the occurrence of non-communicable diseases (NCD) are increasing more negative impact on society than other types of disease. Many NCD are related to risks such as high blood pressure, high cholesterol, and obesity. These factors are closely related to diet and physical activity and are a leading cause of death in most of the world, including Thailand. Healthy Public policy development supporting physical activity is a management tool to solve the issues mentioned above. This research project aimed to develop healthy public policies on physical activity as well as to provide a model for development of healthy public policies by the local community. The project was conducted in two municipalities in Chiang Mai province namely Muang Kaen Pattana and Mae Jo municipalities from July 2010 until March 2012. The participatory action research methodology was employed at all steps of the research process by local community and local government organization officers. The research revealedthat the occurrence of NCD of working and elderly people in both Muang Kaen Pattana and Mae Jo municipalities were high blood pressure, cholesterol, fat, obese and lack of physical activity. The research also found that the process of healthy public policy for physical activities comprised five steps; firstly, Identifythe problem from NCD data to the policy identification. Secondly, advice to representative to municipality council to solve a NCDissues.Thirdly, policy declaration by announced to people in the community. Fourthly, recommend various activities to achieve NCD policy and the last steps was policy evaluation by questionnaires and focus group discuss about the behaviour change of NCD in the community.

28Ph.D., School of Administrative Studies, Mae Jo University, Chiang Mai, Thailand

308

Administrative Reform in Indonesia

309

Bureaucratic Reform In Indonesia: The Study on The Government Efforts to Implement Improvements to theBureaucracy Performance

Alfi Haris Wanto29

Abstract

Indonesia as a country which has the largest area of AsEAN which is equal to 1.99255 million km2 and has a wide range of biodiversity and natural resources, but it is very ironic when looking at the number of poor Indonesia is based on Central Bureau of Statistics Indonesia, in 2011 was 30 million peoples/12, 49. Unemployment in Indonesia this year is still reach 8.1 million / 6.8 percent of the total national workforce. Judging from the quality of human resources in Indonesia is still inferior to tentangga countries as seen from the Human Development Index 0.600 Indonesia is in a position or under such countries as Singapore, Malaysia, Brunei. Judging from Indonesia Competitiveness rating in 2011 ranks 46 of the world, and ranks fourth in the ASEAN after Singapore, Malaysia and Thailand (The Global Competitiveness Report 2011-2012 by World Economic Forum, 2011). Crucial issue in Indonesia, such as poverty, unemployment, low national income has close relationship with the lack of bureaucracy performance. The problem of bureaucracy in Indonesia can be classified in three ways: the first is a question of law enforcement, the second is the question of efficiency and the third is the question of the effectiveness of the service. This paper would like to describe how to achieve bureaucratic reform through clean governance, free of corruption collusion and nepotism, improving the quality of public services, and professional resources of the state apparatus Indonesian government needs to make corrections on legislation, organization, system procedures, and human resources. Based on the finding of the study the efforts to implement improvements to the performance of the bureaucracy requires systematic measures and always in control and evaluation. Required good teamwork and continuous between the various actors including government, communities and businesses in creating a bureaucracy that is clean and has a satisfactory performance.

29 Ph. D Candidate at Faculty of Political Science and Law, Burapha University

310

Management and Policy in Building ASEAN Community

311

DOES BUDGTE REFORM CHANGE GOVENRMENT SPENDING STRUCTURE? LESSON LEARNT FROM ASIAN COUNTRIES

Arwiphawee Srithongrung, DPA Assistant Professor

School of Public Administration University of Nebraska at Omaha 6001 Dodge Street, Suite 113A

Omaha, NE 68154 E-mail [email protected]

Abstract

The purpose of this paper is to explain how reforms, specifically program and

performance-based budget budget, affect a country’s resource allocation pattern. The research questions include 1) whether different reforms influence budget allocation in different dimensions, namely in spending priorities and managerial accountability, 2) whether budget reforms affect a government’s spending differently across spending functions, e.g., public safety, education, and welfare, and 3) if the impacts of the reforms are immediate, permanent, and linear.

Budget theory (Schick, 1966) suggests that budget formats, including line item, performance and program, aim to serve different functions of government budgeting, including fiscal control, management accountability and resource planning, respectively. According to the theory, these functional benefits of the budget formats must be traded-off. When planning is focused, management flexibility should be allowed to ensure that public managers can use their discretion to determine the best ways to spend and manage their limited resources to accomplish the spending targets. When managerial accountability is deemed important, planning may be difficult since spending must be fixed to what was proposed in advance. For this reason, the beneficial outcome of a reform may be either changing a government’s spending priority or decreasing spending in each function depending on reform type, purpose and expected benefits. Furthermore, different budget reforms may affect government spending differently across functions. This argument is based on the line of reasoning advanced by Thompson and Jones (1986) that controllership in the public management and production processes should fit the type of public goods and services produced and delivered, since controllership must be appropriate to allow it to be implemented. For example, when government products or services are heterogeneous compared to other services in the market, which in turn have a limited competition in the market, ex-ante controlling, (e.g., line item budget format) which designates in advance what to spend, when, and how to spend, can possibly be implemented. When the government’s products or services have such characteristics, an ex-post controllership, such as that found within the performance-based budget format, which aims to hold managerial accountability through service outcomes, may be impossible. This may result from the fact that there is no other performance in the market to compare with the terms that define whether the quality of the service is better or worse than those of other producers.

To understand the pattern in which budget reforms affect government spending patterns, a series of approaches will be implemented. To understand which budget formats correspond to the correct budget function, a time-series data of government spending priority in sampled countries including Thailand, Malaysia, The Philippines, and China will be analyzed along with the time point at which the new budget was officially announced through their budget documents in order to detect any structural break in thesecountries’spending

312

patterns. If there is a structural break pattern, the causal relationship between the reformed formats and priority will be tested. To test whether different types of budget reforms affect public spending differently, a time series-cross sectional data of budget spending across service function over a specific period will be regressed against the countries’ socio-economic factors, e.g., per capita income, educational level, economic base, and budget formats. The cross-product term, budget format and budget function will be the main variables in detecting the different influences of the reforms. To understand if the altered public spending significantly influenced by the reforms is transitory, permanent, and linear, different testing specifications that focus on controlling the effects of these time points will be implemented. Reference Schick, A. (1966). The road to PPB: The state of budget reform. In J. M. Shafritz and A. C.Hyde (Eds.), Classics of Public Administration (4th ed.). (pp. 220–274). Thompson, F. & Jones, L. (1986). Controllership in the public sector. Journal of Policy Analysis and Management 5(3), 547-571

313

Management Model of Open University for ASEAN Community

Jutawon Kacha30,

Nipone Sookpreedee31

Abstract

This research entitled “Management Model of Open University for ASEAN Community” has two objectives: 1) to find out the current situation, problems, comments, basic facilities and infrastructure needed for a management of Open University for ASEAN Community 2) to design, Research & development, the management model of Open University for ASEAN Community. The research methodology comprises: 1) to design the ideal management model using 4 universities as best practice as following :- (i) Asian Institute of Technology (AIT), (ii) Sukhothai Thammathirat Open University (STOU), (iii) Open University in Malaysia, and (iv) United Nation University; in studying pros and cons in any relevant issue &, 2) to test the designed management model with 100 targeted samplings taken from 10 ASEAN member states using a questionnaire via e-mail, 3) to analyze those collected questionnaires using a focus group with 5 world-wide experts in Open University, 4) to redesign the effective management model of Open University for ASEAN Community using the best solution obtained from collected data and comments.

30Ph.D. Candidate, Siam University 31Ph.D., Vice-President, Siam University

314

Migration Selection Policy of Healthcare Labour from Southeast Asian

Countries to Japan under Economic Partnership Agreements

Usamard Siampukdee32

Abstract Japan has signed the Economic Partnership Agreements (EPA) regarding the collaboration on movement of natural in persons (MNPs) since 2006 to receive nurses and caregivers from countries in Southeast Asia. It is considered the first time that Japan accepts foreign healthcare workers through the government – government agreement. The implication of the policy reveals the significance of healthcare context as well as the state’s policy towards the care labour mobility in the region reflecting from receiving and sending countries. This paper discusses the implication of labour selectivity applied through the immigration policy of accepting foreign healthcare workers. The debate focuses on the notion of discriminating professionalism from the host countries like Japan towards the labour sending countries such as Indonesia, Philippines, Thailand and Vietnam. The paper explores the discourse of international division of reproductive labour as well as examines politics of policy-oriented towards managing international migration of healthcare labour.

32 Lecturer, School of International Affairs, Faculty of Political Science and Public Administration, Chiang Mai University

315

Executive Committee Members of Public Administration Association of Thailand (PAAT)

1. Professor Dr. Supachai Yavaprabhas President 2. Associate Professor Dr. Chakrapand Wongburanavart Vice President 3. Associate Professor Sida Sornsri Vice President 4. Assistant Professor Dr. Bussabong Chaijaroenwatana Vice President 5. Assistant Professor Dr. Samrit Yossomsak Vice President 6. Associate Professor Dr. Chira Pratheep Vice President 7. Associate Professor Anongthip Eksaengsri Vice President 8. Mr. Anuwat Metheewiboonwut Committee 9. Associate Professor Dr. Supin Kechakupt Committee 10. Assistant Professor Dr. Thanyawat Rattanasak Committee 11. Dr. Theeraphong Bualar Committee 12. Dr. Nopraenue Sajjarak Dhirathiti Committee 13. Ms. Orathai Liangjindathaworn Committee 14. Mr. Natti Jitsawang Committee 15. Mr. Bunharn Chongcharoenprasert Committee 16. Dr. Thawilwadee Bureekul Committee 17. Mr. Narongsak Atcharanuwat Committee 18. Mr. Kajornsak Putanuparb Committee 19. Mr. Wetchayan Hengsuwanit Committee 20. Mr. Umnart Sripoonsuk Committee 21. Associate Professor Manit Sutasakun Committee 22. Assoc. Prof. Dr. Supawatanakorn Wongthanavasu Committee 23. Associate Professor Dr. Kamol Songwattana Committee 24. Mr. Bunjong Chuensuwan Committee 25. Professor Dr. Tin Prachayapruek Committee & Advisor 26. Assistant Professor Dr. Piyakorn Whangmahaporn Committee & Receptionist 27. Associate Professor Dr. Ackadej Chaiperm Committee & Registrar 28. Mrs.Ladavan Bua-aim Committee & Public Relations 29. Ms. Nanthawan Therasoradej Committee & Treasurer 30. Associate Professor Dr. Amporn Tamronglak Committee & Secretary General

316

Sub-Committee Members of Public Administration Association of Thailand (PAAT)

for “The 2012 Thailand International Conference on Public Administration and Public Affairs: Challenges and Prospects in ASEAN and Beyond”

August 30 – 31, 2012 at BITEC Bangkok, Thailand

1. Professor Dr. Supachai Yavaprabhas Chairman 2. Assistant Professor Dr. Samrit Yossomsak Sub-committee 3. Associate Professor Dr. Chira Pratheep Sub-committee 4. Assistant Professor Dr. Piyakorn Whangmahaporn Sub-committee 5. Associate Professor Dr. Ackadej Chaiperm Sub-committee 6. Dr. Theeraphong Bualar Sub-committee 7. Dr. Nopraenue Sajjarak Dhirathiti Sub-committee 8. Mr. Umnart Sripoonsuk Sub-committee 9. Dr. Chakkri Chaipinit Sub-committee 10. Ms. Nanthawan Therasoradej Sub-committee 11. Associate Professor Dr. Amporn Tamronglak Secretary

317

Working Group Members for “The 2012 Thailand International Conference on Public Administration and

Public Affairs: Challenges and Prospects in ASEAN and Beyond” August 30 – 31, 2012 at BITEC

Bangkok, Thailand 1. Professor Dr. Supachai Yavaprabhas Chairman 2. Associate Professor Dr. Amporn Tamronglak Event Director 3. Associate Professor Dr. Ackadej Chaiperm Event Supervisor 4. Assistant Professor Dr. Samrit Yossomsak 5. Associate Professor Sida Sornsri 6. Associate Professor Dr. Chira Pratheep 7. Assistant Professor Dr. Piyakorn Wangmahaporn Stage and Ceremony Coordinator 8. Dr. Theeraphong Bualar Writer & Stage Master of Ceremony 9. Dr. Nopraenue Sajjarak Dhirathiti Stage Script Writer 10. Dr. Chakkri Chaipinit Liaison 11. Mr. Pannavij Tamtai Publications 12. Ms. Piyasu Komaradat Media Producer 13. Associate Professor Kusumal Rajatanun Narrator 14. Ms. Nanthawan Therasoradej Coordinator 15. Mr. Nutchapakorn Nummueng Coordinator 16. The Government Public Relations Department Media and Press Coordinator 17. The Sripatum University Students Opening Ceremony Choir Singers

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Co-Hosts and Sponsors of the Conference

1. College of Local Administration, Khon Kaen University 2. College of Politics and Government, Mahasarakham University 3. Faculty of Management Science, Prince of Songkla University 4. Faculty of Management Science, Silpakorn University 5. Faculty of Political Science and Law, Burapha University 6. Faculty of Political Science and Public Administration Chiang Mai University 7. Faculty of Political Science, Chulalongkorn University 8. Faculty of Political Science, Thammasat University 9. Faculty of Social Sciences and Humanities, Mahidol University 10. School of Management Science, Sukhothai Thammathirat Open University 11. Sripatum University 12. Office of the National Research Council of Thailand 13. The Government Lottery Office

Challenges and Prospects in ASEAN and Beyond - Thaipaat ...

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