jucpa volume 10 number 11 november 2013
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Volume 10, Number 11, November 2013 (Serial Number 97)
Journal of US-China
Public Administration
David Publishing Company
www.davidpublishing.com
PublishingDavid
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Publication Information: Journal of US-China Public Administration is published every month in print (ISSN 1548-6591) and online (ISSN 1935-9691) by David Publishing Company located at 16710 East Johnson Drive, City of Industry, CA 91745, USA. Aims and Scope: Journal of US-China Public Administration, a professional academic journal, commits itself to promoting the academic communication about analysis of developments in the organizational, administrative and policy sciences, covers all sorts of researches on social security, public management, land resource management, educational economy and management, social medicine and health service management, national political and economical affairs, social work, management theory and practice etc. and tries to provide a platform for experts and scholars worldwide to exchange their latest researches and findings. Editorial Board Members: Patrycja Joanna Suwaj (Stanislaw Staszic School of Public Administration, Poland) Maria Bordas (Corvinus University of Budapest, Hungary) Sema Kalaycioglu (Istanbul University, Turkey) Lipi Mukhopadhyay (Indian Institute of Public Administration, India) Ludmila Cobzari (Academy of Economic Studies from Moldova, Republic of Moldova) Andrew Ikeh Emmanuel Ewoh (Kennesaw State University, USA) Paulo Vicente dos Santos Alves (Fundação Dom Cabral—FDC, Brazil) Neelima Deshmukh (Rashtrasant Tukdoji Maharaj Nagpur University, India) Robert Henry Cox (University of Oklahoma, USA) Beatriz Junquera (University of Oviedo, Spain) Massimo Franco (University of Molise, Italy) Manuscripts and correspondence are invited for publication. You can submit your papers via Web Submission, or E-mail to [email protected]. Submission guidelines and Web Submission system are available at http://www.davidpublishing.com Editorial Office: 16710 East Johnson Drive, City of Industry, CA 91745 Tel: 1-323-984-7526; 323-410-1082 Fax: 1-323-984-7374; 323-908-0457 E-mail: [email protected]; [email protected] Copyright©2013 by David Publishing Company and individual contributors. All rights reserved. David Publishing Company holds the exclusive copyright of all the contents of this journal. In accordance with the international convention, no part of this journal may be reproduced or transmitted by any media or publishing organs (including various websites) without the written permission of the copyright holder. Otherwise, any conduct would be considered as the violation of the copyright. The contents of this journal are available for any citation, however, all the citations should be clearly indicated with the title of this journal, serial number and the name of the author. Abstracted / Indexed in: Database of EBSCO, Massachusetts, USA Chinese Database of CEPS, Airiti Inc. & OCLC Chinese Scientific Journals Database, VIP Corporation, Chongqing, P.R.China Ulrich’s Periodicals Directory ProQuest/CSA Social Science Collection, Public Affairs Information Service (PAIS), USA Summon Serials Solutions Subscription Information: Print $520 Online $360 Print and Online $680 (per year) For past issues, please contact: [email protected], [email protected] David Publishing Company 16710 East Johnson Drive, City of Industry, CA 91745 Tel: 1-323-984-7526; 323-410-1082. Fax: 1-323-984-7374; 323-908-0457 E-mail: [email protected]
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Journal of US-China Public Administration
Volume 10, Number 11, November 2013 (Serial Number 97)
Contents
Public Service Delivery Challenges and Reform
A Targeted Approach to the Provision of Ubiquitous Healthcare Services for the Newly Retired 1035
Joseph Alexander Meloche
Climate Conditions, Larvae Free Number, DHF Incidence in Surabaya Indonesia 1043
Ririh Yudhastuti, Prijono Satyabakti, Hari Basuki
Public Policy and Regional Economy
Farmer Associations and Rural Development in Taiwan 1050
Kun-Jung Liao
The Assessment of the Impact of an Aging Population of China on the Country’s Economy 1061
Inna Stecenko
Collaborating Public Organizations
Transformational Leadership and Organizational Outcomes: Evidence From Vietnamese Workers 1070
Ngoc-Hong Dao, In-Soo Han
Bribery Problem in Kuwaiti Public Administration 1083
Yousef Mohammad Al Mutairi, Mohammad Qasem Ahmad Al-Qarioti
New Public Management Issues
Management Control, Performance Factor in Moroccan Universities “Case of the University Hassan I of Settat” 1098
Fatima Ouahraoui, Mohamed Makhroute, Nada Soudi, Said Elmezouari, Laila Loukili Idrissi
Model for Management of Public Funds Transfers in SICONV 1115
Luiz Lustosa Vieira, Ilka Massue Sabino Kawashita
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Journal of US-China Public Administration, ISSN 1548-6591 November 2013, Vol. 10, No. 11, 1035-1042
A Targeted Approach to the Provision of Ubiquitous Healthcare
Services for the Newly Retired
Joseph Alexander Meloche
North Carolina Central University, Durham, US
The purpose of this research is to discuss a targeted approach to health care provisions for the newly retired. This
approach focuses on the application of specific services provided by the development of Web 2.0 technologies and
an identification system that determines the needs of a community of newly retired. The paper examines the
significance of this community and also discusses the steps required for the research. The first phase of the research
which is covered here involves reviewing pervious literature to determine what information has been gathered
about the subject. Once this has been accomplished that the researcher will investigate the defined community to
determine what resources are in place and what additional resources need to be in put in place in order to help the
community to continue to thrive. The final steps include implementing what services were found to be necessary
for the continued growth of the community and a follow-up concerning the success of these services.
Keywords: newly retired, ubiquitous, health care services
Health care provision can best be supported by information services that are designed and selected
specifically for a defined community of users. The application of these targeted services needs to address, the
information needs of a specific and identified, information user population, and service facilities with a defined
area available from the service providers. There also needs to be provision for direct ubiquitous (online)
interaction between the community of user and service providers. The researcher sees this information service
including collections of information directly relevant to the user community, and as a venue for the service
providers to “push” timely information to the user community and to “pull” need related information from the
community of users. This facility should also provide an ubiquitous environment in which for the community to
post questions, and have solutions provided by authoritative professionals. Thus in this way, it will increase the
effectiveness of current information services and service providers, by providing specific and identified sets of
information to a well-defined group of information users. While the internet, the web, and a host of related
services have provided almost universal ubiquitous access to information resources; it is ubiquitous access to
relevant and germane resources that will fit the context of a person’s identified needs and locality that remains a
challenge.
The developments of Web 2.0 and its supporting technologies have offered the hope of including the user
or user group in the model and the proposed project aims to utilize the services of Web 2.0 and its supportive
technologies (such as smart phones, e-readers, tablets, etc.) to provide access to accurate and comprehensive
Corresponding author: Joseph Alexander Meloche, Ph.D., assistant professor, School of Library and Information Sciences,
North Carolina Central University; research field: information studies. E-mail: [email protected].
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APPROACH TO THE PROVISION OF UBIQUITOUS HEALTH CARE SERVICES
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sources of health related information both to newly retired seniors and to health information providers.
However there is still a long way to go to make the relevant timely and germane information available in a
transparent ubiquitous manner that suits in format scope and timely delivery the needs of a specific user or user
group. The members of user groups need to be identified in terms of the context of the use, which from an
Activity Theory (AT) perspective is the activity(s) that they are being undertaken. Research that can capture the
perceptions of need from both the newly retired and the care provision community is required. The work
proposed here applies an AT framework and Q Methodology to identify the perceptions and scope of required
information and to aid in the development of applications and resources that can address the information needs
for the newly retired of the Durham Community.
Newly Retired—Significance
Given the general rise in the elderly population, those aged 65 and older, logically, the need for
information specific to their age group has also increased. However there are a number of barriers preventing
ubiquitous access to comprehensive and accurate information, a fact which is particularly concerning when
considering the seniors’ need have to access reputable sources of health related information. A number of
studies (Wicks, 2004; Given, Ruecker, Simpson, Sadler, & Ruskin, 2007; Eriksson-Backa, 2010) have shown
that seniors tend to seek health related information from interpersonal contacts, including friends, family,
pharmacists, and physicians. However these sources of information may be ill-suited to adequately address all
of an individual senior’s needs. While friends and relatives share information with seniors, as they are not
professionals, they may not provide the most current, appropriate or accurate information.
Conversely, while older persons tend to count physicians among their interpersonal contacts as sources of
information, Junius-Walker et al. (2011) showed that patients and physicians have different ideas of what is
important where patient health is concerned. Additionally, increasing demand and rising healthcare costs have
created situations in which physicians can have as little as 15 minutes per patient, leaving a limited amount of
time to address concerns which they perceive as non-immediate (Belzer, 1999; Brownlee, 2012; Johnson &
Capsso, 2012). As such, it seems that in many cases there is much potential for a patient not to have all of their
information needs addressed via interpersonal contacts.
The presence of multiple health issues, economic factors, and a desire to maintain independence are
factors which may lead seniors to seek health related information online (Eriksson-Backa, 2010; Given et al.,
2007; Macias & McMillan, 2008). Many, however, have difficulties navigating the web due to low internet
literacy skills or web designs which are not created with elder usability in mind, or simply due to the excessive
content and unorganized nature of many sites. Seniors, who may have visual and motor impairments, tend to
require particular features in website designs to facilitate navigation (Ellis & Kurniawan, 2000; Dinet & Vivian,
2009). These considerations are not always taken into account when websites are constructed or which provide,
or appear to provide, health information. The Kaiser Family Foundation (2005) report showed that seniors can
also have difficulty choosing reputable sources of information online and that they can be overwhelmed by the
amount and/or presentation of information available.
Given this set of circumstances, it is clear that a means of acquiring relevant health information digitally,
which is concise and yet as complete as possible, available in multiple languages, and provided in a format or
platform that is designed for senior usability is necessary to address the growing need for senior-specific health
related information in the modern era. According to the National Eye Institute (2006), “Health literacy has been
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APPROACH TO THE PROVISION OF UBIQUITOUS HEALTH CARE SERVICES
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identified as a significant barrier to the receipt of health care services and is increasingly recognized as a
problem that impacts health care quality and costs” (p. D5). Health care provision can best be supported by
information services that are designed specifically for a defined community of users. The application of these
targeted services needs to address the information needs of a specific and identified information user population
available from the service providers and service facilities within a defined area. There is also a need for
provision of direct (online) interaction between the community of users and service providers.
While it is acknowledged that some seniors feel that they have missed the computer age, this may not be
the case for new retirees as more than half of Americans aged 50 to 64 currently use the internet (National Eye
Institute, 2006). Individuals 55 and over have shown some of the largest increase of Web 2.0 technology usage
such as: tablets, smart phones, and e-readers since 2010 (Bonnington, 2011; Nielsen, 2011). The aim of the
research involves the provision of health related information digitally through such devices via an information
service which includes collections of information directly relevant to the user community. This will result in a
“platform” that serves as a venue for the service providers to “push” timely information to the user community.
It should also provide an easy method for the community to post questions, which can be answered by
authoritative professionals or the member community. Thus, in this way, it will increase the effectiveness of
current information services and service providers to a specific and identified set of information users. For the
purposes of this project, the user constitutes recent retirees in need of health related information as well as the
institutions and information service organizations which seek to provide recent retirees with such information.
The clients to be served are the newly retired community (including individuals who may have retired
earlier or later than typical US retirement age of 65) in Durham, North Carolina in addition to the health
information providers (HIPs) which serve them. This selection was made because, as previously stated, recent
retirees are a health disparity population in need of health related information and because retirees are shown to
be embracing new technology contrary to the stereotype of their having an aversion to it. In the current
atmosphere of e-health and m-health capabilities as well as the strain on medical services created by “Baby
Boomer” retirement, there is a need to bridge the gap between these two phenomena. This research is premised
on the need for information to be specific and germane to an identified user community, in this case Durham,
N.C. retirees. While this case is narrow, it is envisioned that this technique could be applied internationally to
any specific and underserved population. The focus in this study will be on needs associated with information
related to health service provision. This would include the provision of information that is deemed important by
both the user community and the service providers. Durham, N.C. is noted as among the top regions in the
country for growth as a retirement community.
This project has the potential to affect a large portion of the Durham community. Not only will the newly
retired be impacted but also family members who may be involved in their care in addition to community and
health centers and organizations which target retirees. According to the 2010 Census, people 65 years old and
over represent roughly 10% of the population of Durham County, equaling about 25,000 people; of those,
approximately 13,000 are within the general retirement age range, ages from 65 to 74 (US Census Bureau,
2012). It should also be noted that this figure may not represent accurately the growing and aging Hispanic
population in Durham, who are said to comprise more than one in ten of Durham County’s population but may
be underrepresented in the census due to the undocumented status of a proportion of that population. North
Carolina remains the ninth most populous state for undocumented immigrants and the state ranks eighth in the
number of illegal immigrants in its labor force (Barrett, 2011). As Spanish-speakers in the county come into
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APPROACH TO THE PROVISION OF UBIQUITOUS HEALTH CARE SERVICES
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retirement age, their health related information needs will also need to be reconciled with their linguistic needs.
This project intends to address this dimension of information need as well. As the focus is on information
services for the “newly retired”, it will have a continuously flowing population of users, who if serviced well by
information services during their initiation into retirement, should experience reduced difficulties into the future.
With each year as people become new retirees in this community, they will be aided and supported by the
refinement of services experienced by their forerunners. Thus, this project will actively seek to improve the
quality of life and life experiences by its ubiquitous provision of targeted information to the newly retired
community.
AT is defined as, “a practice-based theory” that when used in organisation studies, provides a powerful
alternative lens through which to consider the findings (Greig, 2011, p. 306). Greig, Entwistle, and Beech (2012)
addressed complex healthcare problems in diverse settings: insights from activity theory.
The key elements of an AT analysis are subject, tools, object, rules, community, and division of labor. AT
will be utilized in the research process to help with the development and analysis of the various information
resources and access services for the newly retired. The primary component of the analysis is the purposeful
activity of the subject as they seek to obtain their object(ives). The outcome refers to the actuation achievement
and in a successful activity will be closely related to the object being pursued. Importantly AT provides a
comprehensive and relevant set of elements that supports and impacts on the process of achieving the desired
object. These include relevant tools/instruments, the specific subject, in this case is the newly retired, rules or
conditions, that relate to health information service provision, the community which is comprised by Durham
County, and the division of labor relating to various agencies providing health information and health services
to the elderly community. The area that we will focus on is on innovation, accomplished by an introduction of
new “tools”, seen here in the broadest of senses including processes as well as information sets and access
facilities. Importantly this research study will seek to allow the information user (the newly retired) and the
community of information providers to work together regarding the assessment of needs and methods selected
to address those needs. This will be accomplished by the application of Q Methodology to ascertain the
perceptions held with regard to these matters by both the newly retired and the community of service providers.
Thus, the initial analysis of the needs will be done using the model provided by AT. The study looks at the
influences (comprised of the elements discussed above) that are impacting upon the subject’s, activities. AT is a
theoretical framework intended to inform the re-design of human activities based on inquiries into new
concepts and models for human activity. It is a methodology that supports interventions to promote and define
innovative collaborative practices. AT will also be used in the third year to assess the achievements and effects
of the service intervention and to refine and improve service provision. Research through surveys on
pre-knowledge and post-skills with information will also help with the assessment of impact.
Web 2.0 Innovation
This research will support enhanced information service provision with a range of social and collaborative
technologies, commonly referred to as Web 2.0 technologies. Web 2.0 promotes users and their
interconnections through the following affordances: (1) user-defined linkages between users and content (e.g.,
posting on others’ pages); (2) simple mechanisms to share multimedia content (e.g., blogs); (3) prominent
personal profiling (e.g., displaying user preferences on customized profile pages); and (4) inter-technology
applications, enabling interfaces with services and features on other sites (Cormode & Krishnamurthy, 2008).
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The innovation provided will be informed by research into the application of Web 2.0 technologies to
meet the information needs of the newly retired community in the Durham Community. The project will, in
taking this approach, be able to address their health information needs in an accurate and precise manner by
directing them to local services and sources of information and by identifying knowledge gaps that may exist as
well. This is done to address their arising needs in a responsive manner. It is also envisioned that the project
will allow for them to record their informational activities, aiding in the analysis of their evolving needs and
ultimately leading to support for information service providers in the enhancement and development of their
services.
Collaborative technologies themselves are unique in which they arose in the public domain and have only
recently been drafted to support service provision in more formal settings. The informed adoption of these
technologies will not only allow us to bring health information delivery up-to-date; it will also provide the
means to identify and adopt technologies as they arise in a purposeful manner. It is important, to be as effective
as possible, that these developments are informed by research.
To date most information provision for the elderly has occurred in face-to-face delivery. However
collaborative information use through traditional methods (face-to-face, phone, email) has been found to be
more useful than individually seeking information (Spence, Reddy, & Hall, 2005). While the field of
collaborative practices in face-to-face settings still warrant research and improvement, little formal research has
been done in conjunction with online collaboration based on the interactive facilities provided by Web 2.0 and
rated developments. To-date, traditional online environments have impeded collaboration because they lack the
immediacy and feedback of face-to-face contact. More recently however, Web 2.0, which supports interactivity,
diversity, and collaboration, has caused a change in the role of online service provision and made interactive
activities possible. A better understanding of information seeking and service provision in the new environment
will benefit the design of effective information systems to support collaborative activities and service provision
generally. It is expected that the methods developed in this project will be applicable as a model for other
defined groups of users and service providers. It is the intention of the researcher to create an information
provision medium that is comprised exclusively for the community being served in the most transparent and in
the most accessible form possible.
A Way Forward-Approach
To meet the needs of the community this project will begin with a mapping of health information service
providers in the Durham region. It will then conduct an information survey of the providers to discern the range
and extent of the service providers while simultaneously identifying the population of recently retired
individuals in Durham, N.C. Once the community of newly retired individuals is identified, the researcher will
proceed with a study to determine their perceived health information needs. The ultimate aim will be not only
to provide the information that they require, but also to provide it in a mode that addresses their user
requirements. Where possible, the simplest and most at hand solution will be selected, with attention being paid
to providing an up-to-date, ongoing and responsive information service provision in accordance with the
information needs identified in the research study. The study will be comprised of a broad based survey to
identify and inform the user and service community in addition to a smaller Q Methodological Study to identify
the perceived information needs from the perspective of both the user community and their information service
providers. The process will proceed in the following manner:
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(1) The first step will utilize user-based research to identify the user community and all potential
information service providers;
(2) The second step will be to identify the information services that are available in detail for the
community of users. It will also establish how current health information service provisions facilitate
requirements that are germane to the user community, the newly retired;
(3) The third step will be to conduct research using a Q Methodological Study to determine the perceived
information needs of both the user community and the community of healthcare service providers;
(4) The fourth step will be to assemble the information and services in a form(s) that will meet the
identified needs and to evaluate and refine the service provision. The development of the set of information
resources, access services and the like will result from an AT analysis of the needs, based on the information
obtained from the above research;
(5) The fifth step is the implementation of the set of information resources and access services to the
community;
(6) The sixth and final step is an implementation review and revision of the services in final two months.
The service provision will be timely as it will include, but not be limited to, many Web 2.0 services that
are currently available. Also comparatively inexpensive, off-the-shelf devices such as e-readers, tablets, etc.,
will be used to host the information and/or provide access to service providers who host the information or
advice services.
One of the key envisioned strengths of this information service provision is its limited nature. That is, as it
addresses a specific community, bound by age and geographic area, it will allow for the provision of timely,
relevant information that can be delivered in a medium desired and suitable to the user community. The limited
scope will mean that the quality of information provided will be high and relevant and multiple modes of access
can be provided, maintained, refined, and adapted as needs and services change and technological advances
arise.
It is not the intention of this study to develop new information services, although it may well identify gaps
in existing service provision. Its intention is to provide improved, effective access, in a multimodal manner, to a
select set of services and a defined user community. In addition, the goal is to maximize access to relevant
service provision for this specific community. It is envisioned that this model of targeted, adaptive service
provision will gain momentum and will be a model for similar service provision endeavors.
As previously mentioned, it is not the goal of this project to develop new information services. Rather, the
specific aims are:
(1) To facilitate this population’s access to health related information that both they and HIPs deem
relevant, including anything from finding medical supplies and services to obtaining information about
medicines and diagnoses. This will be achieved with the creation of the service itself and the provision of
training and technologies to individual retirees and HIPs;
(2) To discover both what health related information is needed and better methods of disseminating it
based upon the feedback provided by both retirees and HIPs. Through use of the service and the receipt of
feedback through regular interviews and the application of research using Q Methodology within the project, to
gain access to users’ perceptions of what is important and needed regarding health related information
gathering and dissemination in both personal and general senses and from both the point of view of both the
retiree and the HIP;
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(3) To support a network of communication between retirees and providers via Web 2.0 technologies that
can be built upon as new portions of the community become retirees annually. The dissemination of
information will be facilitated by the provision of computing devices, but will not be limited to use of these
devices. Retirees will be able to build upon the information utilized and recommended by other retirees who
have used the service. They will also have the opportunity to recommend the information they utilize to others
among their interpersonal contacts. HIPs will be able to utilize the service to identify customers’ needs and
dissemination requirements regarding health related information.
Each user, whether it is a group or individual, will be provided with or with access to mobile computing
technology for the purposes of this project, will receive initial training and ongoing support from the research
team. Evaluations of information seeking and evaluation skills will be conducted both at the beginning and end
of the study. Q Methodology will also be employed to evaluate perceptions of health information need. Overall
assessment of the project will be conducted utilizing interviews from users, surveys, and use statistics gathered
from the technology.
Conclusions
The developments of Web 2.0 and its supporting technologies offer the hope of access to accurate and
comprehensive sources of health related information for newly retired seniors and to health information
providers. This paper has presented a way forward applying an AT perspective that can capture the perceptions
of need from both the newly retired and the care provision community. The work proposed here applies an AT
framework and Q Methodology, to identify the perceptions and scope of required information and to aid in the
development of applications and resources that will address the information needs for the newly retired of the
Durham and similar communities.
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APPROACH TO THE PROVISION OF UBIQUITOUS HEALTH CARE SERVICES
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Management, 57(2), 89-93. Junius-Walker, U., Stolberg, D., Steinke, P., Theile, G., Hummers-Pradier, E., & Dierks, M. (2011). Health and treatment
priorities of older patients and their general practitioners: A cross-sectional study. Quality in Primary Care, 19(2), 67-76. Macias, W., & McMillan, S. J. (2008). The return of the house call: The role of internet-based interactivity in bringing health
information home to older adults. Health Communication, 23(1), 34-44. NCCU (North Carolina Central University). (2012). Quick facts. Retrieved from http://www.nccu.edu/discover/quickfacts.cfm Nielsen. (2011, August 25). Changing demographics of tablet and eReader owners in the US. Retrieved from
http://blog.nielsen.com/nielsenwire/online_mobile/changing-demographics-of-tablet-and-ereader-owners-in-the-us/ Peña-Purcell, N. (2008). Hispanics’ use of internet health information: An exploratory study. Journal of the Medical Library
Association, 96(2), 101-107. Proctor, E., Luke, D., Calhoun, A., Brownson, R., & McMillen, C. (2012). Sustainability of evidence-based healthcare: Research
agenda and methods. Proceedings from Conference on Advancing the Science of Dissemination and Implementation, March 2012, Washington University in St. Louis. Retrieved from http://conferences.thehillgroup.com/obssr/di2012/resources/ 3E_Proctor_Sustainability%20of%20Evidence-Based%20Healthcare.pdf
Rideout, V. J., Neuman, T., Kitchman, M., & Brodie, M. (2005). E-health and the elderly: How seniors use the internet for health information. Menlo Park, C.A.: Henry J. Kaiser Family Foundation. Retrieved from http://www.kff.org/entmedia/upload/ e-Health-and-the-Elderly-How-Seniors-Use-the-internet-for-Health-Information-Key-Findings-From-a-National-Survey-of-Older-Americans-Survey-Report.pdf
Sarriot, E. G., Winch, P. J., Ryan, L. J., Edison, J., Bowie, J., Swedberg, E., & Welch, R. (2004). Qualitative research to make practical sense of sustainability in primary health care projects implemented by non-governmental organizations. The International Journal of Health Planing and Management, 19(1), 3-22.
Spence, P. R., Reddy, M., & Hall, R. (2005). Proceedings from Group’05: A Survey of Collaborative Information Seeking of Academic Research. Sanibel Island, F.L.
US Census Bureau. (2012). State & county quick facts: Durham County, North Carolina. Retrieved from http://quickfacts.census.gov/qfd/states/37/37063.html
US Department of Health and Human Services, Office of Disease Prevention and Health Promotion. (2010). National Action to Improve Health Literacy. Washington, D.C.: National Eye Institute.
Wicks, D. A. (2004). Older adults and their information seeking. Behavioral and Social Sciences Librarian, 22(2), 1-26. Wikipedia. (2011). North Carolina Central University. Retrieved from http://en.wikipedia.org/wiki/North_Carolina_
Central_University
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Journal of US-China Public Administration, ISSN 1548-6591 November 2013, Vol. 10, No. 11, 1043-1049
Climate Conditions, Larvae Free Number, DHF Incidence in
Surabaya Indonesia
Ririh Yudhastuti, Prijono Satyabakti, Hari Basuki
Airlangga University, Surabaya, Indonesia
Dengue is a serious public health problem in Indonesia, including the city of Surabaya. Dengue is endemic
Surabaya city in Indonesia. Dengue incidence has been attributed to climatic conditions, this study aimed to
determine the relationship of climate conditions (air temperature, relative humidity, rainfall, number of days rain,
and duration of solar radiation), the condition of dengue vectors (larvae-free number), the incidence of DHF
(Dengue Hemorrhagic Fever) in Surabaya in 2010-2012. The results of this study indicate that there is a significant
correlation among air humidity, rainfall, number of rainy days, and duration of solar radiation with the incidence of
DHF. Other climatic conditions such as temperature have no relationship with the incidence of DHF.
Keywords : climate conditions, larvae-free number, Dengue Hemorrhagic Fever (DHF), Surabaya Indonesia
Vector borne diseases such as malaria and Dengue Hemorrhagic Fever (DHF) is necessary because the
transmission of diseases such as these will increase with climate change (Glen & Sia, 2008; World Health
Organization [WHO], 2013). In many tropical countries the disease is a cause of death (WHO, 2013; Amah,
Rina, & Ririn, 2010; Chakravarti & Kumaria, 2005). Dengue continues to spread widely in tropical and
subtropical countries, about 2.5 billion people (two fifths of the world population) are at risk for dengue virus
infection (WHO, 2013). More than 100 tropical and subtropical countries have experienced outbreaks of
dengue, approximately 500,000 cases each year are hospitalized with thousands of fatalities (WHO, 2013;
Chakravarti & Kumaria, 2005). Dengue has become endemic in large cities in tropical countries, including
Indonesia (Surabaya City Health Department, 2012). Since it was first discovered in 1968 in the city of
Surabaya number of dengue incidence continues to rise and spread to all areas of the city (Surabaya City Health
Department, 2012; Brisbois & Ali, 2010).
Some studies show the spread of the disease from a large urban area that acts as a reservoir of virus spread
to many residential areas smaller communities (Chakravarti & Kumaria, 2005). Climatic conditions that affect
the incidence of dengue such as rainfall, temperature, and humidity can influence the condition of dry Aedes
eggs to develop into larvae when exposed to water, the larva to pupa and finally to adult mosquitoes
The authors thank to the Ministry of Education and Culture of the Republic of Indonesia through Airlangga University, with financial support BOPTN 2013 this research can be accomplished.
Corresponding author: Ririh Yudhastuti, School of Public Health, Airlangga University; research field: environmental health. E-mail: [email protected].
Prijono Satyabakti, School of Public Health, Airlangga University; research fields: epidemiology and infectious diseases. E-mail: [email protected].
Hari Basuki, School of Public Health, Airlangga University; research fields: biostatistics and demography. E-mail: haribasuki.nb @gmail.com.
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CLIMATE CONDITIONS, LARVAE FREE NUMBER, DHF INCIDENCE
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(Wongkoon, M. Jaroensutasinee, K. Jaroensutasinee, Preechapon, & Chumkiew, 2006; Halide & Ridd, 2008;
Satoto, Umniyati, Suardipa, & Sintorini, 2013). Rainy days and rainfall caused much so that the chance of
breeding place of mosquitoes breeding will increase, causing the mosquito population increases so will the risk
of dengue transmission (Chakravarti & Kumaria, 2005). The disease is transmitted by Aedes spp mosquitoes
that carry the dengue virus, of the family flaviviridae from. There are four types of dengue viruses that can
cause dengue disease that DEN-1, DEN-2, DEN-3 and DEN-4 (Surabaya City Health Department, 2012;
Chakravarti & Kumaria, 2005). Dengue virus enters the body through the bite of the mosquito vector Aedes
aegypti and Aedes albopictus females.
Surabaya city is a dengue endemic areas in East Java Province, Indonesia has a climate factors mean air
temperature 27.85°C with a mean of 75.75% air humidity (The Meteorology, Climatology, and Geophysics
Agency [BMKG], 2012). Thus, climatic conditions (temperature and humidity) will support the increased
density of the mosquito population and the subsequent impact on the transmission and spread of dengue fever,
changes in ecological and socio-demographic factors play an important role in the improvement and expansion
of endemic dengue disease (WHO, 2013; Chakravarti & Kumaria, 2005; Brisbois & Ali, 2010). The high status
of entomological (vector) DHF as House Index (HI), Container Index (CI), Breteau Index (BI), and Resting
Index (RI), supported by heavy rainfall also can lead to outbreaks (Chakravarti & Kumaria, 2005; Wongkoon
et al., 2006). Status of the other vectors, can be seen through Ovitrap Index (OI) and Pupa Index (PI), also plays
a role in the evaluation of post-dengue vector control (Chakravarti & Kumaria, 2005; Wongkoon et al., 2006;
Satoto et al., 2013). This study was conducted to determine the relationship between the picture and climatic
conditions (air temperature, relative humidity, rainfall, number of days rain, and duration of solar radiation)
with the incidence rate of dengue fever in the city of Surabaya in 2010-2012.
Methods
This study is a quantitative and descriptive study using ecological study design. This study can determine
the relationship between climatic conditions (air temperature, relative humidity, rainfall, number of days rain
and duration of solar radiation), and the incidence (rate of occurrence) of dengue in the city of Surabaya
2010-2012. Research location is in the city of Surabaya, East Java, with 31 sub-districts. The location of the
study site made with due consideration to all districts in the region are endemic. The timing of the data
collection was done during the months of May to October 2013. The population in this study was all recorded
incidence of dengue in Surabaya City Health Department in 2010-2012. Observations were made on the total
population in endemic areas of the city of Surabaya. Secondary data collection form and the incidence of
dengue larvae-free rate are taken from Surabaya city health office in 2010-2012. Data climatic conditions (air
temperature, relative humidity, rainfall number of days rain, and duration of solar radiation) were obtained from
the Center for Meteorology, Climatology and Geophysics (BMKG) Surabaya Perak Station last three years.
The data were analyzed to provide information free larvae number and incidence rate of dengue and climatic
conditions in the city of Surabaya in 2010-2012 collected. Stages of analysis conducted univariate and bivariate
analysis. Univariate analysis is useful to illustrate the distribution of dengue incidence rate fluctuations as well
as an overview of climatic factors (air temperature, relative humidity, rainfall number of days rain, and duration
of solar radiation) in 2010-2012. Bivariate analysis using regression-correlation test, conducted to see the
relationship between the independent variable is the dependent variable climatic conditions, namely free
numbers larvae and incidence of dengue in the city of Surabaya in 2010-2012. To determine the
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CLIMATE CONDITIONS, LARVAE FREE NUMBER, DHF INCIDENCE
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degree/closeness of the relationship and the direction of the relationship between two numerical variables used
correlation analysis. The numerical relationship between two variables can be patterned positive or negative.
Positive relationship occurs when the increase of the variable followed by an increase of other variables. While
the negative relationship occurs when one variable increment followed by a decrease in another variable.
Results
Distribution of Dengue
In 2010, the distribution of the incidence of dengue in the city of Surabaya showed that 50% more
sub-districts have dengue incidence or Incidence Rate (IR) ≥ 100 per 100,000. In 2010, 50% of districts have IR
≥ 100 per 100,000, while in 2011 and 2012, 50% of districts in Surabaya have IR < 50 per 100,000. The mortality
rate or Case Fatality Rate (CFR) due to dengue in Surabaya in 2010 was 0.38%, whereas in 2011 and 2012
respectively 0.69% and 0.64%. Based on national targets CFR Ministry of Health of the Republic of Indonesia
DHF is 1%. Similarly, the larvae-free number in Surabaya in general still does not meet expectations or target of
the Ministry of Health of the Republic of Indonesia, which is 95%. Larvae-Free Number (LFN) mean for the city
of Surabaya for three years ranging from 80.24%-85.76%.
DHF data that are in the city of Surabaya in the period 2010-2012 are available in Table 1.
Table 1
Recapitulation Data Dengue Patients in the City of Surabaya Region
Month Year 2010 Year 2011 Year 2012
Patients deaths Deaths Patients deaths Deaths Patients deaths Deaths
January 128 0 138 0 90 0
February 242 2 132 0 105 2
March 477 4 133 0 173 0
April 490 3 110 4 131 2
May 475 4 126 2 196 2
June 515 0 146 1 118 1
July 360 0 76 0 70 0
August 209 0 46 0 48 0
September 94 0 28 0 45 0
October 119 0 28 0 46 0
November 131 0 22 0 36 0
December 139 0 21 0 33 0
Total 3,379 13 1,008 7 1,091 7
Note. Sources : City Health Office Surabaya (2013).
Climate Conditions
Climate change can affect the macro and micro spreader an infectious diseases, including the mosquito
vector borne diseases. Increased humidity and rainfall is directly proportional to the increase in mosquito density,
while the temperature has the optimum limit for mosquito breeding between 25-27°C. Climatic conditions have a
significant effect on the risk of transmission of vector-borne diseases such as malaria and DHF (WHO, 2013;
Brisbois & Ali, 2010).
Realtionship Between Temperatures and the Incidence of DHF
Climate can influence the pattern of infections caused by either viral disease agents, bacteria or parasites,
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CLIMATE CONDITIONS, LARVAE FREE NUMBER, DHF INCIDENCE
1046
and vector is sensitive to temperature, humidity, and other ambient environmental conditions. In addition, the
WHO also stated that mosquito-borne diseases such as dengue fever associated with warm weather conditions
(WHO, 2013). The mean temperature in Surabaya city from 2010 to 2012: 30.2°C (in October 2011) and 30.2°C
-30.4°C (October to November 2012), while the lowest in July 2012 (Surabaya City Health Department, 2012).
Research carried down the Glenn and Sia (2008), Metro Manila Philippines period 1996-2005 concluded that
there was no significant correlation between the incidence of dengue temperature, as well as the results of the
study Amah et al. (2010) in Serang district, Banten, West Java Indonesia. There is no significant relationship
between the temperature in the incidence of dengue fever. Although the average monthly temperatures range
between 30.2°C, an optimal temperature for breeding Aedes aegypti (21°C-31°C), but although the temperature
in the city of Surabaya is the optimal temperature to increase mosquito populations, but not enough to infect DHF
(WHO, 2013; Surabaya City Health Department, 2012; Halide & Ridd, 2008; Foley, Klein, Kim, Wilkerson, &
Rueda, 2008) .
Relationship Between Humidity and the Incidence of DHF
From the secondary data obtained from BMKG, looks humidity in October 2011 (63.2%) is the lowest
humidity, while the highest humidity in April 2010 (80%) (BMKG Surabaya, 2012). Such moisture conditions
make the ongoing proliferation of mosquitoes. Increased humidity and rainfall is directly proportional to the
increase in the density of mosquitoes. Humidity conditions in Surabaya have averaged above 60%, which are
optimal for breeding mosquitoes, primarily Aedes aegypti. In addition to the effect on the flies fly mosquito,
higher humidity makes the mosquitoes become more active and frequent blood sucking. Often Aedes mosquito,
Aedes aegypti and Aedes albopictus females looking for food by sucking the blood of humans, is used to continue
the process of reproduction. This condition increases the transmission and spread of dengue in the region
(Chakravarti & Kumaria, 2005).
Rainfall and the Incidence of DHF
Rainy days and high rainfall in Surabaya, the number of rainy days at 28 days a month. Events differ in the
dry season, where low rainfall and number of rainy days can reach zero (Surabaya City Health Department, 2012).
Rainfall has a direct influence on the presence of the Aedes aegypti mosquito breeding places. The population of
Aedes aegypti mosquito breeding depends on the place. High rainfall and lasts for a long time can lead to flooding
so as to eliminate the breeding places of Aedes aegypti mosquito that usually live in fresh water. As a result the
number of mosquito breeding will be reduced so that the mosquito population will be reduced (Surabaya City
Health Department, 2012; Wongkoon et al., 2006; Halide & Ridd, 2008). However, if the rainfall is small and for
a long time will increase the breeding places of mosquitoes and mosquito populations increase (Halide & Ridd,
2008). As with other vector based diseases, dengue fever showed a pattern related to rainfall due to climate
mainly affect the spread of vector mosquitoes and the possibility of transmitting the virus from one human to
another human (Halide & Ridd, 2008; Foley et al., 2008). Rainfall is dependent on the number of days of rain, the
highest rainfalls are on December 20 and January 10, 2012 (28 days), while the lowest in August to September
2011 and July to September 2012, which does not occur during the rainy months.
Duration of Solar Radiation With DHF Incidence
The intensity or duration of solar radiation is very influential with the temperature and humidity around it.
Long exposures of the sun, is also associated with season and sunlight affect the growth of mosquito larvae
(Wongkoon et al., 2006). Therefore, the mosquito Aedes aegypti is generally liked the shade, in the city of
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CLIMATE CONDITIONS, LARVAE FREE NUMBER, DHF INCIDENCE
1047
Surabaya, the old high solar irradiation in September and October, this condition causes rainfall and rainy days
decreased (Halide & Ridd, 2008; Satoto et al., 2013). At the same time an increase in temperature and decrease in
relative humidity (Wongkoon et al., 2006; Halide & Ridd, 2008). Even though the air temperature is high in
Surabaya, but the humidity is not much change. This is indicated by the condition of 60% humidity in Surabaya,
allowing Aedes aegypti and Aedes albopictus is able to reproduce well (Satoto et al., 2013). Mosquitoes Aedes
aegypti have a habit of resting in a dark place and protected from the sun, so are in the habit of laying eggs (WHO,
2013; Wongkoon et al., 2006). There is a relationship between the seasons and the sun shines longer, the long dry
season the sun shines longer than during the rainy season. The duration of sunshine makes more rapid growth of
mosquito larvae and the activity of female mosquitoes seek blood for humans (anthropophilic) will increase.
Activities of female mosquitoes in search of food related to sustain reproduction (Wongkoon et al., 2006; Foley et
al., 2008).
Relationship Between Climate and Vector Conditions
In the period 2010-2012, the overall larvae free number in the city of Surabaya is still below the expected
target of 95%. When viewed by region districts only one sub-district in 2011 and two districts in 2012 which have
a Free Flick rate > 95%. The low larvae free number indicates that many mosquito breeding places in the
community (Satoto et al., 2013; Somsak, Yanyong, & Ritting, 2010; Foley et al., 2008). The analysis showed a
significant association with several components larvae free number, climate among air humidity, rainfall, number
of rainy days, and duration of solar radiation, unless the air temperature throughout the year showed that the
optimum value for mosquito breeding. Analysis to determine the relationship of climate larvae free number with
results obtained following analysis (see Table 2).
Table 2 Results of Analysis Larvae Free Number Relationship With Climate Conditions in the City of Surabaya in 2010-2012
Climate Corellation of larvae free number-climate
Air temperature r = 0.370 p = 0.082
Humidity r = -0.687 p = 0.000*
Rainfall r = -0.521 p = 0.011*
Number of days rain r = -0.665 p = 0.001*
Duration of solar radiation r = 0.649 p = 0.001*
Note. * Significant at 0.05.
The results of the above analysis show four variables associated with larvae free number, i.e., humidity,
rainfall, number of rainy days, and duration of radiation. Three variables showed a negative correlation (relative
humidity, rainfall, and number of rainy days) which means that the higher the value of these three variables, the
lower the value of larvae free number. Duration of solar radiation has a positive correlation with the larvae free
number (Somsak et al., 2010; Foley et al., 2008), which means the longer the daily solar radiation, the higher the
value larvae free number.
Analysis of Incidence Rate by the relationship larvae free number district area showed the value of r =
-0.268 and p = 0.010 (p < 0.05). Which mean that there is a negative relationship between Incidence Rate DHF
with the mean larvae free number.
The results of this analysis, showed a lower value larvae free number than Incidence DHF. According to the
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CLIMATE CONDITIONS, LARVAE FREE NUMBER, DHF INCIDENCE
1048
facts (WHO, 2013), to prevent the transmission of dengue depends on measures of mosquito vector control, one
effective way is to eliminate or prevent the breeding places of Aedes aegypti and Aedes albopictus in order to
break the life cycle of the mosquito as a vector. When you should use a water reservoir (container), the container
could be pursued by the unwelcome larvae or mosquito larvae Aedes aegypti and Aedes albopictus as the use of
landfill smooth-walled does not absorb water and light for example ceramics (Chakravarti & Kumaria, 2005).
Measures 3 M (Drain, Close, and Bury): landfill drain action at least once a week to abolish the mosquito
population, closing the landfill to prevent mosquito infestation and used as mosquito breeding and hoarding
landfill that does not want to eliminate mosquito breeding places (Brisbois & Ali, 2010; Foley et al., 2008).
Figure 1. Relationship larvae free number value incidence rate district area with dengue in the city of Surabaya in 2010-2012. Source: City Health Office of Surabaya (the data is processed).
Conclusions
Based on the results and pembahsan research, it can be concluded that climatic factors, such as humidity
than temperature, rainfall, solar radiation and the old city of Surabaya in support of dengue vector mosquito
breeding. Total incidence of DHF showed a declining trend over the last three years. DHF incidence rate
associated with air humidity, rainfall, and number of rainy days. Index larvae (Larvae Free Number, HI, CI, BI,
and OI) indicates that the presence of dengue vectors quite high in the city of Surabaya is recommended for the
Department of Public Health and the City of Surabaya to improve the prevention and eradication of mosquito
breeding places, in order to decide DHF vector mosquito life cycle.
References Amah, M. E. V., Rina, N. F., & Ririn, W. A. (2010, June 1). Climate factors and the incidence rate of dengue in Serang. Makara
Health Series, 14, 31-38. BMKG (The Meteorology, Climatology, and Geophysics Agency). (2012). Monitoring of temperature, humidity, rainfall, and
rainy day in Perak station Surabaya region. Surabaya City. Brisbois, B. W., & Ali, S. H. (2010). Climate change, vector-borne disease and interdisciplinary research: Social science
perspectives on an environment and health controversy. Ecohealth, 7(4), 425-438. Chakravarti, A., & Kumaria, R. (2005). Eco-epidemiological analysis of dengue infection during an outbreak of dengue fever,
India. Virology Journal, 2, 32. Foley, Klein, T. A., Kim, H. C., Wilkerson, R. C., & Rueda, L. M. (2008). The geographic distribution and ecology of Aedes sp
potential in Republic of Korea. Journal of Entomology, 46, 680-692. Glenn, L., & Sia, S. (2008). Correlation of climatic factor and dengue incidence in Metro Manila, Philippines. AMBIO: A Journal
0
100
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300
400
500
600
50 60 70 80 90 100
Inci
dec
e R
ate
(per
100
.000
)
larvae free number (%)
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CLIMATE CONDITIONS, LARVAE FREE NUMBER, DHF INCIDENCE
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of the Human Environment, 37(4), 292-294. Halide, H., & Ridd, P. (2008). A predictive models for dengue hemorrhagic fever epidemics. International Journal of
Environmental Health, 18(4), 253-265. Satoto, T. B. T., Umniyati S. R., Suardipa, A., & Sintorini, M. M. (2013). Effects of temperature, relative humidity, and DEN-2
virus infection transovarially on viability of Aedes aegypti. Community Health, National Public Health Journal, 7(7), 331-336.
Somsak, S., Yanyong, I., & Ritting, J. (2010). Impact of climate change on epidemic DHF. Research Journal of Applied Sciences, 5(4), 260-262.
Surabaya City Health Department. (2012). Annual report on surveilans activities Surabaya. Surabaya City. Wongkoon, S., Jaroensutasinee, M., Jaroensutasinee, K., Preechapon, W., & Chumkiew, S. (2006). Larval occurence and climate
factors affecting DHF incidence in Samui islands, Thailand. International Journal of Biological and Life Sciences, 2(2), 107-112.
World Health Organization (WHO). (2013). Dengue and severe dengue. Media Center, September 2013.
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Journal of US-China Public Administration, ISSN 1548-6591 November 2013, Vol. 10, No. 11, 1050-1060
Farmer Associations and Rural Development in Taiwan
Kun-Jung Liao
National Chung Cheng University, Chiayi, Taiwan
This paper explores a unique Public-Private Partnership (PPP) formed by the government and Taiwanese Farmer
Associations. Particularly, it will investigate a pattern of the PPP that has successfully promoted rural development
and agricultural modernization in Taiwan since the 1950s. TFA’s (Taiwanese Farmer Associations) establishment
inherently came from Japanese Cooperatives before World War II. The Performances of those farmer organizations
are combinations of economic, social, and educational synergies. The rural development experiences in Taiwan
demonstrate that success of rural modernization is carried out by a special PPP. First, this paper discusses the
establishment and development of farmer cooperative organizations in East Asian societies. Particularly, it focuses
on collaborative mold and process in which both the government and TFA have been extensively involved. A
specific cooperative apparatus between the government and TFA functioning and operating as a perfect PPP has
been formed under administrative guidance of the state. Thirdly, this paper looks at input and various supports in
financial and policy perspectives by the public sector. Fourthly, the paper discusses legal framework, administrative
apparatus, and governance pattern for TFA. Fifthly, the significant findings of paper illustrate that a specific PPP
successfully involving in rural modernization in Taiwan is derived from the state’ guidance that properly regulates
a collaboration between the government and TFA. The so-called East Asian model of PPP, as revealing in
agricultural modernization and rural community development in Taiwan, may become valuable experiences for
most of developing countries.
Keywords: public-private partnership, TFA (Taiwanese Farmer Associations), rural development, agricultural
cooperative law, farmer association law
This paper, based on a PPP (Public-Private Partnership) approach, investigates Taiwanese Farmer
Associations1 (hereafter TFA) involving in rural development in Taiwan. There are similar agricultural
cooperative organizations in the East Asian region. The Japanese government introduced the format of German
cooperative society into Japan in the late 19th century. Later, Japan built similar farmer cooperative
organizations in Korea and Taiwan in order to war-time economy. In fact, small-scale farmers in the East Asian
societies generally organize their own cooperative organizations to get a better position in the market economy.
Japan Agricultural Cooperatives (JAs) are a kind of farmer organizations regulated by the Agricultural
Cooperative Law. JAs are involved in various businesses and services, including marketing, extensions, and
Corresponding author: Kun-Jung Liao, professor, Department of Political Science, Research Center for Public Policy and
Management, National Chung Cheng University; research fields: public policy, political economy, Agricultural Cooperatives in East Asia. E-mail: [email protected]. 1 There are some similar farmer organizations in East Asia. Although, there are different English translation, the formation, function, missions of organization are similar each other. Such as, Japanese Agricultural Cooperative Society (JA), Agricultural Cooperatives (NonghHyup in Korean, NH) in South Korea, and Farmer Cooperative Society in China, Taiwan Farmer Associations (TFA) in Taiwan.
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FARMER ASSOCIATIONS AND RURAL DEVELOPMENT IN TAIWAN
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insurance services, etc., under a mutual assistance among members. JAs have been making great contributions
to the agricultural industry and the modernization of rural areas through their cooperative mechanism.
TFA were basically developed from Japanese experiences of cooperative societies prior to World War II.
As the Chinese government moved to Taiwan, it reformed those cooperative organizations for economic, social,
and political control during the post World War II. Nowadays, those farmer organizations play a significant
policy agent implementing the various agricultural policies for the government in Taiwan. This paper based on
PPP approach tries to examine a collaborative pattern between the government and TFA that has successfully
promoted rural development and modernization since the 1950s in Taiwan.
For development policy goal, the government has supported and built TFA to be able to carry out public
programs. Their cooperative model not only reveals significant PPP, but also indicates a remarkable civic
engagement in public policy implementation. This is an interesting case for a third sector2 that involves in
public service delivery.
Agricultural Cooperative Organizations in East Asia
TFA as in Korea and Japan have played a significant role in rural development since 1950s. Such an
institutional arrangement largely improves the agricultural production, quality of life, and welfare in the rural
communities. Many of these services, usually provided by the governments, have been carried out by TFA.
However, Taiwan, Korea, and Japan have similar experiences that agricultural cooperative organizations under
government backing carry out rural development programs.
In Japan, farmer organizations were initially formed by volunteering during the late 20th century. Farmers
took collective actions to strengthen their bargaining power in market economy through organizational power.
Particularly, small farmers gather small amount of products into a large volume to get a bargaining power and
reduce transaction cost in the market. Later, they were forced to transfer into government control. As a
consequence, all farmers were obliged to join the organizations based on different prefectural governments to
support the wartime economy (Nonaka, 2006, p. 1). During the post World War II, almost all farm households
joined the JAs under a regulation of the Agricultural Cooperative Society Act promulgated in 1947. Each
village had one farmer cooperative that provided all agricultural production-related services for farm
households. At this time, the Japanese farmer cooperatives at prefectural and national levels ran many
businesses such as credit, insurance, purchasing, marketing, and extension services. JAs have performed great
functions related to agricultural policies such as governmental loan, control of rice supply and price (Nonaka,
2006, p. 3). JA provides guidance on various agricultural production services, including technologies, banking,
marketing, and farm management, to individual members to help them operate their farms more efficiently.
Agriculture in Korea can be characterized with a small family farm structure. The average farm size was
as small as 1.48 hectares in 2004. Following the promulgation of Agricultural Cooperative Law in 1957,
Korean agricultural cooperative organizations (NonghHyup, NH in Korean), were established in 1958 to
engage in the supply and marketing business of farmers. They consist of 2.4 million member farmers and about
1,220 member cooperatives and one apex federation, the NACF (National Agricultural Cooperatives
2 In this paper, agricultural cooperative societies existing in East Asia societies are defined as a kind of third-sector organizations. According to Samiul Hasan, Mark Lyons, and Jenny Onyx, the Third Sector is composed of that vast array of organizations that are not part of government and not operated to profit their owners. Organizations that make up the third sector are the product of private collective action to provide goods or services for their members or for others (Hasan & Onyx, 2008, p. 2).
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Federation). NHs in Korea were founded as three-tiered system with village-level, city-level, and NACF at the
national level.
Korean NHs as Japan and Taiwan, have experienced several stages of organizational transformation. In the
1960s, Korean NHs introduced mutual credit services that eliminated the practice of usury, notorious private
high interest rate loans in rural areas. These organizations provided farmers with capital for their farm
enterprises. In the 1970s, they started cooperative chain store business which greatly contributed to stabilizing
commodity prices in the country. In the 1980s, they promoted farm mechanization programs as well as crop
and breed improvement that largely upgraded farm productivity and increase farm household income. Those
efforts cooperatives made have successfully promoted agricultural modernization and rural community
development. In the early 2000s, Korean NH played a leading role to implement the New Rural Community
Campaign to revitalize the agricultural industry and rural community. NHs have also launched a campaign of
“Love Our Farming Villages” for making villages more vibrant places to live. NHs have made continuous
institutional reform and innovation to overcome challenges from the liberalization of agricultural sector in
Korea. In fact, farmer cooperatives in Japan, Korea, and Taiwan, with similar governance and close relations
with governments, all play an important part in agricultural modernization and development of rural
community. The distinctive collaborations between the farmer organizations and governments in the rural
development process indicate a significant PPP in East Asia. As the Table 1 shows, there are many differences
and similarities in terms of organization governance and their relations to governments.
Table 1
Similarities and Differences of Agricultural Cooperative Organizations in East Asia Category Japan Korean Taiwan
No. of members 9.03 million 2.4 million 1.8 million
Dual membership Members & associate members Members & associate members Members & associate members
No. of member cooperatives 550 1,220 259 Organization establishment based on territory
Three-tiers: Village-level, prefecture-level, national level
Two-tiers village-level National level: NACF
Three-tiers: Village-level, county-level, province-level
Organization missions
Multi-function and purpose: 1. extension 2. marketing 3. banking 4. insurance
Multi-function and purpose: 1. extension 2. marketing 3. banking 4. insurance
Multi-function and purpose: 1. extension 2. marketing 3. banking 4. insurance
Legal framework Agricultural Cooperative Law, 1947
Agricultural Cooperative Law Farmer Association Law
Government Regulatory agency
Ministry of Agriculture Ministry of Agriculture Commission of Agriculture(cabinet level)
Operation territory On a restricted territory On a restricted territory On a restricted territory
The Nature of Partnership and Newly Applied to Policy Issues
PPP can be defined as an arrangement whereby private parties participate in, or provide support for, the
provision of infrastructure. Conventionally, a PPP project results in a contract for a private entity to deliver
public infrastructure-based services (Grimsey & Lewis, 2004, p. 2). According to Grimsey and Lewis, a
broader framework of PPP encompasses both “policy-level” partnership and “project-level” partnership. The
former coordinates public sector and private sector inputs into decision-making about the design and
formulation of policy initiatives. For example, urban transportation, subway system, or industrial development
zone planning have been practiced in all world of many countries in past decades. No matter how PPP is
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defined, conventional PPP is almost constrained as infrastructure. They are largely applied to economic areas
like highways, bridges, tunnels, and so on (Grimsey & Lewis, 2004, p. 7). Particularly, it is always linked with
Build Operate Transfer, BOT/(Build Own Operate, BOO). Actually, there are many different types of PPPs and
the models applied differ from country to country. The PPP concept is evolving in different issues in which the
arrangements and applications are being implemented. In other words, PPP should go beyond conventional
arrangement and application. It may be formed as an institutional arrangement that combines resources of
public and private sectors and be used to deal with national and social development affairs. This paper tries to
extend and use ideas of PPP in dealing with collaboration between the government and farmer organization in
rural development process.
It seems the fact that Linder (1999, p. 35) defined PPP as a rubric for describing cooperative ventures
between the state and private business. According to Linder, PPP should be more comprehensive and inclusive
for widely applied in various new issues emerging since 2000s. The concept of PPP was usually limited to use
in hardware-related public projects. Nevertheless, PPP should be extended to use in various policy issues,
including agriculture, social welfare, the aged medicare, cultural, and creative industrial policy, etc. For most
developing countries, governments have been the principal provider of infrastructure. Faced with effectiveness
and efficiency in terms of financial input, construction projects implemented by governments have turned to the
private sector. There have been so many successful projects that are implemented by specific PPP process and
mold. However, few academic works discuss a particular type of institutional arrangement involving public
agencies and civic organizations that may be able to co-work development of rural community.
Governance of PPP in Rural Development in Taiwan
Taiwan has faced a small farming problem as Japan and Korea. Its average farm scale was as small as 1.4
hectares per farmer during decades. As one of small farming societies in East Asia, farmers in Taiwan has
organized their first cooperative organization in order to strengthen their bargaining power in market economy
since 1899. Later, these organizations were forced to convert into government agency in early 1930s for
Japanese government’s food control. The post World War II, they came through several stages of
organizational transformation during the past decades. This paper focuses on Taiwanese experiences that
suggest a distinctive PPP between the government and farmer cooperative organizations in the issue of rural
development. It is essentially characterized with institutional infrastructure that corresponds to what
institutional economics calls the institutional environment (Williamson, 1975). This partnership includes formal
and informal institutional arrangement that shape economic behavior of TFA and decision-making process of
the government (North, 1990; Williamson, 1985). It governs bureaucratic behavior, agriculture policies, public
financing, along with formal regulation and informal government-business networks that institutionally
transformed into a supportive forces to promote rural development.
Not all kinds of PPPs have been successful in all of societies. PPP built in the government and TFA
showed a very noteworthy establishment in Taiwan. As Figure 1 shows, the government supports TFA
administratively and politically. General manager election of TFA is legally regulated by Farmer Association
Law and is politically controlled by the government. TFA has four policy-oriented functions, i.e., supply, farm
extension, financing, and insurance that form four major departments to carry out their business and public
programs commissioned by the government. It becomes a multi-function in terms of service provision for
farmer production and marketing. Its major roles can be concluded as follows:
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FARMER ASSOCIATIONS AND RURAL DEVELOPMENT IN TAIWAN
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(1) It acts as a policy agent who helps the government to maintain a proper food policy and implement
agricultural and social welfare programs;
(2) It provides farmers with public goods such as information, technologies, and resources sharing for
production, and helps farmers to achieve agricultural modernization through provision of cultivating knowledge,
collecting marketing, banking, and insurance;
(3) It holds political power and retains political stability in rural areas in Taiwan.
As described previously, TFA, although it carries out some public policies commissioned by the
government, is neither a governmental agency nor a business organization. However, it forms through farmers’
voluntary action regulated by Farmer Associations Law and provides abundant economic, social, and
educational public goods. As Figure 1 shows, TFA’s multi-functions are achieved through four departments,
including transportation and marketing, education extension, banking, and insurance departments. Each
department has its unique missions and goals, but they support each other under service-oriented guidance
regulated by a legal framework and sponsored by the government.
Figure 1. PPP governance of rural development in Taiwan.
Government
Taiwan Farmer Associations
Credit Department
Farm Extension Department
Insurance Department
Supply Department
Rural development
Policy input
Policy output
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FARMER ASSOCIATIONS AND RURAL DEVELOPMENT IN TAIWAN
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Economic Function
In general, the agricultural sector is weak in developing countries. Farmers in Taiwan averagely own small
piece of land for farming. It is difficult to carry out the way of modernized cultivation. Apparently, production
cost for small farms is high, and productivity is low. In this respect, TFA, as a client of the government takes a
complementary part of the public-sector agencies to help farmers improve productivity through their
cooperative apparatus. Since TFA is a civil organization, its cooperative device and governance have penetrated
into local communities and established close and trustful relations with farmers and their families. Under
administrative guidance of government, it provides all kinds of services, such as agricultural technological
services, supply handling and purchasing, selling commodities, rice grounding, which forms well organized
service networks from living to production of farm households.
As Table 2 shows, TFA helps farmers to improve cultivation skills, and teaches farmers how to use
modernized farm tools. It also helps farmers how to properly use pesticides and how to use new kinds of crop
seeds provided by government-sponsored agricultural high-tech laboratory. Those technical assistances and
services have effectively upgraded agricultural production capabilities in rural communities; consequently, it
has raised income distribution of farm villages which is indispensable for rural modernization in Taiwan since
the 1950s. As farmers use more modernized skills, tools, and seeds provided through TFA networks, the
agricultural sector was highly grown. In addition, TFA also plays a role of local banking which provides loans
for farmers. TFA as farmer cooperative organizations, also provide a warehousing business and product
processing services for its small-farm members. Those production-related services substantially lower the cost
of farming production, and upgrade productivity. For example, TFA provides warehousing services for rice,
worth an average of 45 million NT (New Taiwan Dollar) dollars from 1991 to 2002, and 15 million NT dollars
from 1995 to 2002 for frozen warehousing services.
Most significant is the financial services. TFA, with credit department, provides farmers with various
agricultural loans that are crucial for agricultural production. There are three types of loans, including unified
loans, project loans, and agricultural development loans. In short, TFA’s economic functions are operated
through agricultural extension, banking services, transportation and marketing, supply of tools, and insurance.
Those services enhance the agricultural policy implementation of the government and essentially improve
productivity of the agricultural sector in general. FAT has significantly acted as an economic policy agent and
substantially fostered rural development, consequently retaining political stability in rural areas.
Social Function
Except economic-respect services for improvement of agricultural production capability, TFA also provides
social-respect services in order to improve the quality of life in rural areas in Taiwan. Farmers in general are
low-income and less educated classes. TFA under support of government provides various social services, such
as family planning, financial management, recreations, and leadership training through its organizational
network in order to lead them from underdeveloped into modernized society. As Table 2 and Table 4 show, TFA
provides kindergarten and nursery services which make women in rural communities to be able to join farm
production, consequently increases production capacity to a large extent. In addition, TFA also provides farmers
with second-skill training programs averagely up to 1,030 classes and 39,133 students from 1991 to 2002. In
addition, TFA also provides low-income farmer families with scholarships averagely amounting to 90 million
NT dollars and benefiting 32,809 students from 1991 to 2002, which substantially upgrades literacy of poor
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FARMER ASSOCIATIONS AND RURAL DEVELOPMENT IN TAIWAN
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families in rural areas. One of the most valuable services is writing service provision which is greatly helpful for
less-educated farmers. TFA offers average 981,389 case services from 1991 to 2002. Table 4 demonstrates that
TFA provides home economic extension to farmers. Its total expenses, including personnel and operation has up
to 1,026 million NT dollars. Those social welfare services as effective as economic services are valuable for
modernization in rural areas. Essentially, the government should be responsible for provision of those social
services via education, social welfare policies. However, political institutions are not so as responsive as NGOs
(Non-governmental organizations) in terms of service delivery efficiency.
Table 2
Social Services in Rural Areas Unit: Classes, Persons, NT Thousand, Cases
Year Kindergarten Tech-Training services Scholarship Writing services
Classes Children Classes Persons Amounts Persons Cases
1991 1,398 48,186 626 21,555 31,086 22,152 5,788,896
1992 4,277 46,162 939 30,584 39,786 25,492 3,274,978
1993 989 32,947 635 23,048 181,645 26,963 297,838
1994 960 32,318 757 37,778 151,123 28,756 367,402
1995 937 31,641 736 26,263 159,535 34,120 369,059
1996 919 30,647 905 38,750 62,670 35,854 278,956
1997 849 28,038 977 56,215 61,298 38,586 306,844
1998 764 24,364 1,589 49,378 154,993 39,447 223,443
1999 701 21,703 1,448 46,659 67,583 40,352 201,987
2000 592 18,880 1,564 50,570 67,157 40,872 236,403
2001 787 24,352 783 44,391 68,443 35,363 212,586
2002 728 20,471 1,395 44,408 40,416 25,747 228,280
2003 472 13,650 1,239 35,543 32,598 19,466 227,752
2004 453 12,113 1,686 47,830 147,840 33,157 196,446
2005 477 13,933 3,839 79,379 208,636 40,114 181,922
2006 354 8,657 1,349 36,235 270,943 60,424 190,497
2007 485 11,394 1,215 34,763 344,909 63,745 138,085
2008 522 11,044 1,117 30,704 324,376 57,837 135,074
2009 381 7,412 1,485 38,526 373,772 64,398 126,168
Average 852.25 21,895.6 1,214.2 38,628.95 139,440.45 36,642.25 649,130.8
Note. Sources: Taiwan Farmer Associations Yearbook (2010, pp. 7-8).
TFA with social capital has extensive networks incorporated in bureaucracy and significantly plays a
development policy agent. Since TFA has been working together with the government on co-production of
agricultural sector, it has become a policy-patron of the government. Consequently, TFA also plays a crucial
political stabilizer in rural areas. Ruling party and political elite could effectively control rural sector and
implemented modernization projects through TFA networks. Stabilization is important for modernization
process in most developing countries. Lack of political stability will substantially harm development efforts
promoted by governments. Political relations between TFA and the government in Taiwan work as
patron-client relations which the government protects the organizational interests and members of TFA
politically support public policies and ruling legitimacy of KuoMingTang (KMT, Nationalist Party). It reveals
political partnership which is considerably beneficial to rural development in Taiwan. Political stability in rural
communities reinforce by TFA’s economic and social service supply; consequently, it leads to effectiveness of
development policy carried out by the government.
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Educational Function
Table 2 shows that TFA provides various social education services, including kindergarten, tech-training,
scholarship, and writing services. Those education programs containing knowledge of food, clothing, housing,
transportation, health and sanitation, and recreation are generally insufficient in rural communities. Its total
operational expenses are 649,130 thousand NT dollars from 1991 to 2009. As growth of industrialization in
Taiwan, a large number of labors move to urban areas. Consequently, human resources in rural areas become
aged. As the social-economic environment has dramatically changed from traditional farming to commerce and
industry, farmers must have sufficient knowledge of modern business management to low cost and increase
productivity. Table 3 indicates that TFA also provides farm extension education services for farmers
themselves. TFA, under support by the government, plays a role to help farmers upgrade their production and
management skills. Most significantly, TFA teaches those aged and less education farmers to run farms with
modern business management skill for improving production value. Its total operational expenses are 601,691
thousand NT dollars from 1991 to 2009.
Table 3 Farm Extension Services Unit: Classes, Persons, NT Thousand, Cases
Year Villages involved Production & marketing classes
Demo houses Operational expenses Classes Students
1991 6,303 25,645 428,458 12,061 679,648 1992 6,300 23,620 467,753 834,837 739,085 1993 4,878 14,974 267,921 9,760 756,519 1994 4,876 13,597 263,821 23,965 834,886 1995 6,047 16,130 291,414 11,234 939,542 1996 12,346 19,817 373,865 19,344 1,022,951 1997 12,733 22,453 424,882 20,955 1,173,313 1998 6,869 15,275 301,757 30,920 906,403 1999 6,586 14,487 296,092 18,264 834,350 2000 6,373 9,855 202,023 16,693 735,302 2001 7,057 23,047 435,720 22,860 599,705 2002 5,439 7,063 154,359 7,223 378,230 2003 6,909 7,902 163,056 5,825 368,217 2004 7,474 8,570 170,982 7,172 361,603 2005 6,694 7,961 166,166 5,549 297,431 2006 6,922 8,739 177,313 4,953 339,405 2007 7,038 8,459 179,053 5,632 349,057 2008 6,721 8,027 172,472 5,713 365,832 2009 6,693 7,487 161,774 5,325 352,360
Average 6,712.9 13,155.4 254,944.05 53,414.25 601,691.95
Note. Sources: Taiwan Farmers’ Associations Yearbook (2010, pp. 9-10).
As Table 4 shows, 4-H extension3 services are provided for training young groups in order to promote
3 4-H-Club in the United States is a youth organization administered by the National Institute of Food and Agriculture of the United States Department of Agriculture (USDA), with the mission of “engaging youth to reach their fullest potential while advancing the field of youth development”. The name represents four personal development areas of focus for the organization: head, heart, hands, and health. The organization has over 6.5 million members in the United States, from ages five to nineteen, in approximately 90,000 clubs. Clubs and related organizations now exist in many other countries as well; the organization and administration varies from country to country. TFA in Taiwan learned 4-H-Club from American rural development advisor, Dr. Anderson, and developed in Taiwan since the mid-1950s.
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modernization of human resources in rural communities. Its total operational expenses averagely amount to
138,643 thousand NT dollars from 1991 to 2009. In addition, home economics are valuable for rural
development. Table 5 reveals that TFA provides total operational expenses in home economic extension
services averagely amounting to 134,404 thousand NT dollars from 1991 to 2009. All programs and services
carried out by TFA are financially supported by the Agricultural Council, a cabinet-level agency of Taiwan.
The successful outcomes of rural modernization in Taiwan come from an effective public-private partnership
between the government and TFA.
Table 4
4-H Extension Unit: Classes, Persons, NT Thousand, Cases
Year Villages involved 4-H-Club Volunteer
trainers Operational expenses Teams Members
1991 206,122 7,761 136,708 7,505 108,403
1992 2,283 7,383 125,060 7,644 113,495
1993 4,321 4,594 79,926 4,928 118,813
1994 4,754 4,370 84,488 5,076 128,330
1995 5,181 6,170 108,529 7,634 142,255
1996 5,181 10,789 178,872 11,537 148,604
1997 5,562 11,086 179,691 11,236 582,306
1998 5,652 5,676 110,515 7,090 758,081
1999 5,735 5,283 97,604 7,887 112,784
2000 5,733 4,437 92,127 8,159 109,180
2001 6,533 8,578 173,413 11,886 77,182
2002 4,466 3,124 66,642 4,450 54,235
2003 5,956 3,479 76,070 5,122 46,034
2004 6,383 3,436 78,935 5,421 41,248
2005 5,390 3,232 77,854 5,195 36,530
2006 5,504 3,153 84,101 6,153 44,077
2007 5,891 3,455 85,011 6,112 49,384
2008 5,495 2,997 81,700 6,344 50,823
2009 5,543 2,795 73,229 9,240 51,106
Average 15,084.25 5,089.9 99,523.75 6,930.95 138,643.5
Note. Sources: Taiwan Farmers’ Associations Yearbook (2010, pp. 9-10).
Table 5
Home Economics Extension Unit: Classes, Persons, NT Thousand, Cases
Year Villages involved Training
Volunteer trainer Operational expensesClasses Members
1991 5,653 12,199 206,025 11,702 132,584
1992 6,041 482,829 205,619 11,685 164,990
1993 4,648 7,291 135,479 7,171 168,486
1994 4,796 6,976 135,532 7,593 189,921
1995 5,812 10,629 196,326 11,937 209,904
1996 5,516 18,045 333,427 19,645 228,597
1997 6,853 155,821 236,064 22,546 215,505
1998 6,812 10,162 217,927 11,669 215,745
1999 6,942 9,113 205,938 9,699 163,993
2000 6,869 8,439 192,815 10,104 181,859
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(Table 5 continued)
Year Villages involved Training
Volunteer trainer Operational expensesClasses Classes
2001 6,784 15,607 350,150 21,406 127,647
2002 5,700 6,205 146,363 7,280 102,139
2003 6,668 7,225 175,756 15,234 83,793
2004 7,036 7,619 186,357 8,457 87,760
2005 6,379 7,237 177,978 8,586 64,528
2006 6,741 7,638 191,387 9,502 75,964
2007 6,876 7,729 189,343 10,052 92,854
2008 6,505 7,391 188,953 8,888 91,503
2009 6,657 7,122 180,110 9,122 90,319
Average 5,964.4 39,763.85 192,577.45 1,111.4 134,404.55
Note. Sources: Taiwan Farmers’ Associations Yearbook (2010, p. 10).
Conclusions
Rural development is really a complicated process. Development literature points out that
underdevelopment in less developed countries results from a “governance crisis” characterized with
bureaucratic obstruction, pervasive rent seeking, red tape, and corrupted politics in public institutions; as a
result, it leads to the failure of public programs in general. Modernization theorists emphasize the importance of
rational institutional arrangement and physical and human capital, including technical and financial elements
which determine success of social modernization. This paper argues that inefficient governance or incapable
public institutions are fundamentally caused by a lack of involvement of the third sector. Development action if
carried out simply by the government which controls over capital and technology may be failed as most
developing countries have experienced in the past decades. This paper proposes that rural development and
modernization of society should comprise public and private sectors all together as Taiwan, Korean, and
Japanese experiences suggest. These two sectors may work as PPP governance that bonds public sources and
organizational cooperative mechanism. In these circumstances, Taiwanese case indicates that successful PPP
plays a role as a mediating variable that bridges public and private institutions and fosters development synergy.
TFA being a policy agent plays a supplementary part in giving an impetus to rural development in this island
state. This shaping is an inherently political process that the state takes a leading role; nevertheless, the
outcome is a combination of economic, social, and educational synergies.
TFA’s participation in rural development efforts not only strengthens their advocacy role but also
represents farmers’ policy participations in rural community development. Obviously, the Third Sector is
becoming increasingly important in meeting social needs and in multiplying resources such as solidarity,
trustworthiness, and cooperativeness which are intangible policy effectiveness. Partnership characterized with
associative networks based on a unique partnership becomes mediating structures between civil society and the
state.
Rural development process in Taiwan since reveals that civil society enhances societies’ development by
developing synergistic relationships with the public sector. The synergy has two components: complementary,
referring to an extension to the capacity of government to achieve policy objectives, and partnership, referring
to the successful cooperation between the government and farmer groups that enhance the effectiveness of
development policies. The Third Sector substantially fills the social space left by the government, in terms of
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provision of social capital and cooperative function. Investigation of rural modernization experiences in Taiwan
may provide a theoretical contribution to linking between the practice of PPP and rural development. Through a
thorough examination of the Taiwanese experiences, this paper proposes that an effective PPP has to be
operated and practiced through a proper institutional arrangement. Particularly, effective institutional
arrangement of PPP has to be supported by the government.
In East Asia, rural modernization has been successfully achieved through an appropriate PPP that
regulates their interplays between the government and farmer organizations. Close cooperation between the
governments and farmer cooperative organizations is crucial for their success. For small farmers particularly, it
is crucial to get competitive advantage to make business successful in the marketplace (Choi, 2006, p. 15). It is
a rationale for the government to deliver public services to grass root farmer households through farmer
cooperative organizations with low transaction cost. Obviously, Korea, Japan, and Taiwan have analogous
organizational governance, similar public-private cooperative practices, and outcome alike. So-called East
Asian model of PPP in agricultural modernization and rural community development may become valuable
experience for most of developing countries.
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Chambers, R. (1983). Rural development: Putting the last first. London: Longman. Choi, J. H. (2006). Agricultural cooperatives in Korea. Proceedings from 2006 FFTC-NACF International Seminar on
Agricultural Cooperatives in Asia: Innovations and Opportunities in the 21st Century, September 11-15, 2006, Seoul, Korea. Grimsey, D., & Lewis, M. K. (2007). Public private partnership. Cheltenham, UK: Edward Elgar. Hasan, S., & Onyx, J. (Eds.). (2008). Comparative third sector governance in Asia: Structure, process, and political economy.
New York: Springer. Linder, S. H. (1999). Coming to terms with the public-private partnershi. American Behavioral Scientist, 43(1), 35-51. Nonaka, A. (2006). The agricultural structure and agricultural co-ops in Japan. Proceedings from 2006 FFTC-NACF International
Seminar on Agricultural Cooperatives in Asia: Innovations and Opportunities in the 21st Century, September 11-15, 2006, Seoul, Korea.
North, D. (1990). Institutions, institutional change and economic performance. New York: Cambridge University Press. Rapley, J. (1996). Understanding development: Theory and practice in the third world. Boulde, C.O.: Lynne Rienner Publisers. Rashid, A. R. H., & Afandi, A. (1995). NGOs and development in Egypt: How much do we know, and where do we go from here?
In C. F. Bonser (Ed.), Proceedings: The Role of NGOs in Economic Development “State-of-the- Art” International Research Conference (pp. 23-28). International Institute of Administrative Sciences.
Regulska, J. (1999). NGOs and their vulnerabilities during the time of transition: The case of Poland. Voluntas, 10(1), 61-71. Taiwan Provincial Farmers Association. (2010). Farmers associations yearbook in Taiwan. Williamson, O. E. (1975). Market and Hierarchies. New York: Free Press.
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Journal of US-China Public Administration, ISSN 1548-6591 November 2013, Vol. 10, No. 11, 1061-1069
The Assessment of the Impact of an Aging Population of China
on the Country’s Economy
Inna Stecenko
Science of Baltic International Academy, Riga, Latvia
Latvian Academy of Sciences, Riga, Latvia
In the article, the author on the basis of the analysis of the structure of the population of the People’s Republic of
China (PRC) is making an attempt to identify the influence of increasing number of people over 65 years on the
economic situation in the state. The introduction of reform of pension system of China is related to the additional
expenses of the state. Basing on the method of pair correlation, the author shows that with increase of percentage of
the aging population of PRC, the foreign exchange reserves of the state are increased; it is evident that the state
forms the financial reserves for the pension fund of the country.
Keywords: PRC, pension system, social policy, correlation coefficient
At the end of 20th century, the social protection of the population has become the major attribute of the
social policy of any civilized state. The goal of majority of the social protection systems is in the maintaining
the stability of income of people, providing an equal access to the medical assistance and in the provision of
necessary social services. In the economically developed states the social protection is an essential part of the
national economy, the cost of which for many West-European states makes more than a quarter of gross
domestic product. The most developed systems of social protection have the countries of the European Union
(EU).
Thanks to the social protection systems the modern European economies have gotten the name
socially-oriented.
As the experience of the Western-European countries shows, the existence of the thought out social
protection system, covering all the citizens, not only leads to an improvement of their welfare, expends, and
strengthens the country’s labor force, but also contributes to the economic growth and stabilization of the
political and social situation in the country. Thus, the social protection has a positive impact on the society,
promoting the social harmony and provision of the common sense of the social support among its members.
The determining influence on the systems of the social protection in the EU countries have the modern
demographic trends (birth-rate failing is the below the natural reproduction of the population and its aging),
strengthening of the European integration and economic globalization.
Corresponding author: Inna Stecenko, Ph.D. in economics, professor, head of the doctoral program “Regional Economy and Economic Policy”, Vice-Rector of Science of Baltic International Academy, expert of the Latvian Academy of Sciences in the field of Economics; research fields: the international economics, the investment attraction, the regional development. E-mail: [email protected].
D DAVID PUBLISHING
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AN AGING POPULATION OF CHINA ON THE COUNTRY’S ECONOMY
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Theory
The researches of the issues of the social protection systems as one of the complex systems of the
developed market economy, occupy an important place in the works of numerous scholars and practitioners in
the economically developed countries, in the activity of the International Labor Organization, EU, International
financial organizations such as the International Bank for Reconstruction and Development, International
Monetary Fund. The International Organization of social protection exclusively has a deal with the issues of
social protection. The most careful attention to the issues of social protection accounts for the 1970s and early
1980s, when the issues of the social policy and social protection were considered as one of the most important
elements of the theory of the social state. It was associated with the significant increase of the social expenses
in the general structure of GDP (Gross Domestic Product) of many European countries; therefore, many experts
believe this index as a main in the development of theory of the “social state”. It promotes the development of
the social protection system. Despite the fact that the national systems of the social protection in market
economy countries are still far from the perfection, their development not least determined by the sufficiently
high level of professionalism of experts, who are engaged in the formation of policy in the given field. The
general-theoretical bases of formation and development of the social state and system of the social protection of
the population are laid in the works of classics of the economic mind (Smith, 1759/1982; Keynes, 1956; Hayek,
2012; M. Friedman & R. Friedman, 1990). In particular, the problem of the state control over the social system
protection is reflected in the works of supporters of neoclassical views of Marshall (1920) and Pigou
(1949/1989).
The model of social maneuvering of the incomes of population and active intervention of the state in the
issues of regulation of the social protection are disclosed in the researches of Keynes (1956). The particular
provisions of welfare economics are represented by the theory of economic optimality of Pareto (2008). The
ration of the social fairness with the categories of equality and freedom were researched by Rawls (1993), M.
Friedman and R. Friedman (1990). The issues of formation and development of the “social market economy”,
the basis of existing of which was the provision that the government should balance the requirements of the
economic freedom of effectiveness and growth, on the one hand, need for the social fairness in the distribution
of incomes, on the other hand.
The issues of the social protection have gotten quite serious development also in the works of such famous
economists as: Beveridzh (1944), Andersen and Regini (2000), Stiglitz, Fitoussi, and Sen (2010), and others.
To the issues of the social protection of the population is devoted many works of the European and
American scientists. The formation of the financial resources for the provision of pension fund of China is
poorly studied topic. The importance of study of the given experience is represented by the following
circumstances. Realizing that the volume of trade of China with the EU countries and USA is significant
within the frameworks of volume of world trade, it is necessary to predict the future development of
economy of PRC in the implementation of the social policy. Whether the implementation of the pension plan
will have an influence on the stable growth of GDP, the ration of the yuan to the dollar, the yuan to the euro
or not?
The economically developed countries of the EU have gained an extensive experience of how to organize
and improve the social protection, taking into the consideration that any increase in the social security, pension
payments has a significant influence on the budget of the state as a whole.
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AN AGING POPULATION OF CHINA ON THE COUNTRY’S ECONOMY
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The Goal
In this study, the author suggests to evaluate the impact of aging population of China on the stability of the
economic development of the state that is predetermined the choice of the topic of this study.
Methods
The following methods were used in the research: the method of scientific abstraction, deduction, system
analysis, correlation analysis, and mathematical prediction.
Key Findings
The attention of many researchers—economists is fixed on the economy of China, as the fast–growing
market of Celestial Empire affects more profoundly on Eurasian continent and on the world economy as a
whole. According to the research of the Organization for Economic Cooperation and Development (OECD) by
2016 the China will give way to the U.S., namely, to the leadership of the world’s largest economy and on the
expert’s forecasts the GDP of China and India is most likely will exceed the GDP of “Group of 7” by 2025.
The income level per capita by 2060 in China will increase by seven times; the forecasts of OECD are
based on the indicators of purchasing-power parities for 2005. At that, OECD warns that none of these
forecasts are final1.
Although, the announced 7.7% of growth of GDP in 2012 is the lowest for China since 1999 (then the
country’s economy grew by 7.6%) what is not surprising as the world crisis leaves mark and yet this indicator
exceeds the planned 7.5% by the Chinese government—the moderate numbers which the economy of China
will be easily to achieve. For the 2013 the planned economic growth of People’s Republic of China (PRC) is
reduced the OECD from 7.8% to 7.4 %.2
The reason for that is not only the world economic crisis, but also internal, social and economic issues of
the state. The author would like to focus on one of them—it is the increase of number of people of retirement
age which lies in the plane of formation of social policy of China.
The Constitution of PRC and documents of PRC use the largest social and cultural commonalities as the
most important for the Chinese society and to manage them are used such usual concepts for socialistic
“constitutionalism” as: classes, workers, peasants, intellectuals, nations. In the introduction to the constitution it
is written that “in the socialist construction it is necessary to relay on workers, peasants and intellectuals”,
however, in the pension reform of China get only workers and intellectuals—the peasants of Celestial Empire
are not yet included in the pension reform.
The economic reform of China stimulated the awareness of the specificity of interests of various classes
and groups. However, the carried out researches of sociologists suggest that the representatives of various
classes of population are increasingly identify themselves not with any class (and consequently do not support
its political and social attitudes and programs) and with the other sociocultural commonalities (according to the
nationality, education, age, and etc.): the young people are more clearly aware of their specific interests, ethnic,
and confessional commonalities, personnel specialists, employees of government machine are formed, the
lecturers are increasingly write about the transformation of intellectuals into the most progressive social force.
1 http://www.oecd-ilibrary.org/development/development-co-operation-report-2011_dcr-2011-en. 2 http://www.stats.gov.cn/english/statisticaldata/.
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AN AGING POPULATION OF CHINA ON THE COUNTRY’S ECONOMY
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The article 44 and 45 of the Constitution of China3 are formulated the tasks of the state and sometimes the
society in the field of social security as well. Thus, the state in accordance with the law establishes the
procedure of retirement of workers and employees (only), with the assumption that the “state and society
provide for retirees”. At the state allots a task to develop a social insurance, social welfare, medical, and health
services, the state and society should provide for disabled persons from the military personnel, to provide the
financial assistance to the families of the fallen heroes, grant discounts to the service families, to assist to the
blind, deaf, dumb, and the other citizens with the disabilities in employment, getting living allowance, getting
education.
There are problems in the country and they are inevitable. The reform of pension system of China makes it
aim by 2025 to cover all the working Chinese by the pension system.
Another problem, lying in the plane of social policy is the agrarian overpopulation of the country.
The government intensely pursuing a course of urbanization and by 2020 in rural localities will remain
close to 500 million of people (about 30% of the population of the country) and the rest will live in the cities4.
It should be noted that in 2009 the number of persons participated in basic pension insurance in urban
areas at year-end amounted to 218.91 million, a rise of 17.54 million persons year-on-year. Of the total, number
of employees and retirees stood at 165.87 and 53.04 million, which rose 14.04 and 3.50 million persons
respectively, year-on-year. The number of migrant workers participated in basic pension insurance hit 24.16
million, expanding 5.70 million persons year-on-year. The number of enterprises participated in basic pension
insurance grew to 199.51 million persons, rose by 17.16 million persons year-on-year (see Table 1).
Table 1
The Analysis of the Socioeconomic Indices of China From 2008 to 2012
Category 2008 2009 2010 2011 2012
GDP growth rate 9.6 9.2 10.4 9.3 7.7
Government budget - - - -1.1 -1.5
Public revenue (million yuan) 61,330 68,518 83,102 103,874 117,210
Foreign exchange reserves (billion US) 19,460 23,992 28,473 31,811 33,116
Population (million) - 133,474 134,100 134,735 135,404
Urban (million) - 62,186 66,557.5 69,079 71,182
Rural (million) - 71,288 50.32 65,656 64,222
Population ages 0-14 (% of total) - 18.5 16.60 16.5 16.5
Population ages 15-64 (% of total) - 73.5 74.53 74.4 74.1
Population ages 65 and above (% of total) - 8.5 8.86 9.1 9.4
Note. Sources: http://www.wto.org/english/res_e/booksp_e/anrep_e/anrep11_e.pdf.
The treatment on basic pensions for enterprise retirees improved, and all in full payment on schedule. The
number of retirees brought into the community management arrived at 34.61 million, account for 73.2%, a
year-on-year rise of 2%.
The revenue of basic pension insurance fund topped 974.0 billion yuan, up by 24.3%. Of which, revenue
collection totaled 801.6 billion yuan, grew 23.4% year-on-year. Financial subsidies at all levels of basic
pension insurance fund stood at 143.7 billion yuan. The total expenses of fund topped 739.0 billion yuan, up by
3 http://chinalawinfo.ru/constitutional_law/constitution. 4 http://chinalawinfo.ru/economic_law.
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AN AGING POPULATION OF CHINA ON THE COUNTRY’S ECONOMY
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23.9% year-on-year. The accumulated basic pension insurance fund at year-end accounted for 993.1 billion
yuan5 .
The analysis of independence number of working population in China at the level of growth of GDP of the
country has been carried out, using the method of pair correlation.
The aim of the correlation analysis is to identify the degree of dependency that exists between factor-based
and resulting attributes. As is known, the size of the linear relationship between two attributes characterize the
linear correlation coefficient, which is denoted by r . The size of the correlation coefficient can be calculated
by the following formula (Pearson correlation coefficient).
2
11
2
2
11
2
111
1
2
1
2
1
n
ii
n
ii
n
ii
n
ii
n
ii
n
ii
n
iii
n
ii
n
ii
n
iii
yynxxn
yxyxn
yyxx
yyxxr (1)
Where, x and y —mean values X andY :
n
iix
nx
1
1,
n
iiy
ny
1
1.
n : sample size;
i : number of observation ( ni ...,,2,1 ).
Тhe size of the correlation coefficient ranges between -1 and 1.
The data are summarized in Table 2.
The carried out calculations show that the increasing number of residents and working residents at the age
of 15-64 does not influence on the growth of GDP of China, even more interesting is the dependence of growth
of GDP of the country from an agrarian population. It should be noted that the correlation coefficient is less
than 0.5 that indicates to the weak dependence, however, according to the other indices the coefficient is
negative.
Table 2 The Calculation of Correlation Coefficient of Dependence of Number of Population and Number of Working on the GDP Growth of PRC (Yielded by the Authors of This Paper)
Year GDP growth (%) Popul (million) Urban popul (million) Rural popul (million) Popul (aged 15-64)
2009 9.2 133,474 62,186 71,288 92,097
2010 10.4 134,100 66,657 67,414 93,961
2011 9.3 134,735 69,079 65,556 94,072
2012 7.7 135,404 71,182 64,222 100,334
Correlation coefficient -0.6518 -0.49731 0.43678 -0.76523
On January 1, 2012, China is on the first place according to the gold and foreign exchange reserves ahead
of Japan, the U.S., Saudi Arabia, and Russia. As it is known that the availability of the large amount of gold
and foreign exchange reserves allows “insure” the economy of the country in the periods of financial crisis.
They are easier allowed to go through the capital outflow, devaluation of the currency.
Thus, gold and foreign exchange reserves are needed to bridge the deficit of balance of payments of the
country in the “hard times” toward the external market. According to the opinion of experts, the volume of
5 http://www.stats.gov.cn/english/statisticaldata/.
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AN AGING POPULATION OF CHINA ON THE COUNTRY’S ECONOMY
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reserves should not be less than the volume of quarter import of the country. The International reserves of PRC
rose to 3.3 trillion of dollars, following the results of 20126.
The share of gold reserves in China’s reserves is 2%, while the index of Germany is 7%. By the volumes
of reserves China ranks first, on the second line—Japan, Saudi Arabia, Russia, and Switzerland7.
The present level of gold and foreign exchange reserves of PRC is a good foundation for economic growth.
Thus, according to the forecast of the head of Sovereign Wealth Fund of China Investment Corp (CIC),
LouTszieya, Chinese economy, taking into account some strengthening of the economic activity in the world,
could increase by more than 8%, following the results of 2013.
According to the Table 3, along with the growth of income in PRC, will occur the accumulation of foreign
exchange reserves this is evidenced by the high rate of correlation—0.95.
However, the GDP growth is not affect at the level of foreign exchange reserves and this confirms the
negative index of correlation—0.88647.
Table 3 The Calculation of Correlation Coefficient Between Foreign Exchange Reserves, Public Revenue and GDP Growth (%) of China (Yielded by the Authors of This Paper)
Year Foreign exchange reserves (billion US) Public revenue (million yuan) GDP growth (%)
2008 19,460 61,330 9.6
2009 23,992 68,518 9.2
2010 28,473 83,102 10.4
2011 31,811 103,874 9.3
2012 33,116 117,210 7.7
Correlation coefficient 0.957952 -0.88647
Intersept -22,240
Slope 4.0
The data of the carried out analysis are represented as graphics and regression equation (see Figure 1).
y = 24,684x ‐ 22240
R 2 = 0,9647
y = 54,259x ‐ 22240
R 2 = 0,0057
0
20000
40000
60000
80000
100000
120000
140000
2007 2008 2009 2010 2011 2012 2013
year
foreign exc. reser
foreign exchangeres erves , billion US
public revenue, mlnyuan
L inear (foreignexchange res erves ,billion US )L inear (foreignexchange res erves ,billion US )L inear (foreignexchange res erves ,billion US )
Figure 1. The correlation of foreign exchange reserves and the public revenue.
However, the goal of the research is to identify the influence of increasing number of people over 65 years
6 http://www.imf.org/external/pubs/ft/gfsr/. 7 http://www.rbc.ua/rus/top/show/zolotovalyutnye-rezervy-kitaya-v-2012-g-vdvoe-prevysili-mirovoy-04032013151600.
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AN AGING POPULATION OF CHINA ON THE COUNTRY’S ECONOMY
1067
old on the state of economy of China. The author made the calculations of dependence of increase of the
foreign reserve currency on the different age groups of country’s population (see Table 4).
Thus, the obtained results showed that the amount of foreign exchange reserves of China is directly related
to the level of ageing of population of the country, this is proved by obtained data of the correlation analysis:
The correlation coefficient of foreign exchange reserves and the population over 65 years is 0.870—It is a high
level of correlation. It is possible that it shows that the Chinese authorities in such way prepare for the decision
of retirement policy by increasing foreign currency reserves.
Table 4 The Calculation of Correlation Coefficient of Dependence of Foreign Exchange Reserves on the Age Groups of the Population (From 0-14 and People Older Than 65 Years) (Yielded by the Authors of This Paper)
Year Foreign exchange reserves (billion US) Age from 0-14 (thousand ofpeople)
Age over 65 years (thousand of people)
2008 19,460 - 11,257
2009 23,992 24,663 11,309
2010 28,473 22,245 11,881
2011 31,811 22,164 11,870
2012 33,116 22,341 12,727
-0.88647 0.870807
slope 15.94
intersept -143,146
It should be noted that the problem of ageing of population is not unique to China, it is intensely indicated
by the European Commission, as the population over 65 years in the EU countries—27% is constantly
increasing: in 2008—17.1%, 2009—17.2%, 2010—17.4%, 2011—17.5%, and 2012—17.8%.
The forecasts of the European Commission for the next 50 years represented by the Eurostat are also
disappointing. As you can see from the data given in Table 5, if the number of people over 65 years in 2030 is
42.31% of the working population, then in 2060 this index will grow by 50%, and is more than 60% of all the
population of 28 countries of EU.
Table 5 The Forecast of the European Commission About the Number of People Over 65 Years as a Percentage of the Group From 15–64 Years
Year Population size of the European Union Population size over 65 years (as % of the group 15-64)
2030 522,342,413 42.31
2035 524,536,969 45.52
2040 525,702,440 45.96
2045 525,624,613 51.55
2050 524,052,690 56.06
2055 521,034,357 60.11
2060 516,939,958 60.32
Note. Source: eurostat.ec.europa.eu/tgm/refreshTableAction.do?tab=table&plugin=1&pcode=tps00010&language=en.
It seems interesting to make the forecast of growth of number of people over 65 years in China and by the
paces of the country’s income and foreign exchange reserves. In the calculations used the EXEL program,
where as it is known, the equation for FORECAST is a + bx, where:
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AN AGING POPULATION OF CHINA ON THE COUNTRY’S ECONOMY
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xbya xbya (2)
and:
2)(
))((
xx
yyxxb (3)
and where x and y are the sample means AVERAGE (known x’s) and AVERAGE (known y’s).
The calculated data are summarized in Table 6.
Table 6
The Forecast of Growth of Foreign Exchange Reserves, Public Revenue and People Over 65 Years (Yielded by
the Authors of This Paper)
Year Foreign exchange reserves (billion US) Public revenue (million yuan) Age over 65 years (thousand of people)
2013 37,025.5 130,941.6 12,859.1
2014 40,096.5 145,653.2 13,209.2
2015 43,167.5 160,364.8 13,559.3
The made calculations will show that by 2015 exchange reserves of China could be increased by nearly
220% in comparison with 2008, the incomes will increase by 260% in comparison with 2008, respectively, if to
assume that the level of growth will be kept.
According to the calculations, the level of people over 65 years will also increase and will be 13.5 million
of people, undoubtedly, it will be a serious weigh of the budged of the country.
Conclusions
Thus, first of all we should note that the effect of aging of the population is observed in most industrialized
countries, primarily, in Europe, where the number of people over 65 years old is about 20%, although for China
this percentage is almost two times lower—8.9%. It is curious that the level of foreign exchange reserves of
China do not depend on GDP growth as evidenced by the negative coefficient of correlation -0.88647. However,
the amount of China’s reserves affects the number of people over 65 years old, it confirms the correlation
coefficient 0.870. Undoubtedly, the problem of ageing of population is characterized by the increasing number
of elderly people what leads to a volume reduction in medical aid of population of youthful age and leads to the
growth of social security of working population. This usually leads to the simultaneous decrease in health of
population and requires reorientation of capital investments of the state toward the compensation of economic
mechanisms which are designed to maintain the functioning of the social economic sector. Obviously, the made
calculations show that China accumulated foreign exchange reserves are necessary, including maintain social
reforms in the country and for the provision of social security of the population.
References Andersen, G. E., & Regini, M. (2000). Why deregulate labour markets? Oxford: Oxford University Press. Barry, J. N. (2007). The Chinese economy: Transitions and growth. Cambridge: Massachussets Instituts of Technolodgy. Friedman, M., & Friedman, R. (1990). Free to choose: A personal statement. San Diego: Harvest Books. Hayek, F. (1988). The collected works of F. A. Hayek. W. W. Bartley, (Ed.). Chicago: University of Chicago Press. Keynes, J. M. (1956). The world of mathematics (2000 ed.). J. R. Newman, (Ed.). Scotland, Dover: University of St Andrews,
Scotland. Marshall, A. (1920). Encyclopedia Americana (1987 ed.). New York: Marshall Cavendish.
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Оrlov, A. I. (2002). Ekonometrika. Мoskow: Eksamen. Pigou, A. C. (1989). Employment and equilibrium. New York: MacMillan. Rawls, J. (1993). Political liberalism. New York: Columbia University Press. Shenkar, O. (2005). The Chinese century: The rising Chinese economy and its impact on the global economy, the balance of
power, and your job. New York: Pearsn Education Inc. Smith, A. (1982). Theory of moral sentiment. In the glasgow edition of the works and correspondence of Adam Smith (Vol. 1) (pp.
184-185). Oxford: Oxford University Press. Stiglitz, J. E., Fitoussi, J. P., & Sen, A. (2010). Mismeasuring our lives: Why GDP doesn’t Add Up. Fort Myers: The New Press.
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Journal of US-China Public Administration, ISSN 1548-6591 November 2013, Vol. 10, No. 11, 1070-1082
Transformational Leadership and Organizational Outcomes:
Evidence From Vietnamese Workers
Ngoc-Hong Dao , In-Soo Han
Chungnam National University, Daejeon, South Korea
The purpose of this study was to investigate empirically the impact of transformational leadership on organizational
outcomes (OCB—organizational citizenship behavior, OC—organizational commitment, and job satisfaction), and
the mediating role of trust in the leader in the relationship between transformational leadership and organizational
outcomes in Vietnamese employees. The results showed that, first, transformational leadership had a significant
relationship with organizational citizenship behavior, organizational commitment, and job satisfaction. Second,
there was a positive relationship between transformational leadership and trust in the leader. Third, trust in the
leader was positively and significantly related to OCB, affective organizational commitment, and job satisfaction.
Fourth, a moderating role of trust in the leader was identified in the relationship between transformational
leadership and organizational outcomes. Finally, some practical recommendations for developing leadership
competencies in Vietnamese managers are suggested.
Keywords: Vietnam, transformational leadership, trust in leader, organizational outcomes
On January 11, 2007, Vietnam, one of the world’s fastest growing economies, won formal approval from
the World Trade Organization (WTO) to become its 150th member. This brought not only opportunities but
also challenges to Vietnamese businesses and the economy. As business environments become global, there is a
growing need for them to be more competitive and performance-oriented.
To gain competitive advantage, a variety of managerial effectiveness skills and innovative ideas are
required by Vietnamese companies. Among other matters, much attention has been paid to the leadership issue,
because it is well-known that leadership plays an important role in securing employee motivation and the
behaviors needed to achieve organizational effectiveness. How to find and implement an effective leadership
style in a changing business environment becomes one of the principal challenges to Vietnamese business
management.
Despite its importance, however, there are few studies that have investigated which styles are appropriate
in the Vietnamese context or tested empirically how they affect employee behavior and performance. Thus, in
both theory and practice, there is growing interest in, and demand for, more systematic and empirical research
on effective leadership styles in Vietnam.
Transformational leadership has gained attention in both business and academic fields since the 1980s,
Ngoc-Hong Dao, master, Department of Business Administration, Chungnam National University; research fields: human
resource management, organizational behavior. E-mail: [email protected]. Corresponding author: In-Soo Han, Ph.D., professor, Department of Business Administration, Chungnam National University;
research fields: human resource management, organizational behavior, innovation, business & society. E-mail: [email protected].
D DAVID PUBLISHING
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when new leadership was needed to deal with fundamental changes in the business world. It was considered an
ideal type of leadership that can invoke the changes organizations need and positive follower behavior. Many
research findings have been reported noting that transformational leadership has a positive effect on required
individual and organizational outcomes (Podsakoff, MacKenzie, Moorman, & Fetter, 1990; Pillai, Schriesheim,
& Williams, 1999; Goodwin, Wofford, & Whittington, 2001).
In this study, the relationship between transformational leadership and organizational outcomes, especially
behavioral outcomes is investigated. The mediating role of trust in leadership between the two variables is also
analyzed. The investigation and analysis are targeted at the particular business environment in Vietnam. Finally,
some practical implications are suggested.
Theoretical Background and Hypotheses
“Transformational leadership” was identified by Burns (1978) and extended by Bass (1985). The origin of
transformational leader theory lies with the work of Burns (1978), who originally proposed two distinct
leadership styles based on his analysis of the behaviors displayed by various political leaders. The first of these,
transactional leadership, characterized many of the traditional leadership theories existing at that time.
According to Burns (1978), transactional leadership was based on an exchange process between leaders and
subordinates, where rewards were administered to employees based on acceptable levels of displayed effort and
performance. Burns also noted that these leaders appeared to obtain an adequate level of performance from
their followers, who worked according to rather strictly defined tenets.
In contrast to transactional leadership, the second type of leadership style, transformational leadership, was
conceptualized as one to encourage followers to transcend their own self-interests and move beyond simple
leader-member transactions for the good of the group or the organization (Burns, 1978; Bass, 1985). According
to Burns (1978), the transformational style creates significant changes in the life of people and organizations. It
redesigns perceptions and values, and changes the expectations and aspirations of employees. Unlike the
transactional style, it is not based on a “give and take” relationship, but on the leader’s personality, traits, and
ability to make change through vision and goals.
Another researcher, Bass (1985), suggested a transformational leadership theory that was added to the
initial concepts of Burns (1978). According to Bass, the extent to which a leader is transformational is
measured first in terms of influence on the followers. Followers of such a leader feel trust, admiration, loyalty,
and respect for the leader and they will do more than they are expected to do. The leader transforms and
motivates followers with charisma, intellectual arousal, and individual consideration. Additionally, this leader
seeks new ways of working while trying to identify new opportunities, as opposed to threats, and tries to break
out of the status quo and alter the environment.
Burns (1978) and Bass (1985) posited that transformational leadership was a paradigm in which the leader
influenced the followers to perform beyond expectations by making them more aware of the importance and
value of goals, influencing them to transcend self-interest for the good of the group or organization, and by
appealing to their higher-order needs. Also, many authors (House & Baetz, 1990; House & Podsakoff, 1996)
have shown that transformational leaders demonstrate symbolic and meaningful leadership behaviors such as
emphasizing the importance of a task, advocating ideological values, and articulating a great vision.
Transformational leaders take these steps as ways of producing affective and cognitive consequences among
the followers. These consequences include emotional attachment and trust in the leader, arousal of intense
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motivation, and enhanced self-efficacy in the followers.
The transformational leadership theory was further developed by Bass and Avolio (1995), who claimed
that transformational leadership had four components: idealized influence, individualized consideration,
inspirational motivation, and intellectual stimulation. The first, idealized influence is identified in leaders
who behave in a manner that causes followers to want to emulate them. Originally, Bass (1985; 1999) had
identified this construct as charisma, borrowing the term from Weber (1947). Bass (1985) defined a
charismatic leader (one who exhibits idealized influence) as behaving in a consistent manner, guided by high
moral principles. This leader is noted for his determination and persistence, and the subsequent behavior of
followers who desire to act in a manner similar to the leader. Thus, idealized influence from a leader
functions to transform followers by creating changes in their goals, values, needs, beliefs, and aspirations
(Rowold & Heinitz, 2007; Yukl, 2002).
By individualized consideration, the leader builds a one-to-one relationship with his or her followers,
and understands and considers their differing needs, skills, and aspirations. By inspirational motivation, the
leader articulates an exciting vision of the future, shows the followers how to achieve the goals, and
expresses his or her belief that they can do it. By intellectual stimulation, the leader broadens and elevates the
interests of his or her employees, and stimulates followers to think about old problems in new ways (Bass,
1985).
Transformational Leadership and Organizational Outcomes
A transformational leader is fundamentally an agent for change. The theory of transformational leadership
right from inception (Bass, 1985; Burns, 1978) makes articulation of a vision by the leader an essential
component of the leadership paradigm. The new vision so articulated inspires subordinates to greater efforts,
directed toward bringing about a change in their attitudes, self-concepts, and motives (House & Shamir, 1993).
The combined effects of communicating the new vision by means of inspiring symbols and emotional appeals
at varying levels and, possibly, the forging of emotional ties between the leader and the subordinates, as well as
the modeling of ideal conduct and values by the leader, can lead to performance beyond expectations. Studies
(Judge & Piccolo, 2004; Lowe, Kroeck, & Sivasubramaniam, 1996) have consistently supported the positive
effects of transformational leadership on several organizational and individual outcomes, including
organizational citizenship behavior (OCB), organizational commitment (OC), and job satisfaction.
In this study, we empirically investigate the hypothesis below:
Hypothesis 1. Transformational leadership is positively related to organizational outcomes.
Transformational leadership and organizational citizenship behavior. Organizational citizenship
behavior is generally conceptualized as behaviors related to the work place but which are discretionary; that is,
they are not part of the formal organizational reward system but promote the effective functioning of the
organization (Greenberg, 2005; Organ, 1988; Organ & Konovsky, 1989). It is commonly accepted that
organizations need activities of employees that go beyond role prescriptions.
The fact that transformational leadership behaviors show significant, consistent, and positive relationships
with OCB is not surprising since the heart of transformational leadership is the ability to get employees to
perform above and beyond expectation, and this extra effort may show up in the form of citizenship behaviors.
A review of the leadership literature by Podsakoff et al. (1990) indicates that transformational leaders get
followers to perform above and beyond expectations by articulating a vision, providing an appropriate role
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model, fostering the acceptance of group goals, providing individualized support and intellectual stimulation,
and expressing high performance expectations.
It is hypothesized that:
Hypothesis 1-a. Transformational leadership is positively related to the follower’s organizational
citizenship behavior.
Transformational leadership and affective commitment. Affective commitment is the one of three
types of organizational commitment; it is an attitudinal variable that denotes an employee’s level of attachment
to the organization (Meyer & Allen, 1991). Affective commitment refers to an incumbent’s emotional
attachment to the organization; that is, whether his/her expectations are met and he/she wishes to stay with the
organization.
Studies have found that transformational leadership enhances the organizational commitment of followers
(Goodwin et al. 2001; Judge & Bono, 2000). Organizational commitment of followers is influenced by
transformational leadership (Lok & Crawford, 2004). Transformational leadership theory emphasizes the role
of empowerment as a central mechanism of building commitment to the organization’s objectives (Bass, 1999).
Empowered employees are more likely to reciprocate with higher levels of commitment to their organization.
By showing respect and confidence in their followers, transformational leaders are able to develop a high
degree of trust and loyalty in their followers to the extent that followers are willing to identify with the leader
and the organization. As a result, followers trust in and emotionally identify with the leader, such that they are
willing to stay with the organization, even under very difficult circumstances.
These findings can be expressed in the following hypothesis:
Hypothesis 1-b. Transformational leadership is positively related to a follower’s affective commitment.
Transformational leadership and job satisfaction. Job satisfaction is defined as “an overall measure of
the degree to which the employee is satisfied and happy with the job” (Hackman & Oldham, 1975). Many
studies show that transformational leadership is positively correlated with employees’ job satisfaction (Bogler,
2001; Griffith, 2004). Leaders who practice transformational leadership reportedly have more satisfied and
committed followers than do leaders who practice a non-transformational style of leadership. It is plausible that,
through their collective and visionary approach, transformational leaders buffer employee distress and job
dissatisfaction and motivate followers to collaborate and achieve greater results than expected (Bass & Avolio,
1994; Bass, 1999). Thus, in this study, we expect that:
Hypothesis 1-c. Transformational leadership is positively related to a follower’s job satisfaction.
Transformational Leadership and Trust in the Leader
Trust in a leader has been conceptualized as faith in and loyalty to the leader (Nooteboom & Six, 2003;
Podsakoff et al., 1990). Transformational leaders gain trust from followers by maintaining their integrity and
dedication, by being fair in their treatment of followers, by demonstrating their faith in followers, and by
empowering them. It has been suggested that one way that charismatic and transformational leaders can
demonstrate their dedication and build followers’ trust is through self-sacrificial behaviors (Conger & Kanungo,
1998; House & Shamir, 1993). Leaders can self-sacrifice by taking on a proportionately larger workload, by
foregoing the trappings of power, or by postponing rewards, for example. In sum, transformational leadership
behaviors are successful, in part, due to care and concern perceived in the relationship.
Bennis and Nanus (1985), Gillespie and Mann (2004), and Pillai et al. (1999) have demonstrated that there
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is a direct relationship between transformational leadership and trust. This is supported by Saracostti (2007)
who demonstrated that trust is social capital to organizations. This would be expected because transformational
leaders would need to work hard to earn the trust of their followers if the leaders intend to achieve their goals.
Thus, it is hypothesized that:
Hypothesis 2. Transformational leadership is positively related to trust in a leader.
Trust in a Leader and Organizational Outcomes
The effect of trust in the leader with regard to organizational outcomes has attracted increasing interest in
recent years (Mayer, Davis, & Schoorman, 1999; Hosmer, 1995). This indicates that researchers and
practitioners continue to recognize trust as an important factor in determining employee behavior and employee
attitude. The consequences of trust include organizational outcomes, such as organizational citizenship
behavior, affective commitment, and job satisfaction.
Thus, it is hypothesized that:
Hypothesis 3. Trust in the leader is positively related to organizational outcomes.
Hypothesis 3-1. Trust in a leader is positively related to the followers’ organizational citizenship
behaviors.
Hypothesis 3-2. Trust in a leader is positively related to the followers’ affective commitment.
Hypothesis 3-3. Trust in a leader is positively related to the followers’ job satisfaction.
Mediating Role of Trust in a Leader Between Transformational Leadership and Organizational
Outcomes
Many studies have shown that transformational leadership is consistently associated with trust in the
leader (Batram & Casimir, 2007; Lowe et al., 1996). Trust in the leader correlates positively with various
outcomes such as organizational citizenship behaviors, performance, and satisfaction (Jung & Avolio, 2000;
Pillai et al., 1999). Thus, it would be expected that trust would play mediating roles in the relationship between
transformational leadership and organizational outcomes.
Organ (1988) and Konovsky and Pugh (1994) demonstrated that organizational citizenship behaviors
occur in a context in which social exchanges, which are involved in transformational leadership, characterize
the quality of leader-subordinate relationships. These authors demonstrated, in particular, that trust plays an
important mediating role in the relationship between transformational leadership and organizational
citizenship behavior. It seems reasonable to think that when transformational leaders motivate employees to
perform above and beyond expectations, this will lead to organizational citizenship behavior on the part of
the subordinates. However, the trust relationship between transformational leadership and OCBs seems to be
a pivotal condition for OCB to occur. This means that without the trust relationship, there is no link between
transformational leadership and organizational citizenship behavior. Thus, in this study, it is supposed that:
Hypothesis 4. Trust in a leader mediates the relationship between transformational leadership and
organizational outcomes.
Hypothesis 4-1. Trust in a leader mediates the relationship between transformational leadership and
organizational citizenship behavior.
Hypothesis 4-2. Trust in a leader mediates the relationship between transformational leadership and
affective commitment.
Hypothesis 4-3. Trust in a leader mediates the relationship between transformational leadership and job
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satisfaction.
The hypothesized model of the study is shown in Figure 1.
Figure 1. The hypothesized model.
Method
Sample
Data for this study were obtained from employees of well-known conglomerates, such as the Adidas
Company and Viettel Mobile in Vietnam. The final sample for the study consisted of 200 employees who
worked with their direct supervisor. A cover letter attached to each questionnaire explained the objective of the
survey and assured respondents of the confidentiality of their responses and the voluntary nature of
participation in the survey. Of the 200 questionnaires distributed, 186 were finally returned usable, giving a
response rate of 93% (186/200).
Of these respondents, 49.5% were males and 50.5% were females. The most common ages of the employees
were between 26 and 45: specifically, from 26 to 35 years old (59.1%) and from 36 to 45 years old (37.1%). Most
(79%) of the participants had earned a post-secondary school degree (bachelors or graduate degree).
Measures
The questionnaires were initially prepared in English. To collect information from Vietnamese employees,
the questionnaires are translated from English into Vietnamese by the author, and checked using a
back-translation method (Parameswaran & Yaprak, 1987).
Transformational leadership. Transformational leadership was measured using 20 items of the
Multi-Factor Leadership Questionnaire (MLQ-Form 5X) (Bass & Avolio, 1995). Subjects judged how
frequently their immediate leader engaged in transformational leadership behaviors. Ratings were completed on
a five-point scale with: 1 indicating “Not at all” and 5 indicating “Frequently”. Sample items included: “My
leader goes beyond self-interest for the good of the group”, and “My leader helps me to develop my strengths”.
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These items were averaged to form a scale, which had a reliability of 0.96.
Trust in leader. This variable was measured by seven items adapted from Gabarro and Athos (1978). On
a five-point scale, ranging from 1 (“strongly disagree”) to 5 (“strongly agree”), employees indicated the extent
to which they trusted their direct leaders. Sample items included, “I am not sure I fully trust my supervisor”,
and, “I believe my supervisor has great integrity”. These items were averaged to form a scale, with a reliability
of 0.92.
Organizational citizenship behavior. A 10-item scale developed by Organ and Ryan (1995) was used to
measure OCB. Response options ranged from 1, “strongly disagree”, to 5, “strongly agree”. Sample items for
the service-oriented OCB scale are, “I help other employees with their work when they have been absent”, and
“I do not spend a great deal of time in conversation at work”. The alpha reliability of our OCB scale was 0.92.
Affective commitment. Affective commitment was measured by a five-item scale developed by Meyer
and Allen (1991). Participants were asked to rate each item on a five-point Likert scale (1 = strongly disagree, 5
= strongly agree). Sample items from this measure include the following: “I enjoy discussing my organization
with people outside it”, and, “I feel ‘emotionally attached’ to this organization”. The alpha reliability of this
measure was 0.89.
Job satisfaction. A five-item job satisfaction scale developed by Hackman and Oldham (1975) was used
to measure job satisfaction. Participants were asked to rate each item on a five-point Likert scale (1 = strongly
disagree, 5 = strongly agree). A sample item is, “Generally speaking, I am very satisfied with this job”. The
alpha reliability of this scale was 0.88.
Control variables: Demographic variables (age, gender, educational levels, and tenure) were included as
control variables because previous studies have suggested that they may have potential effects on the mediators
and outcome variables in the study (Kammeyer-Mueller & Wanberg, 2003).
Results
Descriptive Statistics and Interrelationships
Table 1 includes means, standard deviations, alpha coefficients, and correlations among the variables. It
shows that transformational leadership has significant positive correlations with trust in the leader (r = 0.90, p <
0.01), organizational citizenship behavior (r = 0.89, p < 0.01), affective commitment (r = 0.86, p < 0.01), and
job satisfaction (r = 0.90, p < 0.01).
Table 1
Descriptive Statistics, Alpha Coefficients, and Correlations
Variables M S. D 1 2 3 4 5 6 7 8 9
1. Age 33.9 1
2. Education 0.24** 1
3. Gender -0.24** -0.13 1
4. Tenure 0.24** -0.01 0.03 1
5.Transformational leadership 3.90 .59 -0.11 -0.20** 0.02 0.12 (0.96)
6. Trust 3.96 .59 -0.03 -0.17* -0.01 0.09 0.90** (0.92)
7. OCB 3.96 .52 0.00 -0.21** -0.01 0.12 0.89** 0.96** (0.92)
8. Affective commitment 3.94 .57 -0.04 -0.22** -0.08 0.09 0.86** 0.89** 0.92** (0.89)
9. Job satisfaction 3.94 .56 -0.01 -0.21** -0.01 0.11 0.90** 0.93** 0.937** 0.948** (0.88)
Notes. * p < 0.05; ** p < 0.01.
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It is noteworthy that educational level was negatively related to all measured constructs. The higher the
education the employees had, the lower they rated their leader’s transformational leadership, their
organizational citizenship behavior, affective commitment, and job satisfaction. This result can be interpreted
as indicating that the more educated employees (e.g., university graduates) might have higher aspiration levels
and expect more of their leader and companies than high school graduates.
Validity
Following common practice (Tsui, Pearce, Porter, & Tripoli, 1997), a confirmatory factor analysis (CFA)
was conducted on the 20 items that measured the five constructs in this study. As revealed in Table 2, the
results confirmed a five-factor structure with an adjusted goodness-of-fit index (GFI) of 0.97 and root mean
square error of approximation (RMSEA) of 0.05. If the values of GFI, CFI, and NFI exceed the cut-off value of
0.9, and the value of RMSEA is below the cut-off value of 0.08, then the model is said to be acceptable (Hu &
Bentler, 1999).
Table 2
Validity of Measurement Model
χ2 df RMSEA CFI GFI NFI
310.14 220 0.05 0.97 0.88 0.91
The potential threat of common method bias was checked with Harman’s single-factor test via
confirmatory factor analysis. This test is based on the assumption that common method bias is a serious
problem when a single latent factor accounts for more than 50% of the total variance of the measures (P.
Podsakoff, MacKenzie, Lee, & N. Podsakoff, 2003). The results for the single-factor model were as follows: χ2
= 2364.22, df = 1034, GFI = 0.64, AGFI = 0.61, NFI = 0.74, and RMSEA = 0.083. The chi-squared test
demonstrated that the five-factor model was superior to the single-factor model (310.14 vs. 2364.22).
Consequently, the results were worse than that of a five-factor model and one single-factor model did not
account for the majority of the variance. In short, common method bias was not of importance in this study.
Hypothesis Testing
Hypothesis 1 postulated that a positive relationship would exist between transformational leadership and
organizational outcomes. Table 2, showing the results of multiple regressions on the relationships between
transformational leadership and organizational outcomes, indicates that transformational leadership is
positively and significantly related to organizational citizenship behavior (0.88, p < 0.001), affective
commitment (0.85, p < 0.001), and job satisfaction (0.89, p < 0.001). Thus, Hypothesis 1, 2, 3 are supported.
Hypothesis 2 proposes that transformational leadership is positively related to trust in the leader. This is
confirmed in Table 4 showing that transformational leadership has a positive relationship with trust in the
leader (β = 0.91, p < 0,001). Thus, Hypothesis 2 is supported.
Hypothesis 3 predicts that trust in the leader is positively related to organizational outcomes
(organizational citizenship behavior, affective commitment, and job satisfaction). As shown in Table 4, trust in
the leader had a positive relationship with organizational citizenship behavior (β = 0.88, p < 0.001), affective
commitment (β = 0.85, p < 0.001), and job satisfaction (β = 0.89, p < 0.001). Thus, Hypotheses 3-1, 3-2, and
3-3 are supported, so Hypothesis 3 is fully supported.
Hypothesis 4 proposes that trust mediates the relationships between transformational leadership and
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organizational outcomes. To test the mediating role of trust in a leader, the three-steps-regression approach
recommended by Baron and Kenny (1966) was followed. According to them, the three following regression
equations should be estimated to test mediation. First, regressing the mediator on the independent variable;
second, regressing the dependent variable on the independent variable, and third, regressing the dependent
variable on both independent variable and on the mediator.
To establish mediation, the following conditions must hold. First, the independent variable must affect the
mediator in the first equation. Second, the independent variable must be shown to affect the dependent variable
in the second equation. Third, the mediator must affect the dependent variable in the third equation. If these
conditions are all hold in the predicted direction, then the effect of the independent variable on the dependent
variable must be less in the third equation than in the second. Perfect mediation holds if the independent
variable has no effect when the mediator is controlled. Partial mediation holds in the case that the effect is
significantly reduced in the third case.
Hypothesis 4-1 predicts that trust in the leader mediates the relationship between transformational
leadership and organizational citizenship behavior. Table 3 and Table 4 show that the three required conditions
were met. The effects of transformational leadership (independent variable) on the dependent variable are
significantly reduced to 0.14, although it does not reach zero. Thus, the hypothesis is partially supported.
Table 3 Results of Multiple Regression on the Relationships Between Transformational Leadership and Organizational Outcomes
Dependent variable
OCB Affective commitment Job satisfaction
Model 1 Model 2 Model 3 Model 4 Model 5 Model 6
Age 0.03 0.11 -0.13 0.04 0.02 0.10**
Education -0.29*** -029** -0.28*** -0.05 -0.30 -0.06
Gender -0.05 -0.12 -0.13 -0.13 -0.05 -0.01
Tenure 0.05 -0.10 0.10 -0.02 0.10 -0.02 Transformational Leadership
0.88*** 0.85*** 0.89***
R2 0.1 0.79*** 0.08 0.74*** 0.08 0.81***
Notes. * p < 0.05; ** p < 0.01; *** p < 0.001.
Table 4
Regression Results for Hypotheses 3, 4, and 5
Dependent variable
Trust in leader OCB Affective commitment Job satisfaction
Model 1 Model 2 Model 3 Model 4 Model 5 Model 6 Model 7 Model 8
Age -0.01 0.07* 0.11** -0.03 0.04 -0.00 0.10** 0.06
Education -0.26** -001 -0.05 -0.04 -0.05 -0.04 -0.06 -0.06
Gender -0.05 -0.01 -0.01 -0.01 -0.10* -0.09 -0.01 -0.01
Tenure 0.09 -0.04 -0.01 0.02 -0.02 0.02 -0.02 0.00
Transformational leadership 0.91*** 0.14** 0.30*** 0.34***
Trust in leader 0.88*** 0.82*** 0.85*** 0.61*** 0.89 0.61***
R2 0.08 0.81*** 0.80*** 0.92*** 0.74*** 0.91*** 0.80** 0.88***
Notes. * p < 0.05; ** p < 0.01; *** p < 0.001.
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To solidify the testing results, another more statistically rigorous method, the Sobel test (1982), by which a
mediation hypothesis may be assessed, was also used. It provides a more direct test of an indirect effect. In the
case of simple mediation, the Sobel test is conducted by comparing the strength of the indirect effect of the
independent variable (X) on the dependent variable (Y) to the point null hypothesis, so that it equals zero.
Results from the Sobel tests indicated that the indirect effects of transformational leadership on OCB (z = 14.51,
p < 0.01) is in the anticipated direction and is statistically significant. Thus, Hypothesis 4-1 was supported.
The reduced effect of transformational leadership on affective commitment from 0.85 (p < 0.001) to 0.30
(p <0.001) confirms Hypothesis 4-2. Partial mediation holds in this case, too. Results from the Sobel test also
indicated the mediating role of trust in the leader in the relationship between transformational leadership and
affective commitment. The indirect effects (z = 8.08, p < 0.01) were statistically significant. Thus, Hypothesis
4-1 was supported.
Hypothesis 4-3, proposing that trust in the leader plays a mediating role in the relationship between
transformational leadership and job satisfaction, is confirmed in Tables 3 and 4. It can be seen in the table that
the three conditions for mediation are met, and the effect of transformational leadership on job satisfaction was
reduced from 0.89 (p < 0.001) in equation 2 to 0.34 (p < 0.001) in equation 3. Thus, the results show that
Hypothesis 4-3 is partially supported. The results of the Sobel test also reinforce the mediation role of trust in
the leader. The results indicate that the indirect effect of transformational leadership on job satisfaction (z =
9.61, p < 0.001) is in the anticipated direction and is statistically significant. Thus, Hypothesis 4-3 is supported
too.
Discussions and Conclusions
The purpose of the study was to investigate empirically the impact of transformational leadership on
organizational outcomes (OCB, OC, and job satisfaction), and the mediator role of trust in a leader in the
relationship between transformational leadership and organizational outcomes in Vietnamese employees. The
major findings of the study can be summarized as follows.
First, transformational leadership was found to have a significant relationship with organizational
citizenship behavior, organizational commitment, and job satisfaction. This was consistent with previous
research indicating that there was a positive and significant link between transformational leadership and
organizational outcomes.
Second, there was a positive relationship between transformational leadership and trust in the leader. This
indicates that the more a leader practices transformational leadership behavior, the greater is the possibility that
he or she will be trusted by the followers.
Third, as predicted, trust in the leader was positively significantly related to OCB, affective organizational
commitment, and job satisfaction. These findings suggest that trust in the leader might have a significant effect
on employee organizational outcome.
Fourth, a moderating role of trust in the leader was identified between transformational leadership and
organizational outcomes. This means that transformational leadership could indirectly affect employee’s
organizational outcomes through the mediation of trust in the leader as well as affecting them directly. A
transformational leader can be a precursor to trust in the leader and its impact on positive organizational
outcomes.
This study has several important theoretical and practical implications. Theoretically, the research
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framework used in the study may not so new. This study, however, confirms that much previous research on
transformational leadership and trust in Western cultures could also be generalized in the Vietnamese setting.
Regarding practice, research findings indicate that developing transformational leadership and trust is of
great importance in securing OCB, affective commitment, and job satisfaction in Vietnamese workers. The
potential benefits of transformational leadership and trust in leaders in Vietnamese companies have to be
attended to.
For the development of this type of leadership, two management practices can be specifically
recommended. First, the behaviors and competencies a transformational leader must exhibit have to be included
in the performance appraisal of a leader as an evaluation item. Trust in the leader also needs to be evaluated by
both the leader’s superiors and subordinates. To the extent the leaders feel these traits and behavior can be
evaluated by their superiors, and that the results can influence their salary and promotion, they would seek to
develop these positive traits and behaviors for themselves.
Second, official training courses to develop leadership competencies have to be designed and arranged for
supervisors and leaders so that they can learn how to implement transformational leadership and how to elicit
the trust of their subordinates. Regular and mandatory leadership training should be supplied to managers
across all levels, especially those just promoted to a manager position. The 360° feedback process may be a
factor in the effective implementation of the program.
The results of this study must be viewed in light of its limitations. First, most measures in the study used
self-reported ratings. This raises common method bias concerns. The result of Harman’s single-factor test using
confirmatory factor analysis in this study demonstrated that common method bias was not a critical problem.
However, such a technique only evaluates the extent to which common method bias may pose a problem
(Kandemir, Yaprak, & Cavusgil, 2006). Thus, using multiple sources of data is needed to minimize the problem
in future studies. Second, this study is based on cross-sectional data, which limits any causal interpretation
among variables. It should be expanded to a longitudinal study to obtain more concrete results. Third, the
generalizability of the findings may be limited by the Vietnamese sample used.
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Journal of US-China Public Administration, ISSN 1548-6591 November 2013, Vol. 10, No. 11, 1083-1097
Bribery Problem in Kuwaiti Public Administration
Yousef Mohammad Al Mutairi, Mohammad Qasem Ahmad Al-Qarioti
Kuwait University, Kuwait, Kuwait
This empirical study examines the bribery problem in Kuwaiti public administration, its conception, magnitude,
reasons, and its consequences. The study is a field research which is based on a random sample consisted of (600)
people from various spheres of life in society. Study findings have shown that bribery in Kuwaiti administration is
widespread and increasing, transcends nationality, gender, position, education level, and agencies in Kuwait which
require paying attention to what kind of measures need to be taken to eradicate it. Recommendations are suggested
on ways how to eradicate this problem in order not to become a phenomenon.
Keywords: corruption, bribery, Kuwait, public administration, organizational behavior
Bribery is a very well-known problem which faces various communities, especially in the developing
countries. The present study examines this problem especially bribery practices of government officials in
providing illegal services and decisions in exchange of personal gains. The main objective of the study is to
identify magnitude, causes, and consequences of bribery in Kuwaiti administration, and what can be done to
eradicate this problem. The study is divided into four main parts: The first part is the introduction; the second part
provides a theoretical framework; the third part outlines the methodology and statistical methods used; the fourth
part states the study results in term of magnitude, forms, reasons, and consequences of bribery in Kuwaiti
administration. And the last part provides conclusions and recommendations.
Theoretical Framework
Bribery as a form of corruption faces many countries in the world regardless of political systems, or
development levels. It is prevalent practice in government departments and private companies, under various
forms to the extent that it is considered by most employees a part of their income (Jain, 2001). Some researchers
estimated bribes 12% of GDP (Gross Domestic Product) in countries like Nigeria, Venezuela, and Kenya
(Nwabuzor, 2005). Bribery takes various forms such as taking/giving someone money or benefit as an exchange
of illegal decisions. With regard to causes of bribery, many factors contribute to bribery such as weak adherence
to religious and social values, ineffective oversight and accountability over government officials, lack of equal
opportunities, poverty, and bad social conditions.
As far as the expected results of bribery, many negative consequences at the individual and social levels
such as (Lambsdorff, 2003; Meon & Weill, 2005; Caselli, 2005):
(1) Disrupting social values: bribery can lead to increasing public tolerance/acceptance of bribery which will
Yousef Mohammad Al Mutairi, Ph.D., Department of Public Administration, Kuwait University; research fields: public administration, public finance, public budgeting, organizational behavior. E-mail: [email protected].
Corresponding author: Mohammad Qasem Ahmad Al-Qarioti, Ph.D., professor, Department of Public Administration, Kuwait University; research fields: public administration, public policy, organizational behavior, human resources management, administrative reform. E-mail: [email protected].
D DAVID PUBLISHING
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BRIBERY PROBLEM IN KUWAITI PUBLIC ADMINISTRATION
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be at the expense of public interest and can weaken institutional and national loyalty, which is harmful for society;
(2) Corrupting business environment as people will be obliged to pay bribes in order to get access to services
which will be to the detriment of community development;
(3) Wasting public resources through employing unqualified people which can result in losing talented
people, low productivity, and sacrifice public interest for the benefit of some influential groups. It is not hard to
imagine negative consequences when bribery reaches all sectors such as food, public utilities, construction, and
similar areas where wrong administrative decisions can be taken (Aidt, 2003).
Several measures can be taken to reduce the negative expected outcomes of bribery. Some of these measures
are:
(1) Promoting transparency in government as a means to reduce the exacerbation of bribery as transparency
sheds light on illegal practices of influential people and on employees who are involved in bribery. Some efforts
in this regard have been adopted by transparency organizations on the international and national levels which
carried out valuable studies on the problem, and on monitoring bribery-related issues (Transparency International,
and national branches of the organization in many countries, including Kuwait);
(2) Carrying awareness campaigns through various educational institutions, including religious institutions
to eradicate bribery and explain its negative aspects on society;
(3) Enhancing the role of various controlling political and judiciary agencies to oversight and take deterrent
measures against those involved in bribery cases.
Literature Review
Literature review did not find many empirical studies deal with bribery in Kuwait, Gulf Cooperation
Council (GCC) countries, or Arab countries due to the nature of such studies. Most studies were either
theoretical or religion oriented (Madkoor, 1997; Al Ghassab, 2011). This fact makes this study of special
importance as an important pioneer empirical research in this area. Nevertheless, some of the relevant research
in this sphere is mentioned below:
(1) Social Contract Center Study (2011): This study provides theoretical analysis of corruption practices in
Egypt, its direct and indirect causes which constitute a suitable environment cause of corruption in Egypt
before 25th revolution in 2011 and how to combat it;
(2) Al-Jaouni Study (2009): This is a statistical descriptive study of administrative and financial corruption
indexes in Arab countries as an explanation of poverty and underdevelopment in these countries. Study results
show that the highest average of corruption in Arab countries is 3.681 on the 10 points’ corruption index where
(0) refers to the highest point of corruption and (10) refers to the least level of corruption;
(3) Shehatah Study (1992): This psychological study discusses the relationship between bribery and
psychological personality characteristics of people who practice bribery. Study findings reveal that bribed
employees are over emotional, depressed, unable to deal with conflict, and weak;
(4) Aisaway Study (1992): This psychological study discusses reasons for bribery. Study findings show
that people who are involved in bribery are psychopathtic and suffer various kinds of phobia and low morale
and mostly work in services sector such as customs, passports, taxes, and finance departments;
(5) Bell, Peter, Frain, Felicity Marie, and Lauchs, Mark (2013): This paper explores the literature
surrounding the under-researched phenomenon of international bribery. It identifies significant gaps in the
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literature, in particular the effectiveness of policy approaches, the prevalence of international bribery, the
occurrence of private-to-private sector international bribery and a clear understanding of how this form of white
collar crime can effectively be detected, investigated, and prevented. Considering the definitions, impacts on
society, the policy approaches and difficulties in controlling white collar crime, and international bribery;
(6) Sabau and Elina Monica (2013): This paper shows the limits of the perception indexes issued by
Transparency International and World Bank Institute in assessing the audit risk or fraud risk at company level
and national economic environment. Instead, it presents an advanced econometric analysis for corruption level
assessment. It demonstrates that using factor analysis by auditors becomes an instrument of major importance
in determining accurate audit risk or fraud risk associated with national economic context;
(7) Zaloznaya and Marina (2012): This article explores the variation in bureaucratic bribery practices of
ordinary Ukrainians. It shows that participation in corruption is closely associated with actors’ exposure to
organizational cultures. Interviews with university-affiliated Ukrainians those students and professors acquire
crime-related definitions through encounters with institutionalized bribery mechanisms, conversations with
peers and colleagues with more substantial experience within specific universities, and observations of other
students and instructors. The article concludes with a brief discussion of the potential synthesis of differential
association and organizational theories as a powerful tool for the study of bureaucratic corruption;
(8) Nell and Mathias (2009): This paper argues from a legal perspective that contracts obtained by means
of bribery should be valid. Nullity and voidability decrease the incentive for voluntary disclosure, assist corrupt
actors with enforcing their bribe agreements, and provide leeway for abuse.
Thus, they run counter to effective anti-corruption. It is argued that other instruments are more suitable for
preventing corruption.
The Field Study
In order to achieve study objectives a random sample consists of (600) people was chosen from Kuwaiti
society which represent government officials, private sector employees, university students, retirees, and
business people. A pilot study on a sample of (30) individuals represent all groups has been conducted at the
outset to make sure of the clarity of the research tool and its consistency. The Cronbach coefficient was (0.78) for
all questions in the questionnaire which is consistent with the statistical standards. The second step which took
place in April 2012, was distributing questionnaires. A total number of (465) of completed questionnaires were
analyzed which represent (77.5%) of the sample size. The distribution of the sample is shown in Table 1 where
males constituted (59.8%), females (40.2%). According to age groups, 25-40 years old were (40.4%), less than
25 years old (30.1%), and (29.1%) 41 years old and more. Government employees constituted (21.7 %) of the
sample, employees in the private sector (22.8%), university students (17%), retirees (22.4%), and self-employed
(16.1%). With regard to nationality (73.1%) of respondents were Kuwaitis and (26.9%) non-Kuwaitis.
In order to analyze study results, the statistical package (SPSS, Version 20) was used to calculate
frequencies, percentages, means, standard deviations, and one Way Analysis of Variance. Besides that,
qualitative analysis of open questions was conducted.
Findings
Table 1
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Distribution of the Study Sample
Variable Frequency % 1. Identity
Government employees Private company employees University students Retirees Self-employed (Business People)
101 106 79
104 75
21.7 22.8 17 22 16.1
2. Age group Less than 25 years 25-40 years 41 years and more
140 188 137
30.1 40.4 29.5
3. Education Secondary Two years college First university degree Graduate study
74 97
241 53
15.9 20.9 51.8 41.4
4. Gender Male Female
278 17.8
59.8 40.2
5. Nationality Kuwaiti Non-Kuwaiti
340 215
73.1 26.9
Total 465 100
The Concept of Bribery
The first four questions in the questionnaire focused on the concept of bribery. The analysis shows that an
average statistical mean of responses to the first question if employees asked for or received bribery in
exchange of illegal services was (3.75) points on Likert’s five points scale as shown in Table 2, This result
reflects a high level of consensus among respondents on the conception of bribery.
Magnitude of Bribery
With regard to magnitude of bribery in Kuwaiti administration, responses to questions in this regard indicate
as shown in Table 3 that (32.3%) of respondents believe that bribery is prevalent at a level of 10-20% (26%) more
than 20%, and (24.1%) 10-20%, (13.3%) 1-5%, and (4.3%), less than 1%. These results mean that bribery is a
common practice in Kuwaiti public administration. This conclusion is substantiated by responses to question No.
6 with regard to the bribery practices in the public sector in comparison with the private sector. As Table 4 shows
that means on Likert’s scale with regard to bribery in the government sector is higher than the private sector
(3.91), higher among employees at higher levels (3.54), local business people are more aggressive in giving
bribes (3.55) in comparison with foreigners (3.40). With regard to gender, results show that male employees take
bribes (3.46) more than their female colleagues (2.56). Moreover, study results show that bribery is a common
practice in Kuwaiti administration (3.60), Kuwaitis and non-Kuwaitis take bribes (4.14) and bribery is higher for
non-Kuwaitis (2.56) than the Kuwaitis (2.32), though the mean of their belief that the state is serious in
eradicating bribery is only (2.99) points.
On Likert’s five points scale, means of respondents’ approval that Kuwaiti employees take bribes were
(2.32), non-Kuwaiti employees (2.56), and all employees (4.13). These findings show conclusively public
acceptance of bribery and non-Kuwaitis are more receptive to bribery than Kuwaiti employees. Moreover, it is
obvious that bribery is prevalent in all government agencies with a mean of (3.60). This conclusion is
substantiated as the mean of respondents’ approval that bribery is common in Kuwaiti administration was (2.71)
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points. With regard to the seriousness of government in fighting bribery, the study shows a mean of (2.99) which
reflects public skepticism of the seriousness of the state in this regard.
Table 2 Means and Standard Deviations of Responses Regarding Conception of Bribery
Question No. Mean Standard deviation
1 3.75 1.350
2 3.22 1.336
3 3.31 1.361
4 2.96 1.333
General mean 3.31
Table 3 The Level of Involvement in Bribery
% Frequency Degree of Involvement
4.3 20 Less than 1%
13.3 62 1-less than 5%
24.1 112 5-less than 10%
32.3 150 10-less than 20%
26 121 20% and more
100 465 Total
Table 4 Areas and Forms of Bribery Practices
Question No. Means Standard deviation
6 Bribery is practiced more in the public sector than the private sector 3.91 0.986
7 Bribery increases among higher administrative levels rather than lower levels 3.54 1.133
8 Local business people who give bribes to employees 3.55 0.948
9 Foreign business people present bribes to employees 3.40 1.011
10 Male employees receive bribes more than female employees 3.46 1.023
11 Kuwaiti employees receive bribes 2.32 0.993
12 Non Kuwaiti employees receive bribes 2.56 1.149
13 Kuwaiti and non Kuwaiti employees receive bribes 4.13 0.902
14 Bribery is a common practice in government agencies 3.60 1.044
15 Bribery increases in Kuwaiti administration 2.71 1.054
16 Bribery decreases in Kuwaiti administration 3.54 0.980
17 The Kuwaiti State is very serious in eradicating bribery 2.99 1.276
General mean 3.31
Consequences of Bribery
Study results reveal that bribery has many implications and can lead to great negative impacts on society,
which are in a descending order, as shown in Table 5:
(1) Corrupting work environment;
(2) Disrespect of public law;
(3) Hurting the image of government institutions;
(4) Sacrificing people’s rights;
(5) Weakening institutional loyalty;
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(6) Poor corporate performance;
(7) Weakening sense of citizenship.
Table 5
Consequences of Bribery Question No.
Consequences Mean Standard deviation
26 Poor corporate performance 4.4989 0.66994
27 Corrupting work environment 4.6215 0.61129
28 Weakening institutional loyalty 4.5075 0.74020
29 Hurting the image of government institutions 4.5699 0.70707
30 Weakening sense of citizenship 4.3957 0.82940
31 Loss of citizens’ rights 4.5570 0.72922
32 Disrespect of public law 4.6172 0.68207
General mean 4.53
High means of respondents’ approval of negative consequences of bribery reflects strong public belief how
harmful bribery can be on society on all fronts which necessitates serious efforts to eradicate this phenomenon.
The above mentioned results with regard to the four researched dimensions of bribery reveal, as shown in Table 6,
are compatible as the overall statistical means were for conception (3.31), magnitude (3.33), reasons (4.00), and
consequences of bribery on Likert’s five points scale (4.53).
Table 6
Means and Standard Deviations of the Various Dimensions of Bribery
Bribery dimensions Conception Magnitude Reasons Consequences
Mean 3.31 3.33 4.00 4.53
S.D. 0.965 0.451 0.568 0.527
Government Employees Engaged in Bribery
Study results show in a descending order public officials who take bribes work, as shown in Table 7, in the
following government agencies:
(1) Customs and Tax Administrations;
(2) Ministry of Interior;
(3) Ministry of Municipality;
(4) Ministry of Finance and related departments;
(5) Department of Prisons;
(6) Departments of Real Estate;
(7) Department of Tenders and Procurement practices;
(8) Ministry of Education and related Institutions;
(9) Judiciary/Prosecution;
(10) Ministry of Information and related Departments.
Admitting Bribery Practices
Study results as shown in Table 8 show that (14.8%) of respondents admit that they paid bribes to employees,
(78.7%) never paid bribes, and (6.5%) did not answer the question. These results indicate that bribery is a
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common practice in Kuwaiti administration.
Table 7 Frequencies and Percentages of Respondents Regarding Government Employees Who Take Bribes Rank Government agency Frequency %
1 Customs and tax agencies 367 78.9
2 Ministry of interior 366 78.7
3 Ministry of municipality 365 78.5
4 Departments of purchase, tenders, and practices 360 77.4
5 Ministry of finance 359 77.2
6 Department of prisons 357 76.8
7 Department of real estate registration 354 76.1
8 Ministry of education 351 75.5
9 Judiciary, prosecutors 347 74.6
10 Media institutions 345 74.2
Table 8 Admitting Paying Bribes
% Number Engagements in bribe
14.8 69 Paid bribes
78.7 366 Did not pay bribes
6.5 30 No answer
100 465 Total
Ways of Knowing About Bribery
Study results, as shown in Table 9, indicate that (12.7%) of respondents mention that government officials
demanded bribe, (40.9%) knew about bribes from others, and (3.1%) took the initiative to pay bribes to facilitate
their transactions, and (43%) did not know about bribery.
With regard to the amounts paid as bribes, study results, as shown in Table 10, reveal that (4.5%) of
respondents mentioned that they paid less 10 KD (Kuwaiti Dinar), (1.7%), (10-20 KD), (6.9%) (20-50) KD, and
(7.7%) more than (50) KD. Findings show that (7.7%) of respondents paid more than (50 KD), and (6.9%) paid
(20-50) KD.
Table 9 Ways of Knowing About Bribes
% Number How knew that I have to pay bribes
13.1 61 From employees
40.9 190 From ordinary people
3.0 14 By myself
43.0 200 Did not pay bribe
100 465 Total
With respect to previous knowledge of those who paid bribes that this is unlawful and constitutes a crime,
the study, as shown in Table 11, indicates that (77.8%) of respondents knew that bribery is illegal, (9.9%) did
not know that bribery is illegal, and (12.3%) did not answer the question.
Table 10 Amounts of Bribes
% Number Amount in KD
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78.7 366 Did not pay
4.7 22 Less than 10 KDs
1.9 9 10-less than 20 KDs
6.9 32 20-less than 50 KDs
7.7 36 50 KDs or more
100 465 Total
Table 11 Previous Knowledge That Bribe Is Illegal
% Number Knowing that bribe is illegal
77.8 362 Know
9.9 46 Do not know
12.3 57 Not sure
100 465 Total
Study findings show that 77.8% of respondents knew that paying bribe is a crime but nevertheless paid
bribes which reflect social tolerance of bribery.
Reasons for Bribery
With regard to reasons of bribery in Kuwaiti administration, the study identifies as shown in Table 12,
many reasons which are, in a descending order, as follows:
(1) Lack of religious faith;
(2) Weak control;
(3) Greed;
(4) Lack of legal penalties;
(5) Complication of procedures and red tape;
(6) Social tolerance of bribery;
(7) Lack of legal education;
(8) Low income.
Table12 Reasons of Bribery Question No. Reason Mean Standard deviation
18 Weak of control 4.3677 0.80692
19 Lack of legal penalties 4.1355 0.99834
20 Low income 3.6323 1.19095
21 Greed 4.1548 0.88187
22 Social tolerance of bribery 3.6968 1.14681
23 Lack of adherence to religious values 4.4882 0.82287
24 Lack of legal education 3.6946 1.14718
25 Complicated procedures and red tape 3.8860 1.16427
General mean 2.98
Bribery and Personal Characteristics
In order to see relationships between bribery and personal characteristics correlation analysis was conducted.
The analysis revealed as Table 13 shows weak positive relationships between gender, magnitude, reasons and
negative relationships with conception and effect of bribery.
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Table 13 Correlation of Concept, Magnitude, Reasons, Effect of Bribery and Personal Characteristics Conception Magnitude Reasons Effect Gender Pearson correlation
-0.120
0.033
.016
-0.003
Significance level. (2-tailed) 0.010* 0.475 .731 0.948
Number of cases 465 465 465 465 Age Pearson correlation
0.094
0.000
-0.011
0.018
Significance level. (2-tailed) 0.042** 0.993 0.814 0.693
Number of Cases 465 465 465 465 Education Pearson correlation
0.118
0.038
0.070
0.133
Significance level. (2-tailed) 0.011** 0.417 0.134 0.004
Number of Cases 465 465 465 465 Workplace Pearson correlation
-0.010
0.030
0.169
0.085
Significance level. (2-tailed) 0.824 0.518 0.000** 0.068
Number of Cases 465 465 465 465 Nationality Pearson correlation
-0.053
-0.049
-0.110
-0.014
Significance level. (2-tailed) 0.252 0.293 0.018** 0.757
Number of Cases 465 465 465 465
Notes. * Correlation is significant at the 0.01 level (2-tailed); ** Correlation is significant at the 0.05 level (2-tailed).
In order to see relationships between administrative levels, gender, and bribery, a correlation analysis was
conducted. The analysis revealed as Table 14 shows, positive relationship (0.100 *) between conception of
bribery and administrative level, and insignificant positive relationship (0.028) between bribery and gender.
To examine whether bribery varies with personal characteristics, ONE WAY ANOVA was conducted. As
shown in Table 15, the conception of bribery only varies at a statistically significant level among respondents
according to gender but not its magnitude, reasons, or consequences.
Table 14 Correlations Between Conception of Bribery, Administrative Level, and Gender
Correlation Coefficient Conception of Bribery
Pearson correlation 0.100*
Significance level. (2-tailed) 0.032
Number of cases 465
Gender
Pearson correlation 0.028
Significance level. (2-tailed) 0.546
Number of cases 465
Note. * Correlation is significant at the 0.05 level (2-tailed).
With regard to respondents’ views toward bribery with regard to age, study results, as shown in Table 16,
reveal no variation at any statistically significant level in conception, magnitude, reasons, or consequences of
bribery.
Table 15
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One Way Variance of Perception, Magnitude, Causes, and Consequences of Bribery According to Gender
Sum of squares Df Mean square F Significance level
Conception
Between groups 6.216 1 6.216 6.747 0.010*
Within groups 426.506 463 0.921
Total 432.721 464
Magnitude
Between groups 0.105 1 0.105 0.511 0.475
Within groups 94.661 463 0.204
Total 94.765 464
Causes
Between groups 0.038 1 0.038 0.118 0.731
Within groups 150.033 463 0.324
Total 150.071 464
Consequences
Between groups 0.001 1 0.001 0.004 0.948
Within groups 129.242 463 0.279
Total 129.243 464
Note. * Statistically significant at the level of significance (0.05).
Table 16
One Way Variance of Conception, Magnitude, Causes, and Consequences of Bribery According to Age
Sum of squares Df Mean square F Sig.
Conception
Between groups 3.947 2 1.973 2.126 0.120
Within groups 428.774 462 0.928
Total 432.721 464
Magnitude
Between groups 0.054 2 0.027 0.133 0.876
Within groups 94.711 462 0.205
Total 94.765 464
Causes
Between groups 0.259 2 0.130 0.399 0.671
Within groups 149.812 462 0.324
Total 150.071 464
Consequence
Between groups 0.060 2 0.030 0.107 0.899
Within groups 129.183 462 0.280
Total 129.243 464
As far as respondents’ views of bribery due to level of education, study results, as shown in Table 17,
indicate that responses vary at a statistically significant level with regard to conception and consequences but
not to magnitude and causes of bribery.
With respect to respondents’ views of bribery due to type of agency, study results, as shown in Table 18,
indicate variations at statistically significant levels with regard to conception and causes but not to magnitude and
consequences of bribery.
Table 17
One Way Variance of Conception, Magnitude, Causes, and Consequences of Bribery According to Education
Sum of squares Df Mean square F Sig.
Conception
Between groups 12.570 3 4.190 4.597 0.003*
Within groups 420.151 461 0.911
Total 432.721 464
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(Table 17 continued)
Sum of squares Df Mean square F Sig.
Magnitude
Between groups 0.281 3 0.094 0.457 0.712
Within groups 94.484 461 0.205
Total 94.765 464
Reasons
Between groups 1.151 3 0.384 1.188 0.314
Within groups 148.920 461 0.323
Total 150.071 464
Consequences
Between groups 2.427 3 0.809 2.940 0.033*
Within groups 126.817 461 0.275
Total 129.243 464
Note. * Statistically significant at the level of significance (0.05).
Table 18 One Way Variance of Conception, Magnitude, Causes, and Consequences of Bribery According to Agency Sum of squares Df Mean square F Sig.
Conception
Between groups 10.003 4 2.501 2.721 0.029*
Within groups 422.718 460 0.919
Total 432.721 464
Magnitude
Between groups 0.211 4 0.053 0.256 0.906
Within groups 94.555 460 0.206
Total 94.765 464
Causes
Between groups 4.816 4 1.204 3.813 0.005*
Within groups 145.255 460 0.316
Total 150.071 464
Consequences
Between groups 2.080 4 0.520 1.881 0.113
Within groups 127.163 460 0.276
Total 129.243 464
Note. * Statistically significant at the level of significance (0.05).
With regard to variations in respondents’ views of bribery due to nationality, study results, as shown in
Table 19, show that respondent’s views vary at statistically significant levels only in magnitude but not in
conception, causes, or consequences of bribery.
Table 19 One Way Variance of Perception, Magnitude, Causes, and Consequences of Bribery According to Nationality Sum of squares Df Mean square F Sig.
Conception
Between groups 1.228 1 1.228 1.318 0.252
Within groups 431.493 463 0.932
Total 432.721 464
Magnitude
Between groups 0.227 1 0.227 1.110 0.293
Within groups 94.539 463 0.204
Total 94.765 464
Causes
Between groups 1.813 1 1.813 5.663 0.018*
Within groups 148.258 463 0.320
Total 150.071 464
Consequences
Between groups 0.027 1 0.027 0.096 0.757
Within groups 129.216 463 0.279
Total 129.243 464
Note. * Statistically significant at the level of significance (0.05).
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Conclusions and Recommendations
Conception and Magnitude of Bribery in Kuwaiti Administration
As shown in Table 6, there is common conception of bribery (3.31), its magnitude (3.33), causes (4.0), and
consequences (4.53). Moreover, 21.3% of respondents agree that bribery as an illegal practice means that
government officials benefit and make personal gains from people in exchange of favors or services they provide
to them.
There is consensus among respondents that bribery is more widespread in the government sector than the
case in the private sector due to the discretionary powers which public servants enjoy which tempt them to use for
personal interests by accepting bribes. Moreover, study results show that bribery is practiced by both local and
foreign businessmen. This conclusion is substantiated by a positive correlation (0.10*) at a statistically
significant level between employees’ administrative level and engagement in bribery.
Study results show that 13.8% of respondents think that bribery is widespread in all government agencies
and 12.2% think it is increasing, 56.6% of think that non Kuwaitis take bribes. Moreover, study results show that
17.6% of respondents think that bribery practices in Kuwaiti society range from 10%-20%, (58.3%) 1—less than
5%, and (24.1%) 5%-10%.
Study findings show that 36.1% of respondents think that the state is not serious enough in fighting bribery,
and 27.1% did not have a clear opinion on the subject.
Causes of Bribery
As far as reasons of bribery in Kuwaiti administration, study findings show in a descending order several
causes which are as follows:
(1) Lack of adherence to religious values;
(2) Weak control;
(3) Greed;
(4) Lack of legal penalties;
(5) Complication of work procedures;
(6) Social tolerance of bribery;
(7) Lack of legal education;
(8) Low income.
Consequences of Bribery
Study results show low level of public awareness in society of the negative consequences of bribery on
society as only 1.1% of respondents think that bribery weakens institutional performance of government
institutions, 1% think that bribery spoils work environment and decrease institutional loyalty, 2.1% bribery
distorts government’s image and weakens sense of national belonging, 2.4% think it sacrifices public interest
and private rights, and 2.1% think its contributes to the dissemination of a culture of disrespect for the law.
Which Government Agencies Are Engaged in Bribery
Study findings show categories of employees which were involved in bribery practices. These categories
which are in different types of government agencies are in a descending order as follows:
(1) Departments of customs and tax;
(2) Ministry of interior;
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(3) Ministry of municipality;
(4) Ministry of financial and related departments;
(5) Department of prisons;
(6) Department of real estate;
(7) Department of tenders and procurement practices;
(8) Ministry of education;
(9) Judiciary/Prosecution departments;
(10) Ministry of information and related departments.
Ways of Knowing About Bribery
Study results show that 12.7% of respondents mention that employees asked them directly to pay bribes,
40.9% knew from others that they need to pay bribes, 3.1% reported that they themselves offered employees
bribes to facilitate their transactions, and 43% did not go through the experience of bribery. With regard to
amounts paid as bribes, study results showed that 4.5% of respondents mentioned that they paid less than 10 KD,
1.7% (10-20 KD), 6.9% (20-50 KD), and 7.7% paid more than (50 KD). This shows that the largest percentage of
those who paid a bribe, 7.7% paid more than (50 KD), followed respectively 6.9% by those who paid (20-50 KD).
Knowledge of Illegality of Bribery
Study results show that (77.8%) of respondents mention that they knew that bribery is a crime punishable by
law, (9.9%) did not know that it was a crime, and (12.3%) did not respond. These results show that Kuwaiti
society tolerates bribery and does not see it a serious problem.
Personal Characteristics and Bribery
With regard to the relationships between personal variables and bribery, study findings show that
respondents view on bribery do not vary due to gender but only in its conception. This might be explained by
prevailing cultural norms which make men have more access to bribery practices than women. Likewise,
variations at statistical significant levels were found in respondents’ views only on the conception and
consequences but not on magnitude and causes of bribery according to education level. This can be explained as
highly educated respondents are more aware of bribery practices and its negative results on society than less
educated employee. As far as nationality is concerned, study results show that respondent’s views vary at
statistically significant levels only in their view of magnitude of bribery but not in its conception, causes, or
consequences. This might be explained because Kuwaitis have more access to information regarding bribery
practices than non-Kuwaitis.
In the light of study findings, some recommendations can be suggested. Government agencies have to exert
intensive efforts to raise public awareness of the seriousness of bribery and its negative repercussions on society.
Such efforts are of prime importance at a time where Arab countries face social and political unrest which
represent the most serious manifestations against corruption, injustice, inequity, and bribery which come on top
list of slogans in demonstrations against governments. The roles of media and religious institutions are of prime
importance in this regard as the study shows social tolerance of bribery and lack of adherence to religious values.
It is important to hold a national conference on the problem of bribery in Kuwait to shed light on this
problem them and discuss way to eradicate this serious problem. Conducting training programs, seminars, and
workshops which focus on bribery as a crime and its adverse effects on the image of the government, its
employees, and on society at large are necessary. This is important in view of study findings of positive
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relationship between administrative level and bribery, which hold top administration a special responsibility to
address this problem.
It may be important to reconsider salary scales for non-Kuwaitis as study findings show that 56.6%
of respondents mention that non-Kuwaitis take bribe and one reason for this is low income. It is
illogical to discriminate in salaries paid for the same job as this might be taken as justifications for taking
bribes.
Government agencies must simplify procedures, prepare and distribute brochures to service
recipients stating their access rights to services, and specify documents, conditions, and time needed for
getting the service, and what they can do in the event of a delay of service. This would reduce people’s
resort to pay bribes to get services. This is important because study findings show that people’s ignorance
of their rights besides complicated procedures come in the third and fourth ranks as reasons for paying
bribes.
Reconsideration of legislations which relate to the penalties for bribery and tightening sanctions, as study
findings show that despite the majority of employees learned that receiving bribery is illegal but
nevertheless they take bribes. This explains the lack of deterrent penalties which came in fifth place as
one of the reasons of bribery. Tightening internal and external government control and lawful penalties for
employees who take bribes, because study findings show that the weak oversight comes as the sixth cause of
bribery.
References Aidt, T. S. (2003). Economic analysis of corruption: A survey. Economic Journal, 113(491), 632-652.
Aisaway, T. A. M. (1992). The most important factors responsible for bribery behavior (An MA thesis of Psychology). Egypt:
Tanta University.
Al Ghassab, A. B. N. (2011). The Sharia approach in protecting society from financial and administrative corruption. Naïf Arab
University for Security Sciences, Riyadh. Saudi Arabia.
Al-Jaouni, F. K. (2009). A statistical descriptive analytical study of administrative and financial corruption indexes and its effect
on human development index: An empirical study on Arab countries. Damascus University Journal for Economic and Law
Sciences, 25(2), 117-195.
Bell, P., Frain, F. M., & Lauchs, M. (2013). Investigating international bribery and the applicability of routine activity theory: A
literary review. International Journal of Business and Commerce, 2(10), 79-94.
Caselli, F. (2005). Accounting for cross-country income differences. In P. Aghion, & S. Durlauf (Eds.), Handbook of economic
growth. Amsterdam: Elsevier.
Jain, A. K. (2001). Corruption: A review. Journal of Economic Surveys, 15(1), 71-211.
Lambsdorff, J. G. (2003). How corruption affects productivity. Kyklos, 56(4), 457-474.
Madkoor, H. (1997). Bribery crime in Islamic jurisprudence: A comparative study. Alexandria: Alexandria
University.
Meon, P. G., & Weill, L. (2005). Does better governance foster efficiency? An aggregate frontier analysis. Economics of
Governance, 6(1), 75-90.
Nell, M. )2009( . Contracts obtained by means of bribery: Should they be void or valid? European Journal of Law and Economics,
27(2), 159-176.
Nwabuzor, A. (2005). Corruption and development: New, initiatives in economic openness and strengthened rule of law. Journal
of Business Ethics, 59(1-2), 121-138.
Sabau, E. M. (2013). Corruption and bribery assessment: Econometrics algorithms and perception index. Management &
Marketing Challenges for the Knowledge Society, 8(1), 209-227.
Shehatah, M. R. M. (1992). Bribery psychology: A study of personality and social socialization of bribed employees (An MA
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thesis of Psychology). Egypt: Ain Shams University.
Social Contract Center. (2011). Reasons of corruption in Egypt before June 25, 2011: Towards a futurist perspective for
preventing and combating bribery. Cairo.
Zaloznaya, M. (2012). Organizational cultures as agents of differential association: Explaining the variation in bribery practices in
Ukrainian universities. Crime Law Social Change, 58, 295-320.
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Journal of US-China Public Administration, ISSN 1548-6591 November 2013, Vol. 10, No. 11, 1098-1114
Management Control, Performance Factor in Moroccan
Universities “Case of the University Hassan I of Settat”
Fatima Ouahraoui, Mohamed Makhroute, Nada Soudi, Said Elmezouari
National Business School, Settat, Morocco
University of Hassan I, Settat, Morocco
Laila Loukili Idrissi
University of Hassan I, Settat, Morocco
The reform of higher education and the promulgation of the Law 01-00 in 2000 were a solid foundation of
governance renovated in Moroccan universities. In 2009 the emergency plan has come to supplement and reaffirm
the achievements of this reform. Indeed, following the deployment of the emergency plan and the introduction of an
approach to contracts and projects in public education, Moroccan universities have moved from a logic means to a
logic of results. Faced with this situation, and in order to ensure effective control, effective and efficient emergency
plan, management control is then the “backbone” to meet the challenge of all reforms and make successful its
deployment.
Keywords: emergency plan, university reform, contracting, management control
Moroccan universities are now facing a number of changes that affect their missions and modes of
operation, whether in economic, social, or cultural levels. Their environment has become increasingly
competitive and demanding both in terms of quality of basic services as their modes of governance.
Indeed, the reflection and the desire to renovate the university governance in Morocco and implement a
modern management in the university are not new.
Several innovative projects have translated this willingness. On one hand the Law 01-00 enacted by Dahir
No. 1-00-199 of 19 May 2000, on the organization of higher education, through the Law 69-00 promulgated by
Dahir No. 1-03-195 of 11 November 2003 organizing the financial control procedures of the state owned
enterprises (including universities). On the other hand the 2009 emergency plan with an approach to
management by objective.
Fatima Ouahraoui, Ph.D. candidate in National Business School (University of Hassan I); research fields: management control
in public organizations, new public management, university governance. E-mail: [email protected]. Corresponding author: Mohamed Makhroute, Ph.D. candidate in National Business School (University of Hassan I); research
field: financing of private organizations. E-mail: [email protected]. Nada Soudi, Ph.D. candidate in National Business School (University of Hassan I); research field: innovation in organizations.
E-mail: [email protected]. Said Elmezouari, Ph.D., professor in National Business School (University of Hassan I); research fields: financial, accounting
and management control. E-mail: [email protected]. Laila Loukili Idrissi, project officer to the president of University of Hassan I; research field: university governance. E-mail:
D DAVID PUBLISHING
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Establishing a contractual logic of development in Moroccan universities, the emergency plan is
project-based contracts under the plan.
From this perspective, the emergency plan came with a management approach that allows the university a
management by objectives, whose achievement is sanctioned by the budgets allocated by the Ministry of
Higher Education, negotiated with the Ministry of Finance and disbursed according to the objectives achieved.
To this end, the Moroccan university has grown from a logic of means to a logic of results, based on a
particular performance management to promote a dialogue management.
Face looking proclaimed performance, university presidents are thus led to set up a government renovated.
Management control appears as the “spearhead” of all reforms.
This communication describes an experience in a Moroccan university. These are mainly:
(1) Describing one’s experience with the new approach to management by objectives, in terms of budget
execution, and monitoring qualitative and quantitative performance indicators;
(2) Show through the constraints faced by the university, the usefulness of setting up a management
control system that meets current needs and future of good university governance as part of the logic of contract
brought by the plan emergency.
Our research was conducted at the University of Hassan I, one of the youngest Moroccan universities
hosting more than 11,000 students and public institutions including six multidisciplinary namely:
(1) Faculty of Science and Technology (FST) in Settat;
(2) The National School of Business and Management (ENCG) in Settat;
(3) The Faculty of Law Economics and Social science (FSJES) in Settat;
(4) Faculty polydisciplinary (FPK) in Khouribga;
(5) The National School of Applied Science (ENSA) in Khouribga;
(6) The Higher School of Technology (EST) at Berrchid.
On the theoretical level, it is proposing a reflection on a model of management control in terms of the
levers of control model developed by Simons (1995), as part of a process of diagnostic and interactive control
of a new university governance.
Methodologically, the research is based on a constructivist approach, in which the model is not given a
priori, but is subject to a process of social construction, for all the actors involved in the project. It fit also as
part of a research intervention referred transformative. The tools used are the literature review, interviews with
stakeholders of the university and the department, and working sessions with project coordinators involved in
the emergency plan.
After having discussed the Moroccan university governance, the forms of its organization of monitoring
and evaluation as well as the contribution of the emergency plan as a new mode of governance, It will show the
issues of management control through the case of the University of Hassan I, the results will take it back to
provide a reflection on a model of management control adapted to the strategic stakes of the university.
The University Governance in Morocco: The Organizational Arrangements and Methods of Control
In practical terms, the notion of governance refers to the idea of operating a management style. This mode
of management has progressed from private to public company expected to improve results.
However, the adoption of a management style requires an organization in the structure of decisions and
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CASE OF THE UNIVERSITY HASSAN I OF SETTAT
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actions as well as a monitoring and evaluation devices.
The organizational arrangements of universities: the provision of the Law 01-00.
The promulgated Law 01-00 by the Dahir No. 1-00-199 of 19 May 2000, has a principal objective, that of
organizing the higher education in Morocco.
In the Article 4 of Law 01-00, the universities are established by law in accordance with Article 46 of the
Constitution. They are public institutions with legal personality and administrative and financial autonomy.
They are placed under the guardianship of the state.
The Missions of the University
In addition to their academic training missions and scientific research, the law of 01-00 has strengthened
the role of the university by reforming the Moroccan system of higher education, to be adaptabe to the
international standards of quality and relevance of performance.
The law has extended the missions of the university, giving it more flexibility and action to develop,
allowing them to:
(1) Ensure the provision of services for consideration;
(2) Create innovative business incubators operating in patents and licensing and marketing the products of
their activities;
(3) Make investments in public and privat;
(4) Create subsidiary companies in the economic, scientific, and Cultural domaines (Article 7 of Law
01-00).
The Management Bodies of the University
Universities are managed by a board of the university governing body on all matters relating to missions
and the functioning of the university (Section 12).
It consists of several members and is chaired by the university president and a board management that is
responsible for administrative and financial affairs of the university.
The Staff of Universities
Section 17 of the Act provides that the personal status of universities and their benefits system are fixed by
decree, which limits the autonomy of universities in human resource management.
The Accounting and Financial Management of Universities
The Moroccan university as a public organism, is submitted to the rules of the public accounting under the
provisions of Royal Decree No. 330-66 of 21 April 1967, which states that financial obligations to public
officers and public accountants.
The authorizing public revenue and expenses, being the president of the university, has the capacity to
initiate, record, liquidate, or order the recovery of a debt or the payment of a debt. The public accountant, is a
civil servant with the quality to execute on behalf of the university operations revenues, expenses, or handling
of securities.
The higher education institutions belonging to the university do not have moral personality, they are not
competent to order or to see the revenue or expenses, the university president has to delegate his signature to
the heads of institutions as sub-officers.
However, the revenues of universities are composed mainly of government grants, fees collected under
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continuing education, products and profits from the work of research and services, including the work of
expertise, products and profits from its operations and its heritage. While expenses include salaries and
allowances treatments served to staff, capital expenditure and operating (Article 18 of Law 01-00).
The Arrangements for Monitoring and Evaluation of Universities
The Law 69-00 of the Dahir No. 1-03-195 of 11 November 2003 concerning the financial control of the
state-owned enterprises and other organizations, has come to:
(1) Ensure regular monitoring of the management of organizations subject to financial control;
(2) Ensure the consistency of its economic and financial operations in terms of legal;
(3) Assess the quality of their management of economic and financial performance and compliance of their
management missions and objectives assigned to them;
(4) Work to improve their information systems and management.
The Moroccan university, a public institution with legal personality and financial autonomy is vested with
a public mission of serving the public purse.
Since universities do not have eligibility criteria which are an information system and management
performance1 including: a status of personnel, an organizational chart, a manual procedure and organization,
proper accounting, sincere and a certified Rules markets, a Multi-Year Plan and an annual management report
or a plan contract, it is subject to due diligence performed by the management of public enterprises and
privatization. This implies that a controller of the state, under the Ministry of Finance controls the operations,
while a paymaster validates spending and approval of strategic documents of the institution is given broadly to
the ministry.
The Emergency Plan: Toward a Renovated Governance of the Moroccan University
The emergency plan is the result of an inventory that reflects the mismanagement and misconduct of the
missions of the university.
The Context of Developing the Emergency Plan
Being on a number of evaluation reports, including the report of the Board of Higher Education in 2008
(CSE2), the education sector in Morocco is considered more difficult to know:
(1) A mismatch between the university and the labor market, the unemployment rate for graduates of higher
education is the highest compared to other categories of graduates. The average rate of 26% between 1999 and
2006 (43.6% for holders of advanced degrees) Report of the CSE 2008;
(2) An inconsistency between the private sector and mass selective studies in guidance from the high school
degree (baccalaureat). Seventy eight percent of graduates of the academic year 2006/2007 are branches of
literary and social science (CSE Report 2008);
(3) Insufficient infrastructure, the local university and training materials and human resources.
Given these facts, a royal decision was made to develop an emergency plan aimed at accelerating the
implementation of the reform over the next four years.
In response to the royal speech, the Ministry of National Education of Higher Education and Vocational
1 Abdelaziz Talbi: Ex-Director of public entreprises and privatization “meeting MENA-OCDE on corporate governance in public enterprises Rabat, September 14-15, 2005”. 2 National body to evaluate the system of education and training; chaired by Majesty King Mohammed VI.
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Training have initiated the development of a strategic review of education sector, through a consulting firm.
The said firm gave a report on strategic diagnosis of school education, higher education and vocational
training, which after approval of all concerned, namely the universities and the ministry, were the subject of a
plan action four-year plan called emergency.
The Emergency Plan was presented as organized around four areas of action each containing a set of
projects. Moreover, the adoption of a method of working out with those previously declined proved crucial.
The approach sat well on key levers:
(1) The definition of an ambitious plan outlined in great detail: areas of intervention, projects, action plans,
planning, resources;
(2) The adoption of a logical process, which has to involve all major players in the system of Education and
Training in the development of the Emergency Plan;
(3) The involvement of field actors to ensure declination “proximity” of each measure identified and ensures
the practical feasibility;
(4) The development of a tracking device that will close the best possible control of the implementation of
actions.
Emergency Plan Introduces the Logic of Contracting at the University
Following on the guiding principles and objectives set by the 2008 report of the CSE, 12 projects have
been identified for higher education and scientific research and this through three areas of intervention:
Area 1: To stimulate the initiative and excellence in high school and university:
Project 12: Promoting excellence;
Project 13: The development of the supply of higher education;
Project 14: Promotion of Scientific Research.
Area 2: Addressing cross-cutting issues of the system:
Project 15: Capacity building of staff of the University;
Project 16: Improving the governance of the University and strengthening its autonomy;
Project 17: Optimization of human resources management.
Area 3: Providing the means to succeed:
Project 18: Completion of the implementation of devolution/decentralization and optimizing the
organization of the Ministry;
Project 19: Planning and Management System of Education and Training;
Project 20: Language skills;
Project 21: Establishment of a system of efficient information and guidance monitoring and evaluation of
staff;
Project 22: Optimization and sustainability of financial resources;
Project 23: Mobilization and communication around the university.
For each project identified a form of operationalization was developed defining measures, strategic
objectives, indicators and resource mobilization.
Three fundamental principles of autonomy, professionalism and contracts were used as a guideline for
the design and articulation of the goals of the plan to meet the real needs of universities in terms of
infrastructure, diversification of training, promotion excellence, governance and openness to the
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socio-economic environment.
The universities have developed their plans for facilities in accordance with the principles, aims,
objectives, and measures of the Emergency Plan. These projects have been translated into concrete actions,
budgeted and which were planned in the period 2009-2012. They are subject to a four-year contract between
the State and the Universities.
To this end, the new contracting approach will strengthen the role of universities in the training of skills
for socio-economic development and position in the devices support the major projects of reform and sectoral
development conducted by the state.
The commitments of the universities as part of their contracts for the period 2009/2012 focused in
particular:
(1) The extension and upgrade university infrastructures;
(2) The development and diversification of the supply of training and orientation to the scientific, technical and
professional making sure this effort contributes to economic and social development at regional and national levels;
(3) Improving the quality of university education and the effectiveness of the university education system in
terms of internal and external efficiency;
(4) Promotion of scientific research and improving its governance and visibility of its performance;
(5) Optimizing the use of resources and institutional capacity building of governance of the University to
consolidate its independence.
In part against the state is committed to making available university the necessary means to achieve the
fixed objectives which include 12.6 billion Dirhams and 2,400 budget items over four years.
The implementation of these contractual commitments is accompanied by a monitoring and evaluation
built around the following axes:
(1) Monitoring committees of evaluation:
a. An internal committee at the University;
b. A central committee at the Ministry.
(2) Periodic reporting:
a. A progress report on the progress;
b. An annual report on the review of achievements.
(3) A set of indicators for monitoring (frequency biannual).
(4) An annual action plan.
(5) A process central to assessing the degree of achievement of objectives, proposals for improving
performance and direction of budgetary subsidies.
The Emergency Plan: Situation Case of University Hassan I
University Hassan I, one of the 15 universities that have signed the development contract with the
government represented by the Ministry of Higher Education Professional Training and Scientific Research and
the Ministry of Finance and privatization.
In addition to national objectives, development contracts reflect the university mission and strategy of
universities in the short to medium term, each according to his own vision of development that takes into
account the specific economic and social environment.
For this reason, the achievement of contract on which they are incurred directly translates into achieving
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their missions and their successful development strategy.
In our case it will try to highlight the experience of the University Hassan I, and it will try to show through
an example project, the Derg in achieving its objectives, commitment of budgets and monitoring its indicators.
The contract management tool case of the University Hassan I. The establishment of contracts is an act
of participatory management, which empowers the signatories and associates to the level of implementation
decisions.
University Hassan I in the person of its president signed a four-year plan beginning in 2009, with the
Ministry of Economy and Finance which is aimed at large development and upgrade University Hassan I.
The contract is for defining the commitments of the signatories for the implementation of the 2009-2012
development plan, integrating the project specific Emergency Plan at the University Hassan 1 of Settat. The
contract also defines the means required for this implementation and the monitoring and evaluation.
1. The commitments of the University.
The University will implement its development plan in order to achieve the targets of the emergency plan
details, by year, with a special focus:
(1) The development of the supply of higher education;
(2) Improved internal and external efficiency of the system;
(3) Promotion of scientific research;
(4) Capacity building of staff of the University through the implementation of a continuing education plan;
(5) Improving the governance of the University and strengthening its independence.
Thus, these goals are translated into targets, their translation appears as follows:
2. The commitments of the State.
The State undertakes to allocate at the University grants and capital and operating budget items necessary
for the implementation of the objectives of this contract. The commitments of the state subsidy and budget
items are stopped as follows (see Table 1 and Table 2):
Table 1
Grants Budget (in Millions of Dirhams)
2009 2010 2011 2012
Investissement 55 49 27 32
Fonctionnement 30 36 43 51
Total 86 85 70 84
Table 2
Budget Items
2009 2010 2011 2012
Postes budgétaires annuels 19 31 27 26
To achieve these projects, a resource team made up of vice presidents of the university and heads of
institutions under the university and coordinated by the university president, was set up in addition to an ad hoc
after the university council has been formed to monitor and review the various proposed projects (see Table 3).
The diagnosis of the situation after two years of signing the contract will enable the university to know the
strengths and weaknesses, and the foreseeable difficulties.
It will provide the information necessary for the establishment of a system of management control.
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Table 3
Details of Contractual Objectives 2009-2012 Year
Objectives and measurement indicators
Target values
2008-2009 2009-2010 2010-2011 2011-2012 2012-2013
1. Registration of students per school:
-Number of new students:
Institutions with open access (BAC):
Faculty of law, economics and social 1,021 1,550 1,688 1,750 1,815
Faculty polydisciplinary Khouribga 685 560 736 706 698
Subtotal 1 1,706 2,110 2,424 2,456 2,513
Institutions with regulated access
National school of business and management
With BAC Parallel track
90 0
180 20
180 30
200 40
240 40
National school of applied sciences
With BAC Parallel track
42 0
120 10
120 10
120 10
120 10
Higher school of technology
With BAC Parallel track
50 0
70 0
210 0
390 0
390 0
Faculty of science and technology
With BAC Parallel track
500 0
580 80
680 164
820 160
1,000 192
Subtotal 2 682 1,060 1,394 1,740 1,992
Total 2,388 3,170 3,818 4,196 4,505
-% Of new entrants in the professional courses open accessinstitutions
12.55 37.11 46.29 45.59 44.41
-% Of students enrolled in master degree 41.17 59.36 74.04 72.88 72.88
2. -Emulation of excellence
-Number of students awarded prizes 72 76 85 93
-% Of students awarded prizes 1 1 1 1
3. -Fight against repetition and dropout
-Dropout rate in the first year license 25 20 16.5 12
-Graduation rate
Any number of years 60 70 80 90 90
On the statutory degree 20 45 55 60 70
-Number of students with a tutor 1,176 1,130 1,162 1,219
-% Of student in first and second semesters license with a tutor 0 100 100 100 100
4. -Improved external efficiency
-Number of students license key chains have benefited fromprofessional modules in S5 and S63
801 1,894 3,363 4,338 4,502
-% Of undergraduate students who received basicvocational modules in S5 and S6
30 60 80 100 100
-Insertion rate
After six months 10 15 20 30
After 12 months 30 40 45 50
3 S5 and S6 means semester 5 & Semester 6.
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(Table 3 continued) Year
Objectives and measurement indicators
Target values
2008-2009 2009-2010 2010-2011 2011-2012 2012-2013
After 24 months 40 50 55 65
5. -Promotion of scientific research
-Number of publications in international journals indexed 32 40 50 60 100
-Number of publications with co-signature Moroccan 16 20 30 40 50
-Number of theses 4 10 15 30 50
-Number of applied research projects conducted with companies
-Number of patents 1 2 6 9
-% Of research units accredited 80 100 100 100 100
6. -Capacity building of staff through ongoing training
-Number of teachers who received training abroad 81 90 98 106
-% Of teachers who received training abroad 30 30 30 30
-Number of new teachers who received teacher training 12 30 24 30
-% Of new teachers who received teacher training 100 100 100 100
-Number of teachers who received teacher training 68 75 81 89
-% Of teachers who have benefited from teacher training 25 25 25 25
-Number of administrative and technicians who have received training
112 117 123 132
-% Of administrative and technicians who have received training
50 50 50 50
The realization of the diagnosis is based on the literature review, the collection of individual points of
view, particularly through interviews and by group work sessions.
The diagnosis will focus on two main components: the objectives of the contract (contractual indicators as
available data) and availability of resources for their implementation (budget execution).
Based on the table below, it is clear that the university comes to exceed its targets in comparison to the
situation in 2008 (base year), and against targets in respect of 2010. However negative differences are also
significant compared to targets (see Table 4).
What is noteworthy is that the rise of these indicators is a bottom-up, each institution as
these achievements and all these data are consolidated by the central coordinator of projects at the
university.
Among the difficulties encountered on the ascent and the calculation of these indicators, we can cite4:
(1) The lack of functional organization “fixed” and those responsible for systematic reporting and
information feedback. It means that coordinators at school level are not systematic and are not affected 100% to
the reporting and monitoring indicators;
(2) The frequency of back information is not systematic (monthly for example), it is usually in
connection with the preparation of progress reports or annual report, that institutions are beginning to send
their canvas;
(3) Poor communication about the indicators, explains the quality of indicators and the differences between
the assessment and evaluation.
The following is a summary table of actions Investment Project 13 and 14 which were the subject of
4 Based on work sessions with the project coordinators.
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contract at the University Hassan I: The quantities produced are expressed in square meters for construction,
development, maintenance and repair for building and related studies (see Table 5).
At work on these observations, it is clear that the establishment of a system of management control and
budget monitoring is essential (see Table 6).
After schematizing the process and segmenting activities around the university’s strategic objectives and
particularly empowering actors in relation to their missions, the university is required to develop monitoring
tools and evaluation of its activities.
Table 4 Based on the Annual Report of 2010, the Analysis of Indicators Related to the University Hassan I Contract
Targets Contract Hassan I University
2008 (base year )
2009 2010 2011 2012 2010 results
Gap/ 2008
Gap/ Target 2010
1. The develop ment of the supply of higher education
Student enrollment by institution:
Number of new students: 2,388 3,170 3,818 4,196 4,505
% Of new entrants in the professional courses open access institutions
12.55 37.11 46.29 45.59 44.41 29 +131% -37%
% Of students enrolled in master degree 41.17 59.36 74.04 72.88 72.88 54 +31% -27%
Emulation of excellence
Number of students awarded prizes 72 76 85 93
% Of students awarded prizes 1 1 1 1 0.8 -20%
Fight against repetition and dropout
Dropout rate in the first year license 25 20 16.5 12 17 -15%
Graduation rate regardless of the number of years
60 70 80 90 90 95 +58% +19%
Number of students with a tutor 1,176 1,130 1,162 1,219 12,169.3
+977%
% Of students in first and second semesters license with a tutor
0 100 100 100 100
2. Improving external efficiency
Number of students license key chains have benefited from professional modules in S5 and S6
801 1,894 3,363 4,338 4,502
% Of undergraduate students who received basic vocational modules in S5 and S6
30 60 80 100 100 100 +233% +25%
3. Promotion of scientific research
Number of publications in international journals indexed
32 40 50 60 100 24 -25% -52%
Number of publications with co-signature Moroccan
16 20 30 40 50
Number of theses 4 10 15 30 50 8 +100% -47%
Number of applied research projects conducted with companies
Number of patents 1 2 6 9 2 +0%
% Of research units accredited 80 100 100 100 100
4. Strengthening of staff skills through continuing education
Number of teachers who received training abroad
81 90 98 106
% Of teachers who received training abroad 30 30 30 30 26 -13%
Number of new teachers who received teacher training
12 30 24 30
% Of new teachers who received teacher training
100 100 100 100 50 -50%
Number of teachers who received teacher training
68 75 81 89
% Of teachers who have benefited from teacher training
25 25 25 25 60 +140%
Number of administrative and technicians who have received training
112 117 123 132
% Of administrative and technicians who have received training
50 50 50 50 31 -38%
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Table 5 Canvas of Chart Budget Execution for Each Establishment Project Measures Actions Investments
Project 13: Improved supply of higher
Rehabilitation, maintenance and equipment of universities
Common actions to all institutions
1. Planning of the presidency 2. Buy a car 3. Equipment from the presidency 4. Structuring of communication service 5. Optimization of information system for planning optimisation 6. Establishment of a process of internal evaluation within the university 7. Documentation center 8. Setting up a recycling center and transfer of technology 9. Extension of the car park of the university
Project 14: Promotion of research
Home capacity development
Specific actions to an academic institution
1. Equipment chains 2. Commercial vehicle 3. Offshoring 4. Establishment of a gravity irrigation
Common actions to all institutions
1. Setting up a system of guidance and information 2. Structure services human resource management 3. Language Resource Centerc 4. Construction of the club at the University
Specific actions to an academic institution
1. External relations services 2. Strengthening of research institutions 3. Cold Room
Table 6
Example of Constraints Related to Budget Execution According to the Assessment Report of the Ministry
Establishment Inconsistances budget
Case of ENSA
1. The construction project of the National School of Applied Sciences Khouribga at a cost of 55 MDHin Sheet Monitoring and 58 MDH in the tables of budget execution. Similarly, the physical and expenseare not reported in the Tracker, whereas the table of budget execution in May 2010 has issued a credit of5.025 MDH for this action. 2. The information in the monitoring form requested in the table: State of implementation of the action,have not been filled.
Case of EST
1. The construction project of the School of Technology Berrechid at a cost of 29 million dirhams in the tracking sheet and 40 million dirhams in the tables of budget execution. 2. The information in the Tracking Sheet requested in the table: State of implementation of the action, have not been filled.
Case of FPK
1. The proposed construction and equipment of the polydisciplinary Faculty of Khouribga at a cost of 125 million dirhams in the tracking sheet and 127 million dirhams in the tables of budget execution. 2. The information in the Tracking Sheet requested in the table: State of implementation of the action, were not informed.
Case of FST
1. For the mechanical center, the cost of equipment replacement is 570 KDH in Sheet and 1.4 MDH Monitoring in the table of budget execution. 2. The cost of equipment replacement is the 3.552 MDH in Sheet and 11.854 MDH Monitoring in the table of budget execution. 3. For courses of action equipment, the cost in the monitoring form is 9.945 MDH and the picture of budget execution of 14.714 MDH. For the same action, the information contained in sheet of % on acquisition of equipment (30%) is not consistent with the rate of the expenditure (91.5%).
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Issues of Management Control in the Moroccan Public Universities
The Control Levers of Simons, a Conceptual Framework for a Model of Management Control
In France, the adoption of the organic law on finance laws in August 2001, aims to guide the management
of public spending toward more efficiency by introducing management by objectives instead of management by
the means. The adoption of a management control directly inspired by the managerial emergency plan,
universities are encouraged by their supervisory authorities to acquire management control devices. Indeed, the
emergency plan reported in addition to tracing the project practices of private companies is central to its
implementation.
For this reason the interministerial circular of 21 June 2001 was to “the development of management
control in government”. Circular also provides a definition of management control:
Management control is a control system implemented by an official in his field assignment, to improve the relationship between the resources committed, including resources Human activity and either developed or the results obtained in the framework determined by a strategic advance with established guidelines. It ensures at the same time, management of services on the basis of objectives and commitment to service and knowledge of costs, activities and results.
In Morocco, through the implementation of the objectives and the means encrypted and quantified projects
including the proposed 16 which fits in the space 3 of the emergency plan, the key lever is to “cross-cutting
issues facing the system”. Its objective is to improve the governance of the University and strengthening its
autonomy.
However, the improvement of university governance and the strengthening of its autonomy, are through5:
(1) The optimization and rationalization of human resources;
(2) The management of financial resources (optimization, rationalization, the rate of budget execution,
diversification of resources);
(3) The establishment of an internal control system within the university;
(4) Strengthening institutional capacity.
From this, it is clear that the emergency plan combines the logic of the contract that is based on the
objectives and means the logic of monitoring and evaluation. The adoption of an internal control and
management control is one of the clear recommendations of the emergency plan.
The question in this context is to know in which theoretical framework can we write the model of
management control to set up in Moroccan universities.
To do this, we propose to work the levers of control of Simons (1995) which operate a dual distinction
between on the one hand, control systems focused on the attention opposed to systems-oriented research to
opportunities and learning and on the other hand, systems to oversee strategic areas opposed to systems
responsible for formulating and implementing the strategy (see Figure 1).
The figure of R. Simons, distinguishes four levers of control that can be used in a complementary and do
system within a comprehensive management control:
(1) Belief systems, which focus on an explicit set of organizational values that managers communicate
formally and reinforce systematically, to develop a culture and organizational goals, likely to create meaning and
provide a common direction;
5 Monitoring-evaluation: Progress Report 2010: feedback workshops project 16 and 18.
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Figure 1. Levels of control. Source: Simons (1995).
(2) Systems that address the boundary delimitation of strategic and focused the attention of the risks to be
avoided;
(3) Diagnostic control systems, which focus on the control of critical variables and critical success factors
and represent the most classic of management control based on the subsequent verification of results,
comparisons to their goals or standards, and the adoption of corrective measures;
(4) Interactive control systems, focusing on the strategic uncertainties and research oriented opportunities
and the emergence of new strategies.
The common thread between the various systems is that they are formal mechanisms of control by Simons
(1995).
The latter defines management control systems as “the procedures and processes based on information used
by managers to maintain or change the configurations of the activities of the organization” (Simons, 1995, p. 5).
Beyond belief systems and boundaries, it focuses particularly on the control diagnostic and interactive control.
Control systems are diagnostic of “formal information systems that managers use to monitor
organizational outcomes and correct deviations from preset standards of performance” (Simons, 1995, p. 59).
These feedback systems are the basis of traditional control systems according to Simons, their
characteristics are three:
(1) The ability to measure the results of a process;
(2) The existence of predefined standards to which the results can be compared;
(3) The ability to correct deviations from standards.
These three characteristics correspond to those of control cybernetics and his three conditions for the
validity of Hofstede (1978). While the interactive control systems are defined as “formal information systems
used by managers to engage regularly and personally in the decision-making activities of subordinates”
Systems to develop research and learning opportunities
Systems to focus research and attention
Systems to guide the strategic area
Systems to formulate and implement strategy
Stratégie
Fundamental values
Risks to avoid
Strategic uncertainties
Critical variables of
Belief Systems Boundary Systems
Interactive control Systems Diagnostic control Systems
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(Simons, 1995, p. 95).
Indeed, through the interactive control levers, Simons proposes to reverse the traditional relationship
between strategy and management control, that the control occurs at the stage of implementation of the strategy,
he said the top management must foster a interactive dialogue within the organization “through dialogue,
debate and learning around the interactive process, new strategies are emerging” (Simons, 1995, p. 102).
In concrete terms, the diagnostic control systems rely on power devices management control are: The
calculation of costs, plans, budgets, dashboards, management reporting systems, etc.
However, the interactive control systems are based on participatory management schemes, encouraging
interaction, information sharing and learning through processes of “bottom up” or cross, it uses eg. committees,
meetings, groups of progress, or performance reviews.
These systems do not exclude the diagnosis control, to the extent Simons recommended to use together the
two levers of control with different purposes: diagnosis of control levers to control the implementation of
deliberate strategies, the key factors driving success in strategic business areas of the existing company, the
control levers to encourage interactive learning, innovation and the emergence of new strategies. Provided that
“if the organization has no control systems (...), one of these systems will be used interactively and (n-1)
systems will be used in a diagnostic” (Simons, 1995, p. 103).
As part of the emergency plan, universities are encouraged to develop systems of management control.
The question is what are the levers of control available to these universities?
Clearly, monitoring of project indicators of the emergency plan and reporting to the ministry, as the
development of budget systems refer them to a diagnostic monitoring system.
This is clearly the same, referring to the French example. Indeed due to the organic law on finance laws
(August 2001), a methodological guide (D.I.R.E, 2002)6, was written at the request of the group “Improvement
of Public Management” mandated to coordinate the development of control management. The stated objectives
are forward about:
Enhancing the understanding of management control in government departments, to educate managers on the possible contribution of management control, to provide common references to the actors of management control public environment, enhance the experiences in management control in the public sector.
Overall this paper provides a fairly standard overview of the concepts, methods, tools, and controls
management.
The Tools of Management Control: Reflection on a Model to Develop Within the University
As part of the control levers of Simons, the tools of management control are distinguished:
(1) Conventional diagnostic tools of control: plans, budgets, dashboards, reporting systems, and
monitoring of cost, etc.;
(2) Interactive control tools: The Balanced Scorecard7.
In a context such as the university, the performance management is necessary for the implementation of its
strategy and achieving its objectives, while the dialogue management is also needed at all levels, to promote the
ideas of development and strategies in the short and long run.
6 The inter-ministerial delegation to the state reform. 7 Communication Gérald Naro and Denis Travallé “in search of conceptual and methodological foundations of balanced scorecard: The model of Kaplan and Norton revisited through the conceptual framework of the levers of control”.
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For this reason, the combination of the two types of controls proposed by Simons is useful for the proper
control of the university.
In the same sense, the methodological guide (Simons, 2002), presents a practical tool to provide answers
to the questions of organization, development, and implementation of any aspect of management control. It
favors an approach issues.
The issues are grouped into generic categories (Simons, 2002):
(1) Those who are finalizing the management control system, that is to say, the control system design and
management be structured around the strategic directions;
(2) Those concerning the major stages of structuring management cycle (planning and forecasting,
management and performance monitoring, performance measurement and animation).
The guide has proposed a matrix (see Figure 2) whose goal is to cross the management issues raised by the
organization, e.g., developing or preparing a budget, “measure performance” with the tools of management
control (diagnostic and interactive).
issues tools
Preparation and budget monitoring
Indicators and scorecards
Cost analysis A comparative analysis (benchmarking)
Segmentation
com
plet
ion Design of the
management control and accountability of the actors
Set the latitudes management Responsibility centre
Define the elements subjected to comparisons
A comparative analysis
Define the key points to put under control
Performance indicators scorecards report and information balanced scorecard
Strategic cos t management ABC method
Strategic segmentation
Man
agem
ent c
ycle
: pla
nnin
g, c
ontr
ol a
nd a
nim
atio
n
Planning and forecasting
Translate strategy into decline and action programs
Scorecards balanced scorecard
Management accounting forecast costs
Responsibility centre strategic segmentation
Develop and prepare a budget
Elaboration of a budget ratios budget budgeting in the first euro
Performance indicators
Management accounting forecast costs
Responsibility centre
Piloting performance
Control the budget execution Elaboration of a budget ratios budget
Performance indicators
Piloting activity
Performance indicators scorecards report and information
Strategic segmentation
Pilot the implementation of the strategy
Performance indicators scorecards report and information balanced scorecard
Strategic cost management
Strategic segmentation
Performance Measurement
Measuring performance ratios budget Scorecards balanced scorecard
Management accountingclassification of costs full cost variance analysis ABC method
A Comparative analysis
Responsibility centre strategic segmentation
Animation Animating the dialogue of management
Elaboration of a budget ratios budget
Scorecards report and information Balanced Scorecard
Variance analysis strategic cost management Internal transfer price
A Comparative analysis
Responsibility centre strategic segmentation
Figure 2. Crossing the table issues to be resolved by the manager and tools of management control. Source: Methodological guide of the inter-ministerial delegation to the state reform (D.I.R.E, 2002).
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CASE OF THE UNIVERSITY HASSAN I OF SETTAT
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Conclusions
The emergency plan as it was initiated at the University of Morocco, has translated an overall strategic
vision of the Moroccan state to modernize and upgrade the education sector.
The contractual logic of results he brought to clearly strengthen the role of universities in the development
of their missions, and to better support this approach and help them improve their performance and achieve
their goals effectively and efficiently, it is imperative that each university develops its tools for managing and
modernizing its governance.
To this end, this paper was to describe the new logic of contracting in which the Moroccan university
enrolled since 2009 and show through a case study of the need to develop a system of management control in
terms of the control levers of Simon (1995).
The extension of this work will consist of a research intervention in the University Hassan I. Its objective
is the establishment of a system of management control as a connection of steps.
The approach consists firstly in a segmentation of activities around the university’s strategic
objectives, and secondly as part of the control levers diagnosis, presenting the tools of management
control with a conventional system for tracking costs, budget planning, periodic reporting, and
dashboards.
Finally, depending on the degree of the university autonomy, implementing a balanced scorecard
within the interactive control levers developed by Simons may be considered. The aim is to involve all
stakeholders of the university about its objectives and missions to other strategies to emerge much more
innovative.
However, it is clear that all this requires above all the empowerment of budget management and human
resources of the University of Morocco.
It is not enough to commit budgets and line items to achieving goals, without changing the current budget
and accounting rules8. This is to increase the leeway of personnel services, mainly stage of preparing their
annual budgets and also the management of their resources during the year9.
It is not enough also to set targets and performance indicators without empowering and motivating the
university personnel. To accomplish this, it will require a clear and more flexible status10 to give more
autonomy to the university human resource management.
References Analytical Report. (2008). State and prospects of education and training system. Kingdom of Morocco: Higher Education
Council.
Annual Report. (2010). Development contract university 2009-2012. Royaume of Morocco: Department of Higher Education, Staff
Training and Scientific Research (2011).
Chtouki, H. (2006). University governance: The concept and context. Moroccan Audit Review and Development, 22,
253-258.
Henri, S., & Véronique, Z. (2004). Science research management: Approach qualimetric, observing the complex object.
Paris.
8 The Moroccan university work always with a public accounting dating back to 1967. 9 Heaviness in the public procurement procedure fact that the monitoring of budgets and commitment is not systematic. 10 Limits of Article 17 of Law 01-00 on the organization of higher education.
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CASE OF THE UNIVERSITY HASSAN I OF SETTAT
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Hofstede, G. (1978). The poverty of management control philosophy. Academy of Management Review, 3(3),
450-461.
Kaplan, R. S., & Norton, D. P. (2001). How to use the balanced scorecard. Paris: Eyrolles, Editions
d’organisation.
Kaplan, R. S., & Norton, D. P. (1998). The balanced scorecard. Paris: Editions d’Organisation.
Michel, G. (2009). Management control (9th ed.). Paris.
Simons, R. L. (1995). Levers of control: How managers use innovative control system to drive strategic reneval (p. 217). Boston,
Massachustts: Harvard Business School Press.
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Journal of US-China Public Administration, ISSN 1548-6591 November 2013, Vol. 10, No. 11, 1115-1121
Model for Management of Public Funds Transfers in SICONV
Luiz Lustosa Vieira
University of Brasilia, Brasilia, Brazil
Ministry of Planning, Brasilia, Brazil
Ilka Massue Sabino Kawashita
Ministry of Planning, Brasilia, Brazil
This article consolidates the efforts of the Information Systems Research Group for the construction of a reference
model for the management of agreements celebrated based on the Brazilian federal government’s voluntary funds
transfers. It presents the Reference Model for covenants’ processes, which is the product of the third phase of this
research project. This model will be used as reference in the fourth phase of this project, when it will be applied to a
sample of covenants. Experience gained in this step will allow the consolidation of the Reference Model. An
important contribution of this work is to facilitate the understanding of proposals, so processes analyzed can be
improved and redesigned. Processes information, from organization to details of each activity, can then be
disseminated to all interested parties. Results here presented are not final. They will serve as input to the next stage
of the project, which is the Assessment of the Reference Model by selected Stadual and municipal governments.
Each entity will contribute with its own perspective to improving the idealized model.
Keywords: transparency in government, new technologies and public policies, government, information systems,
e-government, governance
Ministry of Planning aiming at facilitating the access to the resources available in the Union’s General
Budget by means of voluntary funds transfers highlighted, based on previous studies related to the topic, that
determinant success factors of those interested in accessing these funds are the capacity and organization of
their agents in executing activities required for future covenants qualification. The more prepared and
organized the agent is, the greater the amount of resources he has access to.
In this regard, a policy of more adequate distribution and with less risk of failure in the results necessarily
passes through agents’ improvement both in terms of procedures for the acquisition of resources and their
project management capacity.
The strategy of the Ministry in this segment is based on the following guidelines:
(1) Consolidation of successful experiences in a model of voluntary funds transfer process that will serve
as reference; 1 Covenants system of the Federal Government.
Corresponding author: Luiz Lustosa Vieira, Ph.D. in Information Systems from the University of Toulouse, France, Post Ph.D. in Government Information Systems from the University of Grenoble, France and graduated in Public Administration Institute at Methodist Bennett Rio de Janeiro; professor at the University of Brasilia, Brazil; planning analyst at the Ministry of Planning in Brazil; research fields: information technology strategic planning and government. E-mail: [email protected].
Ilka Massue Sabino Kawashita, Master in Computer Science from University of Montreal, Canada and graduated in Mechanical Engineering at University of Brasilia, Brazil; a project manager practitioner, PMP certified since 2006, with more than 20 years of experience in project management, systems analysis, and software development with focus on object-oriented software development methodologies and adoption of best practices such as PMBOK and COBIT; planning analyst at the Ministry of Planning in Brazil; research field: information technology strategic planning and government. E-mail: [email protected].
D DAVID PUBLISHING
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MODEL FOR MANAGEMENT OF PUBLIC FUNDS TRANSFERS IN SICONV
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(2) Production of a methodology that allows the concerned agents the comprehensive and objective
identification of their capabilities, deficiencies, and priority points for improvement;
(3) Survey to gather data about a sample of agents’ working with voluntary funds transfers processes using
the referred methodology and comparative analysis in relation to the Reference Model, both cited above;
(4) Based on these surveys, determine the necessary guidelines and potential cooperation plans between
the Ministry of Planning, States, and Municipalities, aiming at processes improvement within the State or
Municipality.
Objective
This article describes the results obtained in the idealization of a model for the process of voluntary funds
transfers that will be adopted as reference for evaluation of practices adopted by covenants, as described in
guideline 1.
This work sought to consolidate the group’s understanding, with the collaboration of the Ministries of
Tourism, Social Development, and Planning in the role of grantors, as well as the Government of the State of
Pernambuco in the role of covenant, on what the best practices that should be observed in the voluntary funds
transfers processes are. Thus, the construction of the Idealized Reference Model is the result of the third phase
of the project (Construction of a Reference Model for Management of Agreements).
Therefore, the objective of the Idealized Reference Model is to serve as a parameter to guide the work
that will be developed in phase four of the project (Assessment of the Reference Model). At that moment,
three States and five Municipalities will be visited to check the effectiveness of the idealized model as a
parameter for the evaluation of covenants’ practices related to voluntary funds transfers. For this reason, the
level of detail shown in Idealized Reference Model is deemed sufficient for carrying out the work of this
project’s phase four.
At the end of phase four, the project team will have collected enough information and feedback to evolve
the Idealized Reference Model to a higher level of maturity, which is called the Consolidated Reference Model.
This is the project’s final product that will be made available for covenants. The consolidated model will
present processes’ activities that compose it in greater level of detail.
The methodology Business Process Improvement (BPI) (Harrington, 1991), chosen by its conformity to
the adopted platform of mapping process, and recognized quality, was applied to the project. BPI was also
customized for the Guide of Simplification of the National Program of Public Administration and
Bureaucracy (GESPUBLICA), which, in addition to the documentation of processes, guides a set of actions
relating to the management and improvement of such processes, making the creation of a corporate database
of improved processes documentation possible. The aforementioned methodology warrants the accurate
portrait of the process and consequent consensus about reality represented, by gathering information, about
current situation (as is), as well as the definition of the future situation (to be), through work sessions using
Joint Application Design (JAD)2 technique (Wood & Silver, 1989). The adherence of the process modeling
2 Joint Application Design (JAD)—is a software specification method created by IBM in the 1970s, whose goal was to reduce the time spent with the specification of systems, by the elimination of costly rework obtained by carrying out of specification with groups of interviewees formed by all the people who were involved directly or indirectly with the process. This method ensures a better vision of the whole and dispenses the consolidation work later. The meetings are characterized by objectivity, having a coordinator, whose role is to lead the group into a logical sequence of topics, avoiding the deviations of subject. Data obtained are being placed at the sight of all, in order to avoid different understandings related to the same theme.
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methodology to GESPUBLICA is ensured by the Manual of Process Modeling Standards, created and
maintained by the Process Management Office of the Coordination of Administrative Modernization
(COMOR/MP).
Methodology Applied
The software Architecture of Integrated Information Systems (ARIS) (Davis & Brabander, 2007) was used
as a tool for documentation and information management. The adoption of ARIS Products in conjunction with
the methodology for modeling the Reference Model allows jobs to be structured with high degree of detail and
information, which will enable the use of such documentation in futures initiatives.
Methodology for Modeling the Reference Model
As mentioned, the work of drawing up the Idealized Reference Model for voluntary funds transfers
processes was developed mainly using JAD methodology, which consists in meeting with people directly or
indirectly involved in the processes:
(1) Suppliers—who provide inputs for the implementation of the process;
(2) Performers—who perform the activities of the processes;
(3) Customers—who receive the processes’ products.
Meetings occur to allow these actors to discuss the activities according to their own perspectives, reaching
a consensus on the implementation of the process and generating a homogeneous and accorded view of the
process. The adoption of JAD for processes’ documentation allowed:
(1) Adopt a method for decisions that require interagency involvement;
(2) Allow participants to view the big picture;
(3) Reduce requirements gathering time, as future validations were not required, as traditionally occured in
conventional methods;
(4) Reduce decision-making time;
(5) Take advantage of the synergy of the group meetings—a void loss of information or detail;
(6) Information is gathered, clarified, aggregated, and documented during work sessions;
(7) Results are immediately presented, which allows uniform understanding of all participants.
At the end of each modeling meeting, participants identified best practices and improvement
recommendations that, at that moment, should guide the evaluation of practices adopted by covenants.
Manual of Process Modeling Standards
To ensure that process modeling activities executed at the Ministry of Planning are standardized and in
accordance with the Ministry’s needs, the Manual of Process Modeling Standards was developed and is
maintained by the COMOR/MP.
For the elaboration of the Idealized Reference Model, the research Group used the Manual and the Term
of Reference considering the following aspects of:
(1) Graphical representation, by means of diagrams and/or flowcharts;
(2) Resulting products/services and their requirements—final event of the process flow;
(3) Logical paths and interdependencies—processes’ interfaces;
(4) Customers and suppliers—initial interface (suppliers) and end of the flow (customers);
(5) Inputs required—input event to initiate process activities.
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Process Modeling
Process modeling is the term used to work relating to:
(1) Mapping—process identification and diagramming as it is performed (as is). Mapping is understood as
the identification of the workflows with well determined beginning, middle, and end; with clearly defined
inputs and products/services; and with activities that follow a logical sequence allowing an integrated and
chained vision the work;
(2) Redesign—process optimization (proposed or to be). Redesign is understood as the improvements
made through the rationalization of the workflow. Generates a base reference that allows, among other
applications, to create conditions for the construction of the organizational structure; definition and evaluation
of internal and/or institutional performance indicators; formulation of information systems plans; application of
the Plan Do Check Action (PDCA) Cycle (Shewhart, 1939).
Diagrams
Diagrams are graphical representations elaborated to present a certain reality in simplified form, thus
enabling a better understanding. Diagrams are primarily composed of symbols and attributes, which are
text-based information that complements the representation.
Value Added Chain (VAC) diagram. Model that represents the systemic vision of the organizational
processes, as it presents a macro vision of interconnection and/or chaining of macro processes, processes,
threads, and tasks, following their execution sequence.
Process flow diagram. Model that represents the detailed overview of sub-process/process in a logical
sequence and shows its integration with the other VAC processes. ARIS represents processes as a string of
events and activities, as shown in the Process Flow Diagram.
An activity is the action performed that is intended to support the organization’s objectives. Activities correspond to “what” is done and “how” it is done during the process. “What” is done is described by activity’s attribute “name” and “how” it is done by attribute “description”. Activity’s description naming should follow the rule: verb in the infinitive tense, i.e.: Meet Demands.
Events are the results of some activity/action or are used to represent temporal events (Example of temporal events: at the end of the year, every six months, daily). These objects control or influence the sequence of process activities, by triggering the execution of one or more of them. Events obey the following naming rule: verb in past tense, i.e.: Demands Met.
The modeling of a process always starts with the object “Interface Process” or the symbol “Event” and ends in the same way.
Standardization and Modeling
Work performed for the mapping and optimization of the voluntary funds transfer process to States and
Municipalities was based and focused on covenants views. Representation of processes was guided by the
Manual of Process Modeling Standards and used ARIS as modeling tool solution. The experience of the
technical staff of SLTI/MPOG3; and best practices identified between grantor and covenant contributed to
guiding the structuring, organization, and interaction are reflected in the proposed Idealized Reference Model.
Information and graphical representation of redesigned voluntary funds transfer process are consolidated
into ARIS database, which among other applications, allowed the generation of this documentation, considering
the following aspects of processes: 3 Secretariat of Logistics and Information Technology/Ministry of Planning, Budget and Management.
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(1) Models of processes of the Value Added Chain related to the Management of Voluntary Funds
Transfers Programs with the graphical representation of the processes in relation to the PDCA cycle, as well as
the representation of the inputs and outputs in the whole process life cycle;
(2) Models containing diagrams of inherent Voluntary Funds Transfers processes, with graphical
representation of their activities, events, process’ logical path and interfaces with other processes.
The Idealized Reference Model included in this article is structured in two levels, which allow the
understanding from processes to the activities flow of each one of the processes that compose the Model of
Reference. It is worth mentioning that only covenants’ processes were detailed into activities’ flows, as this is
the scope of this work. Grantors’ processes were only represented in Value Added Chain models, with their
respective inputs and outputs, to demonstrate complementarity between grantors and covenants actions.
The logic that guided process structuring and organization is detailed below:
(1) Level 1. Value Added Chain (VAC): on which are represented voluntary funds transfers processes,
contemplating the whole life-cycle of each process, from the identification of needs to the assessment of the
agreement’s general results. The processes are arranged in order to highlight the performances that fit to
grantors and drafted. Two VAC representations are used: The first highlights the VAC within the PDCA cycle;
the second details the inputs and outputs that promote integration between VAC’s processes (see Figure 1);
(2) Level 2. Process Elements: presents the decomposition of the processes identified in level 1 into their
respective activities flow. As previously mentioned, this level does not show grantor’s processes, only
covenant’s processes are represented.
It is important to emphasize that the sequence adopted for representation of processes in this article
follows the flow of the PDCA model, i.e., the first are presented processes that compose the Planning phase,
after those of the Implementation phase, followed by Control and, finally, processes of Evaluation phase are
presented.
Gerir programas paraTranferências Voluntárias
Divulgação dasações Transferência
VoluntáriaRelatório finalde prestação
de contas
Resultadosdos programas
Instrumentos detransferência
voluntária Divulgação das
Ações
Propostas
Elaborar propostade projeto
Parecer daproposta
(Técnico/Jurídico)
Analisar PrestaçãoContas Convênio
Formalizar Processode Transferência
Voluntária
ExecutarConvênios
AcompanharConvênios
Avaliar resultadosgerais dos Convênios
Planejar programasde governo
Diretrizes dosprogramas
AçõesOrçamentárias
Previsao de dotaçãoorçamentária
Regras das ações detransferência
voluntária
PPA
Diretrizesde governo
Demandasda sociedade
Relatóriosde fiscalização
Registrosda execução
Relatórios deanálise de registros
de execução
Documentação paraprestação de contas
Elaborar prestaçãode contas de convênio
Relatório dealcance dos
objetivos
PPADiretrizes
de governo
Demandasda sociedade
Levantarnecessidades
Lista denecessidades
Identificarrecursos
Fontede recursos
Cronogramado convênio
OB
Acompanharexecução
Liberar recursos
Relatório final
Cronogramado convênio
Relatório deacompanhamento
Relatório finalde execução
Relatório doacompanhamento
Instrumentos detransferência
voluntária
LIberaçãode recurso
Bloqueio derecurso
Instauração deTCE
LDO
LOA
Figure 1. Value Added Chain (VAC)—Management of Voluntary Funds Transfers Programs (representation of processes inputs and outputs).
Conclusions
Ministry of Planning in order to facilitate access to resources made available in the Union’s General
Budget by means of voluntary funds transfers determined, based on previous studies related to the topic, that a
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MODEL FOR MANAGEMENT OF PUBLIC FUNDS TRANSFERS IN SICONV
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key success factor of interested parties in their pursuit of accessing these resources is the agents capacity and
organization in the execution of activities required for proponents qualification. The more prepared and
organized the agent is, the greater the amount of resources he has access to.
In this regard, a policy of more adequate distribution and with less risk of failure in the results necessarily
passes through agents’ improvement, both, in procedures for acquisition of resources and in their project
management capacity.
The strategy of the Ministry in this segment is based on the following guidelines:
(1) Consolidation of successful experiences in a model of the voluntary funds transfer process that will
serve as reference;
(2) Production of a methodology that allows interested agents the comprehensive and objective
identification of their capabilities, deficiencies and priority points for improvement;
(3) Conduct a survey, with a sample of agents, to gather data about their way of working with regard to the
voluntary funds transfer process, using the methodology and comparative analysis in relation to the Reference
Model, both cited above;
(4) Determination based on these surveys of the necessary guidelines, possible plans of cooperation
between MPOG4 with States and/or Municipalities, aiming at the improvement of the process in the context of
the Municipality or State.
The implementation of the BPI methodology mentioned in item (2), above, to obtain a Model for the
voluntary funds transfer process is complete. The software ARIS was used as tool for documentation and
information management, for identification of capabilities, deficiencies, and priority points for improvement of
the voluntary funds transfer process. Item (3) highlights the work performed for the mapping and optimization
of voluntary funds transfer process to States and Municipalities with focus on covenants views. It is important
to note that the sequence adopted for representation of processes in this article follows PDCA model flow, i.e.,
first are presented the processes that compose the Planning phase, after those of the Implementation phase,
followed by Control and, finally, assessment phase processes are presented.
References Brathwaite, K. S. (1991). Informations engineering: Analysis and administration. USA: CRC Press. Davis, R. (2001). Business process modeling with ARIS: A practical guide. London: Springer-Verlag. Davis, R., & Brabander, E. (2007). ARIS design platform: Getting started with BPM. London: Springer-Verlag. Harrington, H. J. (1991). Business process improvement: The breakthrough strategy for total quality, productivity, and
competitiveness. USA: McGraw-Hill. Scheer, A. W. (2000). ARIS—Business process modeling. USA: Springer. Shewhart, W. A. (1931). Controle econômico da qualidade do produto fabricado (Economic control of quality of manufactured).
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of the Federal Government). Retrieved from http://www.siconv.gov.br Vieira, L. L. (2007). Comparative study of the management of government information systems projects—Proposal A-IV
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_ Fortaleza-Ceará-Brazil-May 2008.
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Vieira, L. L. (2013a). Public policy—The reality in the practice of management covenants. Proceedings from the 4th International Workshop Advances in Cleaner Production, São Paulo.
Vieira, L. L. (2013b). Evaluation of procedures of the party in SICONV. Proceedings from the 4th International Workshop Advances in Cleaner Production, São Paulo.
Vieira, L. L., & Aguiar, N. J. A. (2011). Public politics—The reality in the practice of management agreements. Proceedings from 8th CONTECSI International Conference on Information Systems and Technology, São Paulo.
Wainwright, E. (2009). Convergence, information and records management: Observations from an Australian government information management perspective. Retrieved from http://www.nla.gov.au/
Weinstein, P. C. (1998). Ontology-based metadata: Transforming the MARC legacy. Pittsburg: Digital Libraries. Whitten, J. (1994). Systems analysis and design. USA: McGraw-Hill. Wood, J., & Silver, D. (1989). Joint application design. USA: Wiley. Zweers, K., & Planque, K. (2001). Electronic government from an organizational based perspective towards a client oriented
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