VIEŠOJI POLITIKA IR ADMINISTRAVIMAS870845/FULLTEXT01.pdf · 2015-11-13 · Viešoji politika ir administravimas. 2009, Nr. 30, p. 7–21 9 As already noted, in Europe much of that

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Vyriausieji redaktoriai: Prof. habil. dr. Vladislavas Domarkas, Kauno technologijos universitetas Doc. dr. Tadas Sudnickas, Mykolo Romerio universitetas

Redaktorių kolegija: Prof. PhD Erik Aalbek, Aalborgo universitetas, Danija Prof. dr. Maria Aristiqueta, Pietų Floridos universitetas, JAV Prof. PhD Larry Bakken, Hamlino universitetas, JAV Prof. PhD Howard Balanoff, Teksaso valstybinis universitetas, JAV Prof. dr. Viktorija Baršauskienė, Kauno technologijos universitetas Prof. dr. Eugenijus Chlivickas, Lietuvos viešojo administravimo lavintojų asociacija Prof. habil. dr. Eduardas Jančauskas, Generolo Jono Žemaičio Lietuvos karo akademija Prof. dr. Algis Krupavičius, Kauno technologijos universitetas Prof. dr. Alan Lawton, Hull universitetas, Jungtinė Karalystė Prof. habil. dr. Borisas Melnikas, Vilniaus Gedimino technikos universitetas Prof. habil. dr. Vladimiras Obrazcovas, Mykolo Romerio universitetas Prof. dr. Jolanta Palidauskaitė, Kauno technologijos universitetas Prof. dr. Rimantas Petrauskas, Mykolo Romerio universitetas Prof. dr. Alvydas Pumputis, Mykolo Romerio universitetas Prof. habil. dr. Stasys Puškorius, Mykolo Romerio universitetas Prof. dr. Alvydas Raipa, Kauno technologijos universitetas Doc. dr. Vainius Smalskys, Mykolo Romerio universitetas Dr. Jurgita Šiugždinienė, Kauno technologijos universitetas Doc. dr. Rasa Šnapštienė, Kauno technologijos universitetas Prof. dr. Norbert Thom, Berno universitetas, Šveicarija Prof. dr. Theo Toonen, Leideno universitetas, Olandija Prof. habil. dr. Edvins Vanags, Latvijos universitetas, Latvija Prof. dr. Michiel S. de Vries, Nijmegen universitetas, Olandija

Šio numerio atsakingasis redaktorius Prof. habil. dr. Vladislavas Domarkas

Atsakingasis sekretorius Doc. dr. Aleksandras Patapas

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Redakcijos adresai: MRU Viešojo administravimo fakultetas KTU Socialinių mokslų fakultetas Viešojo administravimo katedra Viešojo administravimo katedra Ateities g. 20 K. Donelaičio g. 20 08303 Vilnius 44239 Kaunas El. paštas: [email protected] El. paštas: [email protected] Leidžiama nuo 2002 metų

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Vilnius * Publishing Center, Mykolas Romeris University * 2009

Editors: Prof. Dr. Habil. Vladislavas Domarkas, Kaunas University of Technology Assoc. Prof. Dr. Tadas Sudnickas, Mykolas Romeris University

Editorial Board Prof. PhD Erik Aalbek, Aalborg University, Denmark Prof. PhD Maria Aristiqueta, University of South Florida, USA Prof. PhD Larry Bakken, Hamline University, USA Prof. PhD Howard Balanoff, Southwest Texas State University, USA Prof. Dr. Viktorija Baršauskienė, Kaunas University of Technology Prof. Dr. Eugenijus Chlivickas, Lithuanian Association of Public Administration

Trainers Prof. Dr. Habil. Eduardas Jančauskas, The General Jonas Žemaitis Military Academy

of Lithuania Prof. Dr. Algis Krupavičius, Kaunas University of Technology Prof. Dr. Alan Lawton, University of Hull, United Kingdom Prof. Dr. Habil. Borisas Melnikas, Vilnius Gediminas Technical University Prof. Dr. Habil. Vladimiras Obrazcovas, Mykolas Romeris University Prof. Dr. Jolanta Palidauskaitė, Kaunas University of Technology Prof. Dr. Rimantas Petrauskas, Mykolas Romeris University Prof. Dr. Alvydas Pumputis, Mykolas Romeris University Prof. Dr. Habil. Stasys Puškorius, Mykolas Romeris University Prof. Dr. Alvydas Raipa, Kaunas University of Technology Assoc. Prof. Dr. Vainius Smalskys, Mykolas Romeris University Dr. Jurgita Šiugždinienė, Kaunas University of Technology Assoc. Prof. Dr. Rasa Šnapštienė, Kaunas University of Technology Prof. Dr. Norbert Thom, Bern University, Switzerland Prof. Dr. Theo Toonen, Leiden University, Netherlands Prof. Dr. Habil. Edvins Vanags, University of Latvia, Latvia Prof. Dr. Michiel S. de Vries, University of Nijmegen, The Netherlands

Editor of this issue Prof. Dr. Habil. Vladislavas Domarkas

Executive secretary Assoc. Prof. Dr. Aleksandras Patapas

Internet addresses: http://www.ktu.lt/vpa http://www.mruni.eu/leidyba.html

Editorial offices: Department of Public Administration Department of Public Administration Faculty of Public Administration Faculty of Social Sciences Mykolas Romeris University Kaunas University of Technology Ateities str. 20K. Donelaičio str. 20 08303 Vilnius 44239 Kaunas, E-mail: [email protected] E-mail: [email protected]

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TURINYS

Įvadinis straipsnis

Pobiurokratiniai viešojo sektoriaus tarnautojų vaidmenys..........................................................................

B. Guy PETERS

7

Viešosios politikos ir administravimo praktikos lyginamoji analizė

Šiuolaikinio viešojo valdymo pokyčių kryptys ir tendencijos.........................................................................

Alvydas RAIPA

Šiuolaikinio socialinio-ekonominio Švedijos modelio ypatumai............................................................................

Yuri KRIVOROTKO

Mokslo administratoriaus vaidmenys universitete............ Loreta TAUGINIENĖ

22 33 45

Valstybės tarnyba

Hibridinių aukštesniųjų valstybės tarnautojų vadybos modelių įtraukimo į politines-administracines sistemas galimybės...........................................................................

David FERRAZ

Lietuvos valstybės tarnautojų vadybinės kompetencijos... Eglė BUTKEVIČIENĖ

Eglė VAIDELYTĖ

57 68

Žinių visuomenė

Dvi aukštųjų technologijų tyrimo ir vystymo disfunkcijos........................................................................

Kazunobu OYAMA Žinių ekonomikos rodikliai: institucinio požiūrio link......

Žilvinas ŽIDONIS

Decentralizacijos aspektai reformuojant švietimo sistemos valdymą Lietuvoje..............................................

Jolanta URBANOVIČ

82 92 102

Nevyriausybinis sektorius

Nevyriausybinių organizacijų sektorius ir demokratija. Empirinės refleksijos Baltijos šalyse: metaanalizės rezultatai............................................................................

Saulė MAČIUKAITĖ-ŽVINIENĖ

114

Konferencijų apžvalga

Vadybos (administravimo) koncepcijų realizavimas praktikoje...........................................................................

Saulius NEFAS

129

Informacija Atmintinė publikacijų autoriams....................................... Prenumeratos užsakymas...................................................

135 137


CONTENTS

Leading Article Still the Century of Bureaucracy?: The Roles of Public

Servants………………………………………………….

B. Guy PETERS

7

Comparative

Analysis of

Public Policy

and

Administrative

Practice

The Directions and Tendencies of Changes in Modern

Public Governance ………………………………………

Alvydas RAIPA

Characteristics of the Modern Swedish Model of

Economic and Social Development……………………...

Yuri KRIVOROTKO

The Roles of a Research Administrator at a University…

Loreta TAUGINIENĖ

22

33

45

Civil Service Is there Space for Hybrid Management Models of Senior

Civil Service across Political-Administrative Systems?...

David FERRAZ

The Managerial Competencies of Civil Servants in

Lithuania…………………………………………………

Eglė BUTKEVIČIENĖEglė VAIDELYTĖ

57

68

Knowledge

Society

Two Dysfunctions in High-Tech Research and

Development……………………………………………..

Kazunobu OYAMA

Measuring Knowledge Economy: Towards an

Institutional Approach…………………………………... Žilvinas ŽIDONIS

Aspects of Decentralization in Management Reforms of

the Education System in Lithuania………………………

Jolanta URBANOVIČ

82

92

102

Non-

Governmental

Sector

The Non-Governmental Sector and Democracy

Empirical Reflections and Findings in the Baltic States:

Results of Meta-Analysis (Part I)………………………..


114

Conference

Review

The Implementation of Managerial (Administrative)

Concepts in Practice……………………………………..

Saulius NEFAS

129

Information Notes for Contributors…………………………………..

Subscription form………………………………………..

133

137

ISSN 1648–2603 (print) VIEŠOJI POLITIKA IR ADMINISTRAVIMAS ISSN 2029-2872 (online) PUBLIC POLICY AND ADMINISTRATION 2009, Nr. 30, p. 7–21

B. Guy Peters – Pitsburgo universiteto Politologijos katedros profesorius. University of Pittsburgh, De-

partment of Political Science, Professor.

el. paštas / e-mail: [email protected]

Straipsnis įteiktas redakcijai 2009 m. rugsėjo mėn.; recenzuotas; parengtas spausdinti 2009 m. gruodžio

mėn.

STILL THE CENTURY OF BUREAUCRACY?:

THE ROLES OF PUBLIC SERVANTS

B. Guy Peters

University of Pittsburgh

The civil service, and public employment more generally, is often seen as stable, predictable, and frankly rather boring. The public bureaucrat has been, and contin-ues to be, an object of scorn as well as an easy target for humorists, and the task of implementing public policy continues to be seen as largely the same as it has been for decades or even centuries. Despite that apparent predictability, the job of the civil servant, as well as much of the environment within which he or she functions, has been transforming rapidly and the public sector is nothing like it was several decades ago. Intellectually, the consideration of public administration has also re-mained rather stable. Despite numerous changes in the public sector Max Weber’s conceptions of bureaucracy still constitute the starting point for most discussions (Derlien, 1999).

Keywords: public servant, bureaucrat, manager, governance Raktažodžiai: valstybės tarnautojas, biurokratas, vadybininkas, viešasis valdy-

mas.

The above having been said, the changes within the public sector have not been

consistent or uniform, and indeed some approaches to change often have been inter-

nally contradictory. Just as many aspects of the public sector have been largely im-

mutable, then paradoxically change has been ubiquitous in government. Change and

continuity have existed side by side for most of the history of governing. Therefore,

we need to better understand what has happened with the world of the civil servant

and with the job that these individuals now perform.

One premise of this article is that the “post-modernizing” of the public sector has

been associated with decline in the certainties that we associate with the modern, bu-

reaucratic system. If bureaucracy has declined as a paradigm for the public sector,

B. Guy Peterts. Still the Century of Bureaucracy?: The Roles of Public Servants

8

however, it has not been replaced with any single model that can provide descriptive

and prescriptive certainty (see Peters, 2001; Frederickson, 2007). Neither scholars at-

tempting to capture the reality of contemporary public administration, nor politicians

and managers attempting to make the system work on a day to day basis have any

simple model of what the contemporary reality is. Many analysts are consequently

forced to examine some aspects of governing and ignore others or to develop ad hoc conceptions and prescriptions.

This loss of certainty about managing in the public sector is very unsatisfying for

many academics and perhaps for more practitioners, but as well as reflecting con-

temporary agnosticism—or the presence perhaps of numerous heresies when seen

from the old orthodoxy—does capture the struggle to find better ways of governing.

To some extent, however, even the definition of “better” is contested about govern-

ing, and the multiple goals that have always been present in public administration

have become all the more evident (Rothstein and Toerell, 2008). Thus, the contem-

porary period continues to juggle values of efficiency, democracy, equity probity and

accountability (to name but a limited though important set) and to understand that

choosing any one to maximize will tend to create problems for at least some of the

others.

In this essay I will attempt to lay out at least five contending roles of the current

public administrator and discuss how they describe the contemporary reality of pub-

lic administration, as well as the extent to which they coexist. Any individual admin-

istrator may therefore be required to make some choices for him- or herself, and may

have to select different values at different times. Likewise, politicians may be forced

to choose one or more value to emphasize as they attempt to govern. Having these

multiple conceptions does not have to produce chaos and indeed one of the important

activities in contemporary governance may be clarifying the approaches being taken

more explicitly and with that clarifying the values that any particular system of gov-

ernance is attempting to maximize. The history of governance often involved mask-

ing those preferences but now they can be addressed more directly and the political

choices involved can also be clarified.

The roles of public servants As already noted, the role played by public employees in contemporary govern-

ance is not as clear as it once was. While the clarity and simplicity of “old-fashioned”

government could clearly be over-stated, there was some sense of how the system

would be managed and what the role of the civil servant in that system was (Walsh

and Stewart, 1994). That perceived (and real) role for the civil service differed to

some extent across countries (Peters, 2009) but at the core, there was some common

role for public servants as well as substantial predictability. That predictability was

especially evident for the lower levels of public organizations and their tasks of rou-

tine implementation seemed quite stable and often numbingly predictable.

Viešoji politika ir administravimas. 2009, Nr. 30, p. 7–21

9

As already noted, in Europe much of that traditional model of the public bu-

reaucracy was based on the work of Max Weber. The Weberian model is now com-

monly reviled in theory and practice, but we must remember that much of the legal-

ism and formality within the model was designed to ensure equality of services, and

political neutrality among public servants. Further, the emphasis on files and rules

also ensured predictability for both employees and for clients, something far different

from the extreme versions of discretion that characterized pre-bureaucratic adminis-

trative systems.

The Weberian model continues to serve as the intellectual foundation for think-

ing about governing, and as the model against which most attempts to reform are di-

rected. Indeed, the neo-Weberian model of the State has become important as a

means of understanding what is happening with government after the reforms of the

New Public Management have run their course (Bouckaert and Pollitt, 2004;

Raanma-Liiv, 2009). The basic logic of the Neo-Weberian State is to retain many of

the efficiency values associated with the New Public Management while recapturing

some of the emphasis on probity and accountability that were more central to tradi-

tional models of the public sector.

In the United States, on the other hand, the Wilsonian model, the separation of

roles between the political and the bureaucratic sectors, was applied. Wilson’s model

was less concerned with the internal management of public organizations than it was

with the role of bureaucracy in a democratic political system. Wilson did, however,

also reflect the scientific management values of his era. Although he accepted the le-

gitimate dominance of political actors over public policy, he also stressed the superi-

ority of administration as a science, while politics was merely an art. Thus, even then

public administrators were in the somewhat ambiguous position of having to follow

orders, even if they considered themselves more capable than their nominal superiors

in the organizations.

The most remarkable change in the role of the public service and for governing

in general is that there is much less predictability and there are often competing de-

mands placed upon people at all stages of governing—from ministers through to the

lowest level clerks. This reduced predictability represents the spread of a number of

cultural and intellectual challenges to the role of the public sector, as well changes in

the real policy challenges being confronted by the public sector. These changes mean

that individual public servants may be in a position to define their own role, or have

such a definition thrust upon them.

Choice is never easy, but is confounded in this instance because there are several

roles that are available to the civil servant, and these all, to some extent, need to be

played at different times by the same individuals.1 Thus, one of the defining features

of the public servant in an era of post-modernity is that he or she must constantly be

moving among these different roles. Certainly their position within an organizational

1 The roles identified by Aberbach, Putnam and Rockman (1980) in their seminal study tended to be

more fixed for an individual at any one time, although that question did not appear to be addressed

specifically.


10

structure or their specific policy area may affect the extent of change, but almost all

public servants will wear several hats in the course of a week or a day, or even an

hour. The need to make these choices appropriately also increases the chance of error

and of some loss of job satisfaction for the individual.2

It is also important to remember that most of the roles mentioned below are not

new.3 These roles have been, to some extent, expected of the public servant for some

time. What is different, however, is that in the “modern” bureaucratic age the major-

ity of possible roles were subordinate to the dominant role of being a proper bureau-

crat. The public servant could always resort to the law and to enforcing formal stan-

dards within the organization, and doing so was rarely incorrect. In what we are de-

scribing as a post-modern administration, that role may still be available but it is less

reliable as a means of producing good results for the individual, the organization, or

government as a whole. In some cases the bureaucratic response may be effective,

while in many others the public will no longer accept the legalism. Even many mem-

bers of the public sector itself will not want to rely on it.

Back to the future—the bureaucrat One choice available to contemporary bureaucrats that is discussed less often

than others is to return to bureaucratic styles of governing. While many observers in

and out of government would consider this a retrograde step, there has been an im-

portant resurgence in thinking about the role of more formalized styles of managing

within government. Reforms during the past several decades have produced a num-

ber of improvements in the efficiency and effectiveness of the public sector, and the

market-based logic of this approach has been widely accepted. Although successful

in some ways, this approach to managing the public sector has a number of important

dysfunctions for governing (see Christensen and Laegreid, 2001). Further, this ap-

proach challenges a number of understandings about what good administration in the

public sector should be, especially the importance of emphasizing the public in pub-

lic administration.4

The logic of returning to at least some aspects of bureaucracy in the public sec-

tor is that the probity and predictability of bureaucracy are no less important in the

contemporary public sector than they have been in the past (Olsen, 2006; Du Gay,

2005). The public often denigrates bureaucracy but at the same time demands to be

treated fairly and equally by the public sector. Most of the reforms that have dimin-

ished the formality of bureaucracy have also tended to produce greater variability in

2 On the one hand having a more diverse job may increase satisfaction, but on the other , the need to

make complex choices may produce some frustration and indecision. 3 The most probable exception to that statement is the role as “Democrat”. That said, the egalitarian

components, even within Weber’s model, can be conceptualized as to some extent democratic. 4 This is now commonly discussed in terms of “public value” and the reassertion of the public interest

(Moore, 1995).


11

the services provided to citizens. Choice is good, provided that there is some cer-

tainty for adequate and equitable services.

The creation, or recreation, of bureaucratic forms of governing is especially im-

portant for transitional regimes, whether in third world countries, or in the still con-

solidating democracies of Central and Eastern Europe (Verheijen, 2009). As these

political systems attempt to institutionalize new styles of governing after decades of

authoritarian rule of various types, there is a need to create formal, legal styles of

governing prior to considering any other styles of reform. The New Public Manage-

ment and other contemporary formats for governing tend to assume the presence of

an accepted ethos that will guide the behavior of public servants. Without that ethos,

the emphasis on managerial freedom within contemporary public management would

significantly reduce accountability and control.

The Neo-Weberian model is therefore particularly apt for transitional govern-

ments. It is also important for administrative systems that have been undergoing the

rapid changes already mentioned. In many ways, this model of administration re-

flects some of the ambiguity that we are discussing with reference to individual pub-

lic administrators. The Neo-Weberian State is, in essence, a hybrid between the

managerial and hollowed out state that had been created during the reform era, and

therefore may have the capacity to provide some improvements in efficiency as well

as probity. Likewise, the individual public servant will have to manifest that set of

skills.

The manager

A second role for the contemporary public administrator is that of a manager. As

noted above concerning the New Public Management (NPM), the most important

change in the public sector has been to emphasize the need for decisive and autono-

mous public management. NPM may not really be new, it is often not public, but it is

management. In this view of the public sector, the principal means of enhancing the

quality of services to the consumer (rather than citizen) is to improve the efficiency

of service delivery. By providing better services the managerial approach will also

reduce the total costs of government and thereby further enhance the legitimacy of

government.

Most of the discussion of NPM has been directed at the roles of senior public

managers, but some of the ideas associated with this movement have also affected

the lower levels of the public sector. For example, the idea of empowerment (Kerna-

ghan, 2008) has been central to some versions of NPM, and in this view it appears

that the lower level officials in government are also provided with greater power over

the policies they are delivering. Not only does the enhanced role for the lower eche-

lon employee make his or her job more interesting and more motivating, but the abil-

ity of these individuals to make more decisions should also improve the quality of the

services provided.


12

Although these ideas of empowering public employees have been to some extent

successful, they also generate important management problems. In particular, if all

the actors involved in the policy process believe that they are empowered, then no

one really is (Peters and Pierre, 2000). The managerial role, perhaps more than even

the bureaucratic role, involves the ability to provide direction to other actors. There-

fore, if the role is not clearly defined then the role becomes extremely difficult to im-

plement effectively and without conflict. The conflict from other empowered actors

must also be considered in light of continued assertions of the power to rule from po-

litical actors.

The role of manager is one that is likely to be most comfortable for public ser-

vants, especially for higher level public servants. These officials have often ex-

pressed frustration when their roles are limited either politically or through formal

rules, e.g., about personnel management. Acceptance of the role of manager, how-

ever, may make accepting other roles, e.g., that of democrat (see below) more diffi-

cult.

The policy-maker

Public servants have always had some role in making policy, but that role does

appear to be changing. The traditional policy role for the public service was to serve

as advisors for political leaders. Although this role clearly appeared subordinate to

the position of the political leader, it was often crucial in the policy-making process.

Politicians are rarely selected for their knowledge of policy issues so they may well

be dependent upon their civil servants for making good policy. This policy focus

from public servants is especially apparent when organizations in the public sector

have a clear commitment to a particular policy perspective.

Although the emphasis on policy-roles played by public servants is usually at the

upper levels of the system, the lower echelons also play these roles. For example,

Page and Jenkins (2005) have pointed out that middle-level bureaucrats have a very

significant role in shaping policy, and that they can do so to a great extent independ-

ent of the influence of their nominal political masters. Further, the lowest level of the

public bureaucracy can also have a very direct impact on policy; they must make

numerous decisions about individual clients and the summation of those decisions

help to define the “real” nature of public policies. The logic of the bureaucratic role,

and of Weberian bureaucracy, is largely to deny the exercise of discretion, although

it is abundantly clear that street-level bureaucrats do have substantial discretion and

do exercise it.

The policy-making role was generally seen as the major alternative to the “clas-

sic” bureaucratic role of implementer and manager of a staff. In that conception, the

policy tasks were primarily giving advice to the political masters. This version of the

policy making public servant remained (at least in principle) subservient to the politi-

cal powers. As reforms of public administration have proceeded, however, the policy

roles appear to have expanded to necessitate more direct involvement in policy mak-


13

ing. In particular, part of the logic of the New Public Management has been to em-

power managers to have more of a say in policy and thereby to reduce the policy role

of the inexpert and often fractious political leaders.

The development of a more powerful policy role for public servants to some ex-

tent alters fundamentally the bargains made between public servants and their nomi-

nal political masters (Hood and Lodge, 2007). The anonymous, yet influential, public

servants have been replaced by public servants with greater powers but without the

job protections and security they once would have enjoyed. In many ways they have

become the unelected policy-makers that critics of the bureaucracy have frequently

accused them of being. This power, in turn, has produced more attempts on the part

of political leaders to control those officials, and to influence the selection process of

senior public officials.

The negotiator

The fourth possible role for the contemporary public servant follows rather natu-

rally on the role of being a policy-maker. The policy role has been a central feature

of the activities of the senior public service for some time, and represented the major

option for the classical public servants described by Aberbach, Putnam and Rockman

(1981). This role of negotiator may have been available for some time, but has be-

come one of the major activities of public servants more recently. This role reflects

the tendency of the public sector to provide fewer public services itself and to rely

more on the private sector—meaning both the market and social actors—to provide

those services.

Contemporary public policy delivery relies heavily on market actors, linked to

the public sector through contracts and partnerships. Even before the New Public

Management gained iconic status in some countries, a number of efforts were being

made to out-source various rather routine functions in the public sector. The interest

in using the market has only grown and now extends to much more than (relatively)

simple functions such as cleaning and rubbish collection. Partnerships and contracts

now involve almost the full range of public sector activities, and often include very

complex issues such as financing public works (Lonsdale, 2005) or providing social

services. These services are difficult enough to manage when in government, but are

all the more difficult when there must be a contract that specifies both the nature of

the product and the means of producing it.

The general ideological movement in the direction of contracts and partnerships

has been driven by political leaders, but most of the actual work of negotiating and

managing these relationships must be done by members of the public service. Not

only are they more likely to have the expertise to do this well, but they are also the

more enduring members of the public sector. Politicians may come and go, but the

public servants tend to remain. This is especially important for the negotiator role be-

cause most of the contracting in the public sector is in essence relational contracting

(Peters, 2002). Given that it is difficult to specify all the details for social services or


14

many other public programs, it is important to build strong relationships between the

providers of services and the public servants who supervise the contracts.

The negotiations of public servants are not confined to managing contracts with

market actors, but also extend to working with members of social networks who are

actively involved in policy and administration. These relationships with actors in the

private sector must be built on trust, more so than on relationships involving formal

contracts. A contract has more specific constraints on the behaviour of the parties in-

volved than does the membership of a social network, so the informality of the net-

works imposes greater demands on public servants for the ability to negotiate. The

role of the public servant in these relationships is more continuous and more innova-

tive than with contracts, so it permits a more active involvement in shaping policy

and forms of democratic involvement.

Again, it is crucial to note that members of the public service will be more im-

portant than politicians in defining these relationships with social actors. In the first

place, the networks often interact directly with relatively low levels of the public sec-

tor and therefore are more likely to encounter public servants than political leaders,

even at the local level. In addition, if these relationships for making and implement-

ing services are to be successful, they must endure. Therefore, public servants are on

average involved in the process much longer than politicians. Finally, the role defini-

tions of public servants are less likely to be threatened by the involvement of other

political actors in the process than are those of politicians, so they can provide

greater stability and a collective memory for governments.

The negotiator role for the public servant may be a means of encompassing sev-

eral of the other roles, especially those of manager and democrat. As the public ser-

vant negotiates with private sector actors, he or she has the opportunity to stress pub-

lic values and democratic control in contrast to the market values that have become

prevalent in many policy areas. Further, he or she is also capable of achieving man-

agement goals through negotiation with market and social actors.

The democrat

Finally, although this role might usually be seen as the antithesis of being a pub-

lic servant, the contemporary public servant is often called upon to play a significant

democratic role in his or her government. This emerging role for the public servant

reflects in part the declining efficacy of more traditional forms of democracy. In most

established democracies, fewer people are voting, and many fewer people are now

members of established political parties (Dalton and Wattenberg, 2000; Mair and van

Biezen, 2001). A great deal of political participation is now being channelled into

“flash” political parties, as well as into other less conventional forms of involvement

with the public sector.

While many of the principal instruments of political democracy have apparently

become weaker over the past several decades, there has been a shift toward using the

permanent public bureaucracy (here used in the generic sense) as a locus for public


15

participation. The use of networks of social actors mentioned above has been one

manifestation of that shift toward participation in the public bureaucracy, given that

these actors now influence the choices of policy and the manner of implementation.

In addition, the public appears to be more concerned with the provision of particular,

often local, public services rather than with broad issues of public policy.

This change in the nature of public participation to some extent reflects a con-

tinuing shift toward the output legitimation of public action, rather than producing

that legitimation through inputs into the political system (Peters, 2010; see also

Keane, 2009). The traditional model of democratic legitimation has been twofold: the

possibility for the public to vote reflected their choice of policy, and the retrospective

judgements of the public on the programs of sitting governments further provided

some legitimacy for public action.5 As political democracy has become less central to

processes of governing, this source of legitimation has also become less viable.

The alternative to conventional forms of legitimation is for the public sector to

legitimate itself through its policies and its performance. This shift, and the associ-

ated role for the public service, is manifested in a number of ways. In general, gov-

ernments have begun to emphasize their role as service providers rather than as po-

litical institutions that emphasize processes and deliberation. For example, one of the

central components of the New Public Management has been that government should

“serve the customer” rather than be concerned with the political process per se. This

approach to governing, therefore, has explicitly transformed the public from citizens

to consumers of public services, and although this may enhance services, it tends to

denigrate the political role of citizens.

In a model of the State dependent upon output legitimation, the public service,

and perhaps especially the lower levels of the public service, becomes even more

crucial than in more conventional models of governing. The public service is in con-

tact with the public and is responsible for the actual delivery of the public services. It

is not only the quality of the services being provided that is important in these con-

tacts. The manner in which they treat their clients influence the way the public views

their government. For the average citizens, the policeman on the beat, the social

worker, or the postal clerk is the State, and how they are treated does matter. The

good news is that most studies find that citizens are treated well, but the bad news is

that this often does not transfer into a more positive opinion of the bureaucracy, or

the public sector in general.

The role of the democrat may not come naturally to many public servants, even

those not steeped in traditional bureaucratic ethics. The assumption in most political

systems is that politics and bureaucracy, and perhaps especially democratic politics,

are to some extent opposite approaches to governing. Bureaucracies are often por-

trayed as placing a barrier to the exercise of democracy, but given the problems of

contemporary representative institutions, bureaucracy may be an effective alterna-

tive. The underlying problem for playing this role is that citizens in many societies

5 For a classic statement of the difficulties of using elections for steering governance, see Rose (1974).


16

may not yet recognize the possibilities of influencing policy through the bureaucracy,

and may not “send” the role.6

Criteria for choice

While it is important to understand the different roles that may be available to

public administrators in the contemporary public sector, that is only the beginning for

gaining an understanding of the manner in which those public servants will behave

while carrying out their duties. The more difficult question is how they choose to

play one role or another, and when they make those choices. Although some indi-

viduals may opt for one of the roles for all or most of their working life, one impor-

tant aspect of the “post-modern” public servant is that they may be changing their

roles from time to time and attempting to adjust their behaviour to the multiple ex-

pectations about their performance.7

Some choices for the individual appear rather easy to make. When the public

servant must manage a network structure, or a contract, in order to deliver a service,

it is rather obvious that he or she must become a negotiator. Likewise, when called

upon to advise a minister on policy, he or she must put on a policy-making hat to do

the job well. A skilful public servant, as indeed would a skilful employee in a private

firm, will usually be able to find the right combination of skills and approaches to the

job in order to carry out the tasks appropriately and make their programs perform as

expected.

Not all choices are so clear for the contemporary public servant, and even those

that appear simple may not be. For example, while the public servant may think that

the negotiator role is most suitable when building and managing networks, the public

servant must remember that he or she also represents the public sector in these nego-

tiations. In the end, he or she may have to revert to playing a more legalistic, bureau-

cratic role in order to protect the public interest. As managerial market values have

permeated the public sector, maintaining the distinction between the public interest

and the interest of the participants may be more difficult, but it is important to re-

member that distinction. This point only emphasizes the extent to which the tradi-

tional bureaucratic model of governing remains viable, and at times necessary.

These difficulties reflect the extent to which conventional models of the public

sector have been eroded and no clear alternative has been institutionalized to replace

them. Although we have noted that in a number of ways restoring the Weberian bu-

reaucracy model may not have many benefits for society, this notion remains a con-

venient solution for the public employee, even if it is not always suited to the particu-

6 In role theory, the society, or the individuals with whom an individual interacts, transmits a role that

the individual must perceive correctly. Of course, if the individual misperceives the role then his or

her behavior will be inappropriate. 7 One aspect of role theory is that there are a set of expectations about the behavior of an incumbent of

a position. Further, any individual may have to play a number of different roles and therefore must be

sufficiently flexible, and sufficiently astute, to adapt to the different expectations.


17

lar circumstances. Reliance on the rules of the organization and established practices

is, as it has always been, an important protection for public employees and may be-

come even more important once the circumstances of governing become more am-

biguous. What may yet be missing, however, is the service orientation that has be-

come more central to governing in the reformed public sector.

The external linkage functions that have become important for contemporary

public servants provide them a source of power within the organization. Therefore,

rather than adopting more defensive stances by relying on the rules of bureaucracy,

public servants can take more positive stances, using their roles as negotiators with

private sector actors. This gain in relative organizational power reflects the extent to

which contemporary public organizations depend upon their partnerships with exter-

nal actors to provide services, and as the liaison with those external actors, the rela-

tive position of the public servant is enhanced. Therefore, the ambitious public ser-

vant has an incentive to adopt that role to the furthest extent possible.

To some extent, playing the role of democrat provides public servants with some

of the same internal political advantages as are available to them outside the organi-

zation. This role involves the public servant looking outside his or her own organiza-

tion to serve broader political constituencies, and to promote what may be alternative

values and policies within the organization. Public servants have always been in po-

sitions that span the boundaries between the public and the private sectors, but em-

phasizing that role and its potential for democracy does serve as a means of comple-

menting existing democratic institutions. This is especially true when, as noted, some

of the traditional political institutions are now less effective in mobilizing public

support. It also functions as a means of promoting policies and values that are de-

rived from the connections with society.

The uses of ambiguity

Describing the position and the role of contemporary public servants as ambigu-

ous might be thought to describe a significant problem for these actors. To some ex-

tent that may be true, given that learning to be an effective public servant is now a

less clearly defined task than in the past, and that the public servant will have to

make more individual choices when carrying out their tasks in the public sector. This

more ambiguous world may not be the most preferred by more conventional “bu-

reaucrats”, who prefer an orderly and rule-defined existence that does not involve po-

tentially difficult interactions with clients.

Despite the inherent problems in ambiguity, there are also a number of advan-

tages (see Christensen and Røvik, 1999) for the contemporary public servant. The

most important of those advantages is that the latitude for action for the individual is

enhanced. One of the common complaints by public employees is that the formal

definitions of their tasks do not allow for innovation and for individual initiative.

While the reforms of the last twenty years have to some extent softened the stereo-

type of the position of the public servant, they have by no means done so entirely and


18

public servants can only welcome more room for defining and redefining their own

positions within the processes of governing.

In addition, the more entrepreneurial among the public service can utilize the

ambiguity of roles to increase their powers relative to their nominal political masters.

The conventional definition of the role of the public servant has been rather con-

straining and has defined that role in non-political terms. The ambiguity of contem-

porary role definitions allows the individual public servant to do more to define their

own roles and to mobilize political support from outside the organization. This does

not mean that public servants necessarily are the power-seeking, utility-maximizing

actors they are sometimes assumed to be (see Niskanen, 1971), but it does mean that

they are not the political ciphers that others might have them be. Public servants have

ideas and they do have clients, and a more ambiguous definition of their place in the

public sector will enable them to exert more of an independent influence.

Finally, ambiguous roles enable the public servant to mix and match responses

to the needs of particular policy circumstances, and to provide more nuanced re-

sponses to those competing demands than would be possible with more strictly de-

fined roles. The more conventional, uniform conceptions of managing the public sec-

tor require rather predictable responses from public employees, but the post-modern

style of governing provides more options. The key point is indeed that governance is

no longer a simple, hierarchical activity but rather involves more complex interac-

tions between the public and private sectors (see Kooiman, 2003; Peters and Pierre,

2006), and among a number of organizations within the public sector itself. That

complexity, in turn, creates a need for individuals who have themselves greater flexi-

bility. With that flexibility must go a significant commitment to the integrity of the

policy process in order to manage the inherent complexity of governing.

Conclusion

The task of being a public administrator has never been an easy one. Even when

the role was more clearly defined, the necessity of coping with the complexity sur-

rounding most public programs presented a number of challenges to those public ser-

vants. The shift toward a less clearly defined understanding of the role of the public

administrator in contemporary society has to some extent made the life of the public

administrator more difficult. There is a much wider range of possible demands on the

public servant, and it is now impossible to rely on the familiar role of bureaucrat as

implementer of the law. The individual public servant to some extent has always

been responsible for making choices about their choices, but those choices now are

even more basic.

On the other hand, after the public sector has been transformed and de-

institutionalized, the working life of the public servant may be both more interesting

and more effective. Having the opportunity, or even the expectation, of playing mul-

tiple roles within the governing process allows public servants not only creativity but

also more capacity for solving problems. These opportunities may also enhance the


19

job satisfaction of public employees, given that they can define their own role, shape

their own careers and also have a more active role in shaping policy than traditional

models would allow them. They have lost numerous protections they may have en-

joyed in the past, but have been able to replace those with a greater degree of free-

dom.

This changing role for the public servant must also be understood in the context

of broader changes within the public sector. In particular, the decentering reforms of

the past several decades have created the need to restore some control over policy

arising in the centre of government. With that shift toward more power in the centre

of government has come the need to empower senior public servants to play a more

significant role in the process of linking the decentered processes to central political

control. The linkage function will employ a range of the role options mentioned

above, but perhaps most notably—the role of negotiator. The negotiations in this

context require the public servants to tread a very thin line between politics and ad-

ministration, and may also require them to be policy entrepreneurs in their own right.

The public servant has often been the object of scorn, but the role is being rein-

vigorated (albeit in a somewhat different guise) by contemporary political and ad-

ministrative change. Public servants may still not be the most popular figures for the

average member of the public, but they do have crucial roles to play in making the

contemporary state function. And it is indeed in part because they have those multi-

ple roles that they are becoming more important to the policy-making process. The

ability to provide a range of solutions for policy and administrative problems enables

these “bureaucrats” to be central actors in governing. We must be cognizant that the

governing process itself also changes as a result of these changing roles for the bu-

reaucrat, and even the notions of democracy will have to be considered in a different

light.

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Administration no. 83, 2005. p.67-88.

14. Mair, P. and I. van Biezen “Party Membership in Twenty European Democracies, 1980-

2000”, Party Politics no. 7, 2001. p.5-21.

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MA: Harvard University Press, 1995.

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International Governance. Lanham, MD: Rowman and Littlefield, 2002.

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22. Administrative Reform and Democratic Governance. London: Routledge, 2010.

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p.223-43.

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26. Rose, R. The Problem of Party Government. London: Macmillan, 1974.

27. Rothstein, B. and J. Teorell. “What is Quality of Governance: A Theory of Impartial

Institutions”, Governance, no.21, 2008. p.165-90.

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Administration, no.70, 1992. p.499-518.


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POBIUROKRATINIAI VIEŠOJO SEKTORIAUS TARNAUTOJŲ VAIDMENYS

B. Guy Peters

Santrauka

Šio straipsnio autorius remiasi prielaida, jog viešojo sektoriaus postmoderniai būklei būdingas tikrumo, kuriuo pasižymėjo moderni biurokratinė sistema, praradi-mas. Sunykus biurokratijai kaip viešojo sektoriaus paradigmai, jos nepakeitė joks vienintelis visuotinai pripažintas viešojo sektoriaus modelis. Kiekvienas valstybės tarnautojas skirtingu metu gali pasirinkti skirtingas vertybes, ir tokia vertybių bei požiūrių įvairovė nebūtinai sukuria chaosą. Vienas iš svarbių šiuolaikinio viešojo valdymo uždavinių ir būtų išryškinti tas skirtingas vertybes bei požiūrius. Šiuo tikslu straipsnyje pristatomi penki viešųjų tarnautojų vaidmenys: biurokrato, vadybininko, politikos formuotojo, derybininko ir demokrato, taip pat aptariama, kaip šie vaidme-nys atspindi šiuolaikinę viešojo administravimo tikrovę, kokiu mastu jie gali egzis-tuoti kartu. Konstatuojama, jog šiuolaikinių viešųjų tarnautojų pozicijų ir vaidmenų neapibrėžtumas ne tik sukuria papildomų problemų, bet turi ir pranašumų – viešieji tarnautojai turi platesnę veiksmų laisvę, atsiveria daugiau galimybių inovacijoms ir individualioms iniciatyvoms.


Alvydas Raipa – Kauno technologijos universiteto Viešojo administravimo katedros profesorius, socialinių mokslų daktaras. Kaunas University of Technology, Department of Public Administration, Professor. el. paštas / email: [email protected] Straipsnis įteiktas redakcijai 2009 m. rugpjūčio mėn.; recenzuotas; parengtas spausdinti 2009 m. gruo-džio mėn.

ŠIUOLAIKINIO VIEŠOJO VALDYMO POKYČIŲ KRYPTYS IR TENDENCIJOS

Alvydas Raipa

Kauno technologijos universitetas

K. Donelaičio g. 20, LT-44239, Kaunas

Straipsnio tikslas – išanalizuoti viešojo valdymo pokyčius, suponuotus globalių

reiškinių. Daugiausia dėmesio autorius skiria šiuolaikinio valdymo etapo reformų

tikslams ir ideologijai, naujų teorinių paradigmų ir modelių atsiradimui ir jų pritai-

kymo valdymo praktikoje galimybių analizei. Kaip atskiras klausimas aptariama kita

teorinė metodologinė problema – viešojo valdymo reformų efektyvumas. Kaip svar-

biausia reformų efektyvumo sąlyga nurodoma viešojo sektoriaus permanentinis mo-

dernizavimas, naujų modernizavimo struktūros elementų atsiradimas. Viešojo val-

dymo kontekstas – naujoji viešoji vadyba kaip pagrindinė modernizavimo ideologija,

todėl tiek vykstantys pokyčiai, tiek viešųjų institucijų pastangos yra analizuojamos

remiantis naujosios viešosios vadybos teoriniais modeliavimo metodais ir progno-

zuojama naujosios viešosios vadybos evoliucijos į naująjį viešąjį valdymą pradinis

etapas ir jo dimensijos.

Raktažodžiai: viešojo valdymo reformos, modernizavimas, naujoji viešoji vady-

ba, viešasis valdymas.

Keywords: public governance reforms, modernization, New Public Manage-

ment, public governance.

Įvadas Šiandienos visuomenės gyvenimo pokyčius suponuoja globalizacijos paskatinti

pokyčiai, struktūriniai regionų, valstybių, religiniai, politiniai, ekonominiai, sociali-niai konfliktai. Globalizacija socialinėje visuomenės gyvenimo sferoje sukelia dažnai nelauktus, netikėtus, net paradoksalius reiškinius, kurie atsiranda laužant nusistovė-


23

jusias ekonomines, politines doktrinas, teorijas ir modelius. Atsiranda naujos valdy-mo paradigmos, dažnai ne evoliucionuojančios iš buvusių sisteminių modelių, o atsi-randančios naujoje teorinėje metodologinėje terpėje.

Naujos teorinės nuostatos istoriniuose XX–XXI a. sandūros etapuose reikalauja tobulinti vadinamąją „gerąją“ viešojo valdymo praktiką, reformuoti viešojo valdymo struktūrines dalis – viešąją politiką ir viešąjį administravimą. Tačiau negalima teigti, kad naujos valdymo technologijos, pokyčiai viešajame sektoriuje visiškai nesiremia ankstesniais viešojo valdymo laimėjimais, sukaupta patirtimi. Viešojo valdymo re-formos dažniausiai vyksta inkrementinio (palaipsniškumo) modelio, parengto dar XX a. septintajame dešimtmetyje ir apimančio įvairių rūšių išteklių taupymą, racionalių sprendimų priėmimą, programinius valdymo elementus, naujų motyvacinių inovacijų pagrindus, nors nemažai autorių, išskirdami inkrementinių modelių lygmenis, pripa-žįsta, kad valdymo procesams radikaliau keisti bei supaprastinti inkrementalizmo modeliai nėra panacėja [9, p. 113–116].

Viešojo valdymo reformų tikslai Siekiant suprasti valdymo reformų tikslus ir uždavinius bei reformų metu išky-

lančias problemas, būtina gebėti jas išskirti, t. y. įvaldyti viešojo valdymo analizės metodologiją, surasti problemų sprendimo instrumentarijų. Būtina geriau pažinti bendrąsias viešojo valdymo problemas, t. y. konceptualizuoti suvokiant viešąjį val-dymą kaip paradigmų, teorijų, modelių, procesų, metodų ir procedūrų įvairovę, su-prantant ją kaip tam tikrą viešojo valdymo reformų sistemą, kaip potencialią priemo-nę daugeliui tikslų pasiekti. Valstybės institucijos suformuojamos siekiant taupyti iš-teklius, gerinti viešųjų paslaugų kokybę, tobulinti viešosios politikos formavimą ir įgyvendinimą, o tai ir yra šiuolaikinio viešojo valdymo esmė. Viešojo valdymo re-formos gali padėti sumažinti biurokratinių suvaržymų, stiprinti vykdomosios val-džios atsakomybę ir atskaitomybę tiek įstatymų leidėjams, tiek piliečių grupėms už politikos krypčių bei programų formavimą ir įgyvendinimą [14, p. 20].

Tokiu atveju iškyla valdymo reformų analizės vaidmuo. Valdymo (politikos ir administravimo) analizė yra socialinio proceso intelektualinės veiklos rūšis, apimanti valdymą, psichologiją ir kultūrą, paprastai apibrėžiama kaip formavimo procesas, la-biau priklausomas nuo politikų, ir įgyvendinimo procesas, realizuojamas daugiau administracinių institucijų. Valdymo reformų analizė, W. Dunno nuomone, yra susiję ir tam tikros sekos veiklos etapai: darbotvarkės nustatymas, politikos formavimas, politikos įvedimas, politikos įgyvendinimas, politikos įvertinimas, politikos tęstinu-mas ir politikos užbaigimas. Be daugelio minėtų etapų analizės sunku atlikti ne tik politikos, bet ir viso viešojo valdymo reformų analizę [5, p. 58–59].

Pagrindinis viešojo valdymo reformų tikslas, kaip jau minėta, tiesiogiai paveikti sprendimų rengimą ir įgyvendinimą, planavimo, kontrolės ir vertinimo galimybes, t. y. svarbiausiu strateginiu uždaviniu laikomas viešojo valdymo ir viešojo sektoriaus veiklos efektyvumas. Nuo efektyvaus viešųjų institucijų gebėjimo planuoti, efekty-viai parengti ir priimti bei įgyvendinti sprendimus priklauso šalies ekonominė padė-

Alvydas Raipa. Šiuolaikinio viešojo valdymo pokyčių kryptys ir tendencijos

24

tis, įvaizdis, galimybės naudotis tarptautinių organizacijų ekonomine ir politine pa-rama. D. Osborne'as ir T. Gaebleris efektyvesnę viešojo valdymo galimybę supranta visų pirma kaip sistemingą viešojo sektoriaus pertvarkymą, strateginių uždavinių re-formuojant viešąjį valdymą įgyvendinimą [12, p. 7–8, 35].

Globalioje aplinkoje vykstančios valdymo reformos reikalauja iš viešųjų institu-cijų priimti naujus iššūkius planavimo, sprendimų priėmimo, jų įgyvendinimo koor-dinavimo, visų rūšių išteklių valdymo srityse. Vykstantys pokyčiai, orientuojantis ne į tradicinio viešojo administravimo, naujojo viešojo administravimo, naujosios viešo-sios vadybos, o į šiuolaikinį postmodernų viešąjį valdymą reikalauja peržiūrėti tradi-cines normatyvines orientacijas, įveikti nuolat atsinaujinančius trukdžius.

Sėkmingai gali būti vykdomos ne tik organizuoto pobūdžio reformos, kai re-miamasi moderniomis teorijomis ir moderniais visuomenės praktiniais laimėjimais, orientuojamasi į institucinius, struktūrinius, funkcinius pokyčius [15, p. 12–13]. Ta-čiau šiuolaikinė pasaulio ekonominė-finansinė padėtis aiškiai rodo, kad reformuojant šiandieninį viešąjį valdymą (visų pirma kaip viešąją politiką ir viešąją vadybą) būtina naujai įvertinti valstybės vaidmenį reformuojant viešąjį valdymą, suprasti neigiamus naujosios viešosios vadybos faktorius ir elementus.

Reformų procese ypač svarbus turėtų būti viešojo sektoriaus darbuotojų, politikų teorinis-metodologinis pasirengimas, nes jie privalo ne tik žinoti organizacines, va-dybines, valdymo lygių ir biurokratijos hierarchijos principus ir teorines nuostatas, bet ir sugebėti jomis disponuoti praktinėje veikloje reformuojant viešąjį sektorių [7, p. 210–212].

Tačiau reformų vykdymas, jų valdymo principai viešajame sektoriuje šiandien nėra lengvai sprendžiamas uždavinys. Viešojo valdymo reformoms šiuo metu didelę įtaką turi laiko faktorius, kadangi reformų rezultatai (pozityvūs ar negatyvūs) išryš-kėja tik praėjus tam tikram laikotarpiui. Todėl valdymo reformų struktūroje itin svar-bus uždavinys tenka reformų strategijai nustatyti, jų detalizuotam formalizavimui. Klasikinė aksioma teigia, kad reformų politika arba strateginiai uždaviniai dažnai ne-įgyvendinami ne todėl, kad jų apskritai negalima įgyvendinti, o todėl kad reformų kryptys ir tendencijos yra prastai formuluojamos ir prognozuojamos.

Reikia sutikti ir su W. Parsonso išsakyta mintimi, kad įgyvendinant viešojo val-dymo reformas itin svarbu suvokti, kad viešasis valdymas šiandien vyksta ne tik ra-cionalių politinių sistemų, bet ir pasaulinės sistemos lygmeniu, t. y. itin išaugo globa-lūs įvairovės ir kompleksiškumo aspektai viešųjų organizacijų veiklos transformaci-jose, valstybės vidinių ir išorinių veiksnių ir faktorių sąsajos, o tai reiškia, kad nacio-nalinė valstybė mažiau gali kontroliuoti savo valdymo procesų darbotvarkę [13, p. 220–221].

Negalima paneigti ir teiginio, kad reformuojant viešąjį valdymą kokybiniai po-kyčiai viešajame sektoriuje prasideda nuo naujai suvokiamų vertybių sistemos, jie įsitvirtina evoliucionuojant iš vienų valdymo formų į naujas, efektyvesnes veiklos formas.


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Viešojo sektoriaus modernizavimas reformų struktūroje Šiuolaikinė pasaulinė ekonominė situacija rodo, kad viešųjų institucijų veikla,

viešasis valdymas toli gražu neatitinka valdymo pertvarkos ir valdymo moderniza-vimo reikalavimų. Viešojo valdymo efektyvumas, kurio tikisi mokesčių mokėtojai, finansuojantys viešąsias programas bei projektus, sukelia nusivylimą valdžia, visa viešojo valdymo sistema, auga nepasitikėjimas svarbiausiomis šalies institucijomis, kurios nesugeba įveikti netvarkos, finansinių problemų, teisinio nihilizmo, neužtikri-na valdymo demokratizavimo, esminių elementų sėkmingo funkcionavimo, o pagrin-dines valdymo reformų kryptis formuojantys politikai dažnai pasirenka neteisingus, o kartais ir neteisėtus sprendimus, pradėtos reformos įstringa dar nedavusios jokių re-zultatų.

Viešojo valdymo modernizavimas kaip šiuolaikinis procesas prasidėjo praėjusio amžiaus septintajame dešimtmetyje, kai tradicinį viešąjį administravimą keitė nauja-sis viešasis administravimas, besiremiantis socialinių mokslų postmoderniomis teori-jomis, kurių ideologinis pagrindas buvo žinomas S. Kuhno darbas „The Structure of Scientific Revolution“ bei P. Bergerio ir T. Lucmano darbas „The Social Construc-tion of Reality“ [7, p. 129–130].

Viešasis valdymas turi nemažą viešojo sektoriaus modernizavimo patirtį, įgytą XX a., kai formavosi, vystėsi teorinės-metodologinės viešojo valdymo paradigmos, koncepcijos, modeliai ir galimybės patikrinti jų tvarumą praktikoje.

Iš svarbiausių XX a. pirmos pusės viešojo valdymo modernizavimo etapų ir lai-mėjimų galima išskirti klasikinių viešojo administravimo funkcijų – planavimo, or-ganizavimo, nurodymo, vadovavimo, koordinavimo, informavimo, biudžeto valdymo išgryninimą [18, p. 94], strateginio planavimo ir programinio valdymo bei programi-nio biudžeto atsiradimą [2, p. 12–13].

Galima išskirti dauglį XX a. antros pusės ir ypač paskutinių dešimtmečių teore-tikų, kurių darbai itin reikšmingi viešojo valdymo modernizavimo metodologijai. Tai W. Dunnas, W. Parsonsas, J. M. Brysonas, G. Fredericsonas, R. Denhardtas, D. Os-borne'as, T. Gaebleris, Ch. Hoodas, M. Harmonas ir kiti. Jie apibendino viso XX a. viešojo valdymo teorijos ir praktikos laimėjimus. Jų darbuose buvo istoriškai įvertin-ta klasikinė tradicinė vėberinė-vilsoninė viešojo valdymo teorija ir praktika, išplėto-tas dar 1900 m. F. Goodnowo suformuluotas politikos-administravimo dichotomijos principas [17, p. 25–28].

Negalima nepaminėti ir žymaus teoretiko, Nobelio premijos laureato (beje, vie-nintelio iki šiol viešojo valdymo srityje) H. Simono indėlio į viešojo valdymo refor-mų teoriją ir praktiką tobulinant itin svarbią viešojo valdymo struktūros dalį – spren-dimų rengimo ir jų įgyvendinimo tyrimus. Ypač aktualus yra H. Simono indėlis sprendimų psichologijos ir organizacinės elgsenos srityse [19, p. 19–26].

XX ir XXI a. sandūroje įgyta gerokai daugiau viešojo valdymo modernizavimo patirties rengiant modernizavimo strategijas, modernizavimo šakines programas, to-bulinant programų ir projektų valdymą. Pagrindinėmis modernizavimo kryptimis ta-po viešųjų organizacijų funkcinės veiklos tobulinimas, įvairių valdymo ir kontrolės formų modernizavimas, viešojo ir privataus sektoriaus partnerystės plėtojimas, rinkos


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santykių diegimas viešajame sektoriuje, naujų privatizavimo formų, valdymo demok-ratizavimo ir piliečių dalyvavimo valdyme galimybių plėtra. Šiame etape svarbius teorinius modernizavimo pagrindus parengė teoretikai B. Guy Petersas, D. Kettlas, Ch. Pollitt, G. Bouckaertas, T. Bovairdas, E. Lofleris, L. Terry ir kiti. Jų darbuose viešojo valdymo modernizavimas analizuojamas kaip viešojo sektoriaus veiklos efektyvumo sąlyga, sėkmingų viešojo valdymo reformų sudedamoji dalis.

Analizuodami viešojo sektoriaus modernizavimą teoretikai pabrėžia organizaci-nių darinių reorganizavimo būtinumą. Šiandieniniame etape viešojo valdymo institu-cijos reorganizuojamos siekiant plėtoti horizontalią ir vertikalią institucijų specializa-ciją, jas koordinuoti, viešosios politikos ciklų geresnės sąveikos [23, p. 325–347].

Šiuolaikinėje viešojo valdymo reformų plėtros aplinkoje būtina žinių, patirties, politikos supratimo ir sprendimų rengimo sąveika, kurioje dalyvauja viešojo ir priva-taus sektoriaus įmonės, kartu įtraukdamos į valdymo tobulinimą ir visuomenines – nevyriausybines organizacijas. Jų veikla dažniausiai remiasi kontraktų valdymo prin-cipais [9, p. 252–281].

Racionalus viešųjų ir privačiųjų institucijų ir struktūrų veiklos derinimas teikiant kokybiškesnes paslaugas ir viešuosius produktus padeda geriau panaudoti inovaty-vias formas, siekti visuomeninio gyvenimo standartų gerinimo, stiprinti partneryste paremtus horizontalius ir vertikalius struktūrų ryšius [16, p. 12–13].

Reikšmingais modernizavimo faktoriais šiuolaikinėje valdymo pertvarkų aplin-koje tampa viešųjų institucijų organizacinės kultūros ir elgsenos tobulinimas, t. y. or-ganizacinės kultūros pokyčių planavimas, įgyvendinimas ir vertinimas, į šiuos proce-sus įtraukiant piliečius – organizacijos narius.

XXI a. pradžios valdymo organizavimo principai skatina įvairių piliečių dalyva-vimą vis daugiau dėmesio skiriant tiesioginiam piliečių dalyvavimui viešojo valdymo reformų procese. Tai reikalauja itin daug pastangų modeliuojant interesų grupių, val-džios institucijų ir nevyriausybinių organizacijų kartais labai prieštaringas pozicijas, todėl viešojo valdymo reformų, modernizavimo teorija akcentuoja sistemingos stebė-senos (monitoringo) svarbą įgyvendinant ir vertinant piliečių dalyvavimo procesų lygmenį [1, p. 16–18].

Modernizavimo struktūroje svarbios valdžios institucijų ir piliečių (klientų) inte-resų grupės, demokratiniai valdymo principai remiasi „orientuotos į klientus“ val-džios koncepcija, siekiant galutinio rezultato – piliečių pasitenkinimo viešųjų institu-cijų veikla [4, p. 212–213].

Viešojo valdymo demokratizavimas šiandien suprantamas kaip biurokratinio personalo gebėjimų ugdymas, valstybės tarnyboje vykstantys pokyčiai, kurie demok-ratinėse šalyse evoliucionuoja iš „karjeros“ modelių į „postų“ modelį, o tai didina viešojo valdymo efektyvumą. Žinoma, sunkmetis valstybės tarnybos reformavimui daro poveikį. Trūkstant lėšų ne visos institucijos gali sėkmingai tęsti pradėtas viešojo valdymo reformas. Todėl biurokratinių tarnybų veikloje reikėtų toliau plėsti demok-ratinių principų (visų pirma decentralizacijos) įtvirtinimą. Ypač reikšminga ekono-minė decentralizacijos forma – fiskalinė decentralizacija, leidžianti įgyvendinti su-bsidiarumo principus ir rasti naujų galimybių priartinant valdymą prie paslaugų var-


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totojų (klientų) bei tobulinant sprendimų priėmimą racionaliai jį paskirstant tarp cent-rinių ir subnacionalinių valdymo institucijų [3, p. 223–238].

Naujoji viešoji vadyba ir jos transformacija į viešąjį valdymą XX ir XXI a. sandūroje vykdomų valdymo reformų, viešojo sektoriaus moderni-

zavimo ideologinis pagrindas yra naujoji viešoji vadyba. Naujoji viešoji vadyba XX a. pabaigoje evoliucionavo iš tradicinio ir naujojo viešojo administravimo, nors kai kurie teoretikai naujojoje viešojoje vadyboje įžvelgia ir visiškai naujos teorinės para-digmos elementų. Žinoma, tai yra diskusijų objektas, tačiau aksiominis teiginys, kad nauja paradigma gali atsirasti tik naujoje terpėje, vargu ar tinka naujosios viešosios vadybos, kaip viešojo administravimo šiuolaikiniam etapui, kuris, kaip jau minėta, evoliucionavo iš ankstesnių viešojo administravimo formų, egzistavusių nuo XIX a. pabaigos iki XX a. paskutinio dešimtmečio.

Naujosios viešosios vadybos atsiradimą lėmė globalių pokyčių, reformų, viešojo sektoriaus modernizavimo būtinumas. XX a. pabaigos socialiniai, ekonominiai, poli-tiniai pokyčiai, ribų tarp valstybių silpnėjimas, informacinių technologijų sklaida rei-kalavo reformuoti viešąjį administravimą, modernizuoti valdymo metodus, viešojo sektoriaus personalo gebėjimus, racionaliau sutelkti visų rūšių išteklius, tobulinti or-ganizacijų ir individų atsakomybę už strateginių organizacijos tikslų įgyvendinimą.

XX a. pabaigoje terminas „naujoji viešoji vadyba“ yra tiesiogiai siejamas su vie-šųjų organizacijų veiklos efektyvumu. Modernizavimas yra viena iš svarbiausių veik-los efektyvumo sąlygų. Modernizavimo siekis šiame etape buvo ir yra įdiegti rinkos principus, naujus valdymo modelius (visų pirma kontraktų valdymą), skatinti demok-ratinių principų viešajame valdyme plėtrą, viešojo ir privataus sektorių partnerystę ir kita. Kaip matome, viešojo sektoriaus vadyba įgauna vis daugiau verslo administra-vimo bruožų rengiant viešąsias programas ir projektus, įgyvendinant valstybės insti-tucijų veiklos strategines kryptis. Todėl galima teigti (remiantis dar 1995 m. išsaky-tais W. Parsonso teiginiais), kad viešoji politika ir jos administravimo metodai vis la-biau panašėja į viešosios vadybos principus ir postuluojamus metodus bei procedūras [13, p. 512–513]. Todėl viešosios vadybos turinys pasikeičia, tačiau klasikiniai poli-tikos-administravimo dichotomijos principai šiandieniniame viešojo valdymo kon-tekste neišnyksta, o priešingai – išlieka tolesnių reformų, kai reformuojama valdymo praktika, atnaujinami metodai bei procedūros bei vyksta reformų ideologijos poky-čiai, formuojasi naujos ir transformuojasi senos idėjų sistemos. Visa tai ir turi įtakos valdymo reformų tikslams, struktūroms, funkcijoms, be kurių inovacijų diegimas sunkiai įgyvendinamas [14, p. 31].

Reformuojant naująją viešąją vadybą ir jai transformuojantis į naująjį viešąjį valdymą kuriami kvaziautonominiai dariniai – asociacijos, agentūros, bendros įmo-nės ir kt., kurių pagrindinis uždavinys – įgyvendinti valstybės iškeltas strategines viešojo sektoriaus užduotis remiantis privataus verslo principais ir modeliais. Teore-tikai tokį modelį vadina operatoriniu (privataus sektoriaus planavimas, finansavimas, valdymas). Kitas yra frančizės (tiekimas monopolizuotas privataus sektoriaus), o tre-


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čias – visuomeninis modelis (bendradarbiauja mišrios institucijos ir dariniai) [11, p. 547–563].

Pateikti modeliai yra diskusijų objektas, nes vykdant reformas kyla teorinių ir praktinių problemų, kurių sprendimai yra gana skirtingi. Dalis teoretikų labiau akcen-tuoja reformų ir modernizavimo normatyvinius standartus, atsakomybę, etikos nor-mas, t. y. klasikinės vadybos, kuri remiasi organizacijų teorija, reikšmę. Kiti autoriai reformų procese siekia išlaikyti klasikines viešųjų organizacijų ir verslo organizacijų sąveikos pozicijas. Jie labiau pabrėžia ne viešųjų ir privačiųjų organizacijų, bet vie-šųjų ir nevyriausybinių organizacijų partnerystės reikšmę. Jie nepritaria pernelyg pa-brėžiamai decentralizavimo reikšmei, kadangi, jų nuomone, decentralizavimo formos (ypač privatizavimas) pernelyg segmentuoja viešąjį sektorių, neleidžia gerai įgyven-dinti pernelyg išplėstų vadybos tinklų ir politikos tinklų koncepcijų [10, p. 35].

Nors teoretikai įvairiai vertina ir traktuoja naująją viešąją vadybą, visi autoriai pabrėžia tradicinio bei naujojo viešojo administravimo ir naujosios viešosios vady-bos, kuri reikalauja naujų biudžeto valdymo principų įgyvendinimo, kontraktų ir vie-šųjų pirkimų kultūros (taip pat ir tarnautojų kontraktų), antreprenerystės principų to-bulinimo, atsakomybės už priimtus sprendimus didinimo (prisiimant tam tikrą rizikos dalį) bei monitoringo ir kontrolės visapusiškumo stiprinimo valdymo praktikoje, skir-tumus [4, p. 10–11].

Prognozuojant šiuolaikinio viešojo valdymo raidos, reformų viešajame sektoriu-je tendencijas galima teigti, kad paskutiniais metais pradeda ryškėti kai kurios naujo-sios viešosios vadybos tobulinimo tendencijos, netgi numatomos evoliucionavimo į viešąjį valdymą kryptys. Taip yra todėl, kad naujoji viešoji vadyba siekiant rezultatų ir išimtinai į juos orientuojantis skatina tam tikras dehumanizavimo tendencijas, taip ribodama sąlygas valdymo demokratizavimo tendencijoms. Taip pat pažymėtina, kad per didelis organizacijų savarankiškumas, viešojo ir privataus sektoriaus partnerystės plėtra įgauna tam tikrų patologinių požymių – mažėja tradicinės viešojo sektoriaus tarnautojų ir valdžios atstovų atsakomybės laipsnis (nors naujosios viešosios vadybos teoretikai ir akcentuoja stebėsenos ir kontrolės vaidmenį) naikinant hierarchines struktūras, silpnėja atskaitomybės lygmuo, nors stiprėja horizontalaus valdymo ten-dencijos. Valstybė sunkiai bepajėgia suvaldyti ir sukontroliuoti (ypač vietos savival-dos lygmeniu) valstybines paslaugų įmones bei autonominių agentūrų veiklą. Tai iš-kreipia rinkos principus, neleidžia iki galo įgyvendinti viešumo, subsidiarumo prin-cipų. Viešosios organizacijos praktikoje iškelia vartotojo prioritetus, tuo tarpu naujo-sios viešosios vadybos paradigma orientavo į kliento (kaip vartotojo) poreikių tenki-nimą, jo aprūpinimą prekėmis ir viešosiomis paslaugomis. Praktikoje kliento pasi-tenkinimas suteiktomis paslaugomis dažnai nėra svarbiausias kriterijus [20, p. 42–43].

Naujosios viešosios vadybos evoliucionavimas vienų teoretikų siejamas su nau-josios viešosios tarnybos modeliu, kai orientuojamasi ne tik į galutinius rezultatus, bet ir tų rezultatų siekimo, realizavimo procesus, metodus bei procedūras siekiant demokratiškesnės valdymo aplinkos, vengiant pernelyg didelio privataus kapitalo vaidmens tobulinant viešąsias paslaugas, neskaidrumo (ypač privatizavimo, kontrak-tų valdymo, viešųjų pirkimų ir koncesijavimo, privačių bankų reikšmės suabsoliuti-


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nimo srityse). Tai patvirtina ir šiandieninė pasaulinė ekonominė-finansinė padėtis (ypač naujose ES šalyse, ir ne tik jose), kai pradedama suprasti, kad įgyvendinant naująją viešąją vadybą kaip teorinę paradigmą arba viešojo administravimo šiandie-ninį etapą kyla nemažai problemų. Naujose ES šalyse trūksta įstatymų nuostatų, reg-lamentuojančių naujosios viešosios vadybos praktiką, nepakankamai finansuojamos pradėtos programos ir projektai, siekiantys modernizuoti vienas ar kitas viešojo sek-toriaus sritis. Neretai vykdomos reformos ir pertvarkos įneša sumaišties į šalies eko-nominę, politinę, socialinę erdvę, sukelia tam tikrus įtampos laukus tarp valdžios ins-titucijų ir visuomenės interesų, tarp atskirų interesų grupių išprovokuoja konfliktines situacijas. Reformų konstruktoriai, siekdami prisitaikyti prie esamų ekonominių-finansinių aplinkybių, dažnai priima skubotus (kartais net nelogiškus) sprendimus. Administruojančio personalo, organizacinių darinių gebėjimai toli gražu ne visada tenkina naujosios viešosios vadybos keliamus reikalavimus, todėl siekis aklai adap-tuoti pirmaujančių šalių praktiką įgyvendinant naujosios viešosios vadybos modelius veda į nepamatuotus sprendimus, strateginių nuostatų nebuvimą, valdžios ir verslo struktūrų susiliejimą, neskaidrius viešosios politikos formavimo ir įgyvendinimo procesus.

Šiandien sunku prognozuoti tolesnę viešojo valdymo reformų, modernizacijos raidą, bet viena aišku – naujoji viešoji vadyba turi keistis, kai kurios jos nuostatos tu-ri restruktūrizuotis. Kiek ir kokiomis kryptimis turi būti orientuoti pokyčiai, taip pat nėra lengva nustatyti, tačiau teoriniai ir praktiniai tyrimai, ekonominė ir politinė pa-saulio situacija rodo, kad net ir tobuliausi viešojo sektoriaus valdymo principai negali būti mechaniškai perkelti į viešąjį sektorių. Todėl verta prisiminti viešojo administ-ravimo klasiko H. Simono XX a. viduryje parengtas „administracinės valstybės“ ir „administracinio žmogaus“ koncepcijas. Neidealizuojant šių doktrinų galima teigti, kad šiandienos teoretikai ir praktikai tobulindami reformų valdymą galėtų ir turėtų geriau suprasti puikiai H. Simono parengtas valdymo racionalizmo koncepcijas, ku-rios orientuojasi į valstybės vaidmens augimą (tiek centrinės valdžios, tiek vietinių valdžios institucijų). Iš esmės privataus sektoriaus dariniai negali pakeisti valstybinio viešosios politikos formavimo ir įgyvendinimo priimant politinius ir ekonominius sprendimus. Nors būtina ir toliau remtis klasikiniais viešosios politikos ir viešojo administravimo dichotomijos (specifinės sąveikos) principais, naujajai viešajai vady-bai evoliucionuojant į šiuolaikinę viešojo valdymo pakopą, politikos formuotojų ir vykdytojų (administratorių) sąveika turi įgauti glaudesnio bendradarbiavimo, atsa-komybės ir atskaitomybės laipsnį. Viešosios politikos formavimo ir įgyvendinimo ar-senale įdiegti naujausias, pažangias strateginės vadybos, viešosios rinkodaros, visų rūšių išteklių valdymo, informacinių technologijų panaudojimo bei viešųjų institucijų veiklos kontrolės ir vertinimo formas.

Toliau privalo būti tobulinamos viešojo ir privataus sektoriaus sąveikos valdymo formos (ypač socialinės partnerystės srityje) bei viešųjų ir nevyriausybinių organiza-cijų bendradarbiavimas. Tam turi padėti besiformuojančios šiuolaikinio viešojo val-dymo kryptys – veiklos procesų valdymas, naujausi pasiekimai veiklos analizės, sa-vianalizės, audito srityse. Negalima procesų valdymo struktūroje atmesti (kaip teigia


30

kai kurie teoretikai ir praktikai) visuotinės kokybės vadybos geriausios praktikos ana-lizės ir teorinių tyrimų vaidmens.

Žinoma, naujasis viešasis valdymas turi tapti svarbiausia visuomenės veikla, kur būtų sutelktos visuomenės grupių, valstybės institucijų pastangos, turi susiklostyti nauji kokybiniai piliečių ir kitų suinteresuotųjų (agentūrų, fondų ir kt.) santykiai, to-bulinami viešojo valdymo etikos regulaminai, taisyklės ir valstybės tarnybos vaid-muo bei stiprinamas valstybės tarnautojų statusas, griežtinamos jų atsakomybės for-mos, t. y. formuojamas naujasis viešasis valdymas, dažnai įvardijamas kaip metaval-dymas.

Išvados Pagrindinis viešojo valdymo reformų tikslas – viešojo sektoriaus efektyvumo,

viešojo valdymo modernizavimo sąlygų tobulinimas. Viešojo valdymo reformų struktūroje itin svarbią vietą užima sprendimai, besiremiantys tam tikromis ideologi-nėmis nuostatomis. Norint teoriškai modeliuoti valdymo reformas, prognozuoti po-kyčius būtina įvaldyti viešojo valdymo analizės instrumentarijų, padedantį sistemiš-kai ištirti viešąjį valdymą kaip teorijų, modelių, metodų, procedūrų visumą, derinti viešųjų, privačiųjų ir nevyriausybinių institucijų dalyvavimą, jų interesus taikant šiuolaikinius valdymo metodus.

Viešojo valdymo modernizavimas šiuolaikiniame etape daugiausia priklauso nuo pagrindines reformų kryptis formuojančių politikų kompetencijos, jų gebėjimų pla-nuoti, įgyvendinti, vertinti reformas ir jų padarinius bei prognozuoti tolesnę jų eigą ir socialinių, ekonominių procesų poreikį. Ypač reikšmingą vietą pasaulinės ekonomi-nės krizės sąlygomis įgauna politikų ir administratorių patyrimas rengiant tikslines modernizavimo programas ir projektus, t. y. diegiant šiek tiek pamirštamus strategi-nio valdymo principus, kurie buvo viena iš svarbiausių sąlygų pasaulio valstybių ekonomikoms įveikiant dar XX a. ketvirtojo dešimtmečio krizę. Todėl pagrindinis viešojo sektoriaus organizacijų uždavinys – naujai pritaikyti valdymo teorinę patirtį ir gerosios praktikos elementus siekiant modernizuoti viešųjų paslaugų teikimą, die-giant inovatyvias valdymo formas, stiprinti visų sektorių partneryste paremtus verti-kalius ir horizontalius organizacijų ryšius.

Modernizavimas šiuolaikiniame etape remiasi naujosios viešosios vadybos para-digma, orientuota į rinkos modelių įtvirtinimą viešajame valdyme, viešojo ir priva-taus sektorių partnerystės plėtrą rengiant programas ir projektus, tobulinant kontrak-tų, koncesijavimo, viešųjų pirkimų procesų valdymą. Remiantis žymiausių pasaulio teoretikų išvadomis galima teigti, kad viena iš svarbiausių pokyčių krypčių ir tenden-cijų šiandien galima laikyti tradicinės politikos ir administravimo dichotomijos evo-liucionavimą į dar glaudesnę politikos ir administravimo sąveiką. Tai yra esminis naujosios viešosios vadybos evoliucionavimo į naują viešojo valdymo etapą ideolo-ginis pagrindas, kuris tik tobulina, bet nekeičia klasikinių viešojo valdymo principų. Kartu būtina pažymėti, kad keičiasi valdymo sistemos, atnaujinama valdymo prakti-ka, o tai skatina inovacijų diegimą, plačiau naudojant kvaziautonominius darinius, kartu tobulinant valstybės priežiūros ir kontrolės funkcijas.


31

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32

THE DIRECTIONS AND TENDENCIES OF CHANGES IN MODERN

PUBLIC GOVERNANCE

Alvydas Raipa

Summary

Public sector organizations carry out their activities in a constantly, incremen-

tally changing environment of global society.

In modern society, public sector organizations have been encouraged to change

their role from the provider of services to the monitoring of other organizations that

actually deliver those services. This is particularly true of local authorities who are

encouraged by central government to deliver services through the voluntary or pri-

vate sector. The evolution of New Public Management into new public governance

means that public sector managers are acquiring the role of monitoring and control

over other kinds of organizations and developing skills in managing contracts. Such

an arrangement is blurring the boundary between the public and other sectors, be-

tween policy and administration. A major feature of the reforms and changes in the

public sector is that we can see an evolution from new public management to new

public governance in the start of the twenty-first century.


Yuri Krivorotko – Baltarusijos jurisprudencijos universitetas, Apskaitos analizės ir audito katedra,

docentas. The Belarus Institute of Jurisprudence, Department of Accounting, Analyses and Audit Assoc.

Prof.


Straipsnis įteiktas redakcijai 2009 m. kovo mėn.; recenzuotas; parengtas spausdinti 2009 m. gruodžio

mėn.

CHARACTERISTICS OF THE MODERN SWEDISH MODEL

OF ECONOMIC AND SOCIAL DEVELOPMENT1

Yuri Krivorotko

The Belarus Institute of Jurisprudence

3 Korolja str., 220004, Minsk, Belarus

This paper deals with features of the Swedish model of economic and social development from the perspective of Belarus. The paper deals with issues concerning the evolution of the Swedish social-economic model, with emphasis on the latest changes and corrections to the Swedish model. The paper also examines tendencies in the public sector and challenges in local government, as well as issues of foreign trade, migration of the national and foreign capital, Swedish course of European integration and cooperation in relation to post-Soviet countries.

Keywords: Swedish social-economic model, economic development, export,

import, local government, central government, municipalities, counties, European integration, single currency, post-Soviet countries, investments, Swedish-Belarusian cooperation.

Raktažodžiai: Švedijos socialinis-ekonominis modelis, ekonominis vystymasis,

eksportas, importas, savivalda, vyriausybė, savivaldybės, grafystės, Europos integracija, vienoda valiuta, posovietinės šalys, investicijos, Švedijos ir Baltarusijos bendradarbiavimas.

Introduction The words “economic miracle” are frequent in the XX century history of

Sweden. Within only several decades, the poor agrarian country has turned into one

1 The author would especially like to thank the Swedish Institute, Borås University, and the Embassy of

the Kingdom of Sweden in Belarus for the opportunity to visit and study the Swedish model of social

development.

Yuri Krivorotko. … Swedish Model of Economicand Social Development

34

of the richest and most advanced industrial powers. Rapid industrialization,

absence of conflicts in the labour market, traditional means of solving social

conflicts, abstention from wars and destruction were the basic preconditions for the

emergence of a society of “general prosperity”. Many years after the Second World

War, Sweden stands as an example of a successfully developed state and well

organized society with its own “third” way between capitalism and socialism.

Experts abroad have devoted much attention to the general welfare of the

Swedish state. Its experience has to some extent appeared comprehensible for other

countries. It should be noted that the last decades of the XX century have brought

truly revolutionary changes to the world in areas of technology, economic and social

development. Scientific and technological revolution, European integration,

globalization, the wave of neo-conservatism, the collapse of Communism have also

had an impact on the economy and policy of the small country. External factors have

considerably strengthened the effect of internal changes that have proved essential in

renewing of terms and principles of common good. Facing the challenges of post-

industrialism, globalization and individualization, the institutions, politicians and

ideology of the Swedish model have recognized their historically passing character.

The factors mentioned above have seriously undermined the mechanism of national-

state regulation of the Keynesian type and have posed a problem for the country to

introduce corrective measures to the existing model. In economic policy, a period of

social and economic development characterized by “neo-conservatism” and “neo-

liberalism” has grown as a new paradigm, replacing the previous one.

Swedish economic success and high rates of economic growth during the last ten

years confirm that the paths of reform in Sweden have been chosen correctly.

Therefore, a study of Swedish experience is important for both, economic science

and post-Soviet practice.

Development stages of the Swedish model

It is possible to identify three stages in the economic development of Sweden. In

the first stage (between 1870 and 1914), Sweden transformed from an agrarian

country into an industrial-agrarian country. During the second stage (between 1920

and 1970) Sweden became an industrially developed country. During the third stage

(between 1970 and the present) Sweden has been a post-industrial country with a

high standard of living as compared to other states with high rates of economic

growth. An analysis of the economic2 structure and industrial branch structure of the

economy allows us to conclude that the structure of the Swedish economy has

considerably changed under the influence of such factors as scientific and

technological progress, growth of foreign relations and EU accession. The structure

of the Swedish economy completely corresponds to the economic structure of other

developed countries: shares of agriculture, and industry and services (respectively

2 Structure which includes divisions in national economy: industry, agriculture, services etc.


35

1.95% and 70.3% of GDP in 2008)3. Despite of low share of agricultural production

in GDP and the number of employees occupied in this sphere, Sweden provides more

than 90 % of its own production and is also an exporter of grain, meat and oil. The

country entered a post-industrial stage in the seventies and a considerable share of

services is provided by the state sector of the economy (nearby one third), in contrast

to other developed countries.

Evolution of the Swedish model

A modernization mechanism of the economic model emerged in the late 1960s.

For a long time, its basic aims were full employment and income equalization for the

population. In view of considerable differentiation in conditions between the South

and the North of Sweden, problems of equalization were very relevant. In the

implementation of these aims, a leading part was played by the state sector. Sweden

ranks first in the world among developed countries in terms of state interventionism

in the national economy. This is expressed by such indicators as the share of state

expenditures in areas of consumption, investments and transfers, which made up

49.2% of the GDP in 2008. Furthermore, the state sector in Sweden accounts for

about one third of all employment in the country. However, the share of state

businesses is rather low: only 5% of population are occupied in state enterprises and

they comprise 6% of the GDP. The nationalized entities mainly function in the raw

materials sector (mining, ferrous metallurgy), transport, communications, energy

sector and the public services sector.

By means of active state regulation, especially the highest tax burden in the

world, Sweden has achieved a state of general welfare in the XX century. It provides

for free education, children care, elderly care, health and medical care, high pensions

and other elements of the social protection mechanism. However, in the second half

of the 1970s, the Swedish model has started exhibiting glitches in the functioning of

its mechanism. Rates of GDP increase in the period of 1976-1989 were twice below

the rates of the first part of the 1970s. As labour costs were about 20% above other

competitor countries, the competitiveness of the Swedish industry has sharply

decreased. Decrease in duration of the working day, decrease of pension age and

increase of the holiday period have led to a decrease in the rates of labour

productivity. The overestimated exchange of a fixed rate of the krona to the dollar

has led to stagnation of export, outflow of capital abroad, and interest rate growth.

Under a high tax burden, the labour motivation of the population decreased and

existing restrictions of the Swedish government on inflow of foreign investments did

not promote economic development and increase of competitiveness of domestic

production.

3 Hereafter, the absence of references to sources means that the data was received and calculated by the

author on the basis of statistics from the the Statistical Central Bureau of Sweden (www.scb.se), the

Swedish Riksbank (www.riksbank.se), the Government Office of Sweden (www.regeringen.se), and

the WTO (//start.wto.org).


36

As a result, Sweden initiated a process of governmental modernization of

economic management in the 1990s. It entailed a transition from demand regulation

to supply stimulation, a decrease of state expenditures (they decreased from 73% of

GDP in 1983 to 53% in 2006), decrease of taxation level, dismantlement of

regulation in some branches, privatization of some enterprises, labour market

liberalization, transition of the Swedish krona from fixed to floating rate, and

liberalization of the foreign investments regime.

The banking sector of the Swedish economy is represented by 126 commercial

banks, of which 31 are universal deposit banks, 68—savings banks, 25—branches of

foreign banks, and 2—co-operative banks. Total assets of the Swedish banking sector

amount to 5,129 billion Swedish krona. In Sweden, however, five banks are system-

based banks: Handelsbanken, SEB, Nordea Bank, Swedbank, and Danske Bank. The

share of their assets is around 90% of the whole Swedish banking system. All banks

listed above are diversified financial institutions, with affiliated structures as

mortgage financial institutions, funds of operating companies, investment banks,

insurance and financial companies. The system-based banks provide loans not only

in Sweden but also in other countries: Norway, Finland, Poland, Germany, and the

Baltic states [6].

Challenges in the local government model

As the Fredrik Reinfeldt government took office in October of 2006, a transition

took place from a traditionally strict state approach to local government

administration to an approach based on alliance between the structures of power and

business.

It was argued that the state, with its financial resources, can no longer maintain

the developed social model of “general prosperity” that evolved in the 1970s. The

municipal sector in Sweden occupies an important place in the national economy. It

is enough to note that in 2008, the share of public services consumption in GDP was

20%, while the local government’s consumption compared to the central government

consumption was 72.8% [5]. The development of the Swedish local government

model, in which the top level is represented by 21 counties4 and the bottom—by 290

municipalities, compels the local governments to engage in commercial activity,

actively enter the capital markets, and thus ensure their own security. The tendency

of expanding commercialization in the public sector and in public utilities provides

possibilities for the replenishing of local treasuries and reduction of public services

costs. At present, the central and local governments are interested in attracting small

and medium businesses to the public sector. This strategy was first implemented by

means of municipal–private partnerships in communities and counties. First of all,

such partnerships are connected with the industrial-financial activity of enterprises in

the territory irrespective of ownership types. Many local governments have started

4 Two regions “ Skåne "and" Västra Götaland” are included in number of counties indicated, as well.


37

creating centres for business support. The local government plays a vital role in

sustaining this interaction. In the presence of local government, municipal and

private sectors are not antagonists; they are interconnected and require each other.

The private sector becomes an element of the municipal economy.

The main modes in mutual relations between local authorities and business

entities include complex territorial planning, placing of municipal orders, supply of

capital, granting of assurances, granting of contracts for provision of public utilities

and investment agreements. This field of activity encompassed both, large and small-

scale business—individual and co-operative. Examples of forms of coordination

between local authorities and business include: alliances and partnerships of

municipal and corporate sectors, non-commercial and economic associations, joint-

stock companies where local authorities and municipal enterprises may act as

shareholders. There are known examples of effective activity in this area, e.g. the

municipalities in the cities of Gothenburg, Eskilstuna, Malmö, etc.

The advantages of municipal–private partnership widen the scope of the

municipal establishment and expand the local potential of municipalities and

counties. Clearly, the local government is more proximate to all types of entities than

the central and regional authorities, since the operations of any active organization

are based on local resources. The local governments can use their standing in the

interests of local community, including the solving of financial problems. Municipal–

private partnerships can be very useful, especially in building of schools, hospitals,

highways, other municipal projects. The task of designing, building, and servicing

municipal objects goes to private sector. In initiating these ventures, municipalities

receive revenue and, if the project is effectively implemented, private entities may

derive income from services provided, e.g., road toll collection.

In the marriage of “power and business” the local authorities do not play a

subordinated role, since many financial problems can only be solved by binding the

income of the real sector to the territory. Therefore, the development of municipal–

private partnerships in this sphere supports medium and small, individual and co-

operative businesses.

We should examine one more feature of local government in Sweden—the

integration of municipalities. Integration processes, however, are carried out not from

the “top” but from the “bottom”—on the initiative of inhabitants. Thus, enthusiasm

for unifying municipalities arises not only in one county. Here again the central

government meets popular desires for changing borders by administratively-

territorially redistributing the regions. Characteristic features of local community

development are constant experiments and searches for optimal fund distribution in

municipalities and counties. Now such experiments are implemented in two regions -

Skåne and Västra Götaland.


38

The tendencies of foreign trade development and migration of Swedish and foreign capital

The specificity of the Swedish model of social and economic development

cannot be understood without an analysis of Sweden’s foreign economic relations.

They have always played a significant and vital role in the national economy.

Sweden has traditionally exercised a liberal foreign trade policy, adhering to the

concept of open economy connected to those of other countries, on the basis of a

smaller market which cannot facilitate modern specialized manufacture of optimum

capacity and competitive level of costs. By our calculations, the country’s foreign

trade quota has increased from 42.0% in 1950 to 94.4% on the average during the

period of 2005-2007. The export and import structure is presented by types of

production illustrated in Table 1 below.

Table 1. Export and import structure in Sweden by the item of products in 2006

(per cent)

Export Share (in

per cent).Import

Share (in

per cent).

Mechanical engineering products 50% Mechanical engineering products 44%

Cellulose and paper industry

production

12% Chemical goods and products 12%

Wood-processing industry products 12% Energy raw materials

11.8%

Mineral raw materials 12%

Other types of products 14%

Other types of products

32.2%

Source: Calculations by the author, based on data from the Statistical Central Bureau of

Sweden (www.scb.se).

As the table shows, the production of mechanical engineering, pulp-and-paper,

wood-processing goods, chemical industry products, and mineral raw materials

prevails in Swedish export. Among leading articles of Swedish import are

mechanical engineering products, chemical goods, energy raw materials. Sweden’s

main trading partners in 2007 were the EU countries (60.9 %), Norway (9.4 %), the

USA (7.6 %), Russia (2.0 %), and China (1.9 %). Partnership parity has developed

by import as follows: the EU countries (71.6 %), Norway (8.6 %), China (3.5 %), the

USA (3.1 %), and Russia (2.9 %) [5].

Over the last 10–15 years, Sweden’s place in the system of international

specialization and competition has essentially changed because of shifts in

international labour division. The intensification of these processes has brought about

new areas of specialization in Sweden. In particular, Sweden belongs to the so-called

“niche” specialization, i.e. it concentrates its efforts on a considerably narrow

assortment of goods with the purpose of satisfying world-wide demand for such

goods. This assortment consists of both, simple Swedish products, such as matches,


39

bearings, and the most technically sophisticated types of production in the fields of

electronics, biotechnology, pharmaceuticals, nuclear engineering.

Swedish companies have a long history of exporting capital. The first industrial

branches abroad appeared in 1875, and currently, leading Swedish industrial

companies have a strongly pronounced international orientation. The degree of

internationalization among Swedish firms5 is defined as a parity of shares held in

foreign branches to an aggregate number of shares held in trans-national corporations

(multinational corporations), including the employment of parental companies.

According to this measure, Sweden has one of the highest indicators in the world. An

increasing portion of industrial potential is also being transferred abroad. Most of

Swedish capital is vested in large multinational corporations, where national capital

by origin is international capital by sphere of application. The leading role in

transferring industrial production abroad belongs to the machine-building companies.

Among them, we may single out “Electrolux” with degree of internationalization at

92%, “Eriksson”—59%, Volvo АВ—66%.

About one million employees or a total of 2/3 those employed at Swedish

multinational corporations work at enterprises run by Swedish state capital. It should

be noted that essential changes in the “geography” of Swedish foreign investments

have not taken place over the last two decades. A traditional area of investment is the

countries of OESR (90% of industrial investments). However, some concentration of

Swedish capital is found in individual countries, such as the USA, Finland, UK, the

Netherlands and Norway, in which 60% of the shares belong to Swedish investments.

Swedish participation in European integration

Integration processes have made a serious impact on the development of

Sweden’s national economy. For several decades, Sweden did not show much

interest in Western European integration, adhering to its policy of neutrality. This

was a unique disposition in Sweden’s foreign policy.

The idea to participate in European economic space was first stated in 1989.

Subsequently, Sweden chose its course and the country worked on closer market

integration and fulfilment of political obligations towards a full membership in the

EU. After the fall of the Berlin Wall, it became obvious that Sweden would not be

satisfied with its role as a younger partner and will demand full rights, including the

right to decision-making. In 1991, Sweden declared its desire to join the EU.

As a whole, joining the EU was less for a problem for Sweden, since the country

was at the same level of economic, social and political development as the states at

the core of the EU. For example, in 1995 Swedish GDP per capita was at 102.6%

compared to the level in EU-126. In 1991–1995, Sweden implemented many changes

5 This indicator is calculated according to the technique of internationalisation accepted in Sweden 6 The EU-12 list includes: Germany, France, Belgium, the Netherlands, Luxemburg, Denmark, UK,

Ireland, Portugal, Spain, Greece, and Italy.


40

to its national legislation for the purpose of adaptation to standard documents of the

EU.

The motivation of the government and business circles in Sweden for joining the

EU was based on the necessity of finding “more economic dynamics”. It was

contended that it would have a positive effect on economic growth, employment and

innovative processes.

Relatively little time has passed since Swedish accession into the EU for us to

speak about its long-term consequences. However, it is possible to speak about the

short-term consequences. The accession has certainly facilitated more successful

solutions to Sweden’s major macroeconomic problems, such as the stability of

economic growth, decrease in the rate of inflation, unemployment and deficits in the

state budget. An analysis of the recent ten years reveals that the national economy

developed rapidly over the first five years (from 1995 to 2000). However, during the

period from 2001 to 2003 a decrease in the level of GDP growth was observed.

During the period from 2004 to 2008, it began growing rapidly once again. As a

whole, the growth of Swedish GDP after joining the EU exceeds the average levels

of other European Union countries.

On two other important macroeconomic indicators, the rates of inflation and

unemployment, Sweden continues to take preferable positions. In 2006,

unemployment comprised 4%. In the conditions of the 2008-2009 financial crisis,

however, it has reached 8.3%. There is still synchronism in development of

inflationary processes and the decreasing indicators of the country are incomparably

better than the EU average. Under the conditions of the raging financial crisis, the

inflation rate in Sweden is currently 0.9%, considerably below the control indicator –

target inflation rate of 2%.

The problem of public debt reduction within the limits of EU is quite

successfully resolved. It was decreasing during the period between 1995 and 2008,

from 73.7% to 34.5% of GDP (for comparison, the average in EU-25 countries was

65% in 2005). At the same time, the state budget was reduced with a surplus since

1998. In other EU countries, the balancing of state budgets is more difficult. In 2006,

the average deficit of EU-25 was 2.3%. Similar observations may be applied to the

balance of payments in Sweden. During the period between 1970 and 1995, Sweden

had a negative trade balance, while during the period from 1995 to 2006, there was a

surplus. It comprised 3.9% of the GDP on the average, including the period between

2000 and 2006 when it comprised about 7% of the GDP [6, 7].

Despite obvious improvement to Swedish macroeconomic indicators in the EU

statistical base, competition in the Swedish domestic market appears slightly worse

in comparison to other EU countries. The consumer price index in Sweden was at

20.6% above the average price index of EU-25 in 2006. Recently, the consumer price

index has continued growing and has increased from January, 2007 to December,

2008, arriving at 6.9%. It speaks to the high costs on wages and taxes in the country.

Swedish membership in the EU monetary union is more problematic. In recent

years, two referenda have been carried out on this issue. In both cases, the population

of Sweden expressed a desire to keep its own currency. Only the current financial


41

crisis has provoked the populace to reconsider the pros and cons. However, one

important argument remains. Under current conditions of financial crisis, and under

an active export position and positive balance of payments, a decrease in the national

currency’s exchange rate with regard to the USD and EURO brings in more currency

reserves and promotes stronger monetary circulation. Upon entering the Eurozone,

however, all such export advantages would utterly dissolve due to the single

European currency. Therefore, this argument acts as a deterrent to the country’s entry

into the Eurozone.

It is possible to ascertain that Swedish membership in the EU has brought to it

desirable results such as high economic growth, inflow of foreign investments,

strengthening of competitiveness and decrease in price levels.

Measure of economic cooperation with post-Soviet countries

Historically, active cooperation between Sweden and Russia began at the end of

XIX and beginning of the XX century. It was later interrupted by the October

Revolution and the ensuing Civil War. As a result of comprehensive nationalization

carried out in Russia, the creation of a monopoly for foreign trade and other anti-

market measures, the interest of Swedish businessmen were undermined in Soviet

Russia.

Only after the disintegration of the Soviet Union, and with the beginning of

radical economic reforms in the CIS did the situation change for the better.

The prospects for Swedish trade with post-Soviet countries, including Belarus,

are primarily connected with improvements to the export structure of the post-Soviet

countries, and improvements to the quality and diversification of export deliveries.

The export position of the CIS countries with regard to Sweden obviously includes

raw goods and fuel (more than 90%). It is bound to increase in volume and share in

the foreseeable future. However, the semi-finished products and the processed goods

have both technological and consumer potential in the future. Growth of processed-

good exports, including cars, manufacturing equipment and the volume and diversity

of finished imports in the CIS countries are constantly expanding.

A major problem of exports from CIS countries to Sweden includes the

industrialization of its structure and increase of scientific-capacity products. This will

require active expansion of economic cooperation, moving away from the practices

of simple barter, an establishment of strong industrial contacts, R&D cooperation,

and introduction of joint business into the practice of mutual business ties.

As to investment cooperation with CIS countries, Sweden is included among the

ten major foreign investors into the economy of these countries and occupies the fifth

place since the middle of the 1990s. By estimations of the Swedish Riksbank, the

total sum of Swedish direct investments into CIS countries has reached more than 3

billion USD by the end of 2006 [6]. However, these investments are not yet

considerable and make up only 1.5% from all direct investments which are taken out

of the country. Swedish investments into Belarus are quite small as well. In 2007,


42

45.9 million USD in Swedish investments (17.2 million USD for the similar period

of 2006), including 18.5 million USD as direct investments have come into Belarus.

For the first quarter of 2008, 12.4 million USD in investments from Sweden,

including 3.1 million USD in direct investments have come into Belarus. Currently,

12 enterprises with Swedish capital are functioning in Belarus, of which 6 are joint

enterprises and 6—foreign ones. In the authorized capitals of these enterprises,

Swedish investors have listed 2.7 million USD. Besides, 14 representatives of

Swedish companies, including “Ericsson”, “Volvo”, “IKEA”, and “ABB Group”

have opened in Belarus.

In trade relations between Sweden and Belarus, the following positions have

emerged in the period between 2000 and 2007, as characterized in Table 2 below.

Table 2. Dynamics of the foreign trade relations between Sweden and Belarus

(mln. USD)

Years Trade turnover Export Import Deficit(+),

Surplus (-)

2000 48.2 13.0 35.1 +21.5

2001 80.6 20.3 60.3 +40.0

2002 126.5 27.2 99.3 +72.1

2003 163.7 65.4 98.3 +32.9

2004 235.7 136.9 98.4 -38.5

2005 351.6 262.6 89.0 +173.6

2006 480.5 365.7 114.8 +250.9

2007 212 77.1 134.9 -57.8

8 month 2008 162.1 65.5 96.75 -31.45

Source: Belarusian Agency of Financial News (AFN)

In 2008, the growth of Swedish imports into Belarus has continued and between

January and August of 2008, increased from 72 million USD to 96.75 million

USD—by 148.9%. Positive dynamics of Belarusian exports to Sweden may also be

noted. Between January and August of 2008, the volume of Belarusian exports to

Sweden has comprised 65.5 million dollars or 147.1% in comparison to levels in the

previous year (excluding mineral oil) [4]. We should also mention the delivery of

Belarusian washing machines in 2008. Despite the presence of the largest world

manufacturer of home appliances “Electrolux” in Sweden, the advancement of the

production of the Joint-Stock Company “Atlant” in the Swedish market—the official

dealer of company in Sweden being “Atlas Vitvaror AB”—is dynamically

expanding.

Among other important processes, we should mention measures for increasing

energy efficiency in centralized heating systems as well as recycling and processing

of waste. The interests of Sweden in Belarus are revealed in the activities of the well-


43

known IKEA Company, whose diversified activity includes large forest areas for the

manufacture of quality furniture with prices accessible for majority of the population.

The IKEA Company has been invited to the Belarusian market by the Belarusian

government to participate in capital formation in order to develop corresponding

branches. Negotiations between the IKEA Company and the Belarusian government

have continued throughout 2009 [4].

Great interest in Belarus has been shown by the Swedish company “Rindi

Energy”. The company is going to invest into Belarus for the development of biofuel

and export of wood waste.

Conclusions Swedish experience is valuable in both, the purely scientific and the practical

sense. Conditions for economic reform in Belarus are conducive to a variety of the

important components and characteristic features of “the Swedish model”. In

Swedish political culture, there is mutual understanding between central and local

governments, businesses and government of different tiers, businessmen and

employees, municipal–private partnerships, the search of optimum decisions on the

basis of broad compromise and consensus between the parties, attraction of public

associations and organizations to the solution of governmental problems on both, the

local and the central level. Finally, the principle of fair equalization of living

conditions between the centre and “remote places” would be useful to implement in

Belarusian social policy. Certainly, it would make little sense to copy the experience

of Sweden and mechanically transfer it to Belarusian soil. Therefore it is necessary to

borrow everything that would promote softening of political and social confrontation

between power and opposition in Belarus.

Literature

1. Björn Brorström. De-cermonialisation for Success – Institutions, Reforms and Individuals.

Reports on Borås, No.3 Spring 2007. Högskolan i Borås.

2. Чудаков М. Ф. ed. Мясцовае самакіраванне. Вопыт Швеціі. 2000. [Local Government.

Experience of Sweden].

3. Чудаков М. Ф. Местное самоуправление в Беларусии и других странах. 2005. [Local

Government in Belarus and other countries]. Minsk: Tonpik, 2005.

4. Reports and dates of Byelorussian informational Agency (AFN) www.afn.by

5. Statistical database of the Statistical Central Bureau of Sweden www.scb.se

6. Statistical data and reports of the Central Bank of Sweden (Riksbank) www.riksbank.se

7. Statistical date and reports of the Government Office of Sweden (www.regeringen.se)

8. Häggroth S., K. Kronvall., C. Riberdahl and K. Rudebeck. Swedish Local Government.

Transitions and Reforms, The Swedish Institute, 1999.

9. The New Proposed Equalization System for Municipalities and County Councils in

Sweden. Ministry of Finance, 1995.


44

ŠIUOLAIKINIO SOCIALINIO-EKONOMINIO ŠVEDIJOS

MODELIO YPATUMAI

Yuri Krivorotko

Santrauka

Išsaugotas vertingas Švedijos patyrimas turi ir mokslinę, ir praktinę reikšmę. Baltarusijoje ekonominės reformos sąlygomis tikslinga naudoti daugelį svarbių šve-diškojo modelio komponentų. Politinė kultūra, centrinės ir vietinės valdžios bei vers-lo atstovų tarpusavio supratimas įvairiais lygiais, savivaldybių ir privataus sekto-riaus partnerystė, tinkamiausių sprendimų suradimas remiantis šių sektorių interesų kompromisu ir konsensusu, viešųjų asociacijų ir organizacijų dalyvavimas priimant sprendimus aukštesniu ir vietiniu lygiu, centro ir periferijos gyvenimo sąlygų vieno-dinimo principas – visa tai galėtų būti panaudoti Baltarusijos socialinėje politikoje. Tačiau netikslinga Baltarusijoje taikyti mechaniškai nukopijuotą Švedijos patyrimą. Iš šio modelio būtina perimti visa tai, kas galėtų sušvelninti politinę ir socialinę val-džios bei opozicijos konfrontaciją Baltarusijoje ir tikėtis palankių sąlygų įgyvendinti.


Loreta Tauginienė – Mykolo Romerio universiteto Strateginio valdymo ir politikos fakulteto Valdymo

teorijos katedros doktorantė. Mykolas Romeris University, Faculty of Strategic Management and Policy,

Department of Management Theory, Post-Graduate Student.

e. paštas / email: [email protected]


mėn.

THE ROLES OF A RESEARCH ADMINISTRATOR

AT A UNIVERSITY

Loreta Tauginienė

Mykolas Romeris University Ateities str. 20, LT-08303 Vilnius, Lithuania

This article reveals research management as a complex, constantly changing

process faced with numerous challenges. It also addresses the importance of a re-

search administrator in the areas of research management and research administra-

tion, underscoring the research administrator’s impact on the research culture in the

institution. There is an ongoing debate on how to administer research in the context

of institutional management of growing complexity, changing economic conditions

and increasing political influence on research. The article emphasizes that the main

roles of the research administrator are helping faculties carry out research and rep-

resentation of university’s interests. However, the conditions for the implementation

of research vary, new challenges and opportunities continually arise, and thus the

competences of the research administrator must change to reflect these transforma-

tions: he/she must take on the roles of manager, lawyer, financier, or quasi-

researcher.

Keywords: research management, research administration, research culture, re-

search administrator.

Raktažodžiai: mokslinių tyrimų vadyba, mokslinių tyrimų administravimas,

mokslo kultūra, mokslo administratorius.

Introduction

The development of knowledge management, knowledge economy and knowl-edge society fosters innovation. The implementation of such innovations attracts more and more debate on study and research systems. It must be noted that a lot of

Loreta Tauginienė. The Roles of a Research Administrator at a University

46

American researchers (T. N. Atkinson, L. E. Miner, J. T. Miner and others) [1; 2; 25] have studied factors that influence research management, emphasizing the distin-guishing features of research administration. There are a number of Lithuanian sur-veys on the institutional evaluation of the quality of studies. G. Viliūnas, L. Juške-vičienė (Kraujutaitytė), K. Pukelis have examined research management systems in Lithuania and aspects of institutional evaluation [5, p. 104-112; 27, p. 26-37; 28, p. 15-16].

As Z. O. Atkočiūnienė notes, “a strategic aspect of knowledge management is knowledge economy” [3, p. 28] based on the fact that educational and research sys-tems play an important role in this area. Meanwhile, J. Kvedaravičius and I. Dagytė formulate and specify concepts central to the field of research management, reveal the connection between research management and scientific sociology, provide an overview of research reorganization from the restitution of Lithuanian independence until the country’s admission into the European Union. They also examine the appli-cability of socio-cultural and socio-economic management models in creating a con-ceptual model for management of transformations in research systems. As a scientific problem, the researchers emphasize the identification of subjects in professional re-search management, the search for solutions and their implementation [20, p. 93-116]. They point out that “knowledge economy operates efficiently only in the pres-ence of a concerted system of educational, research and technologies development, innovations and business” [20, p. 93-116]. Furthermore, they discuss the modern concept of science and recognize, as does G. Dobrov [10], that nowadays, science re-flects both bases of scientific thought, the logical and the social. J. Kvedaravičius and I. Dagytė affirm that complex meta-science is a study of science which establishes an understanding of the scientific system, distributing subjects internal to science stud-ies into logical science studies and social science studies. These scholars identify the main principles of organized research: freedom and free will, openness, discipline, dynamism, independence, cultural continuity, competence, etc. [20, p. 93-116]. They recognize research management as a subject of science studies and an integral ele-ment of management theory and practice. They conclude that research management, based on the results of the sociology of science, should be able to create, adapt and apply different models for managing research systems.

All of the above theoretical reflections had gone unanswered for two years. In 2008, problems concerning organization and funding of research in Lithuania were addressed by Z. Lydeka, P. Zakarevičius and P. Žukauskas [23]. These scholars in-sisted that the research system in Lithuania was in need of reform. Today, Lithuanian universities are undergoing reform as well. It is not still clear, however, if this reform is favourable to Lithuanian researches. It is also important to note that there is no dis-cussion regarding research administration in university managerial structures. Most attention is focused on solving financial and research implementation problems. Are we moving forward or backward, or are we standing still? Such are the questions for the nearest future.

Research management is a complex process, compounded with constant change and numerous challenges. Issues pertaining to this new concept are now coming un-


47

der exhaustive examination. The concept evokes various notions. Supposedly, re-search management encompasses a variety of factors and problems: principles of ac-tive cooperation between research and private sector to foster innovation; research policy; research culture; research careers; the potential “leak” of scientific potential into more developed countries, etc. [15; 7]. In modern scientific literature, the defini-tion of research management and its constituent parts still remain unclear. Therefore, it is frequently assumed that interaction between research and the private sector is a fundamental factor in research management [22]. It is argued that research should adapt to economic and social changes, with an aim towards progress, publicity, rec-ognition, etc. The role of the research administrator and the problem of research ad-ministration are practically unaddressed in Lithuanian scholarly literature: e.g. K. Kriščiūnas, J. K. Staniškis and V. Tričys assume that the main actors of research are individual researchers and research groups [19, p. 381-382].

It should also be mentioned that a problem of polysemy was encountered while preparing this article. There are multiple translations of the Lithuanian term into Eng-lish: “scientific management” and “management of science” (mostly related to Tay-lorism, presenting a scientific view of the system of work organization and produc-tion management), or “management of research” and “research management” (which encompasses more than Taylorism). Therefore, it was quite difficult to find more studies in such fields such as research management and research administration.

Currently, research management has become a more expansive concept. There-fore the article aims to theoretically analyse the established concepts of the research administrator, demonstrating the interaction between research management and re-search administration, and examining the interaction between the research adminis-trator and the research culture. The article also aims to determine the role of the re-search administrator in the areas of research management and research administra-tion, demonstrate the relationship between the research administrator and the re-search culture, and survey changes in the concepts of the research administrator, in the context of economic and social changes in research management.

This article is divided into three sections. The first discusses the variety of con-cepts defining the research administrator and his/her roles at the university. The sec-ond section discusses the role of a research administrator in the area of research man-agement, and the third section deals with the research administrator in the context of research culture and research administration.

The concept of research administrator

Many scholars, especially those cited in this article, predicate the existence of research management on functions performed by the research administrator.The role of the research administrator, even if the term of “research manager” is more com-mon, is mainly seen as entailing the following functions: to render assistance to fac-ulties in carrying out research, to represent university interests. As the changing con-ditions surrounding research present new challenges and opportunities, the compe-


48

tences of the research administrator must change accordingly: he/she must be able to simultaneously take on the roles of manager, lawyer, financier, and quasi-researcher. Already in the 1950s, N. Kaplan noticed that the most restricted definition of a re-search administrator was that of a business manager [18, p. 22-23], but later studies have demonstrated that the concept of a research administrator has widened.

M. Landen and M. McCallister point out three main qualities and skills that a re-search administrator should possess [21, p. 77]:

• Every research administrator generates and/or interprets information, and his/her ability to interpret and find meaning in textual or numeric data is fun-damental;

• A research administrator isa communicator at many levels, i.e. communication between researchers and research administrators, among and between research administrators, etc.;

• Research administrators are problem solvers who reveal a high level of hon-esty, integrity, and ethics.

These scholars also mention the research administrator’s traditional roles [21, p. 75]: understanding the nature of the principal investigator’s (PI) research; assisting the PI with pending funding opportunity information; promoting positive relation-ships between the PI and research sponsors; helping the PI apply for a grant or con-tract, especially through assistance with budgets, forms, deadlines, approvals, and signatures; recording and reporting on related institutional information; ensuring that the PI’s proposal complies with institutional policies and sponsor requirements; as-sisting the PI with the financial and managerial aspects of awards; ensuring the integ-rity of the institution’s financial and nonfinancial processes related to the research function.

The above scholars provide no estimate of human resources needed to accom-plish these traditional roles, while this is one of the most frequent problems con-fronted by universities. Certainly, the distinction of research administrators requires gradation by levels. Since the number of traditionally prescribed roles is a heavy bur-den for any one person, there has to be some sharing of responsibilities.

Considering the role of the research administrator in the context of managerial cycle, the principle of planning and forecasting includes future control and scenario formulation. In such cases, universities create work groups to formulate scenarios. Such work groups also include a representative of the administrative unit responsible for research. The principle of organization is implemented by devising or optimizing the university managerial structure, selecting human resources. Herein the role of the research administrator takes shape in relation to the chosen managerial structure at the university. Limits defining the activities of the research administrator are further established when implementing the principles of leadership and coordination, when activities and efforts for achieving common aims are negotiated. Certainly, oversight is a crucial part of research administration: research administration is not a unidirec-tional process and feedback is indispensable. The role of the research administrator varies across all steps of the managerial cycle, hence becoming multifaceted. There-


49

fore, this section of the article will mostly focus on how the research administrator is and has been perceived.

O. Hensley identifies four main categories of people with distinctive roles at a university: 1) students, 2) researchers, 3) research support personnel and 4) sponsors [17, p. 1]. He proposes thirteen functional classes of research support personnel and demonstrates research administrators to be an integral part of the university research culture, working with faculties directly as well as indirectly.

In 1942, R. K. Merton attempted to define science as a profession. He suggests certain “norms” that should guide the professional behaviour of scientists [24, p. 115-126]:

• Universalism, which prescribes peer review and scientific merit and denounces such factors as race, nationality, class, or personal traits;

• Communality: research findings must be published and findings distributed for the whole scientific community to scrutinize and, if found worthy, the originat-ing scientist should receive the appropriate credit for that work;

• Disinterestedness, which prohibits a scientist from doing research to seek fame alone—science should be performed for the sake of disseminating new knowl-edge;

• Organized scepticism: results of experiments should never be accepted without empirically and logically based methods.

Today, a fifth “norm” of science is also recognized. Authorship thereof is attrib-uted to T. N. Atkinson. He supplements R. K. Merton’s “norms” of science with shared organizational leadership [1, p. 25]. By this “norm” he emphasizes that scien-tists cannot work effectively without the support of research administrators.

It should be noted that the concept of research administrator and issues pertain-ing to his/her role in research administration are not widely discussed in Lithuanian literature. K. Kriščiūnas, J. K. Staniškis and V. Tričys have sporadically published some thoughts on the concept of the research administrator. These scholars remark that certain experience and competence should be required of the research staff to ef-fectively conduct research. They point out that research departments and other ad-ministrative units contribute to the development and implementation of scientific and research strategies [19, p. 381-382]. However, there is no further analysis of the roles and functions performed by the said administrative units, or of their importance in re-search management and research administration. These authors, in contrast to other scholars mentioned in this section of the article, assume that the sole actors of re-search are individual researchers and research groups.

The research administrator in the context of research management

Although research management as a branch of science has existed for over a

century, it constantly faces various dilemmas in its development which prompt one to glance back at its history. Fundamental research management principles formulated in the past no longer satisfy the changing research environment of today.These


50

changes are effected by social, political and economic factors that influence the val-ues and goals of higher education. Changes must therefore reflect the essential prin-ciples of research management (as related to research administration), as defined af-ter World War II [16, p. 44-45]:

• The first principle was formulated by A. Eurich [12], who wrote that research administrators must serve as a kind of oil in a complex mechanism, especially when there is a clash of interests among faculty, university or sponsors. The core of their work consists of reducing friction and keeping the process mov-ing.

• The second principle was articulated by K. L. Beasley [6, p. 1-4] who argued that research administrators should serve as “mediators-expeditors”: to medi-ate between the interests of the researcher and the demands of an outside agency.

• The third principle‘s author is R. Woodrow [29, p. ix], according to whom the purpose of research administration is “management for research, not of re-search”. What R. Woodrow meant by this, is that research administrators must make it possible for faculty to do research by managing the grants process for investigators, including all regulatory and fiscal matters. He emphasizes that research administrators should not be involved in determining the direction or the state of the research.

• J. Rodman and M. Dingerson offer a fourth principle [26, p. 6-9], that research administrators must have the trust of the faculty and represent the voice of the faculty when mediating between the interests of the sponsor and the university.

These four principles have been dominant until the 1980s. At this point, debate turned to questions of how to administrate research in the context of institutional management of growing complexity, changing economic conditions and an ever stronger political influence on research.

We should also briefly review issues of institutional management complexity. S. Hansen and K. Moreland suggest four institutional management models aimed at im-proving research administration [16, p. 48-49]:

• The Stanford University model, aimed at making research administrators more “responsive, timely, and accountable”. This University declared that the mis-sion of the research administrator consists of supporting outstanding sponsored research and education by providing service, expertise, innovative leadership, and by promoting a collaborative model of stewardship among all faculty and staff. This University adopted a “portfolio” approach that has the research ad-ministrator focus on individual researchers.

• The Dana-Farber Cancer Institute provides a second model: it abolished its old divisions, de-centralized grants management and re-defined administrative roles. Its goal was to create a “seamless” grants process for investigators by making the departmental research administrator the “facilitator” for the re-searcher and the central administrator—the “mediator” among the various in-terests.


51

• Washington University reorganized institutional management in such a way that research management be centralized under the “one stop shop” principle, i.e. a single office is charged with administrating the grants process, with each staff member having clearly defined responsibilities.

• The Centre for Technology in Government at SUNY Albany drafted a recom-mendation to manage the direction of research rather than the processes for fa-cilitating research. An ideal research organization is one able to identify emerging issues, develop human capital, and take investment risks.

The above-mentioned institutional management models illustrate that research management and research administration must be dynamic and adaptive to the changing environment on the one hand, and remain cautious on the other hand, mind-ful of the four essential research management principles: facilitation of research ac-tivity, mediation, support of the faculty and administration of research [8, p. 18].

Furthermore, an analysis of the relationship between national research strategy and institutional research strategy is lacking, while the described models of institu-tional management are not effective, even if they emphasize the importance of the re-search administrator. Thus, the first step towards the creation of successful research administration should be the development and implementation of a strategic plan [11, p. 4-10].

According to A. Augustinaitis, “knowledge society and knowledge economy in-creasingly require not only improvement of information processes, but also effective ways of imbuing these processes with meaning, which, on the managerial level, in-creasingly implies the inclusion of such elements as irrationality and mysticism into models of modern activity and management” [4, p. 33]. Further, he examines the conditions and features of decision making in knowledge society.

Briefly summarizing the research administrator’s role in research management, it should be pointed out that the research administrator and the faculty should view each other as a team working to achieve common goals.

The research administrator in the context of the research culture

An analysis of development factors in organizations by P. J. Di Maggio and W. Powell in “The New Institutionalism in Organizational Analysis” provides a defini-tion of the origin and development of institutionalized research management, identi-fying a number of factors [9]. Meanwhile, T. A. Atkinson applies the above theories of New Institutionalism to the university [2]. However, this institutional perspective is quite general and may be applied to any kind of institution, not specifically to a re-search institution or university.

R. L. Geiger presents the market phenomenon as a factor, which affects the crea-tion of specific organizational forms, especially university research administration [13; 2, p. 1-7]. According to Geiger, universities have created research administration and transformed it according to market conditions.


52

P. Germain, in contrast to R. L. Geiger, analyses the historical development of scientific disciplines, relating them to the formation of research culture. He empha-sizes that research culture experienced a “crisis” in the 1970s because of contempo-rary economic and social transformations [14, p. 157-170].

In 2003, researchers L. E. Miner, J. T. Miner and J. Griffith conducted a survey on the current state of research administration in American universities and identified the best and worst practices. According to their study, there are four essential factors distinguishing the best research administration practices from the worst ones [25, p. 11]:

• culture; • change; • competence; • and communication. They also identify at least three specific organizational behaviours that describe

a research culture: hiring practices, administrative financial commitment and en-forced reward systems. In reference to hiring practice, the study focuses on how an institution recruits new researchers, two points being essential – the job description and the interview process.It was found that the job description is predominantly characterized by a requirement for scientific productivity, but interviews usually lacked a clear explanation of the opportunities for scientific productivity. Interviews usually reflected little concern for why a researcher failed in implementing a project, how a researcher arrived at a solution in a difficult situation, or why a researcher was not familiar with certain documents that may have proved indispensable in his/her work.

A few examples of best practices in Lithuania may be provided. Lithuanian legal acts establish specific criteria for some research positions at the university. All these criteria are based on scientific productivity during the last five years: scholarly arti-cles referenced in international databases; monographs (at least 140 pages per au-thor); textbooks approved by the Ministry of Education and Science; etc. These for-mal requirements are strict and must be observed by all Lithuanian universities.

Among the worst practices are unclear or non-existent policies, especially in de-fining teaching and research responsibilities, lack of written expectations for research activities in the job description, etc.

According to L. E. Miner, J. T. Miner and J. Griffith, it is recognized that admin-istrative financial commitments are an adequate motivator for seeking grants. How-ever, in the USA, practices such as the return of indirect costs or sabbatical leave, whereupon a researcher is not encouraged to continuously renew his knowledge, are seen as detrimental. These authors emphasize that the policy of indirect cost returns weakens the motivation of researchers to seek out research grants [25, p. 13-14].

Reward systems vary across universities that possess a strong research culture. A strong research culture is reflected in the recognition of non-financial rewards: some researchers want to be appreciated for their educational contributions in teaching and training; others feel satisfaction in being unique and irreplaceable in the faculty, or in achieving some specific reform or specialization programme in their department.


53

Conversely, worst research culture is seen in such conditions where training and teaching become a more important priority than research, or when publications are the prime determinant of career progression rather than acquisition of grants for re-search.

Research administrators devote a lot of time to encouraging submission of pro-posals, strengthening of institutional research culture and introducing personnel to active research fields, policies and procedures. All these activities reflect frequently resisted changes. Resistance is usually encountered because of personal interests, fear of the unknown, general distrust, fear of failure, or bureaucratic inertia.

L. E. Miner, J. T. Miner and J. Griffith distinguish five features which describe institutions as successfully able to implement changes [25, p. 16]:

1) Emphasis on planned change—emphasizing the necessity of change and proper planning thereof. In this instance there are two essential elements—financial imbalance and a desire to create a new mission and vision that would impact research and even scholarly activities. These elements deter-mine changes in the management of institutional structure and various re-sources.

2) Social-psychological focus—the impact of change occurs on many levels: in-dividual, interpersonal, departmental, interdepartmental, and university-wide. This includes faculties, chairs, deans, central administrators, students, post-docs, etc.

3) Attention to comprehensive change—the necessity of changes and their bene-fits must be constantly and coherently explained, relating them to the repre-sentative function of research in a competitive marketplace.

4) Long-range orientation—the institution must make a long-term commitment to implementing change.

5) Guidance by change agents—effective change agents may be external or in-ternal to the university; this is linked to long-range planning strategies.

Among the worst practices are such as inadequate or ineffective communication of the necessity of changes to the research community, or the imposition of “top-down” change with little input or “buy-in” from the researcher community.

Competence, as one of the main factors of research administration, is always in need of improvement. The research administrators must provide information on grants, financial opportunities for research; distribute such information by various means; help researchers prepare proposals, budget drafts; resolve legal questions [25; 19].

Information flow within an institution is a complex phenomenon. Answers to the following questions might help better understand it: Who has the knowledge? Where

is the knowledge? What is the knowledge? A successful research administrator is one who knows where the newest infor-

mation can be acquired, i.e. who is the knowledge holder. The location knowledge must correspond to its purpose, i.e. where knowledge should be effectively directed and dispersed [25, p. 18-19].


54

The primary organizational problem identified by L. E. Miner, J. T. Miner and J. Griffith is that there is a lack of communication among faculties, between faculties and research administrators, and among research administrators. Secondly, they em-phasize that the majority of problems arise because of poor management of informa-tion flow, i.e. inefficient dissemination of information. For example, a dean or a chair may receive an email on new financial opportunities, but fail to forward it to units that would find it useful; the presented information is not attractive, fails to attract the interest its addressee, making it inadequate to simply cite a web link in the mes-sage or paste a paragraph of informative text.

As L. E. Miner, J. T. Miner and J. Griffith remark, research administrators are a guiding power that can influence research culture within an institution.

Conclusions

Based on the above analysis of literature, we may conclude that: There is debate on how to administer research in the context of institutional

management of growing complexity, changing economic conditions and increasing political influence on research. For the moment, the Lithuanian research management system cannot align itself to any theoretical research management model because guidelines governing its reform are as of yet undefined.

There is no strict definition of a research administrator, though it can be deter-mined based on the research institution’s mission and values. Surely, the concept of a research administrator is wider than that of a research manager as defined in the pri-vate sector.

The research administrator, according to the Lithuanian practice of research management and research administration, can be defined as a person, not necessarily a scientist, with some specific administrative skills and human qualities necessary in carrying out the university’s mission in the field of research by acting as a mediator among various actors in research management.

The essential function of the research administrator consists mainly of rendering assistance to faculties in conducting research and representation of university inter-ests. However, the conditions for the implementation of research vary, new chal-lenges and opportunities continually arise, and thus the competences of the research administrator must change to reflect these transformations: he/she must take on the roles of manager, lawyer, financier, or quasi-researcher. The role of the research ad-ministrator varies across all steps of the managerial cycle, hence becoming multifac-eted. The research administrator’s explicit responsibility is to promote research at the university. Research administrators are an integral part of the university research cul-ture, working with faculties directly as well as indirectly.

The above-mentioned institutional management models illustrate that research management and research administration must be dynamic and adaptive to the changing environment on the one hand, and remain cautious on the other hand, mind-


55

ful of the four essential research management principles: facilitation of research ac-tivity, mediation, support of the faculty and administration of research.

The flow of information within an institution is a complex phenomenon. One of the main institutional problems is a lack of communication among faculties, between faculties and research administrators, and among research administrators. Further-more, the majority of problems arise because of poor management of information flow, i.e. inefficient dissemination of information.

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Research Management Review. Spring 2005. Vol. 14. No. 2. 2. Atkinson, T. N. The Institutional Construction and Transformation of University Re-

search Administration. Research Management Review. Summer/ Fall 2002. Vol. 12. No. 2.

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4. Augustinaitis A. Žinių visuomenės vadybinio racionalizavimo principai. Informacijos mokslai. 2005. Nr. 35.

5. Bartkutė I., Kraujutaitytė L. Aukštojo mokslo institucijų valdymo mokslinių tyrimų tendencijos Lietuvoje. Viešoji politika ir administravimas. 2007. Nr. 20.

6. Beasley, Kenneth L. The Research Administrator as Mediator-Expeditor. Journal of the Society of Research Administrators. 1970. No. 2(1).

7. Casey, J. J. Jr. The Legal Dimensions of Research Management. Research Management Review. Spring 1998. Vol. 10. No. 1.

8. Cole, Sh. S. Research Administration as a Living System. Journal of Research Admini-stration. 2007. Vol. 38 Issue 2.

9. Di Maggio P. J. and Powell, W. The New Institutionalism in Organizational Analysis. Chicago and London: The University of Chicago Press, 1991.

10. Добров, Г.М. Наука о науке. Киев: Наук. думка, 1989. 11. Drummond, C. N. Strategic Planning for Research Administration. Journal of Research

Administration. 2003. Vol. 34 Issue 2. 12. Eurich, A. Reflections on University Research Administration / Sponsored Research in

American Universities and Colleges. ed. S. Strickland. Washington DC: ACE, 1967. 13. Geiger, R. L. Research and Relevant Knowledge: American Research Universities since

World War II. New York: Oxford University Press. 1993. 14. Germain, P. Sur quelques caractéristiques des disciplines scientifiques et sur la portée de

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sements. OCDE. 2005. 16. Hansen, S. and Moreland K. The Janus Face of Research Administration. Research Man-

agement Review. Spring 2004. Vol. 14. No. 1. 17. Hensley, O. D. University Research Support Personnel. Lubbock: Texas Tech Press.

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19. Kriščiūnas K., J. K. Staniškis, V. Tričys. Mokslinė veikla: šiuolaikinės tendencijos. VŠĮ Šiaulių universiteto leidykla, 2007.

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21. Landen, M. and McCallister, M. The Research Administrator as a Professional: Training and Development / eds. Kulakowski, E. C., Chronister, L. U., Research Enterprise. Re-search Administration and Management. Sudbury: Jones & Bartlett Publishers, 2006.

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27. Savickienė I., Pukelis K. Institucinis studijų kokybės vertinimas: dimensijos, kriterijai ir rodikliai. Aukštojo mokslo kokybė. 2004. Nr. 1.

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29. Woodrow, R. Managements for Research in U.S. Universities. Washington DC: NACUBO, 1978.

MOKSLO ADMINISTRATORIAUS VAIDMENYS UNIVERSITETE

Loreta Tauginienė

Santrauka

Straipsnyje mokslo vadyba parodoma kaip kompleksinis, nemažai iššūkių kelian-

tis ir nuolat kintantis procesas bei atskleidžiamas mokslo administratoriaus vaidmuo

mokslo vadybos bei mokslinių tyrimų administravimo procesuose. Akcentuojama, kad

mokslo administratoriai daro didelę įtaką mokslo kultūrai institucijoje. Todėl nuolat

kyla diskusijų, kaip administruoti mokslinius tyrimus vis sudėtingėjant instituciniam

valdymui, keičiantis ekonomikos sąlygoms ir stiprėjant politinei įtakai mokslinių ty-

rimų srityje. Pabrėžiama, kad pagrindinėmis mokslo administratoriaus funkcijomis

laikomas pagalbos fakultetams vykdant mokslinius tyrimus teikimas bei atstovavimas

universiteto interesams, tačiau mokslinių tyrimų atlikimo sąlygos kinta, atsiranda vis

naujų iššūkių ir galimybių, todėl ir mokslo administratoriaus kompetencijos turi kis-

ti: jis turi sugebėti būti ir vadybininkas, ir teisininkas, ir finansininkas, ir kvazimoks-

lininkas.


David Ferraz – Nacionalinis Viešojo administravimo institutas, Lisabona, docentas. National Institute

of Public Administration, Lisabona, Associalte Professor.



mėn.

IS THERE SPACE FOR HYBRID MANAGEMENT MODELS OF

SENIOR CIVIL SERVICE ACROSS POLITICAL-

ADMINISTRATIVE SYSTEMS?

David Ferraz

National Institute of Public Administration

Palácio dos Marqueses de Pombal

2784-540 – Oeiras, Lisboa, Portugal

The article analyses the political-administrative dichotomy and the relationships between administrative and political actors.

Based on the Peters and the Aberbach, Putnam, and Rockman models of interac-tion between political and administrative actors, some representative cases were se-lected and studied in order to identify the specificities of senior civil servant selec-tion, recruitment and employment regimes.

The main objective was to verify if there is some space for hybrid management models, combining both the political and meritocratic requisites, in the context of the contemporary democracies.

The paper also presents some proposals for a more integrated strategic selection and management policy for senior civil servants, aiming at the improvement of transparency, legitimacy and merit in the selection processes.

Keywords: Political-administrative systems, senior civil service, top officials, recruitment, selection, hybrid-models, dichotomy, élites, case studies

Raktažodžiai: politinės-administracinės sistemos, aukštesnioji valstybės tarnyba, aukštesnio rango pareigūnai, priėmimas į valstybės tarnybą, atranka, hibridiniai modeliai, dichotomija, elitai, atvejo tyrimai.

1. Introduction

From the eighteenth century onward, public administration literature has been

debating which political-administrative model best serves the citizens’ public inter-

David Ferraz. Hybrid Management Models of Senior Civil Servece …

58

est. In the recent past, administration has been too politicized and systems of nepo-

tism and patronage have been prevalent. In the nineteenth century, the Northcote-

Trevelyan Report (1854) in the United Kingdom appealed that a meritocratic system

would enhance public administration performance. A few years later, in the United

States of America, a federal law was published—the Pendleton Act (1883) also aim-

ing at a more professionalized public service (Wilson, 1887). These two initiatives

required a completely different approach to the delivery of public services. Public

Administration changed its administrative model and became more independent from

politicians, resulting in a more professionalized public service as Pitschas (2006: 35-

52) notes. However, as noted by Peters (1996: 5), the adjustment process was made

at a snail's pace. Nevertheless, in 1904, half of the USA’s civil servants were already

recruited within a merit system. Those were the first steps in the institution of a legal-

bureaucratic apparatus: “from the moment we separate political activity from admin-

istrative activity, we can speak of Weber’s legal-bureaucratic administration model”

(Rocha, 2006: 6-7). This model provided a great contribution to the establishment of

a professionalized body of civil servants protected by legal statutes from the discre-

tionary power of politicians.

This was a prerequisite for the development of a more professionalized and in-

dependent public administration. Nevertheless, the environment created a context in

which professionalized civil servants retained great knowledge of the administrative

(as well as political) technicalities, procedures and legal framework (Peters, 1996:3;

Chevallier, 2002:73). This environment brought a lot of (informal) power to the ad-

ministrative bodies which increased with New Deal policies and the consolidation of

the Welfare State paradigm. New professionals were needed and, consequently, pub-

lic administration increased the number of civil servants, strengthening the influence

and dominance of the professionalized bureaucracy, now composed of doctors, social

assistants, teachers, lawyers and other workers. Senior civil servants from these pro-

fessionalized bodies gained excessive power over public policies, privileging their

own individual interest over the public interest, as frequently argued by public choice

enthusiasts.

Public Choice and the New Public Management approaches incentivized a de-

crease on the influence of senior civil servants in public policies and administration.

Therefore, political involvement in administration became a reality, firstly in coun-

tries such as the United Kingdom, where public reform changed the traditional public

service structure, and then worldwide (Rocha, 2000:10; Mozzicafreddo, 2001: 3-1;

Peters, 1996:4-13). As noted by Rocha (2005b: 11) and Madureira (2006: 47), tradi-

tional methods of recruitment and selection were substituted with other methods

where political trust or party allegiance became the major criteria for the selection of

senior civil servants, diminishing the presence of what once were called mandarins.

The graph below represents the evolution cycle of the selection criteria for sen-

ior civil service, presenting the politicization level in western countries, particularly

those who first adopted the NPM doctrines.

Nowadays we are once again rethinking the system, asking which political ad-

ministrative system would best respond to current challenges. Authors such as Peters


59

(1987: 258), Aberbach, Putnam and Rockman (1988: 1) argue that hybrid systems1

are ideal, as they gather the strengths of both the meritocratic and the politicized sys-

tems. However, is this really true and practically possible? What kind of political-

administrative configurations do we currently have across the world?

Figure 1: The evolution of politicization

2. Political-administrative systems

As Peters notes (1987: 257), most literature regarding the relationship between

political and administrative actors is anecdotal. Existing literature on this issue fre-

quently agrees that in theory there is a division between political and administrative

roles (Chevallier, 2002; Mulgan, 2007). Nevertheless, while in theory this issue is

unquestionable, many authors state that in practice it is impossible to define a marked

border between political and administrative actors. In spite of the poor evidence on

relationships between those two actors, some authors (Peters, 1987; Aberbach, Put-

nam and Rockman, 1988) present some theoretical models on the configuration of

political-administrative systems. We admit that it is not our intention to present these

models in detail here. We are more interested in the classification of each model,

considering its main political-administrative configuration with regard to the values

of trust and neutrality/independence. Table 1 presents the models defined by these

authors according to the main value they promote.

If we represent these values and models graphically, we find that there is some

space (between trust and neutral/independent configurations) for hybrid management

models. Hybrid management models suppose the presence of both values of trust and

independence/neutrality, as Representation 2 of Figure 2 illustrates.

1 It should be noted that when we refer to hybrid management models in our analysis, we are referring

to the presence of both independence/neutrality and trust values in the political-administrative con-

figurations. This is to say that top public managers are selected and managed based on both of these

values.


60

Table 1: Political-administrative models according to the value they promote

Proposed models Principal Value Graphic repre-

sentation Peters

Formal Model; State Administration Model

Aberbach, Putman and Rockman

Image 1, 2

Neutrality/independence 1

Peters2


Image 4

Hybrid values of trust and

neutrality and independence 2

Peters

Village life / functional village life


Image 33

Trust 3

Ferraz, 2008

Neutrality/ independence

Trust/political confidence

Figure 2: Political-administrative representations according to the values they promote.

Ferraz, 2008

Although Representation 2 symbolizes hybrid models of political-administrative

configuration, it can shift along an axis between values of neutrality/independence,

and trust and political confidence, i.e., between points A and B. It is uncommon, not

2 The Peters models of Village life and Functional village life denote a marriage between politics and

administration, which in an initial analysis might appear to represent a hybrid model. However, con-

sidering that bureaucrats are usually nominated based on political trust, they are frequently more

closed to trust models than to independent and neutrality models. 3 Although Image 3 does not directly represent trust as a value, it suggests that administrative actors

submit to political actors.

Representation 1

Representation 3

Representation 2

A

B

C


61

to say impossible, to have values of both neutrality and trust at their maximum (point

C). That is to say that we can only have simultaneous neutrality/independence and

trust/political confidence in the space available for Representation 2 between points

A and B. In other words, even in hybrid models, political-administrative configura-

tions tend to be more or less political, depending on the position they take on the A-B

axis of Representation 2.

By configuring a political-administrative system, we are deciding on how politi-

cal and administrative actors should interact with each other. If we aspire to create a

more professionalized system, observing the principles of the Rechtsstaat, we have to

configure a more independent and neutral administration. Conversely, if we aim at a

more political configuration, ensuring that administration does what politicians want,

we have to configure a more politicized system, with detriment to the independence

and neutrality of administration. This trade-off leaves us with the difficult task of

configuring a system that best serves the public interest.

If we aim for a neutral and independent system we have to deal with issues like

administration’s lack of legitimacy. As administration is not elected by citizens, it

must strictly implement the demands of politicians in order to do not suffer from ille-

gitimacy. One could argue that technical legitimacy, which could legitimate the ad-

ministration’s decisions, could not be used to promote public interest and can even be

used to subvert the original spirit of public policies, with potential damage to public

interest (Aberbach, Putman and Rockman, 1981; Diamant, 1989; and Herzfeld, 1992:

2).

On the other hand, if we opt for a politicized system based on political trust, the

independence and neutrality of public administration can be questioned in terms of

the proximity and inter-permeability of relations between public officials and politi-

cians. In this case, public interests could also be subjugated to the private interest.

This is a real trade-off: no matter what system we choose, we always lose some

value in favour of another. So the question is how to minimize this trade-off? How do

countries across the world deal with this trade-off? Is there an ideal configuration?

To answer these questions, we should analyse some political-administrative sys-

tems, focusing on the selection criteria of senior civil servants. We shall consider four

representative countries: France, Portugal, United Kingdom and United States of

America. In the following discussion, we will only refer to the most important data

concerning each model4.

2.1. French and Portuguese models

France and Portugal represent a traditional European model of administration

based on political trust and political confidence. There are many instances that reveal

a link between the selection processes and elitist recruitments (e.g., ENA-FR). The

politicization level is usually high and exposes both the influence of administration in

4 More detailed data is available at www.iscte.pt / www.dferraz.net ; Ferraz, 2008


62

politics and the influence of politicians in administration. Consequently, it is very

hard to draw a distinctive line between the political sphere and the administrative one

in these countries.

2.1.1. France

In France, political authorities have considerable discretion in selecting and ap-

pointing senior civil servants. Senior civil servants are selected inside or outside the

administration. The main criterion is political and personnel confidence or trust.

Therefore, senior civil servants are usually selected based on party allegiance. The

system ensures that the government’s program is implemented whatever its merit

(Mulgan, 2007: 571). In any given circumstance, politicians have the power to ap-

point or dismiss nominated officials “at the pleasure of government” (Shepherd,

2007: 4). As noted by Shepherd (2007: 4), this system favours a patronage-based sys-

tem, undesirable in developed democracies.

In France les grands corps have great prestige being in direct contact with the

ministers (Peters, 2001: 145). The system allows appointments for the following

posts (Décret nº 85-779, 2005):

• General Director

• General Secretary

• High commissar

• Commissar

• Civil Governor

• Chief of Public Administration Inspection

• Other Senior Civil Servants that work directly for the government

The French system bestows great importance on the training provided by the

École Nationale d’ Administration (25º article, Décret nº 85-779, 2005). According

to the findings of Nunes and Rouban (2000: 25; 2007:477), we should admit that, de-

spite politicians having total freedom to appoint whomever they want, in 89% of the

cases the recruitment is internal. This means that those nominated are frequently pub-

lic servants (only 20%, about8000, are women [Rouban, 2007: 477]). Curious are

also Bellier’s findings: in a study conducted in 1993, he found that 46% of French

senior civil servants had, within their nuclear family, someone who was also a senior

civil servant. Rouban (2007: 491-492) also noted that one quarter of the members of

ministerial cabinets had already served in that function before. The cabinet chief had

worked 35% of his professional life in ministerial cabinets. In spite of a politicized

context, France has introduced some measures to reduce such arbitrary practice at the

political level: in some cases of political appointment, both the Government and the

President have to confirm it. Unfortunately, what usually happens is that both the

government and the president fight for the nomination of their own favourites, which

clearly reflects the level of politicization.


63

2.1.2. Portugal

Portuguese administration has been traditionally linked to the Napoleonic type

of administration. Therefore, its structure follows the same model that of the French

administration where trust and political confidence are the prime criteria on the selec-

tion of senior civil servants. In the Portuguese case, there is some historical specific-

ity that has in recent periods made the administration even more politicized. Portugal

did not pass thought a phase of purely meritocratic ideology like other countries,

such as Great Britain, where top officials were permanently nominated. Even after

1974 and the Carnation Revolution, senior civil servants’ statutes stated that almost

all directive positions, even those of the intermediate level, were trust positions. Only

thirty years later, in 2005, was a new legal framework approved, establishing that

some senior posts should be more professionalized (Law 51/2005). Nevertheless, the

new legal regime reaffirmed that a great number of senior positions should remain

politicized, including the following posts:

• Director General

• Sub-general director

• Agency presidents

• Agency vice-presidents

• Commissar

• Inspector General

• Sub-Inspector General

• Civil Governor

• Other senior civil servants that work directly for the government

Though it may be too soon to have accurate results, as noted by Madureira

(2006:41), it seems that there is some will to control and evaluate the appointment of

senior civil servants in Portuguese public administration. However, there is also cur-

rent evidence that the impact of practical measures on political appointments is in-

significant and that Portuguese public administration remains too politicized at the

top levels.

2.3. The United Kingdom model

British administration is, in general and in a formal sense, composed of civil ser-

vants selected through a meritocratic system. This ought to ensure the independence

and neutrality of administration. However, there is also some political influence

without detriment to a relatively clear border between administration and politics

(Shepherd, 2007: 20-23) or to efforts made to maintain this border unambiguous.

When recruitment takes place, the Senior Leadership Committee evaluates each can-

didate and makes a short list with deference to the Civil Service Code principles. The

final selection, from the short list, is made by a politician.


64

Despite all the formalism to guarantee the merit of a nomination, Dowding

(1995: 109) notes that senior civil servants remain an élite composed of Oxford and

Cambridge University graduates, at least historically. Conversely, some measures

have been introduced to ensure transparency in public nominations and control ex-

cessive discretionary practices (short lists, formal lists of competences, institutionali-

zation of top positions in senior civil service, public announcements of nominations

and ethical codes). In some ways, these instruments serve to control mandarins and

political discretion, requiring hybrid nominations for some positions. This is the case

with the nomination of the Permanent Secretary: members of the government select

the candidate based on the proposals of the Senior Appointments Selection Commit-

tee (Shepherd, 2007: 20-23; Civil Service Management Code, Chapter 5). Such

measures complement the traditional permanent professionalized positions with new

political flexibility in appointments, as called for by Thatcher, resulting in a more

hybrid management system in the top positions of public administration.

2.4. The United States model

The US federal government is composed of about 6000 senior posts, of which

about 1000 have to be confirmed by the Senate. There are some political positions

(about 700) reserved to members of the Senior Executive Service (SES), as noted by

Shepherd (2007: 13-14). The political posts are appointed by the president on the ba-

sis of a pre-established pool where civil servants, contrarily to the European coun-

tries, are rarely present. This system is the result of the institutionalization of senior

posts in 1978, when the SES was created. It was created to reduce political influence

and enhance transparency. Entering the SES means going through a meritocratic

process where the Qualification Review Board evaluates each candidate’s profile and

qualifications. The system is based on the merit principle that “all employees and ap-

plicants for employment should receive fair and equitable treatment in all aspects of

personnel management without regard to political affiliation, race, colour, religion,

national origin, sex, marital status, age, or handicapping condition, and with proper

regard for their privacy and constitutional rights” (Merit System Principle—5 U.S.C.

2301).

The findings of Peters (2001) and Bonosaro (2000) suggest that about 66% of

the posts are occupied by members of the SES and 34% are selected on the basis of

political factors. However, of those 34%, 22% are already members of the SES, leav-

ing only about 12% of the senior civil servants to be selected “at the government’s

pleasure”.


65

3. Conclusion: Is there space for hybrid management models of senior civil service across political-administrative systems?

Bearing in mind the features of each system, we can conclude that the UK and

US systems are closer to the hybrid models of senior civil servant recruitment where

merit, neutrality, independence, trust, confidence and transparency are made com-

patible.

Our main findings suggest that there is some space for hybrid management mod-

els in political administrative systems. However this is a limited space, because hy-

brid management models are restricted to the A-B area (Representation 2 of Figure

2). This is confirmed by our study of political administrative systems in some coun-

tries. The study reveals two main categories: the political model (France and Portu-

gal) and the hybrid model (UK and USA). There are currently no examples of a

completely and unquestionably professional and meritocratic model in an exclusive

sense (Table 2).

Table 2: Political-administrative systems across the world

Dominant political-administrative system Country Political model France, Portugal

Professional / meritocratic model -----

Hybrid models USA,UK5

The evidence compiled in this paper reveals that even in hybrid systems, politi-

cal-administrative configurations are closer to one of the main values (neutral-

ity/independence or trust)

Therefore, our main findings suggest that:

• Countries such as France and Portugal, whose administrative systems are

based on the Napoleonic model, still remain too political;

• The UK political-administrative system is closer to the profes-

sional/meritocratic model but, in practice, it is a hybrid model since the final

decision is left to the politicians (Civil Service Commissions, Senior Civil

Service, JESP criteria);

• Although the US system reflects a hybrid model, it is more open to political in-

fluence, even with the creation of the SES. Both merit and political trust are

criteria taken into account when selecting senior civil servants.

Considering these findings, we can conclude and reflect on the following points:

• In the political models to which France and Portugal subscribe, senior civil

servants are considered an elitist group (French Haute Fonctionnaire, ENA).

5 Although these countries represent the hybrid models they are closer to trust values than to independ-

ence and neutrality.


66

There is a great number of (re)nominations when a new government takes of-

fice after an election, sheltering the old buddy networks in these countries.

• Under the supervision of politicians, senior civil servants have low levels of

accountability in politicized systems.

• Political-administrative systems tend not to use extreme meritocratic systems.

There is currently no evidence of such a system.

• Hybrid models minimize the trade-off between neutrality and lack of legiti-

macy, taking into consideration both trust and independence as values.

• Even in the hybrid models, there is proximity to the political values. This

means that the model takes into account not only independence, neutrality and

merit but also trust: politicians still have considerable influence on the selec-

tion processes, as they are democratically legitimated.

Although Thatcher’s and Reagan’s reforms introduced some political criteria on

nominations, the UK and the USA are still closer to hybrid models when compared to

other countries such as France, Portugal or Spain. These countries remain too politi-

cal, basing appointments mostly on criteria of political trust.

The evidence compiled in this paper reveals that hybrid management systems of

senior civil management are tenuously and modestly present across the analysed po-

litical-administrative systems, even in countries such as the UK and the US, and that

political-administrative configurations such as those of France and Portugal could in-

troduce some measures to enhance transparency and incorporate both independ-

ence/neutrality, and trust.

References

1. Aberbach, J. D et.al. Image IV Revisited: Executive and Political Roles, Governance, 1,

Oxford: Blackwell Publishing Ltd, 1988, 1-25.

2. Bellier, Irène. L’ENA Comme si vous y étiez, Paris: Éditions du Seuil, 1993.

3. Bonosaro, Carol. The United States Career Executive Service: Its operation and role in policy, in: 5º Congresso Clad, Santo Domingo, 2000.

4. Chevallier, Jacques. Science administrative, Paris: PUF, 2002.

5. Dowding, Keith. Policy-Making: Civil Servants in the Cross Fire in The Civil Service,

London: Routledge, Cap. 6, 1995, 108-128.

6. Ferraz, David. A Alta Administração Pública no contexto da evolução dos modelos de Estado e de Administração, 2008a.

7. Ferraz, David. A selecção de dirigentes públicos no contexto da evolução dos modelos de Estado e de Administração”, ISCTE, 2008b.

8. Ferraz, David e Madureira, César. Modelos de Formação de Dirigentes Públicos - Análise Comparativa, Caderno INA 27, Oeiras: INA, 2006.

9. Madureira, César e Rodrigues, Miguel. A evolução das formas de recrutamento e de avaliação do desempenho dos funcionários e dos dirigentes da Administração Pública portuguesa - contributos para a reforma administrativa, Sociedade e Trabalho, Nr. 29,

2006, 41-54.


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10. Mozzicafreddo, Juan, e Salis Gomes (orgs.). Administração e Política: Perspectivas de reforma da Administração Pública na Europa e nos Estados Unidos, Oeiras, Celta Edi-

tora, 2001.

11. Mulgan, Richard. Truth in Government and the Politicization of Public Service Advice”, in Public Administration, 2007, vol. 85, nr.3, 569-586.

12. Nunes, Filipe. Os Directores Gerais: A elite Administrativa Portuguesa em Março de 2000, Apresentação de Tese de Mestrado, Instituto de Ciências Sociais da Universidade

de Lisboa, 2000.

13. Peters, B. Guy. Politicians and bureaucrats in the politics of policy-making, in Lane, Jan-

Erike, Bureaucracy and Public Choice, London: Sage, 1987, 256-282.

14. Peters, B. Guy. Policy Transfers Between Governments: The case of Administrative Re-forms Lawrence, Kansas, West European Politics, Outubro, London: FrankCass, 1997,

Vol.20, nr.4, 71-88.

15. Peters, B. Guy. The Politics of Bureaucracy, 5th ed. London: Routledge, 2001.

16. Pitschas, Rainer. Trusted Governance due to Public Value Management, Frankfurt: Peter

Lang, 2006.

17. Rocha, J.A. Oliveira. Gestão de recursos humanos na administração pública, Lisboa:

Escolar Editora, 2005a.

18. Rouban, L. Politicization of the civil service in France: from structural to strategie poli-ticization, from Peters, B. G. and Pierre, J., Politicization of the Civil Service in compara-

tive perspective, Routledge, 2004, 1-2.

19. Shepherd, Geoffrey. Managing the Top Officials: Some International Experience. [Un-

published manuscript received from the author by email in April of 2008], 2007.

20. United Kingdom, Civil Service Management Code, http://www.civilservice.gov.uk, ac-

cessed on 6th December, 2009.

HIBRIDINIŲ AUKŠTESNIŲJŲ VALSTYBĖS TARNAUTOJŲ VADYBOS MODELIŲ ĮTRAUKIMO Į POLITINES-ADMINISTRACINES

SISTEMAS GALIMYBĖS

David Ferraz

Santrauka

Straipsnyje analizuojama politinė-administracinė dichotomija ir administratorių

bei politikų ryšys. Remiantis Petersu, Aberbachu, Putnamu ir Rockmanu, politikų ir administratorių sąveikos modelių tyrime buvo pasirinkti atvejai, leidžiantys išanali-zuoti aukštesniųjų valstybės tarnautojų atrankos ir įdarbinimo specifikos režimus. Svarbiausia buvo patikrinti, ar galima į politines-administracines sistemas įtraukti hibridinius vadybos modelius, kartu suderinant politinius ir karjeros režimus šiuolai-kinių demokratijų kontekste.

Straipsnyje taip pat pateikiami keli pasiūlymai dėl integralesnės strateginės aukštųjų valstybės tarnautojų atrankos ir vadybos politikos, siekiant daugiau skaid-rumo, teisėtumo ir pagerinti karjera paremtą atranką į tarnybą.


Eglė Butkevičienė – Kauno technologijos universiteto Sociologijos katedros docentė, socialinių mokslų daktarė. Kaunas University of Technology, Department of Sociology, Asociate Professor. el. paštas / email: [email protected] Eglė Vaidelytė – Kauno technologijos universiteto Viešojo administravimo katedros docentė, socialinių mokslų daktarė. Kaunas University of Technology, Department of Public Administration, Asociate Professor. el. paštas / email: [email protected] Straipsnis įteiktas redakcijai 2009 m. liepos mėn.; recenzuotas; parengtas spausdinti 2009 m. gruodžio mėn.

LIETUVOS VALSTYBĖS TARNAUTOJŲ VADYBINĖS KOMPETENCIJOS

Eglė Butkevičienė, Eglė Vaidelytė

Kauno technologijos universitetas K. Donelaičio g. 20, LT-44239 Kaunas

Organizacijos vadovo vadybinės kompetencijos dažnai yra vienas iš veiksnių, lemiančių organizacijos veiklos sėkmę. Mokslinėje literatūroje pastebima, kad vieša-jame sektoriuje vadovavimo modeliai bei požiūris į vadybines kompetencijas pasku-tiniais dešimtmečiais gerokai kito visame pasaulyje. Šio straipsnio tikslas – atskleisti Lietuvos valstybės tarnautojų vadybinių kompetencijų raišką. Straipsnyje analizuo-jami 2008 m. atlikto empirinio tyrimo rezultatai. Šis tyrimas atskleidė valstybės tar-nautojų vadybines kompetencijas, susijusias su gebėjimais planuoti, organizuoti, ko-ordinuoti bei kontroliuoti. Respondentai buvo paprašyti apibrėžti savo tiesioginių vadovų bei savo vadybines kompetencijas. Remiantis atlikto tyrimo rezultatais išskirti pagrindiniai valstybės tarnautojų – vadovų tipai.

Raktažodžiai: valstybės tarnautojai, valstybės tarnyba, vadybinės kompetenci-

jos. Keywords: civil servants, civil service, managerial competencies. Įvadas Keičiantis viešojo valdymo koncepcijai neišvengiamai kinta ir vadovavimo vie-

šajame sektoriuje samprata. Hortono [2, p. 121] nuomone, paskutiniais dešimtme-čiais žmogiškųjų išteklių valdymo būdai bei požiūris į viešojo administravimo orga-nizacijų vadovų vadybines kompetencijas akivaizdžiai kito visame pasaulyje. Šiuo-laikinėje valstybės tarnybos koncepcijoje akcentuojamas naujojo tipo vadovas, o


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šiuolaikinės valstybės tarnautojų vadybinės kompetencijos tampa svarbia diskusijų tema.

Valstybės tarnautojas visą laiką turi būti ir jaustis institucijos atstovu, kadangi jo poelgis ar išsakyta nuomonė gali būti siejama ne tik su institucija, kurioje jis dirba, bet ir su visu viešuoju sektoriumi. Potučekas [12, p. 7] mano, kad pati žmonija taiky-dama neteisingus vadovavimo metodus gali padaryti visuomenei daugiau žalos nei ta, kuri kiltų savaime – nekompetentingai valdoma valstybės institucija gali sukelti rimtų padarinių visai šalies viešajai politikai. Todėl valstybės tarnautojų vadybinės kompetencijos yra reikšminga viešojo valdymo sistemos dalis. Mokslinėje literatūro-je daugelis autorių – nuo klasikų Fayolo, Tayloro ir Gulicko iki šiuolaikinių teoretikų Bailey, Mayerio [1], Kreitnerio, Kinickio [8], Sakalo [13], taip pat kiti administravi-mo ir vadybos klausimais rašantys autoriai skiria įvairias vadovo funkcijas: veiklos planavimas, sprendimų priėmimas, darbo organizavimas, rezultatų kontrolė, derybų vedimas, atstovavimas organizacijai, strateginių ir einamųjų klausimų svarstymas, strategijos kūrimas, politikos formavimas, organizacijos tikslų įgyvendinimo užtikri-nimas, komunikavimo organizacijos viduje bei su išorine aplinka inicijavimas, dar-buotojų motyvavimas, atranka, jų karjeros planavimas ir darbo vertinimas. Šio straipsnio tikslas – atskleisti, kokios vadybinės kompetencijos būdingos Lietuvos valstybės tarnautojams bei kokie vadovų tipai vyrauja valstybės tarnyboje.

Šis straipsnis paremtas Valstybės tarnybos departamento prie Vidaus reikalų mi-nisterijos užsakyto tyrimo duomenimis1.

1.1. Vadybos ir administravimo specifika valstybės tarnyboje Valstybės tarnybos institucinės ištakos kildinamos iš XVIII a. Vokietijos, kai

kunigaikščių tarnautojai tapo valstybės tarnautojais, tačiau valstybės valdymo ir vals-tybės tarnautojų administravimo reiškinio šaknys yra tokios pat senos kaip ir žmoni-jos civilizacijos ištakos, siekiančios antikos, senovės Kinijos ir Romos imperijos lai-kus. Farazmand [5, p. 2; 6, p. 4] pažymi, kad senovės miestuose-valstybėse savano-riško administracinio darbo ir profesiniais santykiais nustatytos administracinės veik-los takoskyra buvo sąlyginė, kadangi tiesioginis dalyvavimas šalies valdyme, to meto politinė ir administracinė kultūra iš esmės buvo besąlygiško valdančiųjų ir valdomųjų atsidavimo savo miesto-valstybės gerovei padarinys.

Šiuolaikinės valstybės tarnybos samprata pradėjo formuotis XIX a. pabaigoje–XX a. pradžioje. Visuotinai pripažįstama, kad valstybės tarnybos idėjai esminę įtaką

1 Tyrimo „Valstybės tarnautojų vadybinės ir lyderystės kompetencijos“ tikslas – įvertinus formalios ir neformalios lyderystės raišką bei darbuotojų vadybines kompetencijas Lietuvos valstybės tarnyboje, parengti pasiūlymus dėl lyderystės ir vadybinių kompetencijų ugdymo bei valstybės tarnautojų atrankos sistemos tobulinimo. Šiuo tyrimu buvo siekiama parengti lyderystės bei vadybinių kompetencijų tyrimo metodiką, kurią būtų galima taikyti periodiškai tiriant valstybės tarnautojų lyderystės raišką bei vadybines kompetencijas. Tyrimo pakartotinumo galimybė sudaro sąlygas sisteminiam lyderystės bei vadybinių kompetencijų tyrimui bei užtikrina palankią šių kompetencijų ugdymo terpę. Empirinis tyrimas atliktas 2008 m. spalio mėn., taikant elektroninės anketinės apklausos ir interviu metodus.

Eglė Butkevičienė, Eglė Vaidelytė. Lietuvos valstybės tarnautojų vadybinės kompetencijos

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padarė vokiečių sociologo Maxo Weberio sukurta racionalios idealiosios biurokrati-jos samprata. Kai kurie jos fragmentai įžvelgiami ir šiuolaikinėje valstybės tarnybos koncepcijoje. Viešojo administravimo ištakos taip pat siejamos su mokslininko ir JAV prezidento Woodrowo Wilsono darbais, kuriuose pastebima „analitinė vadybinė valstybinio administravimo samprata“ [11, p. 121]. 1886 m. išleistame Wilsono vei-kale „Administravimo studija“ minima personalo ir organizacijos valdymo proceso tobulinimo būtinybė. Vis dėlto vadybos idėjos valstybės tarnybos sampratoje sukles-tėjo tik antroje XX a. pusėje, o iki tol veiksmingas, logiškas ir efektyvus valstybės tarnybos modelis buvo grindžiamas Weberio idealiosios biurokratijos principais (žr. 1 lentelę). XX a. 8-ojo dešimtmečio pabaigoje D. Britanijoje, o vėliau ir JAV bei ki-tose Europos šalyse pradėjus įgyvendinti viešojo sektoriaus reformas buvo orientuo-jamasi į modernių privataus sektoriaus vadybos metodų taikymą viešajame sektoriu-je, vartotojus ir profesionalumą. Naujoji viešoji vadyba (NVV) tapo neatsiejama dis-kusijų apie valstybės tarnybą dalimi, o NVV idėjų įgyvendinimas glaudžiai siejamas su efektyvumu ir rezultatais. XX a. paskutiniame dešimtmetyje NVV efektyvumo idėjos įgavo naujų socialinių aspektų ir iškilo naujas požiūris į valstybės tarnybą (naujoji viešoji tarnyba), vėliau peraugęs į naująjį viešąjį valdymą, orientuotas į pi-liečius, socialinę partnerystę, piliečiams teikiamų paslaugų kokybę bei valstybės tar-nybos institucijų žmogiškųjų išteklių valdymą. Domarkas [4] pažymi, kad pagrindas naujosios viešosios tarnybos ir naujojo viešojo valdymo idėjoms susiformuoti buvo pilietiškumas, bendruomenės ir pilietinės visuomenės teorijos, organizacinis huma-nizmas ir naujasis viešasis administravimas. Laikoma, kad naujosios viešosios vady-bos idėjos, nors ir reikšmingai skiriasi nuo tradicinio ir naujosios viešosios tarnybos idėjų, vis dėlto jų nepaneigia, o tik papildo. Masiulio [11, p. 119] teigimu, XX a. pab. Lietuvoje vyko „gana chaotiškas valstybės tarnybos pradmenų kūrimas“, įtvirtintas racionalios biurokratijos modelis, t. y. buvo perimtas vis labiau kritikuojamas tradi-cinis biurokratinis valstybės tarnybos modelis. Viešajam valdymui Lietuvoje, kaip ir daugumai kitų Vidurio ir Rytų Europos šalių, būdingas sovietinis palikimas. Būdin-gas jo bruožas – valstybės administracijos pasitikėjimas išoriniais kontrolės mecha-nizmais, o ne asmenine iniciatyva, biurokratine hierarchija ir / ar teisės aktais, taip pat valstybe kaip visuma.

Istoriškai Lietuvai didžiausią įtaką padarė sovietinė ir vokiškoji administracinė tradicijos. Lietuvos viešojo sektoriaus valdymui tapo būdingi tradicinio biurokratinio valdymo bruožai: viešojo sektoriaus valdymo centralizacija, sudėtingos ir nelanks-čios administravimo subjektų struktūros, prognozavimas ir planavimas orientuotas į procesą, o ne į rezultatą, piliečių ir valstybės administracinės sistemos atotrūkis ir ki-ta. Tačiau Europoje plačiai vykstančios valstybės tarnybos reformos suteikė pagrindą naujosios viešosios vadybos bei naujosios viešosios tarnybos principus diegti ir Lie-tuvoje. Kaip teigia Čiupaila [3], kad pasiektų integracijai į Europos Bendriją būtiną viešojo administravimo efektyvumą, Lietuva turėjo pasirinkti vieną iš dviejų galimų strategijų: arba sustiprinti esamą biurokratinį valdymą, daryti truputį daugiau ir ge-riau to paties, pavyzdžiui, užtikrinti geresnį planavimą, administracinę priežiūrą, su-stiprinti vykdymo kontrolę ir t. t., arba modernizuoti viešojo sektoriaus valdymą ir administravimą, t. y. kitais principais organizuoti valdymo institucijas, vidaus admi-


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nistravimą, pagerinti sprendimų priėmimą, sumažinti administracinę naštą, pagerinti gyventojų aptarnavimą ir jų poreikių tenkinimą. Nors oficialiai ir neįvardyta, buvo pasirinkta antroji, t. y. naujosios viešosios tarnybos, kryptis, kurią įgyvendinant vie-nas iš prioritetų yra efektyvus žmogiškųjų išteklių valdymas ir įgalinimas. 1 lentelė. Šiuolaikinių viešojo administravimo modelių bruožai

Tradicinis vieša-sis administravi-mas XIX a. ant-

roji pusė

Viešoji vadyba (ir NVV)

XX a. 7-as de-šimtmetis

Atsakingas (naujasis viešasis) valdymas

XX a. paskutinis de-šimtmetis

Piliečių ir valstybės santykiai

Paklusnumas Teisių suteikimas Įgalinimas (angl. empowerment)

Aukštesniųjų parei-gūnų atskaitomybė

Politikams Vartotojams Piliečiams ir sociali-niams partneriams

Vadovaujantys prin-cipai

Taisyklių ir regla-mentų laikymasis

Efektyvumas ir re-zultatai

Atskaitomybė, skaidru-mas ir dalyvavimas

Sėkmės kriterijai Išdirbis Rezultatai Procesas Esminė ypatybė Nešališkumas Profesionalumas Atliepiamumas

Šaltinis: [14]. Neabejotina, kad neatskiriama reformų įgyvendinimo sąlyga yra atitinkama tei-

sinė bazė, kuri leistų laipsniškai siaurinti biurokratinį valdymą ir plėtoti naujosios viešosios tarnybos veiklos principus ir metodus, paremtus įgalinimu ir komunikacija. Naujos redakcijos 2002 m. Valstybės tarnybos įstatyme valstybės tarnyba apibrė-žiama kaip teisinių santykių, atsirandančių įgijus valstybės tarnautojo statusą, jam pasikeitus ar jį praradus, taip pat atsirandančių dėl valstybės tarnautojo viešojo ad-ministravimo veiklos valstybės ar savivaldybės institucijoje ar įstaigoje įgyvendi-nant tam tikros valstybės valdymo srities politiką ar užtikrinant jos įgyvendinimo koordinavimą, koordinuojant tam tikros valstybės valdymo srities įstaigų veiklą, valdant, paskirstant finansinius išteklius ir kontroliuojant jų panaudojimą, atliekant auditą, priimant ir įgyvendinant teisės aktus, valstybės ir savivaldybių institucijų ar įstaigų sprendimus viešojo administravimo srityje, rengiant ar koordinuojant teisės aktų, sutarčių ar programų projektus ir teikiant dėl jų išvadas, valdant personalą ar-ba turint viešojo administravimo įgaliojimus nepavaldžių asmenų atžvilgiu, visuma [9]. Valstybės tarnybos įstatyme apibrėžiama valstybės tarnautojo tarnybinės veik-los vertinimo sistema, taip pat numatytos galimybės siekti karjeros bei sąlygos pro-fesiniam mokymuisi – įvadinis mokymas ir kvalifikacijos tobulinimas, suteikiantys prielaidas valstybės tarnautojų įgalinimui. Kaip nurodyta Valstybės tarnybos įsta-tyme, įvadinis mokymas – priimtų į karjeros valstybės tarnautojo pareigas valsty-bės tarnautojų profesinių žinių įgijimas ir įgūdžių formavimas, o kvalifikacijos to-bulinimas – tęstinės studijos, specialių profesinių žinių plėtimas, valstybės valdy-mo ir administravimo įgūdžių bei gebėjimų tobulinimas paties valstybės tarnautojo arba valstybės ar savivaldybės institucijos ar įstaigos iniciatyva per visą tarnybos


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einant pareigas arba siekiant aukštesnių valstybės tarnautojo pareigų laiką [9]. Tai-gi, Lietuvos įstatymuose galima pastebėti tam tikrų naujosios viešosios tarnybos elementų.

Gana aiškiai naujosios viešosios tarnybos ir naujojo viešojo valdymo principai akcentuojami Lietuvos viešojo administravimo plėtros iki 2010 metų strategijoje. Jo-je atsižvelgiant į Europos ministrų, atsakingų už viešąjį administravimą, 2003 m. gruodžio 1 d. Romoje patvirtintą Bendradarbiavimo viešojo administravimo srityje vidutinės trukmės 2004–2005 metų programą ypač daug dėmesio skiriama geresniam valdymui (angl. Better Regulation), žmogiškųjų išteklių valdymui (angl. Human Re-source Management), inovacijoms teikiant viešąsias paslaugas (angl. Innovative Pub-lic Services), elektroninei valdžiai (angl. e-Government) [10].

Vadovaujantis anksčiau apibrėžtu tradiciniu ir naujuoju požiūriu į valstybės tar-nybą, Kreitneris ir Kinickis [8] skiria du apibendrintus valstybės tarnautojo – vadovo portretus (žr. 2 lentelę):

2 lentelė. Valstybės tarnautojų – vadovų bruožai Praeities vadybininkai Ateities vadybininkai

Svarbiausias vaidmuo Tvarkos nustatytojas, privilegi-juotas elitas, manipuliatorius,

kontrolierius

Vadovas, komandos narys, moky-tojas, advokatas, rėmėjas, treneris

(angl. coach)

Mokymasis ir žinios Periodiškas mokymasis, siauras

specialistas

Tęstinis mokymasis visą gyvenimą, generalistas, įgijęs daugelį speciali-

zacijų Atlyginimo kriterijai Laikas, pastangos, rangas Kvalifikacija, rezultatai Kultūrinė orientacija Monokultūrinė, monokalbinė Daugiakultūrė, daugiakalbė Svarbiausias įtakos

šaltinis Formali valdžia Žinios (techninės ir tarpasmeninės)

Požiūris į žmones Potenciali problema Pirmiausia išteklius, žmogiškasis

kapitalas Komunikacija Vertikali Daugiakryptė

Sprendimų priėmimo

būdas Ribotos pastangos individua-

liems sprendimams Plačios pastangos bendriems

sprendimams Etikos reikšmė Neplanuotas priedas Iš anksto apgalvota

Tarpasmeninių santy-

kių pobūdis Konkurencija (laimi-pralaimi) Bendradarbiavimas (laimi-laimi)

Galios ir svarbiausios

informacijos valdymas Slaptumas ir apribota prieiga Dalijimasis ir platesnė prieiga

Požiūris į pokyčius Priešinimasis Skatinimas Šaltinis: [8, p. 18].

Todėl galima skirti penkias efektyviai dirbančio valstybės tarnautojo vadybines

kompetencijas: 1) komandinio darbo; 2) komunikacijos; 3) darbuotojų įtraukimo; 4) orientacija į organizacijos tikslus; ir 5) orientacija į paslaugos kokybę.


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Kaip pagrindinės sėkmingo viešojo sektoriaus vadybinės kompetencijos įvardi-jamos efektyvi komunikacija, mokėjimas išklausyti, efektyvus užduočių paskirsty-mas ir komandinis darbas.

Vadybinės kompetencijos akcentuojamos ir vertinant valstybės tarnautojų veik-lą. Naujojo viešojo valdymo elementai atsispindi Lietuvos valstybės tarnybos vadovų tarnybinės veiklos vertinimo kriterijuose (žr. 3 lentelę). Šioje lentelėje pateikti vado-vavimo raiškos valstybės tarnyboje kriterijai įvertinti rengiant empirinio tyrimo „Valstybės tarnautojų vadybinės ir lyderystės kompetencijos“ instrumentarijų.

3 lentelė. Įstaigos vadovų tarnybinės veiklos vertinimo kriterijai

Eil. Nr.

Kriterijus Rekomenduojamas turinys

1. Įstaigos strateginių tikslų įgyvendinimas

Įstaigos vizijos, misijos, tikslų ir uždavinių bei vertybių suvoki-mas, prioritetų nustatymas Įstaigos strateginio veiklos plano rengimo ir įgyvendinimo orga-nizavimas ir koordinavimas Informacijos, susijusios su įstaigos veikla, valdymas (rinkimas, apdorojimas ir analizė, išvadų darymas, problemos sprendimo būdo parinkimas, sisteminis problemų ir procesų įstaigoje verti-nimas) Kontrolės ir atskaitomybės įstaigoje užtikrinimas

2. Vadovavimas Personalo valdymas Finansinių išteklių valdymas Materialinių išteklių valdymas Technologijų valdymas

3. Lyderiavimas Efektyvaus bendravimo ir bendradarbiavimo įstaigoje užtikrini-mas, tarpinstitucinio bendradarbiavimo skatinimas Orientavimasis į rezultatus, įtaka pavaldinių elgesiui ir mąstymui Procesų ir pokyčių valdymas (procesų nustatymas, valdymas ir tobulinimas, optimizavimas ir įvertinimas, naujovių diegimas, pokyčių planavimas ir įgyvendinimas, rizikos analizavimas) Atstovavimas įstaigai

Šaltinis: [7]. 2. Lietuvos valstybės tarnautojų vadybinės kompetencijos: empirinio tyrimo metodika ir rezultatai

Tyrimas atliktas 2008 m. spalio mėn. taikant elektroninės anketinės apklausos ir

interviu metodus. Tyrimo generalinė visuma – 28 974 valstybės tarnautojai (be statutinių). Valsty-

bės tarnyboje dirba 21 318 (73,5 proc.) moterų ir 7 656 (26,4 proc.) vyrų. Šis santy-kis išlaikytas ir atliekant apklausą: klausimyną pildė 511 valstybės tarnautojų, iš jų 77,6 proc. moterų ir 22,4 proc. vyrų.


74

Vertinant respondentus pagal tautybę, didžiausia dalis (96,2 proc.) yra lietuviai. Kitų tautybių atstovų tyrime dalyvavo nedaug: 0,6 proc. rusų ir 3,2 proc. lenkų.

Respondentų amžiaus vidurkis yra 43 m., dominuojanti amžiaus grupė – tarp 40 ir 59 metų. Daugiausia respondentų atstovavo 40–49 metų (31 proc.), 50–59 metų (29,5 proc.) ir 30–39 metų (22,8 proc.) grupėms. Pensinio amžiaus respondentų buvo mažai (60 ir daugiau metų turėjo 3,2 proc. respondentų) (žr. 4 lentelę).

Didžiausią dalį (92,8 proc.) respondentų sudarė A lygio valstybės tarnautojai. Kiti lygiai atstovauti mažai: B lygio tarnautojai – 6,7 proc., C lygio tarnautojai – 0,5 proc. Daugiau nei pusė respondentų (54,7 proc.) turi pavaldinių, yra tam tikro lyg-mens vadovai.

4 lentelė. Valstybės tarnautojų amžius (aprašomoji statistika)

Statistika Statistikos įvertis

Vidurkis 43,11 Vidurkio standartinė paklaida 0,551 Mediana 43 Moda 50 Dispersija 103,9 Standartinis nuokrypis 10,19 Minimali reikšmė 23 Maksimali reikšmė 65

2.1. Valstybės tarnautojų – vadovų tipai

Empirinio tyrimo metu respondentų buvo paprašyta nurodyti, kokiomis savybė-

mis pasižymi jų tiesioginis vadovas. Atlikta faktorinė analizė rodo, kad valstybės tar-nyboje galima skirti tris pagrindinius vadovų tipus, išskirtus pagal vadovams būdin-gas savybes (žr. 5 lentelę):

5 lentelė. Vadovų tipai (faktorinės analizės rezultatai)

Faktoriai* Teiginiai (items)

(1) (2) (3) Energingas ,783** Principingas ,772 Kritiškas ,669 Drąsiai sutinka ir mėgsta iššūkius ,646 Pasitikintis savimi ,643 Įtraukiantis ,641 Ryžtingas pavojaus metu ,606 Patikimas ,592 Šaltakraujis chaoso metu ,526


75

Faktoriai* Teiginiai (items)

(1) (2) (3) Kūrybingas ,524 Preciziškas ,505 Draugiškas, nuoširdus su bendradarbiais ,463 Apdairus sudėtingose situacijose ,708 Inovatyvus ,636 Adaptyvus ,611 Pasiaukojantis ,592 Mėgstantis improvizuoti ,577 Apsukrus ,558 Nesijaudinantis dėl nežinios ir netikru-mo

,545

Kilnus ,492 Kantrus ,425 Įsijaučiantis ,762 Užjaučiantis ,665 Kuklus ,612 Sąžiningas ,552 Atlaidus ,520 Intuityvus ,455 Duomenų sklaidos paaiškinimo procen-tas

40,969 (22,299)***

6,304 (15,832) 4,962

(14,105) Visos duomenų sklaidos paaiškinimo procentas

52,236

Pastabos:

* – tolesnei analizei pasirinktos tik tos pagrindinės komponentės, kurių koreliacijų matricos tikrinės reikšmės (eigenvalues) > 1 (remtasi Čekanavičius ir Murauskas, 2002, p. 250).

** – pateikti tik reikšmingiausi faktorių svoriai, kurių įvertis ≤ -0,40 arba ≥ 0,40 (Čekanavi-čius, Murauskas, 2002, p. 251).

*** – skliaustuose pateikti įverčiai, gauti prieš atliekant sukimą. Kaiser-Meyer-Olkin testo reikšmė = 0,820. Bartletto sferiškumo testas: aproksimuotoji χ2 = 1054,872 (p < 0,05). Faktoriai išskirti pasitelkus pagrindinių komponenčių analizę. Faktorių matricos suki-mas atliktas taikant Equamax metodą su Kaizerio normalizacija (sukimas konvergavo po 14 skaičiavimų iteracijų).

Vadovų tipai: • Pirmajam tipui, kuris gali būti įvardytas kaip „veržlus“, būdingos savybės:

energingas, principingas, kritiškas, drąsiai sutinka ir mėgsta iššūkius, pasitikintis sa-vimi, įtraukiantis, ryžtingas pavojaus metu, patikimas, šaltakraujis chaoso metu, kū-rybingas, preciziškas, draugiškas, nuoširdus su bendradarbiais.

• Antrajam tipui, kuris gali būti įvardytas kaip „lankstus“, būdingos savybės: apdairus sudėtingose situacijose, inovatyvus, adaptyvus, pasiaukojantis, mėgstantis improvizuoti, apsukrus, nesijaudinantis dėl nežinios ir netikrumo, kilnus, kantrus.


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• Trečiajam tipui, kuris gali būti įvardytas kaip „globojantis“, būdingos savybės: įsijaučiantis, užjaučiantis, kuklus, sąžiningas, atlaidus, intuityvus.

Aptariant valstybės tarnautojų – vadovų asmenines savybes ryškėja tendencija, kad valstybės tarnautojai vadovai yra pasitikintys savimi, energingi ir apdairūs sudė-tingose situacijose. Tai atitinka naujosios viešosios vadybos principus (žr. 6 lentelę).

Valstybės tarnautojai vadovai yra suvokiami kaip įstaigos ar organizacijos atsto-vai. Jie akcentuoja rezultatų pasiekimą ir to reikalauja iš bendradarbių. Vadovai yra savo srities ekspertai, jie gerai išmano tą veiklą, kuria užsiima. Šie rezultatai rodo, kad vadovavimo valstybės tarnyboje raiška orientuojasi į tradicinį – biurokratinį ir naujosios viešosios vadybos modelius. 6 lentelė. Kuriomis iš išvardytų asmeninių savybių bei gebėjimų pasižymi tas VADOVAS, kurį Jūs pasirinkote vertinti? (Atsakymų pasiskirstymo vidurkis, skalė nuo 0 iki 4)

Savybės Vidurkis Gebėjimai Vidurkis Pasitikintis savimi 3,32 Atstovauja įstaigai 3,23 Energingas 3,26 Akcentuoja rezultatų pasiekimą

ir to reikalauja iš bendradarbių 3,22

Apdairus sudėtingose situacijose 3,22 Gerai išmano veiklą, kuria užsi-ima. Savo srities ekspertas

3,12

Principingas 3,18 Visada pateikia patikimą infor-maciją

3,03

Draugiškas, nuoširdus su bendra-darbiais

3,13 Tobulina, optimizuoja veiklą 3,02

Kritiškas 3,12 Prisiima atsakomybę 2,93 Kūrybingas 3,01 Užtikrina efektyvų bendravimą

ir bendradarbiavimą įstaigoje 2,90

Preciziškas 2,99 Nustato aiškius, išmatuojamus tikslus

2,90

Patikimas 2,92 Gerai moka vieną ar kelias užsi-enio kalbas

2,53

2.2. Valstybės tarnautojų vadybinės kompetencijos Respondentų buvo paprašyta įvertinti savo vadybines kompetencijas (skalėje

nuo 0 iki 4). Vadybinės kompetencijos atitinkamai gali būti suskirstytos į keturias grupes, atitinkančias 4 pagrindines vadovo funkcijų grupes:

1) planavimas, 2) organizavimas, 3) vadovavimas / koordinavimas / aktyvinimas / skatinimas, 4) kontrolė.


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• Gebėjimai planuoti

Kaip vieną svarbiausių vadybinių kompetencijų planavimo srityje valstybės tar-nautojai įvardijo gebėjimą žinoti ir suvokti organizacijos viziją ir misiją (3,55 balo), taip pat dauguma respondentų mano, kad svarbi ir jiems būdinga vadybinė kompe-tencija yra žinoti organizacijos strategiją (3,49 balo) (žr. 1 pav.). Trečioji pagal popu-liarumą kompetencija yra detaliai suplanuoti darbus visai savaitei (3,36 balo). Viena menkiausiai vertinamų vadybinių kompetencijų buvo užduočių atlikimas po darbo valandų, dirbant viršvalandžius.

3.55

3.49

3.36

3.32

3.19

3.16

2.63

2.58

0.0 1.0 2.0 3.0 4.0

Žino ir suvokia organizacijos viziją irmisiją

Žino organizacijos strateginius tikslus

Detaliai suplanuoja darbus visaisavaitei

Išlaiko ateities perspektyvąįgyvendindamas trumpalaikius

sprendimus ir tikslus.

Rengia ir įgyvendina strateginį veiklosplaną

Vysto ir nuolat komunikuojaorganizacijos viziją ir misiją

Dažnai nespėja pabaigti suplanuotųdienos darbų

Dažnai dirba viršvalandžius, atliekaužduotis po darbo valandų

1 pav. Planavimo kompetencijos

• Veiklos organizavimo gebėjimai Veiklos organizavimo dimensijoje valstybės tarnautojai labiausiai tapatinosi su

gebėjimais skatinti efektyvumą, produktyvumą (3,67 balo), žinoti savo atsakomybės sritis (3,66 balo), skatinti tvarką (3,65 balo) (žr. 2 pav.).

Valstybės tarnautojai mažiau tapatinosi su konkrečius veiksmus žyminčiomis kompetencijomis, t. y. pateikti aiškius ir struktūruotus nurodymus, kaip įvykdyti kiekvieną užduotį, esant galimybei pavesti užduotį kitiems.


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2 pav. Organizavimo kompetencijos

• Veiklos vadovavimo / koordinavimo / skatinimo gebėjimai

Vadovavimo srityje valstybės tarnautojai akcentavo ir konkrečias į tarpusavio komunikaciją orientuotas vadovo kompetencijas, kurios turėtų būti jiems asmeniškai būdingos: draugiškas, nuoširdus su bendradarbiais, lengvai pasiekiamas institucijos darbuotojams. Visos minėtos kompetencijos vertintos panašiai – daugiau nei 3 balais (žr. 3 pav.).

3.63

3.54

3.44

3.38

3.33

0.0 1.0 2.0 3.0 4.0

Draugiškas, betarpiškas su

bendradarbiais

Lengvai prieinamas tiesiogiai

atskaitingiems ir visiems

svarbiausiems komandos nariams

Užtikrina efektyvų bendravimą ir

bendradarbiavimą įstaigoje

Išsprendžia konfliktus su kitais tol, kol

santykiai nepablogėjo

Visada informuoja apie blogas ar geras

naujienas visus pavaldinius

3 pav. Vadovavimo kompetencijos

3.67

3.66

3.65

3.56

3.53

3.49

3.39

3.26

3.24

0.0 1.0 2.0 3.0 4.0

Skatina efektyvumą, produktyvumą

Žino savo atsakomybės sritis

Skatina tvarką

Skatina meistriškumą

Aktyviai pataria ir instruktuoja pavaldinius

Visada laikosi taisyklių

Noriai prisiima atsakomybę

Esant galimybei, pavesti užduotis kitiems

Pateikia aiškius ir struktūruotus nurodymus, kaip įvykdyti kiekvieną

užduotį


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• Gebėjimai kontroliuoti veiklą Kontrolės srityje respondentų atsakymai pasiskirstė tolygiai, tad aiškių tapatini-

mosi su kontrolės funkcijos vadybinėmis kompetencijomis apraiškų išskirti sunku. Vis dėlto galima pastebėti, kad kontrolės aspektu valstybės tarnautojai labiausiai ta-patinosi su gebėjimu visada įvertinti riziką prieš pradėdami naujus sumanymus (3,41 balo), kiek mažiau buvo akcentuojamos analitiko savybės vertinant procesus ir sis-temas (3,35 balo) (žr. 4 pav.).

3.41

3.35

3.29

3.21

3.16

3.07

3.03

0.0 1.0 2.0 3.0 4.0

Visada įvertina riziką prieš pradėdamas

naujus sumanymus

Turi stiprias analitiko savybes vertinant

procesus ir sistemas.

Griežtai kontroliuoja deleguotus darbus

Nepasiduoda pagundai smulkmeniškai

kontroliuoti kitus.

Suteikia bendradarbiams visišką laisvę

atliekant užduotis, už kurias yra

atsakingas

Efektyviai formuoja, valdo ir kontroliuoja

biudžetą.

Naudoja kiekybinius vertinimus

siekiant įvertinti ir siekti rezultatų

4 pav. Kontrolės kompetencijos

Dauguma valstybės tarnautojų kelia kvalifikaciją. Į klausimą, ar šiais metais esa-te kėlęs(-usi) kvalifikaciją (pavyzdžiui, klausėte/dalyvavote seminare, paskaitoje, mokymuose), teigiamai atsakė 83,7 proc. respondentų (žr. 5 pav.).

5 pav. Valstybės tarnautojų kvalifikacijos kėlimas

16.3

83.7

0

25

50

75

100

Ne Taip


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Šis faktas leidžia manyti, kad valstybės tarnautojai yra linkę nuolatos tobulėti, mokytis visą gyvenimą, o tai būdinga naujosios viešosios tarnybos principams.

Apibendrinant galima pasakyti, kad valstybės tarnautojai mano turintys aukštas vadybines kompetencijas, ypač akcentuojamos aukštesnio lygmens vadybinės kom-petencijos, orientuotos į platesnius strateginius organizacijos tikslus, o ne tik į konk-rečią organizacijos veiklą.

Apibendrinimas 1. Apibendrinus teorines interpretacijas galima sakyti, kad šiuolaikinių ir ateities

valstybės tarnautojų vadybinių kompetencijų ir lyderystės raiškai palankiausia naujo-sios viešosios tarnybos (naujojo viešojo valdymo) koncepcija, akcentuojanti naujojo tipo vadovo, kaip įgalintojo, o ne reguliuotojo, vaidmenį, atskaitomybę, dalyvavimą organizacijos veikloje bei socialinę partnerystę.

2. Tyrimo rezultatai atskleidė, kad valstybės tarnautojų požiūris į jiems asmeniš-kai būdingas vadybines kompetencijas iš esmės yra pozityvaus pobūdžio. Apibendri-nant menamų asmeninių vadybinių kompetencijų spektrą pasakytina, kad dauguma valstybės tarnautojų teigė gerai žinantys organizacijos viziją ir misiją, turintys stip-rias analitiko savybes bei visada įvertinantys riziką. Dauguma valstybės tarnautojų mano turintys aukštas efektyvios veiklos organizavimo kompetencijas, tačiau taip pat dauguma jų pabrėžia, kad jiems būdingi draugiško, nuoširdaus vadovo gebėjimai, skatinantys darbuotojus efektyviai dirbti. Žinoma, metodologiniu požiūriu asmeniniai vertinimai yra subjektyvūs, dažnai labiau atspindintys normatyvinę siekiamybę nei tikrovę. Tačiau nurodydami asmenines vadybines kompetencijas valstybės tarnauto-jai pabrėžia naujojo vadovo tipo charakteristikas, o tai leidžia daryti prielaidą, jog tai ir yra efektyvaus vadovo tipas. Tiesioginio vadovo vertinimai metodologiškai pasi-žymėjo didesniu objektyvumu. Jų pagrindu skirti trys, valstybės tarnautojų nuomone, valstybės tarnyboje egzistuojantys vadovo tipai: veržlus, lankstus ir globojantis.

Literatūra

1. Bailey M. T., Mayer R. T. Eds. Public management in an interconnected world: Essays in the Minnowbrook tradition. New York: Greenwood, 1992.

2. Horton S. “Human resource management in the public sector.” in Bovaird T., Loffler E. Public Management and Governance. Routledge, 2009.

3. Čiupaila R. Naujoji viešoji vadyba viešajame sektoriuje. Pranešimas skaitytas 2007 m. spalio 11 d. Naujosios viešosios vadybos fondo organizuotoje konferencijoje „Kur link eina Lietuva: vadybinis ar biurokratiškas kelias?“, 2007.

4. Domarkas V. Naujieji viešojo administravimo raidos akcentai. Viešoji politika ir admin-istravimas. 2004. Nr. 7.

5. Farazmand A. Ethics, Professionalism and the Image of the Public Service. Report pre-pared by United Nations Secretariat, 1997.

6. Farazmand A. Strategic Public Personnel Administration– Building and Managing Hu-man Capital for the 21st Century. Greenwood Publishing Group, 2007.


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7. Įstaigos vadovų tarnybinės veiklos vertinimo kriterijai. Lietuvos Respublikos Vyriausy-bės 2007 m. spalio 17 d. nutarimo Nr. 1106 redakcija.

8. Kreitner R, and A. Kinicki. Organizational Behavior, 8th ed., McGraw-Hill, 2009 p. 18 9. Lietuvos Respublikos valstybės tarnybos įstatymas. Valstybės žinios. 2002. Nr. 45-1708.

10. Lietuvos Respublikos Vyriausybės nutarimas Dėl viešojo administravimo plėtros iki 2010 metų strategijos patvirtinimo. Valstybės žinios. 2004. Nr. 69-2399.

11. Masiulis K. Valstybės tarnybos vaidmuo ir funkcijos. Kn.: Masiulis K. (eds.) Valstybės tarnyba Lietuvoje: praeitis ir dabartis. Vilnius, 2007.

12. Potuček M. Capacities of Governance in the Check Republic. Praha, 2008. 13. Sakalas A. Personalo vadyba. KTU: Kaunas, 2003. 14. “Unlocking the Human Potential for Public Sector Performance.” World Public Sector

Report 2005, United Nations, New York, 2005.

THE MANAGERIAL COMPETENCIES OF CIVIL SERVANTS IN LITHUANIA

Egle Butkeviciene, Egle Vaidelyte

Summary

Managerial competencies often emerge as one of the main factors that determine

the success of an organization. Scholars have noticed that the damage caused by bad administration in the public sphere is often much more serious than that resulting from natural disasters. According to theorists and practitioners, there have been sig-nificant changes in the approach towards managerial competencies and the way people are managed in the public sector over the last few decades all over the world.

The article discusses the empirical results of a study on the managerial compe-tencies of civil servants in Lithuania, conducted in autumn of 2008. The study exam-ined managerial competencies based on the skills of planning, organizing, coordinat-ing and controlling. Respondents were asked to identify their own managerial com-petencies as well as those of their managers. On the basis of the research, the main civil servant-manager types were identified. The study revealed that the majority of civil servants have a rather favourable view of their own managerial competencies.


Kazunobu Oyama – Kanagavos universiteto Ekonomikos fakulteto profesorius. Kanagawa University,

Faculty of Economics, Professor.



mėn.

TWO DYSFUNCTIONS IN HIGH-TECH RESEARCH AND

DEVELOPMENT

Kazunobu Oyama

Professor of the Faculty of Economics

Kanagawa University

In this paper, I discuss organizational problems in the field of high-tech re-

search and development in a firm. In particular, two dysfunctional phenomena are

very important because they pose peculiar problems in Research and Development

activities.

The first problem is reverse hierarchy wherein the scientific knowledge hierar-

chy expands in a direction that is reverse to that of the power hierarchy. In high-tech

industries, forefront knowledge is concentrated in junior scientists who hold little

power with regard to investment decision-making. On the other hand, top managers

of the firm who are located at the top of the power hierarchy usually cannot compre-

hend forefront scientific knowledge.

The second problem is the paradox of conservatism by innovation, which means

that successful technological innovation causes the members of the firm to resist fur-

ther innovation involving radical change in the fundamental structure of core tech-

nology. In other words, members of the organization are inclined to make only small

improvements in technological innovation. The greater the success, the stronger and

longer lasting is the conservatism.

A way to resolve the first problem is to designate senior scientists for positions

in top management. As they are more familiar with science than business managers,

they can understand forefront scientific knowledge to a certain extent. However, they

tend to cling to past innovations that they themselves have devised. Thus, a second

problem arises from the solution for the first.

I analyse potential solutions to these problems through Japanese case studies.

Japanese companies try to resolve the first problem, that of reverse hierarchy, in two

major ways. The first one is to expand the discretion of scientists. The second method

involves utilizing middle managers as mediators between the top business managers

and the junior scientists.


83

The second problem, the paradox of conservatism by innovation can be resolved

through organizational development that involves educating company members on

the nature of technological change in the modern era of innovation.

Keywords: Reverse Hierarchy, Paradox of Conservatism by Innovation, Eco-

nomic Factors, Organizational Factors, Case Studies.

Raktažodžiai: reversyvi hierarchija, sąstingio inovacija paradoksas, ekonomi-

niai faktoriai, organizaciniai faktoriai, atvejų analizė.

1. Technological hierarchy

The basis of technological hierarchy is fundamental scientific knowledge that

can be expanded to various stages of application. Eventually, this knowledge can be

implemented in practical products or processes, which constitutes the final stage of a

technological hierarchy. Technological hierarchy is a hierarchy of technological

problems and solutions. Some technological problems may arise in any application.

Although there are some solutions to application problems, every specific solution

may lead to particular sub-problems.

For example, a metal friction problem may be resolved by using lubricating oil

or by high-grade polishing of mechanical parts. The first solution will lead to the

problem of how to dispose of the oil soot. Similarly, the solution of high-grade pol-

ishing will result in the problem of how to develop advanced polishing technology.

Fundamental scientific knowledge can reach the final stage of practical products

or processes through several application stages that involve applied research and de-

velopment. The various stages constitute the chain of problems and solutions.

The construct of technological hierarchy may be derived from the idea of design

hierarchy proposed by W.J. Abernathy.1 He devised the concept of design hierarchy

based on an analysis of the automotive industry. The core concept of design hierar-

chy, as defined by Abernathy, refers to the core technological function. In the nine-

teenth century, the automotive industry pursued three core concepts, namely, the

steam engine system, the electric engine system, and the gasoline internal-

combustion engine system. Each of these core concepts was developed into a practi-

cal automobile through various application processes that resolved numerous sub-

sidiary problems.

Although Abernathy’s design hierarchy is also a hierarchy of problems and reso-

lution methods in the development process, this concept differs from technological

hierarchy in two aspects. Firstly, technological hierarchy is an ex ante concept,

whereas design hierarchy is an ex post concept. Design Hierarchy is based on the

analysis of the history of automobile development. On the other hand, technological

hierarchy is a strategic concept based on prospects for possible development of fun-

damental scientific knowledge.

Secondly, technological hierarchy is based on fundamental knowledge of sci-

ence, whereas design hierarchy is based on specific mechanical function. Therefore,

Kazunobu Oyama. Two Dysfunctions in High-Tech R&D

84

design hierarchy is mainly concerned with the development stages of technology, and

engineering problems are more important than scientific ones. Conversely, techno-

logical hierarchy is concerned with all stages of research and development, including

fundamental research, applied scientific research, and engineering development.

Therefore, technological hierarchy is a hierarchy of scientific and engineering

knowledge. Forefront scientific knowledge is located at the starting point of the

knowledge hierarchy. Moreover, forefront scientific knowledge is the most funda-

mental starting point of technology.

2. The reverse hierarchy problem

The purpose of technological hierarchy is to account for the resolution of scien-

tific and technological problems by two different methods. The first one is scientific

motivation, which is exhibited by the scientists. The second one is marketability,

which is sought by business managers.

In the first case, scientists devise a research strategy inspired by their own scien-

tific interests following the scientific method. Most pure fundamental research is

guided by scientific interest and motivation, e.g. the investigation of fascinating natu-

ral phenomena. These investigations may lead to a brilliant discovery that could sow

the seeds of a technological break-through.

The second case concerns requests for improved technology made by business

managers for the sake of relevant business issues such as market share, profitability,

and growth of the market. For example, if cost reduction, miniaturization, or weight

reduction of some materials were to realize a larger market, the business operations

department would request such improvements from the R&D department.

The first method of driving R&D, which may sow the seeds of technological de-

velopment, is called technology push innovation, and the second approach of driving

R&D is called needs pull innovation. These two methods of initiating R&D are based

on very different perspectives. The first is based on science, whereas the second one

is based on business. These two different approaches must be combined to achieve

technological innovation in a business organization.2

While the power hierarchy of an organization can manage the needs of pull in-

novation relatively well, it cannot manage the needs of push innovation efficiently

because of the reverse hierarchy problem.

As previously mentioned, the basis of technological hierarchy is fundamental

scientific knowledge, which serves as the most critical data for devising R&D strat-

egy. However, forefront scientific knowledge, which is specialized information, is

more accessible to junior scientists who have little discretion with regard to strategic

decision-making.

On the other hand, top business managers who have the highest authority in de-

vising corporate strategy usually cannot understand forefront scientific knowledge

that serves as the crucial information required for developing such strategy. This is

the essence of the reverse hierarchy problem.


85

A normal power hierarchy can resolve ordinary problems. Most trivial matters

related to such problems may not be critical. However, their cumulative effect can be

a serious concern for the organization as a whole. With some marketing problems,

for example, top managers need not know of any detailed sales data in an extremely

specific field. The treatment of such specific and seemingly trivial data leads to a

bias in general decision-making, because a very specific area may not be regarded as

very important.

A pyramidal power hierarchy works to promote general decision-making by

eliminating or summarizing detailed data in a bottom-up movement of information.

This kind of information system is sufficient for the management of ordinary organ-

izational behaviour as discussed above.

However, in R&D processes, extremely specific scientific knowledge has a cru-

cial effect on the entire structure of innovation. Particularly, in the case of technology

push innovation, forefront scientific knowledge, which usually requires very deep

and specific expertise for its comprehension, is a critical factor for devising innova-

tion strategy at the starting point.

Although top business managers can understand the marketable value of new

products or processes that are at the bottom of the technological hierarchy, they rely

on junior scientists in devising an innovation strategy because of their ignorance with

regard to forefront scientific knowledge. Senior researchers as middle managers can

understand the scientific significance of forefront knowledge to a certain extent.

Thus, reverse hierarchy is the phenomenon of reverse expansion of the techno-

logical knowledge hierarchy with respect to the power hierarchy in high-tech compa-

nies.

Figure 1. Technological Hierarchy

The Starting Point of Technological Hierarchy = Fundamental Scientific Knowledge

Direction of Application

Problems for Application

Sub-Problems

for Application

Solving Methods

for Sub-Problems

The Final Stage of Technological Hierarchy = Practical Products or Processes

Solving Methods for the Problems Core Technology

Direction for Practical Products or Processes


86

Figure 2. Power Hierarchy

3. The paradox of conservatism by innovation

Generally, the progress of technological innovation has a cumulative effect in

that previously developed technology contributes to current technological develop-

ment, which in turn tends to accelerate future technological development. Thus,

technological innovation stimulates further innovation.

However, from the perspective of private enterprise, companies that take on the

role of a pioneer constantly rotate. For example, there are usually different compa-

nies that successively take on the role of the front-runner in the fields of semiconduc-

tors, computers, cameras, sewing machines, and automobiles. Once a company

achieves success on the basis of some technological innovation, it ought to have a

technological advantage over other competitors. Then, what could be the reason be-

hind the changing pioneer phenomenon?

3.1. Economic factors

According to technological hierarchy, newly innovated core technologies have

an enormous potential for application. At the initial stage of the life cycle of a new

core technology, applicable technology plays a very important role in improving the

practicability of the new core technology. Moreover, in an early stage of the product

life cycle, a simple improvement may substantially advance the marketability of the

new product.3 Since the cost performance of such technological improvement is very

efficient, a simple improvement is likely to be retained in the business organization

for a long period.

Top Executive

Business Knowledge about Products

Chief of

R&D Dep.

Senior

Scientists

Junior Bench

Scientists

Fundamental Scientific Knowledge


87

At the maturity stage of the product life cycle, simple improvements cannot lead

to high cost performance. The cost performance of improvement technology declines

as the product life cycle proceeds. If the company still relies on simple improve-

ments, the resulting innovation will lead to conservatism.

Furthermore, attachment to existing production equipment may cause conserva-

tism. Abernathy points out that the Ford Motor Company avoided drastic technologi-

cal innovation because of its desire to maintain existing manufacturing equipment af-

ter Model T diffused in the 1920s.4 Since radical technological innovation results in

drastic changes to existing equipment, it leads to tremendous sunk costs. This is an-

other economic factor that causes conservatism because of successful innovation.

3.2. Organizational factors

Organizational factors of conservatism by innovation may arise from a solution

to reverse hierarchy. Such factors usually involve the emotional attachment of top

managers in science or engineering to successful innovations that they have achieved

in the past. Such attachment is usually compounded by their social prestige in the

company.

Top corporate managers who have established a career in science or engineering

can resolve issues of reverse hierarchy to a certain extent since they can understand

the scientific or engineering information because of their education and training, not-

withstanding their limited acquaintance with forefront science. Nowadays, instances

of engineers as presidents or scientists as vice-presidents are actually increasing in

high-tech companies.

However, the presence of scientists or engineers in top management may lead to

the dysfunction of conservatism by innovation. Even if they are not attached to past

innovations of their own design, other management staff may feel hesitant or anxious

about endorsing a new innovation that may make a significant past innovation obso-

lete. Past successful innovations may have led to the promotion of distinguished sci-

entists or engineers to top executive positions in the firm. Therefore, from the per-

spective of the members of the firm, endorsing a new innovation means challenging

the top executives.

For example, Sony, which had been the pioneer in the field of transistor radio,

lagged behind its competition in the field of integrated circuits. Since the two promi-

nent entrepreneurs who founded Sony, S. Ifuka and A. Morita were both scientific

engineers, the decline of new innovation in the company may be attributed to this or-

ganizational factor.

4. Case studies of Japanese companies

The two dysfunctional phenomena mentioned above have been identified in

high-tech Japanese companies. We can infer some effective solutions for these dys-

functions by further investigating these high-tech companies.


88

4.1. How to cope with reverse hierarchy

The various solutions to reverse hierarchy found in high-tech Japanese compa-

nies may roughly be grouped into two major categories. The first approach involves

expanding the discretion of corporate scientists. The second one involves creating an

organizational device that can mediate between the scientific or engineering side and

the business management side. In this organizational device, senior scientists play a

very important role as middle managers.

With regard to the first method, North Star Research of the Hitachi Corporation,

Under the Table Research of Toshiba, Fuji Electric Research Centre and Sumitomo

Electric Engineering Research Centre are almost the same systems, because they in-

volve expanding the discretion of scientists by allowing them to pursue voluntary re-

search in a field of their choice, in addition to their mandatory research. Voluntary

research is limited to 10% of total research resources at these companies.

The second method involves various needs proposal systems and meeting sys-

tems that act as crucial opportunities for discussion between scientists and business

managers, and thus, facilitate effective communication. These interactive systems in-

volve junior scientists, senior scientists, business managers and top executives.

Moreover, most high-tech companies such as Hitachi, Toshiba, NEC (Nippon Elec-

tric Company),5 and Panasonic create internal corporate venture and project teams.

Middle managers, such as senior scientists make business requests to junior sci-

entists in the ”scientific language” as well as communicate the views of the forefront

junior scientists to the top business managers in the ”business language”. Thus, they

act as translators between the languages of science and business, and as coordinators

between scientists and business managers.

The importance of this function of middle managers as coordinators who have

both, a scientific or engineering career and management experience, is also empha-

sized by European social scientists like R. A. Burgelman and L. R. Sayles,6 and I.

Wagner.7

4.2. How to cope with conservatism by innovation

One economic factor that causes conservation of past innovation is the existence

of high productivity achieved by cumulative improvement. Abernathy presents a di-

lemma between innovation and productivity.8 In the maturity stage of the product life

cycle, there is considerable productivity because of substantially improved past inno-

vation. The increased productivity is achieved by high and wide standardization of

all product parts and manufacturing processes. High profitability facilitated by such

high productivity, combined with the motivation to avoid sunk costs due to radical

changes to existing equipment, leads to conservatism.

However, once the business environment changes radically, existing equipment

can efficiently produce only obsolete products. Roughly speaking, the problem faced

by the U.S. automotive companies after the oil crisis of the 1970s is an example of

this phenomenon. Even the promotional efforts for radical innovation undertaken by


89

Abernathy, Clark and Kantrow could not resolve the dilemma faced by the U.S.

automotive industry.9

K. B. Clark and T. Fujimoto suggest that highly integrated teams with active

mutual communication led by influential product managers or project managers have

achieved effective adaptation to environmental change10 in Japanese automotive

companies.

There are two ways to cope with the organizational factors of conservatism. The

first one is organization development (O.D.), which involves raising awareness

among members of the organization. The second one involves championing activities

for members that lead innovation in the organization.

The main purpose of O.D., the first method, is to change the mind-set of the

members towards the identification of innovation and innovators. Nowadays, any

new innovation rapidly becomes obsolete. If members of the organization identify a

successful technological innovation and the responsible innovator is promoted to a

technological executive position, the innovator is liable to resist a new innovation

that makes the previous one obsolete, so as to prevent his/her knowledge from being

considered outdated. Since a senior executive of the previous successful innovator

exerts greater persuasive power and influence in the organization, resistance to new

innovation can pose a serious problem.

Although initiative from top management is the most important factor in effec-

tive O.D., external experts may carry out the actual education or coordination of the

members of the organization.11 In sum, creating good will for innovators in the or-

ganization is the essence of O.D. in solving the problem of conservatism.12

The second method to cope with the paradox involves conducting championing

activities. This refers to supporting and encouraging members that lead innovation to

present their unique ideas or protecting them from powers resistant to their innova-

tive ideas. Burgelman and Sayles emphasize the role of two types of champions. The

first one is a product champion who supports innovative members from the scientific

or engineering department, and the second one is an organizational champion who

coordinates interaction between innovative members and top business executives.13

5. Some implications

The dysfunction of reverse hierarchy may occur in cases where specific data has

far more crucial implications for an organization as a whole than other data, for ex-

ample, in critical emergency operations such as fire fighting or military action. This

dysfunction challenges the pyramidal power hierarchy by posing the problem of dis-

harmony between the organizational device and the confronted problem.

The case mentioned above would benefit from special organizational devices

that expand the discretion of field actors or create a direct route of communication to

top executives.


90

Moreover, the reflective function of middle management and projective organi-

zation should be useful in alleviating the dysfunction. The benefit of such organiza-

tional devices can be confirmed in actual cases of technological innovation.

Conservatism by innovation could also arise from innovation in fields apart from

technology, for example, in marketing or other managerial areas. In both organiza-

tional and personal affairs, successful innovative behaviour that is likely to be re-

peated eventually becomes programmed behaviour. Thus, this programming ten-

dency is the cause of conservatism, irrespective of the increase in efficiency resulting

from programmed decisions.

In spite of the challenge posed by environmental change, it is difficult to elimi-

nate conservatism before a resulting catastrophe because of the efficiency caused by

programmed behaviour. However, instances of innovating firms in high-tech indus-

tries indicate that changing the mindset of organization members can effectively lead

to their acceptance of radical ideas before an impending catastrophe.

References

1. Abernathy, W.J. The Productivity Dilemma. Johns Hopkins, 1978.

2. Burgelman, R.A. & L.R.Sayles. Inside Corporate Innovation. The Free Press, 1986.

3. Oyama, K. “Corporate Strategy in Japanese High-Tech Industries” Public Policy and

Administration. Mykolas Romeris University, 2008.

4. Abernathy, W.J., op.cit.

5. Harrigan, K.R. & M.E.Porter. “End-Game Strategy for Declining Industries” Harvard

Business Review (July-August 1983).

6. Burgelman, R.A. & L.R.Sayles, op.cit.

7. Wagner,I. “How to Manage Scientists? Lab-leader’s job – tricky task” Socijologiczne,

pedagogiczne i psychologiczne problem organizacji i zarazadzania p. 137-158 wskiz

Conference in Poznan 2009

8. Abarnathy, W.J., op.cit.

9. Abarnathy, W.J., K.B. Clark & A.M. Kantrow. Industrial Renaissance. Basic Books,

1983.

10. Clark,K.B. & T.Fujimoto. Product Development Performance. Harvard Business School

Press, 1991.

11. Maidique, M.A. & R.H.Hayes. “The Art of High-Technology Management” Sloan Man-

agement Review (Winter 1984).

12. Morse, E.W. & K.G. Martine. “Motivating the Organization to Implement Strategy” The

Strategic Management Handbook. McGraw-Hill, 1983.

13. Burgelman, R.A. & L.R.Sayles, op.cit.


91

DVI AUKŠTŲJŲ TECHNOLOGIJŲ TYRIMO IR VYSYMO DISFUNKCIJOS

Kazunobu Oyama

Santrauka

Straipsnyje analizuojamos dvi pagrindinės problemos (disfunkciniai fenomenai),

su kuriomis susiduriama tiriant ir vystant aukštąsias technologijas: 1) reversinė hie-

rarchija ir 2) sąstingio inovacija paradoksas. Autorius analizuoja ekonominių ir or-

ganizacinių veiksnių įtaką šių problemų struktūrai atskleisti, pasitelkia atvejų anali-

zę ir nurodo tris problemų sprendimo priemones: a) mokslininkų diskretiškumo

stiprinimas, b) vidurinės grandies vadybininkų tarpininkavimas, c) organizacijos

plėtra, apimanti mokymus apie technologinių pokyčių prigimtį.


Žilvinas Židonis – Mykolo Romerio universiteto Viešojo administravimo fakulteto Viešojo administra-

vimo katedros docentas, socialinių mokslų daktaras. Ph.D. in business and administration, Mykolas

Romeris University, Associate Professor.



mėn.

MEASURING KNOWLEDGE ECONOMY: TOWARDS AN

INSTITUTIONAL APPROACH

Žilvinas Židonis

Mykolas Romeris University

Ateities g. 20, LT-08303 Vilnius, Lithuania

The general message of this article is that the standard approach to knowledge

economy is becoming increasingly inadequate, because even within the same market

system different countries take different paths of social development. The paper ar-

gues that formal institutional arrangements, implemented according to EU recom-

mendations and backed by EU financing, merely touch upon the surface of the prob-

lem. Therefore, it is necessary to introduce a conceptual and analytical framework

and address key issues related to knowledge economy and society. The paper stresses

the role of informal institutions, embeddedness, and the concept of social trust.

Keywords: knowledge society, knowledge economy, institutional theory, em-

beddedness, social trust.

Reikšminiai žodžiai: žinių visuomenė, žinių ekonomika, institucinė teorija,

susaistymas, pasitikėjimas.

Introduction

Over the recent years, the processes of building “knowledge society” and

“knowledge economy” have received increasing attention from public policy re-

searchers, policy makers and public officials. However, the meaning of these con-

cepts is gradually deteriorating, and “knowledge society” is becoming a “broad

church”, where different approaches may become convoluted. The present paper

turns attention to the neglected gap between knowledge economy and knowledge so-

ciety. The objective of this paper is to present new theoretical approaches to explain

this widely observed gap. Emphasis is placed upon the concepts of embeddedness

Viešoji politika ir administravimas. 2009, Nr. 30, p. 92–101 93

and trust. The paper utilizes this approach based on the assumption that EU countries

have been creating different forms of institutional arrangements.

According to the World Bank (1996), the essence of the transition from “plan to

market” is the replacement of one set institutions governing social life by a different

one. The paper argues that due to path dependency of formal and informal institu-

tions, it is impossible to replicate Western patterns and practices for the creation of

knowledge society. It was M. Weber (1934/1997) who claimed that, though “capital-

ism” had existed in different societies, the origins of modern capitalist society are

rooted in a system of Protestant values and norms. Although the role attributed to

Protestantism by Weber is debatable, the fact remains that ideological models shape

and guide the economic and social development of societies. In order to understand

and influence such processes, we have to delve deeper into the informal structure of

society.

The paper argues that formal institutional arrangements, implemented according

to EU recommendations and backed by EU financing, merely touch upon the surface

of the problem. The general message of this article is that standard policy for the

creation of knowledge society has become increasingly inadequate because even

within the same market system, different countries take different paths of social de-

velopment. It is necessary to introduce a new conceptual and analytical framework,

and to address key issues related to knowledge economy and society. The paper

stresses the role of informal institutions and the concept of trust.

1. The role of formal and informal institutions

According to North (1990), institutions can be defined as any form of constraint

that human beings devise to shape human interaction. Institutions comprise of formal

written rules and organizations, as well as unwritten codes of conduct that underlie

and supplement the formal rules. Formal rules may change overnight as a result of

political or judicial decisions. Informal constraints, however, embodied in customs,

traditions, and codes of conduct are mostly impervious to deliberate policies (North,

1990).

In Table 1, Williamson (2000) proposes a classification framework based on dif-

ferent levels of hierarchy. The higher level imposes constraints on the lower level,

and feedback takes place from the lower level to the higher one. Since Lithuania

joined the EU, most of the institutions of levels 3 and 4 have experienced rapid trans-

formation. New rules of governance and new mechanisms of resource allocation

have facilitated the development of knowledge intensive industries. However, some

of the new allocation mechanisms in the post-Communist countries have nothing to

do with the traditional ones, based on Western values. For example, there is evidence

that corruption has become an institution in some East European countries, and is

prevalent in defining the modes of contractual relationships and mechanisms of re-

source allocation. On the other hand, the informal institutional structure of Lithuania

Žilvinas Židonis. Measuring Knowledge Economy: Towards an Institutional Approach 94

has not changed much. Williamson (2000) points out that the path of change in levels

1 and 2 is very slow.

Table 1. Level-based classification of institutions

Level Examples Frequency of change Effect

Level 1

Social struc-

ture of soci-

ety

Informal, such as traditions, so-

cial norms, customs.

Exogenous

Very long horizon

(102 and 103 years),

but may also change

in times of

shock/crisis

Defines the way a so-

ciety conducts itself.

Level 2

“Rules of the

game”

Mainly formal rules defining

property rights and the judici-

ary system. Exogenous and en-

dogenous

Long horizon (10 to

100 years)

Defines the overall in-

stitutional environ-

ment.

Level 3

The play of

the game

Rules defining the governance

of private structure of a country

and contractual relationships,

e.g. business contracts, order-

ing.

Endogenous

Mid-term horizon (1

to 10 years)

Leads to the building

of organization.

Level 4

Allocation

mechanisms

Rules related to resource allo-

cation, e.g. capital flow con-

trols, trade flow regimes, social

security systems.

Endogenous

Short-term horizon

and continuous

Adjustment to prices

and outputs, incentive

alignments.

Source: adapted from Jutting (2003) and Williamson (2000)

North (1981) notes that Western societies have created their institutions over

decades, if not centuries, and they vary as a result of different historical evolution

and underlying conditions in each country. In post-Communist countries, and

Lithuania in particular, path dependency shapes the future of institutional frame-

works. As noted by Meyer (2000), we can predict that Eastern Europe may develop a

distinctive form of capitalism. A question remains whether the development of

knowledge economy will follow the Western pattern. North (1994, p. 366) stresses

that “….economies that adopt the formal rules of another economy will have very

different performance characteristics than the first economy because of different in-

formal norms and enforcements”.

In establishing a legal framework in independent Lithuania, the main emphasis

was put on the establishment of formal institutions. North (1991) stresses “the fun-

damental rules of the game” or the basic ground rules provided by constitution and


law. Meanwhile, the informal institutions are neglected. The paper argues that only

sustainable development of both types of institutions, and informal ones in particular,

could guarantee the success of the process.

2. Knowledge, information and different kinds of knowledge

There is a tendency to use the terms “information society” and “knowledge soci-

ety” interchangeably. However, the paper adopts the view that there is a key differ-

ence between knowledge and information. According to Bell (1975, p. 168), “infor-

mation means ’data processing in the broadest sense’; knowledge means ’an organ-

ized set of statements of facts and ideas, presenting a reasoned judgement or an ex-

perimental result, which is transmitted to others through some communication me-

dium in some systematic form’”. Therefore, the term “information society” corre-

sponds to the technical side of the problem, and the term “knowledge society”—to

the human side.

Lundvall (1996) avoids the dichotomy of information versus knowledge, and

distinguishes between four types of knowledge: know-what, know-why, know-how,

know-who. According to Lundvall (1996), know-what refers to knowledge about

“facts”; know-why concerns knowledge about principles and laws of nature; know-

how is about capability (skills) to do something; and know-who involves social ca-

pability to establish relationships with other people or groups. This classification

could be traced back to the concept of tacit knowledge, developed by Polanyi (1983),

who claims that there are different types of knowledge, different origins of knowl-

edge, as well as different modes of knowledge transfer. Moreover, Lundvall (1996)

stresses that it is impossible to gain access to tacit knowledge through ordinary mar-

ket transactions. Therefore, a question arises as to what institutional arrangements we

need, and what are the most appropriate mechanisms of the transfer to facilitate ac-

cess to different types of knowledge.

In light of the above arguments, the paper adopts the view that different types of

institutional arrangements are suitable for different types of knowledge (know-how,

why, what, and who). Moreover, it is a combination of formal and informal institu-

tions which creates the most conducive environment for knowledge creation and

transfer. While explicit and codified knowledge is easy to transfer within the frame-

work of formal institutions, tacit knowledge has to be backed up by the mechanisms

of informal institutions.

3. The idea of knowledge society

As early as in 1960, Peter Drucker had noticed a transformation from the manu-

facturing-based industrial society of the post-war period, through a service society,

towards to a so-called post-industrial society. According to Drucker (1993, p.7), we


are entering the phase of “knowledge society”, where “the basic economic resource”

is no longer capital, natural resources, or labour, but “is and will be knowledge”.

The idea that the knowledge has a superior role in the economic processes is not

a novel one. The Austrian school of economics, and Hayek (1945) in particular, has

explored the importance of implicit, context-specific knowledge. Subsequently, the

advent of the so-called “information age” has provided us with new insights. Cur-

rently, the concept of knowledge has moved from the domain of pure economic theo-

ries into the broader waters of sociology. Daniel Bell (1973) coined the term “post-

industrialism”, which has lately been changed to “information” and/or “knowledge”

society. Augustinaitis (2003) stresses the increasing dominance of such formations as

different communities, interest groups, social networks and institutions that represent

these groups. Values and symbolic capital play a key role in knowledge-based soci-

ety (Augustinaitis, 2003). Moreover, knowledge society reshapes existing relation-

ships between governing bodies and citizens (Augustinaitis and Petrauskas, 2002).

Anthony Giddens was one of the first to introduce the idea of knowledge econ-

omy into the sphere of public policy. Giddens (2000) points out that societies or re-

gions can move from an agrarian to a knowledge economy without passing through a

phase of old-style industrialization. At the same time, these economic transforma-

tions have to be backed up by social transformations. A. Giddens stresses that a cru-

cial role belongs to the development of human capital, where the main factor is edu-

cation. The system of education encompasses different levels and modes. However,

current European Commission and World Bank policies take a narrow view, and

mainly emphasize the goals of research and innovation. In this particular case,

knowledge is construed purely as an economic resource. Institutions of higher educa-

tion and universities in particular have been regarded as part of the innovation sys-

tem, assuming intensive co-operative relationships between businesses and public in-

stitutions. It is hard to deny that knowledge becomes a key factor of economic pro-

ductivity. However, the role of the scholarship in the processes of social transforma-

tion remains neglected. There is an increasing tendency to reduce the concept of

knowledge down to a straightforward definition of knowledge as a production re-

source. In spite of this, knowledge also has certain characteristics of a public good

(Schultz, 1981). Moreover, many authors claim that there is no such thing as “knowl-

edge economy”. This might be true, but what about “knowledge society”? Is it the

same modern society “plus Internet”, or do we have a case of qualitative transforma-

tion? The article argues that in terms of institutional development, knowledge plays a

dual role. On the one hand, it is a key resource of modern economy. On the other

hand, knowledge as a public good shapes the social structure.

4. The traditional approach to knowledge economy: economy without society

The current situation in Lithuania represents a bizarre mix of agrarian, industrial

and post-industrial societies. On the one hand, Lithuania has a sizeable agricultural


sector, which lags behind in terms of productivity and competitiveness. On the other

hand, the country has declared an ambitious aim to build a knowledge-based econ-

omy. Lithuania’s progress in developing a knowledge-based economy was assessed

in the study “Measuring Knowledge in the World’s Economies”, prepared by the

World Bank Institute (2008). According to the Knowledge Economy Index (KEI),

Lithuania ranks high among countries that have made the most progress in develop-

ing information and communications infrastructure and improving economic and in-

stitutional framework (table 2).

Table 2. Changes in the KEI from 1995 - top gainers. Source: World Bank (2008)

The KEI summarizes each country’s performance on 12 variables corresponding

to the four knowledge economy pillars: Economic and institutional regime, Educa-

tion and skills of population, Information infrastructure, Innovation system (figure

1).

In the study, the World Bank attempts to formulate the core of an agenda that

aims to support Lithuania’s efforts to achieve a knowledge economy. Proposals are

grouped into six categories involving both policy measures and private initiatives.

The first category concerns the improvement of collaboration between the business

community and the public sector. The second encompasses activities related to re-

forming and supporting public institutions. The study also recommends incentives

for innovation, learning, and networking within information society; to support la-

bour market development, as well as to strengthen the regulatory framework.


0

2

4

6

8

10

Economic Incentive and

Institutional Regime

Education

Innovation

ICT

Figure 1: Lithuania’s performance in developing a knowledge economy.

Source: World Bank (2008)

The Knowledge Economy Index takes into account whether the environment is

conducive to the effective use of knowledge for economic development. However,

the index captures only the constituent parts of the formal institutional framework,

such as universities, clusters, technology parks, infrastructure, legal basis, etc.

Meanwhile, informal institutional arrangements are neglected. Admittedly, it was not

the World Bank's intention to examine such topics as the development of informal

institutions. Regardless, the current index illustrates the popular approach based in

the assessment of formal institutional arrangements. Such assessments and recom-

mendations rest upon two basic assumptions. Firstly, it is implicitly assumed that in-

stitutions are endogenous in relation to the economy, whereas society gradually con-

verges towards the common pattern of the free market system. Secondly, there is a

strong belief in the success of transferring informal exogenous institutions.

5. An alternative approach: “the social life of knowledge”

D. North (1991) points out that, in terms of transaction costs, institutions reduce

coordination and production costs per exchange, so that the potential gains from

trade are realizable. To put it in another way, an effective institutional framework re-

duces the opportunistic behaviour of actors. Trust is an alternative way to reduce op-

portunistic behaviour. Guogis and Gudelis (2003) demonstrate the relationship be-

tween social trust and civil society. Social trust reduces transaction costs and facili-


tates collaboration between actors. To a large extent, transaction costs theory, as a

part of New institutional economics, is based on the concept of opportunism. In the

original literature of New institutional economics, opportunism is defined in general

terms as “self-interest seeking with guile” (Williamson 1975, p.6). At the same time,

Williamson stresses the market-hierarchy dichotomy, and neglects the role of col-

laboration. In this case we approach the same conclusion, that only formal institu-

tions can decrease transaction costs.

Concerning the issue of formal rules, it is widely argued that it is difficult to ac-

count for why actors follow some rules but not others. Although North acknowledges

the role of ideology, cultural beliefs, norms and conventions, his approach does not

provide an appropriate framework to study how knowledge, and tacit knowledge in

particular, is created and shared within a network of actors. The present study argues

that the concept of embeddedness could provide a framework for a better understand-

ing of such processes.

The concept of embeddedness of economic action was introduced by Granovet-

ter (1985). Granovetter is quite sceptical of the ideas espoused by New institutional

economics (Williamson 1975) and proposes an alternative view. Granovetter (1985)

emphasizes the role of specific personal relationships and structures (or “networks”)

of such relationships in generating trust and discouraging malfeasance. The idea is

that we trust people we know or have heard spoken of in a positive way. Considering

the role of trust and collaboration, two important issues should be put forward. The

first is related to the creation of informal networks, and the second one concerns the

dissemination of information within such networks.

In analysing relationships between knowledge-based economy and society,

many researchers, experts and politicians in Lithuania used to refer to the Silicon

Valley phenomenon. However, few of them account for the role of social networks.

According to Saxenian (1996), the success of Silicon Valley is rooted in the networks

of practice within the particular cluster. Brown and Duguid (2001) note that common

practice creates extended epistemic networks and enables the flow of knowledge

within them. Going back to the question of cluster formation, the paper argues that

there are two dimensions to this process - formal institutional and informal network-

ing. The formation of a successful cluster depends on the interplay between formal

arrangements and networking activities.

Conclusions and perspectives for further research

The field of knowledge economy and knowledge society research is expanding

rapidly. Nevertheless, there is an increasing tendency of deterioration in the research

domain. The paper attempts to refresh the current analytical framework. The need for

new theoretical insights is justified by substantial evidence of a disconnect between

current theories and empirically observable processes in the new EU members. Op-

portunistic behaviour and lack of trust cause considerable friction in the process of

knowledge society development in Lithuania. The paper argues that straightforward


implementation of a formal institutional framework does not guarantee the successful

development of a knowledge society. It has to be backed by interplay between formal

and informal institutions.

Based on the concepts of formal and informal institutions, embeddedness and

social trust, the paper proposes guidelines for the new theoretical framework. Sus-

tainable development of both types of institutions, and informal ones in particular,

could guarantee the success of knowledge society development. Prospective policies

for knowledge society development should be based on the interplay between formal

and informal institutional arrangements.

As for future research, new paradigms should be developed. Up to date, the

paradigm of economic rationality has dominated. It is based on the assumption that

economic actors behave rationally, and always choose the best alternatives. In such a

case, all we would have to do is to select the best institutional system, where transac-

tion costs are the lowest. However, there is strong evidence that institutional ar-

rangements do not guarantee the development of knowledge society. The paper pro-

poses a paradigm shift towards the concept of embeddedness, where personal rela-

tionships and structures (or “networks”) of such relationships generate trust and dis-

courage malfeasance.

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vimui. Informacijos mokslai. Nr. 27 (2003) P. 9–22.

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ory to Practice. Lecture Notes in Computer Science. Heidelberg: Springer Berlin, 2002.

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vadybos galimybės. Filosofija. Sociologija. Nr. 4 (2003), p. 14–19.

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4 (1945), p. 519-530

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OECD Development Centre, 2003.

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No. 96-1, Copenhagen Business School, 1996.

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and Knowledge Economy Index. Knowledge Development Program. World Bank Insti-

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32, Center for East European Studies. Copenhagen Business School, 2000.

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14. North D. Institutions. Journal of Economic Perspectives. Vol. 5, No. 1 (1991), p. 97-112

15. North D. Economic Performance through Time. The American Economic Review. June,

1994. p. 359-368

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Lietuvoje. Viešoji politika ir administravimas. Nr. 7 (2004), p. 89–93

17. Polanyi M. The Tacit Dimension. Gloucester: Peter Smith, 1983.

18. Saxenian A. Regional Advantage: Culture and Competition in Silicon Valley and Route

128. Harvard University Press, 1996.

19. Schultz Th. Investing in People. The Economics of Population Quality. University of

California Press, 1981.

20. Weber M. Protestantiškoji etika ir kapitalizmo dvasia. Vert. Z. Norkus. Vilnius: Pradai,

1934/1997 (Weber M. Die protestantishe Ethik und der Geist des Kapitalismus).

21. Williamson O.E. Markets and Hierarchies: Analysis and Antitrust Implications. Free

Press, 1975.

22. Williamson O.E. The New Institutional Economics: Taking Stock, Looking Ahead. The

Journal of Economic Literature, Vol. 38, No. 3 (2000), p. 595-613.

23. World Development Report: From Plan to Market. World Bank Publications. Oxford

University Press, 1996.

ŽINIŲ EKONOMIKOS RODIKLIAI: INSTITUCINIO POŽIŪRIO LINK

Žilvinas Židonis

Santrauka

Straipsnyje nagrinėjamos žinių visuomenės bei žinių ekonomikos plėtros per-

spektyvos Lietuvoje. Formaliosios institucinės sąrangos požiūriu šiai plėtrai Lietuvo-

je yra sukurtos visos reikalingos sąlygos. Tačiau vis aiškiau yra matomi požymiai,

kad vien tik formaliųjų institucijų sistema yra nepajėgi susitvarkyti su iškeltais užda-

viniais. Per ilgą laiką susiklostę visuomenės ideologiniai modeliai lemia šalies vi-

suomenės vystymosi kryptį ir dinamiką. Daugėja atvejų, rodančių, kad naujų ES na-

rių visuomeninė raida gerokai skiriasi nuo senųjų Sąjungos narių. Todėl mechaniš-

kas formalių institucijų (žinių branduoliai, technologijų parkai, inovacijų centrai ir

kt.) perkėlimas negarantuoja raidos sėkmės. Trūksta grandies, kuri sietų žinių eko-

nomiką ir žinių visuomenę. Remiantis socialinių santykių susaistymo ir tarpusavio

pasitikėjimo koncepcijomis siekiama apibrėžti šios grandies koncepcinius kontūrus

žinių kūrimo ir sklaidos požiūriu.


Jolanta Urbanovič – Mykolo Romerio universiteto Viešojo administravimo fakulteto Viešojo adminis-

travimo katedros lektorė. Lecturer at the Public Administration Department, Mykolas Romeris Univer-

sity.



mėn.

ASPECTS OF DECENTRALIZATION IN MANAGEMENT

REFORMS OF THE EDUCATION

SYSTEM IN LITHUANIA

Jolanta Urbanovič

Mykolo Romerio universitetas

Valakupių g. 5, LT–101001 Vilnius

The article probes into factors that determine processes of decentralization in managing the general education system. The study entails a review of pertinent lit-erature and an analysis of the distribution of powers among entities managing the general education system in Lithuania. The study concludes that the education man-agement system in Lithuania is gradually being decentralized and de-concentrated on the basis of the subsidiarity principle. A successful implementation of the decen-tralization reform requires the following two conditions: political support for pro-posed changes and the ability of those charged with carrying out the reform. An analysis of literature confirms that decentralization as a process is also a function of factors other than political will and capacity. These factors include trust (the extent of decentralization depends on the central government’s trust in the local govern-ment, and vice versa), financial troubles, path dependencies, international develop-ments, etc. An analysis of the distribution of decision making powers in areas of fi-nancing and human resources demonstrates that there is a trend towards decentrali-zation, albeit inconsistent due to obstacles on the level of centralized management. The article maintains that there has to be an adequate balance between centraliza-tion, which is necessary for the implementation of general national educational ob-jectives, and decentralization, which allows teachers, schoolchildren, parents and the representatives of local communities to participate in education management.

Keywords. Education management, centralization, decentralization, education

services market. Raktažodžiai: švietimo sistemos valdymas, centralizacija, decentralizacija, švie-

timo paslaugų rinka.


Introduction In the last decade of the twentieth century, starting in the Anglo-Saxon countries

and later in other Western countries, a new attitude towards management began to develop, which integrated the best principles of business administration and econom-ics into the system of public management. Modern concepts of public management also spurred changes in management of the education system. In the countries of con-tinental Europe, however, and especially Central and Eastern Europe, where the nor-mative tradition of public administration prevails, application of management ideas originating in Anglo-Saxon countries has not always been effective and entails a strong possibility of distortion. Problems of application are especially relevant to educational institutions. Since education is one of the most conservative social insti-tutions, the relationship between education and the process of reform is even more complicated. Decentralization is one of the key strategies of reforming educational institutions based on a market model advocated by managerial ideas in public ad-ministration. Municipal authorities should have sufficient freedom to make decisions while schools should have a sufficient degree of autonomy to apply principles of business management. Thus, one of the core issues influencing education systems of various countries in the recent decades has been the ratio between centralization and decentralization. The main questions faced by reformers are the following: Which decision making powers have to be decentralized? Who should pay for education? Who should allocate the finances intended for education? Who should make deci-sions regarding staff?

It has to be stressed that, in both developed and developing countries, recent decades have shown a tendency towards decentralization which is defined as the transfer of power and responsibility over policies from the national level to the local level. However, there are recent indications that some governments are going back on this trend [3, 16, 17, 20, 7 and others]. Arguments outlined here underscore the need for further research into the practice of centralization/decentralization, espe-cially in post-socialist states, which have a strong tradition of centralized manage-ment of the education system.

The purpose of this article is to present an analysis of the centraliza-tion/decentralization ratio in the management of the Lithuanian education system by using the findings of foreign studies on the issue of education decentralization. In or-der to achieve this objective, management ideas that have determined the decentrali-zation processes in the Lithuanian education system will be discussed; the concept of decentralization and conditions for its success will be examined; several fields of education management will be analysed.

The management system of general education in Lithuania was chosen as the ob-ject of research. Theoretical assumptions were tested by interviewing experts in the field and analysing major legislation concerning the policy of general education in Lithuania (i.e. Law of Education, National education strategy for 2003-2012). Statis-tical data was provided by the Department of Statistics and the Ministry of Science and Education of Lithuania.

Jolanta Urbanovič. ... Decentralization in Management Reforms of the Education System… 104

1. Prerequisites for the decentralization of education management During the past decades, decentralization has come to be seen as a way to ensure

the application of management principles and create conditions for the representation of the concerns of all stakeholders in education. However, these two aspects partially contradict each other. According to the model of the education services market, the production and consumption of education services must be separated in order to de-politicize administrative processes. This changes the participatory nature of commu-nities and concerned groups with regard to management. As already mentioned, mar-ket mechanisms are most effective when consumers themselves obtain information about their options and thus practice their right to choose [21]. This promotes compe-tition among service providers. Nevertheless, by choosing a particular product, con-sumers influence only the product’s viability in the market and not the producer’s decision on which product should be introduced into the market. Producers create demand for products and offer novelties, i.e., employ marketing, thus bypassing the community’s active participation in decision making. On the other hand, practice shows that active involvement of interested parties in the process of planning and de-cision making increases the likelihood of a successful outcome.

In various countries, processes of education decentralization have been deter-mined by different factors. Drawing on the experiences of different countries, T. Welsh and Noel F. McGinn [21] present several reasons for decentralization:

• to improve management; • as a result of political democratization: society wants to be consulted with and

take part in decision making regarding issues of direct concern; • to help determine the limits of responsibility; • to reduce the power of teachers’ unions; • because governments refuse to manage schools they can no longer finance. Indeed, regions face different situations in areas of human and financial re-

sources, and if the state does not find ways to alleviate such differences, the dispari-ties may sharpen in the aftermath of decentralization. All these factors are more or less discernible in the management reforms of the Lithuanian education system.

It should be stressed, as R. Želvys [23] observes, that decentralization phenom-ena in this region may sometimes be coined as “decentralization of poverty”, when the central governments of poor post-socialist countries try to shake off the responsi-bility of maintaining functional education institutions by transferring them to local municipalities.

Decentralization is carried out on the basis of the subsidiarity principle. Subsidi-arity is a fundamental EU management principle according to which decisions are made as close as possible to their place of implementation, i.e., on the lowest compe-tent management level. The functions of different management levels are redistrib-uted based on this principle. The principle also facilitates the participation of local communities and citizens in decision making.

The implementation of a decentralization reform, as that of any other reform, re-quires the following two conditions: political support for the proposed changes and


the capability of those charged with executing the reform. The majority of decen-tralization reforms do not achieve their goals because they do not satisfy one or both of these conditions. Many reforms fail due to the fact that only a small circle of per-sons or interest groups enthusiastically support the changes. Some reforms are effec-tively halted by teachers who are not convinced that decentralization is beneficial. Other reforms fail because persons granted the right of decision making cannot exer-cise this right properly. According to T. Welsh and Noel F. McGinn [21], certain re-forms can fail, e.g., when members of a participating community lack experience in both, collective decision making and organizational management.

2. Distribution of powers in Lithuanian general education system There are four possible loci for the concentration of power in the Lithuanian

education management system: the level of central government; the governing insti-tutions of the regional level; the governing institutions of municipalities; the schools. According to the Law on Education, the governing bodies managing education in Lithuania are the following [11]: the Seimas (Lithuanian parliament), the govern-ment, Ministry of Education and Science, other ministries, state institutions, county governors; municipal institutions; school founders; principals. The law provides that part of education management powers may be transferred to self-governing institu-tions of education.

In accordance with the provisions of the National Education Strategy 2003-2012, functions, powers, obligations, responsibilities and accountabilities of the state, municipalities and schools are to be redistributed and clearly defined, and a proce-dure for cooperation between the schools be outlined; management is to be decentral-ized and de-concentrated according to the principle of subsidiarity.

A review of functions was carried out starting with the lowest—the school’s—management level. The Programme for improving school structure, whose aim is to increase independence, openness and managerial democracy of schools, is related to this review. The review is intended to proceed on to administrative functions and powers of the higher levels of management after the implementation of this program. The principles of education content management are systematized in the General education content formation, implementation, evaluation and renewal strategy for 2006–2012. This strategy empowers the municipality to make decisions regarding the harmonization of education content prescribed at the state level with the needs of local communities, the school—regarding similar adjustment in view of the school-children’s and school community’s needs, and the experience of teachers, the teacher—regarding adjustments to the needs of the class and the individual student.

In order to describe the distribution of decision-making power in Lithuania, we will analyse the functions of the main governing bodies responsible for general edu-cation management: the ministry, the local authorities and the schools.


2.1. Powers of the Ministry of Education and Science The National Education Strategy of Lithuania stipulates that the Ministry of

Education and Science establishes the key requirements for general education, voca-tional education and training, and is responsible for ensuring the quality of education, accessibility to education, social justice in education, quality assessment and access to findings of such assessments to society. The National Education Strategy also em-powers the Ministry of Education and Science, as the institution governing the na-tional education system, to issue decisions (create strategies, plans, objectives, tasks, requirements) and carry out supervision (supervise, through authorized institutions, the achievement of goals and the implementation of programmes and legislation) [5].

However, an analysis of the Law on Education of the Republic of Lithuania re-veals that the powers of the Ministry remain much broader. These powers include the formulation and implementation of the state education policy, strategic planning, submission of proposals to the government, etc. All powers pertaining to the creation of education content, setting standards, administering examinations, textbook and teaching aid requirements, training and improvement of teacher qualification, ac-creditation of school activities and curricula remain in the purview of the Ministry. There are also new functions, such as the confirmation of the methodology and pro-cedure for school audits. Thus, all in all, it may be contended that the Law on Educa-tion does not diminish the powers of the Ministry but, on the contrary, augments them to some extent. Thus, the delineation of the Ministry’s tasks is only present in spirit as provided in the National Education Strategy. After reforming the system, the Ministry of Education, in cooperation with the Government and its subordinate insti-tutions, must set the education agenda, while local governments and schools must find effective ways of implementing it. This structure complies with theoretical pro-visions for modernized public management, which call for a separation of policy making and implementation. On the other hand, it goes counter to one major inten-tion of decentralization, which is to satisfy all interested parties. This is because pol-icy is currently formulated by politicians whose experience in the educational sphere is frequently superficial, ideological and at times quite remote from the reality of the education process and its problems. In the formulation of education policy, the cor-porative model would be optimal if government representatives, education adminis-trators and education services providers were all to participate in the deliberation and decision-making process on both the national and the local level.

2.2. Powers of municipal authorities The powers of municipal authority are mostly concerned with ensuring a learn-

ing environment (the formation of a network of schools, the administering of exami-nations, school buses, etc.) and the establishment of assistance institutions (counsel-ling services, professional development centres for teachers). Education policy and strategic planning (drafted according to the centrally prepared methodology) are em-phasized on the level of municipal authorities. Among the goals of the National


Education Strategy is the expansion of municipal authority with regard to accessibil-ity and quality of education within their territories. Municipal authorities and coun-ties have been vested with a great share of responsibility not only for general educa-tion, but also for vocational education and training, special education, and adult edu-cation. Every municipal authority has become responsible for a register of children residing in their territories, and the coordination of the number and flow of students in the schools under their responsibility [9]. Generally, municipal authorities have acted as both mediator and coordinator between policy makers and service providers.

2.3. Powers of the principal The list of the principal’s powers according to the Law on Education is quite

short and declarative in comparison with other education management subjects. The main functions of the principal are the following: planning of the school’s activities, approval of the school’s education programmes and supervision of their implementa-tion; hiring and dismissal of teachers and other employees of the school according to established norms, analysis of the school’s activity and state of management re-sources, initiation of the school’s internal audit, etc.

2.4. Self-governing bodies in educational institutions In education reforms over the last decade, it is not so much the implementation

of business management methods that has received priority, but rather governance based on the participation of civic communities. Decentralization in particular can be seen as the essential condition not only for the development of the local self-governance but for the development of civil society in general [4]. This trend in re-forms is influenced by a milder New Public Management variant which is frequently referred to as New Public Service, “co-participation of citizens in public manage-ment” and by other names. The self-governance of schools has a significant role in the process of decentralization as it strengthens society’s influence on the system of education. The granting of self-governance powers to schools encourages the inclu-sion of new partners in the decision making process. Centralized decision making is forgone in favour of school communities, local governments, social partners, etc. gaining greater significance. The educational institution councils include not only representatives of parents and social partners but also representatives of supporters. The involvement of groups interested in the process and outcome of programmes in-creases their understanding of the objectives and constraints, heightens the legiti-macy of reached decisions, and contributes to mobilizing support for policy imple-mentation.

There are some countries where school communities are particularly influential. The greatest degree of community involvement in the management process may be observed in countries where the so-called political legitimacy (legal political man-date) model prevails in education system management [21]. According to this model, even the function of drawing up the budget is transferred to the community, a func-


tion closely related to decisions regarding the number of employees, their responsi-bilities and the power to employ and dismiss them.

Lithuania is also attempting some innovative solutions in terms of school self-governance, as established in the program for improving the school structure for 2006–2009. The character of self-governing institutions, their powers and principles of organization are to be legally established by the school’s by-laws (statute). Or-ganizations of teachers, schoolchildren, parents (or custodians, guardians) and other organizations can play a role within the framework of the school. The highest institu-tion of the school’s self-governance is the school council which represents school-children, teachers, parents and the local community [18]. However, the Law on Edu-cation of the Republic of Lithuania defines the functions of the school council quite abstractly—self-governance institutions of the school collectively discuss issues of school activity and funding and, within the scope of their power as defined in the by-laws (statute) of the school, adopt decisions and influence decisions of the principal; they also perform public supervision of the school’s management. In reality, this happens only in exceptional cases. The highest self-governing institution of the school—the school council—does not have enough power to affect the decisions of the principal.

An analysis of the functions of Lithuanian education management subjects re-veals that the implementation the National Education Strategy is effecting a slow but advancing decentralization and de-concentration of the education system on the basis of the subsidiarity principle.

3. Categories of Education Management Decisions According to T. Welsh and N. F. McGinn, transferable decision-making powers

can be divided into five categories: mission, operations, personnel, clients and fi-nances [22: p.60]. Decisions are closely interrelated: one decision may affect the or-ganization in more than one way. Hence, we will survey the distribution of decision-making powers in the fields of staff and finance management in Lithuanian institu-tions of general education.

3.1. Decisions regarding an education institution`s personnel

3.1.1. Decisions regarding personnel qualifications and salaries In Lithuania, the heads of education institutions select and hire teachers, taking

into consideration established qualification requirements. It should be noted that cen-tralization of decisions regarding the qualification of employees is problematic in some countries. Regional disparities make it impossible to have equally qualified teachers in some areas. For example, it is difficult to attract qualified teachers to work in small towns or rural areas.


In some countries, decentralization reform, which grants the right to define sal-ary norms to local institutions, e.g. municipalities, serves as a mechanism for attract-ing qualified educators. It was thought that such measures would result in different salaries in different administrative units. However, teachers’ unions have objected to this on the grounds that it violates professional solidarity. By controlling salaries lo-cally, a teachers’ labour market is created, which teachers’ unions believe will result in salary decreases over time.

On the question of teachers’ salaries, the issue of education quality should be mentioned. One of the conditions for ensuring quality is the encouragement of com-petition. The greatest obstacle to competition among teachers is the centrally defined salary scheme. At present, salary amounts depend on the programme of professional development, preparation for lessons, work in the classroom, the number of the hours of informal education and undertaking of other additional duties. Competition among teachers could be created by changing the salary calculation scheme and introducing the model applied in the business sector, whereby the salary would depend on achieved results and an agreement between the teacher and the principal or the school’s community [5].

Usually teachers’ unions are against models of payment according to results, be-cause such models classify teachers according to their level and weaken organiza-tional solidarity. Teachers are particularly anxious about decentralization proposals that would permit the local authorities to settle salaries according to results. It is ar-gued that such payment models could promote corruption.

3.1.2. Requirements for the principals In Lithuania, the school principal is appointed on the bases of a public tender

held by the local government. Such a system is an optimal management decision, as the principal becomes accountable to the local government and is well aware of the situation in the local government. However, in Lithuania, the requirement for a can-didate to the office of school principal is to have three years teaching experience. Such a requirement precludes professional managers (who have management experi-ence but do not have pedagogical education) from becoming school principals [5].

A lack of management experience becomes particularly evident when manage-ment functions are decentralized. As noted above, one of the conditions for success-ful decentralization is management competence of persons making decisions locally. It must be emphasized that competence needed for such decentralization to be most effective cannot be equated to the ability to implement decisions made elsewhere. The persons making decisions locally must be able to identify problems, to know when to apply particular rules and when time has come to change them [21].


3.2. Aspects of centralization that impede the reform of education financing Allocations from the state budget and municipal budgets make up the largest

part of financing sources for education in Lithuania. EU structural funds and other resources are also utilized. There have only been marginal increases in private in-vestments into education. Analysing the tendencies of education financing in Lithua-nia, a conclusion can be made that education financing is decentralized, because the portion of the state budget allocated for the national education budget has been de-clining, while municipalities have an ever increasing burden of financing general education. The National Education Strategy provides that support from municipali-ties to education should reach 75% of the education budget in 2012.

Starting in 2002, a reform of education financing was implemented based on the principle of money follows the client, locally coined as the student’s basket. This re-form creates conditions for competition among institutions providing educational services. The essence of the student’s basket is education fund allocation per student. Its amount is established annually by the Government of the Republic of Lithuania upon the adoption of the Law on the Approval of Financial Indicators of the State Budget and Municipal Budgets.

Fund allocation based on money follows the client creates competition, which it-self solves numerous management issues. However, the system of student’s basket has not been fully implemented, as schools lack autonomy to allocate funds on their own accord. All money received by a school is earmarked for specific uses. Thus, schools are precluded from autonomy (financial, personnel management, etc.) [5]. The problem with the student’s basket system is that it is bureaucratically detailed how schools must use the funds from these baskets: what portion should be allocated for salaries and what portion—for learning materials. Although it is stated in the re-port of the Ministry of Education and Science [8], that the student’s basket method-ology does not prohibit school communities from setting specific priorities for the school’s activity and allocating larger portions of the student’s basket than intended by the state for financing such priorities, in reality school communities have no op-portunity to exercise this right.

Furthermore, we see that education administration departments in municipalities tend to reallocate the student’s basket. When municipal schools cannot support them-selves solely by the student’s baskets, representatives of these departments find valid arguments to persuade the principals of schools with large numbers of students to “save” a portion of the student’s baskets allocated for their school and cover the debts of schools that do not function quite as successfully.

Another aspect restricting competition among schools is centralized territorial division. The Law on Education of the Republic of Lithuania stipulates that priority for enrolment in a state-run or municipal general education school is given to persons living in the territory assigned to be serviced by that school: “Priority of enrolment in a state-run or municipal general education school is granted to persons living in the service territory assigned to that school by its founder. At the request of parents (fos-ter parents, guardians) and the child, a child may be enrolled in another general edu-


cation school if vacancies are available” [11]. This principle of centralization may place certain restrictions on competition.

As we can see, a progressive money follows the client method for financing edu-cation institutions was chosen. However, traditions of centralized administration dis-tort the idea and it partially loses its effectiveness.

Conclusions 1. Decentralization is a highly complex phenomenon. An education system may

be decentralized in one area (e.g. the curriculum) while remaining centralized in an-other (e.g. financing). In some cases, regional or local authorities may become very powerful with regard to education, even if operating under the direction of a central government. In fact, all systems are a mixture of centralization and decentralization.

2. The National Education Strategy is effecting a slow but advancing decentrali-zation and de-concentration on the basis of the subsidiarity principle. Lithuania’s education system remains to a large extent centralized. Major decisions are made at the level of the central government or with its approval. On the basis of the argu-ments presented above, it may be contended that the aforementioned powers and re-sponsibilities do exist, but the decisions are not made sufficiently close to those who would benefit from education and decentralization.

3. An effective implementation of the decentralization reform requires the fol-lowing two conditions: political support for proposed changes and the ability of those charged with carrying out the reform. The distribution of decision-making power in education management and observed decentralization tendencies in Lithuania con-firm, that despite the nature of the implemented decentralization, success of the re-form largely depends on the professional training of local officials in the field of management.

4. An analysis of the distribution of decision making powers in areas of financ-ing and human resources demonstrates that there is a trend towards decentralization, albeit inconsistent due to obstacles on the level of centralized management.

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DECENTRALIZACIJOS ASPEKTAI REFORMUOJANT ŠVIETIMO

SISTEMOS VALDYMĄ LIETUVOJE

Jolanta Urbanovič

Santrauka

Lietuvoje pasigendama išsamesnių švietimo centralizacijos ir decentralizacijos santykio tyrimų, švietimo valdymo sričių centralizacijos ir decentralizacijos poreikio analizės. Šiame straipsnyje nagrinėjami veiksniai, lemiantys decentralizacijos proce-sus ir jų sėkmingą taikymą šietimo sistemos valdyme, analizuojamas centralizacijos ir decentralizacijos santykis Lietuvos bendrojo lavinimo švietimo valdyme. Remiantis atlikta literatūros analize bei išnagrinėjus sprendimų galios pasiskirstymą tarp ben-drojo lavinimo švietimo valdymo subjektų Lietuvoje, prieinama prie išvados, kad švietimo valdymo sistema Lietuvoje laipsniškai decentralizuojama ir dekoncentruo-jama vadovaujantis subsidiarumo principu. Švietimo valdymo reformų analizė išryš-kina tendencijas centralizuotą valdymą taikyti įgyvendinant bendruosius nacionali-nius švietimo tikslus, tuo tarpu decentralizacija pasitelkiama siekiant sudaryti sąly-gas įgyvendinti vadybos idėjas bei mokyklos bendruomenės atstovų dalyvavimui švietimo valdyme.


Saulė Mačiukaitė-Žvinienė – Mykolo Romerio universiteto Strateginio valdymo ir politikos fakulteto

Politikos mokslų katedros lektorė. Mykolas Romeris University, Faculty of Strategic Management and

Policy, Department of Political Sciences.



mėn.

THE NON-GOVERNMENTAL SECTOR AND DEMOCRACY

EMPIRICAL REFLECTIONS AND FINDINGS IN THE BALTIC

STATES: RESULTS OF META-ANALYSIS (PART I)

Saulė Mačiukaitė-Žvinienė

Mykolas Romeris University Ateities str. 20, LT-08303 Vilnius

The development of democracy in Central and Eastern Europe has become a popular subject of research since the collapse of the USSR. Many scholars have produced comparative studies gathering diverse data and providing interpretations. However, not much has been published on the relation between civil society and democracy, and the way in which non-governmental organizations, as a part of civil society, impact democracy. This is the first in a series of articles analysing, on the qualitative and quantitative bases, the influence of civil society on the development of democracy in the Baltic States, by applying meta-analyses. In tackling the objective of this study, the article uses correlation on thirty four impact factors defining the primary impact of non-governmental organizations (NGOs) on democracy and thirty six NGOs’ secondary impact factors. The primary factors are more important for the interpretation of impact contexts. The importance of secondary factors could be valuable as well, though it should be noted that their role could be questionable. The secondary factors impact the development and professionalism of the NGO sector, which in turn influences democracy. Therefore, secondary factors can be seen as consequential, though not directly.

Keywords: non-governmental sector, democracy, correlation, the Baltic States, impact factors.

Raktažodžiai: nevyriausybinių organizacijų sektorius, demokratija, koreliacija,

Baltijos šalys, įtakos faktoriai.


Introduction The theoretical ideas of researchers like P. Burnell, T. Vanhanen, P. G. Coy,

W. Haerpfer, A. Uhlin, N. Gotz, M. Lagerpetz, E. Rikmann, R. Ruutsoo, M. Ado-mėnas, R. Žiliukaitė and few others about the non-governmental sector and issues of democracy have been mostly based on the contributions of NGOs to democracy. Furthermore, various analytical approaches and methods for measuring democracy and the third sector are presented in the works of L. Diamond and R. Moralino, R. Dahl, T. Vanhanen, H. Klingemann, W. Inglehard, however, for this analysis the most reliable are selected.

This study is not just an application of quantitative analysis. It is a mixture of quantitative and qualitative analyses, therefore requiring meta-analysis. The latter helps answer the question of whether this study differs from those of other scholars. The meta-analysis in the article provides insight into the relevant impact of independent variables (impact/influence factors) on the dependent ones, and the strength of the relationship between variables. Furthermore, the application of meta-analysis in this article helps to code and interpret the collected studies using statistical methods similar to those used in primary data analysis. The result is an integrated review of findings that is more objective and precise than a narrative overview.

With the goal of applying meta-analysis correctly, a series of articles have to be presented, and this is the first one to be published. The article in this volume will be based on correlation analysis, which aims to offer insight into the overall effect of interventions. The second article, to be published later, will apply regression analysis and impact evaluation in order to provide insight into the relative impact of independent variables by using the individually created model of a “traffic light”. The comparative method described by F. Bechhofer and L. Paterson is also used, which can be characterized as a cross-regional and cross-period analysis, i.e., comparison across time and space, combining qualitative and quantitative approaches. From the perspective of comparison across space, the Baltic region provides an almost ideal setting of three countries: Estonia, Latvia, and Lithuania. Regarding the comparison across time, three time periods are chosen for analysis: the 1st period comprises years from 1997 to 2000, the 2nd period—from 2001 to 2003, and the 3rd period consists of years from 2004 to 2006. The information collected produces mostly quantitative results that probably do not reflect the final outcome and prospects for three countries analysed in the article.

It is important to define two groups of variables, the dependent and the independent. Dependent (endogenous) variables are the degree of democracy, level of democratization, NGO index, and NGO per capita. The group of independent (exogenous) variables includes GDP growth, GDP per capita, salary, interpersonal trust among citizens, public trust in different institutions (including NGOs), public satisfaction with life and democracy, public national pride, public opinion on the importance of politics, freedom of speech and media, participation of citizens in unconventional acts, membership of citizens in different NGOs, public opinion on

Saulė Mačiukaitė-Žvinienė. The Non-governmental Sector and Democracy … 116

future needs, state of elections and voter turnout, civil society, human development, corruption, capacities, capabilities, environment and visibility of NGOs, education of the population, participation of citizens in decision making, their competition and other variables.

It should be noted that the main idea of this series of articles is that while non-governmental organizations are part of civil society, they also strengthen it through their activities, which in turn bolsters the democratic process [22]. However, more civil participation does not necessarily mean more effective democracy, and if so, a series of questions should be answered, such as: What kinds of activities are undertaken? How do NGOs make democracy more progressive?

The objective of this series of articles consists of a few essential questions, which we will seek to answer fully or at least partially: (1) What is the potential of the support of non-governmental organizations to democracy?; (2) What factors contribute the most to the development of democracy in the Baltic States taking into consideration the role of non-governmental organizations, and what are the differences among the countries?; (3) What is the qualitative impact on relations between non-governmental organizations and democracy in the Baltic States, and what are the differences among the countries?

Correlation of factors and analysis One of the functions of meta-analysis is to offer insight into the overall effect of

interventions, and in this case the application of correlation should help determine which set of democracy factors (DEMO) better explains not only inter-cultural differences, but also which of them affect not only the DEMO group, but also the NGOs group.

The guiding principle of this analysis is not to look at factors separately, but also to reduce them to a combination of several factors that have the greatest collective effect on democracy and the third sector, and explain reasons for positive or negative interrelation.

Correlation is defined as a measure of the relationship between variables. Correlation coefficients, as a rule, range from -1.00 to +1.00. The value of -1.00 represents a perfect negative correlation, whereas the value of +1.00 represents a positive correlation. To interpret a correlation, one should be aware of its significance. In this analysis, the most significant correlations, which have an index of correlation greater than ±0.5 have been chosen.

In this study, 724,964 cases of correlation were analysed (6,241 for each country), but only part of them are significant. Furthermore, relationships of independent and dependent variables in 1,280 (324 for the Baltic States, 324 for Estonia, 328 for Latvia, 304) cases were analysed, and not all were found to be significant. It should be noted that the above cases of correlation contain a mixture of dependent and independent variables; in these analyses the major interest relates to the correlation of four dependent variables with independent variables.


A further aim of this article is to define exactly which of these independent variables influence the dependent variables the most. One possible way of doing this is to correlate all factors, defining the most impact and the regress of the total set of factors with most impact and identify factors that best convey the relationship between NGOs and democracy. There are more than 85 variables, which could be grouped into 3 components. Component 1 consists of the entire set of Robert Dahl’s criteria: rule of law, participation, equal rights, and civil society as the basic requirements plus additional factors such as self-governance, freedom of media. Component 2 gives priority to economic issues and overlooks the importance of other factors, such as human development. Component 3 is rather mixed, because the criteria of quality include elements of both, first and second components, which are still relatively important.

Correlation and regression were developed for interval variables only. However, the group of variables used in this study includes ranking variables, and processing of data is possible only if the ordinal variables have at least five categories. The categorization of ranking variables used in this study (27 ranking variables) will be calculated by applying Sturges formula [26].

n=1+3.322lg10N

In this formula, N is the number of ranking variables—27 and n is the number of

categories. The calculation is as follows 1+ 3.322 lg1027 = 5.75. The result dictates that the ranking variables be grouped into 6 categories, allowing us to apply correlation and regression analysis to all variables used in this study.

The correlation itself helps determine the most significant relationships among dependent and independent variables out of a 1,280 cases of correlation between dependent and independent variables in the Baltic States, and in each country: Estonia, Latvia, Lithuania. However, only a fraction of these correlations are significant, ones with a coefficient above the +0.5 limit or below the -0.5 limit. The non-significant relationships will be excluded from further analysis.

Table 1 shows the effect of intervention between dependent and independent variables in the Baltic States. The following correlations not only help identify significant and non-significant relationships between variables, but they also reveal common independent variables, which have important intervening in both DEMO and NGOs groups. As a result, the correlation helps reduce the number of possible impact factors, which confirms the primary assumption that there are fewer impact factors that may have a tangible benefit to the development of democracy in the Baltic States.


Table No. 1 Correlations among dependent and independent variables

in the Baltic states

Abbreviation of dependent

variables DegreeDEMO NGOcapit DEMOzation NGOindex

Abbreviations of independent

variables

1 GDPgrow 0.494475 0.253014 0.241732 0.153969 2 GDPcap 0.29317 0.532406 -0.36648 0.585327 3 Salary 0.192002 0.743219 -0.39218 0.744396 4 Interpersonal Trust (in

percentage of population) -0.13111 -0.1405 0.147924 -0.32631 5 Trustparty -0.40746 0.503115 -0.33191 0.488842 6 Trustgov -0.53921 0.748752 -0.3698 0.652489 7 Trustparliam -0.40885 0.761103 -0.36374 0.685585 8 TrustNGO 0.209337 0.611232 -0.09059 0.524481 9 SatisLIFE 0.449985 0.540055 -0.14536 0.518317 10 SatisDEMO -0.02563 0.473763 -0.22621 0.49194 11 National -0.13597 -0.44408 0.527536 -0.55653 12 ACTfree -0.26159 -0.11722 0.046488 -0.24772 13 PolitLIFE -0.13163 -0.52461 0.204051 -0.58185 14 AimORDER -0.27689 0.38989 -0.31408 0.498852 15 AimSAY 0.289117 -0.38635 0.45947 -0.51877 16 AimPRICE 0.310304 -0.17538 0.109445 -0.24536 17 AimMEDIA -0.04558 -0.57186 0.140755 -0.40587 18 Petition 0.193493 -0.64162 0.407543 -0.71196 19 Boycotts 0.592207 -0.60314 0.60594 -0.71724 20 Demonstration -0.31438 -0.49358 0.519173 -0.60276 21 discusPOLI -0.20914 -0.45332 0.212233 -0.49651 22 Index Combining

Unconventional Forms of pol. Participation (Petition, Demonst, Boycotts, and discusPoli) -0.07179 -0.60845 0.445125 -0.69504

23 Percentage of Population belonging to a religious NGO 0.05404 0.180049 -0.15717 0.235401

24 BelongSPO -0.85572 0.42983 -0.41293 0.45577 25 BelongART -0.63191 0.330896 -0.26314 0.296124 26 BelongLAB -0.41588 -0.31685 0.014569 -0.30272 27 BelongENVR -0.2981 -0.13218 -0.1024 -0.08596 28 BelongPROF -0.14597 -0.00287 0.001705 0.010835 29 BelongOTH -0.02564 0.224511 -0.05372 0.275407 30 FTRmater 0.337982 0.393026 0.226658 0.17982 31 FTRjob 0.330261 0.212524 0.284706 0.017739 32 FTRtech -0.34513 -0.34137 0.307038 -0.44351 33 FTRindiv 0.103682 -0.082 0.14391 -0.15504 34 FTRauthor 0.23643 0.161574 0.507089 -0.12273 35 FTRfamily -0.20054 0.03951 0.197062 -0.14966




Abbreviations of Independent

Variables

36 Percentage of People thinking Society must be changed radically 0.045723 -0.62228 0.255559 -0.65964

37 ELECTindx 0.334077 0.650405 -0.17486 0.599543 38 CIVILindx 0.685656 -0.22372 0.012527 -0.09943 39 MEDIAindx 0.543735 -0.03412 0.608464 -0.23942 40 CORUPTindx 0.423973 -0.87824 0.335067 -0.79289 41 FREEeconSCORE -0.15584 0.811127 -0.68109 0.915654 42 inflationRATE -0.34115 -0.31676 0.259844 -0.43821 43 DegreeDEMO 1 -0.35173 0.40835 -0.40306 44 RegistrNGO 0.591608 -0.02727 0.321567 -0.172 45 LAWexpert 0.400892 -0.31973 -0.05678 -0.12362 46 ECOlegal 0.400892 0.329017 -0.04904 0.321404 47 LEGALimprove -0.04226 -0.24627 0.549275 -0.38309 48 NGO Legal Environment Index:

4 SupportiveLegalEnvironment for NGOs 0.481108 0.087468 0.211975 0.030598

49 NGOGOV 0.042258 0.510572 -0.17466 0.453457 50 NGOstrateg 0.400892 0.329017 -0.04904 0.321404 51 NGOmanage 0.54935 0.166974 -0.13793 0.242365 52 NGOtech 0.400892 0.329017 -0.04904 0.321404 53 NGOecap 0.400892 0.329017 -0.04904 0.321404 54 NGO is professionally organized 0.458349 0.299194 -0.07525 0.313762 55 NGO gets funding from Local

Authorities -0.40089 0.494852 -0.09033 0.346128 56 NGO gets funding from

Government 0.252538 0.451796 0.115109 0.355094 57 NGO gets funding from Private

Sector 0.267261 -0.10414 -0.22583 0.012362 58 NGO gets funding from

providing Services -0.08452 0.631397 -0.182 0.594185 59 NGO gets funding from Foreign

Soruces -0.54935 -0.09901 -0.1412 -0.10164 60 Number of Sources NGOs get

funding from -0.23623 0.489691 -0.16972 0.41957 61 NGOcont 0.400892 0.257376 0.245188 0.173064 62 NATadvoc 0.400892 0.329017 -0.04904 0.321404 63 INTadvoc 0.422577 0.117889 0.412977 -0.10946 64 NGOs professionalism at

representation level 0.338062 0.537212 0.027749 0.390911 65 TYPEserv 0.54935 0.166974 -0.13793 0.242365 66 NGO has an active Network 0.267261 0.37147 -0.14453 0.420298 67 NUMsectr 0.298292 0.576085 -0.37685 0.551878




Abbreviations of Independent

Variables

68 Target -0.13363 0.67926 -0.32778 0.618085 69 NUMtarget -0.24166 0.473506 -0.37338 0.455224 70 NUMcenter 0.418527 0.261323 -0.14441 0.312871 71 NGOs are highly visible in

public 0.227921 0.45171 0.190388 0.279366 72 NGONET -0.26726 0.104144 0.225831 -0.01236 73 NGOmedia -0.08452 0.552106 -0.13059 0.523821 74 PUBvisible -0.25254 -0.4518 -0.11511 -0.35509 75 EDUCpop -0.12942 0.723103 -0.69296 0.867346 76 Catholic 0.499013 -0.58698 0.386672 -0.64804 77 NGOcapit -0.35173 1 -0.4528 0.898262 78 DEMOzation 0.40835 -0.4528 1 -0.76443 79 COMPETpartic -0.09841 0.377469 -0.73751 0.706553 80 PARTIC 0.441347 -0.58361 0.917176 -0.82787 81 Vote -0.25595 -0.59503 0.394928 -0.67959 82 NGOcap -0.35173 1 -0.4528 0.898262 83 RepresentationLevel2 0.351382 0.539292 -0.03085 0.446207 84 HDIndex 0.252619 0.512968 -0.22668 0.521427 85 NGOindex -0.40306 0.898262 -0.76443 1 * Correlation is significant at +/- 0.5

** Correlation is calculated with SPSS 14.00

*** The abbreviations of variables are explained on pages 124, 125

**** The data for correlation analysis are taken from the following sources:

[2,3,4,5,8,15,16,19, 23, 24, 25, 30].

***** Variables, which have constant value are excluded

We may draw a few conclusions on the basis of this mathematical analysis. There are independent variables, which affect the NGO and DEMO groups, but this influence is very difficult to interpret, because independent variables represent outcomes for three different countries. For instance, participation in unconventional acts affects the NGO group negatively, or the decrease in voter turnout affects democracy positively. The first two components almost completely explain the variance of NGO and DEMO groups. At this juncture, it is appropriate to treat the NGO group as an intervening variable and determine its correlation with the DEMO group. Line 85 in Table 1 shows that increasing NGO index has a negative influence on the DEMO group, and NGO per capita (line 77 in Table 1) does not influence the DEMO group at all. We may conclude that NGO development does not affect the development of democracy, though with certain reservation, since there is content underlying the above mentioned correlation. This will be examined in an analysis of individual countries.


It could be argued that factors related to the DEMO group cannot also be used as evaluation indices for the NGO group. In spite of this, the attempt to determine if and how NGOs affect democracy should not be just a question of correlation between four variables. An analysis of just two index groups could lead to misleading conclusions, therefore a deeper analysis is necessary. Empirical analysis should conclude clearly, which factors influence the democracy group and which factors influence the NGO group, whether the same factor can influence both groups and how many common factors exist. On the basis of these comparisons, we can clearly determine the quantitative and qualitative function of the influence of NGOs on democracy. The resulting answer to the stated hypothesis should also reveal which impact “model” is more appropriate to the Baltic States as a whole and each country individually for the further effective development of democracy. Table No. 2 Common impact variables in the Baltic states

Abbreviation of

dependent variables DegreeDEMO NGOcapit DEMOzation NGOindex

Abbreviations of

independent variables

1 Trustgov -0.53921 0.748752 -0.3698 0.652489 2 National -0.13597 -0.44408 0.527536 -0.55653 3 Boycotts 0.592207 -0.60314 0.60594 -0.71724 4 Demonstration -0.31438 -0.49358 0.519173 -0.60276 5 FREEeconSCORE -0.15584 0.811127 -0.68109 0.915654 6 EDUCpop -0.12942 0.723103 -0.69296 0.867346 7 COMPETpartic -0.09841 0.377469 -0.73751 0.706553 8 PARTIC 0.441347 -0.58361 0.917176 -0.82787 * Correlation is significant at +/- 0.5



**** The data for correlation analysis are taken from following sources:

[2,3,4,5,8,15,16,19, 23, 24, 25, 30].


In addition to the correlation examined above, variables of common impact on NGO and DEMO groups are determined. Based on the significance of correlations, the number of independent variables is reduced to eight (see Table No. 2). The collapsed version of influence factors appears to be representative for both groups. For instance, unconventional acts and participation have a positive influence on DEMO groups, but a negative one on the NGO group. Meanwhile, developing free economy has a positive influence on the NGO group and a negative one on the DEMO group. Revealing as these examples might be, the final goal of this study is to determine common variables, which could help construct a final model of influence. However, among the eight common variables, there seems to be rather few with great


impact. A potential solution could be an analysis of the common factors of NGO and DEMO groups in the Baltic countries separately.

Due to the large amount of data and cases for Estonia (324), Latvia (328) and Lithuania (304), correlation tables listing the influence of independent variables on NGO and DEMO groups are omitted, and only the major results for the final outcomes will be explained. Correlation analysis of each of the three Baltic countries reveals a number of important issues regarding the process of democracy and the development of non-governmental organizations in the countries. First, the data for all three periods show that this was an uneven process of development, characterized by irregular progress of the transformative factors. This evidence is supported not only by independent variables, but also by the results of dependent variable scores by country. Second, the relationship between independent variables and dependent variables varies in each country. Third, the impact of NGOs on democracy is not necessarily significant enough or positive in every case (see Table No.3).

Table No. 3. Correlation of NGO and DEMO groups in Estonia, Latvia, Lithuania and

the Baltic states

Estonia

Degree DEMO NGO capit DEMOzation NGO Index

Degree DEMO 1 0.628619 0.485918 0.61859

NGOcapit 0.62861856 1 0.985182 0.999918

DEMOzation 0.48591765 0.985182 1 0.987301

NGOindex 0.61858957 0.999918 0.987301 1 Latvia

DegreeDEMO 1 0.088475 0.208053 -0.5 NGOcapit 0.08847479 1 0.992689 0.818392

DEMOzation 0.2080534 0.992689 1 0.743048

NGOindex -0.5 0.818392 0.743048 1 Lithuania

DegreeDEMO 1 0.790838 - 0.99703 0.987829

NGOcapit 0.790838 1 -0.83561 0.876409

DEMOzation -0.99703 -0.83561 1 0.9687

NGOindex 0.987829 0.876409 -0.99687 1 Baltic States

DegreeDEMO 1 -0.35173 0.40835 -0.40306 NGOcap -0.35173 1 -0.4528 0.898262

DEMOzation 0.40835 -0.4528 1 -0.76443

NGOindex -0.40306 0.898262 -0.76443 1 * Correlation is significant at +/- 0.5



**** The data for correlation analysis are taken from following sources:

[2,3,4,5,8,15,16,19, 23, 24, 25, 30].



Although certain states (Estonia) have fared much better in encouraging democracy, the general outlook of the region as a whole is a positive one in the sense that more and more non-governmental organizations are engaged in the processes of democracy. It seems that in some states the development of democracy could be considerably slowed down or interrupted by economic instability (Latvia), a decrease in voter turnout (all Baltic countries), the slow development of the non-governmental sector (Lithuania) or stronger development in the area of social services (Lithuania, Latvia). Furthermore, it appears that the Baltic States (Latvia, Lithuania), after implementing democratic reforms, have given up on improving the quality of democracy. It could be stipulated that in the case of Lithuania, the growing influence of NGOs and their growing professionalism should have a negative correlation with democratization. This has not happened because of the non-effective development of NGO index, but mostly because of “contextual” problems in the system, as well as decreasing percentage of democratization on the one hand and the rather slow growth of the third sector compared to Estonia and Latvia on the other hand. It should be noted that the latter reasons influence results for the Baltic region as a whole, because as much as 15% of NGOs have been established in Lithuania during the three periods analysed. Despite this fact, the overall picture of NGO support for democratic processes is positive. Hence, it might be presumed that NGOs affect democracy to a greater extent and support the development of democratic systems.

In view of these results, one cannot help but make one particular observation: Lithuania differs the most from Latvia and Estonia. In 85 cases of correlation between the DEMO and NGO groups, Lithuania differs from Estonia and Latvia in 54 cases of correlation. Latvia, compared to Lithuania and Estonia, differs in 2 cases: 1) a growing percentage of people who think that there should be more order positively affects both groups, while in case of Lithuania and Estonia, it does not affect them at all, or does not affect them significantly; 2) increasing trust in political parties has a positive effect on NGOs and only partially on democracy, though in Estonia and Lithuania a negative impact on democracy is observed. Estonia differs from Latvia and Lithuania only in 2 cases of correlation: 1) decreasing interpersonal trust has a positive effect on democracy; 2) increasing number of funding sources for NGOs has a positive effect on both dependent groups, while in Latvia it affects democracy negatively and in Lithuania it has almost no effect. In 27 cases of correlation all countries have different impact scores. Although such an empirically-derived conclusion is analytically misleading, such an explanation might also be influenced by various contextual factors.

The underlying interest of this study is not only whether or not NGOs influence democracy, but also how NGOs themselves are impacted. As already noted, the growing number of non-governmental organizations and their general index of development have a direct positive effect on the degree of democracy. This is true for Estonia and Lithuania, but not for Latvia or the whole region. Figures for the latter two may not be fully representative of the real state of democratic development in the respective states. Latvia, in the first period has the highest score of degree of democracy and level of democratization. Degree of democracy slightly decreases in


period 2, and reaches a plateau in period 3, while the level of democratization increases in both of the latter periods. Non-governmental organizations appear to be growing in numbers in all three States. However, Lithuania has had the lowest NGO per capita, and this could be one of the quantitative factors negatively affecting the democratization process. There are also qualitative reasons, for instance, the majority of NGOs in Lithuania have been geared towards social and cultural purposes rather than political ones.

Finally, we may consider the caveat that cross-country comparison using Pearson’s correlation is not reliable when countries have the same score over the entire period. Among independent variables, there are some that maintain highest and lowest scores over the entire period: Estonia scores 0 for Law experts in the non-governmental sector, 0 for NGO staff, 0 for NGO funding from the private sector, 1 for NGO funding from local authorities, 1 for NGO and networking, 0 for competition in participation, 1 for NGO goals; Latvia scores 1 for NGO goals, 0 for NGO staff, 0 for NGO funding from the private sector, 2 for the Number of NGO sectors, 0 for NGO target groups, 1 for NGO and networking; Lithuania scores 1 for NGO goals, 0 for NGO staff, 0 for NGO funding from the government, 0 for NGO financing capacity, 3 for NGO high visibility, 1 for NGO public visibility, 1 for NGO registration system.

Before further discussions on the Baltic States, an explanation is in order on the common independent variables, which influence DEMO and NGO groups. Returning to Table 1, where the common independent variables for the DEMO and NGO groups are listed, it should be noted that these independent variables do not determine the area of influence for the whole region, composed of the three individual states. In fact, “territorial” factors are important, especially considering that the study examines 3x3 country cases of correlation, where each case of correlation might have a direct effect on the whole region. It was therefore decided to not only take 8 common factors derived statistically for the whole region, but also to establish a range of common variables while exploring each country individually and comparing similar factors.

The information obtained from the correlations of independent variables and NGO/DEMO groups for different countries will be operated to determine common impact factors. It is assumed that for factors, which influence the NGO group and the DEMO group, at least one of the variables from each group could be identified in more than one Baltic country, which reveals the way in which NGOs influence democracy in the Baltic States. However, impact factors differ in the context of the qualitative approach. Some are directly related to NGOs, while others are not. Accordingly, they can be divided into primary and secondary impact factors. Primary factors are those that are directly related to the NGO environment, e.g., NGO staff, NGO sources of funding. Meanwhile, secondary factors have a direct effect on the NGO environment but are not related to it, e.g., GDP and interpersonal trust. Common impact factors of the region coincide with country-specific factors. Therefore, factors will be divided into primary and secondary factors. In view of the above, primary factors that influence democracy are the following: index of


population belonging to religious NGOs; index of population belonging to sports NGOs; index of population belonging to music, art, and education NGOs; index of population belonging to labour NGOs; index of population belonging to professional NGOs; index of population belonging to other NGOs; index of supportive registration for NGOs; index of law experts working in the third sector; index of supportive economic regulations for NGOs; index of legal improvement for the third sector; index of supportive legal environment for NGOs; index of framework for NGO and government cooperation; index of NGO strategic activities; index of NGO professionalism in management; index of technology integration into NGO activities; index of e-capacities of NGOs; index of professionally organized NGOs; index of NGO funding from the government; index of NGO funding from the provision of services; index of NGO funding from foreign sources; index of the number of sources for funding of NGOs; index of NGO professionalism in finance management; index of NGO representation on the national level; index of NGO representation at the international level; index of NGO professionalism at the representation level; index of the types of NGO services; index of active networks of NGOs; index of the number of sectors NGOs work in; index of major target groups of NGOs; index of the number of target groups of NGOs, index of NGO information centres; index of the high visibility of NGOs; index of NGO and media cooperation; index of public visibility of NGOs; index of professional representation of NGOs.

Secondary impact factors that influence the NGO group and consequently impact democracy are the following: index of GDP growth; index of GDP per capita; index of income of citizens; index of interpersonal trust; index of public trust in political parties; index of public trust in the government; index of public trust in the parliament; index of public trust in NGOs; index of people satisfied with their life; index of public national pride; index of public belief in the freedom of action; indices of people’s major aims, index of public participation in political activities; index of public interest in politics; index of public participation in unconventional actions; index of the most important future changes; index of attitudes concerning radical social change; index of the electoral process; index of independent media; index of corruption; index of free economy; index of inflation; index of educated people; index of competition in participation; index of participation; index of Catholicism; index of human development; index of voter turnout.

The division of factors most influential to the development of democracy in the Baltic States into primary and secondary impact factors lays the groundwork for the next step of meta-analysis, i.e., regression. Despite scientific assumptions for the division and selection of the most influential impact factors, the arguments for such selection are yet to be presented. Final conclusions on the relationship between civil society and democracy could be drawn after regression analysis and application of the “traffic light” model.


Conclusions Correlation helped to determine thirty four indices of the primary impact of

NGOs on democracy and thirty six factors of secondary impact upon NGOs. While primary factors are more important to this analysis, and they directly correspond to the objective, the importance of secondary factors should also be considered, as their role is undeniably important. The secondary factors affect the development and professionalism of the NGO sector, which in turn influences democracy. Therefore, these factors should be recognized as significant, though not directly so.

The empirical data collected for this study demonstrates that in most areas the Baltic States have integrated democratic elements quite effectively. However, progress in the Baltic States should hardly be surprising, as it was a result of a lengthy process beginning at the end of the 1980s. Another interesting empirical observation is that factors that should influence the progress of democracy or development of civil society do not affect the dependent variables or even affect them in a negative direction. Although most of the data has been in use for a number of decades and is globally accepted as reliable, it is qualitatively based on subjective observations and interpretations, and could therefore provide controversial results in certain cases.

Before dealing with the final model of NGO influence on the democratic process in the Baltic States, it should be acknowledged that of the numerous factors defined, likely not all of them have the same impact. Therefore, dealing with empirical investigation of the Baltic States, the second step of meta-analysis—regression analysis will enable us to determine which independent variables of primary and secondary importance statistically impact democracy more, and which ones should be used in a relation analysis between NGOs and the development of democracy.

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NEVYRIAUSYBINIŲ ORGANIZACIJŲ SEKTORIUS IR DEMOKRATIJA.

EMPIRINĖS REFLEKSIJOS BALTIJOS ŠALYSE: METAANALIZĖS REZULTATAI (I DALIS)

Saulė Mačiukaitė-Žvinienė

Santrauka

Demokratijos plėtra Centrinėje ir Rytų Europoje žlugus Sovietų Sąjungai tapo vienu pagrindiniu socialinių mokslų tyrimo objektu. Mokslininkai atliko lyginamąsias analizes remdamiesi įvairiais kiekybiniais ir kokybiniais duomenimis, tačiau pilieti-nės visuomenės ir demokratijos santykis bei būdai, kaip nevyriausybinės organizaci-jos, būdamos pilietinės visuomenės dalis, veikia demokratijos plėtrą, nėra pakanka-mai tiriama. Šis straipsnis yra pirmoji metaanalizės rezultatų, kurie parodė, kaip pi-lietinė visuomenė veikia demokratiją Baltijos šalyse, dalis. Jame pateikiama korelia-cinės analizės rezultatai, kurie leido nustatyti trisdešimt keturis NVO pirminės įtakos demokratijai ir trisdešimt šešis NVO antrinės įtakos demokratijai faktorius. Pažymė-tina, kad pirminiai įtakos faktoriai yra svarbesni analizuojant įtakos diskursus, ta-čiau antrinės įtakos faktorių svarba taip pat nėra kvestionuojama, nes jie veikia ne-vyriausybinių organizacijų sektorių, o tai savo ruožtu daro įtaką demokratijos plėt-rai, todėl antriniai faktoriai taip pat naudojami tolesniuose metaanalizės etapuose, nors jų įtaka ir yra netiesioginė.


Saulius Nefas – Mykolo Romerio universiteto Viešojo administravimo fakulteto Viešojo administra-

vimo katedros docentas, socialinių mokslų daktaras. Assoc. Prof., Mykolas Romeris University, Doc-

toral degree in Social sciences.

el. paštas / email: [email protected]

Apžvalga įteikta redakcijai 2009 m. rugsėjo mėn.; parengta spausdinti 2009 m. spalio mėn.

THE IMPLEMENTATION OF MANAGERIAL

(ADMINISTRATIVE) CONCEPTS IN PRACTICE

Saulius Nefas

Mykolas Romeris University

Valakupių str. 5, LT – 10101 Vilnius

An unconventional conference EFFICIENCY IN THE PUBLIC SECTOR: HOW MANAGERIAL THEORIES MAY HELP AND WHAT PRACTITIONERS MAY ADVISE took place at Mykolas Romeris University. This conference was unconven-tional because practical rather that scientific aspects were emphasized. Scientists from universities of Šiauliai, Kaunas, and Vilnius as well as other interested parties debated how the science and practice of management (administration) may be brought closer together.

Objective: to discuss more active involvement of scientific institutions in the process of public administration, application of scientific theories and models in practice, leading to more efficient management.

Participants: Scientists, members of the Seimas (Lithuanian parliament) and the Government, representatives of public administration institutions and agencies, rep-resentatives of education centres, politicians from municipalities, representatives of administrations, and students were invited to the conference. Scientists from the Kaunas University of Technology, the Šiauliai University, the Vilnius Law and Business College, the Mykolas Romeris University, as well as many undergraduate students from the Faculty of Public Administration of Mykolas Romeris University participated in the conference.

Interested representatives from non-scientific institutions included: Vytautas Kurpuvesas, the Chairman of the Committee on State Administration and Local Au-thorities of the Seimas of the Republic of Lithuania, Jolanta Vaičiūnienė, the Director and Sonata Intaitė, an expert from the Municipal Training Centre of the Kaunas Uni-versity of Technology, and experts from the Lithuanian Institute of Public Admini-stration, Artūras Arbatauskas and Arvydas Tarasevičius.

Saulius Nefas. The Implementation of Managerial (Administrative) Concepts in Practice

130

Summaries of the presented papers

A paper by Professor Juozas Lakis (Department of Management Theory, Myko-las Romeris University), How and In What Way Can Master’s/Doctoral Research Be Useful to an Organization? analysed the lack of cooperation between universities and public administration institutions (cooperation agreements are usually signed, however, are more of a symbolic rather than constructive nature); the paper also ana-lysed the occasional joint projects. The author recommends:

• Since a considerable part of the research (especially for a master degree the-ses) is conducted in certain public administration institutions, it is recom-mended to present research results in research organizations or to encourage the participation (and input) of representatives from research organizations at the time of the thesis defence.

• To involve social partners—practitioners (e.g., civil service department, local municipalities) in scientific events of higher education institutions (confer-ences, discussions, round tables).

A paper by Professor Algimantas Urmonas (Department of Administrative Law, Mykolas Romeris University), Implementation of Administrative Reforms in Lithua-nia in the Context of the Subsidiarity Principle proposed that in the implementation of administrative reforms in Lithuania, it would be beneficial to improve the instru-ments of social science and their implementation through creative application of the subsidiarity principle. The author recommends:

• To coordinate the objectives, tasks, functions, methods, and results of public administration institutions in state and local government with the idea that de-cisions of public administration be passed on the level where they would be most effective.

• To direct the interaction between science and practice based on instruments devised by social science.

A paper by Antanas Bukauskas (lecturer, Department of Personnel Management, Mykolas Romeris University), State Management: from Revolution to Evolution ana-lysed how state management is perceived by the President, the Government, the Sei-mas, experts (both dependent and independent, international, financial institutions,), academia, politicians, political scientists, the media, the Lithuanian Free Market In-stitute, and the general public. The author recommends:

• To acknowledge that under the conditions of uncertainty created by the current crisis, the search for potential solutions of good management requires active cooperation among governmental structures, academia, and other interest groups.

A paper by Artūras Arbatauskas and Arvydas Tarasevičius (experts from Lithuanian Institute of Public Administration), Training of the Public Administration Institutions’ Managers and More Efficient Management analysed common problems in the public sector—the infrequent application of knowledge about various manage-rial theories when making practical decisions. Their recommendations:


131

• To strengthen the formation of applied skills in the undergraduate and graduate degree programs within the next 3–5 years, so that graduates can apply to practice the knowledge acquired during their education.

A paper by Assoc. Prof. Dr. Raimundas Kalesnykas (Vilnius Law and Business

College), Possibilities of Implementing the Function of Maintaining Public Order in Municipal Territories analysed the powers of a municipality in maintaining public order. The research was based on the case of Vilnius city municipality. The author recommends:

• To support and stimulate, on the basis of the new public management theories, the abilities and initiatives of municipalities (subjects of the public sector) to manage and control the majority of public matters, taking full responsibility for them and following the interests of the local populace.

A paper by Vilma Tubutienė (Department of Public Administration, Šiauliai

University), Assessment of Personnel Performance in the Pursuit of Strategic Organ-izational Goals analysed how organizational strategy is connected to human re-sources management and performance assessment, and what challenges may arise in practical personnel assessment activities. The author recommends:

• Strategic approaches to performance assessment should entail the assessment of process corrections and credibility of results with long-term prospects of the assessment objectives in mind.

A paper by Assoc. Prof. Dr. Jonas Jasaitis (Rural Development Research Centre,

Šiauliai University), Which Strategy is Being Implemented in 97.4% of the Territory of Lithuania? (Rural Development in Strategies and in Reality) analysed changes in rural areas during the transitional period and newly arising functions, such as: resi-dential, diversification of economic activities, relaxation and rehabilitation, educa-tional, preservation of ethnographic and moral heritage, and landscape preservation. The author recommends:

• In implementing the objective of strategic management of the state, a cohesive development of all regions and sectors should be sought, and the place of residence should serve as an obstacle for a full personal development.

A paper by Assoc. Prof. Dr. Rasa Šnapštienė (Department of Public Administra-

tion, Kaunas University of Technology), Strategic Management of Human Re-sources: a Systematic Approach analysed why current practice is often accepted as the unquestionable, correct, and optimal set of decisions that do not require any ar-gumentation, deeper knowledge or assessment of alternatives. The author recom-mends:

• To encourage the effectiveness of the public sector by modernization, facili-tated by the development of scientific research, new theories, formulation of approaches, and their implementation in practice.

Saulius Nefas. The Implementation of Managerial (Administrative) Concepts in Practice

132

A paper by Assoc. Prof. Dr. Vainius Smalskys (Department of Public Admini-stration, Mykolas Romeris University), Concerning Reforms of Public Administra-tion and Civil Service in Lithuania analysed requirements imposed on employees of the public sector: quality of services provided to citizens, active cooperation with civic communities, and provision of professional assistance to politicians. The author recommends:

• To direct the current civil service towards provision of high-quality services to citizens, and towards cooperation between civic groups and representatives of administrations.

A paper by Assoc. Prof. Dr. Saulius Nefas (Department of Public Administra-

tion, Mykolas Romeris University), Implementation of Scientific Managerial (Admin-istrative) Theories in Practice: Imagination, Reality or Potential Challenge analysed the absence of observable social partnerships between scientists and practising pro-fessionals in Lithuania. The author recommends:

• To recognize that poor workplace culture within the public sphere is driven by the absence of contact between theory and practice.

• Educational programs pay more attention to epistemological and empirical concepts.

Conference results

The results are reflected in a survey, carried out by undergraduate public admini-stration students from Mykolas Romeris University. Research group consisted of the same undergraduate students who participated in the conference. An online survey consisting of open and closed ended questions was used.

When questioned about the importance of the conference topics, 57% of the re-spondents thought that the topics were important, 30% thought they were of average importance, and only 13% thought that they were not important.

Drawbacks and advantages of the conference were identified. 40% of respon-dents stated that they did not notice any drawbacks, and those respondents, who did, identified the following drawbacks:

• A lack of research on the practical aspects of the modern-day situation in con-trast to theoretical ones

• Digression of speakers from their own research topics. • Some papers not being consistent with the subject of the conference The following aspects were listed as positive ones: • The possibility to “touch” on practice at least a bit and to hear about real ex-

amples. • A great opportunity to get acquainted with the current issues in the public sec-

tor. • A possibility to reflect on the disconnect between theory and practice.


ATMINTINĖ ŽURNALO PUBLIKACIJŲ AUTORIAMS Žurnale spausdinami viešosios politikos ir viešojo administravimo teorinius ir

praktinius klausimus nagrinėjantys straipsniai. Pirmumas teikiamas tiems straipsniams, kuriuose akcentuojamos šiuolaikinės Lietuvos viešosios politikos formavimo ir viešojo administravimo aktualijos, tarp jų – viešojo administravimo sistemos reformos eiga, Lietuvos viešojo administravimo sistemos priderinimas prie Europos Sąjungos reikalavimų ir kt. Straipsniai recenzuojami. Be to, žurnale spausdinamos konferencijose diskutuotų problemų apžvalgos, viešosios politikos ir viešojo administravimo srities naujų knygų recenzijos ir informacija apie naujoves bei įvykius viešojo administravimo sistemos, taip pat mokslo ir mokymo institucijose ir įstaigose. Lietuvos autorių straipsniai spausdinami lietuviškai, o užsienio autorių – angliškai, prancūziškai, rusiškai, vokiškai arba lietuviškai.

Žurnalui pateikiamų straipsnių apimtis neturėtų viršyti 8 000 žodžių (maždaug 60 000 spaudos ženklų), o konferencijų apžvalgų, knygų recenzijų ir informacinio pobūdžio medžiagos – 2 000 žodžių. Straipsnio pradžioje rašoma ne trumpesnė kaip 600 spaudos ženklų anotacija, parašyta ta pačia kalba, kaip ir straipsnio tekstas, o pabaigoje – ne trumpesnė kaip 600 spaudos ženklų – reziumė anglų kalba lietuviškiems straipsniams ir lietuvių kalba –užsienio kalba parašytiems straipsniams.

Straipsnio medžiaga pateikiama šia tvarka: straipsnio pavadinimas; autoriaus(-ių) vardas(-ai) ir pavardė(-ės); darbovietė(-ės) ir jos adresas(-ai); anotacija; raktažodžiai lietuvių ir anglų kalbomis; straipsnio tekstas; literatūros sąrašas; reziumė. Įteikiant straipsnį, atskirai pateikiami duomenys apie autorių(-ius) (ne daugiau kaip 150 žo-džių): vardas(-ai) ir pavardė(-ės); mokslinis(-iai) laipsnis(-iai) ir vardas(-ai), nurodant mokslo sritį ir kryptį; darbovietė(-ės) ir pareigos bei informacija apie ankstesnę pro-fesinę patirtį; adresas.

Pageidautina, kad straipsnio turinys būtų suskirstytas į paragrafus. Įvadiniame pa-ragrafe būtina pagrįsti temos aktualumą ir apibrėžti mokslinę ar praktinę problemą, tyrimo objektą ir tikslą bei tyrimo metodiką; nurodyti santykį su kitų tyrinėtojų dar-bais. Glaustai ta informacija turi būti pateikta ir anotacijoje bei reziumė. Straipsnio teksto pabaigoje padaromos svarbiausios išvados, nurodomos rekomendacijos.

Remiantis kitų autorių darbais arba dokumentais, tekste pateikiamos nuorodos, laužtiniuose skliaustuose pažymint šaltinio numerį(-ius) literatūros sąraše ir puslapį(-ius). Literatūros sąraše šaltiniai spausdinami originalo kalba toliau pateikiamų pa-vyzdžių forma.

Viešoji politika ir administravimas. 2009, Nr. 30

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Straipsniai periodiniuose leidiniuose: 1. Norkus Z. Du galios veidrodžiai. Politologija, 1998, T.1, Nr.11, 103-116. 2. Brewer, G. A., Selden, S. C., and Facer, R. L. Individual Conceptions of

Public Service Motivation. Public Administration Review, May/June 2000, Vol. 50, No 3, 240-253.

Straipsniai straipsnių rinkiniuose arba knygų skyriai kelių autorių knygose: 3. Raipa A. Viešoji politika ir analizė: viešojo administravimo politinis kon-

tekstas. Kn.: A. Raipa (red.). Viešasis administravimas. Kaunas: Technolo-gija, 1999, 17-41.

4. Gulick, L. Notes on the Theory of Organization. In: L.Gulick and L.Urwick (eds.). Papers on the Science of Administration. New York: Institute of Pub-lic Administration, 1937, 1-46.

Knygos: 5. Vadapalas V. Tarptautinė teisė. Vilnius: Eugrimas, 1998. 6. Denhardt, R. B. and Grubbs, J. W. Public Administration: An Action Orien-

tation (3rd ed.). Harcourt Brace College Publishers, 1999. 7. Heeks, R. (ed.). Reinventing Government in the Information Age. London

and New York: Routledge, 1999. 8. Merriam-Webster’s collegiate dictionary (10th ed.). Springfield, MA: Mer-

riam-Webster, 1993. Organizacijų ir oficialių įstaigų leidiniai:

9. Švietimas. Vilnius: Statistikos departamentas prie Lietuvos Respublikos Vy-riausybės, 2000.

10. Municipal Year Book. Washington, DC: International City Management As-sociation, 1992.

Įstatymai ir Vyriausybės nutarimai: 11. Lietuvos Respublikos audito įstatymas. Valstybės žinios, 1999, Nr. 59-1916. 12. Lietuvos Respublikos Vyriausybės 2000 m. vasario 7 d. nutarimas Nr. 127

Dėl valstybės įmonių ir įstaigų audito. Valstybės žinios, 2000, Nr. 13-323. Interneto šaltiniai:

13. Tarptautinis bendradarbiavimas. http://www.vrm.lt/index1.htm?dokumentai. htm [2001-04-20].

14. eEurope: An Information Society For All. http://europe.eu.int/comm/infor-mation_society/ eeurope/ index en.htm [2001-02-01].

Publikacijų medžiaga redakcijai pateikiama kompiuteriame diskelyje dviem spausdinto teksto egzemplioriais. Teks-to redaktorius Microsoft Word; šriftas Times New Roman. Tekstą spausdinti A4 formato lape 1,5 eilutės intervalu su šiomis paraš-tėmis: viršuje – 2,0 cm, apačioje – 2,5 cm, dešinėje ir kairėje – 1,8 cm. Pastraipas pradėti su 0,6 cm įtrauka. Tekstą spausdinti 12 pt dydžio šriftu, reziumė ir literatūros sąrašą – 10 pt dydžio šriftu.


NOTES FOR CONTRIBUTORS

This journal publishes articles analyzing public policy and administration theoretical and practical problems. The priority is given to the articles that emphasize the topicality of modern public policy and public administration in Lithuania, including the reform of public administration system, the adjustment of Lithuanian public administration system to the requirements of European Union and etc. The reviews of the problems discussed in the conferences, the critique of new published public administration books and information about the events in scientific and academic field of Lithuanian public administration institutions are also published in the journal.

The articles of authors from Lithuania are published in Lithuanian and the articles of authors from foreign countries are published in English, French, Russian, German or Lithuanian.

The articles should not exceed 8 000 words (approx. 60 000 symbols) and the reviews of conferences and new published books and occasional notes should not exceed 2000 words. The article should begin with an abstract of no less than 600 symbols written in the same language as an article and should end with the summary of no less than 600 symbols. The summary of articles written in Lithuanian should be written in English and summary of articles written in foreign language should be in Lithuanian.

An article should include the following order: the title, author’s name and surname, workplace and its’ address, abstract, keywords in Lithuanian and English, text, bibliography, summary. On separate sheet should be included author’s personal data: name and surname, scientific degree, research field and direction, work and position, and information about previous work experience, address.

It is desirable that the article should be divided into paragraphs. The essential thing of the first paragraph is to substantiate subject relevance and to define problem, subject, the aim and the methods of the research, describe the relation with the works of other investigators. The same information should be condensed in the abstract and summary as well. Main conclusions and recommendations should be stated at the end of the article.

Bibliographic references should be given in angle brackets and should refer the number in the bibliography list and the number of the page. In the bibliography list the references are given in original language and should respond the following requirements:

Articles in the periodical: 1. Norkus Z. Du galios veidrodžiai. Politologija, 1998, T.1, Nr.11, 103-116. 2. Brewer, G. A., Selden, S. C., and Facer, R. L. Individual Conceptions of

Public Service Motivation. Public Administration Review, May/June 2000, Vol. 50, No 3, 240-253.

Viešoji politika ir administravimas. 2009, Nr. 30

136

Articles in notes or chapters in books of multiple authors: 3. Raipa A. Viešoji politika ir analizė: viešojo administravimo politinis kon-

tekstas. Kn.: A. Raipa (red.). Viešasis administravimas. Kaunas: Tech-nologija, 1999, 17-41.

4. Gulick, L. Notes on the Theory of Organization. In: L .Gulick and L .Urwick (eds.). Papers on the Science of Administration. New York: Insti-tute of Public Administration, 1937, 1-46.

Books: 5. Vadapalas V. Tarptautinė teisė. Vilnius: Eugrimas, 1998. 6. Denhardt, R. B. and Grubbs, J. W. Public Administration: An Action Orien-

tation (3rd ed.). Harcourt Brace College Publishers, 1999. 7. Heeks, R. (ed.). Reinventing Government in the Information Age. London

and New York: Routledge, 1999. 8. Merriam-Webster’s collegiate dictionary (10th ed.). Springfield, MA: Mer-

riam-Webster, 1993. Institutional books:

9. Švietimas. Vilnius: Statistikos departamentas prie Lietuvos Respublikos Vy-riausybės, 2000.

10. Municipal Year Book. Washington, DC: International City Management As-sociation, 1992.

Legislation and government resolutions: 11. Lietuvos Respublikos audito įstatymas. Valstybės žinios, 1999, Nr. 59-1916. 12. Lietuvos Respublikos Vyriausybės 2000 m. vasario 7 d. nutarimas Nr. 127

Dėl valstybės įmonių ir įstaigų audito. Valstybės žinios, 2000, Nr. 13-323. Internet:

13. Tarptautinis bendradarbiavimas. http://www.vrm.lt/index1.htm?dokumentai. htm [2001-04-20].

14. eEurope: An Information Society For All. http://europe.eu.int/comm/ infor-mation_society/ eeurope/ index en.htm [2001-02-01].

The article should be submitted in two printed copies and one electronic copy in a floppy disk Text editor Microsoft Word; font Times New Roman. All submissions must be 1.5 spaced on one side paper of A4 format and with margins as follows: top 2 cm, left and right – 1.8 cm. Each paragraph should begin with indention of 0.6 cm. For article text font size is 12 pt, for summary and bibliography list font size is 10 pt.

Viešoji politika ir administravimasISSN 1648-2603 (print), ISSN 2029–2872 (online)

Užsakymą siųsti adresU:

Mykolo Romerio universiteto Leidybos centrasAteities g. 20, LT-08303 Vilnius, LietuvaJuridinio asmens kodas 111951726Tel. (8 5) 271 45 16; faksas: (8 5) 271 45 04; el. paštas [email protected]ž prenumeratą mokėti į Mykolo Romerio universiteto sąskaitą: LT85 7300010002492590 AB „Swedbank“, banko kodas 73000

1 numerio kaina su 21 proc. PVM – 75,00 LT (Lietuvos Respublikoje).4 numerių kaina su 21 proc. PVM – 300,00 LT (Lietuvos Respublikoje).

prenumeratos užsakymas 2010 metams

Įmonės, įstaigos pavadinimas/ asmens vardas, pavardėĮmonės/asmens kodasAsmuo kontaktams: pareigos, vardas, pavardėAdresasTelefono Nr. Fakso Nr. El. paštasBanko sąskaitos Nr.Užsakau egz. Ketvirčiui, pusmečiui, metams (pabraukti)

Periodiškumas: 4 numeriai per metus.

Title of the institution/name, surnameCompany/personal codeContact person: position, name, surnameAddress: Postcode/Zip: Telephone: Fax: E-mail:I want to suscribe copies. I want to suscribe for one issue, two issues, four issues (underline).All subscriptions are payable in advance. Issues will be sent by post on receipt of payment.

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Public Policy and AdministrationISSN 1648-2603 (print), ISSN 2029–2872 (online)

suBsCrIptIon Form For 2010 year

Price for one issue including VAT – 24,62 EUR (rate for Europe and rest of World).Price for four issues including VAT – 98,47 EUR (rate for Europe and rest of World).

OUr cOntacts:

Mykolas Romeris University Publishing Centre, Ateities 20, LT-08303 Vilnius, Lithuania.Phone: (+370 5) 2714516; fax: (+370 5) 2714504; e-mail: [email protected] has to be made by Bank Transfer to: LT85 7300010002492590AB „Swedbank“, Bank Code 73000

viesojo prenumerata.indd 357 2009.12.30 13:45:40


TURINYS



B. Guy PETERS

7



Alvydas RAIPA


Yuri KRIVOROTKO


22 33 45

Valstybės tarnyba


David FERRAZ


Eglė VAIDELYTĖ

57 68

Žinių visuomenė



Žilvinas ŽIDONIS


Jolanta URBANOVIČ

82 92 102




114



Saulius NEFAS

129


135 137

VIEŠOJI POLITIKA IR ADMINISTRAVIMAS Nr. 30

ISSN 1648-2603 (print) ISSN 2029-2872 (online)

Redaktoriai Stasė Simutytė, Martin Girchis Shetty

Santraukų užsienio kalbomis korektūrą skaitė Martin Girchis Shetty Maketuotoja Regina Silkovienė

Viršelio autorė Stanislava Narkevičiūtė

SL 585. 2009 12 28. 8,55 leidyb. apsk. l. Tiražas 200 egz. Užsakymas 10453.

Išleido Mykolo Romerio universiteto Leidybos centras, Ateities g. 20, LT-08303 Vilnius. Tinklalapis internete www.mruni.eu

El. paštas [email protected] Spausdino UAB „Baltijos kopija“, Kareivių g. 13b, LT-09109 Vilnius.

Tinklalapis internete www.kopija.lt El. paštas [email protected]


TURINYS



B. Guy PETERS

7



Alvydas RAIPA


Yuri KRIVOROTKO


22 33 45

Valstybės tarnyba


David FERRAZ


Eglė VAIDELYTĖ

57 68

Žinių visuomenė



Žilvinas ŽIDONIS


Jolanta URBANOVIČ

82 92 102




114



Saulius NEFAS

129


135 137

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VIEŠOJI POLITIKA IR ADMINISTRAVIMAS870845/FULLTEXT01.pdf · 2015-11-13 · Viešoji politika ir administravimas. 2009, Nr. 30, p. 7–21 9 As already noted, in Europe much of that