ISSN 1392-3110 Socialiniai tyrimai / Social Research. 2012. Nr. 3 (28), 98–112
Implementation of Good Governance Principles in Local Self-government: the Case of Siauliai City
Diana Saparniene, Ingrida Valukonyte
Siauliai University, Faculty of Social Sciences Architektu st. 1, LT-78366 Siauliai, Lithuania E-mail: [email protected] , [email protected]
Abstract communities where people want to live and work now The article theoretically and practically analyses and in the future <…> Member states must support principles of Good Governance and their implementation and develop effective, transparent and responsible at the level of local self-government. The multiplicity of democratic institutions that correspond society’s good governance conception, the specificity of principles needs and aims.” Therefore, Good Governance of Good Governance in the local self-government are became a paradigm that gives sense to the values of revealed by the insights of foreign and Lithuanian scientists, official international documents. Practically we democratic standards and rules of law, where citizens tried to investigate the implementation of principles of and other government shareholders’ involvement in Good Governance in Siauliai city municipality preparing governance is apparent and active creation of civil a hypothetical model of implementation of principles of society is obvious. Good Governance in local self-government. Invoking Good Governance at the level of self- the experts of Siauliai city municipality in the context of government institutions, institutions that are closest self-evaluation, the implementation of Good Governance to citizens and services provided to them – one of the principles in the municipality was analysed emphasising main priority directions of democratic state. Theorists the problems and foreseeing possible trends of governance of state welfare (Dali, Lewis, 2000; Kersbergern, improvement. The research has showed that the equivalents 1995) consider the value of efficiency of local of principles of Good Governance are established in legal acts of the Republic of Lithuania that the representatives of authority as strongest with regard to modern local self-government institutions must follow in their activities, authority stating that first of all it must perform the but often their implementation faces lack of a clear functions of a coordinator, manager of community’s strategic vision, prevailing manifestations of governance opinion and it is risking if does not consider society’s conservatism that do not stimulate initiatives and changes involvement in meaningful activities: “in order to be in local self-government. an effective service provider, local government must Keywords: good governance, principles of good be more than effective. It must be assessed referring governance, local self-government. to justice, impartiality, equality and openness” (Hill, 1974). Introduction In publications of Lithuanian and foreign Modernisation of governance systems scientists conception of Good governance is of modern state and governance of separate investigated from the aspect of public administration’s institutions of public sector is inseparable from the modernisation (Grindle, 2007; Ladi, 2008; Raipa, installation of principles of Good Governance. Good 2010), conception and expression of the principles Governance – is a requirement for all the subjects of Good Governance is analysed (Zilinskas, 2010; of public administration and is implemented through Negrut, Costache, Maftei et al, 2010; Saparniene, collaboration, partnership between the government 2010; Domarkas, 2005, 2011), concrete practical and society, private sector and non-governmental aspects of implementation of Good governance are organisations. In 2005 in Warsaw during the Third presented (referring to an example of a particular state) Summit Meeting of the Heads and Government (Farrington, 2009; Kargbo, 2009). The most general Representatives of European Council Member States aspects of the conception of Good governance are it was emphasised that “effective democracy and good presented in other official sources: in United Nations governance are the most essential things that would Development Programme, (UNDP), 1997; on the help to avoid conflicts, to stimulate stability, improve websites of the World Bank, 2004; International economic and social progress while creating strong Monetary Fund, 2005; Canadian International
98 Development Agency, CIDA, 1996. Despite a great The following methods have been applied interest in explanations of conceptions of good in the research: analysis of scientific literature and governance, due to their extent and versatility, in sources, half-structured interview with the experts scientists’ publications as well as in other sources applying the principles of deep interview as well as there is a lack of analysis of Good governance content analysis, categorisation. conception and principles’ implementation in local self-government. Variety of Definition of Good Governance The principles of Good Governance at the level Despite a great interest in explanation of of local self-government are presented in The Strategy definitions of good governance, due to their breadth for Innovation and Good Governance at Local Level and versatility theoretical analysis remains one of the (2008), which was approved by the Council of problem issues. The phenomenon of good governance is usually investigated from the perspectives of Europe Committee of Ministers. The principles of different countries and experience context. Good Governance undoubtedly may be implemented The idea of Good Governance appeared at at the world, European, regional and local levels, but the end of the 20th century in international financial the scientific literature emphasises the importance organisations (Doornbos, 2004, p. 373), such as the of Good Governance in the institutions of self- World Bank, the International Monetary Fund, the government where citizens, business representatives United Nations. This idea appeared like a positive and other groups of interest expect that services extrapolation out of negative experience that the provided by local self-government institutions organisations obtained from “developing countries” will be effective. In addition, Good Governance observing that the financial help did not give them in self-government institutions is important since any positive result. There is no single definition of the municipality is the main mechanism linking Good Governance, but usually “good” is related society’s needs and state policy, consequently, the to such principles as transparency, efficiency, results of implemented programmes as well as the participation, responsibility, rule of law, democracy, perspectives of city’s development depend upon justice (Drechsler, 2004, p. 388, 389). what principles the municipality’s Board will follow According to United Nations Development in their activities and how qualitatively and rationally Programme (1997), generally governance may be municipality’s administration will work. Therefore, understood as execution of economic, political and self-government institutions must constantly improve administrational authorisations in order to manage their activities and endeavour that provided services country’s affairs at various levels. It involves would be not only effective but also they should mechanisms, processes and institutions through which be provided following the principles of fairness, citizens or their groups clearly express their interests, impartiality, equality, openness, etc., and the problem implement their rights, execute commitments. of the research might be defined by the following Whereas Good Governance implemented with questions: participation of all the sectors is transparent and 1. How/at what level the principles of Good Gover accountable. In addition, it is effective and fair, it nance are implemented in local self-government? stimulates the compliance with the principle of law 2. How to improve Good Governance by imple supremacy. Good Governance ensures that political, menting Good Governance principles in local social and economic priorities would be widely self-government? supported by general agreement (consensus) in the The object of the research is implementation society and that the voices of the poorest and the most of the principles of Good Governance. vulnerable society’s members would be heard when The aim of the research is to investigate adopting the decisions regarding the distribution of implementation of the principles of Good Governance funds for development. in the municipality of Siauliai city and to prepare a Formulated definitions of Good Governance hypothetic model of implementation of the principles have some similarities but at the same time they are of Good Governance in the municipality defining the very specific and each author (source) emphasises guidelines for governance improvement. different elements of Good Governance definition (see Table 1).
99 Table 1 Definitions of Good Governance Source Definition Good Governance is epitomised by predictable and enlightened policy making (that is, Rhodes (1996) quoting transparent processes); a bureaucracy imbued with a professional ethos; an executive arm World Bank, 1994 of government accountable for its actions; and a strong civil society participating in public affairs and all behaving under the rule of law. Canadian International Governance – it is a way that the government manages social and economical resources. Development Agency, Good Governance – it is implementation of government at various levels which is effective, CIDA, 1996 honest, fair, transparent and accountable. United Nations Good Governance is democratic governance: transparency, pluralism, citizens’ participation International when adopting the laws, representation and accountability: concentration on five spheres: Development Agency, strengthening of legislative procedure, decentralisation and democratic local governance, 2005 anti-corruption, civil and war relationships, improvement of policy implementation. Domarkas, 2005 Good Governance has the following characteristics: greater citizens’ participation, pluralism, subsidiarity, transparency, accountability, impartiality, accessibility, cooperation, and efficiency. Kaufmann, Kraay, May be measured in the following dimensions: right to vote; external accountability; political Mastruzzi, 2005 stability; absence of violence, crimes, and terrorism; management efficiency; rules of law; corruption control International Monetary Good Governance ensures rules of law, improves effectiveness and accountability of public Fund, 2005 sector as well as performs fight against corruption. Good Governance is such where information is exchanged inside the organisation or among the organisations, cooperation is carried out while coordinating and making decisions, Barcevicius, 2008 citizens are stimulated to participate in the processes of public governance and governance is considered from general perspective of public interest (not from departmental perspective), new decisions are searched that would stimulate citizens’ confidence in government. Good Governance emphasises need for democracy and such processes as impartial court, Farrington, 2009 transparent activities of public agencies as well as successful citizens’ participation. Negrut, Costache, Maftei Good Governance is described by five main principles: openness, citizens’ participation, et al., 2010 accountability, efficiency and relationship between public sector, private sector and society. Good Governance is governance supported by democratic principles to which justice, Saparniene, 2010 efficiency, accountability and transparency as well as clear interaction of government, society, private sector and non-government organisations are characteristic.
Kargbo (2009, p. 250) defining Good as expanded and diversified the standards which Governance in the context of public sector states that determine the main features that compose the these are the processes where power, government definition of Good Governance. However, the and influence are managed in order to determine and “formula” of Good Governance suitable for all was achieve the aims of public politics in economic, social not found. Actually the idea of “administrational and other spheres. It is described in the following culture” often reminds and emphasises how difficult aspects: reasoned, open, clear policy formation it is to achieve reforms in this particular sphere. referring to professional ethos, acting for public Only successful process of reform (good experience) interests surely following the laws, abundant citizens’ may be individually adjusted to each individual participation in public affairs. Good Governance administration although universal principles already depends upon the people (especially those who are exist (Ladi, 2008, p. 86). “controllable”) and require that the citizens would be Generalising we may state that quite many actively interested and involved in management of discussions among the scientists are caused by the public matters, would know their rights and would search of the definitions of governance and Good require to follow them. Governance. Some state that it is almost impossible The first and the most important thing is that to clearly distinguish and define these concepts, Good Governance – is responsible work of the others consider that there is no universal Good authorities. The conception of Good Governance Governance conception suitable for all. There are was measured, investigated and defined by various scientists who think that it is possible to distinguish factors, all over the world international organisations certain guidelines, features that should compose the and scientists developed the set of theories as well conception of Good Governance but majority of the
100 authors as well as international organisations state that vision – long-term imagination of leaders and society Good Governance is described by certain principles what good governance and reliable development that prove if implemented governance (in a country should be. Well-known historical, social and cultural or institution) is good. circumstances that support this image. Some researchers mentioned 9 UNDP criteria group in Principles of Good Governance in Local Self- 5 principles of Good governance: legitimacy and government suffrage, possession of direction, activities for results, Good governance is a multiple concept defined accountability and impartiality (Pivoras, Visockytė, through principles, rules and word practice. Very 2011, p. 32). often we doubt: if the Principles of Good Governance Principles of Good governance and their are legal principles or policy principles? According definitions are presented in the Strategy of Innovations to Addink, Anthony, Buyse and Flinterman (2010), and Good Governance at Local Level (self- the answer is that the Principles of Good Governance government) (2008, p. 3–5). As stated in the above are both. There is difference because of the difference mentioned Strategy, it is possible to create synergy in legal effect, but the policy effect is also relevant. among all interested parts (it does not matter if it is According to the authors, “We speak about Principles local, regional, national or European levels) working of Good Governance for the following reasons: a. it together and using general instruments, trying to clarifies that these are fundamental notions, b. these increase the quality of local governance referring to notions have a legal character, c. clear links with other general vision which in strategy is defined by twelve principles of law exist, d. principles are more flexible principles of Good democratic governance. The than regulations and e. in literature, case law, and strategy tries to stimulate coordinated actions among legislation the words Principles of Good Governance national and local interested parts so that all European are accepted” (p. 19). citizens would benefit from Good democratic In the United Nation Development Programme governance in local self-government through in 1997, 9 criteria of Good governance were presented constantly improved quality of services provided by that might be called the predecessors of present public institutions, through commitments to people formulated principles of Good governance. These and executed policy that would satisfy society’s criteria involve: 1. Participation – all citizens must expectations. have a voice in decision making directly or through the In order to implement the determined aim, three representatives. Abilities of constructive participation main aspirations are distinguished in the Strategy: and their development are very important. 2. Primacy 1. Citizens are placed at the heart of democratic of right – legal regulation must be fair and impartial, institutions and processes; based on human rights. 3. Transparency – is based 2. Local authorities constantly improve their on free dissemination of information. Sufficient governance in accordance with the twelve information must be presented so it would be principles illustrated in table 2; possible to observe and understand institutions’ 3. State’s or regional authorities (depending upon activities. 4. Sensitive answer to clients’ requests – state’s constitutional order) create and support the institutions must try to help all interested parties. institutional preconditions for the improvement 5. Orientation to consensus – good governance refers of governance at local level, referring to their to striving for consensus and coordination of various existing commitments that correspond with interests striving for the best policy or procedures. European standards and European Charter of 6. Impartiality – conditions to improve or maintain Local Self-Government. own welfare are created for each citizen. 7. Efficiency It is important to mention that the principles and effectiveness – the results satisfying needs are presented in the table are interrelated, so it is pursued using available resources. 8. Accountability – impossible to distinguish them from one another persons making decisions in the government, private since they play an important role in democratic and non-governmental organisations are accountable governance, especially when trying to implement to the society and interested parties. 9. Strategic Good governance in self-government.
101 Table 2
Principles of good Conception governance Fair conduct of elections, Citizens are provided real opportunities to participate in state’s management, representation and to express their opinion regarding the issues of state management. participation Responsiveness Objectives, rules, structures and procedures are adapted to needs and expectations of citizens, local authorities constantly try to react to society’s needs. Efficiency and Objectives are implemented by the best use of the available resources; the results meet the effectiveness agreed objectives. Openness and transparency Society’s access to public information is ensured, forming the perception how autonomy issues are managed; decisions are adopted and enforced in accordance with the rules and regulations. Rule of law It is ensured that local authorities abide by the law and judicial decisions; rules and regulations are adopted in accordance with procedures provided for by the law and are enforced impartially Ethical conduct Public welfare is placed higher than individual interests Competence and capacity It is ensured that representatives of local authorities, public officials are capable to perform their duties professionally, constantly improve their competences and produce better results. Innovation and openness to New, modern and effective solutions of problems are sought, openness to changes is changes asserted, there is readiness to learn from the good experience. Sustainability and long- Sustainability of the community, needs and interests of future generations are constantly term orientation taken into account Sound financial Local authorities ensure proper use of public resources, effective financial management is management implemented. Human rights, cultural Within the local authority’s sphere of influence, human rights are respected and protected, diversity and social discrimination of any grounds is combated; cultural diversity is considered as an asset, cohesion social cohesion among the citizens of all layers is always promoted. Accountability It is ensured that local authority is responsible for adopted decisions, is capable to listen to citizens’ opinion and expectations.
In order to understand what aspirations are and the citizens have an opportunity to express them. stimulated by the principles of Good Governance Citizens’ participation may be understood as: a right of it is necessary to describe them in a more detailed every citizen to participate in decision making related manner. to his life, informing of local people about what is Fair conduct of elections, representations and happening, development of participation culture, citizens’ participation. This principle requires that opportunity for citizens to control what is going on in elections in the municipality would be conducted their surroundings, opportunity for socially marginal freely and honestly following international standards groups express their opinion as well as to look for the and national legal acts, avoiding cheating. All men ways how to reduce this separation (Marcinkevičiute, and women have decision making right either Petrauskiene, 2008, p. 102). directly or through legally selected representatives. In a broad sense society’s participation may be Such wide participation refers to freedom of speech, defined as a process during which citizens not officially meetings and associations’ formation (The Strategy elected or not selected to make decisions together for Innovation and Good Governance at Local level, with official people participate in agenda formation 2008, p. 3). and/or making decisions related to important issues Citizens’ participation is a necessary feature in or public policy which has an impact upon their democratic society. Besides, scientists investigating interests. In addition, citizens’ participation is defined conception of democracy state that it is necessary as communication of interested citizens’ community to pursue for other forms of civil participation and institution responsible for decisions before involving citizens into management of public making the decision (Stasiukynas, 2010, p. 105). administration institutions. Citizens’ participation From democratic citizenship point, individual helps the government to better satisfy citizens’ needs participates in self-government more actively. 102 Zilinskas (2010, p. 74) is quoting K. Hansen (2001) usage of resources becomes the priority. The authors who states that “the members of local municipality are quoting H. Simon (2003) who stated that “the must care about all public municipality’s matters principal of reasonable behaviour is effectiveness guaranteeing that people will have a possibility to criteria. To be effective – to choose the shortest express their opinion and interests and no one will be way and the cheapest means to achieve the aim. separated from the process of decentralised decision Effective decision – is implemented on time and making”. It is acknowledged that the most suitable impartially, reflecting public interests, rationality, level of implementation of participation ideas – legitimacy, effective distribution of resources and the level of municipalities where people are easily minimum input, as well as ensuring publicity and reached and know best problem issues. openness of decision making, achieving the aim, i.e. Reacting to people’s needs. The implemen solving the problem or dilemma”. So the concept of tation of this principle requires that provided public effectiveness expresses the evaluation of alternative services, responses to people’s requests as well as means used to achieve a certain aim. At present it is investigation of complaints would reasonably take usually considered as relationship between input and certain period of time (The Strategy for Innovation output, efforts and results, expenses and incomes, and Good Governance at the Local Level, 2008, experienced expenditure and received profit. p. 3). According to Zilinskas (2010, p. 75), reacting is Openness and transparency. This principle related to sensitivity. All institutions must sensitively is very closely related to another principle of Good react to people’s needs and their requirements. Governance – accountability. It is universally ack Palidauskaite (2010, p. 73) is citing B. Barter nowledged that transparency presupposes informa (1983), who states that there are three types of so tion dissemination and communication, openness ciety’s expectations: 1) expectations of normal social and publicity (as much as it does not violate other life when trying to maintain stability, order and values protected by the law), accountability to a permanency would be ensured; 2) expectations that certain community and responsibility of officers for the role will be performed technically competently the decisions they have made; it is also important that (for instance, an employee will correctly allocate the decisions must be reasonable, clear and it would allowance); 3) expectations that others will perform be possible to motivate them if needed; other people their commitments. People expect that state employees must have an opportunity to contest these decisions when performing their duties will be careful and in compliance with the determined order. competent, will avoid private evaluations: will put Transparency is related to participatory democ aside personal problems, will overcome personal racy, information freedom, ability for citizens and attitudes in the relationships with people. Usually other persons to criticise the activities of authorities. higher (double) standards are raised for the politicians Transparency is a necessary presumption to avoid and public sector employees. Politics, officers, civil corruption, protectionism, discrimination of some servants are expected to keep to higher ethical norms people and privileges for others, to prevent abuse and standards then the ordinary people. of power. Transparency must cover the following Efficiency and effectiveness. The principle features: accessibility, particularity, suitability, requires the results to meet in advance formulated and quality and reliability. Transparency is opposite to foreseen aims and the resources to reach them would privacy and confidentiality, it is related to activities’ be used in the best possible way. In the institutions clarity, comprehensiveness, and opportunities to get the governance system must let evaluate and improve explanations (Zilinskas, 2010, p. 74). efficiency and effectiveness of services. Activities’ Some authors state that namely e-government audit must be constantly carried out at certain time stimulates the implementation of the principles of intervals, in order to evaluate and improve execution openness, transparency, effectiveness. E-government of activities (The Strategy for Innovation and Good is usually understood as a continuation of state’s Governance at the Local Level, 2008, p. 3). government in electronic space, expressed by the Buskeviciute and Raipa (2011, p. 18) state implementation of state’s functions using information that, the concepts of effectiveness and rationality technologies. E-government is one of the ways to are very similar, however, we should emphasise that improve the quality of communication of society and effectiveness is more related to activities’ results state’s authorities, to modernise state’s management, and rationality – with the means used to achieve successfully implement state’s reform adapting to these results. So effectiveness in public institutions the requirements of knowledge society (Kiskis, is understood as effective public policy, effective Kraujelyte, 2005, p. 2). According to Obrazcovas and decisions, rational usage of resources, positive results Savas (2007, p. 193), in order to use technological of organisation’s activities and strong organisational progress, i.e. computers and internet, majority of culture. Therefore, more effective and more rational governance processes and procedures that have
103 not changed for decades at the moment are being policy. Adopted decisions must try to internalise all reformed. Modern integrated systems are created in the expenses and do not transfer the problems as well the way that state’s government of different levels as do not create tension for future generations (does could better serve their citizens and for lower price. not matter if it is environmental, structural, financial, Ethic behaviour. This principle requires that economic or social issues). effective means would be created to prevent and fight The conception of cohesive development – with various forms of corruption. It is emphasised it is an attitude that allows continuously improve that in order to avoid interest conflicts, a person who present quality of life not using much resources and the investigated decision is related to must stay aside leaving for future generations not reduced or even while the decision is being made (The Strategy for grown reserves of natural resources and other values Innovation and Good Governance at Local level , (Ciegis, 2003). The issue of cohesive development 2008, p. 4). According to D. Saparniene (2010, p. became an inseparable part of the documents of 126), representatives of the government must follow strategic planning at national, regional and local levels ethic standards while executing their activities. during the recent two decades. Not only the European Competence and abilities. At present period Union but also other separate member states try to effective development of human resources of public implement the aspects of cohesive development in administration acquires more importance. This is practice (Pelucha, Slavik, Louda et al, 2011, p. 4). related to the fact that in many cases while solving Reliable finance management.This principle public administration tasks multiple specialists’ must ensure that expenses would not exceed the price competences are necessary that might be gained at of provided services but also would not reduce the the workplace by learning and improvement forms demand too much especially providing important (Domarkas, Jukneviciene, 2007, p. 25). Therefore, public services. It is pursued to manage finances persons responsible for human resources in public rationally, including the evaluation of formation of administration organisations as well as the employees credit contracts and their usage, various resources, of these organisations must responsibly react to usage of budget incomes and exceptional incomes. environment’s changes, economic situation, need for It is emphasised that permanent budget plans would knowledge and constantly renewed technologies. be formed consulting with the society and financial Development of human resources competences reports would be presented together with reasoned and abilities is also emphasised by The Strategy explanations (The Strategy for Innovation and Good for Innovation and Good Governance at the Local Governance at Local level, 2008, p. 4) Level (2008, p. 4), where it is stated that professional Accountability. In The Strategy for Innovation abilities of persons who are executing governance and Good Governance at the Local Level (2008, p. 5) must be constantly improved and strengthened in it is indicated that trying to implement the principle of order to improve the results and effects. The strategy accountability it is important to announce discussed also indicates that officers must be stimulated to or adopted decisions, be able to explain them and improve their executed activities. The importance if they are not approved to create opportunities of practical methods and procedures is emphasised to appeal to certain institutions. In addition, the as well as their usage in order to change possessed implementation of the principle requires effective skills into abilities so that the better activities’ results means against incompetent governance and actions would be achieved. of local authorities that violate human rights. Innovations and openness to changes. We can make a conclusion that the principles This principle requires pursuing for new, modern of Good Governance are interrelated a lot and it is and effective ways of problem solution, to show impossible to separate them since the implementation preparation to mange and experiment while of one principle or its insufficient implementation implementing new programmes and wish to learn influences other principles. from the good experience of others (other countries, institutions, etc.). It is important to emphasise that Research Methodology favourable atmosphere for changes would be created In order to investigate the implementation of in institution in order to achieve better activities’ the principles of Good Governance in municipality results (The Strategy for Innovation and Good of Siauliai city, the analysis of scientific publications Governance at the Local Level , 2008, p. 4). of Lithuanian and foreign authors, international Sustainability (consistency, balance) and organisations’ programmes, legal acts of the Republic long-term orientation. As stated in The Strategy of Lithuania, strategies, statistical data has been for Innovation and Good Governance at Local the carried out, Strategic activities plan of Siauliai city Level (2008, p. 4) this principle requires to refer to has been analysed, as well as activities’ regulation the needs of future generations while creating present of the Board, activities’ programme 2011–2015 of
104 the ruling coalition of the Board of municipality analysis of implementation opportunities of GG of Siauliai city, regulations of administration and principles. Data obtained during the interview was various departments, descriptions of the positions, processed using the method of content analysis, the report of the Mayor of the municipality of Siauliai opinions were categorised i.e. the answers were city, activities’ report of the administration director, organised referring to their similarities, differences, the qualitative research has been carried out in the features, distinguishing certain categories. municipality of Siauliai city. In order to get more Research scope. With the research we tried information, necessary to find out the subjective to analyse implementation of GG principles in the experts’ attitude and opinion, the most effective municipality in the plane of self-evaluation, therefore, qualitative method of data collection has been used for experts’ survey we have chosen the employees of – half-structured interview with the experts using the the Board and administration of the municipality of principles of deep interview. Siauliai city. 7 experts participated in the research Research instrument – the interview minutes representing the Board and administration of the have been made referring to scientific literature that municipality of Siauliai city. 3 men and 4 women. analyses the aspects of conception and structure of Following ethics of the research we considered Good Governance (GG) principles and other legal experts’ request to refer to the principle of anonymity and strategic documents that correspond to research in the article. The experts will be names as: “Expert object. The experts have been presented 11 questions 1” (E1); “Expert 2” (E2) etc. In order to preserve the (2 closed and 9 open type). The manner of interview anonymity of the research, the particular department questions and results’ analysis were focused on of the municipality that the expert represents will not three research problem spheres: evaluation of GG be indicated as well. In Table 3 we presented general principles; analysis of priorities of GG principles; data about the experts.
Table 3 General data about the experts Work Work Ex experience in experience in Position Education pert present position public sector (years) (years) E1 Member of the Board 1 6 Higher university degree, 2 Master’s degrees E2 Member of the Board 1 9 Higher university degree, Master’s degree E3 Member of the Board 1 5 Higher university degree, Master’s degree E4 Member of the Board 5 25 Higher university degree E5 Public servant/administrator 6 6 Higher university degree E6 Public servant/administrator 1 9 Higher university degree, 2 Master’s degrees E7 Public servant/administrator 9 20 Higher university degree
Implementation of principles of Good Siauliai city. Evaluation was performed in a ten-grade Governance in the municipality of Siauliai system where 10 – is the highest evaluation and 1 – city; expression of experts’ opinion the lowest. In the table 4 we present the averages (M) First of all, in the research we tried to carry out of evaluation of implementation of GG principles in the evaluation of implementation of GG principles the municipality of Siauliai city of all 7 experts as in the municipality i.e. how/at what level 12 GG well as minimum and maximum evaluation values. principles are implemented in the municipality of
Table 4 Implementation of principles of Good Governance in the municipality of Siauliai city: average of evaluation, minimum and maximum values, (N=7) Principles of Good Governance M Min Max 1 Organisation of honest elections, representation and citizens’ participation 8 7 9 2 Reacting to society’s needs 8 6 9 3 Effectiveness and efficiency 6 3 7 4 Openness and transparency 7 4 8 5 Supremacy of the laws 8 6 9 6 Ethic behaviour 7 6 9 7 Competences and abilities 8 5 8
105 Continued Table 4 8 Innovations, openness to changes 7 3 9 9 Stability (coherence, balance) and long-term orientations 7 3 9 10 Reliable finance management 6 5 8 11 Human rights, cultural variety and social cohesion 7 4 9 12 Accountabilities 6 5 8
Experts’ opinion about the implementation of this plan.” GG principles in the municipalities was undisputed. • Lack of efficiency of administration work. The research has showed that the regulations of Lack of implementation of the principle of organisation of honest elections, representation efficiency and effectiveness is related to the and citizens’ participation, and reacting to society’s problems of effectiveness of administration work. needs are implemented well, development of At this point the opinion of the members of the competences and abilities is pursued, supremacy of Board and administration employees split. The the laws is followed. The following principles were members of the Board evaluated the quality of evaluated averagely: implementation of openness administration work averagely and stated that and transparency, ethic behaviour, development of “administration employees are unable to present innovations and openness to changes, long-term reasonable arguments regarding the discussed orientation and human rights, cultural and social questions, in addition, administration is late to cohesion. More attention should be paid to the issues present decisions projects adopted by the Board.” of security of effectiveness and efficiency, evaluation Whereas E7 states that “all problems often might of implementation of accountability as well as be solved positively but legal acts require to behave reliable finance management. Why do the latter differently therefore, human needs sometimes principles have limited implementation? Referring to are not satisfied since following the laws citizen the analysis of experts’ opinion we may distinguish remains unsatisfied with administration work.” the following groups of reasons that describe the • Political disagreements, intrigues, inability to problems of principle implementation: keep pre-election promises. Even four experts out of seven related lack of implementation of the The principle of effectiveness and efficien principle of efficiency and effectiveness to political cy. disagreements, intrigues, pre-election promises • Lack of strategic thinking, planning and and inability to keep them. E2 considers that the implementation. Since strategic planning is principle of effectiveness and efficiency may be acquiring greater importance while planning related to other principles of Good governance activities in the municipalities, in revisions of and state that “this principle is closely related majority of laws and other legal acts the necessity to openness and transparency because when to coordinate adopted decisions with strategic some questions are discussed in a small “elite” plans prepared by the institutions is emphasised, group, it is difficult to evaluate if the adopted it becomes important to distinguish priority decisions always ensure formulated aims if it was spheres of strategic planning, criteria according to really necessary to allocate the resources for the which their implementation, reality of formulated solution of a particular problem.” E3 emphasises aims, programmes and tasks and conformity with absence of opposition and certain manifestations modern conditions will be measured. 4 experts of intrigues and states that “absence of opposition out of 7 relate the problems of implementation in the Board causes doubts if the adopted of the principle of effectiveness and efficiency decisions are the best of all possible ones. Since to the lack of strategic thinking, planning and there are six main parties in the Board, if there is implementation. According to E3, “there is a an opportunity they are trying to “blemish” each lack of strategic thinking for implementation other but at the same time they are trying to be of this principle. Although strategic plans are good and honest in front of their colleagues and created, but some their parts are fictitious, for electorates.” instance, culture sphere”. E4 emphasises lack The principle of openness and transparency. of systemic thinking and states that “usually one Analysis of experts’ opinions let distinguishing two narrow part is extracted from the strategy and it main but at the same time very different reasons is tried to implement it without referring to the obstructing to implement this principle perfectly in real situation, without discussing if this part of the municipality of Siauliai city. strategy is the most important. Actually, strategic • Insufficient dispersion of information for the plan of Siauliai is good, however, there is a lack citizens. Three experts out of seven think that of created and indicated means how to implement implementation of the principle of openness and
106 transparency is obstructed by lack of clear, concrete innovations and openness to changes is implemented information as well as insufficient presentation of averagely because in the municipality traditional information (publicity). According to E1, “the and old methods are still being preserved.” E6 also principle is implemented averagely, because emphasises lack of innovations and argues that citizens are presented not all public information, “conservatism of soviet times is still alive in the some reports are unwillingly presented even to municipality.” the members of the Board (e.g. information about The principle of stability (coherence, balan the loans from the banks) let alone the ordinary ce) and long-term orientation. Referring to the people and their opportunities to get relevant analysis of experts’ opinion, we may distinguish information.” the following main groups which prevent proper • Communication problems. Two experts have implementation of mentioned principle in the indicated namely the problems of communication municipality of Siauliai city. among society, municipality’s institutions and • The structure of the Board, term of office.Three media which are related to too big willingness to experts out of seven pointed out the main reason announce unverified and inaccurate information. which impedes implementation of the mentioned The member of the Board (E4) while evaluating principle – structure of the Board, term of office, this principle and its implementation emphasised which lasts for 4 years and new authorities may two main aspects: publicity of verified information raise absolutely different aims than the previous and media’s influence to the implementation of ones therefore, it is difficult to plan strategically, the principle of openness and transparency. She to follow the principle of long-term orientation. states that “everything cannot be published until • Lack of strategic thinking. Three experts state everything is agreed and arranged because in that the level of implementation of the mentioned opposite case it is possible to make more damage principle in the municipality is average since than benefit. It is necessary to remember that there is a lack of strategic thinking, distinguishing media does “its own” evaluations and presents of vision, and satisfaction of real future needs. information to the society which might be different The principle of reliable finance mana from the real information or presents only negative gement. Referring to experts’ opinion we may state information what is negatively influencing people that this principle in the municipality of Siauliai city is and provoking them.” implemented quite well evaluating it by the performed The principle of ethic behaviour. Referring procedures and functions however, relating the to the analysis of participants’ opinion, we have implementation of this principle to strategic thinking, noticed that three experts out of seven distinguished planning, distinguishing of priorities the performed lack of respect, four experts indicated personal or analysis of experts’ opinion allowed to analyse two political benefits which prevent implementation of main reasons of the problems of implementation of this principle. We have made a conclusion that first this principle: of all it is difficult to implement the principle of ethic • Lack of priorities. This group of problems behaviour because moral values and the opinion of involves not only the lack of distinguishing of the members of the Board differ regarding younger priority spheres while dividing financial resources members or the ones elected for the first time who but also inability to distinguish priorities while are considered not so important or useful, and their trying to use the finances effectively. According abilities are not trusted. The second reason why it to E3, “principle is being implemented averagely, is difficult to implement this principle – pursuit of because there is a lack of strategy where to put personal benefit or representation of the opinion money. There are no priorities how to use them of political party while adopting the decisions and in the most favourable way. Human factor arises forgetting society’s welfare. This might cause the in this situation, there is lack of time to properly problems of coordination of public and private discuss positive and negative aspects.” interests, bribery, taking advantage of the official • position. Inappropriate decision-making. This group The principle of innovations and openness of problems covers not only inappropriate to changes. The analysis let us distinguish the decisions adopted by municipality’s board which main reasons that prevent the implementation of has important influence for further activities of this principle in the municipality. According to municipality, but also fear to make “unpopular” the experts, the manifestations of conservatism decisions. As Expert 4 states, “if proper finance and bureaucracy are still alive in the municipality, management would be ensured, municipality that do not stimulate initiatives or changes or even would not have unbalanced budget, such debt. changes are being resisted. Four experts out of seven Undoubtedly, it is difficult to foresee crisis, namely emphasised the aspects of conservatism assignments for municipality have been reduced, and stagnation. According to E1, “principle of but inability to “tighten the belts” in time and 107 incapacity to follow not populist manner does not local self-government were distinguished. help to use finances properly. The problems of the principle of efficiency and The principle of accountability. According effectiveness are related to deficiency of strategic to experts’ opinion, it is possible to distinguish planning and effectiveness of implementation, lack of main reasons which prevent proper implementation result-oriented activities of administration employees of principle of accountability in the municipality and political quarrels, intrigues, inability to keep pre- of Siauliai city: compulsory formality that does elective promises. not justify the quality of performed works; lack of The problems of the principle of openness and people’s interest; lack of the dialog between members transparency are related to insufficient dissemination of the Board, the Mayor and communication with of information in the society and communication society. problems. The principle of ethic behaviour is deficiency of respect to each other, pursuit for personal Implementation of Principles of Good or political benefits. The problems of implementation Governance in Local Self-government: a of the principle of innovations and openness to Hypothetic Model changes are related to conservatism and resistance to Referring to literature and document analysis, changes; the problems of the principle of stability and the results of particular qualitative research the long-term orientation is the structure of the Board, authors of the article present a hypothetical model term of office, lack of strategic thinking as well as of GG implementation in local self-government (see long-term orientation. Reliable finance management Fig. 1). is lack of priorities (distinguishing priority financing The figure shows that in order to implement spheres as well as distinguishing of priorities in order principles of Good Governance in local self- to use the funds more effectively) also inappropriate government it is important to ensure the interaction decision making; the problems of the principle of central authorities with local self-government of accountability and reliability are related to the institutions and citizens. Implementation of GG formality of presented reports (which does not principles is inseparable from the decisions of validate the quality of performed works, does not institutions of central authorities, legal basis and indicate the persons responsible for making certain other adopted strategic documents. Institutions decisions or implementation/not implementation of of central authorities should be responsible for activities), lack of dialog between the members of creation of conception and methods of GG in local the Board and representatives of management and self-government, preparation of evaluation criteria administration of self-government institutions. of installation model and implementation of GG When implementing the principles of Good principles in local self-government. Mentioned Governance in local self-government it is important actions of central authorities would contribute to and to evaluate resistance to changes of employees of would promote changes of local self-government local self-government institutions and to reduce it institutions, innovations and initiatives, fostering reasonably, argumentatively, presenting thoroughly of GG principles and values as well as greater the necessity and benefits of implementation of interaction with society, business and science and the principles. Attention also must be paid to the this would correspond to progressive development strengthening of confidence in authorities which is of socioeconomic process of cities and regions. It is related to society’s attitude that implementation of obvious that active implementation of GG principles changes in the institutions of local self-government would motivate people to participate in decision (in this case implementation of principles of GG) making, mature civil society would be created more is only waste of funds also for ensuring the dialog actively. and interaction of “authorities-society-business- Referring to research results seven GG education” which is related to cooperation of these principles were identified which require more groups, ability to listen and to look for the best active implementation in local self-government: solutions as well as to share good experience. principles of efficiency and effectiveness; activeness Implementation of principles of Good Gover and transparency; ethic behaviour; innovations nance stimulates development of regions, cities, and openness to changes; stability and long-term communities where governance based on clear orientation; reliable finance management; accountabi strategic vision is consecutive and innovative, the lity and responsibility. The main groups of the problems dimensions of responsibility and accountability as that prevent to implement the mentioned principles in well as civil manifestations are obvious.
108 13 y and onsibilit p res Accountability Compulsory formali- Not assured respon- Lack of dialog x verify ty not does that the quality of performed works x sibility and accounta- bility societyto x between management and administration of the the of members Board, self-govern- ment institutions initiatives ement g Citizens’ needs and Citizens’ Education of mature civil civil mature of Education society Stimulation of citizens’ of Stimulation involvement participation and making decision into finance Reliable x x Shortage of priorities Ineffective decision making mana x x “AUTHORITIES-SOCIETY-BUSINESS-SCIENCE” ENSURING OF THE DIALOG AND INTERACTION orientation Structure of the the of Structure Board, duration of the term of office Lack of strategic thinking, long- term orientation Sustainability and long-term x x rnance in local self-government: a hypothetic model MMUNITIES IN A STRATEGIC MANNER es institutions institutions g chan P E R S P E C T I V E Innovations Shortage of innovations and initiatives Conservatism, resistance to changes PRECONDITIONS and openness to initiatives initiatives x x Stimulation of changes, innovations and and changes, innovations of Stimulation values and principles GG of Fostering society, with of interaction Strengthening and science business OBSTRUCTIONS Initiatives of self-governmentlocal x x x MORE ATTENTION TO STRENGTHENING OF CONFIDENCE IN AUTHORITIES Ethical Shortage of Pursuit for behaviour x respect each to other x personal or political benefits Fig. 1 Implementation of the principleof Good Gove THE PRINCIPLES OF GOOD GOVERNANCE IN LOCAL SELF‑GOVERNMENT Insufficiency of Insufficiency of information dissemination in society Communication problems transparency Openness and x x Implementation of the principle Good Governance in local self-government: a hypothetic model institutions institutions CHANGES DEVELOPMENT OF REGIONS, CITIES, CO F i g. 1 ises Role of central government Role of central government m ro p Legal basis basis Legal GG conception and methods in government local self- Model of of implementation GG principles in local self-government Evaluation criteria of implementation of GG self-government local in principles x x x x REDUCTION RESISTANCEOF TO effectiveness effectiveness Efficiency and Lack Lack of strategic Lack of Political disagree- re-election x planning and implementation effectiveness x administration workers’ result- oriented activities x ments, intrigues, outinabilityto carry p
109 Conclusions and absence of a dialogue among the members of the To define Good Governance unambiguously is Board, the Mayor and communication with society. quite difficult. Although the definitions presented by It has been determined that all principles of Good scientists and international organisations have certain Governance distinguished in the context of the research similarities, but at the same time they are very specific are relevant to the municipality of Siauliai city. As not and every author emphasises different elements of even single principle has been evaluated perfectly, it is the Good Governance definition. obvious that self-government institutions have much Principles of Good Governance in local self-go space for effective implementation of principles. vernment (honest conduct of elections, representation A prepared hypothetical model of implementation and citizens’ participation, reacting to peoples’ of principles of Good Governance in local self- needs, efficiency and effectiveness, openness and government emphasises integration of three main transparency, supremacy of laws, ethic behaviour, groups: central power, institutions of local self- competence and abilities, innovations and openness government and people as well as their needs, in order to changes, stability (coherence and balance), long- to install insufficiently implemented principles of term orientation, reliable finance management, Good Governance in local self-government. Having human rights, cultural variety and social cohesions, eliminated the obstacles, the following perspective accountability) are closely interrelated, they play an is indicated: implementation of principles of Good important role in democratic governance therefore it Governance would stimulate development of regions, is difficult to separate them: implementation (or not cities and communities because real strategic plans implementation) of some principles has influence on would be created and it would be pursued to implement expression of other principles. them effectively, distinguishing priority spheres, According to participants’ opinion, even though managing and using funds reliably and responsibly, eight principles of Good Governance (efficiency fighting with various forms of corruption. and effectivenes , openness and transparency, ethic The research shows that the equivalents of the behaviour, innovations and openness to changes, principles of Good Governance are established stability and long-term orientation, reliable finance in legal acts of the Republic of Lithuania, that the management, human rights, cultural variety and representatives of self-government institutions social cohesions, accountability) out of twelve are must follow in their activities, but usually their implemented averagely in the municipality of Siauliai implementation encounters the lack of clear strategic city, therefore, we may consider that municipality vision, dominating manifestations of conservatism pays not enough attention to ensure quality of adopted that do not stimulate initiatives and changes in local decisions and performed activities. self-government. 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Šaparnienė, D., Valukonytė, I.
Gero valdymo principų įgyvendinimas vietos savivaldoje: Šiaulių miesto atvejis
Santrauka
Straipsnyje teoriniu ir praktiniu aspektais nagrinėja gero valdymo koncepcija nagrinėjama įvairiais pjūviais: mi gero valdymo principai ir jų įgyvendinimas vietos viešojo administravimo modernizavimo aspektu (Grindle, savivaldos lygmeniu. Gero valdymo sampratos daugialy 2007; Ladi, 2008; Raipa, 2010), analizuojama gero valdy piškumas, gero valdymo principų vietos savivaldoje speci mo principų samprata ir raiška (Domarkas, 2005; Negrut, fiškumas atskleidžiami užsienio ir Lietuvos mokslininkų Costache, Maftei ir kt., 2010; Šaparnienė, 2010; Žilinskas, įžvalgomis, oficialiais tarptautiniais dokumentais. Šis 2010), pateikiami konkretūs gero valdymo įgyvendinimo kontekstas skatina praktiniu aspektu ištirti gero valdymo praktiniai aspektai (remiantis konkrečios šalies pavyzdžiu) principų įgyvendinimą konkrečioje savivaldos institucijo (Farrington, 2009; Kargbo, 2009). Patys bendriausi gero je – Šiaulių miesto savivaldybėje, parengiant gero valdy valdymo koncepcijos aspektai pateikiami kituose oficia mo principų diegimo vietos savivaldoje hipotetinį modelį. liuose šaltiniuose: Jungtinių Tautų vystymo programoje Pasitelkiant ekspertus iš Šiaulių miesto savivaldybės, (JTVP) (angl. United Nations Development Programme, savęs vertinimo kontekste išanalizuotas gero valdymo prin UNDP), 1997; Pasaulio Banko (angl. World Bank), 2004; cipų savivaldybėje įgyvendinimas, išryškinant problemas Tarptautinio valiutos fondo (angl. International Monetary ir numatant galimas valdymo tobulinimo kryptis. Fund), 2005; Kanados tarptautinės plėtros agentūros (angl. Lietuvos ir užsienio mokslininkų publikacijose Canadian International Development Agency, CIDA),
111 1996 tinklalapiuose. Nepaisant didelio susidomėjimo gero atvirumo ir skaidrumo, etiško elgesio, inovacijų ir atviru valdymo sampratų aiškinimu, dėl jų platumo ir įvairiapu mo pokyčiams, tvarumo ir ilgalaikės orientacijos, patikimo siškumo, nagrinėjamo koncepto analizė išlieka vienu pro finansų valdymo bei atskaitomybės principai savivaldoje bleminių klausimų. įgyvendinami nepakankamai. Ekspertų nuomonių analizė Gero valdymo principai vietos savivaldos lygmeniu leido išskirti priežasčių grupes, kurios apibūdina principų pateikti Inovacijų ir gero valdymo strategijoje (angl. The įgyvendinimo problemas: veiksmingumo ir efektyvumo Strategy for Innovation and Good Governance at Local pricipo įgyvendinimo problemos siejamos su strateginio Level) (2008), kurią patvirtino Europos Tarybos ministrų mąstymo, planavimo ir planų įgyvendinimo ribotumu, ad komitetas. Gero valdymo principai gali būti įgyvendinami ministracijos darbo veiksmingumo problemomis; atvirumo pasaulio, Europos, nacionaliniu lygiu, taip pat regioniniu it ir skaidrumo principo dalinis įgyvendinimas siejamas su vietos lygiu, tačiau mokslinėje literatūroje pabrėžiama ge neišvystyta informacijos perteikimo gyventojams sistema, ro valdymo principų įgyvendinimo savivaldos institucijų efektyvios komunikacijos tarp valdžios, piliečių ir verslo kontekste ribotas ištirtumas. nebuvimu; etiško elgesio – su pagarbos tarp valdžios ir jos Tyrimo tikslas – ištirti gero valdymo principų įgy dalininkų trūkumu, valdžios atstovų asmeninės ar politinės vendinimą Šiaulių miesto savivaldybėje ir parengti gero naudos siekimu; inovacijų ir atvirumo pokyčiams principo valdymo principų diegimo vietos savivaldoje hipotetinį įgyvendinimo problemos siejamos su vis dar vyraujančio modelį, apibrėžiantį valdymo tobulinimo gaires. Tyrime mis valdžioje konservatyvumo apraiškomis, darbuotojų taikyti šie metodai: mokslinės literatūros ir šaltinių ana iniciatyvų trūkumu; tvarumo ir ilgalaikės orientacijos prin lizė, pusiau struktūruotas interviu su ekspertais, taikant cipo įgyvendinamo problemos siejamos su savivaldybių ta giluminio interviu principus ir interviu medžiagos turinio rybų per trumpa kadencijos trukme, strateginio mąstymo analizė (angl. content), kategorizavimas. trūkumu; patikimo finansų valdymo – su prioritetų trūkumu Tyrimas parodė, kad gero valdymo principų atitik priimant sprendimus, neveiksmingų sprendimų priėmimu; menys yra įtvirtinti Lietuvos Respublikos teisės aktuose, atskaitomybės principo įgyvendinimas vis dar suvokiamas kuriais savo veikloje turi vadovautis savivaldos institu kaip formalių ataskaitų pateikimas visuomenei, nevystant cijų atstovai, tačiau neretai jų įgyvendinimas susiduria su su ja diskusijų ir komunikacijos. Remiantis literatūros ir aiškios strateginės vizijos stoka, vyraujančiomis valdymo dokumentų analize, konkretaus kokybinio tyrimo rezulta konservatyvumo apraiškomis, neskatinančiomis iniciatyvų tais, straipsnyje pateikiamas gero valdymo įgyvendinimo ir pokyčių vietos savivaldoje. vietos savivaldoje hipotetinis modelis. Tyrimo kontekste nagrinėti Inovacijų ir gero valdy Reikšminiai žodžiai: geras valdymas, gero valdymo mo vietos lygmeniu strategijoje (2008) apibrėžti principai, principai, vietos savivalda. iš kurių, ekspertų nuomone, veiksmingumo ir efektyvumo, The article has been reviewed. Received in August 2012; accepted in September 2012.
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