AN ANALYSIS OF THE FACTORS AFFECTING THE SUCCESS OF ENVIRONMENTAL POLICY IMPLEMENTATION: A STUDY OF THE TAMBON ADMINISTRATION ORGANIZATION (TAO) Ketsunee Taweekaew A Dissertation Submitted in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy (Development Administration) School of Public Administration National Institute of Development Administration 2013 ABSTRACT Title of Dissertation An Analysis of the Factors Affecting the Success of Environmental Policy Implementation: A Study of the Tambon Administration Organization (TAO) Author Miss KetsuneeTaweekaew Degree Doctor of Philosophy (Development Administration) Year 2013 This study was undertaken to accomplish three objectives: 1) to quantify the level of environmental policy implementation among TAOs, 2) to examine the major factors affecting the success of environmental policy implemented at the TAO level, and 3) to provide recommendations for more effective policy development on environmental issues and on the implementation processes used by the TAOs. This study uses mixed-method research, in which the qualitative data that has been collected is used to corroborate and support the evidence from the quantitative data. This method gives breadth and depth of understanding to the rationale or theory underlying the relationships between the variables. The data was collected by using four-rating scale questionnaires, organizational records, and an in-depth interview. The sampled groups represented TAOs located in industrial zones in nine provinces from the central, northeast and eastern parts of Thailand. In data processing, the quantitative analysis included descriptive statistics, analysis of variance, correlation analysis, factor analysis and multiple regression. In addition, a four-case study was used to investigate the potential factors contributing to the success of environmental policy implementation. The results of this research, identified nine factors that influenced the success of TAO’s environmental policy implementation. The factors are: which comprised of: 1) community acceptance, 2) public awareness, 3) participation, 4) organizational configuration, 5) partnership and networking with the private sector, 6) clients’ needs, 7) feedback and evaluation, 8) communication, and 9) the size of TAO. iv Finally, it is recommended that TAO should be more dependent on other actors in the environment for obtaining resources, and more flexible to external actors (Acs, et al. 1994: 336-340), in term of inter-organizational co-operations and networks from the stakeholders’ participation in codifying policies and using the collaboration of organized groups in the communities to benefit an environmental policy implementation. Further, TAO should grant more importance on the man-power management to recruit an expertise in environment for more efficiency in coping with the problems. Aside from that, TAO should be sufficiently equipped with favorable scope of jurisdictive power for punishment for violations so that they can deliver and make the policy to be more of a success. ACKNOWLEDGEMENTS The author would like to extend thanks and appreciation to all of the committee members, Associate Professor Dr. Chaiya Yimwilai, committee chairperson and Associate Professor Dr. Chamlong Poboon, committee for their thoughtful comments and suggestions. Additionally, I reserve my greatest thanks to my major advisor, Assistant Professor Dr. Kasemsarn Chotchakornpant, for all his guidance, patience, support and encouragement in making this dissertation a successful one. His valuable suggestions and feedback were the key factors in the completion of the study. Apart from that, I would like to convey my gratitude and appreciation once again to Associate Professor Dr. Chamlong Poboon for providing an advice on the research methodology in designing the questionnaire questions. My deep appreciation also goes to all the professors in the Ph.D. program at the School of Public Administration, NIDA for all their support since the beginning of my study. And a special thanks to all Ph.D. Program staff members for their encouragement and support during my study, and during the tough time to complete my dissertation. Thank is also dedicated to Institute of Physical Education for their sponsorship. Ketsunee Taweekaew November 2013 TABLE OF CONTENTS Page ABSTRACT iii ACKNOWLEDGEMENTS v TABLE OF CONTENTS vi LIST OF TABLES viii LIST OF FIGURES x CHAPTER 1 INTRODUCTION 1 1.1 Background of the Study 1 1.2 Objectives of the Study 3 1.3 Significance of the Study 4 1.4 Scope and Limitations 5 1.5 Contributions of the Study 6 1.6 Definition of Terms 6 CHAPTER 2 LITERATURE REVIEW 8 2.1 Historical Background of the TAO 8 2.2 Environmental Issues 14 2.3 Policy Aspects 54 2.4 Research Model or Conceptual Framework 105 CHAPTER 3 METHODOLOGY 110 3.1 Research Design 110 3.2 Research Procedures 120 3.3 Data Analysis 136 CHAPTER 4 RESULTS OF ANALYSIS 139 4.1 Objectives of the Study 139 4.2 Descriptive Data 140 4.3 Results and Data Analysis 142 vii 4.4 Testing the Hypotheses 153 4.5 Summary from the Open-Ended Questionnaire 155 CHAPTER 5 A FOUR-CASE STUDY OF TAMBON ADMINISTRATION 162 ORGANIZATION (TAO) 5.1 Background and Rationale 162 5.2 Objective of the Study 163 5.3 Study Areas 163 5.3.1 Case Study 1: Banlaeng Tambon Administration 163 Organization (BTAO) 5.3.2 Case Study 2: Nongplue Tambon Administration 169 Organization (NTAO) 5.3.3 Case Study 3: Thanu Tambon Administration 179 Organization (TTAO) 5.3.4 Case Study 4: Klongdan Tambon Administration 189 Organization (KTAO) CHAPTER 6 CONCLUSION AND RECOMMENDATIONS 201 6.1 Summary and Conclusion 201 6.2 Discussion and implications of Findings 209 6.3 Recommendations 212 6.4 Direction for Future Research 215 BIBLIOGRAPHY 216 APPENDICES 233 Appendix A Questionnaire 234 Appendix B Interview Questions 255 Appendix C Interviewees’ Information 257 BIOGRAPHY 260 viii LIST OF TABLES Tables Page 1.1 Definitions of Variables 6 2.1 Forms and Characteristics of Local Government 11 2.2 Statistics of Complaints on Pollution Problems, 18 Classified by Provinces 2.3 Measurement of Water Quality Year 2013 25 (October 2012 - December2013) 2.4 Surface Water Classification 26 2.5 Classification of Water Resources for Each Regions 28 2.6 Air Quality Index of Thailand 35 2.7 Waste Volume During 2005-2010 37 2.8 Ambient Noise Standards 41 2.9 Estimation of Pollution from Factories, Classified by 43 Provinces 2.10 Differences between Top-down and Bottom-up 64 Implementation Perspectives 2.11 The Measurement of Output and Outcome of Policy 68 Implementation 3.1 Data Sources and Measurement of Proposed Variables 112 3.2 Questionnaire Index 119 3.3 Samplings Classified by Provinces and Industrial Zones 124 3.4 Number of Samplings, Classified by Location and Size of TAOs 124 3.5 Sample Selection 134 4.1 Size of TAOs 140 4.2 Characteristics of Environmental Policy Implementation 141 4.3 Test of Normal Distribution of Dependent Variable (TSUC) 142 4.4 Summary of the Results 145 ix 4.5 Correlation Matrix 147 4.6 Model Summary on the Success Factors of Environmental Policy 150 Implementation 4.7 Regression Coefficients and Collinearity Check 151 4.8 Summary of the Findings 158 5.1 Name of Villages and Number of Households in BTAO 164 5.2 Budget Allocation on Environmental Projects of 165 BTAO – Fiscal Year 2012 -2 014 5.3 Name of Villages and Number of Households in NTAO 170 5.4 Budget Allocation on Environmental Projects of 173 NTAO-Fiscal Year 2012-2014 5.5 Names of Factories in TTAO 181 5.6 Budget Allocation on Environmental Projects of 183 TTAO – Fiscal Year 2012 - 2014 5.7 Name of Villages and Number of Households in KTAO 190 5.8 Budget Allocation on Environmental Projects of KTAO – 193 Fiscal Year 2012- 2014 5.9 Summary of the Findings from the Four-Case Study 197 6.1 Summary of Research Findings 202 6.2 Summary of Success Factors to Environmental Policy 204 Implementation x LIST OF FIGURES Figures Page 2.1 Government Structure 9 2.2 Organizational Structure of Tambon Administration 14 Organization 2.3 Percentage of Pollution Problem Complaints 17 2.4 Environmental Problems in Thailand 20 2.5 Sea Rise Level Due to Global Warming 22 2.6 Status Quo: Waste Management 38 2.7 Waste Volume Year 2008-2010, Classified by Governing 39 Areas, Pollution Control Department, 2014 2.8 A Model of Human Interaction with the Environment 49 2.9 Criteria for Evaluating the Policies or Measures in the 69 Policy Formulation and Implementation Process 2.10 Dimension of Indicators to the Success or Failure of 72 Policy Implementation 2.11 Relationship of Factors Influencing Successful Policy 108 Implementation 3.1 Sequential Mixed Method Design 111 3.2 Location of Industrial Zones 123 4.1 Normal Q-Q Plot of TSUC 143 4.2 Summary of Success Factors 160 5.1 Organizational Structure of Division of Public Health 171 and Environment of NTAO 5.2 Organizational Structure of Division of Public Health 180 and Environment of TTAO 5.3 Operational Organizational Structure of KTAO 192 CHAPTER 1 INTRODUCTION 1.1 Background of the Study “The environment is dependent on our actions and tomorrow’s environment depends on how we act today.” Nowadays, Thailand has been taking the risk of losing its safe environment, as we have been spoiling the environment and consuming the natural resources too much while ignoring the need to preserve them for the next generation. Environmental problems have become a big issue for all parties involved that are trying to find the best solutions to solve this challenging phenomenon. Natural resources and the environment should be seen as global public goods, that are divided up when they are shared by everyone. This means that everyone should be able to benefit from the atmosphere, climate, and biodiversity. Whilst the entire planet still suffers from the dramatic consequences of global warming, the reduced ozone layer, and the disappearance of species, these worldwide problems require a collective management approach.