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The Relationship Between Thai Local Administrative Organisations' Collaborative Capacities and Outcomes

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The Relationship Between Thai Local Administrative Organisations' Collaborative Capacities and Outcomes THE RELATIONSHIP BETWEEN THAI LOCAL ADMINISTRATIVE ORGANISATIONS’ COLLABORATIVE CAPACITIES AND OUTCOMES: THE CASE OF WASTE MANAGEMENT by SIRINBHATTRA SATHABHORNWONG A thesis submitted to the University of Birmingham for the degree of DOCTOR OF PHILOSOPHY Institute of Local Government Studies School of Government and Society College of Social Sciences University of Birmingham February 2019 University of Birmingham Research Archive e-theses repository This unpublished thesis/dissertation is copyright of the author and/or third parties. The intellectual property rights of the author or third parties in respect of this work are as defined by The Copyright Designs and Patents Act 1988 or as modified by any successor legislation. Any use made of information contained in this thesis/dissertation must be in accordance with that legislation and must be properly acknowledged. Further distribution or reproduction in any format is prohibited without the permission of the copyright holder. ABSTRACT Thailand faces problems associated with an increase in municipal waste, only a small amount of which is managed using proper waste management techniques. In response to this problem, the government has implemented public policies that support collaborations between local administrative organisations (LAOs) and other organisations or groups in the management of waste. This thesis aims to enhance our understanding of such collaborations, particularly those in the area of waste management and collaborative capacities in general. The thesis draws upon data from a national-level survey and four case studies. This data identified new sub-types of collaborative capacities that can inform our conceptual understanding: policy capacity, which is a new sub-type of administrative capacity; and innovation capacity, which is a new sub-type of social capacity. Knowledge capacity is the most important sub-type of administrative capacity, and knowledge in the context of Thai LAOs consists of knowledge about collaboration and waste management technologies. Boundary spanning capacity is the most important sub-type of social capacity. This is the capacity of an organisation, rather than just one individual. These collaborative capacities are positively associated with successful collaboration, which is understood in terms of solutions to waste management problems and the creation of better working relationships amongst collaborating members. DEDICATION This thesis is dedicated to the memory of my beloved grandfather, Major Sumet Ruengrung. ACKNOWLEDGEMENTS First, I would like to express my immeasurable appreciation to the Royal Thai Government who awards my scholarship to study at the University of Birmingham. Next, I would like to express my deepest gratitude to Professor Chris Skelcher, my lead supervisor; and Professor Catherine Needham, my co-supervisor who always provide useful guidance and enthusiastic encouragement and believe in my abilities. Furthermore, I would like to extend my sincere gratitude to the external and internal examiners, and the chair of my PhD viva. I would also like to express my great appreciation to all responding national organisations, LAOs, academic institutes, private organisations, local communities and individuals who kindly participated in my research. Then I would like to express my appreciation to all lecturers, administrators and staff of Institute of Local Government Studies. I am so proud to be one part of INLOGOV. I would like to offer my special thanks to Mrs. Vararat Sathabhornwong, my mother; Assistant Professor Pattananusorn Sathabhornwong, my father; Mr. Waranusorn Sathabhornwong, my elder brother together with my grandmother, my aunt and my niece for their support and unconditional love. Finally, I would like to thank my friends who make my PhD journey beautiful and meaningful. TABLE OF CONTENTS CHAPTER 1: INTRODUCTION Introduction…………………………………………………………………………………1 1.1 Why collaboration is an important issue for Thai local government…………...………2 1.2 Literature review of research on Thai local government collaborations…….....………4 1.2.1 Research design…………………………...………………………………….6 1.2.2 Topics…………………………………………………………………………7 1.2.3 Findings……………………………………………………………………...10 1.2.4 Limitations in research on Thai local government collaborations……..……31 1.3 Thesis aims, research questions and thesis structure…………..………………...……33 1.3.1 Thesis aims…………………………………………………………….…….38 1.3.2 Research questions…………………………………………………………..39 1.3.3 Thesis structure………………...……………………………………………41 CHAPTER 2: CONCEPTS AND THEORIES OF COLLABORATION Introduction………………………………………………………………………………..46 2.1 What is collaboration?...................................................................................................46 2.1.1 Definitions of collaboration from the literature……………………………..46 2.1.2 Levels of collaboration……………………………………………………...49 2.1.3 Other terms used in discussing the phenomenon of organisations working together……………...……………………………………………………………52 2.2 Why has collaboration become important for local government?.................................59 2.2.1 Necessity to solve wicked problems…………………………………….…..60 2.2.2 Impacts of the public value approach……………………………………….64 2.3 What forms can collaboration take?..............................................................................75 2.3.1 Forms of collaboration………………………………………………………75 2.3.2 Forms of agreement…………………………………………………………77 2.4 What are the main challenges in achieving successful collaboration?..........................78 2.4.1 Goal challenge………………………………………………………...…….79 2.4.2 Inter-organisational challenge……………………………………………….80 2.4.3 Expertise challenge…………………………………………...……………..83 2.4.4 Structural challenge…………………………………...…………………….84 2.4.5 Governance challenge……………………………………………………….85 2.5 What are limitations or problems of collaboration?..................................................... 87 2.5.1 Operational limitations………………………………………………………87 2.5.2 Performance limitations…………...………………………………………...90 Conclusion………………………………………………………………………………...92 CHAPTER 3: RESEARCH DESIGN AND METHODS Introduction…………………………………………………………………………..……93 3.1 Principle of research design…………………………………………...……….….…..94 3.1.1 Purposes of the research………………………………………...…..……….95 3.1.2 Conceptual frameworks – collaborative capacity and outcome of collaboration………………………...…………………………………………….96 3.1.3 Research strategies…………………………………………………………………111 3.1.4 Research designs…………………………………………………………………...115 3.1.5 Design of data collection instruments……………………………...………………118 3.1.6 Sampling frames………………………………...………………………................124 3.1.7 Sampling…………………………………………………………………...............125 3.1.8 Samples…………………………………………………………………………….135 3.1.9 Research methods………………………………………………………………….140 3.1.10 Data analyses…………………………...…………………...……………………143 3.1.11 Research ethics……………………………………………………………………147 Conclusion………………………………...……………………………………………..151 CHAPTER 4: RESULTS OF THE SURVEY STUDY Introduction………………………………………………………………………………153 4.1 Characteristics of collaborations for waste management of Thai local administrative organisations…………………………………...………………………………………...156 4.1.1 Collaborating and non-collaborating local administrative organisations….156 4.1.2 Lengths of collaborations…………………………………………………..158 4.1.3 Members of collaborations………………………...………………………160 4.1.4 Forms of collaborations…………………………………...……………….169 4.2 Collaborative capacities of local administrative organisations and outcomes of collaborations for waste management………………………………….………………...172 4.2.1 Collaborative capacities………………………...………………………….172 4.2.2 Outcomes of collaborations for waste management……..………………...187 4.3 Relationships between collaborative capacities of local administrative organisations and outcomes of collaborations for waste management………………………………....195 4.3.1 Correlations between simple variables………………...………………..…195 4.3.2 Correlations between transformed variables……………………...………..198 Conclusion……………………………………………………………………………….202 CHAPTER 5: NATIONAL POLICY CONTEXT OF COLLABORATIONS FOR WASTE MANAGEMENT AMONGST THAI LOCAL ADMINISTRATIVE ORGANISATIONS Introduction………………………………………………………………………………204 5.1 The nature and scale of Thailand’s waste management problems……………...……206 5.1.1 Community’s general waste management problems………..……………..207 5.1.2 Community’s hazardous waste management problems ……………………211 5.1.3 Infectious waste management problems…………...………………………213 5.1.4 Industry’s hazardous waste management problems………………………..215 5.2 National policies on waste management……………………………………………..216 5.2.1 National roadmap on solid waste and hazardous waste management B.E. 2557 (A.D. 2014)…………………………………………...……………………217 5.2.2 National master plan on solid waste management B.E. 2559-2564 (A.D. 2016-2021)…………………………………………………………………...…..218 5.2.3 National operational plan, Thailand zero waste in accordance with objectives of the Pracha Rath for 1 Year B.E. 2559-2560 (A.D. 2016-2017).……………...220 5.3 Core agencies of national policies on waste management……………………..…….221 5.3.1 Regulators…………………………………………………...……………..221 5.3.2 Operators…………………………………………………………………...223 5.4 Processes of budgeting for local administrative organisations’ waste management plans……………………………………………………………………………………...225 5.4.1 The national budget approval process……………………………...………226 5.4.2 The policy frames for the national budget approval process……………....229 5.5 Potential forms of collaboration for waste management of local administrative organisations……………………………………………...……….……………………..230 5.5.1
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