BETWEEN BUREAUCRACY AND DEMOCRACY: REGULATING ADMINISTRATIVE DISCRETION IN JAPAN 官僚主義と民主主義の間で：日本で行政裁量を管理する A dissertation submitted to Kent State University in partial fulfillment of the requirements for the degree of Doctor of Philosophy by Franklin Barr Lebo フランクリン バル レボ May 2013 五月二千十三年 Dissertation written by Franklin Barr Lebo B.A., Brandeis University, 2000 J.D., University of California, Hastings College of the Law, 2003 Ph.D., Kent State University, 2013 Approved by __________________, Steven W. Hook, Co-Chair, Doctoral Dissertation Committee __________________, Renée J. Johnson, Co-Chair, Doctoral Dissertation Committee __________________, Andrew Barnes, Committee Member __________________, Mireya Solis, Committee Member __________________, Clarence Wunderlin, Jr., Outside Reader Accepted by __________________, Andrew Barnes, Chair, Department of Political Science __________________, Raymond A. Craig, Associate Dean, College of Arts and Sciences ii TABLE OF CONTENTS TITLE PAGE ........................................................................................................... i APPROVAL PAGE ................................................................................................ ii TABLE OF CONTENTS ....................................................................................... iii LIST OF FIGURES .............................................................................................. vii LIST OF TABLES ................................................................................................ vii ACKNOWLEDGMENTS ................................................................................... viii CHAPTER 1: INTRODUCTION AND RESEARCH DESIGN .............................1 1.1 Introduction: Link Between Bureaucracy and Democracy ...........1 1.2 Bureaucracy and Democracy in Japan .........................................3 1.3 Connecting PA Theory to Japan ...................................................6 1.3.1 Principal Agent Theory .......................................................7 1.3.2 Principal Agent Theory in East Asia ................................10 1.3.3 Research Question and Design .........................................16 1.3.3.1 Revelatory and Extreme case Study Rationales: Access to the NPA and MFP ............................................21 1.3.3.2 Data Collection: Measures of Evaluation .............30 1.3.3.3 Case Study: Construct Validity .............................31 1.3.3.4 Case Study: Internal and External Validity ..........33 1.3.3.5 Case Study: Replication and Reliability ...............34 1.3.3.6 Case Study Summary ............................................36 1.4 Outline and Brief Description of Dissertation Chapters .........36 iii CHAPTER 2: STRUCTURE OF THE JAPANESE GOVERNMENT ................37 2.1 Introduction .................................................................................37 2.2 Structure of the Japanese Government .......................................37 2.2.1 Westminster Comparative Perspective ..............................38 2.2.2 Japan, Inc. Perspective .......................................................48 2.2.3 Bureaucracy Dominant Perspective ...................................50 2.3 Evolution of the Relationship Between Bureaucrats and Politicians ..........................................................................................51 2.4 History of the National Personnel Authority ..............................56 2.5 Powers of the National Personnel Authority ..............................70 2.6 Roles of the National Personnel Authority .................................72 2.6.1 Component 1: Clearly Defining and Delegating Duties – The NPAs Democracy Building Activities ................................74 2.6.2 Component 2: Providing Administrators with the Resources to Complete Those Duties Through NPA Personnel Training .....................................................................76 2.7 Chapter Summary .......................................................................95 CHAPTER 3: CASE STUDY 1: MINISTRY OF INTERNAL AFFAIRS AND COMMUNICATIONS (MIC) ...............................................................................98 3.1 Introduction .................................................................................98 3.2 James J. Miller ..........................................................................103 3.2.1 Regulatory Backdrop .......................................................106 3.2.2 Public Comment and Telecommunications Policy ..........108 3.3 Yukiko Ellis ..............................................................................112 3.3.1 SBJ: Population Census Division ...................................115 iv 3.3.2 Ten Prefectures Fieldwork ..............................................120 3.4 Case Study 1: Summary ............................................................127 CHAPTER 4: CASE STUDY 2: MINISTRY OF FOREIGN AFFAIRS (MOFA) ...............................................................................................................128 4.1 Introduction ...............................................................................128 4.2 Applying Principal Agent Theory to MOFA ............................129 4.3 Michael Panzera ........................................................................137 4.3.1 Economic Partnership Division .......................................138 4.4 Jeffrey Seay ...............................................................................144 4.4.1 Arms Control and Disarmament Division .......................145 4.5 Case Study 2: Summary ............................................................148 CHAPTER 5: CASE STUDY 3: MINISTRY OF LAND, INFRASTRUCTURE, TRANSPORT, AND TOURISM (MLITT) .........................................................150 5.1 Introduction ...............................................................................151 5.2 Anthony Waller .........................................................................154 5.2.1 Government Buildings Department ................................156 5.3 Naveen C. Rao ..........................................................................166 5.3.1 Japan Civil Aviation Bureau and the Aviation Industries Division .....................................................................................167 5.4 Case Study 3: Summary ............................................................173 CHAPTER 6: CASE STUDY 4: MINISTRY OF HEALTH, LABOR, AND WELFARE (MHLW) ..........................................................................................176 6.1 Introduction ...............................................................................176 6.2 Jim Kariya .................................................................................181 6.2.1 Division of Chem-Bio and Division of Risk Assessment ................................................................................182 v 6.2.2 Food Chemistry Division .................................................183 6.3 Ken Kobayashi ..........................................................................187 6.3.1 Evaluation and Licensing Division of the Pharmaceutical Safety Bureau .................................................187 6.4 Case Study 4: Summary ............................................................202 CHAPTER 7: CONCLUSIONS & AREAS FUR FURTHER STUDY ..............203 REFERENCES ....................................................................................................215 ADDITIONAL TABLES.....................................................................................235 APPENDIX A: Survey Questionnaire .................................................................246 APPENDIX B: Annual Schedule for MFP 15th Fellows (Tentative) ..................248 vi LIST OF FIGURES Figure 2.1: Familiarity with the NPA .............................................................................78 Figure 2.2: Interesting Thematic Areas Handled by the NPA ........................................79 Figure 2.3: Areas in which the NPA Should Aggressively Focus their Efforts .............80 Figure 2.4: Citizens’ Evaluation of Ethics of Public Administrators .............................81 Figure 2.5: Employed Citizens’ Evaluation of Public Employees .................................81 Figure 6.1 MHLW-PMDEC 2001 Procedures for Drug Approval and License .............193 LIST OF TABLES Table 1.1 Mansfield Fellowship Host Agencies ..........................................................235 Table 2.0 Number of Regular Service Employees in the Japanese Government under the NPA Pay Scheme (2000-2009). ......................................................54 Table 2.1 Demographic Characteristics (Monitors of National Civil Servants). Study Period – 6/15/2009 – 6/24/2009. ........................................77 Table 2.2 NPA New Recruit Public Administrative Training .....................................86 Table 2.3 Curriculum for New Employee Administrative Training (FY2010) ...........88 Table 2.4 Number of NPA Administered Government Employees and Total Personnel Cost ...............................................................................................93 Table 2.5 NPA Training Sessions: Number of Participants and Events Per Year at the Assistant Director Level .....................................................................94 Table 4.1 Ministry of Foreign Affairs Cited by the Asahi Shimbun (1997-2010) .....134 vii ACKNOWLEDGMENTS I gratefully