Midterm

ALVIN KRIS B. ALIC

09472646753 | FB: Alvin Alic
Email: [email protected]

1
 MODULE 3
THE CONCEPT AND THEORIES OF GOVERNANCE
MOST ESSENTIAL LEARNING OUTCOMES
At the end of this module, students will be able to:
1. Explain the significance of the shift in how people and nations perceive governance and how it differs
from government;
2. Critically define the meaning of good governance;
3. Discuss the art of governance and identify the activities encompassed in the act of governing; and
4. Discuss the significance/essence of governance in the development process;

I. Lesson Input

The Concept of Governance

In most dictionaries “government” and “governance” are interchangeably used, both denoting the
exercise of authority in an organization, institution or state. Government is the name given to the entity
exercising that authority. Authority can most simply define as legitimate power. Whereas power is the ability
to influence the behavior of others, authority is the right to do so. Authority is therefore the based on an
acknowledged duty to obey rather than on any form of coercion or manipulation. Weber distinguished
between three kinds of authority, based on the different grounds upon obedience can be established;
traditional authority is rooted in history, charismatic authority stems from personality and legal-authority is
grounded in a set of impersonal rules. To study government is to study the exercise of authority. (Heywood,
1997) Government is closely related to politics.
To study politics is in essence to study government or more broadly, to study the exercise of
authority. Politics is the art of government, the exercise of control within the society through the making and
enforcement of collective decisions. (Heywood 1997)
The realm of politics is restricted to state actors who are consciously motivated by ideological beliefs,
and who seek to advance them through membership of a formal organization such as a political
organization. This is the sense in which politicians are described as “political” whereas civil servants are
seen as “non political”, the state as “public” and the civil society as “private”. The institutions of the state (the
apparatus of the government, the courts, the police, the army, the society-security system and so forth) can
be regarded as “public” in the sense that they are responsible for the collective organization of the
community life. Moreover, they are funded at the public’s expense, out of taxation. In contrast, civil society
consists of what Raymund Burke called the little platoons, institutions such as the family and kinship groups,
private businesses, trade unions, clubs, community groups and so on that are private in the sense that they
are set up and funded by individual citizens. On the basis of this public/private life division, government is
restricted to the activities of the state itself and the responsibilities which are properly exercised by public
bodies. Although civil society can be distinguished from the state, it nevertheless contains a range of
institutions that are thought as “public” in a wider access.
One of its crucial implications is that it broadens our notion of the government transferring the
economy in particular from the private to the public realm. Now, the conception of politics and government
move beyond the narrow realm of government to what is thought as “public life” or “public affairs.” Since, the
government doesn’t only decide for all and the civil society and the private sectors play vital role in the
community, thus, the conception of the word “governance”. Governance is a broader term than government.
In its widest sense, it refers to the various ways in which social life is coordinated. Government can
therefore be seen as one of the institutions in governance; it is possible to have governance without
government. (Heywood, 1997)

Governance: Varying Definitions

Governance is:
1. “The traditions and institutions by which authority in a country is exercised” – Kaufman et al
2. The way “ … power is exercised through a country’s economic, political, and social institutions.” –
the World Bank’s PRSP Handbook.

2
 3. “The sound exercise of political, economic, and administrative authority to manage a country’s
resources for development. It involves the institutionalization of a system through which citizens, institutions,
organizations, and groups in a society articulate their interests, exercise their rights, and mediate their
differences in pursuit of the collective good “(Country Governance Assessment 2005).
4. “The exercise of economic, political, and administrative authority to manage a country’s affairs at
all levels. It comprises mechanisms, processes, and institutions through which citizens and groups articulate
their interests, exercise their legal rights, meet their obligations, and mediate their differences.” UNDP.
5. refers to how any organization, including a nation, is run. It includes all the processes, systems,
and controls that are used to safeguard and grow assets.” (UNDP, 1997)
6. “The systems, processes and procedures put in place to steer the direction, management and
accountability of an organization.” Birmingham City Council.

When is Governance needed?

The need for governance exists anytime a group of people come together to accomplish an end.
Most agree that the central component of governance is decision-making. It is the process through which
this group of people make decisions that direct their collective efforts.
If the group is too large to efficiently make all necessary decisions, it creates an entity to facilitate
the process. Group members delegate a large portion of the decision making responsibility to this entity. In
voluntary sector organizations this entity is the board of directors. One simple definition of governance is
"the art of steering societies and organizations." Governance is about the more strategic aspects of steering,
making the larger decisions about both direction and roles.
Some observers criticize this definition as being too simple. Steering suggests that governance is a
straightforward process, akin to a steersman in a boat. These critics assert that governance is neither
simple nor neat — by nature it may be messy, tentative, unpredictable and fluid. Governance is complicated
by the fact that it involves multiple actors, not a single helmsman.
These multiple actors are the organization's stakeholders. They articulate their interests; influence
how decisions are made, who the decision-makers are and what decisions are taken.

The Need for Good Governance: Why Governance Matters?

Good governance creates a strong future for an organization by continuously steering towards a
vision and making sure that day-to-day management is always lined up with the organization’s goals. At its
core, governance is about leadership.
An effective board will improve the organization’s results, both financial and social, and make sure
the owners' assets and funds are used appropriately. Poor governance can put organizations at risk of
commercial failure, financial and legal problems for directors/trustees or allow an organization to lose sight
of its purpose and its responsibilities to its owners and people who benefit from its success.
The Rights-Based Approach to governance implies that the holders of rights should also participate
fully in deciding how those rights are fulfilled, such as through participation and greater empowerment. And
as the Millennium Declaration emphasizes, one of the most important requirements for achieving this and
the MDG is “governance” The report points out that Asia and the Pacific has many diverse forms of
democratic governments4 . In some cases these have involved highly centralized administrations that have
offered a limited space for popular participation. Nevertheless, in recent years there have been significant
changes. One of the most dramatic examples has been in Indonesia, which for decades until the late 1990s
had a strongly centralized administration. Now the democratic Government in Indonesia has not only
offered free and fair elections; it has also enacted a radical process of decentralization.
Another vital attribute of governance in MDGs is efficient and effective administration. The
Government of India, for example, is determined to be more responsive and accountable to the public. A
further governance priority in Asia and the Pacific is the fight against corruption, which degrades the quality
of governance and hits hardest at the poorest. The Government of China for example is among those taking
firm measures to combat corruption and promote integrity in governance.

3
 EXERCISE NO. 1
Answer the following questions briefly. Observe this criteria:
 Depth of Analysis - 40%
 Application of major concepts - 60%.

1. What is your understanding of the concept of governance? What is your own concept of governance.
Explain.

2. Is governance needed as long as humans exist? Why or why not?

3. Discuss the significance of governance in the development process.

4
 MODULE 4
KEY ACTORS IN GOVERNANCE
MOST ESSENTIAL LEARNING OUTCOMES
At the end of this module, students will be able to:
1. Identify the different actors in governance;
2. Critically explain the role of each player in the governance process; and
3. Critique on the current efforts of these key actors in the any governance endeavors.

I. Lesson Input

1. The State
The state is the principal actor of government to facilitate participation and provide an enabling
environment to other elements of the society. It is a strong entity that recognizes the significance and
autonomy of the other sectors without overwhelming them.
1. 1 The state as enabler provides for the legal and regulatory framework and political order within
which firms and organizations can plan and act. It encourages citizens to act by liberating them from the
fear of military reprisals when they criticize policies or serve marginalized groups. It can assure private firms
that policies are fair and not subject to caprice or whim or the private interest of political officials.
1.2. The state as resource provider facilitates by providing resources to assist markets and
communities. Such resources include information, technical expertise, research and development programs,
physical infrastructure as well as grants-in-aid or incentive schemes.

As part of the state, the local government performs a crucial role in the efforts of the national
government in implementing its programs and projects. The Local government is the real actor in effecting
governance and development.

The Local Government

The Local Government is an avenue where the civil society groups at the community level
can participate meaningfully in the decision making processes. By virtue of the powers and authority
provided in the Local Government Code of 1991, local government formulates and defines the legal
and regulatory framework. This serves as the basis for the involvement and participation of the
various organizations and groups in the governance of the community.
The Local Government also maintains a political order and provides the necessary
resources such as technical expertise and infrastructure to the various groups, most especially to
those who are places at disadvantaged position. As an enabler, the local government likewise
provides the environment for the development of full potentials of its citizens guided by the
“overarching goals of respecting, protecting and fulfilling basic human rights for all and of
empowering everyone to shape their own destiny under a regime in which the realization of basic
rights is guaranteed” (J. Natividad, Rights-Based Philippine Governance Review, DAP, 2005: 21)

2. The Private or Business Sector - Corporate Governance

In governance parlance, the private/business sector serves as the engine of the society. It is an
important collaborator in the economic development of the community. It generates jobs and incomes for
the people in the community. Because of its resources such as financial and technical expertise, it can
assist the local government in coming up with an economic plan for the community and help in the
implementation of the plan. It can also provide the needed resources for the government to enable it to
pursue big and wide scale projects that are beyond the local government’s financial capability. Efficiency
and economy are expected outputs or products of corporate governance. The state provides a level playing
field for those able to compete, and turns its attention to the provisions of safety nets for those unable to do
so.
In the field of information technology, the private sector can help the local government in the
development of technologies that would help proper the growth and development of the economy of the
community. In this connection, the private sector can assist the local government promote the transfer of

5
technology such as the application of spatial planning and decision support systems for effective local
governance.
The participation of market and civil society in governance adds new role to the state and that is of
building partnerships and linkages to the two sectors. Moreover, their engagement of the state shifts the
social picture from elite control to active citizenship.

3. The Civil Society

The Civil Society consists of the complex of citizens and groups outside government working in the
public arena. It is often called as CSOs- civil society organizations and also sometimes referred to as the
Third Sector.
The civil society comprises the academe or schools, NGO’s e.g. Association of Schools of Public
Administration in the Philippines, Inc. (ASPAP, Inc) housed at the National College of Public Administration
and Governance which is religiously collaborating with Government and NGOs (GOP-UNDP Programme,
Galing-Pook Foundation, Social Watch Philippines, TAN, TI etc.) in promoting governance and
development.). Other civil society groups include POs and the voluntary groups.
This sector plays an important role in the facilitation and interaction among the key players of local
governance. It mobilizes the various groups or organizations in the community to participate in planning and
decision-making process.
The Philippines has a large and very vibrant Third Sector with a long history dating back to its
colonial years. The total number of civil society organizations is estimated to between a low of 249,000 to a
high of 497,000 (Cariño, 2002: 84). Ma. Oliva Z. Domingo also discussed in her paper entitled: Third Sector
Governance: Meanings, Issues, and Challenges in the Philippines”, the Civil Society is the third sector
governance.
In local governance, a critical role that the civil society plays is that it provides the forum for the
airing of grievances, complaints, concerns, issues and problems among the populace. Specifically, it
provides voice to the “inarticulate and the unarticulated”. It also performs some political role in the
community by serving as an instrument of checks and balances on the power of the state or local
government and the business sector behavior. It is seen as a claim holder of basic human rights. And most
of all, it can serve as an alternative delivery mechanism for the frontline services.
Other civil society organizations may extend the government’s delivery system by mobilizing people
to prove themselves eligible to receive government social services, or providing their own services in areas
unreached by the public bureaucracy. The government may complement NGOs in turn by providing the
needed scaling up and referral system for their relatively smaller programs.
In relations to this, there are other possible directions to strategic directions for active civil society
participation in good governance. In general terms, this means supporting efforts to promote partnerships
between government and civil society.
These maybe in designing, implementing, monitoring, and evaluating programs and projects. This
can also mean identifying areas where civil society can either complement or supplement the efforts of the
Government to deliver services, or even serve as alternative mechanisms altogether.

6
 EXERCISE NO. 2

Read and analyze the questions below. Answer them using your learning in this module. Observe this
criteria:
 Depth of Analysis - 40%
 Application of major concepts - 60%.

1. In one paragraph discuss the inter-relationships of the 3 major actors in governance. You may provide a
matrix or diagram to illustrate your answer.

2. In your own perspective, what is view on the role of government in any governance efforts?

3. What can you suggest to the government, the private sector and the civil society to further improve their
services?

7
 MODULE 5
INDICATORS OF GOOD GOVERNANCE
MOST ESSENTIAL LEARNING OUTCOMES
At the end of this module, students will be able to:
1. Identify the different actors in governance;
2. Critically explain the role of each player in the governance process; and
3. Critique on the current efforts of these key actors in the any governance endeavors.

Lesson Input

1. Participation refers to active involvement of all affected and interested parties in the decision-making
process. Participation is one of the strengths of Philippine governance. The 1987 Philippine Constitution is
replete of provisions dealing with relational and inter-sectoral governance. The Local Government Act of
1989 was borne out of the need for decentralization in Philippine governance. As such, these and other
related legislations may be considered as normative standards for good governance.

2. Rule of Law. Democracy is essentially the rule of law. Rule of law demands that the people and the civil
society render habitual obedience to the law. It also demands that the government acts within the limits of
the powers and functions prescribed by the law.
The Philippines does not fare well in this aspect of good governance. In spite of being one of the
oldest democracies in the region, the Philippines ranked as last among seven indexed Asian countries
according to the World Justice Project Rule of Law Index. Generally, the reasons for ranking last are “lack of
respect for law,” “pervasive and systemic corruption in the government,” and “circumvention of the law.”
Lack of respect for law is generally caused by distrust on the integrity of law enforcement agencies. Order
and security are compromised and criminal justice is rendered ineffectual.

3. Effectiveness and Efficiency. Actors meet the needs of the society means that there is effective
governance. That the valuable resources are utilized, without wasting or underutilizing any of them, means
that there is efficient governance.
Enhancement and standardization of the quality of public service delivery consistent with
international standards, professionalization of bureaucracy.
Efforts were made to attain effectiveness and efficiency in Philippine governance. The Anti-Red
Tape Act of 2007 (ARTA), for instance, was passed to require the setting up of Citizen’s Charter for a
simplified procedure and to facilitate governmental transactions. Also, many government departments and
agencies pursued a rationalization program to check excessive and redundant staffing.

4. Transparency. Transparency, as an indicator of good governance, means that people are open to
information regarding decision-making process and the implementation of the same. In legal terms, it
means that information on matters of public concern are made available to the citizens or those who will be
directly affected.
It also means that transactions involving public interests must be fully disclosed and made
accessible to the people.
Efforts were made in pursuit of transparency in Philippine governance. As far as the government
sector is concerned, the current administration, consistent with its drive of curbing corruption, promotes
honesty and integrity in public service. It is currently pursuing the passage of the Freedom of Information Bill
and other related legislations, as well as intensifying people’s engagement in local governance.
Transparency in budget and disbursements are, however, still far from being substantially implemented.

5. Responsiveness means that institutions and processes serve all stakeholders in a timely and
appropriate manner. It also means that actors and structures of governance easily give genuine expression
to the will or desire of the people.
Some of the important efforts made to attain responsive governance in the Philippines are
decentralization, creation of citizen’s charter in all frontline agencies (as required by ARTA), and gender

8
sensitivity programs. First, through decentralization, local governments, which are more proximate to their
constituents, serve more promptly the people, who in turn become more involved in decision-making.
Second, every government agency now has it Citizen’s Charter, which provides timeframes for
every step in attaining frontline services. Agencies now must also respond to written queries sent by the
stakeholders or interested parties within a period of ten days, otherwise there will be delayed service.
However, this aspect of governance still remains to be one of the causes for the decline of public’s
confidence in the public sector. Although the ARTA has been passed, there is still so much delay in public
service delivery. The failure of the government agencies to explain the charters to the stakeholders is one of
the main reasons why there is still delay.

6. Equity and Inclusiveness. Equity and inclusiveness means that all the members of the society,
especially the most vulnerable ones or the grassroots level, must be taken into consideration in policy
making. Social equity refers to a kind of justice that gives more opportunity to the less fortunate members of
the society.
The Philippine Government has done extensive efforts in promoting equity and inclusiveness. The
Constitution makes it as one of its state policies the promotion of social justice. Pursuant to this, the
Congress has enacted social legislations like the Comprehensive Agrarian Reform Law which aims at
freeing the farmer tenants from the bondage of the soil. Also, representation in the Congress, under the
party list system, is constitutionally mandated to have sectoral representation of the underprivileged.
Gender and Development programs are in the process of being integrated with the various structures and
institutions in the country. But legislation is one thing; implementation is another. It is in the faithful
implementation of these laws that the country failed. Inequality is especially felt in the justice system,
electoral system, and even in the bureaucracy itself.

7. Consensus Oriented. Governance is consensus oriented when decisions are made after taking into
consideration the different viewpoints of the actors of the society.
Among the things done by the Philippines in promoting a consensus oriented governance are: (1)
creation of a wide-based of representation in the Congress; (2) a two-tiered legislature or bicameralism
which subjects legislation to the evaluation of national and district legislators; and (3) necessity of public
hearings or consultations of various governmental policies and actions.

8. Accountability. Accountability means answerability or responsibility for one’s action. It is based on the
principle that every person or group is responsible for their actions most especially when their acts affect
public interest.
Accountability comes in various forms: political, hierarchical, and managerial accountability. Political
accountability refers to the accountability of public officials to the people they represent. Hierarchical
accountability refers to the ordered accountability of the various agencies and their respective officers and
personnel in relation to their program objectives. Managerial accountability refers to employee
accountability based on organization and individual performance. The Philippines in the recent years had
endeavored to comply with the requirements of accountability. It had put in action the concept of political
accountability as it held answerable erring public officials involved in graft and corruption and for acts
contrary to the mandate of the constitution. It had also strengthened parliamentary scrutiny through
legislative investigations and creation of special committees exercising oversight functions. The Office of the
Ombudsman, considered as the public watchdog, has become ever so active in investigating and
prosecuting graft and plunders cases. Citizen’s Charter, as required by ARTA, was also an important tool in
promoting professional public service values. In this area, Philippine governance has done relatively well.

9
 EXERCISE NO. 3

Using the 8 indicators of good governance, observe our national and/or local government today. In what
specific actions/events taken by the government do they fulfill and disregard these indicators?

Indicators of Good Governance Fulfilled During: Disregarded During:

Participation

Rule of Law

Effectiveness and Efficiency

Transparency

Responsiveness

Equity and Inclusiveness

Consensus-Oriented

Accountability

10