Muhammad Abdul Wahid Usmani, King Saud University, Riyadh, Saudi ..... Nabil Sifouh, Khadija Oubal, Sara Bayoud .... It seems true that corrective feedback (CF hereafter) is of pedagogical ...... Nigerians must be part of the growth story. ...... _Turkish_Society_from_the_New_Constitution?auto=download (Accessed on 21 ...
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without either the prior written emission of the publisher. Applications for the copyright holder’s written permission to reproduce any part of this publication should be addressed to the publishers.
Book of Proceedings with Abstracts of the 7th International Conference on Human and Social Sciences Editors: Prof. Gianluca Senatore, Prof. Marco Cilento, Dr. Marsel Cara ISBN: 978-1-78911-000-5 Doi:10.5901/iciss-2017-vol-1 Disclaimer Every reasonable effort has been made to ensure that the material in this book is true, correct, complete, and appropriate at the time of writing. Nevertheless the publishers, the editors and the authors do not accept responsibility for any omission or error, or for any injury, damage, loss, or financial consequences arising from the use of the book. The views expressed by contributors do not necessarily reflect those of the organizers of this conference.
Typeset by Richtmann Press, London Printed and bound by Richtmann Publishing, United Kingdom
T. S. Devaraja, University of Mysore, Hassan, Karnataka, India Andrea Carteny, Sapienza University of Rome, Italy Gianluca Senatore, Sapienza University of Rome, Italy Bidzina Savaneli, Tbilisi State University, Georgia Marcello Fedele, Sapienza University of Rom, Italy Sibylle Heilbrunn, Ruppin Academic Center, Emek-Efer, Israel Arda Arikan, Akdeniz University, Antalya, Turkey César Correa Arias, University of Guadalajara, México Godfrey Baldacchino, University of Malta, Malta Dimitri A. Sotiropoulos, University of Athens, Greece Werner J. Patzelt, Univerisity of Dresden, Germany Vincent Hoffmann-Martinot, University of Bordeaux, France Anne Cross, Metropolitan State University,USA Emanuele Santi, African Development Bank, Tunis, Tunisia Alba Dumi, University of Vlore, Albania Kamaruzaman Jusoff, Universiti Putra Malaysia Muneerah Bader Almahasheer, College of Arts, University of Dammam (UoD), Saudi Arabia Joan Garcia Garriga, Institut de Paleoecologia Humana i Evolució Social (IPHES) / Universitat Oberta de Catalunya
(UOC), Spain
Nicola Maria Boccella, Sapienza University of Rome, Italy Hamdan bin Said, University Technology Malaysia, Malaysia Umar Ali Khan, I.E.R., Gomal University, D.I.Khan. (KPK), Pakistan Muhammad Abdul Wahid Usmani, King Saud University, Riyadh, Saudi Arabia Shahram Fattahi, Razi University, Iran Costa Hofisi, North-West University, South Africa Wei Zhang, University of California, USA Mabutho Sibanda, University of KwaZulu-Natal, Zimbabwe Abel Gwaka Anyien, Kenyatta University, Kenya Francisco Javier Ramos, University of Castilla, La Mancha, Spain Kalaly Chu, University Kristen Satya Wacana, Indonesia Mohamed Ben Aissa, University of Tunis, Tunisia Tutku Akter, Girne American University, Northern Cyprus Hosé Sánchez-Santamaría, University of Castilla, La Mancha, Spain
About the Conference The 7th ICHSS 2017 is organized in Barcelona by MCSER-Mediterranean Center of Social and Educational Research in cooperation with the Italian Academy of Science and Education, Sapienza University of Rome and Richtmann Publishing. The conference addressed all studies across the social and human sciences. In the spirit of interdisciplinary interchange, the Conference has involved scholars, teachers and researchers working in a broad range of areas including: Education, Anthropology, Applied Sciences, Behavioral Sciences, Cognitive Science, Literature, Language, Communications, History, Economics, Environmental Sciences, Health Sciences, Humanities, Interdisciplinary Studies, Law, Management, Media, Politics, Public Policy, Psychology, Qualitative Methods, Quantitative Methods, Social Welfare, Sociology, Technology, Geography and many other areas related to the social and human sciences. The conference provides an opportunity for academicians and professionals from various social and human fields all over the world to come together and learn from each other. An additional goal of the conference is to provide a place for academicians and professionals with crossdisciplinary interests to meet and interact with members inside and outside their own particular disciplines.
Vision of the conference The ICHSS is a global annual event with the mission of furthering the advancement and innovation in human and social sciences. The Conference serves as a means to connect and engage professors, researchers, consultants, innovators, managers, students, policy makers and others to offers an opportunity to meet and share ideas. It also inspire a new generation of global scientists and leaders in countries around the world.
Co-Partners The Conference is organized by Mediterranean Center of Social and Educational Research in collaboration with Italian Academy of Science and Education, Sapienza University of Rome and Richtmann Publishing LTD.
Publications All papers presented in the ICHSS 2017 will be published in the following Journal: Academic Journal of Interdisciplinary Studies ISSN 2281-3993 (print) ISSN 2281-4612 (online)
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
TABLE OF CONTENTS A Quest into Recasts as a Type of Corrective Feedback in Foreign Language Classrooms
Pinar Sali
9
Widening the Scope and Scale of Sustainability Assessments in Built Environments: From Passive House to Active Neighbourhood
19
Successful and Efficient Knowledge Management in the Greek Hospitality Industry: Change the Perspective!
27
Fiscal Decentralisation, Public Expenditure Management and Human Capital Development in Nigeria
35
How some Seemingly Moderate Political Elections Results may Redirect a State’s Historical Course, from the Top Down to the Transformation of National Growth and Socio-Cultural Development Patterns: Turkey’s Political Reforms over the Last Decades as an Ideal Paradigm of Multi-Faceted National Re-Orientation
45
Definiteness and Indefiniteness of Nouns in English and Albanian: A Contrastive Analysis
55
Identifying Motivational Factors of Pre-service EFL Teachers
65
The International Public Procurement Evolution: New Strategic Challenges Met in Collaboration with Internal Audit Advisory Services
71
Spela Verovsek, Matevz Juvancic, Tadeja Zupancic
Belias Dimitrios, Rossidis Ioannis, Velissariou Efstathios, Amoiradis Christos, Tsiotas Dimitrios, Sdrolias Labros Stephen I. Ocheni, Michael Sunday Agba
John Karkazis, Georgios C. Baltos, Janis Balodis Agnesa Çanta
Ebru A. Damar
Georgios Baltos, Leonardo Doni, Janis Balodis
Relationship between Paternalistic Leadership and Organizational Commitment in Hospitality Industry: Case of Antalya, Turkey Nedim Yüzbaşioğlu, Oğuz Doğan Exploring the Interpersonal Meaning in two extracts from Chimamanda Ngozi Adichie’s Purple Hibiscus and Chinua Achebe’s Anthills of the Savannah: A Comparative Systemic Functional Linguistic Perspective
Daniel T. Yokossi
85
97
Measuring Students’ Knowledge Level of Life Insurance: A Case on the Students of the Department of Insurance and Risk Management at the Dumlupinar University, Turkey
109
Current Trends and Issues in Albanian Language Use
117
Migration of Relational Databases to NoSQL - Methods of Analysis
121
An Analysis of the Social Factors that Resulted in the 2011 Social Unrest in Egypt, Integrated with a Personality Profiler of its Revolutionary Leadership
129
Özer Bakar, Yavuz Soykan, Burcu Acar Rrezarta Draçini, Rezearta Murati
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Impact of Official Development Assistance on the Growth of WAEMU Member Countries: Assessment Following the Recommendations of the 2002 Monterrey Conference
141
Trafficking in Georgian Criminal Law
151
Material Management, Information Technology, and Marketing Performance: Implications for Sustainable Business Development in Africa
159
Fluctuating Definition of ‘Consent’ in Cases of Rape in the Southeastern Region of Kosovo
165
The Connection between Situational Guilt, Guilt as a Personality Factor and the Intensity of Bereavement Symptoms in Parents who have Lost their Child
173
Measuring Sustainability of a Tourist Destination: Applying the Delphi Method to Build a System of Indicators
179
La Società Complessa e le Competenze Interculturali
187
A Survey on Loanwords and Borrowings and Their Role in the Reflection of Cultural Values and Democracy Development: the Armenian Paradigm
191
The Albanian “Social Education” Textbook and the Construction of Self-Concept
201
Measuring the Impact of Exchange Rate on Industrial Output in Nigeria
207
The Impact of Using Mathematical Models in the Growth of Regional Economic Indicators, Strengthening the Role of the State
215
A Study on the Effectiveness of Spiritual Intervention on Perception of God and Attitude toward Death in Women with Breast Cancer
223
Evaluating English Module: Guidance to Help Develop Ideas for Writing
233
International Instruments Related to Industrial Property: An Empirical Analysis and a Case Study
239
Active and Participatory Teaching Methods
247
The Ecological Cluster as an Energy Transition Engine
251
The Relationship between Exchange Rate and Inflation, the Consumer Contracts and Auditing for Development of the Albanian Economy
Daniel Cardona Valencia, Lemy Bran-Piedraita, Alejandro Ocampo Osorio, Lucia Palacios Moya, Alejandro Valencia Arias Anisa Berisha, Keda Koldashi
Jesús Francisco Gutiérrez Ocampo, Corina Araceli Ortiz Pérez, José Antonio Camaño Quevedo, Karla Jasmin Castelo Zamora, Andrea Valdez Yañez Jonada Zyberaj
Nga Nguyen Thi, Oanh Hoang Thi Kim Reshat Nurboja Dalila Karakaçi
Nabil Sifouh, Khadija Oubal, Sara Bayoud
Albana Kacollja, Teuta Balliu, Imelda Sejdini Valbona Gjini Yugang He
Muharrem Sejdiu, Pandeli Marku, Rrahim Sejdiu Adisa Bala, Andrea Koxhaj Alkida Ndreka Jeton Xhaferi
7
VOLUME No.1
139 140 141 142 143 144 145 146 147 148 149
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Some Social Stratum in Dyrrachium during Roman Imperial Period
399
Determining Factors in Measuring Consumators Trends for Consumption
409
Referendum or a Missing Instrument in Albanian Democracy
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
A Quest into Recasts as a Type of Corrective Feedback in Foreign Language Classrooms1 Assist. Prof. Dr. Pinar Sali Uludag University Faculty of Education Department of English Language Teaching Bursa, Turkey Abstract The present study was undertaken to investigate how EFL teachers utilise corrective feedback in their classrooms. To this end, an analytic model consisting of various corrective feedback moves was applied to a small amount of data consisting of 12 lesson-hour classroom interaction with a purpose of documenting the frequencies and distribution of corrective feedback, in particular, of recasts in relation to other corrective feedback types and of specific types of recasts. Data were gathered from first-year speaking classes at an ELT department in a large state university in Turkey. The findings indicated that recasts were the most frequently employed corrective feedback strategy by the teachers. A closer examination of those recasts further revealed incorporative declarative recasts as the most preferred type of recasting. Overall, what these findings suggest is that recasts might serve important communicative functions by helping EFL teachers provide input in an authentic and supportive manner and by building on learner output. Keywords: Corrective feedback; recasts; foreign language; error correction
1.
Introduction
In keeping with the Interaction Hypothesis, Long (1996, p.414) postulates that ‘environmental contributions to acquisition are mediated by selective attention and the learners’ developing L2 capacity, and that these resources are brought together most usefully, although not exclusively, during negotiation of meaning’. In view of this, the assumption is that negotiation of meaning may provide language learners with opportunities of negative evidence and may in turn promote language development (Gass, 2017; Long, 1996; Yi & Sun, 2013). It seems true that corrective feedback (CF hereafter) is of pedagogical significance in the sense that it might aid in the formulation of interactive patterns in language classrooms and make language classrooms richer in terms of linguistic input. In other words, it might enhance opportunities for negotiation of meaning and form, which would, in turn, speed up classroom dynamics by increasing learning opportunities for learners and teaching occasions for teachers (Ellis, Loewen, & Erlam, 2006; Sheen & Ellis, 2011). As Lyster (1998) also notes, CF provides clues to learners as to their use of nontarget forms and allows them to actively confront their errors in ways that may lead to revisions of their hypothesis about the language they are being learned. Thus, CF, as one of the indispensable tools of negotiated interaction, is a crucial aspect of classroom life and deserves attention as a subject of concern in the domain of ELT. As being one of the specific types of CF, recasts have also attracted attention in second language learning research (Nassaji, 2017). A generally-held view in the SLA field is that recasts not only offer implicit negative evidence, but also provide positive evidence and that they make this positive evidence especially salient (Leeman, 2003). In first language acquisition, recasts are depicted as utterances that rephrase a child’s utterance by changing one or more sentence components ... while still referring to its central meanings. In second language acquisition, the term has a more specific meaning: ‘an implicit CF move that reformulates or expands an ill-formed or incomplete utterance in an unobstrusive way’ (Panova & Lyster, 2002, p.582). Recasts have been 1
Data for the present study were derived from an M.A. thesis by Sali, P. (2000).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
investigated in terms of their corrective potential in native speaker-nonnative speaker dyads (Philp, 2003; Mackey, Gass & McDonough, 2003; Leeman, 2003), and in teacher-student interaction in second language classrooms (Lyster & Ranta, 1997; Lyster, 1998; Panova & Lyster, 2002; Lyster & Mori, 2006; Rassaei, 2014; Nassaji, 2017). However, although there is a substantial body of research on the role of CF and recasts, the main context of this research was frequently the field of second language acquisition, and little is known as to the use of CF and particularly recasts in foreign language classrooms. As a highly complex social activity (Sheen & Ellis, 2011), the ways CF are utilised might significantly differ from each other in different instructional settings. As also revealed by several studies, language teachers’ CF strategies might be influenced by contextual factors (Mori, 2002; Sheen, 2004). Sparked off by this, the present study sets off to answer the following questions: 1. What are the different types of CF and their distribution in foreign language classrooms? 2. What is the distribution of recasts in relation to other types of CF in foreign language classrooms? 3. What are specific types of recasts and their distribution in foreign language classrooms? The answers to these questions could be of significance to better make sense of how interactive patterns are established through CF in EFL classrooms, which, in turn, might contribute to the development of EFL teachers’ CF strategies. 2.
Methodology
In the present study, a descriptive-exploratory research paradigm was adopted due to the nature of the issue under scrutiny, and the exploration was achieved mainly through qualitative research mode. The present study was qualitative in that it employed qualitative means of instrumentation which yielded mainly qualitative data. Although the nature of the study led the researcher, to a large extent, to take a qualitative inquiry into the research phenomenon, quantitative research elements accompanied this qualitative inquiry in the description of the qualitative data: Data elicited through the observations were described and presented in the form of percentages and tables. 2.1 Setting The present study was conducted at an ELT Department of a university in Turkey. Data presented in the study were gathered from four first year speaking classes at the given department and from the two teachers of these given four classes (two classes per teacher). In the light of a piloting study conducted within the research setting before the actual data collection procedures, it was decided that speaking classes would be an appropriate context for data collection purposes that would provide rich data in terms of oral errors and types of CF. In terms of classroom activities (which are an important aspect of the classroom context), it was observed that the two given teachers (From now on, the teachers will be labelled as Teacher A and Teacher B) organised their pedagogical practices around three different activities: student presentation, vocabulary study, and coursebook study. 2.2 Participants The participants of the study were two EFL teachers who had been teaching speaking for almost two years at the department where the present study was conducted. Teacher A was female and had ten years of teaching experience including 3 years at the secondary level teaching English. She had an MA degree in ELT. Teacher B was also female and had five years of teaching experience including 1 year at the high school level. She had an MA degree as well. 2.3 Instrumentation As being one of the most prominent tools of classroom-oriented research, observation provides the researcher with an opportunity to delve into what is happening in classrooms and allows him/her to
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
have a close contact with classroom events. Thus, for the purposes of the present study, observation seemed to be the most appropriate research tool to explore what was happening in ELT speaking classes in terms of CF. The videorecorded observations of the two teachers’ classes yielded 12 lesson-hour classroom interaction. The teachers were observed for one week in the light of the analytic model of CF developed by Lyster and Ranta (1997). The lessons were videorecorded rather than audiotaped to be able to capture the whole aspects of classroom interaction and to obtain elaborate and high quality data. The teachers were not informed about the focus of the observation. They were just told that the researcher was interested in classroom happenings. 2.4 Data analysis The raw data obtained by means of videorecorded observations comprised 12 hours of classroom interaction and were transcribed on the basis of Allwright’s transcription conventions for classroom discourse (Allwright & Bailey, 1991). It was a demanding task to identify and quantify the errors and the corresponding moves of CF in that it required the researcher to move back and forth between the analysis to ensure consistency in the analysis. Within the scope of the present study, CF was defined as utterances that indicate to the learner that his or her output is erroneous in some way (Nassaji & Kartchava, 2017), error as any deviance from the target language forms and oral error as any error committed by language learners in oral classroom discourse. Thus, each deviance from the target language forms was counted to be an error. Following Lyster and Ranta (1997), errors committed were classified as either phonological, lexical, grammatical. Two additional error categories were also included in the analysis: Content errors and discourse errors. Furthermore, some instances of CF entailed multiple coding of CF moves, which implied that some errors were reacted by more than one type of CF. For the analysis of the specific types of recasts, four functional categories of recasts were utilised (Lyster, 1998): Isolated declarative recasts, isolated interrogative recasts, incorporated declarative recasts, incorporated interrogative recasts. Since the data were analysed only by the researcher, there was a need to ensure rater reliability. To ensure interreliability, the researcher asked another researcher to analyse the most representative CF sequences and recast types chosen from the data. As for intrarater reliability, the researcher reanalysed a small portion of data after a certain time had elapsed from the actual analysis. Data were then quantitatively represented through the calculation of frequencies of CF types and through the description of these in the form of percentages. 3.
Findings and Discussion
Before proceeding into the report and discussion of findings gleaning from the study, it should be noted that the findings were presented by referring to Teacher A and Teacher B separately to provide an elaborate account into the findings. In the extracts below, T stands for ‘teacher’, ‘SS’ for ‘students talking simultaneously’, ‘F’ for female learner, and ‘M’ for male learner. 3.1 What are the different types of CF and their distribution in foreign language classrooms? A detailed analysis of the observation data indicated that there was little scope for CF both in Teacher A and Teacher B’s classes. The most salient picture emerged in the teachers’ classes was that most of the time they were inclined to ignore the students’ erroneous utterances. This finding seems to echo those in Doughty (1994) and Nystrom (1983). Doughty’s study conducted in a classroom of adult French foreign language learning indicated that the teacher only treated 43% of erroneous learner utterances. Nystrom study, on the other hand, revealed an extreme case of a
11
VOLUME No.1
163 164 165 166 167 168
Conference Proceedings Richtmann Publishing LTD, UK
teacher who ignored all students’ errors. The tables below display frequencies and percentages of errors ignored and corrected in both teachers’ classes. Table 1. Frequencies and percentages of CF in Teacher A’s classes f 597 115 712
Ignore CF Total no. of learner errors
169 170 171
f 271 68 339
196 197 198 199
% 79,94 20,06
Both teachers’ noncorrective attitude towards their learners’ oral errors could be linked to their overriding concern for fluency in their classes rather than a concern for accuracy. The challenging nature of the speaking lesson might be another reason that has prompted the given teachers to ignore their students’ errors. Speaking in the target language has always caused a stir in foreign language learners’ affective worlds, because they generally fear committing errors and think that they will lose face. Presumably, the teachers took such affective challenges into consideration and did not wish to discourage the students’ efforts of interaction. Now, let’s shift our focus to various types of CF and their distribution in both teachers’ classes. 3.1.1 Teacher A Teacher A’s preferences for CF types are displayed in Table 3. As also visualised in Table 3, the largest category of CF emerged in the data was ‘recasts’ (32,17%). Table 3. Distribution of feedback types in Teacher A’s classes f 28 37 6 21 13 10 115
Explicit correction Recasts Clarification requests Metalinguistic feedback Elicitation Repetition Total no. of CF
189 190 191 192 193 194 195
% 83,85 16,15
Table 2. Frequencies and percentages of CF in Teacher B’s classes Ignore CF Total no. of learner errors
The following sequence of CF extracted from data illustrates how recasts are employed by the teacher. The student commits a phonological error, but the teacher waits for him to finish his utterance and expands his erroneous utterance by camouflaging the correction. Table 4. Recasts in Teacher A’s classes 1 2
M1: T:
... when the life will be end is not our /duti/ ... I believe it is the ‘duty’ of God ... If we just concern the person who has got the disease we make a mistake ...
This category was followed by explicit correction (24,35%) and metalinguistic feedback (18,26%). Along with recasts as implicit tools of providing the learner with the correct form, Teacher A was also inclined to provide the correct forms via explicit attempts of treatment in feedback sessions. 12
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Although these sessions were not a regular component of her lessons, they seemed to serve the purpose of increasing learners’ awareness on the gap between what they produced and what they should have produced. The following sequences exemplify how Teacher A employs these two types of CF. Table 5. Explicit correction in Teacher A’s classes 1 2
M3: T:
Are we going to listen cassette? You mean ‘tape’! . . .
Table 6. Metalinguistic feedback in Teacher A’s classes 1
T:
2 3
SS: T:
... Could you please correct? ‘His situation is very confused’. [The teacher writes the erroneous utterance on the board.] Confused, confusing ... Confusing because it becomes adjective it’s not a verb ...
The other feedback types were distributed in descending order as follows: Elicitation (11,30%), Repetition (8,70%), and Clarification requests (5,22%). Below are provided sample sequences exemplifying how these three types of CF are utilised in Teacher A’s classes. Table 7. Elicitation in Teacher A’s classes 1 2
M3: T:
. . . They want their children not hard ... What do you mean?
Table 8. Clarification request in Teacher A’s classes 1
T:
2 3 4
SS: T: SS:
... Could you please correct? ‘His situation is very confused’. [The teacher writes the erroneous utterance on the board.] Confused, confusing ... Hhm? Confused
Table 9. Repetition in Teacher A’s classes 1 2
F8: T:
... volume is the most important thing for – up to me for you
3.1.2 Teacher B In Teacher B’s classes, as indicated in the table below, recasts were the most widely used type of feedback (Due to limitations on space, only the use of recasts in Teacher B’s classes was exemplified). Table 10. Distribution of feedback types in Teacher B’s classes f 6 50 1 3 4 4 68
Explicit correction Recasts Clarification requests Metalinguistic feedback Elicitation Repetition Total no. of CF
Conference Proceedings Richtmann Publishing LTD, UK
The following episode exemplifies the use of recasts in Teacher B’s classes. Table 11. Recasts in Teacher B’s classes 1 2
F6: T:
He search for extra materials for the lesson. Hhm! Okay! ‘searches’ for supplementary materials. Ha! He does a lot of extra work ...
The other types of CF in Teacher B’s classes were distributed as follows: Explicit correction (8,82%), Elicitation (5,88%) and Repetition (5,58%), Metalinguistic feedback (4,41), and Clarification requests (1,47%). This strand of finding seems to suggest that Teacher B was most of the time inclined to provide her learners with correct target language forms through implicit modelling of these forms. As stated earlier, recasts are implicit CF moves that reformulate or expand an ill-formed or incomplete utterance of a learner. An overall look at both teachers’ classes seems to indicate that the teachers are predisposed to employ these implicit moves of error treatment to enable their learners to discover the discrepancy between their output and the realities of the target language. Similar findings were obtained in studies by Lyster and Ranta (1997) and Panova and Lyster (2002). What Lyster and Ranta, for example, found in their database consisting of 13.8 hours of classroom observation was that the recast (55% of the total number of the other teacher feedback tpes) was the largest category across the four teachers observed in their study. The study by Panova and Lyster generated similar results and indicated that of all the seven feedback types employed by the teacher, recasts were the predominant corrective technique. The nature of the speaking classes might have predisposed the teachers in the present study to provide additional linguistic input through implicit reformulations. As mentioned in the previous lines, speaking in the target language is not only a challenging task for language learners but also a painstaking experience. This challenge implies an affective burden for the learner and might inhibit his/her efforts of participating in classroom interaction. There is thus great likelihood that the teachers considered implicit reformulations to be less threatening for their learners than explicit means of correction. 3.2 What is the distribution of recasts in relation to other types of CF in foreign language classrooms? 3.2.1 Teacher A A look at Teacher A’s classes indicated that recasts constituted an important component of her repertoire of CF. As indicated in the table below, recasts in her classes accounted for 32% of the total number of other types of CF. What this implies is that, when compared to Teacher B, Teacher A has a wide repertoire of CF that she relies on to resolve interactional ambiguities taking place in her classrooms. Table 12. Distribution of recasts in relation to other feedback types in Teacher A’s classes f 78 37
Other types of CF Recasts
275 276 277 278 279 280 281 282 283 284
ICHSS 2017 Barcelona, Spain
% 67,83 32,17
3.2.2 Teacher B A glimpse into Teacher B’s classes indicated that recasts occupy the largest space in this teacher’s repertoire of error treatment. As shown in the table, recasts in her classes accounted for 73% of the total number of other types of CF. The teacher’s strong preference for recasts could be explained on the grounds that since recasts are implicit reformulations of an erroneous learner utterance, the teacher views recasts as an appropriate and non-threatening strategy for providing examplars of the target language.
14
VOLUME No.1
285 286
Conference Proceedings Richtmann Publishing LTD, UK
Table 13. Distribution of recasts in relation to other feedback types in Teacher B’s classes f 18 50
3.3 What are specific types of recasts and their distribution in foreign language classrooms? The functional properties of recasts emerged in data were analysed on the basis of four major categories of recast revealed in Lyster’s study (1998). These categories were: a) An isolated declarative recast which provides confirmation of a learner’ message by correctly reformulating all or part of the utterance with falling intonation and no additional meaning. b) An isolated interrogative recast which seeks confirmation of the learner’s message by correctly reformulating all or part of the utterance with falling intonation and no additional meaning. c) An incorporated declarative recast which provides additional information by incorporating the correct reformulation of all or part of a learner’s utterance into longer statement. d) An incorporated interrogative recast which seeks additional information by incorporating the correct reformulation of all or part of a learner’s utterance into a question. 3.3.1 Teacher A An indepth look at the nature of recasts in Teacher A’s classes revealed incorporated declarative recasts to be the largest category (59,46), as indicated in Table 17. This was followed by isolated declarative recasts (35,14%) and incorporated interrogative recasts (5,41). Isolated interrogative recasts did not appear in Teacher A’s classes. Below are provided episodes of CF illustrating the use of these specific recast types: Table 14. Incorporated declarative recasts in Teacher A’s classes 1 2 3
T: F5: T:
Rumour. Okay. What does it mean? General talking. Yes. It’s a kind of gossip. Yes. It’s a kind of gossip but you learn from the public ...
313 314 315
Table 15. Isolated declarative recasts in Teacher A’s classes
316 317 318
Table 16. Incorporated interrogative recasts in Teacher A’s classes
319 320
% 26,47 73,53
1 2 3
1 2
T: M1: T:
SS: T:
What’s wrong with your eyes? It’s always bloodly-uhm-bloodly. full of bloods.
/lavyır/ ... so what is the difference between attorney and lawyer?
Table 17. Frequencies and percentages of four types of recasts in Teacher A’s classes f 13 0 22 2 37
Isolated declarative recast Isolated interrogative recast Incorporated declarative recast Incorporated interrogative recast Total no. of recasts
321
15
% 35,14 0,00 59,46 5,41
VOLUME No.1
322 323 324 325 326 327 328 329 330 331 332
333 334 335
336 337 338
339 340 341
Conference Proceedings Richtmann Publishing LTD, UK
3.3.2 Teacher B An analysis of the specific types of recasts in Teacher B’s classes indicated that incorporated declarative recasts were the leading category (58%). The other prominent type of recast was isolated declarative recasts (34%). Isolated interrogative recasts seemed to occupy little space (8%), whereas no case of incorporated interrogative recast was encountered in the data. The following sequences extracted from the data exemplify the teacher’s use of three specific types of recasts. Table 18. Incorporated declarative recasts in Teacher B’s classes 1
T:
2
F3:
3
T:
What is the reason? Are they ordinary people? ... [They are talking about stuntmen.] I think they have a strong feeling that control the brain and the muscles ... they cannot put this I think. I mean they cannot resist their feeling. I mean there is a feeling that they cannot resist ...
Table 19. Isolated declarative recasts in Teacher B’s classes 1
M4:
2
T:
In my opinion, they made this only for aids, not for the fame ... I think their aims was only aid. Hhm, just helping people.
Table 20. Isolated interrogative recasts in Teacher B’s classes 1
M4:
2
T:
When people watched television closely, their harms may be /demeıdzt/ because television discriminated –uhm- harm light to eyes. Their harms can be damaged?
Table 21. Frequencies and percentages of four types of recasts in Teacher B’s classes f 17 4 29 0 50
Isolated declarative recast Isolated interrogative recast Incorporated declarative recast Incorporated interrogative recast Total no. of recasts
What is eyecatching in the teachers’ classes is the dominant use of incorporated declarative recasts for the reformulation of learners’ erroneous utterances. As mentioned before, these types of recasts serve the purpose of providing additional information by incorporating the correct reformulation of all or part of a learner’s utterance into a longer statement. This seems to indicate that the teachers make efforts to elaborate on their learners’ problematic utterances by expanding them linguistically and semantically. Such an effort is promising in the sense that the teachers are in pursuit of providing their learners with enriched opportutinities of input presumably to help them to better notice the discrepancy between what they have produced and what they should produce. Further, such an effort would probably be a great contribution to the construction of language learning contexts endowed with increased opportunities of negotiated interaction by allowing language learners to generate more output. This finding, however, does not seem to run parallel to what has been found in Lyster’s study (1998). In his investigation into different pragmatic functions of recasts in immersion classrooms at the primary level, he found that isolated declarative recasts were the major category emerged in the data. Such a difference between the present study and Lyster’s study could be linked to the instructional setting in which the two studies have been conducted. Data for the former study were from speaking classes in an EFL setting, whereas in the the latter one in an immersion setting. 16
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Implications
The present study offers important information for language teachers. The information flowing from such a study seems to be of relevance for language teachers in the sense that it would provide them with introspective insights into their pedagogical acts regarding the strategies of CF that they employ in their classrooms, and this introspection would presumably enable them to reconsider their pedagogical strategies of feedback. Furthermore, the study draws attention to the need for language teachers to have a range of CF strategies at their disposal to be able to account for various cognitive, linguistic and contextual variables in their classrooms. Given the dominant existence of recasts as an implicit type of CF in both teachers’ classes, it might well be argued that, rather than putting overemphasis on one type of feedback, language teachers need to adopt a balanced approach in their employment of different types of CF to better help their learners notice problematic aspects in their output. As also noted by Lyster, Saito and Sato (2013), ‘the most effective teachers are likely to be those who are willing and able to orchestrate, in accordance with their students’ language abilities and content familiarity, a wide range of CF types that fit the instructional context’ (p.30). 5.
Suggestions for Further Research
The present study took a descriptive-exploratory inquiry into the research issue under scrutiny and attempted to give a description of what is taking place in EFL classrooms in terms of CF. To gain a precise understanding on what lies behind their behaviours of CF, further studies might undertake research into language teachers’ introspective evaluations of their own practices of CF. Some other studies could concentrate on how language learners perceive different types of feedback that they have been given. 6.
Limitations
One of the limitations of the present study is concerned with the number of the participants involved in the study. Since this is a case study which has focused on two EFL teachers’ and their practices of CF, no claim could be made to its generalisability. A second limitation is that, due to constraints on time, the study could not adopt a more longitudinal focus. Thus, it might well be speculated that, with a more longitudinal focus, more elaborate information would have been obtained about the research phenomenon. 7.
Concluding Remarks
The present study yielded important information as to the way EFL teachers utilise CF in their classrooms. The findings of the study indicated that recasting of learner errors is the most frequently used strategy by both teachers involved in the study. What this suggested was that the teachers relied on implicit means of correction presumably in order not to obstruct their learners’ attempts of interaction. A closer examination of the nature of these implicit reformulations revealed that both teachers mostly preferred incorporated declarative recasts in which additional information was provided through the incorporation of the correct reformulation of all or part of learners’ utterance into longer statements. This clearly indicated that both teachers invested efforts in elaborating on their learners’ problematic utterances by expanding them linguistically and semantically. What such an effort mirrored was that the teachers were in pursuit of providing their learners with enriched opportutinities of input to help them to better notice the discrepancy between their unique output and the desired output. Although recasts are sometimes recognised as ineffective tools that might not always help learners focus their attention on form and meaning (Goo and Mackey, 2013) and although recent research casts some doubt on their efficacy when compared to other CF types (Rassaei, 2014), the present study appears to indicate that recasts might serve important communicative functions by helping language teachers to provide the input in an authentic and supportive manner and by
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
building on learner output. References Allwright, D. & Bailey, K. (1991). Focus on the language classroom. New York: Cambridge University Press. Doughty, C. (1994). Finetuning of feedback by competent speakers to language learners. Georgetown University Round Table on Languages and Linguistics: Educational linguistics, crosscultural communication, and global interdependence, 96-108. Ellis, R., Loewen, S., & Erlam, R. (2006). Implicit and explicit CF and the acquisition of L2 grammar. Studies in Second Language Acquisition, 28 (2), 339-368. Gass, S. M. (2017). Input, interaction, and the second language learner. Routledge. Goo, J., & Mackey, A. (2013). The case against the case against recasts. Studies in Second Language Acquisition, 35 (1), 127-165. Dulay, H. (1982). Language two. New York: Oxford University Press. Leeman, J. (2003). Recasts and second language development: Beyond negative evidence. Studies in Second Language Acquisition, 25, 37-63. Long, M. H. (1996). The role of linguistic environment in second language acquisition. In W. Ritchie and T. K. Bhatia (Eds.), Handbook of second language acquisition (pp. 413-468). San Diego: Academic Press. Lyster, R. & Ranta, L. (1997). Corrective feedback and learner uptake: negotiation of form in communicative classrooms. Studies in Second Language Acquisition, 19, 37-66. Lyster, R. (1998). Recasts, repetition, and ambiguity in L2 classroom discourse. Studies in Second Language Acquisition, 20, 51-81. Lyster, R., & Mori, H. (2006). Interactional feedback and instructional counterbalance. Studies in Second Language Acquisition, 28 (2), 269-300. Lyster, R., Saito, K., & Sato, M. (2013). Oral corrective feedback in second language classrooms. Language Teaching, 46 (1), 1-40. Mackey, A., Oliver, R., & Leeman, J. (2003). Interactional input and the incorporation of feedback: An exploration of NS–NNS and NNS–NNS adult and child dyads. Language Learning, 53 (1), 35-66. Nassaji, H. (2017). The effectiveness of extensive versus intensive recasts for learning L2 grammar. The Modern Language Journal, 101 (2), 353-368. Nassaji, H., & Kartchava, E. (Eds.). (2017). Corrective feedback in second language teaching and earning:research, theory, applications, implications (Vol. 66). Taylor & Francis. Nystrom, N. (1983). ‘Teacher-student interaction in bilingual classrooms: four approaches to error feedback’ in H. W. Seliger and M.H. Long (Eds.) USA: Newbury. Panova, I. & Lyster, R. (2002). Patterns of CF and uptake in an adult ESL classroom. Tesol Quarterly,36 (4), 573-595. Philp, J. (2003). Constraints on noticing the gap: nonnative speakers’ noticing of recasts in NS-NNS interaction. Studies in Second Language Acquisition, 25, 99-126. Rassaei, E. (2014). Scaffolded feedback, recasts, and L2 development: A sociocultural perspective. The Modern Language Journal, 98 (1), 417-431. Sali, P. (2000). A study on the treatment of oral errors in ELT classes. Unpublished M.A. Thesis. Uludag University, The Institute of Social Sciences, Bursa, Turkey. Seliger, H. W., & Long, M. H. (1983) (Eds.). Classroom-oriented research on second language acquisition. Rowley, Mass.: Newbury House. Sheen, Y., & Ellis, R. (2011). Corrective feedback in language teaching. Handbook of Research in Second Language Teaching and Learning, 2, 593-610. Yi, B., & Sun, Z. (2013). An empirical study of the effectiveness of negotiation of meaning in L2 vocabulary acquisition of Chinese learners of English. English Language Teaching, 6 (10), 120.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Widening the Scope and Scale of Sustainability Assessments in Built Environments: From Passive House to Active Neighbourhood Spela Verovsek University of Ljubljana, Faculty of Architecture, Zoisova 12, Ljubljana, Slovenia,
Matevz Juvancic University of Ljubljana, Faculty of Architecture, Zoisova 12, Ljubljana, Slovenia
Tadeja Zupancic University of Ljubljana, Faculty of Architecture, Zoisova 12, Ljubljana, Slovenia Abstract The paper provide an insight into the research conducted by the University of Ljubljana, and the Urban institute of Slovenia committed to the assessment of the efficiency related to the management of local resources at the level of neighbourhoods. The reduction of energy consumption and energy efficient built environments are key objectives of many sustainability agendas which is followed by suitable assessment methods in urban analytics. However, there are two important hesitations occurring: first, traditional assessment methods that focus solely on the energy reduction and efficiency are often too narrow in their analysis and limited in their scope of impact. According to the recent advances in research worldwide, efforts solely related to reduction of energy consumption will unlikely lead to more responsive environments or rise the living quality. Thus, more comprehensive methodologies for assessing and monitoring the change and transformation in built environments shall be sought for to reach long-term sustainability. Second, to date, the majority of the evaluation methods - whether focusing to energy consumption or broader sustainability issues – are building- or household- oriented, thus systematically examining separate spatial and social entities, but neglecting the spaces between, the holistic aspect and the community aspect. The research develops structured evaluation model, where two main research pillars are addressed: 1) the development of the structured and modular system of indicators; and 2) the development of the methodology to interpret the resulting values. The paper presents first two stages of the research process and subjects the outcomes to the debate. Keywords: sustainability, community, assessment, renewal, neighborhood.
1.
Introduction
The outcomes of the recent studies point out the need for a radical shift towards acquiring wider picture for a long-term sustainability and responsiveness of the built environments (Lombardi and Trossero, 2013; Clark et al., 2013), accordingly also he needs for the development of the suitable assessment tools for monitoring the progress of such settings are brought forth. To date, the majority of the evaluation methods – whether focusing to energy consumption or broader sustainability issues – are building- or household-oriented, thus systematically examining separate spatial and social entities, but neglecting the spaces between (connecting infrastructure and services, mobility, public space and urban design solutions etc.), the holistic aspect and the community aspect. The methodology for energy impact assessment at the level of individual buildings has already been developed, enacted and implemented in European and Slovenian frames; therefore solid foundations are set to bring this practice onto the subsequent levels – following the agenda from achieving passive houses, net-zero houses and similar, towards
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
achieving more efficient neighbourhoods1, more active and engaged communities and more associated concerns about the common local resources. This brings public spaces and the neighbourhood communities firmly into the focus. In this paper we provide an insight into the research committed to the assessment of the efficiency related to the management of local resources at the level of existent Slovenia neighbourhoods. The research proposes consistent and clearly defined targeted criteria, which makes the goals of the sustainable policies more tangible and is at the same time fundamental, meaningful notions both for the residents as well as for the planners and contractors in sustainable neighbourhood retrofitting/renewal. Specifically, the research develops structured evaluation model, i.e., neighbourhood sustainability assessment framework2, based on the modular system of indicators and to it connected methodology for the interpretation of resulting values. The designed instrument pinpoints potential weaknesses and low performance segments on the basis of quantitative and qualitative parameters of sustainable efficiency and determines the necessity for appropriate actions. The reason for addressing the issue at hand is a distinguished lack of instruments to collect and assess overall efficiency and rational use of resources in the existing settlements and their parts (districts, neighbourhoods) in a consistent and comparable way through a unique frame of key criteria and indicators, which provide foundation for targeted interventions. Another aspect is the particularity3 of the Slovenian build environments, based on the historic developments and past policies and tendencies to the renewal instead of new design, all together requiring adoption of the existing evaluation methods. 2.
From Passive House to Active Neighbourhood
In line with recognizing the importance of neighborhoods as the frontlines in the battle for sustainability (Choguill, 2008) the focus has been in parallel turned also to the development of the assessment frameworks for these scales. The methodology for impact assessment has been first developed and implemented at the level of individual buildings through nowadays well recognized certification standards and tools4. These tools are commonly applied to planned constructions and hypothetically consider the whole lifespan of it (from planning and construction to use, maintenance renewal and final deconstruction). With the continuing expansion of urbanized areas the basic operating component of strategic planning and research has moved towards the scale of a neighbourhood or a local community, providing a manageable and at the same time diverse unit with the ability to contribute a lion’s share to attaining sustainability objectives and the quality living objectives at the city level. There is a growing evidence and recognition that cities shape up through numerous socio-economic and policy-shaping transactions at the district- or neighbourhood- like scales (Waldron and Miller, 2013). Scaling up results in complex interactions and the assessments of the sustainability performance are proving to be much more than the summation of individual buildings and infrastructures (Haapio, 2012; Mori and Christodoulou, 2012). And further, the 1
As claimed by Waldron and Miller (2013) neighbourhood refers to a sub-set of an urban contexture that contains, and is connected by, people, public and private spaces, buildings, and infrastructure and that supports various functions (e.g., living, working, playing, learning and other functions). Neighbourhoods are therefore defined both in spatial or population terms contextualizing a socio-cultural dimensions, as well as a sense of belonging and place attachment. 2 A neighborhood sustainability assessment tools are instruments that evaluate the sustainability performance of a given neighborhood against a set of criteria and corresponding indicators (Sharifi and Murayama, 2013). 3 Due to past socio-cultural and political-economic situation, Slovenia's housing stock has a specific structure (heterogeneity) which is reflected in neighborhoods. The leaps in building scale, height, type and density are a frequent and common trait in Slovenia's neighborhoods. In this regard we are not focusing only on residential neighborhoods of larger cities but we also take in neighborhoods of smaller towns, villages and even complete hamlets that show the specifics of common Slovene neighborhoods. 4 Such as BREEAM (Building Research Establishment’s Environmental Assessment Method), DGNB (Deutsche Gesellschaft für Nachhaltiges Bauen), CASBEE (Comprehensive Assessment System for Building Environment Efficiency), LEED (Leadership in Energy and Environment Design) etc.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
interactions ad relations that are covered by larger scales may significantly alter the results which may have been valid on the building scale (Bourdic et al., 2012). Therefore, the measure of the neighbourhood foresees better opportunities to observe, analyse or evaluate urban design practices, community patterns as well as peoples’ engagement. It is also recognized as a favourable point to build a sustainable community (Sharifi and Murayama, 2013). This suggests that communities of people engaged in the conceptualization, design, development and on-going life of buildings, neighbourhoods and districts hold considerable potential for contributing to urban sustainability and higher proportions of responsiveness. Another pragmatic point is that at these scales a major part of public spaces and infrastructures are captured and, strategically taken, are directly managed by local or state institutions and thus measures are not limited to the stimulation of individuals but can represent completely realizable modules of actions for improving efficiency and rational management of all kinds of local resources. 3.
Methodologies
3.1 Inventory A comprehensive review and an inventory of existing methodologies for the assessment of the built environments were conducted using the Scopus and WOS search engines in 2016. 87 papers were extracted and processed due to two or more of the relevant searching parameters – neighbourhood assessment, assessment tool, renewal, sustainability/principles, and efficiency of the resources. After the first analysis that had validated the true relevance of the papers, we decided to eliminate 38 papers not adequately linked or relevant to our objectives. A considerable number of eliminated studies have focused on solely building performance assessment or were narrowly focusing to specific aspects of sustainability such as energy efficiency assessment or waste and water management assessment. These papers were reviewed separately to better understand the specific areas but were not included in the analyses. Additionally we revised two international standards: ISO 37120:2014 Sustainable development of communities – Indicators for city services and quality of life and ISO/TS 37151:2015 Smart community infrastructures – Principles and requirements for performance metrics. As a result we identified a collection of papers and tools from a wide array of sources. Commercial and non-commercial tools were taken into the consideration. The aim was to cover the tools that most frequently appear in the literature and, as far as possible, cover the variety of the broad field that can be viewed as sustainability assessment. The review has revealed range of frameworks for neighbourhood sustainability assessment developed across the world in last decades, among which the most widely recognized are systems such as LEED-ND (Leadership in Energy and Environment Design – Neighborhood Development), BREEAM - Communities (Building Research Establishment’s Environmental Assessment Method – Communities), CASBEE-UD (Comprehensive Assessment System for Building Environment Efficiency – Urban Development), HOE2R (HQE High Quality Environmental standard) etc. Specific attention was dedicated to the papers providing meta-analyses done in this field. Several authors have investigated the categories and criteria in the above mentioned tools through their comparison (e.g. Haapio, 2012; Berardi, 2013; Sharifi and Murayama 2015; Lin and Shih, 2016) to discuss the current situation. Majority of the meta-analyses take three to seven most popular tools into the comparison. 3.2 Framework setup There were series of the revisionary expert panels organized and applied from December 2016 to June 2017 to progress this framework in terms of relevant criteria and indicators. This first expert group was multidisciplinary (architect, geographer, civil engineer, economist) covering different proficiencies and expertize (energy performance certification of buildings - evaluator, net-zero and passive houses expert, urban risk management, public participation etc.). Special concern at the panels was committed to formerly less inspected levels of “in-between” spaces and infrastructures
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
(which is actually a main point of a neighbourhood scale). After the reflective inquiry and insight into the problematics of the existing neighbourhoodscaled assessment frameworks, combined with the results of the revisionary expert panels we set a structure of criteria and indicators within the frames of five main assessment categories: - energy efficiency - environmental efficiency - efficient use and management of the built environment - residents’ and communities’ engagement level - exploitation of ICT smart technologies by the citizens Each category was set on the three strategic levels: - individual building/household - public space/in-between spaces/public infrastructure - mobility infrastructure/mobility organisation In terms of theoretically considered sustainability coverage, this allowed us to address most of the pragmatic features that conduct the sustainable/unsustainable practices in the neighbourhoods. As a result a multi-criteria framework was established. The main principle of such framework encompasses the hierarchical and modular system of categories, criteria and sub-levelled indicators/metrics. Each category was defined by a set of criteria (and sub-criteria) and the corresponding indicators which being quantitative or qualitative measures. At this stage we decided to equally weight the criteria, however after the testing of the framework, we will estimate the necessities for weighing/pondering particular indicators or criteria. The framework proposes three main types of data sourcing: - official existing datasets (descriptive and cartographic) and calculations, - expert estimation, - survey-based sourcing (residents, community). After the first empirical survey and the response of the residents, we will estimate the potentials to cover data deficiencies by residents’ contribution. Also the techniques of the data crowdsourcing will be further examined. 3.3 Empirical testing To test, validate and complement the first outline of the indicators, we will further prepare a series of empirical examinations and surveys. Six Slovene pilot neighbourhoods are applied to serve as a “research testing ground”. The selection of pilot neighbourhoods is based on four key selection criteria that ensure heterogeneity of sample neighbourhoods and thus allow for a greater universality of the final instrument for the Slovene territory. Special concern will be committed to data availability and possible systematizations of the data collecting. Alternative indicators will be pursued in cases where levels of availability are typically low. 4.
Discussion
Reviewing the literature on assessment tools with regard to the generic core criteria for sustainability underlines the relevance of the different sustainability aspects applied. None of the debated tools/instruments cover the same aspects of the sustainability criteria nor cover them completely comparably. There is of course a logical reason for this. The instruments and tools, evolving from the integrated planning, monitoring and evaluation efforts use multi- or interdisciplinary approaches to addressing complex problems of relevance to policy and decisionmaking entities which makes sustainability coverage different or at least structured in a different way. Another reason for the discrepancies lie in the diversity of the geo-spatial and cultural backgrounds and with this related recognition of the relevance, which reflects the diversity of opinions about how to address sustainability at the neighbourhood level. Although the efforts in multi-criteria rating systems have turned from environmental issues (Berardi, 2013) towards others, there is little consensus on what should be covered by social or economic pillar. The least covered aspects that we have examined appear to be related to the human resources and scopes such as
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the community involvement, engagement of smart technologies, preserving spatial identity etc., there is an evident lack of measurable indicators that could provide with reliable information regarding such topics at such scale. One of the remarks that was also noticed by other authors (e.g. Clark et al., 2013) is that the frameworks fail in providing with less tangible aspects of the assessment, such as ‘place liveability’, ‘atmosphere’, ‘experienced diversity’, or ‘sense of identity’. This deficiency could lead to a skewing of coverage away from issues that considerably affect users’ and residents’ spatial experience and perception of quality living environment which – taken as a consequence – derives from either sustainable/prudent or poor design decisions. Likewise, no framework addresses the problem of unsustainable lifestyles directly, even though personal consumption accounts for 30% to 45% of total emissions (Säynäjoki et al., 2012). The literature review exposed another tendency: although a number of studies have been conducted to evaluate the potential of urban renewal, studies on sustainability assessment in urban renewal at a neighbourhood scale are often neglected (Zheng et al., 2016; Blum and Grant 2006). Possible reason for this inadequacy is the fact, that many of the neighbourhood assessment tools identified are based in earlier building-scale versions and are in fact spin-offs (Sharifi and Murayama, 2013) of the commercial building assessment tools (usually intended for the certification of the new constructions), that covers district level and reach beyond the single building, but following a similar process in identifying performance categories, outlining specific goals and targets for each category. Such tools are commonly applied to new built constructions, considering the whole lifespan of them, however, not specifically accommodated to existing stock nor implemented as solely a diagnostic tool (but a certification tool). Considering the current building trend, 80% of Slovenian dwelling stock existent in 2050 is already built today, with a majority being constructed and designed under the principles not adequate to what we nowadays consider sustainable. Thus, the biggest share and consequently the greatest opportunity lie in the buildings and neighbourhoods that were not designed according to these principles and would undergo a renewal which represents the highest potential for energy use reduction, emission reduction or other efficiency optimization. As also claimed by Batty (2012), the build environment have limited lifespans and have to be renewed continuously. New growth or absolute decay tends to be a relatively small proportion of the total change, which requires different approach in integrated planning, monitoring as well as evaluating the existing stock. Urban renewal on the neighbourhoods level typically occur on the gradual bases which makes most of the existing assessment tools not adequate due to their focus on the new build projects and facilities. In the process of selecting the criteria and discussing the indicators feasibility we encountered significant data requirements. The issue of possible data scarcity for the scale of neighbourhood was identified in our very initial stages of work. Literature gives relatively little answers to this question although it seems very crucial for the overall operability of the assessments instruments and actual implementations. Lützkendorfa and Balouktsia (2017) recommend to primarily investigate the available data sources and data before describing additional building structures on how to fulfil these requirements. In analysed applications (e.g. Kreutz, 2009; Bird, 2015; Sullivan and Rydin, 2015) the lack of data for the quantitative evaluation was most commonly fixed by performing qualitative assessment on the bases of trained expert estimation or a wider area was used as a proxy for performance against an indicator or more indicators. However in many elaborated cases the interpretation of results was limited by several identified data gaps and preexisting data-quality issues. Some common suggestions propose (Karol, 2009) that if assessment tools are to become firmly anchored in mainstream statistical data collection systems, it is vital to identify what are the most important measures in a particular locality and a decision needs to be made regarding what units of measure are to be used. Foreseeing the lack of available data at the neighborhood level, our study contemplates special examination (transversal objective) of availability, accessibility, adequacy and usefulness of the existing indicators, and the possibility of unleashing the potential of smart services and networks for sourcing micro-spatial data. Modern technology at disposal provides various possibilities for mass crowdsourcing (»collective sensing« concept), which can represent a valuable source of time-specific and locally-specific data and details, comprising various aspects of our everyday, our habits, views, observations, attitudes and preferences. Fine-grained urban sensing
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
(e.g. via smart phones) coupled with well-established remote sensing mechanisms would greatly enhance our potentials in terms of increased geographical resolution of captured data, denser timescale and finer eloquence. However there are numerous limitations on this way, such as adaption of the established indicators, data privacy issue, personal data protection, reliability of such data, to more technical ones such as the establishment of necessary computer applications, platforms, data storage, transfers etc. 5.
Conclusions
Many of the past practices that were taken for granted, such as planning cities around automobile transportation, and zoning for single uses, has turned out to be less economically, environmentally, or socially viable than necessary to cope with the nowadays and future challenges. Smart decisions are now to be in the Up-to-date and data-driven decisions can well serve the enhanced abilities to respond and adapt to these challenges in a “smart” manner. Rerecord-keeping and monitoring the progress of neighbourhoods from the diverse aspects of sustainable development, as well as shortterm and long-term comparability of successful retrofitting implementations across neighbourhoods in Slovenia is one of the primarily targeted goals of this research. Our efforts promote the potential for highlighting the frame of manoeuvrable room in urban renewal and design through data-driven support, giving consideration both to users’ demands/needs as well as to sensitivity and responsiveness of the mere spatial reality, which in turn influences the users’ behaviour as well as reveal the spatial thresholds in terms of social, economic and environmental constraints. By this framework we are addressing traceable and tangible spatial phenomena and elements and their cause-effect connection to everyday experience of dwelling, so the abstract notion of sustainability becomes concrete and publicly accessible. This allows for engaging people more firmly into the process of decision-making as well as provokes public spatial literacy, this is, fostering public ability to recognize the potentials, weaknesses and qualities in living environments to consequently act sustainably and make prudent/smart interventions. It is also an opportunity to encourage direct engagement with the inhabitants or the community to better understand their interests, concerns and priorities in their neighbourhoods. References Batty, M. (2012). Urban Regeneration as Self-Organization. Architectural Design, 215, 54-59 Berardi, U. (2013). Sustainability assessment of urban communities through rating systems. Environment, Development and Sustainability, 15(6), 1573–1591. Bird, K. (2015). Neighbourhood Sustainability Assessment: Connecting Impact with Policy Intent. Burnaby: Simon Fraser University. Blum, A., Grant, M. (2006). Sustainable neighbourhoods: Assessment tools for renovation and development. Journal of International Research Publications: Ecology and Safety, 1, 37-54. Bourdic L., Salat, S., Nowacki, C. (2012). Assessing cities: a new system of cross-scale spatial indicators, Building Research & Information, 40(5), 592-605. Clark, H., Aranoff, M., Lavine, E., Suteethorn, K. (2013). LEED for Neighborhood Development: Does it Capture Livability? Berkeley Planning Journal, 26(1), 150-166. Choguill, C. L. (2008). Developing Sustainable Neighborhoods. Habitat International, 32, 41-48. Haapio, A. (2012). Towards sustainable urban communities. Environmental Impact Assessment Review, 32(1), 165–169. Karol, E. (2009). Tools for Measuring Progress Towards Sustainable Neighborhood Environments. Sustainability, 1, 612–627. Kreutz S. (2009). Urban Improvement Districts in Germany: New legal instruments for joint proprietor activities in area development. J Urban Regeneration & Renewal, 2, 304–317. Lin, K.W., Shih, C.M. (2016). The Comparative Analysis of Neighborhood Sustainability Assessment Tools Environment and Planning B: Planning and Design. [Online] Available: http://journals.sagepub.com/doi/abs/10.1177/0265813516667299?ssource=mfr&rss=1 (November 2017). Lombardi, P., Trossero, E., (2013). Beyond energy efficiency in evaluating sustainable development in planning and the built environment. International Journal of Sustainable Building Technology and Urban Development, 4(4), 274-282 2013. Lützkendorf, T., Balouktsi, M. (2017). Assessing a Sustainable Urban Development: Typology of Indicators and
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Sources of Information. Procedia Environmental Sciences, 38, 546-553. Mori, K., & Christodoulou, A. (2012). Review of Sustainability Indices and Indicators: Towards a New City Sustainability Index (CSI). Environmental Impact Assessment Review, 32, 94-106. Säynäjoki, E., Kyrö, R., Heinonen, J., Junnila, S. (2012). An assessment of the applicability of three international neighbourhood sustainability rating systems to diverse local conditions, with a focus on Nordic case areas. Int. J. Sustain. Build. Technol. Urban Dev. 2012, 3, 96–104. Sharifi A, Murayama A. (2015). Viability of using global standards for neighbourhood sustainability assessment: Insights from a comparative case study. J Environ Plan Manage, 58, 1–23. Sharifi, A., & Murayama, A. (2013). A critical review of seven selected neighborhood sustainability assessment tools. Environmental Impact Assessment Review, 38, 73–87. Sullivan, L. Rydin, Y. (2015). Neighbourhood Sustainability Frameworks - A Literature Review. London: Centre for Urban Sustainability and Resilience College London. Waldron, D. and Miller, D. (2013). Regenerative Sustainability at the Neighborhood Scale. US: University of British Columbia.
Zheng, H.W., Shen G, Yan Song, Sun B., Hong J. (2016). Neighborhood sustainability in urban renewal: An assessment framework. Environment and Planning B, 44(5), 903 – 924.
25
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Successful and Efficient Knowledge Management in the Greek Hospitality Industry: Change the Perspective! Belias Dimitrios Research Fellow, Dept. of Business Administration, TEI of Thessaly, Greece
Rossidis Ioannis Administrative Director in HQA, Lecturer at the University of the Aegean, Corresponding Author
Velissariou Efstathios Professor, Department of Business Administration, TEI of Thessaly, Greece
Amoiradis Christos Lecturer, Department of Business Administration, TEI of Thessaly, Greece
Tsiotas Dimitrios Seasonal Lecturer in Mathematics, Polytechnic School, University of Thessaly, Greece
Sdrolias Labros Professor, Department of Business Administration, TEI of Thessaly, Greece Abstract In a constantly evolving world, new devices and technologies are incorporating. Organizations should follow the technological changes of the rest of the world if they want to keep up. Standards that were valid few years ago are no longer valid. In this new age knowledge has surpassed other traditional factors, such land, labor and capital. This paper approaches the historical evolution of knowledge, as well as the reasons that have made it an influential factor for organizations wishing to survive, using the tourist industry by way of an example. Furthermore, this paper explores how knowledge management can become a useful tool in the process of leveraging a tourist organization. Knowledge Management is a relatively new concept. Nevertheless, it has become a very popular term, which is increasingly used nowadays. Knowledge management focuses on organizational change under specialized guidance. The paper aims to analyze contemporary literature review in order to enhance the apprehension of how knowledge can become a useful tool not only to overcome crisis but also to contribute to the creation of new ideas and innovations. The paper seems to agree with Mantas (2016)’s view that knowledge management can become a tool to overcome the crisis and also to create innovative ideas which will contribute to the further development of tourism. The research outcome indicates that Organizations will be strongly benefited by such an approach. Keywords: Knowledge management, tourism, Greece, learning organization
1.
Introduction
Tourism is one of the main pillars of the Greek economy, as it employs a significant number of employees, which are a key component of the success of tourism businesses. The most appropriate working environment is the one that combines the satisfaction of staff needs with the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
satisfaction of the business objective that the decision-making team poses each time. Exploring how to treat a worker as a separate individual and placing him in a working group as an active member with the aim of maximizing his / her best work performance on the one hand and simultaneously satisfying him / her is the ideal combination for striking a balance between his performance at work and positive psychology in his role as a worker. Hotel business is also a service provider, where the human factor as a productive factor "work" plays a central role and therefore employees have a prominent position between productive resources and can lead them to economic success. This is because the employees are the link of the hotel business with the customer and through their contact with the customer they represent the whole image of the hotel (Cohen & Olsen, 2015). Therefore, the effective operation of employee incitement and the satisfaction of their individual needs flexible and well-skilled workers to a higher level of performance, both in quantitative and qualitative terms at the same time. The company's strategy should be shaped in such a way that it attaches great importance to attracting the right workforce as well as being empowered to empower its staff by implementing training programs and incitement methods so that staff are able to provide high quality services. A crucial element is the ability of the hotel to take advantage of the knowledge that its employees have developed but also to empower them so to learn and improve themselves (Cooper, 2006). So, the purpose of this paper is to examine the case of how the Greek tourist companies can take advantage of the knowledge which is found within the minds of their personnel; hence to develop knowledge management policies. This is a literature review. This means that the whole paper will use theories and other material which will derive from a research in published reports and papers. The authors have made a research on online databases and other points where they can gather the material used on this paper. Regarding the expected results, this is a research which relies on secondary sources. Hence, the expected outcome is to produce the related theories and discuss it in detail. 2.
Literature Review
2.1 The value of the personnel. Effective management is an inherent motivation and the difference it has in relation to other types of incentives is that the empowerment is achieved within from this it is continuous and daily. A manager must cultivate a favorable environment where thought, action, individual behavior will be enhanced. Organizations can contribute to the well-being of employees when: 1. Informing staff about organization and strategies 2. Taking part in the decision making 3. Avoiding mistreatment 4. Informing staff about their performance 5. Strengthening diversity (Tsai et al., 2015; Nikova et al, 2015). What a company needs is a leadership with emotional intelligence. Managing human resources requires social and emotional ability. A good and effective manager is required to have empathy, i.e. to understand what people feel, to get in their place, to cultivate contact and to coordinate with many different people (Tsai et al., 2015). In addition to the emotional intelligence needed by a manager, he must also be aware of the feeling of "good stress". Good stress refers to the pressure that pushes the person into action. The leader of a decision-making group knows he can sway the decision he wants and in most cases he only wants a validation of his views. Incitement and performance will only come to the workers when dissent and freedom of opinion are encouraged, and even more so when the views of employees are taken into account when making a decision. One of the most important and critical decisions is to educate the personnel so to make them learn to produce new knowledge and to exploit the existing knowledge. Education is a useful technique where many businesses adopt to strengthen employees' skills and knowledge and is one of their most important strategies for attracting new staff and retaining already recruited staff. According to recent research, human resource education strongly contributes to organizational engagement (Hanaysha, 2016). Employees express the need to be given the opportunity to develop them skills that will allow
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
them to perform better. Continuous improvement is the desire for new data. Both work and learning are of a social nature. People learn better when they are totally committed to what they do and the more they practice doing a job, the better they face the challenges they may be experiencing. Education is indispensable regardless of age because the same opportunities for education and development should be offered to improve their performance and broaden their horizons (Kefis et al, 2014; Iun & Huang, 2007). 2.2 Knowledge management Knowledge management is perhaps the most important activity for a business. Having properly organized the knowledge that she gathers from her daily routines, is able to accomplish the following tasks (Nonaka & Toyama, 2015),: - Manage in a uniform way and have valuable organizational information (e.g. workflows, data charts, etc.) - Avoid wasting resources on tasks that are often repeated and for which they can use preexisting knowledge - Organize better its resources and time - Improve and accelerate the training of new employees - To encode and retain knowledge as its own intellectual property even when its employee leaves The main problem that one faces in trying to create a business knowledge base is the fragmentation of knowledge in the different departments and the cautiousness of people sharing their knowledge with others. To this end, a system of knowledge organization and management should be incorporated into the day-to-day business of the enterprise in an opaque way, turning the recording of knowledge into a typical activity, which will have to help workers rather than weaken them. The solutions available to you when designing a new information system are usually two: either to complete existing tools that will each cover a part of the company's needs or to develop from the outset an information system that suits perfectly the needs. The first option leads very quickly to a solution that does not cover 100% of the initial needs and therefore requires the company to accept modifications and cuts to its original objectives. The second option requires much more resources, time and money to materialize (Nonaka, & Toyama,, 2015). 2.3 Knowledge Management Systems Knowledge Management Systems (KM Systems) are systems that allow employees to have direct access to a knowledge base of the organization's knowledge base, information resources and solutions. Through the knowledge management process, experiences, ideas and incidents that can facilitate people or entire organizations are created, recorded, organized, identified and distributed. Many businesses invest in knowledge management systems, which are often part of business strategy, information technology, or human resources management. As shown in Figure 1, the Knowledge Management process is directly related to learning in every form, formal (at an organization or group level) or atypical (personal).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Figure 1. Connecting knowledge to learning Wikipedia Source: http://en.wikipedia.org/wiki/Knowledge_management The expected benefits for the business can be summarized as follows (Wang et al, 2014): Better knowledge of the development and delivery of products and services Shorter cycle of new product development Better management of innovation Exploiting the know-how of people throughout the organization Better networking and communication between business executives and external partners Evolution of knowledge of employees by gaining experience and ideas about their work Resolving insoluble or unresolved problems Creating intellectual capital for the business The process by which knowledge is constantly evolving and expanding is followed by a recurrent flow, as shown in Figure 2, to the creation and externalization of knowledge, to the combination of other existing and relevant knowledge, the reintegration of the knowledge produced and the notification inside the business, and so on.
Figure 2: The process of creating and managing knowledge Source: Nonaka & Toyama, (2015)
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
In order to understand the need for a Knowledge Management system in the business, we quote the following examples. • An engineer could implement the process of creating a SAP clone system and the problems it may face during the course or this function will facilitate the exchange of technical information at departmental level information technology can lead to faster and more efficient implementation of the process as well as to update it with new information arising from the current procedure • A technician could restore a cube to an ESSBASE ORACLE HYPERION base. • A trainee technician could recover a HP-UX system using ignite backup system cartridge • A help desk user could connect an ERP user to a network printer. • A development engineer could solve the problem that occurred in one concurrent program at the close of the accounting period which had reappeared last year (Hislop, 2013) In many cases, knowledge accumulated by an organization becomes part of its day-to-day activities, and from informal or semi-structured knowledge, it becomes a Business Rule. Very often, businesses ask for knowledge management information systems to incorporate these rules into individual processes. In the framework of the work, an attempt was made to support the creation of such rules and to integrate them in the automation of the request handling process. In a very simple approach that demonstrates the capabilities of such systems, depending on the keywords used by a request, the help desk user is proposed for sections that may be able to handle the request 3.
Discussion
In many cases, knowledge accumulated by an organization becomes part of its day-to-day activities, and from informal or semi-structured knowledge, it becomes a Business Rule. Very often, businesses ask for knowledge management information systems to incorporate these rules into individual processes. In the framework of the work, an attempt was made to support the creation of such rules and to integrate them in the automation of the request handling process. In a very simple approach that demonstrates the capabilities of such systems, depending on the keywords used by a request, the help desk user is proposed for sections that may be able to handle the request (Terry et al, 2013). Tourism is a service-based industry. This means that the quality of the services provided and the end result depends a lot on the human capital of the tourist company. Knowledge management can contribute into a successful and effective management of the knowledge that the employees have on their disposal (Nieves & Segarra-Ciprés, 2015). For example, a front-office employee knows well what the weaknesses of the tourist company are while the employee can be the one who will find the solution. The aim of the knowledge management systems is to organize those thoughts and ideas so to turn them into new products and solutions. According to a research conducted by Velissariou & Krikeli (2008) in a large number of Hotels in Greece, the majority of the employees in the hotel industry are not highly educated. Especially employees with only Secondary School (Lyceum) certificate or with “Basic (obligatory) education” in 2 star to 5 star hotels, amounts to a total of 62,3%, of the overall personnel number. Ιn 5 stars hotels the personnel educational level is, as expected, higher than in the rest of the Hotels. In both categories, "Post graduate staff" and also "Staff with a University degree", represents the 30,8% of all personnel, compared to the 19,1% of higher educated staff in 3 star hotels. Table 1: Educational level of personnel in Hotels in Greece by category Velissariou Efstathios & Krikeli Olga (2008) Educational level of personnel Post in Hotels by category graduate 5* 2,33% 4* 1,76% 3* 1,58% 2* 1,17% 5*-2* 1,55%
University degree 28,49% 18,86% 17,54% 17,25% 18,80%
31
Technical school 26,37% 21,76% 16,08% 12,87% 17,40%
At the same time, Continuing education is applied to the majority of 5* hotels, in a percentage of 95,5%. On the contrary in the 4* and 3* hotels, a high percentage of hotels of about 26%, does not include any program of education, neither participates in programs of education of other institutions. It’s quite interesting to mention that the 59,1% of 5* hotels apply programs of education for their new personnel, while in 4* hotels the percentage goes up to 32,6% and in the 3* it reaches the 23,3%, while 2* hotels only educate a 7,89% of new staff. (table 5 below) Table 2: Continuing training in Hotels in Greece by category Velissariou Efstathios & Krikeli Olga (2008) Continuing training in Hotels by category 5* 4* 3* 2* 5*-2*
Programs for new staff 59,10% 32,65% 23,33% 7,89% 23,41%
No training (seminars) 4,50% 26,53% 25,00% 63,16% 37,84%
Mantas (2016) has provided empirical evidence from a number of Greek firms which includes many service-based companies, including tourist companies, which indicated the knowledge management can become very useful in a time of economic turmoil. It can help a company to create new ideas, find solutions and to become a learning-based organization that is ready to provide innovations. Also, knowledge management can be used on many other types of tourist services. For example, when there is the time to book a package or to create a tourist product, a knowledge management system can store all of the previous packages along with offers, details and prices so to help the tourist manager to come up with an effective offer that will meet the client’s demands. For this reason there are many information systems, such as Amadeus, which are used for booking but also they can be used a knowledge management systems which they can help the tourist company and its officers to make their inquiries easier but also to ensure the high quality of their services (Thomas & Wood, 2014). It is important to remember that today the competitive advantage comes from the new ideas and the ability to cope with problems. For this reason a knowledge management system will help the tourist companies to capitalize their intellectual capital and to use it as a mean to become more competitive. 4.
Conclusions and Recommendations for Future Research
Modern business management experts argue that the business knowledge, technology and information available to the company are its most important resources. It is also important for the company to manage them efficiently in order to remain competitive (Nieves & Haller, 2014). As knowledge, technology and information cannot be copied easily and directly, it is necessary to have information systems that allow the collection, storage, processing and dissemination of knowledge in the various departments of the company. A knowledge management system can become a useful tool for a tourist company. It is a fact that tourist companies can deal with a great deal of information. Therefore if the company’s management has the unique ability to manage this information but also to capitalize it so to turn it into a knowledge that will generate a sustainable competitive advantage. It seems that there has not been much research into this. While Mantas (2006) had identified a set of interesting points and that knowledge management can become a source of competitive advantage, still there is a need to focus a future research into the area of tourist operations. This can be with qualitative research and a case study analysis. The sample can be managers and employees who are working in tourist companies which have developed knowledge management systems. The aim will be to evaluate those systems and see how they are working.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
References Cohen, J. F., & Olsen, K. (2015). Knowledge management capabilities and firm performance: A test of universalistic, contingency and complementarity perspectives. Expert Systems with Applications, 42(3), 1178-1188. Cooper, C. (2006). Knowledge management and tourism. Annals of tourism research, 33(1), 47-64. Geisler, E., & Wickramasinghe, N. (2015). Principles of knowledge management: Theory, practice, and cases. Routledge. Hanaysha, J., 2016. Examining the Effects of Employee Empowerment, Teamwork, and Employee Training on Organizational Commitment. Procedia - Social and Behavioral Sciences, 229, pp.298–306. Hislop, D. (2013). Knowledge management in organizations: A critical introduction. Oxford University Press. http://en.wikipedia.org/wiki/Knowledge_management Kefis, V., & Aspridis, G. (2014). Management and development of the human resource of NGOs in Greece : Utopia or reality?, International NGO Journal, 9 (4), (p.p. 43-52). Mantas, C. (2016) Lost in Translation: Greek-based Enterprises struggle to adopt Knowledge Management and Learning Organisation approaches, PhD Thesis, University of Leicester Nieves, J., & Haller, S. (2014). Building dynamic capabilities through knowledge resources. Tourism Management, 40, 224-232. Nieves, J., & Segarra-Ciprés, M. (2015). Management innovation in the hotel industry. Tourism Management, 46, 51-58. Nieves, J., Quintana, A., & Osorio, J. (2014). Knowledge-based resources and innovation in the hotel industry. International Journal of Hospitality Management, 38, 65-73. Nikova, D., Aspridis G., Koffas S. (2015). Sociology of labour and HRM : An interdisciplinary approach, Proceedings in 5th International Conference on Humanities and Social Sciences, (p.p. 66 – 73) Nonaka, I., & Toyama, R. (2015). The Knowledge-creating theory revisited: knowledge creation as a synthesizing process. In The essentials of knowledge management (pp. 95-110). Palgrave Macmillan UK. Terry Kim, T., Lee, G., Paek, S., & Lee, S. (2013). Social capital, knowledge sharing and organizational performance: what structural relationship do they have in hotels?. International Journal of Contemporary Hospitality Management, 25(5), 683-704. Thomas, R., & Wood, E. (2014). Innovation in tourism: Re-conceptualising and measuring the absorptive capacity of the hotel sector. Tourism Management, 45, 39-48. Tsai, C.Y. et al., 2015. Work environment and atmosphere: The role of organizational support in the creativity performance of tourism and hospitality organizations. International Journal of Hospitality Management, 46, pp.26–35. Velissariou Efstathios & Krikeli Olga (2008).The Human factor as criteria of quality in hotels. Measurements in the Greek Hotel sector. 1st International Conference on Tourism and Hospitality Management. Organized by Tourism Research Institute of DRATTE. 13-15 June 2008 Athens. Wang, S., Noe, R. A., & Wang, Z. M. (2014). Motivating knowledge sharing in knowledge management systems: A quasi–field experiment. Journal of Management, 40(4), 978-1009.
33
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Fiscal Decentralisation, Public Expenditure Management and Human Capital Development in Nigeria Stephen I. Ocheni, Phd Professor of Public Sector Accounting and Management, Faculty of Management Sciences, Kogi State University Anyingba, Kogi State, Nigeria
Michael Sunday Agba, Phd Department of Public Administration, University of Calabar, Calabar, Nigeria Abstract The paper focuses on fiscal decentralization, public expenditure management and human capital development in Nigeria. It presents a synergical relationship/nexus between fiscal decentralization, public expenditure management and human capital development and sees fiscal decentralization as an imperative necessity of empowering levels of government with financial resources to bring government closer to the people by the rendition of social services to people within their jurisdictions. The paper further argues that assigned fiscal responsibilities of governmental agencies must be backed up with prudent management of public expenditure (recurrent and capital) which should be aptly targeted at developing the human resources considered as the kingpin of true developmental efforts in any society. Nigeria, a social formation with an estimated population of 180 million persons and the largest economy in Africa has consistently failed in fostering the development of its human capital through budgetary allocations and implementation, fiscal decentralization and public expenditure management. To arrest the trend, the paper calls for a sustained commitment on the part of government in the development of the nation’s resources through sustained budgetary allocations in education, health, agriculture, infrastructural development, training and retraining of workers, power, science and technology and execution of people oriented public programmes/projects. Keywords: Fiscal decentralization, public expenditure, management, Human Capital Development, Budgetary Allocations
1.
Introduction/Setting the Scene
Give me six hours to chop down a tree and I will spend the first four (hours) sharpening my axe (Abraham Lincoln cited in Deeper Life Daily Devotional Guide, vol. 4, 2017). The expression “government is finance” underscores the essentiality of finance in the execution of the social contract existing between the government and its citizens. The social contract theory by Thomas Hobbes projects a “psychological contract and understanding” where the citizens in attempt to avoid the state of nature described by Hobbes as brutish, cruel, selfish, nasty, fearful, criminalistics and animalistic in nature surrendered their rights and authorises the state or sovereign power to provide for them essential social services that make life enjoyable and the society habitable. This explains in a theoretical sense and nutshell, the emergence of a Welfarist State where the state is mandated to intervene and play a fundamental key role in protecting and promoting the socio-economic well-being of its citizenry. In developing states like Nigeria, Kuwait and other oil producing states, the fast-developing phenomenon of welfare state has been tied to the discovering of oil in large commercial quantity coupled with the influence of political and social factors in the country. As Khalaf and Hammoud (1987) observed with regards to the case of Kuwait: The causes of this fast-developing phenomenon have generally assumed to be the inevitable result of the accumulation of petro-dollar revenues and the willingness of the ruling elites to
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
modernise their traditional societies (p. 343). In the case of Nigeria, Ozor observed that, although, the establishment of public enterprises in the country dates back to colonial times, its rapid expansion in a large scale by the government after independence was the direct consequence of the discovery of crude oil in large quantity which empowered the state financially to intervene economically and in the provision of more essential services. To carry out its responsibilities to its citizens and society, the state has had to employ the tools of budgetary allocation, policy and public expenditure. By these tools, financial resources are allocated to the various sectors of the country through the jurisdictional mandate of the three tiers of government (the federal, state and local governments). It must be acknowledged that the efficiency and effectiveness at which fiscal resources are allocated in the state has been a serious concerned for scholars and professionals. Hence, the fashionable call (this call became so attractive and pronounced around 1950 to 1980) among scholars, professionals, politicians and policy makers to embrace and apply fiscal decentralisation, public expenditure management and the development of the human capital as a means of improving efficiency, performance of the public sector and stimulating development in the country and the world in general. This paper is therefore an attempt to examine the performance and effect of fiscal decentralization and public expenditure management on human capital development in Nigeria. The paper shall also attempt to examine the policy options available for the country in the face of the current economic recession the country is battling with. For the purpose of exposition and understanding of the issues under disquisition, the paper is compartmentalized into sections. 2.
Presentation of Conceptual Lenses and Prism
Our interest here is to present and clarify the following conceptual lenses and prism: fiscal decentralisation, public expenditure management and human capital development. These concepts are not new in the literature of management, accounting, public administration, and other social science disciplines; however, their clarification here will help us greatly to calve out a direction for the disquisition before us. 3.
Fiscal Decentralization
Perhaps the best, engaging and a more rewarding approach to start the clarification of fiscal decentralisation is first consider the meaning of decentralisation. Decentralisation means in a general sense, the transfer of political and decision making power/authority from the central government to other levels of government (sub-national governments) deemed to be closer to the people. This is done with a view to improving public accountability and the capacity of the state to render social services to the people efficiently and effectively. Although, the term decentralisation is not a new concept, it however, gained attention in the 1950s and 1960s when British and French governments prepared the colonies under their jurisdictions for independence by devolving responsibilities for certain programmes to local authorities (Work, 2002). In a statement that provides an historical linkage between decentralization and development, Work (2002), noted that, in the 1980s, decentralization came to the forefront of the development agenda alongside the renewed global interest on government and human-centered approaches to human development (p.5). Developed and developing countries which have decentralised do that for at least five contextual reasons: for western countries that have embraced the doctrine of decentralization, they adopted it as an effective mechanism for restructuring the government to render public service effectively in the post-welfare state” epoch (Bennett, 1990 and Widasin, 1997 cited in Ebel and Vilmaz, 2002:2). It has also been argued that developing countries who are resorting to decentralisation, do so order to overcome the challenge of ineffective and inefficient governance, macroeconomic instability and inadequate economic growth (Bird and Vaillancourt, 1999 cited in Ebel and Vilmaz, 2002). For countries in Latin America which have adopted decentralisation, did so out of the political pressure coming from the people (Rojas, 1999 cited in Ebel, 2002). On the other hand, post-communist central and eastern European countries see decentralization of the state as
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the consequence of the paradigm shift and transition from socialism to market economy and democracy (Bird, Ebel and Wallich, 1995 cited in Ebel, 2002). Decentralization could also be adopted as the case in some African states, for the reason of promoting national unity (World Bank, 1999), integration and development. Decentralisation is in three forms: political decentralisation, fiscal decentralisation and administrative decentralisation. The diagram which appeared as the appendix I in this paper presents the nature of the above three forms of decentralization; and the system outcomes, results and impact that decentralisation could possibly have on the society. The diagram present decentralisation as a restructuring policy option aimed at stimulating the presence of government in terms of development at the grassroots/rural communities. In other words, decentralization is closely associated or related to “subsidiarity” which presupposes that functional tasks be assigned to the lowest level of social order deemed to possess the competence of accomplishing them (Work, 2002 & Stohr, 2001). Having seen the meaning of decentralisation and the possible three forms it may take in a country, what then is fiscal decentralisation? When decentralisation is qualified by the term fiscal, it is used to refer to “budgetary practices” and “resource reallocation” to state or local governments in order to improve the quality and effectiveness in the conduct of government business while expanding the authority and capabilities of sub-natural levels of government (Work, 2002; UNDP, nd). Resource allocation as a component of fiscal decentralization is often accompanied with agitations and negotiations for the building of human and institutional capacities. As Work (2006:6), pointedly observes: Arrangements for resource allocation are often negotiated between the central and local authorities, based on several factors including interregional equity, availability of resources at all levels of government and local fiscal management capacity. Experience in fiscal decentralisation has led to capacity building in expenditure and revenue assignment as well as the design of fiscal transfer formulas and sub-national borrowing. Basically, therefore, fiscal decentralization deals largely with the transfer of financial authority and responsibilities from the central government to other levels of government for the purpose of improving public service delivery, stimulating economic growth, engendering human capital development, and expanding effective infrastructural development. In Nigeria fiscal decentralisation is well-enshrined in the constitution of the federal republic of Nigeria. The debate, on fiscal decentralization in Nigeria has been largely centered on the need to increase the funding capacity of state and local governments in view of their inadequacy in meeting up with their financial obligations of providing public services and goods to people within their jurisdictional area of responsibility. However, the other side of the debate is that the performance of government with regards to the effective and efficient utilisation of financial resources in the provision of public services and goods is at best described as epileptic due to lack of accountability, bureaucratic bottle net, bazaar mentality and leadership challenges. Here is lies the burden of this paper which seeks to assess the Nigeria’s fiscal decentralization and public expenditure management in the light of its effects on human capital development implications. According to Khemani (2001), discussions on Nigeria’s fiscal decentralisation overwhelmingly revolves around the revenue formula that allocates resources from the country’s federation account amongst the three levels government – 48.5 percent of the financial resources are transferred to the federal government, 24 percent to the states government, and 20 percent to the 774 local government areas. The 7.5 percent remaining is shared between derivation funds for oil and mineral producing areas, a stabilisation fund, an ecological fund, and the Federal Capital Territory FCT (Khemani, 2001:1). The position of this paper is that fiscal decentralisation has not been justified by the state and local government especially in salary and benefits payment, infrastructural development, human capital development and public service delivery in general. Hence, the imperativeness of the call by Nigerians for the Buhari led administration at the federal level to take up the responsibilities of paying salaries to state and local government workers as a way of guaranteeing the financial empowerment of the human resources at that level. It is important to note that the 1999 constitution of the federal republic of Nigeria and other sources assigns responsibilities and expenditure to the federal, state and local governments. These expenditure
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
responsibilities are captured in table 1 below: Table 1: Nigerian Expenditure Assignments Level/tier of Expenditure category government Federal only Defense, shipping, federal trunk roads; Aviation; Railways; posts, telegraphs, and telephones; police and other security services; regulation of labour, interstate commerce, telecommunications; mines and minerals; social security; insurance; natural statistical system; national parks, guidelines for minimum education standards at all levels; water resources affecting more than one state; Federal-state Antiquities and moments, electricity; industrial, commercial and agricultural development; (shared) scientific and technological research, statistics and surveys; university; technological and post-primary education; health and social welfare; State-local Primary, adult and vocational education; health sources; development of agriculture and (shared) non-mineral natural resources; Local Economic planning and development; cemeteries; burial grounds, homes for the destitute government and infirm, markets; sewage and refuse disposal; roads, streets, street lighting, drains, other public facilities.
Source: Khemani, Stuti (2001), “Fiscal Federalism and Service Delivery in Nigeria: The Role of States and Local Governments”, p. 4; The 1999 Constitution of the Federal Republic of Nigeria and Sectoral Policy Reports. 4.
Public Expenditure Management
Generally, public expenditure is the means through which recurrent and capital needs of the nations are addressed. It usually takes the form of recurrent expenditure which deals with government expenditure outlays fundamental for its day-to-day running. The second form that public expenditure takes is capital expenditure which refers to investment outlays of the government aimed at increasing the country’s capital stock (Ukah, 2009). Over the years, the scope of government business has expanded and become complex, thus, increasing the expenditure of government and the cost of governance. For instance, the cost of governance became so much that the Obasanjo Civilian led administration in Nigeria (1999-2007), sought to reduce the cost of governance through far reaching reforms in the country’s public personnel structure by rightsizing and embarking on the monetization of the fringe benefits of public servants (Agba, 2006 & Agba, Achimugu, Chukwurah & Agboni, 2011). In the face of this reality and the decline in government revenue as a result of the fall in crude oil price in the international market, the management of government expenditure has become imperative to promote the accomplishment of three desired outcomes: aggregate fiscal discipline; allocative efficiency and operational efficiency (Campos, 2001:1). Within this background, public expenditure management is seen as a fundamental instrument of government policy to distribute and make use of available resources productively, effectively and sensitively (Allen, Tommasi, 2001:19; Djurovic- Todorovic and Djordjevic, 2001; 2009). In specific terms, public expenditure management include among others such activities like allocation of resources through budgetary processes; managing budget implementation in a prudent and transparent manner; accounting, reporting and auditing aimed at ensuring fiscal transparency and performance measurement and evaluation. Behind, every successful and effective public expenditure management is the building of human and institutional capacity. Human resource management lies at the heart of improving social service delivery by means of public expenditure management. The diagram in appendix 2 of this paper captures this point and highlights the basic objectives of public expenditure management and budget management. As already alluded to, human resource management lies at the heart of obtaining the basic objectives (aggregate fiscal discipline, allocation efficiency and technical efficiency) of public expenditure management (PEM). Each of the objectives of PEM requires a well trained and motivated human component to guarantee its accomplishment. Human resources are
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
organizational assets vital for its effective and efficient functioning. Onah (2015) observes that human resources are usually rated higher than other resources since the management of other resources (financial, physical, information resources) largely depends on the former (p.3). In fact, the failure of any public expenditure management system is essential a failure of human resource management and human capital development. It is therefore rewarding to state that Cuming (1968:21) sees human resource management in its simplest form as obtaining the best possible staff for an organization and, having gotten them, looking after them so that they can be retained and willing to stay and give of their best to do the job for which they are employed. If we are to adopt a fiscal decentralisation that will have a positive impact on resource allocation, public service delivery, infrastructural development and socio-economic development, then the right caliber of personnel must be obtained through an effective human resource management system. However, this depends on creating conducive political, economic, social technological, physical and legal environments in which human resource management will operate and develop. This brings to the question about what human capital development as a component of human resource management. Human capital is actually a term popularised by Jacob Mincer and Grary Becker. It refers to the human factor of an organization; the creativity, knowledge, skills, expertise, abilities of the people employed in an organization and which helps to give the organization its distinguishing characteristics (Armstrong, 2009; Bontis et al; 1999). According to Davenport (1999), workers possess innate abilities, behaviours, and personal energy and these elements constitute the human capital that is brought to the workplace. Fiscal decentralisation that will produce the desired sustainable outcome of effective public service delivery, efficiency resource allocation and economic growth and development should be targeted at developing the human capital. The significance of human capital development in this direction cannot be over emphasized. As Armstrong (2009:78), aptly observes, “human capital theory, regards people as assets and stresses that investment of organizations (and countries) in people will generate worthwhile returns”. Developing the human component of a country or an organization involves creating and cultivating enabling environments in which workers and human beings in general can readily learn and adopt new ideas, skills, behaviour, competencies and attitudes. This can be accomplished through the mechanisms of training, facilitation, coaching and consulting (Human Capital Development Group, 2017), workshops, conferences and educational programmes. It is in the light of this that Harbison (1962) sees human capital development as the acquiring and increasing the number of persons who possess the requisite skills, experience, education and knowledge which are fundamental for economic development and growth. Fiscal decentralisation should therefore be directed at building capacity and empowering people and mobilizing productive resources for the betterment of the masses at all levels of government. In this regards, Adelakun (2011), argues that: .... what really matters in Nigeria is the empowerment of people and the mobilisation of economic surplus into productive investment channels. There is also the need for the Nigerian economy (Nigerian government to make concerted efforts) to eliminate or minimize those constraints towards human capital development so as to enhance rapid economic growth (p. 30).
There is no better time to develop the human capital of the country than now when the country has just emerged out of recession and revenue from the oil sector is consistently dwindling. Empowering people and developing a country’s human capital increases the chances of wealth creation, economic growth and development. If this is the case, it is apt to develop time in this paper to assess the human capital development strategies of the country. 5.
Assessment of Human Capital Development Strategies in Nigeria
The Nigerian government at federal, state and local government levels has over the years adopted a number of strategies aimed at developing the human capital that is fundamental in engendering the development of the country. An assessment of these strategies summarily shows that good intentions are sometimes not translated into reality. As noted earlier in the paper, the constitution of
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the Federal Republic of Nigeria recognizes and made provision for fiscal decentralisation as a means of bringing government closer to the people at the grassroots through the financial empowerment of the three levels of government. Each year, budgetary allocations are made to address sectoral needs such as education, agriculture, security, defence, aviation, infrastructure, transportation, electricity, health, power, etc. Agitations by unions like the Academic Staff Union of Universities, (ASUU), Nigeria Medical Association, etc have been on to increase government fiscal expenditure in relevant sectors of the economy. We shall begin our evaluation of Nigeria human capital development strategies by taking a look at the country’s past budgetary allocations on education. Employment in the educational sector of the country runs in millions covering academic and non-academic staff and involving both public and private educational institutions. Generally, tertiary educational institutions in Nigeria are established for the production and training of the manpower resources of the country; conduct of research, assisting in the consumption of research outputs and community service. In other words, tertiary educational institutions are to perform the tripartite functions of teaching, research and community service (Agba, 2015; Agba and Ocheni, 2017). Given the above cardinal role played by the educational sector, government’s budgetary allocations date back to the colonial era. However, our interest in this paper is on selected budgetary allocations since democratic resurgence (19992015). Let us start by looking at the 2013 budget of the Federal Republic of Nigeria. The 2013 budget of the Federal Government of Nigeria emphasized four cardinal pillars: macro-economic stability, structural reforms in key sectors of the country, governance and institutions and investment in critical sectors of the country. These pillars were actually a continuation of the four pillars emphasized in the 2012 budget. The financial provision for human capital development in the 2013 budget in the area of education and health was N705 billion. Other allocations provided in the 2013 appropriate Act are N387.97 billion for statutory transfers; N591.76 billion for debt service; N1.62 trillion for capital expenditure; N2.38 trillion for recurrent (Non-Debt) Expenditure consisting of 1.1717 trillion for personnel cost and N208.9 billion as overhead cost. N180 billion was budgeted for the provision of social safety net schemes; maternal and child healthcare, youth development and vocational training of Nigerians (Okorijo-Iweala, 2013). A critical look at the above budgetary allocations reveals that the government made some effort in developing the human capital of the country through the education, health and infrastructural development of the economy. However, government efforts are deemed inadequate in view of the pressing demand coming from the educational and health sectors of the country. Across the country, the efforts of the federal government were complemented by budgetary provisions of states and the 774 local governments in the country. Again these complementary efforts are deemed inadequate compared to expectations. Acknowledging this inadequacy, Abdallah (2016), observes that: The federal and state governments will spend less than 9 percent of their total budgets of 12.2 trillion on education this year (2016), despite their publicised commitments toward the sector. Available budgetary statistics depict that in 2016, N653.53 billion (10.70%) of the total budget of 6.1 trillion of the 33 states in the country was provided for education. This figure is below the 26 percent benchmark prescribed by UNESCO on the educational sector (Abdallah, 2016). The figure below provided by Abdallah (2016) further shows the 2016 budgetary allocations on education in terms of the federal government and the six geopolitical zones of the country. In 2016, a total of N1.02 trillion was spent by the Federal government and the six geopolitical zones of the country. While the federal government spent 368 billion Naira on the educational sector the six geopolitical zones spent as follows on education: South-South (N101 billion); South-East (N 13 billion); South West (N 178 billion); North Central (N 102 billion); North East (N85 billion) and North West (N174 billion) (Abdallah, 2016). It is our considered opinion that effective implementation of the budget despite the seemly inadequate provisions will add value to the human capital development of the country. The Federal Government in 2014 showed a greater commitment to developing the human capital of the country through budgetary provisions of 493.45 billion Naira on education (10.6% of the total budget) and 262 billion Naira (1.7 billion USD) on health which constitute about 6% of the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
national budget of the country for 2014 (Ihekweazu, 2013). These budgetary provisions fell short of the global prescribed expectations of 15% of a country’s budget to be spent on health and 26% UNESCO’s benchmark on education (Ihekweazu, 2013; PWC, 2014). Public expectations from government for the health, education and other sectors of the country are high and demands for annual increase of financial allocation are on the increase. Actual increase and mounting expectations will make no meaning if allocations are not match with prudent use of budgeted resources and transparent accountability shown by governmental institutions. This is what the Buhari’s administration desire to achieve when President Buhari stated that his government will ensure that every kobo budgeted for counts. It is important to also note that the 2014 budget which was named “a budget for job creation and inclusive growth” focused attention on manpower empowerment for job creation, infrastructural development, regulating cost of governance, supporting industry and creating a conducive environment for doing business (Okogu, 2014). To provide a security and friendly environment, the defence sector that year gulped 968.127 billion Naira (i.e. 20% of the total budget estimated at N4.962 trillion). Government also made provision of N268.37 billion for Subsidy Reinvestment and Empowerment Programme, SURE-P. It will be recalled that the Subsidy Reinvestment and Empowerment Programme (otherwise known as SURE-P) was a scheme established by the Federal Government of Nigeria under the leadership of the then President of the country, President Goodluck Ebele Jonathan. The scheme was initiated on January, 2012, with the goal of re-investing the savings arising from fuel subsidy removal on critical infrastructure projects, social safety net programmes and creates employment through internship programs for unemployed graduates in the country. The internship scheme was meant to serve as a tool for human capital development through the acquisition of fundamental job skills. The task of combating unemployment and poverty is a national concern and one that has engaged the policy agenda of government but with less encouraging results of government performance given the mounting problem of unemployment and poverty (Onah, 2012; Umobon and Ekong, 2015; Abu, 2015). Statistics for 2015 and 2016 budgetary allocations of the Federal Government of Nigeria show a budgetary allocation of N492.034 billion on education in 2015; N369.6 billion on education in 2016. The health sector in 2015 and 2016 respectively gulped 237 billion (about 5.5 percent of the total budget of 4.36 trillion in 2015) and N221.7 billion (Odunsi, 2015; Otaru and Nwaosu, 2015). The 2016 budget of the federal government which is titled budget of change was presented with a determination to prudently utilize it financial provisions. This is captured in the President Buhari statement during the presentation of the budget proposal to the National Assembly: This budget (2016) will ensure that every kobo spent by government counts; we will devote a significant portion of our current expenditure to institutions that provide government services... Nigerians must be part of the growth story. Our government shall deliver on security, jobs and infrastructure; it is the right of all Nigerians (Vanguard, December 22, 2015). A look at the above words shows president’s concern to better the lots of Nigerians and develop the human capital of the country through prudent financial usage and management. This is demonstrated in his fight against corruption in the public sector of the country. We therefore submit that, it is not enough to make budgetary provisions as is annually done in federal, state and local government budgets, but that such budgetary provisions must be prudently utilised to bring about the development of the human capital and other sectors of the country. There are other strategies which also demonstrate government commitment in developing the human capital of the country. These strategies are the training and retraining of staff, sponsorship of conferences, workshops and support for staff development and research undertakings. On annual basis, government budget for the above as a means of developing its human resources for competitive advantage. For instance, the federal government through the Tertiary Education Trust Find (TETFUND) has consistently supported infrastructural development in federal and state owned tertiary educational institutions (Universities, Polytechnics, Colleges of Education and Minotechnics); staff development of academic and non-academic staff (through sponsorship of post graduate programmes of staff in Nigeria and abroad); issuance of research grants to well deserving proposals submitted by a team of academic staff; grants to staff to publish books and journals; etc. Such interventions though not enough, have actually made significant impact in the development of
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
public educational institutions. To say the least, the TETFUND has in a way provided “focused and transformation intervention in public tertiary institutions in Nigeria through funding and effective management (www.tetfund.gov.ng/index.php/2-uncategorised/3-our mission). 6.
Conclusion
The idea behind fiscal decentralisation is not bad. However, the possibility of its abuse by governmental agencies through poor public expenditure management hampers the development of the country’s human capital. Because of the importance of human capital development, it important not compromise budgetary expenditure in such sectors like education, health, transport, infrastructure, training and staff development, research development, agriculture, etc. Building capacity in these sectors is one of the means of guaranteeing the socio-economic development of the country and the delivery of democratic dividends to Nigerians. References Abdallah, Nuruddeen M. (June 3, 2016). “FG States spend 8% of Budgets on Education” .Daily Trust,www.dailytrust.com.ng/news/general/fg-states-spend-8-of-budgets-on-education/149521.html. Retrieved on 6/12/17 Abu, Christian Ukeame (2015). Subsidy Reinvestment and Empowerment Programme (SURE-P) and Employment Generation in Nigeria (2012-2014). Master of Science thesis submitted to the Department of Political Science, Faculty of Social Sciences, University of Nigeria, Nsukka, December 2015. Adelakun, O. J. (2011). Human Capital Development and Economic Growth in Nigeria, European Journal of Business and Management 3 (9): 29-38. Agba, M.S.( Jan., 2015). Electric Power Supply and Work Performance of Academic Staff in Nigerian Universities: A Synergy Analysis. Indian Journal of Commerce and Management Studies, 4(1): 33-44. Agba, M.S., Achimugu, H.,Chukwurah, D.C.J., Agboni, J.U. (2012). Reward System in the Nigerian Political and st Public Sector: The Call for a Paradigm Shift in the 21 Century. International Journal of Learning and Development,2(5):77-85. Agba,M.S. (April,2006).The Monetization Policy of Federal Government of Nigeria and its Implication for Workers Productivity and Governance . Sophia: An African Journal of Philosophy,8(2).77-83 Agba, M.S. & Ocheni, S. I. (2017). An Empirical Study of the Effects of Work Environment (Electric Power Supply) on Job Performance of Academic Staff in Nigerian Public and Private Universities. Higher Education of Social Science (12(1): 11-20 Allen, Richard and Tommasi, Daniel (2001). Managing Public Expenditure: A Reference Book for Transition Countries, SIGMA: OECD. th Armstrong, Michael (2009). Armstrong’s Handbook of Human Resource Management Practice 11 Edition, London: Kogan Page. Bontis, N., Dragonetti, N. C. Jacobsen, K. And Roos, G. (1999). The knowledge toolbox: A review of the tools available to measure and manage intangible resources”. European Management Journal, 17 (4), pp. 391402. Campos, J. Edgardo (2001). What is Public Expenditure Management (PEM)? The Governance Brief: A Quarterly publication of Asian Development Bank, Issue I (pp. 1-4). Cuming, M. W. (1968). The Theory and Practice of Personnel Management, New York: McGraw Hill Book Company. Djurovic-Todorovic, J. & Djordjevic, Marina (2009). The Importance of Public Expenditure Management in Modern Budget System, Facta Universitatis Series: Economics and Organization, 6 (3): 281-294. DLBC (2017). Daily Manna: A Daily Devotional Guide. Vol. 4, Lagos: Life Press Ltd. Harbison, F. H. (1962). Human Resources Development Planning in Modernising Economies. International Labour Review (pp. 453-458). Human Capital Development Group (2017). Human Capital Development:Global Business perspective, cultural sensitivity. Available at www.thhcdgroup. com. Ihekweazu, Chikwe (2013). “Analysis of Nigeria’s Budget for Health in 2014”. Nigeria Health Watch, Retrieved from nigeriahealth watch.com/analysis-of-nigeria-budget-for-health-in-2014 on 5/12/17. Khalaf, Sulayman & Hammoud Hassan (1987). The Emergence of the Oil Welfare State: The Case of Kuwait. Dialectical Anthropology 12 (3): 343-357. Odunsi, Wale (2015). “2016 Budget: Breakdown of sums allocated to Presidency, MDAs, others”. Daily Post, December 26, 2015. Okogu, Bright (2014). “A Broad Analysis of the 2014 FGN Budget”. A presentation at the ICAN symposium on
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the 2014 Budget, Tuesday, 15, July, 2014. Okonjo-Iweala, Ngozi (2013). “Overview of the 2013 Budget”. Premium Times, March 8, 2013. th Onah, Fab O. (2015). Human Resource Management, 4 Edition, Nsukka: University of Nigeria Press Ltd. Onah, V. C. (2012). Politics of Youth Empowerment and Poverty Reduction in Nigeria. Education and Training 37, 13-17. Otan, Anthony and Nwaosu, Beta (2015). “Stakeholders seek 15% Budgetary Allocation for Health Sector” in Nigeria. The Guardian, 28 May 2015. Ukah, O. C. (2009). Government Expenditure Management and Control within the framework of Ethiopian Economy, African Research Review: An International Multidisciplinary Journal 3 (1): 206-213. Umobon, E. & Ekong, U. (2015). Employment Generation for a small Economy: The Nigerian Case. International Journal of Interdisciplinary and Multidisciplinary Studies, 2 (93-103). Vanguard (2015). “2016 Budget: FG to spend 221.7bn on Health Sector”. Vanguard, December 22, 2015. Work, Robert (July 2002). Overview of Decentralization Worldwide: A Stepping Stone to Improved Governance nd and Human Development. Being a paper presented at the 2 International Conference on Decentralization with the theme Federalism: The future of Decentralising States 25-27 July, 2002, Manila, Philippines, UNDP (pp. 1-20). st World Bank (1999). World Development Report 1999/2000. Entering the 21 Century. New York: Oxford University press.
Appendix 1
Figure 1: Decentralisation and its consequential impact on three fronts Source: Adapted with slight modification from Parker, Andrew N. (1995). Decentralisation:The Way Forward for Rural Development, Policy Research paper 1475. Washington, DC: The World Bank
43
VOLUME No.1
461 462
463 464 465 466 467
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Appendix 2
Source: Allen, Richard and Tommansi, Daniel (2001). Managing Public Expenditure: A Reference Book for Transition Countries, p. 20.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
How some Seemingly Moderate Political Elections Results may Redirect a State’s Historical Course, from the Top Down to the Transformation of National Growth and Socio-Cultural Development Patterns: Turkey’s Political Reforms over the Last Decades as an Ideal Paradigm of MultiFaceted National Re-Orientation John Karkazis1 Georgios C. Baltos2 Janis Balodis3 1
Prof. John Karkazis is the Dean of Business School, University of the Aegean, Chios, Greece 2 Ph.D(c) of Business School, University of the Aegean, Chios, Greece 3 Belarusian Economic Research and Outreach Center (BEROC), Minsk, Belarus Abstract This paper discusses a model for identifying and evaluating how the critical changes in the politics of a state impact its socio-economic life. Political transitions of this magnitude may stem out of elections results, but they are not limited to governmental reforms, since they further create a historical rift between the former and the latter status. They definitely initiate regime turnovers, geostrategic reorientation and shifts of geopolitical axes, but they also transform the national growth and socio-cultural development structures and features.The case study chosen refers to Turkey’s political transformation over the last decades; it is considered an ideal paradigm for testing the relevant research questions due to the extent and depth of the revolutionary changes triggered by the Islamic or the so called neoottoman political parties taking over power and overthrowing the long-lasting status quo of kemalism. The consequences of the before mentioned political shift are being examined in correlation with certain statistical indicators like students’ enrolment in the education system. The statistics are projected over a time series covering previous and current status. Then they are mapped via a Geographic Information System on a regional spatial context towards more comprehensive visual representation and further interpretation of the structural changes indicated. Keywords: political transformation, Turkey, socio-economic indicators, Geographic Information System, regional mapping
1.
Introduction
The critical changes in the politics of a state impact in general its socio-economic life. Some of them, however, signal exceptional political transitions, not just limited to governmental reforms, as long as they further create a historical rift between the former and the latter ideological characteristics underlying a national identity (see Fig. 1). They definitely initiate regime turnovers, geostrategic re-orientation and shifts of geopolitical axes, but they also transform the national growth and socio-cultural development structures and features (Anayasa, 2011). The case study chosen refers to Turkey’s political transformation over the last decades; it is considered an ideal paradigm for testing the relevant research questions due to the extent and depth of the revolutionary changes triggered by the Islamic or the so called neo-ottoman political parties taking over power and overthrowing the long-lasting status quo of kemalism. The consequences of the before mentioned political shift are being examined in correlation with certain statistical indicators like students’ enrolment in the university education system. The
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
statistics are projected over a time series covering previous and current status. Then they are mapped via a Geographic Information System (ArcGis 9.3.1-Datum: WGS 1984) on a regional spatial context towards more comprehensive visual representation and further interpretation of the structural changes indicated. Consequently, this study examined the expected progress of tertiary education in the proIslamic Anatolia as a reflection of Turkey’s socio-political transformation from the kemalist to the so called “neo-ottoman” ideological universe. Taken the Turkish elections wave of reforming results before and after 2000 as the dependent factor, and given the limited length of an academic paper, the independent factor prioritized and chosen was one related with the education (Erisen, 2014). The model was set up to indicate regional changes, testing the hypothetical impact of the applied neo-ottoman policies upon the semantic tertiary student’s enrolment, whose quantity and quality is of significance for any proclaimed wide and deep social development (Cizre, 2008).
Fig. 1. The interaction between major political transitions and socio-economic changes may have such magnitude resulting in national identity transformation (Source: made by the authors). 2.
Historical Background of the Political Shift
Turkey was established on the ruins of the Ottoman Empire. In 1923, Mustafa Kemal Ataturk, the so called "Father of the Turks" launched an ambitious campaign to create a modern country based on western social life norms if not on western values (Erickson and Hook 2013). At the crossroads of political and social evolution in Turkey, all the relevant historical descriptions and analyses of Turkey lie on the common grounds of remarkable volatility as well as dramatic cultural clashes. The Turkish state draws the attention for its diverse or even hybrid features mixing up oriental and western lifestyles, elections, coups and dictatorships, secularism and theocracy. Its geopolitical environment is of such significance that Turkish leadership have been always in the temptation of “punching above their weight”. Sometimes they have succeeded (Gokhan Ulum, 2014). However, the latest decades establish new challenges related to a strategic future that is inextricably bound up with the future of immediate neighbors in the region as well as the superpowers conflicting interests (Baltos, Vidakis, Balodis, 2017). The current Turkish answer against the afore-mentioned challenges is mainly the rhetoric and the practice of a “new Turkey”, which practically invoked in a context of division between two eras, the Kemalist period (the old Turkey) versus the post-Kemalist period marked by the Justice and Development Party (AKP) governance (Kocamaner, 2015). The implementation of democracy during a state’s evolution is a long and multi-faceted process. It may be at the first place reviewed and justified through the examination of using the terminology basics of a democracy: suffrage, elections, parliamentary representation, etc. (Kabir, 2014). Theoretically, these are the foundational institutions of democracy, but more and less democratic countries use the terms and reserve the title for themselves, given that they are anyway administered by the incumbent governments which keep the first word on certifying the validity of the multi-type election results (Przeworski, 2009). At the next step of democratic maturity, the emphasis is placed on the recognition of the citizens’ and parties’ right to oppose governments, applying and enjoying respective freedoms. The ultimate end though is to uplevel the society along with the citizens quality of life and prospective for peace and prosperity (Senay, 2013). This is all
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
explained in regard with the usual question following a political status or even regime change; is it, for example, the above mentioned “new Turkey” more or less democratic than the old one, is the post-kemalist era promising better days for the Turkish people? Since the times of T. Ozal, there were significant efforts to bring the peripheral Anatolian populations in a course of progress and prosperity after they had been neglected by the so called “deep kemalist state” for decades. T. Ozal questioned the republican practices that were leaving the less developed eastern rural areas in the shadow of the western more advanced urban ones (Karkazis, Baltos, Vidakis, 2017). The human and material resources hidden there where progressively activated in the form of Islamic capital deployed by local businesses, religious communities and Middle Eastern funds (White, 2011). These entrepreneurs, dramatically called “Anatolian Tigers”, were trained to survive with no state support, therefore, when they were somehow facilitated towards their operations, dynamically excelled and flourished (Öztürk, 2011). Despite the severe political obstacles, the Islamic parties met all the way from T. Ozal to R.T. Erdogan, the fight against the republican status quo was victorious; the latter continued the former’s initiatives, won multiple elections up to the point that the country lately has been strategically transformed with apparently difficult or no way back (Metin, Toktas, 2003). 3.
Methodology
From a general point of view, the political theories determine a threefold framework of analytical layers; the first one is the global (systemic/external), where the prior role belongs to the international factors influencing the country-states decision making (alliances, economic dependence, energy resources scarcity, etc.). The next layer is the states’ governments (internal), in other words the political regime as it is defined by the contemporary leadership, while the last one is the individual citizen’s social development at the bottom of the political powers pyramid (Jackson, Sorensen, 2006). It is underlined that the states are the protagonists of internal and external relations, since acting as sovereign political units they take full responsibility for their stance and actions. However, the consequences result in the daily life of the citizens, who may suffer or prosper because of the statesmen policies and practices (Karaosmanoglu, 2011). All these three layers simultaneously impact long running strategies, but their contribution weights depend on the dynamically changing circumstances. Extending further the aforementioned approach, and towards interpreting decision making, this paper examines the projection of major changes against a long-lasting and ideologically deep-rooted political status quo, like the so called centennial kemalist status quo in Turkey, towards the citizens’ quality of life and the behaviors they deploy as a reaction to the political transition activities surrounding them (Phillips, 2017). The interaction of the political change with citizens’ lifestyle choices is being further examined in time and space dynamic context (Friedman, 2016). The time series include a part of the previous as well as a part of the new political order, while the effects of the transition are being mapped, using visual, comprehensive and credible, representation tools provided by a well-recognized geographic information system (Öztürk, 2011). The case study explores the impact of endogenous political forces on characteristic socioeconomic institutions before, during, and after an Islamic party took over the state control and governance in the Turkish Republic. After the mild military intervention of 1997, against the swift ruling of Turkey by N. Erbakan’s Islamic party, electoral masses concentrated on R.T. Erdogan’s attempt to recover the political Islamic return to power, as it really happened (Guiler, 2016). The released political rigor launched the shift of other societal pillars, thus economic and social reforms recommended by political Islam attitudes were soon implemented. The elections in Turkey are presented as the pivotal reference point of a state in transformation (see the specific Elections timeline in Fig. 2).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Fig. 2. The elections timeline for the reference period. Regional Elections results presented on the NUTS 2 territorial unit basis (EUROSTAT Statistics Explained, 2017). Red (or dark grey for b/w images) and green (or light grey) colors reflect kemalist and pro-Islamic majority votes respectively. The mechanism of elections is an expression of pro-Islamic public opinion political feelings that progressively transform the old-time secularist fortresses, some of the difficult-to-enter, highly elitist and segmented pro-kemalist institutions like the universities. It is still to investigate the content of the curricula in the universities that opened, after 2002, their gates to multiple students not having access before. The religious programs themselves surely increased the size of the tertiary enrolment, but no matter the “religious-friendly” orientation of many university sectors, the specialized, theoretical and practical, prospective provided are populating the educational successes, whose practice confirms our hypothesis that the political shock resulted in multi-layered societal revolutions. In this context, the rationale for conducting this case study research on a state influenced by deep ideological earthquakes proved to be fully justified. 4.
Statistical Analysis
Subject data taken from the Organization for Economic Co-operation and Development (OECD) (OECD, 2017). Regions editions, United Nations Development Programme (UNDP, 2016) (Human
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Development Index) and Turkish Statistical Institute were helpful for understanding both individual and collective behaviors of residents (Turkish Statistical Institute, 2017), providing statistical material at the sub-national level, graphs and maps available for comparisons. It was then possible to identify the ways that elections regional results, correlated with social like the educational figures and characteristics, increased our research capacity to diagnose local development, as well as criteria and requisites applied towards mobilizing resources for daily life changes at each region level. Measuring education levels, concluded on narrative snapshots of how life was being lived, and consequently how can be improved at each separate region registered as an OECD area. This pilot experiment showcases the contribution of a country’s regions to social progress via wider participation into the educational system, drawing on specific comparable data and certain time trends across regions (Oguz, Pinarcioglu, 2006). The education is an ideal indicator to highlight the rise and/or fall of regional disparities, underscoring institutional changes and common characteristics among developing regions (OECD, 2011). Mixed linear models were used in order to find out if there were any significant changes over time and if these changes differentiate according to the regional political status. Thus, the regression equation included terms for political status and time. Adjusted regression coefficients (β) with standard errors (SE) were calculated from the results of the mixed models. These models are remarkably useful in exercises where repeated measurements are performed on the same statistical units (longitudinal study). Given their advantage to deal with missing values, mixed effects models are often preferred (Ciddi, 2009). In the current study, student enrolments of tertiary education were the repeated units and dependent variables that were measured annually from 1995 to 2005. Interactions of political status and time were tested in order to investigate if the effect of the political status on dependent variables was different or consistent over time. Log transformations were used in all dependent variables. All p values stated are two-tailed (see Fig. 3). Statistical significance was set at pz
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
This regression is conducted by using random effect model (GLS). The significant results are followed by one star * if it significant with α = 5% error and two stars ** if it is significant with α = 1%. In this regression, the dependent variable is calculated as leverage ratio = Total Debt / (Total Debt + Market Capitalisation). The independent variables are the industry median, size (Log of total assets), profitability (EBITDA / Total Assets), tangibility ((Net Property, Plant and Equipment) / Total Assets), Dummy for financials, return (yearly total stock return), tax (effective tax rate), growth opportunities (price to book ratio) and continuous variable for ownership. The first significant variable is size that presents a positive significant relationship with leverage. The tradeoff theory, based on Myers (2001), argues that big firms have low possibility of default and low volatility because they are more diversified and mature than smaller firms. Besides, the agency theory would expect larger firms to have less adverse signal issues than smaller firms as indicated by Fama and French (2002). The pecking order model explained by Myers and Majluf (1984) supports that larger firms are more mature and well followed by the analysts, which reduces the adverse selection problem. The second significant variable is profitability. These results are predicted by the pecking order theory presented by Myers and Majluf (1984) because most profitable firms would prefer to use internal cash before using any external resources due to the problem of asymmetric information. However, the tradeoff theory presented by Myers (2001) expects the opposite relationship because profitable firms would tend to issue more debt in order to benefit from the tax shield. Several studies have already criticized this weakness about the tradeoff theory because of the negative relationship between profitability and leverage as indicated by Myers (1984), Wald (1999) and Fama and French (2002). Tangibility variable is also significant. The trade off and the pecking order theories did both expect a positive correlation. Based on the tradeoff model by Myers (2001), firms in an industry with higher level of tangible assets would be able to issue more debt as they can use these assets as collateral for loans. The pecking order theory predicts also a positive relationship between tangibility and leverage. Firms with higher level of tangible assets will suffer less from asymmetric information and might use it as collateral to issue debt before equity as revealed by Myers and Majluf (1984). On the other hand, the agency theory presented by Jensen and Meckling (1976) and Jensen (1986) is the theory that expects a negative correlation. The dummy variable for the financial firms provided significant results. I have introduced this variable to control for the financials because I did not exclude them from my sample. The ownership variable presents insignificant results (with α = 5% or α = 1%). I have used a continuous variable for the ownership variable in this first case. This could be an indicator about the good governance of the Moroccan firms. Indeed, firms held by parent groups, that control banks, do not benefit from an easy access to debt compared to the other firms in the stock market. Alternative explanations might be provided to explain this finding. As a matter of fact, firms that belong to powerful holding firms might follow the strategy defined by the group to use equity and internal cash first. Indeed, these groups, that hold also bank subsidiaries, might follow the pecking order theory or the signaling model to avoid any adverse signal. The growth (P/B) is a significant variable with a negative relationship. The tradeoff model presented by Myers (2001) has predicted this negative correlation between growth and leverage, because firms with high growth tend to have lower level of tangibility, which reduces the use of debt. Furthermore, the agency theory, as explained by Jensen (1986), supports this result as shareholders have more opportunities to invest when they control growth firms, which allows them to make investments that could increase their value and decrease the value of debtholders. This conflict of interest might explain the negative correlation between P/B and leverage. On the other hand, the pecking order theory expects the opposite relationship. Myers and Majluf (1984) support the fact that firms with higher price to book ratios present less adverse selection problem. Therefore, managers would issue equity first then debt to avoid the problem of asymmetric information.
270
VOLUME No.1
188 189 190 191
Conference Proceedings Richtmann Publishing LTD, UK
5.2 Regressions results using different measures of ownership Table 3: Regression results of debt, using various measures of ownership Dependent variable Debt1 Independent variables: Industry_Median Size Profitability Tangibility Dummy_Financials Return Tax Ownership Growth Constant
This regression is conducted by using random effect model (GLS). The significant results are followed by one star * if it significant with α = 5% error and two stars ** if it is significant with α = 1%. The dependent variable is calculated as leverage ratio = Total Debt / (Total Debt + Market Capitalisation). The independent variables are the industry median, size (Log of total assets), profitability (EBITDA / Total Assets), tangibility ((Net Property, Plant and Equipment) / Total Assets), Dummy for financials, return (yearly total stock return), tax (effective tax rate), growth opportunities (price to book ratio) and dummy variable for ownership with 1 for more than X% (>50%; 15%, 10%, 8%) of ownership and 0 for less. The results obtained from table 2 provide the same significant and insignificant variables as in the first regression (table 5). Indeed, all the significant variables in the first regression remain significant in these four regressions. These variables are: size, profitability, tangibility, dummy for financials and growth. Moreover, the signs remain the same in all regressions. For the ownership variable, we observe that even when we used several measures, we find again insignificant levels. This finding could mean that the Moroccan firms, owned by parent groups that control bank subsidiaries, do not take advantage of easy access to bank debt. These results can be interpreted as a good signal of the governance of the Moroccan firm as stated before. 6.
Robustness Tests
When I used the book values for equity to calculate the debt ratio (Total Debt / (Total debt + Book Equity)), I have found approximately the same significant variables as in the previous regressions that used Debt1 proxy for leverage except for the tangibility variable. Indeed, the significant variables are size, profitability, dummy for financials and growth. Besides, the ownership variable is still insignificant in all regressions. Nevertheless, as far as the growth variable is concerned, the relationship changes to a positive correlation. The only theory that supports this result is the pecking order theory. Indeed, Myers and Majluf (1984) suggest that firms with higher price to book ratios present less adverse selection problem. Therefore, managers would issue more equity than debt to avoid asymmetric information problem. Moreover, this change in the relationship can be explained by the fact that when we use market values for debt ratio, the market value of equity is in the denominator of the Y variable and in the nominator of the market to book ratio. On the other hand, when we use book value for debt ratio, the book value of equity is in the denominator of the Y variable, and in the denominator of the market to book ratio.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Conclusion
Through this research, we tried to investigate the principal determinants of capital structure in the Moroccan stock market. The first finding is the insignificant results of the ownership variable. Thus, by using different variables for ownership and two proxies for leverage, we found that there is not enough statistical evidence to think that firms, held by groups which control banks, benefit from an easier access to debt. Indeed, I used a continuous variable for ownership to begin with, then, I conducted four other regressions using four dummy variables for the ownership. In addition to that, we found a negative correlation instead of the predicted positive relationship. Thus, we might interpret this result as a good signal of the governance of the Moroccan firms. Besides, four independent variables present significant results in all the regressions. These variables are size, profitability, dummy for financials and growth. To investigate even more the capital structure determinants in the Moroccan market, further studies could be conducted. Indeed, the future papers might examine this research question by using a sample that does not include the financial firms. To summarize, we can suggest that there is no evidence that one theory is the predominant among all the theories. Indeed, the tradeoff model, the pecking order model and the agency theory present some significant evidence and limits. On the other hand, the market timing theory did not provide significant results in all regressions. References Baker, M. and Wurgler, J. (2002). Market timing and capital structure. The journal of finance, 57(1), 1-32. Fama, Eugene, and Kennett R. Frenc (2002). Testing trade-off and pecking order predictions about dividends and debt. Review of Financial Studies, 15, 1-33. Fama, E. and French, K. (2012). Capital Structure Choices. Critical Finance Review, 1, 59-101. Flannery, M. and Rangan, K. (2006). Partial adjustment toward target capital structures. Journal of Financial Economics, 79(3), 469-506. Jensen, M. and Meckling, W. (1976). Theory of the firm: Managerial behavior, agency costs and ownership structure. Journal of financial economics, 3(4), 305-360. Jensen, M. (1986). Agency costs of free cash flow, corporate finance, and takeovers. The American economic review, 323-329. Kraus, Alan, and Robert H. Litzenberger (1973). A state-preference model of optimal financial leverage. Journal of Finance, 33, 911-922. Miller, M.H. (1977). Debt and Taxes. Journal of Finance, 32, 261-276. Modigliani, F. and M. Millar (1958). The cost of Capital, Corporate Finance and the theory of Investment. American Economic Review, 48, 261-297. Modigliani, F. and M. Millar (1963). Corporate Income taxes and the Cost of Capital: A Correction. American Economic Review, 53, 433-443. Myers, S. C. (1984). The Capital Structure Puzzle. Journal of Finance, 39, 575-592. Myers, S. C. and N. S. Majluf (1984). Corporate Financing and Investment Decisions when Firms Have Information the Investors Do Not Have. Journal of Financial Economics, 13, 187–221. Myers, S. (2001). Capital Structure. The Journal of Economic Perspectives, 15(2), 81-102. Noe, T. (1988). Capital structure and signaling game equilibria. Review of Financial Studies, 1(4), 331-355. Wald John K. (1999). How firm characteristics affect capital structure: an international comparison. Journal of Financial Research 22(2), 161-187.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Proverbial and Anti-proverbial Pictures of the World: Based on English and Georgian Anti-proverbs Thea Shavladze PhD, Associate professor, Batumi Shota Rustaveli State University
Tatia Nakashidze – Makharadze PhD, Assistant professor, Batumi Shota Rustaveli State University Abstract In contemporary paremiology anti-proverb research is experiencing a boom. A great number of scientific papers on the issue have been written by W. Mieder, A. Litovkina, N. Norrick, D. Zaikauskiene, M. Hanzen, N. Can, V. Pavlovic and many others. Anti-proverbs of different languages (English, German, Serbian, Hungarian, Russian, etc.) are studied from different angles: scientists have studied the semantic, structural and stylistic peculiarities of anti-proverbs, various types of transformations in antiproverbs, the satirical-humorous nature of anti-proverbs, the status of anti-proverbs, the cross-cultural structure of anti-proverbs. Proverbs form proverbial picture of the world, while Anti-proverbs form an anti-proverbial picture of the world. Anti-proverbs show modern mentality of cultures. The present study aims to compare proverbial and anti-proverbial pictures of the world of English and Georgian languages and see the changes in mentality and world vision. The methods used by the researchers in the article are the following: descriptive and comparative methods. The analysis of English traditional proverbs and their transformations showed that the change in life conditions is the reason of semantic changes in antiproverbs. Contradictory ideas between traditional and anti-proverbs are verbally expressed with antithesis, antonymous words and rhetorical questions. Anti-proverbs show that the truth of traditional proverb is ridiculous in Modern World. As for Georgian anti-proverbs, they did not change the semantics so much as English ones. In Georgian anti-proverbs, words of traditional proverbs are altered by some other words, but the proverbs retain their original meaning. Georgian anti-proverbs are transformations of old ones where certain words change with the change of context. Keywords: proverb, anti-proverb, transformation, picture of the world, paremiology
1.
Introduction
In contemporary paremiology anti-proverb research is experiencing a boom. A great number of scientific papers on the issue have been written by W. Mieder and A. Litovkina, N. Norrick, D. Zaikauskiene, M. Hanzen, N. Can, V. Pavlovic and many others. They have studied anti-proverbs of different languages (English, German, Serbian, Hungarian, Russian, etc.) from different angles. They have studied the semantic and structural peculiarities of anti-proverbs, various types of transformations in anti-proverbs, the satirical-humorous nature of anti-proverbs, the status of antiproverbs, the cross-cultural structure of anti-proverbs. Scholars have compared proverbial and antiproverbial pictures of the world of different languages. Besides scientific works of different types (scientific articles, monographs, dissertations), dictionaries of anti-proverbs are compiled by worldfamous paremiographers. 2.
Literature Review and Research Question
As we mentioned above, anti-proverb research is very popular nowadays, so scientific literature on the topic is quite rich. We based our research mainly on W. Mieder and A. Litovkina’s scientific works, but also shared the point of view of some Russian Linguists: V. Mokienko, H. Walter, A.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Reznikov, A. Batulina and E. Ivanaova concerning anti-proverbs. Unfortunately, the problem of antiproverbs is not well - studied by Georgian scientists. There is only one scientific article by T. Shavladze on humorous nature of Georgian and Anglo-American anti-proverbs. Another Georgian scholar is L. Kamadadze, who devoted a special chapter to anti-proverbs in her dissertation thesis:‘Structural-semantic and ethno-cultural peculiarities of English and Georgian proverbs.’ More than that, there is no special anti-proverb dictionary compiled by Georgian lexicographers. We believe that anti-proverb as a linguistic phenomenon requires thorough study by Georgian linguists and our research is one of the first steps in studying Georgian anti-proverbs in comparison with English ones. Present paper aims to compare proverbial and anti-proverbial pictures of the world of English and Georgian languages and see the changes in mentality and world vision. Russian linguist, E. Ivanova conducted similar research comparing Russian and English proverbial and anti-proverbial pictures of the world. She did comparative analyses of the concept “Marriage” in the proverbial and antiproverbial pictures of the world and saw both similarities and differences in the outlook on marriage. Our research is different from the above mentioned research as it is based on different pair of languages - Georgian and English. 3.
Methods and Data
While working on the article descriptive and comparative methods were used by us. For our research, we gathered 225 English and 200 Georgian anti-proverbs. English anti-proverbs were taken from W. Mieder and A. Litovkina’s ‘Twisted wisdom: Modern Anti-proverbs’ (1999). As for Georgian anti-proverbs, we gathered the examples of anti-proverbs ourselves. We used social nets, the Internet, Georgian TV and newspaper advertisements, TV satirical-humorous shows, where we found the examples of transformed traditional proverbs. On the next stage of the research, we classified the examples of anti-proverbs according to semantic fields: Money, Marriage, Work, Religion, Women. Classification of anti-proverbs showed which semantic field underwent more semantic changes. At a final stage, we compared proverbial and anti-proverbial pictures of the world of two different languages. In the beginning of the article, we will try to define the term “Anti-proverb” and underline its peculiarities. It is a well - known fact that proverbs have fixed forms, but when we speak about antiproverbs, it becomes untrue. Anti-proverbs are flexible. They allow speakers change not only the structure of the proverbs but the message of proverbs as well. Because of the flexible form and semantics, anti-proverbs are called as proverb alterations, proverb transformations, parodies, silicon proverbs, pseudo proverbs, twisted proverbs, ‘intertextual jokes’ (N. Norrick’s term). The most popular and the most accepted term for such kind of proverb alterations in linguistics is antiproverb. The term anti-proverb (Antisprichwort) was coined by Wolfgang Mieder in 1982. W. Mieder defines anti-proverbs in such a way: “anti-proverbs are parodied, twisted, or fractured proverbs that reveal humorous or satirical speech play with traditional proverbial wisdom (Mieder, 2004:28). Lithuanian scholar D. Zaikauskiene shares W. Mieder’s point of view about anti - proverbs and writes: “Anti-proverbs are purposefully created variants of traditional proverbs, wherein form and meaning of the traditional proverb get distorted in order to actualize some kind of idea or simply to achieve comical effect.” According to the above mentioned ideas, we may conclude that anti-proverbs are parodies of traditional proverbs and their dominant feature is their mocking and humorous nature. They show that proverbs have never been considered absolute truths and holy expressions. As Russian paremiographer A. Reznikov metaphorically says: anti-proverb is new wine in old bottles (Reznikov, 2009). The themes of anti-proverbs are different. In Anglo-American anti-proverbs, the main topics are: money, love, marriage, divorce, sexuality, women, friendship, children and parents, taxes, God and religion, professions and occupations. In Georgian proverb alterations, the main topics are politics, money, religion, social and economic problems (Shavladze, 2015).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Findings and Discussion
The comparative analysis of proverbial and anti-proverbial pictures of the world of English and Georgian languages showed that changes in life conditions caused the changes in mentality. Traditional English proverb “No pain, no gain” taught us for centuries – if we do not work hard, we will not succeed. Anti-proverb teaches us the contrary “Without pain you gain.” It means that “one can be successful in modern world without hard work.” In other words, if one has a good financial support or is helped by a person holding a high rank, he/she can easily reach success. Hard work is praised in many traditional proverbs. Traditional English proverb “Never put off for tomorrow what you can today” is against of laziness, but anti-proverb “Never do today what you can put off for tomorrow” tells us that there is nothing wrong in idleness. Hard work is a subject of mocking in many English anti-proverbs: “Hard work never killed anybody . . . but who wants to be its first victim?” “Hard work never killed anybody, but why take a chance?” (Traditional Proverb – Hard work never killed anybody). Famous traditional English proverb “If at first you don’t succeed, try, try again” teaches to be optimistic and continue working hard until reaching success. In modern life the proverb has several alterations. They question the idea stated above and suggest us to quit, to cheat or to believe in the idea that we are average: “If at first you don’t succeed, quit”; “If at first you don’t succeed – cheat;” “If at first you don’t succeed, you are average.” In old times people were warned not to go to the forest alone, because they might be eaten there by wolves: “If you are afraid of wolves, don’t go to the forest.” But nowadays when there is a big chance to be killed by terrorists, anti-proverb “If you are afraid of bombs, do not go to the metro” warns people to avoid crowded places; All that was praised in the past – honesty, friendship, strong family relations are nowadays mocked at in English anti-proverbs: Beauty is the best policy (Honesty is the best policy), A friend that isn’t in need is a friend indeed (A friend in need is a friend indeed), Matrimony is the root of evil (money is the root of evil). The above mentioned anti-proverbs show how much the mentality of the Englishmen changed. Our era is computerized. Everyone spends much time with a computer. If in the past, home was a place where the heart was (Home is where the heart is), where people could talk for hours with their family members, nowadays home is the place where there is a computer (Home is where computer is). The anti-proverb mocks at modern society’s terrible addiction spending the whole day in front of the computer and feeling comfortable without face-to-face communication. A lot of Georgian anti-proverbs are in connection of internet, social nets. In Georgian there is a traditional proverb – “Rats mamaa is shvili” (რაც მამაა, ის შვილი = Like father, like son) which teaches us to pay attention to genealogy, when we choose our mates. Transformed variant of this proverb is: “Rats posti, is patronio” (რაც პოსტი, ის პატრონიო = Like person, like post). Antiproverb says that if one wants to see the real face of the person, she/he should read her /his posts on Facebook. This anti-proverb underlines the importance of social nets in modern life. Traditional Georgian proverb teaches us to think much before taking decision “asjer gazome, ertkhel gamoscher” (ასჯერ გაზომე, ერთხელ გამოსჭერ = Measure before cutting). The same warning remains as a warning but the context changes: “asjer tsaikitkhe, ertkhel daalaike” (ასჯერ წაიკითხე, ერთხელ დაალაიქე = read before giving “like”). The attitude of Georgians towards priests were not always good, which is seen in the following traditional proverbs: sakhit – mghvdeli, saqmit – mgeli – სახით - მღვდელი, საქმით - მგელი (face of a priest, action of a wolf); Mghvdeli rom magrad gamodzga, diakvans daakhvelao – მღვდელი რომ მაგრად გამოძღა, დიაკვანს დაახველაო (When one priest eats too much, another one starts coughing); Mghvdeli chilofshits itsnobao - მღვდელი ჭილოფშიც იცნობაო (Priests are recognized in the hats). All the above mentioned proverbs reflect the wrong actions of priests – priests always cheated the parish, their appetite was great. The last proverbs underlines the idea – in spite of the false looks, people can easily recognize their real face. Negative attitude towards priests are found in Georgian anti-proverbs: Mghvdeli postebshi itsnobao – მღვდელი პოსტებში იცნობა (A real face of a priest is seen through his posts)
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
(transformed from: Mghvdeli chilofshits itsnobao); zogs mghvdeli mostsons, zogs misi postio – ზოგს მღვდელი მოსწონს, ზოგს მისი პოსტიო (some like priests, others – their posts). Both anti-proverbs mark our attention to the fact that priests are no longer saint, they do not live in solitude, they entertain themselves using social nets. But still they continue moralizing people: kali shromobda da mamao jipidan chkuas arigebdao – ქალი შრომობდა და მამაო ჯიპიდან ჭკუას არიგებდაო (woman worked and a priest from jeep preached her). This proverb is transformed from famous proverb: katsi bchobda, ghmerti itsinoda – კაცი ბჭობდა, ღმერთი იცინოდა (Man proposes, God disposes). 5.
Conclusion
The analysis of English traditional proverbs and their transformations showed that the change in life conditions is the reason of semantic changes in anti-proverbs. Contradictory ideas between traditional and anti-proverbs are verbally expressed with antithesis, antonymous words and rhetorical questions. Anti-proverbs show that the truth of traditional proverb is ridiculous in Modern World. As for Georgian anti-proverbs, they did not change the semantics so much as English ones. In Georgian anti-proverbs words of traditional proverbs are altered by some other words, but the proverbs retain their original meaning. Georgian anti-proverbs are transformations of old ones where certain words change with the change of context. They also reflect the changes in life condition but the mentality changes are not clearly outlined. Comparison of Georgian and English proverbial and anti-proverbial pictures of the world showed that English anti-proverbial picture has changed greatly, though Georgian mentality reflected in proverbs and anti-proverbs remained unchangeable. References Can N. (2011) A Proverb Learned is a proverb Earned; Future English Teachers’ Experiences of Learning English Proverbs in Anatolian Teacher Training High Schools in Turkey. Hanzen M. (2007) When in Rome, do as the Romans do, Proverbs as a part of EFL Teaching. Ivanova. E. (2015) Proverbial and Antiproverbial Pictures of the world, Journal “Russian Linguistic Bulletin,” 4 (4) (p34-36). Kamadadze L. (2016) Structural-semantic and ethno-cultural peculiarities of English and Georgian proverbs, Batumi University Press. Litovkina A., Mieder W. (2006) Old proverbs never die, they just diversify, Hungary, University of Veszprem Press. Mieder W. (2004) Proverbs: A Handbook, Greenwood Publishing Group. Mieder W., Litovkina A. (1999) Twisted wisdom: Modern Anti-proverbs, University of Vermont. Reznikov A. (2009) Old Wine in New Bottles: Modern Russian Anti-proverbs, University of Vermont. Shavladze T. (2015) Kartuli da anglo-amerikuli anti andazebis iumori (Humour of Georgian and Anglo-American Anti-proverbs), Journal “Intercultural Communications” № 24, Tbilisi, (p. 52-55). Zaikauskiene D. New Year, Fresh leaves’: Modern Tendencies in the Development of proverbs, (online) available: www.llti.lt/failai/e.../12%20reziume%20Zaikauskiene.pdf, (March 8, 2018).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The Effects of Territorial Reform in Albanian Government in 2015: Case Study Gjirokaster County Dr. Arben Hysi University of Vlora “Ismail Qemali”, Faculty of Economics
Abstract According to the initiation of the classical Albanian politics, the functioning of local government in Albania has been realized in its historical context. This has occasionally resulted in different cartographies of local government in their own way of being organized and their own way of functioning as well. Despite the specific conditions of our country, it naturally needs to revise the model of organizing and functioning of the government by adaptating the model of local government reform. During 2015 such reforms were more than necessary, as far as the inefficiency of local government in services was evident in poor financial conditions.The fragmentation was a real obstacle in investment taking into account the high level of corruption.
1.
Introduction
This paper deals with the issue of assessing the efficiency of administrative and territorial reform in Albania in terms of achieving the goal of decentralization as a common consequent of the reform goal undertaken by a number of Eastern European countries in the last decades. The paper aims to evaluate the impact that the recent administrative-territorial reform has been approved by the Albanian Parliament on 23-rd June of 2014. Through the research we have tried to analyze the whole reform model in the Gjirokastra Region with the aim of evaluating and judging this reform. This topic may be considered premature to some people of certain extend, but often after a reform implementation are results that speak loudly about the efficiency.During the course of the study different materials have been used to analyze this process, how the administrative and territorial reform has been perceived and concretized at the national level and especially at the local level in Gjirokastra region, without ignoring the studies done for this purpose by institutions such as WB, UNDP, IMF etc.assessing the efficiency lts are ed to talk about. 1.1 Questions of Research 1. Has Albania's administrative and territorial reform brought an increase of the efficiency of local government? a. Has the financial strength budgets of the local units been increased? b. Have the per capita income increased in LGU? c. Is the cost per capita in LGU reduced? 1.2 Research hypothesis H1: The functional area model implemented by the Albanian Government is the most appropriate model for local government reform,which increases per capita income, and reduces administrative expenses /per capita. H1.a: Increasing the size of the functional area has a positive correlation about per capita income. H1.b: Increasing the size of the functional area has negative correlation with administrative spending/ per capita.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Objectives: This paper aims to show de-facto data on local unit budgets in order to be more efficient after the reform of local units. 2.
Literature Review
Politicians generally believe that the largest municipalities exhibit a great efficiency. References offers little support for unit size and efficiency relationships, and therefore, little concrete evidence, but guaranteed on a case-by-case basis for reform at different locations. Gabler 1971, Katsuyama 2003, Mabuchi 2001, Byrnes & Dollery 2002, discuss the boundaries of a size of local government units at such limits: • There is little general correlation between size and efficiency, in municipalities with a population between 25,000 and 250,000. • There is a U-shape curve relationship between size and efficiency in one overall level. Efficiency increases with the size of the population to about 25,000 inhabitants, in which the point is stable to about 250,000 inhabitants, and decline thereafter. The study results suggest that large cities tend to hire and spend more for residents than small towns "(Gabler, 1971). Postwar reforms in Japan also showed U-shape functioning, but in different levels of the population, indicating that 115,109 persons were the population's limit of an efficient local unit (Mabuchi, 2001). In a survey in the countries that provide local services in Iowa (Koven and Hadwiger, 1992), authors see that there is no evidence for "Bigger, Better". Factors such as service quality, clumsy organizational system, and residents' willingness to pay for services should be taken into account in order to draw definitive conclusions about the advantages of structural reorganization plans. Australia has adopted many unions of local government units, based on the general principle that larger municipalities will exhibit greater economic efficiency. Bodkin and Conklin, 1971 suggest that very small municipalities, even those with a population ranging from 5,000 to 10,000 people, which can provide fire protection, security, waste disposal, health preservation, local low priced services than large municipalities. Boyne, (2003) presents an empirical review of public service performance studies. He points out, "There are few arguments about the relationship between organization size and service performance." Generally, management variables have a significant impact on performance (Mera, 1973). 3.
Methodology
In order to get results over this study, descriptive methods of statistical analysis were used, with quantitative data obtained from the archives of the prefecture of Gjiokastra region. The first step: Collecting data Second Step: Data processing through SPS program The third step: Analyzing the results of statistical processing Fourth Step: Conclusions 4.
The data for the analysis
All comparisons have been made between the pre-and post- reforms from 2014 to 2016. The economic indicators for current municipalities for 2014 have been calculated according to the 2014 budget data of units depending on their territory today. Data were received from the Gjirokastra Prefecture for all local units, with the exception of local minority units, for which there were no data in the prefecture. All comparisons have been made between the pre-2014 and post-reform reforms for 2016. The economic indicators for current municipalities for 2014 have been calculated according to the 2014 budget data of units that they are subordinated to their territory today. Data were received in the Gjirokastër Prefecture for all local units, with the exception of local minority units, for which there were no data in the prefecture.
278
VOLUME No.1
110 111
Conference Proceedings Richtmann Publishing LTD, UK
Table 1: Data of local units 2014 in 000 lek Municipalities The population TR. persons Grant Total TR TR/per capita B.Tepelena Q. Tepelena K. Lopes K.Kurvelesh Total B.Memaliaj K.F. Memaliaj K.Luftinje K.Qesarat K.krahes K.Buz Total B.Pёrmet K.Q.piskove K.Frasher K.Petran K.Carshove Total B. Kelcyrё K.Dishnice K. Ballaban K.Suke Total B.Gjirokastёёr K.antigone K.Lunxheri K.Picar K.Cepo K. Lazarat K.Odrie Total B.Libohove K.Q.Libohove K. Zagori Total
5.1 Empirical analysis According to the calculations only the reduction of the number of councilors expends 23 (twentythree) million new leks as a result of reform. From the data of the table shows the calculation of expenditures in relation to the weight gained in the income for the years 2014 and 2016: Libohova 72% to 47%, Këllirë 38% to 28%, Tepelena 40% to 20%, 40% to 24 %, Memaliaj 38% to 29%, Gjirokastra 68% to 12%, The weight of budget expenditures has decreased considerably, because mountain municipalities spent a lot on administrative expenses. Investments in relation to the expenditure weights in 2014 and 2016: Libohova 16% to 19%, Këllita 21% to 38%, Tepelena 19% to 61%, 23% to 60%, Memaliaj to 21% to 45% Gjirokastra 68% to 112%, it turns out that investments have been increased by spending in 2016, because mountain municipalities spent a lot on administrative expenses. Services in relation to the expenditure varying from 2014 and 2016: Libohova 32% to 124%, Këllira 45% to 116%, Tepelena 58% to 209%, 68% to 204%, Memaliaj 34% to 108% , Gjirokastra 78% to 207%, The increase comes from saving the expenses by joining the municipalities and by reducing the number of local administration. The service growth ratio in 2016 is roughly 3 times bigger than in 2014. 5.2 Local Unit Revenue Analysis Being economical efficiency is the key element of reform, and also the most empirical variable. In the table below are the revenues for each pre-reform local government unit that are
279
VOLUME No.1
137 138 139 140
ICHSS 2017 Barcelona, Spain
counted as part of the new municipalities for 2014. Table 2: Revenues for 2014 in 000 lek Municipalities B.Libohove B. Kelcyre B.Tepelene B. Permet B.Memaliaj B.Gjirokaster
141 142 143 144 145 146
Conference Proceedings Richtmann Publishing LTD, UK
The following table provides the independent budgets of the new units for 2016, from the table that the per capita income for 2016 is higher than 2014. Table 3: Revenues for 2016 in 000 lek The population B.Libohove B. Kelcyre B.Tepelene B. Permet B.Memaliaj B.Gjirokaster
Figure 1: Comparison of income per capita In the graph we compare the income per capita for the period before the administrative-territorial reform for 2014 and the per capita income for the period after the reform for 2016 Gjirokastra Municipality with a growth difference of 5.4 million ALL / 30%, Memaliaj Municipality with a 3.3-billion- per capita increase or 25.3%, the Municipality of Tepelena with a growth differential of 5.2 thousand leke per capita or 44.1%, the Municipality of Parma with a growth difference of 3.2 thousand Leke per capita or 23%, Kėlcyra Municipality with a rise of 3.3 thousand Lek per capita or 24%, Libohovė Municipality with a growth difference of 4.8 thousand Lek per capita or 32 percent.
280
VOLUME No.1
163
176 177 178 179 180 181 182 183 184
N Minimum Maximum Mean Std. Deviation COV 6 10862.658250 15726.775960 12829.07444000 1918.003978677 0.14950447 6 13901.754720 32207.826180 20433.51297500 6162.305871955 0.301578386 6
The table above provides descriptive income / inflation analysis in the Gjirokastra Region, which compares the 2014 years before the reform with 2016 after the reform. From the market it is clear that the average income in 2016 has increased to 66.9% compared to 2014, the standard deviation from the average has increased from 2014 to two times for 2016. The main indicator is CoV coefficient of covariance, respectively 0.1495 for 2014 and 0.3015 for 2016. So it is 2 times higher, with a positive increase towards 1 covariance coefficient. This shows that the reform has achieved the goal of increasing the financial strength and per capita income in all Gjirokastra district government units. 5.3 Analysis of local unit expenditures Gjirokastra region
Figure 2: Comparison of per capita expenditure In the graph we compare the spending per capita, for the period before the administrative-territorial reform for 2014 and the expenditure per capita for the post-reform period for 2016. Tabele 5: Expenses for 2014 in 000 lek Municipalities B.Libohove B. Kelcyre B.Tepelene B. Permet B.Memaliaj B.Gjirokaster
185 186 187
ICHSS 2017 Barcelona, Spain
Tabel 4: Descriptive Analysis for TR between 2014-2016 TR /per capita 2014 TR / per capita 2016 Valid N (listed)
164 165 166 167 168 169 170 171 172 173 174 175
Conference Proceedings Richtmann Publishing LTD, UK
The population 3688 6113 8941 10614 10657 28673
C.ad. 35993 26361 38135 45565 44036 102295
C. op 11083 12030 17543 20421 26542 48698
Expenses Total 47076 38391 55678 65986 70578 150993
Tabela 6: Expenses for 2016 in 000 lek Municipalities B.Libohove B. Kelcyre B.Tepelene B. Permet B.Memaliaj B.Gjirokaster
The population 3688 6113 8941 10614 10657 28673
C. ad 21245 23569 27195 39482 32143 88039
281
C.op 8490 8100 7867 12300 11231 29360
Costo Total 29735 31669 35062 51782 43374 117399
C /per capita 8.062635575 5.180598724 3.921485292 4.878650839 4.070000938 4.094409375
VOLUME No.1
188 189 190 191 192 193 194 195 196 197
210 211 212 213 214 215 216 217
ICHSS 2017 Barcelona, Spain
Municipality of Gjirokastra with a decrease of 1.2 thousand ALL / capita or 15%, Memaliaj Municipality with a decrease of 2.6 thousand Lek per capita or 42%, Municipality of Tepelena with a decrease of 2.8 million Lek per capita or 51.%, Municipality The population with a reduction difference of 1.4 thousand leke per capita or 43%, Kėlcyra Municipality with a difference of 1.1 thousand leke per capita or 12%, Libohovė Municipality with a difference of 4.3 thousand leke per capita or 31 percent. This comparison was made by comparing the difference in the amount of expenditure for all units in new units, before and after reform for 2014 and 2016. Table 7: Descriptive Expenditures / Per capita Analysis Between 2014-2016 Year 2014 Year 2016 Valid N (listed)
198 199 200 201 202 203 204 205 206 207 208 209
Conference Proceedings Richtmann Publishing LTD, UK
N Minimum 6 5266.034248 6 3921.485292 6
Maximum 12764.642080 9327.006508
Mean 7229.62318700 5245.35861267
Std. Deviation 2749.261889807 2061.907289680
COV 0.380277342 0.393091768
The above table provides descriptive expenditure /per capita analysis in the Gjirokastra Region, which compares the 2014 years before the reform with 2016 after the reform. From the market it becomes apparent that the average expenditure in 2016 has decreased to 29% compared to 2014, the standard deviation from the average has decreased from 2014 to 32% for 2016. The main indicator is COV covariance coefficient, respectively 0.38 for 2014 and 0.39 for 2016. It is therefore 1% higher, with a positive increase to 1 of the covariance coefficient value. This shows that the reform has achieved the goal of reducing the expenses per capita in all the local government units of the Gjirokastra region. 5.4 Analysis of Local Unit Services
Figure 3: Comparison of services for the years 2014-2016 In the graph we have a comparison of the services for the period before the 2014 administrativeterritorial reform and the services for the post-2016 reform period. Table 8: Services for 2014 in 000 lek . Municipalities The population Education Services Culture B.Libohove 3688 2420 4573 200 B. Kelcyre 6113 4732 17323 175 B.Tepelene 8941 11105 16910 4395 B. Permet 10614 15275 32155 6690 B.Memaliaj 10657 4970 9790 1050 B.Gjirokaster 28673 32299 59250 23194
Conference Proceedings Richtmann Publishing LTD, UK
Table 9: Services for 2016 in 000 lek The Fire Population remains B.Libohove 3688 0 B. Kelcyre 6113 0 B.Tepelene 8941 7729 B. Permet 10614 7729 B.Memaliaj 10657 0 B.Gjirokaster 28673 25327 Municipalities
Municipality of Gjirokastra with a growth of 5.1 million Lek/per capita or 81%, Memaliaj Municipality with a growth difference of 5 thousand Leke per capita or 87%, the Municipality of Tepelena with a growth difference of 7.6 million Leke per capita 44.3%, Municipality ofPėrmet with a growth difference of 2 thousand Leke per capita or 29.5%, Kėlcyra Municipality with a growth difference of 1.6 thousand lek per capita or 12%, Libohova Municipality with a increase of 7.5 million lek per capita or 53%. Table 10: Descriptive Analysis of Services / per capita between 2014-2016 Year 2014 Year 2016 Valid N (listed)
The table below provides descriptive analysis of the services / per capita in the Gjirokastra region, making the comparison of 2014 before the reform with 2016 after the reform. From the data, it is clear that the average of the services / per capita in 2016 has increased to 86% compared to 2014, the standard deviation from the average has increased by 2014 to 15% for 2016. The main indicator is CoV coefficient of covariance, respectively 0.39 for 2014 and 0.25 for 2016. So it is 0.14 lower to the 1 value of the covariate coefficient. This shows that the reform did not achieve the goal of increasing the services per capita in all the local government units of the Gjirokastra region. The reason is that local governments are focusing on urbanization of the streets rather than services in rural areas, and despite the fact that grants have been increased but they are going further in expenses to set up new administrations for services from government. Finally we can say that the first hypothesis on the effects of territorial reform is proven to increase financial strength, per capita income, per capita expenditure, in order to increase services in all new municipalities. 6.
Conclusions
1. The administrative-territorial reform has increased the financial strength of the units created by the elections of 2015, according to the law adopted on 31 July by the Parliament of the Republic of Albania. 2. Administrative-territorial reform has increased the income /per capita of the units created. 3. Administrative-territorial reform has reduced administrative / per capita expenses. 4. Administrative-territorial reform has increased the services / per capita. If we take into account the basis of economic efficiency, exactly the per capita of residents of each municipality show the results that the administrative-territorial reform for the units studied has been reduced because after the reform the state does not compensate the mountain municipalities that have already been added to the new municipalities (see table 1). The reform has also brought the opportunity of decentralization by passing some powers to local government: fire protection, pre-school and primary education, pre-university education, forest management, irrigation system. This specific grant that was given to 2016 local governments is in
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the value of 14% of the total grant allocated to local government by the central government. It is emphasized that the distribution of this specific grant given by the central government in some unconsolidated municipalities is in zero value because they did not have inherited such institutions for obtaining it. This is noted for the municipalities of Belsh, Bulqize, Drago, Delvine, Devollë, Divjake, Dropull, Finiq, Fushë Arrëz, Has, Himarë, Kamëz, Këllirë, Klos, Kolonjë, Krujë, Kurbin, Libohovë, Librazhd, Maliq, Mallakastra, Memaliaj , Patos, Peqin, Pogradec, Polican (Official Journal December 2015). References Koven, S., and F. Hadwiger (1992). “Consolidation of rural Service Delivery” Publik Produktivity & manaxhementa. Review, vol. 15, No. 3, pp. 315-321. Katsuyama, B. (2003). “Is Municipal consolidation The Answer? Retrieved. Vol. 10. Byrnes, J., Dollery, B. Do Economics Scale Exist in Australian Local government? A review of the research Evidence, Urban Policy and research, 2002, Vol.20, No.4, pp. 390, 412. Gabler,L.R. (1960). “Population Size as Determinationt of City Expenditures and Employment some Further Evidence” Land Economics. Vol 47, No. 2, pp.130-121. Bodkin, R. G.,and David. W. Conklin ( 1971). “Scale and Other determination of Municipal Expenditer in Outavio: A Quantitation analysis” International Economic Review.Vol.1, No.3, pp.465 480.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Research Trends in Relation to the Orientation of the University Research Centers: Perspectives from the Bibliometric Analysis Daniel Cardona Valencia Instituto Tecnológico Metropolitano, Medellin, Colombia
Lemy Bran-Piedraita Fundación Universitaria Católica del Norte, Medellin, Colombia
Alejandro Ocampo Osorio Instituto Tecnológico Metropolitano, Medellin, Colombia
Alejandro Valencia Arias Instituto Tecnológico Metropolitano, Medellin, Colombia Abstract The universities are centers of great capitals of knowledge and of investigative capacities; being protagonists agents in the dynamization of the information society starting from the groups and centers of investigation. This dynamic is not widespread in emerging economies where there is still a process of consolidation of these processes of technology transfer starting at the University Research Centers. According to the above, the objective of the research is to identify the investigative tendencies facing the orientation of the University Research Centers from a systemic literature review. The methodology consisted of a bibliometric analysis of 91 academic research records reported in the SCOPUS database. This information was systematized and organized to calculate the quantity, quality and structure indicators. Among the results obtained it is observed that the research on structuring the research center in the university context, has been oriented towards the search and development of mechanisms to connect universities with the needs of the specific social context. In addition, university research centers have attempted to structure their connection with enterprice from the technology transfer units, with projects aimed at strengthening areas related to productivity engineering, telecommunications and technology management Keywords: bibliometrics, research centers, trends, universities.
1.
Introduction
Scientific knowledge creation is currently fundamental for the further development of societies and countries. According with Cubillo (2017) and Bermudez et. al. (2014) the universities prove to be its great fosterers and also distributors they contribute to educational processes and have even become key actors in the development of regional innovation systems regarding investigative management from their groups and centers.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
According to the UNESCO International Institute for Higher Education in Latin America and the Caribbean, although there has been scientific collaboration in the region for more than forty years, several structures are still needed to transform the strength of collective thinking and negotiations, developing academic centers and/or workshops to discuss common ideas that require interest and investment and to encourage technology transfer (IEASALC-UNESCO, 2008). Scientific inquiries and academic publishing generated from research centers have had positive changes in the last three decades due to improvements in postgraduate studies, and the needs of the productive sector as well as for educational reforms —although the tendencies of these inquiries are unclear due to the diversity of sectors and the particular interests of each research center, which at the same time answer to the interests of the institution to which they belong (Barranquero & Ángel Botero, 2015). According to (Boardman & Corley, 2008), all research centers have collaborative studies in common, but few have validated features which could expedite it, and thus benefit themselves from abilities, infrastructures and know-hows regarding the methodology implemented. It could also allow to broaden knowledge in particular areas and to offer assistance to the different actors for overcoming the challenges of the sciences (Boardman & Ponomariov, 2014) Recognizing tendencies and areas worked on in university research is important to identify the international background in regard to scientific investigation. This study proposes the implementation of mathematical methods for tracking and evaluating the impact of scientific literature. It is a tool that has been used increasingly for the past years on account of the consolidation of bibliometric studies (Lee, Yoon, & Park, 2009). These measure the results of scientific development and knowledge in relation to their relevance, and disciplines like informetrics and scientometrics (Ajaújo Ruiz & Arencibia, 2002). In order to validate the evolution and tendencies of university research, a bibliometric analysis was carried out in two stages: collecting data from the SCOPUS database and generating bibliometric indicators about quantity, quality and structure of the reported academic researches. 2.
Methodology
The source of information used for the bibliometric study was the SCOPUS database. It is trustable, frequently used in literature, and has flexible engines for searches, accessibility, citation indexes, and lapses of time (Hall, 2011). From the literature consulted, the following terms were identified as related to the topic: university research center, investigation, productivity and development investigation (with possible variations). The following was the search equation used for the present study, which offered a total of 60 registers: TITLE ((research* W/4 center W/4 university) OR (scienti* W/4 investigat* W/4 producti*) OR (research* W/4 university W/4 performance) OR (investigat* W/4 center W/4 university) OR (scienti* W/4 development W/4 investigat*) OR (research* W/4 scienti* W/4 producti*) OR (research* W/4 center W/4 university W/4 journey)) AND KEY ((research* W/6 center W/6 university) OR (research W/6 university W/6 performance) OR (investigat* W/6 center W/6 university) OR (scienti* W/6 development W/6 investigat*) OR (research* W/6 scienti* W/6 producti*) OR (research* W/6 center W/6 university W/6 journey) OR (scienti* W/6 investigat* W/6 producti*)) The search engine detected articles with titles or key words that included equivalent terms for “university research center” and “development investigation” (with a relative placement of until 6 words). The lapse of time was not restricted in order to obtain a full overview and to present the network dynamics. There were also no restrictions for areas or disciplines. This information allows to put to together bibliometric indicators to value scientific activity and the impact of publications. The authors Durieux and Gevenois (2010) propose quantity indicators to correlate productivity levels, quality indicators to verify the impact or frequency of the publications in the academic field and, finally, structure indicators to identify connections and correlations between researchers.
286
VOLUME No.1
112 113 114 115 116 117 118 119 120 121
122 123 124 125 126 127 128 129
130 131 132 133 134 135 136
3.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Results
Based on the indicators proposed in the methodology, the results of the analysis are hereby presented: 3.1 Quantity indicators Section 1 presents the bibliometric quantity indicators for the term “research center” with the search equation proposed:
Graphic 1.1: Amount of publications per year The indicators in Graphic 1.1 show the growth of interest for the term “research center”, first introduced in the database in 1981. Until 2008, its interest was low. 2010 and 2014 were the most productive years, as they had the larger amount of publications regarding research centers.
Graphic 1.2: Number of accumulated publications per year Graphic 1.2 evidences how the amount of cumulative publications per year presents an exponential and thus significant growth, specially in the last decade.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Graphic 1.3: Number of publications per university The bibliometric analysis also allows to identify the ten universities which publish the most about the topic. The Ohio State University has 9 publications, followed by the University of Texas at San Antonio with 6 publications and the Science and Technology Policy Institute with 4 (see Graphic 1.3). According to the results shown in Graphic 1.4, it is possible to conclude that the Pareto principle does not apply, for 74.29% of the journal publishes 80% of the articles. Thus, the percentage of journal was divided in quartiles: 5.71% of maganizes published 25% of the articles, 35.71% of journals published 50% of the articles and, finally, 68.57% of journals published 75% of the articles. The data collected shows that, although the distribution of journals per journals is not even —for, as indicated by the first quartile, only 5.71% of journals published 25% of the articles— no journal prevails above others according to the records of the database.
Graphic 1.4: Cumulative percentage of publications by journal Regarding authors, Graphic 1.5 shows the ten most productive investigators. The list is headed by Boardman, P.C. (with 6 articles), Geisler, E. (with 3 articles), and Ponomariov, B. (with 3 articles) — the seven remaining authors have up to 2 publications.
288
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
159
160 161 162 163 164 165 166 167 168 169 170
171 172 173 174 175 176 177 178
Graphic 1.5: Number of publications in the top ten authors The cumulative percentage of these publications (see Graphic 1.6) shows that the Pareto principle does not apply, for 77.97% of authors published 80% of the articles. Thus, the cumulative percentage of publications written by the ten most productive authors was divided: 16.30% of authors published 25% of articles, 44.05% of authors published 50% of articles and, finally, 72.25% of authors published 75% of the articles. The data collected shows that the distribution of articles per investigator is evenly distributed, and hence no single author prevails above the others.
Graphic 1.6: Cumulative percentage of publications of the top ten authors Besides the Pareto principle and the exponential law, the productivity law was also validated for magazines and authors. It was possible to review whether knowledge was fragmented or if there was a “science illness”, a term first introduced by Spiegel (1976) and quoted by Rueda (2007); explained as the accelerated obsolescence of scientific information, derived from the need to 289
VOLUME No.1
179 180 181 182 183 184 185 186
187 188 189 190 191 192 193 194
195 196 197 198 199 200
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
diffuse created knowledge. This way, a closer relationship can be fostered through the use of communication networks between scientists and users. After applying the natural logarithm to each of the axes, the productivity law is obtained for the magazines (see Graphic 1.7) according to the number of publications per magazine. The r-squared coefficient of the cumulated amount of articles was whence obtained regarding the natural logarithm of the magazines. The coefficient of determination was 0.9273, close to 1. This allows to conclude that the model is explained by regression analysis, as stated by Lascurain (2006).
Graphic 1.7: Law of Journal Productivity The same logic may be applied to validate the productivity law for the authors (see Graphic 1.8). The r-squared coefficient of the cumulated amount of articles regarding the natural logarithm of the authors is higher than 0.9. This indicates that it fits the model adequately.
Graphic 1.8: Law of Authors Productivity To conclude the quantity indicators, 78% of the records obtained with the search equation correspond to articles, 18% correspond to conference papers, and the remaining 4% correspond to
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
other types of documents (see Graphic 1.9). This could be an indicator of the current relevance of research centers and their continuous diffusion in conferences and events of the likes.
Graphic 1.9: Publications by type of document 3.2 Quality indicators Section 2 presents the bibliometric qualitity indicators for the term “research center” with the search equation proposed. It is possible to identify the ten authors with the most citations with quality indicators. Bozeman, B. has the most citations (386), followed by Lee, S. (338), Gulbransen, M. (186) and Smeby, J. (186), and Boardman, P.C. (see Graphic 1.2), who also appears on the list of authors with the most amount of publications (see Graphic 1.5).
Graphic 2.1: Amount of citations per author On the other hand, the indicator for the impact of citations per magazine (see Graphic 2.2) presents several similarities when facing the quantity indicator for publications per magazine (see Graphic 1.3): the four following magazines coincide in both indicators: Research Policy, Technovation, Journal of Technology Transfer, and Journal of Informetrics. The magazine with the most impact is Social Studies of Science with 338 citations. This asserts its contribution and importance for the diffusion of issues related to research centers. There is a significant difference with the other magazines in regard to amount of citation, for the magazine that follows is Research Policy, with 50 citations.
291
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Graphic 2.3: Number of citations per year The bibliometric analysis allows to conclude that the topic was not particularly studied except during the years of 2001 and 2004, during which there were 19 and 30 citations identified, respectively. The largest amount of citations was produced in 2005, with a total of 141, while it decreased significantly afterwards (see Graphic 2.3). 3.3 Structural indicators Structural indicators measure the connections between publications, authors, and areas of knowledge. They tend to be associated with the construction and analysis of social networks, formed by nodes and links. For the bibliometric analysis, the nodes represent the authors while the links represent the co-authors (Pacheco-Mendoza & Alhuay-Quispe, 2017). This type of indicators are unidimensional. These highlight scientific production, the transmission of information, the collaborations between authors and institutions, and others (Price, 1978). Image 1 shows the network of researchers in the field. It allows to identify several of its characteristics by representing each researcher as a node and each connection between investigators in at least one project as a link. Images 1 and 1.1 show topological maps of the author network throughout the periods of 1981 to 2008 and 1981 to 2017. 292
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
255 256 257
Image 1. Topological map of the author network since 1981 to 2008
258 259
Image 1.1: Topological map of the author network since 1981-2017
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
As it can be observed in both images, the network of investigators shows certain relevant characteristics throughout the years. These can be seen in the results from the author network indicators presented in Table 1: There are 228 authors in the field and, given that the size of a network is important for determining relationships (Gaete Fiscella & Vásquez, 2008), it can be considered that their network, which considers investigations related to research centers, is extensive. This proves that these investigators strive to participate with other experts from the network. On the other hand, distance can also indicate the size of the network (1.033), for it shows how authors or nodes must be related to at least another node in order to be connected to the rest of the nodes from the network. Another indicator that measures the size of the network relates to the amount of “neighbours”: on average, each author has published along with other 3 authors (3.088), thus confirming the considerably large extension of the network. The density of the network is close to zero (0.014), which evidences the scarce connectivity of the network and that its potential is not being exploited. Nevertheless, this scarce connectivity is not consistent throughout the network. As may be observed in Image 1.1, there are certain areas with high connectivity. This could indicate that the dispersion of production is significant, which could establish the centrality of certain nodes. On the contrary, there is null connection between others. Thus, there is much disparity in order to access or introduce information and knowledge in the network. Additionally, the connection between nodes (authors) is significant in subnets, for they have a degree of connection of 0.696. This type of centrality establishes the power certain nodes have inside a network to connect (or acts as the bridge for) particular node groups. In consequence, they are considered as hinges for the management of resources which may affect the network. The network would thus evidence that researchers are very well connected —which may therefore influence other authors easily. Besides, they intervene or control the information from certain node groups with the rest of the network at a 33.77%. Table 1. Indicators of Structure Indicator Number of nodes Network Density Network Diameter Expected Characteristic Distance Number of Connected Components Average Number of Neighbors Degree of Network Grouping (Clustering) Network Centralization Network Heterogeneity Number of Isolated Nodes Components Connected by Nodes Components Isolated by Nodes
Table 1 presents structure indicators in two cumulative periods (1981-2008 and 1981-2015). This allows analysing the network’s evolution throughout time. An increase in the number of authors may be appreciated in the amount of nodes, as well as in the number of independent authors in the amount of isolated nodes. This evidences the existence of a considerably stable research group, probably composed of an academic elite. Nevertheless, the growth rate of nodes is larger than for isolated nodes and connected components. Hence, there is a decrease in the dispersion of the isolated subnets and the independent publications (variations of the components connected by nodes and the component isolated by nodes). It can be thus appreciated how subnets have increased in size and decreased in density, as is reflected by the evolution of the degree of connection and the network’s diameter. There is also a single link that connects the rest of the nodes from the network (1.033) and, at the same time, the maximum distante between any two
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
nodes equals 3. This corresponds to a typology of knowledge management network, used to enhance the application of individual knowledge to the organization’s objectives. These networks evolve through the thematic mapping of the experience within the organization and of profitable environments to share knowledge [16]. 4.
Conclusion
The interest for university research centers as objects of investigations has grown since the beginning of the 80s and even more so throughout the last years. The years 1995, 2008, 2010, 2012 and 2014 have impacted the literature greatly, without the need to distinguish relevant authors, possibly because of the specificity of each center and its research topic. Academic production is constrained to few countries and to the English language. Most authors reside in the United States while none reside in Latin America. The topic is currently relevant and lately has been asserted due to its diffusion in conferences and similar events held during the past three years. It is impossible to reduce the knowledge created to a single institution, author or magazine, for it has been widely spread due to its easy application in other areas of research knowledge. The authors with more publications are not the most cited authors, thus evidencing the few correlation between amount and impact of publications. The authors which have been recently introduced in the field attach themselves to previously formed networks, instead of doing so as independent investigators. Nevertheless, the amount of relationships they establish with other authors are fewer with time, thus encumbering relationships between authors. There is a lack of patterns which indicate the presence of an author who leads the field, generating even more network disaggregation. Because several challenges are generated, it is necessary to perform a wider analysis which includes “university research” as a search tool and “research center” as a key word, considering the objective of this study was to classify knowledge areas in order to obtain references and having more specific perspectives about the topic. The present analysis did not include text mining, diffusion curves nor nodes quantitatively correlated, but they could be considered for future studies as useful elements to identify current topics of interest with a diachronic perspective and quantifying levels of interactivity, hence orienting new resources for the study of research centers. References Ajaújo Ruiz, J. A., & Arencibia, J. (2002). Informetría, bibliometría y cienciometría: aspectos teórico-prácticos. Acimed, 10(4), 5-6. Barranquero, A., & Ángel Botero, A. M. (2015). La producción académica sobre Comunicación, Desarrollo y Cambio Social en las revistas científicas de América Latina. Signo y Pensamiento, 34(67). Bermúdez Hernández, J. B., Castañeda Riascos, M. C., & Valencia Arias, J. A. (2014). The role of integration university-industry-state as a strategy to strengthen the regional innovation systems. Espacios, 35(13). Boardman, P. C., & Corley, E. A. (2008). University research centers and the composition of research collaborations. Research Policy, 37(5), 900-913. doi:doi:10.1016/j.respol.2008.01.012 Boardman, P. C., & Ponomariov, B. (2014). Management knowledge and the organization of team science in university research center. Journal of Technology Transfer, 39(1), 75-92. doi:doi:10.1007/s10961-0129271-x Cubillo, J. (2017). Cambio y Continuidad en las organizaciones de gestión del conocimiento. DataGramaCero, 1(4). Obtenido de Durieux, V., & Gevenois, P. A. (2010). Bibliometric Indicators: Quality Measurements of Scientific Publication. Radiology, 255(2), 342. doi:10.1148/radiol.09090626 Gaete Fiscella, J. M., & Vásquez, J. I. (2008). Conocimiento y estructura en la investigación académica: una aproximación desde el análisis de redes sociales. REDES- Revista hispana para el análisis de redes sociales , 14(5). Hall, M. (2011). Publish and perish? Bibliometric analysis, journal ranking and the assessment of research quality in tourism. Tourism Management, 32(1), 16-27.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
IEASALC-UNESCO. (2008). Tendencias de la educación Superior en América Latina y el Caribe. Panamericana Formas e Impresos. Obtenido de http://unesdoc.unesco.org/images/0016/001619/161990s.pdf Lascurain Sánchez, M. L. (2006). La evaluación de la actividad científica mediante indicadores bibliométricos. Revista de la escuela de bibliotecología, documentación e información, 24(1). Lee, S., Yoon, B., & Park, Y. (2009). An approach to discovering new technology opportunities: Keyword-based patent map approach. Technovation, 29(7), 481-497. Pacheco-Mendoza, J., & Alhuay-Quispe, J. (2017). Escaso uso de indicadores de productividad científica en estudios bibliométricos. Educación Médica. Price, D. (1978). Toward a model for science indicators. En. Toward a metric of science. Rueda, G. G. (2007). Bibliometrics and Social Net-work Analysis of the Nanotechnology Field. Management of Engineering and Technology, 2905–2911. Spiegel, M. R. (1976). Teoría y problemas de estadística. McGraw-Hill.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Structural and Cultural Barriers for Women to Leadership: Case of Albania Anisa Berisha M.Sc. Business Administration
Keda Koldashi M.Sc. Business Administration
Abstract This research investigates the structural and cultural barriers that hinder women’s career advancement, including mindsets, emotional intelligence gender culture, and how these differences impact leadership. This study found out that women face many difficulties during their career path due to multi-factorial reasons which have existed for many generations by making them deep-seated in society. Thus, this research focuses on the barriers of access to leadership roles that women have encountered during their path to success as well as the strategies to overcome the existing obstacles. To obtain the information is used a mixed methodology approach comprising of quantitative and qualitative data. In order to gain the required data, a purposive sample of 300 women who hold important positions in the municipalities, companies, ministries and other public entities is used. The study involved a selfcompletion questionnaire with closed and open questions, which included various questions in relation to the barriers that women face to advancement in leadership and the strategies that should be considered to improve their progress. This research found out that there are three main types of barriers: structural barriers, cultural barriers and mindsets that women encounter in their professional life and create difficulties for them to advance. For this reason, the study gives some recommendation for improvement of the situation and offers opportunity for further studies. Keywords: Women’s Success, Barriers, Leadership, Inequality, Career Path
1.
Brief Historical Overview
The role of women in the Albanian society has changed rapidly and dramatically in the last 40 years. However, the country still faces many challenges in terms of fully displaying and utilising the women’s potential in the labour market and economy (UNDP Albania, 2018). In order to analyse the current situation, it is relevant to have a retrospective view of historical data that would give a better perspective of Albania’s transitional period from the collapse of communist regimes until the recent governmental structural changes. After the fall of communism, government began to have feminism and gender issues as part of the discussions in the plenary sessions. In that time, there are formed groups for public debate, social pressure and developed gender-oriented programs like the “Minerva” association, which brought in attention the gender issues (Calloni, 2002). Since 1992 when Albania became a pluralist state, one of the basic objectives has been the EU Accession. Facilitating progress towards gender equality is a key component of the European Union’s (EU) accession agenda of Albania as a mechanism of further democratic development (Kocaqi, Plaku, & Wittberge, 2016). In 1994, it is ratified the “Convention on the Elimination of all Forms of Discrimination against Women”, in which the main purpose was to define the discrimination against women and to come up with an agenda for national policy to end such discrimination (United Nations Treaty Collection, 1994). Still no major changes or improvements were recognized and women were still subject of different kinds of discrimination and hindered from any opportunity to succeed either in professional or social life. Their duty was to look after their family and their opinion was still irrelevant and barely
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
taken in consideration. Many cities, especially in northern areas, were still obeying and accepting “Kanun of Leke Dukagjin” as a binding law, which is the first and oldest law in Albania (Vataj, 2016). The awareness of citizens for gender quality and elevation of women’ role was considered an important step; therefore in 2000-2002 government conducted a project called “Promotion of Social and Economic Status of Women in Albania” which was supported by UNDP (United Nations Development Programme) (Calloni, 2002). Slight improvements were noticed given that in 2005 for the first time a woman was appointed as the speaker of the Albanian Parliament, but in the general population, still was visible a large gender gap. Another progressive element in the society holds in the fact that during this period, a considerable number of women had a paid employment, apart from their family-based obligations. However, this working variation was partly negatively oriented as women were assigned to positions that were considered more appropriate and adaptable with females’ traits such as assistant, secretary, sanitary cleaner, cooker or similar positions. This can be considered an institutional mindset including stereotypes and gender biases within an institution which usually makes comparisons between women and man role mostly based on congruent theory. Accordingly, women are less effective when the leader role is masculinised, and men are less effective when the role is feminized (Andrews, 2016). The new era of development begins in 2008 with the first law on gender equality, Law No 9470 ‘On Gender Equality in Society’ (Picari, 2008). In general, the law seemed well structured but it lacked guidance on the execution of the law and this is why its content remained mainly written rather than practiced. Women’s participation in political and economic decision-making remained limited for a while until it progressed with improvements in electoral codes and processes. In December 2008, Electoral Code was revised for a better and fair electoral campaign which was expected to be held on May 2011. For the first time the quotas were presented which brought a progress to gender distribution candidates in political participation. Many organizations on protection of women rights were involved in the discussions of the Electoral Code draft amendments regarding the gender quota (UN Women, 2013). It claims that “at least 30% of the multi-name list and one of the first three names on the multi-name list shall belong to each gender”. In case the parties do not act in accordance with the law, and if quotas are not reached, fines are to be applied. For parliamentary elections, a fine of 1 million Albanian Lek (approximately 7500 Euros) will be charged as well as additional sanctions such as adjustment of the list until the gender quota is reached (The Electoral Code of Republic of Albania, 2008). The approved amendments marked a positive step by firming the requirement for increment of women’s political participation at the national level (UN Women, 2013). Currently, there is still a huge gender gap in different sectors, whether political, economic or social. This mostly derives from the notion that men are considered more appropriate for high positions and do not need extra training. All this can be related in what is called “the glass ceiling”, that refers to the invisible or artificial barriers that prevent women for further achievements or advancement (Johns, 2013). This consequently raises the research question of this paper: Which are the barriers that prevent women to leadership? 2.
Research Methodology
2.1 Research Design This paper is an exploratory study based on quantitative and qualitative results of the open and closed questions in the surveys. The research is cross-sectional given that it studies a particular phenomenon (barriers of women to leadership) at a particular time (2017). 2.2 Study Population The study population is comprised of 300 females who are currently in the decision-making position in the city of Tirana, Kukes, Durres and Korca. The target cities are chosen based on the study of INSTAT, according to which Tirana (capital of Albania) is ranked first as the city with the greatest number of females as entrepreneur, administrator and similar work positions. Korca (positioned in
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the southeast of Albania) has a relatively low number of women having high working positions and being followed by Kukes city (in the northern part of Albania) which is the least city having the lowest number of females holding leading positions. Meantime, Durres is a developing city, which according to INSTAT is considered to have many opportunities and job possibilities for females (INSTAT, 2017). 2.3 Research Instruments Questionnaires were used to collect data. It was a self-completion questionnaire, which was designed to be completed by the respondents without the intervention of the researcher. It is composed of 10 questions (open and closed ones). The questionnaire consists of 2 sections. The first one covers general information of the surveyed women such as: working city, working position, and qualifications. Second section covers the main questions related to the objective of the research about the barriers that women face, their perceptions about Albanian legislation support in regard with this issue, stereotypical views among the citizens and their suggestions for reducing existing gender gap. For the participant’s selection process, a purposive sampling technique is used. The selected women had to fulfil the following criteria: (a) women serving in high administrative positions (i.e. directors, chief cabinet); (b) women working with men in the same office or environment; (c) women being involved in political decisionmaking positions. 2.4 Data collection& Analysis There have been carried out 300 surveys in total, distributed in each city, Tirane, Kukes, Korce and Durres depending on the number of women who work in the respective cities. The survey is firstly conducted in Tirana where questionnaires are carried out among women in Parliament, public entities and big enterprises with females as owner/administrator. Same approach is followed also in Kukes, Korce and Durres. For local entities, a prior permission from the director/head was required and then proceeding with the survey. Helpful data that directed the sample frame of the survey are found at National Business Centre and INSTAT. Identity of surveyed female participants and institutions where they work is anonyms in respect of their privacy and confidentiality. The data of the questionnaire is generated by SPSS Program, for translating statistical data and charts. 3.
Results and Discussion
This study aimed to investigate main barriers that restrain women in Albania to advance in professional aspect as well as stepping into leadership roles. Data gathered from the survey conducted in Tirana, Durres, Kukes and Korce are discussed and analysed as following. Firstly, it should be emphasized that the majority of the surveyed women (37.3%) hold a doctorate degree, followed by 31.3% of women possessing a master degree, 24.2% graduated in bachelor degree while the result of the education of other women is omitted due to low percentage. However, the surveyed women are required to specify their current job position which is illustrated in the below chart.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Figure 3.1: Current job position of the surveyed women As it is evident from the chart, even though the majority of the surveyed women possess a doctorate degree, 34% of them still work as simple employees, without having a leading or decision-making position. However, only 27% of them are head of any department depending on the company or institution that they are surveyed. This is followed by 17% of women being administrator or chief executive of the company while a very small percentage (13%) of women being owner or founder of companies. It should be emphasized that even though we could survey only 7% of the female deputies, the number of the females in the Albanian Parliament in 2017 is only 39 out of 140 deputies, which is quite smaller compared with men as deputies. Still, this is the highest number of female deputies since 1992 (Lumezi, 2017).
Figure 3.2: Gender Equality Another aspect worth of discussing and helpful for revealing important findings in the study, was the treatment that women get in the same working environment compared to men. According to the survey, 52% of the surveyed females feel unequally treated compared to men co-workers, even though they work at the same environment and similar positions. Resultantly, even though they have satisfying position in the workplace, they do not consider being treated equally as men. Subsequently, the respondents were asked to argue in regard with unequal treatment in the work environment. Majority of them related it with the pay gender gap given that 64% of them assert that are not paid same as men, meanwhile 32% claim that do not have freedom in terms of expressing
300
VOLUME No.1
184 185 186 187
188 189 190 191 192 193 194 195 196 197
198 199 200
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
their opinion or flexibility in the work without being subject of gender-based discrimination or harassment. These are considered great obstacles for further development or having a sustainable career.
Figure 3.3: Women’s decision-making power It was considered important to perceive the opinion of women about themselves which is a significant element in a democratic regime. Even though nowadays women are more visible in public life compared to 20 years ago, still the majority of the surveyed women (67%) do not think that women in Albania have satisfying decision-making positions. Despite of many efforts, this indicates that Albania still has features of a patriarchal country which needs progress in regard of women empowerment and elevation.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Among many years, Albanian culture or mentality has continuously empowered males as successful leaders which made it very difficult for women to fit into masculine archetypes of leadership. Every time a woman succeeds in her career, she is seen as the exception and often as socially and/or professionally deviant. Can female leaders escape from these role-traps? This is the reason why it was considered crucial to understand stereotypes that exists in respective Albanian cities as the main barriers that prevent these women to express themselves and succeed in their career. This study found out that in our society and culture is still present the mindset according to which women should stay at home to raise children (39%); take care of the family by cooking and cleaning (33%) and only 2% might really consider women capable of having decision-making positions. As it can be noticed, these stereotypes associate the image of women with duties and obligations within family framework. Hence, female is considered as fragile and incapable of doing other jobs rather than those limited inside the family framework. This may come as result of individual or institutional mindset which consists on thoughts, beliefs or gender biases which are deep-seated in society by consequently constraining women empowerment and elevation to leading roles. Ultimately, the fact that these role-traps continue to thrive in our collective unconscious and is daily faced by all, means that Albania still have too much work to progress in gender equality and abolishment of such stereotypes can be achieved only by giving to females the voice needed to be heard in social media or different awareness programs.
Figure 3.5: Barriers of women to leadership Many factors are pointed out as barriers for women to leadership, as they are seen as vulnerable part of the society who are tied up to household duties. Furthermore, this study resulted that main barriers for women to leadership are the need to look after their families (34%) and familial prejudices (29%). This is strongly related with the abovementioned stereotypes which associate women image within family framework boundaries. They are considered only as housewife who should stay at home to take care for family and therefore are not assisted by their husband or partner. This makes it more difficult for them to find a balance between home and work life which consequently obliges women to make a choice between family and work. In the era of globalization and modernization, these mind-set barriers might be perceived as inappropriate by developed countries, as they genders equality obstacles might rely on the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
absence of a role model, unconsciousness bias etc. which are more coherent with the present progressive period (Parfitt, 2015). In general, these barriers seem of a different level compared to Albanian mindset - women in developed countries have very high perspectives and do not consider any more the option of being restrained within family framework duty. An important obstacle that should have created facilities for women to empower during all these years is legislation and government policies. According to survey findings, 44% of women assert that legislation does not support them and this matter should be taken at a high relevance by entities or other public institutions 4.
Conclusion
The overall result of the research has achieved the objective to identify the most significant barriers that women face during their path to leadership by referring to the cities of Tirana, Durres, Korca and Kukes. To conclude , it can be claimed that women face huge gender gap compared to men, which is why they experience difficulties in the advancement of their careers. Albania is a developing country which needs to progress in certain aspects of the society where the empowerment and elevation of women should be considered as one of the most important features. Some good recommendation may include: - Promoting positive stereotypes related with females’ role in the society since early age. Considering that values and ideas start to be shaped since infant age, it is important for children to be positively educated regarding the women role in the society. This could be achieved with the support of Ministry of Culture and Education, who can prepare different awareness programs according to different age groups. This would serve to educate and guide children about positive mindsets regarding women role in family, work and society and most importantly how they should be treated. Methods should be chosen carefully in order to effectively deliver the message and to give the proper definition of “powerful women” without being limited only to family framework. - The promotion of the women role models in social media Despite having a huge gender gap existing in Albanian society, still there are many women that have fought against barriers and stereotypes in order to have a decent place in the society where their work and contributions would be valued and appreciated. These women should serve as role models; therefore, their efforts should be promoted through different methods and channels in order to reach all women in Albania and inspire them to do the same. - Strengthening institutional frameworks for gender equality This country still needs to strengthen its institutional and legislative framework pertaining to gender equality and non-discrimination. Sweden, Norway or Finland can serve as good example for their strong legislation related to gender equality, which within a short time have achieved to lower gender gap. Government should improve monitoring and accountability of public offices towards women as well as ensuring gender mainstreaming in public policies. It is important for government to put sanctions and restrictions in order to make laws more effective in practice rather than staying only as a set of written clauses. This could be achieved by strengthening the mechanisms and requiring accountability for gender equality or discriminations in the work environment. In conclusion, Albania has still a long journey for improving current situation and increasing women participation and involvement in important decision-making positions. Important is that all women should be aware of their values, importance and power as human being and future leaders of this country.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
References Andrews, S. (2016). Gender barriers and solutions to leadership. Retrieved from Training Industry: https://trainingindustry.com/magazine/issue/gender-barriers-and-solutions-to-leadership/ Calloni, M. (2002). Albanian Women after Socialism and the Balkan War. Utrecht University Press, 49-60. Cornell. (1993). successful iniciatives for breaking the glass ceiling to upward mobility for minorities and women. Cornell University, Social Science Department. US: digital commons ILR. David.A.Cotter, Hermsen, J. M., Ovadia, S., & Vanneman, R. (2001). The Glass Ceiling Effect. North Carolina Universiy, Social Sciences Department. U.S: University of North Carolina Press. Johns, M. L. (2013). Breaking the Glass Ceiling: Structural, Cultural, and Organizational Barriers Preventing Women from Achieving Senior and Executive Positions. American Health Information Management Association. Kalaja, D. (2013). “Perqasje te krahasuara gjinore ne hapesiren midis regjistrimeve dhe diplomimeve ne Shqiperi. Social Sciences University, Labor and Social Policy Department. Tirane: Doktoratura Uniti Press. Kocaqi, M., Plaku, A., & Wittberge, D. (2016). Albania Gender Brief. UN Women; UNDP. Lumezi, A. (2017, July 3). Kuvendi i ri me 39 deputete gra, numri me i larte qe nga 1992. Panorama. Marche, S. (2013). Home Economics: The Link Between Work-Life Balance and Income Equality. The Atlantic. Parfitt, P. (2015, September 01). The three things holding women back at work. Retrieved from The guardian: https://www.theguardian.com Picari, B. (2008). Barazia gjinore. Kusht per integrimin europian. Tirane: Aleanca Gjinore per Zhvillim. Rosin, H. (2013). The End of Men: And the Rise of Women (1st Edition ed., Vol. 1). Penguin Publishing Group. UN Women. (2013). Women’s participation in politics and decision-making in Albania. Albania: UN Women. UNDP Albania. (2018). Sustainable Development Goals. Retrieved from Gender Equality and Gender-Based Violence Programme: http://www.al.undp.org United Nations Treaty Collection. (1994). Depositary,Status of Treaties. Retrieved 12 17, 2017, from United Nations Treaty Collection: https://treaties.un.org Vataj, A. (2016, May 2). E drejta penale në “Kanunin e Lekë Dukagjinit” sipas optikës bashkëkohore të jurisprudencës.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Interactive Multimedia Services Research, Used in the Systems Engineering Career of the Technological Institute of Mexicali Phd. Jesús Francisco Gutiérrez Ocampo M.C. Corina Araceli Ortiz Pérez M.C. José Antonio Camaño Quevedo Karla Jasmin Castelo Zamora Andrea Valdez Yañez Instituto Tecnologico de Mexicali Abstract This quantitative research, has the objective of measuring the impact on the users of Interactive multimedia services, in the systems engineering career of the Instituto Tecnológico de Mexicali. The method is a survey applied to a sample of students of the Systems Engineering degree at the Instituto Tecnológico de Mexicali. The results of a survey applied about Interactive multimedia services is Interactive multimedia services, is a new tool of the Acrobat DC professional suite, which allows the user to generate PDF documents which contain various multimedia elements, such as MP3 audios, Videos, Photos, which are intended to be a valuable tool in the student teaching process and is used successful for the 402 students enrolled in systems engineering career of the Instituto Tecnológico de Mexicali. Based on the results obtained from this research, it can be seen that the students of the systems engineering career of the Technological Institute of Mexicali, consider themselves to be enthusiastic about information and communication technologies, such as interactive multimedia services, and they wish to use these technologies, as an area of opportunity we discovered that this technology is not currently used in the systems engineering career of the Technological Institute of Mexicali, nor in other academic departments, the students surveyed show that they know these technologies and that they would recommend them as a means to improve the learning, besides that they consider these technologies reliable. Keywords: Interactive Multimedia Services, PDF Multimedia, Systems Engineering
1.
Introduction
Interactive multimedia services, is a new tool of the Acrobat DC professional suite, which allows the user to generate PDF documents which contain various multimedia elements, such as MP3, Videos, Photos, which are intended to be a tool valuable in the teaching learning process of students, this quantitative research has the objective of measuring the impact on users of the systems engineering career of the Technological Institute of Mexicali, which has 402 students enrolled and make a diagnosis, based on the results of a survey applied to a sample of students from the systems engineering career of the Technological Institute of Mexicali. 2.
Instrument Used 1. The Interactive Multimedia Services that are used in the Systems Engineering career at the Technological Institute of students. 2. The Interactive Multimedia Services that are used in the Systems Engineering career at the Technological Institute of student.
305
subjects of the Computer Mexicali, are known by the subjects of the Computer Mexicali, are useful for the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
3. The Interactive Multimedia Services that are used in the subjects of the Computer Systems Engineering career at the Technological Institute of Mexicali, are used regularly in classes. 4. The Interactive Multimedia Services that are used in the subjects of the Computer Systems Engineering career at the Technological Institute of Mexicali, would recommend them to other students. 5. The Interactive Multimedia Services that are used in the subjects of the Computer Systems Engineering career at the Technological Institute of Mexicali, you consider them necessary for a better learning. 6. The Interactive Multimedia Services that are used in the subjects of the Computer Systems Engineering career at the Technological Institute of Mexicali. Apart from the use in class, you have seen them used in some other department of the ITM. 7. The Interactive Multimedia Services that are used in the subjects of the Computer Systems Engineering career at the Technological Institute of Mexicali. In the last 12 months you have used them in the ITM. 8. The Interactive Multimedia Services that are used in the subjects of the Computer Systems Engineering career at the Technological Institute of Mexicali. If you had the opportunity to use this technology, you would use it. 9. The Interactive Multimedia Services that are used in the subjects of the Computer Systems Engineering career at the Technological Institute of Mexicali, you consider them reliable for use in the classroom. 10. As a student of the subjects of the Computer Systems Engineering career at the Technological Institute of Mexicali, you consider yourself an enthusiast of information technologies. With the following multiple choice answers: a. Totally disagree b. Disagree c. A little disagree d. A little bit of agreement e. Agree f. Totally agree
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Conclusions
Based on the results obtained from this research, it can be seen that the students of the systems engineering career of the Technological Institute of Mexicali, consider themselves to be enthusiastic about information and communication technologies, such as interactive multimedia services, and they wish to use these technologies, as an area of opportunity we discovered that this technology is not currently used in the systems engineering career of the Technological Institute of Mexicali, nor in other academic departments, the students surveyed show that they know these technologies and that they would recommend them as a means to improve the learning, besides that they consider these technologies reliable. References. Lisa Fridsma. (2015). Adobe Acrobat DC Classroom in a Book. usa: adobe press. Lon Safko. (2010). The Social Media Bible: Tactics, Tools, and Strategies for Business Success. USA: wiley. Harry Hemus. (2015). DIVIDI Projects. 20/08/2017, de DIVIDI PROJECTS Sitio web: http://www.dividiprojects.com/ Michael Porter. (1983). Cases in Competitive Strategy. usa: the free press. Measuring the Sustainability of Protected Area-Based Tourism Systems: A Multimethod Approach Poudel, Surya, 2014 Addressing Sustainability in an Entrepreneurship Ecosystem: A Case Study of a Social Incubator in Mexico Wood, Mark Williams, 2014 Developing green management standards for restaurants: An application of green supply chain management Yao-Fen Wanga, Su-Ping Chenb, Yi-Ching Leea, Chen-Tsang (Simon) Tsaia, 2013 Environmental sustainability of service supply chains: Contract design and evidence on operating performance in the U.S. hospitality industry Zhang, Jie, 2011
307
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The Success Models of Financing the Artificial Reproductive Techniques and the Albanian Case Dr. Jonada Zyberaj “Ismail Qemali” University of Vlore Faculty of Humanities Department of Law Abstract The development of the artificial reproduction techniques (ART) is obviously one of the biggest achievements of medicine of the XX Century accompanied by many ethical, moral, social and economic disputes. Even if its applicability makes the dream true for many couples, the high costs of the (ART) makes it realizable only for a few of them, fearing so to create another limitation on the access of these techniques. While aiming at the realization of the reproductive health of their citizens, states are still confused on whether to include (ART) in the health care policies and fund it fully or partially or to leave the cost of its implementation to the individual. Success cases of different European countries will be analyzed in this paper where the (ART) are fully or partially funded by the health care scheme. The reproductive health service in Albania is provided by law as a funded service, but until now (ART) is offered only by private clinics and although its cost is lower than that of European countries, it still remains high compared to the personal income. Having in consideration the success cases of European countries, this paper will try to analyze if there is the possibility in the Albanian legislation of financing the artificial reproduction techniques by the national health insurance fund. Keywords: artificial reproductive techniques, costs, health care policy, funded health services
1.
Introduction
The scheme of funding the health care services is a social and economic mechanism as well as political too. The purpose of any refund scheme is to ease the economic expense of a person and make it more affordable for the individual. The funding scheme can be seen as a cost transfer from the individual to the society. Therefore the economic burden of ART (artificial reproductive techniques) on the national health care is much easier for developed countries and as such the funding scheme aims to be more generous too.1 But regardless of the opportunities of funding, to what extent should the generosity of financing the ART be extended? The health insurance scheme is mainly created as a result of these two components; poverty and disease.2 At the beginning, the aim of the health insurance scheme was to create possibilities of treatment in cases when disease is combined with poverty. The generosity and solidarity are the main principles of the health care system.3 All the individuals contribute to improve their health status, and also that of other individuals who are in a financial inability. Therefore the generosity in funding from the health care scheme is primarily based on the identification of a disease affecting the health status of the individual, and on the possibility of treatment for everyone without financial prejudice. The financial help from the health care system is not applied in cases when a certain health element doesn’t affect the deterioration of the individual’s health status. The health coverage plans have expanded in accordance to the individuals need for health 1
Ata B. Seli E. (2010) “Economics of assisted reproductive technologies”, Current opinion in obstetrics & gynecology , 22(3): 183-8. 2 Peto Zh, (2006), “Sistemet e mbrojtjes shoqërore”, Shtypshkronja Ekpres, Tirane. 3 st N. A. S, N.A.E, I.M and N.R.C, (2001), “Crossing the Quality Chasm: A New Health System for the 21 Century”, NA Press.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
and financial insurance. The spread of new diseases, the evolution of medical technologies, and the expansion of medical benefits has redefined the concept of health coverage.4 The International Covenant on Economic, Social and Cultural Rights (ICECR), in Art 12 promotes and recognizes “… the right of everyone to the enjoyment of the highest attainable standard of physical and mental health”5, known as the right to health, which was firstly articulated in 1946 in the preamble of the Constitution of the World Health Organization, and in 1948 was mentioned in the Universal Declaration of Human Rights.6 The right to health is considered as a fundamental human right, indispensable for the exercise of other human rights, and it is a duty of the State to take the necessary measures for its full realization.7 The right to health refers to the right to the enjoyment of a variety of goods, facilities, and conditions which are necessary for having the highest attainable physical and mental health. The United Nations International Conference on Population and Development (ICPD), defines reproductive health as “a state of complete physical, mental and social well being and not merely the absence of disease or infirmity, in all matters relating to the reproductive system and to its function and processes”8 Therefore reproductive health implies the “… the right and the capability to reproduce and the freedom to decide if, when and how often to do so”. It implicit in the last condition “… the right to have access to different methods of their choice, for regulation of fertility which are not against the law, and the right of access to appropriate health care services that will enable women to go safely through pregnancy and childbirth…”9 This affirms that individuals have the right to choose the application of different forms of artificial reproduction to avoid infertility and also to pretend health care services, which can lead to a pregnancy and childbirth. The artificial reproduction is one of the forms of exercising reproductive rights of the individuals, part of the right to reproductive health. In this sense, countries where the artificial reproduction techniques are allowed to avoid infertility should include within the health insurance scheme the ART as long as they relate and serve to the reproductive health. But the application of the ART is not only limited to infertility avoidance. Many European countries have allowed the access on ART for purposes beyond that of infertility. (United Kingdom, Belgium, France, Spain) Since in the 1980, the definition of the legal criteria and that of the possibility of funding the reproductive techniques has been an important issue. According to some authors the purpose and the aim of using these techniques should be the main criteria. If these techniques would be considered and used to cure certain disease such as infertility, or they would be considered as techniques tended to meet a certain human need such as reproduction.10 The World Health Organization (WHO) has defined infertility as a “... disease of the reproductive system, a health restriction that connotes the individual to an inability to normal carry his natural functions”.11 This leads to the conclusion that the artificial reproduction techniques, when they are intended for the reproduction of the infertile individuals, should be part of the health care scheme and the costs associated with these techniques, as well as the costs incurred to treat infertility, should be financed by the state. Other authors assume that the impossibility to have children, regardless the infertility issue 4
American Academy of Actuaries, “Fundamental of Insurance: Implications for Health Coverage”, July 2008 https://www.actuary.org/pdf/health/coverage_ib_08.pdf retrieved 1/14/2018 5 Art 12 of the International Covenant on Economic, Social and Cultural Rights, Adopted on 3 January 1976, United Nations of Human Rights. 6 WHO, UN High Commissioner of Human Rights, “The Right to Health”, Fact Sheet No.31, retrieved 1/14/2018 http://www.ohchr.org/Documents/Publications/Factsheet31.pdf 7 Committee on Economic, Social and Cultural Rights, “CESCR General Comment No.14: The Right to the Highest Attainable Standard of Health (Art 12), http://www.refworld.org/pdfid/4538838d0.pdf 8 UN, International Conference on Population and Development, Program of Action, 5 – 13 September 1994, https://www.unfpa.org/sites/default/files/pub-pdf/programme_of_action_Web%20ENGLISH.pdf 9 idem 10 Martin J. (1996), “Prioritizing assisted conception services: A Public health perspective” Evans “Creating the child”, Kluwer edt. 11 WHO, ICMART, “Revised glossary on ART terminology, 2009”, Human Reproduction, Vol. 24, No. 11, 2009 http://www.who.int/reproductivehealth/publications/infertility/art_terminology.pdf
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
can be a cause of suffering for individuals, as suffering from the lack of children comes not only from the impossibility to have children, but at the same time because of the function of the social structure. In this sense, it may be justified to finance ART even for these groups of individuals.12 The application of ART is a recent phenomenon in Albania and it is not well- defined. It is of a great importance to determine the importance of funding the ART as its important impact in increasing fertility rates. 2.
Methodology
The methodology adopted for this paper is that of the bibliographic review on the subject matter that of the funding of the artificial reproductive techniques, as part of the reproductive health services in European countries and in Albania. The article seeks to examine the actual situation of the artificial reproductive health services in Albania and its possibility to include them as part of the health insurance scheme. In order to have a complete view on the reproductive health services, insurance schemes of different European countries are taken into consideration and compared between them. The content of the law on the reproductive health is examined and also the Albanian health insurance scheme is taken in examination in order to identify the problem leading to the lack of funding. Given that in Albania the legislative framework of reproductive health is not completed, a special attention is given to the National Health Strategy, in which the possibility of financing reproductive techniques is foreseen. 3.
Some European Experiences
Developed European countries consider infertility as a medical condition or as a disease, rather than “a socially constructed need” as it is considered in the US.13 This leads to a greater use of IVF in countries that subsidize the expenses, than to countries in which the ART is not included in the insurance scheme.14 Even if they differ in the access policies of the ART, most of the European countries have deemed infertility as a health care good and their national policies fund all or some portion of infertility treatment. The coverage scheme depends on historical, social and economic considerations which combined with the medical and ethical ones define the coverage scheme. In compliance with the level of financing some of the European countries restrict access to the treatment by introducing eligible criteria such as age, marital status etc. Here are some successful cases on how European countries provide the possibility of funding the application of the artificial reproductive techniques. Belgium funds ART in 100 % of the first six cycles only for women under the age of 43.15 But the marital status is not a restriction according to the Belgium law.16 French legislation provides only the access on ART of infertile, heterosexual couples. France provides full public funding of ART but limited only to heterosexual married couples, who are on a procreation age, under the age of 43. Funding is limited to four cycles.17 Germany, like French provides the funding only for heterosexual married couples. There are age limitations too. In Germany only 50% of the cost is reimbursed.18 Great Britain the funding scheme covers fully or partially, when the service users have to pay 12
Holm S., (1996), “The need for treatment”, ed. Evans “Creating the child”, Kluwer edt. 1996. Katz P., Nachtigall R., Showstack J., “The economic impact of the assisted reproductive technologies”, Institute for Health Policy Studies, California USA, retrieved on 20.12.2017 https://www.nature.com/fertility/content/pdf/ncb-nm-fertilitys29.pdf 14 Idem In 1998 the use of IVF was three times greater in France, Netherlands, Norway and Sweden, than in US and five times greater in Denmark, Finland and Iceland. 15 Service Public Federal Santé Publique, Securité de la Chaine Alimentaire et Environment 20032403, June 4, 2003, The Royal Decree of June 2003 16 Belgium Law Concerning Medically-Assisted Insemination, 2007, art 4. 17 French Human Fertility and Embryology Bill, 2007-2008 18 German Social Code V. 13
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
only some of the medicines. The funding applies on heterosexual couples, single women and also to same sex couples and is covered by the National Health Plan.19 Nordic Countries seems to have a more liberal approach to artificial reproductive issues, including here that of financing the reproductive techniques. Denmark is known as the more liberal among them. In Denmark, from May 1997, the Danish Parliament decided that the artificial reproduction would be offered at the public hospitals free of charge. This was limited only to heterosexual couples.20 In 2004 an amendment of the ’97 Bill agreed to limit the treatment of the heterosexual couples in public hospitals up to the birth of only one child. It was not until 2006 that artificial reproduction techniques were also made available to single women. From 2015, ART in Denmark is covered by the public health service for all involuntary childless women residing in Denmark, up to the age of 45, regardless their sexual orientation or social status.21 The criteria used to regulate the ART public coverage are more restrictive than the general criteria for the access to these techniques. Establishing restriction criteria is seen as a mean to limit the budget spending, which should be oriented towards the health system priorities. According to the ESHRE22 survey 2013, the first most common restriction is that of the age, followed by that related to limitations of coverage only for the first child, or limits on the total number of cycles offered.23 The criteria, on which different countries have assessed or not the financing of ART, are based on the cost - effectiveness analyses and to the ratio of the conventional forms of treating infertility and ART.24 Cost analysis is based in the so called availability – utility, which means all the cost for equipment, personnel and locations that would be needed to fulfill a certain ART program. Costs effectiveness ratios for the ART treatment are expressed as the average direct cost of treatment per live birth, calculated as the total ART treatment costs divided by the number of live births.25 The effectiveness of this procedure will not be calculated on the basis of the number of the ART performed, but on the basis of successful ART that resulted in the birth of a child.26 What is common to all the countries that provide funding to ART, regardless of the extent to which they finance, is their social approach toward the procreative technologies. They don’t consider artificial reproduction only as a personal matter, which the individual should provide at his own expenses. Reproductive techniques have an individual as well as a social dimension, as they affect the structure of a society by resizing the concept of the family. The approach of these countries over the artificial procreation shows that the society and the state are sharing the responsibility over the new features of artificial procreation. 4.
Financing Artificial Reproduction in Albania
The issue of reproduction is not only seen as an individual need based on his own right to procreate or reproduce himself, but in the same time it shows an individual need to be accepted within the social structure. The Albanian society is still rigidly based on the traditional family. Childless couples 19
Keane M., Long J., O’Nolan G., Farragher L., ( 2017), “Assisted reproductive technologies: International approaches to public funding mechanism and criteria. An evidence review” , Health Research Board 2017, http://health.gov.ie/wp-content/uploads/2017/03/HRB-AHR-Funding-Evidence-Review.pdf 20 Nordic Committee on Bioethics, “Assisted Reproduction in the Nordic Countries. A comparative study of policies and regulations”, Nordic Council of Ministers 2006. 21 Mohr S., Koch L., (2016), “Transforming social contracts; the social and cultural history of IVF in Denmark.” ELSEVIER Journal, Volume 2, https://www.sciencedirect.com/science/article/pii/S2405661816300181#bbb0080 22 European Society of Human Reproduction and Embryology. 23 International Federation of Fertility Societies, (2013), “IFFS Surveillance 201” https://c.ymcdn.com/sites/iffs.site-ym.com/resource/resmgr/iffs_surveillance_09-19-13.pdf 24 Stephenson P., Wagner M. G., (1993), “ Tough Choices: In Vitro Fertilization and Reproductive Technologies”, Temple University Press Philadelphia. 25 Connolly M.P, Hoorens S., Chambers G.M., on behalf of ESHRE Reproduction and Society Task Force (2010), “The costs and consequences of assisted reproductive technology; an economical perspective”, Human Reproduction Update, Volume 16, Issue 6, 1 November 2010 https://academic.oup.com/humupd/article /16/6/603/739127 26 Idem, pg 86
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
are not a common reality in Albania and also cases of artificial reproduction are not easily accepted. The state of the Albanian society toward the reproductive techniques is also reflected in the limited efforts of the Albanian legislator to have a complete legal framework on the issue. The reproductive techniques would not be a priority for the legislator as long as the Albanian society will not show interest on the topic. Despite the cultural and social attitudes, other factors that affect the ART provisions are also economic. As a developing country, the Albanian economy is struggling in financing the basic health care. It is important to underline the fact that the health care system in Albania covers the necessary services during pregnancy and after the childbirth, but not the attempts to avoid infertility.27 The basic health care financing packet provides the funding of health care services of the reproductive health, including the counseling services before the pregnancy and curative and rehabilitation services during and after pregnancy.28 The artificial reproduction is not mentioned. The infertility treatment is also not mentioned even in the purpose of the reproductive health care. So far, despite the provisions of Reproductive Law, this service is only provided by private clinics. In 2017 the Ministry of Health approved the National Health Strategy 2017- 2021.29 The National Health Strategy recognizes the lack of legislation in the field of artificial reproduction and expresses the necessity to revise the legislation as soon as possible in accordance with the best European practices. The Strategy provides as one of its strategic objectives the need of strengthening sexual and reproductive health services, with an approach throughout the life cycle, based on evidence and vision towards universal coverage, but it avoids any clear specification on artificial reproductive techniques. The fact that the Strategy stresses the need for infertility treatment and sets as a strategic objective the effort to include in the universal coverage of the reproductive health services is a green light for a possible funding of the artificial reproductive techniques in the future. Private clinics in Albania, which offer the ART services, seems to be very attractive for foreigners as the cost of their services is lower than those of clinics in other European countries, but they still remain relatively high considering the economic living standard in Albania. The cost to benefit from the ART services of a couple is about 5 000 Euros. For an individual the cost tends to be even higher since there are no sperm banks in Albania, and the individual should bear even the cost of its import. In a country like Albania, where the average gross monthly salary is calculated to be about 380 Euros30, the cost of the ART services seems to be unbearable for the individual. The possibility of financing reproductive techniques depends mostly on the demand for such services. The cost of infertility management is determined by the percentage of patients seeking treatment for infertility, its impact on population and the quality of treatment. But until now the Ministry of Health does not possess any data on the number of individuals undergoing through ART, which makes this kind of infertility treatment immeasurable and so impossible to include it as a fundable service. As a first step, it is necessary to calculate the real cost of the artificial reproductive services, what is the need for funding and which should be the requirements in order to avoid unnecessary costs? The legislator, in order to reduce the cost of ART may decide to finance it only in public hospitals. An attempt to include ART services in the public hospitals was made in 2012, when the former Director of the Gynecological University Hospital “Koco Gliozheni”, announced that in accordance to the EU project “Medicine of the Future” the ART services would already be offered by the public hospitals and funded by the Security Health Scheme, but until now it remained only a statement.31 In accordance to the WHO recommendations the treatment of infertility should be considered as a disease treatment. The WHO emphasizes the need of a 27
Ligj Nr. 8876, datë 4.4.2002 “Për Shëndetin Riprodhues” Ministria e Shëndetësisë, “Paketa bazë e shërbimeve në kujdesin shëndetësor parësor”, pg 27 http://www.shendetesia.gov.al/files/userfiles/Shendeti_Publik/Paketa_e_rishikuar_e_miratuar.pdf 29 Albanian National Health Strategy 2017 – 2021. 30 INSTAT (The institute of Statistics), The average monthly salary and the minimal monthly salary T3 2014 – T3 2017 http://www.instat.gov.al/al/themes/pagat-dhe-kosto-e-pun%C3%ABs.aspx 31 Llambro Z., (2012, October 19), “Fekondimi “In vitro” do te kryhet edhe ne spitalet publike”, Panorama Newspaper http://www.panorama.com.al/fekondimi-in-vitro-do-te-kryhet-edhe-ne-spitalet-publike/ retrieved on 24 January 2018 28
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
universal access to infertility treatments, but their high cost leads to a restriction of access. Only those who can afford to pay can have the possibility to cure infertility through the conservative way or through the application of ART. 5.
Conclusions
The fertility treatment is a long and expensive process, which results take time and its productivity is not sure. For this reason the use of reproductive techniques seems to be the other alternative to avoid the infertility consequences. In many European countries artificial reproduction is seen as a health service provided fully or partly by the state. The purpose of this service justifies the fact that these techniques are included in health policies by the states, as infertility is seen as a problem for many European countries and the goal of these techniques is to avoid, whenever it is possible, its consequences. But the inclusion in the health care system of the ART implicates political, social and economic matters. As a post communist country, the Albania economy and its health insurance scheme has faced numerous challenges and the infertility issues were not at the top of the list.32 Neither is at the moment. As the Albanian legislator is making the necessary efforts to join the European Union, assisted reproduction can’t attract the political attention. But as the number of infertile couples is growing rapidly there are still no concrete policies for the infertility treatment. According to the statistics of the Albanian Institute of Statistics, infertility is becoming a serious concern for our country33 In front of this situation is the duty of the legislator to take the necessary measures to reduce and treat infertility. A first step is that of considering the infertility as a disease, as a state of health restriction, which is becoming a really serious health concern for the Albanian society. Including fertility as a prevalent health problem would provide the necessary justification for a future infertility financing plan. As a developing country, Albania can try to include infertility treatment in its national health plan, by trying to finance ART services partially and in accordance with other status or age requirements. References Books Holm S. (1996), “The need for treatment”, ed. Evans “Creating the child”, Kluwer edt. Martin J. (1996 ), “Prioritizing assisted conception services: A Public health perspective” Evans “Creating the child”, edt. Kluwer. st N. A. S, N.A.E, I.M and N.R.C, (2001), “Crossing the Quality Chasm: A New Health System for the 21 Century”, NA Press, 2001. Nordic Committee on Bioethics, “Assisted Reproduction in the Nordic Countries. A comparative study of policies and regulations”, Nordic Council of Ministers 2006. Peto Zh. (2006), “Sistemet e mbrojtjes shoqërore” , Shtypshkronja Ekpres, Tirane. Stephenson P. Wagner M. G. (1993), “Tough Choices: In Vitro Fertilization and Reproductive Technologies”, Temple University Press Philadelphia. Articles American Academy of Actuaries, “Fundamental of Insurance: Implications for Health Coverage”, July 2008 Ata B., Seli E. (2010), “Economics of assisted reproductive technologies”, Current opinion in obstetrics & gynecology ; 22(3): 183-8. Connolly M.P., Hoorens S., Chambers G.M., on behalf of ESHRE Reproduction and Society Task Force, “The costs and consequences of assisted reproductive technology; an economical perspective”, Human Reproduction Update, Volume 16, Issue 6, 1 November 2010. 32
Other post communist countries have gone through the same experience. Nordic Committee on Bioethics, (2006), “Assisted Reproduction in the Nordic Countries. A comparative study of policies and regulations”, Nordic Council of Ministers. 33 INSTAT data on infertility: It is shown that the natural addition of the population changes from 63, 932 in 1990 to 34,821 in 2000 and only 14,273 in 2011. This data reflects a significant decrease in the birth rate, although the number of deaths has not changed significantly. The number of births has decreased from 82125 births in 1990 to 51242 in 2000 and 34285 in 2011.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Katz P., Nachtigall R., Showstack J., “The economic impact of the assisted reproductive technologies”, Institute for Health Policy Studies, California USA. Keane M., Long J., O’Nolan G., Farragher L., “Assisted reproductive technologies: International approaches to public funding mechanism and criteria. An evidence review”, Health Research Board 2017 Mohr S., Koch L., “Transforming social contracts; the social and cultural history of IVF in Denmark.” ELSEVIER Journal, Volume 2, June 2016. Others Committee on Economic, Social and Cultural Rights, “CESCR General Comment No.14: The Right to the Highest Attainable Standard of Health”. UN, International Conference on Population and Development, Program of Action, 5 – 13 September 1994. WHO, ICMART, “Revised glossary on ART terminology, 2009”, Human Reproduction, Vol. 24, No. 11. WHO, UN High Commissioner of Human Rights, “The Right to Health”, Fact Sheet No.31 International Federation of Fertility Societies, Surveillance 2013. International Covenant on Economic, Social and Cultural Rights, adopted on 3 January 1976, United Nations of Human Rights. Service Public Federal Santé Publique, Securité de la Chaine Alimentaire et Environment 20032403, June 4, 2003, p. 32127., The Royal Decree of June 2003. Belgium Law Concerning Medically-Assisted Insemination, 2007. French Human Fertility and Embryology Bill, 2007-2008. German Social Code V. Ligj Nr. 8876, datë 4.4.2002 “Për Shëndetin Riprodhues”. Albanian National Health Strategy 2017 – 2021. Ministria e Shëndetësisë, “Paketa bazë e shërbimeve në kujdesin shëndetësor parësor”.
315
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Achieving Social Equality for Women in Vietnam Today: Some Lesson Learned Assoc.Prof. Nga Nguyen Thi Dr. Oanh Hoang Thi Kim Institute of Philosophy, Ho Chi Minh National Academy of Politics Abstract Achieving social equality for women is one of the most crucial Millennium Development Goals in many countries all over the world. In contemporary Vietnam, social justice is taken into consideration in various angles, in which women’s social justice is an issue mattered to the Party and the State. In fact, Vietnam has made remarkable achievements in the implementation of social justice for women in many fields such as economics, politics and education. This study, however, also addresses many challenges faced by Vietnam in implementing social justice for women, which include (1) The difference in the proportion of men and women participating in economic activities, management leadership at all levels participation is still quite high; (2) Women’s more disadvantage than men and their lack of receiving necessary conditions to contribute to their worth; (3) Women’s social injustic through the smaller percentage of girls in primary and secondary school in comparison to boys, especially in poor and ethnic minority areas, etc. By analyzing the underlying influencing factors of the situation in Viet Nam, the article suggests core solutions to improve social justice for women and girls in contemporary Vietnam, which include training women with essential skills, sharing women’s workload by infrastructure and services, strengthening the implementation and the supervision of Law on Gender Equality and the National Strategy for Gender Equality, focusing on more effective propaganda and education on gender equality, As a result, women will fully realize their potentisal and, therefore, contribute more to social life. Keyword: social equality for women, women’s social justice, Social justice for Vietnamese women
1.
Introduction
On November 26th 2017, “Resolution 62/10” was unanimously adopted by the United Nations General Assembly in the 62th session addressing the annual 20th of May, starting from 2009, to be “World Day of Social Justice”. This shows special and universal concern of the society upon this subject. In Vietnam recently, social justice is taken into consideration from various angles, in which social justice for women is an issue mattered to the Party and the State. The Party and the State is taking positive steps in promoting social justice, contributing to realize the goal of “rich people, strong nation; democratic, equitable and civilized society”. 2.
Some Fundamental Achievements in Performing Social Justice for Women in Vietnam
In terms of economics: Women participate in all stages, procedures and sectors in producing both material and spiritual possessions for family and society. The female labor force participation rate is moderately high. According to a report by General Statistics Office, the national labor force aged above 15 consists of 54.61 million workers (updated to February 1st 2016), in which male makes 51.7% and female 48.3% (Tran, 2015). Vietnamese women have participated in nearly all professions and areas including man-predominant fields such as research, engineering application and advanced technology (female participation rate in science is approximately 40% and female scientist reaches 6%) (People’s Army Newspaper, 2017). Moreover, women account for a great portion in the work force of many careers, for example, 60.9% in education, 57.52% in medical and healthcare, 50.32% in industry, 65.5% in commercial service, 51.75% in finance and credit 317
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
(Vietnam Women’s Union, 2011)... There is no big distinction between male and female workers in the average hour pay rate. Vietnam is one of the leading countries in women’s participation in economic activities with the rate of over 60% of the labor workforce are females managing household economy; 70% working in the textile and garment industry; 80% taking part in food and fishery industry and 50% in finance and banking, information and communication, commerce and tourism, etc. There are an increasing number of women holding executive positions in big corporations. Vietnam currently ranks 7th in the percentage of female CEO with 31.4%, higher than China (with 30.9%) and the USA (with 30.7%) (Thuy, 2017). The Global Gender Gap Report published by the World Economic Forum (WEF) in 2016 has shown that Vietnam ranks 33th among the top 144 countries with the greatest success in closing the gap between women and men in economics (Truc, 2017). In politics: Nowaday, more and more female representatives are joining the executive board in the Party system, the State Administrative Agencies and the people’s elected bodies. The Vice President has always been a female in Vietnam since 1999. The rate of having women as Ministers, Deputy Ministers or Director Generals is also rising rapidly. At various local levels, women’s attendance rate in the People’s Council or People’s Committee increases in local governments and some even have female presidents. The percentage of female participation in National Assembly has always been considerably high. From an overall view, in recent years, Vietnam is one of few countries of the Asia-Pacific region in which women accounts for over 25% of the parliamentarians. The number of women with major responsibilities in National Assembly increases promptly in recent tenures. For instance, in the Fourteenth National Assembly, among 496 people elected, there are 133 women, who make 26.80%, increasing by about 2% from the last tenure (24.4%). Especially in 2016, the National Assembly of the Socialist Republic of Viet Nam welcomed the first chairwoman: Nguyen Thi Kim Ngan (Bui, 2016). In education: Vietnam has generally eradicated gender gap. Women and young girls are encouraged to enhance their cultural and educational background equally to men. According to many statistics, Vietnam has suceeded in raising the rate of female students at various levels of education. Specifically, at the moment, the percentage of girls studying in elementary schools is 91.5%, 82.6% in secondary and 63.1% in high schools; while it is respectively 92.3%, 80.1% and 53.7% with boys. Female university graduators is 36.24%, Masters: 33.96% and PhDs: 25.69% (Dang, 2015). In family: women’s role is being promoted remarkably. Women are respected and involve more in making essential decisions and incomes. In urban-area families, men and women are holding equal positions by sharing mutual tasks in household chores or children upbringing. Nowadays, it is normal for husbands to go shopping for food, to cook or to wash the dishes. Social awareness of male and female’s functions is raised. Vietnam is acknowledged as a country which has successfully protected women against domestic violence by carrying out gender mainstreaming programs, policies and laws in order to support women’s power and financial independence; fighting for women’s rights and freedom; establishing Caring Centers for abused victims such as Mental Therapy Center or Women’s Health Care Center, which are operating effectively. Vietnam’s Communist Party and State’s effort in maintaining gender equality has been internationally recognized. In United Nations’ 2016 report on gender inequality index, Vietnam ranks 65th over 144 countries. We also achieved the Millennium Development Goals of gender equality and women position promotion before due in the year 2015 (Minh, 2015). 3.
The Challenges
Despite being highly recognized as one among many countries in East Asia with the most extensive change in eliminating gender gap, achieving gender equality is still facing numerous obstacles due to various reasons. In economics, the number of women participating in economic activities is still lower than men. Work quality of women is not yet stable and sustainable. That almost all female workers are employed in poor qualification or insecure areas is stated in the research of the Institute of Labor Science and Social Affairs (Ministry of Labor, Invalids and Social Affairs). Women working in textile
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
and garment, service, etc. make 70% of the workforce. The proportion of female workers in informal sectors is quite high, with 62.4% working in unpaid and self-employed families, 41.1% doing simple jobs (Hang, 2017). The monthly average salary of female workers (about 4.58 million VND) is lower than that of male workers (5.19 million VND). The rate of unemployed women after the age of 35 is quite high which should be taken into consideration. A recent study by the Institute of Laborers and Trade Union of Vietnam found that up to 80% of women over 35 years of age in industrialized areas were laid off or quit the jobs, of which 59.6% receive low payment which is not enough to live on; 39.1% were dismissed due to work pressure and job retrenchment, 22,65% suffer forced leave. The study also found that the higher the age, the greater the likelihood of job loss (Anh, 2017). In politics, even though Vietnam ranks high in congresswoman rate, there is still a big gap between the percentage of male and female leadership and management at various levels, especially in executive positions (men are 3 times as much as women). Disapproval coming from family or the society prevents women from taking part in social and political activities, especially in mountainous areas, ethnic minorities communities, electing female representatives to peopleelected agencies is a significant impediment. In education, gender gap is still significant, especially in remoted areas, areas with difficulties. The rate of female students in moutainous areas is low (the rate of illiteracy among women aged from 15 to 40 is higher than that of men, especialy in Northern midland and mountainous). There is a great gender disparity at higher levels of education. According to data from the Central Vietnam Women's Union, in 2013, the proportion of women with university degrees nationwide is accounted for 36.24%; Masters: 33.95%, PhD: 25.69%. The percentage of women who get the title of Associate Professor and Professor over the years is much lower than that of men. From 2011 to 2015, only 23.06% female professors, associate professors are recognized (Nguyen, 2016). Currently, the proportion of male professors and associate professors is male accounted for 83.5% and females accounting for only 16.5%. With reference to the course book system, there are still many vivid illustrations of gender inequality; for instance, teaching females that household chores and raising children should be their responsibility while going out and socializing is just for male or using pictures and posters with discrimination acts on which the father watches TV and the mother does all the housework. In family, attaining equal treatments for women and men remains insufficient as domestic violence is not yet eliminated entirely in places like the countryside. The stereotypes of women who must stay home and take care of everyone, give birth to a boy and are not allowed to make important decisions still exists along with gender prejudice. 4.
Fundamental Causes of the Shortcomings
First, the culture of patriarchalism and the promotion of the traditional role of men are invisible barriers that have profound implications for the realization of social justice for women. Gender stereotypes and male preferences ideology in society with specific manifestations such as: preferring sons to daughters; taking care of the family, the children and the parents are considered as women’ responsibilities; men are family’s breadwinners who can shoulder and solve all big issues in the family… lead to the fact that women are in a more disadvantaged position and inequality than men. In many organizations, women are not promoted to managerial positions (even if they are qualified), because many still think that only men can take up important tasks, while women should only do light work to have time for their family. This idea is not only in the people, but also in leaders, especially in a group of women who are also prejudiced with women. So, in elections, the men who beat women off the electoral roll are not men, but women. Second, there remains a gap between legal provisions on equality and justice for women and the enforcement of those rules in practice. According to international standards, Vietnam has a fairly comprehensive legal system and policy framework for gender equality. However, there are still legal barriers to women. For example, the regulation saying "First-time public servant appointment must not excceed 55 years old for men and 50 years old for women" restricts the opportunity for women to be appointed to the position of leadership, management, whether they have the capacity as men. Or the retirement age regulation
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
of 60 for men and 55 for women is also a hindrance for women in their process of striving, working, and dedicating. Commenting on this, a research stated three issues relating to such retirement age to be considered by organizations and employers. First, taking into consideration the effectiveness of investment, fostering a female cadre is not beneficial to a male cadre, as the working time of men is longer than 5 years. Second, in terms of numbers, the higher the managerial position, the fewer female candidates for that position than male candidates. Third, in terms of correlation, considering two male and female candidates on the same terms, female candidates are more restrictive than men in terms of experience, simply because they are 5 years younger. Thus, the age regulation places women on an unequal "race" with terms that discriminate against women, and the winners are always male, since at the final state, men have no competitors because their female competitors are eliminated 5 years before (Nguyen, 2013). As another example, the Law on Marriage and Family of Vietnam bans violent acts among family members and premature marriage. However, the phenomenon of maltreatment, mental abuse of men to women in the majority of families has not been severely punished according to law. Premature marriage in rural, mountainous and ethnic minority areas is quite common. According to a current survey, up to 40 out of 53 ethnic minority groups have an overage rate of premature marriage of more than 20%, in which 10 groups have a higher rate of premature marriage (20-30%), 11 groups at 30-40%, 13 groups at 40-50% and 6 groups at 50-60% (Mai, 2017). One of the reasons is that 37% of interviewees do not know about the Marriage and Family Law; 63% say they have heard but do not know what the law says. In addition, although there are policies and regulations that provide incentives for women workers, those policies and regulations have not been implemented or difficult to implement in practice. For example, the tax incentives for businesses employing more female workers, or the regulation of enterprises employing more female workers must have kindergartens or support payments for women whose children are at kindergartens age are not implemented by business owners. Most businesses admit that they cannot arrange time for their female workers’contingency professional training (Government Decree No. 23/CP, 1996). Although Vietnam has a policy system to create favorable conditions and opportunities for women, in practice, the policy monitoring and implementation for female workers is still limited. Many enterprises still violate the law on working time and rest time for female workers but not being handled. According to a survey conducted by the Labor Protection Committee and the Women's Union of the Vietnam General Confederation of Labor, up to 76% of female workers work overtime, of which 300-400 hours of overtime work per year in textile, garment, seafood enterprises is quite popular. In quite a number of businesses, female workers have to work from 500 to 600 extra hours per year (Hoang, 2011). Due to low income, female laborers have to work extra hours to increase their income. However, based on this, many employers require female workers to sign overtime agreements, many of whom are required to work overtime from 31 to 60 hours per month. Due to work pressure, many female workers do not even have time to go to rest-rooms, drink water or have enough food... Many women workers do not have a rest time in during their period. Many women workers who are coming to the birth month still have to work in loading and unloading bricks or stoves, where there is smoke, dust, exhaust gas.... Third, work pressure coming from family and society is a barrier, so women have to "accept being left behind" compared to men. In fact, in order to fulfill at the same time both family and work responsibilities, many women have double responsibilities and time to work in comparison to men (average working time of women is 13 hours per day while men's time is only about 9 hours). Thus, women have less time to study, relax, enjoy and participate in social activities than men. The burden of family work prevents women from having time to improve their professional capacity so that they can be further promoted in their career. Especially, in the period of industrialization - modernization and current vigorous and deep international integration, like men, women need to have good professional knowledge, foreign language and computer skills as well as sensitivity, flexibility, creativity in work... To do that, women need more time. Meanwhile, the work of
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the family is still considered a heavy responsibility of women. That easily explains why many welleducated women give their way to and back up their husbands in taking care of their family, just to keep their "happiness". Many women accept lag or strive to be modest only at the level of accomplishment for family reasons. It is also the same reason why at similar level of education, men develop better, have higher positions and have more opportunities for professional training than women. This is one of the main reasons leading to the fall of women in education, training, science and technology, and in leadership and management in Vietnam. In order to fulfill their role, women have to shorten their time for leisure, culture activities and skill improvement. This is a disadvantage and unfair in opportunities for women. Addressing these underlying causes, our research wants to show that if governments of various levels and sectors join hands and have positive, realistic and effective policies in place ensuring equality for women; if the implementation of the Law on Gender Equality and the National Strategy for Gender Equality is better controlled and monitored; if the promotion of gender equality is more effective enabling women be free from prejudices and social barriers; if women are given equal opportunities and opportunities to men and women are given equal access to various types of training and fostering; if women are supported in doing housework by improving the infrastructure and services and sharing with men, they can definitely develop all capacities, qualities, promote their potentials, participate in contributing to the development of society like men. This is social justice for women. References Anh, Q. (2017, March 29). Bấp bênh lao động nữ [Female unstable labouring ]. [Online] Available: http://www.congdoan.vn/tin-tuc/doi-song-cong-nhan-503/bap-benh-lao-dong-nu-182904.tld Bui, H.T. (2016, March 31). Tân Chủ tịch Quốc hội với lời tuyên thệ thiêng liêng dưới cờ Tổ Quốc [The New President of the National Assembly with the sacred oath under the national flag]. [Online] Available: http://dantri.com.vn/blog/tan-chu-tich-quoc-hoi-voi-loi-tuyen-the-thieng-lieng-duoi-co-to-quoc20160331174759748.htm Dang, A.T. (2015, October 20). Bình đẳng giới trong chính trị ở Việt Nam: Thực trạng và giải pháp [Gender Equality in Vietnam politics: Real situation and Solutions]. [Online] Available: http://www.tapchicongsan.org.vn/Home/Thong-tin-ly-luan/2015/35730/Binh-dang-gioi-trong-chinh-tri-oViet-Nam-Thuc-trang-va.aspx Government Decree No. 23/CP (1996, April 18); Government Decree No. 85/2015/NĐ-CP (2015, October 1) Hang, T. (2017, March 4). Trên 41% lao động nữ làm những công việc đơn giản [Over 41% of the female workforce is in charge of simple task]. [Online] Available: https://thanhnien.vn/kinh-doanh/tren-41-laodong-nu-lam-nhung-cong-viec-don-gian-804599.html Hoang, T. (2011, June 6). Lao động nữ vật lộn với cuộc sống [Female workers struggle with life]. [Online] Available: https://baotintuc.vn/xa-hoi/lao-dong-nu-vat-lon-voi-cuoc-song-20110606092902177.htm Mai, T. (2017, June 29). 40/53 dân tộc thiểu số có tỷ lệ tảo hôn trên 20% [40/53 ethnical minorities have child marriage rate of over 20%]. [Online] Available: http://giadinh.net.vn/dan-so/40-53-dan-toc-thieu-so-co-tyle-tao-hon-tren-20-20170629171727948.htm Minh, T. (2015, September 22). Kết quả 15 năm thực hiện Mục tiêu Phát triển Thiên niên kỷ của Việt Nam [The outcome of 15 year implementation of the Millennium Development Goals of Vietnam]. [Online] Available: http://www.mpi.gov.vn/Pages/tinbai.aspx?idTin=29159&idcm=188 Nguyen, T. B (2016, April 25). Nữ trí thức và bình đẳng giới ở Việt Nam [Female intellectuals and gender equality in Vietnam]. [Online] Available: http://lyluanchinhtri.vn/home/index.php/thuc-tien/item/1430-nu-trithuc-va-binh-dang-gioi-o-viet-nam.html Nguyen, T. G. H. (2013). Phát triển nguồn nhân lực nữ chất lượng cao ở việt Nam [Developing the high quality female human resources] (Doctoral thesis). Retrieved from Ho Chi Minh National Political Academy Database. Toạ đàm về bình đẳng giới nhân ngày Quốc tế phụ nữ năm 2017 [Talk show on Gender Fairness]. (2017, March 3). [Online] Available: http://www.molisa.gov.vn/vi/Pages/chitiettin.aspx?IDNews=26202 Thực hiện bình đẳng giới vì sự phát triển xã hội và nâng cao vị thế của phụ nữ [Gender Equality implementation for social development and raise women’s position]. (2017, March 7). [Online] Available http://www.hoilhpn.org.vn/print.asp?newsid=15975 Thuy, L. (2017, April 8). Việt Nam vượt Mỹ - Trung Quốc về tỷ lệ nữ doanh nhân [Vietnam overpassed the USA and China in the percentage of businesswomen]. [Online] Available https://thanhnien.vn/kinh-doanh/vietnam-vuot-my-trung-quoc-ve-ty-le-nu-doanh-nhan-823595.html
321
VOLUME No.1
278 279 280 281 282 283 284 285 286 287 288
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Tran, L. (2015, December 28). Lao động và việc làm ở Việt Nam 2015: Nỗ lực, nhưng chưa đạt kỳ vọng [Labor and employment in Vietnam 2015: Great efforts, but not yet met the requirements]. [Online] Available: http://kinhtevadubao.vn/chi-tiet/2-4925-lao-dong-viec-lam-o-viet-nam-2015--no-luc-nhung-chua-dat-kyvong.html Truc, T. (2017, March 3). Trao quyền kinh tế cho phụ nữ nhiều hơn [Economic empowerment for women]. [Online] Available: http://kinhtedothi.vn/trao-quyen-kinh-te-cho-phu-nu-nhieu-hon-281873.html Xây dựng người Phụ nữ Việt Nam phát triển toàn diện, đáp ứng yêu cầu của thời kỳ mới [Encourage Vietnamese women to develop comprehensively and meet the requirements of the new period]. (2017, March 7). [Online] Available: http://www.qdnd.vn/chinh-tri/tin-tuc-su-kien/xay-dung-nguoi-phu-nu-viet-namphat-trien-toan-dien-dap-ung-yeu-cau-cua-thoi-ky-moi-501309
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Negotiations between Kosovo and Serbia from Rambouillet to Independence 1999-2008 Reshat Nurboja Ph.D. Candidate UET, Tirana, Albania Abstract "We agree that we disagree" this may be the summary finding of almost the entire Kosovo-Serbia negotiating process on the final status of Kosovo. The basic purpose of this paper consists with a need that through the chronology of the Kosovo-Serbia negotiations to present some of the new experience, failures, or recommendations arising from these negotiations not only for the direct participants in the these talks but also for the international organizations and diplomacy that were the initiators, the organizers and the facilitators of the said negotiations. The paper begins with the 1999 Rambouillet Conference, continues with the elaboration of the 17 rounds of these negotiations and 25 expert level meetings initially organized by the United Nations Security Council through the Special Envoy Mr. Martti Ahtisaari and his UNOSEK office, and later by the Contact Group through "Three": Frank Vizner, as US representative, Wolfgang Ischinger as EU representative and Alexander Bocan-Harcenko as the representative of Russia. At the end of the paper, the last phase of the negotiations is reflected when the International Community in particular the United States estimated that this way of negotiations cannot bring the outlined conclusions and decided not to obstruct Kosovo through its Parliament on February 17, 2008 to unilaterally announce its Independence ...!
Keywords: Negotiation. Kosovo, Serbia, International Community, Independence 1.
Introduction
Kosovo is the last state created during the process of dissolution of the former federation of Yugoslavia. It was one of the eight federal units of the federation and actually it is the last state that became independent in the mentioned process (dissolution) that was a process with the atrocities and ruining which were not seen in Europe since the Second World War. The dissolution of the former Yugoslavia was also a process in which various international factors were involved and without that involvement the consequences of the dissolution could have been much worse. The international engagement was of various types and forms as well. This international engagement related to Kosovo has initiated various academic debates about the creation of new states, self determination, etc. By this paper author by using the qualitative methodology explains and makes analysis of the process from a conference held in France where Serb and Kosovo Albanian delegations met in order to find a peaceful solution about the future of Kosovo and relations with SRJ/Serbia. For the needs of the paper there are used the following methods: Method of historic analysis by which the process is explained from the historic point of view. Method of systemic analysis which explains the position of the norms (national and international) on the entire system. Method of political analysis is used to explain the meaning of the norms and the political process during the process of negotiations. Author by the research questions strives to justify the hypothesis which goes that the independence of Kosovo would not have happened without the deep engagement of the international community. 2.
The Historical Context of Kosovo-Serbia Negotiations
Kosovo-Serbia negotiations for solution of Kosovo future status were more deeply continued at the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
International Conference in Rambouillet, France, on February 06, 1999, where under the pressure of NATO threats with the air strikes, the delegation of Serbia was pushed to attend the Conference, initially headed by Ratko Markovic, the Deputy Prime Minister of the Government of Serbia, followed by Serbian President Milan Milutinovic and Kosovo Albanian delegation led by KLA1 representative Hashim Thaci. The Conference in Rambouillet reflected intentionally at the beginning with the welcoming speech of the French President, Jasque Chirak, who among the other emphasized: "There are rare moments when history is in the hands of few people. Such a case is today for you to make decisions on the negotiating table. The framework of these talks is clearly defined by the Contact Group- the principles of substantial autonomy. We have the solution between the continuance of the tragedy from the past and hope for the future. We do not accept the cycle of violence to threaten anymore the entire stability of South East Europe"2 Regardless of such a reflection of the historic responsibility the negotiators had in this Conference,"... the beginning of the talks during the first week was almost a failure, as the Serbian delegation did not considers negotiations seriously and, of course, and it took part in the negotiations only because of the pressure and concrete international threats, whereas, Albanians on the other side, insisted on their right to hold the final referendum on independence, who was stubborn as a mule."3 As evaluated by the organizers of this Conference the "soft" approach toward the two negotiating parties would not achieve the alleged conclusions, therefore they decided to finalize the negotiations and conclude them in form of an ultimatum, for what the negotiating parties were individually informed through the US Secretary of State Ms.Madeline Albright, who had initially talked with Serbian President Milan Milutinovic. As she has written in her book, the Serbian President said: "The political solution which we had presented was good for his country. It would demilitarize the KLA, keep Kosovo within Yugoslavia, and allow its army to continue patrolling the border. The presence of the leading NATO peacekeeping force -would help and would not damage, because it would also protect the human rights of the ethnic Serb minority in Kosovo. Otherwise, I said another Chechnya would be created within your borders. At the same time, you will find yourself in an even more difficult situation facing the international community and NATO. This should not happen. By taking advantage of the opportunity given to you for peace, you have the opportunity to enter into Europe and the West."4 Likewise, the meetings of Ms. Albright with the Albanian delegation were also difficult ... She summarized her own talk in the autobiographical book "Secretary of the State": My message to Albanians contained the same arguments that I had presented to Serbs: "You are the leader. You are elected to represent your people. Think well before you condemn them with a warlike future. The agreement we have proposed will give you self-government, NATO protection, economic aid, the right to educate your children in your mother tongue, and the ability to exercise control over your life. If you accept it, you will move toward a prosperous future, democracy, and European integration. If you reject it, as a consequence, you will be involved in a war which you will 5 lose, and with it also the International support.
In the other words, to the Albanian delegation there was presented in a soft form an ultimatum with this content: "If you sign the agreement, we will be with you, whereas if you reject it, you will remain alone"6 This was the message of Ms. Albright, so interpreted by one of the participants of the Kosovo delegation at the Rambouillet Conference, Rexhep Çosja: "... in terms of your issue, so that you can govern yourself, we agree. I think that your issue should 1
KLA – Kosovo Liberation Army ( in Albanian) UÇK – Ushtria Çlirimtare e Kosovës Gjeloshi, Nikë, Kosova 1999,” Si republikë e proklamuar, si autonomy e imponuar”. Tiranë, 2002, pg. 274. Albright, Madeleine, “Zonja Sekretare”, SHB “Dudaj”, Tiranë, pg. 462- 464. 4 Ibid. pg. 462-464 5 Ibid. pg. 462-465. 6 Milo,Paskal,.Ditari i një Ministry të Jashtëm.Konflikti i Kosovës 1997-2001, SHB“Toena”Tiranë, 2009, fq. 149. 2 3
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
be viewed as a matter of human rights rather than as the independence. If the Serbs withdraw from the deal, NATO will use the air force, if you withdraw, you will lose our support. We will undertake the necessary measures so that you cannot get help from anyone. We shall conclude that you are not interested in self-government but want a war and change of boundaries and this is in contradiction with the attitudes of the international community. My message is clear: either fight 7 yourself or sign the peace agreement and America will be with you " Albright's Presence at the Conference was first made clear by her spokesman, who stated:" She is not here to negotiate, she is here to demonstrate that we are ready to return the diplomacy by force, by participating in peacemaking, if we have an agreement or by showing the NATO threats about the attack on Serbian 8 targets, in case the Serbs are the cause of the failure of the talks."
Since the delegation of Serbia led by Serbian President, Milan Milutinoviq refused to sign the offered international agreement that led to the failure of the first International Conference on resolving the Kosovo issue. With the failure of the Rambouillet Conference, the situation in Kosovo aggravated further since Serbian military, police and paramilitary forces intensified attacks against the defenseless and innocent Albanian population, at the same time commenced with ethnic cleansing of Kosovo and the deporting of nearly one million Albanians from their homelands. Such created situation in Kosovo couldn’t wait and did not enable the international factor to resolve the problem of Kosovo in relation to Serbia to insist on diplomatic resolving or otherwise through negotiations, because the situation in Kosovo was heading towards a humanitarian disaster on the one hand, and on the other side it endangered the spread of conflict in almost the entire Balkans ... "Likewise, particularly after the Srebrenica Massacre, the US, in particular, did not want to let this happen again by all means. This kind of outbreak of the events on the field in Kosovo forced the International Forces to begin with 78-days NATO strikes, which resulted with the final withdrawal of Serbian military and paramilitary forces from Kosovo, which meant the end of the armed war in Kosovo. The end of the war imposed on the United Nations, respectively the UN Security Council, the adoption of the Resolution 12449 by which Kosovo was put under United Nations interim administration through the United Nations Interim Administration Mission (UNMIK).10 UN SecretaryGeneral Ban Ki-Moon thus defined the mandate of UNMIK as: " it is understandable that the responsibility of the United Nations International will be limited to an extent of an operational control".11 Since UNMIK was not sufficiently efficient in carrying out the duties and responsibilities set out under Resolution 124412, Kofi Annan, UN Secretary-General, that on April 24, 2002, requested from SESG) 13Mr. Steiner to develop referral points where the measure would be the progress achieved by the UNMIK mission in Kosovo. Based on this request, Mr. Steiner SRSG in his presentation to the Security Council concludes as follows: "I offer you this as an exit strategy, which in reality is an entry strategy for the European integration process."14 All of these international commitments about Kosovo did not offer clear solution to the Kosovo problem, but only hold an unstable "status quo" that reflected with mass protests or riots on March 16, 2004...! These disturbances were the result of the accumulation of major economic, social and inter-ethnic problems from which only the moment was expected to break out. This cause for March 7
Qosja, Rexhep, “Paqja e Përgjakshme”, Toena, Tiranë 1999, pg.158 - 159 Albright arrives in Paris with direct message for Kosovo negotiators," International News Section, Agence France Presse, 14 February 1999. 9 Approved by the Security Council at its 4011 meeting on 10 June 1999 10 United Nations Mission in Kosovo 11 UN-Secretary-General's, Report on UNMIK, S / 1999/799, 12 July 2008, p. 15. www.unmikonline.org/SGR Reports / S1999 / 799-.pdf 12 This resolution was appreciated by the good acquaintance of the circumstances with these words: „This was not a document designed to outline the long-term future of Kosovo but was a diplomatic deal struck to end the bombing campaign.“ Tim Judah: Kosovo and its Status, in: Dimitrios Trintaphyllou (Eds.): What status for Kosovo? Chaillot Paper Nr.50, Institute for Security Studies, Paris October 2001, p. 55 13 Special Representative of the United Nations Secretary-General for Kosovo 14 Steiner, Michael, Speech to the Security Council, 24 April 2002, Press release SC / 7375, 24 April 2002. Security Council 8
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
riots15 came with the death of three Albanian children who died in the Ibër River in Mitrovica as a result of the violence and prosecution by several groups of Serbs, three Albanian children who from the threat and fear escaped from Serbs entered into the river where they were found dead ...! After these events in March 2004, the International Community began to understand that the reluctant and irreconcilable approach to finding the final status solution for Kosovo should be changed. Regarding this aim, the UN Secretary-General appointed the Permanent Norwegian Ambassador to NATO, Kai Aide, as his Envoy for assessing the standards that were installed by the UN as a condition for starting the process of resolving the political status of Kosovo.16 Ambassador Aide reported in the mid of 2005 to the UN Security Council and among the other stressed that despite all the obstacles to meeting some of the standards, the status quo is unacceptable, so the talks on resolving the final status should be started carefully.17 The report of Kai Aide, with his recommendations and findings, has pushed Secretary-General Ban Ki-Moon to express and declare that he has ordered the beginning of negotiations on the final status of Kosovo18. This seems to be a moment when the status quo, created a few years in Kosovo, is also unlocked. The process of negotiations between Kosovo and Serbia on its final status we can say that it began on October 31, 2005 with the appointment of the former President of Finland, Mr.Martti Ahtisaari as the UN Special Envoy for finding and recommending the final Status of Kosovo.19 Mr. Ahtisaari in this mission claimed not to prejudice the final status without making the utmost effort to reach a compromise agreement between the two negotiating parties: Kosovo and Serbia on this issue20. Therefore, on November 21, 2005, Special Envoy Martti Ahtisaari and his Deputy, Alber Rohan condcted their first visit on the region. They visited Prishtina and Belgrade, as well as Tirana, Podgorica, and Skopje. Subsequently, the Special Envoy and his Deputy with his technical staff many times visited the region to carry out the negotiations and to assist on technical issues of the dialogue. In January 2006, the Kosovo Contact Group21 established the general principles of the Kosovo - Serbia dialogue, which were based on: a. No return to status before 199922 b. There is no division of Kosovo c. There is no accession of Kosovo to any third country. On January 31, 2006, the Contact Group met in London, where they were more closely assigned to Kosovo's future status, pointing out that "all possible efforts must be made to reach an agreement negotiated during 2006 and that agreement should be acceptable for the people of 23 Kosovo... In 2006, UNOSEK24 held 15 rounds of direct talks with the negotiating teams of Prishtina and Belgrade25, and that: On February 20, 2006 formal negotiations between Kosovo and Serbia began on the first topic of decentralization of the power in Kosovo and the transfer of competences 15
According to OSCE Mission in Kosovo, Human Rights Challenges Following the March Riots in 2004, p.4 of these riots, more than 51,000 people were involved in 33 different incidents throughout Kosovo, with 19 defected (11 Albanians and 8 Serbs) 954 wounded people, 4,100 displaced persons, 550 homes and 27 burnished churches. 16 Weller, Marc “Shtetësia e kontestuar”, Koha, 2009, Prishtina, pg. 309 17 www.unosek.org. - Report Kai Aide, October 2005 18 Ibid. 19 For more information, see UNOSEK. Source: www.unosek.org 20 Gerard M. Malluci. Plani i Ahtisaarit dhe Veriu i Kosovës/Ahtisaari Plan and the North of Kosovo Burimi:http//www.transconflict.com/approach/think/policy/ahtisaari-plan-north-kosovo/plani-i-ahtisarit-dhe-veriu-ikosoves/ 21 The Contact Group was initially formed due to the war in Bosnia and consisted of representatives of the United States, Great Britain, France, Germany, Italy and Russia 22 Contact Group Statement September 22, 2004; http://2001-2009.state.gov./p/eur/rls/or/37535.htm 23 Kosovo Contact Group Statement, London, January 31, 2006. http//www.consilium,europa.eu/ueDocs /pressdata/en/declarations/88236.pdf 24 UNOSEK – United Nations office of Special Envoy Martti Ahtisaari 25 UNOSEK - unosek.org
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
from various fields of the daily life and so on. During the period February-September 2006, Ahtisaari and his team organized 17 rounds of high-level meetings that imply meetings at the level of presidents and prime ministers and 24 expert level meetings and many other meetings at the level of international diplomats involved or interested in these negotiations26..! The dialogue ended without a concrete agreement. Appreciating that this way of dialogue is not bringing the expected results, the Contact Group on September 20, 2006 authorizes Mr. Martti Ahtisaari to draft a proposal for the solution of the future status of Kosovo and for that reason, on October 19, 2006, the UN Security Council27 continues mandate to their envoy Martti Ahtisaari by June 2007. The reporting of Kosovo status proposal foreseen at the end of 2006 was postponed to February 2007 due to Elections in Serbia. On February 2, 2007 Martti Ahtisaari handed over his 63-page proposal to the leaders of Serbia (Boris Tadic - President of Vojislav Kostunica - Prime Minister and Kosovo (Fatmir Sejdiu-President and Agim Çeku-prime minister) in which the proposal explicitly does not mention its independence, but in its content has the attributes of an independent state and its attachment to International Organizations. Regarding the proposal – Comprehensive Proposal for Solution of Kosovo Status (known as Ahtisaari Plan) of the UN Special Envoy, Martti Ahtisaari about the final status of Kosovo, and UNOSEK organized a new two-weeks round of additional negotiations in February 2007. From the conclusions of these negotiations, Martti Ahtisaari completed with his team the initial version of the proposal and submitted them for evaluation and approval to the leaders of Kosovo and Serbia, who at the next meeting of 10 March 2007 were informed that this process of negotiations ends that day with the acceptance or rejection of the proposed Proposal for the Kosovo Final Status Settlement. Since Kosovo and Serbia could not reach any compromise on this issue, Martti Ahtisaari sent the proposal to the Secretary-General of the United Nations, Ban Ki-Moon together with a four-page report reflecting on its views on the dialogue process and the final status of Kosovo. On March 26, 2007, Ban Ki-Moon sent for the review both Ahtisaari's documents to the Security Council by expressing his full support to Martti Ahtisaari's proposal and report. On April 3, 2007 Martti Ahtisaari presented his Plan for the final status of Kosovo in presence of the Security Council, but this report was not voted for approval either for its rejection.28 Even after this unsuccessful negotiating process, as Russia rejected the adoption of the Resolution on Kosovo's Supervised Independence, the Odyssey of these negotiations continued, as the UN Security Council authorized the Contact Group to engage in Kosovo's affair. The Contact Group immediately appointed Frank Wizner (US representative) Wolfgang Ischinger (EU representative) and Aleksandar Bocan-Harcenko (Russia's representative) as a mediator for new Kosovo-Serbia negotiations regarding the final status of Kosovo. Prior to the beginning of direct negotiations between Kosovo and Serbia, these mediators, named by the media and international diplomacy as "trio", organized two separate meetings with representatives of Kosovo and Serbia, and on August 31, 2007, in Vienna, Austria and September 18-19 in London. Understandably, no compromise agreement was reached even though the delegation of Serbia proposed autonomy for Kosovo, whereas the "three-way" negotiator in Prishtina delegation submitted a proposal for a good neighborly relations agreement between two independent states: Kosovo and Serbia. The highest-level direct talks led by the presidents and prime ministers of Kosovo and Serbia continued on September 28, 2007 at EU offices in New York, where Serbia insisted on their vision for a Kosovo with broad autonomy within Serbia, whereas Kosovo, on the other hand, continued to maintain its position on cooperation and good neighbourhood relations, between two independent states ....! On this occasion, in this meeting both Kosovo and Serbia accepted the so-called "New York Decalogue", according to which both parties are obliged that during the negotiation process will refrain from any provocative acts that could endanger stability and security of the region ... Negotiations continued with the second round of talks on October 14th in Brussels, where 26 27 28
For more see UNOSEK - www.unosek.org United Nations Security Council Yearbook of the United Nations, 2007. Volume 61. United Nations Publications, 2007.p/398 - 401
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
both delegations continue to reflect the same views and attitudes as at almost all previous meetings, Serbia offered autonomy within Serbia, Kosovo offered its proposal for good interstate relations as two independent states guaranteeing the full rights for minorities in Kosovo. Not only the organizers but also the negotiating parties began to realize that these talks were lose of time and that they were being held only because of the pressure and persistent insistence of the international factor, particularly the US. In Vienna, on September 22, they continued the third round of talks where the Serbian side presented its proposal with 14 principles for the continuation of talks where the Kosovo status issue should be the dominant topic of the talks from now on. These rounds of talks were tense and very difficult to be facilitated by the organizer. Noting that this way of conversation is not yielding results, the international "trio" of the two parties presents their 14-point proposal in which, according to previous talks, it was considered that Kosovo and Serbia could agree. But in this international proposal, both negotiating parties found many issues which were unacceptable to them. On November 5, the fourth round of facilitated talks by the international "trio" was held in Vienna, Serbia's negotiating team led by the mayor and their prime minister proposed that the final status of Kosovo be discussed, the model of Hong Kong, which was refused by the Kosovo team immediately. Even in the fifth round of talks held on 20 November, the Serbian side came with their proposal from the previous round but with some additional inputs to which they had also offered the Overseas Water Option in Finland, so this agreement could be in force for 20 years whereas, afterwards other forms of the solution for solving the final status of Kosovo could be found. Again, Serbia's proposals rejected the Kosovo side and reflected its view that Kosovo agrees only with Kosovo's internationally supervised independence, as Martti Ahtisaari proposed. On November 28, 2007, the negotiations continued. These were the recent talks between Kosovo and Serbia since the Kosovo delegation warned that it would no longer continue the talks and that it would soon declare Kosovo's independence on the other hand. Serbia's delegation obviously opposed to the announcement of Kosovo Independence and expressed the willingness and interest that negotiations to continue so after December 10, to find a solution to the Kosovo status choice accepted by both negotiating parties, even though they themselves and the Kosovar side, especially the international ones were aware that a compromise or joint agreement is impossible. The direct highest-level talks led by the Presidents and Prime Ministers of Kosovo and Serbia continued on September 28, 2007 at EU offices in New York, where Serbia insisted on their vision for a Kosovo with broad autonomy within Serbia while Kosovo, on the other hand, continued to maintain its position on cooperation and good neighbour relations but as two independent states....! On this occasion, in this meeting both Kosovo and Serbia accepted the so-called "New York Decalogue", according to which both parties are obliged that during the negotiation process will refrain from any provocative acts that could endanger stability and security of the region ... Talks continued with the second round of talks on October 14, in Brussels, where both delegations continue to reflect the same views and attitudes as at almost all previous meetings, Serbia offered autonomy within Serbia, Kosovo offered its proposal for good interstate relations as two independent states guaranteeing the full rights of minority communities in Kosovo. Not only the organizers but also the negotiating parties began to realize that these negotiations were of no result and that they are being held only because of the pressure and persistent insistence of the International Community, particularly the US. In Vienna, on September 22, they continued the third round of talks where the Serbian side presented its proposal with 14 principles for the continuation of talks where the Kosovo status issue should be the dominant topic of the talks from now on. These rounds of talks were tense and very difficult to be facilitated by the organizer. Noting that this way of conversation is not bringing any results, the international "trio" of the two parties presents their 14-point proposal in which, according to previous talks, it was considered that Kosovo and Serbia could agree. But in this international proposal, both negotiating parties found many issues which were more than unacceptable to them... On November 5, the fourth round of the facilitated talks by the international "trio" was held in Vienna. Serbia's negotiating team was led by President and Prime Minister and they proposed that
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the final status of Kosovo should be further discussed, offering the model of Hong Kong, which was immediately refused by Kosovo delegation. Even in the fifth round of talks held on 20 November, the Serbian side came with their proposal from the previous round but with some additional additions to which they had also offered the option of Oland Islands in Finland, and this agreement would last for 20 years afterwards to look at other forms to resolve the final status of Kosovo. Again, Serbia's proposals were rejected again from the Kosovo side and reflected its view that Kosovo agrees only with internationally supervised Independence of Kosovo as Martti Ahtisaari had proposed. On 28 November 2007, the negotiations continued ... These were the recent talks between Kosovo and Serbia since the Kosovo delegation warned that it would no longer continue the talks and that it would soon declare the Independence of Kosovo. On the other hand the delegation from Serbia was obviously opposed to the announcement of independent Kosovo and expressed the willingness and interest that such talks continue after December 10 to find a solution to the Kosovo status choice accepted by both negotiating parties, even though the Kosovar side they, particularly the international ones were aware that such a compromise or joint agreement is impossible. On June 10, 2007, was published the report of US Representatives-Frank Wisner, EU Wolfgang Ischinger and Russia-Aleksandar Bocan-Hrcenko, which report were previously submitted to UN Secretary-General Ban Ki-moon earlier that week. In this report, the international mediation dialogue between Kosovo and Serbia concluded that the negotiating parties Kosovo and Serbia have not reached compromise agreements on the future status of Kosovo but consider the talks as useful and successful since both sides have presented their views to resolve the issue and what was more important to the "trio", both Kosovo and Serbia have declared and warrant that they will refrain from any kind of violence or provocation that can lead to violence between these two countries and not just only between them .. The Odyssey of these negotiations continued in 2008, respectively on 17 January of that year the UN SC held its session, where the report of UNMIK on the situation in Kosovo was reviewed. The members of the KS addressed one word the case in the first part, in that open part of the KS summit, Serbian President Boris Tadiq asked the UNSC to take a decision on continuing the dialogue between Kosovo and Serbia regarding finding a solution to the final status of Kosovo, for which Serbia expresses its readiness to find a lasting compromise solution. In the continuation of this international engagement to find a solution to the Kosovo issue on January 22, the Council of Europe Parliament also discussed and approved the Resolution on the developments of the process of resolving the Kosovo status without specifying, offering or imposing any concrete solution on its part which money is virtually expected and requested by the EC. The resolution as such was presented by Lord Russel Johnston as the EU Parliament rapporteur for Kosovo. The resolution was approved but was not approved unanimously, but only by the majority of votes and that of 96 votes in favor, 48 against 24, with which at the European level reflected with different views and interests for resolving the status of Kosovo ...! The engagement of EU continued by deciding, respectively allowing on February 16, 2008 a new Mission in Kosovo with 1800 person judges and the police experts who would replace the ongoing Mission of UNMIK in Kosovo. All this commitment and substantial interest of the highest international levels, especially of Kosovo, to find a compromise solution for Kosovo's final status, was estimated that it cannot be achieved through talks, even by the fact that Serbia 30 September 30, 2006 at a special session of the Assembly of Serbia29 where were present the President of Boris Tadiç and Prime Minister Vojislav Kostunica once approved the new Constitution of Serbia where in the Preamble of the Constitution, Kosovo is considered as an integral and inseparable part of Serbia. Also, this official position of Serbia on the part of the Serbian side that participated in on the day talks, whereas at "night" planed the actions that had previously determined the failure of those talks and in more institutional forms such as the organization of a Referendum to support this new Constitution, as an inseparable part of Serbia on October 28 and 29, 2006, therefore, on February 17, 2008, the Kosovo Assembly declared the Independence of Kosovo. With this action and decision Kosovo, it is understandable by the International support and in the first place of the United States, ends the non-productive dialogue 29
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
and pro forma Kosovo- Serbia-for the status of Kosovo. 3.
Conclusions/Recommendations
Kosovo-Serbia talks on the final status of one country or province are the best case to understand how important or improbable such talks are, or similar, particularly when they are imposed and organized by the International Community and where the USA expresses its direct interest. Such talks indicate that the accusing or the stronger party in those talks, in this case, Serbia, as early as possible the compromise would have been achieved, the more it would have agreed, since the international community initially required some institutional and legal advanncement of human rights for Albanians ... When they were rejected with indifference, provocation and using state violence against civilians, the demands for compromise increase and arrive at that stage when almost everyone has estimated that cohabitation in the same state is impossible. If Serbia had accepted in the early stages numerous international diplomacy proposals of the Great Powers, the Kosovo issue would certainly have a diametrically opposite end to the one achieved! Serbian President Slobodan Miloseviq has lost international and diplomatic support and friendship for hundreds of years. Once, the case of Kosovo, although considered and treated as a "sui generis" case, imposes review, internationally reviewing the International Law and the United Nations Charter on sovereignty on human rights, humanitarian intervention, etc. International mediators have given little importance to the national cultures of the parties in the talks. The indecision of the international factor on time has resulted in tens of thousands of casualties in people and large refugee convoys around the world, the Srebrenica massacre, the responsibility, the lesson and the failure of the International Community. The unification of world-influenced media in creating a pro or against opinion to particular issue is irreplaceable. The case of Kosovo better than any other case testified that human rights are no longer internal issues that belong exclusively to the local legal system of any country, but they are global responsibility. The Kosovo issue has initiated a debate over the question or dilemma of reviewing and supplementing the UN Charter and other stereotypical international justice rules with the most concrete, clear and adequate ones for the world society. The Kosovo case has proven that in such talks the mediator should be extremely influential or otherwise the results will be missing or postponed to infinity. Definitely, The Independence of Kosovo is a story of the success of unity and International Cooperation. References Albright, Madeleine. (2004) “Zonja Sekretare”, Tiranë,:Dudaj Boshkovich, Ivan.“Peace Conference; Road to the Conference and Results”,HIST 7602, Pierre Aselin, Buja, Ramë.(2007)”Çështja e Kosovës dhe shkatërrimi i Jugosllavisë”,Prishtinë,Univerziteti AAB st Council of the European Union,Press Release 2851 Council meeting,General Affairs and External Relations,Brussels, 18 February, 2008 - 6496/08 (Presse41) Debora Garcia - Orrico, “Kosovo”, Deklarata e Pavarësisë e 17 shkurt-it 2008, Development Group, Dialogu Kosovë – Serbi, Larg qytetarit afër BE-së, Prishtinë 2012, Fischer, Joschka (2008)“Vitet kuq-gjelbër”, Prishtinë,: Koha Forum 2015, Kosovo-EU Relations: The history of unfulfilled Aspirations? Kosovo Foundation for Open Society, Prishtina 2013, International Crisis Group, Kosova dhe Serbia pas mendimit të GJND-së, Raporti për Evropë, nr. 206, i datës 26 gusht 2010, Ivan Boshkovich “Peace Conference; Road to the Conference and Results”,HIST 7602, Pierre Aselin, Jolyon Nyagele, ”The Case of United Nationss Mission in Kosovo”, Joschka Fischer “Vitet kuq-gjelbër”, “KOHA”, Prishtinë, 2008, KIPRED, Analizë e Propozimit Gjithëpërfshirës për Marrëveshjen për Statusin e Kosovës, 2007,
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Kosovo Declaration of Independence on accepting the Comprehensive Plan for the Solution of Kosovo Statusadopted by Kosovo Parliament on April 5, 2007. Kosovo: No good alternatives to the Ahtisaari Plan, ICG – International Crisis Group, Europe Report nr.182, Prishtinë (Beograd) New York (Brussels),2007, Malcolm Noel (2001)“Kosova në histori e shkurtër”, Prishtinë,: Koha Malnar, Dario.(2013)”SHBA-ja dhe Kosova”,Prishtinë,: Koha Marti Ahtisaari, “Detyra në Beograd”, Prishtinë, 2008, Milo, Paskal. “Kosova nga Rambuje në pavarësi”, Tiranë,:Botimet Toena Milo,Paskal.(2009) “Ditari i një Ministri të Jashtëm-Konflikti i Kosovës 1997-2001”, Tiranë,:Botimet Toena Pierre Dufour “Kosova - Paqja e shpërfillur”, “Rozafa”, Prishtinë, 2010, Pierre Dufour “Kosova -paqja e shpërfillur”, “Rozafa”, Prishtinë 2010, Predrag Simić “Put u Rambuje: Kosovska kriza 1995-2000”, “Nea”, Beograd, 2000, Principles of the Contact Group on solving the Kosovo Status-http://www .unosek.org/docref/2005-10-07__Contact_Group_Ten_Guiding_principles_for_Ahtisaari_-_albanian.pdf Qosja Rexhep, “Paqja e Përgjakshme”, Toena, Tiranë 1999 Report on a Comprehensive Review, UN documents S/2005/635, Resolution A/RES/63/3 e datës 30 shtator 2008 Shala Blerim(1990) “Ç’thonë dhe ç’kërkojnë kosovarët I, II, dhe III”. Tiranë,:8 Nëntori Shala, Blerim. (2001)“Vitet e Kosovës 1998-1999”. Prishtinë,: Gama Susan L. Woodward, Does Kosovo’s Status Matter “On the International United Nations Security Council Resolution 1244, Weller, Marc.(2009)“Shtetësia e kontestuar”, Prishtinë,: Koha Weller, Marc.The crisis in Kosovo 1989 – 1999. Documents and Analysis, 1999 www.UNOSEK, dhe http://www.unosek.org/docref/report-english.pdf Yearbook of the United Nations, 2007. Volume 61. United Nations Publications, 2007 Zimmermann Warren (1996)“Burimet e një katastrofe” , Tiranë,:Besa
331
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Religious Myth Utopia Resembled in “the Sound and the Fury”: Dilsey’s Episode Dr. Dalila Karakaçi “Luigj Gurakuqi” University, Shkodër, Albania Abstract This paper will be focused on the elements of religious utopia exposed in the novel “The Sound and the Fury” by William Faulkner, through the episode of Dilsey. In contrast to Quentin and Jason’s meaningless, decomposed perception of time, responsible for its perversity, Dilsey’s religious sensitivity transmits a systematic structure to the world because historic human awareness is recorded by God’s projection: all events are based on Christ’s Alpha and Omega. Religious myth utopia, anticipated by Dilsey in the last episode, achieves its climax in Shegog’s predication. Just like Dilsey, who varies from the characters of the novel with her positive utopia, even the positive utopia projected by the priest’s predication alters from the alienating caustic and mortal circumstances of the whole novel. Dilsey together with the church congregation were gathered to listen to this predication, living the joy of Easter in the novel. Shegog is a transmitter of God’s word, to touch people’s hearts and join them in a “collective dream” dedicated to the Easter celebration. The people in the church reached a small utopian dream, part of the big dream instigated by the myth of Christian religion. Impeding all negativities, the ritual enabled the unification of humanity in a common positive dream. This dream is responsible for the religious utopia in the novel. Through an empirical analysis of this episode, Dilsey, and the sermon, I will arrive to the point to present the elements of religious utopia involved in this part of the novel. Keywords: Christian religion, utopia, myth, Dilsey, Shegog
1.
Introduction
Because of a new reality, where the societies at the beginning of the 20th century were encouraged by social movements and technological developments, the intellectuals started to produce a deeper thought on the political, social and structural consequences of these changes. The uncertainties over the role of men in this new society, even as part of uncertainties on technology, were seen from the positive and negative perspective. These social reactions, within a literary context, were manifested in the utopian literature. Modernist utopian literature, at the end of the 19th century and the beginning of the 20th, is different from that of other previous periods because of historical, social and cultural variations. If at the center of every utopia is the separation and division from the past, the same hostility is at the center of modernism. As a result, modernism created a break from the structural organization of all pre- industrial societies. These divisions hide a utopian idea to create a perfect society, but from a new perspective, distinctive from the previous ones. The creation of this ideal society would help modernism highlight the negative aspects of the period. While comparing the utopian ideas exposed before and after modernism, we could judge on their evolution and change. While writing on the book of Tomas Moore, Ogden (1949) declares “utopia, in itself, is a book on ethics. Utopia is an effort to project the ethical values of Christianity in a real social system.”(p. ix) This means that utopia before modernism is within a moralist context. Frederick Jameson (2004) exposes a completely new perspective in his article “Political Utopia”, while reassuring “the proposal of Marx does not include a concept of human nature; it is not even essential or psychological; it does not have passions, sins like lust for money, greed, or proud. That of Mark is structural diagnosis.” (p.4) As a result, utopia, during modernism was perceived as a structural change.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Myth and Utopia
A manifestation of utopia could be found within the context of myth. In many situations with human or superhuman creatures of a remote period, religious or secular archetypes, considered as a real overview of the manner the society and other natural phenomena were created. They present the living in the primitive form, but with emotional fulfilling, in full harmony of the man with the nature, avoiding the unnecessary wishes produced by conflicts and hostility. This simple and happy living has served as a reference for every crisis, with the hope that a near or far away future is the possibility to find happiness. What unites unlike mythic ideas and places is the expectation that such situation of happiness could be reached again. If we horizontally and vertically analyze the ideas of utopia developed during the years and centuries, it is clearly understood a transformation, as they become part of the structure of life and contemporary experience. Manheim (1985) describes utopia as “a sort of passing orientation of the reality that at the same time rips the connections with that existing reality.” (p.173) At the core of different concepts on utopia, which prevailed in the western societies, was the ideal creation of a society. This concept varies from the search for reflection over a better life, but it can even change to a pursue of impressions not based on reality, being just an immeasurable project of human mind. The meaning itself of the word utopia, of Greek origin, can be translated as eu-topia (Manheim, 1985, 173), a place finding happiness or as ou-topia, a place not based on reality, but a result of fantasy. Different supporters of utopia, such as Saint Thomas, Fourier and Owen had no intention to emancipate the specific classes, but humanity as a whole. (Davis, 1984, 4) While Thomas Moore in his book Utopia (1516), projects utopia as a way of thinking for different kinds of societies, maintains the notion of Manheim that a good living can be reached only outside the existing reality. “The human need to make myths is very deep-rooted, since myths are symbolic projections of the cultural and moral values of a society, figuring of its psychic state.” (Leri, 1993, p.xi) The new mythology of modernism seemed to be different from other periods, considering that it was not an original formation, but would always remain as abstract. In his writing Friedrich Schlegel would insist that it must be the most artificial of all works of art, for it is to encompass all, it is to be a new course or vessel for the ancient, eternal fountainhead of poetry and itself the everlasting poem which contains within itself the seeds of all other poems. (qtd. in Leri, 1993, p.xx) Even Joyce (1882-1941) based his Ulysses (1922) on the myth of Christianity. From an analytic perspective, the phenomenon of utopia is reflected in this modernist novel. The overview of utopia as a philosophical phenomenon is necessary to understand and interpret Ulysses, which reflects this philosophical context. Joyce does not write a utopian literature, but in his novel, like in all novels, throughout different literary periods are present elements of utopia that penetrate his characters. One of the concerns, in this new century, was to present in depth the personality traits of the individual, but at the same time the new relations between this individual and the surroundings. Unique meanings were addressed towards him. These meanings objectify some hidden essences of the world. Within this situation of anarchy, it was used a literary mean to put order within a poetic organization. Such symbolic order was achieved by the usage of the myth. Through the logic of the unconsciousness and its associations, the myth displayed a new viewpoint in the social reality. According to Frank Kermode (1962), the myth offered a possibility to “free the imagination from the scientific connotation of the modern world.” (p. 37) While analising the usage of myth by Joyce, Elliot (1975) declares “the usage of myth by Joyce is a manner to control, systematize, give form and meaning to the endless paradox of contemporary anarchy.” (p. 480-483) The same ‘mythic method’ is used even by Faulkner (1897-1962) in his novel The Sound and the Fury (1929). 3.
Myth and Religion
When God and faith become a meaningful urge to give meaning to man’s life and help him face everyday problems, then faith takes a utopian connotation. This connotation is widespread in the context, where different religious preachers accept to leave apart the differences to bring peace and harmony through the formation of an existing utopian faith, just before the creation of universe. This concept of a far away future on faith forms the interfaith utopias. Members of a community fulfilling
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the rules imposed by the society form the intra-faith utopia. The Garden of Eden as well as Paradise is forms of utopia based on faith, found in different religions and preached in places where man finds peace, harmony away from sin, suffrage, misery, death. Utopia within the context of myth is one of its oldest usages. In many stories with human or superhuman creatures of a remote period, religious or secular arch-types, considered as a real collection of the way society or natural phenomena were created present the living in a primitive form with more emotional fulfillment, in full harmony between man and himself, man and nature, avoiding unnecessary desires producing conflicts and conflicts. This simple and happy living served as an element of reference for times of crises hoping that the near or remote future, or beyond life there is the possibility to find happiness. One of the most far away myths is that of the Greek poet Hesiod (flourished c. 700 BC) in the poem Work and Day (8th century before Christ) explaining that living before his time had been happy, but the Golden Period was the most important. In 1850 Philip Seymour in his prose Old Archadia (1590) describes a flooding pastoral environment, transforming the word archadia in a synonym of a utopian place within the mythic context. A utopian place on religious myth is Eden’s Garden, the myth of human sin and universe creation. What connect these ideas and utopian places is the hope that such happy condition and fulfillment can be reached again. 4.
Religious Utopia in the Sound and the Fury
In the last episode of The Sound and the Fury, is clearly seen the technique of compositional contrast based on chapter contraposition. This episode is contra posed to the others, avoiding being accidental, but following a logical line in the development of Dilsey, as a character, who has her highest exposition in this part. In it, Dilsey, the black servant, plays a crucial role. She is a representative of symbolism and realism. Even though, her role as a character is more restricted than the other characters, the impact she has in the novel makes her character more realistic, individualistic, while her character qualities surpass the racial connotation, avoiding every other sharp interpretation within common racial stereotypical prejudices. Through the exposition of a different behaviour from that of the Compson family, her role in the novel is to put order within the house, being responsible for the homework progress, taking the place of Mrs. Compson, becoming a parent to the eyes of Benjy, protecting Caddy and her daughter from Jason’s authoritative control. Jason’s pragmatism, Quentin’s idealism are put into confront with Dilsey’s generosity. Dilsey’s utopia is to make world a better place to live. Contrary to Compson family, she is the one accepting the world as it is, avoiding surrender, denial, but expressing the desire to make it a better place. She is the only character tracking the chronological development of time, considering it a natural process, part of everyday reality. Through the technique of narration, temporal description is presented in space connection. Within the ongoing perception, the linear development prevails. On the wall above a cupboard, invisible save at night, by lamp light and even then evincing an enigmatic profundity because it had but one hand, a cabinet clock ticked, then with a preliminary sound as if it had cleared its throat, struck five times. ‘Eight oclock,’ Dilsey said. (Faulkner, 1954, p.341-42) An aureole of Christian religion accompanies Dilsey. In reality this is a naive faith giving meaning to her being, persevering in her everyday life while taking care of Compson’s family members. Her faith gives her the possibility of a perspective on Christ Incarnation, Passion, Embodiment, and Resurrection. Even her time perception is within religious context where the past is based on faith, the present linked to endurance, whereas the future radiates hope. In contrast to Quentin and Jason’s meaningless, decomposed, perception of time, responsible for its perversity, her religious perception transmits a systematic structure to the world because historic human perception is recorded by God’s projection. The religious myth pervading the novel accomplishes its climax in the episode of Easter predication. This religious myth utopia, anticipated by Dilsey, in the last episode, achieves its climax in Shegog’s predication. Just like Dilsey, who varies from the characters in the novel with her positive utopia, even the positive utopia created from priest’s predication alters from the alienating caustic, mortal circumstances of the whole novel. Dilsey together with the church congregation
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
were gathered to listen to priest’s predication, living the joy of Eastern in the novel. Priest’s predication is accompanied by a collective daze from the moment the congregation listens to his voice. When the visitor rose to speak he sounded like a white man. His voice was level and cold. It sounded too big to have come from him and they listened at first through curiosity, as they would have to a monkey talking. They began to watch him as they would a man on a tight rope. They even forgot his insignificant appearance in the virtuosity with which he ran and poised and swooped upon the cold inflectionless wire of his voice, so that at last, when with a sort of swooping glide he came to rest again beside the reading desk with one arm resting upon it at shoulder height and his monkey body as reft of all motion as a mummy or an emptied vessel, the congregation sighed as if it waked from a collective dream and moved a little in its seats. (Faulkner, 1954, p.366) This dazing speech-making, as a result of priest’s imposing voice, is accompanied by a key element in his church performance, where his oratory is part of the black people’s dialectic. If the whole novel is based on the white dialectic of a white family, priest’s prediction exposes a metamorphosis. Unexpectedly, this whole dialectic “sinking in their hearts” (p.366) is when religious people transmit the word of God. The visual aspect or the discourse were inconsequential, the words and their meaning were decisive. Shegog was a transmitter of God’s words, to touch people’s hearts and join them in a “collective dream” dedicated to Eastern celebration. They joined a small utopian dream, part of the big dream instigated by the myth of Christian religion. During the predication he resembled “a worn small rock”. (p.367) Due to this spiritual union are forgotten the economical, social troubles, partitions, disorders, individual and collective insecurity before the ritual of symbolic crucifixion of the preacher where “his whole attitude that of a serene, tortured crucifix that transcended its shabbiness and insignificance and made it of no moment”. (p.367) This ritual impeded everything negative permitting human unification in a common progressive and positive dream. Priest Shegog starts his predication within negative connotation remembering Christ’s persecution, while saying: “Bredden! Look at dem little chillen settin dar. Jesus was like dat once. He mammy suffered de glory en de pangs. Sometime maybe she helt him at de nightfall, whilst de angels singin him to sleep; maybe she look out de do’ en see de Roman po-lice passin”. (p. 369). References are launched towards the children of the Compson’s family, initiating with Quentin’s problems with death and time to Benjy’s innocence, sitting in the church with Dilsey and the believers. Priest’s predication surpasses time and reality borders becoming inclusive. Through the compositional technique of parallelism, the characters’ and events’ juxtaposition produces great emotional burden, making symbolism more understandable. The reader is active in the process of understanding the novel. The innocent Benjy is parallelized to Christ, while Dilsey playing the role of the commiserating mother, shining love and care parallelizes Christ’s mother. The climax of pessimism is achieved through Christ’s death, invading the Earth by a wave of destruction, death, and loss of hope. Such condition resembles that of the Compson family, a destroyed family losing control over itself and failing to believe in the future. Quentin, Jason, and Mr. Compson deny time, reality: “I sees Calvary, wid de sacred trees, sees de thief en de murderer en de least of dese; I hears de boasting en de braggin: Ef you be Jessus, lif up yo tree en walk! I hears de wailin of woemen en de evenin lamentations; I hears de weepin en de cryin en de turnt-away face of Good: dey done kilt Jesus; dey done kilt my Son!” (p.370) After such deprivation of hope comes the miracle of saving life to death, hope to hinterland, while the preacher utters “I sees de resurrection en de light; sees de meek Jesus sayin Dey kilt Me dat ye shall live again; I died dat dem whut sees en believes shall never die. Breddren, O breddren! I sees den doom crack en hears de golden hors shoutin de glory.” (p.370) Predication’s significance is not only the description of a religious or cultural identity of a group of people, just like the black community of South America, or of specific individuals like Mrs. Dilsey. Contrary to the bleak atmosphere of the Compson’s family, Shegog’s predication creates a utopian situation based on religious myth. Religious myth’s purpose is to feed, give hope to the reality amelioration, creating a utopian reality through death and time’s negation. Such utopia is based on collective faith playing the role of an element of unification within a common culture. This faith, fed and kept alive by different rituals, finds the echo of widespread within a community that has remained faithful to its religion permitting
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the unification of people in an identifying community, above all serving the amalgamation of men to God. Apparently the Compson family has lost the contact with people of the same community and also faith and God. They resemble the sheep loosing the road, leaving the herd and the shepherd. Lonely, self-isolated, they have lost hope, the contact with reality and are afraid of the future because the past is always present tormenting their soul. These souls that have lost their road are confronted with the souls enlightened by the guiding force of faith. Religious mirage expanded beyond time and space, presented by Shegog and Dilsey, is transformed in hope, inspiration to face life’s complexities. Faulkner’s language is influenced by Christian religious tradition. Language builds the figure for the reader enlivening a lot of emotions. Just like the Sound and the Fury, even in other works by Faulkner are found references to symbols, images, and cultural elements linked to the Christian faith. Under the inspiration of 20th century modernist writers, even Faulkner is affected by the myth of Christian religion, giving sense and clarity to the authentic reality search in his fiction. Such pursuit remains within Christian world created by this religious myth. Semantic interconnections are abundant by religious symbols’ influence. Through a deep knowledge of Christianity, Faulkner arrives to oppose two different worldviews: Compson’s family spirituality, mental hinterland together with the emotional, meaningful fulfillment through Eastern predication and the emblematic figure of Dilsey. Paradoxes, controversies, irony, symbolism transmit the insecurity and the search for a real authenticity. The first three episodes are plunged in the Compson’s family existential absurdity, while the last episode is surrendered to the force of the myth and its utopian emission. A mythic illusion, widespread by Shegog’s predication, symbolically presents the search of the author for a real authenticity which had apparently lost its existential meaning. The whole predication is based on the coupling of images showing Christ’s sufferings. The weird appearance of the priest leaves space to the message. The deep religious, spiritual, emotional and universal connotation of the words uttered delves in the believers’ hearts. Thanks to the technique of using language artistically the impact on the reader is just a strong emotional aureole. Such emotional condition is in paradox with the alienating spiritual experience of the Compson family. As Davis (1983) puts it “this emotional situation is a full experience that the Compsons and other white southern inhabitants in the 20th century, desperately were seeking, but culture of separation could not permit.” (p.240) What is left from the triumph of this rich and ruling class is the fury of Jason, and the sound of Benjy. Shegog’s predication insists on the incongruity between the white class, representative of colonialism, and the new social reality together with the black suppressed class. Above all, his message becomes a spring of hope for the new reality at the th beginning of the 20 century undertaking an inevitable utopian context. 5.
Mythic Method
The whole story is pursued by a biblical collection of Christ’s life and the symbolism of Eastern jollification within the church. Under Joyce’s influence, Faulkner applies in this work the ‘mythic method’. T.S. Elliot (1975) annotates this method is not just “an amusing dodge or scaffolding erected by the author for the purpose of disposing his realistic tale, but instead a way of controlling, of ordering, of giving a shape and a significance to the immense panorama of futility and anarchy which is contemporary history.’’ (p.177) Just like Joyce, using Odyssey’s myth to build the novel’s fabula, even Faulkner makes use of the Christian myth to build his fabula. While expanding his ideas on the difference between the fabula and sujet, originating in Russian Formalism, Ritivoi (2013) mentions the “fundamental narratological assumption: that the universe of utterance and the world…are distinct.” (p.21) The inclusion of Eastern celebration in 1928 is on purpose. The events include the entrance of Christ in Jerusalem, his last dinner, trial, crucifixion, death and burying. More specifically, on April 5 is the Maundy Thursday, April 6 is Good Friday, April 7 is Holy Saturday while April 8 is Palm Sunday. In the novel there are some changes about dates related to the Hebrew calendar. That is the reason why Faulkner puts Maundy Thursday on June 2, to parallel the life of Christ and Quentin, since in this day Quentin starts his move to Cambridge and Boston. Many events in the novel are parallelism of events presented in the five gospels. Luster and Benjy dabble at the place where women wash the clothes; Benjy’s torturing and evil prosecution by
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Luster; Carolina Compson’s play to feign as a widow disturbed by her situation; Jason’s behavior resembling a crazy man, while the word craziness becomes a leitmotif of his life avoiding every Christian mercy toward the others; Luster is disturbed from father’s return from death and his persecuting ghost, just like Herold, was concerned if the killed and resurrected John was Jesus. The only real date in the novel is 1928. All the other dates are unclear creating confusion to the reader. We cannot say Faulkner did not have knowledge of the events related to Jesus’ life, on the contrary, the perplexity and incongruity of dates is made on purpose to add rhythm to Compson’s absurdity. Eighteen years of time space from Quentin’s episode in June 1910 to the Eastern period in 1928 is put to parallel with the period of eighteen years that Jesus needed to maturate for his religious ministry. The bafflement related to Benjy’s birth date deepens the level of confusion if he is thirty-two or thirty-three in 1928, similar to the bafflement about the age related to Jesus’ death, being thirty or thirty-four. The three Compson brothers present their point of view of the events in the story in three different episodes having their names. The technical composition of different viewpoints allows the three brothers to communicate their own action and way of reasoning. In a parallelism are even the happenings displayed in Mateu’s, Mark’s, Luke’s and John’s gospels in the New Testament in Jesus’ last days. The episodes told by the Compson’s brothers are not organized through a chronological order but through the compositional technique of synchronic time plan. In the first episode the action is narrated through Benjy’s viewpoint. The Holy Saturday is selected as the day opening the book, while the sub-plot ensuing in the novel relates to Jesus’ crucifixion and burial after descending to hell taking the old patriarchal of the Old Testament and sending them to paradise. Benjy’s narration is full of references and biblical parallelisms to Jesus’ deeds. Quentin stays in the center of the second episode whereas his symbolic day pertains to the Maundy Thursday. The action in the third episode is recounted by Jason. Furthermore, his symbolic day stays Jesus’ crucifixion, death, and burial since, just like Christ, he holds on his shoulders the heavy cross of his family, being destroyed and collapsed by the Jews. Good Friday represents the meaning build around the character of Jason. The Eastern Sunday finalizes Miss Compson leaving the Compson house. Just like Christ’s leaving the empty tomb even her leaves empty her room together with Jason’s savings box. 6.
Conclusions
The days of the Holy Week in the Christian religion describe the crucifixion, death and resurrection of Christ, his love, and sacrifice to save humanity. “His resurrection marks the triumph of good over evil, sin and death.” (Miasco, 2016) There is hope at the end of this week that a new beginning will come, hiding a utopian idea of a new instigation. In the novel The Sound and the Fury, each day of this week is symbolically portrayed by one of the Compson’s brothers owing to the passions of their hearts. Benjy’s contribution to this week is through his craziness; Quentin’s due to his suicidal desire; Jason’s thanks to his avarice. Out of a parallelism between the days in Compson’s family and the days of the Holy Week is presented the family’s huge panorama. The aim of the religious references running in the novel, together with Odyssey’s myth operating in Ulysses, is to put order, give meaning to life, and hope to the absurdity, craziness, along with the alienation to this South American family. A Holy Week fulfilled with events from the life, love, sacrifice, also Christ’s passion creates a utopian reality different from the spiritual as well as emotional drought of the Compson family. Moreover, it even symbolizes the drought of many families experiencing several modern world socio-economic changes. References Davis, J.C. (1984). Utopia and the Ideal Society: A Study of Utopian English Writing 1516-1700. Cambridge:Cambridge University Press. Elliot, T.S. (1975).Ulysses, Order, and Myth. Selected Prose of T.S. Elliot. (pp.117). London: Faber and Faber. Faulkner, W. (1990).The Sound and the Fury. New York, NY: Vintage International. Jameson, F. (2004).The politics of Utopia. New Left Review, 25, 4. Johnson, Leri (ed.) Ulysses: The 1922 Text. Oxford University Press, 1993
338
VOLUME No.1
328 329 330 331 332 333 334 335 336 337
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Kermode, F.(1962). Puzzles and Epihanies. London: Penguin. Manheim, K.(1985). Ideology and utopia: An Introduction to the Sociology of Knowledge. New York: Mariner Books. Miasco, M., Quintas, K.B. (2016, March 27). Resurrection Marks Triumph of Good over Evil. Retrieved from http://www.philstar.com/cebu-news/2016/03/27/1566594/resurrection-marks-triumph-good-over-evil Moore, T. (1949). Utopia. Harlan Davidson Inc.: Arlington Heights. Ogden, H.V.S. (1949). Introduction. Utopia (pp. ix). Arlington Heights. Ritivoi, A. D. (2009). Explaining People: Narrative and the Study of Identity. StoryWorlds: A Journal of Narrative Studies, 1.1. Retrieved from https://narrativeandmemory.wordpress.com/page/14/
339
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Contribution of the Cointegration Theory to the Study of the Volatility of Financial Markets: Case of the Casablanca Stock Exchange Nabil Sifouh PhD student, FSJES Souissi, Mohammed V University,Rabat
Khadija Oubal Research professor, FSJES Souissi, Mohammed V University, Rabat
Sara Bayoud PhD student, FSJES Souissi, Mohammed V University, Rabat Abstract The purpose of this paper is to highlight the long-term relationship between stock prices and dividends for a sample of companies listed on the Casablanca Stock Exchange between 2002 and 2016 using the cointegration theory especially its developments in panel data. Our results show that prices are more volatile than dividends, which rejects the possibility of their anticipation by the dividend discount model under the assumption of efficient markets. Keywords: cointegration, prices, dividends, panel data, volatility
1.
Introduction
The notion of volatility is a reality characterizing the world of financial markets. However, since the beginning of the 1980s, real price movements far exceeded those of firm fundamentals, particularly dividends. This phenomenon has been demonstrated for the first time by Shiller (1981) and LeRoy and Porter (1981) when there have been sharp price deviations from rationally anticipated prices by the future dividend discount model under assumption of informational efficiency of financial markets (Efficient Market Hypothesis EMH).The first test of excessive volatility by Shiller (1981) is based on rather restrictive assumptions, which explains the limits of the first tests of excessive volatility. The first criticisms are econometric and concern in particular the non-stationarity of dividends and prices. The first tests are based on analysis of variance; this has certain limits insofar as the variance is not constant and does not reflect that of the population (Arbulu and Fontaine, 1998). Another fundamental criticism is that the anticipated prices are determined by discounting future dividends to infinity, and knowing the series of future dividends with certainty seems impossible, this increases the probability of the error in estimating ex post rational price (Flavin, 1983). Given the limits of the first tests of volatility, the development of statistical tools based on the concept of cointegration will allow a considerable methodological advance to test the volatility of stock prices and in particular the deviations of the latter from the fundamentals. Cointegration tests seek a long-term relationship between two or more variables, knowing that deviations are sometimes occasional seasonal or cyclical events (Lilti, 1994).The development of methods based on cointegration tests allowed, initially, the response to the criticisms of traditional volatility tests. And secondly, the identification of sustainable gaps between prices and fundamentals that correspond to what it is commonly called "speculative bubbles". In the context of tests related to the study of long-term relationships between time series, cointegration tests have developed considerably since the 1990s, when the cross-section dimension was added to the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
series studied. Indeed, since the work of Levin and Lin (1992), a particular interest is brought to the study of non-stationary panel data. According to Hurlin and Mignon (2006), cointegration and unit root tests in panel data are more powerful than their counterparts in time series without crosssection dimension. The purpose of this paper is to test the volatility of the Moroccan stock market through the use of cointegration techniques in panel data in order to analyze the long-term relationship between stock prices and dividends. This work allows us to study the price-dividend relationship in order to check whether the dividend discount model is valid to anticipate future prices. Moreover, the analysis of this relationship will have an implication in terms of efficiency of the Moroccan market, because an efficient market must fully reflect the information available, which means that prices must not fluctuate more than the fundamentals to be predicted by the discounted dividend model. 2.
Literature Review
The Efficient Markets Hypothesis EMH developed following the work of Samuelson (1965) and Fama (1965, 1970, 1991) states that no one is able to make profits that are abnormally higher than the market average, since the whole of available information is fully integrated into the prices of listed assets. This hypothesis is in perfect harmony with that of the rationality of investors (Muth, 1961), which supposes that investors are able to correctly anticipate future fluctuations in asset prices. Given these assumptions, the empirical literature shows that real prices fluctuate more than dividends thus highlighting a financial anomaly that is called excessive volatility; this anomaly was studied in the early 1980s as one of the phenomena that go against the efficiency hypothesis and the fundamentalist rationality described by modern finance. The first tests of excessive volatility consist in comparing the standard deviations of real prices and ex post rational prices obtained by the discounting of future dividends. This is the variance bounds test conducted for the first time by Shiller (1981) for a sample of US stocks between 1871 and 1979. Shiller shows that the standard deviation of the market index is 50.2 against 8.96 for the ex-post rational price index. For the French market, Arbulu and Fontaine (1998) reach the same conclusion and show that the French stock market is excessively volatile. Cuthberston and Hyde (2002) demonstrate through an excessive volatility test that the German and French markets are not efficient. The common point between these studies concerns the methodological approach adopted for the volatility test. In other words, these studies were based on the variance bounds test according to the study by Shiller (1981), and as we mentioned in the introduction, some criticisms are likely to contradict the validity of the tests. These criticisms mainly concern the rather reductive assumptions to apply the discounted dividend model. Since the end of the 1980s, these limits have been the starting point for other methodological approaches, including those based on the cointegration theory developed following the work of Granger and Engel (1987). Cointegration is a fundamental concept introduced to understand the long-term evolution of two or more time series. Granger and Engel (1987) consider two non-stationary cointegrated variables when their linear combination is stationary. It is therefore understandable that the study of cointegration between two variables first requires the study of stationarity. If two variables are not stationary in level and stationary in first difference, they are said integrated of order 1 I (1), then, the cointegration test consists in testing the stationarity of the residual resulting from their linear combination. The cointegration study provided a considerable theoretical framework for testing the efficiency of financial markets and in particular the relationship between dividends and prices. Campbell and Shiller (1987) studied the volatility of the US market using cointegration theory. Following the early work of these authors, cointegration studies will significantly improve efficiency and volatility tests (Lilti; 1994). Priso (1997) rejects the EMH of the New York financial market by first using the two-step cointegration test, in the first step, Priso analyzed the stationarity of the variables studied by the unit root test of Dickey Fuller DF (1979) and augmented Dickey Fuller ADF (1981) and Phillips Perron's PP test (1988). The second step in his empirical approach consisted in testing the stationarity of the residuals of the combination between the variables studied. To complete its approach and confirm the results obtained, the cointegration test of Johansen (1988)
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
was applied, the test results all converge towards the presence of traces of inefficiency of the New York Stock Exchange. In other studies, Beneburg (2006) applied the Johansen cointegration test as a complementary approach to Shiller's (1981) variance bounds test to arrive at the same conclusions regarding the excessive volatility of a composite index of 15 markets between 1970 and 2005. It appears that the cointegration study approach between price series and dividends provides answers regarding the long-term relationship between these variables. The rejection of such a relationship is explained on the one hand by the volatility of real prices compared to fundamentals, and on the other hand by the rejection of informational efficiency. 3.
Methodology
In this research, we analyze empirically the volatility of the Moroccan stock market by exploiting the recent developments of the econometric tools of cointegration in panel data. 3.1 Unit root test in panel data The first unit root tests in panel data were introduced by Levin and Lin in 1992, and then developed in 1993 and 2002 by Levin, Lin and Chu (LLC). Another test makes it possible to test the presence of unit root by considering under the alternative hypothesis (stationarity) the heterogeneous character of the autoregressive root, this is the test developed by Im, Pesaran and Shin IPS (2003). In addition to the LLC and IPS tests, other researchers were interested in the cointegration study in non-stationary panel data, in this context, Maddala and Wu (1999) propose a strategy based on a Fisher nonparametric test (1932). A fourth test that we have adopted is the test of Hadri (2000) developed a test that differs from other tests by its null hypothesis (stationarity) The tests of LLC, IPS, Madala and Wu MW or the Hadri test allow us to study the order of integration of two or more series in order to be able to highlight (or not) a long-term relationship between two or more variables. 3.2 Pedroni cointegration test (1999) The Pedroni test is one of the most powerful and well-documented tests in the empirical literature. Pedroni developed his cointegration test by considering seven statistics: three for the between dimension and four for the within dimension. As for the Engel and Granger test (1987), Pedroni tests the stationarity of residues in this regression: + , , = , The null hypothesis of no cointegration is tested against the alternative hypothesis of cointegration, the alternative hypothesis H1 is different according to the nature of the test considered, test with between dimension or test with within dimension: H1: = < 1: for within dimension H1: < 1: for between dimension 3.3 Sample and data The sample of this study is made up of 30 companies listed on the Casablanca Stock Exchange between 2002 and 2016. We have selected the most active price’s and dividend’s companies. The data concern the closing prices of December 31 of each year, and the dividends distributed during each period (the year) since 2002.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Table 1: Lists of companies selected for the empirical test.
Source: authors, Casablanca Stock Exchange website (July 2017) In this study, this is a 15-year period which makes the number of observations insufficient to test a cointegration relationship between dividends and prices. For this, we will exploit the econometric developments concerning unit root and cointegration tests in panel data. This will allow the number of observations to be increased by adding the cross-section dimension to the time dimension. In this case we have 450 observations (NxT = 30x15).To test a possible long-term relationship between prices and dividends, the empirical approach is to check the order of integration of the price and dividend series. For this, four stationarity tests will be considered, the LLC, IPS and MW tests with null hypothesis, the presence of unit root and the Hadri test whose null hypothesis is stationarity.If we succeed in showing that the two series have the same order of integration, the approach will be completed by a cointegration test on panel data. In this research we opt for the Pedroni test. We apply these different tests on the series in price and dividend panel data in level and logarithm in order to draw the main conclusions concerning the volatility of the Moroccan market for the period considered. Otherwise, if we can detect sustainable differences between prices and dividends, we can conclude that the market value of firms listed on the Casablanca stock exchange deviates durably from the fundamental values in contrary to what is predicted by the Efficient Markets hypothesis. 4.
Results and Discussion
In this section, we will first present a graphical analysis of the evolution of prices and dividends, and then we will present the results of unit root tests and cointegration in panel data. 4.1 Descriptive analysis Before presenting the results of the unit root and cointegration tests between the price series and the dividend series in panel data, an initial analysis consists in making a graphic description of the evolution of two indices, a price index and a dividend index. Each index is a market capitalization weighted average as follows: =∑ Where, Dt is the dividend index of the year t, Dit is the dividend of the stock i distributed during 344
Conference Proceedings Richtmann Publishing LTD, UK
the year t, and wit is the weight of the stock i in the portfolio consisting of 30 companies. =∑ Where, Pt is the price index in year t, Pit is the closing price of December 31st of year t of stock i. Graphically (figure 1), we note that the price index has had an upward trend since 2004 to reach a first peak in 2007, then a second peak in 2010. These observations are in line with the first descriptive analyzes of the El bakkouchi (2014) study. Indeed, the Moroccan market experienced an initial phase of euphoria from 2003 until 2007, since 2007, the Moroccan market has recorded a significant decline in its overall performance in 2008 and 2009, before posting good results in 2010. El bakkouchi points out that it was a mini-market crash in the Moroccan market triggered in 2007 until 2010, a period that coincided with the Subprime crisis in the US market.
Figure 1 : Evolution of price and dividend indices (indice_prix/indice_dividendes) between 2002 and 2016 Source: Authors, excel. As for the dividend index, it reached its peak in 2003, and then there is a downward trend after that date. From 2009, the index is relatively stable, unlike the price index which seems more volatile with an uptrend in recent years. According to this first descriptive analysis, we note that the two indices do not evolve in the same direction, to confirm this result we will complete our analysis by the cointegration study in panel data between prices and dividends in order to study the nature of the long-term relationship between the two series. 4.2 Unit root and cointegration tests in panel data: price-dividend relationship. As a first step, the procedure consists in determining the order of integration of the retained series, in order to verify if the series of the prices and dividends are integrated of the same order or not. Table 2 shows the statistics obtained from the various stationarity tests applied to the price, log price, dividend and log dividend series. Table 2: Stationarity tests in panel data (series in level) Variables
Model LLC IPS Without trend -2,54 (0,005) -0,36 (0,36) With trend -3,40 (0,0003) 0,12 (0,55) Without trend 2,30 (0,98) -2,02 (0,02) Log price With trend -4,80 (0,000) -0,47 (0,32) Without trend 1,01 (0,84) -2,65 (0,04) Dividend With trend -5,62 (0,000) -3,03 (0,0012) Without trend 1,71 (0,95) -3,50 (0,0002) Log dividend With trend -6,60 (0,0000) -3,12 (0,0009) 1 The number of delays is chosen according to Schwarz criteria Price
These are the information criteria that minimize functions called: Akaike function or Schwarz function: See, for example, Bourbonnais.R (2015), "Econométrie", Dunod, 9th edition.
345
VOLUME No.1
239 240 241 242 243 244 245 246 247 248
Conference Proceedings Richtmann Publishing LTD, UK
We reject the null hypothesis when p-value (number in parenthesis) is less than 5% (significance level) knowing that the Hadri test stands out by its null hypothesis of stationarity compared to the other tests. Overall, the conclusion that can be drawn from these tests is that the four series are not stationary (in level), although this result is more significant for the price series than for the dividend series. We continue our approach by testing the stationarity in panel data for series in first difference, (table 3). Table 3: Stationarity tests in panel data (series in first difference) Variables Prix Log prix Dividendes Log dividendes
Source: authors, eviews 9 According to this table, the three tests, LLC, IPS and MW converge towards the same result indicating the staionarity of all the series in first difference. Summing up these results, we find that the four series, price, log price, dividends and log dividends are integrated of order 1 I (1). This first result makes it possible to wonder about a possible long-term relationship, for this we complete our approach by the cointegration study by the application of the Pedroni test. Using the Pedroni (1999) method, Tables 4 and 5 provide the values of the seven tests statistics that evaluate the long-run relationship between price series (log prices) and dividends (log dividends). Table 4: Pedroni contegration test (1999): price/dividend (H0: no cointegration; risk: α=5%) Statistics v-Statistic Panel Rho-Statistic Panel PP-Statistic Panel ADF-Statistic Panel Rho-Statistic Group PP-Statistic Group ADF-Statistic Group
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Overall, we can conclude that there is no long-run equilibrium relationship between prices and dividends. In other words, the prices observed deviate from the dividends contrary to what is predicted by modern financial theory. According to this result, the Moroccan market seems very volatile for at least the last fifteen years and the EMH is therefore hard to accept. 5.
Conclusion
The purpose of this research was to study the volatility of the Moroccan financial market through the examination of the long-term relationship between prices and dividends. Using cointegration theory and in particular its panel data applications, our results show that the Moroccan market is volatile so that the dividend discount model does not seem to be valid for predicting price fluctuations. Admittedly, our conclusions will have implications in terms of informational efficiency and in terms of rationality of investors; however the emergence in recent decades of theories competing with classical financial theory is likely to stimulate our reflection on the very notion of rationality. Otherwise, how can we explain such deviations from a theory by using other approaches such as behavioral finance for example? References Arbulu, P and Fontaine, P. (1998). Volatilité excessive d’un marché des actions : cas des Etats- Unis et de la France. Journal de la société statistique de Paris, tome 139, no 2, 7-34. Berneburg, M. (2006). Excess Volatility in European Equity Style Indices - New Evidence. Halle Institute for Economic Research, 16, 1-27. Bourbonnais, R. (2015). Econométrie. Dunod, 9ème édition. Campbell, J.Y and Shiller, RJ. (1987). Cointegration and Tests of Present Value Models. Journal of political Economy 95, 1062-1088. Cuthbertson, K & Hyde, S. (2002). Excess volatility and efficiency in French and German stock markets. Economic Modelling, 19, 399-418. Dickey, D.A and Fuller, W. A. (1981). Likelihood ratio statistics for autoregressive time series with a unit root. Econometrica, 49, 1057-1072. Dickey, D.A. and Fuller, W.A. (1979). Distribution of the Estimators for Autoregressive Time Series with a Unit Root. Journal of the American Statistical Association, 74, 417-31. El bakkouchi, M. (2014). Analyse du risque de marché boursier marocain en période de crise des subprimes : Cas de l’indice MASI. Thèse de doctorat, Ecole Doctorale Economie et Gestion Laboratoire d’accueil : LAMETA, Faculté d’économie, université Montpellier I. Engle,R and Granger,C.(1987). Cointegration and error correction: representation, estimation, and testing. Econometrica, mars 1987, vol 55, 251-276. Fama,E. (1991). Efficient capital market II. Journal of Finance, 46, 5 1575 – 1617. Fama,E. (1965). The Behavior of Stock Market Prices. The Journal of Business,38, 34-105. Fama,E. (1970). Efficient Capital Markets: a Review of Theory and Empirical Work. Journal of Finance, vol. 25, no1.383-417. Fisher, R.A. (1932). Statistical Methods for Research Workers. Oliver & Boyd, Edinburgh. Flavin Marjorie, A. (1983). Execess Volatility in the financial Markets: A Reassessmemt of the Empirical Evidence. Journal of political economy, 91, 929-956. Hadri, K. (2000). Testing for Unit Roots in Heterogeneous Panel Data. Econometrics Journal, 3, 148-161. Hurlin, C et Mignon, V. (2006). Une synthèse des tests de racine unitaire sur données de panel. Economie et prévision, mine- direction de la prévision, 169, 253-294. Im, K.S, Pesaran, M.H et Shin, Y. (2003).Testing for unit roots in heterogeneous panels., journal of econometrics, 115, 1, 53-74. Johansen, S. (1988). Statistical analysis of cointegration factors. Journal of Economic Dynamics and Control, n° 12, 1988, 231-254. LeRoy, S. and Porter, R. (1981). The Present Values Relation: test Besed on Implied variances bounds. Econometrica, 555-574. Levin, A and Lin, C.F. (1992). Unit root tests in panel data: asymptotic and finite sample properties. Discussion paper, department of economics, university of california at san diego, 92-93. Levin, A, Lin, C. (1993). Unit root test in panel data: new results, university of california at san diego. discussion paper 93-56.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Levin, A, Lin, C.F. et Chu, C.S.J. (2002). Unit root test in panel data: asymptotic and finite sample properties. Journal of econometrics, 108, 1-24 Lilti, J.J. (1994). Les apports de la cointégration aux tests d’efficience. Journal de la société statistique de Paris, tome 135, no 4, 47-63. Maddala,G. et Wu,S. (1999). A Comparative Study of Unit Root Tests and a New Simple Test. Oxford Bulletin of Economics and Statistics, 61, 631-652. Pedroni,P. (1999). Critical values for cointegration tests in heterogeneous Panels with Multiple Regressors. Oxford bulletin of economics and statistics, 83, 21-56. Philips,P et Perron,P. (1988). Time Series Regression with Unit Root. Biometrika, June 1988,75, 335-346. Priso, A.M. (1997). Efficience du marché boursier new-yorkais : une analyse à partir de la théorie de cointégration. Journal de la société statistique de paris, tome 139, no 1, 21-52. Samuelson, P.A. (1965). Proof that Properly Anticipated Prices Fluctuate Randomly. Industrial Management Review, p. 6, 2, 41-49. Shiller, R.J. (1981). Do Stock Prices Move too much to be justified by Subsequent Changes in Dividends? The American Economic Review, VOL. 71, NO. 3, 421-436.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Human Resource Motivation, a Necessity Dictated by the Actual Condition of the Market and the Future: A study Performed in the Albanian Banking Sector PhD. Albana Kacollja PhD. Teuta Balliu Prof. As. Dr Imelda Sejdini Abstract The human resource management is a basic function which affects the objectives achievement not only on business field, but also on the other spheres of the human activity. The purpose of this paper is to study the involvement and motivation of employees in the organization environment. In order to realize the purpose of this paper, we have analyzed the actual evaluation system of employees in the banking sector and the link among the motivation programs and the satisfaction in the work place. We have raised two hypotheses: H1: Employees of different hierarchical levels are satisfied with their current motivation programs, and H2: Both female and male employees think that the organization helps them balance their private life with their work life. The primary data are collected through a questionnaire. Hypotheses are tested using the Kolmogrov-Smirnoff test. We used SPSS for data analyzing. From the analyses it results that for some employees the immediate monetary rewards are more important, while for some others the relationship with colleagues and leaders, the work conditions, the work challenge and the opportunities for career growth are more important. We concluded that only male employees manage to balance their work live with private life. As a conclusion we can say that nowadays we need new motivation techniques, mainly for female employees, in order to create a balance among their personal life and their work life. We recommended new programs that can be implemented in business organizations, such as cultural activities, flexible working hours, entertainment activities during trainings and seminars, programs for how employees can better balance their personal life with their job, employee involvement in decision making, and motivation through improving communication and presentation skills. Keywords: Motive, satisfaction, monetary rewards, non-monetary rewards
1.
Introduction
Nowadays, when there is a significant tendency toward globalization, motivation has become a dominant element in the context of economic and social development, and the clear identification of what we consider as “knowledge society” introduces new challenges toward businesses and their management. In order to increase the chances of success through effective feedback, it is important to stress that everybody and especially the managers of each sector should work more in order to understand better these challenges. Tony Hsieh, CEO of Zappo company, when tries to highlight the importance of the employees, adds that:-“If I am very effective, I can have an innovative idea per day; if I listen to employees I will have 1000 ideas per day”. The explanation of the question “why do people work” serves as a way to stimulate the career discussion. The professional career includes an evolution of job activities and positions that people try and experience through their job performance over time, and the attitudes, knowledge and skills they develop throughout their life (Ferrari, 2010). The people’s career development helps us to understand better their job context and to determine the most appropriate routes to reward them by including the economic and social status of employees. As a result, the individual perception of employees in relation to development of their career paths can influence their job satisfaction and performance. The findings of another study show us that the employees perform their job effectively if they work to achieve their clear objectives and if the rewards include salaries, promotions, and
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
social recognition (Sekkiou, L et Blondin, L, 1995). The degree of job satisfaction is important for people if the desire for nice and effective job conditions is not only a personal desire, but also a desire to win the respect of the other people within the organization (Pereti, 2004-2005). Informing the employees, team work and getting employees feedback are some of the practices that can help in the creation of an environment that guarantees the chance of participation and motivation. All these elements help the organization to structure better the human resource practices and to motivate employees to have a higher performance. 1.1 Job satisfaction Different researchers have defined the job satisfaction in different ways. The phrase “job satisfaction” was brought to the attention by Hoppock (1935) who explored 32 studies on job satisfaction conducted before 1933, and observed that job satisfaction is a physiological combination and dependents on the environmental circumstances affecting employees to conclude whether or not they are satisfied with their job (Hoppock, 1935). This demonstrates that there is a variety of variables which affects job satisfaction, as monetary and non-monetary reward. The job satisfaction is a desirable condition or a positive emotional that results from somebody’s job evaluation or from experiences in the work places (Tom Lupton, Dan Gowler, 1989). In other words, job satisfaction explains what makes people love their job, what elements of their duties makes them happy, or what makes them not to abandon their employment. Job satisfaction is attributed not only to one factor, but to a lot of factors and it changes under the effect of the importance that each factor has at different people. (Jonson, November 1969, ). Researchers have also argued that rewards offered by the organizations can have a strong impact on employees’ attitudes toward their job and on the organization too (Armstrong, 2002). Based on two theories rewards are either internal or not, and influence the level of employees’ satisfaction with their job (Brunero, Volume XXXIII, No. 4, 2002). Different employers have different expectations regarding their salary and job rewards (Daniel Ilgen, Jack Fedelman, 1993). A lot of companies use different techniques, such as polls, in order to find out which are employees expectations and perceptions about their jobs (Ferrari, 2010). Job satisfaction is positively related to salary itself, but it is also positively related to the average salary of all the other employees, within the same sector or department (Wright, 2004). One of the most demanding dimensions of job satisfaction is “Job Descriptive Index” (JDI). JDI is a questionnaire which measures itself five basic aspects of job satisfaction (Gregson, 1991) which are; job in itself, the second aspect has to do with the supervisor, the third with collaborators, the fourth with the salary, and the final aspect is the promotion. 1.2 Work motivation and types of reward Motivation is the element that is closely related to employee’s job satisfaction. These two elements are positively correlated with each-other. Motivation is an individual phenomenon and the purpose of motivation theories is to predict behavior. It is associated with action, with internal and external factors which influence certain actions (Mitchell, T.R. & Lason, J.R., 1987). Motivation is not the behavior itself and of course it is not performance. Related to this, Mitchell proposed his definition of motivation. According to him motivation is the degree to which an individual desires and chooses to engage in a certain behavior. It is important for managers to know the elements that motivate their employees in order to use these elements effectively and to create a win-win situation for parties, meaning employees and organizations. Reward in a broader sense relates to employees salaries for the work done as well as other benefits they receive from the organizations. Actually the word reward reflects a more flexible treatment. In today perspective the reward includes not only all the above mentioned, but also non-financial aspects of motivation applied in a contemporary human resource context. It is often assumed that motivation in the work place is closely related to the salary. Salaries are not the only motive and sometimes do not act at all as such. The managers should motivate the employees by taking into consideration both the employee and organization needs. Such rewarding forms indicate that the employer is appreciating the employees. Reward is usually among the first factors that employees take into consideration when
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
they start a new job. It is important to consider the rewarding way of the organization, because employees more than their salary see if they are valued for what they have done or do. Salary is an important element in motivating employees and this is mainly true for countries with conditions and economy like Albania. Studies in the field of human resources show that employees are most likely to overestimate the importance of the salary. This explains why salary is an important source of motivation. However, it should be noted that salary is not equally important in all situations. If studies are conducted by analyzing different variables, such as the impact of financial rewards on productivity, salary do not rank among the first elements. The salary ranks sixth and after that comes security and appreciation (P.Latham, 2006). 2.
Methodology
The purpose of this paper is to study the involvement and motivation of employees in the work environment. As its objectives we mention analyzing the current programs for the involvement of different employees and identifying new motivating techniques for employees. In order to realize the purpose of this paper we have raised two hypotheses, as follows: H1. Employees of different hierarchical levels are satisfied with their current motivation programs. H2. Both female and male employees think that the organization helps them balance their private life with their work life. Hypotheses are tested using the The Kolmogrov-Smirnoff test with a confidence level of 95%. In this work, we used both descriptive and exploring methods. The study is carried out through a questionnaire designed specifically for it. The questionnaire contains 16 questions divided into three sections. To carry out this research, the questionnaires were distributed to 170 employees of various financial institutions of different hierarchical levels, 125 of them have been filled. It should be emphasized that the statistical program SSPS was used for the data analyses. 3.
Analysis of the Human Resource Management in the Albania Banking Sector
Training and development is one of the strategic factors in creating qualified staff whose level of expertise and professionalism contributes to a higher financial performance for the organization. For this reason, second level banks in Albania offer training packages and staff training courses, based on a preliminary agreement between the employee, the supervisor and the human resources department. Banks rely on the principle that a dedicated and motivated staff is a competitive advantage. Such an advantage cannot be easily copied and without it the majority of corporate initiatives become difficult and even impossible. 3.1 The elements of compensation Two are the main elements of salaries in financial institutions, basic salary and variable salary. Basic salary represents gross income, excluding bonuses and other additional benefits. It is administered based on salary levels, which are based on rank structure, living standards in a country, and market data. The salary structure is generally comprised of 16 ranks or levels. Each rank is presented by a segment which has an average and a maximum stretch which is roughly equivalent to the average market standard for similar positions and shows the maximum level for average performance employees. The maximum point of the segment represents the maximum level of payment for employees with the highest performance. Let’s skip on the second element, the variable salary or as called bonus and incentive schemes. Banks, where possible, set a variable salary rate for their employees, which differs between front office and back office personnel. The variable payment rate is no higher than 35% of the monthly base salary for sales functions and 25% of the monthly base salary for business support functions. The salary variable is provided through incentive schemes and the year-end bonus. Incentive schemes apply to all sales positions as well as other non-selling positions whose work consists of measurable indicators. These schemes are consistent across all segments of business, with no more than 5 (five) top performance indicators
351
VOLUME No.1
165 166 167 168 169 170 171 172
Conference Proceedings Richtmann Publishing LTD, UK
ranked by priority. The bonus, which represents the percentage of the monthly base salary, relates to the percentage of achievement of the target. The right to the benefit bonus generally begins with reaching 80 percent of the target and ends with reaching 130 percent. Employees, who have an average annual performance score of over 130 percent of the target, are part of a special incentive scheme. The following table reflects the bonus policy in one of the commerce banks. Table 1: Bonus policy examples Average annual achievement 131% - 149 % 150% - 199% 200% and above
Source: RBAL Human Resources Manual 3.2 Performance and bonus Performance evaluation is done using a five-step rating, excellent-5, exceeds forecasts-4, reaches forecasts-3, needs improvement-2 and does not reach predictions-1. Employees are eligible for promotion and salary increase when their final performance score is above the 3.5. Employee performance consists of an 80 percent annual assessment of objectives/targets set for each position and 20 percent are competences. Competences that account for 20 percent of total employee performance relate to technical-professional skills, quality of work and productivity, customer focus, sale skills, interpersonal skills and teamwork as well as integrity and trust. 4.
Data Analysis
We founded out that for more than 50% of the employees the reward is a neutral element, which does not affect either positively or negatively in their motivation. This is related to external factors or explained by the fact that people who are looking for a job pay more attention to the salary while employed people are motivated by other non-monetary factors. Employees feel motivated by supervisors and managers. This is reinforced in the second section of questions when more than 68% of employees generally respond positively to their level of encouragement by managers and their reliance on the performance of their duties. In this case we can conclude that for employees it is important to have other non-monetary elements that influence the achievement of objectives by bringing motivation and satisfaction to them. A very important element is the perception and positive feelings that employees have about opportunities on career growth and their sense of being valued for their contribution to the company. This is a very important factor, as the satisfaction and the appreciation can provide not only more positive results, but also long-term security to the company. However, there is dissatisfaction among the balance between family and professional life. Over 50% of respondents say that it is difficult to balance work life with the personal one. In subsequent studies the questionnaire may be accompanied by other questions to analyze whether there are any influences from other external factors. It should be emphasized that time management in a more effective way and accurate assignment of tasks and roles is also of a great importance. From the analysis of one of the open questions, it was noted that the importance of high level of collaboration between peers and team work is increasing. New programs that can be implemented in business organizations, from the proposals of respondents relate to; cultural activities, flexible working hours, entertainment activities during trainings and seminars, organization of meetings focused on the improvement or enhancement of employee selfconfidence, team work, creating programs for how employees to balance better their personal life with their job, employee involvement in decision making, and motivation through improving communication and presentation skills. Most important is the fact that employees, around 78% of them, can recommend the company as employment opportunities to their acquaintances. When employees feel good at work, they are
352
VOLUME No.1
215 216 217 218 219 220 221 222 223
Table 2: The Kolmogrov-Smirnoff test was used to test the satisfaction of non-managerial employees with the current motivation programs.
1 2 3 4
Observed number 19 42 18 4
Observed frequency 0.2289 0.5060 0.2168 0.0483
Cumulative 0.2289 0.7349 0.9517 1
Null Proportion 0.25 0.25 0.25 0.25
Observed Observed Null Cumulative number frequency Proportion 1 22 0.5238 0.5238 0.25 2 15 0.3571 0.8809 0.25 3 3 0.0714 0.9523 0.25 4 2 0.0477 1 0.25 (Sample (N)=125, and the significance level of the data is 5 percent) Note : (i) Largest absolute difference D1 =0.234; D2 = 0.372 (ii) Significance Level = 5 percent (iii) Critical Value =1.38/√n = 1.38/√(125) =0.1234
0.25 0.50 0.75 1
0.021 0.234 0.208 0.000
Cumulative
Difference
0.25 0.50 0.75 1
0.247 0.372 0.179 0.000
As can be seen from the tables, the highest values of absolute differences are greater than the critical value 0.1234. In these conditions, we conclude that the hypothesis H1 stands. Employees, despite their level in managerial hierarchy, feel satisfied. Second hypothesis H2: female employees and male employees are able to balance their personal life with their work life. Table 4: The Kolmogrov-Smirnoff test was used to test the balancing of personal life with that at work by female employees.
1 2 3
Observed number 65 18 7
Observed frequency 0.7222 0.2000 0.0778
Cumulative 0.7222 0.9222 1
Null Proportion 0.333 0.333 0.333
Cumulative
Difference
0.333 0.666 1
0.121 0.104 0.000
Table 5: The Kolmogrov-Smirnoff test was used to test the balancing of personal life with that at work by male employees. Observed Observed Null Cumulative number frequency Proportion 1 30 0.8571 0.8571 0.333 2 4 0.1142 0.9713 0.333 3 1 0.0287 1 0.333 (Sample (N)=125, and the significance level of the data is 5 percent) Note : (i) Largest absolute difference D1 =0.372; D2 = 0.521 (ii) Significance Level = 5 percent (iii) Critical Value =1.36/√n = 1.36/√(125) =0.1234 Ratings
248 249 250 251
Difference
Table 3: The Kolmogrov-Smirnoff test was used to test the satisfaction of managers with the current motivation programs.
inclined to share this pleasure with others. In this part of the analysis we can refer to the confirmation of hypotheses raised for this paper. Thus, for the proof of the first hypothesis we have as follows. H1: Employees of different hierarchical levels are satisfied with the current motivation programs.
Ratings
224 225 226 227 228 229
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The test was carried out for a =5 percent. The absolute largest differences are = 0.121 and D2=0.521, not both of these values are greater than c (critical value). Thus we conclude that only male workers manage to balance their lives at work with personal life, H2 is not proven. 5.
Conclusions and Recommendations
Motivation and employee satisfaction continue to be important elements for the organizations. The success of a business organization is related to the way in which employees behaves and do their work. Managers should take into consideration the factors that motivate their employees. This is a really delicate process as the motivation elements vary from an employee to another. For some of them, the salary and immediate rewards are more important, for others the relationship with colleagues and superiors, working conditions, challenging work, and career opportunities are more important. Development and refinement of a model that will be based on a recruiting system, integration, training, performance assessment, promotion, motivation, and career development is very important. Albanian companies increasingly need to adopt advanced managerial practices because if they neglect today’s developments this means higher costs in the future. The most motivated employees are those who like their job, feel good in their work place, and with their work conditions. We found that the main motivating factor was not the salary, but other non-monetary factors. Based on literature, this can be explained by the fact that job seekers consider the salary as the most important incentives, one employed they achieve motivation and pleasure at work through other non-monetary elements. The data analyze has highlighted other elements that need to be study, such as the importance of time management and a good work- life balance. In this paper, an important element relates to the fact that most part of employees is willing to recommend the company as an employment opportunity to their relatives. This is an indirect element, which shows the employee satisfaction at work. Employees largely appreciated challenging work, delegated responsibilities, promotion, and group activities. All of these factors are considered important for employees’ motivation. Employees support new motivational programs or techniques, which could bring higher productivity at work. This paper also concluded that only male employees manage to balance their life at work with their personal life while. New motivational techniques should be applied primarily to female employees in order to balance their personal life with that at work. References Armstrong, M. (2002). Employee Reward. London: CIPD House. Brunero, J. S. (Volume XXXIII, No. 4, 2002). Evolution, altruism and “internal reward” explanations. The philosophical forum , 413-424. Daniel Ilgen, Jack Fedelman. (1993). Performance Appraisal; A process Focus; Research in organizational Behavior. Columbia University , Vol 5, 144-162. Ferrari, F. (2010, November 22). Work Performance = Competence x Motivation. A two-side model for Human Resources Management. Munich Personal RePEc Archive , pp. 50-63. Gregson. (1991). The separate constructs of communication satisfaction and job . Educational & Psychological Measurement . Hoppock, R. (1935). Job satisfaction. New York and London: Harper and Brothers. Jonson, H. .. ( November 1969, ). Minimum Wage Laws: A General Equilibrium Analysis. Canadian Journal of Economies, Vol. 2, , 599-604. Mitchell, T.R. & Lason, J.R. (1987). People in organization. 3rd ed. New York: McGraw-Hill. P.Latham, G. (2006). Work Motivation. Los Angelos: Sage. Pereti, J. M. (2004-2005). Resources Humanist; 9-eme edition. Paris: ED Vuiber. Sekkiou, L et Blondin, L. (1995). Passion : ressources humaines. Montréal, Canada: Les Éditions 4L Inc. Tom Lupton, Dan Gowler. (1989). Selecting a wage payment system. London: Kogan Page. Wright, A. (2004). Reward Management in Context. London: CIPD Kogan Page.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Analysis of Some Indicators of the Social Insurance System in Albania Dr. Valbona Gjini Department of Finance and Accounting, Faculty of Economy, University of Vlora "Ismail Qemali", Vlora, Albania Abstract The compulsory social insurance scheme in Albania (the state scheme) is a scheme based on the principle "pay-as-you-go", on the principle of individual responsibility for the social risks of the future and on the principle of solidarity between generations. This is a scheme funded by the contributions of employers, employees and self-employed people. Beneficial payments are guaranteed in an amount covering at least the minimum standard of living determined by the Council of Ministers. This paper analyzes the performance of the most important of individual indicators of the social insurance system (analytical indicators). There are analyzed only those analytical indicators that point to the current performance as well as those related to the prognosis of the progress of this scheme in the future such as dependency rate, replacement rate, ratio between beneficiaries to total population and coverage rate. Also, there is a quantitative analysis carried through the SPSS statistical program on the influence the coverage rate has over the pension deficit and the trend of this deficit is estimated. Keywords: coverage rate, social insurance system, pensions, system indicators, rate
1.
Introduction
The actual social insurance system in Albania started in 1993 and has undergone substantial changes over the years. Under the law, the management and administration of social security in the Republic of Albania is entrusted to the Social Insurance Institute (SII), which is an independent state public institution. The general system of social insurance consists of compulsory insurance, voluntary, supplementary and special state pensions. The system is based on the contributory principle, the principle of individual responsibility for the future risks in the social sphere, and on the principle "pay today to benefit tomorrow". So, the compulsory social insurance scheme in Albania is a scheme based on the “pay-as-you-go” principle, where current benefits are paid from current contributions. Beneficial criteria in the social insurance system are unique to all participants in the insurance scheme while the retirement amount of the pension consists of a basic benefit level for all citizens who must provide the necessary minimum subsistence and a supplement that is determined in relation to individual contributions. Almost all the elderly are covered by the pension program, mainly due to the almost complete participation in the pension system during the socialist period. The pension system in Albania continues to suffer from a number of problems. One of the sharpest problems is related to the deficit of the scheme. The pension scheme suffers from a high deficit that makes it financially unsustainable. (Ministry of Social Welfare and Youth, 2014). In order to have a financially viable system, the contribution income should at least cover the costs of benefits. All of the social and economic changes, the country's economic power, macroeconomic stability, demographic situation, labor market developments, unemployment rates, wage levels, etc. have influenced the development of the social insurance system in Albania and the financial stability of the scheme. The impact of these indicators on the social insurance system in the early 1993 and onwards has dictated the undertaking of some reforms over the years. These reforms have changed some system parameters, in order to achieve the financial sustainability of the system as well as to achieve a unification with the European social insurance systems. The pension reform is not only a challenge for our country but it is one of the biggest challenges facing national governments. Reforming the (PAYG) system is still under heated debate.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The current global demographic changes because of the aging population are becoming more and more apparent. This long-term trend of population aging in both developed and developing countries is mainly driven by an increasing life expectancy and declining rates of fertility. Due to the increase in life expectancy and the nature of unfunded PAYG systems, most governments, both in OECD countries and in countries with emerging market economies, have faced financial difficulties. The generosity of public pension systems has also contributed to the increase in current public pension liabilities. This way, many countries have begun to rethink their pension systems by being involved in a reform process. ( Hu, 2005) The drafting of the new social insurance law in 1993, as well as the overall economic and social developments in particular, have led to the necessity of taking a range of measures from time to time with a view to adapting the social insurance system with the economic developments of the time, standardization of the provisions and their approximation with the basic legal framework of the EU and the basic standards set by the ILO. 2.
Methodology of the Study
In accordance with the purpose of the work, a comparative analysis of some specific indicators of the state pension scheme has been carried out in years, based on statistical data from various sources such as the Statistics of the Institute of Social Insurance in years, INSTAT, IMF, World Bank. Also, statistical data processing methods (the SPSS statistical program) have been used to determine the degree of influence of the coverage ratio at the deficit level of the scheme and to forecast the trend of the pension scheme deficit. 3.
Comparative Analysis of the Values of the Pension Scheme Indicators (1994-2016)
The state and the performance of the social insurance scheme is characterized by two sets of indicators: Indicators of financial performance (synthetic indicators) of the Social Insurance Institute, which is at the same time a fund and a financial intermediary. These indicators characterize the financial condition of the fund for different periods of time. In terms of our analysis these indicators are: the average annual number of contributors, the average annual number of beneficiaries, income from contributions, benefits expenses, financial result and subsidy from the state budget. Specific (analytical) indicators of the social insurance scheme, which are indicators that characterize the social insurance scheme. In order to clarify the problems with the pension scheme, it is important to examine the size of some analytical indicators. In this paper are treated only those indicators which highlight the performance so far as well as those indicators related to the prognosis of the progress of this scheme in the future such as dependency rate, replacement rate, ratio between beneficiaries to total population and coverage rate. 3.1 Dependency rate dynamics during the period: 1994-2016 The dependency rate expresses the ratio of the number of beneficiaries to the number of contributors to the social insurance scheme. In the 1990s, the early retirement pension was used to absorb the large number of unemployed workers that resulted from massive economic restructuring. This is made evident in the sharp decrease in the number of contributors and simultaneous increase in the number of pensioners during this period. As a result, the system dependency rate increased rapidly after 1990. (Hirose, 2011). So from 0.45 beneficiaries to 1 contributor in 1990 this indicator deteriorated from year to year until 2002 and has started an improvement in 2003 with 0.91 beneficiaries per 1 contributor. Chart 1 draws attention to the deterioration of this indicator in 1997, reaching 1.42 beneficiaries per 1 contributor. The analysis of dependency rate proves that the most worrying problem remains its deterioration in the urban area. So if in 1994 (in the urban area) for a
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
contributor we had only 0.71 beneficiaries in 2003 this rate has deteriorated, reaching 1.07 beneficiaries per 1 contributor and after this year we have an improvement of this indicator.
Graph 1. Dependency Rate Source: Social Insurance Institute (SII) statistics over the years As a result of the collapse of cooperatives after 1992, the number of rural contributors dropped a lot and this is reflected in the high ratios of dependency rate in the years 1994-1999 for rural areas. After 2002 this rate regarding the village improved as a result of the increase in the number of contributors. However, referring to the data of this period it should be noted, that contributors in rural areas contribute about 15% of the necessary contribution and receive full rights in the pension system. For these contributors the Government makes 85 percent of the contributions. As a result, they are contributors largely in name more than in substance. ( Schwarz, 2006). This is the same as saying that 85% of rural sector contributors do not currently make contributions. And if we excluded these 85% rural contributors, the system dependency rate would increase more. As can be seen from Chart 1, the dependency rate continues to remain at very critical levels. At the same time several factors have affected the magnitude of dependency rate such as: the still low number of employees, the high rate of evasion of contributions that contributes to reducing the number of contributors, and the inclusion in the scheme of some specific categories of pensions, such as early retirement. Another important factor that has an impact on this report and will have even greater impact in the future are demographic changes, which affect the reduction of active number of population compared to the number of retired people. 3.2 Replacement rate dynamics during the period: 1994-2016 The replacement rate expresses the ratio between average pension amount of money to average salary. It is still low in both the city and the countryside. In the city, from 60.2 % in 1994, in 2003 it reached 41.4 % and after this year has started to grow but at low rates. In the village until 2000 we have a decrease of 15.78% from 27.3 % in 1994 and after this year we have an increase of this ratio at higher rates than in the city. This growth was driven by the higher growth of the average pension increase in the village against the minimum contribution wage. In 2016 this rate reaches 41.7% in the city and 38.9% in the village.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Graph 2. Replacement rate (city / village) Source: Social Insurance Institute (SII) statistics over the years Graph 2 displays that the replacement rate in town and village since 1996 does not exceed in any case 50%, compared to 70-75%, which is the legal obligation. Also, the source of the above analysis data are statistics of Social Insurance Institute, in reality it is discussed that this ratio is still lower than it appears, strengthening the idea that this space should definitely be compensated by private pension schemes. It should be remembered that promoting the private pensions is only part of the solution to ensure the adequacy of benefits paid by this plan. Policy makers also need to address other challenges facing these arrangements, such as management costs and investment risk. (Payet and Yermo, 2012). 3.3 The dynamics of the ratio between beneficiaries to the total number of population during the period: 1994-2016 The ratio between beneficiaries to the total population is increased from 14.5 % in 1994 to 18.2 % in 2003 and 21.3 % in 2016 (Graph 3). This trend towards increasing this ratio indicates its negative impact on the insurance social scheme. The deterioration of this indicator is caused by an increase in the number of beneficiaries and their retention for a relatively long time as beneficiaries because of the average life expectancy of the population. This indicator should be taken into account because it results in an upward trend in the future. Currently, Albania has a moderately young population, but one with a rapidly growing share of elderly. By 2050 Albania is expected to have 25% of its population aged 65 and older which put it well over the 2050 ECA average of 23.1%. (Guven & Schwarz, 2013)
Graph 3. The ratio between beneficiaries to the total number of population Source: Statistics of Social Insurance Institute, World Bank database, author's calculations
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
3.4 The dynamics of the coverage rate during the years: 1994-2016 The coverage rate which expresses the ratio of the number of contributors to the real number of skilled laborers, results in a significant decrease for the period 1993-1999. Specifically, this indicator is deteriorated in 1997 and 1998. It falls down to 26.8% and 27.5%, compared to 54% in 1993 and 33.8 % in 1994.(graph 4) The reduction of GDP after the 1990’s (with a drastic reduction in 1997) and at a low rate of recovery over the years, definitely had an impact on the labor market.
Graph 4. Coverage rate Source: Statistics of Social Insurance Institute, IMF, World Bank, author's calculations The evident change of these conditions related to the labour market after 1990, had a negative impact in the inclusion of contributors in the social insurance scheme and demographic indicators. With the youngest population in Europe the labour market informality has increased, accompanied by the avoidance of the obligatory contribution payments. On the other hand, the high rate of emigration in this period has caused a considerable reduction in the workforce, and consequently the inclusion in the pension scheme. (European Commission, 2008). After 1999, the coverage ratio is increased and this also attests to reducing the phenomenon of tax evasion. Informal employment remains a significant challenge. The informal employment decreased from 51.3 percent in 2014 to 46.8 percent in 2015. (Vidovic, Koettl, Mara, and Posadas, 2017). This is reflected in the increase in coefficient in 2015. However, this indicator remains low again and does not exceed 65%. In rural areas, this indicator is still lower, with less than 50%. Increasing employment and reducing informality will lead to an increase in the number of contributors, and thus to the improvement of this ratio. The increase in the coverage ratio means more contributors, as a result more income from contributions and consequently a reduction in the pension scheme deficit. 4.
Analysis of coverage rate impact on the scheme deficit and the deficit trend
Expenditure on benefits in the pension scheme is higher than income from contributions. This means that the pension scheme results in a deficit and in the meantime this deficit continues to increase. Although the financial indicators show that the rural scheme deficit is important, the financial performance of the pension fund is dominated by the urban scheme, which accounts for 90% of spending and almost all income. So the state pension plan is currently not financially sustainable. 4.1 Analysis of the relationship between the coverage rate and the pension scheme deficit In this section of the study we analyze the hypothesis: The coverage rate values affect the deficit of the pension scheme. Undoubtedly, economic factors have an important impact on the pension scheme, and therefore its deficit. There are close links between the pension scheme and the main
359
VOLUME No.1
222 223 224 225 226 227 228 229 230 231 232
Conference Proceedings Richtmann Publishing LTD, UK
economic indicators in Albania. (Gjini, 2017). The deficit of the public pension scheme has been presented as a dependent variable, which, as discussed above, represents the difference between income from contributions and benefits expense. As independent variables, some economic indicators are thought to have an impact on the scheme's deficit, such as GDP, inflation, unemployment and coverage ratio. The data for these indicators have been analyzed for a period of about 20 years. The source of data for the analysis is taken from the Statistics of Social Insurance Institute, IMF, INSTAT. Initially, we will study the simple correlation between the indicators taken in the analysis. Table 1. Simple correlation correlations among the main studied indicators Indicators
GDP at current prices GDP per Capita (in $)
GDP at current prices GDP per Capita(in $) Inflation Unemployment Coverage ratio Deficit
Inflation Unemployment Coverage ratio (in %) (in %) -0.585022 -0.569615 0.784276871 -0.535871 -0.601669 0.848072749 1 0.3469916 -0.393633304 1 -0.319370276 1
Deficit (in millions) -0.8855751 -0.8837343 0.3552039 0.4358262 -0.7967266 1
By studying the correlation coefficients that present the relationships that exist between some indicators taken into account in the analysis and the deficit of the pension scheme, we note that the value of these coefficients justifies our expectations. Thus, the correlation coefficient expresses the relationship between GDP at current prices and the deficit is −0.8855751. So there is a strong negative correlation, which means that GDP growth is associated with a decline in the deficit. The same would be said for linking GDP per Capita to deficit. From the matrix, we see that the correlation coefficient that expresses the relation between coverage ratio and deficit is −0.7967266. So there is a relatively high negative correlation, which means that the increase of the coverage ratio affects the reduction of the deficit. Meanwhile, inflation and unemployment are positively correlated with the deficit, which means that their growth affects the growth of the deficit. However, the correlative correlations for these two indicators are lower than the other indicators, respectively 0.3552039 for inflation and 0.4358262 for unemployment. Let's go back to the coverage ratio indicator. From the matrix we see that there are correlations of this indicator with all the economic indicators selected by us. Thus, we have a high positive correlation of the coverage ratio with GDP and GDP/capita (0.848072749 with GDP per capita), which means that the growth of this ratio will depend heavily on the economic growth. While with inflation and unemployment it is negatively correlated and these values are smaller, respectively −0.393633304 and −0.319370276. Let's further deepen our analysis through regression analysis. Regression Analysis: Deficit versus coverage ratio The regression equation is Deficit = 10088 - 35387 Coverage ratio Predictor Constant Coverage ratio
Coef SE Coef 10088 2977 -35387 6126
T 3,39 5,78
S = 3425,25 R-Sq = 67,6% R-Sq(adj) = 65,6% Analysis of Variance Source DF SS MS Regression 1 391503940 391503940 Residual Error 16 187717084 11732318 Total 17 579221024
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
In this model, from the regression analysis, the independent variable of the coverage ratio results statistically significant because the value p = 0.000. So the coverage ratio is an indicator with a significant impact on the deficit. From the analysis of regression data, the coverage ratio explains 67.6% of the deficit variation. An exception is only the eighteenth observation which is considered unusual with a large standardized waste (error prediction). At the same time, it was analyzed the combined effect of the coverage ratio and GDP (independent variables) on the deficit (dependent variables). This analysis was carried out through a multiple regression. It resulted that the coverage rate in this model was a non-important variable. This can be explained by the fact that it is an indicator that has an important link with GDP and labor force. So in this model this indicator gives its effect through GDP variables. 4.2 Analysis of the deficit trend Two models were used for the analysis of the deficit trend: the linear trend model of the deficit and the quadratic trend model of the deficit. T r e n d A n a ly s is P lo t fo r D e fic iti L in e a r T r e n d M o d e l Y t = 2 3 9 2 - 9 3 2 ,5 8 6 * t V a r ia b le A c tu a l F it s
Graph 5: Deficit vs. Time / Linear Model Quadratic Model. Yt = -4825 + 1233*t - 114,0*t**2 S = 1254,87 R-Sq = 95,9% R-Sq(adj) = 95,4% Analysis of Variance Source DF SS MS F P Regression 2 555600731 277800365 176,42 0,000 Error 15 23620293 1574686 Total 17 579221024 Sequential Analysis of Variance Source DF SS F P Linear 1 421377870 42,71 0,000 Quadratic 1 134222860 85,24 0,000
361
c u rac y A P E A D S D
M e a su r 5 239 876906
es 3 0 4
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
T r e n d A n a ly s is P lo t fo r D e fic iti Yt =
Q u a d r a tic T r e n d M o d e l - 4 8 2 5 + 1 2 3 3 * t - 1 1 4 ,0 * t* * 2
Graph 6: Deficit vs. Time / Quadratic Model From the analysis of competitive models, it is clear that the quadratic trend model is the perfect prediction model. Specifically this model explains 95.9% of the variance while the linear trend model explains 72.7% of the variance. From the graph above we note that the real values are very close to the predicted values (or the forecast line). 5.
Conclusions and Recommendations
The current pension scheme in Albania is not financially sustainable. It suffers from a deep deficit and according to the analysis of the deficit trend, this deficit will continue to deepen if the pension scheme is not reformed. The ratio of beneficiaries to the total number of population is increased during the study period and it is expected that this increase will continue in the future. The growth of this ratio has a negative effect on the sustainability of the scheme, so this report should be kept under control. The dependency rate that expresses the ratio of the number of beneficiaries to the number of contributors to the social insurance scheme continues to be high, violating the sustainability of the scheme. Other important factors that have an impact on this report and are expected to have even greater impact in the future are demographic changes. These changes will bring a reduction in the number of active population compared to the number of retired people. In conclusion of the quantitative analysis using the simple and multiple linear regression method, the correlation of the coverage ratio with the pension scheme deficit was verified. Increasing the value of the coverage ratio would have an impact on reducing the deficit. But the growth of this report will require in the future strong economic pressures and significant administrative efforts. The replacement rates during the study period continue to remain low. Encouragement to participate in the urban scheme continues to be low due to low replacement rate for high pay contributors. To help solve this problem, we must certainly encourage the development of private pension funds. References Antolin, P., S. Payet and J. Yermo (2012). Coverage of Private Pension Systems: Evidence and Policy Options, OECD Working Papers on Finance, Insurance and Private Pensions, No. 20, OECD. Publishing. http://dx.doi.org/10.1787/5k94d6gh2w6c-en. European Commission, Directorate-General for Employment, Social Affairs and Equal Opportunities. (2008). Social inclusion and social Protection in Albania file:///C:/Users/acer/Downloads/albania_study_en%20(5).pdf Gjini, V. (2017). The Impact of Economic Factors in the Pension Scheme in Albania. International Journal of Research in Management & Social Science Volume V, Issue 4 (VI) October - December 2017. (14-18).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Guven, U. M., & Schwarz, A. (2013) Albania Pension Policy Note: Key Challenges and Directions for Reform. World Bank. Hirose, K. (2011). Trends and key issues of the pension reform in Central and Eastern Europe- a comparative overview. International Labour Organization (ILO). (3-73) Hu, Y. (2005). Pension Reform, Economic Growth and Financial Development-An Empirical Study.http://citeseerx.ist.psu.edu/viewdoc/download?doi=10.1.1.425.6710&rep=rep1&type=pdf Ministry of Social Welfare and Youth. (2014). The Pension Policy Paper. http://www.monitor.al/multimedia/Dokumenti%20i%20Politikave%20te%20Pensioneve.pdf Schwarz, A. (2006). Albania social insurance review Report Number 37594-AL. Document of the World Bank Vidovic, H., Koettl, J., Mara, I., and Posadas, J. ( 2017). Western Balkans Labor Market Trends. Washington, D.C: World Bank Group Working Paper, Report Number 113922. Statistical data from: Social Insurance Institute: http://www.issh.gov.al/al/ INSTAT: http://www.instat.gov.al/ World Bank: http://www.worldbank.org/ IMF: http://www.imf.org
363
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
A Study on the Dynamic Relationship between Wealth Gap and Economic Growth in China Yugang He (Ph.D.) Department of International Trade, Chonbuk National University, South Korea Abstract With the economic globalization, the relationship among all countries has become more and more closed (this phenomenon is often called “global village”). The wealth also flows more freely than that of before in the world. Due to this, there is a better improvement in our everyday life. But it also raises many livelihood issues such as the wealth gap. At present, the wealth gap problem has become one of the biggest serious problems in each country, especially, in the developing countries. Because of this, quantities of scholars and economists spare no effects to explore the dynamic relationship between wealth gap and economic growth. In this, this paper sets China who is the biggest developing country in the world with bigger wealth gap as an example. The annual time series data from 1980 to 2016 is applied to analyze the dynamic operating mechanism between wealth gap and economic growth in China. All datum are sourced from the National Bureau of Statistics of the People’s Republic of China. Using the vector error correction model to conduct an empirical analysis, the dynamic operating mechanism between them will be fully understood. Then, the results of this empirical study will provide some ideas as reference for China’s government to settle the wealth gap. Keywords: Wealth Gap, Economic Growth, Vector Error Correction Model
1.
Introduction
With the high-speed economic development and continuous improvement of living standards, people are not satisfied with their present wealth level. And new demands have been put forward to wealth distribution. In the economic sphere, economists are increasingly interesting in the dynamic linkage between wealth gap and economic growth. Unfortunately, they have not reached a consensus about what kind of relationship they should have, even though they have conducted quantities of empirical analyses based on objective datum from all over the world. Ncube, Anyanwu and Hausken (2014) use a cross-sectional time series datum of Middle Eastern & Northern Africa country from 1985 to 2009 to perform an empirical analysis, they find that income inequality makes a reduction in the economic growth and increases poverty in that region. Apergis, Dincer and Payne (2014) also utilize U.S. as an example to investigate the causal relationship between income inequality and economic freedom. They apply the period 1981 to 2004, and conduct an empirical analysis within a panel error correction model framework. They find that there is a bidirectional causality between income inequality and economic freedom in both the short and the long run. Brunori, Ferreira and Peragine (2013) find that inequality may, in turn, affect the economic growth, dating back at least to Kaldor (1956). Halter, Oechslin and Zweimüller (2014) introduce a simple theoretical model to study how changes in inequality affect economic growth over different time horizons. They empirically investigate the relationship between inequality and economic growth, thereby relying on specifications derived from the theory. Their empirical findings are in line with the theoretical predictions. Namely, higher inequality helps economic performance in the short term but reduces the growth rate of GDP per capita farther in the future. The long-run (or total) effect of higher inequality tends to be negative. Fixler, Johnson, Craig and Furlong (2017)ac focus on the importance of the income measure underlying the inequality measure when examining the relationship between GDP growth and inequality. Since the reform and opening-up, much has been change on the operating mechanism
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
between wealth gap and economic growth in China. The mode of distribution according to work and multi-distribution ways running parallel has gradually replaced that of distribution of extreme equalitarianism under the planned economic system. This transformation greatly liberates the productive forces and arouses labor’s enthusiasm, which can rapidly promote the economic growth. The wealth gap, however, is also enlarging a lot in China. The negative effect of the continuous increase in the wealth gap on economic growth has become more and more significant, which results in many concerns in economic field. Zhang and Dang (2014) use the datum from 1978 to 2014 to explore correlation between wealth gap and economic growth based on the smooth transition regression. Their results show that there exists a significant non-linear characteristic between wealth gap and economic growth. Moreover, the wealth gap has a positive effect on economic under non-linear condition. Ma and Mi (2017) take use of datum from 1988 to 2013 to conduct an empirical analysis based on vector error correction model. Their findings indicate that there exists a long-run co-integration and short-run dynamic relationship between wealth gap and economic growth in Xinjiang province (a province of China). Enlargement of wealth gap has a negative effect on reducing poverty. Wang (2017) investigates the relationship between economic growth and wealth gap via an empirical study. The empirical analysis results demonstrate that the economic structure leads to wealth gap in China. Along with the reform of economic system, the wealth gap turns to decreasing even though the scale of economic aggregate keeps increasing. After reviewing the related researches, this paper takes advantage of vector error correction model to explore the dynamic relationship between wealth gap and economic growth in China. Then, according to the empirical analysis, some suggestions will be put forward to improve wealth gap, increase economic growth and balance two of them. 2.
Theoretical Framework
2.1 Kuznets curve Simon Smith kuznets presents the inverted U-shaped curve hypothesis of the relationship between economic development and income inequality via speculation and experience. Based on the transition from a traditional agricultural industry to a modern industrial industry, Kuznets analyzes the relationship between economic growth and income inequality. He believes that the process of industrialization and urbanization is the process of economic growth. In this process, the distribution gap will be changed. His idea is that the creation and destruction of economic development changes the social and economic structure and affects the income distribution. Kuznets uses data from various countries to conduct comparative studies. He comes into a conclusion that in the stage which the economy is not fully developed, Income distribution will go along with economic development towards inequality. Thereafter, the period of income distribution is temporarily unchanged. In the stage that economy is fully developed, the income distribution will tend to be equal. Assuming the horizontal axis represents some of the indicators of economic development, usually per capita output and the vertical axis represents the index of income inequality, the relationship reveals by this hypothesis is the inverted U-shaped curve. It is called the Kuznets curve just as
Conference Proceedings Richtmann Publishing LTD, UK
2.2 Model This paper uses time series to testify the Kuznets curve hypothesis. The Gini coefficient represents the wealth gap and GDP per capita represents the economic growth. They are from 1980 to 2016 and adopted to build model to explore whether the evolution of wealth gap is in keeping with the Kuznets curve hypothesis or not in China. All datum are sourced from the National Bureau of Statistics of the People’ s Republic of China. It can be assuming that the Kuznets curve hypothesis exist between wealth gap and economic growth in China. Namely, along with the economic growth, the wealth gap will be increased first. Then, it will be diminished. More specifically, there is a quadratic function relation between wealth gap and economic growth. In order get rid of heteroscedasticity, the logarithm is taken in the both sides of quadratic function. The model gives: log wealth = α + β log GDP. per.capita + γ log GDP. per.capita 2 + ε (1) Where α is the constant; β and γ are the coefficients; ε is the white noise. In summary, all datum will be shown in
.
Table 1: Variables Variable
Definition It is represented by Gini coefficient log GDP. per.capita It is represented by real GPD per capita
log wealth
121 122 123 124 125 126 127 128 129
ICHSS 2017 Barcelona, Spain
3.
Source National Bureau of Statistics of the People’ s Republic of China National Bureau of Statistics of the People’ s Republic of China
Empirical Analysis
3.1 Unit Root Test In the classical regression model, the sequence of explanatory variable and explained variable should satisfy the stationarity. Namely, their expected value is zero and their variance is a constant. If the sequence is not stationary, it is east to lead to spurious regression. The Augmented Dickey-Fuller test is applied in this paper. There are three basic models. γ
th Where Yt is the time series; α is constant; t is the time trend; Yt −i is the term in lag i . γ is the
lagged number. The hypotheses of Augmented Dickey-Fuller test give: Null hypothesis: H o : γ = 0 means that unit root exists. Alternative hypothesis: H 1 : γ < 0 means that unit root does not exist. More specifically, if ADF statistic is less than its corresponding critical value, the null hypothesis will be rejected. It indicates that there is no unit root (time series is stationery). Conversely, if ADF statistic is greater than its corresponding critical value, the null hypothesis will be accepted. It indicates that there is an unit root (time series is non-stationery). The results of unit root test will be shown in
.
367
VOLUME No.1
146 147
Conference Proceedings Richtmann Publishing LTD, UK
Note: D represents the first difference of all variables *MacKinnon (1996) one-sided p-values.
indicates that all variables are non-stationary in their real levels. However, after first difference, all variables become stationary under 5% significant level. It illustrates that they are integrated of order 1, which provides the precondition of co-integration test. 3.2 Co-integration Test There are two methods to process a co-integration test. They are the Engle-Granger and Johansen co-integration tests. This paper uses the Johansen co-integration test to analyze the relationship between wealth gap and economic growth in China. The results of co-integration test will be shown in
and
. Table 3: Unrestricted Co-integration Rank Test (Trace) Hypothesized Trace 0.05 Eigenvalue No. of CE(s) Statistic Critical Value None * 0.503 54.868 29.797 At most 1 * 0.316 26.941 15.495 At most 2 * 0.255 11.769 3.841 Note: Trace test indicates 3 co-integrating eqn(s) at the 0.05 level * denotes rejection of the hypothesis at the 0.05 level **MacKinnon-Haug-Michelis (1999) p-values
Prob.** 0.000 0.001 0.001
indicates that the trace statistic values are greater than 0.05 critical values. It means that there are three co-integrations at the 0.005 level. Table 4: Unrestricted Co-integration Rank Test (Maximum Eigenvalue) Hypothesized Max-Eigen 0.05 Eigenvalue No. of CE(s) Statistic Critical Value None * 0.503 27.927 21.132 At most 1 * 0.316 15.173 14.265 At most 2 * 0.255 11.769 3.841 Note: Max-eigenvalue test indicates 3 co-integrating eqn(s) at the 0.05 level * denotes rejection of the hypothesis at the 0.05 level **MacKinnon-Haug-Michelis (1999) p-values
Prob.** 0.005 0.036 0.001
indicates that the max-eigen statistic values are greater than 0.05 critical values. It also means that there are three co-integrations at the 5% level. Combined
and
, it can be concluded that there is a long-run relationship among them. Their co-integrating equation is shown in
.
368
VOLUME No.1
183 184
Conference Proceedings Richtmann Publishing LTD, UK
3.3 Vector Error Correction Model The previous tests verify the cointegration relationship between wealth gap and economic growth in China. Namely, there is a long-run equilibrium relationship between two of them. However, if this kind of long-run equilibrium relationship wants being supported, the error correction operating mechanism of short-run dynamic process should be being adjusted. The vector error correction model gives: D log waltht = αD log GDP. per.capita t + β D log GDP. per.capita t2 + λecmt −1 + C (6) By performing estimation, the coefficients of equation (6) gives in
. Table 6: Coefficients of Vector Error Correction Model β α 1.541 -0.548 Value (0.218) (0.224) [7.063] [-2.442] Note: Standard errors in () & t-Statistics in []
λ
Coefficient
207 208 209
(5) 2
Equation (5) demonstrates that the coefficient of log GDP. per.capita is negative. Namely, the Kuznets curve hypothesis exists between wealth gap and economic growth in China. Along with an increase in GDP per capita, the wealth gap shows a tendency to scale first and then shrink. Due to the long-run existence of binary economic structure in China, the relationship between wealth gap and economic growth is still located in the left side of inverted U-shaped curve.
0.002 (0.003) [0.752]
C 0.009 (0.040) [0.233]
Specifically, the estimation of vector error correction model gives: D log waltht = 1.541D log GDP. per.capitat - 0.548D log GDP. per.capitat2
(7) Equation (7) reflects the short-run relationship between two of them. Compared with long-run relationship, the Kuznets curve hypothesis still exists between wealth gap and economic growth in China in the short run. When the short-run equilibrium relationship deviates from the long-run equilibrium relationship, there will be an ability of adjustment (0.002) from the non-equilibrium relationship to that of long-run equilibrium. 4.
Conclusion
The relationship between wealth gap and economic growth in China is always a heated issue in the world. Quantities of scholars have tried to use many kinds of ways to explore the operating mechanism between them. This paper provides a new scope to study this proposition. Also, this paper uses datum from 1980 to 2016 to analyze the relationship between wealth gap and economic growth in China. Via co-integration analysis, the results show that the relationship between wealth gap and economic growth satisfies the Kuznets Inverted U-hypothesis. Namely, the wealth gap in China enlarges at first and then narrows along with the economic growth.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
References Apergis, N., Dincer, O., & Payne, J. E. (2014). Economic freedom and income inequality revisited: Evidence from a panel error correction model. Contemporary Economic Policy, 32(1), 67-75. Brunori, P., Ferreira, F. H., & Peragine, V. (2013). Inequality of opportunity, income inequality, and economic mobility: Some international comparisons. In Getting Development Right (pp. 85-115). Palgrave Macmillan US. Fixler, D., Johnson, D., Craig, A., & Furlong, K. (2017). A consistent data series to evaluate growth and inequality in the national accounts. Review of Income and Wealth, 63(s2). Halter, D., Oechslin, M., & Zweimüller, J. (2014). Inequality and growth: the neglected time dimension. Journal of Economic Growth, 19(1), 81-104. Ma Yila, & Mi Jiti. (2017). A Study on the Impact of Economic Growth and Income Inequality on the change of poverty: Based on Countrysides in XingJiang Province. Xinjiang State Farms Economy, (3), 87-93. Ncube, M., Anyanwu, J. C., & Hausken, K. (2014). Inequality, economic growth and poverty in the Middle East and North Africa (MENA). African Development Review, 26(3), 435-453. Wang Peixuan. (2017). An Empirical Study on the Relationship among Economic Growth, Openness and Income Inequality. Journal of Jishou University(Social Science), 38(3), 43-50. Zhang Youzhi, & Dang Xinghua. (2014). Analysis of Empirical Relationship of Urban-rural Income Gap and Economic Growth Based on Non-parameter STR Model. Operations Research and Management Science, 23(4).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The Use of Sawn Timber for Barrel Production from Oak Wood (Quercus Petraea L.) PhD.C. Muharrem Sejdiu1* Prof. Dr. Pandeli Marku1 Prof. Ass. Dr. Rrahim Sejdiu2 1*
Agricultural University, Tirana, Albania; University of Pristina, Pristina, Kosovo;
2*
Abstract The number of firms involved in the production of barrels from white oak (quercus petraea L,) is small. The production of wood barrels is quite complex and with a low exploitation coefficient. We think it is in the interests of firms to know how much the coefficient of use of sawn material for these types of products is. For the study we have chosen the firm "Beha-N" in Rahovec, which mainly deals with the production of oak wood barrels. The sawn material taken in the study was of a good quality. To do the tests we used weighing methods, as its volume was difficult to measure since it was half milled. Tests were conducted for the production of barrel details with a volume of 50, 30 and 20 litters, which are most widely used by the costumers. For the realization used by the firm were taken into account the dimensions and technology. From the measurement data it turned out that the weight of the sawn timber was about 250kg. The results of these weights were exchanged in volume and percentage and they are shown in final results. Keywords: exploitation coefficient, plank, wood pieces, sawdust, barrel
1.
Introduction
Barrels were first used for wine by the Romans. They were a big improvement over amphorae (Greek) and goat skins, can be built without metal using pegs and split willow hoops (Barrels & Ageing, 2014). Traditionally, there are three species of wood used in barrel making: Q. petraea Liebl. and Q. robur L., the most common oak species in French forests, and the American oak Q. alba L. (Mariana Tavares, , António M. Jordão and Jorge M. Ricardo-da-Silva, 2017). In our country there are few companies that produce oak barrels (quercus petraea L.). But since it is a complicated work and with a small use of wood, we thought it was of interest to see how much it is used. The production of barrels from wood is not only an interest in the preservation of wine, cognac and other alcoholic drinks, but it is also important for the fact that the physiological process that occurs due to the passage of oxygen into the air through the stave of barrel directly affects the formation and improves the quality of wine. Storing wine, cognac and other alcoholic drinks in barrels for a long time they become delicious, aromatic and clear. This is also the main reason why these products are stored in wooden barrels. The study was done at "Beha-N" Company in Rahovec which deals with the production of wooden barrels. It produces barrels of various volumes where the most common are barrels 50, 30, 20 litters (figure 1).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Figure 1. Barrel 2.
Study aim
The purpose of this study is to see the percentage of sawdust used for the production of oak wood barrels (quercus petraea L.) and how much is the waste in wood pieces, shavings and sawdust. 3.
Methodology
The sawn timber in this firm is dried naturally for the production of barrels. Sawn bands are dried in 12-16% moisture. The amount of sawdust used is weighed on the scales in kg then the weight is exchanged to m3. This is because the saw material used in this firm is half milled and it is difficult to draw the correct volume by other methods. In this way the pure stave, wood pieces, shavings and sawdust are measured. In this case specific weight calculation is also required. 3.1 Materials used -
Oak sawn timber with dimensions (31x120-160x1000mm.) Wood processing machines as well (saw blade, longitudinal saw, planer machines, milling machine, sanding machine etc.). Scale, meters, micrometer, etc.
3.2 Methodology used Determination of sawn timber use was done by measurements in the field. The following formulas are used for calculations: The volume of sawn timber in [m3] (Ajdinaj D. Marku P., 2014) Vl =
Plsh
γu
( )
......... m 3 .......... .. (1)
Where: Plsh - Weight of sawn timber in kg, γu
- Specific wood weight in kg/m3. Net volume of stave [m3] Vd =
Pd
γu
.........
(m ) .......... .... (2 ) 3
372
VOLUME No.1
89 90 91 92 93 94 95 96 97 98 99 100 101
Conference Proceedings Richtmann Publishing LTD, UK
Where: Pd - Weight of stave in kg,
Net yield stave in [%] Vd × 100 = ..... (% ) ...... (3 ) Vl
Rd =
Net volume of barrel heads [m3] Pf
Vf =
γu Where:
( )
......... m3 .............. (4)
Pf
- Net weight of barrel heads in kg, Net yield of barrel heads [%] Vf
Rf =
× 100 = ..... (% ) ...... (5 )
Vl
Wood pieces volume [m3] (Sejdiu M, 2017)
Va =
Pa
γu
102
103(6) .....(m3 ) ................ 104
105 106 107
Where: Pa -Wood pieces weight in kg. Yield wood pieces [%] 108 V Ra = a × 100.....(%) .......... 109(7 ) Vl
111 112 113 114 115 116
Sawdust volume in [m3] (Ajdinaj D. Marku P., 2014)
110
Vtg =
124 125 126
Pt
γu Where:
..... ( m 3 ) .......... ........ (8)
Pt
- Sawdust weight in kg. Sawdust performance in [%] Rt =
120 121 122 123
ICHSS 2017 Barcelona, Spain
Vtg Vl
117
× 100....(%) .......... . (9 ) 118
119
To calculate the specific weight, there were taken samples of 2x2x2cm and they were taken at the University of Applied Science Lab in Ferizaj. Samples were weighted on scale 0.1gr. and measured with micrometer 0.01mm (figure 2).
Figure 2. The view of materials and tools during practical examinations.
According to the chart 1, the average moisture of wood was 13.94%, the average volume of samples in this moisture was 6.81 cm3, the average weight of samples 5.61gr. and the average weight of samples in dry condition 4.92gr. Specific wood weight calculation was with the formula ( Fico S. Marku P. Shqau I., 1998):
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Pu ....... gr/cm 3 ...... (10 ) Vu
Where: Pu- Sample weight in gr. Vu- Sample volume in m3 According to these data we see that 1cm3 in 13.94% moisture weights 0.824gr. or 1m3 is equal to 824kg. 4.
Results
Measurement of sawn timber - The sawn timber in this firm was chosen with small annual rings and large pith wood, as mark is inadequate. The sawn timber taken in the study weighted 250kg, and then it was exchanged to m3 by equation 1. Vl =
Plsh
γu
=
( )
250 = 0.3033980 m 3 824
Then the final balance of the use of sawn timber for barrels was finalized. The results are presented in tabular form in chart 2. Chart 2. Performance in volume and percentage
Graphically, the data of chart 2. for percentage are shown in graphic 1.
Graphic 2. Efficiency in percentage. According to the chart it can be seen that the use of sawn timber is very low, about 22%. If we consider the losses of wood during sawing process to make planks and drying boards, then the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
yield is even lower. This is also, as we said above, for the production of barrels it is used the heartwood. 5.
Conclusion and Recomandation
For the production of stave barrels it is used only the heartwood. From the amount of dry sawn timber of 0.3303m3 used for the production of a barrel is: Stave takes 16.2%, heads 5.8%. Others, like wood pieces (45.4%), sawdust and shavings and others (32.6%), are considered losses. We recommend that: To be careful during the natural drying of planks, in order to minimize damages. To be careful during t the wood cutting process of planks, in order to make them radial. Create mathematical cutting patterns for each type of barrel to achieve maximum utilization of raw material. Other wood pieces should be used for other products, as there are huge losses. Shavings and sawdust should be used for briquette or pellet production or for burning. References Fico S. Marku P. Shqau I. (1998). Prodhimi i lëndës drusore të sharruar. Tiranë: Pegi. Ajdinaj D. Marku P. (2014). Lënda e sharruar. Tiranë: Kumi. (2014). Barrels & Ageing. http://srjcstaff.santarosa.edu/~jhenderson/Barrels.pdf. Mariana Tavares, , António M. Jordão and Jorge M. Ricardo-da-Silva. (2017). mpact of cherry, acacia and oak chips on red wine phenolic parameters and sensory profile. OENO , 51 (3), 329-342. Sejdiu M. (2017). Research on the coefficient of utilization of quercus petraea l. Logs for producing radial planks with a thickness of 33mm. Knowledge-international journal scientific papers vol 19.4 (p. 1745). Agia Triada, Greece: Institute of Knwledge Menagment.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Fiscal Decentralization as an Instrument for Economic Development of Local Government in Albania Adisa Bala (PhD candidate) Ministry of Internal Affairs Tirana, Albania
Prof.Dr. Andrea Koxhaj University of Tirana Faculty of Economy Abstract A decentralized governance refers to the restructuring or reorganization of authority in order to have a system of co-responsibility between central government institutions, where regional and local level are in accordance with the principle of subsidiarity. This process aims to increase the overall quality and effectiveness of the system governance, enhancing the authority and capacities of the subnational level. One of the most critical approaches to adapt decentralization from theory into practice is its clear understanding of the concept, so be able to better predict what decentralization means, how well it can be planned and implemented, which are its implications and how the challenges can be over-comed. On the other side fiscal decentralization as a core element of financial instruments is related to the creation of opportunities for the financing of supported functions or so-called subsidized. It requires not only transferring financial resources and fiscal authority to local units, but they must be predictable in order to make planning possible enough to fulfill the tasks with transparence and autonomously. The aim of this paper is to briefly study how this process is implemented in Albania, if its principles are applied and how it has affected local government development. As it will be further described and explained, reforms made in this order have emphasized political decentralization, while the focus shifted to administrative , but not considerably into fiscal aspect. Keywords: Local Government, Fiscal Decentralization, Financial Instrument, Economic Development
1.
Introduction
Albania, comparing with other Western Balkan countries, has start decentralization process and reforms very late. Only in the 2000s were undertaken the first reforms of this field. The legal basis in Albania has been fragmented, therefore certain levels of governance had an unclear division of functions as well as overlapping and mixed responsibilities. On the other side, the financial aspect of this process like grants and transfers distribution to local units has been subjective. As a response, local units built a non-transparent system of their funds management, which lead to corruption and a slowdown of local economic development. The new reform of administrative and territorial reorganization is expected to give the basic results on local autonomy and financial issues. Over the last two decades, democratic decentralization has been a key element of agenda for "good governance" and has had a common goal, but the discussion of decentralization reforms should begin with the recognition of decentralization as an instrument related to economic development. Local economic development is defined in Law No.8652 / 2000 as a function of LGUs, which is at the same time a derivative of national and regional economic development policies. The way of local government financing is presented in the form of transfers intergovernmental, which are two types: Conditional and Unconditional Transfer. The first is divided by a formula that is modified almost every year and is included in the law of the state budget, the second is a transfer which mainly covers joint-function investments. This financial dependence causes funding shortages and did not allow most LGUs to develop their local plans for the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
development of various economic and social projects. Within the local economic development according to the above law, these services are mainly included: • Preparation of local economic development programs • Establishment and functioning of public markets • Development of small business, through promotional activities • Organization of services in support of local economic development As a matter of fact, the range of services that a municipality has in its competencies with regard to local economic development is wide and includes the markets, property and services of the local economy. In a word, in local government units' functions are not only local utilities, but also domestic economic development. Local units currently have a strong dependence on central finances. This lack of local finance is not the only one that exacerbates local government in supporting local economic development plans, but as well intergovernmental transfers in order to support and cover the functions of local government. Methodology used in this paper is generally narrative, based in our case study and strategy of decentralization, comparative analysis of indicators in different periods of time, technical criteria for the new administrative and territorial division, STAR Project, USAID Surveys. Mainly it will include reports made in our country over years. Review of documents in general regarding fiscal decentralization or reports on local economic development implied that there is a large gap in terms of local economic development plans and policy making. 1.1 Research Methods Methodology used is generally narrative, based in our case study and strategy of decentralization, comparative analysis of indicators in different periods of time, technical criteria for the new administrative and territorial division, STAR Project, USAID Survey. Drivers for change were: Fragmented local government units - 70% of communes and 26% of municipalities comprise less than 5,000 inhabitants and 12% of communes do not count more than 1,000 inhabitants - 230 LGUs out of a total of 373 spent 60% of their budget on own staff salaries - 80 smallest LGUs do not provide any public service to their respective jurisdictions and communities. General study of Local Government Units (LGUs) has been made. The situation before administrative territorial reform was implemented: LGUs Efficiency • 193 LGUs ( a total of 385) generated only 10% of own revenues • LGU investment ratio was less than 28% of budget. • 230 LGUs spent more than 60% of their budget on administration (operative expenditures) • Strong dependence from state budget transfers • High cost of public service delivery • High administrative costs • Strong disparities between urban and rural areas • Weak local democracy The new administrative‐territorial Division is made up by 12 Regions (no change)and 61 Municipalities (from 373 municipalities/ communes) Mainly the paper will include reports made in our country over years. Review of documents in general regarding fiscal decentralization or reports on local economic development implied that there is a large gap in terms of local economic development plans and policy making. 2.
Literature Review
This paper deals with basic concepts of decentralization and local economic development, but as well the challenge of decentralization is neither its theoretical understanding nor the lack of economic and institutional logic, but its practical implementation.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
For decentralization there are many definitions that naturally relate to the principles on which it is based and to the objectives for which it is designed, but more comprehensive are the definitions given by UNDP (1997) defining it as: "Decentralization or decentralized governance refers to the restructuring or reorganization of authority in order to have a system of co-responsibility between government institutions at central, regional and local level in accordance with the principle of subsidiarity, increasing the quality overall and effectiveness of the governance system, enhancing the authority and capacities of the subnational level. Decentralization can also be expected to contribute to the key elements of good governance, such as increasing the opportunities for people to participate in economic, social decisions and politics, helping to develop people's capacities and increase government accountability, transparency and accountability. "(UNDP, September 1997: 4)
Decentralization from central to local level is based on three pillars: 1. Political decentralization which aims to give citizens more power in public decision-making. This support democratization, where citiziens have more influence and their representatives in government. 2. Administrative decentralization is the transfer of institutional authority in the establishment and functioning of institutions for the performance of local functions and the provision of services. 3. Fiscal decentralization is primarily linked to the creation of opportunities for the financing of supported functions or subsidized. 2.1 Fiscal decentralization as an instrument of local economic development Local economic development is a goal achieved through a strategy, which is a work plan for improving and increasing the climate of opening up new jobs through the development of enterprises and improving the quality of life. The basic proofs in favor of fiscal decentralization are (a) increase of economic efficiency through providing of better services and consequently have the advantages of proximity and information, and (b) the competitiveness and mobility of the population in local governments for the provision of public services will ensure proper matching of preferences between local communities and local governments.(Tiebout,1956) The Maastricht Treaty describes a guiding principle "Subsidiarity Principle" for defining responsibilities among EU members. This is also a basic principle for local governance underlying the European Charter of Local Self-Government. This Charter sets out the principles regarding to the protection of the boundaries of the local authority, existence of structures and administrative resources appropriate to the tasks of local authorities, conditions under which responsibilities at local level are exercised, financial resources of local authorities, legal protection of local selfgovernment. However the Charter does not provide an institutionalized system for controlling its implementation, in addition to requesting each country to submit all necessary information regarding legislative or other measures taken to comply with it. As described above, the institutional context of fiscal decentralization implies, above all, economic development, but there are also other different perspectives. 3.
Analysis of Decentralization Process in Albania
The Albanian Government after the adoption of the Constitution (1998) and the enforcement of the Law "On the ratification of the European Charter of Local Self-Government" (2000) began implementing the "National Strategy of Decentralization". The Strategy had been implemented in three phases a) the immediate phase - having short-term interventions; b) a one-year phase where there would be legal and preparatory initiatives for the forthcoming elections c) the stage of completing the authority and the scope of competences. This strategy was an expression of the vision, consensus and common interests of the country's economic and social prosperity affirmed by the Government, local government bodies and civil society organizations. This strategy was prepared by a broad consultation supported by USAID and was drafted under the support of two
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
political and technical structures such as National Decentralization Committee and the Decentralization Expert Group. The first step of this strategy was to change the legal basis that started with Organic Law 8652/2000 "On the Organization and Functioning of Local Government" and Law No. 8653 "On Administrative-Territorial Division". Despite achievements in the last decade, Albania is far below other Central and Eastern European countries. Actually in local government we have a very serious financial situation where few municipalities have managed to cover a very small part of the functions delegated by law, are in financial difficulty. In Albania there is no law on local finances consequently this function is mainly regulated by procedural laws such as the law on tax procedures, the law on the local tax system as well as the annual budget laws. There is a huge gap between the responsibilities of local units and financial resources. Local finances, grants and revenues are modest for capital investment programs as an essential part of the plans. There is a tendency to steadily increase the conditional grants, affecting or impairing the coefficient of local autonomy and making the LGUs vulnerable to policy assignment approaches of funds. In recent years, the Fiscal Autonomy Index has fallen as a result of the grant's increase compared with total income. As mentioned above, the lack of transparence, trends of corruption of local authorities regarding budget expenditures has deduct the confidence of citizens and businesses, consequently lower revenues from taxes and fees were achieved. According to legal considerations of fiscal decentralization we can assume as follows: • Defined the main terms of the budget and finances. • Rules / Methods / Ways to Ensure Transparency and Integrity of Local Public Finance. • The rules on special national taxes, including the specific taxes to be allocated, the percentage transferred to local government and the procedures for transferring funds to local finances. • Rules on unconditional transfers, including principles and formula for calculating and allocating them. • Rules on Local Government Borrowing. The topics on local government financial consolidation have often been part of the political debate between its various branches or between central and local government. However, the legal framework for financial resources of local government has followed in general the basic legal framework that has been drafted and adopted over the last decade and which determined the transfer of competencies and functions to local units. 3.1 Administrative Territorial Reform consideration on fiscal decentralization The previous organization of the territory in 374 units of local government (65 municipalities and 309 communes) has led to a situation where local units where far from the attention of central government as well as their public far from services in standard and required level. Eventhough fragmentation means an increased democracy representation which leads to a higher accountability to the public. The point is finding the necessary level of this fragmentation otherwise financial resources will not be enough and unable to implement various policies, a fact this that contradicts decentralization. According to several studies, efficiency of service delivery is a very important argument on the context for territorial and administrative reform . By this "restructuring", opportunity to provide a better distribution of funds creates the right distribution of investments about infrastructure, social care, education, water supply service, etc. A new territory compounded by larger units ensures less inequality in income of municipalities, so central government is less likely to compensate local government units. Administrative-territorial reform was approved by Law 115/2014 adopted on 31.07.2014 "On the administrative and territorial units of local government in the Republic of Albania". The aim of this reform is to boost the efficiency of local administration, enhancing the quality of service delivery, development of territory, more authority at the local level and participatory decision-making. By these means this reform provides a good framework for local economic development and the reduction of administrative problems. It is expected to enable the
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
effective use of funds through good management of funds, but also by tax administration and matching the needs with the financial resources. Territorial merger helps to reduce inconsistency between the areas where the services are provided. But reality comparing with theories diverges. Budget transfers has been and still is a very sensitive issue in Albania. It is a "hot potato" which politics holds from time to time and uses it to "cook" according to different political apetite of local units. In the name of cost reduction central government cuts transfers and funds but not always this makes economic climate very difficult for development. In other words finding, the main challenge is the reorganization of the territory through balancing efficiency and local democracy. Reform is in the first steps and needs further interventions especially in decisionmaking, community participation and reduction of corruption. 4.
Results and Conclusions Financial autonomy of local government is still a challenge. Government transfers have been changing over years. local incomes and taxes are still insufficient for local units as well as their capacity. The new organizative framework must consider new strategy for fiscal reform or review the legislation. There is an immediate need to increase the financial transfer from central government (unconditional grants) for local government. There is a need to review the law on local borrowing in order to increase autonomy of local government by reducing Central Gov. weight in narrowing Local Autonomy. The need for macroeconomic control should not pressure local autonomy, especially the fiscal one, and hamper the power of local government initiatives. Society , especially public positioned in local units, needs higher level of information regarding how their government is dealing with their concerns, how territorial changes are being implemented and more connection to the managerial levels responsible for them. Reducing the fragmentation of the territory does not lead to greater capability of self management and economic development. Fiscal decentralization should accompain way along this process in order to make the administrative and territorial changes more effective. Sub national governments should be supported to increase their ability for higher revenues and strengthen financial management. There is no discussion for local economic developement without real assigment of expenditure responsabilities, financial accountability and its monitoring.
References Law and Regulations Law “On organization and functioning of local government” (No. 8652, 2000) Law “On territorial- administrative division of local government units in Albania (No. 115, 2014) Law “On territorial- administrative division of local government units in Albania (No. 8653, 2000) Law “On the local budget” (No. 7776, 1993) amended Law “On Local Taxes” (No.9632,2006) amended Law “On Tax Procedures in the Republic of Albania” Law “ (No.9920,2008) Approved Decentralization Strategy in 2000 Journal References Bird Richard M., “Fiscal Decentralization in Developing Countries”, Cambridge University Press, 1998 C. Tiebout, “A Pure Theory of Local Expenditures,” Journal of Political Economy, Vol. 64, No. 4, 1956 European Charter of Local Self-Government, Strasbourg: Council of Europe CoE 1985 Grindle, S., M., “Decentralization, Democratization and the Promise of Good Governance.” New Jersey 2007. Lami R., “Formal decentralization of local governance in Albania”, ojs.journals.cz United Nations Development Programme, “Fiscal Decentralization in Transition Economies: Case Studies from the Balkans and Caucasus”, Bratislava, 2005
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
World Bank Study , Albania:” Fiscal Decentralization Study. Executive summary”, Report No.27885, February 2004 Web sources: www.ccre.org www.dldp.al www.europa.eu www.financatvendore.al www.gadc.org.al www.reformaterritoriale.al www.undp.org
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Intentions to Return: Evidence from Albanian Migrants in Italy Alkida Ndreka Phd Candidate, University of Tirana, Faculty of Social Science Albania Abstract th
At the end of 20 century, return migration became a pressing issue for governments, policymakers and communities. Not a recent phenomenon but often a neglected one by academics, return migration has received increased attention of international organizations and countries of origin linking it with their development and highlighting the role of returnees as actors of change. Albania has experienced migration flows for centuries, and in the last three decades Italy has been one of the main emigration destinations for Albanians. There are some studies about Albanians’ integration in Italy, but there is a lack of research to understand or explain what motivates them to consider returning or staying. This study considers the intentions for return of Albanian migrants in Italy, identifying and analyzing variables such as their self-assessed levels of integration, naturalization, length of stay, civil status, age and transnationalism among others. For this purpose quantitative data is collected through questionnaires filled out by Albanian migrants in Italy. The results of the research emphasize that the majority of respondents prefer to remain in Italy, regardless of other indicators that may influence them towards deciding to return. Keywords: Emigration, integration, return migration, intention, transnationalism
1.
Introduction
Return migration or the ‘movement of emigrants back to their homeland to resettle’ (Gmelch, 1980) is no more “the great unwritten chapter in the history of migration” (King, 2000). As an issue that impacts the political, economic, and social aspects of a country (Elizabeth, 2015), return migration has increased in its importance by being the focus of academics, international organization, host and home countries. Presented as a win-win-win situation (Sinatti, 2014), return migration affects the homeland, the receiving country and the migrant’s in different ways and scale. The impact on the homeland is via the transfer of new skills and competences, the increase of the overall human capital, the enhancement of productivity and employment (Zaiceva & Zimmermann, 2012) and the returnees themselves as actors for social change (Debnath, 2016). Return migration in Albania is still an unexplored phenomenon despite the long tradition of migratory flows. Emigration from Albania is an age-old phenomenon. Situated on the West of the Balkan Peninsula, Albania has been, during various historical periods, a labour sending region (de Zwager, Gedeshi, Germenji, & Nikas, 2005). During the 50 year communist regime, Albanians’ movement out of the country was very restricted. Only after the fall of the communist regime in 1990, were Albanians free to migrate in search for a better life. According to King and Vullnetari, the Albanian international emigration process after the 1990s consists of four main episodes: 1.The ‘Embassy Migrants’, Summer 1990; 2.The Main Mass Exodus, March and August 1991; 3.The Pyramid Crisis, Spring 1997, 4. The Kosovo Crisis, 1999 (King & Vullnetari, 2003). Each episode created a migration flow towards Europe and other regions. The primary destination countries for Albanian migrants were Greece and Italy due to their geographical and cultural proximity as well as the extensive exposure of Albanian society to their cultural influences (such as Italian TV) (IOM, 2008). During the first wave of emigrants, in March 1991: 25,000 migrants were accepted by the Italian authorities and were settled in various parts of the country (Vullnetari, 2007) and by 2001, the Albanians were the second largest community in Italy after Moroccans (Mai, 2010). The most recent migration flows started in 2014 and peaked in 2015 when Albanians left to
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
request asylum in different countries in Europe; mainly in Germany, followed by France, The Netherlands, Greece and the United Kingdom. According to the Albanian General Directorate for Border and Migration, the number of Albanian citizens requesting asylum in Germany in 2015 was 54,760, and the number decreased in 2016 to 17,230 (Albania‐ Migration Profile, 2016). The main reason for seeking asylum had been for economic reasons which led to a quite high number of cases refused by the host countries. There are different reasons why people migrate and why they return to their homeland. Migratory flows are composed even from people who in a specific moment of the migratory cycle intend to return. In Albania, a process of independent return migration began to take shape by the mid-1990s (de Zwager et al., 2005). The returnees were coming back from Greece and Italy, but the 1997 political and economic instability caused by the Pyramid Crisis halted the return migration process and prompted others to migrate. Voluntary sporadic returns have always occurred; a particularly important moment of return migration in recent Albanian history was after the World Economic Crisis of 2009, when Albanians migrants decided return to the homeland mostly because of unemployment in their host countries. These returnees were mainly from Greece and Italy, the two dominant countries in terms of Albanian emigration. According to INSTAT1, the number of returning Albanian migrants increased from 5000 in 2001 to 25,000 in 2011 (INSTAT, 2014). The most recent return migration flow, 2015-2016, was characterized by the return of many categories of migrants: economic migrants returning due to the crisis in Greece and Italy, voluntary returnees, return of irregular migrants and minors and the increased return of Albanians who requested asylum in Europe. According to the Albanian General Directorate for Border and Migration, the number of Albanian migrants returning to Albania in 2015 was 25,134 and in 2016 the number was 21,681 (Albania Migration Profile, 2016). This article aims to analyze the intentions to return of Albanian migrants in Italy, in order to understand if variables like age, gender, length of stay, naturalization, integration, civil status and transnationalism among others, affect their intentions of whether to stay in the host country or return back to Albania. The study takes into consideration their intentions to return and not their actual behavior. This study will answer questions like: Do Albanian migrants in Italy want to come back home? Does integration in Italian society affect their intentions to return? What reasons do Albanian migrants favor for coming back home or motivate them to stay in Italy? The paper is structured as follows: The next section discusses a brief review of the theoretical literature and studies on intention to return, methodology, followed by results, discussions and the conclusion of the survey. 2.
Literature Review
Different theories have been formulated to explain migrants’ return processes to their origin country. Cassarino framed return migration into five theoretical approaches: Neoclassical, The New Economics of Labour Migration theory, Structural, Transnationalism and Social Network theories. In the Neoclassical Theory, the return of migrants from the host country occurs as a consequence of their failed experiences abroad or because their human capital was not rewarded as expected (Cassarino, 2004), i.e., while “winners” settle, “losers” return (de Haas & Fokema, 2011). The New Economics of Labour Migration theory (NELM) considers return migration ‘as part of a defined plan conceived by migrants before their departure from their countries of origin’ (Thomas, 2008). According to NELM, this plan involves returning home after successfully achieving the goals or targets that migrants had set. The Structural Theory argues that return is not only related to the personal experience of the migrant, it is also a question of context (Cassarino, 2004), emphasizing the importance of the home country socio-economic and political context as important factors that affect the ability of returning migrants to utilize the skills they acquired abroad (Thomas, 2008). The opportunities in the origin country affect the migrant’s capacity to invest the experience gained abroad. 1
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The Transnationalism approach focuses on a better understanding of the strong social and economic links between migrants’ host and origin countries (Cassarino, 2004). Transportation and communication having become infinitively more accessible and affordable (Lima, 2010) are key catalysts for transnationalism; making it easier for immigrants to forge and sustain multi-stranded social relations (Basch et al., 1994) that bond them with their societies of origin, helping maintain their strong connections with home and at the same time feeling integrated in the host society. The Transnational approach does not perceive return migration as the end of the migratory cycle a stage within it. Return takes place once enough resources, whether financial or informational, have been gathered and when conditions at home are viewed as being favourable enough (Cassarino, 2004). According to transnationalism, returnees prepare their reintegration at home through periodic and regular visits to their origin countries (Snel, Faber, & Engbersen, 2015) while remittances and investments in the origin country contribute to the realization of the return project (Premazzi, Ambrosetti, Cela, & Fokkema, 2013). Just like the Transnational approach, Social Network Theory views returnees as migrants who maintain strong linkages with their former places of settlement in other countries (Cassarino, 2004). The returned migrants are seen as social actors involved in “multiple relational ramifications’ (King, 2017). Social networks created and shaped during the migration period are beneficial in the origin country by enriching migrants with resources and information. Similar to the Transnational approach, Social Network Theory does not consider return migration as the end of migratory process. Many studies have focused on the factors that may contribute to the intentions to return by migrants. Scholars have studied return intentions to isolate factors involved in migrants’ decision to go back to their origin countries. Among them, the most analyzed are age, gender, time spent in the host country, levels of education, social network, family relations, and the impact of socio-cultural and economic integration of migrants in the host country. As shown below, some of their findings are not congruent with each other and in some cases even contradictory. On gender, scholars are divided on the role gender plays in expressing an intention to return. Some concluded that men’s intention to return is lower than that of women’s (64% lower) (Carrertero, Garcia, & Martinez, 2008); while others state that gender is not a factor in the intention to return (Chabé-Ferret, Machado, & Wahba, 2016). On the duration of migration, scholars have found that it significantly influences migrants’ return intentions, the longer migrants have lived in their host country, the more likely their intention to stay (di Belgiojoso, 2016; de Coulon & Wolff, 2010). Other studies have found that the level of education does not significantly affect the intentions to return (Pungas et al., 2011; Roman and Goschin, 2012). Some scholars have linked return intentions to home investment, pointing out that return intentions increase the probability to invest in the origin country (Chabé-Ferret et al., 2016; Agyeman & Fernández, 2015). Scholars have also studied the relationship between economic variables and intention to return; Güngör and Tansel (2007) found that return intentions are weaker for those working in an academic environment, compared to non-academics; similar findings were presented by Pohl (2006). While Coniglio, De Arcangelis and Serlenga (2009) studying illegal immigrants found that the highly skilled among them were more likely intending to return. Gaul´e (2013) observed the decision of academic scientists of 1,460 foreign faculty in research-intensive U.S. universities during an average 10-year period and reported that only 7% of individuals of the sample returned to their home country. Scholars have also studied the intentions to return of foreign students. These studies aimed to identify the foreign students’ intentions to leave the host country after their study period. Paile and Fatoki (2014) found that the majority of international students intend to go back home after their education in South Africa. Similar findings about students’ intentions to return were found by Dziwornu, Yakar and Termuçin (2016), while opposite findings are presented in the study by Cheung and Xu (2015) which confirms a low return rate of Chinese students studying overseas. Jan-Jan Soon (2008) found that having decided to return back home prior to migrating to a host country has the greatest positive impact on a student’s current return intention. Integration in the host country is another important element studied in the decisions for
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
migrants to return to their country of origin; de Haas and Fokkema (2011) concluded that there is an unequivocal negative correlation between socio-cultural integration and return intentions. The higher their level of socio-cultural integration, the less likely the migrants were to express a return intention. Similar conclusions were found by other authors (Snel et al., 2015; De Haas, Fokkema, & Fihri, 2015; Bilgili & Siegel, 2014) while contrary findings were presented by Anniste and Tammaru (2014) in studying Estonian migrants in Finland. There is no obvious negative relationship between integration and return migration, but ethnicity is found to be one of the most important personal characteristics predicting return migration from Finland to Estonia. According to Carling and Pettersen (2014) the highest likelihood of return intentions is found among people who are both weakly integrated and strongly transnational. A number of studies have explored the role of family and social ties in determining migrants’ intentions to return. Batista and Cestari (2016) found out that the migrant’s social network in the home country is a stronger factor than the network in the host country. Premazzi et al., (2013) while studying the intention to return of Egyptian migrants in Italy, concluded that first-generation male migrants with aging parents and only sisters at home have stronger return intentions. Dustman (2003) studied the effect of children in their parents’ intention and how a female or male child differently affects the intention to return home. While concerns of parents about future economic career and prosperity in the host country may be dominant for male children, they more likely evaluate the future of a female child in the home country as more advantageous. 3.
Research Methods and Data
This paper is based on answers from a questionnaire filled by 101 Albanian migrants living in Italy. The data was collected during a two-month period, November to December 2017. Due to the lack of a database of Albanian migrants in Italy and difficulties in identifying the respondents of the survey through other means, this paper generates its data through a web-based questionnaire survey using snowball, a non-probability sampling method. Snowball sampling starts by identifying a few respondents that match the criteria for inclusion in the study, and then asks them to recommend others they know who also meet the selection criteria (Bhattacherjee, 2012). The criteria included Albanians over the age of 18 who currently have over one year living in Italy. More than 300 Albanian migrants in Italy were contacted through friends, family and kinship in Albania and through other migrants in Italy via social networking sites, mail, telephone and were asked to fill out the online questionnaire. The respondents are informed that the data and personal information are confidential and subject to the ethical principles of social research. Of all contacted, 101 adult respondents filled out the questionnaire. Use of an online survey has its advantages like minimal cost and effort, plus the respondent can decide when to fill it out at their own convenience, but this approach also has its limitations. Not everyone has internet and filling out an online questionnaire may be especially difficult for older people. The questionnaire was divided into four sections: 1. Socio-demographic information; 2. Integration in Italy; 3. Transnationalism; 4. Intention to return and future plans. Respondents represent a diverse sampling in their civil status, education, employment status, and employment sectors. The majority of the respondents (84%) were between the ages of 18 and 35, 53.5% were within their prime productive years, with 59% of respondents being female. 60% of respondents have finished high school with 32% having finished college. 70% of the respondents are employed; most respondents work in construction, food service, shops, cleaning services, manufacturing while a minority of them are professionals (lawyer, dental lab assistant, economist). 14% of respondents are not active in the labour market (5% were unemployed, while 9% take care of the household). The majority of respondents (52.6%) are married, and among them 13% have an Italian spouse. Albanian migrants have settled in different areas in Italy: Florence, Ferrara, Bolzano, Brescia, Bologna, Genoa, Milan, Pordenone, Parma, Padua, Pisa, Venice, Pescara etc. 26% of respondents have lived in Italy 11-15 years.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Discussions and Results
4.1 Why did Albanians migrate? In today’s world, international migration is a commonplace occurrence; becoming a reality that touches every nation at different scales. Globalization, technology and modern transportation have facilitated the crossing of states and allowing people to travel more easily, cheaper and faster. The lack of jobs, conflict, poverty, environmental degradation, searching for new opportunities among other reasons have motivated people to look for a better life somewhere else, near or far. Referring to the data collected, 60.4% of Albanians migrated to Italy for better opportunities via family reunification, study and economic reasons. 19.8% of respondents left Albania for family reunification, 13.86% to study and 25.75% for economic reasons and a better life. Economic reasons are one of the main drivers for migration, as such it has been a key component of Albanian migration. Lack of jobs and poverty levels in Albania, family reunification led to migration to Italy, with hopes that they would find a better life. 4.2 Integration of Albanian migrants in Italian society Integration is long-term (Huddleston et al., 2013), viewed as a process of inclusion and acceptance of immigrants in the main institutions, relations and positions in the host society (Institute for Migration and Ethnic Studies, 2016). Integration affects the migrants’ socio-economic and psychological well-being. Bonifazi, Okolski, Schoorl, & Simon (2008) identified three different levels of integration in the host country: 1. individual immigrant level accomplished through housing, work, education, and socio-cultural adjustment to the new society and participation in it; 2. collective level for an immigrant group or groups through participating in migrant organizations; and 3. institutional level, both at a local and national level. Thus, integration processes occur in different levels, and with varying degrees of difficulty for the migrant to adapt to the new society. As such, support from social networks and migration policies are needed to facilitate integration; while racism and xenophobia are major obstacles to any integration effort, as they produce a context of insecurity, isolation and hostility (Rudiger & Spencer, 2003). Data from the survey shows that 38.6% of respondents express that they feel fully integrated in Italian society. The data suggests a positive relation between the years lived in Italy with the levels of self-assessed integration. Studying socio-cultural integration of migrants in the Italian society, the migrants are asked if they participate in socio-cultural activities in their community and what kind of activities. 68% of respondents participate in socio-cultural activities, while the rest state that they do not. 46% of respondents not engaged in socio-cultural activities identify lack of time as the reason why they do not participate while 29% because they work or have more than one job. 16.6% do not participate because they do not like to be part of these activities. When asked about Italian lifestyle, 93.1% of respondents express their positive opinion about it. The socio-cultural activities in their communities that respondents participate in are organized by children's schools or kindergarten, work, churches, their local municipality or other Albanian migrants in their region and Italian friends. The activities are diverse and include sports, charity and churches activities, fairs, family parties, school performances, and concerts among others. 4.3 Transnationalism among Albanian migrants in Italy Transnational activities that bond immigrants with their places of origin have an economic, political and socio-cultural nature. Economic transnational activities include business investments in the home countries and monetary remittances. The latter being the most important positive direct economic effect for an emigration country (Nikas & Baklavas, 2009). Political transnational activities include retaining membership in political parties in one’s country of origin and voting in its elections. Socio-cultural transnational activities include the exchange of ideas, practices, norms, identities (Levitt & Jaworsky, 2007) and meanings between the host and origin countries (Lima, 2010). This study considers three elements in analyzing transnationalism: i) communication and its
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
frequency with family and friends; ii) visits to Albania and frequency of visits; and iii) remittances and their knowledge of how they are spent. Data from the questionnaires shows that 95% of the respondents maintain communication with family and friends in Albania. 95% of respondents express that they have visited Albania during their migratory cycle in Italy. Of those who have visited Albania, 43.75% have visited Albania once a year, while 38.54% have visited Albania 2 or more times a year. The remittances data shows that 40.59% stated they send funds to their family and relatives. The funds are used for everyday living like buying food, medicine, clothes, economical support due to the unemployment in Albania, supporting the family business in Albania or as gift to family or relatives. 4.4 Return intentions and return reasons in Albania: Coming back home? Migrants are not all alike, motives that promote migration are different as the personal experiences of each migrant in the host society. During the migratory cycle, migrants may decide to return home or stay in their host country. This decision may be influenced by both positive and negative factors. Negative factors may include: homesickness, lack of adaptation within the host society, higher preferences for consumption in the home country (Dustmann & Weiss, 2007), serious illness, fear of family breakdown, fear of divorce, or the death of a relative caring for young children (Carling et al., 2015), while positive conditions in the country of origin, for instance social, economic or political transformations (Gropas et al., 2014) among others may motivate migrants to consider returning to the homeland. This section will analyze and discuss the correlations between different variables and intentions to return. Data shows that 73% of respondents state that they do not intend to come back to Albania. Among the reasons provided for not intending to return to Albania are: i) better quality of life in Italy than in Albania; ii) better employment, career and wage opportunities in Italy; iii) having established a life with family in Italy and better future for the children); iv) health care services are worse in Albania; v) political situations in Albania intervenes; vi) cultural mentality of Albanian society; vii) feeling of not belonging in Albania anymore; viii) not having a future in Albania; ix) being fully integrated in Italian society. Among the reasons why Albanian migrants intend to return to Albania are i) family and parents living in Albania; ii) homesickness and a desire to help develop Albania; iii) to open a business; iv) for retirement. Regardless of gender the majority of respondents stated that they do not want to return back, women have expressed a lower desire to return (24%) than males. The results were uniform across age groups with over 64% intending to remain in Italy; except for the eldest group with all participants stating that they wanted to return to Albania. Comparing the educational levels of respondents and their intentions to return, survey respondents with primary, secondary and bachelor levels of education stated in their majority (64% or higher in each group) their intentions to remain in Italy; while those with a Masters or PhD stated in 100% of the cases their desire to remain in Italy. Considering the years lived in Italy and intentions to return, the data shows that most respondents’ intentions to return are low (between 17% and 38%), despite the duration of their stay in Italy; except for the group of respondents living in Italy between 3-5 years who state higher intentions to return (54%). Analyzing the data from those currently studying in University and their intentions to return after their study period, the data shows that 73% of students do not intend to return. Most theories on migrant integration or assimilation suggest that the longer migrants stay, the more they become integrated in receiving societies, the more difficult it becomes to return in practice, and the more they are inclined to settle (de Haas & Fokkema, 2011). Analyzing the selfassessed levels of integration and intentions to return of Albanians migrants in Italy, the data shows that Albanian migrants whose self-assessed levels of integration is lowest, have very low intentions to return. Even the Albanian migrants, whose self-assessed levels of integration was highest, expressed low intentions to return. The data does not contradict the suggestion that the higher the level of integration of the migrant, the less likely he/she wants to leave the host country. The transnational factors in the survey include: communication, visits and remittances. In each of them, one can gauge a higher or lower level of transnationalism by the engagement and
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
frequency of each of them. Regardless of the level of transnationalism in each factor, the overwhelming majority of respondents intend to remain in Italy. Cross-tabulating the transnational factors with higher engagement and frequency we find: a) 67% of respondents with high level of communication with family and friends in Albania intend to stay in Italy, b) 71% of respondents who have visited Albania intend to stay in Italy, and c) 59% of respondents who send remittances back home intend to stay in Italy. The data suggests that transnationalism does not play a critical role in migrants’ intentions to return. 5.
Conclusion
This study analyzed the intentions to return of Albanian migrants in Italy, the findings are summarized as follows: First, women have expressed a lower desire to return than males, all eldest migrants state that they want to return to Albania, education does not have an obvious effect on the intentions to return, regardless of their years living in Italy the respondents’ intentions to return are low. Second, Albanian migrants feel integrated in Italian society and the data suggests a positive relation between the years lived in Italy with the levels of self-assessed integration. They participate in socio-cultural activities in their communities. The data does not contradict the suggestion that the higher the level of integration of the migrant the less likely he/she wants to leave the host country. Third, Albanian migrants have strong relationships with their family and friends in their home country and send remittances which are used for everyday living. The majority of them visit Albania once a year. Even though Albanian migrants have strong bonds with their home country, transnationalism does not play a critical role in migrants’ intentions to return. Fourth, Albanian migrants do not intend to return to Albania because they have found in Italy the socio-economic conditions which Albania cannot yet provide. Taking into consideration the lower quality of life in Albania, lack of jobs and lower wages and perceiving Albania as a country where “you have no future”, Albanian migrants do not consider coming back home. Socio-economic conditions in Albania play an important role in intentions to return of Albanian migrants in Italy. References Lima, A. (2010). Transnationalism: A New Mode of Immigrant Integration, The Mauricio Gastón Institute, University of Massachusetts Boston. 2.Cassarino, J.P.(2004). Theorising Return Migration: The Conceptual Approach to Return Migrants Revisited. Vullnetari, J.(2007). Albanian migration and development: state of the art review, Working Paper No. 18, IMISCOE Working Paper. Mai, N. (2010). Albanian Migration to Italy: towards differential circularization?, METOIKOS Project, ISET London Metropolitan University. Debnath, P.(2016). Leveraging Return Migration for Development: The Role of Countries of Origin. A Literature Review, Global Knowledge Partnership on Migration and Development, Knomad working paper 17 Migration Profile, Republic of Albania, 2016 Elizabeth, B. (2015). "A Comparative Analysis of Return Migration Policy: Germany, Russia, Kazakhstan" HIM 1990-2015. 610. http://stars.library.ucf.edu/honorstheses1990-2015/610 De Zwager, N., Gedeshi, I., Germenji, E., & Nikas, C. (2005).Competing for Remittances, report prepared for IOM Tirana and funded by the CARDS programme of the European Union. Zaiceva, A., Zimmermann, F. K. (2012). Returning Home at Times of Trouble? Return Migration of EU Enlargement. Migrants during the Crisis, Discussion Paper No. 7111, IZA DP No. 7111(The Institute for the Study of Labor). 10.Thomas, J. A. K. (2008).“Return Migration in Africa and the Relationship between Educational Attainment and Labour Market Success: Evidence from Uganda.” International Migration Review 42 (3):652-674. Pungas, E., Toomet, O., Tammaru, T., Anniste, K.(2011). Are Better Educated Migrants Returning? Evidence from Multi-Dimensional Education Data, NORFACE MIGRATION Discussion Paper No. 2012-18. Jan Soon, J. (2008). The determinants of international students’ return intention, Economics Discussion Papers, No. 0806. Paile, P., Fatoki, O. (2014). The Determinants of Return and Non-return Intentions of International Students in South Africa, Int J Edu Sci, 6(3): 369-373.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Dziwornu, M.G., Yakar, M., Termuçin, K. (2016). Migration Intentions of International Students in Turkey: A Case Study of African Students at Süleyman Demirel University, SDU Faculty of Arts and Sciences Journal of Social Sciences, August, No: 38, pp. 227-249. Batista, C, Cestari, F.(2016). Migrant Intentions to Return: The Role of Migrant Social Networks, Working Paper No 1602. Premazzi,V., Ambrosetti, E., Cela, E., Fokkema,T. (2013). The Arab Spring and the Return Intention of Egyptians Living in Italy, volume 6 | 2013 | number 2 | 109–131. Snel, E., Faber, M., & Engbersen, G.B.M. (2015). To Stay or Return? Explaining Return Intentions of Central and Eastern European Labour Migrants. Central and Eastern European Migration Review, 4(2), 5–24. Retrieved from http://hdl.handle.net/1765/80052 Bonifazi, B., Okolski, M., Schoorl, J & Simon, P (Eds). (2008). International Migration in Europe New Trends and New Methods of Analysis. Amsterdam University Press, IMISCOE Research. 19.Gropas, R., Triandafyllidou, A., & Bartolini, L. (2014). Conceptualising the integration transnationalism nexus. ITHACA Report. Carretero, C.R., Garcia, M.F., & Martinez, C.V.(2018). Immigrants’ Legal Status and Return Intentions: The Case of the Madrid Region, Migraciones Internacionales, Vol. 10, Núm. 1, Enero-Junio De 2018. Sinatti, G. (2014): Return migration as a win-win-win scenario? Visions of return among Senegalese migrants, the state of origin and receiving countries. Ethnic and Racial Studies. DOI: 10.1080/01419870.2013.868016 Migracioni në Shqipëri. (2014) INSTAT Migration Profile 2016 (2017). Republic of Albania. Roman, M., Goschin, Z. (2012). Thematic Articles-Challenges of Immigration: Between adaptation and returning home? Romanian Immigrants Worldwide: What makes them return home?Journal of Identity and Migration Studies Volume 6, number 2, 2012. 25.Coniglio, N., De Arcangelis, G., & Serlenga, L. (2009). Intentions to Return of Clandestine Migrants: The Perverse Effect of Illegality on Skills. Review of Development Economics, 13(4), 641-657. De Haas, H., Fokkema, T., & Fihri, M. F. (2015). Return Migration as Failure or Success? The Determinants of Return Migration Intentions Among Moroccan Migrants in Europe. Journal of International Migration and Integration, 16(2), 415-429. Retrieved from https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4486414/ Bilgili, Ö., & Siegel, M. (2014).To Return Permanently or to Return Temporarily? Explaining Migrants’ Intentions. UNU‐MERIT. Working Paper Series. Agyeman, E.D., & Fernández, M. (2015). Connecting Return Intentions and Home Investment: the Case of Ghanaian Migrants in Southern Europe, Garcia Journal of International Migration and Integration. DOI 10.1007/s12134-015-0432-2 Chabé-Ferret, B., Machado, J & Wahba, J. (2016). Return Plans and Migrants’ Behavior, Discussion Paper 2016-16 di Belgiojoso, E.B.(2016). Intentions on desired length of stay among immigrants in Italy, Genus Journal of Population Sciences, https://doi.org/10.1186/s41118-016-0006-y de Coulon, A., & Wolff, F.C. (2010). Location intentions of immigrants at retirement: stay/return or go ‘back and forth’? Applied Economics, 2010, 42, 3319–3333, Carling, J, & Pettersen, S.V.(2014). Return Migration Intentions in the Integration–Transnationalism Matrix. International Migration Vol. 52 (6) 2014.doi: 10.1111/imig.12161 Basch, L., Schiller, N.G., & Szanton Blanc, C. (1994). Nations Unbound: Transnational Projects, Postcolonial Predicaments, and Deterritorialized Nation-States. Taylor & Francis. Levitt, P., & Jaworsky, B. N. (2007). Transnational Migration studies: Past Development and Future Trends, Forthcoming. Gmelch, G. (1980). Return Migration. Annual Review of Anthropology.Vol. 9 pp. 135-159. Nikas, C.,& Baklavas,G. (2009). Savings and remitting attitudes of Albanian emigrants – an exploratory data analysis, Southeast European and Black Sea Studies Vol. 9, No. 4, 481–495. Carling, J., Bolognani, M., Bivand Erdal, M., Tordhol Ezzati, R., Erlend Paasche,C.O., Vatne Pettersen, S., & Heggli Sagmo, T. (2015).“Possibilities and Realities of Return Migration”, Peace Research Institute Oslo (PRIO). Rudiger, A., & Spencer, S. (2003). Social integration of migrants and ethnic minorities. Polities to combat discrimination. Conference Jointly organized by The European Commission and the OECD Brussels. Huddleston,T., Niessen, J., & Dag Tjaden, J.(2013). Using EU Indicators of Immigrant Integration, Final Report for Directorate. General for Home Affairs, European Commission. Dustmann, C., & Weiss, J. (2007). Return Migration: Theory and Empirical Evidence from the UK. British Journal of Industrial Relations 45:2 June 2007 0007–1080 pp. 236–256.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Albania's Challenges to European Aspiration, Bringing the Justice System to Justice Jeton Xhaferi PhD Candidate, Department of Strategy and Security, Albanian Defense Academy Abstract Albania has always aspired to be part of the European family and for this purpose has constantly experienced different challenges. EU has monitored Albanian progress and in each case has provided its recommendations. Since the signature of the Stabilization and Association Agreement, one of the main challenges that Albania had to face was justice reform and fight against corruption and organized crime, which of course were closely related to each other. A great number of international organizations have been present in Albania, providing expertise and support to achieve the integration key priorities among which one of the most important was the justice system. However corruption and incompetence were very spread among prosecutors and judges. Consequently, following the insistence of international actors as well as the increased awareness of local actors, it was concluded that a deep reform in justice was necessary, which would finally clear justice system and would enable it to perform its task of doing justice. As rare as ever, with the unanimous vote of all Albanian parliamentarians, the constitutional changes were approved and additional laws for the reform in justice were adopted too. This legal package initially included asset assessment, a background assessment and a proficiency assessment and then the regulation of the procedure of appointment, disciplinary measures and control during the assignment, and the verification of complaints, for each judge and prosecutor in Albania. This reform is expected to open Albanian road toward EU integration. Keywords: European Integration, aspiration, key priorities, justice reform, corruption
1.
Introduction
From the first democratic elections in 1991, Albania has faced a transition period to change its economy, political system, organization and also its mentality, from a dictatorial regime toward a democratic system, thus it has experienced a great number of difficult challenges in order to achieve its aspirations. Of course, due to its geographical position, the main target was to become part of the European Union. Since many years now, political leaders often have declared that the main aspiration was the integration into EU structures. Also Albanians had and still have the same aspiration, often merely following the politicians and often for their economic reasons, human rights and rule of law and any other democratic principles. On the other side also the European Community has had the scope to involve Albania in the big Euro-Atlantic family. A significant number of requirements, tasks, obligations and targets have been continuously addressed to Albania. The European Council met in Santa Maria da Feira on 19 and 20 June 2000 and decided that for the Mediterranean Region, where Albania is part of, a Common Strategy of the European Union was necessary. Then, at the Zagreb Summit, held on 24 November 2000, was confirmed that the Stabilization and Association Process was the road that led to the EU membership, which different from regional cooperation agreements policies, it offered better contractual relations with the EU. The Stabilization and Association Process, which was designed in the first year of CARDS program, was firstly recommended for Albania in 2001 and was adopted in October 2002, and in January 2003 the negotiations for a SAA between the EU and Albania were officially launched. In the Albania Stabilization and Association Report 2003 it was highlighted that despite the efforts of Albanian government, there were still too many fields to be improved in order to become
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
part of that Agreement. More specifically this report outlined the priority areas needing attention in Albania, among which were mentioned: • Full commitment and determined action by the Government to combat organized crime, with concrete initiatives, properly coordinated with international partners, and tangible results. • Full implementation of the 2002-2003 anti-corruption plans. Increased institutional capacity to investigate and prosecute corruption. Adoption of effective measures against bribery. • Increased capacity and improved functioning of the Judiciary and other law enforcement bodies. • Further progress in enforcement of court rulings. Ensuring the independence of the judicial system. (Albania Stabilization and Association Report 2003) In the following year the Stabilization and Association Report outlined that Albania was undertaking some initiatives regarding the main key areas however; • the rule of law in Albania remained deficient; • Albanian law enforcement entities did not yet guarantee international standards in domestic law enforcement; • corruption and organized crime continued to be serious threats to the country progress; • judicial system remained weak; • professional capacities of judges, prosecutors, judicial police and administrative staff remain limited; During 2004, in Albania were held five Consultative Task Force meetings, having as main targets the key European priorities such as fighting organized crime, parliamentary elections, human and minority rights, compensation of land, freedom of media, migration, human trafficking victims, education reform etc. As a result, Albania made several improvements on legislation and procedures related with above mentioned issues.( Albania 2005 Progress Report, 9 November 2005). After EU persistence and government’s efforts, the Albania Progress Report 2005 outlined that despite of having a lot of work ahead Albania has made some progress towards meeting European standards. There were some improvements, inter alia, in the fight against organized crime and terrorism, adopting a targeted package of laws, in the implementation of the specific action-oriented measures against organized crime, the police intelligence analysis has improved, initial implementing legislation on an agency for the confiscation of assets has been approved, etc. (Albania 2005 Progress Report, 9 November 2005). After this progress in some key sectors, Albania signed the Stabilization and Association Agreement (SAA) with the EU on 12 June 2006 which provided a framework of mutual commitments on a wide range of political, trade and economic issues. Still the Albanian European aspiration had a lot of “home works” to be delivered on time, a process which continued until April 2009 when the SAA entered into force. It seemed like the first phase was accomplished and the European aspiration was closer. Having this approach, on 28 April 2009, Albania presented its application for membership of the European Union. Following a request by the Council, the Commission submitted its Opinion on Albania’s application in November 2010. In December 2010, the Council endorsed the Commission Opinion’s recommendations. In its conclusions, the Council noted that the opening of accession negotiations would be considered by the European Council, in line with the established practice, once the Commission had assessed that the country had achieved the necessary degree of compliance with the membership criteria and, in particular, had met the key priorities set out in the Commission’s Opinion. (Albania 2011 Progress Report, 12.10.2011) It seemed that Albania was not fully meeting the key priorities set by the EU. Some modest progress was made as regarded Parliament proceedings, the development of election process, public administration reform, the government’s policies to fight corruption, the issue of incrimination and political party financing, and was reported limited progress in relation to the judicial reform, the professionalism of the judiciary, the evaluation system for judges etc. During the following two years Albanian government tried to fulfill, somewhere partially and
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
somewhere fully, the priorities set by the EU Commission. In October 2012, the Commission recommended that Albania be granted EU candidate status, subject to completion of key measures in the areas of judicial and public administration reform and revision of the parliamentary rules of procedures. Based on the legal amendments and improvements of several political and legal aspects, on 23 June 2014, under the Greek EU Presidency, the Council of the European Union agreed to grant Albania the candidate status, which a few days later was endorsed by the European Council. (European Neighborhood Policy And Enlargement Negotiations, 2016 ). Referring to Albania Progress Report 2014, the European Commission stated: Albania has made progress over the past year. Further steps were taken towards the reform of the judiciary. The government has shown political will to act decisively in the prevention and fight against corruption. The legislative framework was strengthened and policy coordination and monitoring at central level improved. The fight against organized crime shows a positive trend in a number of areas, with an intensification of law enforcement activities, notably on drug seizures and drug-related crimes, and on economic crime and trafficking of human beings. However, many shortcomings remained, in particular in the rule of law field. Much work lies ahead. Fighting corruption and organized crime are significant challenges (Albania 2014 Progress Report, October 2014). After a long and ongoing perseverance from European Community and after the continuous pressure from EU and from US representatives, Albania was at a decisive moment for its future. Of course as it was mentioned above, one of the European Integration key priorities was the Justice Reform and corruption within the judiciary system. 2.
Was Justice Reform Really Necessary in Albania?
Definitely Yes! Reports and surveys, carried out from international and local organizations, revealed that Albanians had no trust in the Justice system. Moreover, judges and prosecutors themselves expressed that corruption and incompetence existed within the system. Lack of professionalism, integrity and accountability, was very spread and thus dysfunction, power abuse, inequality in front of law and lack of transparency were observed in the justice system. Several factors have had an impact on the aggravated state of our justice system. Among them can be mentioned the widespread phenomenon of corruption. For the sake of the truth, corruption was spread also in other sectors of public administration but of course in the justice system it was much more harmful. In criminal cases corruption led to non-prosecution and nonpunishment of criminals who continued their activity being convinced that having some “cash” on hands they could either escape imprisonment or get the minimum possible sentence for that crime. In civil cases, corruption led to assets and properties loss of legitimate owners and gave rise to the concept that “there was no right in front of rich people”. Another important factor was the weak legislation, which was imported from abroad or was adopted according to a non-professional opinion and which brought contradictions between provisions. That contradiction gave the possibility to both prosecutors and judges to use the provision which suited them better for each specific case. As a result, due to incompetence and/or corruption, prosecutors and judges, on similar cases had different decisions. Justice Reform was very necessary to make radical changes to the legislation and especially to the professional behavior of justice system’s actors, their mentality, the procedure of their selection and also the punishments against them. This reform should provide an efficient justice system with European Standards. In this way citizens would be satisfied with the rule of law, fight against corruption and organized crime would be more effective and of course it would fulfill one of the EU key priorities. Among many declarations and opinions regarding the importance of Justice Reform in Albania, the British Ambassador to Albania, H.E Nicholas Cannon OBE, in his speech during public consultation forum on the judicial reform, outlined: “The European Commission has identified corruption in the judiciary as the No 1 obstacle to progress towards Albanian accession to the European Union. Without judicial reform, the accession process will be blocked indefinitely. There is no way that any Member State, however sympathetic to Albania’s European aspirations, could
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
support serious progress on accession with an unreformed judiciary” (Nicholas Cannon OBE speech, 13 July 2015). On 23 October 2015, MEP Mr. Knut Fleckenstein, rapporteur for Albania in the European Parliament, stated that the adoption of Justice Reform and start of its implementation would open the road to start membership negotiations. “The judiciary reform is probably the most ambitious and most important reform that Albania has seen during the last 25 years” (MEP Mr. Knut Fleckenstein, 23 October 2015 ) OSCE presence in Albania, regarding the Judicial System in Albania, on 8 June 2015 highlighted “This is a milestone in democratic reform; Corruption is one of the main impediments to progress in Albania; A judicial system for a just society, in which all citizens – from the most vulnerable to the most powerful – are accountable for their actions and can receive justice.”( OSCE Presence in Albania, 8 June 2015 ). At local level: the Special Parliamentary Commission on Justice Sector Reform, the High Levels Expert Group, in June 2015 analyzed the Albanian Justice System and, inter alia, highlighted that based on the general public opinion there were doubts that prosecutors and judges, through bribery were assigned to preferred job positions; judiciary police through bribery destroyed evidences; prosecutors through bribery closed criminal cases and judges who exceeded legal deadlines while waiting for bribery. Another worrying situation was also the low professional level of justice system key actors, resulting from the legal education which did not provide the right level of formation regarding their legal rights and obligations. After this analyze, the unanimous idea of the Albanian political class that the Justice system had serious problems and needed to be reformed gave hope to Albanians. ( Komisioni i posaçëm parlamentar për reformën në sistemin e drejtësisë, june 2015 ). International actors, on the other side, continued their pressure by highlighting the importance of Justice Reform. They had been present in Albania to enable this reform, providing financial support and high level expertise. Some of the key international actors, being present in Albania through several years, relating also to the Justice Reform and Law enforcement, are mentioned as follows: • Since 2003, the OSCE Presence in Albania has assisted the Albanian authorities in its justice reform efforts, inter alia, by assessing whether court proceedings are in compliance with international fair trial standards. • There are two programs sponsored by US Department of Justice. OPDAT, the Overseas Prosecutorial Development, Assistance and Training Program, with the main scope to assist the Albanian Government to develop criminal justice and law enforcement structures, with particular emphasis on public corruption, organized crime and human trafficking and ICITAP, International Criminal Investigative Training Assistance Program, which since 1998 has assisted the Albanian Government to develop the capacity to provide professional law enforcement services based on best policing practices, respect for human rights and the rule of law. • In 2001 Albania joined GRECO, the Group of States against Corruption, established in 1999 by the Council of Europe to monitor States compliance with the organization’s anticorruption standards, being subject to evaluation in the framework of its Evaluation Rounds in April 2002, October 2004 and November 2008. • The PAMECA projects have started in 2002 and have operated in the framework of the assistance that the EU has given to Albania in the area of law enforcement and security and public order. • The Instrument for Pre-accession Assistance (IPA) is the means by which the EU supports reforms in the 'enlargement countries' with financial and technical help. The IPA funds build up the capacities of the countries throughout the accession process, resulting in progressive, positive developments in the region, having as a priority sectors, inter alia, Rule of law & fundamental rights (Independent, efficient judiciary; helping police fight organized crime; tackling corruption; respecting human rights conventions). • The Programme: “Increase the efficiency of the Albanian justice system, in line with European standards” under European Commission for the Efficiency of Justice (CEPEJ), 394
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
which officially started in Albanian with the first visit of CEPEJ experts and members of the Secretariat, on 27 January 2014, had the overall objective to improve the efficiency and the quality of the public service of justice delivered to the Albanian citizens by the court system in accordance with European standards. • The PHARE programme is one of the three pre-accession instruments financed by the European Union to assist the applicant countries of Central and Eastern Europe in their preparations for joining the European Union. Until 2000, Albania together with Western Balkans countries was beneficiaries of PHARE. However, as of 2001 the CARDS programme (Community Assistance for Reconstruction, Development and Stability in the Balkans) has provided financial assistance to these countries. • The CARDS programme, (Community Assistance for Reconstruction, Development and Stabilization), is the EU’s main instrument of financial assistance to the Western Balkans, including Albania. Created in 2000 and became operative in 2001, it is the main financial instrument of EU's Stabilization and Association process (SAP). • To consolidate the justice in Albania and to strength the transparency, efficiency and the public trust in the Albanian justice system, the EU funded the EURALIUS project, with its missions EURALIUS I (June 2005- November 2007), EURALIUS II 2007-2010, EURALIUS III September 2010 – June 2013. The current EURALIUS IV mission (2014-2017) having as the main objective to assist the Albanian justice institutions to bring their enactment closer to the EU standards. With the view to harmonize the current national practices with Council of Europe and European standards, the above mentioned organizations/programs, with the presence of international experts, have continuously developed events, meetings, workshops, round tables, seminars, trainings, analysis, reports and recommendations with and for the key actors of Albanian justice system. Having the support of all the above mentioned international organizations, after 18 months of efforts, with the assistance of EU and U.S. experts, finally all 140 parliamentarians voted unanimously for the judicial reform package, which was considered fundamental to convincing the European Union to launch membership negotiations. In the night between 21 and 22 July 2016 the Parliament approved the constitutional amendments related to the justice reform, which entered into force on 11 August 2016, which would give rise to the adoption of 7 laws to implement the constitutional amendments, which, inter alia, represent the implementation of the Vetting Law, known as the temporary re-evaluation of the Albanian judges and prosecutors. This re-evaluation shall include asset assessment, a background assessment and a proficiency assessment and shall be carried out by limiting them some constitutional rights. Subject to this re-evaluation shall be Albanian prosecutors, including the General Prosecutor, judges, including judges of the Constitutional Court and of the High Court and legal advisers of the High Council of Judges, of the Constitutional Court and of the High Court. In any case they will have the burden of proof to verify the source of their assets. Beside the reorganization of actual institutions, based on the new adopted constitution and laws, some other new institutions, which shall enable the Justice Reform, were established. - The Independent Qualification Commission shall carry out the re-evaluation of all judges, including judges of the Constitutional Court and High Court, all prosecutors, including the Prosecutor General, the Chief Inspector and the other inspectors of the High Council of Justice shall ex officio be re-evaluated. (Constitution of the Republic of Albania ). - The Appeal Chamber, which is organized near Constitutional Court, is the only judicial body that considers appeals against the decisions of the Independent Qualification Commission. (Constitution of the Republic of Albania ). - Special Prosecution Office under which is subordinate the Special Investigation Unit, which are independent from General Prosecutor and shall be competent to adjudicate corruption and organized crime, as well as criminal charges against the President of the Republic, Speaker of the Assembly, Prime minister, the member of the Council of Ministers, the judge of the Constitutional Court and High Court, the Prosecutor General, High Justice Inspector, the Mayor, Deputy of the Assembly, deputy minister, the member
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
of the High Judicial Council and High Prosecutorial Council, and heads of central or independent institutions as defined by the Constitution or by law, as well as charges against former officials as mentioned above. (Constitution of the Republic of Albania ). - Specialized courts shall be competent to adjudicate corruption and organized crime, as well as criminal charges of corruption and organized crime committed by the above mentioned persons. (Constitution of the Republic of Albania ). - High Judicial Council which ensures the independence, accountability and appropriate functionality of the judicial power in the Republic of Albania, appoints, evaluates, promotes and transfers judges of all levels and also decides on disciplinary measures on judges of all levels. (Constitution of the Republic of Albania ). - The High Prosecutorial Council which guarantees the independence, accountability, discipline, status and career of Prosecutors in the Republic of Albania and which appoints, evaluates, promotes and transfers all prosecutors of all levels and also decides on disciplinary measures against them. (Constitution of the Republic of Albania ). - The High Justice Inspector shall be responsible for the verification of complaints, investigation of violations on its own initiative and the initiation of disciplinary proceedings against judges and prosecutors of all levels, members of the High Judicial Council, High Prosecutorial Council and the Prosecutor General, in accordance with the procedure defined by law. (Constitution of the Republic of Albania ). - The Justice Appointments Council is responsible for verifying the fulfillment of legal requirements and assessment of professional and moral criteria of the candidates for the High Justice Inspector, as well as for the members of the Constitutional Court. (Constitution of the Republic of Albania ). These institutions will be monitored by an International Monitoring Operation, composed by judges and prosecutors selected by different EU member states. According to this procedure, international observers do not hold a decision-making role in the vetting process, holding more of a monitoring and supporting role in the overall process. Finally Albania opened the way to Justice Reform, which is very important to clean the Justice system once and forever, in order that the system itself can be able to be impartial and professional regarding Albania’s wounds, such as corruption and organized crime. Justice reform was welcomed by many international actors, diplomats and media. US Ambassador Donald Lu, added in a statement after the package passed: The United States was proud to have supported the drafting and negotiation “of this strong reform package”. “Your commitment has made Albania a more just and democratic country”. (U.S. Ambassador Donald Lu, 22 July, 2016 ) The OSCE Presence in Albania: “welcomes the Assembly’s adoption today of the set of constitutional amendments aimed at reforming the justice sector. We commend the Assembly for this fundamental achievement, which was supported tangibly by many international experts and diplomats. (The OSCE Presence in Albania, 22 July, 2016). 3.
Conclusions
In front of its European aspiration Albania, over the years, has faced constant remarks from EU with regard to the justice situation. Often the justice system did not provide justice. Corruption and incompetence within this system has led to an increase of corruption also in other public administration bodies and has significantly increased the level of organized crime in Albania, due to non-prosecution and non-punishment of criminals. As a result, anyone faced to justice had necessarily to think about bribery otherwise would lose his property, while on the other side the one who paid money was not sentenced even if he was guilty or benefited assets not belonging to him (unjustly). Problems were so frequent that the whole system was considered as such, to the point that even those honest and professional judges and prosecutors often became part of unfair accusations. Consequently, it was necessary to make a re-evaluation of asset assessment, a background assessment and a proficiency assessment among justice ranks, considered as the Vetting process.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
This re-evaluation would verify corruption and professional ability of each prosecutor and judge. Albanian parliamentarians, convinced on the necessity of this justice reform, by unanimous vote, approved constitutional changes and a supplementary legal package for this reform, which is recommended and approved by international organizations. This reform is considered as one of the most important reforms that Albania has ever undertaken in these 27 years of democracy. Now the system itself can bring the Albanian justice in front of justice. Taking in consideration that this reform has been a key priority for Albanian integration into EU, now we remain hopeful that this year we will have an unconditional recommendation from European Commission. In addition, since this reform is based on European principles and standards and it is also approved by European organizations, it may be easily applied in other region countries, which have problems with the justice and that aspire to become part of the big European family. References Commission of the European Communities (26.3.2003) Albania Stabilization and Association Report 2003.12. European Commission (9.11.2005) Albania 2005 Progress Report. 8, 61 European Commission (12.10.2011) Albania 2011 Progress Report. 3 European Neighbourhood Policy And Enlargement Negotiations, Last updated, 06/12/2016, Albania [Online] Available: https://ec.europa.eu/neighbourhood-enlargement/countries/detailed-countryinformation/albania_en ( 07.01.2018 ) European Commission ( October 2014 ) Albania 2014 Progress Report. 1. Special Parliamentary Commission on Justice Sector Reform, High Level Experts Group, analysis of justice system in Albania, June 2015 Constitution of the Republic of Albania (as amended in 2017) Online Foreign & Commonwealth Office and Nicholas Cannon OBE, 13 July 2015. The judicial reform in Albania. [Online] Available: https://www.gov.uk/government/speeches/the-judicial-reform-in-albania (06.01.2018) European Western Balkans Op-Ed by Knut Fleckenstein, 18.07.2016. Why Albania needs the judiciary reform [Online] Available: https://europeanwesternbalkans.com/2016/07/18/why-albania-needs-the-judiciaryreform/ (06.01.2018) OSCE Presence in Albania, 8 June 2015. Remarks for the Head of Presence to the roundtable on reforming the judicial system in Albania [Online] Available: https://www.osce.org/albania/162846?download=true (06.01.2018) Komisioni i posaçëm parlamentar për reformën në sistemin e drejtësisë, Grupi i ekspertëve të nivelit të lartë ( Qershor, 2015). Analizë e sistemit të drejtësisë në Shqipëri 10, 101, 287. Constitution of the Republic of Albania. 82. U.S. Ambassador Donald Lu, 22 July, 2016. Statement [Online] Available: https://al.usembassy.gov/statementu-s-ambassador-donald-lu/ (10.01.2018). OSCE Presence in Albania, 22 July 2016. Albania justice reform adoption welcome. [Online] Available: https://www.osce.org/albania/256046 (10.01.2018).
397
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Some Social Stratum in Dyrrachium during Roman Imperial Period Arlind Kasa Doctor of Science, University “Aleksandër Moisiu” Durres, Faculty of Business, Albania
Erald Shahini Master Scientific, Abkons Company, Tirana, Albania Abstract The archaeological excavations in Dyrrachium, today Durrës in Albania, are discovered data about some stratums during Roman Imperial Period. Dyrrachium was one of the most important cities in the ancient period in Albanian territory. It was inhabited by thousand citizens from VII century BC until now and its inhabitants were divided in different social categories in Roman Period. In this paper, we will mention some of these categories that are discovered in Durrës. With the data that we have, it is impossible to identify all stratums that have lived in Dyrrachium in I-IV century AD. The study has told us that Dyrrachium citizens were separated in three categories: the Upper, Middle and the Lower stratum. Every category was composed by groups with a particular social position in roman society in Dyrrachium. Keywords: Roman Colons, Metalworker, Priests, Traders, Architect, Potter
1.
Introduction
In this day, the archaeological studies for the ancient society are more and more focused in social and economic field. The researchers are interested to know about social and economic problem in Antiquity. Therefore, our study is focused in social and economical field of the inhabitants of Dyrrachium during Roman Imperial Period. This ancient city was one of the most important in Albanian territory during Greco-Roman Period. In this period, it was one of the most important towns in the western coast of the Balkan Peninsula. The historical and archaeological data inform that Dyrrachium was a economical developed town in Antiquity. Also, Dyrrachium was one of the causes why began “The Peloponnesian War” between Athens and Sparta. Not only that, it was the reason why started “The First Roman-Illyrian War”. Some important roads connected the city with other parts of Balkan. This city was the starting point of the ancient Via Egnatia, the most important eastern road in the Roman Empire. The port of Dyrrachium was an important destination for traders and trade convoy from Italy to Balkan in I-IV centuries AD. This was favored from the geographic position and the climatic condition of the city. The archaeological finds that are discovered in the excavations in Durrës were imported from North Africa, Asia Minor, Greece, Dalmatia region, Italy, South Gaul etc. The city of Dyrrachium during I-IV centuries AD had about 40-50 thousand inhabitants. These reasons inform for the economical development that Dyrrachium had in Antiquity and it was the reason of social division of inhabitants of Dyrrachium in Roman Imperial Period. Although, the classical study defend the theory that in Antiquity the people were divided only in two social categories: the poor people or slave and the richest or masters, this study inform that Dyrrachium was a heterogeneous city in I-IV centuries AD.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
1.1 Project Objective In the modern city of Durrës are realized dozens archaeological excavations in XX century by Albanian and by non-Albanian archaeologists. Not all of these scientific excavations were focused to study economical and social problems because the archaeologists were more interested to study the artifacts that they had discovered. The studied of stratum was prohibited when the archaeological excavations were concluded from the communist ideology of the regime of dictatorial in Albania, where conflict between the two classes is the root of all problems in society and this situation will ultimately be resolved through a social revolution. Today, after the fall of communist regime in Albania social and economical studies can be conducted freely. This is the focus and the objective of this paper: Firstly, we will identify stratum in Dyrrachium during the I-IV centuries AD. We know that it is impossible to identify all the social categories that have lived in Dyrrachium because the data are scarce. Secondly, the study will identify who were part of the Upper, Middle and Lower stratum. As we know, this objective is very difficult because anyone today has made a similar study in Albania yet. Lastly, we will speak for the privilege that had which of these categories during the Roman Imperial Period. Although, we know that this is a difficult purpose because the historical and the archaeological information are incomplete for Dyrrachium. On the other hand, these are the purposes of this paper. However, we know that these objectives are not so easy but the archaeological finds will help. 1.2 Research Methodology As know, all the scientific study uses their scientific methods. The archaeology study has its methods that scholars use to make scientific study. In this paper, we have used some scientific methods that archaeologists usually use in their study. Firstly, the principal methods that it is used are the archaeological excavations. These excavations are made by Albanians archaeologists during the last four decades. In different archaeological excavations, they have discovered data about stratums in Dyrrachium during Roman Imperial Period. These archaeological methods are: epigraphic inscription, ceramic, coins, grave etc. Secondly, ancient Greek and Roman authors have written for Dyrrachium in Antiquity. In their books, they mentioned people and social category of this important city. Some of the ancient authors have mentioned in their book social categories in Dyrrachium during Roman Period. So, they are very important data but. Also, we have studied the archaeological finds in some Museum in Albania, where they are today. We analyzed the data in the Archaeological Museum of Durrës, in the Archaeological Museum of Tirana and in the Historical Museum of Tirana. These archaeological evidence have important information for stratum in Dyrrachium during I-IV centuries AD Lastly, another scientific methods used are the conclusions that other archaeologists have made in their studies. In the last fifteen years, Albanian and foreign researches have published papers and books for Dyrrachium where they have spoken for the inhabitants of Durrës in the I-IV centuries AD. These scholars mentioned only one or two social category during the Roman Imperial Period. I conclusion, these methods not only are scientific but are the most modern. Today, they use all the archaeologists in the world. Although, these are not all scientific methods that archaeologist use in excavations and studies but they are more than that. For this paper, we have used the four methods that we mentioned before because we are conditioned from the archaeological data. In the future, the other archaeological data and methods will identify more stratums in Dyrrachium. 2.
Analysis Result
The city of Dyrrachium was one of the most important towns of the Eastern Adriatic coast during
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Roman Imperial Period. As we mentioned before, important naval and earthly roads connected the city with other parts of Balkan and Apennine Peninsula. So, products and goods came in Dyrrachium from Italy to Balkan and vice versa. Also, the geographic position and the climatic condition had influenced the development of the city in I-IV centuries AD. This is demonstrated from the archaeological finds that are discovered in the archaeological excavations in Dyrrachium as coin, ceramic, glass production, statue, terra cotta, the amphitheater, roman bath, aqueduct etc. These archaeological finds and the ancient roman authors inform that Dyrrachium was a heterogeneity city during Roman Imperial Period. In this paper, I will classify these stratums in three categories: Upper, Middle and Lower stratum. So, in Dyrrachium during Roman Imperial Period are discovered data that prove that Upper stratum or the Aristocracy has lived here. In this paper, we will mention some of these Upper stratums that are identified until now. The category that we will mention were classify as Aristocracy because they were rich, had privileges and they had governed the city during all Roman Imperial Period. Firstly, some data inform that roman colonist had inhabited the city after Octavian Augustus declared Dyrrachium a Roman Colony during the end of first century BC. This Roman Emperor established their veteran roman soldiers. This can proved from some Latin inscriptions discovered in Dyrrachium on four roman graves. The inscriptions on them inform that in these tombs were buried members of roman family of Aemilia (Miraj 1991). This was an older roman Patrice family that was established in the town. On others roman tombs discovered in Dyrrachium, as altars and sarcophagus (Koch 1988), are found Latin inscriptions for other roman colonists. The city was governed by these roman colonists during I-IV centuries AD. This category was the richest of the city and they have a lot of privilege. When they came in Dyrrachium, the colonists brought their culture, government system, lifestyle, traditions, religion etc. from their native land. So, the city adapted the roman colonist culture, gusto and requests. Secondly, the Priests are another Upper stratum discovered in Dyrrachium. This social category is mentioned on some roman inscriptions discovered in Roman cemetery of Durrës and in other part of the city. These inscriptions inform that Augustales, Pontiff, Flamines, Vestal and for simply priests existed in Dyrrachium in I-IV centuries AD (Tartari 2004). The augur were priest and official in the Classical World where his role was the practice of augury and to interpret the willingness of the gods studying form the flight of birds: whether they are flying in groups or alone, what noises they did when they were flying, direction of the flight and what kind of birds they are. This was known as “taking the auspices”. The ceremony and function of the augur was central to any major decisions of Roman society, public or private, including matters for war, commerce and religion decisions (https://en.wikipedia.org/wiki/Augur). On a grave-altar of second century AD in the Archaeological Museum of Durrës it is written that the person who is buried here was a Pontiff (Tartari 2004). During the Roman Imperial Periods, a Pontiff usually was membership of the College of Pontiffs. One of their most important duties was guardianship of the Libri Pontificales or Pontifical Books. Among these books were the Acta Indigitamenta (lists of invocations or the names of the gods), Ritualia, Commentarii, Fasti and Annales (yearly records of magistrates and important events). These books were under the possession of the College of Pontiffs and only they were allowed to consult those when it is necessary. Also, in the Archaeological Museum of Durrës it is the grave-altar of Luc Papi. On his tomb, it is a inscription which inform that he was a prist of Augustales during second century AD (Miraj 1991).The Augustales were an order or sodalitas of Roman priests, instituted by Tiberius to attend to the maintenance of the cult of Augustus. The Augustales were chosen only by principal persons of the city. Women might be appointed priestesses of Augustus. In the Archaeological Museum of Durrës are other data that prove for existence of the Flamines (Sesteri 1943) and Vestal (Koch 1988) priests. Also, some ancient authors told in their books for the existences of some temples in Durrës. We knew for the existence of the temple of Artemis (Appian 2002) and for the temple Venus, both were outside of the city. On another roman inscription, we informed that in Dyrrachium was also the temple of Minerva, erected by Luc Papi on o public proprietary (Miraj 1991). Today, all these
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
temples aren’t unidentified yet. Lastly, the third Upper stratum that it is identified in Dyrrachium is the Local Aristocracy of the city. The inscription on the grave of Syr Epidamnos it is an example. On his tomb the inscription said: Roman horseman, Duumvir, Aedili Quinquennial, Flamines, Augustales, Protector of the Dyrrah Colony, High Priest, Magister (Carpenter) in honor of their permanent prefect… (Miraj 1991). As we can see, Syr Epidamnos had e lot of roman title and only an aristocrat could had all the position in the roman administrate that are wrote on his grave. The archaeological artifacts dated this tomb in I-II centuries AD but his surname, Epidamnos, was the name of Durres in Hellenistic Period. So, it is difficult for us to believe that a roman colonist had as surname the Hellenistic name of the city of Durrës. As a result of, we believe that Syr Epidamnos was a local aristocrat of Dyrrachium that was Romanize and the Roman State included the local aristocracy for govern the city. So, when Roma invade Dyrrachium, in the first century BC and established the roman colons, a part of local aristocracy of Dyrrachium stood in the city and they took roman culture. The local aristocracy of Dyrrachium coexisted with the roman colons and they together have governed the city between I-IV centuries AD. This was the reason why Syr Epidamnus, a person from Dyrrachium, had all these positions in the roman administrate. In Dyrrachium are discovered data about Middle social category during I-IV centuries AD. The archaeological artifacts, as ceramic, inscription, glass, unfinished statue, imported products etc. and the ancient roman author informed us for the existence of craftsman in Dyrrachium in I-IV centuries AD. These were part of Middle class and they had wealth, businesses and privileges in Antiquity. So, the Middle stratum had lesser political influence in the city than the aristocracy in I-IV centuries AD because they were lesser rich and privileges than the Upper category. During the day, craftsman worked in their manufactory, which was called by roman Tabernae, to manufacture and sold their goods and products. In this study, will mention some of these Middle social categories that we have identify in this town. Firstly, the archaeological evidence testified that in the city have lived traders. Some of these ceramics were local products but some others were imported from different part of Roman Empire, also outside the Roman Empire. Also, other artifacts discovered in Durres as roman sarcophagus (Koch 1988), lamps, cups, plates and other ceramics fragments were from Asia Minor, Aegean region, Italy, south and eastern Mediterranean Sea (Tartari 2004) and Dalmatia, Dardania etc. These archeological objects were produced these region and they were imported in Dyrrachium by traders, who move the products and the goods according to market request. The traders made trade between Dyrrachium and the other regions of Roman Empire. Traders moved products and goods from one region to other and sold them. In this period, the producers rarely had directly contacts with consumers. Dyrrachium, during the Roman Empire, was a consumer city and for completed the inhabitant request the traders went in the other Roman Empire regions to bought products and goods. The free movement, Pax Romana, the unique coin, the street network, the geographical position of the city etc. had an important role to increased the trade between Dyrrachium and other regions of the Roman Empire. However, it is difficult to identify the intensity of this commerce because we have few archaeological data to make a definitive conclusion. The architects were a category that has lived in Dyrrachium in Antiquity. Today in Durres are finds great and important roman monuments as Aqueduct, Roman Public Bath, Amphitheatre, house, network road, sidewalk, Bibliotheca and temples. These were greatest engineering structure during I-IV centuries AD and these building were erected only by architects. In Dyrrachium, only in one case it is discovered a data about existence of architects during Roman Imperial Period. On a brick of the hypocaust column in Roman Public Bath it is discovered an inscription where wrote: Luc Tulit Valerii Rutus Arkitekt (Miraj 1991). This is a proof which informed us that this category has lived in I-IV centuries AD in Dyrrachium and they built building. The Potters are another social category discovered in Dyrrachium. The archaeological excavations in Durrës discovered manufactories where were produced ceramic objects (Frashëri 2015). In one case, it is discovered a complete furnace of the second century AD where were produced tiles, bricks and vase as bowl, dishes, amphora, Olpe, Pelike, Krater, cup, Oinochoe etc.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
(Pani & Papajani 1986). Today this roman furnace it is in the Archaeological Museum of Durrës. The vases produced by potters in Dyrrachium were imitation of Greek, Italian and Dalmatian imported objects. This phenomenon reduced the price of vases and large persons bought that. The massive use of vases in Roman Imperial Period can be explained from some factors. The pottery was not the primary product that was traded in Antiquity but pottery was the principal manner used to transport the primary products and goods. Consequently, pottery was traded and sold together with the primary products. Also, in the Roman Imperial Period the pottery was not used only to transport products but also for cooked, to deposited produce and it was used to kept liquids and food. As a result, the ceramic was an important product in the lifestyle of persons. The imported vases in Dyrrachium were imported from Central and North Italy, from Greece, where distinguished Athens and Corinth, and from the Asia Minor (Tartari 2004) but large vases were produced from the local manufactures of the city. For the scarcity information, we don’t have sufficient data to prove if potters in Roman Imperial Period had employees or not in their manufactures. The data that are discovered in archaeological excavation in Durres inform us for presence of woodworker and Carpenters in the town. A manufacture where was elaborated the wood of the I-II centuries AD it is discovered in Dyrrachium. In this manufacture were a produced furniture for house as table, chair, portmanteau, wood spoon, bed etc (Frashëri 2015). Also, for the existence of the carpenter in Dyrrachium are discovered two data in the roman cemetery of Durres. Firstly, on a sarcophagus it is decorated part of a ship and the researchers thinks that the person who was buried here was a ship owner and a carpenter (Koch 1988). Today, this sarcophagus it is in the National Museum of Belgrade. The second prove that demonstrate the existence of carpenters in the city it is an inscription of I-II centuries AD on the marble tombs of Syr Epidamnus, where was wrote that he was a Magister of Carpenter during Roman Period and the tomb was erected from the College of Carpenter of Dyrrachium (Miraj 1991). Today, this inscription it is in the Louver Museum of Paris. So, we understand that carpenters lived in Dyrrachium and they were organized in college under a magister leadership. It is logical the presence of carpenters in Dyrrachium because the city was closely connected with the sea. This closely connection of Dyrrachium with the sea can explain with massive used of marine roads communication and the sea food that the inhabitants of Dyrrachium consumed in Antiquity. The wood ships had an important role in communication and in fishery. These ships were constructed and repaired by carpenters. So, it was normal that Dyrrachium had specialized persons that constructed and repaired the wood objects. The sculptors are a middle stratum that have lived and worked in Dyrrachium in I-IV centuries AD. Proves for this category are discovered in some archaeological sites in Durres. In a site near the roman amphitheatre of Durres it is discovered an unfinished statue of a man worked in sandstone (Zeqo 1989) inside an edifice that it was a studios. A bas-relief and a high relief in calcareous stone are discovered on two sarcophagus in Dyrrachium unfinished (Koch 1989 /Tartari 1997) inside another building which was a second studios. These evidences, inform us that in this city had manufacture or studios of local sculptors who worked stone to created artwork. These artists imported un-worked stone from different regions because Dyrrachium had not quarry nearby. The geological analyze of the artifacts that we have mentioned before inform that calcareous stone of sarcophagus were imported from two regions in Albania, Kruja and Karaborun (Tartari 1994). In Dyrrachium during I-IV centuries had lived tailors, who were s called Sarcinatoris. This is proved from an inscription on a calcareous roman grave of I-II centuries AD (Tartari 2004), where the inscription for the death person said that he was a Sarcinatoris, which was the name of tailor in this period. This grave was erected from the Tailor College of Dyrrachium in honor of the master of Sarcinatoris of the town, who was buried here. The archaeological data are scarce to prove if the tailors were specialized in production of a type of clothing or more than one. We would believe that they could have produced more than one type of clothes. The tailors worked inside of tabernae and they could elaborate leather and wool. If the tailor had employed workers, slaves or they worked alone in their tabernae, the archaeological data and the ancient authors wouldn’t have informed for this detail. Another category that is discovered in Dyrrachium during I-IV centuries AD is the fishermen.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The existence of this stratum came from weight stones and fishhooks discovered in archaeological excavations. The weight stones were used by roman fisherman for held the fishnets immersed under water while fishhooks were used during fishing process (Zeqo 1989). These archaeological evidences inform us that in Dyrrachium lived fisherman. The factors that have favored the businesses of fish in Dyrrachium during Roman Imperial Period were the presence of sea and the market request for sea foods as fish, mussel, shrimp etc. All the sea foods were sold in the market of the city and in hinterland. In Dyrrachium are discovered facts that in I-IV centuries AD have lived and worked glass producer. We argue this idea from significant number of glassware, un-finished glass dough and two glasswork manufactures that are discovered in Dyrrachium. From the quantity of artifacts, the centuries I-II AD was the gold period of glass production in Dyrrachium because the major part of glass objects, un-finished glass dough and glasswork manufactures are discovered in these centuries. So, part of glassware was imported but the major roman glass that are discovered i Dyrrachium were local products of the city. The glass vessels are brought in Dyrrachium through trade from different province of Roman Empire as Italy, Gaul and Cyprus (Tartari 1996). The local glassware was produced in the glasswork manufactures of I-II centuries AD discovered in Dyrrachium from archaeological excavation. These two manufactures were burned in the end of second century AD (Frashëri 2015). Also, the chemical analyses of some roman glass objects, discovered in the archaeological excavations in Durres, proved that the sand which was used for the production of these objects was from suburb of Dyrrachium (Tartari 2004). The major glass objects in Dyrrachium are discovered in roman tombs. They were used during the funeral rituals, kitchen utensils and as pharmaceutical and cosmetic objects. Apparently, the import of glass objects had not completed all market requests. This had influenced the local glass production with a low quality but they have undercharge than the imported glass objects. All local glass vases were imitation of the imported objects. The local production reduced the prices of glass objects, even the poor inhabitants. The Chemists or Pharmacists were part of middle stratum and they have lived in Dyrrachium during Roman Imperial Period. This is proved from archaeological objects that are discovered inside roman tombs in Durres. These archaeological finds were ceramic, glass and ivory objects which were used for preparation, preservation and trade different medicines in I-IV centuries AD. We can mention a small ivory Psykter (Toçi 1965), an Alabastron (Bllaca&Tartari 1989), a vase-urn discovered in the tomb number 63 (Tartari 2004), a pharmaceutical black weight stone that was used to the pharmaceutical scales (Bllaca & Tartari 1989) and a bone spoon which was used for measured medical dose (Bllaca & Tartari 1989). All these objects were used in medicine field. So, during I-IV centuries AD in Dyrrachium had persons who produce and commerce medication. The inhabitants of Dyrrachium bought medicines to Pharmacist or Chemist when they were sickened. If Pharmacist or Chemist had or not workers or they were organized in college, we wouldn’t have enough data about their work. In the end, in this important city of western Balkan Peninsula in I-IV centuries AD have lived and worked surgeon. This can be proved from the surgical instruments that are discovered in roman graves in Dyrrachium. Different forms and of types scalpel are discovered in Dyrrachium, which surgeon used during surgical interventions. We can mention two bronze scalpels with leaf form (Bllaca & Tartari 1989), another bronze scalpel in spoon form and others two iron scalpels with lance form (Tartari 2004). All these scalpels were used only in ambulatory surgery during Roman Imperial Period. In one case, it is discovered inside a tomb of second century AD a skull with a surgical intervention (Bllaca & Tartari 1989). Obviously, the skull aperture of the dead has quadrangle form and it had to a result of a surgical intervention. Maybe, the person had brain illness and he had to a surgical intervention. A more curate analyze of the aperture told that the wound had stated to heal. So, here is a proof for a surgical intervention on a patient who survived from the surgery intervention but he died some weeks later. These are the Middle Class that are discovered in Dyrrahium until now. Of course, we know that these are not all the categories because they were more than that. Other data are still in archaeological underground of Durres un-excavated which are waiting to discover from the future archaeologist.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The archaeological finds and ancient authors inform us that in Dyrrachium during I-IV centuries AD also lived poor inhabitants, who were part of Lower Stratum. In this category we have included as slaves also freeman. The major numbers of inhabitants that lived in Dyrrachium were poor. This category had not right, wealth or privileges as the other two stratums that we mentioned before. Of course, some freeman had property as a house, furniture and some things but the slaves had not any right and property. The poor inhabitants of Dyrrachium did the hardest worked in the city. In this paper, we will mention some poor member of Dyrrachium inhabitants that are sure indentify from the archaeological excavations. The gladiators were part of Lower category that archaeological finds inform that had lived in Dyrrachium. The First archaeological proof this, it is the roman amphitheater of Dyrrachium with a capacity about 20.000 persons, which was the second amphitheater in the Balkan Peninsula, where were held gladiators games. The second proof it is discovered an inscription on a grave that said: Luc Etereius, master of the gladiators game. Goodbye (Miraj 1991). So, in I-IV centuries AD in Dyrrachium a gladiator master organized gladiator games for spectator entertainment. If gladiators were from Dyrrachium inhabitants or they were taken from other parts of Roman Empire, we wouldn’t have enough data to prove this. An interesting proof it is discovered in Dyrrachium about gladiator games organization. An inscription on a marble plaque said that the gladiator games were organized from the Roman State or by private persons (Miraj 1991). Secondly, in Dyrrachium lived freeman during I-IV centuries AD. The data for this stratum are discovered in the Roman Cemetery of Durres. In this burial place, it is it is discovered an inscription on a roman grave which inform that the buried person was a Libertus (Tartari 1997). The ancient roman called Libertus a freeman, who initially was a slave but he had won his freedom. These persons did hard work to live as: tiller, plowman, digger, sanitation worker etc. They lived in their house because it was not rare that a Libertus had a property. This stratum had few right and they were poor. The slave is the last stratum that we have indentified in Dyrrachium. Again, the evidences are discovered in the Roman Cemetery of Durres. In this cemetery are discovered poor tombs as funeral stones (Tartari 2004) and grave with tiles (Tartari 1991). The simple architecture, the poor funeral objects inside and the low price are evidence that the persons who had passed away and their family had not enough money for erected a costly tomb. So, in these graves were buried slaves. Due to the scarcity of proves, it is impossible for us to identify all slave categories. This is a great loss for understanding the Lower Stratum in Dyrrachium because slaves constitute an important percentage of the inhabitants of the city. However, these categories were not all Lower Stratum of Dyrrachium that have lived during IIV centuries AD but they were more than we mentioned. The difficulty to identify all Lower Stratums in Dyrrachium consists in the scarcities of information that are discovered until now. The city of Dyrrachium was heterogeneous in Roman Imperial Period. The inhabitants of the city were divided in three social categories: Upper, Middle and the Lower. 3.
Results and Discussion
This study is focused on the social categories of Durres during the Roman Imperial Period. The study has produced some results that we like to share with other. Firstly, the archaeological and historical data proved that Dyrrachium was a heterogeneous town in this period. The reason of this heterogeneity was the economical development of the city during the I-IV centuries AD. The economical development has contributed in the social progress and in differentiation of citizens. Secondly, the archaeological finds proof for the differentiation between the Dyrrachium citizens in the Roman Imperial Period. So, in I-IV centuries AD have coexisted three stratums: The Upper Stratum or The Aristocracy, The Middle Stratum or Crafts and Traders and The Lower Stratum or Poor and Slaves. Also, each of these categories had their right, privileges and wealth, which were different from each other. Of course, the aristocracy had the most right, privileges and wealth from the other two stratums.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
This study proved that the Middle stratum in Dyrrachium during Roman Imperial Period was the most heterogeneous from the other two. Apparently, in this historical period a significant portion of Durres inhabitants were part of Middle stratum. Lastly result, after Octavian Augustus declared Dyrrachium as a Roman Colony in the end of I century BC, the inhabitants were Romanized only in the end of II century AD. This result proved from the archaeological finds as the amphitheatre, roman public bath, the roman aqueduct, the ritual and architectural burial, the artifacts etc. that are discovered during archaeological excavation. All these are very similar with the data found in the city of Rome. These prove that the inhabitants of Dyrrachium in second century AD had roman culture and lifestyle. This study told us an interesting topic for discussion. The most part of Dyrrachium inhabitants during I-IV centuries AD were part of Lower and Middle category but the artifacts that are discovered in archaeological excavation were produced by the Upper stratum. The discussion that we wish submit is: if we will have also the artifact of the Middle and Lower stratum, the history of Dyrrachium will be different or not? If yeas, how many different will be the history from what we know today? 4.
Conclusion
These were the social stratums that we have identified in Dyrrachium during I-IV centuries AD. Naturally, these are not all the categories that had lived in Dyrrachium in this period. We believe that were more than we have mentioned in this paper. Some classes like baker, batcher, musician etc. are not identified in Dyrrachium yet. The problem of non-identification is linked with the scarcity of data that we have today because Dyrrachium has an un-interrupted life from VII century BC to today. So, some data are destroyed with passing the time and other are not discovered yet. In conclusion, the study has told us that the Dyrrachium citizens during I-IV century AD were classified in three different social stratums: the Upper Stratum, the Middle Stratum and the Lower Stratum. So, the Upper Stratum included roman colonist, priests and local aristocracy. In the Middle stratum included architects, traders, potters, sculptor, glass producer etc. Lastly, the poor categories included the gladiators, slaves and freeman. Naturally, the archaeological excavation indicated that Dyrrachium during the Roman Imperial Period was a heterogeneous city. In this city, the inhabitants were divided in three social stratums and they were not classified only in two categories, the poor and the rich persons, as we think. The future archaeological excavation will discover more data for the other social stratums in Dyrrachium that are not identified yet. References Appiani, A. (2002). Historia Romana. Bella Civilia. (Book. II). Ilirët dhe Iliria te autorët antik. Tirana: TOENA. Bllaca, H., Tartari, F. (1989). Lëndë arkeologjike në fushën e mjekësisë nga Durrësi. Iliria, 1, 261-266. Frashëri, Gj. (2014). Pasuria arkeologjike e Shqipërisë në rrezik. Studime-kritikë-reformë. Tirana: Dituria. Frashëri, Gj. (2015). Illyrisches Dyrrah (Dyrrahu ilir). Lulishtja 1 Maji. Tirana: Qendra Frashëri. Koch, G. (1988). Sarkofagët e periudhës perandorake në Shqipëri. Monumentet, 1, (35), 39-68. Koch, G. (1988). Një monument i pazakontë sepulkral i periudhës Perandorake Romake nga qyteti i Durresit. Iliria, 1, 164-167. Koch, G. (1989). Monumente varresh të kohës Perandorake Romake në Shqipëri. Iliria, 2, 160-181. Miraj, F. (1991). Mbishkrime latine në Durrës (Gjetje rasti). Iliria, 1-2, 269-274. Miraj, L. (1991). Përshtatjet në amfiteatër gjatë shek. VII-XII. Monumentet, 1-2, 142-148. Miraj, L. (1991). Mbishkrime për ndërtimet e Dyrrahut. Iliria, 1-2, 249-258. Pani, G. & Papajani, L. (1986). Një furrë antike në Durrës dhe probleme të zhvendosjes së saj. Monumentet, 1, 121-129. Sesteri, P.C. (1943). Nënshkrime latine të Shqipërisë. Studime e tekste. (Dega II). Seria II arkeologjike, 61, 131142. Tartari, F. (1987). Një Grup Varresh të shek. II-IV e.sonë në zonën kodrinore të Nekropolit të Dyrrahut. Iliria, 1, 155-164. Tartari, F. (1988). Godinë e lashtë banimi në sheshin e parkut Rinia. Durrës. Iliria, 1, 123-132. Tartari, F. (1991). Rite dhe forma varresh nga varreza e Dyrrahut e shek. I-IV të e. sonë. Iliria, 1-2, 187-202. Tartari, F. (1994). Tre sarkofagë të rinj nga Durrësi. Iliria, 1-2, 225-229.
406
VOLUME No.1
437 438 439 440 441 442 443 444 445
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Tartari, F. (1996). Enë qelqi të shekujve I-IV të e. sonë nga Shqipëria. Iliria, 1-2, 79-120. Tartari, F. (1997). Monumente funerale të shek. I-IV të e. sonë nga Durrësi. Iliria, 1-2, 243-268. Tartari, F. (2004). Varreza e shekujve I-IV të erës sonë në Dyrrah. Durres: Alstudio. Toçi, V. (1965). Të dhëna mbi topografinë dhe elementin ilir të Dyrrahut në dritën e zbulimeve të reja arkeologjike. Konferenca e Parë e Studimeve Albanologjike, 165-173. Zeqo, M. (1989). Objekte arti nga gjetjet e rastit në Durrës. Iliria, 1, 253-259. Zeqo, M. (1989). Aspektet të artit të lashtë në Durrës”, Iliria, 2, 254-261. https://en.wikipedia.org/wiki/Augur
407
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Determining Factors in Measuring Consumators Trends for Consumption PhD. Eriona Deda Agricultural University of Tirana, Faculty of Economics and Agribusiness
Ass. Prof. Dr. Behxhet Brajshori University of Prizren "Ukshin Hoti", Faculty of Economics Abstract In this paper we focused on defining factors that affect in consum and in consumer behaviour. The purpose of this paper is to address the impact of Inflation and disposable income to consum, between different periods of time taken in study. We will use the consumer price index for Albanian case, to measure Inflation`s rates changes for a certain period of time, or changes in prices of goods and services included in market basket. The period that we have taken in study is from year period 2012 to 2016 , which 2015 is the base year period. The aim of this paper is to calculate the annual average of inflation rates and to analyse changes for each periods taken in the study. Also we are going to explain the relationsheep between inflation and other factors influencing in consum and consumators behaviors. Keywords: Consume ,market basket, Inflation, Inflation rate, consumer price index
1.
Introduction
In this paper we intend to highlight the factors that affect on consumers behavior for different products and services. We are going to analyze that, how can be effected consumer`s behavior by changes in overall price or inflation rates level and other factors such as available income. Also, based on some data that we have obtained from instad.gov.al, by calculating the annual average consumer price indices, to measure changes in inflation rates, we have calculated annual average of inflation rates that shows changes by period that is taken in study. The data related with annual average consumer price indices are taken for period 2012-2016. We should analyze which groups have had more changes in the average inflation rate, and how have affected these changes in consumer behavior. The market basket is classified in 12 main groups, according to EUROSTAT classification (Institute for Eurostatistics). 2.
Literature
Through the literature review we will provide some examples of other authors who have used in their study similar thematic as in my study. Here are some examples: 1. The study of inflation by Stanley Fischer in (1971) in his study with topic “Relative Shocks, Relative Price Variability, and Inflation”. In his paper he was focused on the relation between inflation and relative price variability, which were discussed various explanations of a causal relation between inflation and relative price variability provideing estimates of the relative prices variability that can be attributed to monetary and fiscal policy and viewing that inflation may be a factor explaining poor performance of the United States and other industrial economies after 1973. 2. William R. Easterly and Michael Bruno in their research with topic, “Inflation Crises and Long-Run Growth". Their research was focused on the negatively relationsheep between
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
growth and inflation, the data covers 136 countries over the 1960-94 period. 3. Alexander Tsyplakov in his project with topic “The Links Between Inflation and Inflation Uncertainty at the Longer Horizon” The aim of his paper was to examine the Okun– Friedman hypothesis of the link between inflation and inflation uncertainty using historical international data on monthly CPI. The evidence obtained strongly supports Okun– Friedman hypothesis both in time dimension for most countries and across countries. 4. Aarstol, Michael in his article with topic “Inflation, inflation uncertainty, and relative price variability”. The aim of his study was to determine relationship between inflation and variability of relative price changes (RPV) using the menu-costs model, Lucas-Barro signal-extraction model, and the Hercowitz-Cukierman extension of Lucas-Barro model. Results indicate that none of the three models nor their combination can entirely explain relationship between inflation and RPV. 3.
Research Methods
In our study have used the annual average consumer price indices, which measures annual average changes in prices of goods and services. Also, the aim of this method is to see how annual average inflation rates has changed by years period of our study and how it affected consumption. 3.1 Purpose The purpose of this paper is to make a comparison of annual average changes in inflation rates according to periods taken in our study, and to see how could affect an increase or decrease of average inflation rate in consumer behavior to buy products and services that we have included in the market basket groups. 3.2 The research questions In which period of time taken in study there have been more fluctuations of the annual average inflation rate, and what are some of factors that may have caused these fluctuations. 3.3 The data and choice In our paper, we used secondary data, which are focused on INSTAT publications, where have taken some data about the average consumer price indices for 12 main market basket groups. The data were obtained for period 2012 to 2016, and have calculated anual average inflation rates for each year taken in study. 4.
Analysis Result
In the table below have calculated annual average consumer price indices for periods of our study, that is from year 2012 to 2016, which 2015 is the base year period. Table 1. Annual average consumer price indices for each periods taken in study Average CPI by main groups and period (December 2015=100) COICOP Average CPI by main groups CPI 2012 CPI 2013 CPI 2014 CPI 2015 CPI 2016 1 Food, and non-alcoholic beverages 94.66 97.27 97.45 99.96 102.73 2 Alcoholic bevereges and tobacco 86.16 88.83 94.03 99.08 100.80 3 Clothing and footwear 107.03 103.18 101.58 100.39 99.31 4 Rent, water, fuel and power 98.84 99.91 100.73 100.43 100.48 5 Furniture household and maintenance 99.81 100.55 99.69 99.57 100.17 6 Medical care 104.30 104.47 100.78 100.29 100.70
Transport Communication Recreation and culture Education service Hotels, coffe-house and restaurants Goods and varios services Total Average CPI by main groups
101.51 98.98 99.88 84.60 94.63 94.71 97.09
ICHSS 2017 Barcelona, Spain
101.63 99.46 99.47 85.85 96.12 94.32 97.59
102.13 99.11 99.58 88.84 97.88 100.61 98.53
100.65 100.61 99.94 96.67 99.21 100.15 99.75
99.02 100.18 100.18 100.16 100.02 101.18 100.41
Source: INSTAT. (2016). Consumer price index, Average consumer price indices. [Online] Available: http://www.instat.gov.al/al/temat/%C3%A7mimet/indeksi-i-%C3%A7mimeve-t%C3%AB-konsumit/#tab2 (December,2016). The consumer price index is used, to measure changes of inflation rates for a certain period of time or changes in prices of goods and services included in market basket. (Salko & Dhuci, 2005) Market basket is classified in 12 main groups, in accordance with EUROSTAT classification (Eurostat Institute). Where are given the annual averages of respective consumer price indexes in % for each of main market basked groups, according to year period taken in study. Table 2. Total annual average of inflation rates according to periods under study
Food, and non-alcoholic beverages Alcoholic bevereges and tobacco Clothing and footwear Rent, water, fuel and power Furniture household and maintenance Medical care Transport Communication Recreation and culture Education service Hotels, coffe-house and restaurants Goods and varios services Annual Mutual Inflation Change
Source: Salko & Dhuci, 2005 In table 2, are presented the annual average inflation rates for 12 market basket groups, according to annual periods of study. Regarding the total annual average of inflation rates, can be concluded that in 2016 total annual average of inflation rate is 0.2%, which is higher compared to the other years taken in study that results with negative values of total annual average inflation rates , which means that there has been a decrease in total inflation rates, except 2016 period that has a low positive value of total annual average of inflation rate. In overall relatet to the total annual average of inflation rates can estimate that inflation rates may considered as expected or foreseeable, and we can say that inflation rate is stable, because no significant changes occur on aggregate demand and supply of goods. If total avarege of inflation rate reach values from 2-3%, we can say that inflation is acceptable and does not cause imbalance on aggregate demand and supply of goods.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
4.1 Analysis of changes in average inflation rates by main groups and for each period
Chart 1. Changes in average of inflation rates by main groups for 2012 The chart shows that during 2012 annual average inflation rate has been variable, highest average inflation rate was achieved by "Clothing and Footwear" group with an average inflation rate of 7%, followed by "Medical care" group with an average inflation rate of 4%, and "Transport" group with average inflation rate 1.5%. Inflation has had fluctuation throughout the year at lower and upper limits, marking an increase and fall in the average annual inflation rate. In other groups, were observed significant price level movements, mainly with negative values of average inflation rate. This shows that for these groups have had a fall in annual average inflation rate, and at certain moments has influenced inflation as a whole. Lowest level inflation rates were achieved by these groups : “Education service” with an average inflation rate of -15.4% and by ”Alcoholic bevereges and tobacco” with an average inflation rate of -13.9%. Factors that have influenced inflation rate are classified as factors with a positive or negative impact, driven by demand or supply. For 2012, the total annual average consumer price index reached value 97.09 in annual terms. Annual average inflation rate for 2012 is -2.9%
Chart 2. Changes in average of inflation rates by main groups for 2013
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The chart shows that during 2013, highest annual average of inflation rate was achieved by "Medical care" group with an average inflation rate of 4.5%, followed by "Clothing and Footwear" group with average inflation rate of 3.2%. In other groups, were observed significant level movements, mainly with negative values of average inflation rate. Indicating that for these groups have had a fall in annual average inflation rate.The lowest level of average inflation rates were achieved by these groups: "Education service" by average inflation rate of -14.1% and "Alcoholic bevereges and tobacco" by average inflation rate of -11.2%. For 2013, the total annual average consumer price index reached value 97.59 at annual level. Annual average inflation rate for 2013 is -2.4%
Chart 3. Changes in average of inflation rates by main groups for 2014 The chart shows that during 2014, high levels and positive inflation rates were achieved by these groups: "Transport" with an average inflation rate of 3.3%, "Clothing and footwear" with an average inflation rate of 2.0%, "Medical care" by inflation rate of 1.8%, and "Recreation and culture" with average inflation rate of 0.5%. In other groups, were observed significant price level movements, mainly with negative values of average inflation rate. Indicating that for these groups have had a fall in annual average inflation rate. The lowest inflation rates were achieved by these groups: "Alcoholic bevereges and tobacco" with average inflation rate of -5.3% and "Education service" group by average inflation rate of -3.8%. For 2014, the total annual average consumer price index has reached level 98.53, and total annual average inflation rate for 2014 is -0.7%
Chart 4. Changes in average of inflation rates by main groups for 2015
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
The chart shows that during 2015, high levels and positive inflation rates were achieved by these groups: “Transport” with average inflation rate of 1.3%, “Rent, water, fuel and power” and “Medical care” with respective average inflation rates 0.5%, “Food, and non-alcoholic beverages” group with average inflation rate of 0.1% . In other groups, were observed significant price level movements, mainly with negative values of average inflation rates. Indicating that for these groups have had a fall in annual average inflation rate. Lowest inflation rates were achieved by these groups:"Education service" with an average inflation rate of 1.6% and both "Alcoholic bevereges and tobacco", "Goods and varios services" groups , at respective average inflation rates of -1.0%. For 2015, the total average consumer price index has reached 99.75 at annual level. Annual average inflation rate for 2015 is -0.2%
Chart 5. Changes in average of inflation rates by main groups for 2016 The chart shows that during 2016, higher levels of inflation were achieved by group "Food and nonalcoholic beverages" with an average inflation rate of 3.0%, followed by "Alcoholic bevereges and tobacco", with average inflation rate of 1.2%. In other groups, were observed significant level movements, with positive and negative values of average inflation rate . It indicates that for these groups have had an increase and decrease of annual average inflation rate. Positive levels of inflation rates were achieved by these groups: "Rent, water, fuel and power", "Furniture household and maintenance", "Medical care", "Recreation and culture", "Goods and varios services". Lowest levels of inflation were achieved by these groups: "Transport" with average inflation rate of -1.5% "Clothing and Footwear" with acorresponding average inflation rate of -0.8%. For 2016, the total average consumer price index has reached value 100.41 at annual level. Annual average inflation rate for 2016 is -0.2% 4.2 Income effect in consum Available income are another important factor that affects consumption. Consumption and incomes are linked to each other in right way, with increase of disposable income, consumption will increase. If disposable income will reduce the consumption is going to decrease.. Also disposable income directly affects consumer behavior. Consumers with high disposable income will consum and save more then consumers with low disposable income. In our paper we note that inflation is a very important indicator because in the economy of a country changes in inflation rate will have a direct impact on salaries of employees or on disposable income of consumers. So we can say that have a mutual relationship between inflation and disposable
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
income, saving and consumption, stressing that the key role effecting in consumer behavior is inflation. In our paper for the period taken in study, we can say that inflation is acceptable and does not cause imbalance on economic indicators. 5.
Conclusions
The main factors that we have taken in analyse influencing consumer behavior are the changes in price of products and services and avaiable income. The price of products and services is a very important factor influencing consumer behavior, which means according to (Nesturi, 2016) the law on demand if the price of products decreases, the readiness of consumers to buy increases. If the prices of products and services increase and consumers' readiness to buy will decreases with condition that other factors remain constant. In our paper, we noted by comparing inflation for periods taken in the study, the highest and lowest levels of inflation have been achieved in year 2015. There are various factors that may have affected this rise in inflation,driven by the demand or the offer. However, generally we can assess controlled inflation levels and that hasn`t had any significant growth to cause unbalance in macroeconomic indicators. Incomes are a very important factor affecting consumer behavior because through available incomes consumers express ability to buy a product or service at a certain price, so we can say that income is a determinant factor of request. References Easterly, R. W., & Bruno, M. (1995). Inflation crises and long-run growth. World Bank Policy Research, [Online] Available:http://econ.worldbank.org/wbsite/external/extdec/extresearch/0,,contentMDK:20701015~pageP K:64214825~piPK:64214943~theSitePK:469382,00.html (September 1995). Fischer, S. (1981). Relative shocks, relative price variability and inflation. US: Economic Studies Program, [ Online ] Available: https://www.brookings.edu/wp-content/uploads/1981/06/1981b_bpea_fischer_hall _taylor.pdf (1981). INSTAT. (2016). Average consumer price indices. [Online] Available: http://www.instat.gov.al/al /temat/%C3%A7mimet/indeksi-i-%C3%A7mimeve-t%C3%AB-konsumit/#tab2 (December,2016). Koka, M. (2012). Consumption and investment. In Macroeconomics (pp. 2-4). Tirana, Albania, Agricultural University of Tirana, Faculty of Economics and Agribusiness: [Online] Available: https://docs.google.com/viewer?a=v&pid=sites&srcid=dWJ0LmVkdS5hbHxtaW1vemEta29rYXxneDo1Mz Y3ZmQxOWE4ZWZjOGFj (August,2012). Koka, M. (2012). Inflation. In Macroeconomics (pp. 2-14). Tirana, Albania, Agricultural University of Tirana, Faculty of Economics and Agribusiness: [Online] Available: https://docs.google.com/viewer?a=v&pid=sites &srcid=dWJ0LmVkdS5hbHxtaW1vemEta29rYXxneDo1MWJkY2I2YjI2MzQ5Mjgy (August, 2012). Michael, A. (1999, October 1). Inflation, inflation uncertainty, and relative price variability. Southern Economic Journal, 66 (2). Nesturi, E. (2016). Demand and supply. In Microeconomics (pp. 8-13). Tirana, Albania, Agricultural University of Tirana, Faculty of Economics and Agribusiness: [Online] Available: https://docs.google.com/viewer?a=v &pid=sites&srcid=dWJ0LmVkdS5hbHxlbnN0dXJpfGd4OjQzNDE5MGZhZjg3MjZjMDk (Jun,2016). Salko, D., & Dhuci, O. (2005). Inflation and its impact (Vol. II). Tirana, Albania, Agricultural University of Tirana, Faculty of Economics and Agribusiness: "Dita 2000", 2005. Salko, D., & Dhuci, O. (2005). Price indexes and their use (Vol. II). Tirana, Albania, Agricultural University of Tirana, Faculty of Economics and Agribusiness: "Dita 2000", 2005. Tsyplakov, A. (2010). The links between inflation and inflation uncertainty at the longer horizon. : [Online] Available: https://mpra.ub.uni-muenchen.de/26908/1/MPRA_paper_26908.pdf (2010).
415
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Referendum or a Missing Instrument in Albanian Democracy Ilda Jeha University of Tirana Faculty of Law Abstact The Referendum is not used as an instrument of direct democracy in Albania, and the prevailing opinion is that Albanian politicians are not sufficiently interested in this instrument and consider it as just a confirmation of constitutional changes. Consequently, the relevant legal framework is not conducive to referendums; it is even obstructive and should be improved. Given that the existing legal framework for referendums is very scattered, starting with the Constitution of the Republic of Albania and the Electoral Code, it is recommended to draft a special law on referendums with procedures that facilitate and ease the way to local referendums. The Referendum should be used as often and as easily as possible, particularly at the local level, in order to obtain public opinion on issues affecting their interests. It can be used for constitutional changes, but also for other "simpler" issues such as the criteria governing the privatization of common property, monetary compensation of the former politically persecuted, licenses with negative impact on environment, and so on. Keywords: referendum. constitution, law, democracy
1.
Introduction
The referendum is an instrument of direct democracy. In 2014, 900 referendums in total were conducted all over the democratic world, with roughly half of them in Switzerland only (Bulmer, 2017). So, Switzerland holds the record for how it takes into account the opinions of the persons concerned (Graf, 2016). But, what about consolidated democracies? Why referendums in these countries are not so widespread? For example, in Sweden only 6 referendums were organised in the last 80 years, and in Luxembourg only 4 since 1919! The referendum is the most important form of direct democracy, because it enables anyone to express themselves by voting for an important matter, while political parties would not be able to express everybody's opinion. However, the referendum is not the only form. Other forms such as the bicameral parliament are possible. But, historical records show that referendums were also used by dictators to 'seal' their own decisions. Referendums in France at the time of Napoleon or in Germany under Hitler's (Aristeldou, 2016) rule clearly indicate this approach to this instrument. This confirms that bad leaders make wrong decisions with or without referendum. The same negative approach was recently used in Greece by Tsipras' government to confirm some drastic measures against the Greeks themselves. In this case, the result of the referendum was interpreted as weakness of governing officials to address the difficulties underpinning the reforms that were necessary in the light of hardships that they had caused themselves. State politicians needed a confirmation of the austerity measures they would take. So, there are pros and cons to referendums. We think that the referendum is strongly needed to get people's opinion, especially in emerging democracies, where people were previously not asked about anything. Mandatory referendums on Constitutions - or optional ones for matters of less importance than the Constitution - are instruments that cannot be replaced, except for a few cases of consolidated democracies with a bicameral system. There is a broad contemporary literature on constitutional referendums, which widely suggests that constitutional versions need to go through referendum to get people's opinion. Such a referendum was first organized in Albania in 1993 and the Constitution was rejected. On 23 December 2013, a referendum on urban waste was envisaged and later cancelled as unnecessary (Krasniqi, 2013).
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Actual Albanian legislation recognizes the necessity of using the referendum as an instrument of direct democracy. The Constitution adopted in 1998 explicitly mentions referendum in Articles 108, 150, 151, 152 and 177. However, the referendum is more explicitly analysed in Law No. 9087, dated 19.06.2003, "On the Electoral Code of the Republic of Albania", with its ninth part dedicated to referendum, starting with Article 118 - Meaning of referendums. In fact, only 3 constitutional referendums have been organized in Albania in 27 years of democracy; one of them rejected the proposed Constitution of 1994. But, still no referendum organised at local level so far. We think that a special law on referendums needs to be adopted, laying down simplified procedures for the endorsement of referendums, particularly those at local level. Because, the existing legal framework-albeit allowing referendums – blocks the organisation of referendums rather than promote them. 2.
Methodology
The basis of this study was a detailed analysis of all domestic and foreign literature on referendums and the relevant legal framework in Albania, starting with the 1988 Constitution of the Republic of Albania. Various details were studied, including procedures and concrete results of referendums organized over the past 27 years in Albania with the aim of analysing the actual procedures and identifying possible obstacles. In order to obtain public perception on referendum, an online survey with some direct questions was organized, providing the chance to everyone to respond without spending much time. This new way of observation presented some advantages compared to "traditional" surveys: (i) the duration of the survey was very short and the result was straightforward and easy to process; (ii) the survey attracted the perception of a much larger number of people than in "traditional" ones. The average number of responses to each question was over 7,000; and (iii) the survey focused on the youth, as young people are thought to massively use social networks. According to the data, the largest number of responses and comments (91%) was provided by young people under the age of 30. The survey allowed youth from Diaspora or emigration to give their opinion; this group comprised 43% of the respondents. Most of them (about 52%) were from the United States. The only disadvantage of this survey was that it is not possible to draw a representative conclusion of all Albanians for each question. This downside was not taken into account, as this was not the purpose of the survey. 3.
Results
7,750 respondents replied to the question whether or not the referendum is used in Albania, and about 92% of them think that the referendum is not used as an instrument of direct democracy in Albania. They refer to the fact that there have been only three referendums in 27 years of democracy, while no referendum was organized during 50 years of communist rules. This is a major disadvantage, because it clearly shows that people's voice is not listened to adequately. Very few of the answers are affirmative, i.e. admitting that referendums are used in Albania, referring mainly to the 1994 Constitution referendum. Only 2% of respondents state that they know nothing about this subject.
Figure 1: The majority think that referendums are not used in Albania.
418
VOLUME No.1
104 105 106 107 108 109 110 111 112 113 114
115 116 117 118 119 120 121 122 123 124 125
126 127 128 129 130 131 132 133 134 135
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Respondents were also asked why they think the referendum is not used as an instrument of direct democracy in Albania. About 52% of answers or over 7,300 respondents link it to the politicians' lack of willingness. This confirms, on one hand, a great lack of confidence in the country's political elites (Krastev, 2015). On the other hand, this shows that politicians themselves are not sufficiently open to people to persuade them of the fairness of the decisions they make. About 41% of the responses note the need to modify the existing legal framework as not conducive to referendums. This seems to be true, looking at the non-encouraging procedure: the decision rests on the Central Election Commission after it receives the request with people's signatures and certified copies of ID cards. Only about 7% of the responses indicate the need for a greater awareness among the people, including politicians, about the importance of referendums.
Figure 2: Politicians do not want referendums Asked whether instruments such as "Digital Citizen", "I decide", investigative TV programmes "Fix Fare" and "Stop" and media in general are an expression of direct democracy and replace referendums, the majority (86% of 7,125 replies) said that the referendum is irreplaceable as a direct democracy instrument. Respondents go so far as to say that questions provided in referendums are false or populistic. Only around 11% think that existing instruments are good and may make up for referendums.
Figure 3: Referendum is an irreplaceable instrument We also asked in what cases a referendum can be organised in Albania and received over 7,000 responses. In a fully affirmative way, respondents think that a referendum should be used to amend the constitution, to decide for early elections, or to change the political system. But a qualified majority thinks that a referendum is indispensable to setting the criteria for leasing common property, or for issues related to environmental protection.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Figure 4: Examples when referendums may be used in Albania. Other questions related to minority rights, loan agreements, compensation of the former politically persecuted by the State budget, etc. attracted less responses, but still the majority believe that this deserve to be decided by a referendum. What drew our attention was the plebiscite response that any constitutional amendment should be approved by referendum and we analysed this case in depth. The new constitution of Albania was approved by the Albanian Parliament 18 years ago, preceded by a popular referendum1. This was the first democratic Constitution after the change of regime in Albania. But, recently there is growing debate about the need for further changes to the Constitution, mainly related to the justice reform. The amendments were adopted unanimously in Parliament, but now that the laws required for its implementation have been drafted, there are many contrary reactions. Opponents of constitutional interventions argued that the Constitution is not to be so easily and frequently changed. This seems to be the perception of a large part of Albanians, who seem uninformed about this topic, as confirmed by a survey in social networks (see Figure 5) (Jeha, 2017), in which 74% of them express that the Constitution cannot be changed (UNDP, 2016).
Figure 5: Most of the Albanians concieve the Constitution non-amendable The fact is that even in countries with very early stable democracy, the Constitution is amended from time to time to better match the democratic reality. Thus, the last French Constitution of 19582 has been amended 24 times so far "to correct inaccuracies or to modify the rules of functioning of 1
Referendum for Constitution held on 22 November 1998. About the Fifth Republic Constitution. The first Constitution of France was adopted on September 3, 1791.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
the state", even the changes began in 1960, i.e. only two years after its adoption through a popular referendum. Amendments have been made repeatedly in the British Constitution (Nguyen-Duy, Paris 2012). It is important to what extent the proposed changes are to be made: a fundamental constitutional amendment is sought or simply an amendment intended to better align the state's fundamental law with the executive reality. This is an essential argument for determining the adoption procedure for the amendments: a referendum will be necessary, or simply amendments can be adopted in the Assembly. 4.
Conclusions and Recommendations
4.1 Direct democracy The referendum should be considered as the most important element of direct democracy, by which it is possible to withdraw people's attention on important matters pertaining to them. As such, it should be used as often as for constitutional amendments, as well as to attract people's opinion on issues related to their interest. 4.2 Incentive legal framework Today's legal law in Albania does not promote referendums. On the contrary, the legal conditions established by both the Constitution and the Electoral Code are considered quite restrictive, even impracticable, for this instrument of direct democracy. Therefore, the legal framework needs to be further improved to facilitate referendum procedures. The first step to this should be a single referendum law, which summarizes everything that is said in other laws. This law should provide very facilitated procedures for local referendums. 4.3 Referendum on Constitutional Changes The referendum is considered as the only instrument of constitutional amendments, because the Constitution was previously approved by a popular referendum. Constitutional amendments required to be adopted by a popular referendum should be legally defined and not left in the hands of politics through their approval in the Parliament alone. 4.4 Other issues that could require a referendum Constitutional changes should be clearly separated at least in two categories: changes affecting the constitutional essence of the system and changes that are made to better adapt the document to reality. The first group amendments must be endorsed by a popular referendum because they aim to change something that has previously been approved with a referendum willpower. Rights to be granted to minorities, approvals for loan agreements, ex-politically persecuted payments from the state budget etc. are issues that should be addressed via referendum because they affect the lives of the overwhelming majority of people. References Afrim Krasniqi, ‘Testi i referendumit të dhjetorit’, Tirana, 7 December 2013. Christoph Graf, Swiss Ambassador in Albania, Dialogue with the students of the European University of Tirana, 2016. Elliot Bulmer, ‘Direct Democracy’, Stockholm, 2017. Ilda Jeha, ‘Evolution of Albanian Constitution,Tiranë, 2017. Ivan Krastev, ‘ In mistrust we trust’ ISHM, Tirana, 2015. Olga Aristeldou, ‘ Referendum, the “tricky” instrument of direct democracy’, International Development, June 8, 2016.
421
VOLUME No.1
217 218 219
Conference Proceedings Richtmann Publishing LTD, UK
UNDP Tirana, ‘The Human Development Report – Albania’, Tirana, June 2016. Valbona Pajo Bala, ‘ The Culture of referendum in Albania’, Academicus, 2016.
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
"Bastion" in a Global Dimension Erindi Bejko Muncipality of Tirana Tirana University Abstract The prominent Left / Right Issue character in European politics is confirmed by empirical studies that broadly support the idea that voters mostly vote according to their position in this dimension, not only in 1 national elections but also in Europian Parliament elections. In relation to the institutional factors there are two moderate associations and a relatively strong association in the ideological dimension. Gallagher's disproportionate index is negatively associated with ideological harmony, which is contrary to our expectations. On the other hand, the size of the circle seems to be very related to ideological harmony. The association between the index of fractionalism and ideological harmony is moderately positive. Finally, the data do not show the relationship between Dalton Polarization Index and ideological harmony. On the other hand, we find empirical support for our hypotheses that district size and 2 fractionation are positively related to ideological harmony. In a proportional electoral system, the electorate votes on specific parties and their votes should be translated into mandates. There are various mathematical techniques to do this, but each method has a common thing. Keywords: bastion, loyalty of the electorate, democracy
1.
Introduction
Political parties are often seen as actors who abuse their powerful position to extort bribes, providing members and followers with lucrative positions in public, or to channel public resources into the hands of party leaders and supporters. Party corruption is particularly problematic in developing and transition countries where political and economic institutions are not fixed yet. In the long-term spectrum, party corruption could undermine public confidence and threaten the stability of democracy. The main functions of political parties in modern democracies include mobilizing voters to support political agendas, selection of candidates for public office and the organization of election campaigns. To win the Mayority of seats and thus to control the government, the parties compete with each other for votes. Election campaigns are expensive. Political parties and candidates need large amounts of money to print posters, brochures and leaflets, or pay TV and radio in order to make known their message to voters. They have to pay the staff and must buy accessories to organize and run the campaign, including the trips of candidates and party leaders. Therefore, the economic and financial part is an important issue in political competition. Under financial pressure, the two candidates and party leaders may be willing to accept illegal payments or donations provided by wealthy donors in exchange for promises of future favors 3. 2.
Methodology
A serious necessary study on the political developments of the last ten years, requires a focus of attention especially on methodological issues. Selection and use of appropriate method is essential 1
Rosema, M., Aarts, K. and Denters B. 2011. How Democracy Works: An Introduction. . In: Rosema, M., Denters, B. and Aarsts, K. (eds.) Political Representation and Policy Congruence in Modern Societies. Amsterdam: Pallas Publications 2 Dolný B, Baboš, P (2014), Voters-Elite Congruence in Europe: Loss of Institutional Influence, Innsbruck, Austria 3 Verena Blechinger, Corruption and Political Parties Management Systems International 600 Water Street, SW, Washington, DC 20024 USA
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
for the generation of scientific knowledge and its generalization. So in this chapter shall be treated methodology, used in this study, the method selected and the reasons for choosing this method. Also will be discussed problem of the study, the research questions that arise and the implications of the study. Along with this will appear selection of sample and data collection and the characteristics of the selected sample. Referring to studies, observations, information from various visual and electronic media etc. One of the important sources of information for this work will be the results of the election bulletins, records of Local Election Commission areas called bastions, as an important element in the process of studying the empirical data. Theoretically, they are used authors who have laid the first theses on the definition of the bastions, where as a result of requests made formally electronically, universities such as Cambridge, Oxford and Harvard have provided them with material assistance.4 3.
A Performance Theory
The purpose of change
Scope (Goal) refers to whether the change is increasing, including only part of an organization or strategy that involves most of the organization. Time refers to whether the change is preliminary and occurs before the environmental or reactive events and follows these events. From these differences emerge the following types of organizational adjustments: Tuning involves increasing changes in anticipation of external events. In the context of political parties, the accord may include hiring new staff members ahead of the election or involving a research unit to conduct pre-election observation. Adaptation applies only to additional changes such as the occurrence of external events. Reorientation produces substantial organizational changes in anticipation of an external event. The "Guidelines" adopted by the US Democratic Party for 1972, the selection process illustrates the reorientation of the party. Re-creation results produce substantial changes in response to Mayor events that threaten the survival of the organization. The ex-communist East European parties transformed illustrate the theory of re-creation. When confronted with typology, scholars have to decide what kind of change they refer to when they talk about "adoption" (adaptation). First, do they mean a prior change or a reactive sense? Secondly, do they mean growing or strategic change? While the literature fails to make such distinctions, researchers seem to be more concerned with the change in response to environmental change and perhaps more preoccupied with strategic changes than a growing change. Of course Wilson addresses strategic changes in his important writings in party transformation - "that kind of party change that produces new styles, organization, tactics, and interparty relationships".5 4
Freier.R and Odendahl. C, (2012), Do Parties Matter?Estimating the Effect of PoliticalPower in Multi-party Systems, Berlin, 2012 5 Nadler, David, and Michael Tushman. 1989. “Beyond the Magic Leader: Leadership and Organizational Change”, “The Management of Organizations: Strategies, Tactics, Analyses”. eds. Michael L. Tushman, Charles O'Reilly, and David A. Nadler. New York: Harper and Roë. Pp. 533-546
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Bastions in Different States
4.1 California
California seems firmly blue. Both US Senators and 34 out of 53 (64%) congressional representatives are Democrats, while Democrats also hold strong Mayority in both state legislative chambers and hold all offices from the eight selected seats. President Obama won 61 percent of the nationwide vote in 2008. In November 2011, he was well-researched against Republican candidate Mitt Romney, 50 to 40 percent (10 percent undecided). Although voters Californians are solid Democratic voters hold important elements of conservative confidence in most of the state. On an ideological scale ranging from a conservative to a strong liberal, public opinion data show that California on average falls in the midst of little by the conservatives. Across the country, Californians are divided between those who say they are willing to pay higher taxes on more government services (48%) and those who would prefer to pay less taxes and less services (43 %). And both, California's white and black non-Hispanics are that emigrants are a burden to the state (48%), rather than a benefit (44%). In fact, the increase in support of Democrats over time has not been uniform across the country, but has had a strong geographic dimension. It is common to say that a north-south division with the north towards the Democratic vote and the South towards the Republican vote has been replaced by a east-west or other secession and coastline (where the coastline is inclined to vote for Democrats and that part the voting tendency for the Republicans). But this stenography shows only part of the story. In the late 1960s and early 1970s, Bay Area was the most Democratic region in the presidential election, and the central and southern coasts outside of Los Angeles were reputedly solid. The presidential vote is a good measure of the general partisan complexion of a community, because the presidential race is high profile and tends to address the central political issues of the day. Over time, any region except California has moved to the Democrats.6 Analysis of races that demonstrated division along the ideological or geographic lines in Seattle, November 2008. There were altogether 47 voting points. Each of these voting facilities was divided into four categories: party affiliation (Democrat vs. Republican), social issues, fiscal / tax issues, and local candidate. According to the results of the tables for each of the 951 polling districts, each Seattle area designated in one of the four categories results. A score of 100 showed that in the area there is a strong progressive voting history, while a score of 0 indicates the most conservative record. The results were grim: although some circles appeared on top of the four lists, the others had 6
Public Policity Institute of California, Eric McGhee/Research Fellow, Daniel Krimm/Research Associate
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
drastically different positions. Some of the Seattle's blueest quarters have remarkable conservative convictions on taxation, cultural affairs or local politics. Seattle is a very democratic city because every voter for Mitt Romney has had 6 voters for Barack Obama. However, Romney actually gained a territory, BROADMOOR at Madison Park, where he got 56 percent and Obama 43 percent. Elsewhere, Republicans have historically been competitive. Lawmakers, Laurelhurst, Madison Park and Magnolia Bluffs are all rich in substantial conservative minorities. A total of 49 districts in these areas, people under the age of 50, marked 100-point scale for the Democrats' Party. That's not much, but it's enough to make the Republicans a significant minority in the Seattle electorate.7 4.2 Europe Although the importance of shifting power-holders has gone unnoticed in general, casual observation suggests that political circulation has been a healthy development for governance in Eastern Europe. In the first round of free elections in Southeast Europe, right-wing parties were often victorious; but a few years later, suddenly reformed communist parties returned to power in Lithuania, Poland, Slovenia and Hungary. Despite what many feared then, the left-wing coalitions went to the right wing to be able to keep the key reforms intact. Instead of jeopardizing democracy, these regular transition between political parties of different ideology gave new democratic stability by improving governance. By contrast, countries that do not experience an alternation in power are generally worse worse, for example, Serbs under Milosevic, Belarus under Alexander Lukashenko and Uzbekistan in Islam Karimov. In Russia, limited change in power allowed business groups that had captured the state with Boris Jelcic to keep (with some exceptions) their privileged position and remain successful in buying from the influence of Vladimir Putin. This lack of energy alternation and the absence of a credible opposition have had a negative effect on all aspects of governance in Russia.8 There are two types of political alternation in post-communist countries: the alternation of leadership and ideological alternation. Leadership overwhelming means a change of personnel in executive control, whether or not the leader is the same party as the offspring. In a presidential system, such as Russia, leadership alternation involves a change of president, such as the shift from Boris Jelcov to Vladimir Putin. In a parliamentary system, such as the Czech Republic, a leadership alternation involves replacing a prime minister (and ruling coalition) by another. By contrast, ideological alternation means a shift of power between parties or coalitions with different ideologies. In transitional countries, almost all ideological alternatives so far have been between the center-right and the center-left. Political parties adopt inclusive policy development models for a variety of reasons. Some parties cite ideological values or reasons on the inclusion of members and citizens in policy making. Others are more practical, emphasizing the fact that consultation often provides for stronger and more important policies. For example, health care policies that include the opinions of medical experts and doctors in services, along with those of healthcare users, are more likely to be realistic, meaningful, and enforceable.9 4.3 France Political Change in Rural Areas France: The 1967 Elections in a Communist Bastion During his stay in South West France, the traditional policy model of two alternative governments, the influence of the mass media, and the diminishing parliament's power, have posed two problems. First, national political issues increasingly affect voter feedback: however, there remains a strong preference for politicians who are effective in protecting local interests. Second, 7
Anderstone - Seattle-based political consultant – study January 2014 Rafael La Porta, Florencio Lopez-de- Silanes, Andrei Shleifer, and Robert W. Vishny, “The Quality of Government,” Journal of Law, Economics, andOrganization, vol. 15, no. 1 (1999), pp. 222–79; 9 National Democratic Institute, NDI, 2011 8
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
however, people are no longer certain that old ways of protecting local interests are better. So the Gaullists, though weak in the field, could launch a huge drive against prominent local Radicals and Socialists, who dominated local government and called on all spectrum of anti-communist voters. Gaullists can use some weaknesses in the positions of their opponents. First, the executive and not the legislature was now found and only Gaullists had access to it. Secondly, in Paris, the radical and socialist parties had joined the Left Federation, which had an electoral pact with the Communists, but in Corrèze, their nobles hating communists emphasized national affairs and party disciplines: whether they would resist these trends would dwind in favor with the golfer, or in inactivity, the result was bound to weaken the non-communist opposition. Third, voters from all parties were dissatisfied with local leaders who did not have ideas and neglected regional needs: dynamic young golfer candidates, even if they had support in some local support areas that they had long won, could present an appealing new electoral style.10 4.4 Switzerland Party battalions and political battles 1971-2011 in Switzerland In the war between the Swiss People's Party and the Social Democrats in Vaud Canton and Uri Canton as a traditional Radical Party bastion in a "neck-to-neck" race in the outskirts of Geneva; National elections since 1971 are full of stories. A close look at the House of Representatives local elections from 1971 onwards revealed 24 different political parties competing for votes in the 11th parliamentary elections held in 2345 municipalities over the past 40 years. There are municipalities where a political party individually regularly earns more than 80% of the vote. Others undergo radical change every four years. And then there are municipalities where a small party has risen to the fore over the years at the expense of others. The Swiss Broadcasting Corporation (SBC) - The Soissinfo, the parent company - has analyzed the election results for the House of Representatives, one of the two parliamentary chambers from 1971 to 2011. Detailed data from the Federal Bureau of Statistics shows that Switzerland's political landscape resembles a patchwork carpet that changes its colors every four years. There are many municipalities where the parties are "neck-necked", as in the suburbs of Geneva. There, the five main political parties from right to left all earn about the same percentage of votes in Versoix, Thônex and Bernex municipalities in the 2011 elections, which is considered to be the most typical Swiss city. To speak statistically is Frauenfeld, in the east of the country, where the results of the past elections in 2011 show the lowest difference on average compared to results nationwide.11 4.5 Italy Electoral Democracy, Revolutionary Politics, and Political Violence: the emergence of fascism in Italy, 1920-1921 Comparing among the 69 provinces of Italy, based on historical quantitative and qualitative evidence, a special pattern of fascist violence is revealed. They mostly attacked the provinces where the socialists enjoyed the greatest electoral support. This model was a product of two historical processes: (a) the threat of the Socialist Party to the owners of "economic and political hegemony and (b) owners", the tradition of militant anti-worker organization, culminating in their alliance with fascists. The fascist struggle "for taking political power" was not an indispensable historical necessity. This was first of all an anti-socialist reaction. He was in the form of two levels: "from below," by the political power and radicalization of the PSI and the paramilitary capacity of fascist teams; and "from above" with the active support of fascists taken by the owners and the state. Supported by the owners, organized and blessed by the authorities' benevolence, the teams were able to 10 11
J.H.G. Lord, A.J.Petrie and L.A.Whitehead (Nuffield College, Oxford Timo Grossenbacher, Mark Hintz and Christoph Schmid
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
physically and politically destroy governments in the legitimate provinces of the Socialists. Alliance with designated owners "attacked almost all provincial socialist bastions that posed the greatest threat to owners, while provinces dominated by the ruling Liberal Party were expelled from the road of punitive expedition teams.12 4.6 Netherlands The Mayor political change in Ascension Parish once considered a Democratic bastion became a bastion of Republicans As of June 1, nearly 49% of all voters registered in Ascension Parish live in the area north of La district. 74 and west of La. 431 this includes the Dutch city, Prairieville and Galvez. The registration at the zone level with voter registration shows the data. Of these voters, 40% are registered as Republicans, while 29% are listed as "others". Parishëide's voters are registered in Republicans and in other parties that have risen sharply since 1990. Democrats were slightly absorbed in that period, but still retained a census advantage, albeit a narrow edge. Although, in the previous term, 2008-2012, by five Parishëide, officially elected were Democrats or non-party people, there were no Republicans. But Martinez, is the first president of the Ascension Commune since the mid-1990s and has always been on the ballot paper since then, even though he has lost twice. "The dynamics of the change of recent years are due to all people moving in the communes" -MJ assessor "Mert" Smiley Jr. was a Republican who defeated a Democrat in office in October 2011. The race included extensive areas of the Ascension and St. James municipalities Verdigets defeated Parenton with 3638 votes in these areas, which helped him win by about 512 votes. Martinez and other observers say voters who are not as familiar with local candidates are likely to vote for the R candidate behind the name. The trend of voting is to vote with the party line. But from the 17 November runoff, participation in the Prairieville and Dutcwa areas dropped from 10% to 20% in the analysis of election results.13
4.7 Vietnam (Ideological Legacies and Political Consequences) Clearly, ideological (socialist) legacies have helped shape the Vietnam trajectory of liberalization. The communist government has been largely pro-poor, demanding to legitimize itself in terms of its ability to produce economic growth and improve living standards. Since its reunification in 1976, Vietnam has experienced extremely stable and coherent political leadership. However, over the last 12 13
The British Journal of Sociology ; Volume 51 No. 3 September 2000 ; pages 461-87 The Advocate – by David J. Mitchell
decade, a two-part ideological divide has emerged between introducing an open system of economic management and a conservative political system. This has resulted in structural tensions in the application and dissemination of policies. In the debate on poverty, important questions have been raised about how to combine capital growth; how to balance target-led approaches to broadbased policy-oriented solutions; and how to combine growth policies with policies designed to address new forms of sensitivity that have emerged from liberalization. In the early 1980's, Vietnamese party leaders were explicitly focused on the policies they thought were good for the poor; however, these policies have not responded to the current desires of the poor as ideological dogmatism and weak institutional channels have hindered leaders from listening to and understanding popular discontent. Therefore, some argue that Vietnam has improved both efficiency and accountability since the liberalization of the economy, despite falling into a ideological priority set for the poor and for equality.14 The difference between several groups of citizens and dimensions "The difference between voters: left-right vs. integration into the EU The argument is that ideological attitudes are more important than attitudes to unity, because the ideological attitudes that structure electoral competition. The visibility of the association between the harmony and the importance of the dimension is inspected in Table 1, column 2. Empirical analysis shows that only three countries have higher ideological harmony between voters and representatives, compared to the harmony of union. In three countries, the ideological harmony is higher than the harmony of EU integration by only one percentage point. In general, the change goes to almost one percentage point in Germany, Belgium and Bulgaria, to minus 32 percentage points in the UK.
State Austria Belgium Bulgaria Denmark France Germany Grecee Hungary Italy Poland Portugal Slovakia Spain United Kingdom
285 286 287 288 289 290 291 292 293
Conference Proceedings Richtmann Publishing LTD, UK
Voters Vs. non-profit (in Interested vs. Not interested (in dimensions) dimensions) integration integration left-right left-right into the EU into the EU -28,00% 19,19% 22,75% 9,32% 1,00% 14,15% 4,63% 17,32% 1,00% 17,03% 0,67% 3,39% -25,00% 7,00% 9,42% 10,79% -12,00% 17,00% 4,80% 16,11% 1,00% 26,86% 17,71% 10,00% -12,00% 1,51% 1,56% 6,01% -5,00% 29,49% 13,67% 2,95% -21,00% 16,27% 4,37% 12,28% -7,00% 13,27% 5,25% 8,47% -5,00% 7,87% 12,69% 9,45% -8,00% 7,07% 18,72% 5,92% -21,00% 6,42% -5,77% 18,02% -32,00%
29,89%
10,82%
24,47%
Voters with low education education (in dimensions) integration left-right into the EU 14,36% 0,24% 14,63% 17,86% 1,14% 6,00% 7,36% 22,14% 11,95% 14,69% 5,28% 12,53% -3,38% 15,00% 7,59% -5,96% 4,39% 4,99% -3,97% 4,34% 9,46% 13,66% 2,54% 5,04% 11,07% 19,67% 4,70%
15,32%
The set of institutional hypotheses has been tested by non-parametric bivariate correlations. We have expected that the higher the proportion, the high size of the district, the high effective number of parties and the polarization system, will be associated with the highest harmony. The constellation of the southern states and a Nordic group that can be detected in plot with the positioning data is not supported by the plot of voting data, leaving a slight impression of the correspondence coherence between the two analyzes. But once again this can be explained by the low percentage of negative votes in voting data. It is important to bear in mind that these are only successful approved proposals that are part of this set of data, which naturally leaves little room for
14
Conway, Tim, 2003 Politics and the PRSP approach: Vietnam case study. Draft for comment: ODI for DFID: November 2003
429
VOLUME No.1
294 295 296 297
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
change between countries.15 The origin of the ruling parties that have long resisted (Electoral sustainability, contested regime) State Austria Australia Belgium Canada Japan Lihtenshejn Lihtenshejn Luxenbourg Samoa South Afrika Sueden
Political Party SPO LP+CP CVP LP LP/LDP (I) FBP (II) VU (II)CSV HRPP (I) NP SAP
The beginning of the month April -70 December-49 April-74 October-35 December -54 July-28 April-78 July-79 April-88 June-48 September-36
The end of the month February-00 December -72 July-99 June-57 August-93 March-70 April-01 May-94 October-76
298 299 300
The new electorate - The contested controversy
301 302 303
Candidates in previous closed autocracies
304 305 306 307
Other autocrace candidates that have lasted more than 20 years. Ruling Vs. Electoral Risk
State Potitical party The beginning of the month The end of the month Months Belarus Lukashenko July94 221* Antigua dhe Barbuda LP Nov81 May 04 268 Austria OVP December-45 April - 70 292 Botsuana BDP September-66 555* Gambia PPP February-65 July-94 353 German Ëest CDU+CSU September-49 October-69 241 Guyana PPP/Civic October-92 242* India INC August-47 March-77 355 Israel ILP May-48 June-77 349 Italy DC Prill-48 June-81 398 Luxenbourg (I) CSV October-45 June-74 344 Malaysia UMNO/BN August-65 568* Namibia SËAPO March-90 273* Russia Yeltsin/UR December-91 252* Singapore PAP August-65 568* South Africa (II)2 ANC May -94 223 Trinidad dhe Tobago PNM August-62 December-86 292
State Cameroon Djibouti2 Gabon2 Bongo/ Meksikë Senegal Mozambik2 Sisshel2
Political Party CPDM RPP PDG PRI PS FRELIMO SPPF
The beginning of the month October-92 May-93 December-9 3 July-46 February-78 October-94 July-93
15
The end of the month Months 242* 235* 228 December-00 653 April -00 266 218* 233
Can positons on single-issues explain voting behaviour in the Council of Ministers? An Empirical Analysis of Decision-making in the European Union Vibeke Wøien Hansen
430
VOLUME No.1
State Albania Burkina Faso Bulgaria Ivory Coast P Cameroon Djibouti Ethiopia Gabon Bongo Guinea Kenia Mongoli Mozambique Paraguai Senegal Seychelles Chad Tanzania Turkey Taivan
Conference Proceedings Richtmann Publishing LTD, UK
Political Party SPA CDP BSP DCI CPDM RPP EPRDF PDG PUP KANU PRI MPRP FRELIMO PC PS SPPF Deby/MPS CCM RPP KMT
The beginning The months of the month under risk January-46 March-91 October-87 November-98 November-46 June-90 August-60 October-90 January-60 October-92 June - 77 May -93 May-91 May-95 March-68 December-93 April-84 December -93 December -63 December -92 December -24 July-46 September-21 July-90 September-74 October-94 August-47 May-93 August-60 February-78 June-77 July-93 December -90 June-96 April-64 November-95 October-23 July-46 December -49 March-96
ICHSS 2017 Barcelona, Spain
The end of the month April-92 December-90 December-993 December -083 December -02 November-00 July-96 August-08 April-00 May-50 May-00
*The party still in power; holding calculated until December 2012. Personal duty: there is no turnover in leadership calculated on autocracies once closed from month 1; multiparty elections held for the executive director completed with regime change.16 4.8 Taiwanese voter behavior (is a global phenomenon) The normal vote theory was also used to explain the consequences of the main electoral results (1955, Campbell, Converse, Miller, and Stokes, 1960, Flanigan and Zingale, 1974). Similarly, separate voting analysis shows the pattern of normal vote (Burnham, 1965). Beck (1979) identifies "alignment - changing ideas to adapt to the group - reconstruction" of electoral periods, as a cycle that repeats itself every thirty years. During the period of changing ideas to adapt to the group, party labels are far less useful as guidelines for electoral behavior than in other periods. The Bartels analysis of the partisan vote shows that the party influence in party choice has dropped significantly in the 1960s, but it has regained its momentum ever since.17 Political bastions, evidence from Indian states 1971-2005 Suppose that party A wins in an 'i' electoral zone and party B wins in an 'j' electoral zone. Party A and Party B may be the same or different parties. Then, (a) for each winning margin, if Party A's vote in the Electoral Zone 'i' is higher than that of Party B in Electoral Zone 'j', Party A force in Electoral Zone i 'is greater than the force of party B in' j 'electors; (B) for any given ballot stake, if the winning margin of Party A in the Electoral Zone 'i' is higher than that of Party B in the Electoral Zone, the Party A force in zone 'i' is longer greater than the force of party B in electoral zone 'j'; and (c) if the winning margin (the winning party's share of the winning party) in an electoral zone increases, the rate of increase in the strength of the winning party in that constituency due to the increase in the voting margin (the winning margin) shall be increased. The measure of the Z force, ie the winning party in an electoral zone, must meet the following three characteristics. і (A1) і > 0 16
Kharis Templeman, The Origins of Dominant Parties, Social Science Research Associate Center on Democracy, Development, and the Rule of Laë Freeman Spogli Institute Stanford University 17 Party voting in comparative perspective: The United States, Taiwan,and Japan dissertation/ Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Chia-Hung Tsai, M.A.
Conference Proceedings Richtmann Publishing LTD, UK
і
(A2) (A3)
і )
ICHSS 2017 Barcelona, Spain
> 0 dhe ) )
> 0,
,
, ,
>0
where black, you and me show the power of the winning party, share the winning party votes and the winning margin, respectively, in the 'i' zone. In other words, any function zi = f (vi, mi) that complements (A1) - (A3) can be considered as a measure of the winning party power in zone 'i'. For simplicity, we can consider that black = f (vi, mi) = vimi, Therefore, if black = vimi ≥z, we can say that i in the electoral zone is a bastion of its winning party. Now, note that there is no clear way to determine Mr's critical value. It seems to be more compelling to set the critical value based on the observed values of Z, rather than considering arbitrariness. Thus, it can be considered that: z = [meaning(z)] 1 + , ℎ≥0 For an electorate to be a bastion of a party, the MPs must be gained in that country and the force of that party in that constituency should be greater than or equal to (a multiple) of the average (black) all winners in their respective areas in one state. For the purposes of this analysis, we first consider that H = 0. We also consider alternative h values to check the stability of our outcomes. In the bastion definition measure (s) as a percentage of electoral zones in which the party's decision of a state has bastion. This is s_ (w = n_i / n 100) where n is the total number of electoral zones in a state and (ni ≤ n) in the number of areas in which the ruling state party has a bastion, as defined above. Clearly, the highest value in a state shows a greater number of safe areas for the ruling party of that state, namely the probability of the ruling party to win in the upcoming elections is quite high in most major electoral zones. So it is emphasized that, in existing literature, an electorate is often regarded as a party's bastion, if the party has won all the previous elections during a certain period in that electorate. However, such categorization does not appear to be appropriate due to the following factors. First, the results are likely to be different for different lengths of the reviewed period, and there is no clear way to choose the length of the period. Secondly, it is quite possible that a party wins an electorate in all elections held over a certain period of time by a negligible difference, or simply by chance. Thirdly, zoning boundaries are set at a regular interval in many places including India, which makes it difficult to find a certain electorate on a reasonable outline at times that often lead to significant changes in the geographic boundaries of the zones, as well as the composition of voters in large areas.18 Creating a distribution of the political power of the regional elites in Ghana, as well as examining the relationship between poly poly-disparities. and socio-economic inequalities in the Ganian context Ghana has adopted a new Constitution in 1992, launching the fourth policy of regional inequalities in the country: the state elites, donors and the PRSP Republic in 1993. The fourth Republic of Ghana is characterized by a de facto bipartisan system, which the National Democratic Congress (NDC) and the New Patriotic Party (NPP) dominate national elections. The NPP has won two presidential and parliamentary elections in 1992 and 1996 and lost those of 2000 and 2004. On the other hand, the NPP lost in 2008 and 2012. There is no strong ethno-racial base of competition between these parties. The NPP has its geographic bastions in Ashanti and in the eastern regions. The Volta Region has consistently remained the "bank of vote" for the NSC, with three northern regions that have been NDC bastions. The other four regions are generally considered to be at a competitive pace between them and narrows down for the two main parties.19 Privileged voter populations point to a transition country, where minorities, especially Hispanics and Whites college graduates, are increasingly important, but white working-class voters have played a central role. The most important for the 2008 elections is the demographics of voter 18
Arun Kaushik and Rupayan Pal; University of Bologna, Italy; Indira Gandhi Institute of Development Research (IGIDR), In India Article 82 of the Constitution directs Parliament to enact a Delimitation Act after every Census 19 The politics of regional in Ghana: State elites, donors and RPSPs, Abdul-Gafaru Abdulai and David Hulme 1 – Octomber, 2014
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
populations with different rights, aged citizens (+18) both in Pennsylvania and the United States. First, the focus is on four major demographic segments defined by race, age, and education in which the political interest is higher: minorities, white colleges aged 18-64, white working class (graduates without college) aged 18-64 and the elderly white (65 and above). The last two groups are falling but still major and important parts of the Pennsylvania electorate. Pennsylvania as a whole, almost half (49%) of electorate is a white working class, 18% are white elderly, another 18% are college graduates, and 14% are monies. However, there is not a big change across the state in the size of these key segments in 2006, as well as in the way their numbers have changed since 2000. White-collar workers account for the bulk of the electorate.20 5.
Conclusions
Harmony means how similar are the preferences of voters, their representatives and government policies. The degree of harmony is often regarded as an indicator of efficiency of functioning of political representation.21 In a proportional electoral system, the electorate votes on specific parties and their votes must be translated into seats. There are various mathematical techniques to do this, but each method has one thing in common. As an example, assume a council of ten countries, three parties and 100 voters. If the result is 35 votes for party A, 33 B and 32 C, the distribution will be 4, 3, 3. If the result is 35, 36, 29, the distribution will be 3, 4, 3, even though the party A received more votes than before.22 Voting behavior is oriented towards the ideology as a result of history, so there is no more decisive effect of the candidate or party organization. The only factor that can lead to fatigue orientation of vote towards stronghold is an economic one , but that will not overturn the foundations of the bastion, at least in the future 10-years. References Rosema, M., Aarts, K. and Denters B. 2011. How Democracy Works: An Introduction. . In: Rosema, M., Denters, B. and Aarsts, K. (eds.) Political Representation and Policy Congruence in Modern Societies. Amsterdam: Pallas Publications Dolný B, Baboš, P (2014), Voters-Elite Congruence in Europe: Loss of Institutional Influence, Innsbruck, Austria Verena Blechinger, Corruption and Political Parties Management Systems International 600 Water Street, SW, Washington, DC 20024 USA, Freier.R and Odendahl. C, (2012), Do Parties Matter?Estimating the Effect of PoliticalPower in Multi-party Systems, Berlin, 2012 Nadler, David, and Michael Tushman. 1989. “Beyond the Magic Leader: Leadership and Organizational Change”, “The Management of Organizations: Strategies, Tactics, Analyses”. eds. Michael L. Tushman, Charles O'Reilly, and David A. Nadler. New York: Harper and Roë. Pp. 533-546 Public Policity Institute of California, Eric McGhee/Research Fellow, Daniel Krimm/Research Associate Anderstone - Seattle-based political consultant – study January 2014 Rafael La Porta, Florencio Lopez-de- Silanes, Andrei Shleifer, and Robert W. Vishny, “The Quality of Government,” Journal of Law, Economics, andOrganization, vol. 15, no. 1 (1999), pp. 222–79; National Democratic Institute, NDI, 2011 J.H.G. Lord, A.J.Petrie and L.A.Whitehead (Nuffield College, Oxford Timo Grossenbacher, Mark Hintz and Christoph Schmid The British Journal of Sociology ; Volume 51 No. 3 September 2000 ; pages 461-87 The Advocate – by David J. Mitchell Conway, Tim, 2003 Politics and the PRSP approach: Vietnam case study. Draft for comment: ODI for DFID: November 2003 Can positons on single-issues explain voting behaviour in the Council of Ministers? An Empirical Analysis of 20
Source: Authors’analysis of 2000 US Decennial Cenus and 2006 American Community Survey McDonald, M. and Budge, I. 2008.Election, parties, democracy. Oxford: Oxford University Press 22 McDonald, M. and Budge, I. 2008.Election, parties, democracy. Oxford: Oxford University Press. Freier.R and Odendahl. C, (2012), Do Parties Matter?Estimating the Effect of PoliticalPower in Multi-party Systems, Berlin, 2012 21
Conference Proceedings Richtmann Publishing LTD, UK
ICHSS 2017 Barcelona, Spain
Decision-making in the European Union Vibeke Wøien Hansen Kharis Templeman, The Origins Of Dominant Parties, Social Science Research Associate Center on Democracy, Development, and the Rule of Laë Freeman Spogli Institute Stanford University Party voting in comparative perspective: The United States, Taiwan,and Japan dissertation/ Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Chia-Hung Tsai, M.A. Arun Kaushik and Rupayan Pal; University of Bologna, Italy; Indira Gandhi Institute of Development Research (IGIDR), In India Article 82 of the Constitution directs Parliament to enact a Delimitation Act after every Census The politics of regional in Ghana: State elites, donors and RPSPs, Abdul-Gafaru Abdulai and David Hulme 1 – Octomber, 2014 McDonald, M. and Budge, I. 2008.Election, parties, democracy. Oxford: Oxford University Press Freier.R and Odendahl. C, (2012), Do Parties Matter?Estimating the Effect of PoliticalPower in Multi-party Systems, Berlin, 2012
434
VOLUME No.1
Conference Proceedings Richtmann Publishing LTD, UK
