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ISSN 2039-9340 (print)

ISSN 2039-2117 (online)

Mediterranean Journal of
Social Sciences

Vol. 8, No. 6, November 2017

November 2017
Mediterranean Journal of Social Sciences

Editor in Chief

Prof. Dr. Alessandro Figus, Link Campus University, Rome, Italy

Deputy/ Managing Editor Claudio Foliti, Sapienza University, Italy

Editorial Advisory Board Marco Cilento, Sapienza University, Italy


Gianluca Senatore, Sapienza University, Italy
Vincent Hoffmann-Martinot, University of Bordeaux, France
Editors
Dimitri A. Sotiropoulos, University of Athens, Greece
Marcel Pikhart, University Hradec Kralove, Czech Republic
Werner J. Patzelt, University of Dresden Germany
Arda Arikan, Akdeniz University, Antalya, Turkey
Sibylle Heilbrunn, Ruppin Academic Center, Israel

Language Editor Marsel Cara, Sapienza University of Rome, Italy

Technical Editor Igor Baglioni, Sapienza University, Italy

ISSN 2039-9340 (print)


ISSN 2039-2117 (online)

Vol. 8, No. 6, November 2017

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Mediterranean Journal of Social Sciences

Vol. 8, No. 6, November 2017

ISSN: 2039-9340 (print)


ISSN: 2039-2117 (online)

About the Journal

Mediterranean Journal of Social Sciences (MJSS) is a double blind peer-reviewed journal,


published six times a year in January, March, May, July, September and November. The
journal is established in 2010 and from January 2017 it is published from De Gruyter Open.
Special editons and supplements will published from the owner and founder MCSER
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greater global exchange of knowledge. All manuscripts are subject to a double blind peer
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Editor in Chief, Alessandro Figus


Link Campus University, Rome, Italy
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Vincent Hoffmann-Martinot Nanjunda D C


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Hamdan bin Said, Talat Islam
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Georgios A. Antonopoulos Isara Tongsamsi
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Vennila Gopal S.E. Onuebunwa
Bharathiar University, Coimbatore, India Federal College of Education (Technical),
Eddie Blass Omoku-Nigeria
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Hanna David Arabia
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Raphael C. Njoku Razi University, Iran
University of Louisville, USA Santosh Kumar Behera,
Ali Simek Sidho-Kanho-Birsha University,
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Abel Gwaka Anyien, Newman Wadesango,
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MW Lumadi, Nuria Rodríguez Priego,
University of South Africa, UNISA, South European Commision, Institute for
Africa Prospective Technological Studies /
Gerhard Berchtold University of Granada, Spain
Universidad Azteca, Mexico Prof. Ravinder Rena
Samir Mohamed Alredaisy University of the Western Cape, South
University of Khartoum, Sudan Africa
Austin N. Nosike Elena Popkova
The Granada Management Institute, Volgograd State Technical University
Spain George Aspridis
Lawrence Ogbo Ugwuanyi Technological Educational Institute of Larissa,
University of Abuja, Abuja-Nigeria Greece
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TABLE OF CONTENTS
Articles
The Effect of Exploitation Capacities on Organizational Performance: An Empirical Analysis 9
Geovanny Perdomo-Charry, Nelson Lozada Barahona, Alexander Zuñiga-Collazos
Burnout and Depressive Symptomatology of the
Employees in Institutions of Chronic Diseases 17
Vasiliki Brouskeli, Eustathios Giakovis, Maria Loumakou
Policy Identification of the Working Capital Management of Medium-Sized Business 29
Christian Herdinata
Exploring the Gap Between Male and Female Employment in the South African Workforce 37
Elaine Sinden
As the Beat Goes on in Syria, is There an Exit Route? 53
Osaretin Idahosa, Harrison C. Ajebon
The End of a Custom: A Social Necessity or a Lust for “Modernisation”?
The Case of Sergiani in Megala Kalyvia (Trikala, Greece) 63
Konstantinos Dimopoulos, Vasiliki Tyrovola, Maria Koutsouba
The Project Evaluation for Development the Learning Integrated Model between the
International Program (IP) and the Fundamental Level Curriculum in
Education Hub Project of the Ministry of Education, Thailand 73
Teeradet Chuenpraphanusorn, Jongkon Boonchart, Ongorn Snguanyat,
Amuka Wachirawin, Sarawut Chimbuathong, Kanchulee Moonlapat, Chanin Thitipetchkul
Relation between Social Conservatism, Moral Competence,
Moral Orientations, and the Importance of Moral Foundations 81
Ingrida Trups-Kalne, Girts Dimdins
Congregation of the Condemned: Decades of Discontinuous
Debates on Death by Design in Southern Nigeria 91
Emmanuel Imuetinyan Obarisiagbon
A Study on the Relationship between Money
Supply and Macroeconomic Variables in China 99
Yugang He
Indonesian Law Development on Housing Collateral 109
J Andy Hartanto
Sexual Promiscuity and Health Issues among Female Undergraduate
Students in Adekunle Ajasin University: Counselling Implications 117
Beatrice O. Ajidahun
Mobile Commerce Switching Intentions in Thai Consumers 123
Kedwadee Sombultawee

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The Effect of Residents’ Attitude toward Tourism on their Pro-Tourism Behaviour: 135
A Case Study of Hua-Hin Prachubkirikhan
Noppanon Homsud
Phenomenology of Unsustainable Sanitation in Developing Countries: 143
Case Study Sedati, Indonesia
Suning, Pungut
Analysis of ECOWAS Institutional Framework for Conflict Management 149
Odobo, Samuel Osagie, Andekin, Amos Musa, Udegbunam, Kingsley
Academic Cheating in School:
A Process of Dissonance Between Knowledge and Conduct 161
Andrian Pramadi, Marthen Pali, Fattah Hanurawan, Adi Atmoko
Radicalization as a Functional Aspect of Crime 169
Paul Kombo
Investigating the Causal Relationship between Inflation and
Trade Openness using Toda–Yamamoto Approach: Evidence from Zambia 177
Chibvalo Zombe, Lincoln Daka, Christopher Phiri,
Oliver Kaonga, Francis Chibwe, Venkatesh Seshamani
Effect of Pharmacist Counseling on the Success of Therapy and the
Quality of Life of Hypertensive Patients in a Hospital in East Nusa Tenggara 189
Magdarita Riwu, Gilang Yubiliana, Eli Halimah, Keri Lestari, Auliya Suwantika
Dyah Perwitasari, Ajeng Diantini

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Research Article

© 2017 Perdomo-Charry et.al.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
75
76
77 The Effect of Exploitation Capacities on
78 Organizational Performance: An Empirical Analysis
79
80 Geovanny Perdomo-Charry
81
82 PhD in Administration. CEIPA Business School,
83 Medellin, Colombia
84
85 Nelson Lozada Barahona
86
87 Mag. in Administration. Department of Administrative Sciences,
88 Universidad de Antioquia, Medellin, Colombia
89
90 Alexander Zuñiga-Collazos
91
92 PhD in Tourism Management, Faculty of Economics Sciences,
93 University of San Buenaventura-Cali
94
95 Doi: 10.1515/mjss-2017-0037
96
97 Abstract
98
99 The effect of exploitation capacity (EC) vis-à-vis organizational performance (OP) has not been
100 sufficiently studied and has low empirical evidence in developing countries such as Colombia.
101 Absorption capacity based on exploitation capacity (EC) is considered to have been relevant for
102 organizations in developing countries to significantly increase their performance via innovation. We
103 examined the effect of exploitation capacity versus organizational performance using a sample of 227
104 companies located in Medellin, Colombia. The main findings indicate that companies can generate
105 exploitation capacities in order to increase organizational performance, essentially seeking to combine
106 information from different sources for their benefit, thereby directly contributing to the growth of benefits
107 in the companies under study.
108
109 Keywords: Exploitation capacity, organizational performance, SEM
110
111
112 1. Introduction
113
114 Corporate studies already recognize and value absorption capacity as an important notion. Its
115 relevance is based on the possibility of creating and capturing new knowledge for the development
116 and growth of the company from a real and potential approach, as research on this capacity’s
117 construct is multidimensional (Zahra & George, 2002; Nieto & Quevedo, 2005; Lane et al., 2006;
118 Arbussa & Coenders, 2007; Grimpe & Sofka, 2009; Malhotra et al., 2015).
119 Therefore, it can be noted that Absorption Capabilities (AC) have increased considerably in
120 the literature over the last two decades, thereby expanding their conception, levels and research
121 dimensions both in companies and the environment. Hence, AC has acquired a second-order
122 construct denomination, composed of four-first order variables: 1) acquisition, 2) assimilation, 3)
123 transformation and 4) operation (Camisón & Forés, 2010, Kostopulos et al., 2011, Flatten et al.,
124 Engelen et al., 2014, Enkel & Heil, 2014).
125 Thus, the challenge of current research is to bridge the knowledge gap by studying the

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126 relationship between first-order constructs of AC, such as EC, with other constructs or variables
127 such as OP in developing countries. This statement is interesting, given the scarcity of empirical
128 studies in the literature regarding the effect that EC has on OP. This paper undertook to analyze the
129 effect of exploitation capacities on organizational performance, in a representative sample of
130 organizations located in the city of Medellin, Colombia.
131
132 2. Exploitation Capabilities
133
134 According to Zahra and George (2002), ACs are conceived as the ability of an organization to
135 generate processes, routines and business dynamics that facilitate generation of value based on
136 knowledge acquired in the external environment of the company. This is done through acquisition,
137 assimilation, transformation and exploitation. These are multidimensional variables which facilitate
138 an approach to the four dimensions from different viewpoints (Table 1).
139
140 Table 1. Dimensions of Absorption Capacity (AC)
141
Dimension Definition
Acquisition It refers to the possibility of obtaining knowledge from sources external to the company.
capacity
Assimilation It is associated with the possibility that the new external knowledge is understood and
capacity learned by the members of the company.
Transformation It is given by combining the two previous capabilities to create new knowledge that is
capacity useful for generating value in the company.
Exploitation Development of routines that allow the generation of new processes, products and
capacity systems that strengthen current capabilities, or which allow for the development of new
capabilities in the company.
142
143 Source: Authors’ own work, based on Zahra & George (2002), Jansen (2005) and Volberda et al.
144 (2010).
145
146 According to the table above – and in light of the purpose of this paper – the dimensions to be
147 analyzed are Exploitation Capacities (EC), whose fundamental objective is to study the effect that
148 EC produces on organizational performance. Therefore, EC is regarded in this paper as the
149 capacity that develops routines to apply and use knowledge, thereby enabling the creation of new
150 goods, systems and processes that improve current competencies and create new entrepreneurial
151 competencies (Cohen & Levinthal, 1990) all the while increasing OP.
152
153 3. Organizational Performance
154
155 Increasing OP has been one of the core issues of management (Neely, 1999). In practice,
156 entrepreneurs, leaders and scholars are concerned with understanding and analyzing this subject,
157 as evidenced by the extraordinary number of articles on the subject (Choong, 2014). In regards to
158 this understanding, Neely (2002) points out that OP can be understood as the level of achievement
159 attained by an organization, through information processing and analysis with the aim of supporting
160 decision making.
161 In this vein, Forza and Salvador (2000) argue that OP is management based on (i) providing
162 communication and (ii) collecting, processing and delivering information on performance and
163 activities of people which are not developed by individuals. Conversely, Julnes (2007) states that
164 OP is understood as any services, products and programs generated by the company which
165 produce information about the organization’s performance.
166 It is worth noting that it is only as late as the late sixties that organizational measurement
167 systems (OMS) are introduced, based on different metrics, measurement forms, and indicators
168 (Johnson, Johnson, Kaplan & Norton 1992; Kaplan & Norton 1996; White, 2008). However, Choong
169 (2014) deems it necessary to more appropriately define conceptual frameworks that combine
170 specific research interests, for the proper development of the OMS.

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171 Therefore, measurement researchers have argued in favor of and against a particular
172 performance measurement system called OMS (Choong, 2014), as research on this topic is
173 conducted in a prescriptive or historical way, thus leaving aside scientific, mathematical or logical
174 analyses (Neely 2005, Gunasekaran & Kobu 2007, Petersen et al, 2009, Sole & Schiuma 2010; &
175 Choong 2014), related to innovation – amongst other variables.
176 In fact, some research highlights the importance of the level of business innovation as a vital
177 aspect for organizational performance analysis (Danneels & Kleinschmidt, 2001). One of the
178 studies indicates that organizational innovation has a direct impact on performance, understood in
179 terms of sales growth, market share and profitability (Akgün et al., 2007). Another paper states that
180 OP linked to innovation can be studied from the perspective of return on investment for
181 shareholders. In turn, this would allow for comparisons to similar organizations both in terms of
182 potential investors and shareholders, so as to establish the investment level for a company (Ellinger
183 et al., 2002).
184
185 4. Exploitation and Performance Capabilities
186
187 The literature shows that the relationship between companies’ absorption capacities and
188 organizational performance is positive (Chen et al., 2009; Jiménez-Jiménez y Sanz-Valle, 2011;
189 Leal-Rodriguez et al., 2014; Tsai, 2001). Likewise, Ali et al. (2016) argue that absorption capacities
190 are one of the most important determinants of a company’s ability to acquire, assimilate, transform
191 and effectively operate new knowledge, aiming to increase innovation while directly impacting OP.
192 As a result, organizations are making efforts to increase AC, in order to exploit new knowledge both
193 internally and externally. Consequently, this contributes to high performance (Ali et al. 2016).
194 Companies that have knowledge-building capabilities will eventually have a better understanding of
195 new technologies, which will result in the generation of new ideas and the development of new
196 innovative products, services, processes or businesses (Tsai, 2001) thereby impacting OP.
197 Therefore, we propose the following hypothesis.
198 Hypothesis: Exploitation capacities have a positive effect on organizational performance.
199
200 5. Methodology
201
202 Data collection was conducted by way of the use of a questionnaire-type instrument. In order to
203 verify validity of the instrument used, we utilized the construct validity (factor analysis) method. In
204 terms of factor reliability, we measured the Cronbach’s alpha coefficient. The latter was calculated
205 in both cases as >0.800, which is satisfactory. A 5-point Likert scale was used; in the case of
206 exploitation capacities, (1) means absolutely nothing, and (5) meant completely done. In the case of
207 organizational performance, (1) meant not important at all, and 5 meant very important.
208 Confirmation of the measurement model was performed using confirmatory factor analysis
209 (CFA), thus seeking to test the relationship between the latent variables and the respective items.
210 The validation of the hypothesis relationship was performed under the model of structural
211 equations, where data were analyzed using EQS 6.3.
212 The questionnaire administered with the companies enquired respondents as to the
213 development and evolution of the EC and the OP, alluding to what happened in the last 3 years of
214 operation, as suggested by the literature (Flatten et al., 2011a; 2011b , Akling et al., 2007, Ellinger
215 et al., 2002). In order to clarify the relationship analyzed, the questionnaire clarified that growth – in
216 terms of volume and number of sales – is growth achieved thanks to current and new customers.
217 Conversely, in the case of market share growth, it is the comparison with their competitors in the
218 same period of time. The conceptual model and its relationships can be seen in Figure 1.
219
220
221

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222
223 Figure 1. Conceptual model
224
225 6. Sample
226
227 The structural equations model (SEM) was examined using a sample of 227 valid responses. It also
228 shows the relevance of obtaining an adequate sample in this type of analysis. In addition, some
229 scientists recommend that an appropriate sample should have at least 200 informants (Garver &
230 Mentzer 1999; Sivo et al., 2006; Hoe, 2008), although there is no consensus in empirical studies as
231 to the optimal level of its sample size (Schreiber et al., 2006, Kline, 2010, McQuitty, 2004).
232 The sample is composed of organizations located in Medellin, Colombia, which belong to the
233 industrial and service sectors. 227 managers or leaders of the innovation area answered the
234 questionnaire. As for company size, the Ministry of Commerce, Industry and Tourism in Colombia
235 believes that organizations with up to 200 employees qualify as being small and medium
236 enterprises, which in the case of this study make up 88.5% of the sample.
237
238 7. Results
239
240 The research comprises two moments to be analyzed and to explain the findings under the SEM: (i)
241 the evaluation’s measurement model, and (ii) the structural model test. Table 2 shows that the
242 means reached are considered relatively low for both variables, with results between 3.35-3.38, and
243 similar standard deviation between 1.06-1.15. The correlation value for latent variables is above the
244 appropriate level (0.386) with significance vis-à-vis ρ<0.05.
245
246 Table 2. Correlations, means, standard deviations, reliability.
247
Variables M SD 1 2
1. Exploitation capacities 3.38 1.15 (0.882)
2. Organizational performance 3.35 1.06 0.386* (0.926)
248 N = 226; Alfa reliability is show on the diagonal
249 ∗ 0.05
250
251 The measurement model’s normal validity requirements are met in a satisfactory fashion (see

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252 Appendix A). The loads of all items are above 0.882 or 0.926, with a significance vis-à-vis ρ<0.05.
253 the latter indicates the convergent validity of each of the items. High reliability is suggested, since
254 Cronbach alpha values are greater than 0.8, as well as composite reliability above 0.9. At the
255 construct level, the EVA values are greater than 0.5; these results confirm the existence of
256 discriminant validity.
257 The structural model was estimated with the aim of verifying potential colinearity. The results
258 show minimum collinearity, along with VIF outflows below the threshold (5). Therefore, collinearity
259 in the structural model predictor construct is not a problem. The R2 value is above the appropriate
260 latent level (Falk & Miller, 1992); the R2 value among the variables is 0.386 with significance of ρ
261 <0.05.
262 The measurement model achieved good values of these indices: BBNFI, BBNNFI, CFI, and
263 IFI. Values above 0.90 in the BBNFI and BBNNFI indices allow us to observe an adequate
264 goodness of fit of the model (Ullman, 2001). Indeed, the values of the current model comply with
265 appropriate values. Similarly, values above 0.90 in the TPI index refer to acceptable quality of fit,
266 and values above 0.95 mean a very good model. The results for this index under this study are
267 0.962 (Hu & Bentler, 1999). The value obtained for RMSEA for the measurement model can be
268 considered appropriate.
269 Values between 0.05 and 0.08 in RMSEA evidenced the presence of an acceptable model
270 (Browne & Cudeck, 1993); the current model shows a value of 0.108. Another important aspect is
271 the load factors of each of the items. As for EC, this was the most important variable given its high
272 load (0.907), on account of the fact that companies “are good at combining information from
273 different sources for their benefit”, followed by the following statement: “the company has the ability
274 to work more effectively by adopting new technologies” (0.825), and “managers support the
275 development of prototypes” (0.802).
276 In regards to OP, the most relevant variable was the growth of profits (0.911), followed by the
277 other three variables with slightly similar values, albeit they have a high load: return on investment
278 (0.871), sales growth (0.853), and market share growth (0.811). These findings demonstrate the
279 existence of a direct and positive relationship between CT and OP (Hair et al., 2013).
280 Consequently, the hypothesis is corroborated. The results are shown in Figure 2.
281

282
283 N = 226. X² (46.85) = 13df. NFI = 0.949, NNFI = 0.939, CFI= 0.962, RMSEA = 0.108
284 *ρ < 0.05.
285
286 Figure 2. Results of the structural model

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287 8. Conclusions and Discussion


288
289 The findings obtained expand the relevant empirical evidence supporting the theoretical
290 development. These results also further the empirical validation of the study, given the high level of
291 compression of the EC - OP ratio in the real sector (Zahra & George, 2002; Jansen, 2005; Volberda
292 et al., 2010; Cohen & Levinthal, 1990; Flatten et al., 2011a; 2011b).
293 The organizational dynamics wherein firms compete in developing countries are those found
294 in developed countries; therefore, the empirical findings of the research make it possible to argue
295 the difference in the weight of the factors analyzed. In the specific case of the sample of
296 organizations studied, the weight obtained by the variable “they are good for combining information
297 from different sources for their benefit”, and in the case of the OP, the most important variable is
298 “growth of benefits” of companies.
299 Because of their multidimensionality attributes, ECs warrant more detailed analysis in their
300 relationship with the OP, where this research contributes in a concrete way, since it has allowed
301 with empirical evidence to validate the relation – more precisely to recommend that the good
302 combination of information from different sources for business benefit is a guarantee to drive the
303 growth of benefits in companies. The findings show that there is a direct and positive relationship
304 between EC and OP, which allows us to conclude that companies that develop CE increase their
305 chances of improving their OP.
306 Future studies should delve in the relationship of EC with specific OP variables such as
307 innovative, financial and non-financial performance, so as to facilitate a better understanding of this
308 relationship due to the specificity of the level of analysis. In addition, the study can be extended to a
309 significant group of organizations at the national level, which would in turn go to facilitate the
310 collection of relevant information in different places of Colombia.
311
312 References
313
314 Akgün, A. E., Keskin, H., Byrne, J. C., & Aren, S. (2007) ‘Emotional and learning capability and their impact on
315 product innovativeness and Organizational performance’, Technovation, 27 (9), 501-513.
316 Arbussa, A., & Coenders, G. (2007) ‘Innovation activities, use of appropriation instruments and absorptive
317 capacity: Evidence from Spanish Organizationals ’. Research Policy, 36 (10), 1545-1558.
318 Brown, T. A. (2006). Confirmatory Factor Analysis for Applied Research. New York: Guilford Press. [Taylor &
319 Francis Online]
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405 Appendix A:
406
407 Scale items. Results of confirmatory factor analysis.
Factor Composite
AVE
Loadings Reliability
ACA Exploitation capacities (α = 0.882) 0.943 0.847
ACA1 Managers support the development of prototypes 0.802
The company regularly re-evaluates and adapts
ACA2 0.907
existing technologies in novel ways
The company has the ability to work more effectively
ACA3 0.825
by adopting new technologies

OP Organizational performance (α = 0.926)


OP1 Return on investment 0.871
OP2 Profit growth 0.940 0.939 0.871
OP3 Sales growth 0.853
OP4 Increase market share 0.810
408

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Research Article

© 2017 Brouskeli et.al.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
409
410
411 Burnout and Depressive Symptomatology of the
412 Employees in Institutions of Chronic Diseases
413
414 Dr. Vasiliki Brouskeli
415
416 Assistant Professor in Health Psychology,
417 Democritus University of Thrace, Greece
418
419 Eustathios Giakovis
420
421 Msc in Counselling in Special-General Education and Health,
422 University of Thessaly, Greece
423
424 Prof. Maria Loumakou
425
426 Professor in Health Psychology,
427 National and Kapodistrian University of Athens, Greece
428
429 Doi: 10.1515/mjss-2017-0038
430
431 Abstract
432
433 The purpose of the research is twofold: a) to determine whether the employees in Greek Institutions of
434 Chronic Diseases show burnout and depressive symptomatology and to connect them with socio-
435 demographic characteristics and b)to investigate the relation between these two health factors. The
436 participants completed a Greek version of Maslach's Burnout Inventory (MBI), a Greek version of Beck's
437 Depression Inventory (BDI), and a questionnaire regarding the socio-demographic characteristics.
438 According to the results of the research, a significant percentage of participants show burnout and
439 depressive symptomatology. The exhaustion was found to be associated with gender, age, employment
440 and marital status. The scientific staff has less depressive symptoms than the auxiliaries. Finally, higher
441 levels of burnout effect on higher levels of depressive symptomatology. Based on the results, it is
442 necessary to make interventions on a preventive level as well as to deal with burnout problems and
443 depression of employees on time. In conclusion, there is a need to conduct further researches that,
444 among others, check the targeting and the effectiveness of interventions.
445
446 Keywords: Institutions, Chronic Diseases, depression, burnout
447
448
449 1. Introduction
450
451 The Institutions of Chronic Diseases in Greece constitute health and care providers. Their purpose
452 is the nursing and the functional, social, pre-vocational and vocational rehabilitation of persons with
453 intellectual disability or chronic mobility impaired with intellectual disability, and therefore suffering
454 from a total or partial incapacity of performing on their own the tasks of everyday life. In these
455 institutions are working, among others, Administrative Staff, Doctors, Psychologists, Nurses,
456 Physiotherapists, Health Visitors, Social Workers, Occupational Therapists, Speech Therapists,
457 Dietitians, Cooks, Drivers, Guards and patient transport staff (Official Gazette of the Hellenic
458 Republic 2009).
459
460

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461 1.1 Burnout and healthcare providers


462
463 "Burnout is a psychological syndrome of emotional exhaustion, depersonalization, and reduced
464 personal accomplishment that can occur among individuals who work with other people in some
465 capacity" (Maslach et al. 1997, p.191). Increased feelings of emotional exhaustion,
466 depersonalization (i.e., negative, cynical attitudes and sentiments about one's clients) and the
467 tendency to evaluate oneself negatively, especially regarding one's work with customers are the
468 three fundamental aspects of the syndrome. The potential consequences of burnout may be severe
469 for workers, their clients and the institutions they work for (Maslach et al. 1997).
470 Burnout has been widely studied into service providing professions, and specifically at
471 healthcare facilities. Its consequences are detrimental, not only to the healthcare professional at a
472 personal level but also to the healthcare service organisation, and of course to the degree of the
473 provided health services to the people (Pappa et al. 2007). It has been widely studied amongst the
474 healthcare staff, and the following seem to be predictors of burnout among nurses: gender, age,
475 years of experience at work, working in more than one institution, being involved in management
476 positions, job satisfaction, hardiness, and experience of work-home and home-work interaction
477 (Queiros et al. 2013).
478
479 1.2 Depression and HHealthCare Providers
480
481 Depression is a frequent and severe medical illness that negatively affects people's lives, causing
482 feelings of sadness and a loss of interest in activities once enjoyed. It may lead to emotional and
483 physical problems as well as to decreased abilities to function at work and home (Parekh 2017).
484 Depression, as an issue requires researching attention and appropriate intervention; it has
485 been studied in several health care professionals. For instance, it has been investigated in nurses
486 (Chang et al. 2010), nursing technicians and nursing assistants (Rios et al. 2010), physicians
487 (Levine and Bryant 2000), social workers (Siebert 2004), and intellectual disability support staff
488 (Mutkins et al. 2011). In the literature review of Koinis and his colleagues (2014), it is being
489 accented that the working conditions of the health professionals, working hours, disturbed or
490 minimum communication with co-workers and lack of sleep can contribute to the development of
491 psychiatric symptoms and long-term to depression. In the current bibliography, the rates of
492 depression symptoms in health care professionals differ importantly, depending on the
493 methodology followed every time as well as the country where the research is conducted (for
494 instance: Abbas et al. 2013; Gao et al. 2011; Chang et al. 2010).
495
496 1.3 Burnout and depression
497
498 Burnout and depression are separate entities, although they may share several “qualitative”
499 characteristics. Burnout may lead to a general negative attitude towards life and, in this sense, it
500 shares common features with depression (Iakovides et al. 2003).
501 Burnout is more than depression, a multidimensional phenomenon, but, unlike depression,
502 restricted to the job setting (Schaufeli and Buunk 2003), whereas depression is a context-free
503 clinical syndrome and characterised by more global attributions (Bakker et al. 2000; Leiter and
504 Durup 1994). Furthermore, a reduced sense of superiority and a perceived loss of status are more
505 characteristic for depressed than for those who are burnt-out (Brenninkmeyer et al. 2001). The
506 relationship between burnout and depression has been studied in numerous of studies and an
507 association between the two of them has been observed (Ahola et al. 2014; Fong et al. 2016; Toker
508 and Biron 2012). Additionally, in some studies, the distinctiveness between these two terms is not
509 always attainable. (Bianchi et al. 2015; Schonfeld and Bianchi 2016).
510
511 2. Purpose of the Study
512
513 To our knowledge, the researches in Greece concerning burnout and depressive symptomatology,
514 conducted within private and public hospitals, whilom about the first issue (Alexias et al. 2010;

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515 Noula et al. 2010; Tragea et al. 2012) and whilom about the second issue (Kaklamanou et al. 2014;
516 Tselebis et al. 2006; Kyloudis et al. 2010). We are not aware of research that has been conducted
517 related to these two issues with the same sample. Moreover, we are not conscious of research
518 relevant to burnout and depressive symptoms within an Institution of Chronic Diseases in Greece.
519 The purpose of the particular study is to investigate the burnout and depressive symptomatology of
520 the employees within Greek Institutions of Chronic Diseases concerning their sociodemographic
521 and work-related characteristics and to examine the relation between these two health factors as
522 well.
523
524 3. Methodology
525
526 3.1 Participants
527
528 A total of 100 employees (30% male and 70% female) from four Institutions of Chronic Diseases in
529 semi-rural areas (Karpenisi, Larissa, Trikala and Fthiotida) took part in the research. Thirty percent
530 of the one hundred participants in the research were male and 70% female. A percentage of 10% of
531 them was between the age 18-30, 39% between 31-42 years old, 45% between 43-54 years old,
532 and 6% was 55 years or older. As for the working position, 15% of them had administrative duties,
533 22% were specialised scientific staff, 27% nurses, and 36% auxiliary staff. It is being clarified that
534 the "special scientific staff" refers to specialities that provide care services to patients, such as
535 Psychologists, Social Workers, Physiotherapists and Occupational Therapists. The nursing staff
536 was a particular category of scientific staff in the study, as it is a professional team with a special
537 research interest, which has been widely investigated and found to be affected by burnout and
538 depression in various ways. Regarding the level of education, 12% of the participants were primary
539 school graduates, 39% were high school graduates, 41% graduates of Universities or
540 Technological Educational Institutes, and 8% of them had a Master's or Doctorate diploma. A
541 percentage of 19% of the participants was working within the Institutions for Chronic Diseases up to
542 three years, 26% from 4 to 9 years, and 55% from 10 years and above. Regarding the marital
543 status of the participants, 14% of them were unmarried, 75% married and 11% divorced. Finally,
544 20% of participants had no children, 21% had one child, 33% had two children and 26% three or
545 more children.
546
547 3.2 Measures
548
549 The Maslach Burnout Inventory (MBI) of Maslach and Jackson (1981) and in particular a
550 customised version in Greek (Anagnostopoulos and Papadatou, 1992), was used for the
551 measurement of burnout. The tool includes 22 issues/recommendations that measure three original
552 dimensions of burnout: the emotional exhaustion, the depersonalisation, and the reduced personal
553 accomplishment. The answers are given by a Likert-type scale with seven graduations and we used
554 the suggested subscales categorisation of Anagnostopoulos and Papadatou (1992), dividing in
555 groups of small, medium or high burnout levels .
556 The reliability of internal consistency (index Cronbach's a) for the emotional exhaustion
557 subscale is .84, for the depersonalization subscale is .55, and for the reduced personal
558 accomplishment subscale is .71 (Papadatou et al. 2012, pp.220-221). Minimum phrasal
559 modifications were made to the tool, based on the use of the tool from another Greek study (Tsiros
560 2009), mainly because of the particular sample's needs (e.g. the term “cared” was used instead of
561 “patient”). In this particular study, Cronbach's a was equal to .92 for the emotional exhaustion
562 subscale, equal to .79 for the depersonalization subscale and equal to .70 for the reduced personal
563 accomplishment subscale and is considered satisfactory for each case.
564 To measure the depressive symptomatology, Beck's Depression Inventory (Beck Depression
565 Inventory, BDI) was used, a self-completion scale for the estimation of the depressive
566 symptomatology's severity, consisting of twenty-one subjects (Beck et al. 1961). The Greek version
567 of the scale has been standardised for adults. It consists of 21 ascertainments that describe
568 symptoms such as pessimism, sense of failure and loss of satisfaction. The data, in this case, also

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569 showed the satisfactory reliability of internal consistency as Cronbach's a coefficient is equal to .90.
570 For the Greek version of the scale, the threshold value for the detection of clinical cases is the
571 value 21, while the values 21-30 indicate slight depression and values between 31-40 indicate
572 moderate depression (Tzemos 1984). Finally, for the socio-demographic characteristics of the
573 participants (and in particular gender, age, job, education, years of professional employment in the
574 Institutions of Chronic Diseases, marital status and number of children) a questionnaire was
575 created.
576
577 3.3 Procedure
578
579 After communication with the Management of the Institutions, the license for the dispensing of the
580 questionnaire to the staff was given. Furthermore, the participants were informed by letter
581 preceding the survey, that there are no right or wrong answers. It was clarified in writing that the
582 completion of the questionnaire was voluntary and it lasted on average twenty minutes. Finally, the
583 participants were informed about the ways of being informed about the results of the research.
584 Besides the descriptive statistical analysis, an inductive analysis of data was made, and in
585 particular T-test analysis for independent samples and analysis of variance ANOVA (One-way
586 ANOVA), to make the comparisons between the different groups, as those derived from the values
587 of the demographic variable. Pearson's χ2 test to investigate the existence of dependence or not
588 between burnout and demographics and Pearson’s r correlation coefficient to test the presence of
589 the linear relationship between Burnout determinants and Depressive Symptomatology scores.
590 Before carrying out these specific statistical analyses, the conditions of their implement were
591 checked.
592
593 4. Results
594
595 4.1 Dimensions of Burnout and Depressive Symptomatology
596
597 Descriptive results in Table 1 present the levels of experienced burnout levels of the participants.
598
599 Table 1. MBI factors descriptive results
600
Experienced Burnout
Low N (%) Medium N (%) High N (%) M SD
Emotional exhaustion ≤20 29 (29.0%) 21-30 27 (27.0%) ≥31 44( 44.0%) 30.08 13.51
Depersonalization ≤5 21 (21.0%) 6-10 39 (39.0%) ≥11 40 (40.0%) 10.55 5.71
Personal accomplishment ≥42 60 (60.0%) 41-36 15 (15.0%) ≤35 25 (25.0%) 42.24 9.74
601
602 Based on the above, by calculating the percentage of individual experiencing high levels of
603 emotional exhaustion and depersonalization and low levels of personal accomplishment's feeling it
604 appears that 13% of the employees (N=13) suffer from burnout syndrome. The data of Table 2
605 show the classification of the participants' depressive symptomatology.
606
607 Table 2. Depressive symptomatology descriptive results
608
Count N (%) Μ SD
Absence of D.S. ≤5 33 (33.0%)
Very light 6-20 55 (55.0%)
Depressive Symptomatology Light 21-30 9 (9.0%) 10.12 8.78
Moderate 31-40 1 (1.0%)
Heavy ≥40 2 (2.0%)
609
610 4.2 The Effect of Demographic Factors on Burnout
611
612 Table 3 summarizes the average scores (and standard deviations) of each factor of Burnout

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613 according to the demographic characteristics of the participants, as well as the inductive analyses
614 results on the significance of their effect.
615
616 Table 3. Demographics effect on the factors of Burnout
617
Emotional Exhaustion Depersonalization Personal accomplishment
M SD M SD M SD
Male 31.43 15.33 11.27 5.39 38.83 11.38
Sex
Female 29.50 12.72 10.24 5.85 43.70 8.64
t (p) 0.65 (.52) 0.82 (.41) -2.34 (.02)
18-30 21.40 12.62 7.90 4.41 43.00 8.30
31-42 32.15 12.14 10.59 6.03 42.10 10.21
Age
43-54 28.58 13.33 10.60 5.50 42.78 9.79
55 + 42.33 16.03 14.33 6.06 37.83 9.60
F (p) 3.81 (.01) 1.63 (.19) 0.47 (.70)
Admin.staff 24.67 11.92 8.07 3.24 40.27 9.18
Scientific staff 26.55 10.24 9.77 6.82 46.68 6.07
Working position
Nursing staff 31.07 12.27 9.48 4.85 44.85 8.59
Other staff 33.75 15.80 12.86 5.76 38.39 11.11
F (p) 2.33 (.08) 3.64 (.02) 4.73 (.01)
Elementary 32.00 17.61 11.58 6.33 43.17 10.56
High school 32.03 14.35 11.51 5.36 39.26 11.33
Educational level
University 28.24 11.74 9.32 5.41 44.39 7.37
MSc//PhD 27.13 11.38 10.63 7.63 44.37 8.73
F (p) 0.73 (.54) 1.14 (.34) 2.12 (.10)
≤3 24.89 13.18 10.05 5.54 40.32 12.34
Years of working
4-9 27.77 11.70 10.12 6.33 43.46 9.40
experience
≥10 32.96 13.88 10.93 5.53 42.33 8.97
F (p) 3.17 (.04) 0.26 (.77) 0.57 (.57)
Single 23.86 11.02 8.43 4.20 43.43 11.24
Marital status Married 30.64 13.97 10.48 5.59 42.61 9.83
Divorced 34.18 11.34 13.73 7.16 38.18 6.34
F (p) 2.10 (.13) 2.77 (.07) 1.12 (.33)
None 23.75 10.09 8.50 3.89 44.15 9.71
One 35.43 11.98 10.71 4.37 38.43 8.42
Number of children
Two 30.67 12.60 11.45 6.82 44.48 8.87
Three or more 29.88 16.45 10.85 6.17 41.00 11.11
F (p) 2.72 (.04) 1.17 (.33) 2.12 (.10)
618
619 Gender. Independent samples t-tests have found no significant effect of gender neither on the
620 factor of emotional exhaustion, nor on the factor of Depersonalization with male participants scoring
621 slightly higher than female participants in both cases. Nonetheless, the average score in Personal
622 Accomplishment for men (38.83) has been proved significantly lower than that of women (43.7).
623 Therefore, in this particular dimension, men show a higher degree of burnout than women.
624 Age. ANOVA analyses showed that the effect of age on the emotional exhaustion of the
625 participants was overall significant. Through an adjustment according to Bonferonni concerning the
626 number of comparisons, the only significant difference was detected between the age groups of
627 “18 to 30” (M = 21.4) and “55 and over” (M = 42.3). The effect of age on the participants’
628 depersonalization, as well as on the participants’ feeling of personal accomplishment is not
629 statistically significant.
630 Work position. The effect of the working position on the emotional exhaustion of the
631 participants is not statistically significant, with ‘other stuff’ participants scoring slightly higher than
632 ‘nursing staff’, ‘scientific staff’, and ‘administrative staff’.
633 The effect of the working position on the participant's depersonalization, though, is deemed
634 statistically significant. Through an adjustment according to Bonferonni for the number of
635 comparisons, the only significant difference was detected between administrative (M = 8.06) and
636 other staff (M = 12.86).

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637 The effect of the working position on the sub-scale of the participants' feeling of personal
638 accomplishment is also found statistically significant. Through an adjustment according to
639 Bonferonni, statistically significant differences were found between scientific and other staff and
640 between nursing and other staff. Namely, the participants falling under the scientific (M = 46.68)
641 and nursing staff (M = 44.85), show less degree of burnout regarding this sub-scale, compared to
642 the participants falling under the other staff (M = 38.38).
643 Education. The effect of the educational level is not statistically significant on emotional
644 exhaustion, nor on depersonalization, nor the "feeling of personal accomplishment". Similarly, the
645 effect of marital status is not statistically significant in any of the subscales of burnout.
646 Work experience. Working experience does affect significantly emotional exhaustion with
647 more years of experience producing more exhaustion. However, working experience does not
648 seem to affect significantly depersonalization nor the "feeling of personal accomplishment".
649 Children. The effect of the number of the participants' children on emotional exhaustion is also
650 statistically significant. Post-hoc analyses according to Bonferonni showed that, a statistically
651 significant difference was observed between the category of participants who do not have children
652 and the group of employees who have one child. Namely, participants who do not have children (M
653 = 23.75) show lower degree of emotional exhaustion compared to employees who have one child
654 (M = 35.42). Participants with two children or with three or more children are not significantly
655 differentiated between them or from the other groups. Finally, the effect of the number of the
656 children is not statistically significant on the participants' depersonalization, nor on the "feeling of
657 personal accomplishment”.
658 On an additional set of analyses based on the number of people experiencing or not burnout
659 syndrome symptoms, we investigated its relation to the participants’ demographic characteristics
660 (see, Table 4).
661
662 Table 4. Demographics effect on Burnout syndrome
663
Burnout Syndrome
Yes No
2
N % N % χ p
Male 9 30.0% 21 70.0%
Sex 10.95 .001
Female 4 5.7% 66 94.3%
18-30 0 0.0% 10 100.0%
31-42 4 10.3% 35 89.7%
Age 4.21 .240
43-54 7 15.6% 38 84.4%
55 and above 2 33.3% 4 66.7%
Administrative staff 1 6.7% 14 93.3
Scientific staff 0 0.0% 22 100.0%
Working position 8.49 .037
Nursing staff 3 11.1% 24 88.9%
Other staff 9 25.0% 27 75.0%
Elementary school 3 25.0% 9 75.0
High school 9 23.1% 30 76.9%
Educational level 10.27 .016
University/Technological Educational Institute 1 2.4% 40 97.6%
MSc//PhD 0 0.0% 8 100.0%
Up to three 2 10.5% 17 89.5%
Years of working
From four to nine 4 15.4% 22 84.6% 0.24 .888
experience
Ten or more 7 12.7% 48 87.3%
Single 2 14.3% 12 85.7%
Married 9 12.0% 66 88.0%
Marital status 0.35 .840
Divorced 2 18.2% 9 81.8%
Widower 0 0.0% 0 0.0%
None 2 10.0% 18 90.0
One 3 14.3% 18 85.7%
Number of children 1.53 .676
Two 3 9.1% 30 90.9%
Three or more 5 19.2% 21 80.8%
664

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665 By using the Pearson’s χ2 test, it is initially shown that the percentage of men who suffer burnout
666 syndrome is higher (χ2 = 10.96, p = .001) than of women (30% and 5.7%, respectively). Besides,
667 the participants falling under the working category of other staff show significantly higher burnout
668 syndrome percentage than the rest individuals as they reach 25% (χ2 = 8.49, p = .037). Though,
669 lower-educated employees namely Elementary school and High school graduates show quite high
670 percentages of burnout syndrome as these are equal to 25% and 23.1% respectively (χ2= 10.27, p
671 = .016).
672
673 4.3 The Effect of Demographic Factors on Depressive Symptomatology
674
675 Table 5 summarizes the average scores (and standard deviations) of depressive symptomatology
676 according to the demographic characteristics of the participants, as well as the inductive analyses
677 results on the significance of their effect.
678
679 Table 5. Demographics effect on depressive symptomatology score
680
Depressive Symptomatoloy
M SD t p
Male 12.00 9.05
Sex 1.41 .162
Female 9.31 8.60
F p
18-30 8.90 7.20
31-42 9.23 7.76
Age 0.58 .630
43-54 10.69 9.96
55 + 13.67 8.69
Administrative staff 8.20 6.74
Scientific staff 6.95 5.79
Working position 4.41 .006
Nursing staff 8.44 6.25
Other staff 14.11 11.16
Eleentary school 11.08 8.40
High school 12.64 10.99
Educational level 2.39 .073
University/Technological Educational Institute 8.20 6.26
MSc//PhD 6.25 4.95
Up to three 9.26 6.76
Years of working
From four to nine 8.31 6.03 1.12 .330
experience
Ten or more 11.27 10.31
Single 7.64 5.11
Marital status Married 10.47 9.47 0.66 .522
Divorced 10.91 7.48
None 6.65 5.10
One 11.05 5.95
Number of children 1.93 .131
Two 9.64 8.39
Three or more 12.65 12.25
681
682 The effect of gender and age on depressive symptomatology was not statistically significant. The
683 effect of the working position on the participants' depressive symptomatology was overall significant
684 (F = 4.41, p = .06). Through an adjustment according to Bonferonni for the number of comparisons,
685 the only significant difference (p = .013) was found between scientific (M = 6.95, SD = 5.78) and
686 other staff (M = 14.11, SD = 11.15). It is shown that the participants who fall under the scientific
687 staff have less depressive symptomatology compared to employees who fall under other staff.
688 Finally, the effect of the educational level, professional experience, marital status and the number of
689 children of the participants on depressive symptoms are not deemed significant.
690
691 4.4 The Relationship between Burnout and Depressive Symptomatology
692
693 Table 6 presents the Pearson’s correlations conducted in order to investigate the relationships

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694 between depressive symptomatology and the factors of Burnout. The results indicate that there is a
695 positive and statistically significant correlation between Emotional exhaustion and Depressive
696 Symptomatology and between Depersonalization and Depressive Symptomatology. In other
697 words, high levels of Emotional Exhaustion and Depersonalization are associated with elevated
698 levels of Depressive Symptomatology. On the contrary, Personal accomplishment and Depressive
699 Symptomatology are significantly but negatively correlated, since higher levels of depressive
700 symptomatology are associated with lower levels of personal accomplishment and vice-versa.
701
702 Table 6. Correlation coefficients (Pearson’s r) between burnout factors and depressive
703 symptomatology scores
704
Depressive sympt. Emotional exhaustion Depersona-lization
**
Emotional exhaustion .616
** **
Depersonalization .400 .479
** ** **
Personal accomplishment -.489 -.456 -.562
**. Correlation is significant at the .001 level (2-tailed).
705
706 Finally, an independent samples t-test revealed that the individuals that experience Burnout
707 Syndrome show significantly higher levels of Depressive Symptomatology (M=20.46, SD=8.31)
708 than the employees who do not suffer from Burnout Syndrome (M=8.57, SD=7.78) (t = 5.09, p <
709 0.001).
710
711 5. Discussion
712
713 Regarding the three dimensions of burnout, two out of three workers show medium to high
714 emotional exhaustion, four out of five workers show medium to high depersonalization and two out
715 of five show medium to high burnout, as for the dimension of "feeling of personal accomplishment".
716 These percentages indicate significant burnout of the employees in the Institutions of Chronic
717 Diseases, such as other researches in Greek and foreign healthcare institutions, although the
718 percentages attributed to each of the three dimensions of burnout differ importantly between the
719 researches (e.g. Ackerley et al. 1988; Queiros et al. 2013; Noula et al. 2010). Apart from the
720 different methodological approach of the researchers, this can be interpreted as a dependence of
721 burnout's syndrome mostly on factors of working framework and less on personal and other non-
722 working factors.
723 Regarding the depressive symptomatology, as measured by the specific psychometric tool
724 used, two out of three workers show depressive symptoms, ranging from very light to heavy.
725 Compared to this percentage, in some studies have been found lower rates, in some similar or
726 higher, depending on the specialisation of the staff and the evaluation manner of the depressive
727 symptomatology (e.g. Siebert 2004; Yoon and Kim 2013; Chang et al. 2010). These differences can
728 be attributed both to the different conditions existing in different socio-cultural environments of the
729 research's implementation and to the research's chosen methodology.
730 Concerning the influence of demographic variables, statistically significant results were
731 recorded in all three dimensions of burnout. Men employees show a higher degree of burnout,
732 compared to the women, in the aspect of "feeling of personal accomplishment". The international
733 literature indicates that the role gender has not been adequately clarified (Pappa et al. 2007;
734 Vredenburgh et al. 1999). However, this finding may be owed to the traditional notions of gender,
735 still existing to a certain extent in Greece, which gives the role of the "breadwinner" to the man, with
736 any pressure this position may entail.
737 The employees from 55 and older experience emotional exhaustion to a greater degree than
738 the workers aged 18-30. The same was found in the research of Stanetić and Teŝanović (2013),
739 which was conducted by medical staff, although the opposite has also been found in other
740 researches (Vredenburgh et al. 1999; Hamama 2012). The specific finding of the present study
741 could be interpreted by the prolonged age, by which their families are financially supporting many
742 young people in Greece. Therefore, the severe conditions at work are not encountered as a threat

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743 to them.
744 The employees in the category of administrative staff showed a lesser extent of
745 depersonalization than the employees in the group of other employees. The role of job
746 characteristics has been found to be critical for the development of the burnout syndrome
747 (Demerouti et al. 2001; Lee and Ashforth 1993). Deremouti and her colleagues (2001) suggested
748 that human service professionals may feel exhausted by the emotionally demanding contacts with
749 their patients and treat them in a depersonalised way. However, in other occupations,
750 manifestations may differ, since there are no recipients of one's service who can be dealt with in a
751 depersonalised manner. Similarly, since the administrative staff of the Institutions for Chronic
752 Diseases has little or no interaction with the patients, it is likely to be less depersonalised.
753 Finally, the results of the research showed that employees who do not have a child show a
754 lesser degree of emotional exhaustion compared to employees who have a child. Similarly, in a
755 study conducted among nurses within a hospital in Cyprus (Mpaltzi et al. 2012) it was found that
756 most children of employees were associated with greater emotional exhaustion and burnout in
757 general. Specifically, in Greece, this result seems to be related to the current economic situation.
758 Through the years of economic crisis, the supportive structures for the family are limited.
759 Furthermore, the presence of children constitutes an additional factor which creates pressure to
760 workers, because of the increased financial liabilities.
761 Regarding the influence of the demographic variables on depressive symptomatology, the
762 employees in the scientific staff show less depressive symptomatology compared to employees in
763 other auxiliary staff. This finding agrees with the results of other studies (Siebert 2004; Kaklamanou
764 et al. 2014), indicating that the working position associated with a particular educational level, can
765 exert a protective effect.
766 According to the results, employees who experience burnout syndrome show statistically
767 significant higher levels of depressive symptomatology than the employees who do not suffer from
768 the syndrome. The relationship between these two health factors have been verified in several
769 studies (e.g., Brenninkmeyer et al. 2001; Iakovides et al. 2003; Plieger et al. 2015). Furthermore,
770 Schonfeld and Bianchi (2016) conclude that the state of burnout is likely to be a form of depression.
771 The controversial relations between these two factors and the possible overlap of them as they
772 develop over time need to be unravelled, probably focusing on further longitudinal studies.
773 The specific research used a cross-sectional design and had a sample of employees from four
774 Institutions of Chronic Diseases in semi-rural areas. Therefore, it is not possible to generalise the
775 findings and they not necessarily relate to the employees within Institutions of Chronic Diseases in
776 the major urban centres. Furthermore, the use of self-report measures may have limited the
777 accuracy of the responses and biased the results. Finally, a small percentage of all the possible
778 factors or mediators have been studied. Therefore, other variables that were not simultaneously
779 considered may contribute or interfere and affect the presented results.
780
781 6. Conclusion
782
783 The existence of the problem and the general vulnerability in burnout and depressive
784 symptomatology of employees within Institutions of Chronic Diseases was demonstrated through
785 this research. Therefore, based on these results, it is necessary to make some interventions, on a
786 preventive level as well as to deal with burnout problems and depression of employees. The results
787 of the effect of demographic variables on the dependent variables do not indicate the existence of a
788 vulnerable employee profile. Therefore, any intervention may be adopted, may concern all the staff.
789 Consequently, it is necessary to design preventive intervention of timely diagnosis and treatment of
790 problems related to the mental well-being of the workers within Institutions of Chronic Diseases,
791 and in future researches evaluation of the effectiveness of these interventions. Additionally,
792 employees’ increased burnout should call the attention for possible depressive symptomatology
793 and therefore, a direct psychological assessment would be suggested. Integrated interventions,
794 aimed at health and effectiveness of the employees would benefit indirectly, beyond the staff, the
795 structures and mainly the cared population, which should then be studied and evaluated, to have a
796 particular scientific aspect and comprehensive understanding of the issue.

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797 References
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922

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Research Article

© 2017 Christian Herdinata.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
923
924
925 Policy Identification of the Working Capital
926 Management of Medium-Sized Business
927
928 Christian Herdinata
929
930 International Business Management Program
931 Faculty of Management and Business, Universitas Ciputra, Indonesia
932
933 Doi: 10.1515/mjss-2017-0039
934
935 Abstract
936
937 Enterprises use working capital to meet the needs of the organizations in order to perform operational
938 activities. Hence, in order to produce optimal results, companies require sufficient working capital.
939 Medium-scale industries have great potential in driving the economy through output and employment.
940 As such, the purpose of this research is to analyze the working capital management policy of medium-
941 sized business. This research employs literature study method by compiling relevant literature on the
942 research problems. The data analysis process of this research is divided into three stages: (1) data
943 reduction, which includes summarizing, classifying main points, focusing on important facts, and finding
944 patterns; (2) data display, which includes data compilation and systematic data presentation; and (3)
945 conclusion drawing and verification, which presents the research conclusions on the problem
946 statements. Research findings suggest that working capital policy is dependant upon loan term and
947 interest rate, which means that longer loan period leads to higher interest. Long-term loan of working
948 capital requires debtors to pay bigger interest than short-term loan, because creditors must take into
949 consideration the risks of uncertain future. Companies with short cash conversion cycle suggest fast
950 retrieval of accounts receivable, good inventory management, and slower payment to supplier while
951 maintaining corporate credibility.
952
953 Keywords: Working capital management, Cash, Accounts receivable, Inventory
954
955
956 1. Introduction
957
958 Riyanto (1999:3) states that funds can be obtained from company owner and accounts payable.
959 Therefore, corporate financing can come from both sources. The fund is prioritized as working
960 capital. Brigham and Houston (2014) define working capital as the entire short-term assets or
961 current assets, which include cash, tradeable stock, inventory, and accounts receivable.
962 Companies use working capital to fulfill their business needs in order to conduct operational
963 activities. Hence, without sufficient working capital, business activities cannot be performed
964 optimally. This condition may disrupt, or even halt, operational activities. Working capital is crucial
965 because every business activity begins with it. A mistake in financial decisions, either in fund
966 search or use, may endanger the company's operational activities. Husnan (1998:550) claims that
967 when the working capital's ability to achieve operational profit is better, the working capital
968 management will also become more efficient.
969 Consequently, an efficient working capital management can enhance the company's chance
970 of achieving target profit. The efficiency of working capital management is a reflection of the
971 working capital's ability to produce operational profit. In other words, efficient working capital
972 management is equal to operational profit. The purpose of this research is to identify the policy of
973 working capital management in mid-scale business. The findings of this research are aimed at

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974 helping mid-scale entrepreneurs in managing their working capital by considering the internal,
975 external, supporting, and obstacle factors of working capital management.
976
977 2. Literature Review
978
979 2.1 Definition of Working Capital Management
980
981 Working capital can produce positive outcomes for the company. Therefore, it is important to
982 manage the working capital within the framework of working capital management, as a part of
983 financial management. Similarly, a clear explanation on working capital management is required to
984 prevent management mistakes that may bring negative impacts to the company, such as disrupted
985 operational activities and loss. Horne and Wachowicz (1997:214) define working capital
986 management as the adminstration of current assets, and the funding required to support the current
987 assets. In other words, working capital management can be defined as the management of current
988 assets required by the enterprise to run its operational activities, and the management of the fund
989 needed to manage the current assets.
990 As working capital is made of several components, the management of the components is
991 automatically considered as part of the working capital management. The management of these
992 components; such as cash, accounts receivable, and inventory, requires the consideration of
993 turnover period and component content amount (Husnan, 1998). In conclusion, working capital
994 management can be described as the process of managing each of the working capital
995 components in order to produce positive outcome for the company. Turnover period is an important
996 aspect in the management of working capital. For efficiency purpose, the company must ensure
997 that the working capital turnover within a period does not take too long. The amount of working
998 capital components will determine the amount of the company's current assets. Therefore,
999 corporate decision on the amount of working capital will determine the amount of current assets.
1000
1001 2.2 Functions of Working Capital Management
1002
1003 Based on the definition of working capital management, it can be concluded that working capital
1004 plays a crucial role in any business. Weston and Bringham in Ahmad (1997:1-2) argue that the
1005 management of working capital is very important due to the following reasons: (1) Several studies
1006 indicated that most of the financial manager's time is spent on daily internal corporate activities as
1007 part of working capital management; (2) In reality, the average sum of current assets is more than
1008 half of the company's total assets with changeable tendency; (3) Sales growth rate has a direct and
1009 close relationship with the need for current assets funding; (4) Working capital management is
1010 significantly more crucial for small enterprises because: a) Although fixed assets investment can be
1011 reduced by rent or lease, it is impossibe to ignore current assets, accounts receivable, or inventory,
1012 and b) The opportunity to enter long-term stock market for small enterprises is relatively small.
1013 Therefore, they must rely on business debt and short-term banking debt as capitals. The increase
1014 in debt will reduce the net working capital.
1015 Meanwhile, Ahmad (1997) believes that the role of working capital management is based on
1016 its two functions, which are: (1) Supporting production activities and sales, acting as a bridge
1017 between inventory purchase expense and sales, and receiving payment; and (2) Closing fixed
1018 expense or funds with no direct relation to production or sales. Horne and Wachowicz (1997:215)
1019 also add that working capital management is the foundation of two important corporate decisions.
1020
1021 2.3 Classifications of Working Capital
1022
1023 Working capital normally uses several posts as the elements of the creation of corporate working
1024 capital. This permanent setting allows proper working capital management. Working capital is also
1025 essentially flexible, which means that it can be increased or decreased according to the company's
1026 needs. The biggest challenge is determining the amount of change required. In addition, each
1027 company may have different types of working capitals in accordance with their business field and

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1028 needs. Riyanto (1999:58) states that corporate working capital can be classified according to the
1029 company's needs for working capital, as follows:
1030 1. Permanent Working Capital:
1031 Permanent working capital is a compulsory working capital for any company to function
1032 well within one accounting period. This type of working capital can be categorized into two
1033 types, namely: (a) Primary working capital, which refers to the minimum amount of working
1034 capital required to ensure business sustainability; and (b) Normal working capital, which
1035 refers to the amount of working capital required to run production activities under normal
1036 capacity. There is no strict definiton of 'normal capacity', as it depends on the company's
1037 condition.
1038 2. Variable Working Capital:
1039 Variable working capital refers to the amount of working capital required in a particular
1040 situation, which has changeable amount based on the situational change in one period.
1041 Variable working capital can be categorized into three types: (a) Seasonal working capital,
1042 which refers to the changing amount of working capital as a result the change in season;
1043 (b) Cyclis working capital, which refers to the changing amount of working capital as a
1044 result of the change in product demand; and (c) Emergency working capital, which refers
1045 to the changing amount of working capital as a result of unexpected incidents, such as fire,
1046 flood, earthquake, and labour strike.
1047
1048 2.4 Calculations of Working Capital
1049
1050 Husnan (1998:544) mentions several methods that can be used to calculate working capital based
1051 on the viewpoints offered by the different definitions of working capital, as follows:
1052 1. Turnover Methods
1053 To estimate the working capital (current assets), a working capital turnover method is
1054 used. The turnover of the current asset components are calculated as follows:
1055 • Inventory Turnover = Inventory/Sales:365
1056 • Accounts Receivable Turnover = Accounts Receivable/Sales:365
1057 • Days Payable Outstanding = Accounts Payable/Cost of Goods Sold:365
1058 This method can determine the number of days required for each component to return to
1059 its initial sum. Thus, the bound period of fund in working capital is the sum of days in which
1060 the funds are bound. It also means that the working capital turnover is a 365-day Working
1061 Capital Turnover, which determines the number of times the working capital returns to
1062 cash within a year. This method also shows the turnover for each of the working capital
1063 components. This condition is better known as cash cycle; a term used to indicate the
1064 amount of time taken for the cash to be bound to the working capital before returning into
1065 cash.
1066 2. Fund Linkage Method
1067 This method recognizes two important matters: (a) The funds for the working capital may
1068 be (partially) provided by other parties in the form of spontaneous financing; and (b) The
1069 funds required to finance receivables should not include profit. The contrast in this method
1070 lies in the exclusion of profit in the accounts receivable. It means that the profit gained
1071 from the receivables can be omitted from the calculation of working capital.
1072 3. Cash Flow Method
1073 In essence, this method is similar to cash budgeting. The difference is that the cash flows
1074 taken into consideration are the cash flows which involve expenses or income from day-to-
1075 day operations. Items like fixed assets purchase or long-term debt payment are not
1076 included in the calculation. The amount of working capital required for a period can be
1077 seen from the deficit between the cash inflows and outflows. This method emphasizes on
1078 the cash element of the working capital calculation by considering only the cash inflows
1079 and outflows. The appropriateness of these methods varies between enterprises, as it
1080 depends largely on the needs of the company. Therefore, it is normal for companies to
1081 employ different methods in managing their working capitals. Nonetheless, all of the

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1082 methods refer to the corporate financing for daily operations. The variation lies with the
1083 different components used by each company.
1084
1085 3. Research Methods
1086
1087 This research employs literature study method by compiling relevant literature on the research
1088 problems. The subjects of the studied literature consist of medium-sized business entrepreneurs
1089 and practitioners who manage working capitals, and management consultants who have good
1090 understanding of working capital management. This research uses qualitative approach in its data
1091 analysis. According to Denzin and Lincoln (2009), qualitative research is a research study that
1092 employs scientific approach on the observed phenomena through various methods and data
1093 sources. Miles and Huberman (2014) mention three analysis techniques for qualitative data, which
1094 include: (1) data reduction, which includes summarizing, classifying main points, focusing on
1095 important facts, and finding patterns; (2) data display, which includes data compilation and
1096 systematic data presentation; and (3) conclusion drawing and verification, which presents the
1097 research conclusions on the problem statements. The core principle of qualitative data analysis
1098 technique is to analyze the research data and process them into systematic, organized, structured,
1099 and meaningful information.
1100
1101 4. Discussion
1102
1103 4.1 The Internal and External Factors of Working Capital Management
1104
1105 The internal and external factors of working capital management in medium-sized enterprises are,
1106 among others: (1) Company types or characteristics. The working capital of a service company, for
1107 instance, is relatively small compared to that of a manufacturing company, because service
1108 company does not require massive investments in cash, accounts receivable, or inventory. On the
1109 other hand, industrial companies demand substantial investments in current assets for day-to-day
1110 operations purpose; (2) The time needed to produce or obtain the goods to be sold and the unit
1111 price of the goods. A company's need for working capital is directly related to the time it takes to
1112 acquire the goods to be sold, as well as the amount of raw materials to be produced until the goods
1113 are sold. The longer the time required to produce or acquire the goods is, the bigger the working
1114 capital will be. Additionally, cost per unit also affects the size of the working capital; higher cost per
1115 unit means bigger working capital; (3) Terms of purchase of materials and goods. The terms of
1116 purchase set for the goods or the raw materials used to produce the goods significantly affect the
1117 amount of working capital required by the company. If the credit terms agreed at the time of
1118 purchase are profitable, only a small amount of cash needs to be invested in goods or materials
1119 inventory. On the other hand, if the payment for the purchased materials or goods must be
1120 completed in a short amount of time, the amount of cash required to finance the inventory will be
1121 bigger; (4) Terms of sale. Corporate policy of providing greater credit leniency to buyers will result
1122 in bigger investment of working capital in the accounts receivable component. To reduce the risk of
1123 uncollectible accounts, enterprises offer cash rebate to buyers in the hope of encouraging the
1124 buyers to pay off their debts during the rebate period; and (5) Inventory turnover rate. Higher
1125 inventory turnover rate equals lower amount of working capital. To achieve high turnover rate,
1126 organized and efficient planning and supervision are required. High turnover rate will also minimize
1127 the risk of loss caused by price deduction or the change in consumer taste, while allowing the
1128 company to save on storage costs.
1129
1130 4.2 The Supporting and Obstacle Factors of Working Capital Management
1131
1132 The supporting and obstacle factors of working capital management in medium-sized business are,
1133 among others: (1) Labour factor. The labour factor is a major factor in business success, because
1134 even the most advanced equipments require operators. However, workforce availability does not
1135 always guarantee smooth process. In fact, lazy and low-skilled workers will slow down the process;

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1136 (2) Marketing factor. The marketing factor plays an important role, because it determines the
1137 accuracy and timely flow of goods and services to consumers. Sales increase will boost cash flow,
1138 accounts receivable, and inventory, which will result in good financial performance; (3) Technology
1139 factor. The development of technology from time to time enables companies to create a good
1140 system for more effective and efficient work. It also allows companies to invent and produce high-
1141 tech goods. High technology also enables companies to monitor and evaluate their businesses; and
1142 (4) Government regulation factor. The success of a business is strongly influenced by government
1143 regulation. The facilities provided by the government, such as simplicity and flexibility in obtaining
1144 business license or applying for additional capital, contribute positively to the development of
1145 medium-sized enterprises.
1146
1147 4.3 Cash Management in Working Capital Management
1148
1149 Cash is a part of assets which has the highest level of liquidity, because it can be directly used to
1150 fulfill the financial obligations of the company. Corporations need cash in the form of working capital
1151 to finance their daily operational activities. The need for cash can be categorized into three types:
1152 (a) Transaction purpose, which refers to the use of cash to finance daily operational activities; (b)
1153 Anticipation purpose, which refers to the use of cash to anticipate intermittent and unpredictable
1154 cash inflows and outflows; and (c) Speculation purpose, which refers to the use of cash to respond
1155 to future possibilities.
1156 Cash flow consists of cash inflows and cash outflows. It can also be further categorized as
1157 continuous and intermittent cash flows. Examples of continuous cash inflows are cash product
1158 sales and receivable receipts, while the examples for intermittent cash inflows are the income
1159 obtained from the involvement of company owners, shares sales, bank loan, and unused fixed
1160 assets sales. On the other hand, examples of continuous cash outflows include cash for raw
1161 materials purchase and employee salary. Meanwhile, examples of intermittent cash outflows are
1162 expenditures for divident payments, interest, debt installment payment for the repurchase of shares,
1163 and fixed asset purchase. The cash flow process of a company can be seen in Figure 1 below.
1164

1165
1166
1167 Figure 1. Cash Flow Process
1168
1169 The total sum of cash can be associated with cash sales. The comparison between cash sales and
1170 the average sum of cash indicates the level of cash turnover. Faster turnover means more efficient
1171 cash use by the company. It is also important to maintain cash adequacy, or 'safety cash balance',
1172 which refers to the minimum amount of cash that the company must keep to fulfill its financial

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1173 obligations at any time. The factors affecting the amount of cash are: (1) the balanced amounts of
1174 cash inflows and cash outflows; (2) the deviation from the estimated cash flow; and (3) good
1175 relationships with the banking sector.
1176
1177 4.4 Accounts Receivable Management in Working Capital Management
1178
1179 Accounts receivable management for working capital management can be influenced by the
1180 following factors: (1) Credit sales volume. Greater credit proportion from total sales will increase the
1181 investment in accounts receivable. Bigger amount of accounts receivable may comprise higher risk,
1182 but also bigger profit; (2) Credit sales payment terms. Credit sales payment terms can be strict or
1183 lenient. If the company implements strict payment terms, it means the company prioritizes credit
1184 safety over profit. Examples of strict terms are short payment deadline and heavy imposition of
1185 interest for late payment of receivables. Longer credit payment deadline may result in bigger
1186 amount of corporate investment in receivables; (3) Credit limit terms. It is within the company's
1187 authority to set credit limits for its customers. Higher credit limit for each customer means bigger
1188 investment in receivables. Similar implication applies to credit provision policy. More selective credit
1189 provision policy will result in smaller amount of investment in receivables; (4) Accounts receivable
1190 collection policy. The company may set active or passive accounts receivable collection policies.
1191 Companies with active accounts receivable collection policies are entitled to bigger fund in
1192 financing the collection process than those with passive policies; (5) Customer payment methods.
1193 Some customers take advantage of cash rebate offers to pay their debts while others decline the
1194 opportunity. Their decision is based on their assessment of the more profitable option between the
1195 two alternatives. If the majority of the customers make their payment during the cash rebate period,
1196 the investment in receivables will be released in a shorter amount of time. In other words, the
1197 investment in accounts receivable will be smaller.
1198
1199 4.5 Inventory Management in Working Capital Management
1200
1201 There are different types of inventory in a company, depending on the type of business. It means
1202 that the types of inventory in a manufacturing company are different from the inventory of a trading
1203 or service company. Trading companies normally do not have too many inventory types. Rather,
1204 they keep a considerably large amount of items for each type. The same applies to service
1205 companies, which have significantly fewer inventory types than manufacturing companies.
1206 Manufacturing companies create products through a series of process, from the provision of raw
1207 materials to the finished goods. Kasmir (2013:267) believes that manufacturing companies, in
1208 particular, have at least three types of inventory: (1) Raw material, which refers to the materials
1209 used in the first production process. The results of this process can take the forms of intermediate
1210 or finished goods; (2) Goods in process, which refer to the processed raw materials; and (3)
1211 Finished goods, which refer to goods that have passed the previous process, and are ready to be
1212 sold to the market or consumer.
1213 Inventory costs consist of, among others: (1) Holding or carrying costs, which refer to the
1214 costs incurred in inventory keeping. Holding costs hinge on the quantity of goods stored; (2)
1215 Ordering or procurement costs, which refer to the costs that come as a result of the company's
1216 need for inventory; and (3) Stock-out or shortage costs, which refer to the costs caused by the
1217 exhaustion of inventory. It is difficult to measure stock-out costs, because they also affect customer
1218 satisfaction and company credibility. Therefore, inventory management must consider the following
1219 key aspects: (1) Inventory availability must suit the company's needs to prevent stock exhaustion
1220 and increasing demands; and (2) Poor inventory quality, such as product defect, will bring loss to
1221 the company.
1222
1223 4.6 Working Capital Management Policy
1224
1225 Working capital policy is associated with loan term and interest rate. Longer loan age equals to
1226 higher interest rate. Long-term loans for working capital affect the loanees, because they must pay

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1227 higher interest than short-term loans. This condition is a result of the risks of uncertain future, which
1228 propel loaners to add the risks to the equation. Working capitals that come from long-term loans
1229 have higher liquidity level and smaller failure risk in meeting the obligation deadlines. Companies
1230 generally use long-term loan to meet their working capital needs. Such companies adhere to a
1231 conservative working capital policy. Another working capital policy is associated with assets.
1232 Current assets should be financed with current liabilities, while fixed assets should be financed with
1233 long-term debt and equity. This type of working capital policy is called aggresive policy. The risk of
1234 aggresive policy is great, because companies must be able to fulfill all due obligations using their
1235 current assets. The majority of companies that employ this policy experience failure, because it is
1236 difficult to turn some current assets into cash, particularly intermediate goods inventory and goods
1237 in process inventory.
1238 In general, there are three types of working capital policy: (1) Aggresive policy, which refers to
1239 the use of short-term debt as working capital; (2) Moderate policy, in which fifty percent of the
1240 working capital is short-term debt, and the other half long-term debt; and (3) Conservative policy,
1241 which refers to the use of long-term debt as working capital. Corporate strategy for effective and
1242 efficient working capital management can be seen from the shortened cash conversion cycle.
1243 Companies with short cash conversion cycle indicate fast retrieval of accounts receivable, good
1244 inventory management, and slower payment to supplier while maintaining corporate credibility. This
1245 condition will result in profitability and optimal liquidity. Deloof (2003); Eljelly (2004); Lazaridis &
1246 Tryfonidis (2006); amd Raheman & Nasr (2007) all suggest that cash conversion cycle negatively
1247 influences company profitability. Cash conversion cycle consists of three components, namely
1248 account payable deferral period, accounts receivable conversion period, and inventory conversion
1249 period. Companies can shorten the cash conversion cycle by accelerating the accounts receivable
1250 conversion period and inventory conversion period, while simultaneously slowing down the account
1251 payable deferral period. The cash conversion cycle can be seen in Figure 2 below.
1252

1253
1254
1255 Figure 2. Cash Conversion Cycle (CCC)
1256
1257 The following are strategies that can be used to shorten the cash conversion cycle: (1) The
1258 extension of accounts payable payment. However, companies are expected to withhold their debt
1259 payment without damaging their reputation and credibility. This means that the debt payment
1260 postponement should not exceed the payment deadline set by the creditor. By postponing their
1261 debt payment, companies can utilize the fund for other purposes or short-term investments with
1262 high liquidity to bring in revenues; (2) Inventory management. From the perspective of financial
1263 management, inventory will result in cost. Hence, if the company invests too much in inventory, the
1264 high opportunity cost will burden the company. Good inventory management accelerates the

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1265 inventory turnover by speeding up the process of converting raw materials into finished goods. The
1266 finished goods will then shorten the inventory conversion period. When the age of inventory is
1267 short, the company can use the fund for more profitable investments and increase their profitability;
1268 (3) The acceleration of accounts receivable collection. Accounts receivable is formed when the
1269 company makes credit sales. Companies investing in large amount of receivables risk bad debt and
1270 opportunity cost. Therefore, they must consider these aspects, in addition to sales improvement, in
1271 granting accounts receivable. Leniency in credit terms should only be allowed when the benefits
1272 from sales increase are greater than bad debt and opportunity costs. In brief, faster accounts
1273 receivable collection will result in positive impact on profitability. Therefore, in order to accelerate
1274 the collection process, companies should use the retrieved money for other investments.
1275
1276 5. Conclusions
1277 The conclusions of this research, which analyzes the working capital management policy for mid-
1278 scale business in Surabaya, can be described as follows:
1279 (1) Working capital policy is based on loan terms and interest rate, which means longer loan
1280 age will result in higher interest. Long-term loan of working capital requires loanees to pay
1281 bigger interest than short-term loan, because loaners must take into consideration the
1282 risks of uncertain future.
1283 (2) In general, most corporations have three types of working capital policy: (1) Aggresive
1284 policy, which means that the entire working capital is covered by short-term debt; (2)
1285 Moderate policy, which means that half of the working capital consists of short-term debt,
1286 and the other half long-term debt; and (3) Conservative policy, which means the entire
1287 working capital is covered by long-term debt.
1288 (3) Corporate strategy for effective and efficient working capital management can be seen
1289 from the shortened cash conversion cycle. Companies with short cash conversion cycle
1290 indicate fast retrieval of accounts receivable, good inventory management, and slower
1291 payment to supplier while maintaining corporate credibility.
1292
1293 References
1294
1295 Ahmad, K. (1997). Dasar-dasar Manajemen Modal Kerja [Foundations of Working Capital Management].
1296 Jakarta: Rineka Cipta.
1297 Brigham, E.F., & Houston, J.F. (2014). Dasar-dasar Manajemen Keuangan [Fundamentals of Financial
1298 Management]. Jakarta: Salemba Empat.
1299 Deloof, M. (2003). Does Working Capital Management Affect Profitability of Belgian Firms? Journal of Business
1300 Finance & Accounting, 30(3‐4), 573-588.
1301 Denzin, N. K., & Lincoln, Y. S. (Eds.). (2009). Handbook of Qualitative Research (Dariyatno, B. S. Fata, J.
1302 Rinaldi, & A. Rinaldi, Trans.). Yogyakarta: Pustaka Pelajar.
1303 Eljelly,A.M.A.2004. Liquidity-Profitability Tradeoff: An Empirical Investigation in an Emerging Market.
1304 International Journal of Commerce and Management.Vol.14,No.2.
1305 Husnan, S. (1998). Manajemen Keuangan Teori dan Penerapan: Keputusan Jangka Pendek [Financial
1306 Management Theory and Application: Short-Term Decisions]. Yogyakarta: BPFE.
1307 Kasmir. (2013). Analisis Laporan Keuangan [Financial Report Analysis]. Jakarta: Raja Grafindo Persada.
1308 Lazaridis dan Tryfonidis. 2006. The Relationship between Working Capital Management and Profitability of
1309 Listed Companies in the Athens Stock Exchange, Journal of Financial Management and Analysis, 19(1),
1310 26-35.
1311 Miles, M. B., Huberman, A. M., & Saldana, J. (2014). Qualitative Data Analysis: A Method Sourcebook.
1312 California: SAGE.
1313 Rahemen, A. and Nasr, M. 2007. Working Capital Management and Profitability - Case of Pakistani Firms,
1314 Journal of International Review of Business Research Papers Vol.3 No.1. pp. 279 – 300.
1315 Riyanto, B. (1999). Dasar-dasar Pembelanjaan Perusahaan [Foundations of Corporate Spending]. Yogyakarta:
1316 BPFE.
1317 Van Horne, J. C., & Wachowicz, J. M. (1997). Prinsip-prinsip Manajemen Keuangan [Fundamentals of Financial
1318 Management]. Jakarta: Salemba Empat.

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Research Article

© 2017 Elaine Sinden.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
1319
1320
1321 Exploring the Gap Between Male and Female
1322 Employment in the South African Workforce
1323
1324 Elaine Sinden, PhD
1325
1326 Research Manager, University of the
1327 Western Cape, Belville, South Africa
1328
1329 Doi: 10.1515/mjss-2017-0040
1330
1331 Abstract
1332
1333 Women in South Africa have for decades, experienced discrimination in the workplace because certain
1334 positions such as top and senior management posts were predominately given to men. If women were
1335 employed, they were mostly offered positions at the lower levels of the organisation, or specific jobs
1336 such as secretaries or administrative jobs. To address such discrimination, to ensure gender equality is
1337 promoted and women are offered equal employment opportunities, the South African government has
1338 since 1994 adopted different anti- discriminatory laws to expedite equal employment to improve the
1339 position of women in the workplace. To explore the extent to which the position of women in the
1340 workplace has changed – if at all – since the dawn of democracy, this paper provides an analysis of
1341 women’s employment standing in 2014 in the South African workforce. The goal of this study is to
1342 identify employment gender gaps both in terms of employment numbers, as well as employment in
1343 different sectors. To explore this objective, the study first provides an overview of some of the anti -
1344 discriminatory laws that were put in place by the South African government to promote equal
1345 opportunities for all South Africans, especially women. Second, the study develops a conceptual
1346 framework based on an analysis of the literature on gender equality and its link to equal employment for
1347 women. Finally, the study provides an overview of the South African labour force as at 2014, showing
1348 the gap between male and female employment. The findings confirm that despite South Africa’s
1349 progressive legislative and policy measures, women remain underrepresented in the workplace,
1350 meaning that progress in redressing unfair discrimination has been slow and/or uneven. The findings
1351 also reveal that men continue to dominate the workforce, especially in top and senior management
1352 positions.
1353
1354 Keywords: Gender Equality, Equal Employment, South Africa, Workforce, Women.
1355
1356
1357 1. Introduction
1358
1359 Globally, women have been subjected to all forms of discrimination, and for decades, their access
1360 to the workforce was limited. In areas where women had access, they were mostly employed in
1361 positions linked to the lower occupational levels of organisations. In the quest for a non-racial, non-
1362 sexist and democratic society for all, in 1994 the South African government implemented various
1363 anti-discriminatory laws. These were also aimed at bringing in more women into the workforce and
1364 ensuring that they have similar employment opportunities as their male counterparts. Under the
1365 apartheid government, the South African workplace was characterised by many cases of inequality,
1366 unfair treatment and unfair discrimination, especially against women. Since women’s issues such
1367 as equal rights, equality, welfare and empowerment came to the forefront after the democratisation
1368 process, it was important for the government to institute measures to address discrimination against
1369 women, including in the workplace (Naidoo and Kongolo, 2004).
1370 In accordance with the South African Constitution of 1996, the government has continued

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1371 pushing for equality and equal employment for women and this is evident in policies like the
1372 Employment Equity Act of 1998, the Broad Based Black Economic Empowerment Act of 2003 and
1373 its amendments, and the National Policy Framework for Women’s Empowerment and Gender
1374 Equality of 2000. It can thus be seen that South Africa has adopted legislative directives to embrace
1375 a new and broader agenda for equal employment opportunities for women in an attempt to improve
1376 women’s standing in the workplace. According to Sarwar and Abbasi (2013:208) employment is
1377 essential for individual and collective well-being, it enhances quality of life, not only to the employee
1378 but also to related people. Therefore, investing in women’s employment is essential for economic
1379 growth and the development of human resources. If implemented correctly, these anti-
1380 discriminatory directives implemented by the South African government will allow women to have a
1381 chance to enter the workplace in an equal manner, not only as a form of empowerment for women,
1382 but also to contribute equally to economic growth and capacity building within the country. In turn,
1383 giving women equal employment opportunities will increase their social and economic standing,
1384 therefore addressing gender inequality and discrimination.
1385 The South African government argues that extensive progress has been made to ensure
1386 equal employment opportunities for women. For example, a report by the Department of Women
1387 (2015) highlights that the country has achieved considerable progress in many aspects of women’s
1388 economic empowerment through, inter alia, increases in educational attainment; labour market
1389 participation; access to credit, land and properties; reduced poverty and inequality, and in sharing
1390 of paid work. The report further argues that ensuring economic empowerment for women – who
1391 account for half of the South African population – will not only contribute to economic growth, but
1392 can also help advance women’s human rights. In the same report, President Jacob Zuma
1393 confirmed that extensive progress has been made to advance women, saying:
1394
1395 ‘There has been much progress in the empowerment of women. The number of women
1396 participating in politics has increased. For instance; we have women judges and magistrates; we
1397 have many more in senior management positions in the public service. In the labour market,
1398 women are now able to work in sectors that were previously white and male dominated, such as
1399 mining, construction and infrastructure development’ (Republic of South Africa (RSA) Department
1400 of Women, 2015).
1401
1402 Despite government’s claims about the progress made to better women’s employment
1403 position, literature shows that progress towards parity in the workplace in South Africa is insufficient
1404 and slow; there is still widespread poverty and extreme inequality (RSA, Department of Labour,
1405 2015). The United Nations (UN) (2015) confirms this statement saying, although it’s more than 20
1406 years since the Beijing Declaration and Platform for Action, several pledges remain unfulfilled and
1407 gender equality progress in the workplace has been slow in many countries, including South Africa.
1408 In support, Sarwar and Abbasi (2013:208) observe that women have always contributed to the
1409 country’s economic and social well-being, and although immensely undermined, their participation
1410 in the labour force remains imperceptible because most women work in the informal sectors of the
1411 labour market. The UN (2015) reported that in the economic arena the number of women who have
1412 entered the labour force progressed from 40% to 48% in 20 years, this means only 8% growth in
1413 eight years. This progress is remarkably slow, and if this pace continues, it will take 50 years to
1414 achieve parity in Africa.
1415 Within this context, it is important to explore the extent (to) and levels at which women are
1416 represented in the South African workplace.
1417
1418 2. Methodology
1419
1420 The primary data used in this paper was sourced from the South African Department of Labour’s
1421 14th Commission for Employment Equity Annual Report, which is based on 24,291 reports received
1422 from different sectors, with a total of 7,018,881 employees. The data consists of the following
1423 number of employees: national government 157,365; provincial government 639,528; local
1424 government 174,676; private sector 5,162,074; non-profit organisations 437,946; state owned
1425 companies 173,758; and educational institutions 273,531. Secondary data was obtained from

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1426 books, journals and relevant government departments.


1427
1428 3. Conceptualising Gender Equality
1429
1430 This section of the study defines gender equality, explains why it is needed, and why it’s necessary
1431 in the workplace. According to Yehualashet (2010) the case for gender equality and equal rights for
1432 women can be traced back to many decades of hard work by women’s rights’ advocates,
1433 humanitarian organisations and development agencies. This rights regime was born in response to
1434 horrific violations of human rights prior to and during World War II, and the tragedies of the 1930s
1435 and 1940s, which gave impetus for establishing and institutionalising a global human rights regime
1436 dedicated to the promotion and protection of human rights (Farhoumand-Sims, 2009). Equality
1437 between men and women has been a UN goal since its inception, and this is reflected in the
1438 adoption of the Charter of the United Nations (1945) and the Universal Declaration of Human
1439 Rights (1948), which served as foundations for equal rights. These documents have inspired a
1440 large number of treaties, conventions and customary laws addressing a wide range of human rights
1441 issues and topics (Farhoumand-Sims, 2009). According to Devlet (2006) the United Nations
1442 Charter is significant in that it helped individuals or groups to gain access to the international law
1443 system. It provided them with the restitution rights of international law, and as a result, contributed
1444 to expanding the state-based discourse of international law.
1445 Defining gender inequality, Dorius and Firebaugh (2010) posit that it occurs if the distribution
1446 of females and males deviates in some characteristics (e.g. life expectancy, education, labour
1447 force, political power and economic wealth) from their ratio in population. The authors contend that
1448 the participation of women in economic activities outside their homes can help them achieve
1449 political and social liberation. They further observe that employment of women is linked to low
1450 fertility rates and greater trends of family planning, thus helping to control the population. Women
1451 working outside their homes gain more self-confidence, independence, influence over families,
1452 awareness about health and enhanced social activities (Dorius and Firebaugh, 2010; Kabeer and
1453 Mahmud, 2004; Iversen and Rosenbluth, 2006). De Waal (2006:209) observes ‘Gender equality
1454 refers to women having the same opportunities in life as men, including the ability to participate in
1455 the public sphere. It assumes that once the barriers to participation are removed, there is a level
1456 playing field’. Devlet (2006: 25) points out that the achievement of gender equality has become a
1457 central goal of good governance; it is impossible to talk about human rights, democracy or
1458 empowerment if half of the population of a country is discriminated against. Thus, governance plays
1459 a determining role in realising gender equality in a given society, ensuring that the voices of the
1460 poorest and most marginalised, which are mostly women, are heard.
1461 McCloskey and Zaller (1984: 342) remind us that equality has been one of the most standout
1462 values in the democratic tradition, but this notion clashes with the real world since no society has
1463 ever achieved this. In addition, they observe that the theory of democracy rests on the notion that
1464 all people are of equal worth, are equal before the law and are supposed to enjoy equal rights and
1465 opportunities. An earlier study by Dahl (1971:1-3) indicates that although a core part of democracy
1466 is the responsiveness of government to the preferences of its citizens, theory and practice differ
1467 and gender inequality continues to pervade many aspects of society. The UN (2002:1) states that:
1468
1469 ‘Equality is the cornerstone of every democratic society that aspires to social justice and human
1470 rights. It often means women having the same opportunities in life as men, for instance equal
1471 access to education and employment, which does not necessarily lead to equality of outcomes’.
1472
1473 During a round-table discussion for senior UN officials on ‘Democracy and gender equality’
1474 held on 4th May 2011 at the UN headquarters in Washington, it was reiterated that all governments
1475 across the globe should address and advance equal participation for women in decision making,
1476 noting that democracy and gender equality are interlinked and mutually reinforcing. At this
1477 discussion, the then Secretary General, Ban Ki-Moon demanded gender equality should be treated
1478 as an explicit goal of democracy building, not an ‘add on’. He stated:
1479
1480 ‘While women’s political participation improves democracy, the reverse is also true; democracy is

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1481 an incubator to gender equality. It provides public space for discussion of human rights and
1482 women’s empowerment, it enables women’s groups to mobilize, it makes it easier for women to
1483 realize their political, civil, economic and social rights. Experience shows that democratic ideals of
1484 inclusiveness, accountability and transparency cannot be achieved without laws, policies,
1485 measures and practices that address inequalities’.
1486
1487 Human, Bluen and Davies (1999) view equal employment as the provision of an environment
1488 that allows all individuals to realise their full potential. They argue, if talent was dispensed
1489 throughout society at random, societies which gave equal opportunities to all citizens would gain
1490 more from the variety of talent released. Equal employment opportunity will be accomplished when
1491 all gaps between diverse employees have been erased and disadvantaged people brought to a
1492 level where they can compete equally and be given equal opportunity to do so without any form of
1493 discrimination. Armstrong (2006) posits that it is important that an organisation’s equal opportunity
1494 policy spell its determination to provide equal opportunities to all, irrespective of sex, race, creed
1495 and marital status. According to Rabe (2001) equal opportunity in the workplace suggests that all
1496 people should be treated similarly, free from artificial barriers or prejudices or preferences, besides
1497 when particular distinctions can be explicitly justified. Specific to employment, the concept of
1498 equality requires that important jobs should go to those ‘most qualified’, to persons most likely to
1499 perform ably in a given task, and not for arbitrary or insignificant reasons such as circumstances of
1500 birth, upbringing, friendship ties to whoever is in power, religion, sex, ethnicity, race, caste, or
1501 ‘involuntary personal attributes’ such as disability, age or sexual preferences.
1502
1503 4. Statutory and Regulatory Directives - Ensuring Gender Equality in the Workplace
1504
1505 This section focuses on statutory and regulatory directives instituted by South Africa to address
1506 gender inequality, specifically with regard to advancing this issue in the workplace. South Africa’s
1507 inequalities have been addressed in its highest authority, namely the Constitution, Act 108 of 1996,
1508 whose overall purpose is to create and build a society where women and men are equal, regardless
1509 of race and other distinctions. The right to gender equality is critical in respect of South Africa’s
1510 unique history, as it is stated in section 9(3) of the Constitution that neither the state nor any person
1511 may discriminate directly or indirectly on the grounds of gender, sex, pregnancy, marital status or
1512 any ground or combination of grounds listed or unlisted in section 9 (3). In this regard, the
1513 Constitution, 1996 highlights equality as the full and equal enjoyment of all rights and freedoms.
1514 The adoption of the Constitution was a vital step towards a strategy to address historic legacies of
1515 inequalities between men and women in South Africa (Scribner and Lambert, 2010). Similarly,
1516 Bauer and Taylor (2005:249) add that ‘the South African Constitution incorporates individual rights
1517 along with a wide array of social and cultural rights, and establishes a clear commitment to
1518 overcoming past injustices, while recognising diversity’. Gouws (1996) observes that it was not until
1519 the introduction of the ‘Bill of Rights’ that all women in South Africa received formal recognition as
1520 equal citizens.
1521 Another important legislation is the Employment Equity Act, no. 55 of 1998, which recognises
1522 that as a result of apartheid and other discriminatory laws and practices, there are disparities in
1523 employment, occupation and income within the national labour market. These disparities created
1524 pronounced disadvantages for certain categories of people that it cannot be corrected simply by
1525 removing discriminative laws, therefore this Act was adopted to increase equal opportunities in the
1526 workplace with the purpose to do away with unfair discrimination. This could be done by
1527 implementing affirmative action measures to redress the disadvantages in employment experienced
1528 by previously designated groups (blacks, women and people with disabilities), ensuring equitable
1529 representation in all occupational categories and levels in the workforce. It is expected of
1530 organisations to take positive employment equity measures, to show what steps have been taken to
1531 train, develop and retain people from designated groups, and through these measures; create
1532 equal employment opportunities, especially for the previously disadvantaged groups. The Act
1533 requires companies to be socially and morally mindful to their employees, and react to their
1534 legitimate rights and claims according to ethical standards of fairness and justice (RSA,

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1535 Employment Equity Act, 1998).


1536 Coetzee and Vermeulen (2003:18) note that affirmative action is the purposeful and planned
1537 placement or development of competent or potentially competent persons. They suggest affirmative
1538 action requires proper planning to ensure that appointment is done on a competency basis,
1539 reflecting the demographics of the country. Mc Gregor (2006:387) observes that the purpose of
1540 affirmative action is to ensure the achievement of substantive equity through the long-term goal of
1541 reducing inequality. This author suggests that the promise of the equal-opportunity approach is a
1542 legal right afforded to all South Africans, especially women who were part of the disadvantaged
1543 group. The right to equal opportunity should be woven into the fabric of every organisation’s
1544 strategic planning to offer persons from disadvantaged groups the opportunity to equal
1545 employment. This piece of legislation should be instituted by organisations as a supportive strategy
1546 for the advancement of employment equity objectives with the vision of transforming the work
1547 environment, ensuring that persons from designated groups such as women maximise their full
1548 potential (McGregor, 2006).
1549 The Commission on Gender Equality Act, no 39 of 1996 is an equally important document,
1550 which was adopted to monitor and evaluate policies and practices of all organs of state at all levels,
1551 to promote gender equality and make recommendations to parliament where the commission
1552 deems necessary. A further function of this Act is to develop, conduct or manage educational
1553 programmes to foster public understanding of matters relating to the promotion of gender equality.
1554 South Africa also has the Promotion of Equality and Prevention of Unfair Discrimination Act, no 4 of
1555 2000 in place to prevent or prohibit unfair discrimination. This Act gives effect to the basic principles
1556 of the Constitution; and promotes the values of non-racialism and non-sexism. Its purpose is to also
1557 educate the public and raise awareness of the meaning of substantive equality, including measures
1558 to protect or advance persons or categories of persons disadvantaged by unfair discrimination; it
1559 focuses on redressing past discriminative practices.
1560 The South African democratic dispensation acknowledges the role women play in the
1561 economy, and has committed itself to do away with gender discrimination and to improve the status
1562 of women in the workforce by introducing the National Policy Framework for Women’s
1563 Empowerment and Gender Equality, 2000. This framework is in place to guide the process of
1564 developing laws, policies, procedures and practices to ensure equal rights and opportunities for
1565 women and men in all spheres and structures of government, the workplace, community and family.
1566 According to Mvimbi (2009) this legislative framework proposes that gender issues be prioritised
1567 and included at the centre of government agendas and not relegated to secondary status. This
1568 means that gender equality needs to be the focus of transformation processes within all the
1569 structures, institutions, procedures, practices and programmes of government, its agencies and
1570 parastatals, civil society and the private sector. Ruppel (2008:21) concurs with this statement
1571 saying,
1572
1573 ‘The overarching goal of this framework is to achieve gender equality and the empowerment of
1574 both female and male persons, and in this respect, the policy framework provides mechanisms
1575 and guidelines for all sectors and other stakeholders for planning, implementing and monitoring
1576 gender equality strategies and programmes in order to ensure that these would facilitate gender
1577 equality and women’s empowerment’.
1578
1579 In acknowledging the under-representation and participation of women in local government in
1580 South Africa, the Department of Provincial and Local Government launched a Gender Policy
1581 Framework for Local Government in 2007 to give guidance and support to local government around
1582 gender mainstreaming and the empowerment of women (Hicks, 2011). This policy framework
1583 outlines a comprehensive institutional arrangement to address and implement gender
1584 mainstreaming, it recommends a women's caucus to act as an empowering forum for women
1585 councillors as well as a gender equality committee at council level to provide political oversight to
1586 municipal gender mainstreaming processes. The purpose of this framework is also to provide clear
1587 and concrete guidance on how and when councils should integrate or mainstream gender in their
1588 internal functions and procedures in order to establish and implement an enabling environment for
1589 all municipalities and other local government stakeholders.

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1590 What this means for local government is that every policy or strategy that is developed should
1591 be able to address gender mainstreaming in its policies and practices, ensuring gender equality is
1592 promoted and employment opportunities for women are created. The ultimate goal of this
1593 framework is to assist local government with the delivery of its developmental mandate, ensuring
1594 women does not stay in disadvantaged positions. This framework also advocates for the
1595 establishment of institutional arrangements in particular gender focal points in municipalities, it
1596 requires that these processes be budgeted for with a clear stipulation of performance targets.
1597 Furthermore, the framework makes provision for fair and equitable selection and recruitment,
1598 career pathing and the overall improvement of working conditions for women in municipalities. The
1599 Women’s Empowerment and Gender Equality Bill was adopted in 2013 to promote equal
1600 representation and participation. It’s also intended to prohibit unfair discrimination against women
1601 and provided sanctions for non-compliance. However, this Bill was scrapped, as it was viewed as a
1602 duplication of other relevant legislation (Hartley, 2014).
1603 At a national level, South Africa subscribes to the global framework for gender equality and is
1604 presented by a number of international, regional and sub-regional instruments. One of the most
1605 important frameworks is the United Nations Convention on the Elimination of All Forms of
1606 Discrimination against Women adopted in 1979. This convention defines the right of women to be
1607 free from discrimination and sets the core principles to protect this right. It establishes an agenda
1608 for national action to end discrimination, and provides the basis for achieving equality between men
1609 and women through ensuring women's equal access to, and equal opportunities in political and
1610 public life as well as education, health and employment. (UN, 1979).
1611 The adoption of this convention is attributed to the work of the Commission on the Status of
1612 Women which was established in 1946 to monitor the promotion of women’s rights. It is firmly
1613 rooted in the objectives of the Universal Declaration of Human Rights and reaffirms the faith in
1614 fundamental rights, the dignity and worth of a human and the equal rights of men and women
1615 (Ntlama, 2010). This convention has been ratified by 180 states, making it one of the most ratified
1616 international treaties. In 1995, the Beijing Platform for Action generated global commitments to
1617 advance a wider range of women’s rights. This platform affirms nation’s commitment to the
1618 inalienable rights of women and girls, their empowerment and equal participation in all spheres of
1619 life, including in the economic domain. It identifies women’s role in the economy as a critical area of
1620 concern, calls attention to the need to promote and facilitate women’s equal access to employment
1621 and resources as well as the harmonization of work and family responsibilities for women and men
1622 (UN, 2010). As part of constructing its new democracy and the institutionalisation of gender
1623 mainstreaming, South Africa demonstrated its commitment and ratified to the Beijing Platform for
1624 Action in 1995, adopting the strategy as a way to promote gender equality in this country (Jahan,
1625 1995).
1626 South Africa is also part of the South African Development Community (SADC) Gender and
1627 Development Protocol which was adopted in 2008. It compels SADC member states to expedite
1628 efforts towards gender equity in the region. The protocol identified a target of 50% parity with men
1629 in all areas of decision-making by 2020, with an incremental approach adopted by each country. In
1630 order to expedite gender equity it is has been agreed that all member states take measures to
1631 ensure the effective participation of women in decision-making; they must adopt indicators for
1632 achieving this. Member states also agreed to an elaborate multi-faceted approach to capacity
1633 building that includes empowering women and engaging men. Another instrument South Africa has
1634 agreed to is the United Nations Millennium Development Goals. These goals sought to halve
1635 poverty and unemployment by 2014, with goal 3 especially tracking key elements and indicators of
1636 women’s social, economic and political participation, guiding the building of gender equitable
1637 societies. The centrality of gender equality and women empowerment in the Millennium
1638 Development Goals also emanates from the fact that women constitute approximately half of
1639 humanity, yet their potential is underutilised, their aspirations undermined, and their rights to access
1640 opportunities marginalised. Ntlama (2010) posits the protection of human rights requires countries
1641 such as South Africa, (who have become international role models) ensure other states adhere to
1642 the prescripts of the international community. The adherence to international norms is important for
1643 the actual enjoyment of the rights enshrined in the conventions.

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1644 Given the above, it can be seen that South Africa has created a platform for gender equality
1645 and equal employment opportunities in the workplace through the implementation of various
1646 legislative frameworks. Although it is important that the necessary legislative frameworks are in
1647 place to ensure gender equality and the equal employment of women, having documents in place
1648 will not change women’s positions, it is only the effective implementation thereof that will do so.
1649
1650 5. A Global Picture of Women in the Workplace
1651
1652 In an attempt to understand whether the world made any strides to advance women’s standing in
1653 the workplace, this section provides information on the global status of women in the workplace.
1654 According to the International Labour Organisation (2008a), worldwide, 1.2 billion women were
1655 working in 2007, almost 200 million more than in 1997. By 2008, women accounted for 40 % of all
1656 employed people worldwide, but of this figure 46.9% were employed in occupations related to the
1657 services sector. With the evident growth of women’s employment in services, it has been noted that
1658 a new gender gap is appearing. According to Bezbaruah (2008) it is less about the differences
1659 between male and female participation rates, and more about ‘inequity in the quality of employment’
1660 – with women generally segregated in ‘poorly - paid, insecure home based or informal employment’
1661 Further, Bezbaruah (2008:38) observes that despite the numerical rise of women in managerial and
1662 professional jobs, few women make it to the top of the occupational hierarchies, and the under-
1663 representation of women in senior managerial positions is a recurring theme across the services
1664 sector.
1665 The World Economic (2014) indicates in the nine years, 2006 to 2014 of measuring the global
1666 gender gap the world has seen only a small improvement in equality for women in the workplace.
1667 This report highlights that the gender gap in economic participation and opportunity stood at 60%
1668 worldwide, up from 56% in 2006 when the forum first started measuring it. It also emphasises the
1669 persisting gender gap divides across and within regions based on the nine years of data available
1670 for the 142 countries measured. While the gender gap in economic participation and opportunity
1671 lags stubbornly behind, the gap for political empowerment, the fourth pillar measured remains still
1672 wider, standing at 21% – although this area has seen the most improvement since 2006. The report
1673 shows that Iceland continues to top the overall rankings in The Global Gender Gap Index for the
1674 sixth consecutive year, Finland ranks in second position and Norway holds third place. Sweden
1675 remains in fourth position and Denmark gains three places and ranks in the fifth position. Northern
1676 European countries dominate the top 10, with Ireland in eighth position, while Belgium (position 10),
1677 Nicaragua (position 6), Rwanda (position 7) and the Philippines (position 9) completing the top 10.
1678 However, much of the progress on gender equality over the last 10 years has come from more
1679 women entering politics in the workforce (World Economic Forum, 2014). While more women and
1680 men have joined the workforce over the last decade, more women than men entered the labour
1681 force in 49 countries. In the case of politics, globally there are now 26% more female
1682 parliamentarians and 50% more female ministers compared to nine years ago.
1683 According to the UN (2010) although there has been an increase of women in the labour
1684 market, women are predominantly and increasingly employed in the services sector (e.g. retail,
1685 food services, call centres) and wage gaps and occupational segregation continues to persist
1686 throughout the world. The services sector accounts for at least three-quarters of women’s
1687 employment in most of the more developed regions, in Latin America and the Caribbean. In
1688 contrast, agriculture still accounts for more than half of the employment of women and men in sub-
1689 Saharan Africa (excluding Southern Africa), and of women in Southern Asia. In those regions, the
1690 majority of workers – women to a greater extent than men – are in vulnerable employment, being
1691 either own account workers or contributing family workers. The UN further indicates that part-time
1692 employment is common for women in most of the more developed regions and some less
1693 developed regions – and is increasing almost everywhere for both women and men.
1694 Statistics of regional trends show that women had between 2002 to 2007 higher
1695 unemployment rates than men in Africa, South East Asia and Latin America, while in East Asia,
1696 Central and Eastern Europe and more recently in advanced economies, there were gender gaps in
1697 unemployment rates (female unemployment rates higher than male rates). Globally, between 2002

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1698 and 2007 women’s employment to population ratio remained constant at about 49% compared to
1699 73% for men. The data further shows that globally gender gaps in the economic indicators of
1700 unemployment and employment trends towards convergence between 2002 to 2007, but with
1701 reversals coinciding with the period of the crisis from 2008 to 2012 in many regions. The gender
1702 gap in participation examined over a longer period of the last two decades shows convergence at
1703 the global level in the 1990s, no convergence over the subsequent decade, with increasing gaps in
1704 some regions like South and East Asia and Central and Eastern Europe (International Labour
1705 Organisation, 2012).
1706 Several factors such as a higher prevalence of temporary contracts among women,
1707 differences in educational attainment, and labour market segregation explain the unemployment
1708 gap. Workers on permanent contracts usually have better unemployment benefits, severance pay,
1709 notice periods and other elements of employment protection legislation. Since the incidence of
1710 temporary contracts is significantly higher among women than men, this partly explains differences
1711 in employment rates between men and women. Another factor behind higher unemployment rates
1712 for women is that women are more likely than men to exit and re-enter the labour market due to
1713 family commitments. Career interruption for child-rearing results in longer periods of unemployment,
1714 while men are more likely to move directly from one job to another. Interruptions in attachment to
1715 the labour market could also lead to skills obsolescence and reduced employability (International
1716 Labour Organisation, 2012).
1717 According to Bezbarauah (2012) despite the narrowing of the gender gap in labour-force
1718 participation rates, this has not resulted in the elimination of gender inequalities in work and
1719 employment and labour market outcomes. The author argues that wage disparities between men
1720 and women persist, horizontal and vertical segregation remains entrenched, and women are over-
1721 represented in part-time and informal-sector work. While there has been a notable increase in the
1722 presence of women in previously male-dominated professional occupations such as banking,
1723 finance; law and medicine, as well as in managerial positions, they remain under-represented at top
1724 and senior levels. While women are increasingly entering professional and managerial jobs, there
1725 has also been an increase in women’s employment in part-time, low-paid jobs – and horizontal and
1726 vertical segregation persists. Despite the numerical rise of women in managerial and professional
1727 jobs, few women reach the top of occupational hierarchies. Under-representation of women in
1728 senior managerial positions is a recurring theme of studies across the services sector – from law
1729 and accountancy, to banking (Bezbarauah, 2012).
1730 The data above shows that although globally there are small improvements in women’s
1731 positions in the workplace, there are still huge gaps between men and women’s employment.
1732 Although women around the world had reason to expect change following the global Beijing
1733 Platform for Action conference which set targets to transform the lives of women across the world,
1734 change has not come fast enough and little has changed. The data proves that despite progress
1735 and achievements made in terms of adopting various statutory and legislative directives, women
1736 around the world face major challenges and obstacles when it comes to equal employment in the
1737 labour force.
1738
1739 6. Reflection of the South African Workforce
1740
1741 As discussed above, South Africa has various pieces of legislation in place to advance women’s
1742 position in the workplace, but whether these directives have brought equal employment for women,
1743 is a question that will be answered in this study. The recognition of gender equality legislation
1744 should be evident in women’s positions not only in society, but also in the workplace. The
1745 Department of Labour (2015) in its 15th Commission for Employment Equity Report, indicates that
1746 women are still vastly under-represented in all sectors. Evidence illustrating this announcement is
1747 reflected in the figures and discussions below and is based on analysing the employment data of
1748 4,984 companies, covering 5.6 million of the 8.5 million employees in the informal sector, and
1749 reflects the 2014 reporting cycle. The said report also indicates that the pace of transforming
1750 workplaces in South Africa is very slow, and that men continue to dominate all occupation levels
1751 and across various sectors. The figures exclude foreign nationals.

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1752
1753
1754 Figure 1: Workforce Profile by Sector – Top Management
1755 Source: Adapted from Department of Labour (2015)
1756
1757 Figure 1 (above) shows that in 2014 in almost all the sectors women accounted for less than 30%
1758 of top management positions, and across all sectors, more than 69% of the top positions were filled
1759 by men. In the agriculture, mining and quarrying, manufacturing, construction, retail and motor
1760 trade/repair services and wholesale/ commercial sectors, men dominated the workforce with an
1761 astonishing total of more than 80%.
1762 The largest percentage of women employed was in the catering/accommodation/commercial
1763 (29.5%) and the community/social/personal services (30.7%) sectors. These two sectors are
1764 traditionally viewed as sectors dominated by women (cleaners, domestic workers, community
1765 workers etc.) This figure shows the majority of top management were men.
1766

1767
1768
1769 Figure 2: Workforce Profile by Sector – Senior Management
1770 Source: Adapted from Department of Labour (2015)
1771
1772 Figure 2 (above) shows that at senior management level, women were hugely under-represented,
1773 although the situation is slightly better than at top management level.
1774 At all the different sectors at this level, women occupied less than 50% of the positions. For
1775 example, in the manufacturing sector men were employed in 76% of the positions compared to

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1776 24% by women. In the gas and water sector men were employed in 70% and women accounted for
1777 only 30% of the positions. The community/social and personal services and the
1778 catering/accommodation/other trade are the only two sectors where women were employed in more
1779 than 40% of senior management positions. As with the top management level, men dominated the
1780 majority of the sectors. The data shows as with the previous level, equal employment for women at
1781 this level has not taken place. Although the data shows a higher representation of women at this
1782 level, it is far from equal employment.
1783

1784
1785
1786 Figure 3: Workforce Profile by Sector – Professionally Qualified
1787 Source: Adapted from Department of Labour (2015)
1788
1789 Figure 3 (above) shows that at the professionally qualified level, men continue to dominate the
1790 workforce almost in all the sectors, except for the community/social/ personal services sector where
1791 women accounted for 54.4% of the workforce. Interestingly, the percentage of women employed in
1792 the so-called male dominated sectors such as mining and quarrying, manufacturing and
1793 construction, are extremely low.
1794 Although the situation does not look as bleak as the senior and top management levels, huge
1795 discrepancies still persisted between male and female employment.
1796

1797
1798
1799 Figure 4: Workforce Profile by Sector – Skilled technical
1800 Source: Adapted from Department of Labour (2015)

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1801 Figure 4 (above) shows that the skilled technical level, women occupied less than 50% of the
1802 positions. The percentage of women in the mining and quarrying and construction sectors was
1803 relatively low, counting for less than 20% of the workforce. The highest percentage of women
1804 employed at this level was in the retail and motor/ trade repair services (40.2%), finance/ business
1805 (42.9%) and the community/social/ personal services (44.2%). Although there is a higher level of
1806 women’s representation in this sector, it is not at this level where decisions are made. Therefore, an
1807 increase in women’s representation at different sectors in the professionally qualified and skilled
1808 technical levels has still not achieved equity. Although South Africa has clear affirmative action
1809 measures in place, these measures, based on the above data are not implemented effectively.
1810 Mathur-Helm (2005:56) state that ‘the enforcement of the right to gender equality is critical in
1811 respect of South Africa’s unique history, which entrenched systemic inequalities and brought pain
1812 and suffering to the majority of its people’.
1813

1814
1815
1816 Figure 5: Workforce Profile Business Type – Top and Senior Management
1817 Source: Adapted from Department of Labour (2015)
1818
1819 Figure 5 (above) shows in both the top and senior management levels, men dominated the
1820 workforce in most business types, occupying more than 60% of the positions. The situation is
1821 particularly gloom in local government and private sectors, where men occupied 70% of the
1822 positions. The highest percentage of men employed was in top management in the private sector,
1823 they dominated 80.8% of the workforce. The highest percentage of women employed was at senior
1824 management level in non-profit organisations (42.6%) and educational institutions (48.95%). As
1825 with the previous data, women’s representation in the indicated business types were relatively low
1826 compared to men – this confirms that South Africa needs to do much more to ensure equal
1827 employment. South Africa does not perform well at the top and senior management levels and the
1828 disparity in employment between men and women has become increasingly evident. Despite
1829 women been considered equal citizens in South Africa as enshrined in the country’s Constitution,
1830 equal employment is not yet offered to them, given the huge gaps between women and men
1831 employment at these two levels.
1832

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1833
1834
1835 Figure 6: Workforce Profile Business Type – Professionally Qualified and Skilled Technical
1836 Source: Adapted from Department of Labour (2015)
1837
1838 Figure 6 (above) shows that more women are employed at the professionally qualified and skilled
1839 technical levels in most of the business types compared to the previous data. Although there was
1840 still an uneven distribution of male and female employment at most of the business types at both
1841 levels, 58.9% of the professionally qualified of local government were filled by women. Furthermore,
1842 women filled 68.6% of skilled technical positions in provincial government and 68% in educational
1843 institutions. Although more women were employed at this level compared to the previous levels as
1844 mentioned in figure 5, it is not at these levels where decisions are made.
1845

1846
1847
1848 Figure 7: Workforce Distribution per Occupational Level
1849 Source: The Department of Labour (2015).
1850
1851 Figure 7 (above) illustrates men dominated all the different levels. At the top management level,
1852 there were four times more men compared to women. At both the professionally qualified and
1853 skilled technical levels, men outnumbered women, although the gap was narrowing. It is evident
1854 from the data that men dominated both the top and senior management levels, and the highest
1855 proportion of men (almost 80%) was in the top management level. Although South Africa has made
1856 great strides in having the necessary policies and directives in place to promote equal
1857 representation, it is clear that women continue to be side-lined in decision-making positions, given
1858 the fact that they are better represented at the professionally qualified and skilled technical levels

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1859 than at the top and senior management levels. The data shows that women have a better chance
1860 being employed in non-decision-making positions. The percentage of women in so-called male
1861 dominated sectors such as mining and quarrying, manufacturing and construction, is extremely low
1862 and South Africa needs to do much more to employ more women in these sectors.
1863
1864 7. Conclusion
1865
1866 It has been demonstrated that the struggle for equality for women is an issue that has been long
1867 coming and that various international laws were enacted as far 1940s to protect women from
1868 discrimination. The 1945 Charter of the United Nations and the 1948 Universal Declaration of
1869 Human Rights inspired a large number of treaties, conventions and customary laws addressing a
1870 wide range of human rights issues – including the rights of women around the world.
1871 Recommendations made by the Commission on the Status of Women led to the Convention on the
1872 Political Rights of Women in 1952 – the first international law to clearly recognise women’s right to
1873 vote, run for election and hold any public office on equal terms with men. Following this,
1874 international and regional instruments such as Convention on the Elimination of all forms of
1875 Discrimination have drawn attention to gender-related dimensions of human right issues. These
1876 have further cascaded down to individual countries like South Africa.
1877 After the new democratic dispensation in 1994, equal rights and equal employment aspects
1878 were adopted in the 1996 Constitution, and various international and national laws and policies
1879 were adopted to redress the gender imbalances of the past. The government of South Africa
1880 reinforced its commitment to gender equality in the Constitution, and has enacted and amended
1881 various laws and policies to redress the imbalances of the past – including laws and policies to
1882 address inequality in the workplace. The Constitution is viewed as the premium document
1883 advancing gender equality, along with the National Policy Framework on Women’s Empowerment
1884 and Gender Equality, 2000, The Gender Policy Framework for Local Government, 2007 and the
1885 Employment Equity Act, 55 of 1998. These are just some of the legislative frameworks which give
1886 South Africa the opportunity to promote gender equality in the workplace. The percentage of
1887 women at this level in so-called male dominated sectors such as mining and quarrying,
1888 manufacturing and construction is extremely low, and South Africa needs to do much more to
1889 employ more women in these sectors, ensuring gender equality in the workplace.
1890 The study has shown that despite South Africa’s commitment to eliminate gender
1891 discrimination in the workplace, and although progress has been made to promote women – there
1892 are still huge discrepancies between male and female employment in almost all sectors in the
1893 workplace, most occupational categories and most business types. There are also different barriers
1894 in the workplace which prevent women from enjoying equal employment. In order to eliminate
1895 inequality in the workplace it is important that the laws and policies in place be effectively
1896 implemented – otherwise equal opportunities in the workplace will remain nothing but a ‘hollow
1897 slogan’ for South African women. While there are several reasons to commend the effort that has
1898 been made to integrate women in the workplace, serious attempts should be made to appoint more
1899 women in top and senior management positions. There have been changes for women in terms of
1900 employment in the last two decades in South Africa, with more women moving into paid
1901 employment outside their homes and with that in mind, it is imperative that more women are
1902 appointed in decision making jobs and jobs that were in the past, earmarked for men. To address
1903 gender inequality in the workplace, transformation should not only be about marking crosses in the
1904 right places, it should also be about real change, which is barrier free and without impediments and
1905 bottlenecks.
1906
1907 References
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Research Article

© 2017 XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX.
This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
2
3
4 As the Beat Goes on in Syria, is There an Exit Route?
5
6 Osaretin Idahosa, PhD
7
8 Department of Political Science,
9 University of Benin, Benin City, Nigeria
10
11 Harrison C. Ajebon
12
13 Department of Political Science,
14 University of Calabar, Calabar, Nigeria
15
16 Doi: 10.1515/mjss-2017-0041
17
18 Abstract
19
20 The UN Security Council unanimous Resolution 2254 (2015) endorsed a Peace Process for Syria on
21 December 18, 2015. By this token the global body called on President Bashar-al- Assad and opposition
22 groups to sheath their swords and allow a political settlement in the country. In context of the dynamics
23 of the Syrian conflicts, this study looks at the workability of the resolution meant to reduce the cost of the
24 war and deterioration of humanitarian conditions. The study reveals that after over half a decade of
25 brutal mutual carnage (by both government and opposition forces) a top-bottom imposed peace process
26 has lost its appeal. Rather, a bottom-top remedy that uses the cultural assets of the Syrian people to
27 create a movement for peace and reconciliation in the country is urgently needed.
28
29 Keywords: Syria, Global, Humanitarian, Opposition, Peace, Resolution, War
30
31
32 1. Introduction
33
34 Resolution 2254 (2015) adopted by the Security Council of the United Nations at its 7588th meeting,
35 on 18 December 2015 reaffirms the commitment of the global body to the sovereignty,
36 independence, unity and territorial integrity of Syria. This resolution:
37
38 (expresses) its gravest concern at the continued suffering of the Syrian people, the dire and
39 deteriorating humanitarian persistent and brutal violence, the negative impact of terrorism and
40 violent extremist ideology in support of terrorism, the destabilizing effect of the crisis on the region
41 and beyond, including the resulting increase in terrorists drawn to the fighting in Syria, the physical
42 destruction in the country, and increasing sectarianism, and underscoring that the situation will
43 continue to deteriorate in the absence of a political solution (United Nations, 2015:1).
44
45 The unanimity of the Security Council in approving the resolution referred to above for Syria
46 demonstrated the determination of the global body to help end the war in the country. The singular
47 act was a follow-up to the Vienna (Austria) peace process that called for a time-table for peace that
48 would culminate in the creation of a unity government and elections in the country.
49 However, there are daunting obstacles to ending the six-year old civil war. These include the
50 socio-economic cost of the collateral damage of the war, the division among the opposition and the
51 future of Syrian President Bashar al-Assad. Also included are the differences among the various
52 groups and their plans for a future Syria rebel. A major question that is raised by the adoption of
53 Resolution 2254 is: will the resolution of the Syrian crisis be attained through the UN apparatus?

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54 Secondly, is there an alternative route to the resolution of the protracted crisis in Syria? The conflict
55 in Syria has not only become a medium for states to exhibit their influence in international politics
56 but has also drawn major powers, supporting and opposing the Assad Regime and the myriad of
57 opposition groups against it.
58
59 2. Theoretical Perspectives
60
61 To fully understand the content and context of the crisis, a convergence of different theoretical
62 perspectives needs to be explored. To the realists, interstates relations are often explained in
63 context of power. According to Kissinger (1975) “power dictates how states interact with one
64 another” and “because power relations are central to a realist understanding of the international
65 arena”, states are often skeptical to trust one another. As such, rather than trust, states choose
66 their alliances based on one another’s strategic value in the so-called ‘self-interested’. This self-
67 interest could create a necessary condition for international conflict as different states interests
68 could run at cross-purposes (Grovogui, 2002:14-25).
69 Frustration-Aggression Theory which has been widely employed in the study of both intra-
70 state and inter-state conflict draws is strength from the fact that aggression is always a
71 consequence of frustration (Dollard, Miller, et al., 1939). The central argument of the frustration-
72 aggression theory is anchored on the fact that frustration begets aggression. Thus, the immediate
73 response of an individual or group who is frustrated is to aggressively strike at the root-cause of the
74 frustration. To this perspective, conflict becomes an aggressive action occasioned by frustration
75 and the proponent is an individual whose goal in life is blocked by the social circumstances of
76 society (Gurr, 1970).
77 Building on the foregoing premise, the Conflict Entrepreneurship Theory has equally been
78 used to analyze conflict or violent situation beyond the causality of frustration and ideological
79 differences. The theory posits that in every conflict or crisis situation, there are certain individuals
80 (whether states or private persons) illegally benefiting from such uprising. These classes of actors,
81 who indirectly fuel crisis for their private gains, are often referred to, as “conflict entrepreneurs”
82 (Spencer, 2013). According to Weinberg (2014:54):
83
84 any conflict entrepreneur worthy of such label will mobilize his group for conflict by convincing the
85 potential group members that the mobilization is for a collective good or in order to avoid the
86 disastrous effects of the other groups mobilizing first.
87
88 Consequently, in many of the conflicts of global reach today, there are certain individuals and
89 sate actors “that seek to increase their power”, position “and wealth through participation in” these
90 conflicts “by violent means”. According to Spencer (2013), “it is interesting to note that in many
91 countries, this can be an opportunity for an individual to make a career in term of power and
92 wealth”. Conflicts therefore can be seen as a means of gaining status, influence and wealth; thus
93 the phrase “conflict as a career’’. This indeed, is a basic assumption of Entrepreneurship theory of
94 conflict.
95
96 3. Research Methodology
97
98 This study adopts a historical methodology. This approach allows the authors to gather the required
99 data through primary and secondary sources. Thus, speeches, articles, official pronouncements,
100 communiqués, etcetera, formed a crucial part of the document analysis on the ongoing war in Syria.
101 This archival and analytical review of extant literature allows for an understanding of the past, the
102 present and the possible future dynamics of the Syrian crisis in a complex web of actors and
103 interests.
104
105 4. The Syrian Crisis in Brief
106
107 Even before the crisis in 2011, there were ominous signs that Syria was susceptible to state

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108 fermentation. According to Slim and Trombetta (2014:1), “unsustainable authoritarian governance
109 and economic decline were generating significant internal pressure across Syria’s extremely
110 localized society.” This was accentuated by the fact that different local and sectarian alliances
111 competed for relevance in the country’s political space. This prognosis was symptomatic of the
112 likelihood of a protracted and prolonged conflict with international dimensions, should any occur.
113 There are different schools of thought on how the Syrian crisis began. One of such holds that
114 the unrest began after the state police arrested fifteen boys in Southern town of Daraa for spray-
115 painting anti-government graffiti “the people want the downfall of the regime” on buildings on March
116 6th 2011 (Shanahan, 2013). Some of these boys were later killed in detention. An accompanying
117 public protest erupted throughout the country which was given momentum by the failure of the
118 Assad Regime to investigate and prosecute the offenders.
119 Another perspective believes that the Syrian crisis emerged in the wider context of the Arab
120 Spring. Starting in Tunisia after the self-immolation of Mohammed Bouazizi in 2010, this wave of
121 general discontentment against regimes in the sub-region grew in Syria out of anger over high
122 unemployment rate, decades of repressive dictatorship, corruption and state violence (Manteda,
123 2014; Slim and Trombetta, 2014). The crises that began as peaceful mass protests for democracy
124 against the 40 years regime of the Assad dynasty descended into a bloody crackdown before
125 morphing into a bitter civil war.
126 As these protests spread from rural areas to urban centers, the crackdown from the Syrian
127 government was swift. An angry response from government led to the death of four people on 18
128 March, 2011. This was closely followed by the Syrian Army firing at demonstrators in April of the
129 same year (Shanahan, 2013). By July 2011, an organized rebellion against the Assad Regime was
130 borne with the formation of the Free Syrian Army (FSA). The FSA is an umbrella body for a
131 combination of different local area tribal groups, deserters from the Syrian military and disaffected
132 local militias. Aside the fact that the Assad Regime refused to stop attacks on those opposed to his
133 leadership, he did not implement meaningful reforms demanded by the protesters. Instead the
134 regime abolished the martial law which was in place for decades and promised more reforms which
135 would include new electoral laws, new media laws and a new constitution by February 2012 (Slim
136 and Trombetta, 2014). Nonetheless, military and police repression continued and was
137 complimented by the brutality of the Shabiha (a heavily armed state-sponsored militia). Although
138 President Assad consistently denied responsibility for these atrocities, placing the blame for the
139 violence on armed groups and terrorists (who correspondingly accused the Syrian Government of
140 same); this mutual bulk passing has not been able to change the essential relationship between the
141 regime and the Syrian people.
142 As the crisis continued to escalate, opponents of the Assad Regime formed the Syrian
143 National Council (SNC) in August, 2011. Syrian opposition, including FSA, remains ideologically
144 divided and fragmented as it remains only a factious collection of political groups, longtime exiles,
145 grassroots organizers and armed militants whose operations are tainted by ethnic and/or sectarian
146 identities. Also, the rivalry between various opposition outfits and the growing role of hard-line
147 Islamist fighters provided enough fertile ground for an extremist group called Islamic State (IS) to
148 take over large areas of the country.
149 Many Syrian citizens have been caught up in the cycle of violence during the war and have
150 been forced to leave the country to escape to safety in other countries. Initially, these refugees fled
151 across the Syrian borders into the neighboring states of Iraq, Jordan, Lebanon and Turkey.
152 However, as the capacities of these countries were stretched to their limits, hundreds of thousands
153 of them made their way to Europe. Estimates of deaths in the Syrian crisis vary. In August 2015, it
154 was estimated that 250,000 people had died in the conflict (United Nations, 2015). Another report
155 by the Economist (2016) showed in Figure 1 puts the death toll as at February, 2016 at 470,000.

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156
157
158 Figure 1:
159
160 Either way, the death toll has been very high. By July 2015, there were at least 7,600,000 Internally
161 Displaced Persons in Syria (IDMC, 2015). Also, 3,975,842 refugees originated from the country as
162 of April 2015 (UNHCR, 2015). The refugee crisis has taken its toll not only on Syria’s neighbors, but
163 as far as European countries. This has been manifested in the negative impacts it has had on the
164 livelihood, public services and basic commodities of the local communities of the host nations.
165 Thus, the mass migration of refugees to the epicenters of Europe (notably, Italy, Greece, France,
166 Germany, Belgium, etc.), is worthy of note. In 2015, Germany alone received about I million
167 refugees from the Middle East, most of whom were from Syria. Approximately the same number
168 was expected for 2016 (UNHCR, 2015).
169
170 5. External Involvement
171
172 The Syrian civil war is wrought with numerous contributing factors with controversial implications. A
173 variety of these factors can help explain what is happening in the country. The conflict is broadly
174 divided between four main factors; (a) Al-Assad Regime, (b) Anti-Assad Opposition (c) The
175 Kurdistan Workers Party (PKK) and (d) the so-called Islamic State (IS) or Da’esh as it is known in
176 the Middle East. Each side has different foreign backers. Also regional powers have been involved
177 in the conflict as early as late 2011; with Iran backing the Assad-Regime and the Gulf States
178 backing the opposition through Turkey. Compounding this dire situation are the United States’ and
179 Russia’s polarized responses to President Bashar Al-Assad and the disagreement over military
180 strategies for toppling IS’s stronghold in the sub-region. Although, the United States and Russia are
181 rivals for regional interests, their interests are mostly aligned in terms of combating the Islamic
182 State.
183 Domestically, the Assad Regime relies on State armed forces and pro-Regime paramilitary
184 groups to fight the armed opposition forces. Syrian opposition groups have no unified command
185 structure. These forces comprise a broad range of groups, from radicalized Islamic groups to
186 leftwing secular parties and youth activist groups, who, though, agree on the need for Assad’s
187 departure, but share little common ground over how it should be implemented. The diffusive nature
188 of its operation creates rivalry between different outfits within the ranks of the opposition thereby
189 allowing hardliners to exploit this inadequacy. In the Middle East, Syria is strategically located. This
190 importance enables both the Assad Regime and the opposition groups to draw up diplomatic and
191 military support from various foreign sponsors. While the U.S. and most of Europe support the
192 opposition groups, Russia, Iran and the Lebanese Shiite group Hezbollah are allies of the Assad
193 Regime. Regional governments concerned about Iran’s regional influence back the opposition;
194 particularly Turkey, Qatar and Saudi Arabia.
195 The Syrian civil war which has been on for over six years is underpinned by a complex pattern
196 of alliance and enmities. The Assad Regime and opposition groups are backed for different reasons
197 by different countries. Table 1 is a summary of the alliance patterns of the war in Syria.
198

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199 Table 1: Foreign Alliances in Syria


200
Support Type of support At the UN security council
United States Syrian opposition. Air strikes, Arms supply. Supports resolutions, critical
of Assad.
Russia Assad. Air strikes, financial aid, Arms supply. Blocked resolution, critical of
Assad.
European Union Syrian opposition. Air strikes, Arms supply. Supports resolution, critical of
Assad.
Turkey Syrian opposition. Arms supply, material assistance. Supports sanction against
Assad.
Iran Assad. Material and financial assistance. Supports Assad.
Saudi Arabia Syrian opposition. Material and financial assistance. Supports opposition.
201
202 Source: Author’s Compilation, 2016.
203
204 The United States and Russia, the two main powers embroiled in Syria, remain on opposite sides.
205 Since the end of the Cold War in 1991, the United States of America arguably remains the world’s
206 only superpower (a position Russia is not comfortable with). This privileged position guarantees the
207 U.S. an unparalleled ability to exert its influence and project its power on a global scale (Bremer,
208 2015), though Huntington (1999) rejects this theory in favour of multi-polar balance of power. Since
209 the end of the Cold War, Russia has tried to offer itself as an alternative model of influence and
210 leadership on the international stage and in particular to regard itself as a key player in the Middle
211 East. Thus, Russia has sought to parlay it Middle East connection into special relationship with both
212 Iran and Syria. In contest of the Syrian crisis, the Assad Regime has so far gravitated towards
213 Russian real politics as an alternative to its engagement with the United States. Russia clearly has
214 an obsession with American hegemony, one that has taken on an added force during the current
215 Syrian crisis. The Assad Regime suspects that an alliance between itself and Russia (a power with
216 global reach) is little different from, and maybe more in its interest than, forgoing a partnership with
217 the United States that constantly calls for its replacement.
218 Once the epicenter of the Islamic Caliphate, Syria has seen invasions and played host to
219 occupations over the ages; from the Romans and Mongols through the Crusaders and the Turks. In
220 the present dispensation, Syria is a turf for proxy wars between and amongst varied international
221 actors whose interests are not beneficial to the country. Rather, these interests are driven by the
222 individual and/or the collective interests of the participating countries.
223 Internally, Syria has undergone a rapid process of state ferment since the early days of the
224 conflicts. Both the Assad Regime and opposition forces have contributed to the self-destruct of the
225 country. Within the sub-region, the seeming asymmetrical interests of Turkey, Saudi Arabia and
226 Qatar almost guaranteed that the political opposition in its various guises would reflect the
227 competition between its external supporters. To Saudis, the desire to replace Shiite regime with
228 Sunni Islam is one of the complications which deeply underpin its involvement. This is because the
229 Assad Regime is majorly composed of Shiite Muslims while the Saudi Regime and most Saudis are
230 Sunni Muslims. Turkey’s involvement is bolstered by its sheer desire not to accept a Kurdish
231 enclave on its southern border. Syria is a demographic mosaic of complicated ethnic and religious
232 divisions. The country’s 19 million people are divided into Sunni Arabs (65%), Alawis (12%),
233 Christians (10%), Kurds (9%), Druze (3%), Bedouin, Ismailis, Turcomans, Circissians and
234 Assyrians (Potter, 2014). According to Kaplan, in Syria:
235
236 the sharpest divide may not so much be religion or ethnic as it is ideological and existential, pitting
237 Muslims who want to align politics with religion against those who wish to keep them against those
238 who wish to keep them apart (Kaplan, 2012).
239
240 However, both the Assad Regime and the opposition groups have accused each other of
241 employing sectarian agitation. Despite the opposition groups’ attempts to present a non-sectarian
242 message while accusing the government of agitating sectarianism, the war in the country is rapidly

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243 devolving into an open sectarian and ethnic conflict. This has raised the ability to take the specter of
244 reprisal killings and orchestrated violence to an unproductive level. The sentiment in the West
245 mirrors the skepticism about the Syrian opposition: to what degree secular liberal democracies
246 should support groups that are neither secular nor liberal. Also, continuity of the President Assad in
247 power presents challenges for the West. The fractured nature and predominance of radicalized
248 Islamic groups of the armed opposition means that finding reliable allies whose values system are
249 acceptable to Western values has been difficult. There is also the apprehension that whoever
250 replaces President Assad might be less friendly to the West.
251 Furthermore, Shanahan (2013), argues that “the desire of the supporters (Russia and Iran) of
252 the Assad Regime to maintain Syria within their geo-political orbit by ensuring as much of the
253 regime as is feasible remains in place is a strong proposition”. Russia, Iran, the Lebanese Shiite
254 group Hezbollah and to a lesser extent Shiite dominated parts of Iraq are strong allies of the Assad
255 Regime. For Iran which hosts more than 90% of Shiite Muslims, it only too natural to support the
256 Assad Regime and its enemies in the country and elsewhere in the Middle East. Russia is an
257 interested supporter of the government in Damascus because it has a base in the Syrian port to
258 Tarsus, from where it is just over 1000 nautical miles to Russia’s Black Sea naval bases
259 (Sharwood, 2015). This is nonetheless, complemented by Russia’s desire to re-invented its
260 dwindling relevance in the Middle East and also stand up to the West.
261
262 6. Making the Peace
263
264 On 18th December, 2015, the United Nations Security Council unanimously adopted a resolution
265 calling for ceasefire and political settlement in Syria. While endorsing talks between the Syrian
266 government and opposition, the resolution sought for a political solution to the Syrian crises.
267 Accordingly:
268
269 the Security Council today endorsed a road map for a peace process in Syria, setting out an early-
270 January timetable for United Nations-facilitated talks between the Government and opposition
271 members, as well as the outlines of a nationwide ceasefire to begin as soon as the parties
272 concerned had taken initial steps towards a political transition (United Nations, 2015:1).
273
274 Besides, the resolution also asked the United Nations Security Council to convene formal
275 talks on a transitional government between the Assad Regime and opposition in 2016. This should
276 be done to support a Syrian-led political process that would set up “inclusive and non-sectarian
277 governance” (United Nations, 2015) within six months and schedule a process for drafting a new
278 constitution, with the aim of holding free and fair elections in 18 months. There was much
279 skepticism about the UN Resolution 2254 on Syria; agreement was rife that the UN unanimous vote
280 was a crucial step forward, though the goal of “credible, inclusive and non-sectarian governance”
281 (Al- jaafari, 2016) within six months was seen as hugely ambitious. While President Assad and his
282 allies welcome the resolution referred to above because it did not exclude the Syrian leader from
283 the peace process, the opposition and their allies will continue to see the non-exclusion of Assad as
284 an issue that would block progress in the search for peace in the country.
285 Attempts by the United Nations to broker ceasefires and start dialogue on the Syrian crisis
286 have failed in the past. One of such was the United Nation’s convened conference in Switzerland in
287 January 2014 to implement the 2012 Geneva Communiqué (BBC News, 2014). Unfortunately, the
288 Geneva II broke down in February after only two rounds. UN- Arab League envoy Lakhdar Brahimi
289 to the conference later blamed the failure on the Assad Regime’s refusal to discuss opposition
290 demands and its insistence on a focus on fighting “terrorist” (a term the Assad Regime uses to
291 describe opposition groups) (Rodgers, Gritten, Offer and Asaire, 2015). Also, a stubborn gridlock in
292 the United Nations Security Council majorly between the U.S. and Russia has long blocked any
293 step towards a political resolution of the Syrian crisis. The U.S. and Russian approaches to dealing
294 with the war in Syria are a study in contrast. Although differences still exist between the U.S. and
295 Russia, the December 2015 resolution breaks new grounds not only in calling for a political solution
296 to the conflict with a transitional government, but also in recognizing “ensuring continuity of

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297 government institutions” presently controlled by President Assad.


298 Paragraph two of the UN Resolution makes it clear that the negotiations are to be between
299 “the representatives of the Syrian government and the opposition.” This is not an easy proposition.
300 Getting the Assad Regime representatives to future talks in Geneva might be easy (especially with
301 the help of Russia), but the same cannot be said of the opposition Syrian National Council and their
302 allies in the Middle East. Nevertheless, the general phobia is that nothing is new in the resolution,
303 which stipulates elections under the UN supervision in eighteen months without the participation of
304 President Assad. Even if pressure were to mount on President Assad to vacate office, his ruling
305 Baathist party is highly unlikely to stay out of the transition process supported as it is by Russia and
306 Iran (both determined to retain their influence in the sub-region). Russia’s position is driven by a
307 determined effort to prevent a repeat of the ‘chaos’ that followed the ousting of Saddam Hussein in
308 Iraq in 2003 and Muammar Ghaddaffi in Libya in 2011, and underlined by the imperative to avoid
309 such an outcome in the case of Syria.
310 The U.S. led Western Allies look at the Syrian conflict from three perspectives: (a) the security
311 threat posed by the Islamic States, (b) the humanitarian crisis generated by the thousands of Syrian
312 refugees in Europe and (c) the collateral damage from the war in Syria that has created a
313 necessary condition for both internally and external migration of refugees. To this effect, Russia and
314 Iran are often accused by the West of giving the Assad Regime maximum protection and support.
315 Nonetheless, Russia in the past has vetoed United Nations Security Council Resolutions targeting
316 the Syrian government (Soldatkin, 2016). Thus, the difference in perspectives by both U.S. led
317 allies and the Russian led allies has over the years constituted a major obstacle to the UN Security
318 Council’s efforts towards a political resolution of Syria’s devastating war. Though key actors and
319 their supporters tended to believe there was no military solution to the crisis, not much has been
320 achieved to secure the peace in the country. The United Nations’ former envoy Kofi Annan bitterly
321 blamed the world body when he quitted in 2012. According to him:
322
323 without serious, purposeful and united international pressure, including from the powers of the
324 region, it is impossible for me, or anyone, to compel the Syrian government in the first place, and
325 also the opposition, to take the steps necessary to begin a political process (Gladstone, 2012).
326
327 Moreover, prior to the voting, UN Special Envoy for Syria Staffan de Mistura underlined that
328 there is no substitute to the political solution to the crisis in Syria (Al-jaafari, 2016). Thus, Members
329 of the UN Security Council called on UN Secretary General and his Special Envoy for Syria to
330 resume the Syrian-Syrian dialogue as soon as possible.
331
332 7. Exit Route
333
334 While the UN unanimous vote for the Syrian peace process was an important step forward, making
335 the peace in the country has been a daunting task. Although supporters of the Assad Regime
336 welcome the resolution that did not mention his role but for the opposition and their allies, the role
337 or otherwise of President Assad in the peace process will continue to be the issue that could block
338 the eventual fruition of the transition period. Equally important is the fact that groups seen as
339 terrorist (including Islamic States and al-Nusra Front) are excluded from formal talks on a political
340 transition in Syria.
341 Another sticking point in the peace process has been the branding of groups considered
342 terrorist outfits and consequently excluded from the talks on Syria. The war in Syria pits the Assad
343 Regime against many opposition groups with each trying to control territories. This position is
344 further exacerbated by whether President Assad should be or not be included in the transition
345 government. Keeping Assad in power will not help solve any of the problems associated with the
346 crisis in Syria and excluding him will lead to a political deadlock.
347 An equally important fact is that the U.S. and Russian approaches to dealing with the Syrian
348 crisis are somewhat asymmetrical. While the Obama Administration was indecisive in finding a
349 political solution to the crisis, the Putin Administration did all it could to protect the Assad Regime
350 (including aerial bombardment). As events unfold in Syrian, an extraordinary possibility has slowly

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351 emerged: the U.S. and Russia are fighting the Islamic State alongside each other. This fortuitous
352 understanding could be explored as the basis for moving the peace process in Syrian forward.
353 From this perspective, a genuine diplomatic initiative co-sponsored by both the U.S. and Russia
354 that integrate key nations to the crisis in the sub-region might stand a chance of success.
355 Thus to solve the Syrian problem, local government officials, ethnic and religious leaders
356 should be incorporated into the framework needed to broker a comprehensive agreement between
357 the Assad Regime and opposition forces. This arrangement should be complemented by a wider
358 effort by the United Nations. The local ownership of the peace process proposed here puts pay to
359 the differences between the U.S. and Russian roles in Syria (which are more often than not
360 divorced from the realities on the ground). What is needed in Syria is a comprehensive approach
361 that integrates the interests of all the parties to the crisis in the beleaguered country.
362 Apart from the point noted above, creating an exit corridor for President Assad will be an
363 added impetus to the peace process in Syria. President Assad should be made to sign a
364 comprehensive peace agreement paving way for his eventual exit from power (Marwa, 2011). Just
365 as the Yemeni parliament passed a law that granted Saleh immunity, from being prosecuted after
366 office, President Assad should be assured same and be encouraged to leave the country to his
367 preferred destination (probably Russia). The West and Russia should work towards realizing this
368 objective.
369 Indeed, Saudi Arabia and Iran are two major sub-regional backers of the protagonists of the
370 Syrian civil war. However, the energy dispensed by these two countries could be better channeled if
371 pressure is put on both of them by the international community to sheath their swords and be
372 integrated into the peace process. Here, the West must be ready to accommodate a moderated
373 Iranian interest while Russia should do same to the interest of Saudi Arabia. The present practice of
374 isolating Iran by the West is counter- productive to the whole peace process on Syria. Lessons
375 should be drawn from the nuclear arm deals between the P-5 plus One and Iran and be replicated
376 in the Syrian peace process. In fact, bridging the sectarian gap between the Iranians and Saudis
377 will bring succour to the rather fractured relationship between the Shiites and Sunnis, not only in
378 Syria, but also in the greater Middle East.
379 Paradoxically, in the context of the metamorphosis of the conflict, the Syrian opposition took
380 distinct approaches to resist the Assad Regime. However, decentralization of the protest movement
381 from the beginning of the conflict was meant to ensure the survival of the movement in the face of
382 extreme repression by the Assad Regime. According to Slim and Trombetta (2014:22):
383
384 all leaders were aware of the constant risk of death or detention, and they knew it was essential to
385 prioritize the continuity of the group after possible death or disappearance. The movement could
386 not depend on a single person, which explains the absence of a clearly identifiable leadership on a
387 national scale.
388
389 Thus, loose organizational structure of the opposition eventually played into the hands of the
390 Islamist militant groups and foreign jihadist fighters who entered the country to reframe Syrian’s
391 political and economic conflict as a sectarian-oriented fight. The radicalization of the conflict has so
392 far made it impossible to have a common front to engage the opposition groups. As peace remains
393 elusive in Syria and the humanitarian crisis in the sub-region worsens, only an integrative approach
394 to the peace process will suffice. Experience has shown that the current practice of isolating some
395 opposition groups on the ground of their ideological orientations may never work. The management
396 of such an initiative demands a complex mosaic of coordination and an all-inclusive team work that
397 would guarantee a negotiated peace process that is accepted to all.
398 In the context of broader Arab solidarity, domestic ownership of the peace process should
399 prevail. The process should be Syrian, supported by the Arab World and then, the International
400 community. Negotiations should start from the local level, the national, the sub-regional and the
401 international. This approach helps to solve the problem of selective isolationism as the different
402 opposition groups excluded from the peace process would act as spoiler units to any transition
403 process put in place. Also, it helps to resolve the dilemma built into the current practice of branding
404 some opposition groups as terrorist organizations with whom the West cannot enter into direct

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405 talks. An improved local content in the peace process can remove the gridlock referred to above
406 through a third-party negotiation. This gives to all the parties involved in the Syrian crisis a sense of
407 ownership of the peace process. The implementation therefore will become binding on all the
408 stakeholders in the Syrian project. The international community (especially the West and Russia)
409 should know that no one understands Syria more than Syrian themselves. As such, externally
410 crafted peace process, without full ownership by Syrians, amounts to a distortion of the historical
411 evolution of the Syrian state.
412
413 8. Conclusion
414
415 Syria is a religiously mixed country on the throes of debilitating civil war. Efforts to end the war in
416 Syria have been under intense global focus almost from the beginning of the crisis. The United
417 Nations has tried to broker peace acceptable to both the Assad Regime and the opposition forces,
418 with little or no success. The fundamental issues responsible for the paralysis of the international
419 community efforts at making the peace in Syria are the disagreements between Western
420 governments on one side, and Russia and China on the other, which has so far hindered any
421 decisive action by the United Nations Security Council. This paper believes that after over six years
422 of civil war in Syria, a top-bottom imposed peace process has lost its appeal. Rather, a bottom-top
423 remedy is urgently needed. Therefore, there is the need for a grassroots movement that uses the
424 cultural assets of the Syrian people to create a movement for peace and reconciliation in the
425 country. This would stave off foreign governments who are interested only in their own strategic
426 interests.
427
428 References
429
430 Al- jaafari, B. (2016). U.N. Security Council Adopts Resolution No. 2268 on Cessation of Combat Activities in
431 Syria. Available at http://www.strianfreepress.wordpress.com. Accessed 27/02/2016.
432 BBC News, (2014). What is Geneva II Conference on Syria? 22 January, 2014. Available at http://
433 www.bbc.com/ news/ world-middle-east-246284. Accessed 23/07/2016.
434 Bremer, I. (2015). These are the Reasons Why the U.S. Remains the World’s Only Superpower. Time. Available
435 at http://time.com/3899972/us-superpower-status-military. Accessed 07/01/2015.
436 Dollard, J, Miller, N. E., et al. (1939). Frustration Aggression Theory. London: Yale University Press.
437 Gladstone, R. (2012) Resigning as Envoy to Syria, Annan Casts Wide Blame. The New York Times. Available
438 at http://www.nytimes.com . Accessed 09/04/2016.
439 Grovogui, S.N. (2002). Regimes of Sovereignty: International Morality and the African Condition. European
440 Journal of International Relations, 8(31): 14-25.
441 Gurr, T.R. (1970). Why Men Rebel. Princeton, New Jersey: Princeton University Press.
442 Huntington, S.P. (1999). The Lonely Superpowers. Foreign Affairs: 78(2).
443 IDMC (2015). Displacement in Syria as of July 2015. Available at http://www.internal-displacement.org.
444 Accessed 07/01/2016.
445 Kaplan, S. (2012). Syria’s Ethnic and Religious Divisions. Available at http://www.fragilestate.org. Accessed
446 17/01/2017.
447 Kissinger, H. (1957). Strategy and Organization. Foreign Affairs: 35( 3).
448 Manfreda, P. (2014). Syrian Civil War Explained: The Fight for the Middle East. About News. Available at
449 http://middleeast.about.com/od/syria/tp/Syrian-Civil-War-Explained.htm Accessed 04/01/2016. Accessed
450 26/06/2016.
451 Marwa, R. (2011). Yemen’s Sleh Signs Deal to Give up Power. REUTERS World News, November 22, 2011.
452 Available at http:// www.reuters.com/article/us-yemen-idUSTRE7A. Accessed 15/04/2016.
453 Potter, L. G. (2014). Sectarian Politics in the Persian Gulf. New York: Oxford University Press.
454 Rodgers, L., Gritten, D., Offer, J. and Asare, P. (2015). Syrian: The story of the Conflict. BBC News Online.
455 Available at http://sa.bbc.co.uk/bbc/bbc/s? Accessed 24/09/2015.
456 Sharnahan, R. (2013). 10 Simple Points to Help You Understand the Syrian Conflict. Available at
457 http://ww.news.com.au. Accessed 04/01/2016.
458 Sharwood, A. (2015). Syria Explained in 10 Simple Points: A Western Perspective on the Crisis. Available at
459 http://www.news.com.au. Accessed 10/12/2015.
460 Slim, H., and Trombetta, L. (2014). Syria Crisis Common Context Analysis. Report Commissioned by IASC
461 Inter-Agency Humanitarian Evaluations Steering Group as Part of the Syria Coordinated Accountability

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462 and Lessons Learning Initiative. United Nations Office for the Coordination of Humanitarian Affairs, New
463 York, United Nations Headquarters, NY10017. Available at https://interagencystandingcommittee.org.
464 Accessed 10/11/2015.
465 Soldatkin, V. (2016). Putin Names United States Among Threats in New Russian Security Strategy. REUTER.
466 Available at http://www. Accessed 17/03/2015.
467 Spencer, A. (2003). Questioning the Concept of New Terrorism, Conflict and Development. Peace, conflict, &
468 Development, (8) : 1-33.
469 The Economist (2016) Quantifying Carnage: How Many People Has Syria’s Civil War Killed? Available at
470 http://www.economist.com. Accessed 09/04/2016.
471 UNHCR (2015). 2015 UNHCR Country Operations Profile Syrian Arab Republic. Available at
472 http://www.unhcr.org/pages/49e486a76.html. Accessed 24/08/2015.
473 United Nations (2015). Alarmed by Continuing Syria Crisis: Security Council Affirms its Support for Special
474 Envoy’s Approach in Moving Political Solution Forward. Available at
475 https://www.un.org/press/en/2015/sc12008.doc.htm Accessed 09/01/2016.
th
476 United Nations (2015). Security Council Resolution 2254 (2015) Adopted by the Security Council at its 7588
477 Meeting on 18 December 2015. S/RES/2254. Available at www.un.org/press/en/2015/sc12171.doc.htm.
478 Accessed 04/07/2016.
479

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Research Article

© 2017 Dimopoulos et.al.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
480
481
482 The End of a Custom: A Social Necessity or a Lust for “Modernisation”?
483 The Case of Sergiani in Megala Kalyvia (Trikala, Greece)
484
485 Konstantinos Dimopoulos
486
487 Ph.D. student, School of Physical Education and Sport Science
488 National and Kapodistrian University of Athens
489
490 Vasiliki Tyrovola
491
492 Emeritus Professor, School of Physical Education and Sport Science
493 National and Kapodistrian University of Athens
494
495 Maria Koutsouba
496
497 Associate Professor, School of Physical Education and Sport Science
498 National and Kapodistrian University of Athens
499
500 Doi: 10.1515/mjss-2017-0042
501
502 Abstract
503
504 The custom as an act inherently includes the concept of compulsory repetition and expresses the
505 community as a whole. Through custom and ritual, every local or wider community discovers its own
506 identity, but also the ritual is the vehicle through which the inhabitants of the local community give shape
507 to that identity and are influenced by it . The custom of sergiani was a cultural act performed by the
508 inhabitants of the Megala Kalyvia municipality, as the latter forms part of the wider Karagkounides
509 group. The aim of this paper is to shed light on the custom of sergiani performed in Megala Kalyvia
510 (Trikala, Greece), as well as to emphasise on the reasons why the custom stopped being performed.
511 The collection and processing of data is based on the principles of ethnographic study. The new
512 socioeconomic, historical and cultural facts that prevailed let to the discontinuance of the custom and the
513 accompanying dances, as it occurred with other cultural and dance practices, and it was sealed by the
514 historical structure a dependent – in a broader sense – local social and cultural identity. The president of
515 the municipality, as an expression of the occidental perception with foreign cultural influences contrary to
516 the perceptions of its inhabitants, contributed, with his actions, to the alienation of the local cultural
517 identity.
518
519 Keywords: Greece, dance, sergiani custom, social practices, social structures.
520
521
522 1. Introduction
523
524 The custom as an act inherently includes the concept of compulsory repetition and expresses the
525 community as a whole. Although custom, rite and ritual are interconnected vessels, however, the
526 custom itself does not present as much religious depth as the ritual (Puchner, 2009:199).
527 Nevertheless, the structures and the functions of the custom and the ritual are fluid, as the custom
528 can also present a religious character, just exactly as the ritual. Besides, according to Geertz
529 ([1973]2003) religion is present in cultural performances (Geertz, ([1973]2003:119), in such a way
530 that the custom as a cultural act includes the element of religiousness and, hence, of the ritual.
531 Through custom and ritual, every local or wider community discovers its own identity (cultural,

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532 ideological, political, religious, gender-related, and so on), but also the ritual is the vehicle through
533 which the inhabitants of the local community give shape to that identity and are influenced by it
534 (Mendoza, 2000).
535 Τhe custom of sergiani is an example of those customs. It was performed exclusively within all
536 lowland communities in the valley of Thessaly, composed exclusively of the Karagkounides ethnic
537 group. The custom of sergiani was a cultural act performed by the inhabitants of the Megala Kalyvia
538 municipality, as the latter forms part of the wider Karagkounides group.
539 The aim of this paper is to shed light on the custom of sergiani performed in Megala Kalyvia
540 (Trikala), as well as to emphasise on the reasons why the custom stopped being performed. More
541 specifically, we shall use the concepts of the “modernisation” and “innovativeness” as analytical
542 tools in order to bring out the reasons that led to the abolition of the custom by the middle of the
543 1960s, as well as to investigate — through the abolition of the custom — the terms and conditions
544 under which the local cultural identity was reshaped and redefined.
545
546 2. Methodology
547
548 The collection and processing of data is based on the principles of ethnographic study and derives
549 from primary and secondary sources (Buckland, 1999; Giurchescu, 1999; Crang, &Cook, 2007;
550 Robson, ([1993]2007); Sklar, 1991, Gkefou-Madianou 1999; Lydaki, 2001). Primary sources refer to
551 the data coming from in-situ research, through interviews (open-type questions for semi-structured
552 interview and unstructured interview), and the participant observation combined with simultaneous
553 audio and video recording of the inhabitants of the community. Secondary sources refer to the
554 review and use of the existing literature and was based on the principles of archival ethnography
555 (Gkefou-Madianou, 1999) and historical research (Adshead & Layton ([1983]1988). The Geertz
556 model of the “thick description” ([1973]2003) was used for the collection, presentation and analysis
557 of the data, whereas the methodological model of Tsoukalas (1983) served as a tool for data
558 processing and interpretation, who uses the analytical tools of innovativeness and modernism,
559 while considering that the collective procedures are a product of a central interference, exactly as
560 David would claim in 2014, who uses the consolidated term of globalisation in the modern world
561 which influences all cultural aspects of a society. Finally, the Geertz model ([1973]2003) was also
562 used, according to which cultural performances are also religious performances.
563
564 3. Data Analysis
565
566 3.1 Megala Kalyvia (Trikala): the place and the people
567
568 The village of Megala Kalyvia lies in the lowland region of Trikala, Greece, and precisely, in the
569 southwest part of the region. It used to be the administrative centre of the community named after
570 the village under Kapodistrias Reform Law 1 (together with the communities of Glinos and Agia
571 Kyriaki), whereas it now belongs to the municipality of Trikala city. It is 8 km away from the city of
572 Trikala and it is the last community before reaching the province of Karditsa. With a population of
573 1.849 inhabitants (according to the census of 2011) it occupies an area of 2.900 hectares and has
574 an altitude of 105 metres. The community of Megala Kalyvia, is therefore, the frontier village
575 between the provinces of Trikala and Karditsa, as it can be seen below.
576

1
Kapodistrias reform is the common name of law 2539 of Greece, which reorganised the country's
administrative divisions.

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577
578
579 Map: Megala Kalyvia and its geographic position
580 Sources: https://www.google.gr/search?q...
581
582 Its initial name was Kalyvia. In the beginning of the 19th century, there used to be several
583 settlements, such as Paschaliori, Kavoures, Logarakos, Kyrazoi, Marmaras and Kalyvia (Chiotis,
584 1997:13). This can also be proved by the script number (protesi)2 39 of the monastery of Dousiko
585 (16th-17th century). Moreover, the settlement of Paschaliori is dated back to 1592 (Ntoulas, 2011:
586 472). The definition “Megala” (Great) appears to have been introduced at a later stage, when all
587 above settlements were unified, apparently around 1810. The name “Kalyvia” is documented for the
588 last time in 1838. According to earlier oral narrations of two locals, F.Papanikolaou (1881-1967) and
589 P. Karalis (1892-1967), “…Mpeis, the representative of Ali Pasha of Ioannina, asked the
590 Kotsampasis 3 (local Christian notable) how they could create a big village such as Megalos
591 Palamas in Karditsa. The Kostsampasis replied that that would be possible by unifying all above
592 settlements…” (Chiotis, 1997:21). Hence, around 1810 all settlements were unified and the
593 community was renamed to Megala Kalyvia.
594 The inhabitants of Megala Kalyvia belong to the ethnic group of Karagkounides and they are
595 really proud of their identity. Their main activity is mostly agriculture, while animal husbandry is
596 mainly used to satisfy family needs. Mixing with other populations was rather scarce. The “foreign”
597 elements appear to arrive mostly after 1900, and they came mainly for Karagkounides
598 communities. The ethnic group of Vlachs also settled in the community: they would stay there
599 during the winter months and they would leave in summer (Chiotis, 2005: 240). They mainly came
600 from the Vlach communities of Gardiki or Moutsiara, and their arrival is dated around 1900. Their
601 main activities were animal husbandry, trade and dressmaking. No agricultural holding was
602 conceded to them, they only received a parcel and 0,5 hectares of arable land (Chiotis, 1997: 66). It
603 is worth mentioning that the Vlach population abandoned the community and moved either to the
604 nearby town of Trikala or to Athens (Chiotis, 2005: 240).
605
606 3.2 The custom of sergiani in Megala Kalyvia
607
608 The custom of sergiani was performed within the municipality of Megala Kalyvia, but also in other
609 municipalities belonging to the Karagkounides ethnic group. It was divided in two periods: the first

2
Monastery script, in which pilgrims-donors are listed.
3
Kotsampasis: it comes from the Turkish word kocabaṣı (koca = great, big, old + baṣ = head, first). They were
the local Cristian notables, on a province level, during Ottoman period.

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610 period would start on Epiphany Day and end on Carnival Sunday, whereas the second one lasted
611 from the first day of Easter (Easter Sunday) until the third day of Easter (Easter Tuesday). In
612 previous periods, only women participated in the custom performance, while men would just watch
613 or sit at the nearby cafes. During the Carnival period, women danced every Sunday morning after
614 mass on the church courtyard. They would also dance during the evening on the village square or
615 any other specific place especially adjusted for this purpose. Moreover, women could gather any
616 other day expect Sunday and perform the sergiani custom, in a more closed, informal way of
617 performance, taking place in the neighbourhoods, hence, in more closed spaces.
618 The sergiani was an exclusively female business. However, women’s freedom to perform was
619 limited by the ritual character of the custom, in a way that they would follow a strict order and
620 position within the dance performance. The position of each woman within the dance circle
621 depended on their social status, in combination with their biological age. This meant that the elderly
622 woman would have a front position within the circle, as they were the ones with a more important
623 social position. They were followed by the married women, but not in any random order: their social
624 age, meaning, their marriage age was the determinant factor for their position. If, for instance, a
625 woman was 25 years old but was only married for a year, she would be placed after a 23-year old
626 woman that was already married for 3 years. That was the general rule; however, if some women
627 were friends, then there was a – rather rare – chance that they would dance one next to each other,
628 if there was an insignificant social and biological age difference. The end of the dance circle was
629 composed of the engaged women that were initiated into the dance and song performance with the
630 help of the elderly women.
631 Both in Carnival and Easter sergiani, dances and songs performed did not have a random
632 character and there was no room for personal dance preferences. The songs, as well as their order,
633 was strict and predefined, the repertoire was specific and the songs were based on antiphony. The
634 first ones to sing were the elderly women, and they were repeated by the younger ones. There
635 were no musical instruments and the female voices was the only accompaniment to the dance, as it
636 occurred in the cases of other communities composed of the Karagkounides ethno-local group
637 (Dimopoulos, et.al. 2009; Dimopoulos, et.al. 2010; Dimopoulos 2011). Moreover, dances was also
638 very a predetermined element and they presented no great variety. There was just one or two
639 movement motifs that were constantly repeated and they would stress the ritual character of the
640 custom. Movements were slow, walking-paced and there was no room for showing off or dance
641 figures. The only difference between the Carnival and the Easter sergiani was the content of the
642 songs. Whereas the Carnival sergiani songs has a more lugubrious character, the Easter sergiani
643 had a more festive content. The table below summarises the similarities and differences between
644 the two periods of sergiani.
645
646 Table 1: Similarities and differences between Carnival sergiani and Easter sergiani
647
Custom Carnival sergiani Easter sergiani
Time of performance Morning and afternoon Morning and afternoon
Dance Slow, solemn, ritual Slow, solemn, ritual
Song Mournful content Easter content, festive and different type of execution
Gender structures Exclusive female participation Exclusive female participation
648
649 3.3 The end of a custom: social or imperative need?
650
651 The custom of sergiani stopped being performed many years ago; but what were the reasons that
652 “forced” a whole society to abstain from performing a ritual? The answer is given by the
653 combination of oral sources by our informants and the secondary and historical sources. Finding
654 the answer was not an easy procedure, as nobody was willing to express himself/herself openly
655 and unbiasedly regarding the reason why that specific custom stopped being performed. Obviously,
656 this is due to the fact that Megala Kalyvia is a rather closed society and it has very strict structures,
657 and therefore, the inhabitants were hesitating to speak up.
658 We should better take things from the start. Historically, the custom of sergiani in the

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659 municipality of Megala Kalyvia stopped being performed in the 60s, and specifically, in 1966. When
660 referring to the discontinuance of the performance, this means that women no longer danced or
661 sang. For several years later women continued gathering without singing or dancing. At first glance,
662 and after the initial conversation with mostly women (as they were the participants of the sergiani),
663 but also with men, I assumed that the sergiani custom did no longer have its original meaning and
664 purpose, as one of its purposes was the “bride-picking” functionality. Through the process of
665 sergiani, single women had the chance to get out to the public space, which allowed matchmaking
666 between families and marriage arrangements.
667 Therefore, I assumed that the custom no longer had its original function or meaning, so,
668 women were no longer obliged to get out the public space to find someone to get married to. This
669 would mean that it was the social need that dictated the terms for the discontinuation of the custom,
670 as the latter no longer served any purpose of the local community of Megala Kalyvia. This has
671 occurred in other cases likewise in the wider community inhabited by Karagkounides, in which an
672 entire custom (Dimopoulos, et.al. 2009) or dance would stop being performed because the social
673 society would judge them as no longer serving a need or a purpose of the community. However, my
674 contact with the informants and the establishment of of a more personal and trustful communication
675 with me pushed me to look from another way and get to investigate other deeper reasons that were
676 decisive factors for the discontinuance of the custom within that specific municipality.
677 The constant dialogue (visits at the informants’ houses every week), and followed by a
678 grinding and constructive research, managed to shed light on the subject, and my assumptions
679 were overturned. At this point, I have to note that I prefer not to mention the informants’ names, as I
680 have to “protect” my informants within the background of a closed community, as the one of Megala
681 Kalyvia, especially if collected data have to do with persons and situations that arose within their
682 community.
683 But let us take things from the start. Previously, it was said that the custom of sergiani in
684 Megala Kalyvia stopped being performed in 1966. During that period, the president of the
685 municipality was K.R. (mentioning his full name is hereby irrelevant), holding his position from July
686 of 1964 to March of 1969 (Chiotis, 2005:205). That president carried out a great deal of
687 infrastructure work, such as founding the local library (1965), ceding land for the construction of a
688 nursery school (1966), the establishment of a community health centre and a veterinary clinic
689 (1966), as well as many other infrastructure works (Chiotis, 2005: 205, 206). As it may be seen
690 from the above, that president had a rather progressive ideology and promoted infrastructure
691 development. He gave great attention to education (library, nursery school), but also to other
692 sectors that would contribute to the development and progress of the municipality.
693 That president was the reason for the discontinuance of the sergiani custom. According to the
694 informant A, “…sergiani was abolished by K.R., the president of the village. He wanted to leave the
695 old things behind and cut this dance down, he wanted things to change, so that people would not
696 dance like before. I specifically remember that […] was dancing; he took her from the hand and told
697 her to stop dancing. The women were dancing and he made them stop dancing. He took her by the
698 hand and dissolved the dance circle. Since then they stopped dancing. That president wanted to
699 abolish those customs…so he broke that order and nothing happened ever again.”
700 The female informant B mentions that that specific “…was elected as a president and
701 abolished the dance, he stopped it and it stopped happening. People went to the church but they
702 would not dance neither after mass, nor later in the afternoon, sergiani was over…”
703 Moreover, the female informant C mentions that “…when K.R was president, the dance was
704 abolished, as soon as he got elected […] He was a modern politician and he used to say that the
705 sergiani is no longer necessary…”, whereas the informant D, when asked when the custom
706 stopped being performed, said: “…I got married in 1964. I danced only one year, because the
707 custom stopped in 1965-66 […]. I think it was in 1966.
708 The female informant E gives an interesting dimension to the subject by adding that “…he was
709 the president of the village and his wife used to wear Karagkounides costume. When he was
710 elected, he wanted the progress to come and he made her wear European clothes. He made her
711 take the traditional costume off and dressed her according to the European dress code, this is how
712 it was called back then. Gradually we all followed her example, one after another. But after the

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713 Karagkounides clothes were taken off completely, they would no longer go dancing with that
714 custome and the dance stopped being performed…”
715 The female informant C noted that “…he abolished the dance, he said that the dance is no
716 longer needed, he cut it with a knife…” (making a horizontal sharp gesture with her palm looking
717 backwards). Her statement is corroborated by the female informant F, according to whom the
718 president used to say “… we are in Europe, he are heading towards Europe, we cannot be so far
719 behind still as we have to be like the others, like people living in Trikala, and start wearing
720 European clothes…”
721 The informant G mentions that “…I don’t remember when it stopped but the president of the
722 village was K.R. and he would not let them dance. He would not want it to be performed, so he
723 abolished it. He wanted to bring modern things and change the old ones…” Finally, the male
724 informant H mentions that “…those were stopped by K.R in 1966, when we has the president of the
725 village and he believed that they were out-to-date and so he stopped them…”
726 From the above it is clear that secondary sources “converse” with secondary sources in
727 absolute concordance. That president was indeed in tenure during 1966, when the sergiani custom
728 stopped being performed in the municipality of Megala Kalyvia. His work, as shown by secondary
729 sources, was a result of progressivism and development, which he tried to bring as the president of
730 the municipality. The above is confirmed by the informants’ statements, who describe him as a
731 progressive, “modern” president, who did not like the “outdated” and wanted to introduce a
732 European way of life, because he believed they are “in Europe”.
733 Based on this political/ideological background, directly linked to the concepts of modernism
734 and innovativeness, as well of cultural homogenisation, he started abolishing customary practices
735 and traditional behaviours, which he believed to be retrogressive and outdated, let alone in Greece,
736 where modernisation has always been a synonym for Europeanisation. He wanted to abolish the
737 old customs and traditional dress code and introduce a new, European code, according to
738 occidental standards. The truth is that he started implementing his ideas in his own house, as he
739 encouraged his woman to take the traditional costume off and motivated her to wear new
740 European-style clothes. He wanted to bring the winds of Europe, innovativeness, modernism and
741 progressivism. Therefore, one day in 1966, he strictly forbade the Carnival sergiani as he ordered
742 women to abstain from performing it, as he thought it to be old and outdated, not “modern” and it is
743 not compatible with the new social-political and cultural conditions which were observed in the
744 wider Greek space. He did all that without asking anyone or having into account the social impact
745 on the community, or not even considering the needs or the desires of its members. The end of
746 sergiani was not a social need or demand, but rather a choice of the local authority, personified by
747 the president, that had to be respected and followed by everyone.
748
749 3.4 The social impact and results
750
751 The legitimate impact created after this event was the fact that the inhabitants of the municipality
752 accepted that imposed end of the sergiani without any protest. But were they not bothered that the
753 custom just stopped being performed following an order-prohibition of an elected president?
754 The answer to the above question was given with honesty and a rather sorrow tone by the
755 informants. The male informant A stated that “…the decision of the president might have been
756 wrong, because people back then were counting on the sergiani to spend some time outdoors and
757 go out for a bit, escaping from their routine for 2 or 3 hours during the evening…”
758 The female informant B mentions that the president “…was accused by the village of Megala
759 Kalyvia, the dancing was not doing any harm. And we all commented that was wrong, the fact that
760 he was elected as a president and abolished the dance, since we didn’t understand how that dance
761 could do any harm…”
762 Moreover, the female informant F comments that “…it was not well seen. They used to say
763 that that was a chance to go out some Sundays, now we are locked in and they did not like that”
764 […] “…they used to talk with each other, but they would never form a complaint to anyone, as,
765 according to them, it was the president’s choice and we could do nothing about it…”
766 According to the above, the inhabitants of the municipality were unpleased with that decision.

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767 For them, rather than just a custom, the sergiani was a place of meeting and a way of
768 entertainment. It was a chance for the community to gather, as at that time women could not go out,
769 since coffee bars were exclusively a mens’ place. Therefore, the custom gave them the opportunity
770 to get out of the house, have some fun, sing and dance, while men could enjoy watching the
771 performance and see their women dancing. According to the informants, the sergiani functioned as
772 a pressure valve for women, as they used it to “escape” from the daily routine and forget about the
773 problems and heavy household workload.
774 The inhabitants never understood their president’s decision, as deep inside them they would
775 never accept it, since they didn’t want the custom to stop. Both genders were unpleased by that
776 decision, because it was a custom inherently connected with their local cultural identity and didn’t
777 agree with its discontinuance. Nevertheless, despite the fact that their decision-prohibition was not
778 embraced, it was still accepted and, according to the informants, nobody ever complained about it.
779 Perhaps the reason for that was their obedience to the local authority or they might have also
780 thought that their reaction would bring no outcome, or maybe they started realising that a new day
781 was coming, in which all old and outdated elements should cease to exist. It is no accident that
782 exactly that time the president of the village “forced” his wife to wear European-occidental clothes
783 and no longer follow the traditional local dress code, an example followed by other women. The
784 time of the global market and cultural homogenisation had come and dictated the prohibition of
785 every single manifestation of local identity and expression. In the municipality of Megala Kalyvia,
786 that was accompanied by the prohibition of sergiani by the own authority, personified by the
787 president.
788 This ethnographic example shows the role and the force of the dance and dance practices
789 within the social structure and its evolution in the municipality of Megala Kalyvia. The president of
790 the municipality, who obviously personified the local authority, decides to forbid the performance of
791 a custom as well as the dances that constitute the core of that specific ritual procedure. He did not
792 do so for political or partisan purposes, as it often occurs in the case of prohibition or change in the
793 way of performing some customs (Austerlitz, 1997; Brandes, 1990; Cowan, 1998; Daniel, 1991,
794 1995; Loutzaki, 1994; Manning, 1993, 1995; Mohd, 1993; Petrides, 1988; Ramsey, 1997; Reed,
795 1998; Strauss, 1977). The present case is rather related with reasons of progressivism and
796 innovativeness. He considered the custom to be ancient and outdated and would no longer have
797 place in the new emergent social situation, structured on the standards of the occidental world,
798 modernisation and social-economic homogenisation.
799 It is known that customs are not a static phenomenon, but they have a rather dynamic
800 character: they keep changing and constantly readapting within the framework of a dialectical
801 relation that connects a given social whole to the surrounding space. Moreover, customs are not
802 detached from the cultural net of the society, as they include cultural practices, such as dance and
803 music. If dances stop and, consequently, customs including dances, then the cultural expressions
804 of the community will also cease. In that specific case, the president gave an end to the ritual
805 procedure and included dances of the sergiani custom, as he felt that the society moves forward
806 and people enter a new era of modernisation. He abolished the custom because the inhabitants of
807 the municipality, a regional social formation, headed towards the rationalised approach of an
808 idealised future, where the old and the outdated had no longer a place within. In the studied case,
809 the modernisation was projected as a rupture with the past and as an ex nihilo construction of a
810 modern notional structure, in such a way that the cultural fabric of the municipality seemingly took
811 the form of rupture with the past. Besides, as it occurred with all the municipalities of the Greek
812 space, even before the founding structures of the new economic integration in the new global
813 system become visible, the political and cultural impact of this integration had already made its
814 appearance.
815 According to David (2014), there is “… a greater influence of globalization in areas such as
816 music, fashion, religion, and politics…”. Dance can be added up to the above, which is a cultural
817 practice as well, and, what is more in that specific case, a religious/ritual practice, as it is performed
818 during Easter period on the church courtyard. Those are fields affected by innovativeness,
819 modernisation, or the development of global market (Tsoukalas, 1983), and later on, by
820 globalisation (David, 2014).

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821 4. Conclusions
822
823 The research leads to the conclusion that a custom, and, subsequently, the dance procedure
824 inherent to the custom, may stop being performed not only because of functionality reasons or
825 other severe occurrences (war, mourning, emigration) but also because innovativeness and
826 modernisation greatly influence cultural and customary procedures, as well as dance, music or
827 singing practices.
828 The case of Megala Kalyvia is such an example, where the custom of sergiani, together with
829 the dance and songs that accompanied it, stopped being performed, because they were no longer
830 compatible with the new European or generally occidental way of life and they would no longer fit
831 into the new socio-economic and cultural fabric of that period. This whole approach was expressed
832 and imposed by the authority of the municipality, its president, who was the responsible person for
833 the present and the future of the village. He was the one who decided to introduce the municipality
834 of Megala Kalyvia ‒ within the framework of modernisation and innovativeness ‒ to the new way of
835 living, abolishing ancient dance-musical and customary practices, such as the women-led sergiani.
836 It could be affirmed that the new socioeconomic conditions that prevailed upon the
837 development of the global market on a universal level had also their impact in Greece:
838 municipalities lost, at a great extent, their regional particularity and their cultural identity, which was
839 influenced by the new cultural practices that prevailed in the wider occidental world, as a result of
840 the new social and financial system, inherently linked with the evolution of the global market.
841 Inevitably, the prevalence of the financial production methods and the structure of a global
842 market led to the universalisation of the historical procedures. The multidimensional structures of
843 regional formations, not only within the wider Greek space generally, but also within the framework
844 of the local municipality of Megala Kalyvia in concrete, in a global financial system let to the
845 entrance of that community into a new historical path, through the introduction of a range of new
846 institutional, ideological and cultural crystallisations. Therefore, the crystallisation of the local
847 collective perceptions regarding the cultural identity of the municipality was a part of a different
848 system of reference, which ‒ contrary to the terms of preindustrial production or reproduction ‒ was
849 based on change and search of new ways of transcendence. Nevertheless, despite the fact that the
850 decision of the president regarding the abolition of the custom was seen by the members of the
851 municipality as a problem and created anxiety, because they realised the cultural impact of that
852 abolition, however, they still accepted it as an alignment with the European or generally occidental
853 standards. Therefore, the new local cultural identity was projected as a collective project and as a
854 new collective vision, bringing the collapse of the traditional collective expressions. Furthermore, it
855 is commonplace that from the moment that collective expressions and behaviours are no longer a
856 product of a simply “internally-defined” production or reproduction, but rather become an object of a
857 centralised or unifying interference, they degrade and fall apart (Tsoukalas, 1983).
858 It seems that it was an inevitable result, as the new socioeconomic, historical and cultural
859 facts that prevailed let to the discontinuance of the custom and the accompanying dances, as it
860 occurred with other cultural and dance practices, and it was sealed by the historical structure a
861 dependent – in a broader sense – local social and cultural identity. The president of the
862 municipality, as an expression of the occidental perception with foreign cultural influences contrary
863 to the perceptions of its inhabitants, contributed, with his actions, to the alienation of the local
864 cultural identity. He imposed a new cultural identity that was composed of the ideological and
865 cultural elements of its institutional standards, becoming hence “evolutionary”, “innovating” and
866 “improving”.
867 In turn, the inhabitants of the municipality, despite their apparent reactions and
868 unpleasantness, but also influenced by the changes in the urban centres of the wider Greek space,
869 had a passive reaction to the president’s decision, perceiving it as a common purpose and
870 progress. From one point of view, the rupture with their cultural past and their cultural identity was
871 perceived as a rationalisation, a change of the present, as a unifying and symbolic structure, as an
872 adaptation to the new life conditions and an integration into the “civilised world” and an adjustment
873 to the “modern” era. From another point of view, the passiveness of the inhabitants of the
874 municipality regarding the abolition of the custom could also be interpreted as the fear against the

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875 prevalent local expression of authority, the institution and the person exercising that authority,
876 personified by the president of the municipality, especially when we are referring to 1960s Greece.
877 Therefore, the abolition of the custom no longer had the form of divergence or conflict, but rather
878 the form of convergence and identification which led to the shaping of new local cultural identity.
879 Besides, it has to be reminded that the events are prepared by people, made by people, impact
880 people and change people.
881 The abolition of the sergiani custom marked the readjustment and redefinition of the local
882 cultural identity within the framework of the dialectical relation that connected the people of the
883 community with the wider surrounding social space in Greece. It was a readjustment and a
884 redefinition driven by the new updated social and economic structures and was based on two basic
885 axes, either individually or in interdependence. The first axis was the people of the community
886 under examination and formed its social background. The second axis refers to the cultural
887 elements that composed, at that specific period, the base of differentiation or contradistinction. The
888 need for “modernisation” expressed the position that the local society had to escape from the
889 negative orbit in which it was moving till then. Despite the fact that it created a power conflict
890 between people looking forwards and people fearing the future, however, the outcome of the
891 abolition was finally perceived by the inhabitants as a natural result, since the main demand of that
892 period was the transformation of a culturally defined social collective into a self-contained cultural
893 and political entity based on this “modernisation”.
894
895 References
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938 Mohd, A. (1993). Zapin: folk dance of the Malay world. Singapore: Oxford University Press.
939 Petrides, T. (1989). Greek folk dances and change. In Lisbet Torp (ed.). The Dance Event: A Complex Cultural
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940 Phenomenon,Copenhagen (pp. 151-157). In Proceedings of the 15 Symposium of the ICTM Study
941 Group on Ethnochoreology.
942 Pouchner, W. (2009). Theoretical Laography. Athens: Armos.
943 Ramsey, K. (1997). Vodou, nationalism and performance: the staging of folklore in mid-twentieth century Haiti.
944 Women & Performance: a journal of feminist theory Volume 7(2), 345-378.
945 Reed, S. (1998). The politics and poetics of dance. Annual Review of Anthropology. 27, 503-532.
946 Robson, C. ([1993]2007). Real World Research. K. Michalopoulou (ed.), V. Ntalakou, & K. Vasilikou (trans.).
947 Athens: Gutenberg.
948 Sklar, D. (1991). On dance ethnography. CORD Dance Research Journal, 23/1, pp. 6-10.
949 Strauss, J. (1977). The History of the People's Republic of China, 1949-1976. New York: Free Press.
950 Tsoukalas, K. (1983). Tradition and modernisation. Some general questions. In D.G. Tsaousis (ed.) Hellenism
951 and hellenism. Ideological and experiential axles of the Greek society (p.37-48). Athens: Kollaros.
952

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Research Article

© 2017 Chuenpraphanusorn et.al.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
953
954
955 The Project Evaluation for Development the Learning Integrated Model
956 between the International Program (IP) and the Fundamental Level
957 Curriculum in Education Hub Project of the Ministry of Education, Thailand
958
959 Asst. Prof. Dr. Teeradet Chuenpraphanusorn
960
961 Mrs. Jongkon Boonchart
962
963 Dr. Ongorn Snguanyat
964
965 Dr. Amuka Wachirawin
966
967 Mr. Sarawut Chimbuathong
968
969 Ms. Kanchulee Moonlapat
970
971 Mr. Chanin Thitipetchkul
972
973 Graduate School, Suan Dusit University, Thailand
974
975 Doi: 10.1515/mjss-2017-0043
976
977 Abstract
978
979 The objectives of these investigation were: 1) evaluate the input process and the out-put of the International
980 Program in Thailand, 2) study, analysis and synthesis the educational management, 3) develop the
981 integrated model between the international classroom and the national curriculum classroom, 4) evaluate
982 the model and 5) present and submit the model to the relevant educational organization. The mixed
983 research methods: the qualitative and quantitative were used for this research methodology. The sampling
984 group consisted of students, program leaders, school committees, teachers and school officers, total 827
985 people from 8 schools in the Education Hub Project. The tool for gathering the quantitative data was the
986 questionnaire the reliability was in 0.950. Then the data was analyzed by the statistic in term of the
987 percentage, mean and standard deviation. The in-depth interview and structural interview form was the
988 main tool for the qualitative method. The results of this investigation were; 1) The result of the quantitative
989 method was informed that 1.1) the In-Put process of the international program management especially the
990 quality of the teachers were in the high ranking of demand in 4.15, furthermore, a) the classroom and
991 supporting materials or teaching aids were in the high ranking in 3.98, and b) the area of teaching and
992 learning were in the high ranking in 4.17. On the other hand, 1.2) the process factor: a) the students,
993 program leaders, school committees, teachers and the school officers were participated in educational
994 management in the high ranking in 3.96 b) the program management and the correlation with the
995 community were in high ranking in 4.01 c) the quality of the teacher was in high ranking in 4.17 and d) the
996 quality of the school officer was also in high ranking in 4.12. Moreover, 1.3) the out-put of the program can
997 be seen as: a) the result of the student development and the progress of the Education Hub Project were in
998 high ranking in 4.06 2) The result of the qualitative method was found that 2.1) the supporting of the school
999 budget from the department of education was also insufficient, 2.2) the capacity of the school teachers and
1000 school officers were in high ranking too, and 2.3) the management, the correlation of any parts of the
1001 school within the teacher, classroom and the supporting material or teaching aids were in the high ranking.
1002 2.4) the result of the model’s evaluation can be confirmed in the highly quality, especially; the model’s
1003 capacity that it was including both of In-Put, Process and Out-Put.
1004
1005 Keywords: Project Evaluation, Learning Integration Model, International Program, Curriculum, Education Hub
1006

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1007 1. Background and Significance of the Problem


1008
1009 With its geographical advantage in the center of the ASEAN region, Thailand has the potential to
1010 become a hub in various fields such as trade, transportation, politics, food production, health,
1011 tourism and services, as well as education. Thai education, both fundamental and tertiary, has
1012 been expanding extensively.
1013 Therefore, in fiscal year 2009, the Office of Basic Education Commission (OBEC), Ministry of
1014 Education, has selected 14 schools nationwide to join the "Education Hub" program – driving
1015 Thailand to become the ASEAN region’s educational hub. These schools are located in 6 regions:
1016 North, Northeast, Central, Eastern, Western and Southern, and are adjacent to neighboring
1017 countries with lots of foreign workers. The program focuses on developing management models in
1018 various areas, including curriculum management, learning process, and evaluation. It also aims to
1019 promote those areas to meet international standards and accommodate both Thai and foreign
1020 students. Each school’s context and needs are analyzed to develop a curriculum which promotes
1021 qualified students and the world’s citizens. There are 3 types of enrichment classrooms in the 14
1022 schools: 1) International Program or IP (8 schools), 2) Multilingual Program or MP (4 schools), and
1023 3) Science – Math’s Bilingual Program or SMBP (2 schools) (Office of the High School
1024 Administration, Ministry of Education, 2015).
1025 The above-mentioned direction drives for a high-quality and standardized Thai education
1026 process, which can eventually be comparable with international standards.
1027 The 3 types of enrichment classrooms clearly have different characteristics, especially the
1028 International Program, which has more potential to respond to the Thai’s educational expansion
1029 trend.Ministry of Education has launched the International Program (IP) for 6 years but its
1030 performance has not been evaluated. Although the IP program implemented in 8 schools
1031 nationwide has distinctively different context and management, their strengths all need to be
1032 continued. Meanwhile, there are some weaknesses in program and teaching management,
1033 curriculum, and evaluation, which need to be improved.
1034 As a result, a project evaluation of the IP program started from 2009 is essential for
1035 development of integrated model among enrichment classrooms. A "Standard Core" can be
1036 achieved by studying, collecting, compiling, analyzing and synthesizing related data and used as a
1037 guideline for 154 new schools across the country. This will raise the standard of Thai education to
1038 attract students from the ASEAN region.
1039 In conclusion, this research aims to achieve 2 results: 1) all data from project evaluation helps
1040 improve management of the existing 8 schools and upcoming 154 international schools and, 2) an
1041 integrated model among enrichment classrooms, international program (IP), and fundamental
1042 curriculum under the Education Hubs, Ministry of Education, in Thailand which can be used as a
1043 “prototype” for new schools with international programs in the future.
1044
1045 2. Objectives
1046
1047 1. To evaluate factors, processes, and outputs of international programs (IP) offered in
1048 Thailand;
1049 2. To study, collect, analyze, synthesize, and obtain lessons learned from primary and
1050 secondary data sources regarding educational management of international programs in
1051 Thailand;
1052 3. To develop an integrated model among enrichment classrooms, international programs
1053 (IP), and fundamental curriculum;
1054 4. To assess the developed model; and
1055 5. To present the model to related agencies.
1056
1057 3. Definitions
1058
1059 1. Project Evaluation refers to a systematic assessing process by researching and

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1060 collecting data from a series of activities to improve decision-making and evaluating
1061 process. Project evaluation is a part of a management process.
1062 2. Development means improving or innovating systematic processes for practical use.
1063 3. Model refers to what is created or developed from a concept or theory to simply and
1064 correctly explain a relationship of some components. A model can be tested with real data
1065 to understand matters or used as an example to create or replicate the concept or theory.
1066 4. Integration means linking of all knowledge and experiences contained in the curriculum. It
1067 focuses on a holistic development of learners in 3 aspects: cognitive domain, psychomotor
1068 domain, and affective domain.
1069 5. Enrichment classrooms refer to classrooms which are set up in accordance with an
1070 educational policy of the Office of Basic Education Commission, Ministry of Education.
1071 Started in 2009, the enrichment classroom have been focusing on specific aspects and are
1072 divided into 3 types: 1) International Program (IP), 2) Multilingual Program (MP), and 3)
1073 Science – Math’s Bilingual Program (SMBP).
1074 6. Fundamental Curriculum means a core curriculum developed for a basic level of
1075 education in schools throughout the country. It can be used as a guideline or be applied to
1076 each school’s teaching management.
1077 7. International Program (IP) is a program in Thailand which uses English in teaching and
1078 communication.
1079 8. Education Hubs refer to projects established by the Office of Basic Education
1080 Commission, Ministry of Education. These projects aim to provide teaching and learning in
1081 accordance the world’s trend and focus on quality of students that meets international
1082 demands, including foreign language skills, math and science skills, multi-cultural skills,
1083 and technology, etc.
1084
1085 4. Expected Benefits
1086
1087 1. Accurate data and lessons learned are obtained by collecting, analyzing, and synthesizing
1088 information from 8 International Programs (IP). This data can be used as references or to
1089 develop a knowledge management for other programs in the Education Hub project, such
1090 as multi-language programs (MP) or science-math's bilingual programs (SMBP).
1091 2. Proper processes and methods can be obtained as a prototype for the 8 schools’ annual
1092 self-evaluation process and continuous development. The prototype can also be applied to
1093 the new 154 international schools nationwide.
1094 3. The 8 schools can use the research results to determine their strategies, strategic plans,
1095 and project development in their own context.
1096 4. A learning integration model from information analysis and context synthesis is obtained
1097 for international programs inThailand.
1098 5. Proper processes and methods of knowledge management integration of international
1099 programs in Thailand are obtained. The 8 schools and the new 154 international schools
1100 can apply these processes and methods for their continuous development in the short
1101 term (3 years), medium term (5 years), and long term (10 years).
1102 6. A research team can gain learning and working connections, along with the Central Office
1103 of Basic Education Commission, Regional Office of Basic Education Commission, school
1104 and program management teams, teachers, parents, students, alumni, and current
1105 students.
1106 7. The research results can be developed as a guideline for knowledge management
1107 integration of international programs in Thailand under the Office of Basic Education
1108 Commission, Ministry of Education.
1109
1110
1111

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1112 5. Methodology
1113
1114 5.1 Step 1. Input, Process, and Output Evaluation of International Program (IP) in Thailand
1115
1116 Researchers use a System Analysis Approach in the 3 aspects of evaluation as follows.
1117 1. Input Evaluation of International Program focuses on adequacy and properness of budget,
1118 personnel’s ability, and lesson plans of international programs.
1119 2. Process Evaluation of International Program assesses properness of international
1120 programs’ operational plans and performance.
1121 3. Output Evaluation of International Program refers to students’ results, parents and
1122 communities’ cooperation and support towards international programs, as well as the
1123 target group’s satisfaction regarding the international programs’ performance.
1124
1125 5.1.1 Population and Sample
1126
1127 This research draws 827 samples from schools and international programs’ management teams,
1128 teachers, educational personnel, students, school committees from 8 international programs.
1129
1130 5.1.2 Research Tools and Assessment of Research Tools
1131
1132 5.1.2.1 Tools and Creation of Tools
1133
1134 1. Set 1 Questionnaire is for schools and international programs’ management teams to
1135 assess adequacy of programs’ input, management process, supervision and support,
1136 performance, and satisfaction towards international programs.
1137 2. Set 2 Questionnaire is for teachers and educational personnel to assess adequacy of
1138 programs’ input, management process, supervision, performance, and satisfaction
1139 towards international programs.
1140 3. Set 3 Questionnaire is for school committees and parents. It is a 5-level rating scale: Most
1141 agree, Agree, Not Sure, Disagree, Most Disagree.
1142 4. Set 4 Questionnaire is for students. It is a 5-level rating scale: Most agree, Agree, Not
1143 Sure, Disagree, Most Disagree.
1144
1145 5.1.3 Assessment of Research Tools
1146
1147 Assess the questionnaire’s validity and reliability with the following steps.
1148 1. Present the developed questionnaire to specialists for comments;
1149 2. Assess validity and reliability as follows.
1150 • Assess validity by presenting the questionnaire to 3 specialists (name list specified in
1151 Appendix), checking content validity of the developed tools, as well as reviewing
1152 language and formats for comments and revisions;
1153 • Assess reliability by trying out 30 of the revised questionnaire with samples similar to
1154 the real samples to obtain a reliability score using an alpha coefficient method. Alpha
1155 coefficients of the student, parent, and educational personnel samples are 0.950,
1156 0.979, and 0.963, respectively.
1157
1158 5.1.4 Data Analysis
1159
1160 This research’s descriptive statistics are percentage, average, mean, and standard deviation.
1161
1162 5.2 Step 2. Data Collection, Analysis, Synthesis, and Obtaining Lesson Learned (Qualitative
1163 Research)
1164
1165 This step includes data collection, analysis, synthesis, and obtaining lesson learned from primary

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1166 sources and secondary sources regarding international programs in Thailand and knowledge
1167 management integration among enrichment classrooms, international programs, and fundamental
1168 curriculum.
1169 This step focuses on 2 methods as follows.
1170 1. Primary Source Data Analysis – Review documents related to the 8 international programs
1171 and present narrative information;
1172 2. Secondary Source Data Analysis – Conduct structural interviews and focus group
1173 interviews to gather information with education management affiliates which include:
1174
1175 5.2.1 Population and Sample
1176
1177 Purposive Sampling is applied based on their knowledge and works following instructions from
1178 Ministry of Education. The samples consist of the following:
1179 1. 4 key persons of the 8 international programs (self-selected);
1180 2. 3 samples from a central agency – the Office of Basic Education Commission, Ministry of
1181 Education, who are directly responsible for international programs such as Directors of
1182 Secondary Education and related officials;
1183 3. 2 samples from Educational Service Area Offices where the 8 schools are located,
1184 including Office Directors or Supervisors or related officials.
1185
1186 5.2.2 Tools and Creation of Tools
1187
1188 The research tool in this step is a structural interview created by the researchers with the following
1189 steps:
1190 1. Review and collect question development from documents and textbooks to create a
1191 question framework;
1192 2. Analyze parts of questions related to international program operations and learning
1193 integrated model and come up with proper major and minor points of the questions;
1194 3. Create a set of questions based on the framework in (1) and the points in (2);
1195 4. Let 3 specialists assess the tool quality by calculating Index of Consistency (IOC) of the
1196 tool for improvements;
1197 5. Prepare necessary equipment such as a recorder, a camera.
1198
1199 5.3 Step 3 Improve and Evaluate Learning Integrated Model among Enrichment Classrooms,
1200 International Program (IP), and Fundamental Curriculum
1201
1202 1. The research team gathers, analyzes, and categorizes all information from Step 1 and 2 to
1203 design the model.
1204 2. The research team conducts a focus group interview with related officials to brainstorm
1205 content of the learning integrated model between international programs and the
1206 fundamental curriculum.
1207 3. Set a discussion among 13 members – 1 educational course and teaching specialist, 2
1208 school executives, 4 program executives (those not involved in Step 2 are programs’
1209 manager and chief), 3 central agency’s executives (OBEC) or related officials, 1
1210 responsible supervisor, and 2 teacher representatives – regarding an integrated model
1211 among enrichment classrooms, international program (IP), and fundamental curriculum
1212 under the Education Hubs, Ministry of Education, Thailand.
1213 The above information describes the research methodology of The Project Evaluation for
1214 Development the Learning Integrated Model between the International Program (IP) and the
1215 Fundamental Level Curriculum in Education Hub Project of the Ministry of Education, Thailand.
1216
1217 6. Results
1218
1219 a. Quantitative research shows that 1) Project In-Put 1.1) Teachers – high satisfaction level

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1220 with an average of 4.15, 1.2) Classrooms and learning facilities – high satisfaction level
1221 with an average of 3.93, and 1.3) Operational area – high satisfaction level with an
1222 average of 4.17; 2) Process 2.1) Opportunity for cooperation from communities/ parents/
1223 educational committees in learning mangement – high satisfaction level with an average of
1224 3.95, 2.2) Management/relationship – high satisfaction level with an average of 4.01, 2.3)
1225 Lecturers – high satisfaction level with an average of 4.17, and 2.4) Supporting personnel
1226 – high satisfaction level with an average of 4.12; and 3) Project Out-Put 3.1) Performance
1227 of Education Hub on students – high satisfaction level with an average of 4.06, 3.2)
1228 Opinions about project output on students – high satisfaction level with an average of
1229 4.07, and 3.3) Opinions about self-development – high satisfaction level with an average
1230 of 3.91.
1231 b. Qualitative research shows that 1) Adequate budget with proper allocation, 2) high level of
1232 personnel’s ability and competence, 3) high level of management/ cooperation, teacher,
1233 classrooms, and facilities.
1234 c. Model assessment shows that the developed model has high quality with clear methods
1235 for input, process, and output.
1236
1237 7. Results Discussion
1238
1239 The results can be discussed as follows.
1240 1. Input, Process, and Output Assessment of International Program
1241 a. Input: Teachers, both Thais and foreigners, have a high satisfaction level with an
1242 average of 4.15, especially teachers’ competence in the courses. Although some
1243 teachers may not have direct educational background, they can apply knowledge body
1244 to teach students effectively.
1245 However, there is still a need to improve foreign teachers’ teaching quality. Some of
1246 them do not graduate with an Education degree. Hence, a supervision process is
1247 necessary for giving these Thai and foreign teachers support and suggestions via
1248 coaching and mentoring methods. This corresponds to a study of Teeradet
1249 Cheunpraphanusorn, et. al. (2016), studying improvement of early childhood teachers’
1250 quality under the Department of Local Administration in Thailand. They use a guiding
1251 and coaching system in the form of developing while teaching. It is found that this
1252 Coaching and Mentoring teachers’ development approach has a PDCA cycle, which
1253 affects mutual acceptance and assistance. These results are in accordance with a
1254 study of Chalermchai Panlert (2006) on development of mentoring process by
1255 academic mentors with an emphasis on experience-based skills and school-based
1256 education. Another similar study is conducted by Sutthisak Srisomboon (2005), which
1257 focuses on peer supervision to improve elementary school teachers’ learning
1258 management competency through cooperative learning methods. This study is in line
1259 with a study of Srisuda Saengpan (2007), effects of using internal peer counseling on
1260 the quality of preschool teachers’ teaching and learning activities. These studies all
1261 conclude that a supervising process is still important for management of today’s
1262 education in all levels, courses and forms.
1263 Meanwhile, the concepts cited above are consistent with the teacher development
1264 approach called Professional Learning Community or PLC, which uses the After Action
1265 Review (AAR) quality improvement system. This system encourages cooperation
1266 between Thai and foreign teachers through activities and work which aim to improve
1267 teaching quality.
1268 b. Process: According to the data collected, one characteristic of the learning
1269 management of schools under the Education Hub project is an opportunity for
1270 cooperation from communities/ parents/ educational committees. It receives a high
1271 satisfaction level with an average of 3.95. Moreover, overall management/ relationship
1272 has a high satisfaction level with an average of 4.01, supporting good attitudes among
1273 the schools, communities, parents, and educational committees.

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1274 Under the new learning management framework, each school no longer manages
1275 teaching and learning on its own. A link among schools, communities, and educational
1276 committees is necessary for improving learning quality. The schools in the Education
1277 Hub project apply strong community-based management, which integrates
1278 internationalism with standard curriculum of big schools (Bertie and College, 2004).
1279 c. Output: Overall performance of schools under the Education Hub project reflected on
1280 students has a high satisfaction level with an average of 4.06. In particular, students
1281 have the highest performance in foreign language ability. Students are highly satisfied
1282 with learning in the Education Hub project. Students maintain morality, good ethics and
1283 attitudes towards studying in the Education Hub project. These results are in line with
1284 the SMART principle, which is an ultimate goal of the project.
1285 Students’ attitude and pride of education under the Education Hub Program reflect
1286 quality of international education. This social transformation process starts within a
1287 classroom with high quality teachers and methods of wisdom to give learners profound
1288 knowledge. This process takes approximately 3 – 6 years (Gutex, 1988).
1289 In addition, student development in the schools still include both domestic and
1290 international exchanging activities. This complies with Activity-Based Learning (S.C
1291 Maheshwari and Vineeta Mitlol, 2001), which encourages students to have social
1292 interaction and scientific processes based on researching, setting up of objectives,
1293 analysis, synthesis, and finding a conclusion.
1294
1295 8. Suggestions
1296
1297 A. Policy and operational suggestions are as follows.
1298 1. Adequacy of Budget/ Management
1299 • Schools should apply a “small school in big school” management method for quick
1300 strategic process.
1301 • Schools should have short-term and long-term budget strategic plans.
1302 • Schools should not mix allocated budget with other budget. There should be a
1303 separated budget account for the project.
1304 • Office of Upper Secondary Education should have short-term and long-term annual
1305 budget strategic plans.
1306 • Office of Upper Secondary Education should provide and publicize suggestions
1307 regarding budget management.
1308 2. Personnels’ Competence
1309 • Recruit qualified teachers via Social Media domestically and oversea, as well as
1310 creating a network with foreign universities that train teachers.
1311 • Schools should provide additional forms of compensations for foreign teachers.
1312 • Encourage foreign teachers to receive training to obtain a certificate of professional
1313 teaching.
1314 • Schools should recruit foreign teachers on its own via Social Media.
1315 • Office of Upper Secondary Education should reach for cooperation with foreign
1316 universities specializing in Education.
1317 • Office of Upper Secondary Education should present such information to
1318 implementing agencies for further consideration.
1319 • Office of Upper Secondary Education must be a core coordinator to accept foreign
1320 intern teachers to different schools.
1321 • Office of Upper Secondary Education should provide a data base of intern teachers
1322 in Thailand for different schools.
1323 • Office of Upper Secondary Education should provide a quality improvement plan for
1324 schools under the Education Hub Program via classroom research. There should
1325 also be national and international level academic discussion forums for teachers in
1326 the project.

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1327 3. Learning and Study Plan


1328 • Schools should develop a new curriculum based on the Education Hub program,
1329 following the 2008 core curriculum. This may be performed every 3 years to provide
1330 up-to-date curriculum with international content (special economic zones, tourist
1331 areas, industrial zones, etc.)
1332 • Schools should provide knowledge, suggestions, and mentors for new Thai and
1333 foreign teachers based in a Coaching and Mentoring format.
1334 • Office of Upper Secondary Education should prepare a clear qualification
1335 framework for Education Hub Program, including teachers’ qualification, courses,
1336 learning management to provide guidelines for schools in the project and
1337 prospective schools.
1338 • Office of Upper Secondary Education should work on a holistic knowledge
1339 development project, including educational institution management, classroom
1340 management, foreign language communication, etc.
1341 B. Suggestions for further research improvement
1342 1. This research is based on multiple elements of data collection. Therefore, it is
1343 advisable for other researchers to study it thoroughly for maximum benefit.
1344 2. The developed model is used as a core for the participating schools. Therefore, other
1345 schools may adapt it to their own educational contexts, which are not limited to the
1346 specified scope and procedures of management.
1347 3. The information synthesized in this research is both in micro level – each school
1348 specific, and macro level – a comprehensive overview of the Education Hub program.
1349 Hence, other schools may use it as a guide to further improve their instructional
1350 management.
1351 4. This research can be further improved by focusing on a variety of specific aspects of
1352 the existing programs offered in the Education Hub Program. It may provide useful
1353 information for leap-forward development in the future.
1354 5. This research can be used as a basis for Office of Upper Secondary Education’s
1355 strategy development of the Education Hub Program since all information is completely
1356 synthesized.
1357 6. It can be seen that the conclusions of this research serve a significant development
1358 issue. At the same time, suggested solutions to solve the problems systematically are
1359 provided in both micro level – school, and macro level – the Office of Upper Secondary
1360 Education, Ministry of Education. Therefore, this information can be used to identify a
1361 strategic plan for the operation of schools in the program.
1362
1363 References
1364
1365 Bertie, E., Maris, G., and Wilson, I. (2004). Effective School management, England: Sage Publication Ltd.
1366 Panlert, C. (2006). The Development of Mentoring process by Academic Mentors with an Emphasis on
1367 Experience-based skills and School-based education. Bangkok: Chulalongkorn University, Thailand.
1368 Gutex,G.L. (1988). Education and Schooling in America. New Jersey : Prentice. Hall.
1369 Maheshwari, S.C. and Vineeta M. (2001). An Activity Based Learning Process in Society. Delhi : Avichal
1370 Publishing Company, India.
1371 Saengpan, S. (2007). Effects of Using Internal Peer Counseling on the Quality of Preschool Teachers’ teaching
1372 and Learning Activities. Bangkok : Srinakharinwirot University, Thailand.
1373 Srisomboon, S. (2005). Peer Supervision to Improve Elementary School Teachers’ learning Management
1374 Competency through Cooperative Learning Methods. Bangkok : Silapakorn University, Thailand.
1375 Chuenpraphanusorn,T., Boonchart, J., Snguanyat, O., Chombuathong, S., Thitiperchkool, C.
1376 and Moonlaphad, K. (2016). The Standard’s Development of Kindergarten Teacher of the Department of
1377 the Local Administration, Thailand by “Coaching and Mentoring” method under the model of on the Job
1378 Training. Bangkok : Suan Dusit University, Thailand.

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Research Article

© 2017 Ingrida Trups-Kalne and Girts Dimdins.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
1379
1380
1381 Relation between Social Conservatism, Moral Competence,
1382 Moral Orientations, and the Importance of Moral Foundations
1383
1384 Ingrida Trups-Kalne
1385
1386 Riga Higher Institute of Religious Sciences
1387 affiliated to the Lateran Pontifical University
1388
1389 Girts Dimdins
1390
1391 Department of Psychology, University of Latvia
1392
1393 Doi: 10.1515/mjss-2017-0044
1394
1395 Abstract
1396
1397 This paper examines the relation between moral competence, moral orientations, importance of moral
1398 foundations, and political orientation, by combining two theoretical approaches in moral psychology--the
1399 cognitive perspective and social-intuitionist perspective. The participants (Study 1 N=348, aged 18 to 67,
1400 and Study 2 N = 361, aged 16 to 74) completed the Moral Competence Test (formerly Moral Judgment
1401 Test, Lind, 1978, 2008), the 30-Item Full Version of the Moral Foundations Questionnaire (Graham,
1402 Haidt & Nosek, 2008), and measurements of political orientation (a seven-point self-evaluation scale in
1403 study 1 and an 8-item social conservatism scale in Study 2). There was a negative correlation between
1404 moral competence on the one hand and conservative political orientation and binding moral foundations
1405 on the other hand. The overall correlation pattern between the scores of moral orientation and moral
1406 competence, and importance of moral foundations and political orientation was relatively weak and only
1407 partially consistent with the theoretical predictions. The results suggest that constructs used in the
1408 cognitive and social-intuitionist perspectives on moral judgment are conceptually different, and
1409 integrating the two approaches may be a challenging task.
1410
1411 Keywords: Moral competence, moral foundations, conservatism, ideology, political orientation
1412
1413
1414 1. Introduction
1415
1416 Based on the theoretical assumptions and empirical findings of Piaget (1932/1965) and Kohlberg
1417 (1968), Georg Lind's (2002) Dual-Aspect Theory of Moral Development postulates that moral
1418 reasoning is formed by two aspects that are inseparable in real life but are theoretically
1419 independent: the affective aspect, containing moral orientations (formed by motivation and values,
1420 which corresponds to Kohlberg's six-stage model of moral development (Kohlberg, 1976), see the
1421 Appendix of this paper for a brief summary), and the cognitive aspect (moral reasoning structure
1422 that is characterized by consistency of moral reasoning). The former aspect reflects the change in
1423 the contents of individual motivation of moral behavior, as moral reasoning changes from the self-
1424 centered perspective of pre-conventional level of moral development to the universality of the post-
1425 conventional level. This aspect contains ethical principles and individual beliefs about what is good
1426 and what is bad, and for what reason. The latter aspect reflects the individual capacity to make
1427 moral decisions and to act in accordance with them. It reflects individual skills to apply the moral
1428 knowledge to solving specific moral dilemmas. The latter aspect is also referred to as moral
1429 competence. Both aspects of morality are closely related and, in fact, the principle of cognitive-

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1430 affective parallelism (Kohlberg, 1977, as mentioned in Lind, 2002) stipulates that the support of
1431 arguments of the highest moral development stages is related to consistency in the moral
1432 reasoning process and a hierarchy of clearer moral values and principles.
1433 Empirical studies (Lind, 1986, 2003b) show that, irrespective of age and cultural belonging,
1434 individuals give priority to arguments of the higher moral development stages, even though not
1435 everyone has highly developed moral competence. But Lind (2002, 2003a) argues that an
1436 individual needs a highly developed moral competence in order to implement his/her declared
1437 ideals and solve moral dilemmas and conflicts in everyday life. The bigger the number of moral
1438 values and virtues an individual considers important, the higher moral competence is necessary for
1439 him/her to make a decision in a moral dilemma situation.
1440 Cross-cultural research in the field of moral reasoning development (see Snarey, 1985, for a
1441 review) indicates that the level of moral development in Eastern and traditional cultures is in general
1442 lower than that in the developed Western cultures. In addition, within one culture, systematic
1443 differences in moral reasoning can be observed between various social groups. For example, a
1444 number of studies (see Emler, 2002, for a review) have revealed that individuals with conservative
1445 political orientation show lower scores on moral reasoning tests. Emler (2002) also notes that
1446 conventional reasoning is often related to social conservatism, whereas post-conventional
1447 reasoning is more closely correlated with liberalism. Social conservatism is defined here as
1448 endorsement of traditional values and exhibiting attitudes and behavior aimed at maintaining the
1449 existing organization of society, as opposed to supporting social change aimed at improvement the
1450 rights and freedoms of all individuals (the latter stance can be labeled socially liberal).
1451 These findings regarding the differences in moral reasoning between liberals and
1452 conservatives bring up the question of how moral reasoning is measured when such comparisons
1453 are made, and how different social groups understand the concept of morality. The cognitive-
1454 rational approach to moral reasoning is characterized by Turiel's (1983, p. 3) definition: "the moral
1455 domain refers to prescriptive judgments of justice, rights, and welfare pertaining to how people
1456 ought to relate to each other". It follows from this definition that any values that are not related to
1457 "justice, rights, and welfare" (such as, for example, patriotism, authority, or sanctity) are considered
1458 non-moral and relegated to the domains of social convention or personal choice (Turiel,
1459 Hildebrandt, & Wainryb, 1991).
1460 However, in many social groups and cultures the concept of morality is construed more
1461 broadly than outlined by the cognitive-rational approach. An alternative perspective to
1462 understanding morality, which accommodates other criteria for defining the moral domain, is the
1463 social intuitionist approach that has grown more and more prominent in social psychology over the
1464 last couple of decades (Haidt, 2001, 2007). Haidt and colleagues (Haidt, 2007; Haidt & Joseph,
1465 2004) have concluded that there are five psychological systems, each with its own evolutionary
1466 history, that give rise to moral intuition across cultures. The first foundation (labeled
1467 Fairness/cheating) is concerned with fairness, reciprocity and justice. The second foundation
1468 (Care/harm) is concerned with caring, nurturing, and protecting vulnerable individuals from harm.
1469 The third foundation (Loyalty/betrayal) is concerned with loyalty, patriotism, and self- sacrifice for
1470 the group, combined with vigilance for traitors. The fourth foundation (Authority/subversion) is
1471 concerned with virtues of subordinates (e.g., obedience and respect for authority) paired with
1472 virtues of authorities (such as leadership and protection), and respect for tradition. The fifth moral
1473 foundation (Sanctity/degradation) deals with avoidance of physical and spiritual contamination, and
1474 it promotes living in an elevated, less carnal, more noble way. Cultures may vary in the degree to
1475 which they construct, value, and teach virtues based on the five intuitive foundations. A number of
1476 empirical studies (Graham, Haidt, & Nosek, 2009; Graham, Haidt, Nosek, Iyer, Koleva, & Ditto,
1477 2011) have shown that these five foundations can be further reduced to two basic factors. The first
1478 factor, formed by the care and fairness foundations, can be considered the factor of individualizing
1479 morality (aimed at regulating interactions between individuals, and at maximizing individual welfare
1480 in such interactions). The second factor, formed by the loyalty, authority, and sanctity moral
1481 foundations, can be considered the factor of binding morality (aimed at regulating relationships
1482 within social groups, and at maximizing social harmony and welfare at the group level).
1483 Cross-cultural studies by Haidt and colleagues (Graham, Haidt, & Nosek, 2009; Graham, et

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1484 al., 2011; Haidt & Graham, 2007), using samples of tens of thousands of participants from different
1485 countries, have revealed that fairness/cheating and care/harm are more important aspects in
1486 making moral judgment for liberally oriented individuals than for conservatives, for whom in-group
1487 loyalty, respect for authority, and concern about purity and sanctity are also important. Strongly
1488 liberal individuals evaluate the first two foundations (care/harm and fairness/cheating) as highly
1489 important in their moral judgments, whereas the other three foundations are evaluated as relatively
1490 unimportant. At the same time, highly conservative respondents state that all five moral foundations
1491 are about equally important for them. These findings are part of a rapidly developing tradition in
1492 contemporary social and political psychology, which examines individual political orientation as a
1493 psychological construct and studies its psychological and behavioral correlates, antecedents, and
1494 consequences (see for example Duckitt & Sibley, 2009; Feldman & Johnston, 2014; Jost, Federico,
1495 & Napier, 2009; Jost, Glaser, Kruglanski, & Sulloway, 2003). A large part of this line of research has
1496 been devoted to the relationship between moral judgment and moral reasoning on the one hand,
1497 and political orientation on the other, mostly within the social-intuitive approach (e.g., Federico,
1498 Weber, Ergun, Hunt, 2013; Graham, et al., 2011; Kugler, Jost, & Noorbaloochi, 2014; Nilsson &
1499 Erlandsson, 2015; Weber & Federico, 2013), but also within the rational-cognitive approach (e.g.,
1500 Crowson & DeBacker, 2008; Emler, 2002; Raaijmakers & Van Hoof, 2006).
1501 As mentioned before, previous research has shown that individuals with conservative political
1502 orientation show lower scores on moral reasoning tests (Emler, 2002). One possible explanation for
1503 these results is that the existing moral reasoning tests are largely based on moral dilemmas related
1504 to the individualizing moral foundations, which form the basis of liberal morality. According to Lind
1505 (2002), the moral competence score reflects the consistency of reasoning in relation to the values
1506 that are of importance for an individual. One may argue that it is easier to preserve this consistency
1507 of reasoning for individuals with a lesser number of morally important values (and thus achieve
1508 higher moral reasoning scores) than for individuals with a larger number of important moral values,
1509 such as conservative individuals. For conservative respondents, when solving the dilemmas, there
1510 are additional criteria to consider, related to the binding moral foundations of in-group loyalty,
1511 respect for authority, and concern over purity and sanctity, which are not reflected in the
1512 measurements and test results. Liberal respondents, for whom the individualizing moral foundations
1513 are of stronger importance, show higher scores in measurements of moral reasoning. Thus, an
1514 assumption can be made that the importance of binding moral foundations is negatively related to
1515 moral competence scores. In addition, Emler, Renvick , and Malone (1983) showed that
1516 conservative political orientation was related to support for conventional stages of moral
1517 development, whereas liberal political orientation was related to support for post-conventional moral
1518 stages.
1519 To our knowledge, until now no direct studies of the relation between the psychological
1520 constructs of the rationalist approach and intuitionist approach to moral judgment have been carried
1521 out. Researchers of the rationalist approach and intuitionist approach have been working mainly
1522 within their respective theoretical perspectives, rarely referring to the theoretical grounds or
1523 empirical findings of the other approach (except for exchange of theoretical arguments, see, for
1524 example, Haidt, 2010; Narvaez, 2010). This study offers an attempt to investigate the overlap
1525 between the rationalist and intuitionist approaches of moral psychology. It looks at the relationship
1526 between the measures of moral competence and moral orientation on the one hand, and the
1527 importance of moral foundations on the other hand. In addition, it examines the relationship
1528 between these measures of moral judgment and individual political orientation (social
1529 conservatism).
1530 Research hypotheses:
1531 1. Moral competence is positively related to the importance of individualizing moral
1532 foundations (care/harm, fairness/cheating) and negatively related to the importance of
1533 binding moral foundations (loyalty/betrayal, authority/subversion, and
1534 sanctity/degradation).
1535 2. There is a positive relationship between post-conventional (Stages 5 and 6) moral
1536 orientation and the importance of individualizing moral foundations (care/harm,
1537 fairness/reciprocity), and between conventional moral orientation (Stages 3 and 4) and the

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1538 importance of binding moral foundations (loyalty/betrayal, authority/subversion, and


1539 sanctity/degradation).
1540 3. There is a negative relationship between moral competence and social conservatism.
1541 4. There is a positive relationship between conventional moral orientation (Stages 3 and 4)
1542 and social conservatism.
1543 The hypotheses were tested in two studies. The second study was designed to replicate the
1544 results of the first study, as well as to refine the measurement of political orientation.
1545
1546 2. Study 1
1547
1548 2.1 Method
1549
1550 2.1.1 Participants
1551
1552 The sample consisted of 348 residents of Latvia, aged 18 to 67 (M=31.24, SD=9.92); 68.1 % were
1553 female and 31.9 % were male. Majority (80.5 %) of respondents were from cities, the rest were
1554 from small towns and rural areas. Almost two thirds (63.8 %) of the respondents had a higher
1555 education.
1556
1557 2.1.2 Measurements
1558
1559 Moral competence was measured using Lind's Moral Competence Test, or MCT (Lind, 1978, 2008),
1560 formerly known as Moral Judgment Test. Lind's Moral Competence Test is designed as a multi-
1561 variate experiment (6 moral development stages x 2 dilemmas x 2 types of pro and con arguments)
1562 of one participant (N=1). The test consists of two dilemmas – the Workers' Dilemma and the
1563 Doctor's Dilemma – in which the action of the characters must be evaluated according to a Likert
1564 scale from -3 to +3 depending on to what extent an individual supports or does not support the
1565 respective action. Each dilemma has six pro arguments and six con arguments in relation to the
1566 action of the story’s protagonist that must also be evaluated according to a Likert scale from -4 to
1567 +4 depending on to what extent they are acceptable to the respondent. Pro and con arguments of
1568 each dilemma correspond to the six Kohlbergian stages of moral development. The Moral
1569 Competence Test measures an individual's ability to judge controversial arguments in a discussion
1570 about a moral problem on the basis of moral principles and orientations rather than on the basis of
1571 personal opinion on the particular moral issue, or the corresponding social norms.
1572 According to Lind's dual-aspect theory of moral behaviour (Lind, 1999, 2008), the Moral
1573 Competence Test has two indices: the cognitive index and the affective index:
1574 • the moral competence index corresponds to the cognitive aspect of morality and reflects a
1575 respondent's ability to judge moral arguments according to their moral quality rather than
1576 according to the respondent's agreement or disagreement with an argument. The moral
1577 competence index is computed from the structure of responses by a multivariate analysis
1578 of variance (see Lind, 1999, 2008,). The moral reasoning index can range from 0 to 100,
1579 with higher numbers representing higher moral competence;
1580 • the affective aspect of morality – moral orientation according to Kohlberg's six stages– is
1581 expressed by stage indices that show to what degree an individual prefers or rejects
1582 arguments of the corresponding stage. A separate index is calculated for each stage of
1583 moral development (ranging from -16 to +16), with higher numbers indicating a higher
1584 agreement with the arguments corresponding to the respective stage.
1585 The importance of moral foundations was measured by the Moral Foundations Questionnaire
1586 MFQ-30 created by Graham, Haidt, and Nosek (Moral Foundations Questionnaire: 30-Item Full
1587 Version – MFQ-30, Graham, Haidt, & Nosek, 2008). The questionnaire consists of two parts. In the
1588 first part (statements 1-16), a respondent must answer how relevant various statements related to
1589 five moral foundations are in deciding whether something is right or wrong. Sample items include
1590 whether or not someone suffered emotionally, whether or not someone showed a lack of respect for
1591 authority, whether or not someone was denied his or her rights, etc. A respondent is asked to

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1592 indicate his/her opinion on a Likert scale (0 – not at all relevant, 5 – extremely relevant). In the
1593 second part (statements 17-32) a respondent must evaluate on a Likert scale (0 – strongly
1594 disagree, 5 – strongly agree) to what degree he/she agrees or disagrees with a number of
1595 statements expressing moral judgements (for example, compassion for those who are suffering as
1596 the most crucial virtue, calling certain acts wrong on the grounds that they are unnatural, etc.).
1597 Cronbach's alphas were computed to check the internal consistency reliability of the MFQ 30
1598 scales (for Care, Alpha = .57; Fairness, Alpha = .52; Loyalty, Alpha = .64; Authority, Alpha = .65;
1599 Sanctity, Alpha = .78). The computed internal consistency indices can be evaluated as satisfactory,
1600 although they are lower than the ones obtained by the authors of the scale. An index for each moral
1601 foundations subscale was calculated by summing up the responses across the corresponding
1602 items.
1603 In addition, previous research (Graham et al., 2011) has shown that the measurement of
1604 moral foundations can be reduced to two more inclusive indices: individualizing moral foundations
1605 (including care and fairness) and binding moral foundations (including loyalty, authority, and
1606 sanctity), and such a measurement has been successfully used in previous studies (e.g., Van
1607 Leeuwen & Park, 2009). The Cronbach's Alpha for the individualizing moral foundations subscale
1608 was .70, and for the binding moral foundations subscale it was .84. Indexes for the two subscales
1609 were calculated by summing up the responses across the corresponding items.
1610 Political orientation was measured on a 7-point Likert type scale (Jost, 2006) ranging from
1611 "extremely liberal" to "extremely conservative", with "moderate" as the midpoint.
1612
1613 2.1.3 Procedure
1614
1615 The data were collected from January 2009 until April 2009. One hundred and ninety-three
1616 respondents completed the questionnaire electronically on the Internet; 155 respondents completed
1617 the questionnaire in a paper-and-pencil version, administered by the first author of this paper.
1618
1619 2.1.4 Results
1620
1621 Spearman correlation coefficients among the variables were calculated to test the hypotheses
1622 (because several variables were not normally distributed). The results are depicted in the upper half
1623 of Table 1.
1624 The first hypothesis was partially confirmed. Contrary to the predictions, there was a weak but
1625 significant negative correlation between moral competence and the importance of individualizing
1626 moral foundations (r = -.11), and the fairness foundation in particular r = -.12). At the same time,
1627 there was a significant negative correlation between the moral competence score and the
1628 importance of all binding moral foundations (loyalty/betrayal, authority/subversion, and sanctity).
1629 The second hypothesis was partially confirmed. The results did not show any relationship
1630 between the importance of individualizing foundations and support for any of the stages of post-
1631 conventional morality. A relationship was observed between support for Stage 3 arguments of the
1632 Kohlberg model, which correspond to moral orientation at the level of conventional morality, and the
1633 importance of binding moral foundations, although there was no relationship between support for
1634 Stage 4 arguments, which also correspond to conventional moral orientation, and the importance of
1635 binding moral foundations.
1636
1637 Table 1. Correlations (Spearman’s rho) between MCT moral competence index, moral orientations,
1638 the importance of moral foundations, and conservative political orientation/ social conservatism.
1639
Binding Political Social
Individualizing moral
Study 1 Care Fairness Loyalty Authority Sanctity moral orientation conservatism
foundations
foundations (1 item) (8 items)
Moral
competence .05 -.12* -.25*** -.23*** -.25*** -.11* -.29*** -.16**
index
Stage 1 -.06 -.05 .07 .01 -.06 .04 -.01 -.00

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Stage 2 -.03 .05 .16** .08 -.02 .03 .07 -.01


Stage 3 .04 .07 .24** .15** .12* .08 .19*** .10
Stage 4 -.09 .06 .04 .03 -.07 -.01 -.01 -.02
Stage 5 .07 .03 .06 .01 -.04 .06 -.00 -.07
Stage 6 .09 .10 .09 .06 .05 .10 .08 -.00
Political
.03 .06 13* .26*** .30*** .05 .28***
orientation
Study 2
Moral
competence -.06 -.11* -.19*** -.26*** -.21*** -.09 -.25*** -.16** -.23***
index
Stage 1 .00 .14** .16** .17** -.01 .09 .11* -.06 -.11*
Stage 2 .01 .13* .12* .11* -.06 .08 .05 -.10 -.13*
Stage 3 .04 .13* .25*** .29*** .15** .09 .26*** .00 .07
Stage 4 .03 .13* .10 .11* .03 .09 .06 -.15** -.16**
Stage 5 .06 .07 .00 .01 .04 .09 - .01 -.15** -.16**
Stage 6 .19*** .18*** .11* .12* .09 .23*** .12* -.08 -.03
Political
.03 -.00 .16** .36*** .40*** .01 .37*** .46***
orientation
Social
.20*** .19*** .33*** .51*** .75*** .23*** .65***
conservatism
1640 ***p< .001, **p< .01, *p< .05
1641
1642 3. Study 2
1643
1644 3.1 Method
1645
1646 3.1.1 Participants
1647
1648 The sample consisted of 361 residents of Latvia, aged 16 to 74 (M=33.76, SD=11.25). Of the
1649 respondents, 72.9 % were female and 27.1 % were male. Seventy three percent of the respondents
1650 were from cities, and the rest were from small towns and rural areas. Majority (68.4 %) of the
1651 respondents had a higher education.
1652
1653 3.1.2 Measurements
1654
1655 Measures of moral competence, moral orientations, and the importance of moral foundations were
1656 identical to those used in Study 1, with similar internal consistency indicators for the MFQ 30
1657 subscales (Care, Alpha = .61; Fairness, Alpha = .50; Loyalty, Alpha = .54; Authority, Alpha = .65;
1658 Purity, Alpha = .73; individualizing moral foundations, Alpha = .71; binding moral foundations Alpha
1659 = .84).
1660 To improve the validity of measuring the participants' political orientation, a Social
1661 Conservatism Scale was constructed. After the respondents had evaluated their political orientation
1662 on a seven-point scale (1 – very liberal, 4 – moderate centrist, 7 – extremely conservative), they
1663 were asked to express their opinion about a number of social phenomena, which, in accordance
1664 with previous research, are likely to polarize the opinions of conservatives and liberals (Altemeyer,
1665 1996; Jost, Glaser, Sulloway, and Kruglanski, 2003; Jost, Nosek, & Gosling, 2008; McCann, 2008;
1666 McCrae, 1996; Stenner, 2005), by indicating their response on a 7-point Likert scale where 1 –
1667 strongly disagree, 7 – strongly agree. Eight items forming a coherent factor structure and high
1668 internal reliability (Alpha = .90) were used to measure social conservatism: abortion (r), homosexual
1669 marriage (r), prostitution (r), greater influence of religion upon education, living in an unregistered
1670 marriage (r), pornography (r), change of traditional gender roles (r), and the definition and
1671 protection of marriage in the Latvian constitution. The sum of the eight items, upon reversing the
1672 values of the reverse-scored items, forms the social conservatism index. High scores on the index
1673 indicate a tendency towards social conservatism while low scores tend to indicate social liberalism.
1674
1675
1676

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1677 3.1.3 Procedure


1678
1679 The data were collected in May–June 2010. Two hundred and sixty-nine respondents completed
1680 the questionnaire electronically on the Internet, and 92 respondents completed the questionnaire in
1681 a paper-and-pencil version.
1682
1683 3.1.4 Results
1684
1685 Spearman correlation coefficients among the variables were calculated to test the hypotheses
1686 (because several variables were not normally distributed). The results are depicted in the lower half
1687 of Table 1.
1688 The first hypothesis again was partially confirmed. There was no significant correlation
1689 between the moral competence score and the importance of individualizing moral foundations, but
1690 similarly to Study 1, there was a weak but significant negative correlation between moral
1691 competence and importance of fairness. At the same time, there was a significant negative
1692 correlation between the moral competence score and the importance of all binding moral
1693 foundations.
1694 The 2nd hypothesis was partially confirmed – there was a relationship between support for
1695 Stage 6 arguments of the Kohlberg model, which correspond to post-conventional moral
1696 orientation, and individualizing moral foundations. However, there was no relationship between
1697 support for Stage 5 arguments, which also correspond to the post-conventional level, and the
1698 importance of individualizing moral foundations. A relationship was observed between support for
1699 Stage 3 arguments of the Kohlberg model, which correspond to conventional morality, and the
1700 importance of binding moral foundations. There was no significant relationship between support for
1701 Stage 4 arguments, which also correspond to conventional moral orientation, and the importance of
1702 binding moral foundations, except for a weak but significant correlation (r = .11) between support
1703 for Stage 4 arguments, and the importance of moral foundation of authority. The positive
1704 correlations between support for Stage 6 arguments and the importance of binding moral
1705 foundations, and the foundations of loyalty/betrayal and authority/subversion in particular, were not
1706 predicted from theory.
1707
1708 4. Discussion
1709
1710 Previous research had established that moral competence is negatively related to social
1711 conservatism (Emler, 2002), and binding moral foundations are positively related to social
1712 conservatism (Graham et al, 2011), but the direct relationship between the intuitive and cognitive
1713 aspects of moral judgment had not been tested. Both studies reported here showed a robust
1714 negative relation between moral competence on the one hand, and the binding moral foundations
1715 of loyalty, authority, and sanctity, on the other.
1716 An interesting and somewhat unexpected result was that there was no positive correlation
1717 between the individualizing moral foundations of fairness and care, and moral competence.
1718 Moreover, both studies revealed a weak but significant negative correlation between moral
1719 competence and the moral foundation of fairness. This finding suggests that the importance of
1720 individualizing moral foundations is clearly distinct from the ability to use care- and fairness-related
1721 arguments in moral reasoning.
1722 According to Lind (Lind, 2003a), a large number of moral values and principles require a
1723 highly developed moral competence in order for an individual to be able to solve moral dilemmas
1724 and make balanced decisions. Consequently, the importance of the binding moral foundations
1725 impedes moral reasoning and makes the formation of moral judgment more difficult. An individual
1726 facing a morally sensitive situation (or moral dilemma) may come up with several, often competing,
1727 moral intuitions (Haidt, 2001); such an internal conflict can be resolved by finding a meta-principle
1728 that is able to induce a new intuition and a new attitude toward the existing situation. Individuals for
1729 whom individualizing moral foundations are important, but binding moral foundations are less
1730 important, find it easier to cognize a meta-principle that can resolve such a moral conflict, while

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1731 preserving consistency in reasoning in the evaluation of moral arguments. This is of special
1732 importance in Lind's Moral Competence Test. Such a situation can be conceptualized as a multi-
1733 attribute choice where the number of criteria for evaluation of alternatives complicates the choice of
1734 optimal alternative (Shafir & LeBoeuf, 2004).
1735 Coordinated and consistent evaluation of test arguments according to their moral quality is the
1736 basis of a high moral competence index. Respondents who consider the importance of both
1737 individualizing moral foundations – care/harm and fairness/cheating – as well as binding moral
1738 foundations – in-group loyalty, respect for authority, and concern with sanctity – were faced with a
1739 more complex analytical problem and produced lower moral competence scores in the Moral
1740 Competence Test. Moreover, insufficient cognitive resources or constraining circumstances (e.g.
1741 not enough time to study issues in-depth) often influence the resolution of complicated cognitive
1742 issues. The fact that conservative respondents received lower moral competence scores indicates
1743 that they evaluated the arguments in the Moral Competence Test inconsistently and mostly in
1744 compliance with personal or ideological opinions, not according to the moral quality of the
1745 arguments. It is possible that the conservative respondents did not try to analyze the moral quality
1746 of the pro and con arguments included in the Moral Competence Test, but relied instead on an
1747 evaluation of the respective problems as prescribed by ideological prescriptions that are more
1748 easily accessible in the memory.
1749 One of the tasks of further research is related to the improvement of instruments of
1750 psychological research on morality. Almost all psychological tests investigating morality, including
1751 Lind's Moral Competence Test (MCT), have been created in Western individualist countries – in
1752 particular, USA and Germany – in the 1950s-1980s, during which the importance of cognitive
1753 factors in moral development and the solution of moral problems were emphasized. Moreover, the
1754 content of these tests reflects primarily the principles of individualizing moral foundations and
1755 autonomy ethics. When these moral reasoning tests are used in collectivist countries or in social
1756 groups with conservative political views or groups of highly religious respondents, moral
1757 competence scores are substantially lower than in Western individualist countries or in more liberal
1758 groups. In search for unbiased instruments for measurements of moral judgment, it would be
1759 advisable to create methods that are based not solely on individualist morality values, but address
1760 issues of social and religious ethics, that would be suitable for use in different cultures and political
1761 and religious groups.
1762 The overall correlation pattern between the scores of moral orientation and moral competence
1763 on the one hand, and importance of moral foundations and political orientation on the other hand
1764 was relatively weak and only partially consistent with the theoretical predictions. The results
1765 suggest that constructs used in the rational-cognitive and social-intuitionist perspectives on moral
1766 judgment are conceptually different. The rational-cognitive approach is based on a narrower
1767 definition of morality and its operationalization of cognitive reasoning is more ability- or
1768 competence-based. In contrast, the social-intuitive approach uses a much more inclusive definition
1769 of moral domain, and its measures of moral reasoning (the importance of moral foundations) is
1770 more akin to measurement of values or attitudes. Integrating the two approaches appears to be a
1771 challenging task, as it may require mutually changing both the theoretical assumptions of what
1772 should or shouldn’t be considered “moral” in human judgment and reasoning, and changing the way
1773 moral judgment and reasoning are measured psychometrically.
1774
1775 References
1776
1777 Altemeyer, R. A. (1996). The authoritarian specter. Cambridge, MA: Harvard University Press.
1778 Crowson, H. M., & DeBacker, T. K. (2008). Political identification and the Defining Issues Test: Reevaluating an
1779 old hypothesis. Journal of Social Psychology, 148 (1), 43-60.
1780 Duckitt, J., & Sibley, C. G. (2009). A dual-process motivational model of ideology, politics, and prejudice.
1781 Psychological Inquiry, 20 (2/3), 98-109.
1782 Emler, N. (2002). Morality and political orientations: An analysis of their relationship. European Review of Social
1783 Psychology, 13, 259-291.
1784 Emler, N., Renwick, S., & Malone, B. (1983). The relationship between moral reasoning and political orientation.
1785 Journal of Personality and Social Psychology, 45 (5), 1073 – 1080.

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1786 Federico, C. M., Weber, C. R., Ergun, D., & Hunt, C. (2013). Mapping the connections between politics and
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1788 589-610.
1789 Feldman, S., & Johnston, C. (2014). Understanding the determinants of political ideology: Implications of
1790 structural complexity. Political Psychology, 35, 337-358.
1791 Graham, J., Haidt, J. & Nosek, B. (2008). Moral Foundations Questionnaire, MFQ 30 revised in July 2008.
1792 Extracted 8.12.2008. from http://faculty.virginia.edu/haidtlab/mft/index.php?t=questionnaires
1793 Graham, J., Haidt, J., & Nosek, B. A. (2009). Liberals and conservatives rely on different sets of moral
1794 foundations. Journal of Personality and Social Psychology, 96, 1029-1046.
1795 Graham, J., Haidt, J., Nosek, B. A., Iyer, R., Koleva, S., & Ditto, P. H. (2011). Mapping the moral domain.
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1797 Haidt, J. & Joseph, C. (2004). Intuitive ethics: How innately repaired intuitions generate culturally variable
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1799 Haidt, J. (2001). The emotional dog and its rational tail: A social intuitionist approach to moral judgment.
1800 Psychological Review 108, 814-834.
1801 Haidt, J. (2007). The new synthesis in moral psychology. Science, 316, 998 - 1002.
1802 Haidt, J. (2010). Moral psychology must not be based on faith and hope: Commentary on Narvaez (2010).
1803 Perspectives on Psychological Science, 5, 182-184.
1804 Haidt, J., & Graham, J. (2007). When morality opposes justice: Conservatives have moral intuitions that liberals
1805 may not recognize. Social Justice Research, 20 (1), 98-116.
1806 Jost, J. T. (2006). The end of the end of ideology. American Psychologist, 61, 651–670.
1807 Jost, J. T., Federico, C. M., & Napier, J. L. (2009). Political ideology: Its structure, functions, and elective
1808 affinities. Annual Review of Psychology, 60, 307-337.
1809 Jost, J. T., Glaser, J., Kruglanski, A. W., & Sulloway, F. (2003). Political conservatism as motivated social
1810 cognition. Psychological Bulletin, 129, 339−375.
1811 Kohlberg, L. (1968). Moral Development. In International Encyclopedia of the Social Sciences (pp. 483 - 494).
1812 NewYork: Crowell, Collier & Macmillan.
1813 Kohlberg, L. (1976). Moral stages and moralization: The cognitive- developmental approach. T. Lickona (Ed.),
1814 Moral development and behavior: Theory, research and social issues (pp. 31-53). New York: Holt,
1815 Rinehart & Winston.
1816 Kohlberg, L. (1977). Assessing moral stages: A manual, Part I, Introduction. Cambridge MA: Center for Moral
1817 Education, Harvard University.
1818 Kugler, M., Jost, J., & Noorbaloochi, S. (2014). Another look at Moral Foundations Theory: Do authoritarianism
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1820 Justice Research, 27(4), 413-431.
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1824 moral judgment - theory, methods, practice]. Saarbrücken. University print, pp. 337-358.
1825 Lind, G. (1986). Cultural differences in moral judgment competence? A study of West and East European
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1828 konstanz.de/ag-moral/pdf/Lind-1999_MJT-Scoring-E.pdf
1829 Lind, G. (2002). Ist Moral lehrbar? Ergebnisse der modernen moralpsyhologischen Forscung [Can morality be
1830 taught? Research findings from modern moral psychology]. Berlin: Logos Verlag.
1831 Lind, G. (2003a). Moral ist lehrbar. Handbuch zur Theorie und Praxis der moralischen und demokratischen
1832 Bildung [Morality can be taught. Handbook on theory and practice of moral and democratic education].
1833 München: Oldenbuorg Schulbuchverlag GmbH.
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1835 Paper prepared for the American Psychological Association APA, Aug. 18-22, 2005. Extract 20.10. 2009
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1837 Lind, G. (2006). Effective moral education: The Konstanz method of dilemma discussion. Hellenic Journal of
1838 Psychology, 3, 189-196.
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1840 model. In: D. Fasko, W. Willis, Eds., Contemporary Philosophical and Psychological Perspectives on
1841 Moral Development and Education. Cresskill. NJ: Hampton Press, S. 85 – 220.
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1843 sentencing (1977–2004). Journal of Personality and Social Psychology, 94 (5), 913-923.
1844 McCrae, R. R. (1996). Social consequences of experiential openness. Psychological Bulletin, 120, 323-337.
1845 Narvaez, D. (2010). Moral complexity: The fatal attraction of truthiness and the importance of mature moral
1846 functioning. Perspectives on Psychological Science, 5, 163-181.

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1847 Nilsson, A., & Erlandsson, A. (2015). The Moral Foundations taxonomy: Structural validity and relation to
1848 political ideology in Sweden. Personality & Individual Differences, 76, 28-32.
1849 Piaget, J. (1932/1965). The moral judgment of the child. New York: Free Press.
1850 Raaijmakers, Q. A. W., & Van Hoof, A. (2006). Does moral reasoning represent sociomoral structure or political
1851 ideology? A further exploration of the relations between moral reasoning, political attitudes, consistency of
1852 moral thought, and the evaluation of human rights in Dutch young adults. Social Behavior and Personality,
1853 34, 617-638.
1854 Shafir & LeBoeuf (2004). Context and Conflict in Multiattribute Choice. In Eds. D.J. Koehler, N. Harvey
1855 Blackwell Handbook of Judgment and Decision Making (pp. 342 - 357), Blackwell Publishing Ltd.
1856 Snarey, J. R. (1985). Cross-cultural universality of social-moral development: A critical review of Kohlbergian
1857 research. Psychological Bulletin, 97, 202-232.
1858 Stenner, K. (2005). The authoritarian dynamic. New York: Cambridge University Press.
1859 Turiel, E. (1983). The Development of social knowledge. Cambridge: Cambridge University Press.
1860 Turiel, E., Hildebrandt, C., & Wainryb, C. (1991). Judging social issues: Difficulties, inconsistencies, and
1861 consistencies. Monographs of the Society for Research in Child Development, 56, 1-103.
1862 Van Leeuwen, F., & Park, J. H. (2009). Perceptions of social dangers, moral foundations, and political
1863 orientation. Personality and Individual Differences, 47, 169-173.
1864 Weber, C. R., & Federico, C. M. (2013). Moral foundations and heterogeneity in ideological preferences.
1865 Political Psychology, 34(1), 107-126.
1866
1867 Appendix
1868
1869 Summary of Kohlberg’s stages of moral development (adapted from Kohlberg, 1976)
1870
Level/stage Criteria for morally right behavior Individual motivation Social perspective
Level I: Pre-Conventional
Stage 1. Obedience • Observe rules when transgressing • Avoidance of punishment/ • Egocentric perspective
and punishment is punished negative consequences of • No recognition of others’ point of
• Defer to authority behavior view
• Focus on the immediate • Reasoning based on external
consequences of behavior observations, ignoring internal
intentions
Stage 2. • Observe rules when it serves • Serving personal interests • Individualist perspective
Instrumental personal interests and needs and needs • Acknowledgment of others’
exchange • Follow reciprocity in social interests as long as it is instrumental
interaction for the self
Level II: Conventional
Stage 3. • Conform to the expectations of • Gaining approval of others • Relational perspective
Interpersonal others • Recognition of interests and needs
conformity • Conform to stereotypes of one’s of others
social roles • Integration of different views and
• Develop relationships with close opinions
others, based on trust, respect,
gratitude, loyalty
Stage 4. Societal • Observe laws and follow one’s • Maintaining the social order • Social systems perspective
conformity social duties • Differentiation between social
• Serve the society convention and interpersonal
consent
• Responsibility for the welfare of
others within society
Level III: Post-Conventional (Principled)
Stage 5. Social • Respect different values and • Observing and maintaining • Contractual perspective
contract opinions social contract • Recognition of (and respect for) a
• Follow social contract to ensure plurality of values and opinions
the greatest good for the greatest • Compromise-seeking
number of people

Stage 6. Universal • Use universal ethical principles • Acting in line with personal • Universalist perspective
ethical principles adapted to the particular case beliefs in universal ethical • Belief in equality and worth of all
principles human beings
1871

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Research Article

© 2017 Emmanuel Imuetinyan Obarisiagbon.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
1872
1873
1874 Congregation of the Condemned: Decades of Discontinuous
1875 Debates on Death by Design in Southern Nigeria
1876
1877 Barr. Emmanuel Imuetinyan Obarisiagbon, Ph.D
1878
1879 Dept. of Sociology & Anthropology
1880 Faculty of Social Sciences
1881 University of Benin, Benin City
1882
1883 Doi: 10.1515/mjss-2017-0045
1884
1885 Abstract
1886
1887 The application of death penalty has been a subject of heated arguments amongst scholars, human
1888 right proponents and Christian religious leaders. Although several nations the world over have
1889 abrogated its use, Nigeria still has death penalty deeply entrenched in its statute books. In spite of this,
1890 capital offences are still on the increase thus calling to question, its relevance as a form of deterrent.
1891 The study utilised the functionalist theory.The design was exploratory and involved the use of qualitative
1892 methods of data collection. Three states: Edo, Delta and Anambra in southern Nigeria were purposively
1893 selected due to high incidence of the commission of capital offences in the locations. 1200
1894 questionnaires were administered to respondents, 30 in-depth interviews and 15 key informant
1895 interviews were conducted. A descriptive analysis of the quantitative data collected was undertaken
1896 using frequency distribution while the manual content analysis was used for qualitative data collected
1897 from the field work. Findings from this investigation showed that death penalty does not in any way deter
1898 would-be criminals from committing crime. Based on the findings of the study, government rather than
1899 eliminating criminals should instead focus more on their rehabilitation and also use its enormous power
1900 and resources to redress some of the inequalities and injustice that characterize our society which is
1901 often the cause of crime.
1902
1903 Keywords: Death penalty, Capital offence, Deterrence, Would-be criminals
1904
1905
1906 1. Introduction
1907
1908 Punishment, death penalty inclusive, is the infliction of suffering upon an offender on the grounds of
1909 a particular crime committed and convicted of and administered by an authority so designed
1910 (Ferguson and Wright, 1988). Arikpo (1999) on his part sees it basically as, the subjection to strict
1911 rules of conduct, or the suffering or imposition of hurt or injury for some of some offence or hurt
1912 committed. Punishment usually takes any form; fine, penalty or confinement inflicted and sentence
1913 of the court of law, either for an offence committed by him or for his omission of a duty enjoined by
1914 law (Iwe, 1991).
1915 It is needful to state here that no matter the form or kind, punishment takes; it is primarily
1916 geared towards the restoration of the ethico-judicial order abused or violated by crime. Over the
1917 years, society has always used punishment to discourage potential offenders from carrying out
1918 criminal activities. Capital punishment or as some would prefer, death penalty is as old as human
1919 society itself. Death penalty has been applied in almost every known society, as a form of sanction
1920 or punishment for clearly defined offences
1921 In the last couple of years, the issue of death penalty has resurfaced in a number of national
1922 debates in Nigeria, thus calling for a revisit of the vexed and controversial issue. Over the years,

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1923 many people have looked at death penalty as a very good way of deterring people from the
1924 commission of crime. In this wise, it is seen not only as the punishment of the offender but also the
1925 prevention of similar crimes. Unfortunately as Volpe (2002) puts it, death penalty does not in fact
1926 deter criminal acts, as most proponents of death penalty expect. When someone takes a life for
1927 instance, the balance of justice is disturbed and unless it is restored, society succumbs to a rule of
1928 violence. It is the taking of the offender’s life too that restores the balance and allows society to
1929 convincingly show that crime intolerable and will always be punished in kind.
1930
1931 1.1 Statement of the problem
1932
1933 The concept death penalty has been and will always be a controversial issue. Most Nigerians have
1934 very strong opinions and arguments to support their sides of the divide. Interestingly, arguments for
1935 both sides can be extremely convincing but it must however be noted that these arguments boil
1936 down to personal opinions. As controversial as the issue of death penalty may be, it has been with
1937 the Nigerian society for centuries and wittingly or unwittingly, been accepted by the society,
1938 especially as it seeks to punish those who have committed an offence against the laws of the land
1939 Recently in Nigeria, death penalty became a controversial topic especially against the
1940 background that the former president of the country Chief Olusegun Obasanjo throughout his
1941 tenure deliberately refused to acquiesce to death penalty. Several state governors were also very
1942 reluctant in signing the death warrant brought before them (Obarisiagbon, 2017). This is in spite of
1943 the fact that, Section 33(1) of the 1999 Constitution of the Federal Republic of Nigeria not only laid
1944 the ground for death penalty but also provided for its legality in Nigeria. The divergent views on
1945 death penalty, shows that its supporters see it as legal and a necessary action in order to protect
1946 the citizenry. They further contend that capital punishment is not only retributive but also acts as a
1947 deterrent to would be criminals in the society. On the other hand, anti-death penalty proponents
1948 are quick to argue that it is an inhuman act, and that there is never any justification for cruel and
1949 unusual punishment under any circumstance when involving the human life (Amnesty International,
1950 1987).
1951 On the surface, the arguments for and against the use of death penalty appear very
1952 compelling. However, just like the Holy Bible says, shall we continue in sin that grace may abound
1953 (Rom 6:1). In the same vein, should we abolish the use of death penalty because it involves the
1954 taking of human life and then allow the taking of lives by criminals? From the Nigerian experience
1955 there appears to be no studies and statistics that conclusively allude to the fact that death penalty
1956 deters the further commission of crime. In other words, the exact effect of death penalty for crime
1957 commission remains unknown. This study therefore seeks to determine the extent to which death
1958 penalty has helped to deter would be criminals from committing of crime in Nigeria.
1959
1960 1.2 Objective of the study
1961
1962 This study was designed to examine the extent to which death penalty deters would be criminals
1963 from committing crime in Southern Nigeria.
1964
1965 1.3 Research question
1966
1967 Does death penalty deter would be criminals from committing crime in Southern Nigeria?
1968
1969 2. Brief Review of Related Literature
1970
1971 2.1 Meaning and nature of death penalty
1972
1973 Death penalty is the execution of a criminal pursuant to a sentence of death imposed by a
1974 competent court of law (Idris, 2012). In other words, it is the legal possibility of execution (Azinge,
1975 1990). The Oxford reference concise dictionary of law defines it as death imposed as a punishment
1976 for crime. It can also be referred to as execution of a person convicted of committing a crime or a

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1977 legal infliction of death as penalty for violating criminal law (Iveren, 2012). On his part, Akingbehin
1978 (2012) has described death penalty as the prescribed treatment meted to an offender who has
1979 been found guilty by a court of competent jurisdiction of committing a capital offence. It is the most
1980 extreme form of punishment known in Nigerian law.
1981 In traditional Nigerian society, certain offences like murder, adultery, witchcraft, profaning the
1982 gods or spirits were visited by death penalty. This was seen as the best way of eliminating
1983 offenders who were considered dangerous to the society. However, with the coming of the British
1984 rule in Nigeria, capital crimes were reduced to include only murder, treachery and treason. Section
1985 319, 49 (a), 37 and 208 of the Criminal Code Act 2004, outline some offences as punishable by
1986 death penalty. More recently, kidnapping has been added as an offence punishable by death in
1987 Anambra, Abia, Imo, Delta, Edo and some other states in southern Nigeria (Obarisiagbon, 2017).
1988 Section 33 (1) of the constitution of the Federal Republic of Nigeria did not only lay the ground
1989 for death penalty but also established its legality and this has received judicial backing in Okoro v.
1990 State (1998) and Adeniyi v. State (2000). Although the Nigerian laws recognize the use of death
1991 penalty on undesirable elements found guilty of committing capital offences, it must be pointed out
1992 quickly that there are however exceptions to this general rule.
1993
1994 2.2 Exceptions to the general rule
1995
1996 Section 365 (3) of the Criminal Procedure Act, (2004) provides that juvenile offenders under 18 years
1997 even though found guilty of committing criminal offences cannot be visited by the death penalty. This
1998 principle of law was further given judicial backing in the case of Modupe v. the State (1988).
1999 The law in Nigeria specifically Section 368 (2) of the Criminal Procedure Act (2004) forbids the
2000 use of death penalty on a pregnant woman despite her being found guilty of committing a capital
2001 offence. The reason for this is perhaps due to the fact that the law considers the foetus in the womb
2002 of the offending women innocent and taking its life along with that of its mother would be unfair and
2003 a miscarriage of justice. In the same vein, Nigeria is under strict obligation not to execute women
2004 with nursing children. In other words, nursing mothers no matter the capital offence committed and
2005 convicted of, are exempted from the death penalty in accordance with the African convention on
2006 human and people’s right protocol on the side of women.
2007 The law in Nigeria also frowns at the use of death penalty on an insane or mentally ill person
2008 even though guilty of capital offence. Section 28 of the Criminal Code Act (2004) is very explicit on
2009 this and the general rule is that an insane or mentally ill person lacks the ability to make sound
2010 judgment due to his or her state of mental being and to execute such a person, is to put it mildly,
2011 wicked and a traverse of law.
2012
2013 2.3 Modes of executing the death penalty in southern Nigeria
2014
2015 In Nigeria, death penalty is usually carried out in two ways: hanging and shooting or firing squad.
2016 Section 37 (2) of the Criminal Procedure Act (2004) prescribes hanging as a method to be used in
2017 furtherance of a death sentence made against an offender by a competent court of law, while the
2018 latter refers to the method which was very common during the military era in Nigeria where
2019 convicted armed robbers are tied to the stake and military men selected for the purpose shoot them
2020 until they are certified dead by a medical practitioner.
2021
2022 2.4 Argument for and against the use of death penalty
2023
2024 The issue of the application of death penalty has been a subject of controversy with different
2025 scholars arguing for and against. Those who argue in favour of the application of death penalty are
2026 quick to say that as a retributive measure, the criminal should pay for the crime he has committed
2027 by death. In their opinion, to allow such a person go free, is to further endanger the lives of others.
2028 This argument stand on the ethical principle that evil deserves castigation and wrong doing
2029 deserves reparation by way of adequate deprivation and punishment for the offender (Iwe, 1991).
2030 Uduigwomen (2005) has argued that the retention of the death penalty is because it acts as a

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2031 deterrent to future infractions by those who witness the execution of a criminal. He contends further
2032 that death penalty is a deterrent or preventive measure designed to deter members of the society at
2033 large from committing capital offences. In this vein, it helps to protect lives and property and
2034 ultimately secures and protects social order and peace.
2035 On the other hand, a lot of arguments have been raised against the application and use of
2036 death penalty in Nigeria. Human right proponents have argued that death penalty is a direct
2037 violation of the fundamental right to life and that its use is prone to abuse. The process leading to
2038 sentences may in fact not be free from error and fraud (Shapiro, 1998).
2039 It has also been argued that the application of death penalty is indecent and de-humanizing.
2040 In Nigeria, condemned criminals in most cases are left to languish in jail and in some cases,
2041 completely forgotten. One can better imagine than attempt to describe the psychological trauma
2042 condemned criminals go through while awaiting the date of execution in the most de-humanizing
2043 and dilapidated condition of the prisons (Uduigwomen, 2005).
2044 Donohue (2015) after an extensive comparative analysis between American states that have
2045 abolished death penalty and those that retained it or, in Hong Kong and Singapore came to the
2046 conclusion that there is not the slightest credible statistical evidence that death penalty deters
2047 criminals from committing capital offences. On his part, Radelet (2009), after a survey that had
2048 majority of the world’s criminologists as participants, came to the conclusion that the death penalty
2049 does not add any significant deterrent effect above that of long term imprisonment.
2050 Studies claiming that death penalty reduces crime, to Kovandzic, Vieraitis and Boots (2009) falls
2051 apart under close scrutiny and results provide no empirical support for the argument that the existence
2052 or application of the death penalty deters would-be criminals from carrying out capital offences.
2053
2054 3. Theoretical Framework
2055
2056 This study employed the functionalism perspective in the explanation of the topic under
2057 investigation. The theory holds that social phenomenon can be explained in terms of the part they
2058 play in the existence and survival of the larger society. It notes that there is inter –dependence of
2059 various parts within the system. This means that the function of a part of a system usually affects
2060 the system as a whole. Moreover, there is the need for the system to maintain equilibrium in order
2061 to survive. This means that the social system tend towards equilibrium. That is, when one variable
2062 of the system changes in magnitude or in quality, the other variables are subjected to strains and
2063 are transformed. As a result, the system changes its pattern of performance and the dysfunctional
2064 components are disciplined by a regulatory mechanism and the equilibrium of the system is re-
2065 established (Parson, 1951).
2066 In explaining death penalty, the functionalist perspective looks for how ideas or subject of the
2067 society works in consonance and the role each play to achieve the corporate goal of social order.
2068 Functionalism sees death as playing a very vital function in the stability and growth of the society by
2069 getting rid of undesirable elements through death penalty. In other words, the sustenance of death
2070 penalty in society ensures that undesirable elements- criminals are not only gotten rid of but
2071 ensures that they are no longer threat to the society.
2072 Scholars like Montaldo (2010), have explained the death penalty using the functionalist
2073 perspective as playing a major role in ensuring that the prisons which are overcrowded are
2074 decongested. Nigeria’s prison facilities are presently overstressed and death penalty when applied,
2075 functions as a ‘decongester’ thus creating more space and freeing resources. This, it does by
2076 indirectly saving money for the government by not needing to feed, clothe, guard and shelter the
2077 condemned.
2078
2079 4. Methods and Materials
2080
2081 The concurrent triangular design was adopted for the study in order to obtain different but
2082 complementary data on the same subject matter- death penalty. The choice of this design was to
2083 bring together the differing strengths and non-overlapping weaknesses of quantitative methods with
2084 those of qualitative methods (Creswell, 2004). From the qualitative paradigm, the descriptive survey

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2085 design was used. The descriptive survey design was used to collect information that describes,
2086 explores and helped the study to investigate population based on sampling (Kothari, 2011). For the
2087 qualitative paradigm, the in-depth interview (IDI) and key informant interview guides were used
2088 since it is a purposeful undertaking by the study which interrogated subjects on a given situation to
2089 collect needed information. The face and content validity of the research instrument was
2090 ascertained by three experts in the field of criminology in Nigeria. The split-half method was used to
2091 determine the reliability of the instrument. Reliability coefficient result obtained for the instrument
2092 was .91. The data gathered through qualitative technique was content analyzed while descriptive
2093 and inferential statistics was used for the quantitative data.
2094 A total of 1,215 respondents were purposively sampled while 30 in-depth interviews and 15
2095 key informant interviews were conducted amongst respondents which consisted of police officers,
2096 legal practitioners, high court judges and director of public prosecutions’ office in capital cities of
2097 Anambra, Delta and Edo states in southern Nigeria. The choice of these participants stemmed from
2098 the fact that they are very knowledgeable in the subject under investigation. Out of the one
2099 thousand two hundred and fifteen (1215) questionnaires that were administered, one thousand, two
2100 hundred (1200) were returned, found useful and therefore used for analysis. This however
2101 represents a return rate of 98.8% and is considered significant.
2102 For the purpose of efficiency and thoroughness, three field assistants were recruited and
2103 trained. The field assistants were involved in the pre-test of the instruments and also the collection
2104 of the required data used for the study
2105
2106 5. Discussion and Findings
2107
2108 Demographic characteristics of the respondents are displayed in table 1.
2109
2110 Table 1: Demographic characteristics of respondents
2111
Frequency Percentage (%)
Age (Year)
25-34 446 37
35-44 358 30
45-54 366 31
55-64 30 3
Total 1200 100
Sex
Male 830 69
Female 370 31
Total 1200 100
Religion
Christianity 1080 90
Islam 110 9
ATR 10 1
Total 1200 100
Marital status
Single 41 3
Married 1150 96
Divorced 9 1
Total 1200 100
Educational level
Primary - -
Secondary 482 40
Tertiary 718 60
Total 1200 100
2112
2113 Source: field survey, April 2017 – July 2017

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2114 Table 1 summarizes the results of the demographic characteristics of the respondents. It shows
2115 that among the 1200 respondents who participated in the study, 37% were in the 25-34 years age
2116 range, 30% were between 35-44 years while 31% were between 45-54 years and 3% were
2117 between 55-64 years. 69% were male while 31% were female while 90% of the respondents were
2118 Christians, 9% were Muslims and ATR was 1%. On educational level, there was no primary school
2119 respondent, but 40% had secondary education while 60% had tertiary education.
2120
2121 Table 2: Death penalty and crime
2122
Percentage
Response Frequency
(%)
Does the death penalty deter would-be criminals from Agree 210 18
committing crime? Disagree 982 81
Undecided 8 1
Total 1200 100
2123
2124 Source: field survey, April 2017 – July 2017
2125
2126 On the question, does the death penalty deter would-be criminals from committing crime? 18% of
2127 the respondents agreed that it does, while 81% disagreed and only 1% was undecided respectively.
2128 The finding of this study validates the previous studies of several scholars like Donohue (2015),
2129 Radelet (2009) and Kovandzic et al (2009) who were unanimous in studies that the application of
2130 the death penalty does not deter would-be criminals from carrying out criminal offences.
2131 The finding of this study is further given credence to by one of the interviewees who
2132 unequivocally stated that:
2133
2134 “Personally, executing criminals whether by firing squad or hanging does not in any way make
2135 others not to commit the same offence. After all, Evans the billionaire kidnapper knew that
2136 kidnapping in Edo, Delta and Anambra is punishable by death yet he kidnapped several victims
2137 and carted away millions of naira”. (IDI Legal practitioner, Asaba, Delta state)
2138
2139 Another interviewee simply puts it thus:
2140
2141 “In my several years of sitting on the bench, I have come to realize that some criminals are so
2142 hardened that death does not mean a thing to them ”.(KII High court judge, Benin City, Edo state)
2143
2144 A police officer in his own opinion stated that:
2145
2146 “These criminals do not believe that they will ever be caught in their criminal acts. Once they take
2147 ‘weed’, Indian hemp or other stimulants, they become emboldened and daring and so go out to
2148 maim, kill and commit havoc ” (IDI Police inspector, Awka, Ananmbra state)
2149
2150 In the same vein, another interview was very blunt when he said that:
2151
2152 “It appears that some persons no matter the punishment you mete out to them, will still continue to
2153 do the same thing over and over. Not even the pains afflicted on them or the fear of death can
2154 discourage them from their evil act”. (KII Counsel in the office of the Director of public prosecution
2155 (DPP), Benin City, Edo state)
2156
2157 6. Conclusion and Recommendations
2158
2159 The global trend now appears to be the abolition of death penalty. A majority of countries in the
2160 world has now abandoned the use of the death penalty even though the world has not yet formed a
2161 consensus against its use. Interestingly, the number of countries that still use it is declining
2162 (Amnesty International, 1987) and it is hoped that the world wide opinion and pressure against it will
2163 gradually influence other nations to jettison this unprofitable practice.

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2164 It is suggested that government rather than eliminating criminals should instead focus more on
2165 their rehabilitation. Their death does not serve any useful purpose for the state and is generally
2166 against the ideals of restorative justice.
2167 There has been intense pressure in recent times on the Nigerian government to review the
2168 law on death penalty. There is the need therefore to subject the issue to public debate to enable
2169 Nigerians express their views on it. In addition, both the federal and state ministry of justice should
2170 convey a study group on this controversial issue. It is hoped that findings from such study groups
2171 will in no small way assist the relevant government agency in developing an appropriate policy on
2172 the death penalty.
2173 There is also the urgent need for government to use its enormous power and resources to
2174 redress some of the inequalities and injustice that characterize our society. Without doubt, a strong
2175 link exist between taking the social and economic needs of the citizens seriously and a low crime
2176 rate.
2177 Studies have revealed that convicted criminals do feel strong remorse for what they have
2178 done (Volpe, 2002). To err is human, to forgive is divine and so, the Nigerian legal system should
2179 require inmates to meet with counselors or spiritual leaders and possibly work to pay their debt to
2180 the society while still in prison. Taking their lives further brings pain to their own family and
2181 dependants without necessarily compensating the victims’ life or that of his family and dependants.
2182 Death penalty undermines rather than witnesses to the sacredness of human life and is
2183 completely out of step with current standards of decency.
2184
2185 References
2186
2187 Adeniyi v. the State (2000) 645 NWLR 356
2188 Akingbehin, E.O. (2012). Exceptions of the vulnerable from capital punishment in Nigeria: expanding the
2189 frontiers. In British Journal of Arts and Sciences, 7 (1)
2190 Amnesty International (1987). United States of America: death penalty 228 (appendix 12)
2191 Arikpo, A. (1999). Pursuant and responsibility in Uduigwomen, A.F. and Ogbonaka, O. (eds) in Philosophy and
2192 Education. Lagos, Obaro and Ogbinaka Publishers Ltd.
2193 Azinge, E. (1990). The death penalty: an effective deterrent to drug trafficking and abuse? In B. Ajibola (gen.ed),
2194 Kalu, A.U. and Osinbanjo, Y. (eds), narcotics: law and policy in Nigeria, 8 (Lagos: Federal Ministry of
2195 Justice Law Review Series).
2196 Constitution of the Federal Republic of Nigeria, 1999
2197 Creswell, J. W. (2004). Advanced mixed methods research design. In A. Tashakkori and C. Teddlie (Eds),
2198 handbook of mixed methods in social and behavioural research. Thousand Oaks, CA: Sage.
2199 Criminal Code Act (2004) Cap C. 38 Laws of the Federation of Nigeria
2200 Criminal Procedure Act (2004) Cap 41 Laws of the Federation of Nigeria
2201 Donohue, J. (2015). There is no evidence that death penalty is a deterrent against crime. Available at:
2202 http://www.theconversation.com (accessed on the 8 August, 2015).
2203 Ferguson, S. B. and Wright, D.F. (Eds) (1988). New dictionary of theology. Leicester: Inter Varsity Press.
2204 Holy Bible, Romans 6.1.
2205 Idris, T.A. (2012). Capital punishment and its effect on Nigerian criminal law. Available at: unijos.edu.ng/../234-
th
2206 244pdf232@233 (accessed from 17 of August, 2012).
2207 Iveren, O.B. (2012). Justification for the abolition of capital punishment under human rights law. Available at:
th
2208 www.unilorin.edu.ng/../ (accessed on 18 July, 2012).
2209 Iwe, N.S.S. (1991). Socio-ethnical issues in Nigeria. Oruwulu-Obosi, Pacific Publishers.
2210 Kothari, C.R. (2011). Research methodology. New Delhi, New Age International Limited.
2211 Kovandzcic, T., Vieraitis, L. and Boots, D. (2009). Does the death penalty save lives? New evidence from state
2212 panel data, 1977-2006. In Journal of Criminology and Public Policy, 8
2213 Modupe v. the State (1988) 4 NWLR (P.T 87-130).
2214 Montaldo, C. (2010). U.S prisons- how crowded are U.S prisons. Available at: http://www.aclu.org/capital-
2215 punishment/race-and-death-penalty- (accessed on Wednesday, November 3, 2010).
2216 Obarisiagbon, E.I. (2017). Kidnapping and the administration of criminal justice in selected states in Nigeria.
2217 Unpublished Ph.D dissertation, University of Ibadan, Ibadan, Nigeria.
2218 Okoro v. the State (1998) 14 NWLR 584
2219 Parsons, T (1951). The social structure. London, The Free Press of Glencoe.
2220 Radelet, N.L. (2009). Do executions lower homicide rates: the views of leading criminologists. In Journal of
2221 Criminal Law and Criminology. 99 (1), 489-508

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2222 Shapiro, J.P. (1998). The wrong men on death row. United States of America news and world report.
nd
2223 Uduigwomen, A.F. (2005). “Studies in philosophical jurisprudence” 2 ed. Calabar, Jochrisam Publishers.
2224 Volpe, T. (2002). Capital punishment: does death equal justice. Available at: http://www.jmu.edu/evision
th
2225 (accessed on the 24 April, 2002).
2226

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Research Article

© 2017 XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX.
This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
2227
2228
2229 A Study on the Relationship between Money Supply and
2230 Macroeconomic Variables in China
2231
2232 Yugang He, Ph.D.
2233
2234 Department of International Trade Graduate School
2235 Chonbuk National University, South Korea
2236
2237 Doi: 10.1515/mjss-2017-0046
2238
2239 Abstract
2240
2241 Many scholars have examined the importance of the money supply to the macroeconomics in developed
2242 countries. However, few studies have explored this proposition in developing countries. So, in this
2243 paper, annual series data from 2000 to 2016 is applied to analyze the relationship between the money
2244 supply (M2) and the macroeconomic variables (the real GDP, the inflation rate & the interest rate) under
2245 the vector auto regression (VAR) model in China. The purpose of this paper is to verify the impact of
2246 these variables on the money supply in China. After performing an empirical analysis, conclusions can
2247 be obtained that an increase in the real GDP can result in an increase in the money supply; Also, an
2248 increase in the inflation rate can lead to an increase in the money supply; Conversely, an increase in the
2249 interest rate can cause a decrease in the money supply. Therefore, via adjusting the change of real
2250 GDP, inflation rate and interest rate, a better control of the money supply can be performed for the
2251 policy-makers in China.
2252
2253 Keywords: Money Supply, Macroeconomic Variables, VAR Model
2254
2255
2256 1. Introduction
2257
2258 The western press’ reports and national leaders’ words have been full of prejudices against China’s
2259 rapid development since China became the second-largest economic entity in the world. Especially,
2260 the president of the United States of America, Donald John Trump, took office shortly, he declared
2261 that China is a currency manipulator. As a matter of fact, the reason why China achieves
2262 remarkable success in economic field is that good macroeconomic policies has be taken into effect.
2263 In particular, the monetary policy deserves to be mentioned most.
2264 Monetary policy is an important instrument with which objectives of macroeconomic policy can
2265 be achieved. In China, the function of monetary policy is to maintain the currency’s value
2266 stabilization so as to accelerate economic growth. In this paper, the money supply is treated as the
2267 explanatory variable (a type of independent variable that changes how everything else operates
2268 even though it is just a small thing). M1 (currency plus demand deposits, traveler's checks, and
2269 other check-able deposits) and M2 [M1 plus retail money market mutual fund balances, saving
2270 deposits (including money market deposit accounts), and small time deposits] are treated as
2271 explanatory variable. In China, the People's Bank of China publishes the target values of M1 and M2
2272 every year. Usually, there is a gap between the growth rate of the actual value and the target value
2273 of M1 & M2. However, since 2007, the People's Bank of China has abolished the target growth rate
2274 of M1. And only that of M2 is published. Basically, as the explanatory variable of monetary policy, it
2275 should be equipped with the features such as the availability and the pertinence. Namely, the
2276 People's Bank of China is able to control the explanatory variable through the control of monetary
2277 policy. The reason is that the fluctuation of explanatory variable can influence the price and the

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2278 output.
2279 The purpose of this study is to test the long-run relationship between the money supply and
2280 the macroeconomic variables ( output, inflation rate, interest rate) to demonstrate the validity of
2281 money supply which is as an explanatory variable. Another purpose is to verify that M2 is better to
2282 be the explanatory variable of monetary policy than that of M1 in China.
2283 The consequence of this study shows that the excess money supply (M2) can result in a rise in
2284 the inflation in the short run. It certifies that the People's Bank of China sets the money supply as
2285 the explanatory variable which is valid and effective. M1 is endogenous and determined by the
2286 economic development level and the holding of the liquidity costs of the money demand. M2 is
2287 exogenous and determined by the monetary policy of the People's Bank of China because it is
2288 difficult for the People's Bank of China to regulate the aim controlling of M1. When taking the
2289 availability and the pertinence into consideration, M2 is better to be treated as the explanatory
2290 variable of monetary policy.
2291 This paper includes five parts. Part 1 is the introduction; Part 2 provides the literature review
2292 which provides some findings from the previous studies; Part 3 provides the methodology which is
2293 a basis for conducting the empirical analysis; Part 4 presents the empirical analysis which verifies
2294 the relationship among variables; Part 5 provides some conclusions.
2295
2296 2. Literature Review
2297
2298 There are a large quantity of scholars who apply different kinds of multiple linear regression models
2299 to analyze the dynamic correlation between the money supply and the economic growth as well as
2300 inflation. Of course, their results are often different.
2301 Babatunde and Shuaibu (2011) find a monetary growth model for Nigeria by examining the
2302 existence of a significant long-run relationship between money supply, inflation and growth as well as
2303 to identify the possible determinants of portfolio holdings to identify the main economic fundamentals
2304 that influence the relationship between 1975 and 2008. Their study makes use of error correction
2305 mechanism and the bounds testing approach to cointegration within an auto regressive distributed lag
2306 framework. Quantitative evidences reveal that there is a positive relationship between money supply,
2307 capital formation and economic growth in Nigeria while there is a negative relationship between
2308 inflation and growth. However, Sabade (2013) figures that monetary policy always has its own
2309 limitations and it's high time we understood them. The quantity theory of money gives the identity.
2310 Namely, MV = PT which is true. But the functional relationship between M and P, that is, P = ƒ(M) does
2311 not hold in India since it's based on the constancy of V and T. So when inflation happens that it need
2312 not be attributed to money supply alone. In fact, even if a greater than required money supply has
2313 caused it, there is no guarantee that reduced money supply will bring inflation down. Also, Dragos,
2314 Mihaela and Stefan (2013) reveal that China directly controls the money supply through the
2315 uncontrolled printing of money. China has proved countless times that reaching economic growth is
2316 the main goal, and the means do not matter as long as the growth is present. Normally, according to
2317 the economic theory the growth of money supply will self-acting lead to inflation. This study proves
2318 that this theory is only available in the USA. Thus, for a growth of 1% in the money supply there will be
2319 a growth in inflation of 8%. For a growth of 1% in the interest rate, the inflation will grow by 0.6%.
2320 Chaudhry, Farooq and Murtaza (2015) publish a paper called “Monetary Policy and its Inflationary
2321 Pressure in Pakistan.” Their findings go over the main points; interest rate and money supply are
2322 important policy variables for controlling inflation in the long run while it is the national output level
2323 which put downward pressure on inflation rate in the short run. Meanwhile, Jayasooriya (2015) also
2324 recaps that the expansion monetary policy causes to increase the inflation in Sri Lanka and one
2325 reason for the expansive monetary policy is the budget deficit. On the other hand inflation also causes
2326 to increase the budget deficit. Therefore, these relationships show a vicious cycle of inflation in Sri
2327 Lanka. Recently, Hung and Thompson (2016) explore that using data for 23 OECD countries from
2328 1960 to 2009 demonstrates that workers’ power has a larger effect on the inflation rate than money
2329 growth. Behera (2016) performs that the cointegration result shows that there is at least one linear
2330 combination in the long run and hence there is a long-run equilibrium relationship between variables in
2331 the model, which suggests that money supply and the exchange rate has a positive effect on the GDP

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2332 growth in the economy. The error correction results indicate that correct and negative sign for gross
2333 domestic product and exchange rate. Lastly, Srithilat and Sun (2017) write an article, named “The
2334 Impact of Monetary Policy on Economic Development: Evidence from Lao PDR”. Their findings reveal
2335 that changing on the stock of money supply will have a negatively effect on the economic
2336 development in the long run. The relationship between money supply and gross domestic product per
2337 capita is negatively significant. Moreover, the crucial element of monetary policy instrument which
2338 driven the economic development of Lao PDR in the long run are interest rate and exchange, these
2339 two independent variables have a positive sign and their contribution to gross domestic product per
2340 capita are much more higher than money supply. However, the long-run relationship between inflation
2341 also confirms the negative relationship between money supply and real gross domestic product per
2342 capita, meaning that whenever the money supply has been rising would increase inflation and
2343 decreases in real output.
2344 In this paper, the main aim is to verify the relationship between money supply and
2345 macroeconomic variables (real GDP, inflation rate, interest rate) in China. And the analysis results
2346 suggest that the inflation and the real GDP have a positive effect on money supply. Conversely,
2347 the interest rate has a negative effect on money supply.
2348
2349 3. Methodology
2350
2351 3.1 Suitability Test of M1 & M2
2352
2353 M1 is the sum of the currency plus demand deposits, traveler's checks, and other check-able
2354 deposits. The purpose of holding M1 is to treat it as a media exchange to purchase the commodity,
2355 labor services and securities. It is most liquid financial asset that is held by public. M2 is sum of M1
2356 and the near money which is the sum of the resident savings deposits, time deposit of enterprises
2357 and other deposits. And it can not directly use as media exchange to buy commodity and labor
2358 services. If M2 wants transacting, M2 should need to be extracted from the bank and transferred into
2359 M1. Therefore, M1 can be treated as the money in circulation; M2 is the money stock.
2360

2361
2362
2363 Fig. 1: Year-on-Year Growth Rate of M1 & M2
2364 Source: People's Bank of China
2365
2366 Fig.1. shows the volatility of M1 & M2's growth. M1 is relatively steady and M2 is in a great
2367 fluctuation. In different periods of economic activities, M1 & M2 often perform differently. For
2368 example, when the economy locates in the low point, the growth rate of M1 is usually lower than
2369 that of M2. Meanwhile, the commodity and labor service's demand is also in the lower level.
2370 Conversely, when the growth rate of M1 exceeds that of M2, enterprises often transfer their time
2371 deposits into demand deposits in a large amount so as to pay for outgoings. Meanwhile,
2372 enterprise's will to invest and the economy boom will turn better.
2373 M1 has a stronger endophytism than that of M2. Therefore, when the People's Bank of China is
2374 ready to loosen monetary, a stimulation needs to be attached into M2's growth. However, if the total
2375 demand does not reach a active degree, M1 still keeps in a low growth rate. Only when a rise in
2376 active degree of economic operation of itself, M1 will increase quickly. So, M2 will be adopted to
2377 analyze in this paper.

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2378 3.2 Long-run Market Equilibrium


2379
2380 In the long run, the money market equilibrium will be shocked by the price level, nominal interest
2381 rate. When the real money supply (determined by the central bank) equals the demand for real
2382 money balances (determined by the nominal interest rate and real income), the money market will
2383 be in equilibrium. Thus, a general model in which money demand is proportional to nominal income,
2384 and a deceasing function of the nominal interest rate:
2385 M = L (i ) × PY (1)
2386 M is the demand for money; L(i) is a decreasing function of the nominal interest rate; P is the
2387 price level; Y is the real income. Dividing by , the money market equilibrium can be derived:
M
= L(i ) × Y
2388 Y (2)
2389 is the supply of real money; L(i) x Y is the demand for real money.
2390 An economist, called Juselius, proposes an idea on this proposition. His results show that the
2391 real total money can not always determine the money demand, unless backing to equilibrium can
2392 be completely performed in the instant. In general, the total money observed probably is
2393 determined by money supply, money demand and a combination of them. If the Central Bank can
2394 control the money supply effectively, the money supply will be adjusted to the money demand. the
2395 total money observed pretty probably is determined by the money supply.
2396 Assuming that the total money, M2 is determined by the money demand, in the money
2397 demand theory, the total money is determined by the transaction demand, wealth demand and
2398 opportunity cost. Also the transaction demand of M2 can be measured by the real GDP. A scholar,
2399 called Qin, has performed a empirical study on money wealth demand in China. Her findings show
2400 that the real income and real interest rate are the main factors that determine the money wealth
2401 demand. This finding will be used in this paper.
2402 The real money demand of M2 gives:
2403
M 2t = α1 + α 2 yt + α 3 pt + α 4 Rt + ε t (3)
2404 Where α 2 ≥ 0,α 3 ≥ 0,α 4 ≤ 0 ; yt stands for the real; pt stands for the inflation; Rt stands for the
2405 deposit rate.
2406
2407 4. Empirical Analysis
2408
2409 4.1 Data Description
2410
2411 In this paper, four variables are involved. The real total money (M2) is the ratio of nominal total
2412 money to CPI; The real GDP(yt)is the ratio of nominal GDP to CPI; The inflation rate (p̂ t) is the
2413 ratio of CPIt to CPIt‐1; The deposit interest rate for one year is Rt. The definition, meaning and the
2414 source of the variables are shown in table.1.
2415
2416 Table 1. Estimation Variables
2417
Variable Meaning Definition Source
m2t Real total money M2 M National Bureau of statistics of the
m2t = log( 2t ) People' s Republic of China
CPI t
yt real GDP GDPt National Bureau of statistics of the
yt =
CPI t People' s Republic of China
p̂ t Year-on-year inflation rate CPI t National Bureau of statistics of the
pˆ t = log( )
CPI t −1 People' s Republic of China
Rt Deposit interest rate for one year Rt National Bureau of statistics of the
People' s Republic of China
2418

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2419 4.2 Unit Root Test


2420
2421 When a time-series regression approach is used to study the relationship among time series, it is
2422 important to test the stationary of the original sequence first. The reason is that, even though the
2423 sequence is non-stationary, the result of the regression test finds that the relationship among the
2424 sequences may be notable. In fact, this kind of regression is spurious regression. Therefore, it is
2425 necessary to test the stationary of the logarithm sequence of variables.
2426 The ADF test is completed by the following three models:
m
ΔX t = δX t −1 +  β i ΔX t −1 + ε t
2427 Model 1: i =1 (4)
m
ΔX t = α + δX t −1 +  β i ΔX t −1 + ε t
2428 Model 2: i =1 (5)
m
ΔX t = α + β t + δX t −1 +  β i ΔX t −1 + ε t
2429 Model 3: i =1 (6)
2430 The null hypothesis, H 0 : δ = 0 ,one unit root exists; An alternative hypothesis, H 1 : δ ≠ 0 , a unit root
2431 does not exist.
2432 The difference between model 1 and the other two models is that the other two models have
2433 constant and trend term. Actually, the proper order to test the sequence is from the model 3 to
2434 model 1. Any test that rejects the null hypothesis means that its original sequence does not have a
2435 unit root. As long as one of the results from any of the models rejects the null hypothesis, the
2436 original hypothesis can be considered to be stationary. When all of the testing results of the three
2437 models do not reject the null hypothesis, the original sequence can be considered to be non-
2438 stationary. And then, the first difference of the original sequence should be tested, and the
2439 procedures above should be repeated until becoming stationary.
2440 Table. 2 shows the unit root test of the original sequence and its first difference.
2441
2442 Table 2. Result of unit root test
2443
Variable ADF Test Statistic P-value Test critical value 5%
m2 t 0.011 0.946 -3.081
yt -0.577 0.844 -3.120
p̂t -0.082 0.711 -3.145
Rt -1.961 0.298 -3.099
Δm2t -3.822 0.014 -3.099
Δy t -4.192 0.008 -3.112
Δp̂t -5.875 0.000 -3.099
ΔRt -3.983 0.041 -3.099
2444 Δ stands for the first difference.
2445
2446 Table. 2 shows all variables are non-stationary under the 5% significance level. However, after first
2447 difference, all of them become stationary under the 5% significance level.
2448
2449
2450
2451
2452
2453
2454
2455

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2456 4.2.1 Choice of lag difference on the model


2457

2458
2459
2460 Fig. 2: Inverse Roots of AR Characteristic Polynomial
2461
2462 Unless roots of VAR model' reciprocal is less than 1. Namely, all points are located in the unit cycle,
2463 the model will be stationary. Fig. 1 indicates that this model is stationary because all points are in
2464 the unit sycle.
2465 After confirming the stationary of this model, using the VAR model's Lag Order Selection
2466 Criteria can determine the lagged difference between the money supply and others from 2000 to
2467 2016 in China. And the results show in table. 2.
2468
2469 Table 2. VAR Model Lag Order Selection Criteria
2470
Lag LogL LR EPE AIC SC HQ
0 94.426 NA 2.891 -12.918 -12.735 -12.935
1 119.577 32.337 8.900 -14.225* -13.312* -14.310
2 140.672 15.068 9.852 -14.953 -13.310 -15.105
2471 * indicates lag order selected by the criterion
2472
2473 Table. 2 indicates that according to AIC and SC, the lagged difference is lag 1. Based on this,
2474 VAR(1) model whose variables are m2t, yt, p̂ t and Rt can be established. The estimated results
2475 gives:
2476 m2t = −0.134m2t (−1) + 0.262 pˆ t (−1) − 0.055Rt (−1) + 1.340 yt (−1) − 0.506 (7)
pt = 0.686m2t (−1) − 0.268 pˆ t (−1) + 0.010 Rt (−1) − 0.809 yt (−1) + 1.514
2477 (8)
Rt = 4.049m2t (−1) + 0.264 pˆ t (−1) + 0.897 Rt (−1) − 5.258 yt (−1) + 3.245
2478 (9)
yt = −0.192m2t (−1) + 0.188 pˆ t (−1) + 0.003Rt (−1) + 1.191yt (−1) − 0.094
2479 (10)
2480 R 2 = 0.998; AIC = −5.037; SC = −4.801
2481 Estimating equation models demonstrate that the fitting degree of models is better. And the
2482 value of AIC and SC are small, which illustrates the model structure is steady. Also, it shows that
2483 auto correlation and heteroscedasticity does not exist.
2484
2485 4.3 Model Test
2486
2487 4.3.1 Granger Causality test
2488
2489 After establishing model, the causality among all variables should be confirmed.
2490
2491

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2492 Table 3. Granger Causality test


2493
Null Hypothesis F-statistic P-value Result
p̂ t does not Granger Cause m2t 5.877 0.031 Rejected
m2t does not Granger Cause p̂ t 0.864 0.454 Non-rejected
Rt does not Granger Cause m2t 6.065 0.022 Rejected
m2t does not Granger Cause Rt 0.753 0.498 Non-rejected
yt does not Granger Cause m2t 4.486 0.045 Rejected
m2t does not Granger Cause yt 2.834 0.111 Non-rejected
2494
2495 Table.3 shows the hypothesis that p̂ t does not Granger Cause m2t is rejected and m2t does not
2496 Granger Cause p̂ t is non-rejected. It means that it is a unidirectional causality from p̂ t to m2t under
2497 5% significance level. Moreover, the conclusion that p̂ t does not Granger Cause m2t is rejected is in
2498 accordance with this paper discussed. It indicates the fact that in the long run the inflation can result
2499 in an increase in money supply in China, which is significant; Taking the long-run relationship
2500 between money supply and interest rate into account, a unidirectional causality between money
2501 supply and interest rate exists under 5% significance level. Namely, the money supply and interest
2502 rate have an unilateral effects. And Granger causality test result is in keeping with this paper
2503 addressed. It also indicates that in the long run an increase in the interest rate can lead to a
2504 decrease in money supply in China; In addition, table.3 also implies that there is a long-run
2505 relationship between money supply and real GDP, and a unidirectional causality from real GDP to
2506 money supply. The hypothesis that m2t does not Granger Cause yt is non-rejected and yt does not
2507 Granger Cause GDP is rejected under 5% significance level. It demonstrates that in the long run
2508 the real GDP can promote and expansion of money supply in China.
2509
2510 4.3.2 Impulse Response Function
2511

2512
2513
2514 Fig. 3: Impulse response function
2515
2516 The impulse response functions show the reaction of the different variables' impluses to the
2517 dependent variable. As for response of m2t to m2t, the money supply performs a rise on itself
2518 response; As for response of m2t to Rt, the interest rate has a negative effect on the money supply.
2519 At lag 2, its effect arrives at minimum. However, its effect always keeps under the negative area. As
2520 for response of m2t to p̂ t , the inflation rate has a positive effect on the money supply. After lag 10,
2521 its effect on the money supply will keep constant. As for response of m2t to yt, the real GDP also

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2522 has a positive effect on the money supply. And in the short run, its effect on the money supply
2523 keeps growing. But in the long run, its effect will fall to zero.
2524
2525 4.3.3 Variance Decomposition
2526
2527 Table 4. Variance Decomposition of m2t
2528
Period S.E m2t p̂ t Rt yt
1 0.009 100.000 0.000 0.000 0.000
2 0.030 9.531 5.715 81.128 3.627
3 0.033 7.988 11.504 75.731 4.777
4 0.035 13.873 10.307 66.315 9.505
5 0.041 23.807 8.170 50.293 17.728
6 0.047 32.074 8.116 37.668 22.142
7 0.054 39.451 7.535 29.173 23.841
8 0.600 43.806 7.710 23.920 25.105
9 0.064 45.157 7.629 21.492 25.722
10 0.067 46.132 8.013 19.801 26.054
2529
2530 Variance Decomposition measures the contribution of each explanatory variable to the expected
2531 change of explained variable. It is useful in assessing how changes to economic variables
2532 reverberate through a system.
2533 Table. 4 indicates that in the trend of Chinese money supply growth, the expected variance of
2534 Chinese money supply growth is determined by the disturbance from itself in the lag 1. However, in
2535 the lag 2, 9.531% of Chinese money supply growth is from itself; 5.715% of Chinese supply money
2536 growth is from the inflation; 81.128% of Chinese money supply growth is from interest rate; 3.627%
2537 of Chinese money supply growth is from the real GDP. Then, if taking the long-run effect into
2538 consideration, Chinese money supply growth is mainly determined by itself up to 50%, of course,
2539 still 8% from inflation, 14% from interest rate and 28% from real GDP.
2540
2541 5. Conclusion
2542
2543 In this paper, most emphasis has been put on the relationship between the money supply, m2t, and
2544 macroeconomic variables (real GDP, inflation rate, interest rate) in China. Then VAR model is
2545 established and the data is gotten from National Bureau of statistics of the People' s Republic of
2546 China with the year from 2000 to 2016. Based on two of them, an empirical analysis is conducted
2547 and the empirical analysis findings reveal that in China an increase in the real GDP can result in an
2548 increase in the money supply; Meanwhile, an increase in the inflation rate can lead to an increase
2549 in the money supply; Oppositely, an increase in the interest rate can cause a decrease in the
2550 money supply. So, the results of this paper provide a better reference for the policy-makers
2551 controlling the money supply in China.
2552
2553 References
2554
2555 Jayasooriya, D. (2015). Money Supply and Inflation: Evidence from Sri Lanka. Asian Studies International
2556 Journal, 1(1), 22-28
2557 Hung, H. F., & Thompson, D. (2016). Money Supply, Class Power, and Inflation: Monetarism Reassessed.
2558 American Sociological Review, 81(3), 447-466.
2559 Chaudhry, I. S., Farooq, R. I. F., & Murtaza, G. (2015). Monetary policy and its inflationary pressure in Pakistan.
2560 Pakistan Economic and Social Review, 53(2), 251.
2561 Behera, J. (2016). Dynamics of Inflation, Economic Growth, Money Supply and Exchange Rate in India:
2562 Evidence from Multivariate Analysis. Quarterly Journal of Econometrics Research, 2(2), 42-54.
2563 Juselius, K. (2009). Special issue on using econometrics for assessing economic models: an introduction.
2564 Srithilat, K., Sun, G., & Thavisay, M. (2017). The Impact of Monetary Policy on Economic Development:
2565 Evidence from Lao PDR. Global Journal of Human-Social Science Research.
2566

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2567 Babatunde, M. A., & Shuaibu, M. I. (2011). Money Supply, Inflation and Economic Growth in Nigeria. Money
2568 Supply, Inflation and Economic Growth in Niger, 11(1), 147-163.
2569 Dragos, P., Mihaela, S., & Stefan, M. (2013). The Influence of Money Supply and Interest Rate on Inflation.
2570 China-USA Business Review, 12(6).
2571 Qin, D., Quising, P., He, X., & Liu, S. (2005). Modeling monetary transmission and policy in China. Journal of
2572 Policy Modeling, 27(2), 157-175.
2573 Sabade, S. (2014). Is money supply the cause of inflation in India? An alternative postulate to understand
2574 inflation. Procedia-Social and Behavioral Sciences, 133, 379-382.
2575

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Research Article

© 2017 J Andy Hartanto.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
2
3
4 Indonesian Law Development on Housing Collateral
5
6 J Andy Hartanto
7
8 Lecturer, Faculty of Law,
9 Narotama University Surabaya
10
11 Doi: 10.1515/mjss-2017-0047
12
13 Abstract
14
15 The collateral law is a provision and rule of law governing the legal relationship between the receiver
16 and the receivable of credit by charging a guarantee. Then in about the loading of Flats with Rescue
17 Rights. Therefore, based on the provisions of Article 27 on mortgage law, the Flats are no longer
18 possible guaranteed by Mortgage and Fiduciary, since the object of collateral with Mortgage and
19 Fiduciary in flats act has become the object of collateral which is burdened with mortgage right by
20 mortgage law. The Right to Land in the Flats can not be burdened with the mortgage right, because it is
21 a collective land, it is only possible to be guaranteed with the Mortgage right only by the Developer at
22 the time of building the flats, but when it was established the flats, it is no longer possible Burdened with
23 a mortgage, which may be just the Property of the Housing Unit because it is the possession of a person
24 who is the things that stand on the ground together.
25
26 Keywords: flat, collateral law, Indonesian Housing Law, Mortgage law
27
28
29 1. Introduction
30
31 Flats or Apartments has become one of the Indonesian fastest growing industries. Flats are
32 multilevel buildings constructed in an environment divided into functionally structured sections, both
33 horizontally or vertically where each unit can be owned and used separately, especially for shelter
34 equipped With shared parts, common objects, and common ground.
35 The Flat sector provides effects in various fields, namely by encouraging a series of other
36 economic sectors. All economic activities both in the field of services and goods will basically
37 always need the product Flats/Apartments as one of the factors of production. For example,
38 banking services that provide financial services also still require the existence of Flats/Apartment
39 products act as a place or means to conduct transactions. Similarly, production or trade activities,
40 as well as plantations/farms, will always need the Flats as the activities tool. Thus, the demand for
41 flat products will continue to increase in line with the development of economic activities.
42 Borrow-lend activities have been conducted for a long time in social activities. As matter of
43 fact, almost all communities make borrow-lend activities as an indispensable thing to support their
44 economic development activities. Related to this, various financial institutions, especially banks
45 have helped fulfill the need for funds toward economic activities by providing loan money in the
46 form of bank credit (Purbandari, 2013, 89). However, Bank will only grant the loan application
47 submitted by the customer if there is any confidence in the certainty that the debtor can refund the
48 credit. Therefore, in the banking credit activities, it is required to provide debt guaranteed by the
49 debtor to the lender (creditor) in this case is the bank. The provision to grant the guarantee is in line
50 with the general guarantees principle as stipulated in article 1131 of the Civil Code, that the debtor's
51 property is entirely a guarantee of his debt.
52 Basically, the guarantee used by the debtor can be used immaterial or material assurance,

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53 which constitutes an immaterial guarantee is a guarantee which creates a direct relationship to a


54 specific individual and can only be maintained by a particular debtor such as an individual
55 guarantee (borgtoch). While the material guarantee is a guarantee in the form of absolute right of
56 an object that has characteristics and direct relationship with the debtor in the form of moving and
57 immovable objects.
58 In banking practice, not all types of goods or objects can be accepted toward credit activities.
59 Some banks require strictly the type of credit guarantee object. The policy is based on certain
60 reasons with due regard to its importance, namely the ease of binding, the certainty of the value
61 (price), the ease of liquefaction, ease of supervision and maintenance. Therefore, the bank prefers
62 the guarantee of material goods both Movable and immovable. This is because the assurance of
63 material possessing material characteristics in the sense of giving the right to precede over certain
64 objects and have the attached properties and follow the object in question. (Salim, 2007: 23)
65 Material assurance which according to Sri Soedewi Masjoen Sofyan (1981, 46-47) is called
66 material assurance is: Guarantees with the absolute right over an object having characteristics of
67 having a direct connection to a particular object, can be maintained toward anyone, always
68 following the object and can be transferred. accordance with the assurance of material in banking
69 activities, the object becomes the guarantee of the material is more widespread. The current
70 evolving object that can be the object of collateral is flat. Flats are built to respond the
71 developments that occur mainly in urban areas, where the level of housing demand is quite high
72 while limited land does not allow the construction of homes in a leased house, so housing
73 development is directed to the development of flats or apartments that embrace the concept of
74 ownership of flats unit, Flats unit whose main purpose is used separately with main function as
75 shelter and has a means of connecting to public road (Article 1 paragraph (3) of Law No. 20/2011
76 on Flats, hereinafter referred to as Housing Law).
77 According to Article 47 paragraph (5) of the housing law, it is said, " Freehold Sarusan Title
78 can be used as a debt guarantee with the burden of Mortgage right (HT) in accordance with the
79 provisions of legislation". Dealing with this, the flat/apartment units can be used as collateral for
80 credit guarantee. That in this case, the object of credit guarantee and tied up with the Mortgage
81 Right is not the land but the property rights of the apartment unit as well as the joint object of the
82 ownership the apartment unit. (Ari S, 2007: 27)
83 Based on the mentioned above matter, the author is interested to analyze the development of
84 the guarantee law regarding flats in Indonesia. The object of his study focuses on the concept of
85 guarantee provision forced based on Indonesian law. Thus this research problem conducted on this
86 study focused on:
87 A. Legal Collateral In the Civil Code and beyond the Civil Code
88 B. Flats and Properties of Housing Unit As Credit Collateral
89 The purpose of this study is to discuss theoretically flats as collateral for credit. So specifically
90 this study aims to know, analyze, and describe the unit of flats as a credit guarantee and to know,
91 analyze and illustrate the way of imposition of collateral for apartment units.
92
93 1.1 Research Method
94
95 Research is a fundamental tool in the development of science. Research has the purpose of
96 expressing the truth systematically, methodologically, and consistently, including research of law.
97 As the science of Sui Generis, meaning the law of science is a science of its own type, the science
98 of law has a character that is characteristic normative nature (Hadjon, 2005: 1). Thus the method of
99 research in the science of law also has its own method. The methods and procedures of research
100 in the natural sciences and the social sciences can not be applied in the science of law. (Marzuki,
101 2006: 26)
102 The Type of this research is normative juridical with normative legal research methods,
103 namely review and analyze legal materials and legal issues related to the problems studied. This
104 research is done to solve the problems that arise, while the results to be achieved is a prescription
105 of what should be done to overcome the problem.
106 The approach used in this research are the statute approach, historical approach, and

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107 conceptual approach. The historical approach allows researchers to understand the law more
108 deeply about a system or institution or a particular legal provision, it was done to minimize the error,
109 both in the understanding and application of a particular institution or legal provisions. The current
110 legal system contains elements of the legal order and forms the shoots of future law.
111 The statute approach is conducted by reviewing all laws and regulations relevant to the legal
112 issues being addressed. The law approach will open up opportunities for researchers to study the
113 consistency and appropriateness of a law with other laws or between the law and the Constitution
114 of the State of the Republic of Indonesia Year 1945 or between the regulation and the law of land.
115 (Marzuki, 2006:93)
116 Furthermore, the legal materials Sources used in this study is Primary Legal Material, that is
117 an authoritative legal material, meaning that the legal material has the authority, which consists of
118 legislation, official records or treatises.
119 In addition, This study also used the legislation as the primary legal material, namely the Civil
120 law Code, Law No. 4/1996 on the Rights of Dependence on Land and Materials related to the Land
121 (mortgage law), Law No. 42/1999 on the Fiduciary and Law No. 20/2011. Whereas, the Secondary
122 legal materials covering all publications about laws that are not official documents. Publications on
123 this law include textbooks, theses, dissertations of law, dictionaries of law, comments on court
124 decisions as well as legal opinions from experts published through journals, magazines or the
125 internet.
126
127 2. Results and Discussion
128
129 2.1 Legal Collateral In the Civil Code and beyond the Civil Code
130
131 The provisions of collateral contained in the Book of Civil code Book II of Objects and Book III on
132 the binding. General assurance derived from the term of law (Sofwan, 1980: 43-46), namely the
133 Civil Code which the rule reads: “All the materiality of the owed, both movable and immovable, both
134 existing and new will exist later on, Be liable for all personal binding (Article 1131), in the provisions
135 of Article 1132, it is determined that the material is collateral for all persons who owe it; The sales
136 revenue of the items is divided according to its equilibrium, namely, according to the size of the
137 respective receivables, except where among the debts there are legitimate reasons for precedence.
138 And special Guarantee based on the binding, ie mortgage, pledge, Fiducia, and staging or personal
139 guarantee.
140 Some of the Collateral in the Civil Code are no longer used or unbound. Some of them are
141 subject to and bound by the Commercial Code (KUHD), the Laws and Regulations, such as: The
142 dependent right, regulated in Law No. 4/1996 on the mortgage law of Land and Property Rights
143 (UU HT), Mortgage is regulated in Article 314 of the KUHD, Act Number 2/1992 on Shipping as well
144 as government regulation No. 23/1985 for Mortgage and in Article 12 of Law No. 15/1992 on
145 Aviation for Aircraft Mortgage, Pawn, Set forth in Article 1150-1160 on Civil Code, Fiduciary,
146 regulated in Law No. 42/1999 on collateral of Fiduciary.
147 Law No. 9 Year 2011 on Amendment to Law No.9 Year 2006 on Warehouse Receipt System
148 and other Laws and Regulations related to collateral such as general suspension guarantee to
149 corporate guarantee.
150
151 2.1.1 Fiduciary
152
153 Fiduciary by word of origin comes from the word "fides" which means belief. In accordance with the
154 meaning of this word, the relationship (Law) between the debtor (fiduciary giver) and the creditor
155 (fiduciary recipient) is a trust-based legal relationship (Widjaja,2000:13). The fiduciary giver
156 believes that the fiduciary recipient is willing to return the property rights that have been handed
157 over, upon payment of the debts. In addition, Widjaja (2000, 113) states that the fiduciary recipient
158 believes the fiduciary giver will not abuse the security goods under his control.
159 Based on Article 1 of Law No. 42 of 1999 on Fiduciary Guarantee, contained the definition or
160 limitation of Fiduciary and Fiduciary Guarantee. Article 1 point 1 of the Fiduciary Guaranty Act No.

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161 42 of 1999 states: The definition of fiduciary is the transfer of ownership rights of an object on the
162 basis of trust with the provision that objects whose ownership rights are transferred remain in the
163 possession of the object owner. Dealing with this definition, Satrio (2002: 159) grouped 3 fiduciary
164 characteristics as below:
165 a) Transfer of an object ownership;
166 b) On the basis of trust;
167 c) It remains in the possession of the object owner
168 Guarantees in the form of fiduciary, as stipulated in Law No.42 of 1999 on Fiduciary. states
169 Fiduciary is one form of guarantee where the objects guaranteed by the debtor to the creditor for
170 the repayment of the debts are in the hands of the debtor. Thus the debtor surrenders property
171 rights to his/her own moving goods to the creditor, provided that the goods remain in the hands of
172 the debtor.
173
174 2.1.2 Mortgage Right
175
176 Mortgage Right (HT) is a security right imposed on Land Rights, as referred to in Law No. 5 Year
177 1960 on Basic Agrarian Principles (UUPA), Mortgage Right is one of the institutions of material
178 security right which is born from one agreement. Namely, a credit agreement which is a common
179 agreement made in the field of the banking law, in the credit agreement there are two parties
180 involved that are the bank as creditor and customer as the debtor. In the credit agreement is usually
181 included also a guarantee of material to guarantee debt repayment debtors. The material guarantee
182 must be made in an agreement that has material rights and it is an accesoir (additional). One of the
183 guarantees with material rights is the Mortgage Right. Soedewi, 1975: 6)
184 Object Classification of Mortgage Right can be viewed from different angles depending on the
185 further development of the statutory regulations governing mortgages. (Article 4 paragraph 1 on
186 mortgages law) then that could be the object of Mortgage Right is only: right of ownership (Article
187 25 UUPA, Right of Business (Article 33 UUPA), Right to Build (Article 39 UUPA) Then if In terms of
188 those designated by the Mortgage law (UU HT) Article 4, paragraph 2, one can add another type of
189 Mortgage Right is the Right to Use on state land which according to the applicable provisions shall
190 be registered and by its nature transferable, while in the development of the Mortgage right as
191 referred to by the Law No. 20 of 2011 on Flats (Article 27 UU HT) states that there are additional
192 objects of Mortgage Rights that are Styles which stand on the land of right of ownership, Building
193 rights, and Right to Use given by the State as well as the Ownership of the Housing Unit (HMSRS)
194 Whose the buildings are established on the land of right of ownership, Building rights, and Right to
195 Use provided by the State.
196 Dealing with the material assurance in banking activities, then the object becomes the
197 collateral of the material is more widespread. The current evolving object that can be the object of
198 collateral is the flats built to respond to growth occurring especially in urban areas.
199
200 2.2 Flats and Properties of Housing Unit As Credit Collateral
201
202 The term collateral is a translation of the Dutch language, namely Zekerheid or Cautie. Zekerheid or
203 cautie covers in general the ways in which creditor guarantees the fulfillment of its claims, in
204 addition to the general debtor's liability to his goods. (Salim, 2008: 21)
205 According to Mariam Darus (1991;32), the credit agreement is the "Preliminary Agreement"
206 (Voorovereenkomst) of the money transfer, this is the result of an agreement between the giver and
207 the borrower regarding the legal relations between them. In the law of collateral which is an
208 additional agreement or accessory is always preceded by a credit agreement. So there is no
209 collateral without credit agreement.
210 Article 47 paragraph (5) On the housing law (UURS) states, " Freehold Title of Sarusun can
211 be used as debt collateral with the burden of Mortgage right in accordance with the provisions of
212 law and regulation." Under this provision, Property right of flat units (HMSRS) can be used as credit
213 collateral with the burden of Mortgage. This provision is in line with the UU HT and as the
214 implementation of Article 51 on UUPA. Article 27 of UU HT stipulates that "This UU HT’s provision

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215 applies to the imposition of guaranteed rights on Flats and Property right of flat units". So that,
216 following the flats can be used as credit guarantees it was arranged in a limitation by mortgage law.
217 The granting of Mortgage right at the Property right of flat units comprise of certain Stages of
218 which they are part of the juridical and administrative process.
219
220 2.2.1 Credit Agreement
221
222 The credit agreement is a basic agreement which served as the first document or as an initial
223 document to prove the existence of a debt agreement. Based on Article 10 paragraph (1) on
224 mortgage law which reads:
225
226 "The granting Mortgage right is preceded by a pledge to grant the Deposit Rights as a guarantee
227 of certain debt repayment, poured in and indispensable part of the agreement of the respective
228 debts or other agreements that incur such debt".
229
230 The Mortgage Rights Agreement is an accessory with a principal agreement. one Mortgage
231 Rights can not stand alone, but it is a subset of the principal agreement.
232
233 2.2.2 Establishment of Deed of Giving mortgage right
234
235 the process of making the Deed of Giving mortgage right (APHT) by an land titles registrar (PPAT)
236 under Article 11 UU HT shall include the name and identity of the mortgage right holder and owner,
237 the domicile of the parties, the clear appointment of the guaranteed debt, the value of the
238 dependents, and the description of the object of the Mortgage's right This apartment unit that will be
239 used as a debt guarantee.
240 Whereas in a material agreement, it basically has a character that is sustainable
241 (Voortdurende Overeenkomst) which begins with the grant agreement of HT and ends at the time of
242 registration. As long as the registration has not been made, this agreement is not a material
243 agreement. (Darus, 1991: 61),. The next action taken by the Land Office is to return the land
244 certificate containing the note of granting the Mortgage Right to the holder of the land right and
245 simultaneously giving the Certificate of the Deposit Rights to the creditor.
246 The legal deeds related to Sarusun are always connected to the land where the apartment
247 building is established or built. So as a result of the flats is inseparable from the land, the starting
248 point of its arrangement is based on the National Land Law and this is a logical consequence of the
249 unification of the Land Law since September 24, 1960, where all the provisions of Book II of the
250 Civil Code along the governing the earth, water, and natural resources Contained therein shall be
251 declared no longer valid except in regard to mortgages. (Sutedi, 2006: 19)
252 Therefore, based on the provisions of Article 27 on UU HT, it can be concluded that, After the
253 entry into force of mortgage law, Flats are no longer possible secured by Mortgage and Fiduciary,
254 Because the object of collateral with Mortgage and Fiduciary in housing law has become the object
255 of collateral in burdened with mortgage right By mortgage law. The Right to Land in a Flats can not
256 be burdened with mortgage rights, because it is a collective land which is a collective property, it is
257 possible to be guaranteed by the Mortgage Right only by the Developer at the time of building the
258 flats, but when it has been established its apartment can no longer be burdened With a mortgage
259 right, which may be just the Property of the Housing Unit because it is the possession of a person
260 who is the things that stand on the common ground.
261 Referring to the provisions of mortgage law and the Fiduciary Guarantee law, the burden of
262 flats as collateral for credit is tied to the Guaranteed Right, which is the object of Mortgage Right is
263 not the land but the property rights of the unit of the flats which therefore in addition to the
264 respective apartment units are also part of the joint , Common objects, and joint land equal to the
265 ownership of the flat units. (Hutagaluh, 2007: 70)
266 The imposition of HMSRS as credit guarantee is based on a credit agreement, in which a
267 security agreement is a bond between a creditor and a debtor or a third party guaranteeing the
268 repayment of the debt arising from the granting of the loan. The credit guarantee agreement is an

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269 accessory agreement, which is always an agreement associated with the principal agreement.
270 If the debtor breaches the pledge in the credit agreement, then the Deposit Rights will be
271 executed in accordance with the provisions of Article 20 UU HT, where the object of Mortgage
272 Rights is sold through a public tender in the manner specified in the prevailing laws and regulations
273 and the holder of the Mortgage Right shall be entitled to take all or part of the proceeds The
274 settlement of the receivables, with the right which precedes other creditors' creditors which can be
275 executed in two ways:
276 a) Based on the provisions of Article 6 of the HT Law, namely the right of the first Depositary
277 to sell the object of Mortgage Right to their own power reinforced by the promise referred
278 to in Article 11 paragraph 2 e of Law No. 4 of 1996 on the mortgage law (UU HT) or also
279 known as parate execution.
280 b) Based on the Executorial Title contained in the Mortgage Right certificate as referred to in
281 Article 14 paragraph 2 UU HT, where states the execution is done by requesting court
282 assistance or called by Fiat Execution.
283
284 3. Conclusion
285
286 Indonesian collateral Law originally stipulated in the Civil Code of Book II (law of objects), namely
287 the material collateral like Pawn (Article 1150-1160 Civil Code) and Mortgage (Article 1162-1232
288 Civil Code) and Personal collateral (personlijk). In its development has been regulated outside the
289 Civil Code and subject to the legislation on guarantees such as Law No. 4 of 1996 on the mortgage
290 of Land and Property Affairs (UU HT) and Law No. 42 of 1999 on Fiduciary And other laws and
291 regulations that impose warranties in any legal action such as credit agreements of banks and
292 securities.
293 Article 47 paragraph (5) of the housing law states, "freehold title of sarusun can be used as
294 debt guarantee with the burden of Mortgage right in accordance with the provisions of law and
295 regulation." Under this provision, HMSRS can be used as credit guarantee with the burden of
296 Mortgage. This provision is in line with the mortgage law, as implementation and Article 51 of
297 UUPA. Article 27 of UU HT stipulates that "This UU HT provision applies to the imposition of
298 guaranteed rights on Flats and HMSRS". So that can be used as flats/HMSRS as credit guarantees
299 arranged in a limitation UU HT.
300 Therefore, based on the provisions of Article 27 UU HT, it can be concluded that, After the
301 entry into force of UU HT, Flats are no longer possible secured by Mortgage and Fiduciary,
302 Because the object of collateral with Mortgage and Fiduciary in UURS has become the object of
303 collateral in burdened with HT By UU HT. The Right to Land in a Flats can not be burdened with
304 mortgage rights, because it is a collective land which is a collective property, it is possible to be
305 guaranteed by the Mortgage Right only by the Developer at the time of building the flats, but when it
306 has been established its apartment can no longer be burdened With a mortgage right, which may
307 be just the Property of the Housing Unit because it is the possession of a person who is the things
308 that stand on the common ground.
309
310 References
311
312 Purbandari. (2013). Hak Milik Atas Satuan Rumah Susun Sebagai Jaminan Kredit. Lex Jurnalica 10, 3. P. 89-
313 205.
314 Salim, H. (2007). Perkembangan Hukum Jaminan di Indonesia. Jakarta: Raja Grafindo Persada.
315 Sofyan, Sri Soedewi Masjoen. (1981). Hukum Perdata: Hukum Benda. Liberty: Yogyakarta.
316 Hutagaluh, Ari S. (2007). Kondominium dan Permasalahannya.: Revised edition. Depok: Badan Penerbit
317 Fakultas Hukum Universitas Indonesia.
318 Hadjon, Philipus M and Tatik Sri Djatmiati. (2005). Argumentasi Hukum. Yogyakarta: Gajah Mada University
319 Press.
320 Marzuki, Mahmud. (2006). Penelitian Hukum. Jakarta: Prenada Media.
321 Sofwan, Sri Soedewi Masjchoen. (1980). Hukum Jaminan di Indonesia, Pokok-pokok Hukum Jaminan dan
322 Jaminan Perorangan. Yogyakarta: BPHN dan Liberty.
323 Widjaja, Gunawan and Ahmad Yani. (2000). Seri Hukum Bisnis Jaminan Fidusia. Jakarta: PT Grafindo Persada.

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324 J. Satrio. (2002). Hukum Jaminan, Hak-hak Jaminan Kebendaan. Bandung: PT. Citra Aditya Bakti.
325 Masjehoen, Sri Soedewi. (1975). Hak Jaminan Atas Tanah. Yogyakarta : Liberty.
326 Salim, H. (2008). Perkembangan Hukum Jaminan Di Indonesia. Jakarta: Rajawali Pers.
327 Badrulzaman, Mariam Darus. (1991). Perjanjian Kredit Bank, , Bandung: PT. Citra Aditya Bakti.
328 Sutedi, Adrian. (2006). Implikasi Hak Tanggungan Terhadap Pemberian Kredit Oleh Bank dan Penyelesaian
329 Kredit Bermasalah. Jakarta : BP. Cipta Jaya.
330
331 Indonesian Regulation of law
332
333 Law No. 20/2011 on Housing Flat law
334 Law No. 4/1996 on mortgage Right and Land-Related Objects.
335 Law No. 5/1960 on Basic Agrarian law.
336 Law No. 1/2011 on On Housing and Settlement Area.
337 Law No. 42/1999 on Fiduciary Guarantee
338

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Research Article

© 2017 Beatrice O. Ajidahun.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
2
3
4 Sexual Promiscuity and Health Issues among Female Undergraduate
5 Students in Adekunle Ajasin University: Counselling Implications
6
7 Dr (Mrs.) Beatrice O. Ajidahun
8
9 Department of Guidance and Counselling,
10 Faculty of Education,Adekunle Ajasin University
11 Akungba-Akoko, Nigeria
12
13 Doi: 10.1515/mjss-2017-0048
14
15 Abstract
16
17 This study examined the promiscuous behaviour of female undergraduate students and the various
18 health issues related to it. It also investigated the relationship between the University lifestyles and
19 female students’ promiscuous behaviour. The study adopted descriptive survey with a sample of one
20 hundred and twenty (120) undergraduate female students selected using simple random sampling
21 technique. A questionnaire titled “Sexual Promiscuity (SP) designed by the researcher was used to
22 collect data for the study. Two hypotheses were formulated to guide the result of the study. The study
23 revealed that there was a significant relationship between the female undergraduates’ promiscuous
2
24 behaviour and their University lifestyles X = 178.092<0.05). Also, there was significant relationship
2
25 between the promiscuous behaviour and sexually transmitted diseases (X = 70.69<0.05). It was
26 therefore concluded that female undergraduate students of Adekunle Ajasin University were
27 promiscuous because of their University lifestyles and that many were exposed to various sexually
28 transmitted diseases that affect their health. Recommendations were based on the findings of the study
29 that the University lifestyles of students should be modernized to discourage promiscuous behaviour
30 among female undergraduate students. Besides, adequate health and counselling seminars should be
31 organized on regular basis to intimate female students with the consequences of such promiscuous
32 lifestyles.
33
34 Keywords: Promiscuity, Health Issues, Counselling, Female Undergraduates, Sexual Behaviour.
35
36
37 1. Introduction
38
39 In the past as observed by the researcher, sexual attitude was allowed for procreation in the
40 confines of marriage. Premarital sex then was not allowed until one was properly married. This
41 cultural practice though still in existence is not as firm as it used to be in the past. According to
42 Adegoke (2003), technological advancement has made the world to become a global village which
43 provides unlimited access to information about sex from other countries of the world to the youths.
44 Most of the information received from the net are defective and as such have effect on the sexual
45 behaviour of adolescents and youths. This risk sexual behaviour among adolescents and youths in
46 the university has continued to lure them to engage in early sexual debut, unsafe sexual activity,
47 multiple and casual sexual partners. The author claimed that several responses on the sexual
48 behaviour indicated that the age of first sexual debut had continue to decline among both male and
49 female students in Nigeria.
50 The University lifestyle in Adekunle Ajasin University is influenced by the university off campus
51 policy. Almost 80% of the students’ populace are staying outside the university campus. It seems to
52 the researcher that this policy might have lured many undergraduate girls to be having multiple sex

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53 partners. There is no regulation against such activities and behaviours in the university.
54 According to Abdullahi & Abdullahi (2013), the university environment allows free sexual
55 activities, and this is against the moral values of the community although the university campus
56 according to Romio(2017) is known to provide academic stimulant as well as variety of activities
57 and opportunities. Unprotected sexual behaviour is also on the increase among university students.
58 This is made possible because university students enjoy freedom from their parents and the staff
59 may not be bothered about how they live their lives.
60 Cohabitation is another trend that promotes sexual activities among university students.
61 According to Seltzer (2000), cohabitation is a lifestyle in which an unmarried man and an unmarried
62 woman are involved in a sexual relationship and live together in an informal union. Many students
63 are involved in cohabitation because of so many reasons best known to them. Miriam (1999)
64 observed that lack of parental control over the dating behaviour of undergraduates might have
65 reinforced a normative climate toward early sex.
66 Kheswa and Mahlalela (2013) referred to sexual promiscuity as sexual activities with different
67 partners and that the behaviour can have undesirable effects such as HIV/AIDS and other sexual
68 transmitted infections. Also Mark et al (2011) agree that promiscuity can be understood as the
69 willingness to engage in sexual activities with several partners, having casual sex and getting
70 involved in sexual activities early than later. To Garcia et al (2010), sexual promiscuity can be
71 defined as the engagement in uncommitted sexual activities with non-monogamous partners and
72 with multiple partners.
73 The University environment encourages undergraduate females’ desire for sex. This is
74 because the University lifestyle gives them the opportunity to be freer from parental monitoring.
75 Ikpe (2003) observed that the desire for material things like expensive jewelries and flashy phones
76 lured female undergraduates into such life. The author also observed that many girls hide under the
77 search for academic advantage by sleeping with students and even their lecturers. Peer influence
78 and provocative dressing were also identified as reasons for promiscuous attitude among female
79 undergraduates. Fuligni et al (2000) confirm that the pressure to conform to groups’ behaviour is
80 strong among undergraduate students. They are interested in what is in vogue so that they can feel
81 belonged and be accepted by their peers.
82 According to Ajidahun (2015), a lot of home videos shown on the Nigerian television screen,
83 the spoken words, and the actions that are dramatized also show a lot of sexual acts. Female
84 undergraduates are exposed to many of these home videos on their laptops, cellphones and
85 cinema houses. Bradley and Corwyn (2002) confirmed that distress among poor parents due to
86 their economic pressure may lead to their female children’s promiscuous attitude. Many female
87 undergraduates in Adekunle Ajasin University are likely to be from poor homes.
88 Many of them could not afford to pay their school fees, buy adequate food stuff and fulfil other
89 important desires that require money which may be difficult and this can lure them to have several
90 sex partners to meet all the needs. So, sex is used to overcome poverty. This is confirmed by
91 Kheswa &Mahlalela (2014) that at a stage, 92% of school girls indicated that they were enslaved for
92 sex in exchange for gifts and money for economic survival. Orubuloye in Abdullahi & Abdullahi
93 (2013) observed that some students engage in promiscuous behaviour without even at first
94 considering the overall effect. They see sex as means of enjoying pleasure and for fun.
95 Kheswa &Mahlalela (2014) observed that promiscuous attitude of female undergraduates can
96 have undesirable effects on their health such as HIV/AIDS and other sexual transmitted infections.
97 Apart from this, some may end up being pregnant and be forced to leave the school prematurely.
98 Some have committed abortions severally and some have died in the process. Comer (2013) said
99 many have suffered psychological problems which have affected their health and wellbeing.
100 Diseases like gonorrhea, syphilis, herpes, virginalis are high among girls who are sexually
101 promiscuous.
102 Varga (2000) reported that many African youths and adolescents are at risk continually
103 because of their riskily sexual practice. Such sexual practices include early initiation of intercourse,
104 low use of contraceptives, multiple sex partners and poor sexual negotiation skills. Okafor and Obi
105 (2005) opined that in a study carried out that the prevalence of sexual activity was 76.8% among
106 University students. That 85.4% of the females while 62.3 of the males are having more than one

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107 sexual partners. This reveals that female undergraduates are involved in promiscuous attitude as
108 67.5% of females had their first sexual intercourse as adolescents as against 42.2% of their male
109 counterparts.
110 The literatures reviewed show that there is high sexual promiscuous attitude among female
111 undergraduates and its related effects on their health. This has resulted to unwanted pregnancy,
112 illegitimate children, feeling of guilt and shame, emotional instability, dropping out of the university
113 and becoming unhealthy due to sexual transmitted diseases. Sometimes many who have
114 attempted to commit abortions have died in the process. The main cause of these regrettable
115 situations is simply because of promiscuous attitude of female undergraduate students. Many are
116 also suffering from psychological problems like sexual disorder and social maladjustment problems
117 that require adequate counselling.
118
119 2. Purpose of the Study
120
121 The purpose of the study is to determine:
122 1. how University lifestyle contributes to female undergraduates’ sexual promiscuity.
123 2. the relationship between female undergraduates’ sexual promiscuity and their health
124 issues.
125 3. the importance of counselling in resolving the promiscuous behaviour of female
126 undergraduate students.
127
128 3. Hypotheses
129
130 Two hypotheses were formulated to guide the study
131 1. There is no significant relationship between the University lifestyle and female
132 undergraduates’ sexual promiscuity.
133 2. There is no significant relationship between the female undergraduates’ sexual
134 promiscuity and their related health problems.
135
136 4. Methodology
137
138 The research design used for this study is descriptive survey type. This made the gathering of
139 information possible among the female students of Adekunle Ajasin University, Akungba Akoko.
140 The population of the study consists of all regular female students in Adekunle Ajasin
141 University Akungba Akoko Nigeria who are in the age range of 17-23. A total number of 120 female
142 undergraduates were randomly selected using simple random sampling technique. The samples
143 were assured of the confidentiality of their responses.
144 The research instrument used for the study was a self-constructed questionnaire titled “Sexual
145 Promiscuity Questionnaire (SPQ). The questionnaire consists of 15 items of two sections which are
146 section A and B. Section A contains the bio data information of the female undergraduate students
147 like age, sex, off campus and hostel facility. Section B consists of fifteen items which answer the
148 two hypotheses formulated.
149
150 5. Data Analysis
151
152 The data were analyzed using chi-square statistical method. All hypotheses were tested at 0.05
153 level of significance.
154
155 6. Findings
156
157 Hypothesis one: There is no significant relationship between the University lifestyle and female
158 undergraduates’ sexual promiscuity.
159
160

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161 Table 1: A 2 x 6 Contingency Table Showing University Lifestyle and Female Sexual Promiscuity.
162
Sex partner Pleasure Freedom Needs Off Campus Academic Advantage Total
Female Promiscuity 86(82.5) 74(82.5) 30(82.5) 110(82.5) 114(82.5) 81(82.5) 495
University Lifestyle 34(37.5) 46(37.5) 90(37.5) 10(37.5) 06(37.5) 39(37.5) 225
Total 120 120 120 120 120 120 720
2 2
163 x c = 178.092, x t = 11.07,df=5
164
165 Since x2 calculated at 0.05 level of significance and 5 df is greater than x2 critical value, the null
166 hypothesis is rejected. Therefore, it can be concluded that female sexual promiscuity depends on
167 the University lifestyle.
168 Hypothesis Two: There is no significant relationship between the female undergraduates’
169 sexual promiscuity and their related health problems.
170
171 Table 2: A 2x7 Contingency table showing Female Sexual Promiscuity and Related Health Problems
172
Disease STD Psychological High Weak to
STD Real Bareness Total
vector Irreversible Effect Risk Read
Female Sexual 102 114 107 107
71(100.43) 104(100.43) 98 (100.43) 703
Promiscuity (100.43) (100.43) (100.43) (100.43)
Related Health 13
49(19.57) 16 (19.57) 18(19.57) 22 (19.57) 6(19.57) 13(19.57) 137
Problem (19.57)
Total 120 120 120 120 120 120 120 840
2 2
173 X C = 70.69,X t=12.59,df=6
174
175 Since x2 calculated at 0.05 level of significance and 6 df is greater than x2 critical value, the null
176 hypothesis is rejected. Therefore, it can be concluded that female sexual promiscuity can lead to
177 health problems.
178
179 7. Discussion
180
181 The result in table 1 shows that there is significant relationship between female sexual promiscuity
182 and University lifestyle. The promiscuous sexual attitude of female students in the university is
183 enhanced by the lifestyle of University students. The finding agrees with Abdullahi and Abdullahi
184 (2013) that university environment allows freer sexual activities. Also it agrees with Miriam (1999)
185 who observed that lack of parental control over university students have lured them to imbibe the
186 university lifestyle. Since most of the students are far from home, they feel free to live anyhow.
187 Besides, their parents are not always available to monitor their activities. Another common trend in
188 the university lifestyle is cohabitation. The finding agrees with Seltzer (2000) that cohabitation is a
189 lifestyle common among young people. In Adekunle Ajasin University, cohabitation is common and
190 most female undergraduates live with the opposite sex under the guise of either receiving or
191 providing financial assistance.
192 The result in table 2 shows that there is significant relationship between female sexual
193 promiscuity and their related health problems. The sexual promiscuity among university female
194 undergraduates can lead to health problems through sexually transmitted diseases. The findings
195 agree with Kheswa &Mahlalela (2014) that the promiscuous attitudes of female undergraduates
196 have undesirable effects on their health such as HIV/AIDS and other sexual transmitted infections.
197 Also Comer (2013) said that sexual promiscuity can lead to psychological problems which
198 affect the health and wellbeing of female students. The author further explained that diseases like
199 gonorrhea, syphilis, herpes and virginalis are high among girls who are sexually promiscuous.
200 Many female undergraduate students may be absent in school for several months in order to
201 receive medical attention because they are not healthy enough to continue with the rigours of
202 academic activities.
203
204

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205 8. Conclusion
206
207 It is obvious from the findings of the study that university lifestyle encourages promiscuous attitude
208 among female undergraduates. Also, it is also clear from the study that sexual promiscuity may
209 lead to health issues and therefore hinder their academic activities and even claim their lives.
210 Female undergraduate students enjoy freedom from their parents, the desire to satisfy material
211 needs and academic advantages have lured many into promiscuous lives.
212 There is the need to be concerned about this trend in the university because many promising
213 girls had been affected academically socially and psychologically. The efforts of counsellors in the
214 university system cannot be overemphasized. There is the need to employ the services of
215 professional counsellors to address this problem among female undergraduates. Many are naïve
216 and ignorant of their actions. The counsellor will be able to tell them when, how and who to engage
217 in sexual relationship.
218
219 9. Recommendation
220
221 The following recommendations are made based on the finding of the study:
222 1. The university system should discourage promiscuous attitude by providing adequate
223 information to parents about the whereabouts of their wards especially the female
224 undergraduate students. This will curb the activities of girls who abscond from school to
225 meet men in far places for reward of money.
226 2. Also, the university should have a policy to discourage cohabitation among students, off
227 campus policy should be reviewed; more hostel facilities should be built to accommodate
228 more females undergraduate into the hostels.
229 3. Regular seminars should be organized by the counsellors to intimate female and male
230 undergraduates about the undesirable effects of promiscuous life on their health and
231 wellbeing.
232 4. Qualified and professional counsellors should be recruited by the university to help handle
233 the sexual problems of undergraduate students especially the female undergraduate
234 students, because they are always at the receiving end of sexual activities. Promiscuous
235 sexual behaviours make them to be vulnerable to sexually transmitted diseases.
236
237 References
238
239 Abdullahi, M and Abdullahi, U. (2013) “Factors Associated with Engaging in Pre-Marital sex
240 among the Students of University of Maiduguri.” International Journal of Humanities and Social Science
241 Invention. Volume 2.
242 Adegoke, A.A. (2003). Adolescents in Africa: Revealing the Problems of Teenagers in a Contemporary African
243 Society. Ibadan: Hadassah Publishing.
244 Ajidahun, B.O. (2015) “Parental Moral Training and Adolescents’ Sexual Values in Adekunle Ajasin University,
245 Akungba Akoko.” British Journal of Education, Society and Behaviour Science 10(4) pg 1-8.
246 Bradley, R.H. and Corwyn, R.F. (2002). ‘‘Socio-economic Status and Child’s Development.’’ Annual Review of
247 Psychology 53(1) pg.
248 Comer R.J. (2013). Abnormal Psychology. Library of Congress. United States of America.
249 Fuligni, A.J. (1997). ‘‘The Academic Achievement of Adolescents from Immigrant Families: The Roles of Family
250 Background, Attitudes and Behaviour.’’ Child Development 68, 351-363.
251 Garcia, J.R., Mackilop, J., Aller, E.L., Merriwther A.M., Wilson, D.S., Lum, J.K. (2010). Associations Between
252 Dopamine D 4 Receptor Gene Variation with Both Infidelity and Sexual Promiscuity plus one (5).
253 Ikpe, E.B. (2003) “Sexual Negotiation in Tertiary Institution in Nigeria.” Journal of Interdisciplinary of National
254 Association of Academic Vol 1.
255 Kheswa, J. and Mahlalda (2014). ‘‘Sexual Promiscuity Among African Adolescent Females in Sub-Saharan
256 Countries.’’ Mediterranean Journal of Social Sciences.
257 Marks, N.E., and Lambert, J.D. (1998). ‘‘Marital Status Continuity and Change among Young and Midlife
258 Adults.’’ Journal of Family Issues, Vol 19. 652-686.
259 Miriam, J.I. (1999) “Perception on Sexual Transmitted Diseases Among Adolescents in Benin City.” International
260 Family Planning Perspectives. Vol 15, No 4.

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261 Okafor, I.I and Obi, S.N. (2005). Sexual Risk Behaviour Among Undergraduate Students in Enugu, Nigeria.
262 Journal of Obstetrics and Gynecology 25(6). 592-595.
263 Romio,E.F(2017) Acquintance Rape on College and University Campuses.Retrieved on 27/5/2017 from
264 htt://www.splc.org/news flash.as?id=768
265 Seltzer, J.A. (2000). ‘‘Families Formed Outside of Marriage.’’ Journal of Marriage and Family 62, 1247-1268.
266 Varga,C.A. (2000).Condom dilemma:Dynamics of Projected Sex in High risk groups in South African,Health
267 Trasition Centre.The Australian National University Cambenra pg 39-62.
268

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Research Article

© 2017 Kedwadee Sombultawee.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
269
270
271 Mobile Commerce Switching Intentions in Thai Consumers
272
273 Ms. Kedwadee Sombultawee
274
275 Lecturer at Silpakorn University
276 Faculty of Management Science,
277 Silpakorn University, Thailand
278
279 Doi: 10.1515/mjss-2017-0049
280
281 Abstract
282
283 This research applies an extended Unified Theory of Adoption and Use of Technology (UTAUT) model
284 to consumer intentions to switch from other retail channels to mobile commerce in Thailand. Mobile
285 commerce is a rapidly growing segment of the consumer market, but remains in an early stage of
286 adoption in many markets. A survey of Thai consumers (n = 458) was conducted online and analyzed
287 using a structural equation modeling (SEM) approach. Findings showed that the extended UTAUT
288 model, which included online social support and convenience, significantly explained the consumer
289 decision to engage in mobile commerce. However, direct incentives (discounts and referral codes) were
290 not significant. The implication of these findings is that mobile commerce providers need to focus on
291 building social support for the technology itself, rather than relying on marketing tools like discounts or
292 referral codes if they want to shift sales away from other retail channels.
293
294 Keywords: mobile commerce, Thailand, consumer adoption, UTAUT, social support, channel switching
295
296
297 1. Introduction
298
299 Mobile commerce (or m-commerce) is business and consumer commerce conducted through
300 mobile channels, including mobile web and app-based sales of tangible and intangible goods and
301 services and use of mobile payments (Chong, 2013). Mobile commerce is still a minority share of
302 total e-commerce; for example, 2014 US figures indicated it made up about $35 billion (or 11.6% of
303 total e-commerce) (Meola, 2016). As of Q4 2015, it is estimated that about 31% of mobile phone
304 users in Thailand had made at least one m-commerce purchase, indicating a high level of market
305 penetration compared to other countries in the region (Statista, 2016). Mobile commerce is part of
306 many firm’s multi-channel or omni-channel marketing strategies, with mobile sales channels, such
307 as apps or mobile websites, incorporated alongside traditional sales channels like retail stores and
308 e-commerce sites (Maity & Dass, 2014). However, consumers do not prefer to use mobile
309 commerce for all types of transactions; instead, mobile commerce is typically used for relatively
310 simple transactions and transactions where the goods are meant to be used in mobile contexts
311 (such as downloadable or streaming media) (Maity & Dass, 2014). Additionally, consumer
312 demographics and technology usage preferences also influence whether they will use mobile
313 commerce (Chong, 2013).
314 The Universal Theory of Adoption and Use of Technology (UTAUT) model is an obvious
315 choice for studying consumer switching intentions for existing technology, since it addresses both
316 the technological and social conditions of technology adoption (Venkatesh, Morris, Davis, & Davis,
317 2003). Furthermore, with a predictive value of around 50% on average (Dwivedi, Rana, Chen, &
318 Williams, 2011), this could be an effective tool for understanding consumer switching intentions and
319 behaviors. The adoption of mobile technology has routinely been studied using the UTAUT

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320 (Alkhunaizan & Love, 2012; Jaradat & Al Rababaa, 2013; Wang & Wang, 2010). However, none of
321 these studies have examined switching between different service providers or channels for the
322 same type of service, but have instead studied the initial technology adoption. A changing
323 consumer environment also suggests that there needs to be further extension of the UTAUT model
324 to account for such decisions, including for example online social support (Lin & Anol, 2008) and
325 convenience (Min, Ji, & Qu, 2008) as facilitating conditions for technology adoption. Additionally,
326 retail service providers often attempt to influence consumers through direct switching incentives
327 (Andrews, Benedicktus, & Brady, 2010), which is not accounted for the in UTAUT model. Thus,
328 there is a gap in the research in two specific areas. The first area is the lack of research into
329 switching behavior, rather than the initial adoption behavior. The second is in the specific context of
330 retail channel choice in today’s market, which include aspects not considered in the original
331 formulation by Venkatesh, et al. (2003). This study attempts to fill these gaps.
332 The purpose of this research is to examine consumer switching intentions from existing retail
333 channels (brick and mortar and e-commerce) of retailers they already interact with. It applies an
334 extended Unified Theory of the Adoption and Use of Technology (UTAUT) to examine switching
335 intentions.
336
337 2. Literature Review
338
339 2.1 Mobile commerce switching behavior
340
341 This research is mainly concerned with mobile commerce channel switching behavior. Consumer
342 channel switching refers to the consumer’s choice of another sales channel from the same or
343 different retailer for the same product (Pookulangara, Hawley, & Xiao, 2011). For example,
344 consumers may choose to purchase a given product either from an online store or the associated
345 physical retail store. Consumers may also engage in channel switching between retailers; for
346 example, using one retailer’s physical store to examine a product and then buying it from another
347 retailer’s electronic commerce site (Heitz-Spahn, 2013). For the purposes of this research, we
348 examine consumer retail channel switching from either physical or non-mobile e-commerce
349 channels to mobile commerce, but do not address the question of free-riding (purchase from
350 another retailer). It also only focuses on goods that could be purchased through multiple channels,
351 excluding mobile purchases such as streaming entertainment or in-app purchases designed for use
352 with a mobile device. This study does not address information channel switching, given that
353 consumers may use varied information channels already, including online and mobile channels
354 (Solomon, Bamossy, Askegaard, & Hogg, 2013).
355 There are several reasons consumers may engage in channel switching. Consumers may
356 already be comfortable in a multi-channel shopping environment and may have strong
357 requirements for cost, convenience or selection (Heitz-Spahn, 2013). There may also be
358 sociodemographic factors, including income and age (Heitz-Spahn, 2013). The product
359 characteristics also influence channel switching (Maity & Dass, 2014). For example, e-commerce
360 and in-store shopping experiences offer more detail and information about the product, and are
361 often preferred for complex shopping choices (Maity & Dass, 2014). Firms may also differentiate
362 pricing between channels to encourage consumers to switch channels, which could have an effect
363 (Kauffman, Lee, Lee, & Yoo, 2009). However, this strategy may not be ideal since this can result in
364 cannibalization of existing customers, rather than increasing market share (Falk, Schepers,
365 Hammerschmidt, & Bauer, 2007).
366 Channel switching is not a problem per se for retailers undertaking a multi-channel or omni-
367 channel retailing strategy, whose aim is to enable shoppers to buy, service, and return products
368 seamlessly between all channels (Verhoef, Kannan, & Inman, 2015). Retails that pursue the omni-
369 channel strategy, in particularly, have made a strategic choice of offering consumers the option to
370 use any channel (Verhoef, et al., 2015). However, this does not mean that the consumer’s channel
371 choice or channel switching intention or behavior is meaningless for the firm. using online channels
372 have lower costs to serve (the amount making a sale costs the company) and they may have
373 increased revenues (spending more with the company) (Gensler, Leeflang, & Skiera, 2011;

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374 Verhoef, Kannan, & Inman, 2015). Furthermore, multichannel customers are likely to have a higher
375 consumer value than single-channel customers (Neslin & Shankar, 2009). At the same time, the
376 multichannel retailer faces challenges such as supply chains for different channels and integrated
377 marketing campaigns that make sense in this context (Neslin & Shankar, 2009). Thus, even if
378 retailers encourage their consumers to switch channels seamlessly, it is still helpful for them to
379 understand why consumers switch and how this influences their switching behavior.
380 This research examines distribution channel switching intentions at the pre-purchase stages.
381 A consumer intention can be briefly defined as a decision to undertake a specific behavior, which is
382 then translated into a consumer behavior (Kardes, Cronley, & Cline, 2011). The intention to study
383 consumer intentions was made because it is more difficult to study actual behaviors, which can vary
384 and may be diverted (for example through lack of resources or because the consumer changes
385 their mind) (Ajzen, 2008). The pre-purchase stage of consumer decision making consists of a
386 process of need identification and alternative identification, comparison, and selection, leading to
387 the purchase stage of action (Kardes, et al., 2011). While omni-channel retailing could lead to
388 continued consumer channel switching (for example, during returns or repairs) (Verhoef, et al.,
389 2015), this study focuses on the pre-purchase stage for the initial consumer decision to use the
390 mobile channel.
391
392 2.2 UTAUT model
393
394 The UTAUT model was proposed as an integrative model of user technology acceptance,
395 incorporating elements of eight previous conflicting models (Venkatesh, Morris, Davis, & Davis,
396 2003). The UTAUT model (Figure 1) incorporates four technology-related factors, including:
397 performance expectancy (what the user believes the technology will do); effort expectancy (how
398 difficult they expect it to be to use); social influence (social norms surrounding its use); and
399 facilitating conditions (factors that enable or disable technology use) (Venkatesh, et al., 2003). Of
400 these factors, performance expectancy, effort expectancy, and social influence are believed to
401 contribute directly to behavioral intentions, while facilitating conditions contribute directly to use
402 behavior (Venkatesh, et al., 2003).
403

404
405
406 Figure 1: The Unified Theory of Acceptance and Use of Technology (UTAUT)
407 Source: Adapted from Venkatesh, et al., 2003, p. 447
408
409 Tests of UTAUT have found it generally predictive of technology usage. For example, Venkatesh, et
410 al.’s (2003) original formulation testing found that it predicted about 69% of variance in technology
411 acceptance, compared to between 17% and 53% of the models it drew from. However, a meta-
412 analysis of the relatively small numbers of studies that have actually used this model has not had
413 as strong a result (Dwivedi, Rana, Chen, & Williams, 2011). These authors found that the predictive

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414 value of the model was closer to 50% for most studies (Dwivedi, et al., 2011). Thus, this model may
415 be used but it must be used cautiously.
416 Several previous studies have used the UTAUT to assess mobile Internet or mobile
417 commerce technology adoption, although none have examined mobile commerce channel
418 switching. One group of authors examined mobile Internet adoption in Taiwan (n = 343), using a
419 structural equation modeling (SEM) approach (Wang & Wang, 2010). They found significant
420 influences of all factors except perceived playfulness (a model extension), with a high predictive
421 value for behavioral intention (R2 = 0.650). They concluded that the UTAUT model, with appropriate
422 extensions, could explain the adoption of mobile Internet (Wang & Wang, 2010). An extended
423 UTAUT model was also used in a study of Saudi Arabian consumers and their intention to adopt
424 mobile commerce (n = 574) (Alkhunaizan & Love, 2012). These authors added trust in the
425 technology and cost factors, and also studied demographics (age and gender). Their regression
426 analysis showed that performance expectancy was the most significant factor in adoption, followed
427 by cost and effort expectancy; social influence and trust were not significant (Alkhunaizan & Love,
428 2012). A study of Jordanian consumer acceptance of mobile commerce (n = 447) had slightly
429 different findings (Jaradat & Al Rababaa, 2013). These authors’ SEM analysis showed that social
430 influence was the strongest factor, followed by effort expectancy and performance expectancy
431 (Jaradat & Al Rababaa, 2013). These studies show that there is still conflicting information about
432 factors in consumer choice of mobile commerce, which could result from different demographic,
433 cultural or technological contexts. However, application of UTAUT remains relatively rare, as noted
434 by Dwivedi, et al. (2011). This leaves an opportunity for the present research to contribute to
435 understanding mobile commerce acceptance.
436 The elements of the UTAUT model are used as the basis for the first three hypotheses, which
437 are proposed in line with previous findings on the adoption of mobile commerce. Facilitating
438 conditions are excluded because actual use is not tested. These hypotheses are stated:
439 Hypothesis 1: Performance expectancy of mobile commerce is positively associated with
440 channel switching behavior.
441 Hypothesis 2: Effort expectancy of mobile commerce is positively associated with channel
442 switching behavior.
443 Hypothesis 3: Social influence is positively associated with channel switching behavior.
444
445 2.3 Extended Framework
446
447 Previous studies utilizing the UTAUT have routinely extended the framework in order to allow for a
448 more contextually appropriate application. This research also develops an extended framework,
449 with some aspects taken from previous UTAUT studies and others being specific to the online
450 commerce situation.
451
452 2.3.1 Online social support
453
454 The first factor included in the UTAUT-based model is online social support. Online social support
455 can be defined as evidence of positive social support in an online context (Lin & Anol, 2008). Lin
456 and Anol (2008) examined online social support as a factor in online learning adoption,
457 operationalizing it as use of instant messaging (IM) services. The authors found that it did
458 contribute to behavioral intention to use online learning, but did not play a role as a facilitating
459 factor. In the context of mobile commerce, online social support may be more appropriately
460 operationalized as exposure to online reviews, which provide both practical product information and
461 social support signals (Sun, Youn, Wu, & Kuntaraporn, 2006). These reviews are commonly
462 defined as electronic word of mouth (EWOM), which provides social support for the purchase
463 decision and provides information from a trusted source (Kardes, et al., 2011). A previous study on
464 Internet users in Japan found that mobile commerce users’ provision of word of mouth (WOM) was
465 more likely to be driven by social intention and social cognition, implying a potentially more
466 important role for online social support than users of other electronic commerce channels (Okazaki,
467 2009). Electronic word of mouth (EWOM) is distinct from word of mouth (WOM) are different

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468 because EWOM is not typically built on personal knowledge and trust of the recommender, but
469 instead on the reputation of the recommender (for example upvotes) and the clarity and relevance
470 of information provided (Goldsmith, 2009). These studies provide evidence that online social
471 support may be an important factor in mobile commerce channel switching. Furthermore, online
472 social support (EWOM) is distinct from generalized social support for adoption of technology.
473 Therefore, the fourth hypothesis is:
474 Hypothesis 4: Online social support is positively associated with mobile commerce channel
475 switching.
476
477 2.3.2 Convenience
478
479 One of the factors that sets mobile commerce apart from other forms of e-commerce or brick and
480 mortar commerce channels is convenience, which refers to the ease with which the consumer can
481 make the purchase (Solomon, et al., 2013). Convenience may occur in space, time, or difficulty
482 dimensions (Solomon, et al., 2013), and to some extent all three of these dimensions apply here.
483 Consumers typically have access to their mobile devices at any time and do not need to be located
484 in a particular place to use them. A model of mobile commerce adoption proposed for the Chinese
485 market based on an extended UTAUT argued that convenience would be a significant factor in
486 behavioral intention to use mobile commerce (Min, Ji, & Qu, 2008). Specifically, convenience and
487 cost were the factors that were identified as facilitating conditions in actual use (Min, et al., 2008).
488 For this study, these two factors are differentiated, since convenience and cost may have different
489 influences. Min, et al. (2008) did not empirically test their model of mobile commerce adoption.
490 However, other studies examining the topic have identified convenience as a potential factor. For
491 example, one study examined mobile commerce using a modified Technology Acceptance Model
492 (TAM) framework (Wu & Wang, 2005). (The TAM is one of the eight technology adoption models
493 incorporated into the UTAUT (Venkatesh, et al., 2003).) The authors identified convenience as part
494 of the benefits of using mobile commerce. However, this study is old enough that the underlying
495 technology has changed; for example, many more consumers now have smartphones, while in Wu
496 and Wang’s (2005) study most users only used their phones as a convenience tool. A more recent
497 study also incorporated a revised TAM, this time with the extension of uncovering gender
498 differences (Okazaki & Mendez, 2013). These authors found that perceptions of convenience of
499 mobile commerce were influenced by intrinsic attributes (portability and interface design,
500 contributing to usability), and external attributes (simultaneity, speed, and searchability of mobile
501 commerce) (Okazaki & Mendez, 2013). Once again, however, this research did not follow through
502 completely, since the authors did not then study the effect of convenience on usage intentions.
503 Thus, the literature surrounding convenience of mobile commerce is mixed. While many authors
504 have made theoretical arguments regarding the relationship of convenience to usage intentions for
505 mobile commerce, the actual empirical evidence is limited. To help fill that gap, convenience is
506 added as an extension to the UTAUT model as follows:
507 Hypothesis 5: Convenience is positively associated with mobile commerce channel switching.
508
509 2.3.3 Direct switching incentives
510
511 The third extension of the UTAUT model is direct switching incentives. A switching incentive is
512 something offered to the consumer by the retailer in order to encourage the consumer to switch
513 suppliers, products or sales channels (Andrews, Benedicktus, & Brady, 2010). For example,
514 communications service providers routinely offer discount bundles in order to encourage
515 consumers to switch from competitors, or cash incentives to lower switching costs (Andrews, et al.,
516 2010). In terms of earlier models of consumer adoption of mobile commerce, the switching
517 incentive can be viewed as reducing the cost associated with switching from other channels to the
518 mobile channel (Min, et al., 2008). This research examines two possible types of switching
519 incentives, including referrals from existing customers and discount promotions. Mobile user
520 referrals may be encouraged as part of word of mouth campaigns to access existing user’s social
521 networks and provide social proof for the service (Okazaki, 2008). This study did find that WOM

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522 information channels (user referrals) influenced attitudes and behaviors (Okazaki, 2008). Discounts
523 have not been tested directly, but as cost-lowering promotional strategies are potentially supported
524 by Min, et al.’s (2008) theoretical extended framework. User referrals and discounts are different in
525 nature, as they do have a social element (Okazaki, 2008), while discounts typically do not.
526 However, referrals and discounts are often combined; for example, it is common to offer both
527 current and new customers a small discount for successful switching (Kumar, Peterson, & Leone,
528 2010). Thus, the effects of referrals and discounts could be difficult to distinguish, as both serve to
529 reduce switching costs and they may be used in combination (Kumar, et al., 2010). To determine
530 whether direct switching incentives do influence the behavioral intention to switch to mobile
531 commerce channels, the following hypothesis will be tested:
532 Hypothesis 6: Direct switching incentives (referrals and discounts) positively associated with
533 mobile commerce channel switching.
534
535 2.4 Research Model
536
537 The research model incorporates the UTAUT (H1 through H3) and three additional extending
538 factors, including online social support, convenience, and direct incentives (H4 through H6) (Figure
539 2). In addition, moderating variables of gender, age, and income level were included, on the basis
540 that demographic characteristics influence consumer decisions and availability of resources
541 (Kardes, et al., 2011).
542

543
544
545 Figure 2: Research model
546
547
548

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549 3. Methodology
550
551 3.1 Population and sample
552
553 The population of interest of this study was Thai consumers (age 20+). Following recommendations
554 on the sample size for SEM (Westland, 2010), a minimum sample size of 400 consumers was
555 established. The sample was selected using a convenience sample of online users, who were
556 recruited via announcements on Facebook and other social media sites. While an online sample
557 selection is not ideal in all situations because it is exclusionary (Sue & Ritter, 2012), in this case it
558 was acceptable because at least one online device would be required to engage in channel
559 switching anyway. To increase sample randomness, a snowball technique was used, with
560 participants asked to pass the survey to others. The response rate is not known due to the open
561 recruitment strategy. However, a total of 474 surveys were submitted, but 56 surveys were
562 excluded because they were not finished, leading to a completion rate of 88.2%. The final sample
563 size (n = 418 consumers) exceeded the minimum.
564
565 3.2 Measurement
566
567 The online survey (Attached in the Appendix) was based on previous instruments (Venkatesh, et
568 al., 2003; Lin & Anol, 2008), with some items adapted from but not directly taken from previous
569 studies. Each of the factors and outcome variable was measured using five-point Likert scales, with
570 three items in each of the scales. All scales achieved α > 0.8, indicating no adjustment was needed
571 for internal consistency. Demographics and technology and mobile commerce usage information
572 was also collected. The outcome variable (Switching Intention) was measured using a scenario,
573 rather than a past purchase, because it had been previously determined that not all participants had
574 switched providers.
575
576 3.3 Data collection
577
578 Data was collected using a Google-based survey instrument designed by the researcher. The
579 instrument was available in both English and Thai, to allow respondents a choice of languages. The
580 instrument was tested for language invariance using a backward and forward translation strategy.
581 First, the researchers designed the survey in Thai, and then translated the survey into English. An
582 unrelated third party professional translator was then hired to re-translate the resulting English
583 questionnaire back to Thai, and the two resulting questionnaires were compared to ensure the
584 instruments were consistent. Adjustments were made as needed. Data collection was conducted
585 for a period of one month in 2016. Following survey closure, the English and Thai surveys were
586 combined into a single dataset.
587
588 3.4 Data analysis
589
590 Data analysis was conducted using SEM in SPSS AMOS, and outcomes were evaluated using
591 standard thresholds and interpretations as identified by Byrne (2016). Descriptive statistics were
592 also prepared for demographics and technology usage, which helps explain the characteristics of
593 the sample. Exploratory factor analysis (EFA) was conducted first, to refine the measurement
594 model. Confirmatory factor analysis (CFA) was then used to test the structural model.
595
596 4. Findings
597
598 The findings incorporate descriptive statistics of demographics and mobile commerce usage, along
599 with the presentation of the research model.
600
601
602

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603 4.1 Demographics and mobile commerce usage


604
605 The sample was slightly more female (52.4%) than male (47.6%), but the sample is not significantly
606 unequally distributed (χ2 = 0.957, p = 0.328). The sample was also noticeably young, with age
607 ranges including: 20-30 years (56.7%); 31-40 years (29.2%); 41-50 years (10.8%); and 51+ years
608 (3.6%). In terms of educational level, respondents were generally highly educated. Categories
609 included: less than Bachelor level (34.9%); Bachelor level (48.3%); and higher than Bachelor level
610 (16.7%).
611 Respondents were asked about communications technology access and use and use of
612 mobile commerce. Most of the respondents had desktop/laptop Internet access (87.1%), but more
613 had mobile (phone or tablet) access (92.1%). All had either desktop or mobile access, as this was
614 used as a screening question. Respondents were mainly moderate Internet users, with most using
615 the Internet (desktop or mobile) 3-4 hours a day (72%). A smaller number were heavy users (>4
616 hours a day) (15.6%) or light users (<3 hours) (12.4%). Just over half (55.3%) had used mobile
617 commerce at least once. Thus, the participants were relatively technologically capable and did not
618 have technology barriers to mobile commerce.
619
620 4.2 Reliability and validity
621
622 Scales were assessed for reliability and validity using several metrics (Table 1). These tests
623 included Reliability (CR > 0.7); Convergent Validity (AVE > 0.5); and Discriminant Validity (MSV <
624 AVE, ASV < AVE). As the results show, all scales met these characteristics.
625
626 Table 1: Reliability and convergent and discriminant validity of the scales
627
Scale CR AVE MSV ASV
PE 0.787 0.516 0.512 0.505
EE 0.736 0.591 0.524 0.561
SI 0.812 0.712 0.612 0.618
OSS 0.712 0.512 0.503 0.501
CO 0.767 0.612 0.518 0.520
DI 0.792 0.618 0.581 0.564
SWI 0.813 0.712 0.681 0.644
628
629 4.3 Research model
630
631 The completed research model (Figure 3) shows that all factors except direct incentives influenced
632 behavioral intention to use mobile commerce. The goodness of fit of the measurement model was
633 acceptable based on standard measures (GFI = 0.95, AGFI = 0.91, NFI = 0.95 CFI = 0.98, RMSEA
634 = 0.03, χ2/df = 1.62). Reliability and convergent and discriminant validity were also measured and
635 found to be appropriate (CR = 0.80, AVE = 0.65, MSV = 0.59, ASV = 0.51). Goodness of fit for the
636 structural model was similar to the measurement model (GFI = 0.92, AGFI = 0.92, NFI = 0.94 CFI =
637 0.97, RMSEA = 0.04, χ2/df = 1.55). Thus, the model was accepted as appropriately fitted to the
638 data and showing evidence of reliability and validity.
639 The overall predictive capability of the model was relatively good, though not perfect (R2 =
640 0.602). Five of the factors had significant relationships to switching intentions according to their
641 path coefficients, including Performance Expectancy, Effort Expectancy, Social Influence, Online
642 Social Support, and Convenience. However, Direct Incentives did not have a significant
643 relationship. Of these factors, Effort Expectancy had the highest path coefficient, followed by
644 Performance Expectancy and Social Influence. The outcome of these tests allow for the three
645 hypotheses associated with the core UTAUT model (H1, H2 and H3) to be accepted. Furthermore,
646 extended factors including Online Social Support (H4) and Convenience (H5) can also be accepted.
647 However, Direct Incentives (H6) cannot be accepted. Of the three moderating variables assessed,
648 only gender had a small significant effect on Switching Intentions, with age and gender insignificant.

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649 The coding (0 = female, 1 = male) indicates that male participants have slightly higher switching
650 intentions than female participants.
651

652
653 Note: * p < 0.05 ** p < 0.01 *** p < 0.001
654
655 Figure 3: Research model and path coefficients
656
657 5. Discussion
658
659 The results of this research supported the UTAUT model in the situation of channel switching from
660 other retail channels to mobile commerce. In particular, the influence of effort expectancy and
661 performance expectancy was high, although social influence was less important. Online social
662 support and convenience were additional factors that influenced channel switching, although direct
663 incentive was not a significant factor. These results are not surprising given the state of the
664 evidence for each of these factors.
665 The evidence for application of UTAUT to the adoption of mobile commerce is well supported
666 by existing studies, which have generally shown it to be a reliable model for this decision,
667 particularly when extended with context-specific variables (Alkhunaizan & Love, 2012; Jaradat & Al
668 Rababaa, 2013; Min, Ji, & Qu, 2008; Wang & Wang, 2010). These findings also support the UTAUT
669 model, but are not strictly a replication of previous studies. The adoption of mobile commerce is in
670 many cases not just a neutral channel choice or the only channel from which something can be
671 obtained (except intangible mobile goods and services like streaming audio and video or in-app
672 purchases). Instead, mobile commerce is typically a consumer decision to switch channels from in-
673 store retail or other forms of e-commerce. This is often a deliberate choice by retailers who
674 establish multi-channel or omni-channel marketing strategies to try to capture more of the market or
675 to increase consumer convenience (Maity & Dass, 2014). The evidence on consumer channel

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676 switching is limited, and this is a question that needs more development in the literature. However,
677 even though the UTAUT model has been under-utilized in mobile commerce adoption and channel
678 switching (as it has in other technology adoption studies according to Dwivedi, et al. (2011)), this
679 research supports its reliability for explaining the consumer channel switching decision.
680 The extensions of the UTAUT model met with varying success. All three of the extended
681 factors had lower path coefficients, contributing less to the outcome of behavioral intention to switch
682 to mobile commerce than the core UTAUT factors. However, online social support and convenience
683 were significant. The importance of online social support was identified by a previous study in
684 online learning (Lin & Anol, 2008), but has not been applied directly to the choice of online
685 commerce channels or channel switching questions. However, previous studies have identified
686 relationships between mobile WOM and social support (Sun, et al., 2006; Okazaki, 2009). Thus,
687 this factor did deliver the expected value, although the role of online social support does still need
688 to be clarified. Convenience was also an obvious factor in mobile commerce adoption and channel
689 choice, since it is a significant issue of technology access (Min, et al., 2008). Other studies have
690 also identified convenience as a possible factor in mobile commerce choice, although these studies
691 have not actually empirically tested the factor (Okazaki & Mendez, 2013; Wu & Wang, 2005). Thus,
692 this research contributes by testing the importance of convenience to mobile channel switching.
693 The final factor of direct incentives was not significant in the model. This factor was included
694 following Min, et al.’s (2008) identification of cost as a factor in mobile commerce adoption, as well
695 as the popularity of such incentive offers as an attempt to encourage channel switching or channel
696 choice (Andrews, et al., 2010). It is possible that direct incentives are more important for some
697 categories of mobile commerce or for some users than others. This would be consistent with earlier
698 studies, which have identified differences in consumer demographics and technology usage
699 (Chong, 2013; Maity & Dass, 2014).
700
701 6. Conclusion and Recommendations
702
703 In conclusion, the UTAUT model, along with online social support and convenience, can be used to
704 partially explain consumer channel switching to mobile commerce from other retail channels. This
705 finding is important because relatively few studies have explored channel switching to mobile
706 commerce, even though it is acknowledged to be a potential problem for retailers whether
707 consumers are switching between their own channels or those of their competitors (Falk, et al.,
708 2007; Heitz-Spahn, 2013). This is a general problem in the literature of technology adoption, with
709 few studies addressing why or how technology users may change from one technology to another.
710 There is also limited information in the literature about why consumers choose to switch channels
711 with the same retailer. Thus, this is a contribution to the theoretical literature on consumer behavior,
712 which will become more important as retailers move toward multi-channel or omni-channel
713 strategies. This shift has not happened for many industries in Thailand, with many retailers
714 operating strictly in one channel, but given the speed of technology adoption - especially mobile
715 shopping – it cannot be far behind. Thus, the findings are also important because of its implications
716 for retailers. Many retailers have adopted a multi-channel or omni-channel retailing approach in
717 order to increase their mobile market penetration and take advantage of mobile consumer
718 opportunities (Maity & Dass, 2014). Despite the increasing availability of mobile commerce,
719 consumers have remained unwilling to switch, with a relatively slow adoption rate in many markets
720 including Thailand. This research shows that there are no technological barriers to mobile
721 commerce adoption, and in fact there is strong evidence that the social situation and convenience
722 of the mobile channel could encourage adoption. Furthermore, the lack of significant relationship to
723 direct incentives suggests that non-price barriers are in place. Thus, if the adoption of mobile
724 commerce remains low, consumers must not have positive perceptions of mobile commerce’s
725 performance or may consider the effort to use the channel too high. This is supported by
726 observations about the current state of mobile commerce, which is that mobile commerce sites and
727 solutions are often difficult to use, technologically complicated, and actually present barriers to the
728 user (Meola, 2016). Thus, if firms want to encourage mobile commerce, they need to improve the
729 underlying technological functionality and usability, rather than try to promote social acceptance or

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730 use financial incentives. This could include, for example, ensuring that mobile commerce sites do
731 work consistently on different technological platforms and using cleaner, less difficult designs for
732 their mobile websites. However, the significant social barriers to adoption also mean that retailers
733 need to work harder to communicate with consumers about the benefits of mobile shopping and
734 ensure that they are really prepared to deliver with an omni-channel strategy. These strategies will
735 help to ensure that consumers are infromed about the omni-channel strategy and what it can offer
736 them, which would increased the perceived risk of shopping online via mobile apps.
737 This research provides novelty in that it is one of the few studies to examine consumer
738 channel switching to mobile commerce. However, it is also limited in several important ways. The
739 research only included Thai consumers, who have particular technological contexts and a specific
740 retail environment. It also was conducted as a cross-sectional study, which limits the insights into
741 changing conditions. There are clearly more opportunities available for research into retail channel
742 switching, and this research is likely to become more important as the number of available retail
743 channels proliferates. This area of research is likely to be of signfiicant concern to retailers adopting
744 omni-channel marketing strategies and should be prioritized.
745
746 References
747
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817
818 Appendix: Questionnaire
819
820 Table 2: Questionnaire items
821
Reliability
Scale (Item) Statements
(α)
• Shopping online gives me the same choice as shopping in stores. (PE1)
Performance
• If I shop online I will receive my goods fast enough to suit me (PE2) 0.832
Expectancy (PE)
• Shopping online meets my needs (PE3)
• Shopping online is easier than shopping in stores (EE1)
Effort Expectancy
• Shopping online is not hard (EE2) 0.871
(EE)
• I can shop online without difficulty (EE3)
• My friends influence my shopping habits (SI1)
Social Influence
• My family influences my shopping habits (SI2) 0.803
(SI)
• I ask people about where I should buy things (SI3)
• I read reviews online for products I buy (OSS1)
Online Social • I ask for feedback online about where I should buy products I want (OSS2)
0.912
Support (OSS) • Reading about other people’s purchases helps me make up my mind about shopping online
(OSS3)
• I can shop online anywhere (CO1)
Convenience (CO) • I can shop online anytime (CO2) 0.807
• I can find what I want online easily (CO3)
• When my friends offer referrals to online shops I try them (DI1)
Direct Incentives
• Discounts can make me consider changing where I shop (DI2) 0.901
(DI)
• Reducing the cost of changing shops makes me more likely to shop somwehre new (DI3)
Scenario: A store where you currently shop in store to buy food and housewares, has just
opened up online shopping for all their products. You can now buy and return products both
Switching online and in stores, with no difference between them. What is your response?
0.932
Intentions (SWI) • I am likely to try the online shopping (SWI1)
• I am eager to try online shopping (SWI2)
• I would consider online shopping at this store (SW3)
822 Note: All items assessed on a five-point Likert scale: 1 = Completely Disagree, 5 = Completely Agree

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Research Article

© 2017 Noppanon Homsud.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
823
824
825 The Effect of Residents’ Attitude toward Tourism on their
826 Pro-Tourism Behaviour: A Case Study of Hua-Hin Prachubkirikhan
827
828 Noppanon Homsud
829
830 Department of Marketing,
831 Faculty of Management Science,
832 Silpakorn University
833
834 Doi: 10.1515/mjss-2017-0050
835
836 Abstract
837
838 This study focused on the impact of attitude toward tourism on pro-tourism behaviour. The social
839 exchange theory and theory of reasoned action were used to support this model. This study constructed
840 a model for testing the relationship among welcome tourists behaviour, perceived local economy,
841 personal benefit, attitude toward tourism, and pro-tourism behaviour. Empirical testing was used for
842 observing the effect of the model. The sample comprised 408 people from Hua-hin Prachubkirikhan,
843 who were selected by convenience sampling. The research instrument was a questionnaire that was
844 divided into the following 4 parts: general data, perceived tourism impact (welcome tourists behaviour,
845 perceived local economy, and personal benefit), attitude toward tourism, and pro-tourism behaviour.
846 Statistical analysis methods included frequency, percentage, mean, standard deviation, and structural
847 equation modelling. All the hypotheses were supported, indicating a significant positive effect of attitude
848 toward tourism on pro-tourism behavior.
849
850 Keywords: Attitude toward tourism, Pro-tourism behaviour, Thailand, Residents’ effect
851
852
853 1. Introduction
854
855 The weakening of old-fashioned industries such as agriculture, farming, pottery, fishery, cultivation,
856 or handicraft has led many countryside societies to seek substitute economic systems for earning
857 through tourism to reinforce the strength of community development. Community-based tourism
858 has become a possible choice for developing tourism in traditional rural areas to achieve economic
859 benefits for local residents. However, the expansion of sustainable tourism is problematic if the
860 residents in the area do not support or contribute to activities, evidenced by behaviours such as not
861 welcoming tourists or cheating them. A government agency that plans to use tourism as an
862 alternative way to support its economic development must improve sustainable tourism to meet the
863 requirements, attitudes, and demands of its inhabitants (Lee, 2013).
864 The theory of reasoned action is an accepted theory on attitudes and predicted behaviours
865 (Ajzen and Fishbein, 1980). This theory explains that intentions and behaviours are a function of
866 the following three basic determinants: attitude toward the behaviour, subjective norm, and
867 perceived behavioural control (Ajzen, 2010). The social exchange theory, developed by Homans
868 (1958), Thibaut and Kelley (1959), and Blau (1964), is another theory that explains the effect of
869 attitudes on predicted behaviour. The social exchange theory, stemming from social psychology,
870 emphasises the perceptions of costs and benefits and their consequences to satisfaction.
871 Assessment is a significant section of social exchange, and it provides a standard against which all
872 relationships are evaluated. Comparative values are personal and subjective, and they differ across
873 individuals and groups (Ward and Berno, 2011). With reference to tourism, the social exchange

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874 theory suggests that individuals’ attitudes towards tourism and their support for development may
875 be influenced by the consequences of tourism for themselves and their communities (Andereck,
876 Valentine, Knopf, and Vogt, 2005)
877 Hua-Hin, which has a population of 95,769, is one of district in Prachubkirikhan Province. Hua
878 Hin is one of the most well-known tourist destinations among Thai tourists and visitors, partly
879 because its tourism has been promoted through various activities such as regattas, golf
880 tournaments, seminars, jazz music festivals, etc. Besides, Hua Hin is a place of all-year-long tourist
881 activities. For example, visitors can swim in the sea even in the monsoon because the wind is not
882 so strong. Visitors can visit Hua Hin very easily as it is only 180 kilometres away, on the south, from
883 Bangkok, the capital of Thailand, and it takes only 2 hours to reach Hua Hin from Bangkok
884 (Boonmeeseesanga, 2013).
885
886 2. Review Literature
887
888 2.1 Pro-Tourism Behaviour and Attitude toward Tourism
889
890 According to the social exchange theory, residents will support any activities tourism if they have a
891 good attitude to tourism. Based on this theory, if the residents recognize that they will receive
892 advantages from tourism without suffering costs, they will prefer to contribute to and participate in
893 community-based tourism development (Jurowski, Uysal, and Williams, 1997). Many previous
894 studies based on the social exchange theory have reported that if respondents perceive benefits,
895 they are significantly and positively likely to support tourism development. For instance, Nunkoo
896 and Ramkissoon (2011) studied this topic in Grand-baie, Mauritius; Choi and Murray (2010) studied
897 it in Texas, USA; Nicholas, Thapa, and Ko (2009) studied it in Soufriere, a small town on the
898 southwestern coast of the island of St. Lucia in the Caribbean; Kaltenborn, Andersen, Nellemann,
899 Bjerke, and Thrane (2008) studied it in Øyer and Vestre Slidre, in Southeast Norway; and Oviedo-
900 García, Castellano-Verdugo, and Martín-Ruiz (2008) studied it in Santiponce, a small community in
901 southern Spain. These findings suggest that residents in all contexts from both developed and
902 developing countries tend to support tourism if they have a good attitude towards the same.
903
904 2.2 Welcome Tourists Behaviour, Perceived Local Economy, and Personal Benefit
905
906 Ribeiro, Pinto, Silva, and Woosnam (2017) divided the antecedents of attitude and pro-tourism
907 behaviour into 3 factors; namely, welcome tourists behaviour, perceived local economy, and
908 personal benefit.
909 Woosnam and Norman (2010) proposed the emotional solidarity scale to explain the
910 relationship between residents and tourists. The scale consists of three factors; sympathetic
911 understanding, welcoming visitors, and emotional closeness. However, many researches such as
912 Woosnam (2011), and Woosnam and Aleshinloye (2013) used only welcoming visitors as a factor
913 to measure emotional solidarity scale.
914 Tourism also helps the economic development of the community. It brings in a major
915 percentage of the community’s income. It also creates jobs for the local residents and provides
916 opportunities for investment in infrastructure such as roads, rail, medical, and education. Moreover,
917 it can act as an incentive to create a place to preserve and regenerate urban and wildlife areas, and
918 promotes international links in the medium to long term. Stylidis and Terzidou (2014), and Gursoy,
919 Chi, and Dyer (2010) found that the perceived local economy can affect the attitude toward tourism,
920 while Dyer, Gursoy, Sharma, and Carter (2007) found that perceived local economy can affect the
921 support for tourism, which implies pro-tourism behaviour.
922 Tourism can generate benefits for residents both directly and indirectly, such as by improving
923 their quality of life or creating jobs for residents. Nunkoo and So (2016); Vargas-Sanchez, Valle,
924 Mendes, and Silva (2015); and Boley, McGehee, Perdue, and Long (2014) found that residents
925 who derive personal benefits from tourism have a more positive attitude toward it as compared to
926 others. Moreover, Boley, McGehee, Perdue, and Long (2014), and McGehee and Andereck (2004)
927 found that residents who derive personal benefits support tourism more than others do, which

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928 implies pro-tourism behaviour.


929 Based on the above discussion, the following 7 hypotheses were proposed:
930 H1:Residents’ welcome tourist behaviour has a positive effect on their attitude toward tourism.
931 H2:Residents’ perceived local economy has a positive effect on their attitude toward tourism.
932 H3:Resident’s perceived personal benefit has a positive effect on their attitude toward tourism.
933 H4:Residents’ welcome tourist behaviour has a positive effect on their pro-tourism behaviour.
934 H5:Residents’ perceived local economy has a positive effect on their pro-tourism behaviour.
935 H6:Resident’s perceived personal benefit has a positive effect on their pro-tourism behaviour.
936 H7:Resident’s attitude toward tourism has a positive effect on their pro-tourism behaviour.
937
938 3. Research Methodology
939
940 The target population in this study was the permanent residents of Hua-Hin, Prachubkirikhan (being
941 a resident of Hua-Hin, Prachubkirikhan for more than one year) who were 20 years old or older. A
942 sample size of at least 300 respondents was targeted based on the requirements of Structural
943 Equation Modelling (SEM) for a model with less than 7 constructs (Hair, Black, Babin, and
944 Anderson, 2010). The sample was selected by convenience sampling and the data were collected
945 using a Thai language questionnaire by an undergraduate student. The data were collected from
946 one person in each family. The final sample comprised 408 individuals.
947 The Thai language questionnaire comprised four main sections. The first section pertained to
948 general data, including gender, age, occupation, education level, household income, number of
949 members in the family, being engaged in work related to tourism, and number of years of residence
950 in Hua-Hin. The second part measured the perceived impact of tourism (welcome tourists
951 behaviour, perceived local economy, and personal benefit), using a Likert-type scale (1 = strongly
952 disagree to 5 = strongly agree). The 12 attributes to measure welcome tourists behaviour,
953 perceived local economy, and personal benefit were adapted from Choi and Sirikaya (2005), Wang
954 and Pfister (2008), and Woosnam and Norman (2010). The third part measured attitude toward
955 tourism using a Likert-type scale (1 = strongly disagree to 5 = strongly agree), and it comprised 6
956 attributes adapted from Nunkoo and Gursoy (2012). The last part measured pro-tourism behaviour.
957 The four attributes were adapted from Valle, Guerreiro, Mendes, and Silva (2011).
958 For testing the reliability and validity of the questionnaire, it was evaluated by three
959 professionals in tourism. Having received some recommendations on the validity, each question
960 was cautiously selected in terms of an Index of Item Objective Congruence (IOC) of more than 0.5.
961 A pilot test was conducted with 30 Hua-Hin residents. Overall, the questionnaire’s Cronbach’s
962 coefficient alpha was 0.877. As the alpha was closer to 1, the questionnaire was considered to
963 exhibit high internal consistency (Cronbach, 1951). Therefore, the questionnaire was used with the
964 final samples.
965 After checking for missing values, descriptive statistics were computed for the general data.
966 Subsequently, the relationships among welcome tourists behaviour, perceived local economy,
967 personal benefit, attitude toward tourism, and pro-tourism behaviour were tested using a
968 Confirmatory Factor Analysis (CFA). Structural equation modelling (SEM) was used to examine the
969 effect of welcome tourists’ behaviour, perceived local economy, and personal benefit on attitude
970 toward tourism; and that of welcome tourists’ behaviour, perceived local economy, personal benefit
971 to pro-tourism behaviour; and attitude toward tourism on pro-tourism behaviour. All analyses were
972 conducted using IBM SPSS Statistics 22 and IBM SPSS AMOS22 trial version. Model fit was
973 assessed using the following six indicators: χ2/df, goodness of fit index (GFI), adjusted goodness of
974 fit index (AGFI), root mean square error of approximation (RMSEA), comparative fit index (CFI),
975 and standardised root mean square residual (SRMR).
976
977 4. Results
978
979 1. Most of the participants of this study were female (69.61%), were aged 31–40 years (31.13%),
980 had a bachelor’s degree (76.23%), had a monthly income of 30,001–50,000 THB (about 875–1460
981 USD) (40.44%), had 4 members in the family (35.30%), were not engaged in work related to

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982 tourism (56.62%), and had resided at Hua-Hin for more than 5 years (63.73%) (see Table 1).
983
984 Table 1: General Data of the Sample
985
Demographic Frequency Percentage
(N = 400)
Gender Female 284 69.61%
Male 124 30.39%

Age 21–30 years old 77 18.87%


31–40 years old 127 31.13%
41–50 years old 88 21.57%
51–60 years old 65 15.93%
More than 60 years old 51 12.50%

Educational Level Lower Bachelor’s Degree 37 9.07%


Bachelor’s Degree 311 76.23%
Upper Bachelor’s Degree 60 14.70%

Monthly Income Lower than 20,000 THB 60 14.71%


20,000–30,000 THB 72 17.65%
30,001–50,000 THB 165 40.44%
50,001–100,000 THB 89 21.81%
More than 100,000 THB 22 5.39%

Number of People in Family Living alone 22 5.39%


2 People 84 20.59%
3 People 95 23.29%
4 People 144 35.30%
5 People 49 12.00%
More than 5 People 14 3.43%

Association with Tourism Yes 177 43.38%


No 231 56.62%

Length stay in Hua-Hin 1–2 years 51 12.50%


3–5 years 97 23.77%
More than 5 years 260 63.73%
986
987 2. The next phase of analysis examined the measurement model using CFA with the maximum
988 likelihood estimation method. Additionally, the reliability and validity of the questionnaire was
989 assessed using composite reliability (CR). A CR score higher than 0.70 is considered to indicate
990 high reliability (Nunnally and Bernstein, 1994). Further, factor loadings and Average Variance
991 Extracted (AVE) were used for validity measurement. Table 2 shows that all the factor loadings
992 were above 0.5 (Hair, Black, Babin, and Anderson, 2010). The AVE values have also been
993 presented in Table 2. The initial measurement model had CMIN/DF = 2.786, CFI = 0.905, GFI =
994 0.868, RMR = 0.026, and RMSEA = 0.066, while the adjusted model had CMIN/DF = 0.938, CFI =
995 1.000, GFI = 0.964, RMR = 0.015, and RMSEA = 0.000, which were acceptable values (Hair,
996 Black, Babin, and Anderson, 2010).
997
998 Table 2: The Measurement Model
999
Variables Loading Mean S.D. Skew Kurt
Welcome Tourists Behaviour (CR = 0.835 and AVE = 0.578)
The community benefit from having tourists 0.921 4.36 0.57 -0.39 0.21
Pride in having tourists come to the city 0.958 4.39 0.58 -0.52 0.20
Treat all tourists fairly 0.525 4.32 0.60 -0.43 0.08
Appreciate tourists’ contributions to the city 0.521 4.36 0.61 -0.47 -0.29

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Variables Loading Mean S.D. Skew Kurt


Perceived Local Economy (CR = 0.778 and AVE = 0.474)
Public agency should create more jobs in the city 0.668 4.35 0.71 -0.86 0.66
Willing to pay more expenses if the economy in the city is growing 0.719 4.37 0.72 -0.83 -0.05
Living standard is increasing because of tourism 0.702 4.35 0.69 -0.72 -0.08
Tourism is increasing the job opportunities for local people 0.644 4.35 0.73 -0.80 -0.15

Personal Benefit (CR = 0.735 and AVE = 0.410)


Personal economic factors depend on tourism 0.692 4.35 0.69 -0.76 0.14
Tourists help to pay taxes indirectly 0.580 4.40 0.73 -1.01 0.43
Household economic factors will be better by receiving more tourists 0.637 4.40 0.72 -0.93 0.12
Local people get economic benefits from tourism 0.649 4.36 0.61 -0.99 0.83

Attitude toward Tourism (CR = 0.865 and AVE = 0.515)


Create more jobs in the city 0.693 4.40 0.61 -0.50 -0.63
Attract more investment to the city 0.715 4.42 0.62 -0.58 -0.59
Lead to improvement of infrastructure 0.736 4.41 0.60 -0.44 -0.67
Increase of cost of living 0.684 4.42 0.59 -0.48 -0.66
Loss of traditional living 0.732 4.46 0.58 -0.49 -0.71
Damage to natural resources 0.747 4.42 0.61 -0.55 -0.60

Pro-tourism Behaviour (CR = 0.758 and AVE = 0.439)


Willingness to protect natural resources for tourism 0.664 4.37 0.64 -0.49 -0.66
Willingness to provide information to tourists 0.708 4.37 0.67 -0.57 -0.70
Willingness to promote the city as a tourist destination 0.620 4.37 0.67 -0.61 -0.70
Willingness to accept inconvenient situations to derive benefits from tourism 0.658 4.34 0.70 -0.58 -0.81
1000
1001 3. The hypothesized relationships among the study’s constructs were tested in the structural model
1002 with maximum likelihood estimation. The results indicated the adequacy of the structural model,
1003 with χ2 = 594.362 (sig. = 0.000), CMIN/DF = 2.942, CFI = 0.895, GFI = 0.859, RMR = 0.038, and
1004 RMSEA = 0.069, and of the adjusted model, with χ2 = 222.849 (sig. = 0.042) CMIN/DF = 1.185, CFI
1005 = 0.991, GFI = 0.954, RMR = 0.029, and RMSEA = 0.021 (Hair, Black, Babin, and Anderson,
1006 2010).
1007 These findings indicate that the hypothesized model had a good fit with the empirical data. As
1008 seen in Table 3, standardized coefficients of the seven hypothesized relationships were significant
1009 in the expected direction. Table 4–6 show the direct, indirect, and total effects of each relationship.
1010 Moreover, Figure 1 shows the adjusted calculated model, indicating that the seven hypothesized
1011 relationships were significant as expected.
1012
1013 Table 3: Standardized Coefficients for all the Study Hypotheses
1014
Hypothesis Relationship S.Est. t-stat
H1: Residents’ welcome tourist behaviour  Resident’s attitude toward tourism 0.216 3.307***
H2: Residents’ perceived local economy  Resident’s attitude toward tourism 0.379 6.231***
H3: Resident’s perceived personal benefit  Resident’s attitude toward tourism 0.321 5.360***
H4: Residents’ welcome tourist behaviour  Resident’s pro-tourism behaviour 0.227 3.123**
H5: Residents’ perceived local economy  Resident’s pro-tourism behaviour 0.200 3.084**
H6: Resident’s perceived personal benefit  Resident’s pro-tourism behaviour 0.143 2.255*
H7: Resident’s attitude toward tourism  Resident’s pro-tourism behaviour 0.239 2.913**
1015 *** sig. at 0.001, **sig. at 0.01, *sig. at 0.05
1016
1017 Table 4: Total Effects
1018
Attitude Pro-tourism
Welcome Tourism 0.216 0.279
Local Economy 0.379 0.291
Personal Benefit 0.321 0.219
Attitude 0.239

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1019 Table 5: Direct Effect


1020
Attitude Pro-tourism
Welcome Tourism 0.216 0.227
Local Economy 0.379 0.200
Personal Benefit 0.321 0.143
Attitude 0.239
1021
1022 Table 6: Indirect Effect
1023
Attitude Pro-tourism
Welcome Tourism 0.000 0.052
Local Economy 0.000 0.091
Personal Benefit 0.000 0.077
Attitude 0.000
1024

1025
1026
1027 Figure 1: The Adjusted Calculation Model
1028
1029 5. Conclusion, Implication, and Recommendation
1030
1031 This study revealed that attitude toward tourism affected pro-tourism behaviour positively. It was
1032 also shown that welcome tourists behaviour, perceived local economy, and personal benefit
1033 affected attitude toward tourism positively. Moreover, welcome tourists behaviour, perceived local
1034 economy, and personal benefit affected pro-tourism behaviour positively.
1035 The present finding that attitude toward tourism affected pro-tourism behaviour supports the
1036 findings of the studies conducted by Nunkoo and Ramkissoon (2011), Choi and Murray (2010),
1037 Nicholas, Thapa, and Ko (2009), Kaltenborn, Andersen, Nellemann, Bjerke, and Thrane (2008),
1038 and viedo-García, Castellano-Verdugo, and Martín-Ruiz (2008). The result that welcome tourists
1039 behaviour affected attitude toward tourism and pro-tourism behaviour supported the findings of the
1040 studies by Woosnam (2011) and Woosnam and Aleshinloye (2013). Similarly, in keeping with the
1041 findings of Stylidis and Terzidou (2014), Gursoy, Chi, and Dyer (2010), and Dyer, Gursoy, Sharma,
1042 and Carter (2007), the present study revealed that perceived local economy affected both attitude
1043 toward tourism and pro-tourism behaviour. Finally, the present results confirm the findings of

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1044 Nunkoo and So (2016), Vargas-Sanchez, Valle, Mendes, and Silva (2015), Boley, McGehee,
1045 Perdue, and Long (2014), and McGehee and Andereck (2004) that personal benefit affects attitude
1046 toward tourism and pro-tourism behaviour positively.
1047 The present results extend body of knowledge on tourism, especially on resident tourism. It
1048 also supports the use of the social exchange theory and theory of reason action to explain
1049 residents’ support for tourism. In this study, attitude toward tourism was found to mediate the
1050 relationship between pro-tourism behaviour and other factors. This finding suggests that support
1051 from residents can be improved by improving their attitudes toward tourism. The standardized
1052 coefficients revealed that improving residents’ perception of the economic benefits of tourism to the
1053 local economy and the personal benefits of the same can help improve their attitude toward tourism
1054 and increase their pro-tourism behaviour.
1055 Since resident support is important for community tourism development, government agencies
1056 can use the present results to emphasise on the attitudes of residents, such as by providing
1057 information about the benefits of tourism for residents, providing them opportunities to participate in
1058 tourism projects, or designing events that both residents and tourists can participate in together.
1059 There are many limitations in this study. Firstly, the study of attitudes should address both
1060 negative and positive attitudes, as done in the study by Ribeiro, Pinto, Silva, and Woosnam (2017).
1061 Second, this study was conducted in Hua-Hin, which is a prosperous city in Thailand. Future
1062 studies should be conducted in impoverished cities. Finally, the concepts of individualism and
1063 collectivism should be applied to this study because residents with different lifestyles or life attitudes
1064 could exhibit different attitudes and behaviour pertaining to tourism as well.
1065
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1124 Woosnam, K. M. (2011). Testing a model of Durkheim’s theory of emotional solidarity among residents of a
1125 tourism community. Journal of Travel Research, 50(5), 546-558.
1126 Woosnam, K. M., & Aleshinloye, K. D. (2013). Can tourist experience emotional solidarity with residents?
1127 Testing Durkheim’s model from a new perspective. Journal of Travel Research, 52(4), 494-505.
1128 Woosnam, K. M., & Norman, W. C. (2010). Measuring residents’ emotional solidarity with tourists: Scale
1129 development of Durkheim’s theoretical constructs. Journal of Travel Research, 49(3), 365-380.
1130

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This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
1131
1132
1133 Phenomenology of Unsustainable Sanitation in
1134 Developing Countries: Case Study Sedati, Indonesia
1135
1136 Suning
1137
1138 Lecturer of Urban and Regional Planning,
1139 Universitas PGRI Adi Buana Surabaya
1140
1141 Pungut
1142
1143 Lecturer of Environmental Engineering,
1144 Universitas PGRI Adi Buana Surabaya
1145
1146 Doi: 10.1515/mjss-2017-0051
1147
1148 Abstract
1149
1150 In coastal areas of developing countries including Indonesia, it still has some unsustainable sanitation
1151 issues. This condition is caused by several factors such as the social, economic, institutional and active
1152 role of coastal society toward environmental cleanliness. In 2009, the government through the PNPM
1153 Mandiri program had helped to build sanitation facilities in the form of communal latrines in coastal areas
1154 in Sedati Indonesia. But until now, these latrines have not been well utilized by coastal communities due
1155 to several factors. This study aims to evaluate the unsustainability of sanitation programs provided by
1156 the government. The analytical method used is descriptive qualitative with Grounded Theory approach.
1157 Data collection techniques which conducted are field observation, in-depth interviews, and
1158 questionnaires. The result shows that more than 50% of coastal communities do not use communal
1159 latrines as a place to defecate and clean themselves. It due to unhygienic toilet conditions, poor
1160 hygiene, lack of sanitary water, damaged toilets and the charges of using. Sustainability of sanitation
1161 can be pursued if there is synergy between the social, economic, institutional and the community's
1162 active role together to care about the importance of proper sanitation access.
1163
1164 Keyword: Grounded Theory, communal lantrines, coastal area, developing country
1165
1166
1167 1. Introduction
1168
1169 In 2015 - 2019, settlement sanitation programs are conducted to achieve the 100 - 0 - 100 target
1170 (100% access to drinking water, 0% slum areas, and 100% access to proper sanitation). Sanitation,
1171 especially latrines, is an environmental infrastructure system that is still a major requirement in
1172 coastal regions. BABS Behavior (carelessly defecation) still dominate in the area because there are
1173 no private or communal toilets in each family. Government programs have been done to provide
1174 communal latrines, but coastal communities have not utilized them optimally. Suning (2015) in his
1175 research explains that the Sedati coastal area in 2009 has been assisted by the government
1176 through the PNPM Mandiri program to build communal latrines, but the community has not utilized
1177 it well, even the physical building of communal toilet is now totally damaged due to unused and not
1178 maintained.
1179 According to Eremutha et al. (2016), sanitary conditions in coastal areas, Sedati, Indonesia
1180 has the same situation found in Nigeria. The lack access of sanitary facilities and cleanness leads
1181 to the high prevalence of diarrhea which is due to the economic depression in this country. In rural

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1182 sides of India, careless defecation is also becoming serious sanitary problem. It is approximately
1183 360 million people life without toilets in that country (O’Reilly et al, 2017). According to O’Reilly et
1184 al. (2017), the poor sanitation in India is caused by several factors such as lack of transportation
1185 hub, unstable power electric network, lack of health and education services and so on. Meanwhile,
1186 in Ghana, Ethiopia, people behavior in sanitation are more advanced than the other countries in
1187 Africa as well as in India. However, the toilet condition in Ghana is mostly dirty, untreated, and not
1188 properly functioned (Crockera et al., 2017)
1189 The lack access of toilet in some developed countries is still becoming major issue. Target of
1190 Sustainable Development Goals (SDGs) until 2030 regarding a proper sanitation has been
1191 becoming heavy agenda to all countries. This target becomes the second global agenda after
1192 Millennium Development Goals (MDGs) until 2015. The BPS Susenas 2011 report explains that
1193 Indonesia has reached 55.60% access to basic sanitation facilities. However, the achievement is
1194 still limited in accessing to latrines or toilets, not to the service access to quality sanitation which
1195 has the criteria, that is, the facility is still functioning properly, used by the allocation, and by health
1196 standards and technical standards have been established. Due to Bracken et al. (2005)statement
1197 that sustainable sanitation is a sanitation system in which the existence of sanitation will protect and
1198 improve human health, does not cause environmental degradation, and technically or institutionally
1199 appropriate, economical, and socially acceptable.
1200 This article delivers an essential early identification of sanitary behavior of coastal area people
1201 regarding their defecation facilities. The phenomenon revealed is important for determination of
1202 continual sanitation model in coastal areas in developing country. Therefore research on the
1203 existing sanitary problem will help government for establishing an appropriate policy to solve the
1204 issue. Hopefully, the wise policy on sustainable sanitation facilities would improve welfare of human
1205 living in coastal area.
1206
1207 2. Material and Methods
1208
1209 Suning, Hadi, Setiadi Soedjono, and Eddy (2012) studied socio-economic conditions and about
1210 sanitation behavior in coastal areas, especially five villages in Sedati sub-district, namely
1211 Kalanganyar, Cemandi, Gisik Cemandi, Banjar Kemuning and Segoro Tambak villages. The results
1212 showed that socio-economically coastal communities Sedati on average earn less than Rp.
1213 500.000, - every month with livelihood as a fisherman, fisherman’s assistant and the sea-bank
1214 keeper. The socio-economic conditions affect the desire to use communal latrines that are not free.
1215 The condition of 2017 shows socioeconomic of the coastal community of Sedati which average of
1216 income between Rp 1,000,000 to Rp. 1.500.000, - per month or equal to USD 90-130, has not
1217 reached the Sidoarjo’s minimum wage with that profession which is Rp. 3.050.000, - per month
1218 (USD 270). The five-year observation run by researchers from 2012 to 2017 has shown a shift in
1219 the improvement of the socio-economic outlook.
1220 From the results of questionnaires, in-depth interviews, and grounded theory observations,
1221 known the percentage of the population in the five villages that do not have private latrines. The five
1222 villages are Segoro Tambak Village with 15.38%, Banjar Kemuning village 42%, Gisik Cemandi
1223 village 14%, Tambak Cemandi village 71%, and Village Kalanganyar 35%. Communities in each
1224 village who do not have private latrines still use the sea-bank, ponds, seas and streams around
1225 their houses to defecate (BAB). If viewed from the current conditions, related to sanitation facilities
1226 and hygiene behavior from 2012 to 2017, there has been a better upgrading though not yet optimal
1227 until 80% access to sanitation is feasible.
1228
1229 3. Results And Discussion
1230
1231 3.1 Institutional Aspect
1232
1233 The institutional aspect in question is the institution that takes care of hygiene, in this case, is the
1234 communal toilet. In five coastal villages, communal toilets have been built by the government but
1235 not yet functioning because they are not utilized by the community for the needs of BAB and clean

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1236 themselves. Institutions that take care of sanitation facilities are necessary to maintain hygiene
1237 sustainability. In each coastal village, until now there is still no organization specifically to take care
1238 of health, especially sanitation facilities provided by the government, so there is no control or
1239 technical supervision for the maintenance of communal latrines. This situation affects the physical
1240 condition of unattended toilets, poor hygiene, lack of clean water, and the cost of use. From the
1241 questionnaire data given to 40 respondents in each village, in-depth interviews with selected
1242 respondents, and FGDs that have been done, some results are obtained. That is, the community in
1243 Kalanganyar village, with a percentage of 17.43% stated that the government has helped build
1244 communal latrines, but subsequently not actively providing intensive socialization to the community
1245 related to the maintenance and extension of sanitation so that the latrines have only lasted 2 to 3
1246 years.
1247 Meanwhile, the villagers of Tambak Cemandi Village, with a percentage of 12.30%, stated that
1248 so far the government has been actively helping the community about the availability of latrines
1249 although the socialization of the behavior of keeping and maintaining toilets is still small. While the
1250 Gisik Cemandi and Banjarkemuning Community, all respondents stated that the government had
1251 been actively supporting village programs including sanitation. Communal toilets built by the
1252 government are well utilized in Banjarkemuning village. The community in Segorotambak village,
1253 with a percentage of 29.72%, stated that the government has been active in assisting communities
1254 in the provision of sanitation, even though the latrine has not been utilized optimally. Based on the
1255 results of data analysis and experimental condition, it can be concluded that the government,
1256 related to sanitation, has assisted all villages in the coastal areas of Sedati District, although its role
1257 is passive. Institutions that take care of sanitation in all villages are still not formed, so it is important
1258 to establish them. Activities that can be done by this institution are as follows;
1259 1. Establish a sanitary management structure,
1260 2. Evaluate and re-check whether communal latrines are still functioning in each village,
1261 3. Create community empowerment programs related to sanitation functioning,
1262 4. Become an information center for the government related to sanitation
1263 5. Establish cooperation with government and NGO related to dissemination activities,
1264 counseling, and health promotion related to the importance of personal hygiene and
1265 environment.
1266
1267 3.2 Socio-economic aspects of society
1268
1269 Coastal communities, in general, have become part of a pluralistic society but still have a spirit of
1270 togetherness. It means that the average coastal community structure is a combination of urban and
1271 rural characteristics. That's why they can form a system and cultural values that are acculturation of
1272 each component that forms the structure of society. In general, coastal communities are livelihoods
1273 as fishermen, fishers assistant, and farm laborers. For the local community, fishers and fisherman's
1274 activities are firmly attached to a traditional culture that reflects a sense of community togetherness.
1275 Social conditions of society have hard and decisive characteristics. It because their lives depend on
1276 nature that is not always friendly. Thus, formed a tough character and ability on defending
1277 themselves.
1278 The social aspect of society is identical with the economic condition. In this case, modern
1279 economic thought argues that a dignified society can be realized in the form of welfare economics.
1280 It is a rational process of society from obstacles to progress. Progress towards achieving a level of
1281 personal and social well-being with a measure of living level, basic needs fulfillment, quality of life,
1282 and human development. Therefore, the concept of welfare economy towards personal and social
1283 welfare becomes a common goal, which one can do is to conduct this research (Sen, 2002). Also,
1284 Sen (1983) states that economic development refers to sustainability that promotes the standard of
1285 healthy living, human resource development, infrastructure, regional competitiveness,
1286 environmental sustainability, social inclusion, safety, literacy, and other initiatives. Specifically,
1287 economic development is more directed to a policy intervention effort with the aim of improving the
1288 economy and social welfare of the community through increasing market productivity rising in gross
1289 domestic product (GDP).

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1290 With livelihoods as fishers, fishermen laborers, pond farmers and pond keepers, the current
1291 economic condition of coastal communities is better than in 2012. Where the average monthly
1292 income is still much less than Rp.500.000, - and in 2017 the average income of the population has
1293 reached Rp 1,000,000, - to Rp.1.500.000, - per month. Empirically, this increasing affects people's
1294 behavior especially in maintaining environmental hygiene including sanitation practice.
1295
1296 3.3 Aspects of Service Delivery and Sanitation Utility
1297
1298 Sanitation, in general, refers to the provision of facilities and services for human waste disposals
1299 such as urine and feces. Sanitation is one of the necessary and indispensable services for every
1300 individual. Bracken et al. (2005) explains that providing an unsustainable sanitation system will only
1301 be a short-term solution that will inevitably cause long-term problems. One of the long run
1302 consequences of unsustainable sanitation is the presence of health problems. Tukahirwa, Mol, and
1303 Oosterveer (2011) also stated that the lack of community access to sanitation services would have
1304 an impact on human health and the environment. People in their lives must be fulfilled access to
1305 sanitation, that is, the environment not contaminated by Coli bacteria caused by human defecation
1306 because the impact of environmental pollution on human health and life affects nature
1307 conservation. Also, Van Minh and Nguyen-Viet (2011) state that policymakers and the general
1308 public have not fully understood the importance of a good sanitation solution. So that sanitation
1309 availability should be improved including the economic impact of sanitation, cost, and benefits.
1310 Katukiza et al. (2010) argue that sustainability of sanitation influenced by the active role of
1311 stakeholders, communities, and technologies provided.
1312 Communal latrines built by the government are still used by most of the people who do not
1313 have sanitation or private toilets at Rp.1000 - Rp. 2000 each time of use. However, daily usage
1314 begins to decline due to damaged communal conditions, discomfort, lack of latrine cleanliness and
1315 the distant location. These conditions trigger the community to choose another alternative that is by
1316 defecating in ponds and sea behind the house. Community awareness of the maintenance of
1317 sanitation facilities is critical for everyone to maintain their sustainability. There are still many people
1318 who are less concerned about the maintenance of latrines so that physically building latrines lasted
1319 for 2 to 3 years only. The lack of public awareness of sanitation facilities maintenance also
1320 influenced by inadequate toilet facilities, one of them is the provision of clean water. The location
1321 mapping and toilet condition nowadays are shown in Figure 1.
1322

1323
1324
1325 Figure 1. Latrines condition of in coastal areas and location mapping

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1326 3.4 Aspects of the Role of Communities in Sanitation Management


1327
1328 The community still assumes that the task of supervision and maintenance is by the government or
1329 the institution formed, so there is a tendency of the community not to conduct the monitoring and
1330 maintenance of the latrines that have been provided. As a result, sanitation infrastructure that has
1331 been built only become unused buildings because it is not managed and utilized optimally. People
1332 do not feel owned and take responsibility for the maintenance of infrastructure that has been built
1333 because they feel no part in it. Finally, they return to the old habits in sanitation, such as defecate
1334 (BABS) at sea or in ponds. Besides the lack of active community in participating in keeping and
1335 maintaining sanitation, the government has also been less active (passive) to provide intensive
1336 socialization to the community related to maintenance and extension of sanitation. Therefore, the
1337 government's active role in sanitation facilities is critical, both through its role in the provision of
1338 facilities, dissemination, counseling and health promotion related to the importance of personal
1339 hygiene and environment.
1340
1341 4. Conclusion
1342
1343 From the results of the analysis that has been done, concluded that several aspects could do the
1344 sustainability of sanitation in coastal areas. These aspects described below; (1) The institutional
1345 aspect, establishing the institutions in which sanitation is the main priority so that the facilities
1346 already provided can be efficient, (2) The social aspect of the community, improve the social aspect
1347 of the community through the improvement of the human resources quality. This improvement is
1348 fundamental to the sustainability of sanitation because Providing sanitation without any social
1349 change of society; such facilities will not be well utilized. (3) The provision and sanitation services
1350 aspect. This aspect requires a good integration between the government and the community which
1351 together commit in achieving proper sanitation for the community. (4) The community participation
1352 in sanitation sustainability management aspect. This aspect means of good cooperation between
1353 the government and the community regarding maintenance of sanitation facilities, increasing the
1354 government's active role in providing counseling and dissemination on sanitation behavior, and
1355 improving the community's positive response to the developed sanitation policies.
1356
1357 5. Acknowledgement
1358
1359 Acknowledgments to Kemenristekdikti who have funded this research through the Fundamental
1360 Grants of 2017, and thanks to PGRI Adi Buana Universitas Surabaya who has facilitated this
1361 research.
1362
1363 Reference
1364
1365 Bracken, P., Kvarnström, E., Ysunza, A., Kärrman, E., Finnson, A., & Saywell, D. (2005). Making sustainable
1366 choices–the development and use of sustainability oriented criteria in sanitary decision making. Paper
1367 presented at the Third International Conference on Ecological Sanitation (EcoSan): Proceedings.
1368 Crocker, J., Saywell, D., & Bartram, J. (2017). Sustainability of community-led total sanitation outcomes:
1369 Evidence from Ethiopia and Ghana. International Journal of Hygiene and Environmental Health, 220(3),
1370 551-557.
1371 Eremutha, F. A., TaiwoB, H., Sridhar Mynepalli, K., & Aluko Olufemi, O. (2016). Evaluation of Sanitary
1372 Conditions in Kuje Market in Abuja, Nigeria with Diverse Cultural Practices and Provision of a Dry
1373 Ecological Toilet System.
1374 Katukiza, A. Y., Ronteltap, M., Oleja, A., Niwagaba, C. B., Kansiime, F., & Lens, P. (2010). Selection of
1375 sustainable sanitation technologies for urban slums—A case of Bwaise III in Kampala, Uganda. Science
1376 of the total environment, 409(1), 52-62.
1377 O'Reilly, K., Dhanju, R., & Goel, A. (2017). Exploring “The Remote” and “The Rural”: Open Defecation and
1378 Latrine Use in Uttarakhand, India. World Development, 93, 193-205.
1379 Sen, A. (1983). Development: Which Way Now? Economic Journal, 93(372), 742-762. Retrieved from
1380 http://EconPapers.repec.org/RePEc:ecj:econjl:v:93:y:1983:i:372:p:742-62
1381

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1382 Sen (2002), Ethics And Economic: New Perspectives. Edited by Mark D. White, Professor Department of
1383 Political Science Economics and Philosophy Mark D White, Irene van Staveren.
1384 Suning (2015), Conceptual Model of Sustainable Sanitation and Water Supply for Coastal Economy
1385 Development. Dissertation Report of ITS, Surabaya
1386 Suning, S., Hadi, W., Setiadi Soedjono, E., & Eddy, R. (2012). Socio-Economic and Sanitation Issues at Coastal
1387 Sedati, East Java Based on Geographic Information System (Vol. 2).
1388 Tukahirwa, J., Mol, A., & Oosterveer, P. (2011). Access of urban poor to NGO/CBO-supplied sanitation and
1389 solid waste services in Uganda: The role of social proximity. Habitat International, 35(4), 582-591.
1390 Van Minh, H., & Nguyen-Viet, H. (2011). Economic aspects of sanitation in developing countries. Environmental
1391 health insights, 5, 63.
1392

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Research Article

© 2017 Odobo et.al.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
1393
1394
1395 Analysis of ECOWAS Institutional Framework for Conflict Management
1396
1397 Odobo, Samuel Osagie1
1398
1399 Andekin, Amos Musa1
1400
1401 Udegbunam, Kingsley2
1402
1
1403 Institute for Peace and Strategic Studies,
1404 University of Ibadan, Ibadan-Nigeria
2
1405 University of Nigeria, Nsuka, Enugu-Nigeria
1406
1407 Doi: 10.1515/mjss-2017-0052
1408
1409 Abstract
1410
1411 The Economic Community of West African States (ECOWAS) has evolved conflict management and
1412 security framework through which it responds to the myriads of socio-political crisis in the sub-region.
1413 This paper assesses the ECOWAS mechanisms for conflict management vis-à-vis the challenges facing
1414 the region. It begins by looking at the nature of conflict in West Africa; and then the evolution of
1415 ECOWAS conflict management framework. Using content analysis, the paper argues that ECOWAS has
1416 evolved a comprehensive conflict management and security framework and has made significant
1417 achievements in conflict management in the West African sub-region. It however, recommends
1418 peacebuilding efforts that address poverty, human rights abuses and election fraud as well as more
1419 synergy and political will to handle religious extremism in the sub-region.
1420
1421 Keywords: ECOWAS, conflict, security, conflict management framework, West Africa
1422
1423
1424 1. Introduction
1425
1426 The mantra of African solution to African problem gained greater currency in the years following the
1427 end of the Cold War (Albert, 2011). Before then, major happenings in the African continent were
1428 mired in the Cold War politics between the Soviet Union and the United States. During this period,
1429 African governments and rebel groups alike enjoyed the backing and support of the ideologically
1430 polarized super powers that were bent on undoing each other. Economic, financial, social and
1431 political aids flowed into the continent time and again as the US and the Soviet Union jostled to
1432 protect their strategic interests in the region. But with the end of the Cold War, the African continent
1433 was arguably left to fend for itself.
1434 The US, obviously the only super power remaining, in conjunction with other Western powers
1435 diverted their attention to Eastern Europe where former Soviet States were beginning to embrace
1436 capitalism. While the world celebrated the new found post-Cold War peace, many countries in
1437 Africa descended into armed conflict. The emergence of violent hostilities in the 1990s can be
1438 attributed to the withdrawal of super powers’ strategic interest in Africa following the end of the Cold
1439 War. The intensity and carnage that attended these conflicts, coupled with the inactions of the “big
1440 powers”, reinforced the need for an African solution to what was largely considered as an African
1441 problem. This necessitated sub-regional organizations such as the ECOWAS to intervene in
1442 countries such as Liberia, Sierra Leone, Guinea and Ivory Coast through its intervention force-
1443 ECOWAS Cease-Fire Monitoring Group (ECOMOG).

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1444 Ever since, ECOWAS have developed elaborate conflict management frameworks in dealing
1445 with the challenges confronting the sub-region. Though this is a bold attempt by an African
1446 institution to address problematic situations in the sub-region, the ECOWAS conflict management
1447 framework and its application have been marred by several challenges. For example, ECOWAS
1448 interventions have been characterized by a host of controversies including lack of United Nations
1449 Security Council authorization to enforce peace, weakness in decision making, accusations of
1450 hegemony by Nigeria, and so on. In addition, because of the dynamic nature of conflict in the
1451 region, there is need for a reassessment of established frameworks to be able to meet up with new
1452 and emerging challenges.
1453 This paper assesses the ECOWAS mechanism for conflict management vis-à-vis the
1454 challenges facing the region. It begins by looking at the nature of conflicts in West Africa, and then
1455 evolution of ECOWAS conflict management framework. It concludes by assessing its operational
1456 experience in conflict management.
1457
1458 2. The Nature of Conflict in West Africa
1459
1460 There is a rich body of literature on the causes of conflict in Africa. While it is true that Africa’s wars
1461 in general are the result of a mixture of structural economic, political, cultural and historical factors
1462 (Bakut, 2009; Edlyne, 2009; Osaghea, 2005; Albert, 2003; Bozeman, 1976). The root causes of
1463 conflicts in Africa are usually traceable to the colonial era when Europeans scrambled for territories
1464 with scant regard for ethnic boundaries (Richard, 2006). There is hardly any zone within the
1465 continent that cannot trace its conflict and instability to its colonial history. European colonialism
1466 along with its attendant historical legacies played a key role in causing, sustaining and aggravating
1467 all types of conflicts through the creation of artificial colonial boundaries, which led to state
1468 formations, but with little or no regard for ethnic and cultural identities that existed prior to their
1469 incursion into African territory. Other causes of conflict in Africa include military incursion into
1470 governance, ethnic deprivation, poor governance and ecological and environmental problems.
1471 The West African sub-region is not a homogenous zone. The region is made up of a variety of
1472 states in terms of territorial size, colonial history, economic strength, internal cohesion and external
1473 linkages. It comprises eight francophone countries (Benin, Burkina Faso, Cote d’Ivoire, Guinea,
1474 Mali, Niger, Senegal and Togo); five Anglophone countries (Gambia, Ghana, Liberia, Nigeria and
1475 Sierra Leone); and two Lusophone states (Cape Verde and Guinea Bissau).
1476 The defining features of this region are corruption, poverty, underdevelopment, political
1477 instability, electoral violence, arms proliferation, and military incursion in governance; drug
1478 trafficking, territorial disputes; problem of leadership, resurgence of religion and ethno-religious
1479 conflict, secessionist tendencies, and inability of the states to provide and/or guarantee security for
1480 the people. The most problematic area in the sub region has been the Mano River Region,
1481 comprising Liberia, Sierra Leone and Guinea, renowned for prolonged internecine wars (Odobo,
1482 2011). Besides, Ghana and Cote d’Ivoire reputed as citadels of political stability, have also had their
1483 fair share of internal political divisions; while Guinea, Nigeria and Mali have also experienced one
1484 form of instability or the other (Oloyede and Albert, 2010).
1485 Hence, while it can be argued that states in the West African sub-region are not
1486 homogeneous in terms of seize and endowment, they do have in common, cross-cutting features of
1487 insecurity associated with poverty, underdevelopment, conflict and crime both at the national and
1488 transnational levels with far-reaching implications. The point of emphasis is that the inability of
1489 many West African states to effectively secure the nation and manage domestic pressures has
1490 resulted to violent conflicts beginning with Liberia in 1989, Sierra Leone in 1991 and so on (Udofia,
1491 2010). The neighborhood effect of the conflict and the reluctance of the international community
1492 especially the “big powers”, compelled some regional leaders within ECOWAS to push for
1493 intervention in Liberia, and ECOWAS through its intervention force intervened to deal with the
1494 crises. This was a watershed in terms of sub-regional intervention in internal conflict despite the fact
1495 that ECOWAS was not originally established to perform conflict management role.
1496
1497

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1498 3. Evolution of ECOWAS Conflict Management and Security Role


1499
1500 ECOWAS was established on May 28, 1975 primarily to achieve an economic union. It was not
1501 originally designed to perform security role; its mandate was to promote trade, cooperation and
1502 economic development among its member states (ECOWAS, 1993). However, it was inevitable that
1503 the organization will perform this task given the incessant security challenges that befell the sub-
1504 region after its establishment such as the failed attempt in 1977 by some mercenary soldiers to
1505 over throw the government of the Republic of Benin allegedly sponsored by some African states;
1506 incessant border disputes and the problem of irredentism between Togo and Ghana, over the
1507 control of the Voltage Region; Togo’s accusation of Ghana and Burkina Faso of interfering in her
1508 internal affairs by steering up internal uprising against its government; territorial dispute between
1509 Mali and Burkina Faso resulting in armed conflict between the countries in 1985 and so on (NIIA,
1510 1985).
1511 These disturbing events not only stifled ECOWAS’ ability to pursue its economic development
1512 mandate, but led to serious deliberations on the need to ensure sub-regional security, stability, and
1513 peace. Consequently, ECOWAS adopted the Protocol on Non-aggression in 1978 and the Protocol
1514 on Mutual Assistance on Defence in 1981; two legal instruments that were meant to facilitate peace
1515 and political stability in the sub-region. The Protocol on Non-aggression directly addressed issues
1516 of inter-state conflicts within the sub-region and also promoted peaceful settlement of conflict
1517 between ECOWAS member states. The Mutual Assistance on Defence on the other hand called
1518 on ECOWAS member states to pull together their defense strategies at a regional level against
1519 threats of aggression within West Africa backed by external influences (Goldman, 2005).
1520 Although the two instruments are commendable in their quest to promote peace in the sub-
1521 region, they largely addressed conflicts arising from inter-state relations at a time when intra-state
1522 conflicts were fast escalating across the sub-region. These inadequacies and challenges
1523 necessitated a more comprehensive and encompassing conflict management framework that will
1524 address both intra and inter-states conflicts in the sub-region.
1525
1526 4. ECOWAS Mechanism for Conflict Prevention, Management and Resolution,
1527 Peacekeeping and Security
1528
1529 The genesis of the ECOWAS conflict mechanism can be found in the inadequacy of the previously
1530 existing Protocols to address with emerging security issues in the sub-region especially the conflicts
1531 in Liberia and Sierra Leone. Spillover effects of the conflicts had earlier led ECOWAS leaders to
1532 establish a Standing Mediation Committee (SMC) on May 9, 1990 which produced the ECOWAS
1533 Monitoring and Observation Group (ECOMOG) with a mandate to stabilize situations in both
1534 countries. Apart from the legality of ECOMOG intervention in Liberia being challenged, it
1535 encountered several challenges in its operations in what became a learning experiment for
1536 ECOWAS in sub-regional conflict management (Chikwem, 2007). Similar development in Guinea
1537 Bissau in the 1990s convinced ECOWAS that developing a mechanism for conflict management to
1538 address the shortcomings of the earlier protocols was important if sub-regional stability and
1539 development was to be realized.
1540 The Protocol Establishing the Mechanism for Conflict Prevention, Management and
1541 Resolution, Peacekeeping and Security was adopted by the ECOWAS Authority of Heads of State
1542 and Government in Lome, December 10, 1999. The Mechanism institutionalized a framework that
1543 would ensure wide consultation and inclusiveness of relevant stakeholders in managing issues that
1544 affect sub-regional security. The framework included organs such as the Authority of Heads of
1545 State and Government, Mediation and Security Council, the Executive Secretariat, Council of
1546 Elders, Defence and Security Commission. Others include Early Warning Observation and
1547 Monitoring System while ECOMOG was also incorporated into the Mechanism.
1548
1549 4.1 The Authority of Heads of State and Government
1550
1551 The Authority of Heads of State and Government is the apex decision making body according to the

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1552 Mechanism. However, Article 7 of the Treaty establishing the Mechanism gives the Authority the
1553 ability to delegate its powers to the Mediation and Security Council.
1554
1555 4.2 The Executive Secretariat
1556
1557 The body is saddled with the responsibility of daily administration of the organization. The head of
1558 the Secretariat is the Executive Secretary also regarded as the chief administrator of the
1559 Secretariat. However, the Secretariat was transformed into a Commission in January 2007. The
1560 ECOWAS Commission (as it is called) is headed by a President appointed by the Heads of State
1561 and Government of member states. He is also the Chief Executive Officer of the Community. The
1562 President of the Commission is assisted by a Vice and seven Commissioners. The headquarters is
1563 located in Abuja, Nigeria. The main task of the Commission is the promotion of socio-economic
1564 cooperation and political integration of member states.
1565
1566 4.3 Mediation and Security Council
1567
1568 The Council deliberates on all matters of peace and security on behalf of the Authority. It comprises
1569 nine member states out of which seven are elected by the Authority. The two other members are
1570 the incumbent chairman and the immediate past chairman of the Authority. Decisions in the Council
1571 are taken based on a two-third majority of votes. The Council officially took-off in May 2000 in
1572 Monrovia, Liberia (Bakhoum, 2010). The Council is a replica of the UN Security Council but it
1573 functions at a sub-regional level. It can meet at Ambassadorial, Ministerial or Heads of State and
1574 Government Levels.
1575 While the Committee of Ambassadors (made up of ten elected Member States) meet every
1576 month to review matters of peace and security, the Committee of Ministers of Foreign Affairs,
1577 Defence, Internal Affairs and Security meet at least once in three months to deliberate on general
1578 political and security situation in the region. Furthermore, the ten member Heads of State and the
1579 Mediation and Security Council meet at least twice a year and they have the final decisions on the
1580 appropriate policies or measures to be taken with regards to decisions that have been reached by
1581 the Mediation and Security Council. It also requires a two-third majority of votes to take a position.
1582 The Mediation and Security Council superintends over the activities of lower organs such as
1583 Defence and Security Commission. Like the UN Security Council, it has the authority to authorize
1584 all forms of intervention such as ECOMOG intervention. It does this after due consultations with the
1585 UN and AU about its decisions and it also has the power to appoint ECOMOG Commanders and
1586 review the mandates of any mission.
1587
1588 4.4 Defence and Security Commission
1589
1590 This Commission is made up of the Chiefs of Defence Staff of Member States of ECOWAS. Its
1591 function is to assess all technical issues and review logistical requirement for any peacekeeping
1592 missions. It is also the Commission’s job to assist the Mediation and Security Council in matters of
1593 organization and deployment of peacekeeping forces in the sub-region. Additionally, the body
1594 reviews reports from the various Observation and Monitoring Centres upon which it advises and
1595 recommends necessary steps to the Mediation and Security Council. Although the Commission
1596 meets once every three months, special sessions can be called when the need arises.
1597
1598 4.5 Council of Elders
1599
1600 The Council of Elders is constituted by the Executive Secretary to help the organization in the area
1601 of preventive diplomacy. The body is made up of eminent and prominent individuals especially past
1602 heads of state, renowned diplomats and religious leaders. They are called upon to utilize their
1603 good offices to intervene in conflicts and periods of political turbulence within or between member
1604 states as mediators, conciliators, or facilitators. The Council of Elders was inaugurated in July 2001
1605 in Niger. They have also been involved in election monitoring in countries such as Gambia, Sierra

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1606 Leone, and Togo as well as in countries outside the sub-region such as in Zimbabwe.
1607
1608 4.6 Early Warning Observation and Monitoring System
1609
1610 ECOWAS developed early warning system as part of its conflict prevention strategy. The
1611 Observation and Monitoring Centre (OMC) is the center of ECOWAS early warning system.
1612 ECOWAS partners with civil society actors such as the West African Network for Peace (WANEP)
1613 in order to enhance its data collection and analysis. However, civil societies only assist but have no
1614 presence in the decision-making structures. ECOWAS has four Observation and Monitoring Zones
1615 in West Africa coordinated by WANEP.
1616 These four zones have their capitals in Gambia (Banjul), Liberia (Monrovia), Burkina Faso
1617 (Ouagadougou) and Benin Republic (Cotonou). The function of these zones is to collect data on
1618 potential causatives of disputes or conflict triggers. They monitor trends and occurrences that have
1619 implications for peace and security. These includes small arms and light weapons movements,
1620 youth restiveness, smuggling, ethnic/local militias and emergent rebel groups; and transmit same to
1621 the OMC hub at the headquarters in Abuja.
1622
1623 4.7 ECOMOG
1624
1625 Although ECOMOG existed before the Mechanism was established, it was incorporated into the
1626 new conflict management framework because it is seen as a useful tool for maintaining peace in
1627 the region. ECOMOG – largely an ad-hoc military force consisting of land, air and sea components
1628 – was established by ECOWAS member states as a response to security problems that
1629 accompanied the civil war in Liberia in 1990. ECOMOG’s troops consist mainly of contingents from
1630 the armed forces of ECOWAS member states.
1631 ECOMOG has a command structure headed the Force Commander. The position of the Force
1632 Commander is closely followed by those of the Deputy Force Commanders who are also
1633 commanders of the various troop contingents from their home countries. The Force Commander of
1634 ECOMOG with his planning staff coordinates the activities of the various contingents, and together
1635 with the contingent commanders deal with common problems arising in the region. The central
1636 planning office is responsible for designating responsibilities in the mission area to individual
1637 contingent commanders, after observing due diligence in terms of assessment of their strength,
1638 instruction from their home government as well as the level of equipment, arms and ammunition
1639 that they have (Mitikishe, 2000).
1640
1641 5. Intervention
1642
1643 The ECOWAS conflict management framework provides for regional intervention in the event of
1644 political crisis in members states. In fact, ECOMOG has been adopted as the regional intervention
1645 force. Intervention became popular in the 1990s when ECOWAS deployed ECOMOG forces in
1646 Liberia to prevent Charles Taylor-led National Patriotic Front of Liberia (NPFL) from overthrowing
1647 the government of Samuel Doe. ECOMOG intervention can take the form of peacekeeping or
1648 peace enforcement. It can also monitor ceasefire agreements, and when the conflict parties who
1649 signed the ceasefire fail to abide by the terms of the agreement, such violations are taken into
1650 consideration to determine whether there is need for ECOMOG to intervene and compel the un-
1651 cooperating parties to respect the provisions of the ceasefire agreement. In other words, ECOMOG
1652 missions could change from peacekeeping to peace enforcement depending on the conditions on
1653 ground and it can again quickly convert from the latter to the former. Such was the case in Liberia
1654 and Sierra Leone where ECOMOG intervened as a peacekeeping force to protect government
1655 properties and civilian populations. The violence shown by the NPFL and the Revolutionary United
1656 Front (RUF) in both countries meant that intervention passed from peacekeeping to peace
1657 enforcement operation.
1658 Apart from Liberia and Sierra Leone, ECOMOG missions have also been deployed in Guinea
1659 Bissau (1998) leading to a ceasefire on 20th July 1998 followed by the Abuja peace agreement on

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1660 November 1, 1998. It also intervened in Cote D’Ivoire primarily to monitor the October 17, 2002
1661 ceasefire agreement (Woods, 2003). ECOMICI (ECOWAS Mission in Cote D’Ivoire) was made up
1662 of about 1,400 troops deployed from Senegal, Ghana, Benin, Togo, and Niger under Force
1663 Commander, Major General Abdoulaye Fall (Mitikishe, 2000). Following the UN Security Council
1664 vote on February 28 2004 in favour of integrating ECOMICI, the Mission was absorbed into the UN
1665 Operation in Cote D’Ivoire (UNOCI) which took effect from April 4, 2004.
1666
1667 6. ECOWAS Protocol on Democracy and Good Governance
1668
1669 With a view to strengthening the ECOWAS Mechanism which has become ECOWAS’ foundational
1670 sub-regional security framework, ECOWAS leaders in 2001 signed the Protocol A/sp/1/12/01/ on
1671 Democracy and Good Governance supplementary to the protocol establishing the mechanism for
1672 conflict Prevention, Management and Resolution, Peacekeeping and Security. The Supplementary
1673 Protocol is viewed as a robust instrument that takes into account the underlying (political) triggers of
1674 instability, conflicts and insecurity in West African states which were largely overlooked by the
1675 ECOWAS Mechanism (Lar, 2009).
1676 The protocol highlights the fundamental requirement for achieving democracy and peace in
1677 the sub-region with particular focus on respect for human rights, the rule of law, and government’s
1678 commitment to delivering good governance, free, fair and credible elections. It also highlights the
1679 importance of election monitoring and ECOWAS’ role in that regard. Additionally, it talks about the
1680 limited role that the armed forces, the police and other security formations have to play in a
1681 democracy. With regards to good governance and constitutional principles, it called for clear
1682 separation of powers between the three arms of government–Executive, Legislative and Judiciary;
1683 a guarantee of parliamentary independence and immunity; constitutional ascension to power; and
1684 the need for the armed forces to be apolitical and to be under the command of a legally constituted
1685 political authority. The Protocol also barred serving member of the armed forces from seeking
1686 elective political office. It recognized respect for freedom, civil and political rights as well as the
1687 importance of political parties to engage freely without encumbrances in all electoral processes.
1688 Importantly, the guarantee to the right of opposition is also stipulated (ECOWAS, 2001).
1689 Another important provision on the protocol is that “a substantial electoral law cannot be
1690 changed without the consent of a large majority of political actors within the six months preceding
1691 the election” (ECOWAS, 2001). This perhaps is a response to the history of unconstitutional and
1692 undemocratic ascension to political power in the sub-region since the 1990s. Thus, ECOWAS has a
1693 duty under the protocol, to ensure that elections in member countries are smooth running, free, fair,
1694 honest, and transparent.
1695 In addition, the protocol calls for member states to “eliminate all prejudicial, degrading and
1696 discriminating practices towards women, children and the youth” (ECOWAS, 2001). In other words,
1697 their well-being is proof of a democratic society that delivers development, economic prosperity and
1698 social peace. Basically, the whole goal of the protocol is to curb those factors that provoke crises
1699 and social instabilities which have been common in most cases of violent conflicts in the region
1700 over the years.
1701
1702 7. ECOWAS Conflict Prevention Framework (ECPF)
1703
1704 Problems relating to implementation of the preventive aspect of the 1999 Mechanism especially late
1705 response to crisis informed the establishment of the ECOWAS Conflict Prevention Framework
1706 (ECPF) in 2008. The goal of the conflict prevention framework is to ensure the creative
1707 transformation of conflict, diffusion of tensions and prevent conflict outbreak, escalation, spread or
1708 relapse. In other word, it involves institutionalizing measures to ensure that conflicts do not arise in
1709 the first place or if they do, that they do not reoccur. The emphasis according to the framework is
1710 not to prevent conflict per se (since conflict is a natural phenomenon), but to ensure that it does not
1711 escalate into violence. This involves identifying conflict triggers i.e. sudden events or accelerators
1712 that could spark a crisis which could in turn lead to violent conflict.
1713 It can be argued that the ECPF is a proactive alternative to ECOMOG. Rather than wait for

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1714 conflict to occur, escalate and become violent before intervention, the position should be to prevent
1715 the occurrence or recurrence of violent conflicts. This means that, military intervention should only
1716 constitute a measure of last resort. This would be done by initiating measures such as sustainable
1717 development and strengthening a culture of democracy and developmental reforms not only aimed
1718 at preventing socio-economic conditions from deteriorating, but also, actively pursuing
1719 peacebuilding in post-conflict countries over a period of time so as to forestall a relapse into conflict.
1720 The ECPF has components such as Early Warning, Preventive Diplomacy, Human Rights and
1721 the Rule of Law, Media, Democracy and Political Governance, Women, Peace and Security,
1722 Natural Resources and Governance, Peace Education etc. Critical to the ECPF is the early
1723 warning component which is designed to help ECOWAS member states predict the emerging
1724 conflicts and facilitate interventions to avert, diffuse or creatively transform such potential or latent
1725 conflict situations. To achieve the early warning objectives, the ECOWAS Early Warning and
1726 Response Network (ECOWARN), was reinvigorated.
1727
1728 8. Appraisal of ECOWAS Conflict Management Framework
1729
1730 ECOWAS successfully transformed from being an economic body into an eco-political union and
1731 took upon itself the task to perform conflict management, peacebuilding and security stabilization
1732 functions in the West African sub-region. That the body has had a huge influence on the West
1733 African sub-region with regard to conflict management and conflict resolution cannot be disputed.
1734 However, what remains controversial is whether its institutional framework for dealing with conflict
1735 has yielded maximum impact. In other words, is the ECOWAS conflict management framework
1736 effective enough in managing the current conflict triggers facing the region today?
1737 First, the ability or capacity for any organization including ECOWAS to undertake any security
1738 role can be found either in its constitutional provisions or the treaty establishing the body mandating
1739 that body to perform conflict management function or institutional mechanism through with such
1740 mandate can be exercised (Fanta, 2009). For ECOWAS, specific legal protocols have been
1741 adopted on how it intends to operate in peace and security affairs such as the Mechanism, the
1742 Democracy Protocol and the ECPF. However, the organization has neglected the need to adopt
1743 constitutional provision on these as the United Nations has done.
1744 It can be argued that ECOWAS has a relatively comprehensive institutional mechanism for
1745 dealing with conflict. For example, its decision to establish a peace organ attests to the fact that the
1746 organization is committed to sustainable peace in the sub-region. Either operating under Chapter VI
1747 or Chapter VII of the UN Charter, ECOWAS has shown to have considerable experience in
1748 peacekeeping, peacemaking and peace enforcement as its intervention in Liberia (1990-1998;
1749 2003); Sierra Leone (1997-2000); Guinea Bissau (1998-1999); Niger (2005-2010); Togo (2009-
1750 2010); Cote D’Ivoire (2002-2004, 2007, 2010-2011), and so on depicts. Arguably, ECOWAS has a
1751 clear mandate and a considerably strong organizational capacity for peacemaking, peacekeeping
1752 and peace enforcement.
1753 At the level of conflict prevention, ECOWAS Protocol on Democracy and Good Governance
1754 prescribes measures urging its member countries to respect democratic principles which would go
1755 a long way to ensure that unwanted conflicts do not arise. Although these measures have not
1756 entirely eliminated the problem of bad governance, coups and so on, they have helped to reduce
1757 threats to democratic governance and the negatives it can have on the sub-region. The ECPF is
1758 another good example of ECOWAS efforts to prevent conflict and promote regional stability. A
1759 central part of the ECPF is the recognition that development, peace, security, and democratic
1760 governance are fundamental to the development of the ECOWAS region. A crucial objective of the
1761 framework is to prevent the outbreak of violent conflict.
1762 In 2005, political events in Togo challenged the ECOWAS Protocol on Democracy. ECOWAS
1763 responded positively; unconstitutional ascension to power of Faure Eyadema was strongly
1764 condemned by ECOWAS. Togo was sanctioned, and suspended from participating in the ECOWAS
1765 activities; ECOWAS also placed travel ban on its leaders as well as imposition of arms embargo
1766 against the country (Clayton, 2005). ECOWAS’ hard diplomacy paid off, Faure resigned as interim
1767 President of Togo. Presidential elections were conducted. However, to the disappointment of many,

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1768 Faure Eyadema won about 60% of the total votes cast and was elected president (Levit, 2010).
1769 Whatever the case, the threat of instability in the country was effectively reversed by the ECOWAS
1770 in a peaceful and non-violent manner.
1771 Fanta (2009) is of the view that ECOWAS remains at the forefront in terms of early warning.
1772 ECOWAS has worked with Civil Societies to establish four early warning bureaus in Banjul,
1773 Ouagadougou, Monrovia, and Cotonou (ECOWARN, 2008). Notwithstanding, ECOWAS early
1774 warning system (ECOWARN) has faced certain challenges. ECOWAS lacks the necessary human
1775 and material resources to effectively cover a vast region as West Africa with its enormous problems
1776 associated with underdevelopment, poverty, electoral and political violence and the general issues
1777 of human security. ECOWAS requires a robust staff capacity at local, national and sub-regional
1778 levels to effectively collect information and report on developing or emergent conflict triggers.
1779 Although ECOWARN has engaged the services of local capacities such as NGOS, women
1780 and youth associations, traditional institutions, intelligence agencies, the police and religious rulers,
1781 and so on, its capacities are still limited. In addition, deficiency in governance is still affecting its
1782 capacities for early warning systems. For example, Souare (2007:106) points to this deficiency of
1783 governance among ECOWAS member states:
1784
1785 …it is not clear whether these zonal bureaus (of the ECOWAS EWR System) will be able to
1786 achieve their intended goals under the current regimes of observation and monitoring systems. It
1787 is unlikely that civil servants loyal to an undemocratic regime will be able to effectively monitor and
1788 report human rights situations, press freedoms and civil military relations in their countries or its
1789 allies.
1790
1791 Usually, governments are quite abreast through intelligence reports of emerging conflicts. Not
1792 only that, they themselves are sometimes the cause of these conflicts. They do not need any
1793 advanced early warning pointers to draw their attention to emerging conflict situations. Also, such
1794 governments are usually reluctant to acknowledge the fact that their poor human rights records are
1795 documented as constituting conflict indicators and the need to address them. Thus, despite
1796 recognizing the EWR system, they only pay lip service to it. It is argued by Barnett & Bruce
1797 (2007:391) that in certain instances, some of these governments deliberately ensure that the
1798 relevant regional bodies remain weakened in their ability to collect data on early warning signals,
1799 thus preventing early response.
1800 It can be argued that ECOWAS has performed better in crises management especially
1801 through the deployment of ECOMOG than in the area of conflict prevention. Notwithstanding, the
1802 organization has also recorded considerable success in conflict mediation and peacemaking.
1803 Through diplomatic maneuvering, ECOWAS has been able to arrange a number of ceasefires
1804 between hostile parties and ensure some level of compliance through the employment of
1805 peacekeeping forces.
1806 In Guinea Bissau (1998), ECOWAS mediation efforts resulted in a truce between President
1807 Vieira and the rebel leader, General Mane. Similarly, its intervention in Sierra Leone secured the
1808 Abuja Ceasefire Accord. This agreement subsequently led to the Abuja meeting in May 2001 where
1809 both the RUF and the Sierra Leonean government committed to the disarmament process. In 2002,
1810 ECOWAS also dispatched a high-level ministerial delegation to Abidjan, Cote d’Ivoire to mediate
1811 between Laurent Gbagbo’s government and rebel leaders in order to restore peace to the troubled
1812 country. Furthermore, ECOWAS also played a crucial role in 2003 in terms of de-escalating
1813 tensions between Senegal and Gambia over the disputes in Casamance (N’Diaye, 2007).
1814 According to a UNOWA (UN Office for West Africa) report, “ECOWAS mediation has led to the
1815 signing of nearly two dozen peace agreements to end destructive conflicts in West Africa”. Even at
1816 that, it is argued that the organization has not even fully exploited the potentials of its Council of
1817 Elders. Particularly, Fanta (2009) is of the view that some members of the body still do not have the
1818 required training and skills in conflict mediation and management.
1819 Arguably, within the African continent, ECOWAS is considerably ahead of others in terms of
1820 experience in military deployment by a sub-regional organization. ECOWAS has effectively used
1821 peacekeeping and peace enforcement forces, including threat, imposition of sanctions and
1822 deployment of ECOMOG in the management of a number of conflicts. In spite of ECOWAS

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1823 operational experience in peacekeeping and peace enforcement, a critical analysis shows specific
1824 weaknesses exist which include: the lack of a united command and control structure, as members
1825 states still retain considerable national control over their contingents; clear differences in capacity,
1826 capability, and professionalism of contingents; lack of a central logistics system; absence of
1827 capacity in logistics support; and lack of capacity in transition from a Peacekeeping mission to
1828 Peace enforcement as the Sierra Leone example demonstrated (Levit, 2010).
1829 Some ECOWAS deployment (otherwise known as ECOMOG Missions) include: Liberia (1990-
1830 1997; 2003); Sierra Leone (1997-1999); Guinea Bissau (1998-1999); and Cote d’Ivoire (2003-
1831 2004). In all of these missions, ECOWAS failed to transit from peacekeeping to peace building. In
1832 each case, its troops were incorporated within the subsequent U.N mandate operations. ECOWAS
1833 incapacity to cope with the degenerating nature of the conflict in Guinea (1998-1999), led to
1834 withdrawal of its forces before the conflict was resolved (Fanta, 2009).
1835 At the level of peacebuilding especially when viewed from the perspective of post-conflict
1836 reconstruction, reconciliation and rehabilitation, ECOWAS has not done enough. Establishing and
1837 maintaining ceasefires are important by themselves, they do not constitute successful management
1838 of conflicts. Success can be claimed when underlying issues in a dispute have been effectively
1839 resolved to the mutual satisfaction of the parties. ECOWAS has shown to be particularly weak in
1840 this regard. ECOWAS peacebuilding activities have been centered on election observation which is
1841 only one aspect of a comprehensive peacebuilding framework which must include, respect for
1842 human right and rule of law, imbibing the culture of strict adherence to democratic principles, civil
1843 service reforms, security sector reforms (SSR), reforms of the judiciary and properly addressing the
1844 root causes of the conflict, these reforms must also be adequately implemented (Fanta, 2009).
1845
1846 9. Result and Conclusion
1847
1848 In terms of general assessment of the performance of ECOWAS conflict management framework,
1849 significant achievement has been made by ECOWAS in conflict management. The fact that the
1850 ECOWAS sub-region has been transformed from a zone of crippling wars (especially in the Mano
1851 River Region) in the 1990s into an area where no active war is raging today is a mark of progress
1852 that has been made. At the same time, it can be argued that democratic culture is gradually taking
1853 root in many of ECOWAS member states. Both Liberia and Sierra Leone, two of the most disturbing
1854 and unstable states in West Africa have successfully conducted consecutive general elections. So
1855 too have some other ECOWAS member countries including Nigeria, Ghana and Senegal.
1856 Comparatively, ECOWAS has recorded more successes in the area of crisis management and has
1857 become a reference point in the African continent.
1858 It can be said that with every threat to regional security, ECOWAS has shown commendable
1859 improvement in terms of capacity for quick and early response. Its experience in Liberia and Sierra
1860 Leone were an important learning curve which prepared the ECOWAS for future conflict diplomacy.
1861 For example, ECOWAS displayed its capacity to manage the crises in Guinea Bissau in 2003 and
1862 Togo in 2005.
1863 However, ECOWAS can be said not to have performed too well in terms of response to the
1864 blatant disregard of its democratic principles by President Laurent Gbagbo of Ivory Coast who
1865 refused to step down after his opponent Allasane Quattara was declared winner of the November
1866 28, 2010 elections. Although ECOWAS on more than one occasion sent special envoys to Cote
1867 d’Ivoire on the matter and had also threatened to use force to remove Gbagbo, the President defied
1868 all efforts by the ECOWAS to uphold democracy and the legitimate will of the Ivorian people. The
1869 organization could only call on the United Nations to beef up its resolve against Gbagbo.
1870 Nonetheless, this shortcoming is being corrected by the organization with regard to the crisis in
1871 Mali.
1872 On a general note, there have been renewed cases of political instability in some of its
1873 member countries such as Nigeria (2015) and the Gambia (2016). These challenges are not
1874 unconnected with the process of democratization in the sub-region; including problems relating to
1875 governance, electoral reforms the rule of law; problems of leadership, corruption, hunger and
1876 poverty and so on. The corollary of these has been resurgence of religion, military intervention in

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1877 politics, and secessionist groups. Islamic terrorism is fast sweeping across West Africa typified by
1878 the Boko Haram in Nigeria, ethno-political crises in Northern Mali, Mauritania, and Niger in a
1879 complex web linked to the ethnic Tuaregs across these countries and so on. These crises have
1880 become major problem that not only threaten the security and stability of the country involved but
1881 also that of other countries in the sub-region especially neighbouring countries. These could be
1882 considered as early warning signs which challenge ECOWAS to develop a robust framework to
1883 address if it is to avoid full blown conflicts across the sub-region with the potential to hamper its
1884 goal of sustainable peace and development.
1885
1886 10. Acknowledgements
1887
1888 The authors declare that this study was not sponsored by either an individual or groups and
1889 therefore the findings were not influenced in anyway whatsoever.
1890
1891 References
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Research Article

© 2017 Pramadi et.al.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
2
3
4 Academic Cheating in School: A Process of
5 Dissonance Between Knowledge and Conduct
6
7 Andrian Pramadi
8
9 State University of Malang,
10 University of Surabaya
11
12 Marthen Pali
13
14 Pelita Harapan University
15
16 Fattah Hanurawan
17
18 State University of Malang
19
20 Adi Atmoko
21
22 State University of Malang
23
24 Doi: 10.1515/mjss-2017-0053
25
26 Abstract
27
28 Academic cheating behavior in schools have been discussed and reported. Students display academic
29 cheating behavior during tests, quizzes, or tasks. The dynamics of academic cheating behavior is
30 complex and not easily explained with just one factor. The external factors such as peer influence,
31 teacher’s teaching methods, parental pressure, and academic climate are factors that interact with each
32 other to bring out student academic cheating behavior. The grades or numbers from the tests, quizzes,
33 or tasks are used to represent the students’ academic performance in school. On junior high school,
34 cheating is already common, generally conducted during tests or quizzes in the form of copying the
35 answers of other students and cooperating on the test. This research is a preliminary quantitative study
36 in the attempt to describe academic cheating behavior on 139 grade XII junior high school students.
37 Sample collection was conducted with “multistage random stratified sampling” or graded/leveled random
38 collection method, which is a sample collection method with population units grouped into homogeneous
39 groups. Research results showed that there were no correlation between students’ knowledge of
40 plagiarizing behavior with the behavior appearance (r = -.0.096, p = 0.260) and between knowledge of
41 cheating behavior with the behavior appearance (r = -0.08, p = 0.925). However, there was a difference
42 on the appearance of plagiarizing behavior reviewed from the knowledge of plagiarism (F = 2.303, p =
43 0.038) while there was no difference on cheating behavior reviewed from the knowledge of cheating (F =
44 1.18, p = 0.355). This showed that the frequency of students conducting cheating or plagiarizing
45 behavior was not merely based on their level of knowledge.
46
47 Keywords: academic cheating, cheating behavior, plagiarizing behavior, Process of Dissonance
48
49
50 1. Introduction
51
52 Academic cheating behavior in schools has often been discussed or reported. Academic cheating is
53 displayed in two forms, including cheating behavior such as coping the answers of others and
54 plagiarizing behavior such as citing a source incorrectly during working on tasks. Students display

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55 academic cheating behavior during quizzes, tests, or tasks. The dynamic of academic cheating
56 behavior is complex and difficult to explain with just a factor, such as the factor of student. Factors
57 outside the students such as peer influence, teacher’s method of teacher, parental pressure, and
58 academic climate are factors that interact with each other in forming students’ academic cheating
59 behavior. Academic cheating will be displayed by students during quizzes, tests, or tasks, in which
60 the end result will be numbers (grades). These numbers or grades are used to portray the students’
61 performance in school.
62 In junior high school, cheating is already common, usually conducted on quizzes or tests in
63 the form of copying the answers of others and working together. Many students already know that
64 cheating behavior during quizzes/tests have prohibited. Meanwhile, the academic cheating in the
65 form of plagiarizing behavior has not yet known by students and it is conducted during written tasks
66 or assignments. In the research conducted by Pecorari (2003), the plagiarizing behavior was often
67 displayed unintentionally. Unintentionally is a reflection of ignorance. The preliminary survey by the
68 research resulted in that almost 90% of the students knowing that it is cheating but 72% of them still
69 cheat.
70 Lately the frequency of academic cheating behavior in junior high school level increases
71 because of the available technological advancements and the opportunity (external factors); and
72 also the pressure to obtain high achievement (internal factor). This is often the justification for
73 cheating or plagiarizing behavior, such as “the teacher did not inform that it was a form of
74 plagiarism” or “the teacher let students cheat and there was no warning”. Academic cheating can
75 be viewed in daily academic life in junior high school in Indonesia. In an external context, students
76 cheat or cooperate during tests because teachers/school do not assign consistent and
77 proportionate penalty, therefore making students see it as an open opportunity. The displayed
78 academic cheating behavior eventually became something “commonplace”, despite cheating and
79 plagiarizing behavior being dishonest behaviors because it includes “unfair” competition to obtain
80 higher grades without the proportionate effort.
81 Researchers regarding academic cheating have often been conducted; in America researches
82 started on the year 1941. The phenomenon of dishonest behaviors were displayed with hopes of
83 enforcing honest behaviors in schools, forming academic integrity on academic institutes in
84 America (Pulvers & Diekhoff, 1999). The researches of cheating and plagiarizing behavior had
85 been conducted for a long time because the behaviors had existed for a long time as well. On the
86 Contemporary Educational Psychology journal in the year 2002, a number of researchers on the
87 frequency of cheating and plagiarizing behavior started on 1941, by Drake to Davis and Ludvison
88 on 1995. Drake et al. on 1941 stated that 23% of pre-graduate students conducted academic
89 cheating behavior, then on 1960, Goldsen also stated that 38% of pre-graduate students conducted
90 academic cheating behavior. On 1989, Jendrek stated that 40-60% of pre-graduate students also
91 conduct cheating and plagiarizing behavior. Jendrek on 1992 also stated that there was around
92 74% increase in cheating and plagiarizing behavior on pre-graduate students. Graham, Monday,
93 O’Brien, and Steffen on 1994 stated that around 90% of pre-graduate students conduct cheating
94 and plagiarizing behavior. Followed on 1995 by Davis and Ludvison’s research that discovered the
95 frequency of cheating and plagiarizing behavior in high school students, resulting in the finding that
96 more high school students conduct cheating and plagiarizing behavior, concluding that most high
97 school students conduct it (Davis, Drinan, & Bertram, 2009).
98 Based on the descriptions from the field researches in America, there was an increase in the
99 frequency (%) of students conducting cheating behavior. Results on plagiarizing behavior also
100 showed similar results, reviewed from the survey results conducted by the Center of Academic
101 Integrity on 1999, resulting in 10% of college students conducting plagiarizing behavior. Results on
102 2005 showed 40% college students conducting plagiarizing behavior (Maurer, 2006). Meanwhile on
103 2010 (Mederich, 2011) from the survey on 40 thousand high school students, it was discovered that
104 60% of them cheated during quizzes/tests and it was also discovered that 34% of them cheated
105 more than twice during quizzes/tests. Regarding plagiarizing behavior, one in three students
106 conducted plagiarizing behavior on sources on the Internet for their assignments. This further
107 reinforces the data that plagiarizing and cheating behavior increased from year to year, in
108 accordance to the advancement of information-related technology. In Indonesia, reports of cheating

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109 in the level of high school are reported in the mass media in relation to the national exam. This is
110 because the national exam is the determinant for graduation and the grade is used as consideration
111 for university. With such high requirement, students start to conduct academic cheating to
112 overcome the graduation requirements.
113 As for the relation between cognitive dissonance and cheating behavior, cognitive behavior is
114 the gap between belief with what is conducted or displayed. In this research, dissonance is existent
115 between what have known as something that is prohibited but is still conducted with whatever reason.
116 Festinger (1960, cited in Gire & Williams, 2007) stated that in a dissonance, an uncomfortable
117 situation happens in which there are two cognitive “contents” opposite of one another. In relation with
118 academic cheating, for example: students feel that the task cannot be completed well or on time and
119 the way to overcome it is by copying other students’ work. This is because students know that a task
120 that is not well-made and not completed on time will result in bad grades. Bad grades affect
121 achievement and also the views of parents and peers on students. Therefore the dissonance process
122 is not simplistic because it is related to the “attitude change” on the student.
123 The researcher viewed that there was a lack of researches connecting the dissonance
124 process with academic cheating. The phenomenon of the emergence of cognitive dissonance on
125 academic cheating would make society understand more about how academic cheating as a
126 complex process.
127
128 1.1 Research Questions
129
130 - Is there a dissonance process on academic cheating behavior, between knowledge and
131 conduct?
132 - Is there a difference in academic cheating behavior, reviewed from the knowledge level on
133 academic cheating?
134
135 1.2 Research Goals
136
137 - To reveal the relation between knowledge level regarding academic cheating and the
138 frequency of academic cheating in school.
139 - To observe the difference in majors in high school on the emergence of academic cheating
140 behavior.
141
142 2. Theoretical Review
143
144 2.1 The Concept of Academic Cheating
145
146 Academic cheating has two forms, which is cheating behavior such as copying answers of others
147 and plagiarizing behavior such as citing without including the correct source. Based on the
148 Encyclopedia of the Social and Cultural Foundation of Education (Provenzo, 2009), plagiarizing
149 behavior includes intentional and unintentional actions in utilizing another person’s work wrongly.
150 Plagiarizing behavior is conducted in the form of replicating another person’s work, copying the
151 whole text, or even buying another person’s writing and then admitting it as one’s own. So the
152 plagiarizing behavior is an inaccurate and non-thorough behavior in quoting, citing, and reporting
153 the source being used dishonestly. Based on the Encyclopedia of Applied Psychology (Spielberger,
154 2004), the definition is similar, plagiarizing behavior is a failure on the writing in citing and
155 referencing source in the writing correctly.
156 Regarding cheating behavior, the researcher referred to the Encyclopedia of Educational
157 Psychology (Salkind, 2008), which was a dishonest action with the element of deceiving with the
158 goal of obtaining benefits or superiority from other students. Then based on Psychology of
159 Classroom learning, An Encyclopedia (Anderman, 2009), academic cheating behavior is generally
160 displayed in four categories: information transfer between individuals, the use of assisting tools,
161 exploitation of weakness, and copying answers or information. Commonly, cheating behavior is
162 conducted in two activities, which are during tests/exams and homework.

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163 Based on the depiction of the meaning of cheating and plagiarizing behavior, academic
164 dishonesty behaviors have divided into two kinds: cheating and plagiarizing behavior. This behavior
165 can be intentional or unintentional with the goal of obtaining better grades. The researcher will
166 explain the relation between variables or conditions that result in cheating or plagiarizing behavior.
167 Cheating and plagiarizing behavior is not a planned behavior by students when they enter an
168 educational institution. It is also not a hereditary nature (Lathrop & Foss, 2005). The behavior
169 appears because of the number of pressure related to achievements and the fear of failure.
170 If in the individual factor the person is afraid of failing and the motivation is external (parental
171 pressure/wanting to graduate), then the person may not conduct cheating or plagiarizing behavior if
172 there is no opportunity. The opportunity to be dishonest will be stronger if there are other factors,
173 such as situational factors such as peer that conduct cheating or plagiarizing behavior successfully
174 and not penalized by teachers/institution, or even ignored. The combination of problems on the
175 individual factor (fear of failure or external motivation) with situational factors (peer doing the
176 conduct) and light penalties or inconsistent rules (factors of teacher/institution) and parental
177 pressure with high workload (classroom context) result in an attitude to cheat or plagiarize.
178 The attitude to cheat or plagiarize will become a behavior or conduct that can be intentional or
179 unintentional because of three factors in attitude, which are on adaptation, ego-defense, or self-
180 expression. In this research, the researcher has reviewed the attitude in the frame of adaptation on
181 the pressure of achievement or school. When students cheat and they do not know that the action
182 is cheating behavior, then it is unintentional. If the students know and they still conduct it, then it is
183 intentional.
184 On previous research by McCabe, 1999 (Hutton, 2006), students believed that dishonest or
185 cheating behavior in school were alright because they saw the school doing nothing towards the
186 behavior. This became a justification on cheating or dishonest behavior in school. The conclusion
187 happened because of external or situational factors enabling students to conduct the behaviors at
188 school.
189
190 2.2 Cognitive Dissonance
191
192 According to Festinger (1957, cited in Gire & Williams, 2007), cognitive dissonance is the
193 discrepancy between two inconsistent cognitive elements, causing psychological discomfort or
194 anxiety, and motivating someone to act to reduce the dissonance. The element of the dissonance is
195 cognitive. In relation to cheating behavior, the cognitive element is knowing that cheating or
196 plagiarizing behavior is prohibited by the other cognitive element show that there is a higher risk or
197 damage if the cheating or plagiarizing conduct is not followed through. The other cognitive elements
198 are situation or conditions of peers that are open and opportunities to do the conduct.
199 Every dissonant relation is not similar in substance, and Festinger (cited in Gire & Williams,
200 2007) stated that the importance level of the cognitive elements affect the magnitude of the
201 dissonance. The more important or valuable a cognitive element, the magnitude of the dissonance
202 relation between elements will be.

203
204 Figure 1: The Dynamics of Cognitive Dissonance (Festinger & Carlsmith, 1959)

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205 Based on the Figure, there are three assumptions in cognitive dissonance, which is basically
206 humans being susceptible to inconsistency between belief and action, and the inconsistency cause
207 dissonance and the attempt to overcome it; the dissonance is overcame with three methods, which
208 are: changing belief, changing action, or changing action perception.
209
210 3. Research Method
211
212 3.1 Instruments and Variables
213
214 This research used quantitative, non-experimental approach; with causality correlational research
215 design. The first research design inspected the causality between variables. There were four
216 research variables with the instrument Academic Practices Survey:
217 - Cheating behavior variable: how often students cheat, such as copying answers and
218 cooperating and not reporting the higher grades from cheating. The score range is 1
219 (never) to 6 (always).
220 - Plagiarizing behavior variable: how often students plagiarize, such as citing or taking
221 several sentences without including the sources. The score range is 1 (never) to 6
222 (always).
223 - Cheating behavior knowledge level (cheating & plagiarism). This is measured by using a
224 number of statements, researcher have used 7 item and subjects were asked to grade
225 them as a plagiarism or not (Yes = 1 & No = 0). The total score are from 0 to 7.
226 - High school majors variable.
227 Quantitative research design was chosen because the researcher collected data in the form of
228 ordinal and interval data’s from a large number of samples. The research was non-experimental
229 because the researcher did not try to manipulate the relation between existing variables and aiming
230 to discover the influence between the predictor and criterion variables.
231
232 3.2 Population and Sample
233
234 The populations of this research were high school students of the “X” Catholic high school in
235 Malang Indonesia with the accreditation grade of A. The high school was chosen because of the
236 adequate learning facilities and disciplinary rules and high consistency towards violations of school
237 rules. The research subjects were students of class XII.
238 Sample collection was conducted using the multistage random stratified sampling technique,
239 which is a sample collection technique by population units grouped into homogenous groups. This
240 was conducted by randomly taking 2 “science classes”, 2 “social science classes”, and 1 “language
241 class” from the XII class. At the end, the total samples were five classes from the population of the
242 whole school with at least 150 students as the sample. In this research, only 139 students were
243 complete in giving their data.
244
245 4. Research Results
246
247 4.1 Frequency Data
248
249 Table 1: The Score of Plagiarism, Cheating, and Knowledge Level Scores.
250
Score Plagiarism Score of Cheating Knowledge of Plagiarism Knowedge of Academic Cheating
N 139 139 139 139
Mean 3.3957 3.0935 3.7914 5.6043
Median 3.0000 3.0000 4.0000 7.0000
Mode 3.00 3.00 4.00 7.00
Std. Deviation .98994 .88377 1.72145 1.87902
Minimum 1.00 1.00 1.00 1.00
Maximum 6.00 6.00 7.00 7.00

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251 Table 2: The Score Comparisons of Plagiarizing and Cheating Behavior


252
Score Cheat Frequency Percent Cumulative Percent
1.00 4 2.9 2.9
2.00 26 18.7 21.6
3.00 71 51.1 72.7
4.00 30 21.6 94.2
5.00 7 5.0 99.3
6.00 1 .7 100.0
Total 139 100.0
253
Score of Plagiarism Frequency Percent Valid Percent
1.00 6 4.3 4.3
2.00 12 8.6 8.6
3.00 62 44.6 44.6
4.00 40 28.8 28.8
5.00 18 12.9 12.9
6.00 1 .7 .7
Total 139 100.0 100.0
254
255 Table 3: The Comparison of Plagiarizing and Cheating Behavior Knowledge Levels
256
Knowedge of Plagiarism Frequency Percent Valid Percent
1.00 (POOR) 17 12.2 12.2
2.00 15 10.8 10.8
3.00 29 20.9 20.9
4.00 33 23.7 23.7
5.00 19 13.7 13.7
6.00 16 11.5 11.5
7.00 (Excellent) 10 7.2 7.2
Total 139 100.0 100.0
257
Knowled of Cheating Frequency Percent Valid Percent
1.00 (POOR) 9 6.5 6.5
2.00 6 4.3 4.3
3.00 5 3.6 3.6
4.00 14 10.1 10.1
5.00 15 10.8 10.8
6.00 18 12.9 12.9
7.00 (Excellent) 72 51.8 51.8
Total 139 100.0 100.0
258
259 Based on the comparison between scores and knowledge levels, descriptively it is shown that the
260 students were quite knowledgeable about plagiarizing and cheating behavior with the score
261 average of above 3.5 (in a scale of 1-7), while the frequency of behavior scored around 3 (in a
262 scale of 1-6), meaning the students occasionally conduct academic cheating.
263
264 4.2 Statistical Test Results
265
266 Table 3: Results of Correlation Test Between Academic Cheating Behavior and Knowledge Level
267
Knowledge of Plagiarism Knowledge of Cheating
Cheating Score (r = -0.08, p = 0,925)
Plagiarism Score (r =-0,096, p=0.260)
268
269 The result in table 3 showed that there was no relation between knowledge level of plagiarizing and
270 cheating behavior with the behaviors in class.

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271 Table 4: The Significance of ANOVA Test Result Between Variables.


272
Social Language
Skor Cheat Science p = 0.354 p= 0.028*
Language p= 0.001* XXXX
Skor Plagiat Science p = 0.727 p= 0.993
Language P = 0.889 XXXX
Know Cheat Science p = .054 P=0.273
Language p=.977 XXXX
Know Plagiat Science p=969 p=0.233
Language p=0,307
273
274 The result on that table, shows that there was a significant difference between cheating behavior on
275 students on class of science major with class of language major and class of social major with class
276 of language major. But between class of science and class of social majors there was no significant
277 difference.
278
279 5. Conclusion and Discussion
280
281 5.1 Discussion
282
283 No relation between knowledge level and plagiarizing and cheating behavior showed that academic
284 cheating behavior emerge regardless of whether students had the knowledge or not. Once more,
285 this showed that academic cheating behavior is multifactorial. This means that a lot of factors can
286 be the predictor of cheating behavior. This research result rejected the previous result from
287 Pecorari’s research (2003) that stated that plagiarizing behavior was often displayed unintentionally
288 because of no knowledge regarding plagiarizing behavior.
289 In this research, the students of class XII were quite knowledgeable about plagiarizing and
290 cheating behavior but they still conducted it. This meant that there was cognitive dissonance, the
291 discrepancy or inconsistency between belief/knowledge and conduct. According to Festinger and
292 Carlsmith (1959), the dissonance happened because of the inconsistency of social environment in
293 reacting to the actions that contradict the belief.
294 Referring to McCabe’s research on 1999, it seemed that the students believed that dishonest
295 behavior in school were alright because they saw the school doing nothing (not giving penalties) on
296 the behavior. This became a justification that dishonest behavior was alright. There were other
297 factors aside from knowledge (individual), such as external and situational factors that enabled
298 student to do the dishonest conducts.
299
300 5.2 Conclusion
301
302 When situational factor (peer and risk), contextual factor (class, teacher, parents, institute) meet
303 with individual factor, this will increase the opportunity for individuals to cheat or plagiarize. Based
304 on the results of previous researchers, academic dishonesty behavior was not simply related to
305 individual factor but was a combination with situational factor. This reinforced that individual factor
306 cannot become the only predictor in cheating and plagiarizing behavior. Even so, situational or
307 contextual factor cannot be the only predictor as well. Therefore, the school should not just
308 reinforce the individual factor (knowledge level) but also situational factor (teaching model) and
309 external factor (scientific climate and consistency of penalty).
310
311 References
312
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317 Bandura, A. (1986). Social foundations of thought and action. Englewood Cliffs: NJ Prentice-Hall.
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340 Trevino, L. K., & Youngblood, S. A. (1990). Bad apples in bad barrels: A causal analysis of ethical decision-
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342

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Research Article

© 2017 Paul Kombo.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
343
344
345 Radicalization as a Functional Aspect of Crime
346
347 Paul Kombo
348
349 Machakos University
350
351 Doi: 10.1515/mjss-2017-0054
352
353 Abstract
354
355 Radicalization into extremism and terrorism is a controversial topic amongst scholars on the approaches
356 used to understand the phenomenon. This paper examine some theories on the subject and the debate
357 raging amongst scholars with regard to the differing models and approaches. The key theories
358 examined in respect to radicalization include the theological model, the psychological approach,
359 vulnerability explanations, discrimination/alienation models and political explanations.
360
361 Keywords: Security, Crime, Radicalization, Extremism
362
363
364 1. Introduction
365
366 Some models of crime causation suggest that crime engagement is triggered primarily by factors to
367 do with strain or pressure that push people into crime and or is learned as part of socialization
368 (Mushanga, 2014; Whitaker and Pollard, 2013). Theories on causes of crime agree that the factors
369 that lead to a person engaging in crime are many and include poverty, unemployment, parental
370 neglect, peer pressure and lifestyles, among others (Weatherburn, 2002; Edmiston, 2015;
371 Patterson, 2013). It is also agreed that these factors become more effective in the causation of this
372 behavior when they combine and operate together. However, no one single factor alone has been
373 empirically shown to cause people to engage in criminality (Patterson, 2013). In order to explain the
374 phenomenon, scholars have formulated a general strain theory suggesting that crime is caused by
375 strain or pressure on the offender (Agnew, 2016; Iratzoqui, 2015; Day et al, 2012). Earlier,
376 Gottfredson and Hisrchi (1990), in their “A General Theory on Crime’, argued that self-control is
377 central to the causation of crime since this is learned in early parental socialization of children into
378 self-control by punishing deviant acts which result in avoidance of deviant behaviours later in life.
379 This idea of self-control as a general concept around which all forms of crime can be understood is
380 also supported by several other researchers (Akers, 1991; Polakowski, 1994). To others, factors
381 such as neighbourhoods, poverty, poor parenting, peer pressure as well as violence witnessed
382 within the family and in the community are to blame for crime (Weatherburn, 2001; Noguera, 2003).
383 Lately, some scholars have argued that aggression exhibited by young people is caused by
384 multiple factors among which are peers, family, schools and neighbourhood circumstances (Ling-
385 Yin et al, 2016). Effects of these factors lead to low self-esteem and perceptions of being insecure
386 which when internalized and externalized by the victim result in negative behaviours (Kim and Lo,
387 2015; Evans et al, 2012). The social disorganization theory posits that socio-economic
388 disadvantages and instability can reduce the formation of norms and values in a community that act
389 as social control and protection against deviance (Patterson et al, 2015; Ling-Yin et al, 2016).
390 The situational action theory of crime causation (SATCC) (Wikstron, 2009 and Wikstron et al,
391 2010) suggests that morality is linked to delinquent behavior (Doering and Baier, 2016) since
392 people with high moral standards and values are less likely to commit violent crime. Such people

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393 possess empathy that makes them sympathetic to would-be victim. The theory has some
394 similarities with the general theory of crime in that it acknowledges early socialization in morality.
395 Forde and Kennedy (2016), while agreeing that Gottfredson and Hirschi’s General Theory of Crime
396 (1994), offered many insights into the likely causes of criminal behavior, suggested that it failed to
397 acknowledge that past experience, lifestyle and learning influenced propensity to commit crime.
398 They also faulted the general theory for not clearly showing the link between propensity and
399 opportunity to commit crime. Exposure to violence in neighborhoods, Bowen and Bowen (1999)
400 argued, influences the emotional and behavioural characteristics of students towards criminality.
401 The Situational Action Theory is useful for examining underlying psychological patterns behind
402 actions of committing crime in that they explain what goes on in the mind of a person in deciding
403 whether or not to commit crime.
404 The routine activity theory has identified neighbourhoods as an important factor that
405 contributes to crime despite being initially not recognized as such (Mustaine et al, 2012).
406 Characteristics of neighbourhoods that have been researched include poverty, unemployment,
407 schools, abandoned buildings as well as poor street lighting since they are related to victimization
408 (Skogan, 1990; Mustaine and Tewksbury, 1998a). These neighbourhood characteristics offer
409 opportunities for offenders and victims to be present in one area thus increasing potential
410 victimization risks (Mustaine et al, 2012). Other research posits that neighborhoods in which young
411 people grow up in also influence their developmental directions later in life. For example, according
412 to Wilson’s (1975) theory of neighborhood effects, adolescents growing up in disadvantaged
413 neighborhoods are likely to develop deviant values and behaviours (Wilson, 2013; Stewart and
414 Stewart, 2007).This model helps in explaining the factors that can drive a person to engage in
415 deviant behaviour.
416
417 2. Research Methodology
418
419 This study was conducted in two public universities namely, Machakos University (MU) and South
420 Eastern Kenya University (SEKU). Two approaches were used in this study to examine
421 radicalisation studies (Creswell, 2013;). On the one hand, are models defining radicalisation as a
422 process using theological and vulnerability models claimed to be used to justify counterterrorism
423 measures. The second model comprises critiques who have questioned counterterrorism
424 approaches based on these factors. Mainly using the qualitative approach of data collection, the
425 study used a questionnaire with carefully formulated questions to elicit rich information for analysis
426 (Ritchie et al, 2013; Kothari, 2005).
427
428 3. Theories of Crime Causation
429
430 Gottfredson and Hirschi (1990) define crime as ‘acts of force or fraud undertaken in pursuit of self-
431 interest”. Researchers have categorised crime theories according to the approaches used for
432 studying the issue. A theory is described by Akers (2013) as a set of related statements that explain
433 how two or more events or factors are connected to each other. For example some have described
434 types of crime theories according to the individual model which include factors like personal
435 decision to commit a crime as a result of an opportunity and the expected benefit and possible cost
436 of apprehension. Crime causes are also studied using sociological explanations which comprise
437 conditions, culture, and economic factors (Gabor, 2010). Social disorganisation theories posit that
438 poor neighbourhoods are potential environments where delinquency can thrive due to poverty
439 (Edmiston, 2015).
440 The neighbourhood model views crime causation as comprising several strands notably how
441 the influence of peers, family members, social organisation surrounding the individual influence and
442 shape criminal behaviour in the youth (Livingston et al, 2014). The theory also explains the effect of
443 how the involvement of siblings and parents in crime can influence an individual to participate in
444 violence and crime (Bannister et al, 2010). Wikstrom et al and others (Wikstron, 2012; 2010;
445 Maimon and Browning, 2010, Miller, 2013)) described situational characteristics that provide the
446 circumstances for offending by adolescents as consisting of presence of peers, absence of adults,

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447 involvement in unsupervised activities, presence in a public place and use of alcohol or drugs.
448 These models have some common characteristics to the routine activities theory that argues that
449 crime occurs where there is convergence of potential offenders and suitable targets without
450 guardians (Felson, 1979). A neighbourhood where there are many young adults and operation of
451 many bars are considered suitable places for criminal behaviour since large numbers of potential
452 offenders and targets are present at the same place and time (Raleigh and Galster, 2012). This
453 explanation is consistent with the life-style exposure theory that suggests that different life-styles
454 can result in differences in victimisation depending on the different places, times and proximity to
455 offenders (Miethe and Meier, 1994).
456 These theories fit in well with the rational choice theory which holds that an offender makes
457 rational choices when committing crime, a model that has been used by law enforcement and
458 security organisations to formulate control measures utilised to make it hard for criminals to access
459 or penetrate a target, a method called target hardening. Crime explanations offered by proponents
460 of the routine activities theories, first developed by Felson and Clarke (1978), do not focus on
461 explanations of crime being caused by conditions such as poverty, unemployment and family
462 dysfunction but instead argue that crime is present in everyday situations since offenders are
463 average people. Felon’s routine activity theory proposed that crime occurs when offenders come
464 across valuable targets at a place and time without guardians to protect (Rock, 2009).
465 Other explanations such as the Social Disorganisation, Social Capital and Collective Efficacy
466 theories have been grouped under the Social Integration theories since they explain aspects of
467 neighbourhood and the community in relation to crime occurrence (Gorman et al (2013).
468 Researchers using these approaches have elucidated their conceptualisations through the Routine
469 Activities and Crime Potential Theories both of which place importance of places where crime can
470 occur and interactions between potential offenders and potential victims as the common ingredients
471 and how people make use of the spaces around them. Other criminology research focuses on the
472 kinds of pressures that push people to commit crime, and the socialising especially of children to
473 learn criminal behaviour or to refrain from it (Agnew, 2016).
474 ‘A General Theory of Crime’ by Gottfredson and Hisrchi (1994) argued that people with low
475 self-esteem tended to be more predisposed to behaviours of impulsiveness and insensitivity
476 towards others and therefore likely to commit crime. Forde and Kennedy (2006), in their study,
477 found that while Gottfredson and Hirschi’s general theory offered insights as to the proneness to
478 commit crime, it did not explain whether childhood socialisation could affect propensity to commit
479 crime. They suggested that the way to remedy this weakness is to change the variables of self-
480 control and opportunity to commit crime and to improve anger management. Agnew (2006) argues
481 that the behavioural approach is explained by three main theories namely: the strain theories-
482 focusing on the strains and stressors that drive or force people into criminal behaviour as a coping
483 mechanism, the social learning theories-people acquire criminal behaviours because they learned
484 them early in life and the control theories-focusing on the kinds of controls that refrain people from
485 crime (Agnew and Brezina, 2015; Akers, 2009).
486 Criticisms of these theories are that they do not explain all the variations in crime given that
487 most people do not respond to pressures and attractions for crime even though they may have low
488 self-esteem (Agnew, 2016). The perceived deficiencies in these theories have given rise to several
489 lines of research, for example, resilience research which holds that factors like temperament and
490 self-esteem influence response to pressures and attractions (Losel and Bender, 2003; Rutter,
491 2006). Other approaches include the psychological research which describes how traits such as
492 negative emotions, hostile interpretation of others intentions, and the biological research concerned
493 with genetic factors that influence response to criminal pressures and attractions (Beaver et al,
494 2015). Despite the criticisms of these early theoretical models, they serve as good starting points
495 for understanding some of the behaviours that can lead to criminal acts. With this illumination of the
496 issues, more research has been constructed based on their building blocks which promise to show
497 a clearer picture of causes of crime.
498
499
500

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501 4. Theory of Crime Resistance and Susceptibility


502
503 To deal with the noted deficiencies in the three major theories on crime, the Theory of Crime
504 Resistance and Susceptibility (TCRS) has been advanced. The theory, proposed by Agnew (2016),
505 looks at four factors it regards as playing a key role in determining resistance and susceptibility to
506 criminogenic events and conditions: These include negative reaction to events, that is, negative
507 interpretation of events and conditions as bad and unjust may make one angry and inclined to be
508 aggressive or rebellious. This is influenced by factors such as anger, hostile attribution of intention
509 on others, sensitivity to injustice, among others (Simons et al, 2011; Losel and Bender, 2003;
510 Bondu and Elsner, 2015). People can learn to be negative about issues which they regard as unfair
511 or unjust or learn to react aggressively to events they interpret as a slight on their masculinity or
512 other vanity because they believe that the best way to deal with them is to be aggressive and
513 rebellious (Felson et al, 2012).
514 The theory further posits that materialistic and pleasure seeking that is not earned through
515 hard work and sacrifice, consisting of material possessions, power, prestige, thrills, excitement and
516 physical pleasure can tempt someone to engage in criminal acts (Ksendzova et al, 2015; Taylor
517 and Eitle, 2015).The other element of the theory posits that social support and self-efficacy that
518 provides encouragement, skills and resources for coping with strains can significantly counter the
519 mental need for resorting to criminal behaviours (Babdura, 2012; Brezina, Tekin, and Topalli, 2009).
520 Some people are more sensitive than others to factors such as criminal or prosocial influences
521 based on whether they are amongst high or low criminogenic environments which can account for
522 engaging or not engaging in criminal acts. Some controversial research claims that this trait of high
523 sensitivity has genetic origins (van Ijzendoorn et al, 2012). Other researchers, however, see it as
524 influenced by factors such as social learning, pressure to conform to a new culture, and a strong
525 desire for social acceptance (Hughes and Short, 2014). The explanations given by the Theory of
526 Crime Resistance and Susceptibility offers insights into the kinds of behaviours and emotions that
527 people can experience or learn or be exposed to which can lead to engaging in criminal acts. This
528 is important for understanding why some people tend to involve themselves more readily to crime
529 than others.
530 Another way to understand crime and victimization is by using the routine activity theory which
531 has as its central argument that criminal activity occurs when offenders and victims intersect in the
532 absence of guardians (Mustaine et al, 2012, citing Lauritsen et al, 1991). The theory, though
533 criticized for failing to examine the important roles of both offenders and victims, holds that people
534 who spent much time close to each other are often involved in offending and victimization amongst
535 themselves. This can be applied to a married couple or to an environment such as a university
536 campus where a large population of students spent much time close together, hence bringing
537 potentially large concentrations of offenders and victims to one place, thus increasing the incidents
538 of offending and victimization (Fisher et al, 1998). This theory can be applied to design measures
539 for controlling behaviours in places where many people interact as a crime prevention method.
540
541 5. Exposure to Violence and Environmental Influence
542
543 Family and parenting factors have been shown to shape children’s propensity to anti-social
544 behaviour. Children who are exposed to violence within their own homes or witness the same in the
545 community where they live are more likely to acquire similar behaviours later in life (Delisi and
546 Vaughn, 2016; Margolin and Gordis, 2000). This exposure to violence shapes their views of the
547 world as a place where you have to use violent means to achieve what you want in life. Secondly,
548 such children learn to use violence as a defence mechanism (Kim and Lo, 2015). Theoretical
549 models have been formulated to show that aggressive children and adolescents are more likely to
550 engage in other forms of deviant behaviour which is linked to their neighbourhoods (Moore et al,
551 2014). A framework showing this relationship was formulated by Jencks and Mayer (1990)
552 comprising five factors namely availability of resources, community social organisation, deviant
553 neighbours and peers, competition for resources and poverty to explain the link between deviant
554 behaviour and neighbourhoods. A similar framework consisting of three mechanisms was

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555 formulated by Leventhal and Brooks-Gunn (2000) to demonstrate how these factors influence crime
556 in neighbourhoods. These factors are the quality of relationships and parental and community
557 support, the norms and collective efficacy to control behaviour and availability, quality, and
558 accessibility of health care, education, recreation, employment opportunities. This can be applied to
559 create policies for mitigating such adverse situations.
560 Unprovoked aggression could be a result of earlier victimisation in which the perpetrator is
561 involved in revictimisation behaviour. One of the ways to explain this behaviour is through the
562 Social Information Processing Theory (SIPT) that posits that adolescents exposed to violence at an
563 early age are likely to view ambiguous situations as threatening by exhibiting aggression (Quille
564 and Grffin, 2009). Some researchers have focused on personal characteristics, environmental and
565 communal factors to explain origins of crime. Such researchers have held as their focus personal
566 characteristics as poverty, unemployment, overcrowding and neighbourhood structures as
567 important for understanding causes of crime (Mustaine and Tewksbry, 2000). These two posit that
568 few researchers have tried to identify any overlap between offending and victimisation. They have
569 argued, using the routine activity theory, that the likelihood of crime increases when there is
570 frequent contact between offenders and victims and have advanced that a neighbourhood would be
571 such a contact area.
572 The Situational Action Theory of Crime Causation (STCC) (Doering and Baier, 2016, citing
573 Wikstrom, 2009; Wikstrom et al, 2010), links criminal behaviour and delinquency to morality. The
574 theory suggests that criminality is caused by bad morals and that people commit crimes as a choice
575 from other alternatives. Therefore, it is argued, moral standards of a person determine their
576 likelihood of engaging in crime or not (Doering and Baier, 2016. The situational and environmental
577 approaches shed light into factors and situations that contribute to crime mentality and are
578 important in helping us to understand the various factors and influences that are underlying some
579 forms of crimes. The theory has benefit for addressing learning processes to include aspects of
580 moral training.
581
582 6. Social Disorganization Theory
583
584 The theory has its origins in the study on criminality in Chicago City in the early 1900s which
585 showed disparities in crime rates in certain of its neighbourhoods. Social organization is said to
586 exist when there is agreement on common norms and values, cohesion among residents and
587 regular interaction amongst residents. (Kubrin and Wo, 2016). When these characteristics are
588 present, they ensure informal control which is important for solving community problems including
589 crime (Shaw and McKay, 1969). According to the social disorganization theory, socially
590 disorganized neighbourhoods have less informal control and are likely to experience increased
591 crime with characteristics such as poverty, unemployment and family disruption. Social ties and
592 informal control have been shown to be important factors for understanding social disorganization
593 but lately additional dimensions have been included namely collective efficacy, social capital and
594 social networks (Kubrin & Wo, 2016). Collective efficacy comprises the willingness and trust to
595 intervene on behalf of the common good as a way of achieving social control for preventing crime in
596 the neighbourhood (Sampson and Groves, 1989). The other aspects of collective efficacy are
597 cohesion and mutual trust and sharing common goals for the purpose of addressing community
598 issues together. Sampson and Groves showed that these were prerequisites for achieving lowered
599 crime rates in the neighbourhood.
600 The social disorganization theory sheds light into the ways in which communities exist as
601 social units capable of regulating their affairs including crime prevention through social control. This
602 can help policy makers to identify ways in which governments and other bodies can intervene in
603 ways aimed at boosting the capacities of such communities to be self-independent as a method of
604 lowering crime.
605
606 7. Theorizing Radicalisation
607
608 Radicalisation issue has received divergent views from criminology and securitisation researchers.

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609 Some have argued that radicalisation is caused by grievances and vulnerabilities (Borum, 2011;
610 Wiktorowicz, 2005; Bizina and Gray, 2014; Brown and Saeed, 2015), while others suggest
611 radicalisation is driven by the Jihadi-Salafi ideology that seeks to purify Islam (Blanchard, 2007).
612 The opposing view sees the explanation of radicalisation from theological and ethnic approaches as
613 being problematic in that the meaning of the term radicalisation is unclear (Coppock and McGovern,
614 2014; Heath-Kelly, 2013; Kundnani, 2015; Hussain and Bagguley, 2012). The radicalisation debate
615 is riven with controversy where one school argues it is a process that progresses through stages
616 whilethe other viewpoint sees these explanations of a radicalisation process approach as a
617 narrative to justify securitisation of some communities and religions (Sageman, 2006).
618 Theoretical approaches about how young people get inducted into deviant and criminal
619 behaviours may not give a good understanding of how radicalisation into extremism, which can
620 manifest itself in terrorism, occurs (Christmann, 2012). Theoretical models of radicalisation suggest
621 that grievances and vulnerabilities are transformed into hatred which can materialise in some
622 people through committing terrorist acts (Borum, 2011). Some researchers of modern terrorism
623 claim that radicalisation is driven by the Jihadi-Salafi ideology which seeks to purify Islam of
624 western culture (Blanchard, 2007). Definitions of radicalization among security agencies is
625 problematic because of the lack of clarity in the meaning of the term which can allow for differing
626 interpretations with the potential for widening of its applicability by government agencies (Coppock
627 and McGovern, 2014). The issues of contention revolve around approaches that focus on
628 psychological and social factors that some scholars attribute as the main contributors to extremism
629 while ignoring or paying meagre attention to other factors such as political acts and policies of
630 Western countries that are claimed by others as the root causes of the problem (Sageman, 2008).
631
632 8. Stages of Radicalisation Model
633
634 Theories on radicalisation, the process through which some researchers claim a person is
635 introduced into an extremist mind-set, advance the idea of stages leading to eventual acceptance
636 into terrorist activity. Wiktorowicz (2005) uses the four stage model of radicalisation namely:
637 cognitive opening, religious seeking, frame alignment, and socialisation (King and Taylor, 2011).
638 These stages are triggered in sequential order starting with the cognitive opening that could be
639 some crisis in one’s life like a job loss or discrimination experience or victimisation or impressions
640 gained from discussion with a member /s of Islamic extremists. The second stage is the religious
641 seeking which is precipitated by the first stage, setting the stage for inculcating worldviews
642 promoted by the extremist group through debate and discussions. At this stage, the target is
643 comparing his own views with those promoted by the extremist group, a step where there is frame
644 alignment at and differing to the group expertise of the group. The last stage is when the target has
645 internalised group ideology resulting in his/her individual identity being reformulated. At this point
646 the person officially joins the extremist group.
647
648 9. The Staircase Model of Radicalisation
649
650 Moghaddam’s (2005) staircase to terrorism model, which is similar to the stages model, progresses
651 from the first floor through six stages to the top at which the person in question may or may not
652 progress to the final stage of accepting involvement into terrorism (King and Taylor, 2011).
653 Explaining his theory, Moghaddam proposes that people who experience deprivation will be
654 motivated to try and improve their lot through social mobility and procedural justice. If the group
655 views the system to be unfair or that it does not promote social justice, they may feel discontented
656 and move to the next stair. At the next stair, people start blaming the perceived cause of their
657 problems, a state, an individual or other entity. Some of the group members may now resort to
658 radical measures to redress their grievances with disparate factions among the group starting to put
659 aside differences for the good of the bigger group. Those who progress to the fifth stair, which is the
660 last floor, are the committed ones ready to commit terrorist attacks.
661
662

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663 10. Conclusion


664
665 The two perspectives of the processes of radicalisation help us to understand how people react to
666 recruitment efforts by terror groups and hence address the underlying issues that could convince a
667 potential recruit to accept to join such a group. It helps policy makers to identify the types of policies
668 that can trigger extreme reactions in certain groups among some communities so that such policies
669 can be moderated to exclude the negative approaches.
670
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752
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755 Openness using Toda–Yamamoto Approach: Evidence from Zambia
756
757 Chibvalo Zombe1
758
759 Lincoln Daka1
760
761 Christopher Phiri1
762
763 Oliver Kaonga2
764
765 Francis Chibwe3
766
767 Venkatesh Seshamani2
768
1
769 Department of economics, Copperbelt University, Kitwe, Zambia
2
770 Department of Economics, University of Zambia, Lusaka, Zambia
3
771 Rural Electrification Authority, Lusaka, Zambia
772
773 Doi: 10.1515/mjss-2017-0055
774
775 Abstract
776
777 The paper examines whether a significant relationship exists between inflation and trade openness in
778 Zambia over the period 1985 to 2015. We use the Toda-Yamamoto approach to Granger causality to
779 test for a causal relationship between inflation and trade openness. The results establish a bi-directional
780 causality between inflation and trade openness. Further, there exists a positive relationship between
781 inflation and trade openness in Zambia. Our findings stress the importance for central banks to
782 understand the consequences of international trade for domestic inflation.
783
784 Keywords: inflation, trade openness, Toda-Yamamoto approach to Granger causality
785
786
787 1. Introduction
788
789 For many development theorists, international trade is a key variable in the development process of
790 a country. It is believed that increased trade enhances export earnings, promotes industrialization,
791 and encourages diversification of the economy (Ndulo and Mudenda, 2004). This view has been
792 supported by the endogenous growth theory that is typically based on models of endogenous
793 technological change. The theory shows that trade openness provides access to imported inputs
794 embodying new technology, raises the returns on innovations of domestic producers by increasing
795 the effective size of the market they face, and facilitates a country’s specialization in research-
796 intensive production. Thus, a more open economy faces more competition from its trading partners
797 that stimulates productivity, and this kindles economic growth (Romer, 1989).
798 Based on the benefits of international trade highlighted above, many developing countries
799 embarked on an ambitious program to liberalize their economies in the 1980s. As a result,
800 unweighted tariffs reduced in developing countries from 34% between 1980 and 1983 to 15%
801 between 1997 and 1999 (United Nations Conference on Trade and Development, 2004). Although
802 the outcomes of the liberalization program on individual economies have been mixed (depending
803 on the nature, structure, and degree of openness of the economy), a common observation during

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804 the 1990s was the fall in average inflation rates globally. Average inflation in industrialized
805 economies between 1982 and 1991 was 4.9% but reduced to 0.8% by the end of 1999. More
806 remarkably, average inflation in developing countries dropped from 45.1% between 1982 and 1991
807 to 6.9% in 1999 (International Monetary Fund, 2000). Whether these two phenomena are related is
808 still a debate in economic literature.
809
810 2. Literature Review
811
812 The earliest discussion concerning the relationship between trade openness and inflation can be
813 traced back to Triffin and Grudel (1962) who examined the economic growth of six European
814 countries and found that more open economies tended to experience lower price inflation. Their
815 explanation was that openness served as a ‘safety valve’ since the domestic inflationary pressure,
816 created by monetary authorities, had more effect on the balance of payments than on inflation in
817 open economies. Similarly, Iyoha (1973) found a negative relation between inflation and trade
818 openness among 33 developing countries. Romer (1993), using Rogoff’s (1985) model, studied 114
819 economies over the period 1973 to 1988 and found a strong robust negative relationship between
820 the two variables – this has come to be known as Romer’s hypothesis. His explanation was that
821 monetary authorities in open economies have fewer incentives to conduct ‘surprise’ monetary
822 expansion. This is because ‘surprise’ monetary expansion is responsible for the real exchange rate
823 depreciation; whose negative effects are greater in open economies. Thus, if ‘surprise’ monetary
824 expansion is an important determinant of inflation, then monetary authorities in open economies will
825 have less incentives to undertake it, and the result will be lower average rates of inflation.
826 After Romer’s (1993) paper the relationship between inflation and trade openness has been
827 widely debated in literature. Studies such as Lane (1997), Yanikkaya (2003), Kim and Beladi
828 (2005), and Nunziataz and Bowdler (2006) have all confirmed Romer’s hypothesis. Furthermore,
829 Romer’s hypothesis has support from the new growth theory which reveals that trade openness is
830 likely to affect inflation through its effect on output (Jin, 2000). Ashra (2002) also notes that the link
831 between the two could operate through increased efficiency, which is likely to reduce costs through
832 changes in the composition of inputs procured domestically and internationally, better allocation of
833 resources, increased capacity utilization, and a rise in foreign investment which could stimulate
834 output growth and ease pressure on prices.
835 However, other studies have challenged Romer’s hypothesis. For example, Terra (1998)
836 claims that the negative correlation was only evident in severely indebted countries during the
837 1980s crisis period. Ashra (2002), using a panel data framework found a positive relationship
838 between trade openness and inflation for Bangladesh. Others who have found a positive
839 relationship between inflation and openness include Zakaria (2010) and Munir and Kiani (2011).
840 Temple (2002) using trade openness and the slope of the Phillips curve provide little support for the
841 theoretical prediction of a correlation between openness and standard measures of the output-
842 inflation trade-off.
843 Some studies have also shown that the relationship between inflation and trade openness
844 may be non-existent. For example, Bleaney (1999) noted that the negative relationship between
845 openness and inflation is weak as the link disappeared in the 1990s. Binici et al (2012) found an
846 insignificant relationship between inflation and openness among Organization for Economic Co-
847 operation and Development (OECD) economies, a result Munir et al (2015) also found in selected
848 Asian countries.
849 Despite the importance of the relationship between trade openness and inflation in literature,
850 studies on this subject have remained scanty and evidence to confirm or refute Romer’s (1993)
851 hypothesis is still inconclusive. Moreover, the majority of studies done so far have been at multi-
852 country level rather than country specific. Such multi-country studies do not allow for country
853 specific dynamics of the relationship among economic variables.
854 Zambia embarked on a trade liberalization program in the early 1990s. The results of this
855 program are still debatable. On the one hand, some have praised the program for the positive
856 economic outlook observed from the early 2000s. On the other hand, others have blamed the
857 program for the widespread poverty level in the country. In spite of this debate, one thing is for sure:

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858 inflation rate declined from 106% in 1990 to 18% in 1999 to 14% in 2010 and to 6.6% in 2015.
859 However, there has not been any study conducted to determine the causal relationship between
860 inflation and trade openness in Zambia. This study seeks to fill this gap. It seeks to answer the
861 fundamental question: should monetary authorities in Zambia base their inflation-targeting policy on
862 Romer’s hypothesis?
863
864 3. Zambia: Brief Historical Background
865
866 At independence in 1964, Zambia was one of the richest economies in Sub-Saharan Africa. Its
867 average annual GDP growth rate between 1965 and 1974 was 3.9%, average GDP per capita was
868 US$ 1 595, inflation rate was 8.9%, and the current account surplus stood at 3% of GDP (see Table
869 1 below). The mainstay of the economy was the production and exportation of copper that
870 accounted for over 90% of foreign exchange earnings and 40% of gross domestic product (GDP) in
871 1964.
872
873 Table 1: Selected macroeconomic indicators for Zambia 1965 – 2015
874
1965-1974 1975-1984 1985-1990 1991-1999 2000-2009 2010- 2015 2015
GDP growth (annual %) 3.9 0.1 1.6 1.5 6.8 6.0 2.9
GDP per capita (constant 2010 US$) 1,595 1,317 1,076 938 1,109 1,551 1,607
CPI (annual %) 8.9 10.6 67.8 66.4 17.5 9 6.7
Current account (% GDP) 3 -11 -13.4 -10.8 -7 2 -3.6
875
876 Source: World Bank’s World Development Indicators (WDI) and Zambia’s Central Statistical Office
877
878 During the first four years of independence, Zambia pursued a free market-oriented policy
879 framework with little public sector participation. However, from 1968 onwards, the government
880 introduced state-led import substituting industrialization strategy. This entailed excessive control of
881 the economy through nationalization and protectionist trade policy. The nationalization program saw
882 government’s stake in foreign companies rise from 42% in 1964 to over 80% by 1970. During this
883 period, the government’s strategy seemed to be working owing to the high copper prices on the
884 world market. The revenue from copper enabled the government to develop infrastructure such as
885 roads, schools, and other social amenities, as well as support its socialist agenda.
886 However, in 1973, the increase in the oil prices by about 400% and a fall in the copper prices
887 created problems for the country. The foreign exchange earnings from copper slumped and the
888 government was now failing to sustain its socialist agenda. Seshamani (1992) notes that Zambia’s
889 foreign reserves dwindled as she tried to cover her oil import bills. The government responded to
890 this situation by contracting debt and by further increasing its tariffs that varied between 0% for
891 intermediate goods and 150% for final goods. Essential consumer goods and some capital and
892 heavy intermediate inputs had lower tariffs while consumer durables had higher nominal tariffs of
893 between 50% and 100%. Furthermore, import bans were introduced on commodities while foreign
894 exchange was administratively allocated to firms as a way of controlling and protecting the
895 domestic industry (Mudenda, 2009). These interventions did not help as GDP growth declined to
896 0.1%, GDP per capita fell to US$ 1,317, inflation rate rose to 10.6%, and current account deficit
897 stood at 11% of GDP between 1975 and 1984 (see Table 1).
898 The government, therefore, adopted structural and stabilization policies, known as the
899 Economic Reform Program (ERP), developed by the International Monetary Fund (IMF) and World
900 Bank between 1983 and 1986. The ERP’s main focus was to enable government generate revenue
901 so that it does not engage in deficit financing. In this regard, growth in non-traditional exports was to
902 be promoted in order to reduce the reliance on copper. To promote exports, it was recommended
903 that the Kwacha, Zambia’s local currency, be devalued progressively and the auctioning system be
904 introduced as a way of allocating foreign exchange. Further, efficiency in the allocation of both
905 foreign and domestic resources was to be promoted. Domestic savings were to be mobilized in
906 order to curb overreliance on foreign investment. Interest rates were to be decontrolled in order to

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907 promote savings and efficiency in the allocation of resources. Abolition of price controls was to be
908 done to give the manufacturers incentives to reverse the trend of food shortages. In the course of
909 implementing these reforms, inflation rose sharply from 9.1% in 1982 to 55.9% in 1986. Some
910 argue that the rise in inflation was due to the introduction of the auction system while others believe
911 it was due to price decontrols.
912 The rise in the inflation rate sparked social unrest in the economy. As a result, in 1987, the
913 government abandoned the IMF and World Bank (WB) reform packages to pursue the New Growth
914 Recovery Program (NGRP) whose theme was “growth from own resources” (Seshamani, 1992).
915 However, faced with a decline in copper production, mounting debt, and broad based freeze on
916 multilateral and bilateral aid, the government, in 1989, had to go back to the IMF/WB program (Ibid,
917 1992). The implementation of IMF/WB reform policies brought about devastating effects on the
918 economy with the inflation rate rising to 119.1% in 1989. Therefore, due to mounting pressure from
919 the citizenry, the government once again abandoned the IMF/WB program in 1991.
920 In 1992, the newly elected government of the Movement for Multi-Party Democracy (MMD) led
921 by Dr. F.T.J. Chiluba with support from many stakeholders hastily adopted the IMF/WB economic
922 reforms enshrined in the Structural Adjustment Programs (SAPs). The reforms included removing
923 exchange controls, reducing import duties, eliminating import and export license requirements,
924 abolishing export bans and introducing a number of export incentives, removing subsidies, and
925 decontrolling prices (Mudenda, 2009). Subsequently, the inflation rate in the economy rose from
926 99.3% in 1991 to 162.3% in 1992 and then to 185.9% in 1993. It only fell to 61.9% in 1994. By
927 1997, the government managed to reduce inflation to 24.9% perhaps the structural and
928 liberalization policies were beginning to bear fruit (see Table 1). During the mid-2000s, the copper
929 prices started to rise causing the exchange rate to appreciate significantly. Furthermore, after
930 meeting certain performance criteria, Zambia qualified for the Highly Indebted Poor Countries
931 (HIPC) debt relief initiative in the year 2005. This offered some solution to Zambia's debt situation
932 reducing its debt by a total of US$2.7 billion, resulting in a saving of US$233million in debt service
933 obligations between 2000 and 2007 (World Bank, 2008). These improvements were reflected in the
934 reduction of the inflation rate to 18.3% in 2005. In April 2006, inflation rate was recorded at 9.4%,
935 the first single digit rate recorded in 30 years.
936 It is in the context of the above historical developments that this study looks at the relationship
937 between trade openness and inflation in Zambia
938
939 4. Methodology
940
941 In this study, we use the Toda-Yamamoto approach to Granger causality developed by Toda and
942 Yamamoto (1995)1 to test for causality between inflation and trade openness. It is an augmented
943 Granger causality test. This procedure uses a modified Wald test for restrictions on the parameters
944 of the vector autoregressive VAR (p) model. The test has an asymptotic Chi-squared distribution
945 with p degrees of freedom in the limit when a VAR (p + ) is estimated (where is the
946 maximal order of integration for the series in the system). The main merit of the Toda-Yamamoto
947 procedure is that it can be used irrespective of whether the time series in the system are integrated
948 of different orders or non-cointegrated or both. The procedure can be used in cases where the
949 order of integration of one or more variables is higher than one – a case most conventional
950 procedures such as autoregressive distributed lag models (ARDL), vector error correction models
951 (VECMs), and VARs do not incorporate. The procedure has the following steps:
952
953 4.1 Step 1: Determining the order of integration
954
955 To determine the maximal order of integration ( ), we employ the Augmented Dickey-Fuller
956 (1981) (ADF) and the Phillips-Perron (1988) (PP) unit root tests whose null hypothesis is the
957 presence of a unit root. However, one needs to consider structural changes when dealing with time
958 series data because structural changes and unit roots are closely related; (Perron, 1989). In

1
For a detailed exposition of the Toda-Yamamoto procedure, see Umar and Dahalan (2015).

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959 addition, conventional unit root tests such as the ADF and PP are biased toward accepting a false
960 unit root null hypothesis when the data are stationary with a structural break.
961 Certainly in the Zambian case, over the long period of our study, structural breaks would have
962 occurred as the economy swung between controlled and liberalized regimes, and the most notable
963 break would have occurred after 1992 when there was a rapid and radical shift from controls to
964 liberalization.
965 There are several unit root tests devised to accommodate structural breaks such as the
966 Banerjee, Lumsdiane and Stock test (1992), the Zivot and Andrews test (1992) and the Perron and
967 Vogelsang (PV) test (1992). This study employs the PV test. This test consist of a class of test
968 statistics that allow for two different forms of structural breaks – the additive outlier (AO) and
969 innovational outlier (IO) models. The AO model allows for a sudden change in mean (crash model)
970 while the IO model allows for more gradual changes. According Perron and Vogelsang, these tests
971 are based on the minimal value of t-statistics on the sum of the autoregressive coefficients over all
972 possible breakpoints in the appropriate autoregression.
973
974 4.2 Step 2: Determining the optimal lag length (p) of the VAR
975
976 Before determining the optimal lag-length ( ), this study uses the Bai and Bai-Perron approach to
977 structural break testing developed by Bai (1997) and Bai and Perron (1998, 2003a) to determine
978 the exact date(s) of the structural break(s) in the model. The structural break or breaks determined
979 are then incorporated when determining the optimal lag length ( ) of VAR model. The optimal lag-
980 length is determined by first estimating the VAR in levels and then using the well-known information
981 criteria such as the Akaike information criterion (AIC), and Schwarz information criterion (SC)
982 among others. The VAR estimated in this section is then subjected to diagnostic tests; namely,
983 normality of residuals, serial correlation, and model stability.
984
985 4.3 Step 3: Applying the modified Wald procedure to the VAR (k)
986
987 After determining the optimal lag length in step 2, the lags, we estimate a VAR(k), where = +
988 . To conduct the Toda -Yamamoto procedure based on Granger causality, the following
989 VAR(k) model is used:
990 = +∑ +∑ +∑ +∑ + + 1
991 = +∑ +∑ +∑ +∑ + + 2
992 = +∑ +∑ +∑ +∑ + + 3
993 = +∑ +∑ +∑ +∑ + + 4
994 Where
995 is inflation measured by the natural log of consumer price index (CPI);
996 is trade openness measured by the natural log of the ratio of the sum of exports and
997 imports to (GDP);
998 is economic growth measured by the natural log of GDP per capita;
999 is money supply measured by natural log of broad money supply
1000 respective intercept and interactive dummy variables for the structural break(s)
1001 are as defined above; and
1002 , , and are error terms that are assumed to be white noise with zero mean, constant
1003 variance and no autocorrelation.
1004 The modified Wald test of the Toda-Yamamoto procedure tests whether coefficients of the
1005 variables on the right-hand side of each equation are, either individually and/or jointly, significantly
1006 equal to zero. However, in conducting the modified Wald test, we need to exclude the lag from
1007 each equation and treat it as an exogenous variable. If this is not done, the Wald test statistic would
1008 not have its usual asymptotic Chi-square distribution (Giles, 2011).
1009 (a) Unidirectional causality from trade openness to inflation is indicated if the estimated
1010 coefficients of the lagged in 1 are statistically different from zero (or

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1011 ∑ 0, treating the lag as an exogenous variable) and the set of


1012 estimated coefficients of the lagged in 2 are not statistically different from
1013 zero (or ∑ = 0, treating lag as an exogenous variable). In this case we
1014 can conclude that trade openness Granger causes inflation and not vice versa.
1015 (b) A unidirectional causality from inflation to trade openness is indicated if the estimated
1016 coefficients of the lagged in 2 are statistically different from zero
1017 (or ∑ 0 , treating lag as an exogenous variable) and the set of
1018 estimated coefficients of the lagged in 1 are not statistically different from
1019 zero (or ∑ 0, treating the lag as an exogenous variable). In this
1020 case, we can conclude that inflation Granger causes trade openness and not vice versa.
1021 (c) Feedback, or bi-directional causality, is achieved when the sets of and
1022 coefficients are statistically significantly different from zero in both equations 1 and 2. In
1023 this case, we can conclude that inflation Granger causes trade openness and trade
1024 openness Granger causes inflation.
1025 (d) Independence is suggested when the sets of and coefficients are not
1026 statistically significant in both equations 1 and 2. In this case, we can conclude that
1027 inflation does not Granger cause trade openness and trade openness does not Granger
1028 cause inflation.
1029
1030 5. Data
1031
1032 All our variables are expressed in natural logarithms in order to include the proliferate effect of time
1033 series and to reduce the problem of heteroscedasticity (Gujarati, 2003). The data on all variables,
1034 except for CPI, were obtained from the World Banks’s World Development Indicators. Data on CPI
1035 were obtained from monthly bulletins of the Central Statistics Office of Zambia. The study uses
1036 annual time series data from 1985 to 2015.
1037 The analysis was done using the econometric software Stata 13 and Eviews 9.5. Unit root
1038 tests and determination of structural breaks were done in Eviews, while VAR estimation,
1039 diagnostics and Granger causality tests were done in Stata.
1040
1041 6. Empirical Analysis and Results
1042
1043 6.1 Unit Root Analysis
1044
1045 Table 2 below shows that results of the ADF and PP unit root tests conducted on the variables of
1046 interest in their level form. The ADF and PP results presented in table 2 show that , , and
1047 are non-stationary at 5 percent level of significance regardless of whether a constant or a
1048 constant and a trend are included in the models. For , the ADF and PP results are conflicting.
1049 On one hand, the ADF results show that is stationary at 1 percent level of significance when
1050 either a constant or a constant and a trend is included in the model and non-stationary when both
1051 the constant and trend are not included in the model. On the other hand, the PP results show that
1052 is non-stationary at all conventional levels of significance and regardless of whether a
1053 constant and trend are included.
1054
1055 Table 2: Results of the ADF and PP unit root tests on data in level form
1056
ADF PP
Variable
LL Exo. Test statistic I(d) Exo. Test statistic I(d)
0 C -2.181 - C -2.211 -
0 C&T -2.128 - C&T -2.154 -
0 None -1.716*** - None -1.777*** -
8 C -4.847* I(0) C -0.053 -

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8 C&T -4.374* I(0) C&T -1.250 -


6 None -3.327 - None 0.872 -
2 C -1.34 - C -1.457 -
0 C&T 0.35 - C&T 0.35 -
2 None -0.195 - None -0.483 -
0 C -2.534 - C -2.420 -
0 C&T -3.469*** - C&T -3.448*** -
0 None -1.839*** - None -1.839*** -
1057 (*) and (***) stand for significance at 1% and 10% respectively. LL stand for lag length. Exo. stand for
1058 exogenous components included in the ADF and PP models: C for constant, C & T for constant and
1059 trend, and none when a constant and trend are not included.
1060
1061 The results presented in table 3 below show that and are integrated of order one. The ADF
1062 and PP give conflicting results for and . On one hand, the ADF indicates that is
1063 integrated of order one when both the constant and trend are absent. On the other hand, the PP
1064 test shows that is integrated of order two when a constant, and a constant and a trend are
1065 included in the model. When both the constant and trend are absent in the model, the PP test
1066 shows that is integrated of order one. For the , the PP test shows that the variable is
1067 integrated of order one. The ADF indicates that when a constant is included in the model, is
1068 integrated of order two. When both a constant and a trend are included in the model, the ADF
1069 shows that is integrated of order one. The same result is obtained when both the constant
1070 and trend are excluded from the model.
1071
1072 Table 3: Results of the ADF and PP unit root tests on data in first difference form
1073
ADF PP
Variable
LL Exo. Test statistic I(d) Exo. Test statistic I(d)
∆ 0 C -6.677* 1 C -6.681* 1
∆ 0 C&T -6.616* 1 C&T -6.609* 1
∆ 0 None -6.747* 1 None -6.75* 1
∆ - C - - C -2.844*** 2
∆ - C&T - - C&T -2.726 2
∆ 10 None -3.148** 1 None -2.881* 1
∆ 1 C -2.534 2 C -7.26* 1
∆ 0 C&T -9.054* 1 C&T -8.710* 1
∆ 1 None -2.565** 1 None -7.319* 1
∆ 0 C -8.910* 1 C -10.389* 1
∆ 0 C&T -8.918* 1 C&T -11.132* 1
∆ 0 None -8.925* 1 None -10.004* 1
1074 (*), (**) and (***) stand for significance at 1%, 5% and 10% respectively. LL stand for lag length. Exo.
1075 stand for exogenous components included in the ADF and PP models: C for constant, C & T for
1076 constant and trend, and none when a constant and trend are not included.
1077
1078 The results in table 4 indicate that is integrated of order one at 1% level of significance
1079 regardless of the trend and break specifications included in the model. is integrated of order
1080 zero at 1% level of significance regardless of the trend and break specifications included in the
1081 model. The results for and are mixed depending on the trend and break specifications
1082 included in the model. For , the results show that the variable is integrated of order one at 1%
1083 level of significance when a trend and intercept are included for trend specification and an intercept,
1084 and a trend and an intercept are considered for break specification. On the other hand, when only
1085 an intercept is considered for both trend and break specifications, the results show that is
1086 integrated of order zero at 1% level of significance. For , the results show that the variable is
1087 integrated of order zero at 1% level of significance when a trend and intercept have been included
1088 for trend specification and an intercept, and a trend and an intercept are considered for break
1089 specification. On the other hand, when only an intercept is considered for both trend and break
1090 specifications, the results show that is integrated of order one at 1% level of significance.

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1091 Table 4: Results of the PV unit root tests on data in level and first difference forms
1092
st
Specification Level 1 Difference
Variable
TS BS BD t-stat BD t-stat I(d)
I I 1992 -3.53 1992 -8.43* 1
T and I I 1984 -3.33 1992 -8.69* 1
T and I T and I 1988 -4.71 1994 -8.39* 1
I I 2006 -6.78* - - 0
T and I I 2006 -6.65* - - 0
T and I T and I 1992 -6.25* - - 0
I I 1989 -5.02* - - 0
T and I I 2003 -1.62 1974 -10.99* 1
T and I T and I 1993 -4.03 1981 -11.77* 1
I I 1993 -4.39*** 1994 -9.97* 1
T and I I 1993 -7.36* - - 0
T and I T and I 1993 -6.10* - - 0
1093 (*) and (***) stand for significance at 1% and 10% respectively. TS stand for trend specific and BS stand
1094 for break specific. BD and t-stat stand for break date and t-statistic respectively. I and T stand for
1095 intercept and trend respectively.
1096
1097 We have presented the unit root tests for all the variables using the ADF, PP, and PV tests. The
1098 ADF and PP tests do not take into account structural breaks. The PV unit root test take into account
1099 structural breaks. Therefore in cases where we have conflicting results between the ADF and/or PP
1100 tests, and the PV test, we gave priority to the results from the PV test. For this reason, we can
1101 conclude the highest order of integration, and hence the , among all the variables is one.
1102
1103 6.2 Determining the break date(s) in the entire model
1104
1105 Since most, if not all, time series variables are plagued with structural changes, it is important to
1106 incorporate break dates in regressions. As we have already stated, if one estimates a regression
1107 without taking into account structural changes, then one risks committing misspecification errors
1108 whose consequences are discussed by Gujarati (2003). In this paper, we use the Bai (1997) and
1109 Bai and Perron (1998, 2003a) sequential testing procedures to check for the break dates in our
1110 entire model; that is, taking all the variables together.
1111
1112 Table 5: Bai-Perron multiple breakpoint test
1113
Break test F-statistic Scaled F-statistic Critical values Break dates
0 vs 1** 23.937 71.810 13.98 1993
1 vs 2** 6.004 18.013 15.72 1985
2 vs 3** 6.029 18.088 16.83 2000
3 vs 4 1.531 4.594 17.61
1114 (**) significant at 5% level. Critical values are based on Bai and Perron (2003)
1115
1116 The Bai-Perron sequential test results in table 5 indicate that we rejected the null hypotheses that
1117 there are 0, 1, and 2 breakpoints in favour of the alternatives of 1, 2, and 3 breakpoints at 5% level
1118 of significance, but the null hypothesis of 4 versus 3 breakpoints was not rejected. Furthermore, the
1119 test indicated that the breakpoints are 1993, 1985, and 2000.
1120
1121 6.3 Diagnostic tests of the underlying VAR
1122
1123 After establishing the structural break points, we ran a VAR(3) with 1993 as the structural break
1124 date. The other structural break dates determined by the Bai-Perron multiple breakpoint test (1985
1125 and 2000) were insignificant, and hence dropped. The diagnostic tests of the VAR(3) are presented
1126 below.

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1127 6.3.1 Test for normality of residuals


1128
1129 Table 6 below shows the result of Jarque-Bera test for normality of the residuals. It is evident that
1130 we failed to reject the null hypothesis of normality of residuals of each equation as well as all the
1131 equations combined at 5 percent level of significance.
1132
1133 Table 6: Jarque-Bera normality test result
1134
Equation Chi-square Prob > Chi-square
0.666 2 0.71671
0.632 2 0.72918
0.472 2 0.78974
2.343 2 0.30987
4.113 8 0.84677
1135 Prob and df stand for probability and degrees of freedom respectively
1136
1137 6.3.2 Autocorrelation test
1138
1139 Table 7 below shows Lagrange-multiplier (LM) test result for residual autocorrelation. The test
1140 revealed that at first, second and up to the sixth lags, we failed to reject the null hypothesis of no
1141 autocorrelation among the residuals at 5 percent level of significance. Thus, we concluded that
1142 there was no autocorrelation among the residuals in the model.
1143
1144 Table 7: LM test result for serial correlation
1145
Lag Chi-square Prob > Chi-square
1 23.2736 16 0.10662
2 22.3479 16 0.13231
3 19.9951 16 0.22044
4 17.5010 16 0.35391
5 24.5142 16 0.07886
6 12.5030 16 0.70869
1146 Prob and df stand for probability and degrees of freedom respectively
1147
1148 6.3.3 Stability test of the VAR
1149
1150 Figure 1 below shows the result of the stability test of the underlying VAR(3) model. It is evident that
1151 as required, all the eigenvalues lie inside the unit circle. This implies that the estimated model is
1152 dynamically stable.
1153
Roots of the companion matrix
1
.5
Imaginary
0-.5
-1

-1 -.5 0 .5 1
Real
1154
1155
1156 Figure 1: Eigenvalue stability condition for the estimated VAR(3)

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1157 6.3.4 Toda-Yamamoto Granger causality test results


1158
1159 Since the estimated VAR(3) passed all the diagnostic tests, we re-estimated the VAR by including
1160 the = 1 ; that is, we estimated a (3 + ) , or simply VAR(4) . The additional lag
1161 = 1 was included in the model as an exogenous variable together with the respective
1162 dummies created using the break date of 1993. Based on the results of the VAR(4), we performed
1163 the Granger causality test using the modified Wald test. The results in table 8 show that bi-
1164 directional causality exists between inflation and trade openness. This means that trade openness
1165 Granger causes inflation, and inflation Granger causes trade openness. The estimated VAR models
1166 shows a positive relationship between inflation and trade openness implying that an increase in
1167 trade openness leads to an increase in inflation and that a rise in the inflation rate leads to an
1168 increase in trade openness. This bidirectional positive relationship in the Zambian case is contrary
1169 to Romer’s (1993) hypothesis that there is a negative relationship between inflation and trade
1170 openness, but consistent with Ashra (2002) for Bangladesh, and Zakaria (2010) and Munir and
1171 Kiani (2011) both for Pakistan.
1172 This result suggests that the observed trend in consumer prices in Zambia cannot only be
1173 attributed to the economy’s internal problems but also the influences of developments on the
1174 international market. The positive relationship between trade and openness is rationalized by the
1175 fact that Zambia is a developing country and mainly depends on imports for most of its consumable
1176 goods. As such, we can conclude that a considerable proportion of the observed changes in the
1177 consumer price index is attributable to the changing price level of imported goods – imported
1178 inflation. Imported inflation is determined by both the corresponding conditions on world markets,
1179 which establishes the prices of the goods we import in foreign currency, and by the value of the
1180 Zambian Kwacha in relation to other currencies. Our finding stresses the point that understanding
1181 the consequences of international trade for domestic inflation is extremely important for central
1182 banks. Besides, this reason, Zakaria (2010) argues that authorities tend to lose their ability to
1183 control inflation using monetary and fiscal policies as the economy opens up.
1184 On other variables, we find a bi-directional relationship between inflation and economic
1185 growth, and a unidirectional relationship running from inflation to money. The result of table 8 also
1186 shows the following: first, trade openness, economic growth, and money supply jointly Granger
1187 cause inflation. Secondly, inflation, economic growth, and money supply jointly Granger cause
1188 trade openness. Thirdly, inflation, trade openness, and money supply jointly Granger cause
1189 economic growth. Lastly, inflation, trade openness, and economic growth jointly Granger cause
1190 money supply.
1191
1192 Table 8: Granger causality test results
1193
Equation Excluded Chi-square Prob > Chi-square
12.596 3 0.006
5.6521 3 0.0130
0.3344 3 0.953
54.235 9 0.000
12.846 3 0.005
9.0237 3 0.029
0.0465 3 0.998
46.596 9 0.000
17.006 3 0.001
18.185 3 0.000
32.264 3 0.000
185.55 9 0.000
24.249 3 0.000
75.377 3 0.000
27.767 3 0.000
186.75 9 0.000
1194 Prob and df stand for probability and degrees of freedom respectively.

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1195 7. Conclusion
1196
1197 This study sought to investigate the causal relationship between inflation and trade openness in
1198 Zambia. The results obtained indicate a bi-directional causality between inflation and trade
1199 openness implying that openness Granger causes inflation and inflation Granger causes openness.
1200 We also find that trade openness has a significant positive effect on inflation. This result refutes
1201 Romer’s (1993) hypothesis that there is a negative relationship between inflation and openness.
1202 This result can be due to the fact that Zambia is a small open economy that relies on imports for
1203 most of its consumption and production needs. Therefore, the observed inflation in Zambia cannot
1204 be attributed to the economy’s internal problems alone, but also the price increases on the
1205 international market. Moreover, as the economy opens up, the authorities find it difficult to put
1206 inflation under control using fiscal and monetary policies (Zakaria 2010).
1207 The results of this study are important for monetary policy makers in Zambia, especially after
1208 adopting inflation targeting as the framework for monetary policy formulation. The central bank
1209 (Bank of Zambia) should be wary of relying on Romer’s (1993) hypothesis as guiding principle in
1210 controlling inflation in a country that is outward looking. Instead, it should pay attention to changes
1211 in the price levels of imports on the international markets, especially Zambia’s trading partners. This
1212 implies that in times when the price level of imports is high, the Bank should anticipate high inflation
1213 and protect the domestic price level from rising by pursuing contractionary monetary policy.
1214
1215 References
1216
1217 Ashra, S. (2002). Inflation and openness: A study of selected developing economies. Indian Council for
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1226 Binici, M., Cheung, W. Y. and Lai, S. K. (2012). Trade openness, market competition, and inflation: Some
1227 sectoral evidence from OECD countries. CESifo, Working Paper, 3690.
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1231 root. Journal of the American Statistical Association, 74 (366), 427-431.
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1233 http://davegiles.blogspot.com/2011/04/testing-for-granger-causality.html.
1234 Gujarati, D. N. (2003). Basic Econometrics (4th ed.). New York, NY: McGraw-Hill.
1235 Gruben, W. C. and McLeod, D. (2004). The openness–inflation puzzle revisited. Applied Economics Letters.11
1236 (8), 465-468.
1237 International Monetary Fund. (2000). World Economic Outlook: Recessions and Recoveries. Washington D.C:
1238 International Monetary Fund. Retrived from http://www.imf.org/external/pubs/ft/weo/2000/02/pdf/append.pdf
1239 Iyoha, M. A. (1973). Inflation and openness in less developed economies: A cross-country analysis. Journal
1240 of Economic Development and Cultural Change, 22 (1), 31-38.
1241 Jin, J. (2000). Openness and growth: An interpretation of empirical evidence from East Asian countries. Journal
1242 of International Trade and Economic Development, 9 (1), 5-17.
1243 Kim, M. and Beladi, H. (2005). Is free trade deflationary? Economic Letters, 89 (3), 343-349.
1244 Lane, P. (1997). Inflation in open economies. Journal of International Economics, 42 (3-4), 327-347.
1245 Mudenda, D. (2009). Trade and industrialization policies experienced from Zambia. Industrial Policy Thematic
1246 Working Group, Southern African Development Research Network.
1247 Munir, S., Hasan, H. and Muhammad, M. (2015). The effect of trade openness on inflation: Panel data
1248 estimates from selected Asian economies. Southeast Asian Journal of Economics, 3 (2), 23-42.
1249 Munir, S. and Kiani, A. K. (2011). Relationship between trade openness and inflation: Empirical evidences from
1250 Pakistan. The Pakistan Development Review, 50 (4), 853–876.
1251 Ndulo, M. and Mudenda, D. (2004). Trade policy reform and adjustment in Zambia. United Nations Conference
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1253 Nunziata, L. and Bowdler, C. (2006). Trade openness and inflation episodes in the OECD. Journal of Money,
1254 Credit, and Banking, 38 (2), 553-563.
1255 Perron, P. (1989). The great crash, the oil price shock, and the unit root hypothesis. Econometrica, 57, 1361-
1256 1401.
1257 Perron, P. and Vogelsang, T. J. (1992). Nonstationarity and level shifts with an application to purchasing power
1258 parity. Journal of Business and Economic Statistics, 10 (4), 301–320.
1259 Phillips, P. C. B. and Perron, P. (1988). Testing for a unit root in time series regression. Biometrika, 75 (2), 335-
1260 346.
1261 Rogoff, K. (1985). Can international monetary policy cooperation be counterproductive? Journal of International
1262 Economics, 18, 3 (4), 99-217.
1263 Romer, D. (1993). Openness and inflation: Theory and evidence. Quarterly Journal of Economics, 108(4), 869–
1264 903.
1265 Romer, P. M. (1989). Human capital and growth: Theory and evidence. National Bureau of Economic Research,
1266 Working Papers 3173.
1267 Seshamani, V. (1992). The economic policies of Zambia in the 1980s: Towards structural transformation with a
1268 human focus. In: Gornia, G. A. et al. (ed.) Africa’s recovery in the 1990s. New York: St Martins.
1269 Temple, J. (2002). Openness, inflation and the Phillips curve: A puzzle. Journal of Money, Credit and Banking,
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1271 Terra, C.T. (1998). Openness and inflation: A new assessment. Quarterly Journal of Economics, 113 (2), 641-
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1274 processes. Journal of Econometrics, 66 (1-2), 225-250.
1275 Triffin, R. and Grudel, H. (1962). The adjustment mechanism to differential rates of monetary expansion among
1276 the Countries of the European Economic Community. Review of Economics and Statistics, 44(11), 486-
1277 491.
1278 Umar, M. and Dahalan, J. (2015). Evidence on real exchange rate-inflation causality: An application of the
1279 Toda-Yamamoto dynamic Granger causality test. International Business Management, 9 (5), 666-675.
1280 United Nations Conference on Trade and Development. (2004). Development and globalization: Facts and
1281 figures. New York and Geneva: United Nations.
1282 World Bank Zambia. (2008). Accelerating and sharing growth through improved competitiveness. Lusaka
1283 Zambia.
1284 Yanikkaya, H. (2003). Trade openness and economic growth: A cross-country empirical investigation. Journal of
1285 Development Economics, 72(1), 57-89.
1286 Zakaria, M. (2010). Openness and inflation: Evidence from time series data. Doğuş Üniversitesi Dergisi, 11 (2),
1287 313-322.
1288 Zivot, E. and Andrews, K. (1992): Further evidence on the great crash, the oil price shock, and the unit root
1289 hypothesis. Journal of Business and Economic Statistics, 10 (10), 251-70.
1290

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Research Article

© 2017 Riwu et.al.


This is an open access article licensed under the Creative Commons
Attribution-NonCommercial-NoDerivs License
(http://creativecommons.org/licenses/by-nc-nd/3.0/).
1291
1292
1293 Effect of Pharmacist Counseling on the Success of
1294 Therapy and the Quality of Life of Hypertensive
1295 Patients in a Hospital in East Nusa Tenggara
1296
1297 Magdarita Riwu1,2
1298
1299 Gilang Yubiliana3
1300
1301 Eli Halimah1
1302
1303 Keri Lestari1
1304
1305 Auliya Suwantika1
1306
1307 Dyah Perwitasari4
1308
1309 Ajeng Diantini1
1310
1
1311 Department of Pharmacology and Clinical Pharmacy,
1312 Faculty of Pharmacy, Padjadjaran University of Bandung
2
1313 Medical School of University of Nusa Cendana Kupang
3
1314 Faculty of Dentistry of Padjadjaran University of Bandung
4
1315 Faculty of Pharmacy of Ahmad Dahlan University Yogyakarta
1316
1317 Doi: 10.1515/mjss-2017-0056
1318
1319 Abstract
1320
1321 Hypertension is a chronic disease that requires an intensive monitoring from time to time to prevent
1322 complications leading to cardiovascular disease. In addition, its complex health needs have an effect on
1323 the treatment process and the motivation of the patient for treatment. Therefore, pharmacist counseling
1324 is expected to provide information to patients in handling health problems, especially related to the
1325 treatment of hypertension. Counseling is expected to provide behavioral changes to optimize therapeutic
1326 effects and improve the quality of life of patients. The purpose of this study is to analyze the influence of
1327 pharmacist counseling on the success of therapy and quality of life of hypertensive patients. The study
1328 was conducted at a hospital in Kupang, East Nusa Tenggara to outpatients in Depo Induk implementing
1329 true experimental design and pretest posttest with control group with simple random sampling method
1330 during April - June 2017. The data collection included blood pressure, age, gender, education level,
1331 treatment success seen from decreased or controlled blood pressure, and quality of life with Short Form-
1332 36 (SF-36). The subjects of the study were 100 people divided into 50 people in the non-counseling
1333 group (who merely received information on medication as usual by pharmacist in Depo Induk) and 50
1334 people in the counseling group (who received drug information service as usual by pharmacist in Depo
1335 Induk and individual counseling by pharmacist/researcher). Counseling was given in the form of giving
1336 insight about drugs, hypertension, and non-pharmacological approach (lifestyle modification) in
1337 managing hypertension. The results showed that with counseling, pharmacists can improve treatment
1338 success proven by the decrease of systolic blood pressure (-9 mmHg, p=0,000) and diastolic blood
1339 pressure (-7 mmHg, p=0,000); improve the quality of life of hypertensive patients with p<0.000 value of
1340 both pre and posttest and treatment (counseling) and also validated by final data test results between
1341 non-counseling group and counseling group.
1342
1343 Keywords: success of therapy, pharmacist counseling, quality of life, hypertensive patients
1344

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1345 1. Introduction
1346
1347 Hypertension is a common cause of cardiovascular disease, widely recognized as the most
1348 common cardiovascular disorder and the number one risk factor for mortality. Hypertension causes
1349 at least 45% of deaths due to heart disease and 51% of deaths due to stroke. Almost 50% of 17.5
1350 million deaths in the world are caused by cardiovascular disease associated with systemic arterial
1351 hypertension disease. The prevalence of hypertension in Indonesia in 2013 is 9.5%, 7.4% in Nusa
1352 Tenggara Timur, and 6.3% in Kupang.
1353 Management of pharmacological aspects in controlling blood pressure has been implemented,
1354 but there is still an increase in complications related to hypertension. Some complications occurred
1355 due to poor treatment in controlling blood pressure such as coronary heart disease, peripheral
1356 vascular disease, and kidney disorders. Achievement of blood pressure control in addition to
1357 pharmacological approaches is also influenced by nonpharmacological aspects such as diet and
1358 physical activity so that the role of pharmacist in determining the success of hypertension therapy is
1359 highly needed.
1360 The therapeutic problems of patients with chronic diseases are related to adherence to
1361 therapy so that pharmacists as pharmaceutical professionals are responsible for providing
1362 education through counseling to patients to make them understand the goals of therapy change
1363 and adhere to healthy lifestyles, and improve medication adherence.
1364 The quality of life (QoL) of hypertensive patients is influenced by several socio-demographic
1365 factors such as age, gender, education, and family history of hypertension. Quality of life is also
1366 directly affected by the lack of education, lifestyle modification, and low levels of patient
1367 understanding on the management of the disease. Quality of life (QoL) is a complex concept.
1368 Therefore, to assess the outcomes of interventions related to quality of life, it uses the SF-36
1369 questionnaire which is one of the generic instruments used to measure overall quality of life in
1370 general in patients with chronic diseases such as hypertension.20 SF-36 assess 8 (eight) domains
1371 that include, physical function (10 questions), physical limitations (4 questions), body pain (2
1372 questions), general health (6 questions), vitality (4 questions), social function (2 questions),
1373 emotional limitation (3 questions), and mental health (5 questions).
1374 In East Nusa Tenggara, especially Kupang, pharmaceutical services in the field of clinical
1375 pharmacy, especially counseling, is still minimal. This is related to the lack of pharmacists.
1376 Pharmaceutical services in hospitals for outpatients, especially in Depo Induk, exceed the ratio of
1377 1:50 with the number of pharmacist’s as much as two people and the average visit of 175 patients.
1378 Pharmaceutical services provided when delivering drugs to patients are merely limited to drug
1379 name information, indications, and rules of use. This condition ultimately affects the lack of
1380 information about drugs, hypertension, and lifestyle modifications for patients when getting drugs.
1381 Based on the above information, the research was conducted to analyze the influence of
1382 counseling pharmacist to the success of therapy and the quality of life of hypertensive patients in a
1383 hospital in East Nusa Tenggara.
1384
1385 2. Method
1386
1387 2.1 Research Subject
1388
1389 The research was designed in a pretest posttest study with control group. The subjects were
1390 hypertensive outpatients who become the participant of National Health Insurance (Jaminan
1391 Kesehatan Nasional/JKN) and perform and take medication at Depo Induk at East Nusa Tenggara
1392 Hospital from April to June 2017. The subjects were selected through a simple randomized study in
1393 patients diagnosed as suffering hypertension with or without complications, ≥18 years old and ≤65
1394 year’s old, receiving two kinds of drugs, known for their blood pressure values, and willing to
1395 participate in the study by signing informed consent.
1396
1397
1398

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1399 2.2 Number of Research Subjects


1400
1401 The number of research subjects was obtained using the formula of proportion based on the
1402 prevalence of hypertension occurrence in Kupang (6.3%) and 10% to fill the possibility of drop out
1403 so that the total subjects were 100 people. The subjects were divided into two groups, i.e. 50
1404 people in the non-counseling group (only receiving drug information services as usual by
1405 pharmacists in Depo Indah) and 50 people in the counseling group (receiving drug information
1406 service as usual by pharmacist in Depo Indah and counseling by researchers). In Depo Induk, the
1407 drug information is usually given in the form of drug name, indication, and rule of use.
1408
1409 2.3 Research Instrument
1410
1411 The instrument used is questionnaire. To measure the quality of life, Indonesia version of SF-36
1412 questionnaire was used consisting of 36 questions divided into 8 domains. They are physical
1413 function (10 questions), physical limitations (4 questions), body pain (2 questions), general health (6
1414 questions), vitality (4 questions), social function (2 questions), emotional limitation (3 questions),
1415 and mental health (5 questions). The questionnaires have been tested valid and reliable to measure
1416 the quality of life of hypertensive patients.
1417
1418 2.4 Data Collection
1419
1420 The data were prospectively collected from hypertensive patients who meet the criteria in 30 days.
1421 The data collection included age, sex, education level, occupation, blood pressure, and filling out
1422 the Indonesian version of SF-36 questionnaire. After one month when the subjects returned to do
1423 medical checkup, the final data were taken in the form of blood pressure and filling out the
1424 Indonesian version of the SF-36 questionnaire. Filling out questionnaires was done by research
1425 subjects while waiting for drug preparation.
1426
1427 2.5 Procedures and Treatment
1428
1429 Research subjects who met the criteria of inclusion and exclusion were randomly selected.
1430 Research subjects were informed of their voluntary participation and guaranteed that all their
1431 personal data will be kept confidential, and they are entitled to withdraw at any time during the
1432 study without having to give a reason. Proof of voluntary participation is by signing the informed
1433 consent. This research does not interfere with service process where the research subjects still get
1434 drug information service as usual by pharmacist at Depo Induk Hospital. The difference is there is
1435 additional service in the form of counseling to the counseling group. Treatment in the form of
1436 counseling was given by the pharmacist as a researcher. Counseling is an individualized
1437 educational intervention provided in a special counseling room with duration of 15-30 minutes
1438 (according to time agreement with the subject). Educational interventions were provided after
1439 ensuring the understanding of research subjects on the drug, hypertension diseases, and lifestyle
1440 modifications. Educational intervention in the form of counseling to the subject of research is
1441 provided without cost.
1442
1443 2.6 Analysis
1444
1445 The demographic data of research subjects were analyzed by descriptive statistics. Score/value of
1446 blood pressure and quality of life tested in distribution normality using Kolmogorov-Smirnov test.
1447 Normally distributed data were tested using parametric statistics, t test (for paired and free
1448 samples) and non-distributed data were resumed by different test with non-parametric statistic
1449 method, Wilcoxon test (for pre-post sample), and Mann Whitney test (For free samples in this case
1450 non-counseling and counseling groups).
1451 Effect of treatment in the form of pharmacist counseling was determined by comparing blood
1452 pressure and quality of life before and after treatment.

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1453 3. Results
1454
1455 The characteristics of the demographic of subjects who met the inclusion and exclusion criteria
1456 were 100 people divided randomly in two groups: 50 people in non-counseling group and 50 people
1457 in counseling group. The results of demographic parameters of female hypertensive patients
1458 (57/100) were more numerous than male (43/100). Mostly the age of the patients are 54-65 years
1459 old (60/100) followed by the age of 42- 53 years (32/100) as much as 60 people. The educational
1460 background of the patients varies, in which 47 people (47/100) graduated from high school followed
1461 by university level (28/100), elementary school (13/100) and junior high school (12/100). (Table 1.)
1462
1463 Table 1. Distribution of Research Subject Demographics
1464
Non-counseling (n=50) Counseling (n=50) Total (n=100)
Demographics
N % N % n %
Sex
Male 20 40 23 46 43 43
Female 30 60 27 54 57 57
Age (years)
18-29 1 2 1 2 2 2
30-41 3 6 3 6 6 6
42-53 13 26 19 38 32 32
54-65 33 66 27 54 60 60
Level of Education
Elementary School 7 14 6 12 13 13
Junior High School 7 14 5 10 12 12
High School 24 48 23 46 47 47
University Level 12 24 16 32 28 28
1465
1466 Differences in mean values of baseline blood pressure and end of observation in the subjects of non-
1467 counseling group are not significant (p> 0,05) both systolic blood pressure (p = 0,352) and diastolic
1468 blood pressure (p = 0,559). On the other hand, in counseling group, there was a significant difference
1469 (p <0.05) in both systolic blood pressure (p = 0,000) and diastolic blood pressure (p = 0.000). This
1470 data indicates a change in blood pressure in the group who received treatment in the form of
1471 pharmacist counseling. These results indicate that pharmacist counseling has a positive effect on
1472 decreasing systolic blood pressure (-9mmHg, p=0,000) and diastolic blood pressure (-7mmHg,
1473 p=0,000). Differences in mean values of blood pressure variables between pre-post non-counseling
1474 groups and pre-post counseling groups are presented in Table 2.
1475
1476 Table 2. Differences in Mean Value of Blood Pressure Variable (pre-post)
1477
Non-counseling Counseling
Criteria Mean ∆ Mean ∆
p p
Pre Post (Post – Pre) Pre Post (Post – Pre)
Systolic Blood Pressure 133,8 135,6 1,8 0,352 135,6 126,6 -9 0,000
Diastolic Blood Pressure 84,4 85,2 0,8 0,559 85,6 78,6 -7 0,000
1478
1479 In Table 3, the results of Mann Whitney test to the initial data (pre) of non-counseling group and
1480 counseling group for the indicator value of systolic blood pressure (p = 0.501) and diastolic blood
1481 pressure (p = 0.653) is not different (p> 0.05). In other word, (pre) systolic or diastolic blood
1482 pressure of the whole research subjects is the same or no significant difference. Different test of
1483 non-counseling group and counseling group for indicator value of systolic blood pressure (p =
1484 0,000) and diastolic blood pressure (p = 0,000) showed p value <0,05 meaning that there was a
1485 difference of blood pressure indicator value between non-counseling group and counseling group at
1486 the end of the observation. These results indicate the success of therapy in the form of decreasing
1487 both systolic and diastolic blood pressure influenced by the pharmacist counseling. Based on the

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1488 results of the interview, the patients revealed that the received pharmacist counseling made them
1489 become more understand the drugs, hypertension disease, and lifestyle modification and influence
1490 on the motivation of patients in the use of accepted drugs.
1491
1492 Table. 3 Mean of Blood Pressure and Compliance Variables (pre-pre and post-post)
1493
Pre non- Pre Post non- Post
Variable P P
counseling counseling counseling counseling
Systolic Blood Pressure 133,8 135,6 0,501 135,6 126,6 0,000
Diastolic Blood Pressure 84,4 85,2 0,653 85,2 78,6 0,000
1494
1495 The mean difference in scores of quality of life variables is based on the filling of the SF-36
1496 questionnaire done by pre-post research subjects. In the non-counseling group for the domain of
1497 physical function (p=0.771), general health (p=0.563), social function (p=0.099), and emotional
1498 limitation (p=0.191), there is no difference in the average number of scoring the initial data and the
1499 final data (one month after initial data retrieval without treatment) with p> 0,05. However, in physical
1500 function domain (0,021), body pain (p = 0,006), vitality (p = 0,000), and mental health (p = 0,020),
1501 there is an average difference in scores. The increase in the average number of scoring on non-
1502 counseling group before and after one month of observation for the domain of physical function,
1503 body pain, and general health is influenced by the drugs given to deal with complaints/clinical
1504 symptoms felt by the subject of current research health control to hospital (initial observation).
1505 Drugs given to deal with complaints/clinical symptoms in question are such as headache, low back
1506 pain (LBP) (paracetamol, diclofenac, meloxicam), abdominal pain (lansoprazole, Ranitidine,
1507 Ulsidex, Omeprazole), tingling, muscle cramps (Gabapentin, vitamin Neurotrophic), and depression
1508 (Amitriptyline).
1509 The increase in the mean scoring value of the domain of emotional limitation might be related
1510 to the age of the subjects in non-counseling group included in the criteria for adults (approximately
1511 55.74 ± 8.79 years), so that the subjects emotionally/psychologically have been able to accept the
1512 conditions/circumstances experienced. The mean of quality of life score of hypertensive patients
1513 (pre-post) is presented in Table 4.
1514 Generally, in the counseling group, there is a significant difference in the value of quality of life
1515 indicators before and after counseling on eight domains. The increase in the mean score before
1516 and after counseling on eight domains showed besides the drugs given during health controls to the
1517 hospital, there is intervention in the form of pharmacist counseling on the additional information
1518 regarding side effects of medication, hypertension, possible complications, the need for regular
1519 treatment and drug use as recommended, and lifestyle modification. In addition, based on
1520 interviews with research subjects, they feel the attention and motivation of the pharmacist as a
1521 provider of health services when getting counseling.
1522
1523 Table 4. Mean Score of Variable Quality of Life of Hypertensive Patients (pre-post)
1524
Non-counseling Counseling
Domain Mean ∆ Mean ∆
P P
Pre Post (Post - Pre) Pre Post (Post - Pre)
physical function 65,00 62,60 -2,40 0,021 59,70 76,20 16,50 0,000
physical limitations 16,53 18,00 1,47 0,771 10,50 65,50 55,00 0,000
body pain 49,00 61,75 12,75 0,006 57,50 86,00 28,50 0,000
general health 366,83 50,42 13,59 0,563 49,75 81,08 31,33 0,000
Vitality 62,20 59,00 -3,20 0,000 57,10 77,40 20.30 0,000
social function 48,00 57,75 9,75 0,099 57,75 77,50 19,75 0,000
emotional limitation 20,00 28,67 8,67 0,191 15,33 59,36 44,03 0,000
mental health 70,56 69,36 -1,20 0,020 62,48 87,60 25,12 0,000
1525
1526 The result of test of difference of indicator of quality of life which consist of eight domains between
1527 preliminary data in non-counseling and counseling group shows no significant difference (p> 0,05).

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1528 On the contrary, in post data between non-counseling and counseling group, there is no significant
1529 different in indicator value (p <0,05). This shows that the difference in the value of this indicator is
1530 due to the effect of the intervention in the form of pharmacist counseling. Test results are presented
1531 in Table 5.
1532
1533 Table 5. Mean Score of Quality of Life Variable of Hypertensive Patients (pre-pre and post-post)
1534
Pre non- Pre Post non- Post
Domain P p
counseling counseling counseling counseling
physical function 65,00 59,70 0,259 62,60 76,20 0,000
physical limitations 16,53 0,50 0,215 18,00 65,50 0,000
body pain 49,00 57,50 0,966 61,75 86,00 0,000
general health 36,83 49,75 0,643 50,42 81,08 0,000
Vitality 62,20 57,10 0,153 59,00 77,40 0,000
social function 48,00 57,75 0,587 57,75 77,50 0,000
emotional limitation 20,00 15,33 0,256 28,67 59,36 0,000
mental health 70,56 62,48 0,052 69,36 87,60 0,000
1535
1536 4. Research Ethics
1537
1538 The research was conducted after obtaining ethical permit from Health Research Ethics Committee
1539 of Faculty of Medicine, University of Nusa Cendana Kupang with the number of Letter of
1540 Recommendation of Ethical Approval: 02a/UN15.16/KEPK/2017, dated March 15, 2017. In this
1541 research, there are two groups which are non-counseling group and counseling group. Therefore,
1542 by considering ethical aspect, at the end of research, the subjects in non-counseling group are
1543 given treatment in the form of pharmacist counseling so there is no difference of treatment between
1544 both research groups.
1545
1546 5. Discussion
1547
1548 The results of this study indicated hypertensive patients are more dominated with female patients
1549 than male and the prevalence of hypertension mostly occurred at the age of 42-65 years. These
1550 results suggested that the diagnosis of hypertension begins at age ≥18 years and increases with
1551 age. In most cases, the increase in blood pressure correlates with increasing age and tends to be
1552 higher in women than in men. In addition, the majority of patients have a good level of education.
1553 Most of the patient’s mistakes are caused by the lack of understanding on treatment regimens such
1554 as dosage or self-regulation of the treatment regimen. The key role of the pharmacist in helping
1555 patients get the best therapeutic results is by providing pharmaceutical counseling services.
1556 Pharmacist counseling is one of pharmaceutical service responsibilities to improve patient
1557 understanding of treatment with the ultimate goal of achieving definite results of improving and/or
1558 maintaining patient quality of life.
1559 Pharmacist counseling can help to manage chronic diseases such as hypertension. What is
1560 given during counseling are in the form of attention, motivation, knowledge of medicines,
1561 hypertension, and lifestyle modification. This study showed an improvement in blood pressure,
1562 which in turn has an impact on the improvement of quality of life of hypertensive patients. These
1563 results were shown by differences in pre-post treatment outcomes and also validated as a result of
1564 treatment in the form of pharmacist counseling with different post test results in both groups. The
1565 role of pharmacists in the management of chronic diseases through counseling has reduced the
1566 information gaps related to complications. Based on the results of interviews, patients have the
1567 understanding that complications of kidney disorders is caused by long-term use of drugs so that
1568 hypertension medication is mostly done when the complaints/clinical symptoms in the form of
1569 headache and shoulder pain occur. Similar results by Mollaoğlu, et al (2015) also showed that drug
1570 is consumed only if there are clinical symptoms.
1571 Uncontrolled blood pressure mostly can lead to the decrease of quality of life of patients. This
1572 is due to poor medical compliance and lack of knowledge and awareness of hypertension.

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1573 In this study, pharmacist counseling provided the motivation for the patient not to be afraid of
1574 the side effects of the drug. In addition, it gave information related to the side effects of the drug
1575 and its treatment so that the patient consumed the drugs based on the rules without feeling fear of
1576 the side effects of the drug. The result of interviews with patients showed that they are afraid of
1577 taking drugs in the long term continuously with the consideration that the drugs received are
1578 chemicals and can cause interference effects on organs such as the kidney. Besides, drug use also
1579 becomes irregular due to perceived side effects such as cough and frequent urination during the
1580 night day.
1581
1582 6. Conclusion
1583
1584 This study showed that the role of the pharmacist in providing counseling to hypertensive patients
1585 has a positive impact in improving the patient’s understanding of medication, hypertension, and
1586 lifestyle modification to achieve maximum therapeutic effect and ultimately improve patient’s quality
1587 of life. In addition, the involvement of pharmacists in the therapeutic and management process of
1588 hypertensive diseases is highly significant because there is information gap related to the use of
1589 drugs obtained during health control.
1590 The results of this study indicated that pharmacist counseling could improve the therapeutic
1591 efficacy and quality of life of hypertensive patients. Therefore, it is expected to increase the role of
1592 pharmacists in the process of management of chronic diseases such as hypertension. Increasing
1593 the role of pharmacists through pharmaceutical services in the field of clinical pharmacy in the form
1594 of counseling can ultimately help to reduce the burden of the health system and can reduce drug-
1595 related problems, management of chronic diseases, and lifestyle modification of hypertensive
1596 patients in Kupang, East Nusa Tenggara.
1597
1598 7. Strengths and Limitations
1599
1600 What becomes the strength of this study is the success of therapy and quality of life influenced by
1601 the intervention in the form of pharmacist counseling. This is evidenced by the result of research
1602 using pretest-posttest design with a control group whose members were chosen randomly so that
1603 the states of both groups were equal before treatment.
1604 The limitation of this study is that the observation time is relatively short so it cannot guarantee
1605 the continuity of patient compliance in carrying out the therapy and lifestyle modification. However,
1606 the results of this study provide data that the intervention in the form of pharmacist counseling
1607 contributes to behavior change, the achievement of therapeutic effect, and quality of life of the
1608 patient.
1609
1610 8. Acknowledgement
1611
1612 Thank you to Rahmawati Y, Perwitasari DA, and Adnan A for permission to use the Indonesian
1613 version of SF-36 questionnaire, all respondents, and all parties who have participated in this
1614 research.
1615
1616 References
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