EAI는 아시아 지역의 민주적 거버넌스와 인권 증진에 관련된 연구를 진행하기 위해 2013년 11월 아시아민주주의연구네트워크(Asia Democracy Research Network: ADRN)를 발족했다. EAI는 국내 싱크탱크의 대표기관인 동시에 아시아 지역 싱크탱크의 직능대표로서 소속된 연구기관들의 민주주의 관련 연구지원 및 관리를 담당하고 있다.

ADRN은 아시아 지역이 직면한 민주주의 위협 요인을 분석하고 민주주의 전환 및 공고화에 기여할 수 있는 실무형 연구과제를 논의하고 확산하고자 창립되었다. ADRN은 연구에 기반한 정책 제시를 목표로 아시아 민주주의의 위협 요소와 당면과제를 점검하고 지역적 차원에서 바라보는 민주주의 발전을 위한 실천적 의제를 발굴하고 연구하고 있다. 네트워크에는 한국의 EAI를 비롯하여 대만, 말레이시아, 몽골, 미얀마, 방글라데시, 스리랑카, 인도, 인도네시아, 일본, 태국, 파키스탄, 필리핀 등 아시아 14개국 22개의 주요 싱크탱크들이 참여하고 있다. 

논평이슈브리핑
[ADRN Issue Briefing] Recent Defamation Case and Mounting State Onslaughts Against Political Opposition in India

In the recent years, the global spotlight has been on the steady deterioration of freedom and democracy in the world’s largest democracy. Many global democracy watchdogs have been reporting on the rise of majoritarianism, worsening status of minorities, shrinking media freedom, and a plummeting civil society in India (Freedom House 2023). However, not many have brought out the rising majoritarian onslaught on political opposition and their increasing marginalization by the current political regime. Some clear signs of this can be seen from the recent episodes in Parliament and beyond, particularly the disqualification of Mr. Rahul Gandhi, a key opposition figure, from his membership in the Lok Sabha over a defamation case.   The Defamation Saga   On 23 March 2023, a local court in Surat, Gujarat sentenced Mr. Rahul Gandhi, the prominent leader of main opposition Congress Party, two years in prison over a defamation case (Gandhi 2023). On 24 March, the Lok Sabha Secretariat issued a notice disqualifying Mr. Gandhi from the membership of lower house. As per the Representation of the People Act of 1951, Section 8(3) (based on 2013 Lily Thomas judgment by the Supreme Court), if a legislator is convicted for two-year or more for an offence, this will lead to disqualification from the House (Khan 2023). The defamation judgment by the lower court, which many analysts find frivolous and excessive (Bhatia 2023), has created massive uproars among opposition parties. They blame the ruling Bharatiya Janata Party (BJP) for weaponising defamation law to unseat a key leader who has been relentlessly questioning Prime Minister Mr. Narendra Modi on the recent Adani scandal (Tognini and Hyatt 2023).   The circumstances under which Mr. Gandhi’s defamation case proceeded, leading to his subsequent disqualification from the parliamentary membership, reek of political vendetta. Political analysts believe the defamation was largely orchestrated to debar Mr. Gandhi from vociferously criticizing the government and simultaneously sending a strong message to other key opposition figures. Take a look at the trajectories of the defamation case. While campaigning in Karnataka, Mr. Gandhi took an election jibe during the Lok Sabha polls in 2019. Intending to ridicule Prime Minister Modi, he said, “Why do all the thieves, be it Nirav Modi, Lalit Modi or Narendra Modi, have Modi in their names?” (The Hindu 2023a). Mr. Gandhi’s statement during the election campaign became a basis for Mr. Purnesh Modi, a BJP legislator from far off Gujarat, to file a case of criminal defamation against Mr. Gandhi. The BJP lawmaker claimed that Mr. Gandhi had “defamed 130 million living in the whole of India having the surname ‘Modi” (Poddar 2023). Over the next two years, the case progressed at a snail’s pace, given that it is very common for politicians to make such jibes during electioneering. So much so, the local court judge in Surat refused to comply with Purnesh Modi’s request that Gandhi be summoned to the court for a second time. In an unusual move, Mr. Modi approached the Gujarat High Court to indefinitely halt the proceedings of the defamation case. In a curious case, the High Court relented to the plea, and the case was put on hold until 16 February 2023. From nowhere, Mr. Purnesh Modi moved to the Gujarat High Court to unfreeze the petition, citing the availability of “new evidence,” and the court promptly agreed to the plea. With a new judge in charge, the defamation case proceeded very swiftly. As many as seven hearings were recorded in matter of three weeks. On 23 March 2023, the magistrate court judge pronounced the verdict convicting Mr. Gandhi to two years in prison for defaming the reputation of the petitioner and the Modi community in general. The conviction not only denies Rahul Gandhi of parliamentary membership, but it also debars him from contesting 2024 general elections (unless higher courts suspend the conviction).   Mr. Rahul Gandhi’s conviction and his subsequent disqualification has raised plenty of uncomfortable questions, both legal as well political. Legal experts feel that the defamation judgment by the magistrate was “excessive” and suffered from major infirmities. One, the criminal offence of defamation under the Indian Penal Code (Section 499) based on 1860 colonial law is very clear: if references or defamation are made to an indefinite “class” of people, an individual cannot claim that they are a member of that class and have therefore been defamed. As per the case law, the particular person who moves criminal proceedings for defamation has to demonstrate personal harm or injury due to the defamatory statement. Mr. Gandhi was convicted for the remark, “How is the names of all these thieves Modi, Modi, Modi…Nirav Modi, Lalit Modi, Narendra Modi.” None of the three names mentioned filed a complaint. It was filed by Purnesh Modi, a BJP legislator from the Gujarat, who asserted that by virtue of his surname, he, along with all other people bearing the surname “Modi,” were defamed by Mr. Gandhi (Bhatia 2023). Thus, the judgment seems legally unsustainable. Two, the maximum sentence awarded in this case appears to lack a sound legal basis. The defamation law prescribes maximum jail terms of two years, which should be in proportion to the gravity of the offence. Given that the complainant is not directly linked to Mr. Gandhi’s defamatory statement, the sentence seems to be “excessive.” Even if offensive, a generic statement cannot be so grave as to warrant the maximum sentence. Three, the defamation law and several judgments of the Supreme Court have clearly stated that the provision should be applied in rare cases (The Hindu 2023a). The lower court seems to have overlooked these rules and basic reasoning.   Beyond legal infirmities, Gandhi’s defamation episode (the timing and speed) raises lot of political questions. The defamation case, as mentioned earlier, was filed way back in 2019 by someone who was not directly connected with Mr. Gandhi’s statement. Furthermore, after two years of the case going nowhere, the complainant moves to Gujarat High Court to unfreeze the case. Curiously, the court relents to this unusual request. Then, after a year, the case is suddenly revived by the plaintiff, and with a new judge at helm, the case proceeds in an unusual speed, with the lower court recording as many as seven hearings in matter of 20 days. However, the reopening of defamation case seems to have coincided with Mr. Gandhi’s blistering attacks on Prime Minister’s Modi’s alleged links with industrialist Gautam Adani. Analysts feel that the defamation case was reopened to prevent Mr. Gandhi from raising uncomfortable questions on the floor of Parliament (Sharma 2023a). What further strengthens this line of thinking is the fact that in less than 24 hours of the lower court conviction, the Lok Sabha Secretariat issues a disqualification notice to Mr. Gandhi. According toprecedence and existing law (Section 8(4) of the Representation of Peoples’ Act, 1951), disqualifications take effect only after three months have elapsed from the date of any conviction, and the lawmaker fails to obtain a stay order from a superior court. Thus, the entire defamation episode reeks of partisan politics being played to silence the opposition voice. It has been carefully orchestrated not only to prevent Mr. Gandhi from raising uncomfortable questions on the floor of Parliament, but also to deprive him of contesting in the 2024 general elections.   Beyond Defamation: Weaponising State Agencies to Unsettle the Opposition   The Rahul Gandhi episode, which came as a huge shock for many, is not an isolated event. Since 2014, the regime has rarely spared any opportunities to target and weaken opposition parties. On numerous occasions, opposition figures have faced tax raids, been taken for questioning, held in prisons, and endlessly coerced by the state agencies. Let us further explore this.   First, soon after sweeping power in 2014, the BJP government has aggressively pursued cases against opposition leaders, including their regional rivals, using every instrument of the state. From the Enforcement Directorate (ED) to the Income Tax Department (IT) and the Central Bureau of Investigation (CBI), every state agency has been deployed to target key opposition leaders and their relatives. While every political dispensation in India, be it provincial level or at the federal sphere, indulge in targeting opposition leaders, the current regime is many miles ahead of them.   The staggering number of raids launched by central agencies against opposition leaders is telling. As per the media report, since 2014, a total of 121 political leaders have been probed (raided, questioned, arrested, etc.) by the ED alone. Of these, as many as 115 (95%) are from the opposition, whereas only 3 politicians from the ruling BJP are in the ED net (Mehra 2023). The number is in sharp contrast to the ED’s record during the Congress-led government between 2004 to 2014. During that period, out of 26 political leaders raided and investigated by the agency, 14 of them (54 per cent) were from Opposition (Tiwary 2022).   Although the ED in the recent years has emerged as government’s most potent weapon against the opposition, the trends are similar when it comes to other agencies, particularly the CBI. What makes the ED an effective tool for the government is the Prevention of Money Laundering Act (PMLA), a law that has been in existence since 2002 but was recently amended by the BJP government to provide more authority to the investigating agencies, especially the ED. While the stringent bail provisions and sweeping powers of the ED to search, arrest, and attach properties/assets of the accused remain intact, the government has recently expanded the scope of the PMLA to include “politically exposed persons” and “non-governmental organizations (NGOs)”. [1]   As a result, the ED has raided, questioned, arrested and jailed scores of politicians, with a significant majority of them being key opposition figures and their relatives. Not only has the ED raided and questioned scores of opposition leaders, including the senior leaders belonging to the main opposition (such as Sonia Gandhi and Rahul Gandhi in relation to the National Herald case), but the agency has also incarcerated a number of political leaders on money laundering charges (Express News Service 2022). Recently, alleging political vendetta by the ruling party, as many as 14 political parties, including the National Congress, petitioned the Supreme Court to curb the weaponisation of state agencies (Tripathi 2023).   Two things stand out in the context of the modus operandi of state agencies. One, while the ED has been pursuing money laundering cases with a missionary zeal, its records in terms of convictions is very low. As of July 2022, despite the ED registering 5,422 cases under the PMLA, only about 23 persons were convicted, which accounts for less than 0.5% (Hindustan Times 2022). Two, the moment any opposition politicians cross over to the ruling party, cases are dropped or probes get slowed by the state agencies. Several of them have been rewarded with ministerial berths in the government and attractive positions within the party (India Today 2023). Furthermore, it is widely alleged that the government has been selectively using state agencies to engineer defections or even bring down opposition-led governments (Sharma and Arunabh 2022). However, what is unprecedented is that opposition leaders are not spared from raids or arrests even during the middle of electioneering, something that no past governments have indulged in (Chauhan 2021).   Beyond the clever weaponisation of state agencies, there are multiple other means through which the ruling party has been trying to undermine and weaken the opposition parties. Lately, the government has been using administrative and procedural arbitrages, leveraging its brute majority in the lower house of Parliament, to limit the effectiveness of opposition parties in raising tough questions or demanding accountability from the executive. With some exceptions, in the last nine years, the treasury bench has consistently and stubbornly avoided to answer opposition demands, even on questions of national security, allegations of corruption, and rising prices. So much so, on number of occasions the government has allowed the complete washout of parliament sessions rather than responding to opposition demand for debate and probes by the joint parliamentary committee (JPC). For instance, recently the entire parliament session was lost as the ruling BJP declined the opposition’s demand for a debate and setting up of a JPC to investigate the alleged link between Prime Minister Modi and controversial billionaire Gautam Adani (The Hindu 2023b). While the entire opposition was hell-bent on their demand for JPC and answer from the Prime Minister, the treasury bench did not make single effort to reach out to a distrust opposition to find a way out. Thus, the Parliament is used less as a forum for debate and scrutiny and more as a mechanism to merely pass laws.[2]   Conclusion   To sum up, while the defamation case against Mr. Gandhi and his subsequent disqualification from the lower house may appear as an extreme case, it is not an isolated one. His case is indicative of a broader pattern in which the ruling party has been relentlessly targeting key opposition figures and their kin in multiple ways. This includes frequent raids by state agencies, exerting pressure on financial resources and political donation channels, engineering defections, and at times bringing down opposition-led governments. In several cases, the ruling party has managed to win over smaller parties and key regional leaders via economic and political incentives and coercive tactics. The ruling dispensation seems to be playing the copybooks of other illiberal democracies, particularly Hungary and Turkey, to weaken and defang the opposition.[3]   However, what is not helping the opposition cause is the continued infighting among opposition parties, which the ruling party is using to its advantages. Although the Rahul Gandhi case brought a rare unity among the opposition, it remains to be seen whether this unity will persist until the general election in 2024. In short, India’s democracy looks even weaker with a marginalized opposition, achieved through the machinations of the ruling party.   References   Bhatia, Gautam. 2023. “A disturbing example of the normalization of lawfare.” The Hindu. March 29. https://www.thehindu.com/opinion/lead/a-disturbing-example-of-the-normalisation-of-lawfare/article66672779.ece   Chauhan, Neeraj. 2021. “In election season, the raids are back – against Opposition leaders.” Hindustan Times. April 5. https://www.hindustantimes.com/india-news/in-election-season-the-raids-are-back-against-opposition-leaders-101617609673969.html   Express News Service. 2022. “ED questions Sonia for 6 hours; Rahul, other Congress leaders detained during protest.” The Indian Express. July 27. https://indianexpress.com/article/cities/delhi/rahul-other-congress-leaders-detained-during-protest-8053277/   Freedom House. 2023. “Freedom in the World 2023 – India.” https://freedomhouse.org/country/india/freedom-world/2023   Gandhi, Rahul. 2023. “The world’s biggest democracy is becoming less free.” The Economist. May 27. https://www.economist.com/asia/2023/03/27/the-worlds-biggest-democracy-is-becoming-less-free   Hindustan Times. 2022. “Only 23 convicted in 5,422 cases under PMLA till date: Govt to Lok Sabha.” July 26. https://www.hindustantimes.com/india-news/only-23-convicted-in-5-422-cases-under-pmla-till-date-govt-to-lok-sabha-101658774947795.html   India Today. 2023. “From Himanta to Scindia to Azad and now Badal: How Congress has been losing its top leaders.” January 18. https://www.indiatoday.in/india/story/from-himanta-to-scindia-to-azad-and-now-badal-how-congress-has-been-losing-its-top-leaders-2323291-2023-01-18   Khan, Khadija. 2023. “What is the Lily Thomas SC verdict, which affects Rahul Gandhi’s disqualification case.” The Indian Express. March 24. https://indianexpress.com/article/explained/explained-law/what-is-the-lily-thomas-rahul-gandhi-8515037/   Mehra, Ajay K. 2023. “The ED Wasn’t Created to Target the Opposition and Dissenters.” The Wire. January 6. https://thewire.in/politics/enforcement-directorate-target-opposition-dissenters   Öktem, Kerem, and Karabekir Akkoyunlu. 2016. “Exit from democracy: illiberal governance in Turkey and beyond.” Southeast European and Black Sea Studies 16, 4: 469-480. https://edisciplinas.usp.br/pluginfile.php/4402090/mod_resource/content/1/Oktem%20Akkoyunlu%20(2016)%20Exit%20from%20democracy%20illiberal%20governance%20in%20Turkey%20and%20beyond.pdf   Poddar, Umang. 2023. “Has Rahul Gandhi really defamed all Modis in India? No, say legal experts.” Scroll. March 25. https://scroll.in/article/1046235/has-rahul-gandhi-really-defamed-all-modis-in-india-no-say-legal-experts   PTI News Agency. 2023. “Govt amends anti-money laundering rules, brings ‘politically exposed persons’ under PMLA.” The Indian Express. March 10. https://indianexpress.com/article/india/govt-amends-anti-money-laundering-rules-brings-politically-exposed-persons-under-pmla-8489827/v   Sharma, Ashok. 2023a. “India’s Rahul Gandhi accuses PM Modi of favoring Adani Group.” AP News. March 25. https://apnews.com/article/india-gandhi-modi-adani-89e037a70af49cec743592341d20cea5   Sharma, Pratul. 2023b. “‘Disorder is the new order’: The politics of parliamentary disruption.” The Week. April 6. https://www.theweek.in/news/india/2023/04/06/politics-of-parliamentary-disruption-budget-session-ends-with-low-productivity.html   Sharma, Supriya, and Arunabh Saikia. 2022. “How the Modi government has weaponised the ED to go after India’s Opposition.” Scroll. July 5. https://scroll.in/article/1027571/how-the-modi-government-has-weaponised-the-ed-to-go-after-indias-opposition   The Hindu. 2023a. “Chilling effect: On defamation, free speech and the Rahul Gandhi case.” March 25. https://www.thehindu.com/opinion/editorial/chilling-effect-the-hindu-editorial-on-defamation-free-speech-and-the-rahul-gandhi-case/article66657495.ece   The Hindu. 2023b. “Opposition, government blame each other for Budget session’s second half washout.” April 6. https://www.thehindu.com/news/national/opposition-government-blame-each-other-for-budget-sessions-second-half-washout/article66706764.ece   Tiwary, Deeptiman. 2022. “Since 2014, 4-fold jump in ED cases against politicians; 95% are from Opposition.” The Indian Express. September 21. https://indianexpress.com/article/express-exclusive/since-2014-4-fold-jump-in-ed-cases-against-politicians-95-per-cent-are-from-opposition-8163060/   Tognini, Giacomo, and John Hyatt. 2023. “Gautam Adani’s Odyssey: From A Diamond Sorting Teenager to World’s Second Richest to Fraud Allegations.” Forbes. March 30. https://www.forbes.com/sites/giacomotognini/2023/03/30/gautam-adanis-odyssey-from-a-diamond-sorting-teenager-to-worlds-second-richest-to-fraud-allegations/?sh=4258b74731c5   Tripathi, Ashish. 2023. “SC junks plea by 14 Opposition parties accusing Centre of misusing CBI, ED.” Deccan Herald. April 5. https://www.deccanherald.com/assembly-election-2019/sc-junks-plea-by-14-opposition-parties-accusing-centre-of-misusing-cbi-ed-1206905.html     [1] As per the amended PMLA rules, politically exposed persons are “individuals who have been entrusted with prominent public functions by a foreign country, including the heads of States or Governments, senior politicians, senior government or judicial or military officers, senior executives of state-owned corporations and important political party officials”. See PTI News Agency (2023).   [2] According to think tank PRS Legislaive, “The 17th Lok Sabha may turn out to be the shortest full term Lok Sabha since 1952. Entering the final year of its term, the 17th Lok Sabha has functioned for 230 sitting days so far. Of all the Lok Sabhas that completed the full five-year term, the 16th Lok Sabha had the lowest sitting days (331). With one more year remaining in the term, and 58 average sitting days a year, the 17th Lok Sabha is unlikely to sit for more than 331 days. This could make it the shortest full term Lok Sabha since 1952” (Sharma 2023b).   [3] For an excellent analysis of this, see Öktem and Akkoyunlu (2016).     ■ Niranjan Sahool, PhD, is a Senior Fellow with ORF’s Governance and Politics Initiative. With years of expertise in governance and public policy, he now anchors studies and programmes on democracy, human rights, federalism, electoral reforms (particularly issues related to political funding), and cross-cutting issues of exclusion, insurgencies, affirmative action and inclusion. A recipient of the Asia Fellowship (2009) and a former Sir Ratan Tata Fellow, he currently serves as the South Asia member for the Carnegie Rising Democracies Network, where he debates and writes on democracy, foreign policy, human rights and other related issues.     ■ 담당 및 편집: 박지수, EAI 연구원     문의: 02 2277 1683 (ext. 208) | jspark@eai.or.kr  

Niranjan Sahoo 2023-05-24조회 : 7208
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[ADRN Special Report] South Korea’s Co-Hosting of S4D and Democracy Diplomacy: Focused on the Anti-Corruption Agenda of the Indo-Pacific

As one of the co-hosts of the Summit for Democracy 2023, the South Korean government held an Indo-Pacific regional conference on “anti-corruption.” This reflects the world’s recognition of South Korea’s democratization and achievements over the past 35 years. A key to South Korea’s success in institutionalizing a high level of democracy, including rule of law, fair elections, judicial independence, and citizen participation, is that it has effectively dealt with corruption.   Regardless of the type of regime, all governments that pursue good governance have a great interest in establishing laws and Systеms to manage corruption. This is because governments are well aware that resolving corruption plays an important role in achieving economic growth and public trust toward the government. For this reason, the South Korean government was able to take advantage of this diplomatic opportunity to lead international cooperation among countries in the Indo-Pacific region with the common interest in “anti-corruption.”   Corruption undermines economic development and democracy. Predatory states impede economic development by diverting government resources for private use by the privileged few rather than creating public goods for the general population. Through kleptocracy, which seeks to maintain government power by extorting public funds, politicians continuously undermine the fairness of elections, making it difficult to institutionalize democracy. Civil liberties are bound to be restricted in countries where kleptocracy is rampant; as a result, the driving force for anti-corruption movements led by the people is weak. For this reason, particularly in countries where democratization has not been sufficiently achieved, it is the active will of national leaders that determines the success or failure of anti-corruption reform. In countries with a well-developed meritocratic bureaucracy, there exists “ethical universalism” that takes for granted the Admіnistration’s fairness and compliance with rules regarding the distribution of public resources, making it possible to achieve anti-corruption reforms even when the pressure from civil society is weak. However, the continuous and actual operation of the anti-corruption Systеm is only possible through democratization of the political Systеm and change in social awareness. Therefore, creating a virtuous cycle in which a country with functional Admіnistrative capacity initiates an anti-corruption reform, achieves economic development as a result of the institutional reform, and consolidates social coalitions supporting anti-corruption is of paramount importance in resolving corruption.   Grounded on the critical awareness above, this report analyzes the relationship between democracy and corruption, South Korea’s anti-corruption experience, South Korea’s anti-corruption legislation and international cooperation, and the relationship between South Korea’s e-government and anti-corruption. Based on the key findings obtained from the analysis and the experience of South Korean cases, we propose anti-corruption action plans for intergovernmental cooperation in the Indo-Pacific region that the South Korean government can adopt.   Relationship between Democracy and Corruption   The state of democracy within a country significantly influences its politics, economy, and society. The opportunity structures and degree of punishment for corruption are also determined by the democratic nature of the political Systеm. At the same time, it is also important to note that the level of prevalence of corruption greatly impacts how well democracy works. Systеmatic corruption can hinder the social establishment of democracy; therefore, the more corruption is reduced, the more mature democracy becomes. In the mutual cyclical relationship between democracy and corruption, an anti-corruption reform policy focuses on the creation of a virtuous cycle in which the development of democracy leads to effective anti-corruption activities and continuous anti-corruption activities lead to mature democracy.   The following institutional effects enable democracy to generate an impetus for reducing corruption. First, the operation of vertical accountability lowers the incentive to participate in corrupt activities by punishing corrupt politicians or political parties through elections. Second, increased institutional transparency enables mutual monitoring through party competition and strengthens the surveillance function of civil society and the media, which consequently increases the possibility of uncovering corruption. Third, the operation of horizontal accountability enables the limit on government power, rule of law, division of powers, and checks and balances to be established as the working norms of interaction among authorities. As a result, pre- and post-surveillance of those in power becomes more effective, which reduces the frequency of corrupt acts based on collusion between the authorities. Fourth, power decentralization contributes to the reduction of corrupt activities by lowering the possibility of large-scale corruption such as massive extortion and political-business collusion resulting from power concentration and by facilitating the establishment of anti-corruption coalitions at various junctions between the state and society.   The degree of democracy and corruption shows a unimodal pattern in which the severity of corruption increases during democratic transition and decreases during democratic consolidation. In other words, in the early stage of democratization, accountability of power, institutional transparency, and decentralization develop unevenly; resultantly, the monitoring of corruption and punishment cannot be effectively carried out, leading to a rise in the level of corruption. However, in the mature stage of democratization, fair elections take root, the independence of civil society and the media increases, separation of powers and the principles of checks and balances are established, and decentralization of power progresses. This greatly alleviates the severity of corruption. Although the introduction of democracy does not immediately solve corruption, the deepening of democracy provides the most effective institutional background for solving corruption.   It is difficult to expect the development of democracy without active efforts to resolve corruption. First, the prevalence of corruption hinders the economic growth of a country and deprives the opportunity for democratic transition through economic development. Corruption negatively impacts economic growth by lowering investment efficiency, increasing transaction costs of international trade, and privatizing national resources and plundering the private sector. This ultimately undermines the economic foundations for democratic transition. Second, corruption protects the privileged who abuse their political power to pursue private gain. This weakens the norms of equality and fairness among the general public and lowers the trust in the rule of law and justice, ultimately undermining the democratic legitimacy of the political Systеm. Third, corruption provokes citizens’ antipathy toward political elites, which leads to skepticism about institutional politics. As a result, it contributes to the crisis of democracy by facilitating the rise of populist political forces.   In short, it is important to create a virtuous cycle between the development of democracy and the resolution of corruption. The development of democracy provides an opportunity to overhaul the anti-corruption Systеm and provides conditions for the Systеm to function properly. Resolving corruption improves the quality of democracy and increases citizens’ trust and support for democracy. In short, continuous and effective anti-corruption activities against those in power and public officials require the development and maturity of democracy.   Anti-corruption Experience of South Korea   The democratic transition in 1987 was the starting point for South Korea’s institutional anti-corruption efforts. The introduction of free and competitive electoral Systеms guaranteed citizens the right to judge the political elite, institutionalizing regular opportunities for citizens to replace corrupt political elites. The South Korean society has internalized a Systеmatic incentive to establish a long-term anti-corruption Systеm and introduce a sustainable anti-corruption policy. As an institutional consequence, the South Korean government enacted a series of anti-corruption laws after democratization and launched an independent government institution for combating corruption. In 1999, the Anti-Corruption Special Committee was launched to fight against corruption. Since then, this committee has evolved into the Anti-Corruption Committee (2001), National Integrity Commission (2005), and Anti-Corruption and Civil Rights Commission (2009). As a result, at the empirical level, a clear correlation can be found between the development of democracy and the improvement in curbing corruption in South Korea after the democratic transition in 1987.   South Korea’s experience clearly demonstrates that while democratization itself is not a one-size-fits-all solution for corruption, the problem can be significantly improved through the democratically-reformed government’s will and effort to institutionalize anti-corruption. In particular, the case of South Korea showed that legal arrangements are essential for tackling corruption. South Korea’s effort to enact various anti-corruption legislations throughout the past thirty years has been essential in establishing a Systеm to manage corruption independently from the government and transitioning to a political culture of integrity. Some representative anti-corruption laws include the amendment to the Public Service Ethics Act, Real Name Financial Transactions Act, Anti-Corruption Act, Improper Solicitation and Graft Act, and Conflict of Interest Act.   Civil society’s surveillance and pressure have played an important role in continuously curbing corruption in South Korea. Through democratization, the negative perception of corruption spread in civil society and the social consensus on resolving corruption became stronger; therefore, the anti-corruption activities of civic groups received firm support from the people. The institutionalization of anti-corruption reform from the top and the eruption of anti-corruption pressure from the bottom created a virtuous cycle and revamped South Korea’s corruption-friendly environment. The Citizens’ Coalition for Economic Justice played a pivotal role in the process of legislating the real-name transaction Systеms in finance and real estate, and the People’s Solidarity for Participatory Democracy contributed to the enactment of the Anti-Corruption Act and the boycott of corrupt candidates during election campaigns. These activities are examples of the important contributions made by civic groups in enacting anti-corruption legislations.   In short, South Korea is an example of actively promoting the institutionalization and legislation of anti-corruption reform in a relatively early period after democratization. Independent anti-corruption agencies and oversight bodies were established, and both the public and private sectors continued to create legislations to combat corruption. As the government’s anti-corruption efforts were combined with civil society’s role of monitoring, a virtuous cycle was created between the development of democracy and the efforts to fight corruption.   South Korea’s Legislation on Anti-corruption and International Cooperation   Since corruption transcends national borders, the international community has worked together to solve this problem. The international community’s discussions and cooperation began with the enactment of the Foreign Corrupt Practices Act in the United States in 1977, followed by the Organization for Economic Cooperation and Development’s Anti-Bribery Convention in 1999, and led to the conclusion of the UN Convention against Corruption in 2003. The UN Convention against Corruption (the “UN Convention”), which is based on a multilateral agreement signed for the prevention and resolution of corruption, is a key instrument of international anti-corruption strategy that aims to prevent transnational organized crime.   South Korea enacted the Anti-Corruption Act in 2001 before the UN introduced anti-corruption Convention. Around the ratification of this UN Convention in 2008, lawmakers legislated the Confiscation and Return of Property Acquired through Corrupt Practices. Subsequently, the Public Interest Whistleblower Protection Act (2011), the Improper Solicitation and Graft Act (2016), and the Conflict of Interest Prevention Act (2022) have been enacted. While the UN Convention categorizes corruption into direct and indirect practices, active and passive practices, and grand and petty practices, South Korea’s legislations have been established and amended to adjust to the social need for different types of corruption prevention and punishment. As a result, South Korea’s anti-corruption legislations have been well-received domestically and have been hailed globally as an exemplary case of international cooperation against corruption.   A distinctive feature of South Korea’s anti-corruption legislation is that laws were already in place before the establishment of an international convention for anti-corruption, which facilitated South Korea’s engagement in international cooperation efforts. First, the subject of bribery of public officials, as defined by the UN Convention, includes promises and provision of undue benefits as well as demands and receipts. In the case of South Korea, bribery of public officials has already been established as a criminal offense. Second, the UN Convention extends the regulations of national public officials to foreign public officials and employees of public international organizations. Although the South Korean Criminal Law does not include foreign public officials and officials of public international organizations as subjects of bribery, promises and offering of bribes to foreign public officials are subject to punishment under a separate law (International Bribery Prevention Act). Third, the crimes of embezzlement and breach of trust by public officials covered by the UN Convention are in line with South Korea’s Code and the Anti-Corruption Act, and the relevant practices are already under domestic legal control. Fourth, the UN Convention stipulates even the undue provision of money and goods by the private sector as targets for regulation. In the South Korean legal Systеm, breach of trust under the Criminal Code and prohibition of receiving rebates under the Health and Medical Act are in place to handle such practices. In addition, by enforcing the Public Interest Whistleblower Protection Act, the private sector is encouraged to report public interest violations and public interest whistleblowers are protected and supported.   In South Korea’s anti-corruption legislation, the problems to be improved in legal compliance with international conventions include unlawful accumulation of wealth and obstruction of justice. First, the UN Convention defines illicit enrichment as a significant increase in the assets that cannot be reasonably explained, not as a particular conduct. However, the South Korea’s legal Systеm does not have provisions to directly punish public officials for illegal accumulation, but instead imposes Admіnistrative sanctions (warnings, corrections, fines, dismissal, etc.). Because the current law fails to punish illicit enrichment itself as a crime, it is necessary to establish the corpus delicti for unlawful accumulation of wealth. Second, the UN Convention stipulates acts of obstruction of corruption investigation (inducing false testimony, interfering in the giving of testimony or the production of evidence interfering with the exercise of official duties) as obstruction of justice. On the other hand, the South Korean legal Systеm has no regulations on obstruction of justice, creating a gap that needs to be filled.   In short, South Korea’s legal Systеm is an exemplary case that meets international standards, and the public responds highly to the anti-corruption law, contributing to international cooperation against corruption.   South Korean E-government and Anti-corruption   E-government is an instrument to enhance institutional transparency and effectively control corruption. The introduction of e-government alone does not guarantee anti-corruption, but it contributes to restoring public trust in government by increasing transparency and openness.   Since democratization, the South Korean government has introduced groundbreaking e-government policies and gradually implemented supplementary measures. Following the enactment of the Framework Act on Information Promotion in 1995, the e-Government Act in 2001 was an effort to realize transparency in public Admіnistration beyond effectively computerizing Admіnistration. The ‘On-Nara Systеm’ in 2003 (an electronic procurement Systеm), ‘e-People’ (an electronic petition Systеm) in 2008, the Personal Information Protection Act in 2011, and the establishment of Government 3.0 made public information available to the public and enhanced the transparency and responsiveness of the government’s public services.   The implementation of e-government contributes to anti-corruption reform by increasing the transparency of the policy process, but it is not sufficient for combating corruption. It is important to note that e-government Systеms such as public information openness, electronic procurement, petition and digital participation of citizens cannot eradicate corruption without active citizen participation. If Information and Communications Technology (ICT) advances in a country with low citizen participation, the introduction of e-government could rather open up new opportunities for corruption. South Korea is making continuous efforts to improve public access to information and better communicate with the public on policy issues by creating a platform for citizens to participate in e-government, with an ultimate aim to promote transparency and anti-corruption effects. South Korea’s experience is a model case in which active citizen participation coupled with the introduction of e-government created a virtuous cycle that helped combat corruption.   For the past five years, South Korea has been exporting e-government Systеms to many countries, mainly in Asia and Africa. Upon some foreign governments’ request to the Anti-Corruption and Civil Rights Commission, South Korea has even conducted a training program on institutionalizing e-government. South Korea has a rich experience in supporting anti-corruption reforms and improving transparency of the governments in the Asia-Pacific region by disseminating its e-government Systеm as well as human and intellectual resources via Open Government Partnership (OGP) and public funds.   In essence, the South Korean government has significantly enhanced its anti-corruption capacity by strengthening the transparency of the government’s policy process and Admіnistrative work through actively introducing ICT into its Admіnistrative Systеm. It encouraged citizen participation at various levels by using e-government and ICT and created a virtuous cycle of curbing corruption through which active citizen participation increased government transparency. The development of e-government coupled with citizen participation can contribute to strengthening anti-corruption capabilities, improving transparency in government Admіnistration, and restoring trust in government.   Policy Implications   The important findings regarding anti-corruption are as follows. First, the role of the government or political leaders is crucial during the initial stage of institutionalizing anti-corruption. The will of anti-corruption reform can be promoted either by a democratic government after democratization or by an authoritarian government seeking to promote the rule of law or economic development, apart from democratization. In the early stage of anti-corruption institutionalization, a minimalist approach aimed at reducing and preventing corruption is preferable to persuading anti-corruption reform to improve the quality of democracy.   Second, continuous anti-corruption reform can be expected to be effective only when it works together with a comprehensive democratic Systеm and norms that improve the government’s vertical accountability. This is why it is necessary to establish an electoral democracy in which corrupt politicians can be expelled through elections. It is also essential to institutionalize mutual monitoring and checks among authorities, such as separation of powers, checks by the parliament, judicial independence, the establishment of the rule of law, and decentralization, by promoting the government’s horizontal accountability.   Third, in the later stage of the institutionalization of anti-corruption, a strategy to reduce the size of the corrupt coalition force and nurture the anti-corruption coalition force is needed. The expansion of anti-corruption supporters must be done through solidarity with private sector parties, such as civil society, labor unions, media, educational organizations, and corporations. Political elites who pursue anti-corruption must secure continued support for anti-corruption reform through solidarity with civil society.   Fourth, cooperation with the international community can act as a catalyst for domestic anti-corruption reform. When the governments of developing countries deem anti-corruption as a path to modernization and seek cooperation with international and private anti-corruption bodies, the international community emerges as an effective ally for the anti-corruption reform. In particular, it would be effective to have Asian and African countries with model experience in anti-corruption reform. Their leadership would not provoke anti-colonial sentiment or be misunderstood as intervention in domestic politics by developing countries.   This report proposes the following agenda to share South Korea’s experience in anti-corruption institutionalization with other countries in the Indo-Pacific. First, South Korea’s institutionalization of anti-corruption has a great story to tell. As the anti-corruption story was accomplished through trial and error and consistent efforts to institutionalize and enact anti-corruption, it could be presented as a gradual reform model to the countries in the Indo-Pacific.   Second, the countries in the Indo-Pacific need to promote international cooperation while sufficiently understanding each other’s social and economic conditions, in addition to respective anti-corruption laws and Systеms. The anti-corruption agenda can be practiced mutually while sharing information and experiences by establishing a public–private 1.5 track, tentatively named “the Indo-Pacific Regional Anti-Corruption Forum.” South Korea’s experience in exporting a transparent government model, especially through public funds for e-government and cooperation with the OGP, is a strength. The South Korean government must serve as a convener, collaborator, and facilitator of regional anti-corruption platforms while simultaneously seeking ways to apply global standards that it has acquired from engaging in advanced anti-corruption networks. By doing this, South Korea will be able to play a leading role in international cooperation against corruption in the Indo-Pacific. ■     ■ East Asia Institute (EAI) is a non-profit, independent, private think tank founded in 2002 with the mission of seeking to establish a regional community based on democracy and market economy. EAI serves as the secretariat of the ADRN responsible for supporting and managing collaborative research and related activities of the member institutions.     ■ 담당 및 편집: 박지수, EAI 연구원     문의: 02 2277 1683 (ext. 208) | jspark@eai.or.kr  

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[ADRN Working Paper] Horizontal Accountability at Risk: Executive Aggrandizement in the Philippines

1. Introduction   Authoritarian rule from 1972 to 1986 was the pinnacle of executive aggrandizement in post-independence politics in the Philippines, as, during this period, the President exercised executive, legislative, and judicial functions. The return of democracy following the 1986 People Power Revolution shaped the 1987 Constitution that promotes horizontal accountability by strengthening the legislative and judicial roles in a democratic systеm of checks and balances. Oversight agencies that conduct audits, corruption, and human rights investigations on the irregular use of executive authority also set up further institutional limits. However, even with the democratic safeguards offered by the Constitution, horizontal accountability seems to be at risk with the rise of authoritarian populism over the past decade. It is important to assess the capacity of state institutions, including the legislative and judicial branches of government and other oversight agencies, to check the rebirth of executive aggrandizement, albeit under a systеm of formal democracy.   This research seeks to assess the three major sectors of government to evaluate the current state of horizontal accountability in the Philippines and its associated risks; first, the efficacy of the Congress of the Philippines in exercising legislative oversight over the executive branch in the implementation and governance of public policies and programs; second, the independence of the Supreme Court in using judicial power to sanction unlawful decisions by the executive; third, the capability of the oversight agencies, such as the Office of the Ombudsman, Commission on Audit (COA), Civil Service Commission (CSC), and Commission on Human Rights (CHR), and its responsibility to hold the executive accountable for its actions. This research hopes to draw policy recommendations for strengthening horizontal accountability mechanisms and checking executive aggrandizement in the Philippines from these assessments.   This research utilizes a qualitative research methodology. First, it will examine the relevant literature by doing a desk review of books, journal articles, policy reports, and conference proceedings. Then it will then conduct key informant interviews and focus group discussions with relevant stakeholders, government officials, civil society representatives, and thought leaders to get their perspectives on the issues, problems, and challenges surrounding horizontal accountability in the Philippines.   2. Philippine Executive Aggrandizement Post-1987   Executive aggrandizement is the use of political power by nominally democratically elected incumbents, almost exclusively national executives, to concentrate power and weaken all forms of opposition against them (Bermeo 2016, 10-11; Croissant 2020). Four main objectives define executive aggrandizement: 1) the recompense of political allies; 2) the punishment of political enemies, critics, and dissidents; 3) the curtailment of the independent news media and civil and political liberties; and (4) the degradation of constitutional checks and balances and the rule of law (Croissant 2020). It is usually undertaken through institutional changes achieved through legal and constitutional avenues such as parliaments, referenda, and existing judiciaries, giving these consolidating undertakings a veneer of democratic mandate and legitimacy (Bermeo 2016, 10-11). Deep-seated institutional malfunctions and attacks on institutional capacity could lead to significant executive aggrandizement and, perhaps, even new authoritarianism (Froomkin and Shapiro 2021), with weak party systеms a prominent example of such institutional malfunction (Ufen 2022). Further support for executive aggrandizement is popular support, especially from individuals and groups that belong to either social sectors that have greatly benefited from the systеm or those from predominant social groups (Schafer 2021).   This flies in the face of democracy, particularly in its continued requirement for checks and balances and overall accountability in the government. Horizontal and vertical accountability are both needed to maintain genuine democracy, which is, by design and definition, always polarizing and contentious, be it on traditional issues such as socioeconomic divides and ideological differences or modern concerns and perspectives on the use, misuse, and abuse of the powers of elected officials (Slater and Arugay 2018). Horizontal accountability is defined as the relational network among co-equal sectors of government, usually between the supposed co-equal branches of government, which contrasts with the principal-agent relationship in vertical accountability, such as between the government and the citizenry (Lührmann, Marquardt, and Mechkova 2020; Bovens 2021, 196-200). Horizontal accountability is operationalized through formal rules and institutions through which oversight over government actions can be carried out, especially legislative and judicial oversight (Slater and Arugay 2018, 93). As such, much attention is given to the executive branch since it is the one branch empowered with and responsible for executing laws and agendas (Lührmann, Marquardt and Mechkova 2020, 812; see also O’Donnell 1998 and Bovens 2021). In democracies functioning appropriately, some democratic erosion can occur, but not to the point of breakage if the accountability mechanisms work together to keep incumbents in check and pressure them out of any moves toward further erosion (Laebens and Lührmann 2021).   Arguably, this issue in the Philippines has never considered novel, and the associated risks persist despite the return to democracy in 1987. For example, Slater and Arugay (2018) argued that the EDSA People Power Revolution of 1986 never curbed the control of the national oligarchy, nor did it result in reduced socioeconomic inequality (98). Meanwhile, Lorch (2021) noted that despite the progress made since 1987, civil society in the Philippines remained easily captureable by the political elite, which has similarly happened in Bangladesh and Thailand. The Duterte presidency is the epitome of the recurrent populist and executive-aggrandizing governance in the Philippines since his populist rhetoric, supported by long-standing democratic deficiencies, enabled him to assume the Philippine presidency and enact the erosion of independent institutions and the marginalization of political critics and opponents. It does not help that, as Dulay et al. (2022) would note, that historical memory of the Martial Law era has been positive, especially to those who lived through it, giving a sense of nostalgia that further justifies the current backsliding in the Philippines. Aside from the Martial Law nostalgia, there has been a concerted apologia and historical revisionism for authoritarian rule, bolstered by the apparent lack of consequences for all the perpetrators involved, ruining the chances not only for full transitional justice but also for further democratization as the lessons from the past experiences have been distorted and subverted (Tugade 2020).   Political party institutionalization remains weak in the Philippines; thus, personalism, clientelism, and idiosyncratic executive policies remain mainstream, just as in Indonesia and Thailand (Ufen 2022). Other governance issues also remain in the country, such as personalistic and patronage politics, political violence, electoral manipulation, and corruption, all of which contribute to the further erosion of the country’s democracy and its institutions, so much that the conservative hope for the 2022 General Elections was for the incoming admіnistration to initiate the process of reform to be carried over by the succeeding admіnistrations (Buendia 2022). Teehankee and Calimbahin (2020) summarize these various concerns as the confluence of state, societal and economic institutions and forces conspiring, whether willingly or inadvertently, to further a defective democracy.   Duterte’s presidency is considered a watershed moment for Filipino democracy because it has pulled the country further from democracy. Within the first few months of the Duterte presidency, Timberman (2016) noted that despite Duterte’s promises to tackle criminality, constitutional change, and poverty, he was worryingly disrespectful of democratic politics and governance. Thompson (2016) also reported on Duterte’s determination to launch an all-out violent war on drugs. It is not surprising then that Dressel and Bonoan (2019) were able to chronicle how the first half of the Duterte admіnistration alone was filled with episodes and machinations aimed at dismantling the liberal democratic order in the country, from attacks on the Commission on Human Rights and the ombudsman to attacks aimed at journalists and media networks critical of his admіnistration, and generally to the notion of the rule of law itself. Pernia (2019) further relates Duterte’s populism and his indifference towards and violation of human rights as a candid reflection of Filipino “authoritarian culture and illiberal values” (56).   This is not to say that the Philippines has not seen some progress in terms of its democratization, but hindsight indicates that these efforts were insufficient to prevent such a backslide. The Benigno Aquino Ⅲ admіnistration leaned toward democratization; however, its failure to fully address the profound and persistent democratic challenges, including poor levels of political participation, institutionalization and governance, and recurrent abuses of power, has led to Duterte utilizing these challenges for his populist rhetoric of grievances (Bautista Fernandez 2021, 186-194). Indeed, there were hopes that the younger Aquino’s admіnistration would usher in an era of true democracy in the Philippines, but even then, the threats posed by oligarchic structures and dysfunctional institutions were already apparent (Dressel 2011). Furthermore, there has been pushback against Duterte and his executive aggrandizement, especially in light of his human rights abuses and silencing of critics. However, Duterte’s high opinion ratings, his domination of the Filipino social media landscape, and his allies’ sweep of the midterm legislative elections in 2019 gave much legitimacy to the admіnistration, making arguments by the democratic opposition of Duterte appear undemocratic; and therefore marking the opposition as relatively weak, per se (Thompson 2021).   Another thing to consider is the constellation of political institutions within the Philippine political systеm, supposedly responsible for preventing executive aggrandizement and overreach, though earlier assessments consider these institutions ineffective. Rose-Ackerman, Disierto, and Volosin (2011) highlight the presence of hyper-presidentialism, the argumentation and policy action of national executives to expand their powers and freedom to act through their distortion and subversion of constitutional checks and balances on the executive, in the Philippines, as well as Argentina. Likewise, Medina-Guce and Galindes (2018) point out that executive aggrandizement was the result of undue hyper-presidentialism, the political symbiosis between the presidency and the Philippine Congress, the general inability of the constitutionally mandated institutions to credibly mitigate executive power, and the executive’s complicated relationship with traditional and social media.   The constellation of institutions in the Philippines includes Congress, the Supreme Court, the Constitutional Commissions, and the other agencies legally and constitutionally bound to investigate and prosecute abuses of power such as corruption (e.g., COA and the ombudsman) and human rights violations (e.g., CHR). Congress, as noted earlier, is in a close symbiotic relationship with the presidency, making it critically ineffective in curbing executive expansion, perhaps even consenting to it (Medina-Guce and Galindes 2018). Symbiosis and hyper-presidentialism result from a political power structure that positions the president as the key distributor of national patronage and influence for members of Congress (Relacion and Magalzo 2014, Medina-Guce and Galindes 2018; Thompson 2018). The most obvious indicators of this symbiosis are the transience of Filipino political parties and the movement of most members of Congress toward the president's political party, which leads to low levels of accountability (Case 2011; Thompson 2018).   Meanwhile, the Supreme Court could have been a crucial actor in the constraint of executive aggrandizement but is instead “embroiled with and is constrained by the broader political struggle among elites and other social forces,” making the function and efficacy of the Court closely contingent on the levels of democratization and public support to the judiciary (Deinla 2014, 151). A closer examination of the Supreme Court’s judicial behavior, however, suggests a more positive picture, noting that despite the general disposition of the Court towards deference to the admіnistration in office and some presence of political allegiances among individual justices, a substantial portion of the votes on politically salient cases has been against the sitting admіnistration (Escresa and Garoupa 2012; Pellegrina, Escresa, and Garoupa 2014). The Supreme Court plays a crucial role in safeguarding democracy through the judicialization of politics, ensuring basic human rights against any arbitrary action from the government, such as extrajudicial killings (Orosa 2012).   As for the oversight bodies, results are described, charitably, as mixed and inconsistent. Batalla (2015 and 2020) noted the poor performance of anti-corruption agencies, such as the ombudsman and COA, due to the legal, regulatory, and operational overlaps and deficiencies in these agencies resulting in inconsistent application of anti-corruption legislation and significant episodes of grand corruption involving the presidency. However, these agencies may still show signs of efficacy, as Magtulis and Poquiz (2016) reported a surprisingly positive correlation between increased government expenditure and better public perception of corruption in the government. As for the CHR, Netipatalachoochote, Colombi Ciacchi, and Holzhacker (2020) found that it has adequate protection capacity and stable mandates but is hampered considerably by Duterte’s violative rhetoric on human rights and the resulting limitations in operational support to CHR.   The COVID-19 pandemic became an opportunity for further executive aggrandizement, specifically through its use as an excuse to further expand executive power. Archegas (2021) notes that Duterte had sought every legal and constitutional avenue to concentrate power further, aided by the Constitution and pre-existing legislation on national emergencies and crises. Dulay, Hicken, and Holmes (2022) also noted that Duterte maintained strong support throughout his presidency despite his handling of the pandemic, partly through ethno-populist support from the non-Tagalog majority of the Filipino population. This did not come as a surprise, as Magno and Teehankee (2022) would additionally note that the pandemic opened further opportunities for executive aggrandizement despite the struggles the government faced in responding to the pandemic, such as its woes in the economy as the result of the lockdowns it instituted as its first response and its laggard roll-out of vaccines. Indeed, as Atienza (2020) pointed out, the speedy approval of the Republic Act No. 11469, also known as the Bayanihan to Heal as One Act of 2020, gave the President additional emergency powers ostensibly to respond to the pandemic, and the lack of deliberate oversight measures by Congress indicates a further breakdown of the separation of powers and the expansion of executive ones in the face of emergencies (4).   3. Executive Aggrandizement and Democratic Backsliding   Executive aggrandizement is just one of the facets of democratic backsliding in the Philippines. Medina-Guce and Galindes (2018) point out that aside from executive aggrandizement and over-assertion through hyper-presidentialism, these facets include the further weakening of the political party systеm, the fragmentation of civil society, hyperpolarization, and institutionalized impunity and arbitrariness (6 & 19-43).   Global trends are pointing to an emerging pattern of democratic regression. Bermeo (2016) already noticed that the emerging patterns of de-democratization were trending towards more gradual methods such as executive aggrandizement and strategic electoral manipulation. Chu et al. (2020) observed a more worrying trend, as the “retreat of the third wave of democratization” between 2005 and 2016 was more severe when looking at popular surveys than what expert surveys suggested. Diamond (2020) further supported this stance, where democratic backsliding has been seen more widely across the world, even in the supposed mature democracies among the G20 countries. Albertus and Grossman (2021) found variations of the same patterns of executive aggrandizement and democratic erosion in Argentina, Brazil, Mexico, and even the United States, which coincides with the worldwide rise of populism across the world since 2016, characterized by the purported ideological division between the supposedly pure people of the country and its corrupt elites (Guriev and Papaioannou 2022).   It does not mean, however, that the de-democratization would be unstoppable; as Croissant and Kim (2020) noted, South Korea and Taiwan have variously curtailed attempts towards de-democratization and executive aggrandizement despite the persisting authoritarian tendencies through their struggles for democracy. Such patterns also do not indicate presidentialism as an inherently perilous systеm to adopt, as Bünte and Thompson (2018) would emphasize in their analysis of Southeast Asian presidential systеms, but rather in the challenges to these systеms by opportunistic and transgressive politicians trying to maximize pressure.   Arguably, the prognosis and prospects of the current state of horizontal accountability and executive aggrandizement in the Philippines are complicated at best. Teehankee and Calimbahin (2020) already presented two possible scenarios given the Duterte presidency in their writing: Duterte’s full-on restoration of Marcosian authoritarianism or the exploitation of the current electoral systеm to ensure the victory of his proxy candidate (122). The plausibility of these scenarios is not at all surprising given that the 1986 People Power Revolution was more a confluence of actors going against the Marcos dictatorship and not a genuine attempt to create a liberal constitutional order based on widely shared goals and values, resulting into an inherently flawed systеm that is ripe to be exploited by unrestrained populist aspirations as embodied by Duterte (Davis 2017, 151). But the following questions remain: How are the institutions of horizontal accountability currently faring? Has executive aggrandizement become more entrenched in the Philippine political systеm? And has the Philippines slipped further away from democracy? 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A Descriptive Account of Filipino Historical Memory.” Contemporary Southeast Asia: A Journal of International and Strategic Affairs 44, 3: 482-514.   Dulay, Dean, Allen Hicken, and Ronald Holmes. 2022. “The Persistence of Ethnopopulist Support: The Case of Rodrigo Duterte's Philippines.” Journal of East Asian Studies 22, 3: 525-553.   Escresa, Laarni, and Nuno Garoupa. 2012. “Judicial Politics in Unstable Democracies: The Case of the Philippine Supreme Court, An Empirical Analysis 1986-2010.” Asian Journal of Law and Economics 3, 1, Art. 2.   Froomkin, David, and Ian Shapiro. 2021. “The New Authoritarianism in Public Choice.” Political Studies. https://doi.org/10.1177/00323217211041893.   Guriev, Sergei, and Elias Papaioannou. 2022. “The Political Economy of Populism.” Journal of Economic Literature 60, 3: 753-832.   Laebens, Melis G., and Anna Lührmann. 2021. “What Halts Democratic Erosion? The Changing Role of Accountability.” Democratization 28, 5: 908-928.   Lorch, Jasmin. 2021. “Elite Capture, Civil Society and Democratic Backsliding in Bangladesh, Thailand and the Philippines.” Democratization 28, 1: 81-102.   Lührmann, Anna, Kyle L. Marquardt, and Valeriya Mechkova. 2020. “Constraining Governments: New Indices of Vertical, Horizontal, and Diagonal Accountability.” American Political Science Review 114, 3: 811-820.   Magno, Francisco A. 2021. “Contemporary Populism and Democratic Challenges in the Philippines.” In Populism in Asian Democracies: Features, Structures, and Impacts, edited by Sook Jong Lee, Chin-en Wu and Kaustuv Kanti Bandyopadhyay, 61-79.   Magno, Francisco A., and Julio C. Teehankee. 2022. “Pandemic Politics in the Philippines: An Introduction from the Special Issue Editors.” Philippine Political Science Journal 43, 2: 107-122.   Magtulis, Prinz Parungao, and John Lourenze Poquiz. 2017. “Big Government, Big Corruption? Examining the Relationship Between Government Size and Public Corruption in the Philippines.” International Journal of Public admіnistration 40, 11: 954-967.   O’Donnell, Guillermo A. 1998. “Horizontal accountability in new democracies.” Journal of Democracy 9, 3: 112-126.   Orosa, Theoben Jerdan C. 2012. “Reinterpreting the Role of Judiciaries in Promoting Human Rights: The Philippine Supreme Court’s Writ of Amparo and Writ of Habeas Data against Extrajudicial Killings and Enforced Disappearance.” Thammasat Review 15, 1: 93-112.   Pellegrina, Lucia Dalla, Laarni Escresa, and Nuno Garoupa. 2014. “Measuring Judicial Ideal Points in New Democracies: The Case of the Philippines.” Asian Journal of Law and Society 1, 1: 125-164.   Pernia, Ronald A. 2019. “Human Rights in a Time of Populism: Philippines under Rodrigo Duterte.” Asia-Pacific Social Science Review 19, 3: 56–71.   Relacion, April Farell M., and Grace C. Magalzo. 2014. “systеm of Checks and Balances in the Philippine Presidential Form of Government.” Journal of Multidisciplinary Studies 3, 2: 39-65.   Rose-Ackerman, Susan, Diane A. Desierto, and Natalia Volosin. 2011. “Hyper-Presidentialism: Separation of Powers Without Checks and Balances in Argentina and Philippines.” Berkeley Journal of International Law 29: 246-333.   Schafer, Dean. 2021. “A Popular Mandate for Strongmen: What Public Opinion Data Reveals About Support for Executive Aggrandizement in Turkey, 1996-2018.” South European Society and Politics 26, 3: 355-382.   Slater, Dan, and Aries A. Arugay. 2018. “Polarizing Figures: Executive Power and Institutional Conflict in Asian Democracies.” American Behavioral Scientist 62, 1: 92-106.   Teehankee, Julio C., and Cleo Anne A. Calimbahin. 2020. “Mapping the Philippines’ Defective Democracy.” Asian Affairs: An American Review 47, 2: 97-125.   Thompson, Mark R. 2016. “Bloodied Democracy: Duterte and the Death of Liberal Reformism in the Philippines.” Journal of Current Southeast Asian Affairs 35, 3: 39-68.   ______. 2018. “The Philippine presidency in Southeast Asian Perspective: Imperiled and Imperious Presidents but Not Perilous Presidentialism.” Contemporary Politics 24, 3: 325-345.   ______. 2021. “Pushback after Backsliding? Unconstrained Executive Aggrandizement in the Philippines versus Contested Military-Monarchical Rule in Thailand.” Democratization 28, 1: 124-141.   Timberman, David G. 2016. “The Vote in the Philippines: Elite Democracy Disrupted?” Journal of Democracy 27, 4: 135-144.   Tugade, Ruby Rosselle L. 2020. “Beyond Legal Transformation: Assessing the Impact of Transitional Justice Mechanisms in the Philippines.” Philippine Law Journal 93: 77.   Ufen, Anfeas. 2022. “Weak Party systеms and Idiosyncratic Policies in Southeast Asia.” Policy Forum 8: 31-36.       ■ Francisco A. Magno is a Senior Fellow and Founding Director of La Salle Institute of Governance (LSIG). He is a Professor of Political Science and Development Studies at De La Salle University. He was a civil society representative in the National Steering Committee of the Open Government Partnership-Philippines in 2014-2019. He also served as President of the Philippine Political Science Association in 2015-2017, President of the Local Governance Training and Research Institutes-Philippine Network in 2016-2018, and Member of the National Leadership Council of the Sustainable Development Solutions Network-Philippines in 2015-2018. He finished his PhD in Political Science from the University of Hawaii.   ■ Martin Josef E. Vivo received his Bachelor of Arts (Honors) and Master of Arts (Honors) in Political Science from the University of the Philippines Diliman. He was previously the Project Coordinator for Growth at BuildZoom, a US-based company that helps homeowners build and remodel their homes. He maintains academic research interests in Philippine politics and governance, constitutional politics, contentious politics, electoral politics, and international relations and governance through freelance research assistance.     ■ 담당 및 편집: 박한수_EAI 연구원 문의: 02-2277-1683 (ext. 204) hspark@eai.or.kr  

Francisco A. Magno 2023-05-11조회 : 16981
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[ADRN Working Paper] Horizontal Accountability and Democratic Resilience: The Case of South Korea in Comparative Perspective

1. Introduction   This study describes de jure horizontal accountability mechanisms and examines the de facto horizontal accountability performance of South Korea for the last two decades since 2000, putting the country in the comparative context of the third-wave democratizers.   It shows that South Korea optimally designed its inter-branch checks-and-balances mechanisms on parchment by setting legislative and judicial constraints on the executive in an unbiased manner. It also reveals the perilous discrepancies between de jure horizontal accountability mechanisms and de facto horizontal accountability performance by detecting earlier deterioration of and later reversal of inter-branch accountability outcomes in the country. Finally, it confirms that the oscillation of horizontal accountability between corrosion and restoration correlates with the fluctuation of democracy between erosion and resilience in South Korea.   In the next section, this study introduces a variety of empirical indicators to measure executive, legislative, and judicial powers in order to describe South Korea’s de jure horizontal accountability mechanisms and compare them with other third-wave democratizers. The penultimate section utilizes several empirical measures to estimate South Korea’s de facto horizontal accountability performance and the impact on the quality of democracy. In conclusion, it summarizes the main findings and suggests research agendas for the subsequent study.   2. De jure Horizontal Accountability: South Korea in Comparative Context   In this section, I introduce empirical indicators for the de jure horizontal accountability mechanisms of South Korea. As a template to evaluate the parchment configuration of horizontal accountability mechanisms, I use the following data sources to measure the strength of the constitutional inter-branch checks and balances provisions. For executive power or constitutional endowments of executive actions, I employ the ‘executive power index’ from Constitute, which ranges from 0 to 1 and captures the presence or absence of seven significant aspects of executive lawmaking: (1) the power to initiate legislation; (2) the power to issue decrees; (3) the power to initiate constitutional amendments; (4) the power to declare states of emergency; (5) veto power; (6) the power to challenge the constitutionality of legislation; and (7) the power to dissolve the legislature. The index score is the mean of the seven binary elements, with higher numbers indicating more executive power and lower numbers indicating less executive power (Elkins, Ginsburg, and Melton, 2023).   South Korea’s executive power index score is 0.43, which reflects its constitutional provisions of (1) the power to initiate legislation,[1] (2) the power to issue decrees,[2] (3) the power to initiate constitutional amendments,[3] (4) the power to declare a state of emergency[4] and (5) veto power,[5] but no constitutional provisions of (6) the power to challenge the constitutionality of legislation and (7) the power to dissolve the legislature.   For legislative power or constitutional endowments of legislative constraints on executive actions, I employ the ‘legislative power index’ from the Handbook of National Legislature, which ranges from 0 to 1 and captures the presence or absence of thirty-two important aspects of legislative constraints on the executive actions. The index score is simply the mean of the following thirty-two binary elements, with higher numbers indicating more legislative power and lower numbers indicating less legislative power (Fish and Kroenig, 2009):   (a) the legislature’s influence over the executive, which includes (1) whether the legislature alone, without the involvement of any other agencies, can impeach the president or replace the prime minister; (2) whether ministers may serve simultaneously as members of the legislature; (3) whether the legislature has powers of summons over executive branch officials and hearings with executive branch officials testifying before the legislature or its committees are regularly held; (4) whether the legislature can conduct independent investigation of the chief executive and the agencies of the executive; (5) whether the legislature has effective powers of oversight over the agencies of coercion; (6) whether the legislature appoints the prime minister; (7) whether the legislature’s approval is required to confirm the appointment of ministers or the legislature itself appoints ministers; (8) whether the country lacks a presidency entirely or there is a presidency, but the president is elected by the legislature; (9) whether the legislature can vote no confidence in the government;   (b) the legislature’s institutional autonomy, which includes (10) whether the legislature is immune from dissolution by the executive; (11) whether any executive initiative on legislation requires ratification or approval by the legislature before it takes effect; (12) whether laws passed by the legislature are veto-proof or essentially veto-proof; (13) whether the legislature’s laws are supreme and not subject to judicial review; (14) whether the legislature has the right to initiate bills in all policy jurisdictions; (15) whether the expenditure of funds appropriated by the legislature is mandatory; (16) whether the legislature controls the resources that finance its internal operation and provide for the perquisites of its members; (17) whether members of the legislature are immune from arrest and/or criminal prosecution; and (18) whether all members of the legislature are elected;   (c) the legislature’s specified powers, which include (19) whether the legislature alone, without the involvement of any other agencies, can change the Constitution; (20) whether the legislature’s approval is necessary for the declaration of war; (21) whether the legislature’s approval is necessary to ratify treaties with foreign countries; (22) whether the legislature has the power to grant amnesty; (23) whether the legislature has the power of pardon; (24) whether the legislature reviews and has the right to reject appointments to the judiciary or the legislature itself appoints members of the judiciary; (25) whether the chairman of the central bank is appointed by the legislature; (26) whether the legislature has a substantial voice in the operation of the state-owned media;   (d) the legislature’s institutional capacity, which includes (27) whether the legislature is regularly in session; (28) whether each legislator has a personal secretary; (29) whether each legislator has at least one non-secretarial staff member with policy expertise; (30) whether legislators are eligible for re-election without any restriction; (31) whether a seat in the legislature is an attractive enough position that legislators are generally interested in and seek re-election; and (32) whether the re-election of an incumbent legislator is common enough that at any given time the legislature contains a significant number of highly experienced members.   South Korea’s legislative power index score is 0.59, which reflects its constitutional provisions for:   (a) the legislature’s influence over the executive about (2) whether ministers may serve simultaneously as members of the legislature,[6] (3) whether the legislature has powers of summons over executive branch officials and hearings with executive branch officials testifying before the legislature or its committees are regularly held,[7] (4) whether the legislature can conduct an independent investigation of the chief executive and the agencies of the executive,[8] and (5) whether the legislature has effective powers of oversight over the agencies of coercion;   (b) the legislature’s institutional autonomy about (10) whether the legislature is immune from dissolution by the executive, (11) whether any executive initiative on legislation requires ratification or approval by the legislature before it takes effect,[9] (14) whether the legislature has the right to initiate bills in all policy jurisdictions, (15) whether the expenditure of funds appropriated by the legislature is mandatory, (16) whether the legislature controls the resources that finance its internal operation and provide for the perquisites of its members, and (18) whether all members of the legislature are elected;[10]   (c) the legislature’s specified powers about (20) whether the legislature’s approval is necessary for the declaration of war,[11] (21) whether the legislature’s approval is necessary to ratify treaties with foreign countries,[12] and (24) whether the legislature reviews and has the right to reject appointments to the judiciary or the legislature itself appoints members of the judiciary;[13]   (d) the legislature’s institutional capacity about (27) whether the legislature is regularly in session,[14] (28) whether each legislator has a personal secretary, (29) whether each legislator has at least one non-secretarial staff member with policy expertise, (30) whether legislators are eligible for re-election without any restriction; (31) whether a seat in the legislature is an attractive enough position that legislators are generally interested in and seek re-election; and (32) whether the re-election of an incumbent legislator is common enough that at any given time the legislature contains a significant number of highly experienced members.   For judicial power or constitutional endowments of judicial constraints on executive actions, I employ the ‘judicial power index’ from Constitute, which ranges from 0 to 1 and captures the presence or absence of twelve important aspects of judicial constraints on executive actions. The index score is simply the mean of the twelve binary elements, with higher numbers indicating more judicial power and lower numbers indicating less judicial power (Elkins, Ginsburg, and Melton, 2023):   (a) the judicial independence, which includes (1) whether the Constitution contains an explicit statement of judicial independence; (2) whether the Constitution provides that judges have lifetime appointments; (3) whether appointments to the highest court involve either a judicial council or two (or more) actors; (4) whether removal is prohibited or limited so that it requires the proposal of a supermajority vote in the legislature, or if only the public or judicial council can propose removal and another political actor is required to approve such a proposal; (5) whether removal is explicitly limited to crimes and other issues of misconduct, treason, or violations of the Constitution; and (6) whether judicial salaries are protected from reduction.   (b) the judicial capacity, which includes (7) whether the Constitution provides for judicial review; (8) whether courts have the power to supervise elections; (9) whether any court has the power to declare political parties unconstitutional; (10) whether judges play a role in removing the executive, for example in impeachment; (11) whether any court has any ability to review declarations of emergency; and (12) whether any court has the power to review treaties.   South Korea’s judicial power index score is 0.58, which reflects its constitutional provisions for:   (a) the judicial independence, which includes (1) whether the Constitution contains an explicit statement of judicial independence,[15] (3) whether appointments to the highest court involve either a judicial council or two (or more) actors,[16] (5) whether removal is explicitly limited to crimes and other issues of misconduct, treason, or violations of the Constitution, and (6) whether judicial salaries are protected from reduction.[17]   (b) the judicial capacity, which includes (7) whether the Constitution provides for judicial review,[18] (9) whether any court has the power to declare political parties unconstitutional,[19] (10) whether judges play a role in removing the executive;[20] but no constitutional provisions about (8) whether courts have the power to supervise elections, (11) whether any court has any ability to review declarations of emergency, and, (12) whether any court has the power to review treaties.   To put South Korea’s executive, legislative, and judicial power index score in a comparative context, I construct a sample of eighteen fellow third-wave democratizers from (1) East and Southeast Asia: Indonesia (1999), Mongolia (1991), Philippines (1988), South Korea (1988), Taiwan (1996), and Thailand (1998); (2) Central and Eastern Europe: Bulgaria (1991), Czech Republic (1990), Hungary (1990), Poland (1990); Romania (1991), and Slovak Republic (1994); and (3) Central and South America: Argentina (1984), Brazil (1987), Chile (1990), Colombia (1991), Mexico (1996), and Peru (1981).[21]   Figure 1 illustrates a scatterplot in which the horizontal axis shows the executive power index scores of the eighteen third-wave democratizers, and the vertical axis shows the legislative power index scores of the eighteen third-wave democratizers. Each dotted line indicates the mean value of each power index score. In the upper-right corner, where the imperial president meets the recalcitrant assembly, Mongolia, Bulgaria, Poland, Hungary, and Romania are located. Taiwan, Argentina, and Mexico are in the lower-left corner, where the non-dominant executive meets the subservient legislature. While Chile adopts a constitutional design that combines the imperial president with the subservient legislature, the Czech Republic employs a constitutional design that blends the non-dominant executive with the recalcitrant assembly. Regarding de jure accountability, South Korea seems to have one of the most workable executive-legislative inter-branch checks and balances mechanisms among the eighteen third-wave democratizers.   Figure 1. Executive and Legislative Power Index Scores in 18 Third-wave Democratizers     Source: Elkins, Ginsburg, and Melton 2023; Fish and Kroenig 2009   Figure 2 shows a scatterplot in which the horizontal axis represents the executive power index scores of the eighteen third-wave democratizers and the vertical axis indicates the judicial power index scores of the eighteen third-wave democratizers. Each dotted line indicates the mean value of each power index score. Bulgaria is in the upper-right corner, where the imperial president meets the recalcitrant court. Indonesia and Mexico are in the lower-left corner, where the non-dominant executive meets the subservient tribunal. While Romania, Hungary, and Thailand employ the constitutional design that combines the imperial president with the subservient tribunal, Taiwan adopts a constitutional design that blends the non-dominant executive with the recalcitrant court. Regarding de jure accountability, South Korea seems to have one of the most workable executive-judicial inter-branch checks and balances mechanisms among the eighteen third-wave democratizers.   Figure 2. Executive and Judicial Power Index Scores in 18 Third-wave Democratizers     Source: Elkins, Ginsburg, and Melton 2023   3. De facto Horizontal Accountability: South Korea in Comparative Context   In this section, I present empirical indicators for de facto horizontal accountability performance and its impact on the quality of democracy in South Korea. As a template to assess the actual outcomes of horizontal accountability mechanisms and the quality of democracy, I use the following data sources for measurement. For de facto horizontal accountability performance, I employ the ‘horizontal accountability index’ from Varieties of Democracy (V-Dem), which ranges from 0 to 1 and captures to what extent the ideal of horizontal government accountability is achieved by aggregating the following indicators: (1) the V-Dem judicial constraints the executive index; (2) the V-Dem legislative constraints on the executive index, and (3) V-Dem other state bodies (comptroller general, general prosecutor, or ombudsman) constraints on the executive index. The higher numbers indicate more de facto horizontal accountability and lower numbers denote less de facto horizontal accountability (Luhrmann, Marquardt, and Mechkova 2020).   For the quality of democracy, I employ the ‘liberal democracy index’ from V-Dem, which ranges from 0 to 1 and captures to what extent the ideal of liberal democracy is achieved. The higher numbers indicate higher quality of democracy, and lower numbers indicate lower quality of democracy (Coppedge et al., 2020).   For the convenience of presentation, I calculate the mean values of five-year intervals since 2000 for each index score of the eighteen third-wave democratizers. South Korea’s horizontal accountability index scores are as follows: (1) 2000-2004: 0.925; (2) 2005-2009: 0.902; (3) 2010-2014: 0.865; and (4) 2015-2019: 0.933. South Korea’s liberal democracy index scores are as follows: (1) 2000-2004: 0.772; (2) 2005-2009: 0.738; (3) 2010-2014: 0.649; and (4) 2015-2019: 0.722.   Figure 3. Horizontal Accountability Index Scores of 18 Third-wave Democratizers, 2000-2004 versus 2005-2009     Source: V-Dem (https://www.v-dem.net/data/)   Figure 3 illustrates a scatterplot in which the horizontal axis shows the 2000-2004 mean values of the horizontal accountability index scores of the eighteen third-wave democratizers, and the vertical axis represents the 2005-2009 mean values of horizontal accountability index scores of the eighteen third-wave democratizers. If a country is on the left side of the 45-degree line, its de facto horizontal accountability is improved. If a country is on the right side of the 45-degree line, its de facto horizontal accountability deteriorates. Chile, Peru, and Romania represent the former, whereas South Korea, Taiwan, Argentina, and Thailand typify the latter. Regarding de facto accountability, South Korea seems to be one of the modest horizontal accountability erosion cases among the eighteen third-wave democratizers during the period.   Figure 4. Liberal Democracy Index Scores of 18 Third-wave Democratizers, 2000-2004 versus 2005-2009     Source: V-Dem (https://www.v-dem.net/data/) Note: Colombia, Mexico, Philippines, Romania, and Thailand are excluded due to their lower scores.   Figure 4 shows a scatterplot in which the horizontal axis represents the 2000-2004 mean values of liberal democracy index scores of the eighteen third-wave democratizers, and the vertical axis indicates the 2005-2009 mean values of liberal democracy index scores of the eighteen third-wave democratizers. If a country is on the left side of the 45-degree line, its quality of democracy is improved. If a country is on the right side of the 45-degree line, its quality of democracy deteriorates. Among the higher horizontal accountability performers, Chile and Peru improve their quality of democracy. Among the lower horizontal accountability performers, South Korea and Argentina worsen their quality of democracy. In terms of democracy, South Korea seems to be one of the horizontal-accountability-triggered democratic backsliding cases among the eighteen third-wave democratizers during the period (Sato et al. 2022).   Figure 5. Horizontal Accountability Index Scores of 18 Third-wave Democratizers, 2005-2009 versus 2010-2014     Source: V-Dem (https://www.v-dem.net/data/)   Figure 5 illustrates a scatterplot in which the horizontal axis shows the 2005-2009 mean values of the horizontal accountability index scores of the eighteen third-wave democratizers, and the vertical axis represents the 2010-2014 mean values of the horizontal accountability index scores of the eighteen third-wave democratizers. If a country is on the left side of the 45-degree line, its de facto horizontal accountability is improved. If a country is on the right side of the 45-degree line, its de facto horizontal accountability deteriorates. Brazil, Romania, and Thailand represent the former, whereas South Korea, Taiwan, Argentina, Hungary, and Mexico typify the latter. Regarding de facto accountability, South Korea seems to be one of the continuous horizontal accountability erosion cases among the eighteen third-wave democratizers during the period.   Figure 6. Liberal Democracy Index Scores of 18 Third-wave Democratizers, 2005-2009 versus 2010-2014     Source: V-Dem (https://www.v-dem.net/data/) Note: Colombia, Mexico, Philippines, Romania, and Thailand are excluded due to their lower scores.   Figure 6 shows a scatterplot in which the horizontal axis represents the 2005-2009 mean values of liberal democracy index scores of the eighteen third-wave democratizers, and the vertical axis indicates the 2010-2014 mean values of liberal democracy index scores of the eighteen third-wave democratizers. If a country is on the left side of the 45-degree line, its quality of democracy is improved. If a country is on the right side of the 45-degree line, its quality of democracy deteriorates. Among the lower horizontal accountability performers, South Korea, the Czech Republic, Hungary, Argentina, and Bulgaria worsen their quality of democracy. In terms of democracy, South Korea seems to be one of the horizontal accountability-accelerated democratic backsliding cases among the eighteen third-wave democratizers during the period (Shin 2021).   Figure 7. Horizontal Accountability Index Scores of 18 Third-wave Democratizers, 2010-2014 versus 2015-2019     Source: V-Dem (https://www.v-dem.net/data/)   Figure 7 illustrates a scatterplot in which the horizontal axis shows the 2010-2014 mean values of the horizontal accountability index scores of the eighteen third-wave democratizers, and the vertical axis represents the 2015-2019 mean values of horizontal accountability index scores of the eighteen third-wave democratizers. If a country is on the left side of the 45-degree line, its de facto horizontal accountability is improved. If a country is located on the right side of the 45-degree line, its de facto horizontal accountability deteriorates. South Korea, Peru, and Argentina represent the former, whereas Poland, Brazil, Indonesia, Hungary, and the Philippines typify the latter. Regarding de facto accountability, South Korea seems to be one of the horizontal accountability-erosion-reversal cases among the eighteen third-wave democratizers during the period.   Figure 8. Liberal Democracy Index Scores of 18 Third-wave Democratizers, 2010-2014 versus 2015-2019     Source: V-Dem (https://www.v-dem.net/data/) Note: Mexico, the Philippines, and Thailand are excluded due to their lower scores.   Figure 8 shows a scatterplot in which the horizontal axis represents the 2010-2014 mean values of liberal democracy index scores of the eighteen third-wave democratizers, and the vertical axis indicates the 2015-2019 mean values of liberal democracy index scores of the eighteen third-wave democratizers. Countries located on the left side of the 45-degree line indicate an improved quality of democracy, while countries on the right side of the 45-degree line indicate a deteriorated quality of democracy. Among the higher horizontal accountability performers, South Korea has an improved quality of democracy. Among the lower horizontal accountability performers, Poland and Brazil have a decreased quality of democracy. In terms of democracy overall, South Korea seems to be one of the horizontal accountability-recovered democratic resilience cases among the eighteen third-wave democratizers during the period (Laebens and Luhrmann 2021).   4. Conclusion   This study shows that workable de jure horizontal accountability mechanisms are entrenched in South Korea’s constitutional design in which inter-branch checks and balances provisions distribute relatively equal powers among the executive, legislature, and judiciary. On parchment, South Korea’s polity appears to escape the institutional trap in which the imperial president meets a recalcitrant assembly that imperils horizontal accountability and democracy.   Concerning de facto horizontal accountability, performance seems to betray the institutional optimality of de jure horizontal accountability mechanisms in South Korea. As South Korea’s de facto accountability performance has oscillated between deterioration and restoration, so has the democratic quality of the country. The finding of a significant hiatus between de jure accountability and de facto accountability and de facto accountability performance correlates with the quality of democracy necessitates further research on why there is a gap between formal accountability institutions and actual accountability outcomes and how it affects democracy in South Korea. ■   References   Coppedge, Michael, John Gerring, Adam Glynn, Carl Henrik Knutsen, Staffan I. Lindberg, Daniel Pemstein, Brigitte Seim, Svend-Erik Skaaning, and Jan Teorell. 2020. Varieties of Democracy: Measuring Two Centuries of Political Change. New York: Cambridge University Press.   Elkins, Zachary, Tom Ginsburg, James Melton. 2023. “Constitute: The World’s Constitutions to Read, Search, and Compare.” https://www.constituteproject.org/content/indices_data?lang=en   Fish, M. Steven and Matthew Kroenig. 2009. The Handbook of National Legislature: A Global Survey. New York: Cambridge University Press.   Laebens, Melis G. and Anna Luhrmann. 2021. “What Halts Democratic Erosion? The Changing Role of Accountability.” Democratization 28, 5: 908-928.   Luhrmann, Anna, Kyle L. Marquardt, and Valeriya Mechkova. 2020. “Constraining Governments: New Indices of Vertical, Horizontal, and Diagonal Accountability.” American Political Science Review 114, 3: 811-820.   Sato, Yuko, Martin Lundstedt, Kelly Morrison, Vanessa A. Boese, Staffan I. Lindberg. 2022. “Institutional Order in Episodes of Autocratization.” V-Dem Working Paper.   Shin, Doh Chull. 2021. “Democratic Deconsolidation in East Asia: Exploring Systеm Realignments in Japan, South Korea, and Taiwan.” Democratization 28, 1: 142-160.     [1] Article 52: Bills may be introduced by members of the National Assembly or by the Executive. [2] Article 75: The President may issue presidential decrees concerning matters delegated to him by law with the scope specifically defined and also matters necessary to enforce laws. [3] Article 128: A proposal to amend the Constitution shall be introduced either by a majority of the total members of the National Assembly or by the President. [4] Article 76: (1) In time of internal turmoil, external menace, natural calamity or a grave financial or economic crisis, the President may take in respect to them the minimum necessary financial and economic actions or issue orders having the effect of law, only when it is required to take urgent measures for the maintenance of national security or public peace and order, and there is no time to await the convocation of the National Assembly; (2) In case of major hostilities affecting national security, the President may issue orders having the effect of law, only when it is required to preserve the integrity of the nation, and it is impossible to convene the National Assembly. [5] Article 53: (1) Each bill passed by the National Assembly shall be sent to the Executive, and the President shall promulgate it within fifteen days; (2) In case of objection to the bill, the President may, within the period referred to in Paragraph (1), return it to the National Assembly with written explanation of his objection, and request it be reconsidered. The President may do the same during adjournment of the National Assembly. [6] Article 43: Members of the National Assembly shall not concurrently hold any other office prescribed by law; National Assembly Act Article 29: (1) No National Assembly member shall concurrently hold office, except the office of Prime Minister or a member of the State Council. [7] Article 62: (2) When requested by the National Assembly or its committees, the Prime Minister, members of the State Council or government delegates shall attend any meeting of the National Assembly and answer questions. [8] Article 61: (1) The National Assembly may inspect affairs of state or investigate specific matters of state affairs, and may demand the production of documents directly related thereto, the appearance of a witness in person and the furnishing of testimony or statements of opinion. [9] Article 76: (3) In case actions are taken or orders are issued under Paragraphs (1) and (2), the President shall promptly notify the National Assembly and obtain its approval. [10] Article 41: (1) The National Assembly shall be composed of members elected by universal, equal, direct and secret ballot by the citizens. [11] Article 60: (2) The National Assembly shall also have the right to consent to the declaration of war, the dispatch of armed forces to foreign states, or the stationing of alien forces in the territory of the Republic of Korea. [12] Article 60: (1) The National Assembly shall have the right to consent to the conclusion and ratification of treaties pertaining to mutual assistance or mutual security; treaties concerning important international organizations; treaties of friendship, trade and navigation; treaties pertaining to any restriction in sovereignty; peace treaties; treaties which will burden the State or people with an important financial obligation; or treaties related to legislative matters. [13] Article 104: (1) The Chief Justice of the Supreme Court shall be appointed by the President with the consent of the National Assembly; (2) The Supreme Court Justices shall be appointed by the President on the recommendation of the Chief Justice and with the consent of the National Assembly. [14] Article 47: (1) A regular session of the National Assembly shall be convened once every year as prescribed by law, and extraordinary sessions of the National Assembly shall be convened upon the request of the President or one fourth or more of the total members. [15] Article 103: Judges shall rule independently according to their conscience and in conformity with the Constitution and law. [16] Article 104: (1) The Chief Justice of the Supreme Court shall be appointed by the President with the consent of the National Assembly; (2) The Supreme Court Justices shall be appointed by the President on the recommendation of the Chief Justice and with the consent of the National Assembly. [17] Article 106: (1) No judge shall be removed from office except by impeachment or a sentence of imprisonment or heavier punishment, nor shall he be suspended from office, have his salary reduced or suffer any other unfavorable treatment except by disciplinary action. [18] Article 111: (1) The Constitution Court shall adjudicate the following matters: 1. The constitutionality of a law upon the request of the courts. [19] Article 111: (1) The Constitution Court shall adjudicate the following matters: 3. Dissolution of a political party. [20] Article 111: (1) The Constitution Court shall adjudicate the following matters: 2. Impeachment. [21] Parentheses indicate the year in which the country makes the democratic transition from closed or electoral autocracy to electoral or liberal democracy pursuant to Regimes of the World dataset of Varieties of Democracy project (https://v-dem.net/data/). In each region, the six largest third-wave democratizers in terms of population in 1990 were selected.     ■ Jung Kim is an associate professor of political science and dean of academic affairs at University of North Korean Studies (UNKS). Currently, he is a visiting professor at Graduate School of International Studies and Underwood International College of Yonsei University, a regional coordinator of Asia Democracy Research Network, an editorial committee member of Asian Perspective and Tamkang Journal of International Affairs, a columnist for Seoul Shinmun, and a policy advisory committee member of Republic of Korea’s Defense Intelligence Agency. He earned his undergraduate degree in political science from Korea University and graduated from Yale University with his doctoral degree in political science.     ■ 담당 및 편집: 박한수_EAI 연구원 문의: 02-2277-1683 (ext. 204) hspark@eai.or.kr  

Jung Kim 2023-05-11조회 : 18411
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[ADRN Working Paper] Making Horizontal Accountability: A Case Study of Thailand

1. Introduction   Thailand transitioned from junta-authoritarian rule to a democratic government before 1997, a significant continuation of the “Black May 1992” event. As a result, the 1997 Constitution was considered a democratic constitution based on the principle of constitutionalism. According to the 1997 Constitution, sovereignty is exercised by following the principle of separation of powers. The general public elects the government and parliament and serves as the impetus for forming several important state power inspection organizations known as constitutional organizations. These organizations, consisting of the National Anti-Corruption Commission, the Election Commission, the ombudsman, the National Human Rights Commission, and the State Audit Commission, are viewed as independent and are therefore not subject to cabinet control. After their inception in 1997 and subsequent 25 years of continuation, the structures and authorities of these organizations have undergone numerous changes, and the use of power has had significant impacts on people and democracy. However, Thai democracy was interrupted by the military coups d’état in 2006 and 2014.   This work investigates the overall structure of Thailand’s horizontal accountability by analyzing the roles and evolution of these organizations since their inception. Also studies are the effectiveness of Thailand’s current horizontal accountability on the development and strengthening of liberal democratic governance. Finally included in the investigation are the operation of checks and balances by the relevant organizations, the success and failure of the oversight procedures, and factors affecting the effectiveness of accountability.   This study uses documentary research by literature review on related issues and the relevant laws from articles, books, journals, and, official documents. Also explored are the case studies both in Thailand and in other countries. Moreover, representatives from academia, civil society, and other related organizations were interviewed. The research questions are: 1) Is the existing checking systеm by the executive and legislative branches sufficient and effective for democratic governance? 2) Is the judiciary branch independent or politically neutral enough to check and punish executive wrongdoings? and 3) Are oversight bodies performing well?   2. Literature Review on the Concept of Horizontal Accountability   In the social sciences, the idea of accountability remains highly debated. Dahl (1971) and Wilson (2015) explain that it is beneficial if competition among elites develops before participation increases. However, Mechkova, Luhrmann, and Linberg (2017) hypothesize that in differentiating between institutions of diagonal accountability (media and civil society), vertical accountability (connected to elections and political parties), and horizontal accountability (checks and balances across institutions), pressure for horizontal accountability grows as vertical and diagonal accountability advances. Moreover, most de facto vertical accountability forms come before the other types of accountabilities (Mechkova, Luhrmann, and Linberg 2017, 3). Effective horizontal accountability structures, such as vigorous parliaments and independent high courts, Effective horizontal accountability structures, such as vigorous parliaments and independent high courts, emerge quite late in the process and build on advancements made in other areas. Following Figure 1, the desire for more horizontal accountability is anticipated to rise as vertical accountability levels rise. Two pathways illustrate how vertical accountability can enhance the demand for horizontal accountability (Mechkova, Luhrmann, and Linberg 2017, 13).   Figure 1. Two Pathways Illustrating How Vertical Accountability Can Enhance the Demand for Horizontal Accountability Source: Mechkova, Luhrmann and Linberg 2017, 13   This paper investigates Thailand's horizontal accountability mechanisms, beginning with structural or legal considerations. Conducting a comparative study of the 1997, 2007, and 2017 Thai Constitutions to analyze the changing trend of Thailand's horizontal accountability mechanisms and to study the situation of horizontal accountability in Thailand using case examples demonstrates the effectiveness of this form of accountability as defined by the Constitution or law as law in action or de facto horizontal accountability that is not limited to law in book or de jure. In addition, the horizontal accountability in this study focus on the ability to check the government by the parliament, the courts, and the independent constitutional organizations.   3. Structure of Horizontal Accountability Mechanisms in Thailand   In Thailand, the 1997 Constitution is said to be one of the most democratic constitutions (Aphornsuvan 2001) and was the prototype of the principles of constitutionalism that appeared in subsequent constitutions until now.   We may classify the structure of horizontal accountability mechanisms in the provisions of the 1997, 2007, and 2017 Thai Constitutions the same way as we do actors, divided into three groups: legislature, judiciary and oversight institutions.   3.1. The role of the Legislature in Checks and Balances on the Government   The parliament is one of the three major political institutions that exercise sovereignty, as the legislative branch has important roles in legislation and the checks and balances of the administration. Since the change from absolute monarchy to constitutional monarchy in 1932, until now, there have been 20 constitutions (with 13 coup d’états). Although it started with unicameralism, Thailand currently utilizes a bicameral systеm. However, the provisions of the 1997, 2007, and 2017 Constitutions require Thai lawmakers to adopt a form of bicameralism, dividing the lower house into the House of Representatives and the upper house into the Senate. The origin of the legislation, comparing between 1997, 2007, and 2017, are as follows.   Table 1. Comparing the Origins of Oversights Institutions According to the 1997, 2007, and 2017 Constitutions The origin of the legislature The 1997 Constitution The 2007 Constitution The 2017 Constitution members The origin members The origin members The origin House of representatives 500 - 100 from party-list  - 400 from the general election 480 - 80 from party-list  - 400 from the general election 500 - 100 from party-list  - 400 from the general election[1] Senate 200 from the general election 150 - 77 from the general election  - 73 from appointment 200 from a selection   Powers and functions of the House of Representatives   The House of Representatives is responsible for providing checks and balances on the work of the government in several ways. Its primary role is to consider bills, but there are also roles to evaluate the annual expenditure budget; make the approval on an emergency decree; control the Administration of State Affairs; constitute a standing committee order to perform any act; inquire into facts or study any matter and report its findings to the House; and the approve of the appointment of a person as Prime Minister.   Powers and functions of the Senate   The three constitutions do not give the Senate the authority to propose bills; however, once the House of Representatives approves the bills, they are forwarded to the Senate for further consideration.   Together with the House of Representatives, the senators have the authority to review proposed legislation, authorize emergency decrees, and oversee state administration. Moreover, they can set up a standing committee, have the right to interpellate, and may submit a motion for a general debate without a resolution.   The Senate also has some powers that the House of Representatives does not have, including the ability to remove the prime minister, ministers, and other positions held in the legislative, judicial, and constitutional bodies. Anyone possessing unusually wealthy behavior, implied in the course of malpractice or indication exercising powers and duties, is contrary to the provisions of the law and Constitution.   The two houses of the National Assembly also have the responsibility to check the activity of constitutional organizations by approving the tasks of the commissions and reviewing their annual reports. The two houses established standing committees to exercise oversight of these organizations and the government.   3.2. Judiciary and Government Inspection Mechanisms   We can distinguish three judicial institutions responsible for monitoring the work of the Thai government, each with different jurisdictions in adjudicating disputes: the Constitutional Court, the Administrative Court, and The Supreme Court's Criminal Division for Holders of Political Positions.   Table 2. Comparing the Origins of the Judiciary Position According to the 1997, 2007, and 2017 Constitutions The origin of the judiciary position The 1997 Constitution The 2007 Constitution The 2017 Constitution The Constitutional Court Number of judges 11 Number of judges 8 Number of judges 9 The Administrative Court A judge must be approved from the Judicial Commission of the Administrative Courts and the Senate. The Supreme Court's criminal division for holders of political positions Nine judges of the Supreme Court who are elected by a secret ballot at a general meeting of the Supreme Court and selected on a case-by-case basis Adjusted the number of quorums to not less than 5 but not more than 9.  However, the quorum of the Supreme Court's Criminal Division for politicians on appeal under the latest Constitution stipulates that there are nine people.   Powers and functions of the Constitutional Court   The 1997, 2007, and 2017 Constitutions require the Constitutional Court to determine whether the bill or any organic law bill contains contents contrary to or inconsistent with the Constitution.   The Constitutional Court is also responsible for considering issues regarding the powers and duties of various organizations according to the Constitution. The decision of the Constitutional Court on the parliament, cabinet, courts, and other government bodies is final and binding.   In addition, the Constitutional Court has the role of adjudicating matters submitted by other courts, including the Courts of Justice, the Administrative Court, and the Military Court, if the Court considers that applying the provisions of the law to any case would be contrary to or inconsistent with the Constitution. The Constitution does not affect the Court's final judgment, including having the power to consider conflicts of authority between the parliament, the cabinet, or constitutional bodies that are not courts and can determine which emergency decree is an unavoidable emergency.   Powers and functions of the Administrative Court   The 1997, 2007, and 2017 Constitutions all stipulated that The Administrative Court has the power to try and adjudicate administrative cases arising from exercising legal administrative power or due to the conduct of administrative activities. Not included is the arbitration of an independent body, which is a direct exercise of their constitutional authority.   Powers and functions of the Supreme Court's Criminal Division for Holders of Political Positions   The 1997, 2007, and 2017 Constitutions stipulate that the Supreme Court's Criminal Division for Politicians should decide when the National Anti-Corruption Commission (NACC) finds a person holding a political position (such as a prime minister, minister, MP, senator, or other political officials' executives and members of local councils), as having an unusual increase in assets, the president of the NACC will submit a report on the investigation to the attorney general to prosecute the Supreme Court's Criminal Division for Politicians to ensure that the unusually increased assets belong to the state.   3.3. The Institutions According to the Thai Constitution   Institutions are responsible for monitoring the work of the government; and, according to the Constitution, may be called "independent constitutional bodies," namely the Election Commission, the National Anti-Corruption Commission, the State Audit Commission, the Ombudsman, and the National Human Rights Commission, as shown in Table 3.   Table 3. Comparing the Oversights Institutions According to the 1997, 2007, and 2017 Constitutions The organizations The 1997 Constitution The 2007 Constitution The 2017 Constitution Note: the current set The Election Commission 5 commissioners  A chairperson and four other members, appointed by the King upon the advice of the Senate 7 persons appointed by the King upon the recommendation of the Senate. All seven were approved by the junta legislature. The National Anti-Corruption Commission 9 commissioners appointed by the King upon the advice of the Senate from persons selected by the Selection Committee. Two persons was approved before the 2014 coup, five persons were approved by the junta legislature in 2015, The rest have been endorsed by the current Senate, which originated from the NCPO. The State Audit Commission A Chairperson and nine other members appointed by the King upon the recommendation of the Senate. Seven members appointed by the King upon the advice of the Senate. All seven were approved by the junta legislature. The Ombudsman There are at most 3 people, set according to the advice of the Senate. The junta legislature approved one; two were from the current Senate, sourced from the NCPO. The National Human Rights Commission A Chairperson and ten members appointed by The King upon the recommendation of the Senate. A Chairman and six other members appointed by the King upon the recommendation of the Senate. The junta legislature approved two, and five were from the current Senate, sourced from the NCPO.   Powers and functions of the Election Commission   The 1997 Constitution stipulates that the Election Commission is responsible for organizing or holding elections for members of the House of Representatives, senators, local councilors, and local admіnistrators, including the referendum, to be honest, and fair.   Powers and functions of the National Anti-Corruption Commission   The 1997 and 2007 Constitutions stipulate that the National Anti-Corruption Commission is responsible for auditing the assets and liabilities of persons holding political positions, including their spouses and minor children, every time they accept or leave their appointment and in the case of offenses against government positions. The later 2017 Constitution was similar but included the added role of investigating serious violations or non-compliance with ethical standards.   Powers and functions of the State Audit Commission   The 1997, 2007, and 2017 Constitutions similarly define the powers and duties of the State Audit Commission, the State Auditor, and the Office of the Auditor General of Thailand. The State Audit Office is responsible for auditing state finances, preparing reports, and following up on the performance of government spending and is an administrative agency. The Auditor General must supervise the organization. The State Audit Commission selects the Auditor General and oversees the work of the State Audit Office.   Powers and functions of the Ombudsman   The 1997, 2007, and 2017 Constitutions all stipulate that the ombudsman has the powers and duties to consider the investigation to find out the facts of the complaint. In case of non-compliance with the law, acting beyond legal authority, certain acts, or neglecting to perform duties of the administration, government officials, and relevant officials, they must also prepare a report and submit opinions and recommendations to the National Assembly. Further, they have the power to refer cases to the Constitutional Court or the Administrative Court when it is perceived that there are problems with constitutionality with the provisions of the law, rules, regulations, or actions of any government official.   Powers and functions of the National Human Rights Commission   The 1997, 2007, and 2017 Constitutions stipulate that the National Human Rights Commission is responsible for investigating and reporting acts or omissions that violate human rights and proposing appropriate remedial measures to the person or agency carrying out such actions or violations. If the proposed actions are not taken, the Commission must report to parliament for further action and recommend policies and proposals to improve laws, rules, or regulations to the National Assembly and the Cabinet to promote and protect human rights, including other related duties.   There are also audit mechanisms within the administration that do not have the status of a constitutional organizations and are organizations under the control of the administration itself, including the Department of Special Investigation (DSI) and the Office of the National Anti-Corruption Commission (NACC), and the Anti-Corruption Commission (PACC).   3.4. Structure of Horizontal Accountability Mechanisms in Thailand   Figure 2. Structure of Horizontal Accountability Mechanisms in Thailand     Source: Illustrated by the authors   The design of horizontal accountability mechanisms to monitor the work of the government in Thailand has gradually matured in the dimensions of the number of organizations, organizational structure powers, and duties of the organizations, influenced by the organizations operating checks and balances and constitutionalism principles following the liberal democratic state since the 1997 Constitution. However, the origin of the entering source of the said organizations changed after the coup in 2006 through the design of the 2007 Constitution. Furthermore, the same action appeared again during the 2014 coup, in which the positioning of horizontal accountability actors shifted subtly and complexly, as distinguished by three interconnected factors.   Firstly, there has been a change in the origin of the Senate by progressively reducing its connection with the people. Initially, the 1997 Constitution required that general elections elect all senators. The 2007 Constitution later stipulated that almost half of the senators were not appointed through general elections. Ultimately, the 2017 Constitution requires that all senators not receive appointments through general elections. The manner of this designation is to ensure that senators do not have a source directly connected to the people.   Secondly, the change in the origin of the Senate has directly affected the senators’ roles in monitoring the government's work. It has also had a complex impact on the horizontal accountability systеm. Due to the origin of oversight institutions, the 1997, 2007 and 2017 Constitutions require those entering oversight institutions to obtain approval from the Senate. In addition, those appointed to the role of a judge in the Constitutional Court or the Supreme Administrative Court must also be approved by senators.   Thirdly, according to the interim provisions of the 2017 Constitution, the current senators originated from the National Council for Peace and Order (NCPO). The current government also results from the approval of the House of Representatives and the Senate mentioned above due to the election to elect the Prime Minister of Thailand in 2019. This batch of 250 senators voted for General Prayuth Chan-o-cha as prime minister with 249 votes and one abstention. According to the current Constitution, the current government and oversight institutions also derive from the senators. Therefore, designing a mechanism to oversee institutions with such origins to monitor government work could be more effective due to the need for more independence between the organizations to deal with invisible relationships and powers between the incumbent.   Thirdly, according to the interim provisions of the 2017 Constitution, the current senators originated from the National Council for Peace and Order (NCPO). The current government also results from the approval of the House of Representatives and the Senate mentioned above due to the election to elect the Prime Minister of Thailand in 2019. This batch of 250 senators voted for General Prayuth Chan-o-cha as prime minister with 249 votes and one abstention. According to the current Constitution, the current government and oversight institutions also derive from the senators. Therefore, designing a mechanism to oversee institutions with such origins to monitor government work could be more effective due to the need for more independence between the organizations to deal with invisible relationships and powers between the incumbent.   4. The Effectiveness and Trust in the Oversight Bodies   4.1. The Situation from the Perception of People   King Prajadhipok’s Institute conducts research on ‘Assessing Thai Parliament Using Inter-Parliamentary Union Indicators’. There are five components.[2]   Figure 3. The Assessment of Thai Parliament on Accountability Source: King Prajadhipok’s Institute 2019, 2020, 2022   According to this study, the Institute found that the overall accountability assessment level results were moderate, with averages of 2.25, 2.41, 2.65, 2.60 and 2.55, respectively. The element regarding accountability with a higher mean ratio than others were the oversight of Subsidizing to Political Parties by the Election Commission (A3) and the Potential Development of Members of Parliament (A5). The Accountability of Members of Parliament to Citizens Nationwide (A1) was the only element with a high score level in 2019 (an average of 3.01 out of 5, the maximum score).   Furthermore, King Prajadhipok’s Institute has also studied institutional trust, especially in courts and independent constitutional organizations. According to survey results, even though most Thai people trusted the courts, referring to the fact that the answers ‘somewhat trust’ and ‘strongly trust’ resulted in more than 70 percent of the vote, they gradually decreased in 2022, especially trust in the Constitutional Court and the Administration Court. Moreover, Thai people trusted the work of independent organizations at a moderate level. The highest level of trust was in the ombudsman, and the lowest was in the National Human Rights Commission (NHRC). However, the level of trust has decreased in every organization overall (King Prajadhipok’s Institute 2022).   Figure 4. The Percentage of Trust in the Courts, and the Independent Constitutional Organizations       Source: King Prajadhipok’s Institute 2022   4.2. Case studies   The Election Commission (EC)   This case is about the malfunction in checking election transparency by the EC.   One candidate from Pheu Thai Party, Mr. Suraphon Kietchaiyakorn, led within Chiang Mai’s Constituency before he was disqualified and received an orange card, which meant he could not contest the election in the future because he donated 2000 baht to a monk. The Election Division in The Supreme Court denied this poll-fraud case, to which he lodged the EC in contempt. The case was dismissed, but the EC was required to pay 70 million baht by the Chiang Mai court (Bangkok Post 2022). Thus, the discretion of The Election Commission needs to be more careful and concise than before because otherwise, it may be countersued, causing the state to use the public's money for compensation.   The National Human Rights Commission of Thailand (NHRCT)   This case is about the limited function and power of NHRCT for other agencies to agree to resolve human rights abuses following the recommendation of NHRCT.   According to the responsibilities of NHRCT[3], they must give suggestions to the relevant agencies in order to prevent human rights violations. However, they lack the empowerment to force the authorities and may make them work without independence. Therefore, NHRCT requests that the executive and legislative branches revise the relevant laws and give them more power (Office of the National Human Rights Commission of Thailand 2021).   5. Recommendations   5.1. Policy Recommendations   The separation of power systеms should be strengthened, by firmly establishing the rule of law, and enforcement of the mandate of the Constitution.   Increased strength and support should be provided to those with a role in balancing the power of parliamentarians through various mechanisms, starting with educating these people about their roles and responsibilities and the performance of parliamentarians. Moreover, the relevant agencies should provide information and a public space for people to express their opinions.   Parliament should establish participation processes to allow members of civil society to play roles and give voices on behalf of the people, especially vulnerable groups such as the disabled, ethnic groups, or LGBTQ+ groups.   The state or the relevant agencies should provide accurate and accessible information, in order to be the mechanism to investigate the exercise of state power. Moreover, create networks of various sectors, including the public, private, and local government organizations, to assist in the investigation of complaints and to monitor the resolution based on the results.   5.2. Legal Recommendations   The provisions of the Constitution on the entry should be amended into a position within a constitutional oversight institution for the true independence of such organizations by stipulating that the generally elected senators approve entry into the said position. ■   References   Aphornsuvan, Thanet. 2001. The Search for Order: Constitutions and Human Rights in Thai Political History. https://openresearch-repository.anu.edu.au/handle/1885/42075   Bangkok Post. 2022. “EC Silent on Surapol’s Election Case.” April 22. https://www.bangkokpost.com/thailand/politics/2298442/ec-silent-on-surapols-election-case   Dahl, Robert Alan. 1971. Polyarchy: Participation and Opposition. New Haven: Yale University Press.   King Prajadhipok’s Institute. 2019. Assessment of Thai Parliament Based on Inter - Parliamentary Union. Bangkok: King Prajadhipok’s Institute.   ______. 2020. Assessment of Thai Parliament Based on Inter - Parliamentary Union. Bangkok: King Prajadhipok’s Institute.   ______. 2022. Assessment of Thai Parliament Based on Inter - Parliamentary Union. Bangkok: King Prajadhipok’s Institute.   ______. 2023. Assessing Public Trust in Various Institutions and Satisfaction with Public Services. Bangkok: King Prajadhipok’s Institute.   Mechkova, Valeriya, Anna Lührmann, and Staffan I. Lindberg. 2017. The Accountability Sequence: From De-Jure to De-Facto Constraints on Governments. The Varieties of Democracy Institute Working Paper Series 2017:58. https://gupea.ub.gu.se/handle/2077/54331   Office of the National Human Rights Commission of Thailand. 2021. Executive Summary: National Human Rights Commission Performance Report Fiscal Year 2021. https://www.nhrc.or.th/getattachment/eb42fc89-4435-46ef-a9b6-1c300a1bdde5/Executive-Summary-NHRCT-Annual-Report-for-Fiscal-Y.aspx   Wilson, Matthew Charles. 2015. Castling The King: Institutional Sequencing and Regime Change. Electronic Theses and Dissertations for Graduate, Pennsylvania State University.     [1] The 2017 Constitution of Thailand (Revised 2022) [2] There are 5 components, consisting of the accountability of the parliament (A) consists of 5 components, 1) Accountability of Members of Parliament to Citizens Nationwide (A1), 2) Oversight and Punishment of Members of Parliament with Immoral Behavior are Related to Conflicts of Interests (A2), 3) Oversight of Subsidizing to Political Parties by the Election Commission (A3), 4) Oversight on Public Faith in Parliament (A4), and 5) Potential Development of Members of Parliament (A5). There are five levels: score 0.00 – 1.00 = very low, scores 1.01 – 2.00 = low, scores 2.01 – 3.00 = medium, scores 3.01 – 4.00 = high and scores 4.01 – 5.00 = very high. [3] Section 45 of the Organic Act on the National Human Rights Commission of 2017     ■ Thawilwadee Bureekul is the Deputy Secretary General of King Prajadhipok’s Institute (KPI) where she is involved in the planning, management, implementation, and coordination of the Institute’s research projects. In addition to her role at KPI, Dr. Bureekul is a professor at several universities in Thailand, including the Asian Institute of Technology, Thammasat University, Burapha University, Mahidol University, and Silpakorn University. She succeeded in proposing “Gender Responsive Budgeting” in the Thai Constitution, and she was granted the “Woman of the Year 2018” award and received the outstanding award on “Rights Projection and Strengthening Gender Equality” in the Year 2022 as a result.   ■ Ratchawadee Sangmahamad is a senior academic of the Research and Development Office at King Prajadhipok’s Institute. Her research focuses on gender, citizenship, election studies, and conducting the quantitative research. She has published books as a co-author, such as Value Culture and Thermometer of Democracy, Thai Citizens: Democratic Civic Education, Thai Women and Elections: Opportunities for Equality, and many articles.   ■ Arithat Bunthueng is a law school Lecturer at Payap University. He had previously worked as an academic in the Research and Development Office at King Prajadhipok’s Institute. He graduated in public law with interest in and worked on projects related to the rule of law, the liberal democratic state, law and society, decentralization of local government, Indigenous people’s rights, and human rights.     ■ 담당 및 편집: 박한수_EAI 연구원 문의: 02-2277-1683 (ext. 204) hspark@eai.or.kr  

Thawilwadee Bureekul 2023-05-03조회 : 7806
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[ADRN Working Paper] Advancing Democracy: A Demand for Institutionalized Horizontal Accountability in Indonesia

1. Introduction   Since the early days of transitioning toward democratic regimes, shrewd scholars and pundits in democracy have been concerned about the subsequent quality of democratic governance in Indonesia. Despite being commendable for successfully holding regular elections at both the national and local levels, the progress of democratic transition in Indonesia appears less promising due to the lack of political accountability. Thus, Hamid (2012) valued Indonesia’s democratic progress as a flawed democracy (Hamid 2012). Compared to other newly democratic countries, many democracies in Latin America have faced similar challenges, marked by the absence of accountability. This perception is especially the case horizontally, as the elections are considered a form of vertical accountability (O’Donnell 1998).   Meanwhile, failure to sustain horizontal accountability may lead to democratic setbacks where state institutions could become corrupt and violate democratic principles. Consequently, the absence of horizontal accountability would leave unmeaningful elections as the only remaining institution representing democratic countries. Considering Indonesia's democratic practices, the efforts to apply horizontal accountability and achieve the principle of checks and balances among state branches remain problematic due to the unequal power to hold the president accountable. This condition needs to be critically examined, specifically to assess the ability of the new democratic government to perform its checks and balances amongst state institutions. The research about the checks and balances to manifest horizontal accountability is particularly relevant nowadays, as Indonesia is experiencing democratic stagnation and the weak function of its checks and balances mechanism. Democratic scholars have argued that the state of democracy should institutionalize the checks and balances principles to push back against backsliding into authoritarian regimes in order to preserve democratic consolidation. Otherwise, democratization could remain stagnant, distinguished by the domination of the elite shadowing the democratic process within Indonesia's political stage. In this regard, this research is urgently needed to prevent a more destructive impact on Indonesia's democracy due to the absence of strong horizontal accountability.   Based on this condition, this research aims to examine the ability of the Indonesian state institutions at the national level, including the legislative and judicial branches, to hold the president accountable. The Research is divided into three sections, breaking down the topic of horizontal accountability in advancing democracy in Indonesia. The first section will explain the concept of horizontal accountability in democratic countries. The second section will elaborate on horizontal accountability practices in Indonesia. The third and final section will conclude with finding a solution to establish horizontal accountability in Indonesia's national government.   2. Horizontal Accountability Revisited   In new democracies, horizontal accountability tends to be more fragile than its vertical counterpart since authoritarian institutional legacies are more challenging to transform than organizing free and fair elections (De Almeida Lopes Fernandes et al. 2020). In some states, the lack of horizontal accountability is still a problem to be solved. In this regard, O’Donnel (1998) accused many democratic countries of failing to achieve horizontal accountability (O’Donnell 1998). Other studies have also revealed that horizontal accountability mechanisms have affected the quality of democracy.   Ziegenhain (2014) explained that horizontal accountability refers to the operation of “checks and balances” between different state institutions (Ziegenhain 2015). This systеm particularly applies to the accountability of the elected government vis-à-vis the other branches of government. The dimension of horizontal accountability specifically rests under executive-legislative relations, followed by executive-judiciary relations and independent watchdog organizations such as counter-corruption commissions, audit agencies, and election commissions, which have the capacity to exert control over governmental actions (Rodan and Hughes 2014). In this regard, agencies responsible for horizontal accountability are ‘state actors and agencies willing and able to sanction other state actors and agencies for their acts and omissions, in accordance with the law and the constitution’ (Kenney 2003: 67; see also Goetz and Jenkins 2005: 11–12). If a democratic transition is understood to be the process of institutional redesign following the creation of a democratic elite pact, then horizontal accountability should play a significant role in promoting democracy. After all, horizontal accountability enshrines the systеm of checks and balances, ensuring institutions behave as intended. However, horizontal accountability is premised on a formal separation of powers within the state that, in post-authoritarian contexts, can be difficult to realize where power remains in the hands of a dominant elite.   Slater (2004) believed that O’Donnel draws on horizontal and vertical accountability, which fits in the context of Indonesia (Slater 2004). However, Slater further explained that the problem of horizontal accountability in the Indonesian political context faces challenges by the scourge of the “accountability trap.” Slater dubbed this condition by considering the clash between the formal and informal politics established in Indonesia by exerting cartels to stifle the competition of electoral contestation (Slater 2004). The formation of coalitional parties in Indonesia has generated drawbacks that are responsible for attenuating horizontal accountability due to their ability to be performed by the legislature to check the power of executives. However, there is room for hope to make horizontal accountability present in Indonesian politics. Nieves Zúñiga (2018) claimed that there is a pre-condition to achieving accountability: the provision of transparency (Zúñiga et al. 2018). In general, there is an assumption that the existence of transparency would result in better governance, additional accountability, and less corruption (Bovens 2006: Koppell 2005: Mulgan 2012). The response to the demand for accountability is often increasing transparency levels based on the assumption that better and more information would allow citizens, governments, or markets to hold institutions accountable for their policies and performance (Bellver and Kaufmann 2005). Although the link between transparency and accountability could seem obvious in theory, it is not always straightforward in practice.   3. The Practice of Checks and Balances as Horizontal Accountability in Indonesia   O’Donnel (1998) clearly mentioned that the primary responsibility of the legislature, the judiciary, and the public administration is to keep the executive in check in order to establish horizontal accountability. Therefore, this section will focus on the relationships between DPR and the president and between the Judiciary and the president at the national level to convey how horizontal accountability works in Indonesian governance.   3.1. The Scarcity of Permanent Opposition in Indonesia Politics   During the reform era, democracy was re-established; however, despite its recognition as a democratic country, the life of the opposition has not been present at an encouraging level in Indonesia. The legacy of the past political systеm, characterized by weak opposition, has remained significant. During the Presidential Administrations of Abdurrahman Wahid (Gus Dur) (1999-2001) and Megawati Soekarnoputri (2001–2004), the opposition was less regarded, considering that the government fully absorbed the potential of national political power. During Gus Dur's reign, all large and medium-sized parties — PDIP (Partai Demokrasi Indonesia Perjuangan-Indonesian Democratic Prty of Struggle), Golkar Party (Party of Functional Groups), PAN (National Mandate Party), PKB (National Awakening Party), PPP (United Development Party), PBB (Crescent Star Party), PKS (Prosperous Justice Party), and PKP Justice Unity Party) — obtained appointments in the cabinet that were led together with PDIP General Chair Megawati Soekarnoputri, making PDIP the party with the majority of positions held in the government.   In the contemporary situation, the admission of several parties supporting the Red and White Coalition (KMP) into the ranks of the government proves that the opposition remains substantially weak. Parties that initially declared themselves in opposition to the government and even became competitors to the government coalition at the time of the presidential election, including PAN, PPP, and Golkar, easily changed direction by declaring themselves government loyalists. Uniquely, during the Susilo Bambang Yudhoyono (SBY) Administration (2004–2014), cartel politics emerged when the opposition had little meaning and when the government absorbed groups that had the potential to play an opposition role (Ambardi 2009). The reality revealed that the opposition was not working effectively. There has been a slight improvement in the quality of the opposition, especially at the beginning of Jokowi’s administration, when parties such as Gerindra and PKS firmly declared themselves in opposition to the government. The current opposition phenomenon, in its development, tends to exhibit a continuation of the old pattern of relations between the government and the opposition. The function of the opposition, most fully performed by KMP, characterizes the phenomenon as limited and ineffective.   Until almost two decades into the reformation, non-party and extra-parliamentary circles performed the role of the opposition, which was sporadic and unusable as a barometer of control over an effective government. As a result, instead of becoming a sphere for a healthy democratic life, Indonesia is currently trapped in an oligarchic practice due to its positioning of the interests of a few above those of the masses. The interests of a group of people close to power often manipulate government policies meant for the people. The interests of a group of people close to power often manipulate government politics meant for the people. Democracy tends to be artificial, thus allowing the government to reap the results without effective opposition. The failure of the institutionalization of the opposition indicates that the president is not being subject to checks and balances by the parliament. The opposition only exists before the election in the context of electoral contestation marked by the union of all ranks of the leaders of the opposition parties to the elected president. The existing opposition is not based on program conflicts, differences in political views, or ideologies, hence indicating no practice of checks and balances to balance the president’s executive power.   3.2. The Trend of “Gemuk” Coalitions in Indonesia   The political phenomena that occurred in Indonesia, especially considering the implementation of the direct presidential election, sent a message that coalitions are always built by the incumbent President, both at the beginning of the election and during the administration of a government, to maintain power and political stability. However, the formation of a coalition including almost all political parties in the parliament became known as the fat (gemuk) coalition.   The trend of forming a gemuk coalition manifested after elections in the Reformation era. It was obviously seen after the 2004 elections, as at first, the Presidential Administration of SBY-JK, which was in office from 2004-2009, had a minority coalition in parliament where the vote obtained was only 7.45%, which meant that there were only 56 seats or 10.26% in the DPR (Fitra Arsil, 2017: 215). This minority condition in parliament certainly made the SBY-JK Administration feel insecure; therefore, a gemuk was formed in the DPR where almost all parties joined together to form a coalition, except the Indonesian Democratic Party of Struggle (PDI-Perjuangan), which played the role of opposition. The 2009 presidential election resulted in the SBY-Boediono Administration, which held office from 2009-2014 and again led to a fat coalition forming in the DPR. The coalition that succeeded in securing SBY's government for two terms resulted in the next presidential leadership preserving the culture of fat coalitions as a step towards the success of governance. Jokowi, in his first and second terms following the election of 2014 and 2019, also built a coalition following the fat frame in the government, namely during the Jokowi-JK Administration from 2014-2019. Even for the second 2019-2024 term, the Jokowi-Ma’ruf Advanced Indonesian Cabinet brought in figures who were leaders of the opposition party as ministers.   The explanation of how the President formed the above coalition indicates that there currently exists no opposition strong enough to hold the President responsible for horizontal accountability. The formation of these coalitions is based on cartel politics and has led to the accountability trap. This condition reflects what Slater has mentioned about the accountability trap that hinders democratization in governing the state at the national level.   4. Horizontal Accountability of the Judiciary to Examine the President   Indonesia’s judicial institution, the Constitutional Court, has the authority to hold the president responsible for horizontal accountability and is specifically responsible for handling the impeachment process against the president and/or vice president. Regarding the impeachment process, there is a requirement that the Constitutional Court must render a decision based on the opinion of the DPR that the president and/or vice president is suspected of having violated the law in the form of treason against the state, corruption, bribery, crime, disgraceful behavior, and/or no longer fulfills the requirements for president and/or vice president. The procedure for impeaching the president and/or vice president is essentially a series of long processes and requires the involvement of several high state institutions, including the People's Representative Council (DPR), the People’s Consultative Assembly (MPR), and the Constitutional Court. Each high state institution has different duties and authorities in the impeachment process. The initiation of the impeachment process can be submitted only by the DPR, which must submit it to the People's Consultative Assembly. Accordingly, not all high state institutions can propose the impeachment of the president and/or vice president. The DPR represents the political power of political parties winning general elections in the country, which consists of factions and commissions.   The DPR’s opinion that the president and/or vice president has violated the law or no longer fulfills the requirements as president and/or vice president is in the context of carrying out the DPR’s oversight function. The hope of the oversight function is that the president and/or vice president will remain on the “straight path” corridor in carrying out their duties and obligations. The DPR can only submit a request to the Constitutional Court with the support of at least 2/3 of the total number of DPR members present at a plenary meeting attended by at least 2/3 of the total number of DPR members. This requirement is difficult to fulfill because the majority of DPR members come from the election-winning party and its coalition partners. Therefore, the DPR cannot arbitrarily submit a request for the impeachment of the president and/or vice president without the support of at least 2/3 of its members.   If the Constitutional Court decides that the president and/or vice president has violated the law, the People's Representative Council holds a plenary meeting to submit the proposal to dismiss the president and/or vice president to the People's Consultative Assembly. The MPR Plenary Session should be attended by at least 3/4 of the members and approved by at least 2/3 of the members present, after which the president and/or vice president has the opportunity to present their explanations at the MPR plenary session. Thus, the MPR's decision ultimately determines whether or not impeachment can proceed.   In this regard, the issue regarding the conducting of impeachment proceedings against President Susilo Bambang Yudhoyono (SBY) was once widely heard, especially concerning developments in the investigation into the Bank Century case. The results of the temporary conclusions of the DPR special committee regarding Bank Century show that the government received support from two factions, namely the Democratic Party and the National Awakening Party (PKB). Seven other political parties, PKS, Golkar Party, PDIP, Gerindra, Hanura, PPP and PAN, conversely stated that granting Bank Century bailout funds violated the law. In the beginning, false accusations were aimed only at monetary authorities and assistants to the President. But, as development progressed, political parties began to emerge, although not in a “vulgar” direction towards the President, because they too were considered partly responsible for how the government was running, especially regarding the bailout process for Bank Century.   Based on the explanation above, in Indonesia’s current constellation, it seems that the conditions for impeaching the president are not easy to fulfil; based on the results of the presidential election, the Democratic Party, which supports SBY and Boediono, has received genuine support from more than 60% of its constituents. So the requirement of support by 2/3 of the number of DPR members is also not easy to achieve because the majority of DPR members come from the Democratic Party with the support of their coalition partner political parties. Of course, the Democratic Party and its coalition will try their best to thwart the impeachment efforts of their political opponents. Measures taken towards impeachment are currently difficult to attain because DPR is mostly part of the fat coalition and is allied with the president.   The impeachment process is long, not easy, and involves several state institutions, including the DPR, the Constitutional Court, and the MPR. Moreover, quantitatively, members of the DPR are dominated by the election-winning political parties (Democratic Party) and their coalitions, so the requirements for the impeachment of the president and/or vice president must receive support from at least two third of the total number of members of the DPR present at a plenary session where at least two third of the total members of the DPR are present. This task seems challenging to fulfil because the Democratic Party and its coalition would likely make every effort to thwart the impeachment efforts of their political opponents. So, efforts leading to presidential impeachment are not easy to accomplish because the mechanism required to enact it is quite long, with conditions that are also not easy to satisfy. The challenge to examine presidential accountability leads to the paradox of horizontal accountability because accountability is almost non-existent since the Constitutional Court reviews the president based on a parliamentary decision.   5. Conclusion   The root of political science is power; however, this power is characterized by opacity. Considering the opaqueness of power, the concept of accountability arises to control and prevent the abuse of power. Existent is the paradox of horizontal accountability resulting from the unequal power and resources between actors. To resolve this paradox, ideally, both parties form relatively autonomous agencies that do not stand in a relation of formal subordination or superiority to one another. In other words, horizontal accountability presupposes a prior division of powers and a particular internal functional differentiation of the state. In the case of Indonesian politics, the unequal power between the executive, legislative, and judiciary branches is the result of formal and informal institutions. The legislative has unequal authority to check the president’s accountability because it has been weakened by cartel politics seen as necessary to form a coalition with the government before and after the election. Meanwhile, the judiciary has a similar dilemma where presidential impeachment requires the provision and convention of parliamentarians co-opted by the government coalition. This condition even further leads to an accountability trap.   Moreover, the absence of opposition as the last resort to institutionalize horizontal accountability from the legislative branch toward the president has also contributed to the degradation of the quality of democratic governance in Indonesia. The design of a representative institution that places a second chamber with limited functions solely in terms of legislation has exacerbated this condition. As a result, under this condition, it is obvious that the implementation of horizontal accountability is almost non-existent. In addition, there is an imbalance of function and authority between the first and second chambers of the Parliament, leading to the absence of internal checks and balances within parliament. This condition evidences the paradox of horizontal accountability by resulting in unequal power between state actors. ■   References   Adserà, A, Boix, C. and Payne, M. 2003. “Are You Being Served? Political Accountability and Quality of Government.” Journal of Law, Economics, and Organization 19, 2: 445-490.   Ambardi, K. 2009. Mengungkap Politik Kartel: Studi Tentang Sistem Kepartaian di Indonesia Era Reformasi. (Uncover Political Cartel, a study of Political Party in Indonesia in the Reformasi era) Jakarta: Kepustakaan Populer Gramedia.   Arndt, Christiane and Oman, Charles. 2006. Uses and Abuses of Governance Indicators, Development Center Studies. Paris: OECD Publishing.   Buehler, M. 2010. “Decentralisation and Local Democracy in Indonesia: The Marginalisation of the Public Sphere in Aspinall.” in E., & Mietzner, M.(Eds.) 2010. Problems of Democratisation in Indonesia: Elections, Institutions and Society. Institute of Southeast Asian Studies.   Choi, E., & Woo, J. 2010. “Political Corruption, Economic Performance, and Electoral Outcomes: A Cross-National Analysis.” Contemporary Politics 16, 3: 249-262.   Coppedge M, Gerring J, Lindberg SI, Skaaning S, Teorell J, Altman D, Andersson F, Bernhard M, Fish SM, Glynn A, Hicken A, Knutsen CH, Marquardt KL, McMann K, Mechkova V, Miri F, Paxton P, Pernes J, Pemstein D, Staton J, Stepanova N, Tzelgov E, Wang Y, Zimmerman B. 2016. 2016 V-Dem Dataset Version 6.2. Varieties of Democracy V-Dem Project.   De Almeida Lopes Fernandes, Gustavo Andrey, Marco Antonio Carvalho Teixeira, Ivan Filipe de Almeida Lopes Fernandes, and Fabiano Angélico. 2020. “The Failures of Horizontal Accountability at the Subnational Level: A Perspective from the Global South.” Development in Practice 30, 5: 687-693.   Hagopian, F. 2016. “Brazil’s Accountability Paradox.” Journal of Democracy 27, 3: 119–128.   Hamid, Sandra. 2012. “Indonesian Politics in 2012: Coalitions, Accountability and the Future of Democracy.” Bulletin of Indonesian Economic Studies 48, 3: 325-345.   Hidalgo, D. F., J. Canello, and R. Lima de Oliveira. 2016. “Can Politicians Police Themselves? Natural Experimental Evidence from Brazil’s Audit Courts.” Comparative Political Studies 49, 13: 1739–1773.   Jones, G. W. 1992. “The Search for Local Accountability.” in S. Leach (editor). Strengthening Local Government in the 1990s. London: Longman, 49-78.   Katz, Richard S., and Peter Mair. 1995. “Changing Models of Party Organization and Party Democracy: The Emergence of the Cartel Party.” Party Politics 1, 1: 5-28.   Kenney, Charles D. 2003. “Horizontal Accountability: Concepts and Conflicts.” Democratic Accountability in Latin America 165: 55.   Khotami, Mr. 2017. “The Concept of Accountability in Good Governance.” In International Conference on Democracy, Accountability and Governance (ICODAG 2017), 30-33. Atlantis Press.   Kristiansen, Stein, Agus Dwiyanto, Agus Pramusinto, and Erwan Agus Putranto. 2009. “Public Sector Reforms and Financial Transparency: Experiences from Indonesian Districts.” Contemporary Southeast Asia 31, 1: 64-87.   Lindberg, S. I. 2009. “Accountability: The Core Concept and Its Subtypes.” Africa Power and Politics. Working Paper No.1.   Lührmann, Anna, Kyle L. Marquardt, and Valeriya Mechkova. 2020. “Constraining Governments: New Indices of Vertical, Horizontal, and Diagonal Accountability.” American Political Science Review 114, 3: 811-820.   Mainwaring, S. and Welna C. 2003. Democratic Accountability in Latin America. Oxford: Oxford University Press.   Melo, M. A., C. Pereira, and C. M. Figueiredo. 2009. “Political and Institutional Checks on Corruption: Explaining the Performance of Brazilian Audit Institutions.” Comparative Political Studies 42, 9: 1217–1244.   Mulgan, R. 2000. “Accountability: An Ever-Expanding Concept?” Public Administration 78, 3: 555-573.   O’Donnell, G. 1998. “Horizontal Accountability in New Democracies.” Journal of Democracy 9, 3: 112-126.   Praca, S., and M. M. Taylor. 2014. “Inching Toward Accountability: The Evolution of Brazil’s Anticorruption Institutions, 1985–2010.” Latin American Politics and Society 56, 2: 27–48.   Rodan, Garry, and Caroline Hughes. 2014. The Politics of Accountability in Southeast Asia: The Dominance of Moral Ideologies. Oxford: Oxford University Press.   Said, Muhtar, Ahsanul Minan, and Muhammad Nurul Huda. 2021. "The Problems of Horizontal and Vertical Political Accountability of Elected Officials in Indonesia." Journal of Indonesian Legal Studies 6: 83.   Sakib, N. H. 2020. “Horizontal Accountability to Prevent Corruption.” Global Encyclopedia of Public Administration, Public Policy, and Governance, 1–6. doi:10.1007/978-3-319-31816-5_3930-1   Schedler, Andreas. 1999. “Conceptualizing Accountability.” in Marc F. Plattner, Larry Diamond, and Andreas Schedler, The Self- Restraining State: Power and Accountability in New Democracies, Boulder: Rienner Publishers, 13-29.   Schmitter, Philippe, and Terry Karl. 1991. “What Democracy Is and Is Not.” Journal of Democracy Summer 1991: 103-109.   Schmitter, Philippe C. 1999. “The Limits of Horizontal Accountability.” in Marc F. Plattner, Larry Diamond, and Andreas Schedler, The Self-Restraining State: Power and Accountability in New Democracies. Boulder: Rienner Publishers, 59-62.   Slater, Dan. 2004. “Indonesia's Accountability Trap: Party Cartels and Presidential Power after Democratic Transition.” Indonesia 78: 61-92.   Williams, A. 2015. “A Global Index of Information Transparency and Accountability.” Journal of Comparative Economics 43: 804-824.   Ziegenhain, Patrick. 2015. Institutional Engineering and Political Accountability in Indonesia, Thailand and the Philippines. Singapore: Institute of Southeast Asian Studies.   Zúñiga, Nieves, Matthew Jenkins, and David Jackson. 2018. Does More Transparency Improve Accountability? Transparency International.     ■ Devi Darmawan is a researcher at the Research Center for Politics, National Research and Innovation Agency. She holds a law degree from the University of Indonesia and has successfully pursued a master's degree in political science at the School of Public Affairs, American University. Her studies focus on election, democracy, and comparative politics. She has been involved in research on: “Alternative Design of the Election systеm in the scheme of the Presidential systеm in Indonesia,” “Evaluation of the 2014 Legislative Election,” and “Mapping of Political, Legal, Economic, Social and Cultural Conditions ahead of the 2019 election.”   ■ Dr. Sri Nuryanti is an acting Director of Regional Research and Innovation Policy, The Indonesian National Research and Innovation Agency. She is former Election Commissioner of the Indonesian General Election Commission 2007-2012 whom which successfully conducting the Parliamentary election and Presidential Election 2009, as well as local elections 2007-2012. She is actively participating in various academic activities at national level as well as in international level. She currently serves as Secretary General of APPRA (Asia Pacific Peace Research Association) and executive council member of IPRA (International Peace Research Association).     ■ 담당 및 편집: 박한수_EAI 연구원 문의: 02-2277-1683 (ext. 204) hspark@eai.or.kr  

Devi Darmawan 2023-05-03조회 : 22805
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[ADRN Working Paper] Horizontal Accountability in Pakistan

1. Background   Horizontal accountability refers to the ability of state institutions, including the legislative and judicial branches and other oversight agencies, to hold accountable the executive branch of the government. Horizontal accountability can be achieved when different institutions implement efficient checks and balances to prevent the abuse of power. For example, when the legislature oversees the executive branch or when a constitutional court reviews the laws adopted by the legislature, these are also called forms of accountability that run horizontally ‘among equals’ (O’Donnell 1998; Lindberg 2013).   In a political structure, horizontal accountability is commonly defined as the exercise of oversight by different institutions over one another. Institutions that exercise such oversight include legislative committees, which not only check the actions of the government but also have the power to hold them accountable. The legislature, specifically the National Assembly in the case of Pakistan, can also exercise accountability by initiating a vote of no-confidence. Therefore, the horizontal accountability mechanism emphasizes the separation of powers among state institutions, which prevents the abuse of power and allows other state institutions to ask for information, question officials, and possibly punish improper behavior (Rose-Ackerman 1996).   Most democratic countries stand on three pillars with well-defined functions. The legislature makes laws, scrutinizes the executive's performance, and provides a platform to express public sentiments through elected representatives; the judiciary settles disputes between people, groups, and governments; and the executive is responsible for carrying out laws and managing state affairs. In Pakistan, the line between the legislative and executive branches is blurry because the Prime Minister serves as the chief executive and leader of the majority party in the national assembly and, as such, simultaneously represents both pillars of the state. In an ideal systеm, these three state pillars would not interfere with each other’s affairs. In Pakistan, however, inter-institutional interference is such a severe issue that former Chief Justice of Pakistan, Justice Asif Saeed Khosa, proposed an inter-institutional dialogue among these three pillars including military and intelligence agencies to resolve this issue (Mehboob 2023).   Over the last two decades, ‘accountability’ has become Pakistan’s most famous political slogan (Mehboob 2022). Despite many reforms in the accountability systеm, Pakistan received the worst ranking in the Corruption Perception Index (CPI) released by Transparency International (TI) (TI 2023). Per CPI rankings, Pakistan’s score has been declining continuously since 2019.   Similarly, the Control of Corruption Index (CCI) that measures horizontal accountability also depicted poor performance by Pakistan. From 2013 to 2020, Pakistan’s score ranked less than 1.0, except for in 2014, when its score was 0.83. Institutions like the judiciary, legislature, and oversight agencies like the National Accountability Bureau (NAB) and Anti-Corruption Departments are responsible for executing horizontal accountability in Pakistan.   In Pakistan, it is widely believed that the existing institutions associated with ensuring accountability, especially the NAB, are responsible for political instability and the worst economic conditions in the country. Apart from its poor performance, the media, politicians, and even the judiciary have observed that the NAB is involved in selective accountability, political victimization, political engineering, and misuse of authority (Iqbal and Mustafa 2022).   The Parliament of Pakistan executes the public sector financial accountability function through the Public Accounts Committee (PAC) and parliamentary committees. Motions, resolutions, call attention notices, and points of public importance are raised in the House, and parliamentarians ask questions accordingly. In parliamentary democracies, the committees are considered the “eyes, ears, hands and even brain of the Parliament.” Another saying about the importance of the Committee is the “Congress in session is Congress in Exhibition, while Congress in its Committee Room is Congress at work” (Joseph P. Haris). In considering Pakistan, ‘Congress’ can be replaced by ‘Parliament’.   The purpose of this paper is to evaluate the current state of horizontal accountability in Pakistan by studying the strengths and weaknesses of its mechanisms, including laws and regulations. This paper will also help to develop a basic understanding of key issues of horizontal accountability structures in Pakistan by providing different perspectives on how horizontal accountability can contribute to the functioning of democracy.   2. Horizontal Accountability Mechanisms in Pakistan   Pakistan’s governmental structure is composed of three major institutions: the executive government, the parliament, and the judiciary, and all three are guaranteed separated and independent by the Constitution of the Islamic Republic of Pakistan. The executive branch includes the Prime Minister, who leads the cabinet. The legislative branch contains a bicameral parliament consisting of the Senate, the National Assembly and four Provincial Assemblies. Finally, the judicial branch consists of the Supreme Court, the High Courts, and the lower Courts. Additionally, there are oversight agencies meant to check the abuse of power by the executives. These agencies include the National Accountability Bureau (NAB), the Office of the Auditor General of Pakistan (AGP), federal and provincial ombudsmen, and anti-corruption establishments at the provincial levels.   Figure 1. Governmental Structure of Pakistan       2.1. The Legislature   The Parliament of Pakistan and provincial assemblies have three key functions: legislation, representation, and oversight, or to monitor the performance of the elected government through plenary and ministry-wise committees. The Rules of Procedure and Conduct of Business in the National Assembly, the Senate, and provincial assemblies contain special provisions that empower the standing committees to monitor the performance of the Ministries and their associated public bodies and forward their recommendation reports to the Ministry, which then submits its response to the Committee (National Assembly of Pakistan n.d.). The committees deal with a large part of the business of the House because many parliamentary tools that include legislation, motions, resolutions, call attention notices, question hours, and points of public importance are raised in the House but may eventually end up in the committees.   The role of the PAC includes the examination of the government’s annual financial accounts, the report of the AGP, and other matters that the Minister of Finance refers to it. Similar rules in the provincial assemblies regulate PAC working within them. The Controller General of Accounts compiles the annual accounts, which the AGP audits. Under Article 170 of the Constitution of Pakistan, the AGP then submits its annual audit reports to the President, who lays them before the Parliament. After this, the Parliament refers these yearly audit reports to PAC for scrutiny (Cheema 2020).   Performance   During the past four years, from 2018 to 2022, 38 standing committees of the National Assembly convened 806 meetings and presented 319 reports, while 37 Senate standing committees convened 801 meetings and presented 440 reports to the House between 2019 and 2022.   On the other hand, between December 18, 2018, and December 2022, PAC held 503 meetings, including meetings of sub-committees. PAC discussed 10,278 paras and referred 78, 31, and 3,821 paras to NAB, FIA, and DAC, respectively. Moreover, PAC settled 617 grants and 2,984 paras. However, 1,029 grants and 21,217 paras are still pending. During this period, 999,013.06 million rupees (Rs.) were recovered.   Table 1. Performance of 15th Public Accounts Committee (PAC)       The National Assembly can also constitute a special committee. For instance, a special committee on railways was established on April 22, 2008, by the National Assembly through a resolution on the issue of the allotment of Pakistan Railways land to the Royal Palm Golf and Country Club, Lahore, on nominal prices. The committee presented its report on August 26, 2010, and subsequently recommended the termination of the contract, the recovery of losses from the contractor, and legal proceedings against the involved officials (National Assembly of Pakistan 2010). The Supreme Court (SC) nullified the lease agreement and gave possession of the land back to Pakistan Railways (Sheikh 2019). In this way, the committees of the Parliament successfully responded to the unlawful encroachment of the executive officials.   2.2. The Judiciary   The judicial branch in Pakistan is constitutionally and legally independent to check and penalize executive wrongdoings. Article 184 (3) of the Constitution of Pakistan empowers the Supreme Court to take 'suo motu,’ meaning "on its own accord," notice on any question of public importance involving the enforcement of fundamental rights (Mehboob 2020). Similarly, Article 186A of the Constitution authorizes the SC to transfer any case, appeal, or other proceedings pending before any High Court. Furthermore, as per the Supreme Court Rules, 1980, the constitution of benches is also at the discretion of the Chief Justice of Pakistan.   The Constitution of Pakistan provides a method of appointing superior court judges in addition to the qualification criteria. As per Articles 175 & 175A of the Constitution, the Judicial Commission of Pakistan (JCP) fulfills the appointment of judges for the Supreme Court and the High Courts. Once JCP approves the name of a judge for the Supreme Court, it goes to the eight-member Parliamentary Committee, which then has two weeks to consider the nomination.   The Constitution also provides the procedure for removing judges from the superior courts through the Supreme Judicial Council (SJC). Thus, the Constitution ensures freedom, independence, and impartiality from the superior judiciary.   Performance   According to the SC press release dated February 25, 2023, 52,450 cases are pending with the SC. Comparably, as per the 2020 annual report of Judicial Statistics of Pakistan, Pakistan’s superior and lower judiciaries face a backlog of 2.15 million cases (Law and Justice Commission of Pakistan 2020). Moreover, Pakistan was ranked 129th out of 140 nations according to the 2022 Rule of Law Index formulated by the World Justice Project, while in 2021, Pakistan was ranked 130th out of 139 countries (World Justice Project 2022).   2.3. Other Oversight Agencies   National Accountability Bureau (NAB)   The National Accountability Bureau is a leading anti-corruption agency in Pakistan, charged with eliminating corruption. It follows the National Accountability Ordinance (NAO)-1999. In 2002, NAB launched the National Anti-Corruption Strategy (NACS), which allowed the NACS team to conduct surveys, study external models of international anti-corruption agencies, and involve local stakeholders (National Accountability Bureau n.d.).   Accountability courts are put into place to protect against all forms of abuse of power, and cases may be transferred between these courts. Under Section 22 of the NAO, the NAB chairman may investigate any suspected offense that appears credible under reasonable grounds and is either referred to him or discovered by himself. If deemed necessary, the chairman may collaborate with other agencies or people who can provide adequate assistance in the investigation. NAB refers the cases to accountability courts, which then decide the outcomes as per law.   The NAO has experienced many amendments since 1999. The amendments passed by Parliament in 2022 have addressed almost all of the issues which were criticized either by the courts or the victims of the NAO, including the appointment process for the chairman, exclusion of tax matters from the scope of NAO, reduction of the period of remand from 90 to 14 days, and the reduction of the terms of the NAB chairman and prosecutor general from four to three years. NAO has also been made inapplicable to cabinet ministers and several other officeholders who have made policy decisions in which no monetary gain is evident. The powers of arrest have also become rationalized (Mehboob 2022).   Performance   According to the 2021 annual report, NAB received 34,813 complaints. During 2021, NAB authorized 392 inquiries and 121 investigations and filed 93 References in Accountability Courts. Additionally, NAB recovered Rs.91.195 billion of the money looted from corrupt elements (directly and indirectly) during the year. As per the report, the success rate of NAB cases is 71.5%. A total of 11 cases of former Presidents of Pakistan, 19 cases of sitting/former Prime Ministers, 280 cases of sitting/former ministers or parliamentarians, and 354 cases of former/serving bureaucrats are either under process at NAB or under trial at accountability courts (National Accountability Bureau 2022). The perception of NAB is that it is performing well, but international reports on Pakistan depict a gloomy picture. Pakistan was ranked 129th out of 140 nations according to the 2022 Rule of Law Index formulated by the World Justice Project, while in 2021, Pakistan was ranked 130th out of 139 countries. Similarly, based on the annual reports of Transparency International, Pakistan’s Corruption Perception Index (CPI) score has shown a continuous decline since 2018.   Figure 2. Corruption Perception Index (CPI) score of Pakistan (2010-2022)       Auditor General of Pakistan   The Office of the AGP is a constitutional position and is considered one of the main pillars of Pakistan’s governance and accountability framework that ensures good use of public money. The term, appointment, removal, functions, and powers of the AGP are defined from Articles 168 to 171 of the Constitution. Article 168 of the Constitution of Pakistan appoints the AGP (Auditor General of Pakistan n.d.).   The functions of the AGP include, but are not limited to, the determination of principles and methods under which the accounts of the Federation and the provinces are kept; the certification of financial year accounts compiled by the Controller General of Accounts; the annual receipts and disbursements of the Federation, the provinces, and the districts; the submission of the certified accounts with recommendations; the preparation of reports on the accounts of the Federation and provinces; and the submission of these report to the President and governors, respectively, who then allow them to be presented to the National and Provincial Assemblies.   Performance   Per the 2020-2021 annual report of AGP, Federal Audit Operations (FAO), which work under the supervision of various audit wings of the AGP, carried out the audit of 6,848 formations of Federal and Provincial Governments during the 2020-2021 audit year. It audited an amount of Rs. 19,149.49 billion and recovered an amount of Rs.487.24 billion (Auditor General of Pakistan 2022).   3. Deficiencies in Horizontal Accountability Mechanisms   Unfortunately, parliamentary committees in Pakistan at both the national and provincial levels have not been very active or effective despite their powers. There is no constitutional, legal, or institutional limits of the legislative branch to check the executive branch sufficiently. For instance, the Finance Bill does not get referred to any of the standing committees of the National Assembly. Under Article 73 of the Constitution, it is mandatory that the Senate provide its recommendations on the Finance Bill, containing the Annual Budget Statement, within fourteen days after its referral by the National Assembly of Pakistan. The National Assembly can pass the Finance Bill with or without the recommendations of the Senate. Similarly, PAC has limited provisions as it only scrutinizes inputs and compliance audits. Moreover, dealing with the previous year's reports consumes most of the PAC's time. Its recommendatory nature is also not taken seriously by government officials. For example, on April 2, 2022, the Islamabad High Court (IHC) set aside its directives when it restored 68 previously dismissed employees from the Pakistan Agricultural Research Council (PARC). Additionally, the political nature of PAC membership also influences its ability to work, as the members of treasury benches are not keen to hold their government accountable to the legislature.   The immense backlog of cases in the courts is also a significant problem. Even the superior judiciary has not been able to deal with case pendency effectively. Besides this, the alleged encroachment by the judicial branch on the executive domain is criticized widely in the media. Some examples of these encroachments include the opening of shopping malls by the SC in 2020, which were previously closed down by the government due to the coronavirus; a penalty of $6 billion imposed by the International Centre for Settlement of Investment Disputes (ICSID) in 2019; and the removal of Prime Ministers Syed Yousuf Raza Gillani and Mian Muhammad Nawaz Sharif in 2012 and 2017, respectively (Bhatti and Iqbal 2023).   Political victimization is a primary issue of NAB. The courts and honorable justices have not only questioned the performance of NAB but have also criticized the NAO. Therefore, while hearing cases of the NAB, Parliament has been advised to make suitable amendments many times. Furthermore, the subject of accountability always remains controversial in Pakistan as it challenges the dominant sectors of society, which then respond with their full powers, resulting in immense controversy. The accountability systеm itself is also responsible for creating doubts and complaints about the credibility of the accountability process. In addition to political victimization, establishment interference is a major factor in civilian governments. The previous NAB Chairman, appointed on July 21, 2022, served for only seven months before resigning on February 21, 2023, citing “interference” and “pressure.”   4. Reforms to Improve the State of Horizontal Accountability   There is a dire need to reform the parliamentary budget process, and the Finance Bill should be referred to the committees for discussion and recommendations. The legislators should also be regulars in the House to answer questions and to showcase the Ministry’s performance. Moreover, the Prime Minister should personally answer questions in Parliament regularly. The PAC must expand its scope and discuss the results of budget allocations, the performance of the executive body, and compliance with rules and regulations. There is also a need to develop a mechanism to eliminate the backlog of audit reports. Finally, the PAC can create a Parliamentary Budget Office, analogous to industrialized countries, to ensure ex-ante control of the country's financial management process (Masood 2018).   There is a considerable need for inter-institutional dialogues among the state pillars to avoid overreaching in the domains of other institutions and to build trust among these institutions. Additionally, the performance of the judges should also be audited. Judges who fail to meet the prescribed standards may be provided additional training or terminated from the office. The judiciary must ensure the disposal of cases at the earliest possible time in order to provide speedy justice to the common man. Similarly, the discretion of constituting benches, the transfer of judges, the appointment of cases, and the power of suo motu by the CJP alone should be revised and accomplished through a committee.   There is a dire need for a constitutional, legal, and institutional framework that may enhance the neutrality of the accountability institutions to exercise oversight over the powers of the executives and prevent the abuse of power. The number of accountability courts needs to increase in order to cope with the workload. Moreover, the prosecution is under-resourced, as the prosecutors available to deal with the delay in cases are short in number. Other key issues, including interference by influential sectors, also need to be addressed to enhance the efficiency of accountability institutions.   5. Conclusion   As a democratic country possessing a parliamentary systеm, Pakistan has tested various accountability mechanisms since 1947 after its independence from Britain. Unfortunately, all these structures were manipulated either by the civilian governments or military dictators during their regimes. On the other hand, the interference of one constitutional institution in the affairs of other institutions is a common occurrence in Pakistan, which always leads to political chaos in the country. For instance, the judiciary has recently overreached into the executive and parliamentary domains. Recent developments show that the politicians drag the judiciary branch into political affairs in attempts to make matters controversial. Besides this, the pressure of military governments and the influence of political leaders and the powerful sectors of society further derail the process of horizontal accountability in Pakistan. Therefore, there is a significant need for inter-institutional dialogues among the three state pillars to reform the current accountability structure for the betterment of society. Otherwise, the situation would become worse. ■   References   Asad, Malik. 2022. “Court sets aside Public Accounts Committee’s direction of restoring 68 PARC employees.” Dawn, April 3. https://www.dawn.com/news/1683077   Auditor General of Pakistan. n.d. “National Role.” Accessed February 25, 2023. https://agp.gov.pk/Detail/OTEzNGJiYTctODAyNS00YWZjLTg5ZjItOTk2NmYxYjQ4ZGRj   ______. 2022. “Annual Report Year 2020-21.” https://agp.gov.pk/SiteImage/Policy/AGP%20Annual%20Report%202020-21.pdf   Bhatti, Haseeb, and Nasir Iqbal. 2023. “Elections in Punjab, KP to be held in 90 days, rules SC in 3-2 verdict.” Dawn, March 1. https://www.dawn.com/news/1739739   Cheema, Faisal Saeed. 2020. “ECOSAI Circular,” The Public Sector Financial Accountability: The role of Public Accounts Committee in Pakistan, 16. https://agp.gov.pk/SiteImage/Misc/files/8_ecosai-circular-spring-issue-2020-article-Faisal%20Saeed%20Cheema.pdf   Iqbal, Nasir, and Ghulam Mustafa. 2022. “A Review of Accountability systеms: Learning from Best Practices.” PIDE Knowledge Brief No. 82. https://www.pide.org.pk/wp-content/uploads/kb-082-a-review-of-accountability-systеms-learning-from-best-practices.pdf   Law and Justice Commission of Pakistan. 2020. “Judicial Statistics of Pakistan.” http://ljcp.gov.pk/nljcp/assets/dist/Publication/JSP2020.pdf   Masood, Talat. 2018. “Revitalizing the Public Accounts Committee.” The Express Tribune, October 3. https://tribune.com.pk/story/1816730/revitalising-public-accounts-committee   Mehboob, Ahmed Bilal. 2019. “Inter-institutional dialogue, but how?” Dawn, February 3. https://www.dawn.com/news/1461476/inter-institutional-dialogue-but-how   ______. 2020. “Questions of judicial overreach and governance in Pakistan.” Arab News, May 26. https://www.arabnews.pk/node/1680251   ______. 2022. “Accountability fails again.” Dawn, June 2. https://www.dawn.com/news/1692731/accountability-fails-again   ______. 2023. “The rocky road between Pakistan’s judiciary and parliament needs fixing.” Arab News, February 17. https://www.arabnews.pk/node/2253121   National Accountability Bureau. n.d. “About Us.” Accessed February 24, 2023. https://nab.gov.pk/home/introduction.asp   ______. 2022. “Annual Report 2021.” https://nab.gov.pk/Downloads/NAB_Annual_Report_2021.pdf   National Assembly of Pakistan. n.d. “Committee systеm.” Accessed February 20, 2023. https://na.gov.pk/en/content.php?id=63   ______. 2010. “Report of the Special Committee on Railways.” https://na.gov.pk/uploads/documents/1303527590_183.pdf   Senate of Pakistan. 2018. “The Constitution of the Islamic Republic of Pakistan.” Last amended May 31, 2018. https://senate.gov.pk/uploads/documents/Constitution%20of%20Pakistan%20(25th%20amendment%20incoporated).pdf   Sheikh, Wajih Ahmad. 2019. “SC cancels lease of Lahore’s elite club, gives it to railways.” Dawn, June 29. https://www.dawn.com/news/1491022   World Justice Project. 2022. “World Justice Project (WJP) Rule of Law Index 2022.” https://worldjusticeproject.org/sites/default/files/documents/Pakistan.pdf     ■ Muhammad Habib is serving as Projects Manager in Pakistan Institute of Legislative Development and Transparency-PILDAT. He has over 5 years of experience in coordination and implementation of different projects in the field of Political Parties Development, Strengthening Democratic Institutions, Electoral Process Monitoring and Reforms, Youth, elected Local Governments and Media. He has been involved in data research, analysis, evaluation and report writing. He also liaisons with media and oversees post-event media coverage in print, digital and broadcast media. He holds a Master’s degree in Library and Information Science with distinction from the University of Punjab. Earlier, he has served in education sector in different capacities.     ■ 담당 및 편집: 박한수_EAI 연구원 문의: 02-2277-1683 (ext. 204) hspark@eai.or.kr  

Muhammad Habib 2023-05-03조회 : 17663
논평이슈브리핑
[ADRN Issue Briefing] Japan’s Gradual Move to Address Technological Challenges to Democracy

Digital Technology: A Double-Edged Sword to Democracy   Digital technology was once hailed for its liberating function, setting people free from the authoritarian rule.[1] The Arab Spring, a series of protest movements against authoritarian governments in Arab countries during the early 2010s, revealed people’s reliance on social media and reinforced the belief that new technology could aid democracy. However, authoritarian governments soon began taking advantage of digital technology to strengthen their oppressive rule. Now, social media is also widely believed to contribute to the global spread of populism.   Dual functions of digital technology are not only changing domestic politics but are also increasingly influencing international relations. International relations used to be essentially based on the concept of state sovereignty, in which states are the main actors. However, with the development of digital technology, the face of international relations has become more complex. This is because of the citizen empowerment. The ease with which information can be gathered and disseminated online has enabled individuals to take actions that affect international relations. Open-source intelligence groups such as Bellingcat, which bring together people from diverse backgrounds, can now take on the role of investigative journalism, thereby strengthening the checks on governments that lack transparency. Meanwhile, Social Networking Services (SNS) make it easier to mobilize like-minded individuals, stage protests, and raise calls for freedom. Like the citizen journalists in Myanmar after the coup, people can now use their anonymity to communicate the truth, even when press freedom has been cut off nationally.   On the other hand, the flood of information online has made it difficult for the audience to discern the truth. Authoritarian actors have been spreading disinformation and propaganda to destabilize and polarize democratic societies. Exposure of personal information not only violates privacy, but it is also used for repression. To increase individual surveillance, authoritarian actors and their collaborators have installed backdoors in 5G networks and keystroke-tracking features in social media. Coupled with China's export of surveillance technologies and methods, the accumulation of personal data has been used to deprive individuals of their freedoms. Disinformation is also used to legitimize an illegal war waged by an aggressor state, as seen in the case of the Russian disinformation offensive in the war against Ukraine. Extracted personal data by big tech companies provide foreign agents the cyber weapons of micro-targeting and astroturfing.   Accordingly, there has been a strong call to establish international rules and principles to prevent digital technology from undermining private data and democracy. European Union moved first to regulate the ways to use, process, and store personal data by adopting the General Data Protection Regulation that became effective in 2018.   Japan’s Recent Move for Private Data Protection and Disinformation Regulation   To protect people’s rights from AI surveillance, it is essential to formulate international rules on data access and privacy. To date, the World Trade Organization (WTO) has established rules for cross-border transactions. However, the WTO regulates international trade only on the basis of whether what is transferred is a physical good or a service, and on the geographical origin of the transferred goods or services. Regulations based on these pillars are not conducive to data regulation. There is an urgent need for international rules set by democracies willing to protect people's freedom and privacy.   Under the absence of digital regulations governing the global community, Japan sees the G7 as a useful framework to explore such rules. In 2019, then-Prime Minister Shinzo Abe proposed the concept of Data Free Flow with Trust (DFFT), and after repeated discussions at the G7, an action plan was formulated in 2022 within the G7 framework. This action plan encourages cooperation and knowledge sharing among nations on regulations, [2] and further progress is expected at the G7 meeting in May 2023.   Japan, like other Western countries, has also effectively banned Huawei from its 5G wireless telecommunications network to prohibit technology that may have backdoors installed. However, this is not a governmental regulation but rather an autonomous decision made by major cellphone companies (Softbank, NTT Docomo, and KDDI) to refrain from utilizing Chinese equipment.   The Japanese government has belatedly joined the Export Controls and Human Rights Initiative because AI surveillance technologies, such as surveillance cameras and facial recognition, are being used to suppress human rights in East Turkestan and other parts of the world. The Initiative was launched by Australia, Denmark, Norway, and the United States at the first Summit for Democracy in December 2021. Japan decided to join the initiative in conjunction with the Second Summit for Democracy, bringing the number of participating countries to 25, including Japan and South Korea. [3] The goal is to prevent surveillance technology from being transferred to authoritarian countries, such as China and Russia.   Disinformation measures have also accelerated since 2022, although they have lagged behind other countries. Behind this is the fact that the disinformation spread by the Russian government to disrupt countries supporting Ukraine has also flooded Japan, and has had no small impact on the Japanese discursive space. [4]   On April 1, 2022, the Ministry of Defense created the position of Global Strategic Intelligence Officer, whose primary mission is to analyze disinformation, and expanded its cyber unit. [5] The National Security Strategy, developed in December 2022, called for increased efforts to counter disinformation. [6] A decision was made to increase the number of cyber personnel to 4,000 by 2027. [7] In April 2023, the Ministry of Defense and the Ministry of Foreign Affairs announced their joint efforts to counter disinformation, with a focus on analyzing and disseminating accurate information to the public under the Cabinet Secretariat. The Cabinet Intelligence and Research Office will be in charge of analyzing disinformation, and the International Public Relations Office of the Prime Minister's Office will be responsible for disseminating accurate information, promoting a comprehensive countermeasure to disinformation.[8]   Private sector initiatives are also progressing in tandem. Based on recommendations previously compiled by the Study Group on Platform Services established by the Ministry of Internal Affairs and Communications, the Safer Internet Association established the Japan Fact-check Center in October 2022. [9] Although Japanese media have had their own fact-checking functions in the past, this is the first organization in Japan dedicated to carrying out fact-checking.   The Need to Create Proactive Narratives   How to adapt digital technology to democracy is expected to be discussed at the G7 Hiroshima Summit in May 2023. In the meantime, there are some initiatives that both governments and the private sector should pursue, such as developing counter-narratives.   Disinformation strategically planned and spread by authoritarian actors seeks to manipulate public opinion by distorting the truth. Nobel Peace Prize Laureate Maria Ressa reveals how the Duterte regime has used social media to attack investigative journalism and free media that were critical of tis wrongdoings. [10] In a politically divided society, fake news contribute to polarizing people to two camps of “us versus them.” Misused social media is undermining the functioning of democracy. If this trend is not stopped, many democracies of the world could become extremely unstable with mistrust and violence among people.   Unfortunately, fact-checking alone is not enough to prevent this. There is an undeniable risk that fact-checking can have a backfire effect, reinforcing the beliefs of the sender. Furthermore, while fact-checking is intended to communicate accurate information, it is often too dry to attract public attention. In the online world of social networking, messages must be integrated to feelings and emotions to reach the receptive public. People tend to be interested in narratives that are emotionally charged. According to Maria Ressa, people are not only interested in negative emotions such as anger, but also in positive emotions such as inspiration.   Therefore, it is necessary to form alternative narratives that can counter disinformation narratives. To do this, it would be wise to identify the specific demographic groups that authoritarian actors target to inject disinformation and propaganda, and to formulate effective counter-narratives appealing to those groups. We must be proactive in building and disseminating inspiring pro-democracy narratives to stabilize our national and international communities.       [1] Larry Diamond. 2010. "Liberation Technology." Journal of Democracy, 21, 3: 69-83.   [2] G7 Germany. 2022. "G7 Action Plan for Promoting Data Free Flow with Trust." G7 Digital Ministers' track - Annex 1.   [3] Office of the Spokesperson, U.S. Department of State. 2023. “Export Controls and Human Rights Initiative Code of Conduct Released at the Summit for Democracy”. https://www.state.gov/export-controls-and-human-rights-initiative-code-of-conduct-released-at-the-summit-for-democracy/   [4] Maiko Ichihara. 2022. "Impact of Disinformation on Democracy in Asia.”https://www.brookings.edu/research/impact-of-disinformation-on-democracy-in-asia/   [5] Asahi Shimbun. 2022. “Roshia shinko, SNS mo senjo haiburiddo sen [Russia invasion, SNS are also battlefields: hybrid warfare].”   [6] The Cabinet Office. 2022. "National Security Strategy of Japan.” https://www.cas.go.jp/jp/siryou/221216anzenhoshou/nss-e.pdf   [7] Nikkei. 2023. “自衛隊、サイバー人材4000人に 「能動的防御」へ拡充 [Self-Defense Forces expand to ``active defense'' to 4,000 cyber personnel].” https://www.nikkei.com/article/DGXZQOUA263WN0W2A221C2000000/   [8] Asahi Shimbun. 2023. "Gijoho, kantei chokuzoku de bunseki he: Shushu wo kyoka shi taigai hasshin [Disinformation to be analyzed under the direct control of the Prime Minister's Office to strengthen collection and dissemination to the outside world].” https://digital.asahi.com/articles/DA3S15611578.html   [9] Japan Fact-check Center. 2022. "JFCについて[About JFC]." https://factcheckcenter.jp/n/n50986dc9216c   [10] Maria Ressa. 2022. How to Stand Up a Dictator: The Fight for Our Future. Harper.       ■ Maiko Ichihara is an Associate Professor in the Graduate School of Law at Hitotsubashi University, Japan, and a Visiting Scholar in the Democracy, Conflict, and Governance Program at Carnegie Endowment for International Peace. She is also a co-chair of the Democracy for the Future project at the Japan Center for International Exchange. Throughout her career, she has undertaken research on international relations, democracy support, and Japanese foreign policy. Her recent publications include: “Universality to Plurality? Values in Japanese Foreign Policy,” in Yoichi Funabashi and G. John Ikenberry, eds., The Crisis of Liberalism: Japan and the International Order (Washington DC: Brookings Institution Press, 2020); and Japan’s International Democracy Assistance as Soft Power: Neoclassical Realist Analysis (New York and London: Routledge, 2017).       ■ 담당 및 편집: 박지수, EAI 연구원     문의: 02 2277 1683 (ext. 208) | jspark@eai.or.kr  

Maiko Ichihara 2023-05-02조회 : 8877