GOVERNING

INSTITUTIONS IN
DEMOCRACIES:
BUREAUCRACY AND
FEDERALISM
 LIBERAL DEMOCRACY
1. Unbiased Media
2. Informed Public
3. Universal Suffrage
4. Secret Ballot Elections
5. Periodic Elections
6. Political Parties
7. Interest/Lobby Groups
8. Fair/Equal Representation
9. Power of the Purse
10. Judicial Branch
11. Freedom (Speech, Association and Peaceful Assembly)
• Merit
• Administers policies according to law
• Treats citizens equally
• Insulates bureaucratic officials from the personal and political
desires of top leaders

A THREAT TO DEMOCRACY

HORIZONTAL ACCOUNTABILITY
 VERTICAL ACCOUNTABILITY
- the ability of individuals and groups in a
society to hold state institutions accountable

HORIZONTAL ACCOUNTABILITY
- the ability of state institutions to hold one
another accountable
LIMIT THE EXECUTIVE IN A NUMBER OF WAYS

POLITICAL PATRONAGE

KNOWLEDGE AND EXPERTISE

 PRINCIPAL-AGENT PROBLEM

How political leadership will hold the bureaucracy accountable?

How the principal makes sure the agent carries out the task
assigned?

SELF-INTEREST
 POLITICAL APPOINTEES

Officials who serve at the pleasure of the president

or prime minister and are assigned the task of
overseeing their respective segments of the
bureaucracy
DUTERTE’S CABINET MEMBERS

Chief Presidential Legal Counsel:

Salvador Panelo

A high-profile lawyer whose

client include Andal Ampatuan Jr., a
suspect in the infamous Ampatuan
massacre. He also lawyered for
detained Sen. Ramon “Bong” Revilla
Jr., who is facing plunder charges
regarding the misuse of his Priority
Development Assistant Fund (PDAF)
 Executive Secretary:
Salvador Medialdea

A childhood friend of Duterte, he is the

son of former Associate Justice Leo D.
Medialdea. A lawyer by profession, he
finished his Bachelor of Laws from San
Beda College in 1976.

He started his career in government in

1998 when he was appointed as
the administrator of the Livelihood
Corporation (LIVECOR). He was later
appointed Presidential Assistant for Political
Affairs from July 2000 until October 2000.
 Cabinet Secretary:
Leoncio “Jun” Evasco Jr
He is the outgoing mayor of Maribojoc
town in Bohol and was the national
campaign manager of Duterte. Evasco, a
former rebel priest, is a long-time chief of
staff and close friend of Duterte. The two
first met in Davao City when Evasco, who
was at that time a New People’s Army rebel,
was arrested and detained. Duterte, on the
other hand, was a city prosecutor.
Duterte said he trusts Evasco because he
is a “principled man.” As campaign manager
of Duterte, Evasco planned the overall
strategy for the mayor’s 90-day campaign
 Peace Process Adviser:
Jesus Dureza

Dureza is a former classmate

of Duterte who previously served
as the presidential peace adviser
of former president Gloria
Macapagal-Arroyo and Fidel
Valdez Ramos
 Special Assistant of the
President: Christopher
Lawrence "Bong" Tesoro Go 

He is the current Head of

the Presidential Management Staff in
the Philippines. He was appointed
by President Rodrigo Duterte to
replace Julia Abad. He is an executive
assistant and personal aide of Duterte
since 1998
 Presidential Communications
Operations Officer: Martin
Andanar 
He is a former television news anchor, radio
commentator, podcaster, audio blogger, voice-over
artist and comedian who last worked for TV5. He was
the head of News5 Everywhere, the online news video
and audio portal of TV5, formerly anchored Aksyon sa
Umaga and Punto Asintado on Radyo5 92.3 News
FM and AksyonTV, sister stations of TV5.

He studied at the Harvard University, Kennedy

School of Government,  Georgetown
University, Northern Illinois University, Asian
Institute of Management, National University of
Singapore and Federation University Australia
Presidential Spokesperson: Ernesto
"Ernie" Corpuz Abella 
He is a businessman, writer and former evangelist.
He was an executive with a Davao City-based
agricultural products manufacturer and a local
cooperative which he co-founded. He also established a
school in Davao and also worked as a columnist for
local newspaper Sun.Star Davao

He finished high school at the Ateneo de Davao

University in 1964. In 1968, he graduated with a BA in
pre-medicine from the same university. In 1980, he
pursued his postgraduate studies at the Silliman
University  where he graduated with a master's degree
in Divinity in 1984. He also earned a master's degree in
Social Development from the Asian Institute of
Management in 2005
 National Seurity Council:
Hermogenes Cendaña Esperon,
Jr. 
He is a retired Chief of Staff, the
highest position in the Armed Forces of
the Philippines (AFP). After retiring
from military service, he was
appointed as a member of the Cabinet
of President Gloria Macapagal-Arroyo,
initially as the Presidential Adviser on
the Peace Process
 Department of Foreign
Affairs: Perfecto Yasay Jr.
A lawyer and a former
chairman of the Securities and
Exchange Commission from
July 1995 to March 25, 2000.
He ran but lost as vice
president in the 2010 national
elections
Department of Transportation
and Communications: Arthur
Tugade

He is a lawyer by profession
and was Duterte’s classmate at the
San Beda Law School

He was formerly Chief

Executive Officer and President of
the Clark Development Corp
Department of Public Works
and Highways: Mark Villar

A businessman by profession. He
is a reelected representative of the
lone district of Las Piñas

He is the son of former senator

real-estate-retail tycoon Manny
Villar and incumbent Sen. Cynthia
Villar. in the 15th Congress, he
chaired the Committee on Trade and
Industry
 Department of Science and
Technology:
Fortunato Dela Pena

  He is a DOST undersecretary.
He was elected as Chair for the
15th Session of the prestigious UN
Commission on Science and
Technology for Development
(UNCSTD) during its 14th Session
in Geneva on May 27
Department of Justice: Vitaliano
Aguirre

  He is a veteran lawyer and a

batchmate of Duterte at the San Beda
College of Law. They are also brothers
of the Lex Talionis fraternity. Aguirre
handled the defense of Hubert Webb in
the celebrated Vizconde massacre and
rape case. In 2012, he was cited in
contempt for cupping his ears with his
hands as Sen. Miriam Defensor Santiago
was lecturing during the impeachment
hearing of former Supreme Court Justice
Renato Corona
 Department of Education:
Leonor Briones

She is a Professor Emeritus of Public

Administration at the National College of
Public Administration & Governance
(NCPAG) at the University of the
Philippines Diliman. She was a former
Presidential Adviser for Social
Development with Cabinet Rank and
served as a National Treasurer of the
Philippines from August 1998 to February
2001
 Department of Labor and
Employment: Silvestre Bello III
Bello served as  a former justice
secretary and as solicitor general
during the Ramos administration, from
September 1996 to February 1998 and
again on June 9-30, 1998. Bello is a
known human rights lawyer in Davao.
He was among those who helped
defend former priest and rebel Leoncio
“Jun” Evasco, who became Duterte’s
city administrator
Department of Social Welfare
and Development: Judy
Taguiwalo

She is a former Associate

Professor at the Department of
Women and Development Studies of
the University of the Philippines
Diliman
 Department of Budget and
Management: Benjamin
Diokno
He was the budget secretary
during the administration of then
president Joseph Estrada. He also
served as Undersecretary for Budget
Operations at the Department of
Budget and Management, during the
administration of President Corazon
Aquino. He is also an economic
professor of the University of the
Philippines Diliman
 Department of Energy: Alfonso Cusi

He was former Manila International Airport

Authority (MIAA) General Manager.  He also
served as head of the Civil Aviation Authority of
the Philippines (CAAP) and the Philippine Ports
Authority (PPA). He was appointed director
general of the CAAP in March 2010 but
resigned nine months later after a very public
dispute over the appointment without his
knowledge of senior management officials at the
agency. In 2004, Cusi was implicated in alleged
massive electoral fraud involving then President
Gloria Macapagal-Arroyo. He was cleared by the
Ombudsman in 2012. He is currently chair of the
Batangas-based shipping company Starlite
Ferries Inc.
 Department of Finance: Carlos
Dominguez III

  He was the chairperson of Duterte’s

finance committee during the campaign
period. Owner of the Marco Polo Hotel
in Davao City, Dominguez is a former
classmate and childhood friend of
Duterte. He is also a former Cabinet
secretary of Corazon Aquino and Fidel
V. Ramos. He was also former president
of Philippine Airlines and Manila Hotel.
Duterte trusted Dominguez to head his
finance team because “he has a good
reputation in the business community.”
 Department of Agrarian
Reform: Rafael Mariano

He is a peasant leader and a

former Anakpawis Party-list
Representative. Mariano was
among the list of potential
Cabinet members submitted by
the National Democratic Front
(NDF)
 National Economic
Development Authority:
Ernesto Pernia

He is a professor Emeritus of the

School of Economics of the
University of the Philippines
Diliman
 Department of
Agriculture: Emmanuel
"Manny" Fantin Piñol
He is a journalist, writer,
agriculturist and politician who is
the current Secretary of the
Philippine Department of
Agriculture
 Department of National
Defense: Delfin Negrillo
Lorenzana 
He served more than four
decades of the nation in defense
and foreign relations. He has
made significant contributions in
both his military and diplomatic
careers
Department of Health: Paulyn
Jean B. Rosell-Ubial
She is a physician. She was an
Assistant Secretary for Health
Regulations from 2008 until 2016
during the Arroyo and Aquino
administrations

She was also appointed as the

department's regional director
for Davao Region from 2006 to 2008

She is also an anti-tobacco

advocate
 Department of Trade and
Industry: Ramon Lopez
 He is a businessman and lawyer.
Before he was appointed as the
DTI secretary, he was the Vice
President and Executive Assistant
to the President and CEO of RFM
Corporation having served for the
company for 22 years, and
Executive Director of Go Negosyo
of the Philippine Center for
Entrepreneurship
 Department of
Environment and Natural
Resources: Regina Paz
"Gina" La'O Lopez 
She is a philanthropist, a
former yoga missionary, a pioneer
for corporate social responsibility,
and an environmentalist. She was
appointed by President Rodrigo
Duterte and has become one of the
best environmental icons of the
country ever since
 Department of Interior and
Local Government: Ismael
"Mike" Dres Sueno 
  He was appointed by
President Rodrigo Duterte to
replace Mel Senen Sarmiento starting
June 30, 2016. A member and former
national chairman of PDP–Laban, he
served as Governor of South
Cotabato under President Corazon
Aquino
 Department of Information and
Communications Technology: Rodolfo
"Rudy" Agapay Salalima 

He is a lawyer and a former chief legal counsel

and senior advisor of Globe Telecom, one of the
leading telecommunications firms in the country and
has also served as Senior Vice President for
Corporate and Regulatory Affairs and Managing
Director of Ayala Corporation. He is also the former
president of the Philippine Chamber of
Telecommunications Operators (PCTO) and
International Telecommunication Union Council
working group for the amendment of ITU
constitution and convention vice chairman for Asia
Pacific Region. In 2015, he authored the book
entitled "Telecommunications in the Information
Revolution", a law book on telecommunication
 Department of Tourism:
Wanda Corazon Teshiba
Tulfo-Teo 
She is a stateswoman. She stated
that under her term she will retain
the present tourism slogan, "It's
More Fun in the Philippines",
coined by her predecessor
(Jimenez), because of its positive
effects that resulted in invaluable
tourist arrivals in the Philippines
  
LEGISLATIVE OVERSIGHT

Members of the legislature, usually in

committees, oversees the bureaucracy
 NEW PUBLIC MANAGEMENT (NPM)

Theory of reform of bureaucracies that argues for

the privatizing of many government services,
creating competition among agencies to simulate
a market, focusing on customer satisfaction, and
flattening administrative hierarchies
 BUREAUCRACY AND CORRUPTION

RENT-SEEKING - gaining an advantage in a

market without engaging in equally productive
activity; usually involves using government regulations
for one’s own benefit
Corruption is greater where societies lack shared values about
the importance of the public sphere, instead placing personal,
family or ethnic interests above those of the society as a whole

Greater corruption is found in postcolonial societies; they

contend that the lack of legitimacy of a postcolonial state that
has no firm roots in the society leads citizens to believe one
should gain whatever one could from the public sphere
 Nigerian Sociologist Peter
Ekeh (1975)

“Primordial Public”- which includes

ethnic, religious, and community
identities in which people are
reciprocal moral responsibility toward
one another and an amoral

“Civic Public” – involving the state

toward which people feel no
obligation and therefore take from
 Vineeta Yadav (2011)

- “Strong parties has actually

increase corruption. Based on case
studies of Brazil and India as well as
a much wider statistical analysis,
stronger parties that control the
legislative process actually
encourage greater corruption
because they need higher level of
cash for campaigns”
 Michael Johnston (2005)

“Influence Markets” (Corruption in

Wealthy Countries) - in which
corporation use access to politicians,
usually via generous contributions to
campaigns and parties, to gain
preferential treatment from key
bureaucracies, as in the case of Japan
“Elite Cartels” ( In-Middle Income Countries) - emerge
in which key political and business leaders form networks
to gain control of the government and systematically and
use it to their joint political and financial benefit
“Oligarchs and Clans” (In-Middle Income recently
became Democratic Countries) - scramble for spoils in the
system
“Official Mogul” (Least Institutionalized/Poorest
Countries) - a strong man who uses the resources of the
state as he pleases to favor his political allies and punish
his enemies, a situation that was common in much of
CASE STUDY: BUREAUCRATIC CONTROL AND CORRUPTION:
JAPAN

* Bureaucratic Strength – strong

under the developmental state,
later reduced by globalization
* Corruption – “Iron Triangles”
and bureaucrats political influence
* Reform – limited effects of
NPM; frustration of recent
reforms and efforts

“Developmental State”
“Recruit Scandal”
 IRON TRIANGLES - three-sided cooperative
interaction among bureaucrats, legislators and business
leaders in a particular sector that serve the interests of
all involved but keeps others out of the policy-making
process

“AMAKUDARI” or “The Descent from Heaven”

 UNITARY SYSTEMS
- Political systems in which the central government has
sole constitutional sovereignty and power; in contrast to a
federal system
 

 FEDERAL SYSTEMS
- Political systems in which a state’s power is legally and
constitutionally divided among more than one level of
government; in contrast to a unitary system
 WHY COUNTRIES ADOPT FEDERALISM?

1. To provide some level of government closer to the populace

than the national government
2. To limit the power of the majority by decentralizing and
dividing governmental power
3. A judicial review to settle disputes between the levels
of government
4. Both institution limit the power of the executive and the
majority controlling the lower (and usually are
powerful) house of the legislatures
5. To protect the interests of religious or ethnic minorities
Example:

Belgium – was created in 1830, as a buffer against potential

French expansion. Federalism was combined with consociotionalism:
the national cabinet and any other appointments must be split by 50-50
between the two major language groups, the Flemish and Walloons;
separate elections and parties exist in each group; and governments are
virtually always a coalition of the two largest parties from each side.
Despite its prolonged existence as a nation-state, regionalism in
Belgium has always remained strong and seems to be increasing. In
2010, a Flemish nationalist party that calls for Flemish Independence
won an unprecedented 30 percent of the Flemish vote to become the
largest party in the Belgian parliament. It took a world-record for the
ethnically divided political parties in parliament to form a coalition
 FEDERALISM AND ACCOUNTABILITY

1. A key determinant of the extent to which federalism limits majority

power and provides accountability is the relative power and
autonomy of the national and subnational governments
2. The constitutions of all federal systems lay out the powers of both
the central government and the states or provinces
3. Military, foreign, and monetary policies are always placed under the
authority of the national level, as they are essential to the sovereignty
of the modern state and modern economy
4. The real power of each level of government, however, depends not
only on formal powers ordained by the constitution but also on
resources
5. The power of taxation is paramount, as it gives subnational units
greater autonomy than they would have if they were wholly
dependent on the central government for their revenue
 Example:
In the most In the least centralized
centralized unitary federal states such as
states such as United Germany and
Kingdom and Ireland, Switzerland, the central
the central government collects
governments collects less than a third
more than three-
quarters of total
government revenue
 
6. Similarly the central government in some unitary systems is
responsible for around 60 percent of all expenditures, whereas in
decentralized federal systems it is responsible for as little as 30
percent
7. The ratio of the representation of the percent of the population can
stop legislation, an unusually severe restriction on majority rule
8. Population shifts to cities are causing the population gap between
large and small states to increase and leaving small states
increasingly rural and conservative and larger states increasingly
urban and liberal, meaning the representation gap has partisan
implications favoring conservatives
 
Example:

The ratio of representation of the US on the smallest

and largest states. Senate is about 66 to 1. The same ratio
in the German Bundersrat is only 13 is to 1; this ratio
combined with the weaker powers of the Bundersrat,
shows clearly that the German federalism does not restrict
majority rule nearly as much as American federalism does
 9. The degree of institutionalization in federal systems is
also paramount to accountability, especially at the local
level Example: Examining Latin America
According to Edward Gibson (2013) argued that especially in poorer and
more rural states or provinces, a federal system can preserve
nondemocratic rule within a national democracy. As the Large federal in
Latin American countries such as Mexico, Argentina and Brazil became
democratic, some political powerful “bosses” in particular states were
able to use clientelism to maintain their rule largely unchallenged. In
these cases, the new democratic institutions were not followed, so
federalism allowed semi-authoritarian rule to continue at the state level,
even though a democratic regime existed at the national level. A case
study Russia is even more extreme: as the democracy at the national
level withered, federalism weakened with it
 FEDERALISM AND MINORITY RIGHTS

* Symmetrical * Asymmetrical
Federal System Federal System
- A federal system in - A federal system in
which all subnational which different
governments (states or subnational governments
provinces) have the same (states or provinces) have
relationship with and distinct relationships with
rights in relation to the and rights in relation to
national government the national government
1. Most federal systems today exist in heterogeneous societies; part
of their purpose is to give some local autonomy to ethnic or religious
minorities

Example:
United States is an instance of symmetrical federal system where
all states have the same relationship with and rights in relation to the
national government. In contrast, many federal systems in ethnically
divided societies are asymmetrical in which some states or provinces
have special rights or powers that others do not. These special
relationships are often negotiated individually between the leaders of
a particular group and the central government, sometimes at the end
of a civil war or secession
 RECENT TRENDS IN FEDERALISM

* Devolution
- Partial decentralization of power from central
government to subunits such as states or provinces, with
subunits’ power being dependent on central government
and reversible
1. In unitary systems such as United Kingdom, some
decentralization has taken place and this often termed as
“devolution” because it devolves power from the center to
the regions or subnational units

Example:
A British Parliamentary report commented that
devolution differs from federalism because parliamentary
sovereignty means that devolution of power is reversible
 The “devolved” institutions in Scotland, Wales and
Northern Ireland remained subordinate to the British
Parliament. Interestingly, Britain is an example of
“asymmetrical devolution”, since each region has its own
set of devolved responsibilities (Leeke, Sear and Gay,
2003)
In France, on the other hand, which had one of the most
centralized unitary systems, new regional governments
with limited powers were created in the 1980s in a
asymmetrical devolution
 A CASE STUDY ON FEDERALISM: BRAZIL, INDIA AND
RUSSIA

* CENTRAL VERSUS LOCAL CONTROL

- centralized India versus decentralized Brazil

* SYMMETRY
- symmetrical federalism in Brazil versus asymmetrical in India and
Russia

* POLITICAL CONTEXT
- parties in India and semi-authoritarian rule in Russia more important
than constitutional rules

* INSTITUTIONALIZATION
- weak institutions and lack of democracy in Russia weakens federalism