Technology and Development No.12

ISSN 0914-918X Technology and Development

No. 12 January 1999

ARTICLE

Development Economics and Some Issues on Poverty Hideki ESHO Economic Development and Good Governance ― In Search of Functional Policies ― Yasutami SHIMOMURA A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID Yuriko SATO Basic Education in Sub-Saharan Africa and the Possibilities for Japanese Assistance ― Based on Social Changes in the 1990s ― Yusuke NAKAMURA/ Takashi HAMANO/ Yoshiyuki NAGATA/ Yumiko YOKOZEKI/ Junko KURASHIMO

CASE STUDY

Factors to be Considered in Extending Grant Aid Cooperation ― Based on Grant Aid Cooperation to a Hospital in Uganda ― Hidechika AKASHI/ Yoichi HORIKOSHI/ Etsuko KITA Functional Relations between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of Transition Phase Yasutoshi YAMADA Optimum Crop Combination under Risk: Second Cropping of Paddy Fields in the Philippines Shigeki YOKOYAMA Japanese Language Education for Promotion of International Understanding and Cooperation ― An Example of Japan’s Assistance and Cooperation in Indonesia ― Yuko MOMOSE Risk Factors Influencing Childbirth in Rural Malawi Hiroyuki NAKANO / Gen INUO / Takatoshi KOBAYAKAWA / Akira KANEKO / Toshio AKIBA / Hiroaki YAMAZAKI / Tomoko SAITO / Kimiteru NAKAGAWAI

NOTE

A Study on the Cross-cultural Adaptation of Technical Experts Engaged in International Development Cooperation Activities: A Review of Literature and Directions in Research Michiko TOKUYAMA

INFORMATION

The Committee on the Country Study for Japan’s Official Development Assistance to Mongolia The Issue-wise Study Committee for Development Assistance on “Local Development and the Role of Government” JICA’s International Seminar on Basic Education and Development Assistance in Sub-Saharan Africa Study on the Participation of Disabled Persons in International Cooperation Activities, Phase II

Institute for International Cooperation Japan International Cooperation Agency EDITORIAL BOARD Managing Editor: IGARASHI, Teizo Managing Director, Institute for International Cooperation, Japan International Cooperation Agency (JICA)

Members: (Alphabetical order in family name) ASANUMA, Shinji JICA Development Specialist / Professor at Hitotsubashi University FUKUHARA, Takefumi Managing Director, Medical Cooperation Department, JICA IKEDA, Tatsuhiko Managing Director, Social Development Study Department, JICA ISHIKAWA, Shigeru Emeritus Professor at Hitotsubashi University and Aoyama Gakuin University KUROKI, Ryo Managing Director, Agriculture, Forestry and Fisheries Development Study Department, JICA NAKANO, Takeshi JICA Development Specialist TANIGAWA, Kazuo Mining and Industry Development Cooperation Department, JICA TSURUMI, Kazuyuki Managing Director, Agriculture, Forestry and Fisheries Development Study Department, JICA UTSUMI, Seiji Professor at Osaka University

Technology and Development (English edition) is published once a year by the Institute for International Cooperation (IFIC). The article are selected and translated from its Japanese edition, Kokusai Kyoryoku Kenkyu. Kokusai Kyoryoku Knekyu, having been published twice a year by the IFIC since 1985, specializes in a study of technical cooperation regarding developing countries' natural, socio-economic, and cultural environment. It aims to provide opportunities for presenting papers to those engaged in development projects and thereby to contribute to the furtherance of international technical cooperation. Kokusai Kyoryoku Kenkyu accepts papers in Japanese. For more detail, please refer to the back of its front page or the explanatory manual. The IFIC introduces the latest information related to JICA through the JICA Home Page (http://www.jica.go.jp/). Users who have access to this Home Page can read all the contents of research papers and case studies presented in Technology and Development, No.9 to No. 11 (http://www.jica.go.jp/E-info/Index.html) and the Japanese Journal Kokusai Kyoryoku Kenkyu, the original version of Technology and Development. from No.24 (http://www.jica.go.jp/J-info/Index-kenkyu.html).

Views expressed herein are those of the authors and do not necessarily reflect the view or policies of the Japan International Cooperation Agency (JICA), or of any organization with which the authors may be associated.

Published by Institute for International Cooperation Japan International Cooperation Agency Ichigaya Honmura-cho 10-5, Shinjuku-ku, Tokyo 162-8433, Japan

Printed in Japan on recycled paper. Technology and Development

No. 12 January 1999 CONTENTS C

ARTICLE Development Economics and Some Issues on Poverty Hideki ESHO ...... 5 Economic Development and Good Governance Ð In Search of Functional Policies Ð Yasutami SHIMOMURA ...... 11 A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID Yuriko SATO ...... 17 Basic Education in Sub-Saharan Africa and the Possibilities for Japanese Assistance Ð Based on Social Changes in the 1990s Ð Yusuke NAKAMURA / Takashi HAMANO / Yoshiyuki NAGATA / Yumiko YOKOZEKI / Junko KURASHIMO ...... 33

CASE STUDY Factors to be Considered in Extending Grant Aid Cooperation Ð Based on Grant Aid Cooperation to a Hospital in Uganda Ð Hidechika AKASHI / Yoichi HORIKOSHI / Etsuko KITA ...... 41 Functional Relations between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of Transition Phase Yasutoshi YAMADA ...... 51 Optimum Crop Combination under Risk: Second Cropping of Paddy Fields in the Philippines Shigeki YOKOYAMA / Sergio R. FRANCISCO / Teruaki NANSEKI ...... 65 Japanese Language Education for Promotion of International Understanding and Cooperation Ð An Example of Japan's Assistance and Cooperation in Indonesia Ð Yuko MOMOSE ...... 75 Risk Factors Influencing Childbirth in Rural Malawi Hiroyuki NAKANO / Gen INUO / Takatoshi KOBAYAKAWA / Akira KANEKO / Toshio AKIBA / Hiroaki YAMAZAKI / Tomoko SAITO / Kimiteru NAKAGAWA ...... 83

NOTE A Study on the Cross-cultural Adaptation of Technical Experts Engaged in International Development Cooperation Activities: A Review of Literature and Directions in Research Michiko TOKUYAMA ...... 97

INFORMATION The Committee on the Country Study for Japan’s Official Development Assistance to Mongolia ...... 103 The Issue-wise Study Committee for Development Assistance on “Local Development and the Role of Government” ...... 105 JICA’s International Seminar on Basic Education and Development Assistance in Sub-Saharan Africa . . 107 Study on the Participation of Disabled Persons in International Cooperation Activities, Phase II ...... 109

Institute for International Cooperation Japan International Cooperation Agency JICA was established on 1 August 1974 as an official aid agency of Japan under Japan the supervision of the Ministry of Foreign Affairs. In order to help promote International the ecomonic and social development of the developing world, JICA extends Cooperation various kinds of cooperation including technical cooperation, grant aid, dispatch Agency of Japan Overseas Cooperation Volunteers (JOCV).

IFIC was established on 1 October 1983 as one of JICA’s affiliated organs. Its pupose Institute is undertaking recruitment of development specialists, training qualified Japanese For experts, research and study, and collection and dissemination of information of International technical cooperation. Cooperation

Development Economics and Some Issues on Poverty

ARTICLE

Development Economics and Some Issues on Poverty

Hideki ESHO Professor Faculty of Economics, Hosei University

The collapse of the centrally controlled socialist system of the former Soviet Union provoked the emer- gence of new development challenges, such as ethnic conflicts, issues concerning the environment and the role of women, AIDS and human rights. Poverty in developing countries is no exception. Japan’s main concern for assistance is rapidly shifting from an infrastructure-oriented type to a poverty-oriented type. Development economics is a field of economics that focuses on identifying the nature and causes of poverty in the third world and seeks a development strategy to eradicating poverty. Looking back on the history of development economics, there are three major approaches: structuralism, the neo-classical approach, and reformism. In addition, more approaches are emerging from countercharging against the neo-classical approach. In reviewing how these various approaches deal with poverty, three challenges to poverty alleviation arise, which require further concentrated efforts. The first challenge is to elucidate the relationship between macro- level and micro-level analysis in terms of poverty. It is understood that a development strategy that increases employment opportunities for the poor and investment in human resources paves the way to eradicating poverty. The second challenge is to find a way to make the “capability approach” originated by Amartya Sen viable. The third challenge is to apply issues raised by the neo-institutionalists to poverty eradication, because ‘the governance or institutional design’ in formulating poverty projects and incentive structures for project executors and beneficiaries are vital in making the projects successful.

that focuses on identifying the nature and causes of I Introduction poverty in developing countries and seeks a development strategy to eradicating poverty. Looking back on As the centrally controlled socialist system of the its history will help to find the key ideas for eliminat- former Soviet Union collapsed, issues concerning the ing poverty in developing countries. environment, ethnic conflicts, the role of women, AIDS, and human rights emerged as “critical problems challenging development”. Poverty in develop- II The Structuralist Approach to Poverty ing countries is no exception. The World Bank focused on poverty as the main theme for its “World In development economics between the second Development Report” in 1990.1 The United Nations half of the 1940s and the first half of the 1960s, there Development Programme (UNDP) also has been pub- was a shared dichotomous world view that the eco- lishing its “Human Development Report” since 1990.2 nomic structure of developing countries is of a differ- In 1996, the Organization for Economic Cooperation ent nature from that of developed countries and that and Development (OECD) proposed a new strategy supply side rigidities hinders the industrialization of for development cooperation in which it stated its goal developing countries, and in later years, this view to halve the number of people who are living in came to be called structuralism. extreme poverty before the year 2015.3 Japan’s main Advocates of structuralism presumed that market concern for official development assistance is also mechanisms could not contribute to economic devel- rapidly shifting from an infrastructure-oriented type to opment and desirable income distribution in develop- a poverty-oriented type. ing countries. They described the nature of economic Development economics is a field of economics growth in developing countries where the market

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu, Vol. 14, No. 1(April 1998) 1. World Bank, World Development Report 1990 (Oxford: Oxford University Press, 1990). 2. UNDP, Human Development Report 1990 (New York: Oxford University Press, 1990). 3. OECD and DAC, Shaping the 21st Century, The Contribution of Development Cooperation (Paris: OECD, 1996).

5 Technology and Development, No.12, 1999 mechanism was immature as ‘discontinued’, and a the rationality of the economic activities of rural peo- stage of leapfrog progress was essential for economic ple in developing countries (the image of poor, but growth to take place. They also argued that govern- efficient peasants), and provided the theoretical ments ought to play a pivotal role in staging drastic groundwork for the Green Revolution strategy. He growth, and that development planning was indispens- also thoroughly criticized the idea of ‘disguised unem- able at the national level of the economy. Moreover, ployment’, on which structuralism depended.5 they asserted that under the free trade system which In contrast to the structuralist hypothesis that the was formed after the Second World War, the econom- most important factor for economic growth is the ic disparities between rich industrial countries in the quantity of capital i.e. savings and investments, the North and poor developing countries in the South neo-classical development economists argued that would widen, and that there was no hope for develop- improvement of capital-output ratio, namely, improvement of the Third World countries. ment in the production efficiency of investments, is Acording to structuralism, three reasons why most important. Moreover, they put forward the idea developing countries cannot be freed from poverty that the true bottleneck in economic development is are: 1) the dependence of their economic structure not the quantity of capital, but the scarcity of private on primary product exports (export pessimism); 2) enterprises which can control and operate capital effi- bottlenecks on the supply side; and 3) insufficient cap- ciently, and a lack of management abilities. ital. Because of these factors, developing countries The advocates of the neo-classical theory criticized cannot escape from ‘low-level equilibrium’. They the export pessimism by arguing that the crucial factor asserted that in addition to reforming the international influencing export performance and economic devel- trade and monetary system (the so-called ‘free trade opment in developing nations is not stagnant global system’ under the IMF and GATT), which unfavor- demand, but rather the trade policies adopted by ably affects developing countries, it is essential to pro- developing countries. As a result, they contradicted ceed with an ‘inward-looking’ development strategy the validity of the ‘inward-looking’ development strat- (or import- substitution- industrialization strategy) to egy proposed by the structuralists and advocated the expand the economy and eliminate poverty. They also effectiveness of an ‘outward- looking’ development asserted that there is a need to internalize the external strategy. economy in order to make an ‘inward-looking’ devel- In relation to the assumption of “market failure”, opment strategy successful so that the role of govern- the neo-classical development economists contradict- ments (or planning) in this respect is indispensable.4 ed it by discussing “failure of government intervention”. They pointed out the failure of governments in economic planning and the inefficiency of III The Neo-classical Approach to Poverty state-owned enterprises. Instead, they stressed the effectiveness of market mechanisms and the necessity In the second half of the 1960s, the neo-classical of introducing the robustness of the private sector. approach began to resurge in development economics. According to the neo-classical approach, the rea- The neo-classical approach is an economic paradigm sons for poverty in developing countries derive from that trusts price mechanisms to adjust supply and the insufficiency of investment in human capital (i.e., demand, and also represents the idea that markets education and nutrition), and the exposure of the mar- function as well in developing countries as they do in ket to excessive and constant government intervention industrial countries. The neo-classical approach was a through the promotion of an ‘inward- looking’ devel- striking contrast to structuralism in that the former opment strategy, which consequently leads to market trusted markets to work well even in developing coun- distortions. In order to eradicate poverty, they argued tries, whereas the latter took government intervention that it was necessary to correct artificial distortions in in markets for granted (the importance of economic the market by facilitating investment in human capital development planning by governments and state enter- and curbing government intervention, and to adopt an prises to lead economic growth) based on the assump- export-oriented industrialization strategy based on tion that markets failure in developing countries. comparative advantage. The neo-classical approach passed severe criticism on all the hypotheses that formed the backbone of structuralism. IV The Reformist Approach to Poverty Theodore Schultz criticized the structuralist theory of promoting industrialization based on the accumula- In the second half of the 1960s, around the same tion of material capital, and instead proposed the strat- time as the birth of the neo-classical approach, egy for technological innovation in modernizing tradi- reformism also came to be influential. Reformists tional agriculture and human capital. Schultz asserted argued that increased employment, equitable income

4. Hideki Esho, Kaihatsu no Seiji-Keizaigaku (The Political Economy of Development) (Nippon Hyoronsha, 1997). 5. T. W. Schultz, Transforming Traditional Agriculture (New Heaven: Yale University Press, 1964).

6 Development Economics and Some Issues on Poverty distribution, and fulfillment of basic human needs whereas the latter refers to reformism. Reformism also should be made the principle challenges of develop- differed from structuralism in respect to how poverty ment strategy and assistance policies. should be dealt with. Whereas the structuralist This approach derives from doubts about the valid- approach addressed the issue from a macroeconomic ity of the trickle-down hypothesis. In the 1960s, not perspective, the reformist approach focused on the only did economic disparity between industrial and poor, which is the subject of microeconomics. developing nations worsen, but the economic gap In the 1980s, the reformist approach dropped out between the rich and the poor within developing coun- of the world of development economics. One of the tries themselves widened. People began to criticize reasons for this was the ambiguity of the approach. growth-oriented policies. Although the approach was acceptable (or irresistible) The International Labor Organization (ILO) was from a moral point of view, it was lacking in regards the first to take a reformist approach. In 1969, the ILO to practical policy recommendations. established the World Employment Programme, Reformism accepts government intervention to a through which it advocated an employment-oriented large extent. In this context, reformism was the suc- development strategy that aimed at employment cessor to structuralist arguments, but with a more growth itself. The establishment of the Program was intensive focus. Reformists needed to concentrate on based on the idea that increasing job opportunities and various issues related to the roles of governments and productive labor was the most effective way to market mechanisms in meeting BNs. They also need- improve the income and living standards of the gener- ed to analyze political, administrative and other types al public. Another organization that paid attention to of systems in which domestic-demand-driven growth, poverty issues was the World Bank. After 1968 when land reform, and people’s participatory development Robert McNamara assumed the presidency of the were prerequisites to fulfill BNs. However, they failed World Bank, the organization experienced a brief era to consider these issues sufficiently. of ‘idealism’. Countries and states that were thought to be typical The ILO and the World Bank then shifted their examples of implementing development strategies attention from issues of employment, poverty and suitable to the BN approach included China, Tanzania, income distribution to “fulfillment of Basic Needs Cuba, Sri Lanka, Viet Nam, and the state of Kerala in (BN)” as a development goal. The ILO defined BN as India. All these countries/states either are socialist “a minimum living standard for the poorest of the poor states or are adopting relatively socialistic political to be set by the society”. Specifically, BN represents systems. In hindsight, all these examples lacked per- the following four points: 1) to fulfill the minimum suasiveness as concrete examples for supporting the needs of private consumption for a standard house- new development strategy. hold, i.e. to provide sufficient food, shelter and cloth- The neo-classical approach became dominant in ing as well as to provide the facilities and services the 1980s. One of the reasons was the newly industri- necessary for a standard household; 2) to improve alizing economies (NIEs), which included Taiwan and basic services provided by and to the society, such as South Korea. Their experience was interpreted to be safe drinking water, public health, public transporta- the result of trickle-down effects. In other words, their tion, health service, and education; 3) to ensure experience was understood to be an example of suc- employment that sufficiently remunerates individuals cessful poverty alleviation without worsening the who are capable and willing to work; 4) to fulfill income distribution by adopting labor-intensive and needs of higher quality, i.e. to make the environment export-oriented industrialization, and leading to healthy, humane, and satisfactory, and to enable peo- employment growth.8 In short, the export-oriented ple to participate in the decision-making process development model of Asian NIEs was a development which affects people’s lives and freedom.6 model which simultaneously resolved all three issues The most distinctive characteristic of reformism is of unemployment, inequitable income distribution, its attitude to reexamine the “purpose of development” and poverty, which reformism attached great impor- and its appeal to human morality. Paul Streeten, one of tance to. High economic growth of Asian NIEs after the central figures in the BN approach, called those the 1970s supported the validity of this interpretation. who look at human beings from a productivity per- On the other hand, the effectiveness of the BN spective, “human resource developers”, to differenti- approach weakened empirically as well as theoretical- ate them from those who think of human beings as the ly as countries which adopted the BN development objective of development, “humanitarians”.7 Needless strategy experienced sluggish growth. to say, the former refers to the neo- classical approach,

6. International Labour Office, Employment, Growth and Basic Needs, A One-world Problem (Geneva: ILO, 1976). 7. P. Streeten, “Human development, means and ends,” American Economic Review, 84(2)(1994)；P. Streeten, et al., First Things First, Meeting Basic Human Needs in Developing Countries (published for the World Bank)(Oxford University Press, 1981). 8. I. Adelman, “South Korea,” in H. B. Chenery, et al. (eds.), Redistribution with Growth (London: Oxford University Press, 1974); A. Krueger, “Alternative trade strategies and employment in LDCs,” American Economic Review, 56(2)(1978); D. C. Rao, “Economic growth and equity in the Republic of Korea,” World Development 6(3)(1978).

7 Technology and Development, No.12, 1999

and children, human rights, and military affairs had V Paradigm Change in Development Economics not been solved at all in most developing nations. It was believed that the market itself could not deal with In the 1980s, the neo-classical approach dominated these issues. This belief led to the resurrection of the world of development economics after it was reformism. adopted by the International Monetary Fund (IMF) Among various international organizations, it was and the World Bank as the theoretical base for their the United Nations Children’s Fund (UNICEF) that structural adjustment programs. However, in the sec- first took a critical stand on the structural adjustment ond half of the 1980s, skepticism and criticism toward programs of the IMF and the World Bank, and put for- the effectiveness of the neo-classical approach ward the need to introduce reformist modifications. A emerged because most developing countries, except slogan adopted by UNICEF was “Adjustment with a Asian NIEs, experienced weak economic perfor- Human Face”, which represented a BN approach to mance. Latin American nations were caught in severe structural adjustment. It can be also understood as an cumulative debt crises. Countries in Sub-Saharan alternative adjustment package, connecting “revival of Africa and South Asia failed to solve the poverty issue economic growth” with “protection of vulnerable peo- while foreign debt continued to surge. In the course of ple”. “Vulnerable people” refers to children, pregnant various experiences of development and structural women, and mothers with infants.9 adjustment, several points were brought to light. The World Bank, in response to criticism posed by First, the importance of certain political and insti- UNICEF, began to include anti-poverty programs and tutional presuppositions (pre-conditions) came to be provide funds to the social sector in its structural stressed in order to liberalize markets (or to pursue adjustment programs. In the “World Development structural adjustment programs) in line with the neo- Report 1990: Poverty”, the World Bank noted that classical model and produce desirable results. there were still more than 1 billion people living in Governments were expected to play an active role in poverty despite the economic development and wel- choosing a desirable economic policy and carrying out fare improvement in developing countries over the economic reform. Thus, this new approach was intro- past 30 years. In short, it paid attention to the poorest duced into the political economics of development. of the poor. This report proposed a two-pronged strat- Second, there was criticism that the assumptions of egy as a politically-sustainable counter-poverty mea- the neo-classical approach (especially general equilib- sure. First, it proposed productive utilization of the rium theory) was inappropriate for developing coun- assets plentiful among the poor, such as labor. Second, tries. In particular, the assumptions of zero transaction it proposed provision of basic social services to the cost and perfect information drew the most skepti- poor. It argued that these two elements reinforced each cism. Moreover, an argument was made that a state of other, and that neither of them could be done without. underdevelopment refers to the condition of undevel- Furthermore, it explained that “Most of the poor will oped markets; as a result, the “mechanism of market continue experiencing severe conditions even if a poli- development” itself should be made the subject of cy composed of these two elements is adopted. analysis. This approach is called the neo-institutional Therefore, transfer payment and safety net programs approach. targeted for the poor need to be included in compre- Third, the existence of external economies began hensive poverty alleviation measures to supplement to attract attention again. As a result, the significance the basic strategy.”10 of industrial policies came to be highly regarded from The innovativeness of reformism lay in having a perspective of “economies of increasing returns” again questioned the ‘purpose of development’ in the with the necessity for government intervention was course of diverging from a ‘growth-first policy’. stressed. Reformists argued that meeting basic needs was the ultimate goal of development. In regard to this argu- VI Resurrection of Reformism ment, Amartya Sen began reexamining the meaning of development from a deeper point of view. The work At the same time, critical doubts were expressed as involved rethinking the true purpose of development, to whether the structural adjustment programs of the centering on a concept of ‘capability’. IMF and the World Bank had a negative effect on the Poverty in this approach refers to human depriva- poor and the distribution of income. Moreover, the tion where individuals lack basic capabilities, and widely-accepted perception then was that problems of development refers to the expansion of each poverty, the environment, income distribution, women individual’s capabilities.11 This was an attempt to shift

9. R. Jolly, “Adjustment with a human face, a UNICEF record and perspective on the 1980s,” World Development, 19(12)(1991). 10. World Bank, World Development Report 1990 (Oxford: Oxford University Press, 1990) 11. P. Streeten, “Human development, means and ends,” American Economic Review, 84(2)(1994)；A. Sen, “Development as capability expansion”, in K. Griffin and J. Knight (eds.), Human Development and the International Development Strategy for the 1990s (United Nations, Macmillan, 1990)；A. Sen, “The concept of development,” in H. B. Chenery and T. N. Srinivasan (eds.), Handbook of Development Economics, Vol.1(1988)；J. Dreze and A. Sen, Hunger and Public Action (Oxford: Clarendon Press, 1989).

8 Development Economics and Some Issues on Poverty from a ‘commodity-oriented approach’, in which Common points found in criticisms by reformists development meant self-sufficiency in terms of goods and neo-classical advocates against structuralism and services, found not only in the neo-classical should not be overlooked even though there is a con- approach but also in the BN approach, to a human-ori- tradiction between the two in terms of what they are ented approach of which the primary concern was the criticizing, ‘government (public policy)’ or ‘market’. “quality of life” and “human well-being”. The common points include; 1) a growth strategy that Sen’s approach covered a broad range of issues leads to employment growth is necessary to eradicate including the role of political systems and journalism, poverty; and 2) investments in human capital (educa- differences in capabilities of the genders, and typical tion and nutrition) are essential. The primary advance- comparisons between famine and malnutrition, etc. ment in development economics in the 1970s was the Most importantly, his approach helped to clarify that shared understanding that a development strategy that both market incentives and the role of public activities creates employment opportunities and boosts human are indispensable in resolving the problem of poverty. capital investment is the main route to eradicating The “Human Development Report” of the UNDP poverty. defined “human development” as “the process of It is important to remember, however, that to the enlarging people’s choices” based on the “capability” structuralist, the idea that the accumulation of capital concept of Amartya Sen. Subsequently, the report and industrialization are indispensable for growth has attempted to prepare a human development index to not been completely renounced yet. Arguing that comprehend the condition of human development. For “economic development” and “social development” this purpose, the report looks at three factors requisite are contradictory approaches is pointless. If the to human lives, namely, longevity, knowledge, and a macroeconomic environment and infrastructure are decent standard of living, as measures for human immature, anti-poverty projects at the microeconomic progress. More precisely, three indicators, “average level will be fruitless. They are not alternatives, but life expectancy at birth”, “adults literacy”, and “loga- complemental to each other. rithm of the actual GDP per capita based on purchas- The second challenge is how to make the best use ing power parity” were chosen as indicators for each of Sen’s approach. Sen’s “capability approach” is an factor, and each country was ranked based on a com- epoch-making achievement in terms of suggesting pound index which is the arithmetic average of the how development studies should be conducted in the three indicators.12 future. His approach re-appraises poverty from a perspective of how people should live, and severely criti- cizes previous approaches which were confined to VII For the Progress of Research on Poverty poverty only in the economic context. However, one of the weak points of his approach is that the opera- In the previous section, the author outlined the his- tional potential of a number of his concepts is still not tory of development economics from a perspective of quite clear. The human development approach by understanding of poverty. Three challenges facing the the UNDP is one way to attempt to put Sen’s concepts study on poverty surfaced. The first challenge is to into practice. The reality of the UNDP approach, how- clarify the relationship between the macro-level and ever, is slightly different from what Sen suggested. the micro-level approach in the poverty issue. In It is possible to conduct analysis at the national development economics, the issue of poverty has level focusing on ‘capability’ as Sen does. A perspec- always been intertwined with two totally different lev- tive emerging from comparisons between India and els of argument: “poverty at the level of the national China is that each country has its own form of capabil- economy” and “ poverty at the level of the ity failure. A heavy loss of lives caused by famine in individual”. China during a period of the ‘big leap forward’ from Structuralists dealt with poverty at the level of the 1958 to 1961, or during the Cultural Revolution illus- national economy, examining why economic dispari- trates capability failure as a result of one-party rule by ties exist between rich and poor countries, whereas the communist. In India, chronic malnutrition and reformists focused on poverty at the microeconomic deep-rooted discrimination against women suggest a level, arguing why absolute poverty is not eradicated deprivation of capability caused by the caste system and hardships of the poor people cannot be eliminated and low educational standards. in developing countries. The neo-classical approach, To prepare the Human Development Index and on the one hand, paid attention to poverty at the micro- rank each country is not the way to make the best use economic level as in Theodore Schultz’s approach, and out of Sen’s approach. The way to do it must be to dealt with poverty at the level of national economy as precisely analyze the types of capability that are lack- in arguments over export-oriented industrialization ing on a number of different levels, for example and structural adjustment. national, regional, social, occupational, and gender,

12. UNDP, Human Development Report 1990 (New York: Oxford University Press, 1990)

9 Technology and Development, No.12, 1999 and to scrutinize the causes. assumption that even governments are not free from The third challenge is how to apply issues raised the problem of incomplete information. by the neo-institutional approach to the poverty prob- Needless to say, market incentives are not suffi- lem. A model proposed by neo-institutionalists is the cient for poverty alleviation; public policies play a multiple-equilibrium model which assumes two equi- pivotal role in this regard. However, it does not neces- librium states, i.e., low-level and high-level. Selection sarily follow that government intervention is justified. of a low-level equilibrium state is a rational selection To make anti-poverty projects successful, issues such in a given environment, and ‘institutional complemen- the ‘institutional design (governance)’ for projects and tarity’ is observed. Therefore, in order to leap up to ‘how to arrange incentives’ for project executors and the higher equilibrium state (or in order to eliminate beneficiaries have enormous importance. A high stan- poverty), it is necessary to contrive various institution- dard of morality is a necessary condition for the suc- al means that can reduce ‘risk’ and ‘uncertainty’ as cess of poverty alleviation projects, but not a sufficient well as supplement the market. Moreover, govern- condition. Further advancement of poverty-related ments need to play a vital role in creating such institu- studies based on the benefits of the neo-institutional tions. Neo-institutionalists, however, make a realistic approach is awaited.

10 Title

ARTICLE

Economic Development and Good Governance - In Search of Functional Policies -

Yasutami SHIMOMURA Professor National Graduate Institute for Policy Studies and Saitama University

In recent years, the importance of good governance for sustainable economic development has been increasingly recognized. This trend seems appropriate. However, it is not clear what developing countries should do to realize their sustainable economic growth. One part of the problem derives from the fact that the concept of “good governance ” is not clear. The definition of good governance which is dominant in the international community is very broad. It consists of three conceptual element: “the political regime”, “the exercise of power in relation to the resource allocation”, and “the government’s capability for policy planning and practice”. There are, however, problems because of the broadness of the concept. First, there is no significant correlation between any particular political regime and economic growth. Thus, it is inadequate to recommend a specific political regime to a developing country, arguing that it will contribute to economic development. Second, because the goals developing countries are expected to meet are too broad and high, it is not possible to propose functional policies viable for achieving them. Third, the reasons for the development achievements of East Asia is not satisfactorily explained. Finally, there is no clear-cut concept of governance required in accordance with different stages of development. It is more practical to concentrate on the issue of “the government’s capability for policy planning and practice” and to discuss what are the minimum prerequisites for enabling developing countries to achieve economic growth, rather than requesting them to achieve fulfillment of excessively high governance. In order to do so, the following two points should be discussed. First, are there any lessons to be drawn from the long-term economic development experienced by East Asian countries, in particular Thailand and Indonesia, to which little attention had been paid before the beginning of their sustained growth? Second, is there any relationship between the degree to which different East Asian countries have been affected by the recent monetary crisis and the levels of governance in each country after achieving certain economic development? Current arguments on good governance are inequitably dominated by the perspectives and logic of industrialized countries. It is desirable to include perspectives that are based on the indigenous culture of developing countries as well as the logic of local community.

International Cooperation Agency (JICA) also pub- I Introduction lished an outstanding report called “Sankagata Kaihatsu to Yoi Tochi (Participatory Development Since the end of the Cold War, political themes and Good Governance)” in 1995.1 have been stressed as the new policy agenda for devel- Through these discussions, the role of good gover- opment assistance. As a part of this trend, the impor- nance in economic development has been thoroughly tance of good governance to sustainable economic reviewed. This is a worthy achievement. However, growth has been pointed out in recent years. Parallel many issues have been left untouched. The remaining to discussions in the international community initiated issues can be summarized as follows; it remains by the Organization for Economic Co-operation and obscure what kind of developing nations’ actions will Development (OECD) and the World Bank, debates lead them to sustained economic growth. If clarifying pertaining to the theme of good governance have pro- the definition of good governance was the first genera- ceeded in Japan as well. The Japanese government tion issue of good governance, the second generation mentioned this theme in the basic principles of its issue might be to specify policy matters that are effec- Official Development Assistance (ODA) Charter, tive for the economic development of developing approved by the Cabinet in 1992. The Japan nations. The purpose of this article is to conduct an

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 14, No. 1(April 1998) 1. Japan International Cooperation Agency (JICA), Sankagata Kaihatsu to Yoi Tochi: Bunyabetsu Enjo Kenkyukai Hokokusyo (Participatory Development and Good Governance: A Report by the Society on Assistance according to Area) (1995).

11 Technology and Development, No.12, 1999 introductory analysis of the second generation issue.2 conditions of recipient countries as a criteria when Difficulties surrounding the issue of good gover- extending loans (Article 4, Paragraph 10, Agreement nance are thought to result from the vagueness of the of the World Bank).7 This provision was made under concept. Accordingly, the author would like to go the Bretton Woods system that makes it a rule to sepa- back to the starting point and ask a fundamental ques- rate politics from economics. In this regard, the basic tion of “what is good governance?” principle of the Bretton Woods system clearly differs from that of the European Bank for Reconstruction and Development, which was founded in response to II The Concept of Good Governance: Broad post-Cold War trends. The World Bank explains that Definitions vs. Narrow Definitions it attaches great importance to good governance not for political reasons but because good governance To date, various definitions of good governance contributes to improving the resource allocation (i.e. have been proposed. These definitions can be catego- an economic perspective).8 rized into two groups: broad and narrow definitions.3 It is thought, however, that exercising power in the At present, broad definitions are dominant interna- way the World Bank has demanded to developing tionally. According to the typical broad definition countries in recent years, is hard to adopt without a proposed by the OECD, good governance is composed parliamentary democracy. Thus, its claim regarding of three aspects: “the political regime”, “the exercise good governance can be said to aim tacitly at a certain of power in relation to the resource allocation”, and political regime, in this case, parliamentary democra- “the government’s capability for policy planning and cy.9 In this regard, the narrow definition by the World practice”. The OECD also stresses the importance of Bank does not differ essentially from the broad defini- such factors as public sector efficiency, a well-orga- tions. nized legal system, and the control of corruption and It is possible to envisage a narrow definition which military expenses.4 JICA, in its aforementioned differs from that of the World Bank? If so, they must report, defined good governance as consisting of two focus on “institutional capability” which means “the factors: “state”, in terms of whether a country is ability and efficiency of a government to plan and democracy-oriented or not, and “government carry out policies that contribute to economic growth”. function”, with respect to whether a government can This idea is based on the assumption that the ability function effectively and efficiently.5 These two defini- and efficiency of the government of a developing tions of good governance are thought to share the country are determined separately from its political same idea. One of the main characteristics of these regime and the manner of exercise of power, and that broad definitions is that they explicitly include the they have direct influence over the economic perfor- political regime, i.e. parliamentary democracy or mance. The author would like to call this idea a democratization (transformation from a non-democrat- “third definition” and discuss it in depth in the latter ic to a democratic regime) in the definition of good half of this article. governance. By contrast, the most representative example of narrow definition proposed by the World Bank pri- III Review of the Broad Definitions of Good marily focuses on “the manner in which power is exer- Governance cised in the management of a county’s economic and social resources for development,” excluding the issue As described earlier, broad definitions of good of the political regime. Specifically, the World Bank governance are currently dominant in the international described “public sector management”, “the legal community. When a donor advises developing coun- framework”, “accountability”, “transparency” and tries to improve their governance, what points should “information” as key factors to good governance.6 In be taken into account, and thereby accomplish sustain- addressing good governance, the World Bank deliber- able economic development in line with the broad def- ately avoids mentioning the political system because initions? The following four points are considered to of the “non-political consideration” provision that pro- be particularly important: hibits the organization from considering the political

2. The author received very valuable advice regarding governance from Dr. Juichi Inada, Ms. Anne Emig, Dr. Takuya Tsuji, and Dr. Junji Nakagawa. The author would like to take this opportunity to express his gratitude. However, the author is solely responsible for the contents of this article. 3. Reference to J. Nelson and S. Eglinton, Global Goals, Contentious Means: Issues of Multiple Aid Conditionality (Washington D.C.: Overseas Development Council, 1993), pp. 14-17. 4. OECD, Participatory Development and Good Governance (Development Co-operation Guidelines Series) (1995), pp. 14-23. 5. JICA, op. cit., pp. 28-32. 6. World Bank, Governance and Development (1992), pp. 3-6. 7. Ryo Oshiba, Kokusai Soshiki no Seiji Keizaigaku: Reisengo no Kokusai Kankei no Wakugumi (Political Economy of International Organization: International Relations Framework in the Post Cold War Era) (Tokyo: Yuhikaku, 1994), pp. 134-136. 8. World Bank, op. cit., p. 5. 9. J. Nelson and S. Eglinton, op. cit., p. 15.

12 Economic Development and Good Governance - In Search of Functional Policies -

1. Does a political regime have significant influence 2. Can broad definitions of good governance pro- on economic growth? vide a functional policy objective for developing Policy recommendation to developing countries by countries? the OECD are based on the premise that a political Even excluding political aspects, it is very difficult regime (more specifically, the establishment of parlia- for developing countries to meet entirely the wide- mentary democracy) is the key to sustainable econom- ranging demands included in the broad definitions of ic development. Apart from its value as a philosophy good governance. Considering that non-Western and principle, it is very difficult to support this industrial countries, such as Japan, are far from meet- premise on the basis of historical facts (Owing to lim- ing required standards for the exercise of power, it is ited space, the author does not deal with the adequate- highly doubtful that any developing country fulfills ness of interference by donor countries in the political enough requirements in either the aspects of “capabili- regime of developing nations), because various ty and efficiency of government” or “exercise of researches have shown that there are no significant power.” On the other hand, various developing coun- correlations between a country’s political regime and tries, such as countries in East Asia, have accom- its economic performance.10 Incidentally, a list of plished sustained economic growth. This suggests countries which achieved high economic growth over that what is indispensable for sustained economic a long period of time display diverse political regimes growth is not a high degree of governance, but rather, including democratic, authoritarian, and developmen- a minimum requirement of governance. It would be tal.11 more practical to examine what the minimal require- One may argue, however, that there is a close cor- ments are and to propose cooperation between devel- relation between democratization and economic developing and industrial countries toward fulfilling those opment although such a relationship is not found requirements than to list all of the ideal conditions. between parliamentary democracy and economic The importance of good governance came to be development. In fact, this idea is widely shared in the emphasized in response to the disappointing results of international community even though it is also diffi- the structural adjustment lendings for Africa,13 which cult to prove. Let me give an example showing the had been vigorously extended since the 1980s. As a lack of positive correlation. After the end of the Cold result of structured adjustment, some African coun- War, most nations which had adopted centrally- tries introduced economic policies that were in line planned economic systems began transforming their with market mechanisms, which led to a massive economies into market economies. While central improvement in economic management. However, it Europe, Russia, Kirgyz, and Mongolia conducted produced neither the expected increase in investments political reforms (the introduction of parliamentary nor economic growth. In a report recapitulating its democracy), China, Viet Nam, and Uzbekistan contin- experience with Africa, the World Bank stated that ue to maintain defacto one-party rule. It is extremely appropriate economic policies alone would lead to nei- difficult to prove that there is a correlation between ther reducing poverty nor improving standards of liv- the level of democratization and the macroeconomic ing without investments in human resources and infra- performance of these transition economies.12 structure as well as measures to improve administra- If contributions to economic development are the tive capabilities. In the same report, the importance of grounds for recommending good governance to devel- good governance was also stressed, arguing “strong oping countries, it is inappropriate to include political leadership and good governance are needed, above all, regime elements. ... to ensure that resources are used to achieve development goals for development goals.”14 This is how the awareness that good governance came into exis-

10. S. Haggard, Pathways from the Periphery: The Politics of Growth in the Newly Industrializing Countries (London: Cornel University Press, 1990), p. 263; S. Huntington, The Third Wave: Democratization in the Late Twentieth Century (London: University of Oklahoma Press, 1991), p. 59; J. Nelson and S. Eglinton, op. cit., p. 71-77. 11. As in totalitarian regimes, which are another form of non-democratic regimes, in authoritarian regimes an individual or a small group of individuals monopolize the policy- making process. However, there is a lack of clear ideology to support institutions or active mobilization of people to political movements [see Akira Suehiro, “Asia kaihatsu dokusai ron (Developmental autocracy in Asia),” in Watsuji Nakagane (ed.), Kindaika to Kozo Hendo: Koza Gendai Asia Vol. 2 (Modernization and Structural Change: Modern Asia Vol. 2) (Tokyo Daigaku Syuppankai, 1994), p.214.]. Among authoritarian regimes, one with the following characteristics is called a developmental state: 1) The promotion of economic development is the policy objective with overriding priority, and the grounds on which not only the goals and measures of national integration but also the legitimacy of the regime are based; 2) It is based on private ownership and market economy; 3) From a long-term perspective of achieving economic growth, it permits government intervention in the market; 4) Certain restrictions are frequently imposed on parliamentary democracy; and 5) Technocrats are vested with great authority pertaining to the process of economic development. In particular, characteristics 1) and 5) distinguish a developmental state from an ordinary authoritarian regime [see Yasusuke Murakami, Han Koten no Seiji Keizaigaku (Anti-Classical Political Economics) (Tokyo: Chuo Koronsya, 1992), pp. 1-6; Toshio Watanabe, Shin Seiki Asia no Koso (Strategy in Asia in New Century) (Tokyo: Chikuma Syobo, 1995), pp. 14-19, and Suehiro, op. cit., p. 223.]. 12. Akira Nishigaki and Yasutami Shimomura, Kaihatsu Enjo no Keizaigaku (Economics of Development Assistance) (Tokyo: Yuhikaku, 1997), pp. 35-40. 13. A method of assistance introduced by the World Bank in the late 1970s in order to cope with a worsening macroeconomic imbalance of developing countries. In exchange for providing funds to developing countries for settling foreign accounts, the World Bank demanded these countries to design and carry out economic reform programs. The purpose was to put these countries back on a growth track by adopting policies based on market principles, such as deregulation, liberalization and privatization. 14. World Bank, Adjustment in Africa: Results, and the Road Ahead (New York: Oxford University Press, 1994), p. 219.

13 Technology and Development, No.12, 1999 tence as an indispensable supplement to sound eco- ments in East Asia show a tendency to lump all East nomic policies. Asian countries together, and fail to pay due attention The aforementioned World Bank report did not, to the diversity among the countries. These however, show specific conditions of good gover- researchers are inclined to argue for the high capabili- nance for Africa. The high standard of governance ty of East Asian governments based on the state of currently demanded by the international community is affairs in Northeast Asia, i.e. Japan, South Korea, and miles apart from the actual conditions in Africa, and Taiwan. However, it is perilous to generalize on East inappropriate for the purpose of securing governance Asia without fully considering the differences between that is required for putting African economies on a Northeast and Southeast Asia. In South Korea and growth track. In other words, the orthodox concept of Taiwan, which have preserved the classical examina- good governance can hardly work as a basis for poli- tion system for government service from ancient cy debates to improve conditions in Africa. For more China as part of their cultural heritage, the social sta- functional policy discussions, it is essential to examine tus of bureaucracy might distinctly differ from that in the minimum requirements for developing nations as other developing countries. In Southeast Asia, mentioned in earlier sections. Singapore,18 unlike other developing countries, showed signs of unusually high institutional capability 3. Explaining the economic development of East at an early stage of growth, which is thought to have Asia derived from the devotion of leaders of independence One clue is to analyze the relationship between to the establishment of an elite bureaucracy. These long-term economic development and governance in experiences are not necessarily appropriate models for East Asia. Several countries in the region have been other developing nations. suffering from severe economic crises since 1997 (the Thailand and Indonesia appear to show suitable author will refer to this point in the next section). representatives of experience for the average develop- Nonetheless, East Asian countries are still salient in ing countries. Prior to the era of rapid economic terms of long-term development performance dating growth, neither country attracted particular attention. from the 1960s. If we accept the basic idea of close The capabilities of their governments and bureaucra- relationship between governance and economic cies were thought to be no better than the average growth,15 these countries must have had higher stan- level of developing countries. Unlike India, where the dards of governance than other developing countries at selection of bureaucrats was, and still is, far more the point when the rapid growth era was started. The competitive and systematic than in other developing question is in what way? countries, the promotion system was, and still is, more Since the 1990s, a large number of outstanding organized, and civil servants have enjoyed a relatively researches have been conducted on the development high social status. process of East Asian countries. These studies have Supposing that the capabilities of the governments unanimously pointed to the importance of the role of Thailand in the late 1950s and of Indonesia in the played by governments. In particular, the fact that mid-1960s were more or less like that of an average government intervention produced productive out- developing country, the governance of these two comes, unlike in other regions, is thought to be the countries during those periods may provide a clue main characteristic of East Asia. Capable technocrats regarding the standards and content of minimum gov- and a functional bureaucracy that enabled growth ernance that is indispensable for the growth of devel- drew world-wide attention.16 There is also a consensus oping nations (needless to say, it is also necessary to that one determinant to a clear contrast between East consider the differences between those periods and the Asia and other parts of the world is the “institutional present ones). Another reason for paying attention to capability of a government”, or “the capability of gov- Thailand and Indonesia during those periods is that ernment to formulate and implement policies”accord- those were the times when both economies overcame ing to the definition made by the OECD.17 stagnation and got on track with sustained growth. Incidentally, these surveys did not find governance in How can this change be explained from a perspective East Asia relatively superior to that of others in terms of governance factors? of the exercise of power. However, if there had been any severe shortcomings in the manner of exercising 4. How does the necessary governance change with power, it would have been difficult to sustain growth. different stages of economic development? It is important to note that most Western Thus far, this article has focused on the minimum researchers dealing with the capabilities of govern- content of governance which is necessary for sus-

15. OECD, op. cit., p. 5. 16. The World Bank emphasized the importance of bureaucracy that is strong and effectively immune from political pressure, in particular: 1) appointment and promotion based on severe competition and merit; and 2) high wages and social status. World Bank, The East Asian Miracle: Economic Growth and Public Policy (New York: Oxford University Press, 1993), pp. 173-179. 17. World Bank, World Development Report 1997 (New York: Oxford University Press, 1997), p. 32. 18. T. W. Soon and C. S. Tan, The Lessons of East Asia: Singapore: Public Policy and Economic Development (Washington D.C.: World Bank, 1993), p. 19.

14 Economic Development and Good Governance - In Search of Functional Policies - tained growth in developing countries because many developing countries, including those in Africa, have III. In Search of the Conditions of Governance trouble in initiating development. At the same time, a Indispensable for Initiating Economic country may have difficulties in moving up to the next Development level after appreciating considerably long economic growth unless it improves its standards of governance. As indicated by the above analysis, several prob- It is more practical to assume that the governance nec- lems lie in making functional policy recommendations essary should advance along with the stage of devel- to developing nations based on the broad definitions opment rather than trying to apply the same standards of good governance. First, it is inadequate to suggest and content of governance regardless of the country's any particular political regime on the grounds that stage of development. such a regime will contribute to economic develop- In relation to the above, some argue that there is a ment, since any concrete relationship between eco- connection between the East Asian monetary crisis of nomic growth and political regime has not yet been 1997 and government-led economic management or verified (This is a different issue from the value judg- the quality of governance in the region. A typical ment of democratization). Second, demanding far too example of this argument is made by Alan Greenspan, high and wide-ranging governance, given the actual the Chairman of the Federal Reserve Board (FRB), conditions of developing countries, is not a reasonable who said that the system in which a government policy objective, and thus cannot be a practical basis decided the resource allocation jointly with big busi- for policy debates. Third, the broad definitions of ness groups could not respond effectively to the good governance do not give a satisfactory account of changes in the market and led to overinvestment and East Asia’s economic achievements. Fourth, the oversupply.19 It is difficult to assess the validity of broad definitions do not elucidate the relationship such an argument. It is true that South Korea and between the stages of economic development and the Indonesia have implemented developmentalist eco- good governance required. nomic management. However, Taiwan and Accordingly, the previously mentioned “third defi- Singapore, which share the same characteristics, were nition” which focuses on a government's institutional only slightly hit by the crisis. On the other hand, capability appears to be more effective. The author Thailand, in contrast to South Korea and Indonesia, would like to examine the changes which occurred in has kept its government's role traditionally moderate. Thailand around 1960 and in Indonesia in the mid- Thailand also surpasses other developing countries in 1960s from this angle. terms of economic reforms such as deregulation and Unlike many other coups d’e«tat in Thailand, the liberalization. one pulled by General Sarit Thanarat in 1958 is known One characteristic common to South Korea, for bringing crucial changes to the economy of the Indonesia, and Thailand is that unreasonably opti- country. The Thai economy, which used to be state- mistic private corporations borrowed excessively in enterprise-oriented and stagnant, was vitalized by new foreign currencies and collapsed the macro- devices which he introduced. Importantly, this change economic foreign exchange balance. Another charac- also meant the establishment of a technocracy with a teristic is that patronage by politicians and high rank- view to accomplishing ‘development’, a key word of ing officials made such recklessness possible (there the Sarit administration. In addition to the Ministry of were patron-client relations between influential people Finance and the Central Bank, the nearly established and private corporations). This is a problem of gover- National Economic and Social Development Board nance in terms of the exercise of power. To date, the (NESDB) and the Budget Bureau, were the central relationship between governance and the monetary structure of the technocracy. In 1960, The 6-Year crisis has been discussed in an anecdotal manner. Economic Development Plan was announced and However, if the differences in the levels of governance many young technocrats who had studied abroad were between Taiwan and Singapore, on the one hand, and appointed, replacing traditional elite bureaucrats com- South Korea, Indonesia, and Thailand on the other posed mainly of the nobility. Sarit vested in these hand, led to differences in damage under the monetary young technocrats broad authority to manage the crisis, this would be an important case when examin- economy. It is important that this change was strongly ing the relationship between stages of development supported by the Chinese citizen who were dominant and governance (not the governance necessary for ini- in the country’s economic activities.20 Attaching great tiating economic growth, but the governance neces- importance to economic development and social sta- sary for moving up to a higher development stage after bility was understood as a sign that the rules of the achieving sustained growth). game were set to favor the private sector; this led to active investments.

19. Nihon Keizai Shinbun (Japan Economy News), December 3, 1997 (morning edition). 20. S. Christensen, A. Siamwalla and P. Vichyanond, Institutional and Political Bases of Growth-Inducing Policies in Thailand [Draft prepared for the World Bank project on the East Asian Development Experience (mimeo)] (1992), p. 7.

15 Technology and Development, No.12, 1999

In Indonesia, the “New Order”, which has contin- Indonesian governments was improved, and it became ued up to now, was established when presidential possible to formulate and implement economic poli- power was transferred to General Suharto in 1966 in cies that would lead to economic growth. One issue the midst of chaos following the September 30 inci- remaining is how to improve the ways in which power dent. Sukarno, who had remarkable achievements as is exercised. In this regard, little change has been the standard-bearer of the non-aligned nations move- made. Rent-seeking by politicians and high ranking ment including the holding of the Bandung officials, and the patron-client relations between them Conference, had emphasized political and diplomatic and the private sector continue to exist. What is goals. By contrast, the key words of the Suharto important in such an economic society is a checks- regime, which attached great importance to the econo- and-balances mechanism that is expected to control my, were ‘development’ and ‘stability’. The shift in rent-seeking and corruption within certain limits. The priorities matched the broad consensus among people checks-and-balances mechanism in Indonesia is very that they could tolerate no more chaos and fear, as weak, as power is concentrated in the presidency. In happened at the end of the Sukarno regime.21 The Thailand, especially under the Prem administration in Suharto administration also appointed a group of the 1980s, the mechanism worked relatively well young economists who had studied overseas and owing to mutual restraint among the military, political authorized them to manage the macroeconomy. The parties, technocrats, and private corporations. Badan Perencanaan Pembangunan Nasional (BAPPE- However, it is an irony that after the drastic progress NAS: the National Development Board) became the in democratization in 1992, the brakes on the abuse of hub of their activities and played an important role. power by political bosses vanished.24 The Indonesian economy which had been stagnant with hyper inflation and a heavy debt burden gradual- Conclusion ly recovered and began powerful growth after 1968. It has been pointed out that the Sarit and Suharto In this article, the author has underscored that it is regimes share many features. In short, the ‘develop- effective, in order to put developing economies on a ment-oriented’ rule of the game was made clear. track of sustained growth, to 1) concentrate all efforts North described institutions as the “rules of the game on strengthening the institutional capability of govern- in a society.”22 According to his view, the Sarit and ment and 2) establish a complementary relationship Suharto regimes accomplished what can be called the between government capabilities and appropriate eco- “institutionalization of development”. Once rules nomic policies. Reconsideration of the relationship were elucidated, predictability increased for the pri- between good governance and economic development vate sector. As a result, the credibility of the govern- from this perspective is desirable. However, it is ment improved, and stable economic activities became essential to reinforce a checks-and-balances mecha- feasible. The characteristics of these regimes are also nism in order to curb the negative factors of strong characteristics of the “developmental state” which was government. Improvement of good governance from mentioned earlier,23 and are the basis of the argument the point of exercise of power will be the key for that a developmental state is effective in preparing developing countries to leapfrog to the next level after advantageous conditions for starting economic having accomplished a certain extent of sustained eco- growth. However, this does not necessarily exclude nomic growth. the possibility of the institutionalization of develop- When we review the discussions pertaining to ment under parliamentary democracy. What matters good governance, we find the dominance of donors' is not a political regime, but how to mobilize logic and perspective. It is desirable to pay more resources effectively towards development, and how attention to the cultural background of developing to attract talented people to the public sector. countries and local communal logic. Thus, the institutional capability of the Thai and

21. Takashi Shiraishi, Indonesia: Kokka to Seiji (Indonesia: The Nation and Politics) (Tokyo: Libroport, 1992), p. 60. 22. D. North, Institutions, Institutional Change and Economic Performance (Cambridge: Cambridge University Press, 1996), p. 3. 23. See note 11. 24. Yasutami Shimomura, “Thai no Tsuka Kiki wo Sogo Kensyosuru (Comprehensive Analysis of the Monetary Crisis in Thailand),” Kokusai Kinyu 998 (Tokyo: 1998), pp. 22-26.

16 A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID

ARTICLE

A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID

Yuriko SATO Deputy Director of Technical Personnel Development Division Institute for International Cooperation Japan International Cooperation Agency

Assistance for both poverty alleviation and Women in Development (WID) includes elements of intervention not only in market economies, but also in the social and cultural structures of developing countries. Has the assistance which donor countries extended in these areas reflected the donor country’s own experience? From this point of view, the author compared Japan’s assistance in poverty alleviation and WID with Japan’s own past experience of coping with poverty, helping the disadvantaged, and improving women’s status in the society. The following points of similarity were found: 1) Japan has regarded ‘self-help efforts’ as an important factor in both domestic and overseas assistance. Instead of directly helping the poor and the socially disadvantaged, Japan adopted an indirect approach to “help ensure the efficient and fair distribution of resources through developing a wide range of human resources, infrastructure and through Basic Human Needs (BHN)”; 2) construction of the economic infrastructure through loan aids which played a pivotal role in revital- izing the Japanese economy in the post-war era has been also one of the key instruments in overseas cooperation; and 3) in the area of WID assistance, Japan has been earnest in providing assistance to meet gender practical needs such as education and health, because such practical needs have been met domestically. Japan, however, has not been as earnest in undertaking assistance to fulfill gender strategic needs such as enlarging opportunities for decision-making and political participation which has not yet been achieved domestically. Based on Japan’s experience in the past and the characteristics of its assistance, there are four points which need to be considered when extending assistance in the future. These are: 1) It is necessary to strengthen the assistance in the area of “human resources development,” paying close attention to the “social preparedness” of recipient countries, and including the assistance to support social institution building and capacity building when necessary. 2) Most developing countries, especially the LLDCs suffer from weak and inefficient administrative systems. Therefore, prior to implementing substantial assistance, Japan needs to provide support to improve their administrative capabilities. It may be also necessary to help formulate a so called bottom-up system through the people’s participation. 3) It is necessary to consider possibilities for introducing social institutions in relation to a more equitable distribution of wealth. 4) Considering the gender disparities in developing countries, assistance to meet practical needs such as education and health is vital. However, in order to realize an equal society in terms of gender and social strata, a more affirmative approach is needed which includes institutional improvement and the enlargement of opportunities for social and political participation. These attempts toward a more equitable society should be taken up not only in assisting developing countries, but also in realizing a fair society in Japan itself.

poverty alleviation, WID, education, health, and the I Introduction environment, has been growing. Assistance for poverty alleviation and WID includes elements of interven- In response to the New Development Strategy tion not only in market economies, but also in the announced by the Development Assistance Committee social and cultural structures of recipient countries. In (DAC) of the Organization for Economic Cooperation this regard, the views of donor countries on these and Development (OECD) in May 1996, the trend of a issues will be strongly reflected in their way of devel- “people-centered development” with emphasis on opment assistance.

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 13, No. 2 (October 1997)

17 Technology and Development, No.12, 1999

In this article, the author would like to examine The distribution of Japan’s bilateral ODA by sec- how Japan’s past experience of coping with poverty tor is as follows: 26.7% for social infrastructure and and improving women’s status in the society has been service; 44.5% for the economic infrastructure and reflected in its ODA and to propose what needs to be service; and 11.7% for the production sector. taken into consideration in future assistance. Apparently, the category of economic infrastructure and service accounts for the largest share. Moreover, among the items in that category, energy (such as II Japan’s ODA for Poverty Alleviation and WID power plants) and transport (such as roads, railways, and ports) constitute high percentages of 22.7% and What kinds of efforts has the Japanese 18.8% of the total, respectively (Table-1).3 When Government made to reduce poverty in developing Japan’s ODA in 1993 is compared to that of major countries? DAC member countries (Table-2),4 it reconfirms the Regarding the question of what constitutes assis- fact that Japan’s ODA consists of a high percentage of tance for poverty alleviation, the DAC/OECD has not assistance in the area of economic infrastructure. For yet set any clear criteria for measuring the perfor- instance, the economic infrastructure for that year mance of counter-poverty assistance. However, in accounts for 36.7% of the total as opposed to the DAC general, the term “poverty-alleviation assistance” is average of 19.5%, whereas the social infrastructure used in the sense of “assistance to people under the only accounts for 22.6%, which is lower than the DAC absolute poverty line, or assistance to correct dispari- average of 25.1%. But if compared with previous ties between the rich and the poor in developing coun- data, the percentage of the social infrastructure in tries.” The author would like to apply this definition Japan’s total bilateral ODA surged from 12.3% in throughout this article. 1991 to 26.7% in 1995.5 Moreover, the percentage of Up to 1996, Japan had been the top donor country ODA allocated to Basic Human Needs (BHN), the cat- in the world for six consecutive years. The net dis- egory which is underscored in Japan’s ODA Charter, bursement for 1995 amounted to 14.49 billion dollars accounts for 36.7%, about one third of the total (approximately 24.4% of the total disbursement of the (Table-1). 21 DAC members). Although it plunged by 35% to It is inappropriate to say that assistance in the areas 9.6 billion in 1996, Japan’s ODA continues to play a of social infrastructure (education, health, water sup- pivotal role in international assistance to developing ply, sanitation, etc.) and Basic Human Needs is equal countries. Japan also took a strong initiative in formu- to poverty alleviation. However, it can be said that lating New Development Strategy, “Shaping the 21st such assistance is closer to the poor in the sense that Century,”1 announced by the DAC/OECD in 1996. In the poor will directly benefit through it in the short- this strategy, the specific goal of reducing poverty was term. In this regard, Japan has recently been increas- set, that being “The proportion of people living in ing its assistance in social infrastructure and Basic extreme poverty in developing countries should be Human Needs, which are thought to constitute more reduced by at least one-half by 2015.” Japan’s active direct assistance to the poor. whereas in the past, assis- involvement in setting this goal is highly evaluated in tance in economic infrastructure which directly con- the international community as a sign of its commit- tributed to economic growth had been dominant. It is ment to tackling poverty in developing countries while expected that this trend will continue by the momen- other industrial countries have shown signs of “assis- tum of the New Development Strategy of DAC. tance fatigue.” At the same time, it also means that The geographical distribution of Japan’s bilateral there are more expectations of Japan’s contributions to ODA is as follows: 54.4% for Asia, 12.6% for Africa, poverty alleviation. and 10.8% for Central and Latin America. The focus Comparing Japan’s assistance to that of other continues to be on Asia. However, compared with countries, there are several characteristics of note. data in 1980 (70.5% for Asia, 11.4% for Africa, and One of them is that the percentage of bilateral loans 6% for Central and Latin America), assistance to areas (yen loans) is relatively high (28.0% of the net dis- outside of Asia has been increasing. Assistance to the bursement of the ODA). Accordingly, both the grant Least among Less-Developed Countries (LLDCs) share and grant element remain below average of reached its peak of 18.8% in 1987, then fell to 11.2% DAC member countries, being 46.6% for the grant in 1991 and 1992, but resurged to 15.4% in 1995.6 share (DAC average 77.1%) and 78.7% for the grant Now we would like to see poverty-related descrip- element (DAC average 90.8%).2 tions in the Japan’s ODA Charter.7 At the beginning

1. Organization of Economic Cooperation and Development, Shaping the 21st Century: The Contribution of Development Cooperation (1996). 2. Ministry of Foreign Affairs, Waga Kuni no Seihu Kaihatsu Enjo (Japan’s Official Development Assistance: hereafter cited as Waga Kuni.) (Tokyo: Association for Promotion of International Cooperation, 1996), pp. 25-26. 3. ibid., p. 109. 4. ibid., p. 110. 5. ibid., p. 108. 6. ibid., pp. 105-107. 7. Ministry of Foreign Affairs, Seihu Kaihatsu Enjo Taiko (Japan’s Official Development Assistance Charter) (Tokyo: 1992).

18 A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID

Table 1 Sectoral Distribution of Bilateral ODA (1995) (On a commitment basis; $ million, %) Type of aid Grant Technical Total Loans Total (share) aid cooperation grants Sector of destination

1. Social infrastructure & service 725.43 1,484.48 2,209.91 2,652.35 4,862.26 ( 26.66) (1) Educational services and investments 178.28 930.07 1,108.35 507.64 1,615.99 ( 8.86) (2) Health 151.93 175.49 327.42 ― 327.42 ( 1.80) (3) Water supply and sanitation 236.14 87.56 323.70 749.08 1,072.78 ( 5.88) (4) Population programmes ― 17.00 17.00 ― 17.00 ( 0.09) (5) Public administration ― 131.59 131.59 ― 131.59 ( 0.72) (6) Development and planning services ―――――( ―) (7) Other social infrastructure & services 159.08 142.77 301.85 1,395.63 1,697.48 ( 9.31) 2. Economic infrastructure & service 466.69 350.83 817.52 7,291.76 8,109.28 ( 44.47) (1) Transport 347.86 122.14 470.00 2,961.90 3,431.90 ( 18.82) (2) Communications 63.44 61.63 125.07 246.91 371.98 ( 2.04) (3) River development 15.07 ― 15.07 ― 15.07 ( 0.08) (4) Energy 40.32 76.46 116.78 4,029.80 4,146.58 ( 22.74) (5) Other economic infrastructure ― 90.60 90.60 53.15 143.75 ( 0.79) 3. Production sectors 524.61 685.69 1,210.30 917.89 2,128.19 ( 11.67) (1) Agriculture 501.58 412.46 914.04 794.12 1,708.16 ( 9.37) (2) Industry, mining and construction 23.03 231.61 254.64 90.69 345.33 ( 1.89) a) Manufacturing 17.30 ― 17.30 90.69 107.99 ( 0.59) b) Extractive industries ―――――( ―) c) Construction ―――――( ―) (3) Trade, banking, tourism ― 41.62 41.62 33.08 74.70 ( 0.41) 4. Multisector ― 15.65 15.65 205.23 220.88 ( 1.21) Subtotal 1-4 1,716.73 2,536.65 4,253.38 11,067.23 15,320.61 ( 84.01) 5. General program assistance ―――395.00 395.00 ( 2.17) a) Structural adjustment assistance ―――――( ―) b) Commodity loans ―――395.00 395.00 ( 2.17) 6. Debt relief 609.68 ― 609.68 308.49 918.17 ( 5.03) 7. Food aid 74.52 ― 74.52 5.74 80.26 ( 0.44) 8. Emergency assistance (excluding food aid) 39.11 5.64 44.75 ― 44.75 ( 0.25) 9. Administrative costs of donors ― 758.81 758.81 ― 758.81 ( 4.16) 10. Support to private voluntary organizations 36.94 ― 36.94 ― 36.94 ( 0.20) 11. Unallocated/unspecified 336.63 327.61 664.24 18.18 682.42 ( 3.74) Total 1-11 2,813.61 3,628.71 6,442.32 11,794.64 18,236.96 (100.00) BHN(1+3.(1)+7+8) 1,340.64 1,902.58 3,243.22 3,452.21 6,695.43 ( 36.71) Notes: 1. Grants to aid structural adjustment efforts (non-project grants), as well as Grant Assistance for Grassroot Projects and expenses for refugee assistance, are classified under the column ‶Grant aid " and row entitled 11 ‶Unal- located/unspecified " . 2. Administrative expenses include development awareness. 3. Figures in this table include aid for Eastern Europe. 4. As the figures in the table are rounded off, they do not necessarily add up to the totals. Source: Ministry of Foreign Affairs, Japan’s Official Development Assistance 1996 (Tokyo:Association for Promotion of International Cooperation, 1996) p.98 of chapter 1 “Basic Philosophy”, it states Japan’s basic “Issues” of the same chapter reads “To help people recognition that “Many people are still suffering from suffering from famine and poverty, refugees and oth- famine and poverty in the developing countries, which ers, Japan will provide assistance to the Basic Human constitute a great majority among countries in the Needs (BHN) sector and emergency humanitarian world. From a humanitarian viewpoint, the interna- aid.” Moreover, in section (14) of chapter 4 tional community can ill afford to ignore this fact”. “Measures for the Effective Implementation of ODA”, In section (1), “Regions” of chapter 3 “Priority”, it it declares that “Considerations will be given to clarifies that “Due consideration will be paid in partic- redressing the gap between the rich and the poor and ular to LLDCs” while Asia will continues to be a pri- the gap among various regions in developing coun- ority region. Sub-section (B) “BHN” of section (2) tries.” Thus, Japan clarifies its basic stance to make

19 Technology and Development, No.12, 1999

Table 2 Bilateral Official Development Assistance of Major DAC Member Countries by Sector (1993) (Based on agreed amount; %) Country DAC Japan USA UK France Germany Italy Canada Australia Sweden Sector Total Social Infrastructure 22.6 23.1 30.8 38.1 25.3 14.9 9.5 37.3 32.9 25.1 Economic Infrastructure 36.7 5.4 15.7 11.9 20.9 10.6 10.5 12.5 14.3 19.5 Agriculture (excluding food aid) 8.1 4.4 10.1 7.6 8.2 5.0 3.5 5.2 11.3 7.5 Production Sectors 5.1 5.0 6.2 14.2 8.9 5.8 16.2 2.5 12.7 8.5 Food Aid 0.3 9.4 3.0 0.4 2.1 5.5 4.69 2.3 Ð 2.8 Program Assistance 27.2 52.7 34.0 28.0 34.6 58.3 55.4 40.1 28.9 36.6

Total 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 Note 1: “Production Sectors” includes ‘multisectors’. Note 2: Because of rounding off, figures shown in total do not necessarily match the sum. Note 3: Assistance to Eastern European countries, etc. is not included. Reference: The 1995 Report to the Chairman of DAC. Source: Ministry of Foreign Affairs, Wagakuni no Seihu Kaihatsu Enjo (Japan’s Official Development Assistance) (Tokyo:Association for Promotion of International Cooperation 1996) p. 110. much of counter-poverty measures in its ODA Charter Governance; 5)Private-sector Development, and 6) But as for its approach, chapter 1 “Basic Environment).8 Philosophy” reads, “Japan attaches central importance The British government announced its basic princi- to the support for the self-help efforts of developing ple for assistance, composed of seven priorities, to countries towards economic take-off. It will therefore support developing countries to realize sustainable implement its ODA to help ensure the efficient and economic and social development. These priorities fair distribution of resources and ‘good governance’ in include: 1) to support economic reform; 2) to improve the developing countries through developing a wide productivity; 3) to support Good Government; 4) to range of human resources and socioeconomic infras- support the poor; 5) to develop human resources tructure, including domestic systems, and through including population and education issues; 6) to meeting the Basic Human Needs (BHN), thereby pro- advance women’s status; and 7) to cope with environ- moting the sound economic development of the recipi- mental problems. Based on this principle, the British ent countries”. government allocated 73.3% of its bilateral assistance As we can see in this description, Japanese govern- to low-income countries in the fiscal years of 1994 ment regards the self-help efforts of recipient coun- and 1995.9 tries as an important factor. In relation to “the effi- The United States set sustainable development as a cient and fair distribution of resources and good gov- basic goal of its development strategy, and chose the ernance,” the Japanese government tries to avoid following five areas as priorities: 1) to cope with envi- direct intervention. Rather it prefers to preparing the ronmental issues; 2) to foster democracy; 3) to stabi- environment for that purpose by supporting the sound lize population and secure primary health care; 4) to socioeconomic development of recipient countries. support economic growth; and 5) to extend humanitar- It is worthwhile to compare Japan’s approach to ian aid. The focus of Development Assistance (DA), those of other donor countries. For example, in its which accounts for about 30% of its bilateral assis- foreign policy statement published in February 1995, tance, is for projects to improve the living conditions the Canadian government states the purposes of its of the poor (besides this, there is Food Assistance ODA as “to support sustainable development in devel- based on Public Law 480 as well as the Economic oping countries in order to reduce poverty and con- Support Funds which is extended mainly from politi- tribute to a more secure, equitable and prosperous cal and security perspectives).10 world.” The policy commits the Canadian As you can see, most donor countries share their International Development Agency (CIDA) to making positive stance toward poverty reduction, but the poverty reduction a key elements in each of its six major difference between Japan and other donor coun- program priorities 1)BHN; 2)WID; 3)Infrastructure tries is that Japan tries to achieve the goal rather indi- Services; 4)Human Rights; Democracy and Good rectly by encouraging the self-help efforts of the recip-

8. Canadian International Development Agency, 1997-98 Estimates Part III, Expenditure Plan (1996). 9. Ministry of Foreign Affairs, Waga Kuni, pp. 298-301. 10. ibid., pp. 289-292.

20 A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID ient countries, whereas the other donor countries put objective in the area of health is: “to reduce maternal up “poverty reduction/support for the poor” and mortality below 200 per 100,000 childbirths by 2010, “human rights, democracy and good governance” as and the infant mortality rate below 35 per 1000 by direct goals of their development assistance. 2015 in all countries and regions.” The Japanese gov- What types of ODA has Japan been extending in ernment expresses its dedication to achieve these the area of WID? The WID approach is based on the objectives, cooperating with recipient countries and idea that “in order to make development plans and other donors. development assistance more effective, it is essential As for the area of economic and social participa- to include women in development not only as recipi- tion, the Japanese government is to undertake cooper- ents, but also as positive participants of ation and support in areas including, “providing job development.”11 This idea come to be stressed on the skill training and learning opportunities for women to reflection that women have not fully benefited from acquire relevant skills, improving the working envi- development, that women are under-represented in ronment for women, establishing legal and institution- development programs, and the development widened al framework for women’s full participation, and gender disparities, instead of closing them. Recently assisting micro-enterprises which are often run by there have been arguments that the WID approach, women.” which focuses only on women, is insufficient. Based In the Platform for Action of the Fourth World on this claim, some researchers and aid agencies have Conference on Women, issues that were discussed as begun to use the term “gender and development” critical problems included poverty, education, health, (GAD), which focused on gender, or in other words, violence, persecution at the time of conflict, participa- the social differences between men and women. The tion in policy and decision-making processes, GAD approach aims at realizing a more equitable and advancement of women’s status, human rights and the fairer society by empowering women.12 media.14 One of the major characteristics of Japan’s The WID approach has been gradually incorporat- Initiative on WID was that it expressed its support in ed in Japan’s ODA since the second half of the 1980s, the area of gender practical needs such as poverty, and its presence keeps increasing. In its ODA Charter education, and health among other issues raised in the in 1992, it is stated in section (12) of chapter 4 conference. Practical needs refer to the actual needs “Measures for the Effective Implementation of ODA” found in the daily life of women. In the GAD that, “Full consideration will be given to the active approach, the term “practical needs” is used in con- participation of women in development, and to their trast to “strategic needs”, which represent the long obtaining benefits from development”. The Japanese term goal, for example, the need to eliminate institu- government announced “Japan’s Initiative on WID”13 tional discrimination and to enlarge the political par- at the Fourth World Conference on Women held in ticipation of women.15 Beijing in 1995. In the statement, Japan reaffirmed its The aforementioned New Development Strategy commitment to expanding its assistance to support by the DAC sets a series of objectives including “uni- women in developing countries, particularly in three versal primary education in all countries by 2015”, priority areas: 1) education; 2) health; and 3) econom- “demonstrated progress toward gender equality and ic and social participation. In the “Basic Concepts and the empowerment of women by eliminating gender Ideas” of this initiative, Japan clarifies its basic stance disparity in primary and secondary education by to supports the self-help efforts of the recipient coun- 2005”, “to reduce the mortality rate for infants and tries, stating, “The primary responsibility for achiev- children under age 5 to one third and the maternal ing gender equality necessary to participate in and mortality rate to one fourth by 2015” and “to make benefit from development rests with the developing reproductive health services available for all individu- country itself. However, the developed countries can als of appropriate ages through the primary health care assist the self-help efforts of the developing countries system.” Some of these objectives overlap with in this respect through development cooperation that Japan’s Initiative on WID, but they include more posi- integrates gender considerations.” tive expressions for realizing gender equality and In the area of education, Japan sets a numerical reproductive health. As for the volume of Japan’s objective of “closing the gender gap in school educa- WID assistance, according to Japan’s Initiative on tion for all 6-11-year-old children by 2005, and pro- WID, it reached approximately 600 million US dollars viding universal education for all 6-11-year-old girls in fiscal 1993, which accounts for about 5% of the net as well as boys by 2010.” Similarly, the numerical ODA disbursement of Japan which totaled 11.26 bil-

11. ibid., pp. 207-208. 12. Caroline Moser, Gender, Kaihatsu, NGO (Gender Planning and Development) (translated by Kenichi and Mayumi Kubota) (Tokyo: Shinhyoron-sha, 1996), pp. 21-23. 13. Ministry of Foreign Affairs, Japan’s Initiative on WID (Tokyo: 1995). 14. Prime Minister’s Office, Dai 4 Kai Sekai Josei Kaigi Kodo Yoko (Platform for Action of the Fourth World Conference on Women) (tentative translation by the Prime Minister’s Office) (Tokyo: 1995), p. 9. 15. Caroline Moser, op. cit., pp. 66-68.

21 Technology and Development, No.12, 1999 lion US dollars. implementation of a model project which aims at Finally, the author would like to briefly mention improving the standard of living in these areas by the efforts of the Japan International Cooperation encouraging the active participation of the local peo- Agency (JICA) in the areas of poverty alleviation and ple, with due consideration to women and the poor.”21 WID. JICA formed an Aid Study Committee on As to the specific contents of this consideration, Poverty in 198916 and an Aid Study Committee on the following items were included in the Operational WID in 1990,17 which consist of scholars and other Guidelines of the project: 1) to form a users group well-informed persons related to poverty and WID. with equal participation of women (users group; a Based on the recommendations of these Aid Study group which plans, carries out, and benefits directly Committees, JICA compiled the “Manuals for from the project); 2) more than half of the users group Integrating WID Considerations into JICA Projects”18 committee members should be women; 3) women and in 1993, and the “Guidebook for Poverty Issues”19 in socially and economically disadvantaged people such 1994. In the “Manuals for Integrating WID as occupational castes have priority in participating in Considerations into JICA Projects,” JICA sets a stan- popular income generating activities; and 4) more than dard for integrating WID considerations into projects 50% of participants in training, workshop, and study (devices at each stage of planning, implementation tours should be women.22 These items are actually and evaluation in order to secure project benefits to being implemented in the project under the guidance reach women and facilitate women’s participation in of a long-term WID expert. development). In the “Guidebook for Poverty Issues,” Different people have different opinions about the it pointed out that various “considerations for the extent to which these social and WID considerations poor” were essential in any field of assistance to should be incorporated. Some may argue that the rea- enlarge benefits for the poor. The “considerations for sons why women and the poor are at a social disad- the poor” include 1) to specify the target group; 2) to vantage and unable to fully benefit from development implement social analysis; and 3) to promote people’s is rooted in the social and cultural structure of recipi- participation. ent countries/areas, and that special consideration and This concept of “considerations for the poor,”cou- intervention are inappropriate. Others assert that the pled with the preceding idea of “WID considerations”, elimination of poverty, gender equality, and assurance evolved into the idea of “social and WID considera- of fundamental human rights are goals common to all tion” (considerations for the socially disadvantaged mankind, and that active intervention should be groups such as the poor, women, and minorities) in encouraged for the purpose of accomplishing these 1995.20 This concept is based on the recognition that goals. Kurata argues that Japan, as a non-Western poverty and social disparities derive from social fac- country, is in a better position to understand gender tors such as gender, ethnicity, religion, and possession issues within certain cultural and historical contexts of productive resources, and special than Western countries.23 consideration/intervention by the donor is necessary to secure their benefits and participation in the project’s activities. III Japan’s Own Experience in Overcoming One of the examples of the projects which inte- Poverty and Assisting the Vulnerable grate this social and WID considerations is the Community Development and Forest Watershed Japan has invaluable experiences with respect to Conservation Project in Nepal which commenced in overcoming poverty. At the time of the Meiji 1994. The purpose of the project was articulated as Restoration, Japan’s income per capita was only 290 “improving the natural environment and land produc- US dollars (1988 value). Japan launched heavy indus- tivity, especially to stop the reduction of natural tries with little economic assistance from other coun- resources such as forests, and to expand forest land in tries and achieved rapid economic growth.24 the mountainous areas of the Kaski and Palbat dis- Japan also suffered immense economic and social tricts. These objectives are to be met through the damage from its defeat in the Second World War (esti-

16. Japan International Cooperation Agency (JICA), Bunya Betsu (Hinkon Mondai) Enjo Kenkyukai Hokokusyo (Report by the Aid Study Committee on Poverty Issue) (Tokyo: 1990). 17. JICA, Bunya Betsu (Kaihatsu to Josei) Enjo Kenkyukai Hokokusyo (Report by the Aid Study Committee on WID) (Tokyo: 1991). 18. JICA, WID Hairyo no Tebikisyo (Manuals for Integrating WID Considerations into JICA Projects) (Tokyo: 1993). 19. JICA, Hinkon Mondai Guidebook (Guidebook for Poverty Issues) (Tokyo: 1994). 20. In the “2000 nen emuketa jigyo no tenkai nitsuite (Plan of development of programs toward the year 2000)” (Tokyo: JICA, 1996, p. 6), the term “strengthening social and WID considerations” is used officially. 21. JICA, Nepal Sonraku Shinko Shinrin Hozen Keikaku: Nepal Midori no Suishin Kyoryoku Project Jizen Jisshi Kyogi Chosadan Hokokusyo (Village Development and Forest/Watershed Conservation Project and Greenery Promotion Project in Nepal: Report of the Mission of Preliminary Consultation on Implementation) (Tokyo: 1994), p. 65. 22. JICA, Nepal Sonraku Shinko Shinrin Hozen Keikaku: Keikaku Uchiawase Chosadan Hokokusyo (Community Development and Forest/Watershed Conservation Project in Nepal: Report of the Consultation Survey Team) (Tokyo: 1996), pp. 57-76. 23. Satoko Kurata, “Nihon no ‘Kaihatsu to Gender’ eno approach (Japan’s approach to ‘Gender and Development’),” Kokusai Seiji 114 (Tokyo: 1997), 164-167. 24. Isamu Miyazaki, Nihon Keizai Zusetsu (Illustration of Japanese Economy) (Tokyo: Iwanami-shoten, 1996), p.2.

22 A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID mated at about 36% of national wealth)25 and the liv- Bank pointed out the fact that these countries had ing conditions of the people were under extreme dis- already achieved a high rate of primary and secondary tress. Under these circumstances, the government enrollment when their economies started to take off. implemented relief measures for the unemployed Moreover, in relation to their economic policies, it through public works, which was followed by the mentioned the following factors as causes of the mira- introduction of the Priority Production System in cle: 1) while the governments have respected market 1974. Based on this system, materials and capital principles, they have conducted discreet and limited were concentrated in the steel and coal industries, and intervention such as extending export credit to particu- revitalization of these key industries proved to be the lar industries with the intention of accelerating trigger which touched off growth in the entire econo- growth; and 2) the existence of superior bureaucracies my26 At the same time, American economic assistance which planned and implemented effective policies.30 under the schemes of GARIOA (Government and In a column entitled “Japan - a century of econom- Relief in Occupied Areas) and EROA (Economic ic growth and equity opportunities” in the “Human Rehabilitation in Occupied Area), which was extended Development Report” published by the United immediately after the war, was helpful to Japan in Nations Development Programme (UNDP) in 1996, it overcoming the foreign exchange gap caused by an is stated that the base for this equalitarian develop- import surplus. Loans granted by the World Bank in ment was built in the post war period, by introducing 1950s also played a vital role for Japan to construct radical reforms such as the abolition of the aristocracy, economic infrastructure such as power plants, roads, the drafting of a new constitution, land reform, wealth and railways.27 tax, and equal rights for women and men. It also The restoration of the Japanese economy was pointed out the existence of a virtuous circle that high record-breaking. The actual GDP per capita growth standards of human development at the beginning pro- rate from 1958 to 1970 was approximately 10% a moted economic growth and it, in turn, contributed to year, and the economy continued to grow even after human development.31 that period.28 While the economy kept expanding, the But have all the Japanese people truly benefited number of poor people decreased drastically, and from this remarkable economic growth? income disparity also shrank. In 1993, Japan’s GNP As an example of the Japanese government’s poli- per capita was 31,490 US dollars, which was third cies toward the socially vulnerable, the author would among industrialized countries. The average life like to draw attention to social security-related expen- expectancy at birth was 79.6 years, the longest in the ditures. In 1965, the total amount of social security- world for both men and women, and the unemploy- related expenditures was 518.4 billion yen, which ment rate was 2.5%. The ratio of wealth held by the accounted for 17.8% of the general expenditure bud- top 20% of high-income households compared to the get. This surged to 14.2879 trillion yen in 1996, bottom 20% of low-income households was 4.3 times which accounted for 33.1% of the budget (Figure-1).32 (between the years 1981 and 1991), showing Japan Social security benefits (benefits received by Japanese had the fairest distribution of wealth among industrial- nationals, including pension and health insurance) ized countries, excluding former socialist countries increased from 1.6037 trillion yen (6.0% of GDP) in such as Hungary and Poland.29 1965 to 56.7961 trillion yen (15.2% of GDP) in 1993. What made such rapid economic expansion and However, the percentage of Japanese social security fair distribution of wealth possible? In “The East benefit expenditures to GDP is still small compared to Asian Miracle,” the World Bank concluded that rapid those of other industrialized countries (The United growth and fair distribution in East Asia, including States 18.0%, United Kingdom 24.5%, and Sweden Japan, were made possible by: 1) the rapid growth of 49.0%) (Figure-2).33 The breakdown of these expendi- human capital; 2) the high domestic savings rate and tures includes medical services (38.3%), pensions high domestic investment rate by the private sector; 3) (51.2%), and others (10.6%) which include social wel- the steady growth of agricultural sector and rapid fare, livelihood aid, and measures for unemployment. growth of the export-oriented manufacturing indus- The percentage of “others,” which is mainly com- tries; and 4) decrease of the population growth rate. posed of expenses to support the socially vulnerable, As for the accumulation of human capital, the World is relatively low compared to other industrialized

25. ibid., p. 7. 26. Ministry of Health and Welfare, “Kosei Hakusyo (White Paper on Health and Welfare),” Gyosei (Tokyo: 1996), p. 91. 27. Ken Matsui, Kokusai Kyoryokuron Ensyu (Exercise for International Cooperation Theory) (Tokyo: Koyo Syobo, 1988), pp. 203-210; Kazuo Sumi, Sekai Ginko (The World Bank) (Tokyo: Yuhikaku, 1994), pp. 351-353. 28. Isamu Miyazaki, op. cit., pp. 10-12. 29. United Nations Development Programme (UNDP), Ningen Kaihatsu Hokokusyo: Keizaiseicho to Ningenkaihatu [Human Development Report: Growth and Human Development: hereafter cited as HDR 1996] (Tokyo: Kokusai Kyoryoku Syuppankai, 1996), pp. 216-226. 30. World Bank, Higashi Asia no Kiseki (Yoyaku) [The East Asian Miracle (Summary)] (Tokyo: Eastern Book Service, 1993). 31. UNDP, op. cit., p. 63. 32. Ministry of Health and Welfare, op. cit., p. 102. 33. ibid., p. 103.

23 Technology and Development, No.12, 1999

160,000

140,000 Welfare and others 120,000

100,000 Pensions 80,000

60,000

(Hundred million yen) 40,000 Medical Services 20,000

0 1965 1970 1975 1980 1985 1990 1995 1996 (Year) Figure 1 Changes in Social Security Expenditure Reference: Survey by the Japanese Ministry of Finance. Source: Ministry of Health and Welfare, “Kose hakusyo (White paper on health and welfare),” Gyosei (Tokyo:1996) p. 102.

5.8 7.8 1.6 Japan (FY 1993) (38.3) (51.2) (10.6) 15.2

5.4 7.1 1.4 Japan (FY 1991) (38.8) (51.2) (10.1) 13.8

5.6 8.4 4.0 USA (31.0) (46.5) (22.5) 18.0

6.8 10.0 7.6 UK (27.9) (41.1) (31.0) 24.5

8.0 13.2 8.4 Germany (27.0) (44.6) (28.4) 29.7

8.5 17.0 9.4 France (24.4) (48.7) (26.9) 34.9

12.1 17.8 19.1 Sweden Medical (24.8) Pensions(36.3) Others (38.9) 49.0 0 1020304050 (%) Figure 2 International Comparison of Social Security Benefit Expenditure (as % of National Income) by Sector (1991) Reference: Social Security Research Institute, Social Security Benefits. Source: Ministry of Health and Welfare, “Kose hakusyo (White paper on health and welfare),” Gyosei (Tokyo:1996) p. 103. countries (the United States 22.5%, the United and cultural attitudes toward social support to the dis- Kingdom 31.0%, and Sweden 38.9%) (Figure-2). advantaged: western societies, based on Christian val- The Ministry of Health and Welfare of Japan lists ues, take it for granted that the socially disadvantaged, several reasons why there is such a gap between Japan such as the needy and the disabled, should receive and other industrial countries: the welfare policy of social aid, whereas Japanese society fundamentally the Japanese government has put pension and medical regards ‘self-help efforts’ as vital and has minimized insurance systems first over providing welfare ser- direct social aid by taking an indirect approach, that is, vices such as nursing care; social and economic differ- “to help ensure the efficient and fair distribution of ences such as the unemployment rate between these resources through developing human resources and countries.34 The author guesses that in the background socioeconomic infrastructure, and through meeting the of these factors there exists the difference of social Basic Human Needs.”35

34. ibid., p. 103. 35. Excerpts from Ministry of Foreign Affairs, Seihu Kaihatsu Enjo Taiko (the Japan’s Official Development Assistance Charter), (Tokyo: 1992), p. 1; Ruth Benedict, Kiku to Katana (The Chrysanthemum and the Sword) (Tokyo: Syakai Shisosya, 1972), pp. 120-123. Ruth Benedict, in her book “The Chrysanthemum and the Sword”, pointed out that Japanese people do not like to feel indebted to anyone and therefore, they tend to hesitate to do a favor (to give aid) for other people.

24 A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID

Table 3 Changes in the Number of Households and Persons on Livelihood Protection Aid and Rate of Livelihood Protection Aid (Monthly average)

Number of Actual Number Rate of Livelihood Protection Aid Households on of Persons on Rate of Number of Number of Number of Number of Number of (Actual Number of Persons = 100.0) Livelihood Livelihood Livelihood Persons on Persons on Persons on Persons on Persons on Protection Aid Protection Aid Protection Aid Livelihood Aid Housing Aid Education Aid Medical Aid Other Aid (‰) (thousands of persons) (thousands of persons) (thousands of persons) (thousands of persons) (thousands of persons) Livelihood Housing Education Medical Other Fiscal year (thousands of households) (thousands of persons) Aid Aid Aid Aid Aid 1965 644 1,599 16.3 1,438 728 433 616 11 89.9 45.5 27.1 38.5 0.7 1970 658 1,344 13.0 1,143 643 263 702 7 85.0 47.9 19.6 52.2 0.5 1975 708 1,349 12.1 1,160 705 229 785 5 86.0 52.2 16.9 58.2 0.4 1980 747 1,427 12.2 1,251 867 261 856 5 87.7 60.7 18.3 60.0 0.3 1984 790 1,469 12.2 1,301 974 267 912 4 88.6 66.2 18.2 62.0 0.3 1990 624 1,015 8.2 890 730 136 711 3 87.7 71.9 13.4 70.1 0.3 1992 586 898 7.2 781 646 104 662 3 86.9 72.0 11.6 73.7 0.3 1993 586 883 7.1 765 639 97 659 3 86.7 72.4 10.9 74.6 0.3 1994 595 885 7.1 766 645 92 671 3 86.5 72.8 10.4 75.8 0.3 Reference: Statistics and Information Department, Minister’s Secretariat, Ministry of Health and Welfare, Syakai Hukushi Gyosei Hokoku (Report on Social Welfare Administration and Services)(Tokyo). Source: Ministry of Health and Welfare, “Kose hakusyo (White paper on health and welfare),” Gyosei (Tokyo:1996), p. 398.

When we compare the ratio of the disabled in the ture have been imposed on people (Table-4).39 How to whole population, Japan has the lowest percentage reduce this deficit and burden has become an issue of (2.3%) among the high human development countries public concern. specified by UNDP (the United States 12.0%, Based on the above arguments, the author would Germany 8.4%, and Sweden 12.0%).36 This indicates like to summarize Japan’s past experience in overcom- that Japan sets more strict criteria for disabilities so ing poverty and assisting the disadvantaged as fol- that fewer people are qualified to receive public wel- lows: 1) After World War II, Japan has achieved an fare. economic miracle, helped by the economic assistance Livelihood protection aid for the needy is designed from the United States as well as loans granted by the in compliance with the spirit of Article 25 of the World Bank to build its economic infrastructure. Japanese Constitution (the right to live) which articu- Japan also has become one of the fairest countries lates that “All people shall have the right to maintain among industrialized countries in terms of its distribu- the minimum standard of wholesome and cultured liv- tion of wealth; 2) One factor which has contributed to ing. In all spheres of life, the State shall use its the miracle was the development of human capital endeavors for the promotion and extension of social such as the diffusion of primary and secondary educa- welfare and security, and public health.” The amount tion from the early stage of growth, and the introduc- of assistance is rigorously assessed so as to cover the tion of a social system which encourages social equal- minimum cost of living just enough to assure “the ity. Another factor was the existence of a superior right to live,”37 and households and persons eligible for bureaucracy which conducted careful and effective assistance are encouraged to be self-supportive as policy intervention to promote economic growth; 3) soon as possible. As a result, the percentage of per- The government of Japan has extended little direct sons receiving livelihood protection aid in the whole support to the socially vulnerable, such as the needy population, including foreign residents, drastically and the disabled. The government has rather adopted decreased from 1.63% in 1965 to 0.71% in 1994, in an indirect approach “to help ensure the efficient and spite of an increase of the elderly (Table-3).38 fair distribution of resources through developing The social aid systems in western societies are not human resources and socioeconomic infrastructure, free from problems. Countries such as France, and through meeting the Basic Human Needs (BHN).” Germany, and Sweden, where compassionate social In the background, there is a social culture of Japanese welfare services are provided, suffer from financial society which respect ‘self-help efforts’ and prefers to deficits in their social security systems and the minimize social assistance. increased burden of taxes and social security expendi-

36. UNDP, op. cit., p. 219. 37. Ministry of Health and Welfare, op. cit., p. 397. 38. ibid., p. 398. 39. ibid., p. 104 and pp. 287-307.

25 Technology and Development, No.12, 1999

Table 4 International Comparison of Social Security Benefits, and Tax and Social Security Burdens

Social Security Benefit Percentage of the Elderly Tax and Social Security Burden as % of National Income(1991) Country Expenditure as % of (65 and above) National Income Social Security 1991 1991 Tax Burden Burden Total

Japan 13.8% 12.6% 27.1% 11.6% 38.7%

1993 15.2 13.5 24.3 12.1 36.5

USA 18.0 12.6 25.6 10.6 36.2

UK 24.5 15.7 40.0 10.7 50.7

Germany 29.7 15.0 29.1* 21.7* 50.8*

France 34.9 14.2 34.2* 28.4* 62.6*

Sweden 49.0 18.2 52.8 21.7 74.5

Note 1: The percentages of tax and social security burden to national income for France and Germany (*) are from the year 1990. Note 2: For Germany, the figures for 1990 are for the former West Germany, those for 1991 are for all of Germany (including the former East Germany). Note 3: The percentages of tax and social security burden are according to the data of the Japanese Ministry of Health and Welfare. Reference: Social Security Research Institute, Social Security Benefits (Tokyo). Source: Ministry of Health and Welfare, “Kose hakusyo (White paper on health and welfare),” Gyosei (Tokyo:1996), p. 104.

No opinion Not low Low

1950 25.6 7.2 67.2

No opinion Become equal Undecided Not become equal

1975 35.1 16.0 4.7 44.1

1990 41.5 18.0 38.8

1.6

0 20 40 60 80 100 (100) Figure 3 Women’s Status in the Household Note:The survey in 1950 was conducted on the status of women in the household. The other two were conducted on the status of men and women in the household. Reference: Prime Minister’s Office, Fujin no Chii nikansuru Seron Chosa (Public Opinion Survey on Women’s Status) (Tokyo:1950); Danjo Byodo nikansuru Seron Chosa (Public Opinion Survey on Gender Equality) (Tokyo:1975); and Josei nikannsuru Seron Chosa (Public Opinion Survey on Women) (Tokyo:1990). Source: Prime Minister’s Office, Josei no Genjo to Sesaku (Current Situation of Women and Policies) (Tokyo:1996) p4.

the Prime Minister’s Office in 1996, there was a IV Changes of Gender Relations change in the recognition of women’s status. In a poll in Post-War Japan conducted in 1950, 67.2% answered that women’s status in the household was low, while 25.6% answered it After the end of the Second World War, how has was not low. In a similar survey in 1990, 41.5% the social relationship between men and women (gen- thought it had become equal to men’s, which slightly der) changed? According to the report published by surpassed the 38.8% who thought otherwise. (Figure-

ixyXgh

s S T

A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID

(% point) 20 Household 10 Workplace 2.7 Become equal 0 Socially accepted idea

-10 -9.0 -9.1

-20

-30 Not become equal -33.5 -33.5 -40 -41.9 -45.8 -50 -51.3 -55.0 1975 1987 1990 Figure 4 Gender Status in the Household, Workplace and Socially Accepted Idia (Equal - Not equal) Reference: Prime Minister’s Office, Danjo Byodo nikansuru Seron Chosa (Public Opinion Survey on Gender Equality) (Tokyo:1975) and Josei nikannsuru Seron Chosa (Public Opinion Survey on Women) (Tokyo:1987 and 1990) Source: Prime Minister’s Office, Josei no Genjo to Sesaku (Current Situation of Women and Policies) (Tokyo:1996), p.5.

3).40 1995. If coupled with the 24.6% of female students However, as for women’s status in the workplace who continue their education at junior colleges, more and in the socially accepted idea, different results are females go on to higher education than male students reported in the polls conducted in 1975, 1987, and after finishing high school. Although fewer female 1990: those who answered that women’s status in the students go on to graduate schools than male students workplace and in the socially accepted idea had not (5.1% for female students and 10.9% for male stu- become equal to that of men exceeded those who dents in 1994), it can be said that the gender gap in answered that it had by 33.5 points respectively, even education through primary school to university has in the 1990 poll (Figure-4).41 This shows that people almost been redressed (Figure-5)42. think that women’s status in the household has been Gender gap in health has been overcome as well: improving but that in the workplace or in its socially the average life expectancy at birth which was 53.96 accepted idea it has not yet become equal. years for women and 50.06 years for men in 1947 has As for the gender situation in education, the school extended to 82.98 years for women and 76.57 years enrollment rate for compulsory education had already for men in 1994, making Japan the country with the reached almost 100% for girls as well as boys in the greatest longevity in the world43 (The longer life late 1940s. The ratio of students who go on to high expectancy for women is a result of biological differ- school after completing compulsory education was ences). As to the reproductivebrsST health ofabrsST women, peri- rsST 36.7% for female students and 48% for male students natal mortality declined from 46.6 in 1950 to 5.0 in in 1950. In 1995, it reached 97% for females and 1994 (per 1,000 deliveries). The total fertility rate 94.7% for males, showing females surpassing males. also drastically fell from 4.54 in 1950 to 1.50 in The percentage of students who go to university 1994.44 This drastic change is thought to have been increased from 2.4% for females and 13.1% for males achieved due to the general improvement in reproduc- in 1955 to 22.9% for females and 40.7% for males in tive health, including the prevalence of perinatal

40. Prime Minister’s Office, Josei no Genjo to Sesaku (Current Situation of Women and Policies) (1996), p. 4. 41. ibid., p. 5. 42. ibid., p. 50. 43. Ministry of Health and Welfare, op. cit., p. 326. 44. ibid., p. 225.

27 Technology and Development, No.12, 1999

96.8 97.0 95.4 94.9 95.6 Senior High School (%) 93.0 94.6 94.7 90 93.1 92.8 93.2 91.0 82.7 80 81.6 71.7 Female 70 Male 69.6

60 59.6 55.5 55.9 50 48.0 47.4

40.4 40.7 40 36.7 Senior High School 39.3 38.6 38.9 33.4

University (undergraduate) 30 27.3 24.9 Junior College (female only) 24.6 22.2 20.7 19.9 21.0 20.8 22.9 20 21.0 15.2 13.7 13.7 13.1 12.5 12.3 11.2 10.9 10 7.7 University (undergraduate) 6.7 6.5 6.5 Graduate School 5.1 5.1 4.7 3.0 4.7 3.1 2.6 4.6 1.5 1.7 1.6 2.5 5.1 2.4 2.5 1.9 0 1950 55 60 65 70 75 80 85 90 94 95 (as of May 1) Figure 5 Changes in Percentage of Student Enrollment by Type of School Note 1: Percentage of students enrolled in senior high school refers to graduates of junior high schools who enrolled in senior high schools and technical colleges (including those who have jobs, excluding those who failed entrance exams and those enrolled in correspondence courses). Note 2: Percentage of students enrolled in university (undergraduate) and junior colleges includes those who failed entrance exams and is waiting for another chance. The percentage was calculated by dividing the number of students who entered universities and junior colleges that year (including those who failed entrance exams) by the number of junior high school graduates who graduated 3 years previous. Note 3: Percentage of students enrolled in graduate school refers to students who enrolled in graduate school immediately after graduating from university (For schools of medicine and dentistry, only doctoral degree students are included). Reference: Ministry of Education, Gakko Kihon Chosa (Basic Research on Schools)(Tokyo). However, figures for 1995 are based on the interim report. Source: Prime Minister’s Office, Josei no Genjo to Shisaku (Current Situation of Women and Policies) (Tokyo:1996), p.50.

health care, and the right of women to choose preg- age of female employees of all paid employees nancy and childbirth, although there still exist strict increased from 25.8% in 1950 to 39.1% in 1990, the restrictions on the use of oral contraceptives (pills). picture is not yet rosy. As of 1994, 32.5% of female The situation is different in the area of employ- employees were engaged in part-time jobs, and the ment. Women’s labor force rate (the percentage of the gap in fixed salaries between men and women has working women population in the total women’s pop- remained huge: the ratio was 100 to 55.4 in 1965, and ulation above the age 15) was 38.6% in 1950 (83.4% 100 to 62.0 in 1994.45 The factors causing the wage for men), which increased only slightly to 39.4% in disparity include ongoing discrimination against 1990 (78.7% for men). The gender gap has not shrunk women in terms of opportunities for employment and much over the period of time. Although the percent- promotion, and the average length of service for

45. Prime Minister’s Office, op. cit., Note 40, pp. 70-83.

28 A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID

(%) 100

Denmark France 80 USA

Germany Japan 60

South Korea 40

0 15-1920-24 25-29 30-34 35-39 40-44 45-49 50-54 55-59 60-64 65 and above

Figure 6 Women’s Labour Force Ratio in Major Countries Reference: Based on ILO, Year Book of Labour Statistics (1993). Women in the workforce as % of the total population by the age group. However, data for Japan is based on the National Census of 1990. Source: Ministry of Health and Welfare, “Kose hakusyo (White paper on health and welfare),” Gyosei (Tokyo:1996), p. 18. women which is relatively short compared to that of to other advanced countries. For example, only 7 % men (7.6 years for women in 1994 as opposed to 12.8 of Diet members are female (the average for high years for men).46 The main reason for women’s short human development countries was 11% as of June length of service is the existence of the so called M- 1994), 3% for local levels, and 0% for heads of curve, which shows the drop of women’s labor force municipalities (the average for high human develop- rate during childbearing and rearing years (Figure-6).47 ment countries was 15% and 6% respectively between In 1986, the Equal Employment Opportunity Law 1990 and 1994).50 (Law concerning the Promotion of Equal Opportunity and Accordingly, the gender situation in Japan can be Treatment between Men and Women in Employment summarized as follows: 1) Gender disparities in the and Other Welfare Measures for Women Workers, areas of education and health have almost been over- Amendment of Labor Standards Law), and in 1991, the come; 2) Disparities still exist in the areas of employ- Child Care Leave Law (Law concerning the Welfare ment with regards to opportunities and wages. In of Workers Who Take Care of Children or Other order to ease the situation, various measures are cur- Family Members Including Child Care and Family rently being undertaken including the enforcement of Care and Family Care Leave) were promulgated. In Equal Employment Opportunity Law and Child Care spite of these laws, the percentage of women holding and Family Care Law; and 3) The suffrage of women managerial positions is still low: 6.4% for subsection is secured and the voting rate of women is higher than chiefs, 2.6% for section chiefs, and 1.4% for depart- that of men. However there is a huge gap between mental chiefs.48 women and men in terms of numbers of women hold- As to the political participation of women, equal ing positions as lawmakers and heads of local govern- suffrage between genders was realized in 1945 under ment. Enough measures have not been yet taken to the new constitution, and since 1969, the voting rate of correct these disparities. women has always been higher than that of men.49 However, participation of women in politics in terms of the number of female lawmakers is low compared

46. ibid., p. 80. 47. Ministry of Health and Welfare, op. cit., p. 18. 48. Prime Minister’s Office, op. cit., Note 40, p. 82. 49. ibid., p. 82. 50. UNDP, Ningen Kaihatsu Hokokusyo: Jenda to Ningenkaihatsu [Human Development Report: Gender and Human Development (Japanese version of HDR 1995.)] (Tokyo: Kokusai Kyoryoku Syuppankai, 1995), p. 70.

29 Technology and Development, No.12, 1999

been already regarded as vital as can be seen in the V Conclusion expression of “developing human resources and meeting the BHN”. However, the New Development There are several interesting similarities between Strategy by DAC is significant in the sense that it set Japan’s experience in overcoming poverty and specific goals and reconfirmed the need for the expan- improving women’s status (chapter III and IV), and sion of these assistance as well as ownership efforts on the characteristics of Japan’s ODA for poverty allevia- the side of developing countries. tion and WID (chapter II): 1) Both in domestic admin- As far as Japan’s own experience is concerned, istration and overseas assistance, the government of achievements in education and health were made vir- Japan respects ‘self-help efforts’. Instead of directly tually on their own. Therefore, when Japan expands supporting the poor and the socially vulnerable, it its assistance in these areas in the future, it is neces- takes an indirect approach of “ensuring the efficient sary to verify whether the recipient countries, espe- and fair distribution of resources through developing cially the LLDCs, have the “social preparedness”53 to human resources and socioeconomic infrastructure, absorb and utilize the assistance effectively. and through meeting the Basic Human Needs (BHN). By “social preparedness” the author means the 2) After the Second World War, the Japanese govern- enthusiasm on the part of the recepient government ment undertook the fulfillment of its economic infras- and the people to improve their own education and tructure, especially in the field of transportation and health, and the situation of the related institution and energy, with loans from the World Bank and other capacity building. If “social preparedness” is insuffi- sources to restore its economy. Similarly, one of the cient, assistance for facilities and equipment such as characteristics of Japan’s ODA is the high percentage school buildings and hospital equipment might not be of bilateral loans, of which the largest portion goes to utilized to its full extent or might be wasted. In this the economic infrastructure sector such as transporta- regard, it is essential to confirm the “social prepared- tion and energy. 3) As for the WID assistance, the ness” of recipient countries prior to giving assistance. Japanese government is earnest in providing assis- If it proves to be insufficient, additional parallel sup- tance in areas where it has succeeded domestically, port for the development of related human resources namely, in the area of practical needs (education, and social institutions should be undertaken. health, etc.). However, the government has shown A second point is also related to “social prepared- less interest in the area of strategic needs, which ness”: the administrative accountability of developing includes the further participation of women in the countries. In the case of East Asia including Japan, decision-making process and politics. the governments had excellent bureaucracies (admin- On the basis of Japan’s past experience and the istration) by which effective policies were planned and characteristics of its assistance, what points should be implemented. Although the vitality of the private sec- taken into consideration when Japan extends its ODA tor was also utilized, most economic growth and social in the future? development in the region was government-driven and First, the government of Japan should strengthen achieved through top-down methods. However, many its assistance in the area of human capital develop- developing countries, especially the LLDCs, have ment”, which is thought to be one of the main factors weak and inefficient administrative system, which in that made rapid economic growth and fair distribution many cases lead to ineffective use of assistance. In of wealth possible in East Asia including Japan. these cases, additional assistance to enhance the Theodore Schultz was one of the first people to recog- administrative capabilities of governments prior to nize the importance of “human capital development”. actual assistance is indispensable. If a long time is He claimed that the mainstay of human capital invest- required to do so, it will be necessary to undertake ment is health and education (school education as well bottom-up type development with the participation of as technical education).51 In the “World Development community residents and to establish necessary grass- Report” published in 1990, the World Bank also roots institutions with the collaboration of NGOs in acknowledged that improving education, health and order to meet urgent people’s needs (for instance, nutrition is equivalent to directly coping with the most community-participatory management system of negative influences of poverty, and that, in particular, schools and water supply facilities). investing in primary and secondary education would A third point is concerned with the introduction of contribute to the growth of real GDP.52 a system which promotes fair distribution. Economic In the Japanese ODA, education and health have growth is not enough to alleviate poverty. The intro-

51. T. W. Schultz, Hinkon no Keizaigaku (Economics of Poverty) (Tokyo: Toyo Keizai Shinposya, 1981), pp. 11-28. 52. World Bank, Sekai Kaihatsu Hokoku (World Development Report) (Tokyo: Eastern Book Service, 1990), pp. 72-79. 53. Esyo compares the irrigation projects in Thailand and Bangladesh which were assisted by Japan, and points out the differences in their outcome deriving from the differences in “social receptivity”, the main cause of which include: 1) difference in the macro environment; 2) difference in forms of its assistance; 3) difference in project scale; 4) difference in degree of local peoples’ participation [Hideki Esyo, Kaihatsu to Enjo: Minami Asia, Kozo Chosei, Hinkon (Development and Assistance: South Asia, Structural Adjustment and Poverty) (Tokyo: Dobunkan Syuppan, 1990), pp. 238-240]. The term “social preparedness” which the author uses here has a similar nuance to this “social receptivity” of assistance which mainly derives from the macro economic environment.

30 A Reflection of Japan’s Experience on its ODA for Poverty Alleviation and WID duction of social systems which lead to the fair distri- The efforts to take up such an approach are expected bution of wealth are vital. In the case of Japan, a to run in parallel: Japanese society will seek measures series of egalitarian reforms were conducted semi- to realize an equal and fair society at home through forcibly by the occupation army, including the land the revitalized civil movements led by NGOs, and at reform, the dissolution of the “zaibatsu” (financial the same time, it will incorporate these factors in its combines), and equal rights for men and women. assistance to developing countries. Introduction of social institutions for the purpose of the fairer distribution of wealth generally faces strong Bibliography opposition from existing powers in developing coun- Esyo, Hideki, “Kaihatsu no Seiji Keizaigaku: Josetsu tries. So, it is essential to examine the feasibility of (Political Economics of Development: such reforms. Introduction”, Keizai Seminar 4 Gatsugo (Tokyo: The last point is in relation to WID assistance. Nihon Hyoronsya, 1997). Considering the huge gender gap in developing coun- Ishikawa, Tsuneo (ed.), Nihon no Syotoku to Tomi no tries, especially in the LLDCs54, there is a large possi- Bunpai (Income and Distribution of Wealth in bility that Japan’s ODA can contribute much to fulfill Japan) (Tokyo: Tokyo Daigaku Syuppankai, the practical needs such as education and health in 1994). developing countries as stated in Japan’s Initiative on Nishikawa, Jun, “Syakai Kaihatsu: Riron to Seisaku WID. (Social Development: its Theories and Policies)”, But in order to realize an equal and equitable soci- Waseda Seiji Keizaigaku Zasshi No. 322 (Tokyo: ety in Japan as well as in developing countries, not 1995). only for women but also for the socially vulnerable, Nishikawa, Jun, “Sekai no Hinkon: Kokuren Hinkon the fulfillment of practical needs is a necessity, but not Kaisyo 10 Nen no Kadai (Poverty in the World: a sufficient condition: more affirmative approache Challenges in the United Nations’ Decade of become necessary such as to improve the social insti- Poverty Eradication)”, Waseda Seiji Keizaigaku tutional setups to correct disparities and to expand Zasshi No. 325 (Tokyo: 001996). opportunities for social and political participation.

54. The average literacy rate for low human development countries is 36.1% for women, and 61.5% for men. The same average for school enrollment of all levels is 39.0% for women and 53.7% for men. The average life expectancy is 56.9 years for women and 55.5 years for men. Women have a longer life expectancy than men by 1.4 years. However, considering the biological fact that women live longer than men, and that the gender difference in life expectancy for high human development countries was 6.8 years, this 1.4 year difference is relatively small (UNDP, HDR 1996, pp. 166-168).

31 Basic Education in Sub-Saharan Africa and the Possibilities for Japanese Assistance － Based on Social Changes in the 1990s －

ARTICLE

Basic Education in Sub-Saharan Africa and the Possibilities for Japanese Assistance － Based on Social Changes in the 1990s －

Yusuke NAKAMURA Associate Professor, the University of Tokyo Takashi HAMANO Assistant Professor, Musashino Women’s College Yoshiyuki NAGATA Researcher, National Institute for Educational Research (NIER) of Japan Yumiko YOKOZEKI Development Specialist, Japan International Cooperation Agency Junko KURASHIMO Associate Specialist, Japan International Cooperation Agency

Among various fields in development assistance, basic education in Sub-Saharan Africa is one of the areas currently attracting the most attention. The problem facing basic education in the region is the stagnation in quantitative expansion and poor quality of education. Issues that form the background of this problem include: tight education finances and a shortage of education infrastructure; low wages for teachers and lack of appeal of the occupation; lack of relevance in the content of education; language diversity and the issue of the medium of instruction; poor education and school administration; and education disparities between various social groups. In considering assistance in basic education, it is necessary to understand the socioeconomic changes that are peculiar to the region. At present, the region is undergoing the greatest political and economic change since its independence in the 1950s and in the in the 1960s (democratization of the political systems, decentralization of administrative systems, liberalization of the economy). Amid these changes, a new trend, “community participation”, started taking place in basic education as well. Development agencies also began to take a new approach with concepts such as ‘ownership’ and ‘partnership’ in the 1990s, reflecting lessons learned from structural adjustments implemented in the preceding decade. Considering these “large-scale changes in Sub-Saharan Africa” and “a new approach taken by development agencies”, it is necessary for Japan to develop new approaches to extending assistance to basic education in Sub-Saharan Africa which are not confined to the conventional frameworks of assistance. “Society on Development Assistance for Education and Development” according to Area (Development and Education) of the Japan International Cooperation Agency (JICA) also stresses the importance of developing new approaches. Under the concept of “community participation”, this article proposes “conducting a fact-finding survey for the purpose of establishing a community participation at schools” as a short-term objective, “strengthening the administrative and research capabilities of organizations taking part in basic education” and “coordinating relationships among diverse organizations and institutions”.

lighted. In 1996, the Development Assistance I Introduction Committee (DAC) issued a document “Shaping the 21st Century: the Contribution of Development Among the various fields in development assis- Cooperation” - the new development strategy - in tance, basic education in Sub-Saharan Africa (referred which the committee stressed the indispensability of as Africa throughout the article) is one of the areas education development. Moreover, during the general that currently attracts the most attention. During the assembly of the United Nations Conference on Trade World Conference on Education for All (WCEFA) in and Development (UNCTAD) in 1996, the then 1990, the importance of basic education was high- Japanese Foreign Minister Ikeda assured the active

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 14, No. 1(April 1998)

33 Technology and Development, No.12, 1999 role of Japan in African nations and its assistance to in both quantity and quality, there are several prob- education. lems that are commonly faced by African countries. Understanding and analyzing the current condition The common problems in Africa are briefly outlined. of education in Africa is essential for improving the effectiveness of Japanese educational cooperation to 2-1 Tight education finances and a shortage of educa- the region in the future. However, few studies have tional infrastructure caused by population been conducted in Japan regarding basic education in increase. Africa and international cooperation in the area of The number of school-aged children in Africa assistance for basic education. This article is aimed at keeps increasing year after year, and the percentage of identifying the current conditions and problems of those children against the entire population shows no basic education in the region, and looks into possibili- sign of decreasing. According to the World Bank, the ties for Japanese assistance in the field.1 annual growth rate of the population between the ages In general, the term “basic education” refers to ele- of 6 and 11 is expected to be more than 2.5%, the mentary education and literacy education for adults. highest in the world, during both the decades of 1991 However, in some countries, it also includes pre- to 2000 and 2001 to 2010.3 school education and some secondary education. This In addition to the increases in the school-aged pop- article primarily deals with primary education because ulation, the domestic allocation of education budgets that was the focus of the declaration issued at the gen- is also problematic. First, expenditure on higher edu- eral assembly of UNCTAD. cation is too large considering the number of students, which indirectly serves as a factor preventing the growth of basic education. Second, current expendi- II Common Problems Facing Basic Education ture accounts for a large percentage of the educational in Sub-Saharan Africa budget. In African countries, the vast majority of education budgets is allocated to current expenditure such First, we would like to outline the characteristics as teachers’ salaries, whereas very little amount of of basic education in Sub-Saharan Africa as compared money is spent on improving textbooks, teaching to other parts of the world. materials, and educational facilities, or re-training teachers. 1. Stagnation in Quantitative Expansion and Small expenditure on basic education leads to a Reduction in the Quality of Education shortage of educational facilities and equipment. Africa has the lowest enrollment ratio in primary Primary schools have to operate in shifts (two and education in the world. As of 1980, it was at about the three sessions a day), which is a factor in reducing the same level as South Asia. Looking at the trend of pri- number of hours each child is in school. Thus, the mary education enrollment ratios in African countries quality of education declines. Textbooks and teaching during the 1980s, often described as “the Lost materials are also lacking. Some countries have intro- Decade”, it decreased in many countries. Moreover, duced a loan system and have been reusing the same Africa was the only region where the enrollment ratios textbooks for a number of years in order to reduce the went down during this period. Their growth in the financial burden on pupils. However, in many cases, 1990s has not been very favorable either. It is said that the system does not function effectively due to diffi- it will be impossible for most African countries to culty in management achieve “Education for All” by the year 2000.2 In addition to these quantitative problems, basic 2-2 Various problems surrounding teachers education in Africa also faces many problems in terms Despite the major amount of the education budget of its quality. High rates of repeaters and dropouts are being spent on recurrent expenditure such as teachers’ good examples of the ineffectiveness of the education. salaries, teachers’ salaries are relatively lower than For instance, in Zimbabwe, where the enrollment ratio any other occupation at all. At the same time, in is relatively high, only 40% of all children of school Africa, the social status of teachers is generally low age start elementary education at the age of six. and in most cases, it is not a well-respected occupation Ineffectiveness, coupled with the low enrollment in the society. The low socioeconomic status of teach- ratios, leads to an increasingly illiterate population. ers creates a low morale among teachers and its unpopularity as an occupation, which leads ultimately 2. Background to the Stagnation in Educational to poor quality and a shortage of teachers. Development Behind the stagnation in educational development

1. Since specific cases can not be thoroughly presented in this article, please refer to a basic study report compiled by the Research and Development Division of IFIC, JICA, Sub Sahara Africa Shokoku ni Okeru Kisokyoiku no Genjo to Nihon no Kyoryoku no Kanosei (The State of Basic Education in Sub-Saharan Africa and Possibilities for Japan’s Education Assistance) (1998) for more detailed examples. 2. ADEA, “Towards education for all: the situation in ten countries of Sub-Saharan Africa,” ADEA Newsletter, April-June (1997). 3. World Bank, “Priorities and strategies for education,” A World Bank Review (Washington D. C.: 1995).

34 Basic Education in Sub-Saharan Africa and the Possibilities for Japanese Assistance － Based on Social Changes in the 1990s －

2-3 Lack of relevance in the content of education which has a lot of problems that need to be solved. At Many African countries have been revising their present, African nations are undergoing the biggest curricula and improving the content of education. political and economic changes since gaining their However, such attempts do not match with the social independence in the 1950s and 1960s. Briefly speak- and cultural environment of the country or region and ing, it is a compound change from extremely central- often fail to satisfy the needs of the target pupils. If the ized political and economic systems to “democratiza- content of education provided at schools bears no relation of the political system”, “decentralization of tionship to their own lives or is far from their needs, administrative systems”, and “liberalization of the they often do not find merit in going to school. economy”. Therefore, lack of relevance in the content of educa- Major changes have happened within basic education is a factor that decreases the quality of education tion as well since the beginning of 1990s. The key and prevents enrollment ratios from improving. concept of this change is “community participation”. The importance of the community participation in eco- 2-4 Language diversity and gaps in the medium of nomic and social development is widely recognized instruction not only in the context of Africa, but throughout the In basic education in Africa, the medium of world. The area of education is no exception. In par- instruction is a key issue. Many African countries are ticular, the community participation is hoped for since multilingual nations. In many cases, these countries centralized political systems have proved ineffective. use a western European language, a language of their In this section, we would like to lay out the possibili- former colonial rule, as the official language. Attempts ties that the community participation has for school to create writing systems for the African languages, education in Africa as well as analyze the problems which are the first languages of local people, lag about. behind. Language diversity coupled with a gap in the medium of instruction hinders pupils in learning and is 1. Liberalization of the Economy, Democratization, a major factor in causing dropouts and the low literacy Decentralization, and Reform of Education rate. Systems Let’s take the example of the Republic of Mali, 2-5 Poor education and school administration which, in recent years, has been conducting a large- In rural areas, educational policies that the central scale education reform. Up until the 1980s, the educa- government draws up often do not proceed as planned tion system in the country showed a strong tendency due to shortages in human resources or budgets. This toward centralization, which had begun during the leads to disparities among regions in education. At French colonial period. Autonomous management by present, an increasing number of countries, like local people was rare. However, through the liberal- Ghana, have adopted policies that attach importance to ization of the economy, facilitated by the structural the development of education in rural areas as decen- adjustments of the 1980s and the democratization that tralization proceeds. However, there are still some took place after the military coup in 1991, the country problems in the capacity of local education adminis- is currently undergoing various institutional reforms. trations. In addition, there are problems at the school Educational reform is one of the main pillars of level which include the management of school facili- these reforms. In 1994, the “New Law regarding ties and equipment. For instance, in Zambia and other Private School Education” (Law No. 94-032) was pro- countries, theft of school property and equipment mulgated, which renounced the basic principle held occur so frequently that the education infrastructure since independence that “it is the nation that provides has become inadequate. people with education.” In short, the new law made Major problems of basic education commonly the establishment and operation of a more flexible and faced by African countries have been outlined above. diverse school education possible. (that had been pri- Although these problems appear in different forms in marily controlled by the central government and had different countries, it is important to remember that suffered substantially from serious malfunction.) the situation could vary even within the same country In particular, what is attracting attention as a depending on factors such as region (urban and rural), promising alternative to primary education are “com- social class, ethnicity, and gender disparities within a munity schools” run by a rural/urban community or country are also a serious problem facing basic educa- association on a non-profit basis. There are basic con- tion in Africa. ditions which must be met by community schools such as there has to be an educational program, a certain number of pupils (more than 20 pupils), and certain II Social Changes in the 1990s Concerning Basic facilities. However, each school or school manage- Education in Sub-Saharan Africa ment committee is vested with a great deal of discre- tionary power to decide the medium of instruction, the It is extremely important to understand the social method of paying teachers and other things. For exam- and economic changes particular to a certain region in ple, as to the education program, community schools extending assistance to basic education in a region can teach their own program within limits approved

35 Technology and Development, No.12, 1999 by the Ministry of Basic Education, although in princi- economy is proceeding along with democratization ple the schools are supposed to follow the national and decentralization, there is the undeniable danger program. In addition, if qualified teachers are not that the “community participation” could lead to available, members of the community or association enlarging the gaps of the living standards among the may serve as substitute teachers. population. “School administration by the local com- A series of educational reforms in Mali, in particu- munity” is not easy by any means, particularly for the lar the community school system, are said to be some poor, even if support is available. On the other hand, of the boldest attempts in the trend toward the democ- some “private schools”, in particular those for well-off ratization and decentralization of basic education people, might be able to improve the quality of their which are taking place throughout Africa (Similar educational services by deregulating state control over changes have been observed in Senegal). primary education. Thus we have to continue monitoring the consequences of decentralization of primary 2. Democratization, Decentralization, and NGO education systems Activities The privatization of primary education necessarily The community school system in Mali has already increases the degree of involvement of local commu- started producing satisfactory results in school enroll- nities in the establishment and administration of ment and retention rates in both rural and urban disad- schools in the choice of the medium of instruction and vantaged areas.4 One of the reasons is the activities the contents of education. This not only means that carried out by local NGOs, the number of which has they become less dependent of the state financially, rapidly grown since the democratization in 1991. but also that there are social and cultural overtones, According to a recent report, the number of local resulting in various interests emerging. In short, the NGOs surged from some 50 in 1990, before democra- liberalization of the economy and the democratization tization, to the present 650. These NGOs are playing make the presence of diverse stakeholders, who were an active part in various regions in the country.5 not visible under the centralized regime, apparent. Considering the ongoing democratization and decentralization, the empowerment of NGOs seems to 4. Necessity of Coordinating Diverse Values and be the natural consequence of the active community Interests participation. However, administrative and electoral Considering the lack of capacity on the part of the reforms inevitably impose various influences on central government, the transformation of the educa- NGOs, who originally undertook their activities as tion system from state monopoly to community partic- non-governmental agencies. For instance, in the ipation seems to be an inevitable consequence. Republic of South Africa, the NGOs that were once However, the transformation created new issues (or active under the apartheid regime have faced difficul- rather brought them to the surface). One common ties since the formation of the Government of National issue that is coming to the fore is the coordination Unity in 1994 because of the changes in the financial among the diverse values and interests, which are a flow mechanisms from overseas and the outflow of natural consequence of introducing the participation of human resources to the new government. The total residents, and the importance of coordinating them. number of local NGOs in the country plunged from The problem is, in a sense, it is a price that local peo- 54,000 in 1991 to somewhere between 15,000 and ple have to pay in exchange for gaining democratiza- 25,000 in 1996.6 It will take us more time to evaluate tion and decentralization. Coordination among the the actual capacity of the local NGOs in terms of their diverse stakeholders is one of the central challenges public service in these countries which are in the midst the African countries face after having overcome the of fundamental transformation. However, it is certain radical social transformations in the 1990s. that the central governments will still play an important part even in the decentralized public service systems, given the fact that any single institution can not IV Challenges Facing Japan’s Assistance afford to deal with the complex task of public service. As a basis for analyzing Japan’s assistance in the 3. Public System and Diverse Values area of education, a report by the Study on As inferred from the previous two examples Development Assistance for Education and regarding local NGOs, the consequences of democrati- Development was compiled in 1994.7 With regard to zation and decentralization are far from simple. how to implement education assistance, the report Moreover, considering that the liberalization of the attached importance to the following 5 points:

4. A. Antonioli, “Le droit d’ apprendre,” Une e«cole pour tous en Afrique (Paris: 1993). 5. Le Monde Diplomatique (mai, 1997). 6. Hirohisa Kitagawa, “Shiren o mukaeta nan-a no NGO (NGOs in South Africa face hardships),” Gekkan Africa, 36 (12) (1996), 32-37. 7. JICA, Bunyabetsu Enjo Kenkyukai Hokokusyo (Kaihatsu to Kyoiku) [A Report by the Issue-wise Study Committee for Development Assistance (Development and Education)] (1994).

36 Basic Education in Sub-Saharan Africa and the Possibilities for Japanese Assistance － Based on Social Changes in the 1990s －

1) Introduce multiple approaches “ownership” and “partnership”. The concept of “own- 2) Collaborate with recipient countries in planning ership” refers to the “awareness of being involved” on 3) Participate actively in international education aid the part of the beneficiaries which means “develop- networks ment is ours, and we are the main actors in develop- 4) Establish communications with developing coun- ment”, whereas the concept of “partnership” refers to tries attempts by the development agencies to regard 5) Develop new aid approaches African nations not as “recipient countries” but as The last point, “developing a new assistance “partner countries” that act on their own initiative in approach”, is particularly important for the assistance educational development. Thus it has observed that to basic education in Africa amid large-scale social the environmental surrounding educational develop- changes. This section aims at examining new ment in African countries has transformed significant- approaches for assisting basic education in Africa. ly during the last ten years.

1. Short-Term Challenges 1-2 Toward the “community participatory schools Short-term challenges for Japan’s assistance in the construction” area of basic education in Africa include assessing We are now in a position to examine how the com- previous fields of cooperation, identifying factors munity participatory approaches can be incorporated which manifest and hamper results, and determining in basic education in Africa. Conforming to the local the future direction of assistance. Considering the needs and conditions has certainly been considered social changes discussed in the preceding, it is also vital in past school construction projects. Now that necessary to develop a new approach not bound by ownership and partnership on the part of the African conventional frameworks. people are playing a more positive role in education development, school construction has begun to be 1-1 “Community participation” and “ownership considered as having a broader social significance (awareness of being involved)” than a simple provision of infrastructure. In fact, in In the 1980s, the structural adjustment approaches addition to being a place for the education of children, initiated by the World Bank have been influential in a school can also function as a community center for the area of educational development in African coun- the local population. tries. However, its effects on educational development If community participatory approaches are applied in Africa seem to have been rather negative.8 First, the in the formulation and implementation phases of cutbacks of educational budgets prescribed by the school construction projects, these approaches will structural adjustment tended to decrease the number of give an invaluable contribution toward the enhance- teachers as well as the number of schools constructed. ment of participatory educational development at the The burden has been passed onto the beneficiaries, the local level. However, for the successful application of majority of which cannot afford it. The whole process community participation to school construction pro- has lead to a decline in educational quality at the jects, the following points should be checked: school level. Secondly, the structural adjustment pro- 1) results of previous school facility surveys (ex. reli- grams have been implemented in African countries able school mapping); without improving the capacities of the Ministries of 2) awareness of the importance of education among Education to formulate and implement the policies. the local people, in particular the degree of partici- Consequently African countries still remain dependent pation in school management; on foreign assistance not only financially but also at 3) frequencies and patterns of migration of the local the technical level in policy formulation and imple- people (ex. In an area where local communities are menting capacities. The “poor participation of African unstable, it will not be easy to foster people’s com- governments to educational development” seems to be mitment to the educational development of the one of the most serious consequences of the structural area.); adjustment programs in Africa in the 1980s. 4) coordination with the other development agencies However, in the 1990s, there has been a significant involved in similar projects; shift in the approaches taken by the development 5) establishment of a monitoring system. agencies, in accordance with the surge in the number At the moment, it must be admitted that most local of local NGOs operating in developing countries, as communities satisfy only a few of these conditions. In described in section II. In particular, they have begun those cases, a preliminary survey of the local situation to lay stress on new concepts such as “ownership” and has to be carried out first to create favorable condi- “partnership” With this expansion, however, the drift tions for the implementation of participatory projects. of assistance organizations also began to manifest For these two purposes, the participatory development changes, namely, new approaches with concepts of research methods which have been rapidly developed

8. F. Reimers, “Education and structural adjustment in Latin America and Sub-Saharan Africa,” International Journal of Education Development, 14 (2) (1994), 119-129.

37 Technology and Development, No.12, 1999 in recent years seem to be effective because local peo- plans. ple can increase their awareness of the importance of education through active participation in the process 1-3 Activities of the Association for the Development of understanding the conditions surrounding basic of Education in Africa (ADEA): Establishing part- education. nership at the levels of governments and develop- A typical example of a participatory development ment agencies11 survey is the participatory rural appraisal (PRA) meth- So far, we have discussed the participation of local ods developed by Chambers and others. The methods people, that is, a partnership at the grassroots level. As were developed in the 1970s based on the rapid rural for recent attempts at establishing a partnership appraisal (PRA) method, which aimed to conduct sur- between development agencies and education dele- veys in a short period of time, reducing biases which gates of the African region, we would like to take the were found in conventional rural research such as 1) example of the ADEA which consists of development towards those living on the outskirts of cities or near agencies and representatives of the Ministries of paved roads ; 2) an over-emphasis on projects; 3) Education of African nations. The ADEA is operating towards favored parties such as the elite and males; 4) not as an “organization” for policy-making, but also as carrying out studies in the dry season; 5) communal a “network” for sharing awareness of issues. It attach- norms and people’s timidity; 6) researchers’ lack of es importance to being a place where African coun- specialty. During the course of seeking a more effec- tries and development agencies can discuss, on equal tive methods, the PRA methods expanded in the direc- terms, educational issues in Africa. In October 1997, tion of facilitating the active participation of residents the third biennial general assembly was held in Dakar, and developed into the PRA method.9 Senegal, the first time on the African continent. Prior The PRA method utilizes ingenious devices to to the assembly, various working group meetings were encourage active participation of many local people in held with regard to girls’ education, education sector research, particularly those who are non-literate, and analysis, and informal education. has already produced results in several places. For The ADEA is an important foundation for estab- example, drawing up a big map of the surrounding lishing partnership among governments and assistance area or a calendar in an open space in the village organizations in the area of education assistance in together with local residents in order to understand the African. Eighteen development agencies, including the ways in which local people use the environment and World Bank, have already joined the association. occupations of local people, or using stones, twigs and Although JICA presented a report regarding Japan’s other every-day tools as symbols to analyze priorities educational assistance in Africa at the ADEA steering and relationships among various issues. In Gambia, committee meeting in Dakar, Japan has not become a research was conducted using the PRA methods in regular member yet. Considering the new develop- order to identify obstructive factors against girls’ edu- ment strategy of DAC, it is hoped that Japan will soon cation. It was found that 1) school expenses reach join the association. their maximum right before the harvest season and the timing overlaps with a period when local people are 2. Long-term Challenges - Future Perspectives short of cash; 2) the period of schooling overlaps with In the previous section, proposals regarding the the time when girls’ farm work increases. Local peo- basic principles of basic education in Africa were ple also adopted the PRA method to elaborate mea- made based on Japan’s previous experiences of sures to resolve the situation.10 extending assistance. In this section, suggestions are At present, various participatory development put forward with respect to future assistance from a research is being implemented in many places of the long-term perspective. world. Related seminars are being held in Japan. One When Japan extends assistance in the future in the example of such a program is the Overseas Fieldwork increasingly diverse and complicated field of basic Program by the Foundation for Advanced Studies on education in Africa, the following two domains are the International Development (FASID). In order to expected to be vital in the long-term period: 1) integrate rapidly-growing participatory approaches strengthening the administrative and research capaci- into the field of basic education, these participatory ties of various institutions taking part in basic educa- appraisal methods need to be adopted in the process of tion; and 2) coordinating the relationships between formulating and implementing school construction diverse organizations and institutions. The following

9. Robert Chambers, Daisan Sekai no Noson Kaihatsu: Hinkon no Kaiketsu, Watashitachi ni Dekirukoto (Rural Development in the Third World: Resolving Poverty: What We Can Do?) (Tokyo: Akashi Syoten, 1995): See also R. Chambers, “Participatory Rural Appraisal (PRA): challenges, potentials and paradigm”, World Development, 22 (10) (1994). Nowadays the PRA method began to be applied to studying urban areas as well, and the name was altered to the Participatory Learning & Action (PLA) method. 10. Economic Development Institute, Groundwork: Participatory Approaches to Girls’ Education (Format PAL and NTSC: Video 30 minutes) (World Bank, 1994). 11. ADEA, “Preparing for the Dakar Meeting,” ADEA Newsletter, July-September (1997); and G. Ingemar, Opening Remarks, ADEA Biennial Meeting Panel (1997).

38 Basic Education in Sub-Saharan Africa and the Possibilities for Japanese Assistance － Based on Social Changes in the 1990s － are specific measures that Japan can take to contribute 3) Local communities in each of these domains. In countries where decentralization and democratization are being implemented, it is anticipated that 2-1 Strengthening the administrative and research local communities will also have to share a greater capacities of the various institutions taking part in burden in the improvement of basic education. To pre- basic education vent education disparities between urban and rural Due to ongoing decentralization, democratization, areas, and the rich and the poor from widening, the and liberalization of the economy, organizations capacity of local communities to administer schools involved in basic education in Africa are and continue and identify needs should be enhanced in addition to to diversify. However, neither central governments endeavors at the central level to coordinate such dis- whose size and authority are shrinking, nor local gov- parities. In doing so, NGOs that have been playing an ernments and communities, which are expected to active role in recent years will be extremely important. play an active role, have sufficient administrative capability to cope with the new situation. Moreover, 4) Higher education organizations and research insti- the decentralization of basic education requires tutions detailed research into the social conditions, languages, In order to turn complicated basic education sys- and cultures of the target area in order to reform cur- tems into fruitful systems in African nations where ricula and develop teaching materials utilizing African diverse cultures exist within each country, stronger languages among other things. At present, there are research capacities are more essential than ever. few higher education organizations and research insti- Particularly now that drastic changes are anticipated in tutions that have sufficient research capacity to meet education systems, the systematic collection of basic these demands. education data along with increased research activities In order to successfully reform the basic education are becoming more important to fairly assessing the system, strengthening the administrative and research situation from a long-term perspective. Therefore, capacities of diverse organizations and institutions is strengthening the capabilities of higher education essential. In this aspect, there are many issues to tackle organizations and research institutions to collect and for development agencies, including Japan. analyze basic education data is indispensable. It is hoped that development agencies will contribute to 1) Central governments this by preparing the information infrastructure and Although their size and authority are diminishing conducting training programs for experts. Moreover, because of institutional reforms, central governments rather than just providing equipment and facilities, it is must continue to play an important role in coordinat- also necessary to strengthen the field research capaci- ing the relationships between diverse organizations ties of higher education organizations and research and institutions, and maintain overall integration of institutions in order to understand the constantly the national system of basic education. The responsi- changing environment in education. bility of central governments is particularly vital, especially because there is the danger that regional 2-2 Coordinating relationships between diverse orga- disparities will be enlarged due to organizational nizations and institutions diversification. To this end, central governments need The coordination of the overall basic education to have more effective administrative capacities than system, which is becoming more complicated as a before. It is hoped that assistance will be given in the result of organizational diversification, is essential in areas of preparing nationwide information networks addition to strengthening the capabilities of the diver- and education statistics, and providing staff-training. sifying organizations to administer and do research. Most African countries have been independent for less 2) Local governments and regional education offices than half a century and are undergoing drastic changes In general, there are disparities between the central of decentralization, democratization, and liberalization and local governments of African countries in terms of of the economy even before national unity fully mani- financing and human resources. If left in their present fests itself. Basic education, in particular primary edu- state, it will be extremely difficult for local govern- cation, is an important domain for national unity and ments and communities to administer basic education coordination of relationships among diverse organiza- systems on their own. Therefore, preparation of infra- tions and institutions is the key to achieving the cur- structure and staff-training at the local level will rent objective of “realizing national unity while become increasingly important in the future. In partic- respecting diversity”. ular, the improvement and expansion of teacher training institutions is needed because recruitment of local 1) Central governments, local governments and com- teachers is vital for establishing a basic education sys- munities tem that corresponds to the diversified needs of the As mentioned in the previous section, coordination local community. In doing so, programs designed to of diversifying education administration is supposed raise the morale of teachers and training for female to be carried out by central governments. However, as teachers should be given priority. great difficulties are anticipated, support, such as hold-

39 Technology and Development, No.12, 1999 ing workshops, from assistance organizations is ed that regional collaboration beyond national bound- desired. Especially, if the diversification of curricula aries will become increasingly important. There is and medium of instruction are being implemented, expected to be increasing attempts toward creating a nationwide coordination including NGOs is indispens- regional basis by facilitating policy dialogs between able. governments and development agencies as well as between development agencies themselves, by 2) Formal and nonformal education strengthening the capacities of organizations and insti- In Africa, the effectiveness of formal education is tutions within the region, and by establishing an intra- generally low. Thus, nonformal education plays a vital regional information-exchange and cooperation net- role. Particularly now that needs for education are work. diversifying, nonformal education has the potential of playing a greater role than being “a safety net” for formal education”. This does not mean, though, that the V Conclusion importance of formal education will vanish. The co- existence of formal and nonformal education in basic In this article, the authors attempted to outline the education is expected to continue. Therefore, coordi- conditions of basic education in Africa during the nation, such as exchanging credits and creating com- 1990s, and analyze possibilities for Japan’s assistance. mon curriculum between formal and nonformal educa- Conditions surrounding basic education in Africa tion is necessary for preventing an already complicat- show a tendency toward stagnation both in qualitative ed basic education system from becoming even more and quantitative aspects. In addition, more turmoil is complicated and confusing. expected as a result of recent political and economic changes. Under the circumstances, it is a good sign 3) Research and administration that the active participation of residents, which is rep- As mentioned in the preceding section, basic edu- resented by the empowerment of NGOs, is taking cation research is indispensable for improving and place in many African countries. expanding the basic education system. In order to In response to these circumstances, Japan’s future effectively apply research findings, research institu- assistance to education in Africa should aim at includ- tions must cooperate with education administering ing the community participation. As for short-term organizations while maintaining neutrality in their challenges, it is necessary to transform conventional research. In this respect, active involvement by assis- assistance in terms of school facilities and equipment tance organizations through publishing reports and into more participatory assistance. In doing so, the holding workshops is effective. introduction of participatory appraisal methods such as the PRA would be effective. As for long-term chal- 4) African countries and development agencies lenges, the following support should be considered: 1) As mentioned in the section on short-term chal- to strengthen the administrative and research capaci- lenges, coordination among development agencies, ties of various institutions taking part in basic educa- including those involved in education, has begun at tion; and 2) to coordinate relationships between the national level. However, in the future, it is expect- diverse organizations and institutions.

40 Title

CASE STUDY

Factors to be Considered in Extending Grant Aid Cooperation - Based on Grant Aid Cooperation to a Hospital in Uganda -

Hidechika AKASHI Medical Officer, Expert Services Division, Bureau of International Cooperation, International Medical Center of Japan Yoichi HORIKOSHI Medical Officer, Expert Services Division, Bureau of International Cooperation, International Medical Center of Japan Etsuko KITA Chief, Division of Emergency and Humanitarian Action, World Health Organization

The criteria used for prioritizing the equipment provided in grant aid cooperation are not necessarily clear. Based on experience from participating in a study mission for grant aid cooperation to Uganda, the authors would like to candidly take up problems, and propose a model that can be used as criteria for selecting equipment. In order to prepare the criteria, the authors applied a method that classifies the factors considered in selecting equipment into three tiers: the proximal tier (factors that are the direct causes of a phenomenon or a problem); the intermediate tier (factors that are causes or the background of the proximal tier); and the ultimate tier (factors that are causes or the background of the intermediate tier).

So far, a large number of experts have taken part in I Introduction grant aid cooperation study missions. However, the fact is that “assistance has not always been extended The Japan International Cooperation Agency with sufficient preliminary surveys.”3 Priorities and (JICA) defines grant aid cooperation as “a form of criteria for selecting equipment are created based on financial assistance extended to socioeconomic devel- vague concepts such as needs, propriety, and sustain- opment projects in developing countries based on offi- ability. The authors were given an opportunity to par- cial requests of recipient countries without obligation ticipate in a study mission for grant aid cooperation to of repayment, and constituting a portion of Japan’s build an ICU and attached dialysis room for the Official Development Assistance (ODA) programs.”1 Mulago Hospital in Uganda. With respect to the vari- The Ministry of Foreign Affairs states that “the form ous factors that need to be considered in extending of grant aid cooperation is also found in the assistance grant aid cooperation, the authors would like to look at of other industrialized nations. Grant aid cooperation Uganda, one of the least among less developed coun- of major donor countries can be generally classified tries (LLDC) and take up problems facing grant aid into five categories: 1)general project assistance (con- cooperation candidly, clarify vague concepts, and lay struction of facilities and provision of equipment); 2) the foundation for future analysis. program assistance (provision of equipment); 3) non- project assistance (financial assistance, commodity assistance, sectorial assistance, and structural adjust- II Outline of Uganda ment support); 4) grant aid for disaster relief; 5) food aid.”2 This article mainly focuses on 1) general project Uganda, in eastern Africa, covers an area of assistance (construction of facilities and provision of 236,000 km2 and has a population of 17.5 million (as equipment) and 2) program assistance (provision of of 1992). The country is in-land and located near Lake equipment). Victoria. It enjoys so much abundant natural beauty

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 13, No. 2(October 1997) 1. JICA, Grant Aid and JICA (1996). 2. Economic Cooperation Bureau, Ministry of Foreign Affairs (ed.), Syuyo Senshinkoku no Enjo (Assistance of Major Industrialized Nations) (Tokyo: Kokusai Kaihatsu Journal Sya, 1989). 3. Takashi Shiina, et al., “Waga kuni no hoken iryo bunya niokeru ODA musyo shikin kyoryoku (Japan’s Grant Aid Cooperation in the area of public health),”Nettai, 28 (Tokyo:1995), pp. 298-301.

41 Technology and Development, No.12, 1999

Table 1 Cause of Death among In-patients 1989 1990 Name of disease Rank % Rank % Malaria 3 8.4 1 14.2 AIDS and HIV infection 2 8.9 2 9.3 Diarrhoeal disease 1 11.1 3 8.7 Acute respiratory infection (ARI) 4 7.7 4 7.9 Anemia 5 7.4 5 7.3 Non-meningococcal meningitis 7 5.2 6 5.6 Malnutrition 6 6.0 7 5.4 Tuberculosis 8 4.6 8 4.5 Tetanus 10 3.1 9 3.3 External injury and mental trauma 9 3.3 10 3.1 Measles Others 33.9 30.6 Total number 3,545 5,439 Source: Republic of Uganda, Ministry of Health, Health Planning Unit, Health Information Quarterly, 8(3), 1991.

Table 2 Incidence of Disease among Out-patients 1989 1990 Name of disease Rank % Rank % Malaria 1 21.7 1 22.6 Upper respiratory tract disease 2 16.1 2 15.6 External injury and mental trauma 3 9.6 3 9.1 Parasites in small intestine 5 7.5 4 7.7 Diarrhoeal disease 4 8.7 5 7.0 Lower respiratory tract disease 7 5.3 6 5.9 Skin disease 6 7.4 7 5.6 Eye infection 8 4.7 8 4.5 Ear infection 10 2.3 9 2.1 Anemia 9 2.4 10 1.9 Sexually transmitted diseases (STD) Others 14.4 18.0 Total number 4,208,705 6,952,681 Source: Republic of Uganda, Ministry of Health, Health Planning Unit, Health Information Quarterly, 8(3), 1991. that it is known as “the Pearl of Africa”. After it of 52%. Government expenditure on public health gained independence from Britain in 1962, the country accounts for 5.1%, the average life expectancy at birth underwent a series of uprisings until 1986, when the is 43 years old, and the infant mortality rate (IMR) present President Museveni came into power. The worsened from 109 in 1970 to 122 in 1992.4 Infectious tumultuous period started with a coup in 1966 staged diseases such as malaria, AIDS, diarrhoeal diseases, by Prime Minister Obote, another coup in 1971 by and acute respiratory infection (ARI) rank high on the President Amin, the subsequent massacre of opposi- list of causes of death among in-patients (Table-1). tion factions and exile of President Amin in 1979, The same pattern is found in the statistics of diseases which led to civil war and finally, several changes in among out-patients (Table-2).5 Although it has been the presidency. reported that the prevalence of AIDS is decreasing Uganda is classified as an LLDC, with a GNP of among the youth,6 the disease continues to be one of 170 dollars per capita (as of 1992) and a literacy rate the biggest concerns of health7 and the financial bur-

4. World Bank, World Development Report (1994). 5. Health Planning Unit, Ministry of Health, Republic of Uganda, Health Information Quarterly, 8 (3) (1991). 6. D. Mulder, et al., “Decreasing HIV-1 Seroprevalence in Young Adults in Rural Ugandan Cohort,” BMJ, 311 (7009) (1995), pp. 833-836. 7. WHO, Epidemiology Record, Acquired Immuno-deficiency Syndrome (AIDS) (data at July 1, 1992) (Geneva: WHO, July 2, 1992).

42 Factors to be Considered in Extending Grant Aid Cooperation - Based on Grant Aid Cooperation to a Hospital in Uganda - den is thought to be substantial. gen and vacuum), central piping was expected to be completed in February 1996.

III Outline of Cooperation to the Hospital in 4. Costs Uganda The hospital charges private patients and allocates the earnings to part of cost recovery. In relation to the The African Development Bank (AfDB) has CT scanner that was installed by the AfDB, the hospi- undertaken rehabilitation of the superannuated facili- tal started charging fees to offset the cost of providing ties of the Mulago Hospital (900 beds in the New services to poor patients and allots the return as depre- Mulago Hospital and 400 beds in the Old Mulago ciation expenses. As to the dialytic treatment which is Hospital) in Kampala, the capital of Uganda. It was scheduled to be introduced to the hospital, it is expect- decided that Japan would provide medical equipment ed to yield substantial revenue. It will be possible to for the ICU and laboratories, which were not included allocate the surplus to cover part of the cost of provid- in the AfDB project. The Mulago Hospital is the only, ing services to the poor. and the biggest, tertiary (final referral) medical facility in the country as well as a teaching hospital for the Needless to say, aspects other than the afore- Department of Medicine, Makerere University. The mentioned were taken into consideration. For instance, authors would like to outline the status quo of the ICU it was made sure that parts were procurable and main- (including the dialysis unit) at the hospital. tainable locally. However, this did not mean that there were no problems. 1. Facilities and equipment The ICU had three rooms, each having 4 to 5 beds, with 14 beds in total. There were a few tetanus IV Problems in Extending Cooperation to the patients being hospitalized at the time. There were Hospital in Uganda several broken artificial respirators, and a second-hand dialyzer which had been provided by a foreign NGO What was particularly difficult was that neither and had parts missing from the time it was given to the dialysis nor an ICU had previously been implemented hospital (it was unknown whether it was operational). domestically in Uganda and there was no example to It was difficult to distinguish between clean and follow, let alone criteria for selecting equipment. The unclean areas in the ward. A small room next to the authors therefore had to estimate needs based on a sickroom was being used for cooking by the nurses. needs assessment performed by on the Ugandan side and on the medical records of the hospital. As to the 2. Human resources and functions propriety of facility size, the authors had no choice but At present, there is no medical facility in Uganda refer to Japanese standards,8 and examples of Japan’s that has an operational ICU. However, the Mulago assistance to other developing countries. Hospital has a doctor and two nurses who are specially The following is a list of other issues and ques- trained for that purpose. In addition to these three, the tions: hospital is currently training more. (1) There is no ICU or dialysis service currently oper- In relation to dialysis, the Lacor Hospital, which is ating in Uganda. located some 350 km away from Kampala, has * How many patients will there be in the country? hemodialysis equipment. However, because the func- * How many beds are necessary for ICU and dialy- tion of the equipment is very limited, many patients sis treatment? (those rich enough) go to either the Aga Khan (2) There is virtually no ICU and dialysis equipment Hospital or the Nairobi Hospital in Kenya. Peritoneal in Uganda. dialysis is performed by a doctor who is a nephrologist * Can the entire population or at least a majority of and had had some experience in this area in England, people benefit? but sometimes peritonitis occurs. (3) The ICU and dialysis equipment are not being used in the Mulago Hospital. 3. Infrastructure * There are only one medical specialist for the ICU With regard to electricity, the voltage is currently and one for dialysis. steady. There are usually a couple of power failures * There are only a small number of ICU nurses. every month. As for water, the water pressure is rela- * Infection (peritonitis) occurs even in peritoneal tively low and there are occasional interruptions of the dialysis. Is hemodialysis safe? water supply. A water tank was newly installed, but * The hospital has agreed to arrange personnel by the degree of improvement in the current conditions an appointed date. Will it be able to meet the still needs to be confirmed. As to medical gases (oxy- deadline?

8. Sangyo Chosa Kai, Iryo Kiki Jiten (Medical Equipment Encyclopedia) (Tokyo: 1991); “Tokusyu: kyusei ketsueki joka ho (Special Issue: Acute Blood Purifying Methods),” Syuchu Chiryo, 3 (2) (Tokyo: 1991).

43 Technology and Development, No.12, 1999

Table 3 Examples of Project Selection Standards Example 1 (Mulago Hospital, Uganda) 1. The equipment does not contribute to providing basic medical services. (1) 2. The equipment does not match with the level and function of medical services of the target section. (2 & 3) 3. Use of the equipment is neither frequent nor effective. (2) 4. The equipment can be procured locally and is affordable within the budget of the hospital. (6) 5. The equipment is expected to be difficult to maintain financially and technically. (3) 6. The equipment is considered a consumption article or reagent. (7) 7. The equipment is redundant or duplicated among the items requested. (7) 8. The equipment is included as a component of other requested equipment, or is endowed with the same function. (7) 9. Need for the equipment has vanished because the equipment was acquired after the request was filed, or the budget for acquiring the equipment had already been allocated. (6) 10.Due to the sophisticated precision and functions of the equipment, the equipment needs to be replaced by equipment with simpler precision and functions. (3 & 4) 11. It is difficult to supply consumption articles and spare parts for the equipment. (5) 12. No equipment satisfies the requirements. (7) 13. The equipment uses obsolete technology. (2) Example 2 (Project for the improvement of medical equipment for national hospitals, Ecuador) 1. Effectiveness of the equipment in terms of providing medical services is low. (1 & 2) 2. Necessity for renewing the equipment is low. (7) 3. Technical ability to handle the equipment is low. (3) 4. Ability to maintain the equipment is insufficient. (3) 5. Facility conditions are insufficient. (3) 6. Requested quantity is inappropriate. (7) 7. Local procurement of the equipment is relatively easy. (6) 8. There is a need for more equipment and more effective equipment. (7) Example 3 (Medical equipment supply project for the national referal hospitals, Tanzania) 1. The equipment does not contribute to providing basic medical services. (1) 2. The equipment does not match with the level and function of medical services of the target section. (2 & 3) 3. Frequency of use of the equipment is low. (2) 4. It is easy to procure the equipment locally. (6) 5. The equipment is expected to be difficult to maintain financially and technically. (3) 6. The equipment is considered to be a consumption article. (7) 7. The equipment is redundant among the items requested. (7) 8. The equipment is made redundant by other assistance. (4) Note: The number in ( ) indicates which category in Table-4 the particular item fits into.

* The hospital has agreed to complete plumbing by this technology? an appointed date. Will it be able to meet the (5) Is financial recovery possible? deadline? * Will only particular individuals (doctors) who * The system in the ICU is not established yet. know dialytic techniques benefit? * People cook in the ward. * Is technology transfer possible? (4) Do ICU and dialytic treatment have priority? (6) Isn’t peritoneal dialysis that is currently being per- * Is it justifiable to input limited resources into formed enough? ICU and dialysis? Should the area of primary (7) The hospital requests the same level of quality as health care (PHC) such as for AIDS be given pri- before the civil war because it is proud of having ority? previously been far better than other hospitals in * Japanese standards cannot be applied. Africa . * Can the hospital afford to perform dialysis on patients with chronic renal failure for the rest of their lives? V Analysis * Other infrastructure must be prepared before continuous ambulatory peritoneal dialysis According to the definition by JICA, “feasibility (CAPD) can be performed. study as a part of development study is designed to * Is this technology from which only the rich can objectively examine the technical, economic, finan- benefit? Can the poor receive treatment using cial, social, and environmental feasibility of a project

9. JICA, Kokusai Kyoryoku Jigyo Dan Nenpo (JICA Annual Report) (1994).Purifying Methods),” Syuchu Chiryo, 3 (2) (Tokyo: 1991).

44 Factors to be Considered in Extending Grant Aid Cooperation - Based on Grant Aid Cooperation to a Hospital in Uganda -

Ultimate tier: Problem management of:� economic factors� international partnership with � donor countries/organizations� social and cultural systems� political systems� Natural environment agriculture and others� � � Allocation of labor for farming� Form� of residence:� and others within household� waterworks, water supply� Decision-making authority� Farm work using livestock within household

Securing food for family:� production of food� procurement of food

Intermediate tier: Allocation of food � within household� Preparation of meals� Child-rearing

Food shortage among children Exposure of children� to pathogenic bacteria

Proximal tier: Malnutrition

Lower respiratory� Diarrhea tract infection

Death of babies and infants Other factors

Figure 1 Three-tiered Model of High Infant Mortality Rate (Partially Modified Version of Millard’s Note) Note: Millard is a researcher who proposed a model to reduce infant mortality rates.

prioritized by a development policy or program, and to determinants by Mosley10 and the three tiers of high propose the most appropriate implementation plan for infant mortality rate by Millard,11 it is necessary to implementing the project in question.”9 This policy is tackle a particular health problem systematically by reflected in grant aid cooperation as well. analyzing each level of related factors. In the three In actual grant aid cooperation, criteria for select- tiers of the causal factors of the high infant mortality ing appropriate equipment is set for each project, and rate proposed by Millard (proximal tier, intermediate unfortunately, differs from case to case (Table-3). tier and ultimate tier), the proximal tier represents Because each case has different needs, it is natural that direct biological causes of infant mortality, the inter- criteria for selecting equipment differ. It is, however mediate tier constitutes activities and general living important to clarify a set of general criteria, or have a environment which increase the exposure of infants to general idea, for selecting equipment. the proximal tier, and the ultimate tier represents eco- As demonstrated in the sectional models of health nomic, social and cultural processes and structures,

10. W. H. Mosley and L. C. Chen, “An analytical framework for the study of child survival in developing countries,” Population Development Review (Supplement), 10 and 25 (1984). 11. A. V. Millard, “A casual model of high rates of child mortality,” Social Science Medicine, 38 (2) (1994), pp. 253-268.

45 Technology and Development, No.12, 1999

Table 4 Factors that should be considered in technology transfer - In particular, factors which need to be considered in grant aid cooperation - 1) Needs Is there a need of the facility, equipment or technology? * Number of patients? * Number of examinations? * Is it to renew superannuated or broken equipment? (It is necessary to determine when and why the break-down happened). 2) Valuability and usefulness (of equipment, facilities, or technology) Is the equipment, facility, or technology valuable? * Is it useful? Is it appropriate? [Example: Is it old or inadequate technology?] * Is it meaningful? Will it lead to the next step? [Example: Examination is done, but it does not lead to the next step of treatment (that is, the next treatment cannot be done or is expensive)] * Is it suitable for the target population? [Example: Is the target population the general public or a particular group of people?] 3) Feasibility (in relation to the organization to which the equipment, facilities, or technology is introduced) Is the facility, equipment, or technology feasible locally? Is it feasible within the recipient organization? [As to usage, maintenance, management and repair] * Knowledge? * Staff? * Skill? * Cost? * System within the recipient organization? * Is the supporting infrastructure complete? [location, area, temperature, humidity, access, sanitation (dirt and others), fuel, electricity, water supply, gas (oxygen, nitrogen, aspiratory gas, compressed air, fuel gas)] 4) Propriety (from a social perspective) Is it appropriate to use the facility. equipment, or technology? Is it appropriate to use the facility, equipment or technology for the target community (society)? * Is it culturally, religiously, and socially acceptable? * Is it too advanced considering other aspects of the society are immature? * Does the subject facility, equipment, or technology consume too much financial, human or other types of resources which are needed to address other issues? [Example: Instead of spending limited resources on highly-efficacious primary health care, the resources are injected into high- tech medical treatment] * Can the social infrastructure maintain the equipment or technology introduced? [electricity, water supply and sewerage system, gas, telecommunications systems such as telephone and transportation systems] 5) Sustainability Is the facility, equipment, or technology sustainable within the target community? [usage, maintenance, management, and repair] * Is the technology sustainable? * Are spare parts procurable? * Are reagents and consumed articles procurable? * Are financial resources secured (including depreciation expenses)? 6) Emergency (in the case of grant aid cooperation) Is the facility, equipment, or technology urgently needed? * Can the recipient organization supply it by itself? * Other methods? * Is it a future demand? 7) Other factors * Feelings * No appropriate equipment is found. * The equipment is considered a consumption article or a reagent. * Requested equipment is redundant (within the recipient organization, among requested items, in assistance from other donor agencies) which in a broad sense, serve as background for the mutual relationships of each factor (Figure-1). proximal and intermediate tiers. Methods, such as this, which cope with a particular Millard argues that infant mortality is caused by problem by analyzing the issues accompanying the

12. FASID, PCM (Project Cycle Management) (1994).

46 Factors to be Considered in Extending Grant Aid Cooperation - Based on Grant Aid Cooperation to a Hospital in Uganda -

Valuability� Feasibility & Usefulness Propriety

Sustainability Need

Emergency

Request

Figure 2 Conventional (Request-Based) Grant Aid Cooperation

Ultimate tier: Propriety:� economic factors� social, cultural and religious systems� political system� aid organizations

Social infrastructure:� Sustainability:� electricity, water, gas,� [usage, maintenance, � telecommunications,� management, repair]� transportation skill, parts, reagents, consumed � articles, financial resources

Medical system:� position of� each medical institution� referral system

Intermediate tier: Feasibility (recipient organization) :� knowledge, staff, skill,� cost, system within the recipient organization� infrastructure of the recipient organization

Proximal tier:

Valuability & Usefulness (equipment) Other factors

Emergency Needs

Request

Figure 3 A Model of (Request-Based) Grant Aid Cooperation

problem, or the factors causing the problem, are based urgency and other factors. In previous assistance, on the same idea as the problem tree of Project Cycle these factors were understood on the same level Management (PCM).12 This perspective can be applied (based on the request) (Figure-2). Conventional feasi- to cooperation and assistance in solving problems (that bility study addressed these factors in an unclear and is similar to objectives tree in PCM). confused manner. Utilizing the same perspective as Table-4 shows factors that need to be considered in Mosley and Millard will clarify the relations between selecting equipment, following the Ugandan case. The the request and these factors. Factors such as “needs,” factors are grouped according to needs, valuability and “valuability and usefulness” and “urgency” constitute usefulness, feasibility, propriety, sustainability, the proximal tier, “feasibility (facility, activities and

47 Technology and Development, No.12, 1999

Ultimate tier: Propriety:� economic factors� social, cultural and religious systems� political system� assistance organizations

Social infrastructure:� Sustainability:� electricity, water, gas,� [usage, maintenance, � telecommunications,� management, repair]� transportation skill, parts reagents� consumed articles,� financial resources Medical system:� position of each medical institution� referral system

Intermediate tier: Feasibility� (recipient organization)� knowledge, staff, skill,� cost, system within the recipient organization� infrastructure of the recipient organization� Behavior, activity

Proximal tier: Valuability & Usefulness� Emergency Other factors (technology, equipment)

Needs�

Figure 4 A Model of Medical Cooperation the environment within the facility)” represents the consideration for the poor, have been issues of con- intermediate tier, which serves as the environment for cern for a long time. the former, and “propriety” and “sustainability” con- Although the above comprehensive principle is stitute the ultimate tier, which serves as the social, cul- proposed, whether a recipient country is utilizing the tural and economic background to the intermediate given assistance appropriately (appropriate usage pro- tier. Figure-3 is the model of this relationship. vision) is a matter of concern not only for Japanese In fact, these factors need to be considered more citizens, whose tax money constitutes the source of extensively and should not be limited to health-related revenue for grant aid cooperation, but also for experts, areas (Figure-4). These factors should be considered who actually participate in studies. The appropriate in estimating equipment and facilities based not only usage provision serves as an indicator for more appro- on requests, but also on “needs”, as well as in provid- priate cooperation and assistance. In relation to the ing equipment and facilities, and in planning technolo- appropriate usage provision, the Ministry of Foreign gy transfer. Global issues such as the women in devel- Affairs states that “Major donor countries including opment (WID) and considerations for the environment Japan have a provision which states the appropriate and the poor can be considered as factors in the ulti- usage and allocation of aid resources, although its mate tier. The WID perspective has been taken up as a degree varies from country to country. It takes the vital subject by the United Nations since the 1970s form of obligation for recipient countries to report, and its importance has been increasing in recent consultation during the course of assistance, follow-up years,13 and consideration for the environment,14 and monitoring and sampling survey by overseas offices,

13. W. Ofosu-Amaah, “Women, environment and development: the evolution of the debate,” Development (1) (1994), pp. 63-66; WID Initiative (The Fourth World Conference on Women, 1995); “Chikyuteki tenbo ni tatta kyoryoku notameno kyotsu kadai (Common Agenda for Cooperation from a Global Perspective),” Hashimoto Sori Daijin oyobi Clinton Daitoryo eno Kyodo Hokokusho (Joint Report to Prime Minister Hashimoto and President Clinton; hereafter cited as “Chikyuteki tenbo,” in Kyodo Hokokusho) (Tokyo: 1996). 14. W. Ofosu-Amaah, op. cit.; “Chikyuteki tenbo,” Kyodo Hokokusho.

48 Factors to be Considered in Extending Grant Aid Cooperation - Based on Grant Aid Cooperation to a Hospital in Uganda - and post-project evaluation study.”15 There have been equipment and technology attempts to prepare an internationally-standardized model of appropriate usage. However, few of the models could be applied practically.16 VI Conclusion The following are approaches that need to be taken in the future to make the comprehensive principle In this article, the authors cited the Ugandan case more practical and concrete, and to make the selection as an example to clarify the current standards being of equipment and technology more appropriate: used in selecting equipment for Japan’s grant aid (1) Necessity for monitoring provided equipment cooperation and to present a new and more general- To strengthen monitoring how previously provided ized model for selection. It is desirable for this model equipment is being used for the purposes of mainte- to help in creating appropriate standards for selecting nance as well as identifying needs for technical coop- equipment and technology. To this end, it is necessary eration. to consistently implement the aforementioned three (2) Necessity for post-project evaluation approaches. With this, grant aid cooperation, as well To review each selection standard used in individ- as international cooperation at large, will be more ual cases in the past and prepare a pertinent standard. meaningful for not only the people of recipient coun- (3) Necessity for standards for each major type of tries, but also for Japanese tax-payers.

15. Economic Cooperation Bureau, Ministry of Foreign Affaires (ed.), op.cit. 16. P. C. Garcia, “International standard of quality in the pediatric intensive care unit, a model for a pediatric intensive care unit in South America,” Critical Care Medicine, 21 (9 Supplement) (S409-10) (1993); Takashi Shiina, et al., “Kaihatsu tojokoku niokeru hosyasen kiki secchi no arikata: musyo shikin kyoryoku eno guideline (How to set up radiation equipment in developing countries: guidelines for Grant Aid Cooperation),” Kokusai Kyoryoku Kenkyu, 11 (1) (JICA, 1995), pp. 89-96.

49 Functional Relations Between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of the Transition Phase

CASE STUDY

Functional Relations between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of the Transition Phase

Yasutoshi YAMADA Senior Researcher, International Research Center for Social Development (IRCSD) [email protected]

Decentralization, under which the central government transfers its authority for development management to local governments, has the highest priority in “Participatory Development and Good Governance”. The Development Assistance Committee (DAC) of the Organization for Economic Cooperation and Development (OECD) identifies this as a central element in its assistance strategies for sustainable development. In the context of “Good Governance”, it is clear that the trend toward decentralization puts importance on benefits of development to the local society and on ways of reaching agreement for the benefit of the public. This paper, which focuses on the functional relations between Local Government Units (LGUs) and National Government Agencies (NGAs), analyzes decentralization in the Philippines which took place at the end of the Transition Phase of the Local Government Code (LGC), and considers development cooperation to institutionally support decentralization that prompts local developments in the country. The LGC enforcement started to recognize the significance of LGUs and improve the function and efficiency in implementing their development activities. From the viewpoint of “Good Governance”, however, the current situation of decentralization in the country suggests the need for designing and implementing development programs and projects which promote sustainable effects among residents in local societies. Various needs of local societies should be incorporated in the designing process of a development program/project approved by a Regional Development Council and Local Development Councils (LDCs). In order to examine the appropriateness of the approved program/project, social formulating and monitoring skills are required in order to check whether or not the program/project contributes to the public interest based on the local society’s agreement. When JICA approaches a local society by implementing development activities controlled by NGAs, it is expected that JICA will effectively utilize the concerned LDCs to formally approve the development programs and projects at LGUs. Not by neglecting the LGUs and local societies, but by involving them in the decision- making process and management of development activities, the LGUs’ strengthened function with the public interest, which is an expected outcome of decentralization, will make a program/project effect sustainable even after its phase-out.

context, it is clear that the trend toward decentraliza- I Introduction tion puts importance on the benefit of development to a local society and on ways of reaching agreement for Decentralization, under which the central govern- the public benefit. ment transfers its authority for development manage- In the Philippines, decentralization has been implement to local governments, has the highest priority in mented by enactment and enforcement of the “1991 “Participatory Development and Good Governance”. Local Government Code (LGC)”. Decentralization is The Development Assistance Committee (DAC) of based on the LGC implementation master plan which the Organization for Economic Cooperation and consists of three phases: namely, the Changeover Development (OECD) identifies this as the central Phase (1992-93), the Transition Phase (1994-96), and element in its assistance strategies for sustainable the Stabilization Phase (1997- onwards). This paper, development. The “Good Governance” which the which focuses on the functional relations between OECD/DAC points out, emphasizes democratic man- Local Government Units (LGUs) and National agement capability with transparency in the decision- Government Agencies (NGAs), analyzes decentraliza- making process and accountability to citizens. In this tion in the Philippines which occurred at the end of the

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 14, No. 1(April 1998)

51 Technology and Development, No.12, 1999

Table 1 Development Stakeholders and Their Concerns in Decentralization Development Stakeholders Their Concerns National Government - NGA personnel, assets, and facilities devolved to LGUs Agencies (NGAs) - Supporting LGUs and strengthening policy functions expected to the NGAs - Management of development activities financed by foreign assistance which is arti- cled as a NGA’s duty in the incidental conditions to the LGC - Continued increase of the NGAs’ budget for development activities even after their development functions were transferred to the LGUs. - NEDA’s coordination in elaborating national and regional development plans - DILG as the only NGA that has direct ties with LGUs after LGC enforcement - DSWD identifying supporting the LGUs as its duty NGA Regional Offices - Development programs and projects of a NGA, which are implemented in the region but whose information is hardly grasped by the Regional Office. - NEDA Regional Offices taking charge of the secretariat of concerned RDCs - Each RDC sectoral committee formed mainly by the Regional Office representatives of the NGAs related to the concerned sector - Formulation process of regional development plans at a RDC whose decision is greatly influenced by the sectoral committees and the secretariat - NEDA’s technical assistance on project development which may neglect technical transfer to the LGUs - DILG’s important roles of technical transfer to the LGUs LGUs (highly urbanized - Strengthening LGUs’ implementing function for development and service activities and special cities, - LGUs’ extremely smaller financial scales compared with those of NGAs provinces, component - “The 20% Development Fund” of the IRA is directed to LGUs as their primary finan- cities, and municipali- cial resources to promote their original development plans ties) - LGUs have difficulty in obtaining access to central financial resources for development other than the IRA - Each LGU formulates development plans along with guidelines for development plans prepared by the NGAs - Response to various development needs of LGUs depends on the discretion of higher agencies - LGUs’ independent development plans are often inconsistent with NGAs’ development activities - Currently, LDCs can hardly carry out their functions as stated by the LGC - Role of the LDC in each LGU to approve development activities implemented in the concerned local society - LGUs have a key role in improving effects such as the ownership and sustainability of the development activities in a particular local society - Uppermost LGUs have little means to influence the formulation process of regional development plans at an RDC NGOs - NGO representatives account for more than 25% of all members at RDCs and LDCs - NGOs have little means to influence the formulation process of regional development plans at a RDC Local Residents - Participation of local residents promoted by the LGCs can facilitate diversified stake- holderes to take part in development - Participation of local residents may lead the LDCs and their concerned RDCs to bear functions of formulating public benefit of a local society

Transition Phase, and considers development coopera- II Background of the LGC Enactment and Issues tion to institutionally support decentralization that which Emerged after the LGC Enforcement prompts local development in the country.1 Development stakeholders discussed in this paper and 1. Background of the LGC Enactment their concerns on decentralization are summarized in The LGUs had previously been paired with the Table 1. central governing system and generally put under the strong political and administrative supervision of the central government, such as during the Malolos Republic and the Third Republic.2 Under centraliza-

1. The word “region” in the Philippines often means “Region” as a political and administrative block. In this paper, therefore, the phrase “local development” will be used for regional development in the country. 2. For details, see Hiraishi 1993.

52 Functional Relations Between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of the Transition Phase tion, for example, President Marcos’ authoritarian assets and facilities worth more than 250 million regime was supported from 1971 by dynasties, that is, pesos, and affecting eight departments of the central one or two families in each of many provinces which government. Among the eight departments, the enjoyed political and economic privileges. Department of Agriculture (DA) which transferred After the democratic revolution in 1986, the LGC more than 17,000 of its regular personnel, (43% of the was enacted in October, 1991, influenced by the 1987 total) to the LGUs; the Department of Health (DOH) Constitution, which was enacted during the Aqino which transferred more than 45,000 personnel includ- administration. The administration took a series of ing its hospitals and public health centers at the pro-democratic policies and lead the tide of democrati- provincial, city, and municipal levels to the LGUs, and zation created by the 1987 general election. For fear the Department of Social Welfare and Development that the pro-democratic movement that was about to (DSWD) were particularly affected by the devolution. take shape at that time might suffer setbacks at the During the Transition Phase, which ended in 1996, 1992 general election, the then administration hurried- the NGAs and the LGUs adjusted their institutions to ly enforced the LGC in January, 1992, prior to the the decentralized setup achieved by the devolution in election, only two months after it was adopted. order to establish a new system. As a task for the There were two critical factors which drove the institutionalization, the NGAs were expected to pro- decentralization by reducing the size and shaping the vide technical and financial support to the develop- organizational setup of the NGAs. One of the factors ment and public service activities devolved to the was the LGC enactment. This was supported by the LGUs. Moreover, they were expected to identify and political intention to try to destroy the local traditional strengthen new policy functions, such as drafting poli- power structure, which was the hotbed of the power- cies and guidelines, promoting research and develop- centralized Marcos regime. The serious economic sit- ment and conducting monitoring and evaluation, in uation which obliged the central government to intro- order that the LGUs could promote local development duce economic structural adjustment policies was the after the devolution. The LGUs, which had been other critical factor. Without reaching a consensus on regarded, before the LGC enforcement, as recipients measures to deal with the uncertainties that followed of development assistance and public services direct- decentralization, the LGC was enacted. It included: 1) ly controlled by the NGAs, were required to enhance the devolution or transfer of basic social service activ- their executive function in the region after decentral- ities from the LGAs to the LGUs; 2) institutional ization, assuming new tasks and responsibilities. building to establish relations between NGAs and LGUs; 3) promoting the participation of NGOs and people’s organizations (POs) in Local Development III LGU Implementation of Development Councils (LDCs); 4) identifying each LGU as the Activities at the End of the Transition Phase owner of its development plan and budget program; and 5) increasing the revenue of LGUs and carrying 1. LGU Financial Resources After the LGC out financial reforms. Enforcement Since the LGC enforcement, LGUs have been try- 2. Issues which Emerged after the LGC ing various ways to increase their tax revenue, which Enforcement becomes each LGU’s own financial resources, the In the Changeover Phase of the LGC Enforcement, LGUs raised their fixed property tax, and cities and the personnel, assets, and facilities of the central gov- municipalities increased their commercial tax.3 ernment were devolved to the LGUs (Figure 1). The Compared with that of the central government, how- central government had owned the personnel, assets, ever, the financial capacity of each LGU is very small and facilities to directly control development and pub- (Table 2). The Internal Revenue Allotment (IRA), lic service activities at various local levels. The devo- which is distributed from the central government’s lution was carried out involving all the country by revenue to each LGU as a subsidy, generally makes up transferring the jurisdiction of 70,000 personnel, a large share of the LGU revenue.4 The ratio of

3. For example, in order to increase its tax revenue, the Negros Occidental Provincial Government in Region 6 has been trying to (1) sell real estate by auction to pay its unpaid fixed property taxes, (2) make a tax map showing business areas and real estate, (3) conduct a campaign to promote the payment of land property taxes at the municipal and barangay levels, (4) audit and scrutinize the revenue of the treasurer’s office of municipal governments and the income of district hospitals, (5) conduct spot-inspections of public service corporations, (6) revise regulations concerning provincial taxes, (7) set targets for tax revenue from fixed property and business taxes as well as for income from non-tax income, (8) provide information on taxes at barangays, (9) identify amusement areas, and (10) monitor provincial taxes among other things. 4. (1) According to the LGC, the Internal Revenue Allotment (IRA) is determined and based on the national tax revenue of the fiscal year of three years before. The IRA in 1992 was the 30% of the 1989 national revenue, that in 1993, 35% of the 1990 national revenue , respectively, and since 1994 the IRA in each year registered 40% of the revenue of the corresponding base year. (2) The IRA distributions to LGUs are firstly determined by their own LGU level. Provinces, cities, municipalities, and barangays share 23%, 23%, 34% and 20%, respectively, of the whole IRA. Based on the IRA allocation which allot a fixed quota to provinces, cities, and municipalities, an IRA allocation to each LGU is determined. The allotment is calculated using three elements: the concerned LGU’s population, land area, and equal sharing among the same LGU level by weighing them with 50%, 25%, and 25%, respectively. While there is a need to reconsider the IRA allocation formula, some LGUs try to obtain more IRA allocation by getting higher ratings and trying to be classified into an upper LGU level where fewer units are admitted. or by increasing its population counting migrants. Since the IRA was implemented based on the LGC to August 1996, 10 municipalities have been upgraded to cities.

53 Technology and Development, No.12, 1999

Table 2 Annual Expenditure of the Central Government and LGUs Fiscal Year 1988 1989 1990 1991 1992 1993 1994 1995 The Central Government’s Expenditure (billion pesos) 167.4 227.4 233.5 247.1 272.8 281.6 317.1 337.1 LGUs’ Expenditure (billion pesos) 10.3 12.5 15.1 22.7 25.3 38.5 n.a. n.a. Ratio of LGUs’ Expenditure to the Central 0.061 0.055 0.065 0.092 0.093 0.137 n.a. n.a. Government’s Expenditure IRA Share in the Central Government’s Expenditure 2.37% 1.91% 2.61% 3.95% 5.67% 9.75% n.a. n.a. * The table was made by the author from the following sources. Source: NSCB. Philippines Statistical Yearbook, 1993, 1994, 1995; NSCB; NEDA; BLGF/DOF. Note: NSCB: National Statistical Coordination Board BLGF/DOF: Bureau of Local Government Finance, Department of Finance

The Central Government

Provincial Government Highly Urbanized / Special City Government

Municipal Government Component City Government

Barangay (village) Barangay (village) Barangay (village)

Figure 1 National and Local Government in the Philippines Source: DILG

Table 3 Dependency Rates of LGU Financial no less than 20% of its IRA for its own development Resources on IRA projects in social economic, and infrastructural sec- LGUs IRA Dependency Rate tors. However, when the LGU has very limited finan- Provinces 80% cial resources and depends highly on its IRA, the share of the 20% Development Fund in its IRA is usu- Highly Urbanized 56% ally close to 20%. Furthermore, the 20% and Special Cities Development Fund can only be utilized for the devel- Component Cities 95% opment projects that each LGU implements separate- Municipalities 85% ly. Source: Interviews from studied LGUs Note: Each IRA Dependency Rate is the average of IRA 2. Roles and Functions of LDCs and Their Dependency Rates at each LGU level of the LGUs studied Challenges 1) Roles and Functions of LDCs as Stated by the LGC dependency on the IRA at each level of the LGUs The LGC allows each provincial, city, and munici- sampled in this study are summarized in Table 3. pal government to have its own comprehensive devel- Except for highly urbanized and special cities, whose opment plans and to establish its own development independent financial resources are relatively plenti- council as a planning institution for development ful, many of the LGUs depend on the IRA for their plans. The development councils of LGUs are col- revenue. lectively called Local Development Councils (LDCs). In this situation, the 20% Development Fund of the Each LDC must consist of representatives from its IRA is the primary financial resource for each LGU to LGU, and the heads of the lower LGUs under the formulate its own development plans and implement jurisdiction of the LGU, and elected NGO members. its own development activities. The 20% The LDCs’ feature worthy of mention here is that the Development Fund obliges a concerned LGU to spend members from NGOs should account for more than

54 Functional Relations Between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of the Transition Phase

25% of all the LDC members.5 with this pressing current situation, the LDCs often It is mandatory that each LDC be held at least once cannot but limit their activities to conventional every six months. The LDC’s functions are 1) to appraisals of development plans. For instance, the design long-term, mid-term, and annual socio-eco- LDC of an upper LGU, is the place to which lower nomic development policies and plans; 2) to design LGUs under the upper LGU’s jurisdiction make a mid-term and annual investment plans; 3) to prioritize petition. However, this petition can hardly be accept- socio-economic development programs and projects; ed in the framework of the LDC of such an upper and 4) to coordinate, monitor, and evaluate the imple- LGU, and, it is very common that provincial, city, and mentation of these development programs and pro- municipal development councils approve draft devel- jects. Moreover, the LDC of an upper LGU has the opment plans only when they are elaborated in right to review the development plans of LGUs under advance by their Planning and Development Officers, its jurisdiction. who work as the secretariat for each of their development councils. The author will take a closer look at 2) The Current Situation of LDCs this matter below. (1) LDCs’ Functions Though the functions of the LDCs are as described (2) Development Plans Formulated by LGUs above, the results which the LDCs were expected to Development plans of each LGU are drafted along produce were not apparent at the end of the Transition with guidelines for development plans imposed by Phase.6 The following three factors are possible rea- NGAs. These guidelines are based on national and sons: regional development plans that the NGAs have drawn a) Because LDCs have too many members, it is up. The LGC states that development plans of upper- difficult for them to hold constructive discus- most LGUs (i.e., provinces and highly urbanized and sions.7 special cities) should be integrated into their regional b) The development plans of upper LGUs seldom development plans. Consequently, because a Planning reflect the needs of their lower LGUs, rarely and Development Officer of an upper LGU selects the making effective use of their LDC functions. needs of the LGUs under its jurisdiction according to The plans often lack consistency with develop- these guidelines, the importance placed on the needs ment plans formulated by their lower LGUs, of the grass roots is at the discretion of the upper and neither do they have complementary per- LGU. In other words, priorities of LGU’s socioeco- spectives.8 nomic development programs / plans, which in fact c) Participation of NGOs in the LDCs does not the LDCs formulate, might be decided not by respect- always guarantee the promotion of local soci- ing the needs of their local residents, but by consider- eties’ grass-roots participation in the decision- ing the consistency with national and regional devel- making process such as development policy for- opment plans. mation.9 With regard to drafting development plans of each While containing these functional defects, the LGU, it is important to note that the head of each LDCs are required to formulate comprehensive devel- LGU is also the chairperson of its LDC. The chairper- opment plans covering various sectors for their con- son has the right to appoint and dismiss a LGU cerned LGUs. However, required to urgently deal Planning and Development Officer in charge of for-

5. Barangays in a Municipal or City Development Council, and municipalities and component cities in a Provincial Development Council are regarded as lower LGUs (Figure 1). 6. The situation was similar at the Development Council of an upper LGU in terms of the function and authority for appraising development plans of its lower units. For instance, a Provincial Development Council’s task at present is no more than receiving a report from municipal governments after development plans have been formulated, although the provincial government is supposed to supervise municipal governments in its jurisdiction. 7. Among the Local Development Councils of the LGUs targeted in the project formulation study, the Provincial and City Development Councils have a large number of their own members. This tendency is especially serious in the City Development Councils of the highly urbanized and special cities, which have many barangays in their own jurisdictions. Each barangay sends its representative to the Council. Some of the City Development Councils have more than 200 members. 8. The LGC states that each province, city, and municipality distributes 500,000 pesos from its general financial resources to the barangays under their jurisdiction. On the other hand, the 20% of the IRA allocated as its development fund to each LGU, is the LGU’s crucial financial resource for development and is utilized for implementing an LGU’s independent development activities. The IRA is different in this sense from a subsidy in Japan. As a result, this characteristic contributes to cause the situation in which cooperation and complementary actions between an upper LGU and its lower LGUs as well as among the LGUs at the same level hardly function in implementing development activities. 9. (1)NGOs here include private enterprises, associations for professionals, people’s and civil organizations (such as women’s groups, youth groups, Rotary Clubs, and etc.), and development NGOs. When the number of NGOs hoping to become a comember of their concerned LDC is more than the number of seats available for NGOs at the LDC, the LDC representatives from NGOs are determined on a mutual election of aspiring candidates of various NGOs. This practice was not enacted by the LGC. It is, nevertheless, usually difficult to carry a fair mutual election, as a clear-cut rule has not been established. The rules to determine which NGOs have the right to vote are not clear yet, due to the diversities of the organizational composition of NGOs. The election lacking transparency, consequently, possibly impedes people’s democratic participation and strengthens the influence of local bosses at the LDC. (2) With regard to the composition of non-governmental members in the LDCs, various kinds of NGOs, such as private enterprises, associations for professionals, people’s and civil organizations, and development NGOs, often send members to the Provincial Development Councils, whereas people’s organizations (POs) tend to send their members to Municipal Development Councils. In City Development Councils, especially those for highly urbanized and special cities, private enterprises, associations for professionals, and civil organizations usually become members. The composition of City Development Councils reflects the fact that there are few development NGOs working in cities.

55 Technology and Development, No.12, 1999 mulating draft development plans. This means that a local society. the personal discretion of the head of each LGU has great influence in deciding the strategies and emphases of its development, even after the LGC IV NGA-LGU Relations After the LGC enforcement.10 This influence creates large differences Enforcement in the strategies and emphases of LGU developments. 1. Roles and Functions of RDAs and Their 3) Developments Controlled by NGAs and the Role Current Performance of the LDC 1) Roles and Functions of RDCs Regardless of the many problems in LDC func- Regional Development Councils (RDCs), which tions, it should be noted that the NGAs are still are held at least once every six months, are a place to required to obtain the approval of the concerned discuss their region’s development.12 The RDC in LDCs, even when they are the principle executors of each region consists of NGA Regional Offices, heads their programs/projects as they were always so before of uppermost LGUs (i.e., provinces, and highly urban- the LGC enforcement. Thus the LDCs have come to ized and special cities), and representatives of NGOs, hold the critical role necessary to promote local devel- who make up more than 25% of the members.13 opment. As a result, a new relation between NGAs Besides the secretariat, which the Regional Office and LGUs now needs to be created concerning the of the National Economic and Development Authority decision-making process and program/project man- (NEDA) takes charge of, the RDC has: (1) a develop- agement which takes account of aspects after phase- ment administration committee; (2) a sectoral commit- out, such as ownership and sustainability. The LGUs tee for each of the social, economic and infrastructural are supposed to be in a position to get necessary infor- sectors; (3) an advisory committee consisting of dis- mation on the sites and local circumstances, and they trict representatives and members of the House of are able to directly contact local residents who are the Representatives; and (4) an ad hoc committee by sub- real beneficiaries of a program/ project. Therefore, ject matter. The author will explain how these function they are expected to play an important role in improv- below. ing the effectiveness of programs/projects even for those executed by NGAs. 2) Current Situation of Functions of RDC and Sectoral Committees 4) The Role of LDCs from the Perspective of It is very meaningful to hold discussions at RDCs Residents on regional development. Even in an active region, The LGUs cannot always grasp the needs of local however, the RDC is held only a few times a year. residents, even though they are in a position to easily Like LDCs, the RDCs usually function merely to understand the local situation and contact residents. approve the agenda of their own regional development The intention behind promoting the participation of plans which have been prepared by their own secre- NGOs and POs in the LDCs, through the participation tariats. One of the reasons for this is that the RDCs of local residents in formulating and deciding compre- have too many members to hold practical discus- hensive development plans of their own LGUs, is to sions.14 create public interest in the needs of local residents, To compensate for the malfunction of the RDCs, especially, those at the grass-root level. However, it is their subordinate development administration commit- too early to conclude that the LDCs can secure the tee and sectoral committees hold discussions on means of reflecting the needs of local residents, by regional development almost every other month. It is judging only from the fact that the NGOs and POs are not mandatory that representatives of the LGUs and sending representatives, because their selection often NGOs have to be the members of these committees. lacks transparency.11 The intention incorporated in the For instance, the economic sector committee of RDC LGC is to let the LDCs function to facilitate the exam- Region 11 consists mainly of Regional Office repre- ination of an alternative plan submitted by local resi- sentatives of the NGAs that directly relate to the eco- dents and to seek common ground for public benefit of nomic sector in the region, such as the DA, the

10. The heads of the LGUs have authority to submit a budget plan to their own sanggunians (local legislative organs), to exercise a veto on an agenda at sanggunians, to appoint and dismiss appointed officials, to make budget proposals, and so forth. Because the final decision on LGU financial issues is also left to their discretion, it is possible for the heads of the LGUs to control the training opportunities of LGU officials. As an example of the influence of the head of a LGU on the direction of its development, the author points out a case of General Santos City, where measures for rapid urbanization and sustainable agriculture are included in development plans because these are the principle interests of the Mayor. Moreover, the author, while visiting Bacolod City, recognized the leadership of the Mayor when he witnessed the Mayor’s initiative in rescue activities to protect residents from a typhoon and a flood. 11. See note 9-(2) 12. The word “region” here means “Region” as a political and administrative block. 13. (1) The branches of the institutions and centers attached to the NGAs, such as those of the Agricultural Training Institute and the National Irrigation Authority of DA, are not included as RDC members even though they are located all over the country. (2) NGOs here include private enterprises, associations for professionals, people’s and civil organizations (such as women’s groups, youth groups, Rotary Clubs, and etc.), and development NGOs. 14. The number of RDC members in the two Regions studied was approximately 65 each.

56 Functional Relations Between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of the Transition Phase

NGAs Enactment of national policy and guidelines Influence of guidelines on Regional development plans Development Plans Participation in Regional Participation of RDC sectoral Development Council uppermost LGUs committees in planning Participation of stage NGOs in planning NGA Insufficient collaboration stage Regional Offices and coordination among Provincial LGUs in formulating Development Plans Implementation of and implementing Provincial developing activities development plans. Government initiated by NGAs

Municipal Municipal Municipal Implementation Development Plans Development Plans Development Plans of LGUs' Municipal development Municipal Municipal Government plans and Government Government participation Implementation of NGOs in the of LGUs' planning stage development plans and participation of NGOs in the planning stage

Local Society

Figure 2 Development by LGUs and Development initiated by NGAs *The figure was prepared by the author. Note: Concerning lines in the figure, solid lines show a stronger relation or greater influence than dotted lines. A thick line shows a stronger relation or greater influence than a thin line of the same kind.

Department of Agrarian Reform (DAR), and the if the RDCs are sensitive enough to their needs.16 Department of Trade and Industry (DTI)15 Moreover, For provinces and highly urbanized and special it is the RDC secretariat (i.e., concerned NEDA cities, which are the uppermost LGUs, their RDC is Regional Office) that, while taking account of the dis- also the place to appeal for development needs that cussions at each RDC sectoral committee, formulates cannot be afforded by their own financial resources. draft regional development plans. Consequently, a Due to the above mentioned facts, that is: (1) the regional development policy rarely includes the inten- composition of members at each of RDC sectoral tions of the uppermost LGUs and NGOs (development committees; (2) the formulation process of regional NGOs and POs in the region), because they have little development plans; and (3) the actual situation of the means to reflect their intentions (needs) during the for- RDC functions, it is difficult for such development mulation process of regional development plans. needs of these LGUs to be taken into account as they Nevertheless, as one example shows, their intention are claimed.17 As a result, it often occurs that, among can be reflected in the regional development policies the programs and projects appealed by these LGUs,

15. The Department of Education, Culture, and Sports (DECS) took charge of construction, maintenance, and repair of school buildings before the LGC enforcement, and with foreign assistance, has been implementing school-building (mentioned later in the text) all over the country even after the LGC enforcement. In this connection, the DECS Regional Office in Region 11 remains as a member of the infrastructure sector committee (not of the social sector committee). 16. There are only few cases in which LGUs and NGOs, including development NGOs and POs, can have an influence on formulating the regional development plans of their own RDCs. Nevertheless, the experience of a committee in charge of the environment and natural resources at RDC Region 6 can be pointed out as one of such cases. Regional development plans of Region 6 emphasize environmental conservation as their development strategy for the region. The ad hoc committee formed to manage environmental and natural resources at the RDC plays a key role in calling for consideration on the relation between the environment and development in these development plans. The committee, primarily led by the Regional Office of the Department of Environment and Natural Resources, also asks for the participation of the uppermost LGUs and NGOs, which are indispensable for the implementation of these development plans. 17) As previously mentioned, this situation is probably not created only by institutional factors of the RDC.

57 Technology and Development, No.12, 1999

Table 4 Annual Expenditure of the Central Government and Shares in the Central Government Expenditure Fiscal Year 1992 1993 1994 1995 1996 The Central Government Expenditure (billion pesos) 272.8 281.6 317.1 337.1 400.5 Ratio to 1992 real value 100.00 103.23 116.24 123.57 146.81 Share of the DA’s Ordinary Budget 0.90% 0.68% 0.69% 0.42% 0.42% in the Central Government Expenditure Ratio to 1992 real value 100.00 77.98 88.71 58.07 66.97 Increase of the DA’s Ordinary Budget per DA Regular Staff 100.00 n.a. n.a. 101.73 117.31 (1992 real value = 100) Share of the DA’s budget for foreign-assisted projects 0.52% 1.07% 0.94% n.a. n.a. in the Central Government Expenditure Ratio to 1992 real value 100.00 213.78 210.31 n.a. n.a. IRA share in the Central Government Expenditure 5.67% 9.75% n.a. n.a. n.a. Expected IRA share in the Central Government Expenditure 8.94% 12.93% 14.73% n.a. n.a. in accordance with the LGC *The table was made by the author from the following sources Source: NSCB. Philippine Statistical Yearbook, 1993, 1994, 1995; Economic Indicators, 1996; R.A. No.7180, R.A. No.7645, R.A. No.7863, R.A. No.7945, R.A. No.8174; BLGF/DOF; Bureau of International Revenue Note 1: By the end of September, 1994, the DA had almost completed the devolution of its staff to the LGUs. Note 2: One of the principle reasons why the IRA does not account for the expected share in the Central Government Expenditure is that the incorporation of the budget for public works into the IRA has been greatly delayed. their programs and projects which only meet the direc- construction, maintenance, and the repair of elemen- tions of concerned RDC sectoral committees can be tary and middle schools to the LGUs. Nevertheless, considered as a part of the program or project that is because its financial resources include foreign assis- directly controlled by NGAs. tance, these projects are controlled by DECS, that is, the counterpart of the donor providing the assistance. 2. Implementation of Development Activities by DECS always selects a site for the project by itself, LGUs and NGAs’ Support but this selection often does not fit in with the provin- 1) LGU Development Activities and Development cial development plan, which puts a high priority on Activities Implemented under the control of NGAs school construction in municipalities identified as its (1) LGU Development Plans and Development poor areas. Many LGUs, which are well informed of Activities led by NGAs local situations and able to encourage the participation Generally, it is difficult for LGUs to be fully of local residents, are still considered as DECS’s sub- informed of the planned programs or project in their ordinate auxiliaries even after decentralization. After planning stage, when programs/projects within their the implementation of this construction project, the own boundary are directly executed by NGAs, and to school building is handed over to the municipality. effectively accord their programs/projects within their Maintenance of the school building, which means sus- own boundary, with those by the NGAs (Figure 2). tainability of the project, is regarded as the responsi- This is reflected by the fact that, until the budgets for bility of the municipality. This often creates an addi- NGA national programs and projects are confirmed, tional financial burden on the municipality. NGA Regional Offices do not know what programs/projects will be implemented in their con- (2) LGU Development Activities and Central cerned regions because their central offices, whose Government Resources for Development principal functions should consist of strengthening In the above situation of development management institutional capability in the context of decentraliza- conducted by NGAs, it is also difficult for LGUs to tion, and in fact usually design and manage these pro- seek, other than from the IRA, external financial grams and projects by themselves. This applies to resources in the form of a grant or a subsidy from the donor assisted projects in which an NGA is a counter- NGAs to implement their development plans reflect- part to the donors and in which foreign financial ing needs of local residents. Due to an incidental con- resources can be, even partially, used for their imple- dition to the LGC, moreover, the LGUs are kept away mentation. from the financial resources which NGAs can receive For instance, the Department of Education, with their foreign assistance. Furthermore, NGA bud- Culture, and Sports (DECS) maintains its facility of gets for development activities have been increasing, implementing a project to build schools all over the as the central government’s expenditure has increased. country even after the LGC enforcement. Following LGU budgets for development activities, on the other the LGC enforcement, DECS devolved its budgets for hand, have not increased, while for the last three years

58 Functional Relations Between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of the Transition Phase the IRA has not been allocated its share in the central guidelines and handbooks to the LGU Planning and government’s expenditure each year as pledged in the Development Offices. The NEDA Regional Offices LGC.18 has prepared such guidelines because they need to For example, the DA (Department of Agriculture), draw up their regional development plans in line with which until September 1994, almost completed trans- the sectoral frameworks for regional development ferred its personnel from devolved services and func- which are formulated by the Regional Development tions to LGUs, set a sharp reduction in its ordinary Coordination staff of the NEDA central office. budget, which excepts budget for projects (including In the current situation, it is difficult for the LGU foreign-assisted projects)from its entire budget, in and NGA Regional Offices to obtain sufficient infor- 1995 (Table 4). It is noteworthy that in spite of trans- mation on ODA. This is closely connected with the ferring its personnel to the LGUs during the transition fact that the Public Investment Staff (PIS) of the period, its budget related to foreign-assisted projects NEDA central office, who are often regarded as coor- in 1993 increased by more than double that in 1992, dinators of ODA, do not have their counterparts at the and this trend continued in 1994 in which the budget NEDA Regional Offices.20 As a result, the PIS of for projects remained almost the same as that in 1993. NEDA can hardly play its primary role of providing There are other development funds financed by the LGUs or ways of obtaining access to donors and central government such as the Congressional detailed information on their various schemes. Even if Initiative Allocation (CIA) and Countryside the LGUs might be able to access to such detailed Development Fund (CDF), which are allotted to each information on ODA, when taking into account member of the Senate and the House of NEDA’s one-way communication with LGUs in the Representatives, respectively.19 These funds are used past, NEDA’s assistance system effectively based on through a concerned sectoral NGA, while each con- the ODA Law would not respond sensitively to a wide gress member can decide and change the objective or range of needs of different LGUs. target of his/her fund at his/her individual discretion. Consequently, the CIA and CDF are often used with- (2) LGU Project Development Capability and the out respecting the LGUs’ development plans. Project Development Assistance Center NEDA also formally decided to establish a Project 2) Implementation of Development Activities by Development Assistance Center (PDAC) under each LGUs and Technical Assistance by NEDA RDC in August 1996. The reason for this establish- (1) The Official Development Assistance Act of 1996 ment was to respond to the poor capability of LGUs and LGUs’ Access to the ODA and NGA Regional Offices in project development, When the financial resources for LGU develop- including project identification, project conceptualiza- ment activities are very tight, the Official tion, project design, and packaging of projects. PDAC Development Assistance (ODA) Act of 1996 (here- plays a supportive role in a similar way as NEDA, and inafter “the ODA Law”) gave each LGU direct access extends technical support to LGUs, as stated in the to the ODA. The Act can provide, through the ODA, ODA Law, to cover the insufficient capability of external financial resources for implementing their LGUs. According to the guideline for establishing the individual development activities. In this section the PDAC provided by NEDA, a PDAC Regional Core author examines the viability of the enforced ODA Team should be formed within a concerned NEDA Law including problems and challenges. Regional Office, led by the NEDA Regional Office The ODA Law formulated by NEDA, whose pri- and assisted by representatives from regional line mary role is to coordinate the development plans of agencies, in particular, those from the DA, the DAR, the nation with those of the regions, allows NEDA to the DECS, the DENR, the Department of Public allocate itself approximately 5% of the total ODA Works and Highways (DPWH), and the DTI.21 loans and grants. The resource is directed to its pro- The guideline does not refer to the involvement of ject identification, preparation for feasibility studies, the Regional Offices of other NGAs including the master planning, and monitoring and evaluation of Department of the Interior and Local Government projects. Even though NEDA insists that it has been (DILG), which can be expected to play an important providing technical assistance to the LGUs, this mere- role after the LGC enforcement in collaboration and ly means that NEDA Regional Offices distribute coordination of development activities implemented

18. For IRA, see note 4-(1). In the Changeover Phase of the LGC enforcement, few technical staff of Department of Public Works and Highways were transferred to the LGUs. This situation caused a lack of implementation capability and technical insufficiency in the concerned field of the LGUs, and consequently led to a great delay in integrating the budget for public works to the IRA. This is another reason for failing to secure the IRA share in the central government expenditure. 19. For instance, the minimum amount of CDF allocation per member of the House of Representatives from the national budget was 12.5 million pesos in 1994. This amount has been increasing since then. Among Congress members, some receive more than 100 million pesos for their CIA or CDF allocation. The Department of Budget and Management, however, has not been able to monitor detailed use of these funds accurately. 20. Consequently, NEDA Regional Office staff do not always understand the schemes of the different donors. 21. As of December 1996, of all the Regions, only Region 3 and Region 9 have already established the PDAC. Their PDACs are regarded the same as the sectoral committees of their RDCs.

59 Technology and Development, No.12, 1999

Requests from LGUs to the DSWD DSWD Enactment of national central office for technical assistance policies and guidelines and offers of such technical assistance

DSWD Field Office

Provincial Government Requests from LGUs Provincial Social Welfare to the field office for and Development Officer technical assistance and offer of such technical assistance Implementation of Social Municipal Welfare Municipal Municipal Government Services by Government Administrative Government LGUs and Municipal Social Municipal Social support and project Municipal Social Service Unit Participation Service Unit implementation Service Unit of NGOs in the support planning stage Implementation of Social Welfare Services by LGUs and Participation of NGOs in the planning stage

Local Society

Figure 3 DSWD’s Task and Implementation of Development Activities by LGUs * The figure was prepared by the author Note: The thick lines show a stronger relation or greater influence than the thin lines. by LGUs. Moreover, NEDA assigns PDAC in con- municipalities, and some of the barangays, in addition ducting technical assistance to the LGUs by making a to its Regional Offices. Other NGAs, however, are contract with the LGUs to develop the projects only always required to contact LGUs through the DILG when so requested from the LGUs.22 Consequently, when they formally approach LGUs. there is some fear that technical transfer to the LGUs The DILG’s primary task in assisting the LGUs is will be neglected in PDAC technical assistance on to provide administrative guidance on budget manage- project development. The PDAC’s project development and promote self-governance. Though it does ment skills are expected to be transferred to LGUs’ not have the authority to distribute financial resources Planning Development Offices. For prospect of the to the LGUs, the DILG is in the position to monitor decentralization, it is crucial that the LGUs can accu- the LGUs’ management of the 20% Development mulate skills and experience in their own project Fund of their IRA and take a role in supporting the development. implementation of their development activities. Moreover, the Technical Assistance Division of a 3) Implementation of Development Activities by DILG Regional Office now tends to be considered a LGUs and Technical Assistance by the DILG counterpart by the LGU Planning and Development After the LGC enforcement, the DILG became the Offices because the LGC requires each LGU to sum- only NGA that could directly approach each level of mit a copy of its development programs and projects LGU, such as all the units of the provinces, highly to the DILG. urbanized and special cities, component cities, and As its assistance, the DILG conducts the Integrated

22. According to the NEDA Regional Director of Region 9, the PDAC in Region 9 also includes the technical transfer of project development techniques to concerned LGUs. According to the Director, however, the establishment of a PDAC in a region does not always mean that there will be a technical transfer of project development techniques to the LGUs’ Planning and Development Offices in the region, because the policies of each NEDA Regional Office are greatly influenced by the opinions of each of NEDA Regional Director.

60 Functional Relations Between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of the Transition Phase

Capacity Building Program (ICBP) for personnel of NGAs. However, supporting the LGUs with sustain- the LGUs in order to fulfill their urgent need of insti- able and appropriate technical assistance and develop- tutional strengthening.23 In the ICBP, the Local ment management skills is the key to local develop- Government Academy (LGA) of the DILG and Multi- ment promotion. In this sense, the significant change Disciplinary Mobile Teams consisting of the staff of in the DSWD’s roles and functions since the LGC the DILG’s Regional Office and DILG field staff enforcement can be a useful example for other NGAs transfer their know-how to the LGUs’ staff members to follow. Furthermore, this process of change sug- so that they can undertake effective local administra- gests both a direction for effective assistance and an tion.24 approach for appropriate technical assistance to The DILG’s role has become important, since the donors. LGC enforcement, for implementing policies that will promote local development through the development activities of LGUs. Furthermore, the roles of the V Conclusion DILG, especially those of the DILG Regional Offices, are expected to be more and more significant in the Because of the LGC enforcement, LGUs were current situation under which skills in the administra- faced with absorbing functions and responsibilities tive practices need to be transferred to the LGUs. devolved from NGAs and directly implementing their Regarding the NEDA’s support to the LGUs to devel- development activities. Except for provincial govern- op their capacity, it is evident that the NEDA’s collab- ments, whose financial affairs are made difficult by oration with the DILG is indispensable in order to having to manage district hospitals devolved from the effectively transfer its administrative skills to the central government, the LGUs have been planning and LGUs. implementing urgently needed development activities, while dealing with a lack of financial resources and 4) Implementation of Development Activities by techniques. At this point, decentralization in the LGUs and Technical Assistance by DSWD Philippines has brought out the significant role to the Among the NGAs affected by the LGC enforce- LGUs, requesting them to improve their functions and ment and required to identify and strengthen their new efficiency in development activities. policy functions, DSWD takes an interesting new From the viewpoint of “Good Governance” dis- approach to implement its policy. This is because cussed at the beginning of this paper, however, the DSWD knows that supporting the LGUs is one of its current situation of decentralization in the country duties, because they are in a closer position to the suggests the need to design and implement develop- local residents, that is, the real beneficiaries. ment programs and projects which promote sustain- Consequently, the DSWD concentrates its assistance able effects on local societies among residents. To on supporting the LGUs to effectively perform their achieve this, one of the effective ways is to strengthen functions devolved from DSWD such as providing the RDCs’ and LDCs’ function to incorporate the social welfare services. Converting its Regional needs of various stakeholders of local development Offices into its Field Offices, DSWD monitors LGUs’ into the process of development planning. Even functions for supplying social welfare services, visits though NGOs participate in RDCs and LDCs, their the LGUs to directly provide technical assistance to participation does not always mean that the local resi- them, and coordinates with the LGUs. DSWD has dents are involved in the formulation process. It is been trying especially to strengthen the functions for necessary to look at development activities of a local supplying social welfare services at the municipal society from the view point of public interest, that is, level (Figure 3).25 As one case illustrates, by DSWD to examine whether development programs and pro- coordinating with provinces and municipalities, the jects approved at the RDCs and LDCs bear account- municipalities can systematically provide social wel- ability to local residents. An effective social skills are fare services to specific groups such as children, required to create a common consensus and thereby to women, the young, and the aged.26 check whether or not such programs/projects con- The DSWD’s approach is exceptional among the tribute to the public interest in the local society.

23. There have already been training opportunities for the LGU staff by lecturers from other NGAs and universities. The following three issues, however, need to be improved in order to give the LGU staff practical access to training opportunities. 1) Training opportunities tend to be concentrated in the first and fourth quarters of the year for the convenience of sponsors’ budget management and others. Nevertheless, it is difficult for the LGU staff to participate in such opportunities because they are often busy during these periods of the year. 2) LGUs usually have to pay for travel costs and other expenses from their own financial resources so that their staff can participate in the training opportunities. Their staff become less able to participate as their available financial resources become tighter. 3) The heads of each LGU performs financial management of the unit within his discretion. Consequently, his individual understanding, direction, and vision concerning the capability development of their LGU staff and target fields of development can easily influence the training opportunities for the staff. Also, favoritism on the part of the head may determine which staff will obtain training. 24. According to the Director of the LGA, there are seven fields concerned: 1) the management system, 2) the local financial administration, 3) development planning, 4) local legislation, 5) community mobilization, 6) environmental management, and 7) disaster management. 25. DOH has also been trying its new roles of monitoring and providing technical assistance to the LGUs, by converting its Regional Offices to Field Offices and establishing units to coordinate the Field Offices with the LGUs and communities. 26. This was reported by a Provincial Social Welfare and Development officer of the Davao del Norte Province.

61 Technology and Development, No.12, 1999

Even when JICA approaches a local society by study, the author conducted interviews at central, implementing development activities controlled by the regional, and LGU levels, including 11 LGUs in NGAs, JICA is expected to utilize the concerned Region 6 and Region 11, and analyzed the current sit- LDCs’ function of effectively assess the programs and uation of LGC enforcement. Among the interviewees, projects implemented in the LGUs in order for the JICA staff and experts were involved in the study, and LDCs to approve them formally. Not by excluding Mr. Rey Gerona, Consultant to the JICA-Philippine the LGUs and local residents, but by involving them Office, provided his sincere and thoughtful support to into the decision-making process and management of the author. In writing the original Japanese paper, the development activities, the LGUs’ strengthened func- author received a lot of valuable comments from both tion supporting the public interest, which is an expect- Mr. Shiro Akamatsu, Development Specialist of JICA, ed outcome of the decentralization, will enable pro- and Mr. Akira Namae, Director of IRSCD. The gram/project effects sustainable even after their phase author thanks them all very much. out. Furthermore, collaboration and supplementary Reference functions among the LGUs are needed to promote Akamatsu, S., 1995, Filipin ni okeru Chihou Kaihatsu local developments. So far, collaboration and interac- Sokushin no tameno Kikaku chousa: 1991 nen tive performances within the same level or with a Jichitaihou to Jichitai Gyouzaisei Ryoku (A lower level LGU in the same region have not func- Project Formulation Study on the Promotion of tioned well. An appropriate unit in size for an effec- Local Development in the Philippines: The 1991 tive administrative collaboration should be identified Local Government Code and Administrative and and put into practice to promote the local develop- Financial Capabilities of LGUs), Report of the ments. Project Formulation Study (Tokyo: JICA). Because the LGC is reviewed every five years, as Gerona, R., 1997, Issues, Effects and Actual mandated by the 1987 Constitution, the LGC has not Influences on Decentralisation: The Philippine been definitively established yet in terms of its Experience (Manila: JICA-Philippine Office). enforcement. However the social conditions of the Hiraishi, M., 1993, “Filipin no chihou seido (Local Philippines, which have long demanded the enactment system in the Philippines)” in Chihou jichi and enforcement of the LGC, and the recently kyoukai (Association for Local Government) emerged local-oriented approach to development are (ed.), Ajia Shokoku no Chihou Seido (Local sys- strong momentums for promoting decentralization in tems in Asian countries) (Tokyo: Association for the country. A JICA expert was dispatched as a policy Local Government), pp.79-136. adviser to DILG and JICA’s project-type technical International Development Center of Japan (IDCJ), cooperation with the DA’s agricultural Training 1993, Sekuta Betsu Enjyo Shishin Aakutei no Institute is being carried out in Bohol Province for the tameno Kiso Chousa: Sanka Gata Kaihatsu improvement of rural livelihood. These two cases evi- (Japanese aid-policy research: Methodologies dence JICA’s active support for the decentralization. for participatory development) (Tokyo: IDCJ). According to the LGC master plan of implementation, JICA, 1995, Sankagata Kaihatsu to Yoi Tochi the LGUs are expected to acquire adequate capabili- (Participatory Development and Good ties in managing local affairs in the Stabilization Governance), Report of the Aid Study Phase starting from 1997. During this phase, the Committee (Tokyo: JICA). NGAs are expected to continuously provide appropri- JICA, 1997, Chiiki no Hatten to Seifu no Yakuwari ate technical support to the LGUs. In the Current situ- (Development of Local Societies and the Role of ation where DAC member countries of OECD cooper- Government), Report of the Aid Study ate towards decentralization word-wide, JICA’s tech- Committee (Tokyo: JICA). nical cooperation is expected to support more effec- Katsuma, Y., and A. Koyama, 1995, “Kaihatsu no tively local development in the Philippines by facili- shakaiteki sokumen ni hikari wo (Focusing on tating its decentralization, based on the understanding social aspects in development)”, Nyumon Shakai of the “now working together towards world-wide Kaihatsu: Jumin ga Shuyaku no Tojokoku Enjyo decentralization. In this situation, JICA’s technical (Introduction to Social Development: Assistance cooperation is expected to support more effectively to Developing Countries where Local Residents local development in the Philippines by facilitating its Play a Leading Role), ed. Shakai kaihatsu decentralization, based on the understanding of “Good kenkyukai (Study Group on Social Governance”, which emphasizes the importance of Development) (Tokyo: International local societies in developments. Development Journal), pp.6-19. Morita, A. ed., 1998, Ajia no Chihou Seido (Local Acknowledgment Systems in Asia) (Tokyo: Tokyo University This paper is written based on the results of JICA’s Press). project formulation study for promoting local develop- Namae, A., 1992, “Jyumin chihou jichi to zeikin: ments in the Philippines, which was conducted by the Filipin shin chihou jichihou zakkan (Local author from October to December in 1996. In this Autonomy and Tax: Some thoughts on the new

62 Functional Relations Between Local Government Units and National Government Agencies in Local Development : A Consideration to the 1991 Local Government Code, Impact Observed at the End of the Transition Phase

Local Government Code in the Philippines)” in Formulation Study on the Promotion of Local Gekkan Jichi ken (Monthly Study on Local Development in the Philippines: Current Government), April, 79-85. Situation of LGUs After the 1991’s Enforcement Organization for Economic Co-operation and of the Local Government Code and Their Development (OECD), 1995, Participatory Functional Relations with NGAs), Report of the Development and Good Governance (Paris: Project Formulation Adviser (Tokyo: JICA). OECD). Yamada, Y. and R. Gerona,1996, Decentralisation Yamada, Y., 1997, Filipin ni Okeru Chihou Kaihatsu and JICA: Prospects and Challenges - The Sokushin no tameno Kikaku Chousa: 1991 nen Philippine Context (Manila: JICA-Philippine Jichitaihou Shikou gono Jichitai no Genjo to Office). Chuouseifu Kikan tono Kinou Kankei (A Project

63 Optimum Crop Combination under Risk: Second Cropping of Paddy Fields in the Philippines

CASE STUDY

Optimum Crop Combination under Risk: Second Cropping of Paddy Fields in the Philippines

Shigeki YOKOYAMA National Research Institute of Agricultural Economics, Japan Sergio R. FRANCISCO Philippine Rice Research Institute, The Philippines Teruaki NANSEKI Tohoku National Agricultural Experiment Station, Japan

Stochastic programming is applied to determine the optimal crop combination for second cropping of paddy fields in Ilocos Norte, the Philippines. In the studied village, rice is grown in the wet season and a wide variety of crops are grown in the dry season utilizing tube-well pump irrigation. The model farm is assumed to grow a combination of tobacco, tomatoes, garlic, mungbeans, corn and sweet peppers after rice. The variation of income due to output price and yield fluctuations is explicitly incorporated in the model. The optimum crop combination is calculated at each of three levels of water availability in the dry season as the water requirement differs with each crop. When the farmer is risk neutral, only the most profitable and risky crop of garlic is selected. In general, as the farmer becomes more risk aversive, the optimal crop combination shifts from a small number of profitable and risky crops to more diversified, less risky and less profitable crops. The following two findings are noteworthy. First, mungbean is never selected even though its expected profit is larger than that of corn and it is as less risky as corn. This is because corn is easy to combine with other crops in terms of labor use, and the harvest time of mungbeans overlaps with that of the profitable toma- to. Second, the area of risky garlic is almost unchanged and dominant over less risky tomato, even in a risk averse scenario. This result demonstrates that the combination of different crops is equally or more important in terms of returns than the variance of individual crops. In profitability, garlic and sweet pepper are strongly negatively correlated, whereas the correlation between garlic and tomato is positive. Thus a counterbalancing combination of garlic and sweet pepper is less risky than that of tomato and sweet pepper.

The wider choice of crop combinations under risky I Introduction conditions mentioned above makes the process of decision-making complex and difficult. One option Rainfed areas represent about half of the total may have more profitable expectations than another, cropland area of the Philippines. Promotion of rainfed but at the same time be more risky. This can occur, farming is increasingly important to meet the for example, when crops or combinations of enterpris- increased and diversified food demand as population es with high average profit suffer from a high degree grows and income increases, because the potential of variability and risk. The economic consequences of for new irrigation development has reached its limit instability in agriculture are not universal. There is a and the yield increase has stagnated. In rainfed paddy general recognition, however, that risks do influence fields, various crops are grown according to the degree farmers’ production decisions(1-7). Production depends of water constraints, location and the market condi- greatly on the amount and distribution of rainfall, tions. These crops are roughly divided into two which varies widely from year to year. Unpredictable groups. One group is low input and low return crops price fluctuations are also serious for non-rice crops, traditionally grown in dry areas, such as coarse grains, for which government programs such as price support legumes and tuber crops. They are characterized as and credit schemes are less widely implemented. low risk and stable production. The others are vegeta- Thus to promote rainfed agriculture, in addition to bles with high gross margins per hectare, but with technical assistance and risk mitigating programs, a heavy resource requirements because of their intensive support system for decision-making regarding risk is use of chemical input and labor. They are typical also needed. high-risk, high-return crops. High uncertainty and risk are also important features of rainfed farming.

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 14, No. 1(April 1998)

65 Technology and Development, No.12, 1999

Table 1 Agricultural Production of Ilocos Norte, II Objective and assumptions Crop Year 1993 A. Food Crops Production (t) The objective of this study is to identify the condi- 1. Rice 221,902.6 tions associated with optimum crop combinations for 2. Corn (Seeds) 17,051.3 3. Corn (Green) 50,916.0 the rainfed areas in the Ilocos Norte, the Philippines, 4. Legumes 18,163.2 and to draw out some policy implications based on 5. Vegetables 87,228.5 these results for rural development in less favorable 6. Root Crops 22,732.5 areas for cultivation. 7. Fruit 13,910.0 We assume that : i. In a risk neutral situation, farmers will choose those B. Commercial Crops crop combinations that will give the highest profit 1. Garlic 19,002.6 under the given resource constraints; and 2. Tobacco ii. As the farmers are becoming more risk averse, they Native 324.6 will select enterprise combinations which have Virginia 3,163.2 lower risk associated with them, at the expense of 3. Cotton 182.1 profit. C. Livestock/Poultry 1. Carabeef 1,210.5 2. Beef 1,078.1 III Characteristics of the study site and 3. Swine 2,982.7 cropping pattern 4. Goat 411.3 5. Poultry 305.9 The studied village is in the Province of Ilocos Source: Ilocos Norte Provincial Profile (1993). Norte, located in the north western corner of Luzon island. The mean elevation of the province is 18 meters above sea level. The total area is 3,399 km2 , variety of crops are grown. In terms of resource out of which 694 km2 is considered cropland. Nearly requirements, corn and mungbean are categorized as half of the cropland, or 324 km2 , is under rainfed con- labor- and water-saving crops, whereas tobacco, toma- ditions(8). The average annual rainfall from 1976 to toes, garlic, and sweet peppers are labor- and water- 1993 was 1,703 mm, of which almost 90% occurs using in nature (Table 2). Considering that the avail- between May and October. It is occasionally visited ability of hired labor and pumped water are limited, by tropical cyclones and storms during the southwest the technical features of the resource requirements of monsoon season. The monthly mean maximum tem- each crop may affect the crop choice in the farming perature is 32.1¼C , and the mean minimum is 22.1¼C. system. As of 1990, the province had a total population of Land preparation for all crops is done customarily 461,661 with a computed annual growth rate of 1.68 by hand tractors with a few exceptions of farmer- percent. It has a population density of 136 per km2 owned draft animals. However, few farmers in the and an average household size of 5 members. A village own hand tractors. At the beginning of each majority of the people in the area derive their liveli- crop season, machine operators arrive in the village hood from either agriculture, fishery or forestry. with their own hand tractors and provide services on a Totally, people engaged in these three activities con- per hectare basis. Other operations from planting to stitute 51.3% of the total population(8). harvesting are done manually with family and hired Rice dominates the agricultural products of the labor. province. In 1993, the production of rice was 221,903 tons (Table 1). After rice, vegetables (87,228 t) and corn (67,967 t) are the major products. Commercial IV Theoretical Framework crops like garlic (19,003 t) and tobacco (3,488 t) are also important in terms of their production value, and The complex interrelationships between different hence in agricultural economy of the region, even crops coupled with the risk associated with the output though their production quantities appear to be small- and price fluctuations of each crop makes mathemati- er. In addition, people are also engaged in livestock cal programming a particularly useful technique for and poultry production, and fishing. In general, the farm planning. It incorporates all these major factors farming of the province is highly diversified and com- to determine the relative advantage of each crop. mercialized. Furthermore, various scenarios can be simulated once In the village, the local infrastructure for irrigation the model has been properly defined and constructed. facilities, such as canals or reservoirs, are lacking. We employ the Minimization of Total Absolute However tube wells are constructed privately and Deviations (MOTAD) model proposed by Hazell(9) as diesel engines are used for pumping water in the dry a method for calculating a profit maximizing crop season. Rice is grown solely in the wet season combination concerning risk. In the model the between May and October. In the dry season, a wide Expected income-mean Absolute income deviation (E-

66 Optimum Crop Combination under Risk: Second Cropping of Paddy Fields in the Philippines

A) criterion is used in the following formulation: revenues and their variances consisted of provincial averages only. The main disadvantage of aggregated － Minimize: Σyh data is that they underestimate variances since the basic data are already aggregated(12). Another limita- Subject to: tion of the data used in this analysis is that the Rainfed － Σ(chj - g j) xj + yh ＞＿0 (for all h, h=1,2,...,s) Lowland Rice Research Consortium Project was not and designed to monitor labor utilization, hence labor use Σfjxj = Θ (Θ= 0 to unbounded) may be underestimated. Furthermore, no data were Σaijxj＜＿bi (for all i and j, obtained to accurately distinguish whether family or i= 1,2,...,m; j=1,2,...,n) hired labor was used for each crop. This prevented the － xj, yh ＞＿0 (for all h and j) model from determining how family and hired labor allocation changes with increased risk in farming. where The programming model consists of 25 activities fj: the expected forecasted gross margin of or variables, and 48 constraints. The profit vector the jth activity; includes the stochastic net return from each cropping g j = (1/s) Σchj activity and the hired labor wages. Due to a lack of is the sample mean of gross margins for the data on wage variation, hired labor wages are assumed jth activity, to be the same from year to year in this model. The which is exactly equal to fj unless subjective constraint matrix consists of land and labor constraints information is incorporated in these values; (family and hired). It is assumed that the model th th chj : the h gross margin from the j activity. farmer has, at most, two persons of available family th xj : the level of the j activity. labor at any point in time. In addition, he has access to hired labor up to a maximum of 100 man-days for The model can be solved using conventional linear each 10-day period. Daily work hours are set to eight programming codes with a parametric option and pro- hours for family labor and six hours for hired labor. vides a set of farm plans that are efficient for expected The labor coefficients for each crop were obtained income and mean absolute income deviations. By from data of the Rainfed Lowland Rice Research parametarizing the expected income, a sequence of Consortium Project. Daily wage rates differ by opera- solutions (E-A frontier) for increasing gross returns tion according to their intensity, gender composition, and mean absolute deviations are obtained until the and other institutional factors. In the model, the wage maximum total gross margin is attained under the rate is set by 10-day periods as follows: 102 pesos resource constraints. from mid-January to late April, the harvest season of non-rice crops; 60 pesos in mid-June, the rice trans- planting; 198 pesos in late-September, the rice har- V The Model and Data vest; and 60 pesos from early-November to mid- December, the planting of non-rice crops. These A model farm with 1.0 ha of owned operational wages are nearly the same or above the legal mini- area was selected to represent the existing farming mum wage for non-plantation farming, ranging from systems in the village. The representative farmer is 63.38 pesos to 105.63 pesos in 1992(13). assumed to be a rational decision-maker under the The model also incorporates a water availability given conditions. The data on material inputs, labor, constraint in the dry season. This is a valid constraint input prices and wages were obtained from a collabo- because of the environmental conditions inherent in rative research project of three institutions, namely, the area. The water requirement for each crop, shown Mariano Marcos State University, Batac, Ilocos Norte; in Table 2, was computed based on the number of The Philippine Rice Research Institute, Maligaya, days of water application obtained from the Rainfed Munoz, Nueva Ecija; and The International Rice Lowland Rice Research Consortium Project, assuming Research Institute, Los Banos, Laguna (referred to as that the tube-well pump irrigation has a capacity of the Rainfed Lowland Rice Research Consortium 105 gal/min (the discharge of the Kato pump, most Project hereinafter). This project was based in Batac, commonly used in the area) and 8 hours of operation Ilocos Norte and data from 1993 was used. To draw per day. fifty farmer cooperators, the Stratified Random The elements of the profit vector were derived by Sampling was employed(10). The time series of yields subtracting the corresponding non-labor costs from the and output prices for the years from 1989 to 1993 gross product of each crop for the period 1989 to were obtained from the Statistical Series for the Ilocos 1993. Non-labor costs (seed, fertilizer, pesticide, the Region(11). fuel and oil for the tube-well pumps, and custom hand It is assumed that only the prices and output yields tractor tillage) in 1993 are used for each year, assum- are random variables. The prices and quantities of all ing that the input structure is fixed for the period con- inputs such as fertilizer, seeds, pesticides, custom rates sidered. Yield and output prices were obtained from of hand tractor hiring, etc., are assumed to be given in regional statistical data(11). To account for inflation, the area. Output prices and yields used to calculate the output prices in each year were deflated using the

67 Technology and Development, No.12, 1999

Table 2. Structure of activities and constraints of the model 1� 2� 3� 4� 5� 6� 7� 8� 9� 10� 11� 12� 13� 14� 15� 16� Resource Constraints Rice�Tobac�Tomato�Garlic�Mung�Corn�Sweet�Fam� HJa2�HJa3� HFe1�HFe2�HFe3�HMr1�HMr2�HMr3� Unit�� Resource� � � � � Bean� � Pep.� Lab� � � � � � � � � ＞� 1� Land/WS� ha� 1� ―� 1� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 2� Land/DS� ha� 1� ―� .� 1� 1� 1� 1� 1� 1� .� .� .� .� .� .� .� .� .� a �＞�� 3�Water/DS� 1000gal.� W� ―� .� 264.6�232.3�352.8� 88.2� 44.1� 220.5� .� .� .� .� .� .� .� .� .� ＞� 4�Fam Labor� man� 2� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 5� HJAN2� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 6� HJAN3� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 7� HFEB1� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� 1� .� .� .� .� .� ＞� 8� HFEB2� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� 1� .� .� .� .� ＞� 9� HFEB3� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� 1� .� .� .� ＞� 10� HMAR1� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� 1� .� .� ＞� 11� HMAR2� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� 1� .� ＞� 12� HMAR3� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� 1� ＞� 13� HAPR1� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 14� HAPR2� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 15� HAPR3� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 16� HJUN2� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 17� HSEP3� man-day�100� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 18� HNOV1� hour� 0� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� � 19� HNOV2� hour� 0� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 20� HDEC1� hour� 0� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 21� HDEC2� hour� 0� ―� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� ＞� 22� 2-May� hour� 0� ―� 26� .� .� .� .� .� .� -80� .� .� .� .� .� .� .� .� ＞� 23� 1-Jun� hour� 0� ―� 16� .� .� .� .� .� .� -80� .� .� .� .� .� .� .� .� ＞� 24� 2-Jun� hour� 0� ―� 160� .� .� .� .� .� .� -80� .� .� .� .� .� .� .� .� ＞� 25� 1-Jul� hour� 0� ―� 16� .� .� .� .� .� .� -80� .� .� .� .� .� .� .� .� ＞� 26� 2-Jul� hour� 0� ―� 6� .� .� .� .� .� .� -80� .� .� .� .� .� .� .� .� ＞� 27� 2-Aug� hour� 0� ―� 8� .� .� .� .� .� .� -80� .� .� .� .� .� .� .� .� ＞� 28� 3-Sep� hour� 0� ―� 140� .� .� .� .� .� .� -80� .� .� .� .� .� .� .� .� ＞� 29� 1-Oct� hour� 0� ―� 32� 8� .� .� .� .� .� -80� .� .� .� .� .� .� .� .� ＞� 30� 3-Oct� hour� 0� ―� .� 46� .� .� 6� .� .� -80� .� .� .� .� .� .� .� .� ＞� 31� 1-Nov� hour� 0� ―� .� 36� .� 174� .� 8� .� -80� .� .� .� .� .� .� .� .� ＞� 32� 2-Nov� hour� 0� ―� .� 100� 10� 44� 12� 54� 50� -80� .� .� .� .� .�� .� .� .� ＞� 33� 3-Nov� hour� 0� ―� .� .� 22� 16� 12� 8� 20� -80� .� .� .� .� .� .� .� .� ＞� 34� 1-Dec� hour� 0� ―� .� 8� 38� 16� 10�� 16� 108� -80� .� .� .� .� .� .� .� .� ＞� 35� 2-Dec� hour� 0� ―� .� 16� 94� 16� .� .� 72� -80� .� .� .� .� .� .� .� .� ＞� 36� 3-Dec� hour� 0� ―� .� 8� 32� 16� .� .� 24� -80� .� .� .� .� .� .� .� .� ＞� 37� 1-Jan� hour� 0� ―� .� 8� 14� .� .� 60� 64� -80� .� .� .� .� .� .� .� .� ＞� 38� 2-Jan� hour� 0� ―� .� 36� 14� .� 12� .� 16� -80� -6� .� .� .� .� .� .� .� ＞� 39� 3-Jan� hour� 0� ―� .� 70� 6� .� .� .� .� -80� .� -6� .� .� .� .� .� .� ＞� 40� 1-Feb� hour� 0� ―� .� 70� 6� 180� .� .� 48� -80� .� .� -6� .� .� .� .� .� ＞� 41� 2-Feb� hour� 0� ―� .� 36� 14� .� .� .� 56� -80� .� .� .� -6� .� .� .� .� ＞� 42� 3-Feb� hour� 0� ―� .� 36� 6� .� .� .� 48� -80� .� .� .� .� -6� .� .� .� ＞� 43� 1-Mar� hour� 0� ―� .� .� 36� .� .� .� 56� -80� .� .� .� .� .� -6� .� .� ＞� 44� 2-Mar� hour� 0� ―� .� .� 30� .� 32� .� .� -80� .� .� .� .� .� .� -6� .� ＞� 45� 3-Mar� hour� 0� ―� .� .� 30� .� .� .� .� -80� .� .� .� .� .� .� .� -6� ＞� 46� 1-Apr� hour� 0� ―� .� .� 38� .� 56� .� .� -80� .� .� .� .� .� .� .� .� ＞� 47� 2-Apr� hour� 0� ―� .� .� 30� .� .� .� .� -80� .� .� .� .� .� .� .� .� � ＞� � 48� 3-Apr� hour� 0 ―� . . 26 . . . . -80 . . . . .� . . . a Wis� set to �200, 300, 400.� �

Consumer Price Index(14). crops. Rice is planted in the wet season (May to Table 3 shows the net return by crop. Garlic has October) and is followed by different alternative the highest mean return with the largest standard devi- crops such as tobacco, tomatoes, garlic, mungbeans, ation followed by tomatoes. In general, the higher the corn and sweet peppers; net return, the larger the deviation. Correlations of the ii. 27 ten-day periods for labor activities, from mid- profits of different cropping sequences are shown in May to late-April (2-May to 3-Apr in Table 2); Table 4. A high positive correlation was found iii. Two land area constraints: 1 ha each for the wet between the rice-corn and tobacco-garlic sequences, and dry seasons; whereas a high negative correlation was found iv. 27 ten-day periods for farming operations, land between the tobacco-sweet pepper, tomato-garlic, and preparation, planting, weed control, insect control, garlic-sweet pepper sequence pairs. It should be noted water application, fertilizer application and har- that profitable and risky crops such as garlic and toma- vesting/post harvest activities; and toes have negative correlations with many other crops. v. 17 ten-day hired labor constraints; from mid- January to mid-December (HJa2 to HDe2 in Table The basic model has the following features: 2). i. 7 croppings, including the rotation of rice and other

68 Optimum Crop Combination under Risk: Second Cropping of Paddy Fields in the Philippines

in this study and the solutions which gave an expected � 17� 18� 19� 20� 21� 22� 23� 24� 25� income less than this amount (corner solution 1 to 4 in r3�HAp1�HAp2�HAp3�HJu2�HSe3�HNo1�HNo2�HDe1�HDe2� the calculated results) are omitted as these solutions � � � � � � � � � are meaningless for real farmers. To examine how the .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� difference in water availability in the dry season .� .� .� .� .� .� .� .� .� affects crop choice, the water resources in Table 5 are .� .� .� .� .� .� .� .� .� changed arbitrarily. No solution reaching the income .� .� .� .� .� .� .� .� .� threshold of 24,000 pesos appears when the water .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� resource is set to less than 200,000 gallons. Neither do .� .� .� .� .� .� .� .� .� increases above 400,000 gallons cause any changes in .� .� .� .� .� .� .� .� .� the result. Thus the three cases of 400,000, 300,000 .� .� .� .� .� .� .� .� .� and 200,000 gallons of water resource are presented in .� .� .� .� .� .� .� .� .� � .� .� .� .� .� .� .� .� .� Tables 5, 6 and 7, respectively. The total absolute 1� .� .� .� .� .� .� .� .� deviation in the first row of each table indicates the .� 1� .� .� .� .� .� .� .� degree of income variation. It is assumed that the .� .� 1� .� .� .� .� .� .� .� .� .� 1� .� .� .� .� .� larger the income variation, the bigger the risk to the .� .� .� .� 1� .� .� .� .� farm household. .� .� .� .� .� 1� .� .� .� Table 5 shows the case of no water constraint in .� .� .� .� .� .� 1� .� .� the dry season. Assuming that the farmer is risk neu- .� .� .� .� .� .� .� 1� .� .� .� .� .� .� .� .� .� 1� tral or will accept any level of income variation, the .� .� .� .� .� .� .� .� .� mean of the expected profit reaches the highest level .� .� .� .� .� .� .� .� .� of 41,367 pesos, with the highest deviation of 40.12 in .� .� .� -6� .� .� .� .� .� Solution 12. As we expect, only the most profitable .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� but risky crop of garlic is selected. As total absolute .� .� .� .� .� .� .� .� .� deviation decreases, or assuming that the farmer .� .� .� .� -6� .� .� .� .� becomes more risk averse, lower profits with less .� .� .� .� .� .� .� .� .� risky crops are chosen, resulting in a more diversified .� .� .� .� .� .� .� .� .� .� .� .� .� .� -6� .� .� .� crop combination with subsequent decreased returns. .� .� .� .� .� .� -6� .� .� From Solution 11 to 9, tomatoes, which are the second .� .� .� .� .� .� .� .� .� most profitable and risky crop, enter sacrificing the .� .� .� .� .� .� .� -6� .� area of garlic, and result in decreased returns and devi- .� .� .� .� .� .� .� .� -6� .� .� .� .� .� .� .� .� .� ations. When less risky sweet peppers appear as the .� .� .� .� .� .� .� .� .� third crop, deviation is reduced substantially from .� .� .� .� .� .� .� .� .� 13.58 in Solution 9 to 4.56 in Solution 8, with a rela- .� .� .� .� .� .� .� .� .� tively small decline in returns of 11%. Sweet peppers .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� .� dominate around half of the area planted from .� .� .� .� .� .� .� .� .� Solution 8 to 6. Tobacco is selected as the fourth crop .� .� .� .� .� .� .� .� .� in Solution 6. However, in the most risk averse case .� .� .� .� .� .� .� .� .� � .� .� .� .� .� .� .� .� .� of Solution 5, tobacco is replaced by the least risky -6� .� .� .� .� .� .� .� .� corn. In this case, the expected returns drop to 26,281 .� -6� .� .� .� .� .� .� .� pesos, or 64% of that of the risk neutral case of . . -6 ...... Solution 12. There is no clear tendency of change in the total labor input or non-labor cost with the regards to the The complete structure of the activities and con- risk averseness. It appears that the level of risk aver- straints of the model is presented in Table 2. sion has little impact on resource use, although the case of mono-cropping with garlic causes a labor peak, requiring the use of hired labor in Solution 12. VI Results and Discussion This contrasts with a case study in Indonesia in which a capital-saving cropping pattern is chosen as the The model was solved by a mathematical program- farmer becomes more risk averse(7). ming package, ‘micro-NAPS’, developed by Nanseki The extent of farm production diversity is mea- et al. for personal computers(15). sured by the Diversification Index (D. I.) defined by The optimal solutions according to various levels Forster(17) shown in the last row of Table 5. When of income deviation are presented in Tables 5, 6 and 7. only one crop is chosen for a farm plan, D. I. = 1. As The poverty line in Ilocos Province in 1988 was 4,934 the number of crops increases, D. I. increases. For a pesos per capita(16). Assuming the average family size given number of crops, the higher the share of one or of the study village is five, the same as the provincial more subset crops in the total production value, the average, the poverty line for a family is 24,670 pesos. lower D. I. becomes. Conversely, the more equal the Therefore, the income threshold is set to 24,000 pesos share of each crop in the total production value, the

69 Technology and Development, No.12, 1999

Table 3 Deflated net returns by crop, 1989 -1993 Mean Min. Max. S.D. ------Peso /ha ------Rice 4,364 3,525 5,683 752 Tobacco 25,833 21,291 32,648 3,931 Tomatoes 27,040 4,032 42,344 13,914 Garlic 37,467 13,648 72,583 20,277 Mungbeans 6,441 5,073 8,353 1,256 Corn 2,581 1,233 4,323 1,006 Sweet Peppers 20,294 10,926 26,629 6,765 Source: Calculated based on data from Rainfed Lowland Rice Research Consartium (1993) Net return = Gross product - non-labor cost

Table 4 Correlation matrix of net returns by crop, 1989 - 1993 Rice Tobacco Tomato Garlic Mung Corn Sweet bean Pepper Rice 1 Tobacco 0.018 1 Tomatoes -0.063 -0.442 1 Garlic -0.375 0.801 -0.676 1 Mungbeans 0.375 0.493 -0.106 0.007 1 Corn 0.855 -0.240 -0.344 -0.365 0.164 1 Sweet Peppers 0.146 -0.787 0.330 -0.835 0.130 0.356 1 Source: Rainfed Lowland Rice Research Consortium (1993)

Table 5 Optimal Solution of MOTAD Model, Water in Dry Season = 400,000 gallons / ha and over Solution no. 56789101112 Total absolute deviation 1.41 1.96 2.62 4.56 13.58 34.56 36.23 40.12 Mean of total net return (P. 1000) 26.281 30.363 30.916 31.862 36.121 40.642 40.902 41.367

Optimal planting area: Wet season Rice (ha) 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 Dry season Tobacco (ha) 0 0.082000000 Tomatoes (ha) 0.170 0.182 0.223 0.180 0.549 0.115 0.080 0 Garlic (ha) 0.220 0.234 0.276 0.348 0.451 0.885 0.920 1.000 Mungbeans (ha) 00000000 Corn (ha) 0.1870000000 Sweet peppers (ha) 0.423 0.502 0.501 0.4710000 Total 1.000 1.000 1.000 1.000b 1.000 1.000 1.000 1.000

Labor input Family (hours) 846 915 913 910 857 864 859 832 Hired (hours) 000000634 Total (hours) 846 915 913 910 857 864 865 866

Non-labor cost (P. 1000) 14.162 14.802 15.025 15.107 14.123 15.135 15.216 15.403 3.997 4.077 3.767 3.596 2.769 1.671 1.585 1.407 Diversity index a a 1/∑(xi /X)2, xi = value of each crop. X = total value. b Random error. higher D. I. becomes. As expected, the level of diver- averse, the optimal crop combination shifts from a sification increases as the farmer becomes more risk small number of profitable and risky crops to a larger averse. number of more diversified, less risky but less prof- In general, as the farmer becomes more risk itable crops. Further consideration is required in the

70 Optimum Crop Combination under Risk: Second Cropping of Paddy Fields in the Philippines

Table 6 Optimal Solution of MOTAD Model, Water/DS =300,000 gallons / ha Solution no. 5678910 Total absolute deviation 1.41 1.96 2.62 4.56 13.58 18.93 Mean of total net return (P. 1000) 26.281 30.363 30.916 31.862 36.121 37.274 Optimal planting area: Wet season Rice (ha) 1.000 1.000 1.000 1.000 1.000 1.000 Dry season Tobacco (ha) 0 0.082 0 0 0 0 Tomatoes (ha) 0.170 0.182 0.223 0.180 0.549 0.438 Garlic (ha) 0.220 0.234 0.276 0.348 0.451 0.562 Mungbeans (ha) 000000 Corn (ha) 0.18700000 Sweet peppers (ha) 0.423 0.502 0.501 0.471 0 0 Total 1.000 1.000 1.000 1.000b 1.000 1.000

Labor input Family (hours) 846 915 913 910 857 859 Hired (hours) 000000 Total (hours) 846 915 913 910 857 859

Non-labor cost (P. 1000) 14.162 14.802 15.025 15.107 14.123 14.382 3.997 4.077 3.767 3.598 2.769 2.585 Diversity index a a 1/∑(xi /X)2, xi = value of each crop. X = total value. b Random error. following two findings. toes. This observation points to the importance of the First, both mungbeans and corn are categorized as relationships among the crops being considered. less risky crops. However, mungbeans are never Table 4 shows that garlic has a high correlation with selected even though their expected profit is substan- the less risky sweet pepper, which dominates the solu- tially larger than that of corn (Table 3). Although the tion as the farmer become more risk averse, whereas standard deviation of mungbeans is slightly larger the tomato has a positive correlation with sweet pep- than that of corn, this can be largely explained by the pers. Therefore, the combination of garlic and sweet difference in the use of labor between corn and mung- pepper is less risky than that of tomato and sweet pep- bean. Both are planted during mid-November and per. This result implies that the correlation between early December, the same as other non-rice crops. the returns of the different crops is of equal or greater However, corn is harvested in mid-February when the importance than the variance of the individual crops. labor demand for other crops, especially profitable Thus, the addition of a seemingly more risky enter- garlic and tomato, is not tight. On the other hand, the prise, like garlic, in this study, actually reduces total harvesting and threshing of mungbeans are done in income risks if its correlation with the revenue of March and April when the tomato harvest is at its peak other crops in the model is strongly negative(3). (Table 5). Therefore corn is easier to combine with Consideration of the variance of individual crops other crops in terms of the seasonality of labor. The alone may lead to a sub-optimal crop combination. two crops are agronomically contrastive. Corn is a Table 6 shows the scenario when water availability typical soil-exhausting crop whereas the mungbean, as in the dry season is reduced to 300,000 gallons. a leguminous crop, conserves and improves soil fertil- Solution 10 presents the risk neutral case under this ity. Thus to promote a sustainable cropping system scenario. Because of its high water requirement including the mungbean, the development of early (352,800 gallons/ha), the planted area of garlic is lim- matured varieties is necessary. ited to 0.562 ha, or around 60% of that of the no water Second, the result that the garlic area is almost constraint scenario in Table 5. Solutions 9 to 5 are unchanged and dominant over the tomato seems to exactly same as those in Table 5. This indicates that a contradict our assumption that as the farmer becomes reduction of 100,000 gallons of the available water has more risk averse, less risky crops are selected. Table little impact on crop choice, except in the risk neutral 3 shows that garlic has the highest expected income, case. and at the same time, the highest variability, followed When water availability is reduced to 200,000 gal- by tomatoes. We would therefore have expected that lons, the farmer’s choices become very limited as as the farmer becomes more risk averse, the area of shown in Table 7. Because the two most profitable garlic would decline much faster than that of toma- crops of garlic and tomato are water-using in nature,

71 Technology and Development, No.12, 1999

Table 7 Optimal Solution of MOTAD Model, Water in Dry Season = 200,000 gallons / ha Solution no. 5 6 7 8 9 10 11 Total absolute deviation 1.23 1.36 1.44 1.57 8.71 16.74 26.57 Mean of total net return (P. 1000) 24.268 24.558 24.666 24.727 26.646 27.211 27.660

Optimal planting area: Wet season Rice (ha) 1.000 1.000 1.000 1.000 1.000 1.000 1.000 Dry season Tobacco (ha) 0 0 0.017 0000 Tomatoes (ha) 0.160 0.155 0.151 0.159 0.434 0.672 0.861 Garlic (ha) 0.198 0.205 0.201 0.209 0.281 0.125 0 Mungbeans (ha) 0 0 0 0000 Corn (ha) 0.276 0.083 0 0000 Sweet peppers (ha) 0.366 0.399 0.406 0.405000 Total 1.000 0.842 0.775 0.773 0.715 0.797 0.861

Labor input Family (hours) 813 804 801 799 727 761 788 Hired (hours) 0 0 0 0000 Total (hours) 813 804 801 799 727 761 788

Non-labor cost (P. 1000) 13.710 13.189 12.911 12.939 11.618 11.861 12.043

Diversity index a 4.172 3.855 3.820 3.744 2.925 2.276 1.608 a 1/∑(xi /X)2, xi = value of each crop. X = total value.

0.2 to 0.3 ha of land remains unplanted for the less available to farmers with fewer savings. risk averse cases in Solution 11 to 6. The expected income reaches only P. 27,660 even in the risk neutral case because garlic production is highly limited by a This paper is a part of the results of the JICA counterpart lack of adequate water. training held at the National Agriculture Research Center in Tsukuba from July to December 1994, in which the second author participated. The authors acknowledge the VII Policy Implications helpful comments of Hisataro Horiuchi, Tottori University, and John S. Caldwell, Virginia Polytechnic The results provided by this study demonstrate that Institute and State University. Responsibility for any the selection of an optimal crop combination is sensi- errors remains with the authors. tive to both risk and farmers’ attitudes toward risk. In other words, risk can influence the decision-making process of farmers. References It is important to breed varieties which are more (1) McFarquhar, A. M. M. (1961) “Rational tolerant against environmental stress and to develop Decision-Making and Risk in Farm Planning: cultivation techniques which stabilize yields. An Application of Quadratic Programming in However, to eliminate risk completely from agricul- British Arable Farming,” Journal of Agricultural tural production is impossible. Thus to promote agri- Economics, 14-4: 552-563. cultural development in less favorable areas, the farm- (2) Camm, B. (1962) “Risk in Vegetable ers need to have higher risk management abilities than Production on a Fen Farm,” The Farm those in irrigated areas. In addition, risk mitigating Economist 10: 89-98. programs are also necessary to support farmers in less (3) Stovall, J. (1966) “Income Variation and favorable areas for cultivation. To enhance risk man- Selection of Enterprises,” Journal of Farm agement ability, providing information on weather and Economics, 48-5: 1575-1579. price, and training in data processing and analysis are (4) Traill, B. (1978) “Risk Variables In Econometric important. The extent of risk averseness depends Supply Response Models,” Journal of greatly on the financial status of the farmer. Farmers Agricultural Economics, 29-2: 53-61. with substantial savings may choose a more risky plan (5) Antle, J. (1987) “Econometric Estimation of than those with few savings. Programs such as crop Producers’ Risk Attitudes,” American Journal of insurance and relief loans could widen the choices Agricultural Economics, 69-3: 509-522.

72 Optimum Crop Combination under Risk: Second Cropping of Paddy Fields in the Philippines

(6) Hassan, R. and A. Hallam (1990) “Stochastic (12) Freund, R. (1956) “The Introduction of Risk into Technology In Programming Framework: A A Programming Model,” Econometrica, 24: Generalized Mean-Variance Farm Model,” 253-263. Journal of Agricultural Economics, 41: 196-206. (13) Bangko Sentral Ng Pilipinas (1992) “Selected (7) Nanseki, T, and Y. Morooka (1991) “Risk Philippine Economic Indicators,” 1992 Preference and Optimal Crop Combinations In Yearbook: Manila, Philippines. Upland Java, Indonesia,” Agricultural (14) National Statistical Coordination Board (1994) Economics, 5-1: 39-58. Philippine Statistical Yearbook 1994: Manila, (8) Ilocos Norte Provincial Profile (1993): Manila, Philippines. Philippines (15) Nanseki, T., A. Zakaria, S. Kosugi and Y. (9) Hazell, P.B. (1971) “Linear Alternative to Morooka (1989) Comparative Advantage Quadratic and Semi-Variance Programming for Analysis of Soybean in An Upland Area of West Farm Planning Under Uncertainty,” American Java: Case Study of Mathematical Programming Journal of Agricultural Economics, 53(1): 53- Approach, Report On JICA Technical 62. Cooperation With UN/ESCAP CGPRT Centre: (10) Rainfed Lowland Rice Consortium (1993) Site Bogor, Indonesia. Characterization and Economic Evaluation of (16) National Statistical Coordination Board (1991) Existing Crop Sequence - Farmers’ Field: The National Account of The Philippines: Manila, Philippines. Manila, Philippines. (11) Bureau of Agricultural Statistics (1994) Selected (17) Forster, G. W. (1953) Farm Organization and Statistics on Agriculture in Region I-A: Quezon Management: Prentice-Hall, N.Y. City, Philippines.

73 Japanese Language Education for the Promotion of International Understanding and Cooperation - An Example of Japan’s Assistance and Cooperation in Indonesia -

CASE STUDY

Japanese Language Education for the Promotion of International Understanding and Cooperation - An Example of Japan’s Assistance and Cooperation in Indonesia -

Yuko MOMOSE Senior Lecturer Japanese Language Institute, The Japan Foundation

Japanese language education in Indonesia has been developing rapidly since the 1980s. According to the latest statistics (the 1993 survey by the Japanese Language Institute of the Japan Foundation), the number of students learning Japanese in the nation comes in fourth in the world, while the number of institutions teaching the language comes in fifth. The reasons behind the growth of Japanese language education in Indonesia include efforts on the part of Indonesia, as well as Japan’s assistance in areas of human resources, materials and funds. At present, most Japanese government undertakings to support Japanese language education overseas are through the Japan Foundation, and are extended as a part of cultural exchange programs. As described in the Japan Foundation Law, the “dissemination of the Japanese language” is the pillar of such undertakings. In order for the Japanese government to develop Japanese language assistance programs effectively as a part of cultural exchange programs in the future, it is necessary to establish a new principle that promotes international understanding and cooperation, rather than adhering to the narrow perspective of the “dissemination of the Japanese language” and a one-way framework of extending assistance. The key words for establishing a new principle are “international cooperation”, “interactive international exchange”, and “mutual understanding among nations”. To realize the new principle, the author would like to propose three measures: strengthen international cooperation in Japanese language education; draw up syllabi that promote international understanding, and establish a network for Japanese language education. In considering how to extend support to Japanese language education in Asian countries such as Indonesia, it is necessary to pursue a new language assistance program that focuses on international understanding and cooperation. Such a program is even more vital when we reflect on Japan’s past in the region.

dents learning Japanese at various institutions had I Introduction grown to approximately 70,000, coming fourth after South Korea, China and Australia.1 Following Japan’s post-war economic develop- Japanese language education will continue to play ment, Japanese language education has developed a vital role in deepening the mutual understanding with a growing number of students learning Japanese between Japan and other countries such as Indonesia. around the world, especially in the Asian region. The It is, therefore, very important for Japan to extend the Japanese government has extended various types of appropriate assistance and cooperation that bring cooperation in areas such as human resources, materi- about further development of Japanese language edu- als, and funds, in an effort to support Japanese lan- cation overseas. To do this, it is essential for Japanese guage education abroad. In the case of Indonesia, the language education to be based on a new, bi-direction- Japanese government started extending its assistance al principle that aims at bilateral or multilateral under- to Japanese language education in the country not long standing, rather than being based on the one-way after the end of World War II. Since then, Japanese cooperation undertaken by Japan in the past. language education in Indonesia has expanded, helped In this article, the author would first like to use by efforts coming from the Indonesian side as well as Indonesia as an example to reflect on Japan’s assis- the friendly economic and political policies of the two tance and cooperation in the area of Japanese language countries. As of 1993, the number of Indonesian stu- education. Secondly, the author would like to analyze

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 14, No. 1(April 1998) 1. Japanese-Language Institute, the Japan Foundation, "Kaigai niokeru nihongo kyoiku no genjo (Situation of Japanese Language Education Overseas)," Nihongo Kyoiku Kikan Chosa 1993 (Survey Report on Japanese-Language Education Abroad 1993) (1995), p. 75.

75 Technology and Development, No.12, 1999 the principles, and systems of assistance and coopera- instructor invited from Japan. In Bandung in 1934, tion that would facilitate mutual understanding the Japanese language was introduced into the local between Japan and other nations in international cul- education system as one of the foreign language sub- tural exchanges. Thirdly, the author aims to propose a jects at the Institute of Ksatrian, a private school.3 way of assisting Japanese language education over- Hiroshi Nagashima, a lecturer, was invited from seas, especially in Asia, based on the new principle. Japan, and among other things, he compiled Japanese language textbooks. During the Japanese occupation (1942-1945), the II History of Japanese Language Education in Japanese language was made a compulsory subject Indonesia and Japan’s Participation throughout primary and higher education. Adults were also given Japanese classes, and Japanese rapidly 1. Japanese Language Education in the Pre-war spread among the local inhabitants. The Japanese and Wartime Periods army held up the “dissemination of the Japanese lan- The first Japanese language class was organized in guage” as the pillar of the language policy in 1903 by a Japanese businessman (Chikara Nagayama) Indonesia and put its energy into drafting related laws, who worked at the Batavia branch of an English trad- training Indonesian teachers locally, and creating text- ing company.2 It is said that the class was intended for books.4 The “dissemination of the Japanese language” local Indonesians and was given by a Japanese carried out forcibly as a part of the occupational poli-

Table 1 Japanese Language Education in Post-war Indonesia 1958: Japanese language education commences at Nihon Bunka Gakuin (the first Japanese language instruction at an institution). 1961: Japanese language education specialists are dispatched to Nihon Bunka Gakuin according to the Colombo Plan. 1962: Japanese language education commences at high schools as an optional foreign language. 1963: A Japanese language/literature department is established at Padjadjaran University. Japanese language education specialists are dispatched. 1965: The Japanese language department at Bandung University of Education is established (Teacher-training commences for Japanese language education at high schools). 1967: A Japanese studies course opens (donated by the Japanese government) at the University of Indonesia; profes- sors are dispatched, etc. 1969: A Japanese language course begins at the cultural information center of the Embassy of Japan (Japanese language course for the general public). 1975: The Jakarta office of the Japan Foundation is established. 1976: Training for high school Japanese language teachers commences (co-sponsored by the Indonesian Ministry of Education and Culture and the Japan Foundation). 1977: A Japanese language course opens at the Japanese consulate in Surabaya (Japanese language course for the general public). 1979: The Japan Cultural Center of the Japan Foundation in Jakarta is established. 1981: The Japanese language department at Surabaya University of Education is established (The training of Japanese-language high school teachers expands to the provinces). 1982: The first nation-wide seminar by a Japanese studies association in Indonesia is held. 1984: The curriculum of foreign language education for high school is revised (The Japanese language becomes an option among compulsory language subjects). 1990: A standard curriculum for schools where Japanese is taught is drafted (Department of Social Education of the Ministry of Education and Culture of Indonesia). 1990: A Japanese studies program (Master’s degree) is opened at the University of Indonesia. 1991: The Japanese-Language Center, Jakarta, of the Japan Foundation is established (assistance and cooperation to Japanese language education at the level of secondary education strengthened). 1992: Japanese language educational programs are televised (by RCTI, a private broadcasting company). 1994: The curriculum for higher education is revised (The new curriculum for foreign languages is set to begin in 1996). 1995: Young Japanese-language teachers are dispatched as advisors in Japanese language education at high schools. 1995: A Japanese studies program (Ph.D.) is opened at the University of Indonesia. Source: Kokusai Koryu Kikin 15 Nen no Ayumi (15 Years of the Japan Foundation), Kokusai Koryu Kikin Nenpo (Annual Report of the Japan Foundation), etc.

2. Jagatara Tomo no Kai (ed.), Jagatara Kanwa (Jagatara Idle Talk) (1978), pp. 19-20. 3. Kenichi Goto, Showaki Nihon to Indonesia (Propaganda and Teaching of Japanese in the Japan-Occupied Area)(1986), pp. 396-402. 4. Hiroyuki Miyawaki and Yuko Momose, “Nanpo senryochi niokeru nihongo hukyu to nihongo kyoiku (Dissemination of the Japanese language and Japanese language education in areas occupied south of Japan),” Seijo Bungei, No. 130 (1990).

76 Japanese Language Education for the Promotion of International Understanding and Cooperation - An Example of Japan’s Assistance and Cooperation in Indonesia -

Table 2 Japanese Language Education Overseas (Assistance Programs by the Japan Foundation) Human Resources Assistance (teachers/students): Dispatching native Japanese-language teachers: Dispatching Japanese-language lecturers (long/short-term) Dispatching young Japanese-language teachers, etc. Japanese-language teacher training: Overseas Japanese-language teachers training (long/short-term, Japanese abroad, etc.) Japanese-language specialists pre-dispatch training Japanese-language students training: Training for outstanding foreign students of the Japanese language Japanese-language training for foreign service officers Japanese-language training for librarians Teaching Material Assistance: Producing Japanese-language teaching materials Program for the development of Japanese-language teaching resources Japanese-language teaching materials and educational equipment donation program Salary Assistance: Salary assistance for full-time Japanese-language teachers overseas Rewards for foreign teachers of Japanese-language overseas Source: Kokusai Koryu Kikin Nenpo (Annual Report of the Japan Foundation) (1996), pp. 17-19. cies can be regarded as cultural intervention by Japan Indonesia, and because of Japan’s assistance and in Indonesia. cooperation. Major achievements are listed in Table-1. The following is a summary of major achieve- 2. Development of Japanese Language Education ments in Japanese language education over the last 40 in Post-War Indonesia years: Official foreign relations between Japan and 1) Japanese language education developed geographi- Indonesia commenced in 1958 when the Japan- cally from the capital and major cities to the rural Indonesia Peace Treaty was concluded. regions.8 Simultaneously, a war reparation agreement was 2) Places for Japanese language education have varied signed between the two countries, and many from specialized education at graduate schools to Indonesian students and trainees were given opportu- TV broadcasts targeting the general public. In the nities to visit Japan to receive Japanese language edu- 1990s, in particular, Japanese language education cation. Moreover, technical cooperation based on the has experienced an increase in the number and kinds Colombo Plan began to Indonesia. As part of the of students.9 cooperation, Japanese language specialists were dis- 3) As the quantitative growth of Japanese language patched to Indonesia in 1961.5 education has taken place (the introduction of Japanese language education in Indonesia was Japanese into high school education has been the restored some 10 years after the end of the war. At the primary cause of this.), a deepening in the quality same time, assistance and cooperation began. At that has begun (in addition to the implementation of point, however, language education was only supple- Japanese language education at the graduate school mental and concomitant to a series of technical coop- level, and strengthening of research through the for- eration projects.6 Another reason for the revival of mation of a Japanese language education society). Japanese language education was that there were all 4) Systems on the Japanese side have gradually devel- sorts of expectations on the Indonesian side on Japan oped to extend assistance and cooperation (includ- which reemerged and developed in the very early ing the foundation of the Jakarta Language Center stages of the post-war period.7 Japanese language by the Japan Foundation). education in Indonesia has grown over the last 40 As shown earlier, Japan’s participation in Japanese years because of domestic efforts on the part of language education in Indonesia has changed over

5. Institute for International Cooperation, Japan International Cooperation Agency, Kokusai Kyoryoku Jigyodan niokeru Nihongo Kyoiku Jigyo nitsuite (JICA’s Program for Japanese Language Education) (1989), p. 37. 6. Overseas Technical Cooperation Agency, “Nihongo kyoiku kyoryoku: kikoku senmonka wo kakonde (Japanese language education cooperation: a round-table discussion by repatriated experts),” EXPERT, No. 9 (1970), p. 15. 7. Aji Sumarna Martawijaya, “Sengo no nihongo kyoiku (Japanese language education in the post-war era),” Indonesia: Sono Bunka Shakai to Nihon (Indonesia: Its Culture, Society and Japan) (Waseda Daigaku Shakai Kagaku Kenkyujo, 1979). 8. From the second half of the 1980s, Japanese language programs have been opened at universities in provincial cities as well as expanded to senior high schools on the outskirts of provincial cities (Japanese-Language Institute, the Japan Foundation, op. cit., pp. 156-185). 9. As of 1993, high school level students of Japanese account for approximately 80% of the total. Japanese language education is diversifying because of the level of the students and because of their purpose for learning the language.

77 Technology and Development, No.12, 1999 time. Japanese language education that started in the Moreover, the Japan Foundation Operational Meiji period as an individual pursuit experienced a Methods 1(Article 3 No. 3; 1974 Provision No. 2) dark age of coercion during the occupation of outlines how to carry out the “dissemination of the Indonesia, but was restored as part of technical coop- Japanese language” as follows: eration programs after the war. Over some 50 years, it Dissemination of the Japanese language by train- has developed basically as part of cultural exchange ing and dispatching specialists in language education, programs, helped by various types of assistance and researching teaching methods, and developing and cooperation given by the government of Japan to delivering teaching materials.” (Underlined by the Indonesia. author) What basic stance should concerned parties take when implementing such activities? No written docu- III Analysis of Japan’s Assistance and ment stipulates this. However, as far as previously Cooperation Programs issued reports are concerned, “local initiative” is recognized as the basic stance. “Local initiative” is the At the governmental level, assistance and coopera- stance taken in both the methods for conducting tion programs to Japanese language education in Japanese language education and the request-basis Indonesia are currently undertaken by the Japan principle of assistance and cooperation.10 Local teach- Foundation, the Japan International Cooperation ers should play a central role, and the contents of edu- Agency, the Ministry of Education, and other bodies. cation and teaching materials should be developed by The purpose of this section is to analyze programs local governments and institutions in line with the pur- undertaken by the Japan Foundation, which plays a pose and educational goals of learners. pivotal role in assistance and cooperation to Japanese Based on the above, Japanese language education language education abroad. programs undertaken by the Japan Foundation can be summarized as follows: 1. Japan’s Basic Stance on Assistance and (1) As a part of international cultural exchange pro- Cooperation, and the Content of Assistance and grams, the Japan Foundation implements the “dis- Cooperation Programs semination of the Japanese language”. 1.1 Japan’s Basic Stance on Assistance and (2) In order to implement the “dissemination of the Cooperation Japanese language”, the following three items: The Japan Foundation was established in 1972 as a human resources, teaching materials, and teaching special legal entity under the auspices of the Ministry methods, need to be improved. of Foreign Affairs. The aims of the organization are (3) The Japan Foundation assists and cooperates in prescribed as follows in Article 1 of the Japan Japanese language education taking the basic Foundation Law (Law Number 48; June 1, 1972): stance of “local initiative”. The purpose of the Japan Foundation is to efficiently carry on activities for international cultural 1.2 Contents of Assistance and Cooperation Programs exchanges and thereby to contribute to the enhance- This section deals with specific contents of assis- ment of world culture and the welfare of mankind, tance and cooperation programs undertaken by the with a view to deepening other nations’ understanding Japan Foundation for Japanese language education of Japan, promoting better mutual understanding overseas, particularly in Indonesia. among nations, and encouraging friendship and good- Table-2 shows the major subsidy programs that the will among the peoples of the world. Japan Foundation headquarters and domestic organi- The content of its operation is described as below: zations attached to the Japan Foundation are responsi- The Japan Foundation is to undertake the follow- ble for in the area of Japanese language education ing activities in order to achieve the objectives listed overseas. in Article 1: In the case of Indonesia, the Japanese-Language (1) Invite and dispatch personnel who could serve Center was founded in Jakarta. Besides serving as a with the intention of international cultural liaison office in undertaking activities controlled by exchange; Tokyo headquarters, the center implements its own (2) Assist to Japanese studies overseas as well as the assistance and cooperation programs (Japanese lan- dissemination of the Japanese language guage courses, libraries, teacher-training, various (Underlined by the author); (The middle parts have kinds of consultation, teaching materials subsidy pro- been omitted) grams, etc.) according to the actual situation in the (7) Other activities (Article 23) necessary to fulfill the country.11 ultimate goal listed in Article 1 It is clear that programs undertaken by the head-

10. Naoji Matsubara, “Tayoka suru kaigai no nihongo kyoiku womegutte (Diversifying Japanese language education overseas),” Nihongo Kyoiku, No. 66 (1988), pp. 125-126. 11. Japanese-Language Institute, the Japan Foundation (ed.), Nihongo Kokusai Center Kiyo, No. 7 (1997), pp. 172-177.

78 Japanese Language Education for the Promotion of International Understanding and Cooperation - An Example of Japan’s Assistance and Cooperation in Indonesia - quarters, domestic affiliated organizations, and over- Japanese language,14 and forcibly introduced the lan- seas centers are being implemented in line with the guage as the common language of the Greater East Japan Foundation Operational Methods, with the pur- Asia Co-Prosperity Sphere. Therefore, when the term pose of achieving the development and improvement is placed in a historical context, it has the connotation of human resources, teaching materials, and teaching of cultural invasion, which is quite opposite to its methods, etc. intended meaning of cultural exchange. Each recipient organization should apply for a par- Moreover, there are still victims of the language ticular subsidy program based on whether the program policies are still alive in various parts of Asia. They in question is necessary for enriching its own human continue to pass down the history of Japanese occupa- resources, teaching materials, etc. tion to younger generations in detail. The term “dissemination of the Japanese language”, which the gov- 2. Problems in Assistance and Cooperation ernment of Japan proudly holds up as a policy for cul- Programs tural exchange programs, still connotes cultural inva- In 1970, when a survey on Japanese language edu- sion to people in other parts of Asia, and there is a cation overseas 12 was first conducted, it was reported clear gap between the way Japanese people interpret that there were 56,649 students learning Japanese lan- the term and the way people in other parts of Asia guage at 717 institutions (50 countries/areas) around interpret it. the world. Twenty-three years later, a survey on overseas orga- 2.2 The Problem of “Dissemination of the Japanese nizations teaching Japanese language conducted in Language” Continuing to be the Central Policy 199313 found 1,620,000 students learning Japanese at Dissemination of the Japanese language as a for- 6,800 institutions (99 countries/areas). During this eign cultural policy in the post-war era was modeled period, the number of teachers also surged from 1,890 after western countries, such as England, France, to 21,034. In the case of Indonesia, over the same Germany, and the United States, which had similar period, the number of institutions increased from 25 to policies for promoting their own languages.15 460, and the number of teachers grew from 84 to 998. Provided that “cultural exchange is aimed at facilitat- Unfortunately, the aggregated number of students who ing the ties of friendship by deepening understanding learned Japanese during this period is not known. toward Japan among other nations as well as mutual However, it must be quite large, considering that there understanding between Japan and other countries were 2,236 students in 1970, and 73,248 in 1993. through cultural programs, and thereby contributing to Quantitatively, “dissemination of the Japanese lan- the welfare of mankind and global peace”,16 should guage” has been quite successful. However, the ques- assistance and cooperation programs of Japanese lan- tion arises as to whether “dissemination of the guage education be established around a more appro- Japanese language” as a primary policy is effective in priate principle for greater development in the future, promoting better understanding among nations and rather than being centered around a one-sided, self- encouraging friendship and goodwill among the peo- centered framework, i.e. the “dissemination of the ples of the world. This question arises because facili- Japanese language”? tating Japanese language education from this perspec- The term “dissemination of the Japanese language” tive has a number of problems and limitations. is also inadequate in terms of further promoting “local initiative”, which is the basic principle of the Japan 2.1 Problems Resulting from the Historical Foundation for extending Japanese language pro- Connotation of the Term “Dissemination of the grams. Moreover, this self-centered perspective should Japanese Language” be altered now17 while there is a growing number of Before and during the World War II, “dissemina- foreign teachers striving for the development of tion of the Japanese language” denoted coercive Japanese language education in their own countries. Japanese (or national) language policies in Japanese colonies and occupied areas. As mentioned earlier, in Indonesia as well, the Japanese army drafted a regula- tion to outline educational strategy for disseminating

12. Shuppan Bunka Kokusai Koryukai (ed.), Sekai no Nihongo Kyoiku Kikan Ichiran (A List of Japanese Language Education Institutions Worldwide) (1970). 13. The Japanese-Language Institute, the Japan Foundation, op. cit., p. 15, pp. 74-75. 14. Djawa Gunseikanbu Somubu Chosa Shiryoshitsu, Djawa niokeru Bunkyo no Gaiyo (An Outline of Education in Java) (Ryukei Shosha, 1944 [republished in 1991]), p. 250. 15. Cultural Affairs Department, the Ministry of Foreign Affairs, Kokusai Bunka Koryu no Genjo to Tenbo (Current Situation and Future Prospects of International Cultural Exchange) (1972), p. 31. 16. ibid., p. 2. 17. The author observed an example of this in Indonesia. A Japanese-language high school teachers’ association has recently become active. It has been indepen- dently working on developing classroom activities in line with the new curriculum. Another example comes from the university at which the author used to teach, where efforts were being made to improve the teaching techniques of young Indonesian teachers, and to become more independent. (It was receiving various subsidies from Japan.)

79 Technology and Development, No.12, 1999

and language education and utilize them as effective IV Japanese Language Education in Light of tools for international exchange and understanding. International Understanding and Cooperation 2. Proposal of Specific Measures 1. Need for a More Adequate Principle In this section, several points are proposed based What kind of new principle should assistance and on the new principle. cooperation programs for Japanese language education overseas be based on in order to contribute to mutual 2.1 Strengthening the Cooperation System understanding and friendship? Assistance and cooperation in the past were cen- First of all, a perspective of ‘cooperation’, not tered around Japan’s aid which included provisioning ‘aid’, should be emphasized. A perspective proposed of human resources, materials, and funds. Although by Sumiya is suggestive and could be applied to Japan took the basic stance of “local initiative”, past Japanese language education programs overseas: assistance and cooperation cannot be regarded as truly ...the most basic problem facing foreign assistance interactive, leading to international cultural is whether it is ‘aid’ or ‘cooperation’. In ‘aid’, the exchange.20 As mentioned earlier, it is necessary to donor is autonomous, while the recipient is dependent. stress a perspective of ‘cooperation’, that is, Japan and On the contrary, in ‘cooperation’, both the donor and the other party collaborate on common ground, in recipient are equal.18 order to realize interactive programs for Japanese lan- It is important for Japan not to take the initiative, guage education. In Japanese language education but to proceed while establishing an equal and cooper- abroad, it is particularly important to establish a close ative relationship with the other party. cooperative relationship with non-native Japanese lan- Secondly, a perspective of “interactive internation- guage teachers around the world. al exchange” is essential. A point presented by Notsu To strengthen the cooperative relationship with merits attention, that is Indonesia, for example, three measures could be taken ...what is most important for Japanese language with respect to human resources, teaching materials, education in Asia is a principle that makes it clear that and teaching methods, which are key factors in dissemination of Japanese language education is Japanese language education: sought neither for national nor economic interests, but 1) Strengthening cooperation in teacher training to contribute to the bilateral exchange of universal cul- 2) Strengthening cooperation in teaching material ture and values.19 development Measures need to be examined so that interactive 3) Strengthening the joint research system (Japanese international exchange becomes feasible through the language studies, Japanese teaching methods stud- Japanese language and language education. ies) The author would like to add the point that Japanese language education should play a major role 2.2 Seeking International-Understanding-Oriented in facilitating bilateral, multilateral, and international Japanese Language Education understanding, namely, a standpoint that international The objectives of Japanese language education understanding is possible through the Japanese lan- overseas are changing. In the past, Japanese studies guage and language education. In summary, there are and Japanese language and literature studies were the three key words when establishing a basic principle mainstay of Japanese language education. In recent for assistance and cooperation programs in the area of years, a growing number of junior and senior high Japanese language education, those being schools have introduced Japanese language education ‘cooperation’, ‘interactive international exchange’ and as a part of cross-cultural education. Each country is ‘international understanding’. undertaking Japanese language education based on its Japanese language education programs have own needs. This is positive. focused on increasing the number of students from the However, Japanese language education programs perspective of the “dissemination of the Japanese lan- need to have a syllabus that can facilitate international guage”. At the same time, Japan has taken a stance of understanding so that they may contribute to interna- “local initiative”, basically a hands-off approach. tional cultural exchange in a more active way. So far, However, the number of students has grown and it is various syllabi have been considered including gram- time to give a more positive role to Japanese language mar-based syllabi, functional syllabis, topic syllabis,

18. Mikio Sumiya, “Asia wo miru shiten: kokusai kyoryoku jigyo tono kanren de (Perspective on Asia: in relation to international cooperation programs),” Kokusai Kyoryoku Kenkyu, 12 (1) (1996), 6. 19. Takashi Nostu, “Kaigai deno nihongo kyoiku no hukyu to waga kuni no enjo seisaku (Dissemination of Japanese language education overseas and Japan’s assistance policies)”, Sato Sakae Gakuen Saitama Tanki Daigaku Kenkyu Kiyo, No. 5 (1996), p. 101. 20. For instance, cooperation and exchange have been implemented, which include dispatching Japanese language experts, and bringing foreign Japanese language teachers to Japan and training them. Since Japanese tend to be in the position of giving advice and guidance, and foreign teachers tend to be receiving advice and instruction, under the current system, it is very difficult for both to be on equal footing. 21. Nihongo Kyoiku Gakkai (ed.), Nihongo Kyoiku niokeru Course Design (Course Design in Japanese Language Education) (Bonjinsha, 1991), pp. 14-15.

80 Japanese Language Education for the Promotion of International Understanding and Cooperation - An Example of Japan’s Assistance and Cooperation in Indonesia - and situational syllabis.21 It would be effective to pre- 2.4 Necessity of Asian Language Education for pare a new syllabis for Japanese language education Japanese to Understand Asia that promotes international understanding. For Junior and senior high school and university stu- instance, in the case of Indonesia, it is necessary to dents throughout Asia are striving to understand Japan examine how the contents of Japanese language edu- and to introduce their own nation to Japan by learning cation should be planned for both Indonesian and Japanese. In contrast, foreign language education in Japanese people to deepen their understanding of each the Japanese educational system is centered around other. The following perspectives should be incorpo- Western languages. Interactive communication by rated into the drafting of a syllabus: way of various languages would be effective for wider 1) what Indonesians would like Japanese to know cultural exchange in the future. In response to Asian about Indonesia people learning Japanese, it is necessary to foster an 2) what Indonesians would like to know about Japan environment in which Japanese youths, who are the 3) what Japanese would like Indonesians to know torchbearers of Japan’s future, can learn Asian lan- about Japan guages as well.22 Learning a language is the first step 4) what Japanese would like to know about Indonesia toward understanding the other party. If topics in a textbook are selected incorporating these perspectives, not only would it help deepen understanding toward Japan among Indonesians, but it V Conclusion would also make it easier for Indonesians to convey information about their country to Japanese. Needless The era when “dissemination of the Japanese lan- to say cooperation from both Indonesia and Japan is guage” was the ultimate goal is over. Now it is time essential for preparing an “international-understand- for the Japanese language and Japanese language edu- ing-oriented syllabus”. cation to take a part in advancing international mutual understanding and contributing to international cultur- 2.3 Organizing Information Related to Japanese al exchange. Fortunately, the overseas situation of Language Education and Establishing a Network Japanese language education is becoming more favor- In order to realize bilateral international under- able for the development of international cultural standing and cooperation, information from around the exchange programs because there is a greater range of world regarding Japanese language education needs to students learning Japanese due to the introduction of be shared freely and globally. If information in each language education at junior and senior high school country about Japanese language education is orga- level. It is strongly desired that assistance and cooper- nized and a network is established, it will become pos- ation programs by the Japanese government for sible for each country to easily and quickly exchange Japanese language education be based on a perspec- information on syllabi and teaching methods. tive of international understanding and cooperation Moreover, multilateral exchange will be possible if and that they respond to a new era. information, such as what textbooks are used in each When thinking about how Japanese language edu- country, and compositions and speeches of students cation should be conducted in Asia, particularly in can be gathered and exchanged. Such a network would Indonesia, it is necessary to dispose of the old per- also be useful in helping Japanese to understand other spective of the “dissemination of the Japanese lan- countries/cultures and in introducing Japan/Japanese guage”, to reflect on Japan’s past conduct, and to culture to others. More than ever, effort to make infor- proceed with new program development based on a mation available on Japanese language education and basic stance of international understanding and coop- to expand the network at the level of governments and eration. Taking Indonesia as an example, this article educational institutions are necessary to revitalize analyzed the principles and measures necessary for Japanese language education. Japanese language education to contribute to international society in the future. Detailed measures were not proposed. This remains a task for the future.

22. The first report submitted by the 15th Session of the Central Education Council [See the Ministry of Education (ed.), Monbu Jiho: Hachigatsu Rinji Zokango, No. 1437 (Education Report: August Special Issue) (1996)] recognized the need for foreign language education other than English at the junior and senior high school level. The author strongly supports this view and hopes that it will materialize.

81 Risk Factors Influencing Childbirth in Rural Malawi

CASE STUDY

Risk Factors Influencing Childbirth in Rural Malawi

Hiroyuki NAKANO Chief of International Cooperation, Division of Pediatrics, St. Mary’s Hospital Gen INUO Chief of International Cooperation, Division of Internal Diseases, St. Mary’s Hospital Takatoshi KOBAYAKAWA Professor, International Environment and Tropical Medicine, Tokyo Women’s Medical College Akira KANEKO Assistant Professor, International Environment and Tropical Medicine, Tokyo Women’s Medical College Toshio AKIBA Expert, Public Health Project in Malawi, Japan International Cooperation Agency Hiroaki YAMAZAKI Expert, Public Health Project in Malawi, Japan International Cooperation Agency Tomoko SAITO Former Expert, Public Health Project in Malawi, Japan International Cooperation Agency Kimiteru NAKAGAWA Expert, Public Health Project in Malawi, Japan International Cooperation Agency

The authors undertook a medical survey of pregnant women in rural Malawi as a part of a public health project by the Japan International Cooperation Agency (JICA) in that country. Based on the conditions of public health identified during the course of the survey, the authors analyzed the problems facing pregnant women in rural Malawi and proposed countermeasures to overcome these problems. The subjects of the survey included 509 pregnant women who visited the antenatal clinic of the Salima District Hospital. The survey consisted of two parts: a detailed background survey including age, education, occupation, and history of previous pregnancies; and comprehensive laboratory examinations including hemoglobin, urine, malaria, schistosomiasis, serum protein, syphilis, and HIV. Follow-up research was also conducted after the completion of the initial survey in order to gather information on the outcome of childbirth. Pregnant women between the ages of 15 and 19 accounted for a significant percentage of those surveyed (15.8% of the total). Of all women in the study 49.3% had never enrolled in school. The number of pregnancies among the subjects indicated a tendency toward multiple pregnancies, with the most being 16 pregnancies. A high percentage of stillbirths and miscarriages was confirmed, that is, out of 392 pregnancies (excluding first- time pregnancies) 4.1% ended in miscarriage and 14.0% were stillbirths. The number of children was high, but 331 children (26.2%) out of 1264 born had died previously. Many mothers had had complications during pregnancy and/or a systemic disease in the past. A large number of the mothers were infected with malaria and had diarrhoeal diseases during their current pregnancies. A series of laboratory examinations proved that 39.7%, 0.6%, and 15.6% tested positive for albuminuria, diabetes, and occult blood in urine respectively, and bilharzial eggs were detected in the urine of 15.2%. 54.7% were suffering from anemia with a Hb level of less than 11.0g/100ml. 21.8% tested positive for malaria, and 2.8% for TPHA. A series of virological tests tested 6.4% positive for the HB antigen and 20.2% for HIV. Risk factors influencing the outcome of childbirth include pregnancy at a young age, particularly for first-time pregnancies, not having a school education, having a history of miscarriage and stillbirth, and having a history of complications during pregnancy. Laboratory examinations proved that the percentage of those who tested positive for anemia, albuminuria, malaria, STDs, and HB antigen was relatively high among those experiencing abnormal deliveries. Based on the above results, the authors conclude that technical cooperation which aims at improving the medical service supply system is particularly important as a counter-measure for reducing the above mentioned risk factors. Specifically, such technical cooperation would include the provision of health education in the areas of sanitation and nutrition, the appropriate management of high-risk cases, the case management of anemia, malaria and STDs, and the establishment of an emergency referral system.

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 14, No. 1(April 1998)

83 Technology and Development, No.12, 1999

I Introduction

The condition of public health in developing coun- The Tanzania tries is, in general, far from satisfactory. This is espe- Northern cially true in the area of maternal and child health, Region Lake Malawi which includes pregnant women and children under five years of age. Moreover, the condition of public health generally differs according, not only to the area, N for example, Asia and Africa, but also according to the Zambia levels of development. As a result, medical coopera- Mozambique tion naturally differs according to these conditions. The authors had the opportunity to carry out research on pregnant women in rural Malawi, which is one of the poorest countries in East Africa. The survey Salima was made possible as part of a public health project by The Lilongwe Central the Japan International Cooperation Agency (JICA). Region The primary objective of the project is to organize and Mozambique strengthen the laboratory examination section of the Community Health Sciences Unit (CHSU). The pro- National Boundary ject also aims at conducting public health activities in Regional Boundary the designated model district and simultaneously District Boundary enhancing the referral system between the CHSU and the field. The foundation of the research on pregnant 0 50 100km The Southern women rests on three things: (1) antenatal women, the Region primary targets of maternal and child health programs, were determined to be the most suitable to study in Figure 1 order to understand health conditions in the model dis- Map of Administrative Division in Malawi trict; (2) the laboratory examinations done as part of Note: The target district of the survey, Salima, is located the research were expected to contribute to strengthen- 100 km northeast of the capital Lilongwe, and faces ing the examination section of the CHSU; and (3) risk factors influencing the outcome of pregnancy could be clarified. In this article, the authors report the results the survey, over a 6-week period, was 17. The survey of the survey, identify problems, and suggest possible took place from April 3 to May 9 of 1995. The subject countermeasures for overcoming these problems. pool was, in principle, limited to new patients regardless of whether the subject was a primipara or a multi- para. When the number of new patients did not meet II Subjects and Methods the target number of 30, patients with 2 visits or more were included. 1. Subject 1.1 Target Area 2. Method The country of Malawi is divided into three parts, 2.1 Gathering Information on the Background of the northern, central and southern part, and consists of Pregnant Women 25 administrative districts (Figure-1). The target dis- First, all subjects were given explanations of the trict of the survey is Salima in the central region. purpose of the survey, the contents of the laboratory Salima is located about 100km northeast of the capital examinations, and the confidentiality of the results. Lilongwe, and faces Lake Malawi. Salima has a popu- Provided her consent was obtained, each woman was lation of about 240,000. A relatively large number of asked to sign her name or put a thumbprint on the cases of malaria, bilharziasis, and nutritional disorders agreement (Her thumbprint was used when she was are found in the district. The major medical facilities unable to sign her name). Consent was followed by in the district include one district hospital, eight gov- getting information about the backgrounds of the ernment-run health centers, and seven church-run women through interviews, medical examinations, and health centers. counselling. The interviews, examinations and counselling were conducted at the antenatal clinic in the 1.2 Subjects of the Research Salima District Hospital by 3 maternal and child Pregnant women who visited the antenatal clinic at health (MCH) nurses. the Salima District Hospital were chosen as subjects of the survey. The target number of samples was set at 2.2 Laboratory Tests on Pregnant Women 500, with the number of samples taken at one time Laboratory tests were conducted in an examination being limited to 30. The total number of days spent on room at the Salima District Hospital and included

84 Risk Factors Influencing Childbirth in Rural Malawi

Table 1 Questionnaire on Childbirth Outcome

REQUEST ID No.

We are very interested in the outcome of your pregnancy. Please ask the nurse / TBA to fill out the questionnaire below after your delivery. We would appreciate it if you bring this questionnaire when you come back to Salima District Hospital. Thank you.

To midwives / nurses / TBAs / or to whom it may concern, We would appreciate it if you fill out the following questionnaire on this woman’s delivery. 1. Date of delivery： 2. Place of delivery： 3. Delivery： (a)( ) Normal, no complications. (b)( ) Mother’s complications (specify： ) 4. Newborn infant： (a)( ) Alive (b)( ) Stillbirth (died after 28 weeks) (c)( ) Abortion (died before 28 weeks) 5. For the baby born alive： (a) Gestation period： weeks (b) Birth weight： grams (c) If known, Apgar score： points (d) Did the newborn have any complications ? ( ) No. ( ) If yes, please specify：

Thank you. JICA-CHSU Project Salima Pregnant Women Survey

(Note: This questionnaire was handed to every pregnant woman at the time of their medical examination, and was to be filled out after the childbirth by the parties concerned. The questionnaire was collected when the mother paid a visit to the clinic, or by visits directly to villages to collect it. The front was printed in English, and the back was printed in the local language (Chewa). hemoglobin (Hb) level, examination of the urine (pro- eggs in the entire scope rated as 1+, between 10 and tein, sugar, occult blood, and schistosomiasis), and 50 eggs as 2+ and more than 50 eggs as 3+. The Hb preparation of a smear for a malaria test. These tests level was measured by using a spectrophotometer. For were carried out by two technincal assistants, one the malarial parasite test, a double-layered smear (thin from the Salima district hospital and another dis- and thick) was prepared for microscopic analysis. patched by the CHSU, under the supervision of a Rating was carried out following the scheme of 1 to 9 Japanese expert. Blood samples were gathered sepa- parasites per 100 scopes rated as 1+, 1 to 9 per 10 rately and brought back to the CHSU along with the scopes rated as 2+, 1 to 9 per 1 scope rated as 3+, and smears. The separation of serums in these blood sam- more than 10 per 1 scope rated as 4+. For the syphilis ples was conducted that day so that both serum total test, an RPR test was conducted on all subjects, and an protein (TP) and rapid plasma reagin (RPR) tests additional TPHA (treponema pallidum hemagglutina- could be conducted the following day. In addition, a tion) test was conducted on those who tested positive microscopic test for malaria and a virus antibody test for RPR. The serum TP test was conducted by using a were also carried out. These tests at the CHSU were refractometer and albumin was measured by the BCG conducted by technical assistants from the facility method. Virological tests were all conducted by using under supervision of a Japanese expert. the serodia method, including hepatitis B-antigen Examination of the urine for protein, occult blood (HBs antigen), human T-cell leukemia virus 1 and sugar was conducted semi-quantitatively by using (HTLV1), and human immuno-deficiency virus (HIV) multi-sticks. Examination of urine for bilharzia was tests. conducted by using the filter method, with less than 10

85 Technology and Development, No.12, 1999

Table 2 Breakdown of Abnormal Childbirth Cases (52 Cases)

Abnormality in mother Number of casesAbnormality in neonate Number of cases Death of mother 2 Stillbirths and miscarriages 9 Cesarean sections 3 Death after birth 7 Hemorrhage 5 Low weight at birth (less than 2kg) 3 Difficult Labor 3 Asphyxia 5 Uterine damage 6 Convulsion 1 Eclampsia 2 Respiratory distress 2 Other abnormalities 2 Other abnormalities 6 Total 23 Total 33 Note 1: Four cases of abnormality overlap in both mother and neonate. Note 2: For details of other abnormalities, please refer to the text.

2.3 Follow-up Research regarding Results of Delivery later proved not to be pregnant and another 6, who A questionnaire (Table-1) was prepared in order to either took the questionnaire back home or refused to determine how the background of pregnant women have a blood sample taken. In the end, 501 women, and their health conditions during pregnancy influ- excluding these 8, became subjects. The percentage of enced the mother and child at the time of childbirth. women who dropped out after their registration was Each pregnant woman who received the laboratory finalized was 1.6%. examinations was asked to carry the sheet with her. The sheet was to be filled out by a midwife at the dis- 2. Collection of Questionnaires trict hospital or at a health center, or by a traditional Three hundred and thirty one questionnaires birth attendant (TBA) who was present at the child’s (66.1%) were collected after the completion of the birth. The questionnaires were collected by MCH medical examination. As indicated in Table-2, there nurses when mothers visited the clinic afterward. In were 52 cases (15.7%) of abnormal childbirth, either cases in which mothers were unable to visit, question- for reasons concerning the mother or for reasons con- naires were collected in villages. The collection of cerning the baby. questionnaires continued until the end of December 1995. 3. Background of Pregnant Women: Its As shown in Table-2, outcomes of childbirth were Relationship to the Survey Results and grouped into two categories: abnormal childbirths, in Childbirth Outcomes which abnormalities were found in the mother and/or 3.1 Breakdown of the Abnormal Childbirth Category neonate, and normal births, in which no abnormalities (Table-2) were found. An analysis was made of the relationships Among the cases of abnormal childbirth, there between outcome of childbirth and the mother’s back- were 2 cases (0.6%) which resulted in the death of the ground and examination results. Incidentally, abnor- mother. In one case, the mother suffered from severe malities found in mothers included one case of re-hos- diabetes; in the other, the woman’s husband died of pitalization due to an unknown cause, and one case of AIDS and she herself also had malaria, anemia (Hb: severe dizziness. Abnormalities found in neonates 10.3g/100ml) and HTLV1, and subsequently, died. included two cases of multiple malformations, and one There were 16 cases (4.8%) which resulted in the case each of septicemia, bulging of the major fontanel, death of the child through stillbirth, miscarriage and an abnormally large baby and deformation of the cra- death after delivery. In the 2 cases where the mothers nium. Cases that had influenced or might influence the died, their babies were born with abnormalities. prognoses of mothers and neonates were included in the abnormal childbirth category. In relation to the sta- 3.2 The Location of Delivery tistical analysis of disparities between the normal and A relatively large number of abnormal deliveries abnormal childbirth categories, a chi-square test and took place either at the hospital or at a TBA. Most test of average disparity (t-test) were done. normal deliveries took place in the woman’s own house (Table-3). This suggests that the delivery of higher risk pregnancies was done at the hospital. It is III Results difficult, however, to conclude whether higher risk deliveries tended to be made at the hospital than in 1. Summary of the Research on Pregnant Women other locations because not all questionnaires were Five hundred and nine pregnant women were reg- collected. istered to participate in the survey, two of which were

86 Risk Factors Influencing Childbirth in Rural Malawi

Table 3 The Relationship between the Location and the Outcome of the Delivery

Delivery Location Normal childbirth category Abnormal childbirth category Health center 6 (2.2%) 2 (3.8%) Own house 115 (41.2%) 15 (28.8%) Hospital 95 (34.1%) 22 (42.3%) TBA 61 (21.9%) 13 (25.0%) Unknown 2 (0.7%) 0 (0.0%) Total 279 (100%) 52 (100%) Note 1: Figures in ( ) indicate the percentage within that category. Note 2: Because of rounding off, the total percentage does not necessarily match.

Table 4 Distribution of Age by Category

Age group Total Normal childbirth category Abnormal childbirth category 15 and below 0 (0%) 0 (0%) 0 (0%) From 15 to 19 79 (15.8%) 35 (12.5%) 13 (25.0%) From 20 to 29 275 (54.9%) 157 (56.3%) 26 (50.0%) From 30 to 39 100 (20.0%) 63 (22.6%) 12 (23.1%) 40 and above 11 (2.2%) 9 (3.2%) 0 (0%) Unknown 36 (7.2%) 15 (5.4%) 1 (1.9%) Total 501 (100%) 279 (100%) 52 (100%) Note 1: Figures in ( ) indicate percentage within that category. Note 2: Because of rounding off, the total percentage does not necessarily match.

3.3 The Place of Residence 3.5 Level of Education Most women lived in the areas surrounding the In the sample population, 45.1% of the women had Salima District Hospital. In areas where a health cen- some elementary education: 18.4% finished standard 1 ter was nearby, women were more likely to go to that through 4 and 26.7% had completed standard 5 center. Because the women had no means of trans- through 8 (Table-5). However, 49.3% of the women portation and had to walk, the degree of difficulty in had never enrolled in school, which reflects the overall accessing a particular medical facility, especially due low rate of school attendance in the country. A com- to distance, was the key in deciding what facility to parison of childbirth outcomes of those who had utilize. In this survey, the authors found no relation- attended school and those who had not proved to be ship between where women lived and the outcome of statistically insignificant. However, it is noteworthy their delivery. that the percentage of those who did not enroll was relatively high in the abnormal childbirth category. 3.4 Age Distribution The authors suggest the possibility of a connection Although no women under the age of 15 were between whether a woman received some form of for- included in the survey, there were 79 women between mal education , the level of that education and the out- the ages of 15 and 19, which accounted for 15.8% of come of childbirth. the total (Table-4). There were 11 women who were above the age of 40. Assuming that those women 3.6 Religion whose age was unknown were over 40 years old, the The religion followed by most people in the survey age range in the sample population was relatively was Christianity (63.0%), followed by Islam (22.0%) wide. Comparing the percentage of abnormal child- and indigenous religions (13.8%). The surveyed area births to that of normal childbirths in each age catego- has slightly more Muslims than average for the coun- ry, women between 15 and 19 had the highest percent- try. The percentage of followers of Islamic and indige- age of abnormal childbirths (The percentage of abnor- nous religions in the abnormal childbirth category was mal childbirths in this group was higher than other cat- marginally higher than that in the total survey popula- egories by p<0.05). Considering these results, being tion. very young during pregnancy should be considered a high risk factor in childbirth. 3.7 Marital Status There were 11 single women (2.2%) who either

87 Technology and Development, No.12, 1999

Table 5 Level of Education by Category

Level of education TotalNormal childbirth category Abnormal childbirth category Standard 1 to 4 92 (18.4%) 52 (18.6%) 8 (15.4%) Standard 5 to 8 134 (26.7%) 78 (28.0%) 12 (23.1%) Form 1 to 2 11 (2.2%) 6 (2.2%) 1 (1.9%) Form 3 to 4 15 (3.0%) 8 (2.9%) 3 (5.8%) University 2 (0.4%) 2 (0.7%) 0 (0%) No enrollment 247 (49.3%) 133 (47.7%) 28 (53.8%) Total 501 (100%) 279 (100%) 52 (100%) Note 1: Figures in ( ) indicate the percentage within that category. Note 2: Because of rounding off, the total percentage does not necessarily match.

Table 6 Occupational Classification of Husband by Category (Classification based on the Malawi Code

Code classification TotalNormal childbirth category Abnormal childbirth category 1 19 (3.9%) 12 (4.4%) 2 (3.8%) 2 94 (19.2%) 54 (19.8%) 8 (15.4%) 3 8 (1.6%) 4 (1.5%) 0 (0%) 4 84 (17.2%) 49 (17.9%) 9 (17.3%) 5 57 (11.7%) 32 (11.7%) 6 (11.5%) 6 139 (28.4%) 71 (26.0%) 20 (38.5%) 7 3 (0.6%) 3 (1.1%) 0 (0%) 8 85 (17.4%) 48 (17.6%) 7 (13.5%) Total 489 (100%) 273 (100%) 52 (100%) Note 1: Occupational classification code used in Malawi (partial modification of AIDS Secretariat classification) 1 = Professional, e.g., teacher; 2 = Skilled worker, e.g., clerical worker, secretary, or driver; 3 = Military personnel and police officer; 4 = Merchant and businessman; 5 = Unskilled worker; 6 = Agricultural worker; 7 = Unknown; 8 = Unemployed and student Note 2: Figures in ( ) indicate the percentage within that category. did not have a husband or whose marital status was high (code 8), and if these husbands was employed, unknown. In addition to the above, there was one case the job was, in many cases, unstable. Although the in which the husband was killed in an accident during percentage of agricultural workers (code 6) was high the pregnancy. Of women who had normal deliveries, in the abnormal category, overall, there were few dis- 2.1% were single. All the women who had abnormal parities between the two categories. childbirths were married. 3.10 Total Number of Pregnancies 3.8 Occupations of the Women Figure-2 shows the total number of pregnancies Most of the women (95.6%) answered housewife including the current one. There were 109 cases as their occupation, with a few answering teacher, (21.7%) of first-time pregnancy, which was the most clerical worker, and typist. The number of women common, followed by a second pregnancy and a who held occupations other than housewife was 13 fourth pregnancy. The highest number of pregnancies (4.6%) in the normal childbirth category and 3 (6.3%) was 16. Whereas the first-time pregnancy made up 46 in the abnormal category. cases out of 279 normal childbirths (16.5%), abnormal childbirths among first-time pregnancies surged to 21 3.9 Occupations of the Women’s Husbands cases out of 52 (67.8%). It appears that first-time In order to classify the occupations held by the pregnancy is a high-risk factor. women’s husbands, the authors employed a code classification method which is used in Malawi, modifying 3.11 Previous History of Stillbirth and/or Miscarriage the occupational classifications (Table-6). Generally, As indicated in Figure-3, 16 women had stillbirths the number of unemployed husband was considerablly in the past (19 cases in total). This accounted for 4.1%

88 Risk Factors Influencing Childbirth in Rural Malawi

120 109

100 86 81 80 77

60 49

Number of women 40 34 23 20 19 88 3 1110 1 0 12345678910111213141516 Number of pregnancies Figure 2 Total Number of Pregnancies among Subjects

50 45 42 40 35 Stillbirths Miscarriages 30 25 20

Number of women 15 15 10 7 6 5 0 0 1 0 0 1234 Number of stillbirths and miscarriages Figure 3 Frequency of Stillbirth and Miscarriage among Subjects of 392 pregnancies, if first-time pregnancies are children, and dead children. The category of “surviv- excluded. Similarly, 55 women had previously had ing children” represents those who are still alive miscarriages (74 cases in total), which accounted for among all children born, and the category of “dead 14% of 392 pregnancies. As to the relationship children” constitutes those who died for some reason between *4a history- of stillbirths and miscarriages, and by the time of the present survey. The total number of the outcome of childbirths, the total number of still- dead children was 331, which accounts for 26.2% of births among multiparae in the normal childbirth cate- all children born 1264 (i.e. infant mortality index of gory was 7 cases among 7 women (3.0%). In the 262). The number of surviving children per mother in abnormal childbirth category there were 6 cases the normal childbirth category turned out to be 2.1 (± among 3 women (19.4%). Similarly, the total number 1.7), whereas that in the abnormal childbirth category of miscarriages among multiparae in the normal child- was 1.3 (±1.7). Clearly, the number of surviving chil- birth category was 41 cases among 31 women dren of the abnormal childbirth category was signifi- (17.6%), whereas that in the abnormal childbirth cate- cantly fewer (p<0.05). gory was 12 cases among 6 women (38.7%). Obviously, a history of stillbirths and miscarriages is a 3.13 History of Complications during Pregnancy significant risk factor. Complications during previous pregnancies included premature delivery (15 cases), bleeding after deliv- 3.12 Number of Children ery (9 cases), Cesarean section (8 cases), and two Table-7 shows the number of children belonging to cases each of difficult labor, retention of placenta, and women in the study in three categories: children born pre-eclampsia. Although answers to this question (excluding stillbirths and miscarriages), surviving sometimes included more than 2 complications, the

89 Technology and Development, No.12, 1999

Table 7 Number of Children Born, Surviving, and Dead Belonging to Subjects

Number of children Children born Surviving children Dead children category 0 112 (22.4%) 144 (28.7%) 300 (59.9%) 1 84 (16.8%) 91 (18.2%) 126 (25.1%) 2 85 (17.0%) 105 (21.0%) 44 (8.8%) 3 80 (16.0%) 75 (15.0%) 17 (3.4%) 4 56 (11.2%) 49 (9.8%) 7 (1.4%) 5 28 (5.6%) 22 (4.4%) 5 (1.0%) 6 23 (4.6%) 8 (1.6%) 1 (0.2%) 7 14 (2.8%) 5 (1.0%) 1 (0.2%) 8 10 (2.0%) 1 (0.2%) 9 5 (1.0%) 1 (0.2%) 10 1 (0.2%) 11 1 (0.2%) 12 2 (0.4%) Total 501(100%) 501 (100%) 501 (100%) Note 1: The first figure indicates the number of mothers having children in that category, and the figures in ( ) indicate the percentage within that category. Note 2: Because of rounding off, the total percentage does not necessarily match. percentage of the women who had had any complica- 4. Laboratory Examinations Records: Results and tions during previous pregnancies was 10.2% of a total their Relationship to the Outcome of Childbirth of 392. More women had a history of developing com- 4.1 Albuminuria (Table-8) plications in the abnormal childbirth category. In the urine test, protein was detected in 39.7% of the pregnant women. In particular, 10.2% were rated 3.14 History of Systemic Diseases as 2+ and above. More cases of albuminuria were rec- Having a history of systemic diseases included 4 ognized in the abnormal childbirth category than in cases of tuberculosis, 5 cases of STDs, 1 case each of the normal category, with 46.1% in the former and high blood pressure and diabetes, 10 cases of blood 38.1% in the latter. transfusion (2.0%), and 7 cases of urinary surgery (1.4%). More women in the abnormal childbirth cate- 4.2 Diabetes (Table-8) gory had a history of systemic diseases. There were only 3 cases in which sugar was found in the urine. In particular, one woman who was known 3.15 Diseases during the Current Pregnancy to have diabetes was rated as 4+ during her pregnancy. The most common disease contracted by the The follow-up research found both she and her infant women during the current pregnancy was malaria, had died. Severe diabetes is the riskiest factor in child- with 150 cases (29.9%). Besides malaria, there were birth. 50 cases of diarrhea (10%). Altogether, 43.9% of the total survey population developed some kind of illness 4.3 Occult Blood (Table-8) during their pregnancy. The survey showed that slight- There was a high incidence of occult blood in ly more women in the abnormal childbirth category urine, accounting for 15.6% of the total population. were infected by some kind of disease during this This is believed to be closely connected to bilharzia- pregnancy. sis.

3.16 Family Background 4.4 Schistosomiasis (Table-8) One hundred twenty-three pregnant women Bilharzial eggs were found in the urine of 15.2% (24.6%) answered that they had twins in their family. of the pregnant women. However, no significant rela- This was thought to result partially from a vague defi- tionship was proven between schistosomiasis and the nition of family and its extent. There proved to be no outcome of delivery. difference between normal and abnormal delivery categories in terms of family background. 4.5 Hemoglobin Level The average hemoglobin level was as low as 10.8g/100ml. There were 274 cases (54.7% of the total) below 11.0g/100ml, which is the standard for

90 Risk Factors Influencing Childbirth in Rural Malawi

Table 8 Results of Urine Tests by Category

Urine test Total Normal childbirth category Abnormal childbirth category 0 302 (60.3%) 173 (62.0%) 28 (53.8%) 1+ 148 (29.5%) 85 (30.5%) 19 (36.5%) Albuminuria 2+ 42 (8.4%) 18 (6.5%) 2 (3.8%) 3+ 9 (1.8%) 3 (1.1%) 3 (5.8%) Total 501 (100%) 279 (100%) 52 (100%) 0 498 (99.4%) 278 (99.6%) 51 (98.1%) 1+ 2 (0.4%) 1 (0.4%) 0 (0%) 2+ 0 (0%) 0 (0%) 0 (0%) Diabetes 3+ 0 (0%) 0 (0%) 0 (0%) 4+ 1 (0.2%) 0 (0%) 1 (1.9%) Tota 501 (100%) 279 (100%) 52 (100%) 0 423 (84.4%) 240 (86.0%) 45 (86.5%) 1+ 43 (8.6%) 26 (9.3%) 3 (5.8%) Occult blood 2+ 9 (1.8%) 4 (1.4%) 2 (3.8%) in urine 3+ 23 (4.6%) 9 (3.2%) 1 (1.9%) 4+ 3 (0.6%) 0 (0%) 1 (1.9%) Total 501 (100%) 279 (100%) 52 (100%) 0 423 (84.4%) 243 (87.1%) 43 (82.7%) 1+ 43 (8.6%) 22 (7.9%) 4 (7.7%) Bilharzial 2+ 14 (2.8%) 3 (1.1%) 2 (3.8%) egg in urine 3+ 19 (3.8%) 9 (3.2%) 3 (5.8%) Not tested 2 (0.4%) 2 (0.7%) 0 (0%) Total 501 (100%) 279 (100%) 52 (100%) Note 1: Figures in ( ) indicate the percentage within that category. Note 2: In each test, ratings from 1+ to 4+ represent the degree of positive reaction (For the criteria used, please refer to the text). Note 3: Because of rounding off, the total percentage does not necessarily match. anemia in pregnant women (Figure-4). There were 7 level, or the A/G ratio. cases of serious anemia with the hemoglobin level being lower than 7.0g/100ml. With respect to the rela- 4.7 Malaria tionship between hemoglobin level and the outcome of Table-9 shows the percentage of malaria parasites childbirth, the average hemoglobin level in the normal detected in blood smears. The overall positive rate was childbirth category was 10.9±1.4g/100ml, whereas as high as 21.6%. It is also noteworthy that there were that in the abnormal childbirth category was 10.5± 9 cases (1.8%) of 3+. A comparison of the frequency 1.6g/100ml, which is slightly lower. of a positive reaction to malaria tests between the normal and abnormal childbirth categories produced a 4.6 Serum Protein significant difference (p<0.05), with 19.1% in the nor- The authors surveyed serum total protein with the mal category and 34.5% in the abnormal category. purpose of examining the conditions of undernourish- Accordingly, malaria infection during pregnancy is ment. However, there were few cases indicating sig- also a high-risk factor for abnormal delivery. nificant hypoproteinemia. Surprisingly, there were some unexpected cases of hyperproteinemia. The 4.8 RPR and TPHA authors, therefore, conducted an additional survey to The authors undertook the RPR test as a screening look into the protein albumin level, but a high fre- test for syphilis infection and discovered 44 cases quency of hypoalbuminemia was not found. There (8.8%) of positive reaction. Because infection by other were only 16 cases (3.2%) in which the level was less diseases such as malaria will cause the same reaction, than 3.0g/100ml. The authors found no significant the authors conducted an additional test of TPHA. As connection between the outcome of delivery and the a result, 14 out of 44 (31.8%) tested positive in the serum total protein level, albumin level, globulin TPHA test, which accounted for 2.8% of the total pop-

91 Technology and Development, No.12, 1999

－5.0 3 5.1－6.0 1 6.1－7.0 3 7.1－8.0 17 8.1－9.0 37 9.1－10.0 75 10.0－11.0 138 11.1－12.0 114 12.1－13.0 85 13.1－14.0 21

Concentration of Hb (g/100ml) 14.1－15.0 4 15.1－16.0 1 16.1－17.0 1 Not tested 1

0 20 40 60 80 100 120 140 Number of women Figure 4 Hemoglobin Concentration of Subject Women

Table 9 Results of Malaria Tests by Category

Malaria test TotalNormal childbirth category Abnormal childbirth category 0 392 (78.2%) 226 (81.0%) 34 (65.4%) 1+ 78 (15.6%) 37 (13.3%) 14 (26.9%) 2+ 22 (4.4%) 13 (4.7%) 2 (3.8%) 3+ 9 (1.8%) 3 (1.1%) 2 (3.8%) Total 501 (100%) 279 (100%) 52 (100%) Note 1: Figures in ( ) indicate the percentage within that category. Note 2: Ratings from 1+ to 4+ represent the degree of positive reaction to the malaria test (For the criteria used, please refer to the text). Note 3: Because of rounding off, the total percentage does not necessarily match. ulation. Among those who had a positive reaction to the RPR test, slightly more women were classified in IV Discussion the abnormal childbirth category. Two women who tested positive to the TPHA test were in the abnormal 1. Outcome of the Research childbirth category. Although this survey is limited to the health conditions of pregnant women in Salima, it represents the 4.9 Virological Tests general conditions of pregnant women that can be The number of women who had positive reactions to found, not only in other parts of Malawi, but also in HBs antigen, HTLV1, and HIV tests was 32 (6.4%), any developing country. For example three character- 13 (2.6%), and 101 (20.2%), respectively (Figure-5). istics which are shared by many women are: 1) the age Frequency of a positive reaction to HBs antigen was of pregnant women ranges widely from 15 to over 40 relatively high and that for HIV was significantly years old; 2) their level of education is generally low, high. The percentage of those who tested positive for and a relatively high percentage do not receive any HBs antigen and HTLV1 was higher in the abnormal formal education; and 3) a large number of their hus- childbirth category. However, the percentage of those bands have an unstable job or are unemployed. tested positive for HIV was not much different In looking at the history of pregnancy, the total between the two categories. number of pregnancies was high. Besides the 14% who had miscarried in the past, there were quite a few cases where women had developed complications in their previous pregnancies. The number of children

92 Risk Factors Influencing Childbirth in Rural Malawi

(%) 100 32 13 (6.4%) (2.6%) 90 101 (20.2%) (+) 80 (Ð) 70

20 469 488 400 10 (93.6%) (97.4%) (79.8%)

0 HBS-Ag HTLV1 HIV Virological test Figure 5 Results of Virological Test born was also high, and it is important to note that factor in childbirth; thus, it is an issue that needs to be 26.2% of these had already died. It also became clear dealt with promptly and appropriately. that the women were frequently infected with malaria To screen for syphilis, one of the common STDs, or had diarrhea, and that they were constantly being the authors conducted the RPR test. Next, those who

exposed89!*+45>? to the dangers of!*+45>? diseases. !*+45had a positive reaction to the RPR test were given the Through the course of various clinical urine tests, TPHA test. Although 8.8% tested positive in the RPR it was found that many pregnant women had positive test, only 31.8% of those had a positive reaction to the occult blood, and 15.2% of women had schistosomia- TPHA test. As a whole, only 2.8% of all pregnant sis. As to hemoglobin, there were a large number of women were confirmed to be infected with syphilis. women who had very low hemoglobin level. In fact, This result is in line with some reports that the rate of more than half of the women had anemia with a below syphilis infection in developing countries has been on standard hemoglobin level. In cases of severe anemia a downward trend in recent years. It is also thought to with an extremely low hemoglobin level, immediate reflect the STD infection control plan that has been action is necessary; otherwise the life of the mother is implemented as a part of HIV countermeasures. at risk. The authors measured serum total protein in In relation to various virological tests, the number order to assess the nutritional health of pregnant of the pregnant women who tested positive in the HBs women. Relatively few cases of hypoproteinemia were antigen test was greater than expected. The percentage found, but there were some cases of hyperproteinemia. of HIV positive women was as high as 20.2%. More This was assumed to be the result of an increase in the than 40% of pregnant women in urban areas are serum globulin concentration due to chronic or repeat- infected with HIV. Not only do these women suffer ed infection by diseases such as malaria. Based on this from health problems associated with the disease, but assumption, the authors conducted an additional inves- they also face socioeconomic problems. As to HIV, it tigation of the serum albumin concentration. Only a is necessary to seek measures based on the analysis of small number of cases of hypoalbuminemia were con- the relationship between the disease and the socioeco- firmed. There were a large number of cases in which nomic background of patients. the serum globulin concentration was high. In short, the result of the serum protein test confirmed that 2. The Influence of Background and the Course of hypoalbuminemia, which is a sign of chronic malnu- the Pregnancy on the Outcome of the Delivery trition, was rare and that the increase in hyperglobu- As a part of the survey, the authors conducted an linemia was caused by repeated or chronic infection. analysis of how the course of the pregnancy influ- During the course of the survey, it was revealed enced the outcome of the delivery by collecting the that 29.9% of the antenatal women had a history of questionnaires that had been distributed to the women malaria. 21.8% also showed positive in the malaria at the time of their medical examination. Collecting test that was done at the time of the survey. Malaria the questionnaires was a difficult task because it infection is usually accompanied by severe anemia, required actually going around to villages to collect and can result in a high frequency of low birth weight them. Fortunately, the retrieval rate turned out to be babies. Severe malaria infection is an extremely risky 66.1%, which is high. Most of the questionnaires were

93 Technology and Development, No.12, 1999 collected from women who had delivered at the hospi- 3. Proposed Measures for Improving the Outcome tal or a health center, and therefore it was easier to fol- of Childbirth low-up on these cases. There may, therefore, be some Based on the findings of the survey, the authors disparities between the collected and uncollected made the following proposals based on the principle questionnaires. of providing more appropriate care for pregnant Statistics show that the mortality rate of antenatal women who visit the Salima District Hospital. At the women is as high as 604 (per 100,000 childbirths) and same time, the authors implemented project activities the infant mortality rate is also as high as 48 (per such as case management based on principlesd of 1,000 childbirths). In fact, during the short period of technical cooperation. The authors proposed: 1) pro- our survey, there were 2 cases where the mother died viding appropriate guidance in nutrition and sanitation from delivery and there were 16 cases of child death. because these areas contributed to the frequent occur- Considering that the conditions for those whose ques- rence of abnormal deliveries among young mothers tionnaires were not collected were relatively poor, and mothers who have no formal education; 2) taking these figures are expected to be worse for the popula- necessary measures for those who have a history of tion as a whole. complications, miscarriages and stillbirths because In looking at the background of the pregnant being at high risk, they are most likely to have an women, the percentage of women between the ages of abnormal delivery; and 3) taking aggressive measures 15 and 19 was significantly higher in the abnormal to improve the delivery system of medical services by childbirth category, and therefore it was concluded improving the consultation system for those in high that delivery at a young age was a high risk factor. In risk groups, improving the transportation system so considering the level of education, the abnormal cate- that those in high risk groups can be transferred to a gory tended to include a larger percentage of those better medical facility at the time of delivery, and who had never enrolled in school. Thus, it is indicated improving the medical facilities of hospitals and that there is a close connection between level of edu- health centers, given that problems are found in the cation and health issues. In looking at the total number system. In relation to the above proposals, this project of pregnancies, first-time pregnancies showed an has already provided necessary equipment for consult- extremely high risk of abnormal delivery. This sug- ing with pregnant women and delivering babies, gests that first-time pregnancy in youth is the riskiest including a radio communication system. factor in childbirth. Having a history of miscarriage Dealing with malaria infection in antenatal women and stillbirth was also found to be significant in the is vital. A blood smear should be performed during the abnormal childbirth category. Moreover, having had first consultation to screen for malaria infection. complications and systemic disease in previous preg- Those who have a positive reaction should be treated nancies and sickness during the current pregnancy immediately. If a mother suffers from persistent ane- were more prevalent in the abnormal childbirth cate- mia, the possibility of malaria infection should be gory than in the normal childbirth category. In short, investigated. Because diabetes is not common, it is background factors such as being very young in age, sometimes overlooked. However, it is definitely one having no formal education, first-time pregnancy, and of the riskiest factors to delivery. It is desirable to having a medical history of miscarriages, stillbirths examine urine along with other tests on every preg- and complications during pregnancy increase the like- nant woman. If a case of true diabetes is found, it is lihood of abnormal delivery important to take the necessary measures to gain con- Now the authors would like to look at how the trol over the condition. results of the laboratory examinations influenced the Although it was not made clear during the course childbirths. Malaria infection and diabetes are obvi- of this survey, anemia is thought to be the most com- ously risk factors. In particular, diabetes is extremely mon illness during pregnancy, and to have a negative dangerous. A case of true diabetes with a 4+ rating impact on childbirth. Therefore, it is recommended resulted in the death of both the mother and the infant. that hemoglobin tests be conducted on all pregnant Albuminuria, low hemoglobin concentration, syphilis women in the first consultation, and that they receive infection, HTLV1 infection, and HBs antigen infec- iron. If the hemoglobin level is less than 11.0g/100ml, tion also tended to be more prevalent in the abnormal an additional test should be done in the following visit childbirth category. However, there were no differ- to make sure that the condition has not deteriorated. ences between the two groups in terms of occult blood When a woman has severe anemia with a hemoglobin in urine, schistosomiasis, various serum protein con- level of less than 7.0mg/100ml, she should be immedi- centration, or HIV infection. According to the results ately hospitalized. As for STDs, in particular syphilis of this survey, the clinical factors that negatively influ- infection, the VDRL (venereal disease research labo- ence delivery include a number of infectious diseases ratory) test and RPR test are recommended from a excluding schistosomiasis and HIV, diabetes, and practical point of view. These tests, unfortunately, fre- albuminuria. quently give false positives. Therefore, it is necessary to perform the TPHA test to be certain. On the other hand, patients who are in the first stage of syphilis give a false negative reaction to the TPHA test. Thus,

94 Risk Factors Influencing Childbirth in Rural Malawi it is practical to give treatment for syphilis to those as provision of primary health care is aim of the pro- who test positive to either the VDRL test or the RPR ject. test. Schistosome infection did not seem to directly Activities to improve the prognosis for pregnant influence childbirth. It is, however, a disease that can women and infants from a perspective of providing be treated relatively easily and so immediate treatment public health services include practical measures such should be undertaken. as case management and health education, as men- HIV infection presents a big challenge at present tioned earlier, and technical cooperation including the because of its impact on childbirth. It is a struggle establishment of an emergency referral system by set- dealing with it because it is a disease for which no ting up a communication system and providing ambu- appropriate remedy has yet been found, and for which lances. Malawi is one of the 10 poorest countries in the carrier’s prognosis is unsatisfactory. Moreover, the world, and its economic as well as human pregnant women are usually very sensitive about the resources are very limited. It is very important that a infection, and many even refuse to take the test. At series of cooperation efforts be continued in the future, this stage, it is extremely difficult to tackle the issue as balancing effectiveness against expense and determin- it affects antenatal women. Rather, it is necessary to ing project priorities by identifying risk factors as has cope with it within the framework of AIDS control been done in this survey. programs targeted at the general public. As mentioned above, the authors presented the basic principles for the appropriate case management Acknowledgments for pregnant women. At the same time, the authors took several concrete measures in line with these prin- In conclusion, the authors would like to take this ciples including providing a spectrophotometer neces- opportunity to express gratitude to the staff of the sary for measuring hemoglobin level, a stocker for Community Health Science Unit of Malawi and the keeping samples, test reagents, anti-malaria medicine, Salima District Hospital, who offered their generous and iron. In addition, based on their acknowledgment cooperation in the course of the survey. of the importance of health education for pregnant The gist of this paper was presented at a workshop women, the authors provided the IEC (information, entitled “Maternal and Child Health Project” held dur- education and communication) equipment, and assisting the 12th Conference of International Public Health ed in training health workers. From a perspective of (July 27, 1997, Yuki City, Japan). technical cooperation, the authors attached greatest importance to strengthening the clinical examination system which was one of the primary goals of the pro- Bibliography ject, and strove, not only to transfer knowledge and technology, but also to establish a reliable examina- 1. Burnham, G. M. and J. Baker, “Do antenatal clin- tion system. ics benefit mother and child?,” Malawi Medical Journal 16 (1) (1983), 12-15. 4. Future of the Project 2. Clotti, M. (MOH/WHO), Syphilis and HIV Sero- The health conditions of pregnant women are prevelance Survey in Rural Antenatal Women closely related to social, economic and cultural factors Report from a 1993 Field Study (Malawi: 1994). and in a poor country like Malawi, it is very difficult 3. MOH, Mortality and Maternal and Child Health to improve their health conditions thoroughly. This is (Malawi: 1987). especially true in a country like Malawi, where pover- 4. MOWCACS, UNICEF, and UNDP, Situation ty is prevalent. In general, factors influencing the Analysis of Poverty in Malawi (1993), pp. 159- prognosis of mothers and children fall into two 176. groups: factors surrounding the mother’s health such 5. Nyirenda, T., G. S. Cusack and B. M. Mtimuni, as nutrition and infection, and the response of medical “The effect of mother’s age, parity and antenatal providers. In addition to factors directly attributed to clinic attendance on infant birth weight,” Malawi poverty, such as malnutrition, anemia, infection, over- Medical Journal 7 (3) (1991), 110-112. work, and high birthrates, the factors surrounding the 6. Sangala, V., “Maternal deaths in 1990 at Kamuzu mothers health also include having a lack of knowl- Central Hospital,” Malawi Medical Journal 8 (1) edge about health because of a lack of formal educa- (1992), 24-28. tion and a dependence on traditional medicine. The 7. Wiebenga, J. E., “Maternal mortality at Queen clue to an effective way of resolving these issues has Elizabeth Central Hospital, 1989 to 1990,” Malawi not even been found yet. It is difficult, at least within Medical Journal 8 (1) (1992), 19-23. the limits of this project, to break this structural barrier

95 A Study on the Cross-cultural Adaptation of Technical Experts Engaged in International Development Cooperation Activities: A Review of Literature and Directions in Research

NOTE

A Study on the Cross-cultural Adaptation of Technical Experts Engaged in International Development Cooperation Activities: A Review of Literature and Directions in Research

Michiko TOKUYAMA Graduate School of International Development Nagoya University [email protected]

Governmental international aid organizations in highly and newly industrialized countries have taken a great interest in the adaptation of their personnel to the local community or assigned institution because whether or not personnel can adjust to the local community and proceed smoothly with the assignment is not simply a concern of the individual, but it will deeply affect the result of international development projects. Training personnel who are involved in technology transfer is an important issue. First, this article takes a general view of the definitions and indices of cross-cultural adaptation. Then it outlines previous research on personnel involved in international cooperation, and finally, it analyzes future directions in cross-cultural adaptation for successfully transferring technology. In previous research on cross-cultural adaptation, one factor thought to affect the adaptation of an individual was that individual’s attributes, for example, personality and social skills. There were attempts to prove that a relationship existed between individual differences and levels of adaptation. However, such attempts failed because personal factors were not sufficient to explain differences in adaptation. In relation to future directions for research in technology transfer, the issue of cross-cultural adaptation should be dealt with from the point of view of whether technology transfer within a development project can succeed by including local people in the process of transfer. As to research methods, it is also necessary to plan longitudinal surveys using participant observations and develop procedures to analyze the dynamic aspects of technology transfer, because development projects are considered to be, in a broad sense, a kind of cross-cultural interaction. Moreover, it is necessary to carry out research on the cultural background of the recipient country and on the cultural background of sojourners themselves as well as to identify, in detail, situational factors in recipient organizations. It is a great challenge to determine the criteria by which differences in cultures and organizations should be understood.

ual, but will deeply affect the success or failure of an I Introduction international development project. Organizations in highly developed and newly Technology transfer as a part of international developed nations that are dispatching experts and cooperation is aimed at training personnel for develop- volunteers are greatly concerned about how an indi- ment in developing nations. Japanese technical experts vidual taking part in technology transfer adjusts to the are not international development professionals, but local community and the assigned organization, are government officers and engineers in private com- because the individual’s adaptation closely relates to panies. Therefore, it is vital to train personnel taking whether that person will be able to carry out his/her part in technology transfer. It takes some time before task smoothly, and whether the technology transfer it becomes apparent whether an international develop- will succeed. Previous research on people participat- ment project will be successful, especially in the area ing in international cooperation was conducted around of technology transfer. Whether those taking part in the following three goals: technology transfer can adapt themselves to the local 1) To ascertain personal factors that could be used as community or assigned institution and proceed criteria for selection; i.e., what index can be used to smoothly with the assignment is of vital concern. It is predict desirable adaptation. not simply an issue of concern to a particular individ- 2) To determine the abilities essential to adjustment;

* This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 3, No. 2(October 1997)

97 Technology and Development, No.12, 1999 i.e., what skills should be taught during pre-dispatch fer of specific concrete skills to local people, etc. training and what type of orientation should be con- (4) Transfer of “Software”: transfer of global know- ducted. how by which people manage, control, operate and 3) To identify situational factors in the technology maintain the complete system of a technological field. transfer process, which may affect adaptation; i.e., dif- There is no denying that to use certain indices for ferences between organizations, inter-personal rela- the purpose of understanding cross-cultural adapta- tionships, culture, etc. tion, which concerns an entire individual, will result in Cross-cultural adaptation of those involved in tech- the exclusion of many aspects of adaptation represent- nology transfer is one of the leading factors in the suc- ed by other indices in the research. Also, in some stud- cess of international development projects. ies, a particular variable may be regarded as an inde- Accordingly, many studies have been conducted on pendent personal factor, whereas in other studies, the this topic. In this article, the author takes an overview same variable may be treated as a dependent variable. of the definitions and indices of cross-cultural adapta- This is particularly true when a personal factor is used tion found in previous research, and examines future as an index for adaptation. For instance, if the particu- challenges facing the study of cross-cultural adapta- lar personal variable changes over time, it is treated as tion that leads to more successful technology transfer. a dependent variable. This means there are many cases Among Governmental international aid organizations, of correlation among dependent variables as well as there are differences in the purposes for which experts among explanatory variables. For example, Benson are dispatched and in the international aid systems of listed the following as indices of adaptation: language each country. This article focuses on surveys of ability, communication skills,3 personal relationships, Japanese experts and Japan Overseas Cooperation positive cultural activities, a friendly attitude, display- Volunteers (JOCV) as well as studies on experts sent ing socially acceptable behavior, accomplishing the by the Canadian International Development Agency assignment, open-mindedness, politeness, satisfaction, (CIDA) and volunteers sent by the American Peace and mobility.4 Certainly, an individual who is well Corps (APC). Both CIDA and APC have similar goals adjusted to the local community can speak the local and systems of dispatching personnel to those of language to some extent. However, it does not neces- Japan. sarily mean that all individuals who can speak the local language can adapt well. The same is true of other variables. This means that any single variable is II Definitions and Indices of Cross-cultural not sufficient enough to explain the state of adapta- Adaptation tion. It is expected that there is a certain combination of explanatory variables required to fully explain Definitions and indices of cross-cultural adaptation cross-cultural adaptation. have always been an issue for researchers in this area. Cross-cultural adaptation is a complicated process For instance, Ruben and Kealey, in their study of for which researchers have not succeeded in finding Canadian technical transfer, defined and measured definitions or indices on which they can agree. Indices cross-cultural adaptation based on three aspects: cul- used repeatedly in studies focusing on sojourners have ture shock, psychological adaptation, and interperson- been based on the premise that the adaptation process al relationships.1 Hawes and Kealey based on their is a process in which an individual is satisfying his/her research proposed that overseas effectiveness is com- needs, and further, that the indices represent psycho- posed of the following four factors.2 logical stability, indicated by such things as satisfac- (1) Personal/Family Adjustment and Satisfaction: sat- tion and fulfillment. isfaction with living overseas, adjustment as a family unit and successful coping with day-to-day life overseas, etc. III Outline of Research on Japanese Involved in (2) Intercultural Interaction: interacting with local International Cooperation people and making local friends, learning the local language and non-verbal communication, etc. 1. Research on Japanese Experts (3) Task Accomplishment: job commitment and With regard to the adaptive ability of dispatched achievement of daily tasks, responsibilities, and trans- experts, one study classifies aptitudes based on the dif-

1. B. D. Ruben and D. J. Kealey, “Behavioral assessment of communication competency and the prediction of cross-cultural adaptation,” International Journal of Intercultural Relations 3 (1979), pp. 15-47. 2. F. Hawes and D. J. Kealey, “An empirical study of canadian technical assistance, adaptation and effectiveness on overseas assignment”, International Journal of Intercultural Relations 5 (1981), pp. 239-258 (hereafter cited as “Empirical study,” in IJIR). 3. Communication skills are also called interpersonal skills and social skills. Communication skills refer to the “ability to communicate smoothly with others, and to build effective and cooperative relations with others” [Akira Hamashima, Ikuo Takeuchi and Akihiro Ishikawa (eds.), Syakaigaku Shojiten (Concise Dictionary of Sociology) (Tokyo: Yuhikaku, 1977)]. 4. P. G. Benson, “Measuring cross-cultural adjustment, the problem of criteria,” International Journal of Intercultural Relations 2 (1) (1978), pp. 21-37. 5. Kiyoshi Nakamura, Kaigai Haken Senmonka no Tekisei Yoin ni Kansuru Kenkyu (A Study on the Most Suitable Characteristics/Personality of Experts Dispatched Overseas) (Master’s degree thesis presented to the Tokyo Institute of Technology) (Technical Experts Training and Procurement Section, Department of Planning, Japan International Cooperation Agency, 1982).

98 A Study on the Cross-cultural Adaptation of Technical Experts Engaged in International Development Cooperation Activities: A Review of Literature and Directions in Research ficulties experienced by experts, and analyzes apti- Issues raised by volunteers were related to assignment tudes according to the results of the surveys.5 The and included the lack of technical skills and language study conducted by Kaigai Consulting Kigyo Kyokai proficiency, and human resource/equipment shortages in 1978, “A Questionnaire Survey on Dispatched at the assigned organization. On the other hand, the Experts” (Questionnaires were sent to repatriated issues raised by overseas office staff were problems Japanese experts and 360 responded) classified factors with volunteers with regards to technical skills, lan- that facilitate adaptation into seven categories: natural guage proficiency, negotiation skills, clerical skills, environment, material environment, social environ- and problem-solving skills. There seemed to be a dif- ment, personal relationships, assignment, post-repatri- ference in understanding between volunteers and ation, and children’s education. The study also divided office staff as to where the problems lay in carrying the factors into two sets: personal factors (age, occu- out assignments. In short, volunteers perceived that pation, educational background, qualifications, the external factors were also responsible for the problems numbers of children and their ages, previous experi- although they held themselves responsible to a certain ence in international development projects) and non- extent, whereas office staff recognized problems only personal factors (dispatching organization, designated on the side of volunteers.8 area, length of service, recipient organization). The There is an anthropological study on volunteers’ relationships between the above factors and the diffi- activities in the Philippines, Malaysia, Kenya, culties facing the experts were then analyzed. The sur- Ethiopia, and Bangladesh.9 It describes how volunteers vey results indicated that age, experience and length of were strongly bound by Japanese notions even though service strongly affect adaptation. It is also necessary, they were away from home and leading a life in totally when dispatching experts, to take this into considera- new surroundings. It also reported how difficult it was tion that issues concerning the family are inevitable to change cultural patterns once ideas and emotions regardless of whether or not an expert is accompanied had been prescribed by an individual’s own culture. by his/her family. One survey tried to clarify the process of the for- Another survey on dispatched experts conducted mation of a more international outlook among by Kumara et al.6 analyzes the characteristics of Japanese from the perspective of globalization based experts as leaders which influence performance on research on Japanese business people and Japan improvement in technology transfer based on contin- Overseas Cooperation Volunteers abroad. Interviews gency models.7 A questionnaire survey on the behav- were conducted with volunteers who were serving in ioral competence of Japanese experts was given to Kenya, Malawi, and Zambia, and questionnaires were participants for JICA’s technical training in Japan given to repatriated volunteers.10 It was assumed that (116 participants responded). It was found that the an ability to speak the language, communicate well, most influential factors contributing to the technical and adjust to the community were essential to accom- development of local staff were consideration behav- plishing an assignment. ior and structural behavior. The language capability Volunteers on service and repatriated volunteers and the expatriate’s recognition by local staff also had different opinions on the importance of language played significant roles. ability. Repatriated volunteers thought they had made up for their insufficient language ability with their 2. Research on Japan Overseas Cooperation physical strength, personality and enthusiasm, and had Volunteers succeeded in carrying out assignments, whereas vol- The Secretariat for JOCV published a report, “A unteers in active service stressed the importance of Questionnaire Survey Report on Pre-assignment language and the fact that Japanese often lacked lan- Training for Japan Overseas Cooperation Volunteers” guage skills. In short, currently serving volunteers 8. A questionnaire which included many questions on thought that only language skill was necessary for the actual conditions of volunteers’ lives was sent to them to communicate well, whereas repatriated volun- all volunteers who were serving overseas in 1991 (895 teers recognized the importance of factors other than responded). A survey targeting JICA/JOVC office language skills in contributing to successful communi- staff abroad (111 responded) was conducted simulta- cation. This finding, coupled with the results of the neously in order to objectively assess volunteers. previously mentioned survey, which indicated there

6. U. A. Kumara, Y. Hara and M. Yano, “Leadership theory implications for improving performance of recipient staff, experience of technology transfer from Japan,” International Journal of Commerce and Management 1 (3 & 4) (1991), pp. 70-84. 7. A theoretical model of leadership presented by F. E. Fiedler. The contingency model refers to “the most effective type of leadership in improving the productivity of a group is determined by one variable: circumstance (relations between leader and followers, structure of task, and authority given to leader)” (Hamashima, et. al, op. cit., p. 123). 8. Secretariat for Japan Overseas Cooperation Volunteers, JICA, Seinen Kaigai Kyoryokutai Hakenzen Kunrento ni Kansuru Enquete (A Questionnaire Survey Report on Pre-assignment Training for Japan Overseas Cooperation Volunteers) (1991). 9. Chie Nakane, Nihonjin no Kanosei to Genkai (The Potential and Limitations of Japanese) (Tokyo: Kodansha, 1978). 10. Ryoichi Iwauchi, “Nihonjin no kokusaiteki taido no tokucho (Characteristics of international behavior among Japanese)”, in Akio Sawada and Atsushi Kadowaki (eds.), Nihonjin no Kokusaika: Chikyu Shimin no Joken wo Saguru (Globalization of the Japanese: On becoming World Citizens) (Tokyo: Nihon Keizai Shinbunsha, 1990), pp. 135-148.

99 Technology and Development, No.12, 1999 was a gap between volunteers and office staffs in iden- overseas effectiveness:15 tifying the causes of problems, suggests there are lim- 1) Having interpersonal skills to colaborate well with its to cross-sectional surveys based on questionnaires others that depend on cognitive responses. 2) Having a sense of personal or cultural identity I noted that there is confusion and conflict about 3) Having realistic pre-departure expectations what role each volunteer is to play, because a volun- Following the previous studies, Kealey conducted teer must work with two organizations: the Secretariat research to try to establish a social-psychological theo- of JOCV and the assigned overseas organization. ry for cross-cultural adaptation.16 89 experts were sub- When individual factors and situational factors that jects of longitudinal surveys, 189 experts were sub- influenced adaptation (907 responses from 51 coun- jects of cross-sectional surveys in 20 recipient nations tries) were analyzed,11 situational factors tended to around the world, and 120 local nationals were inter- have a stronger correlation with adaptation than did viewed.17 The study examined several theories of individual factors. social psychology and succeeded in presenting new ideas. For example, as to Amir’s contact hypothesis,18 supporting results were reported even without the con- IV Research on Canadian Experts dition of “among those who have equal status”. It also brought a whole new perspective to culture shock, There have been three studies conducted, under the which had previously been considered to have a nega- auspices of the Canadian International Development tive impact. The data uncovered that some people who Agency (CIDA), on the cross-cultural adaptation of undergo the most severe stress in the adjusting process Canadian experts and their spouses. In the first survey, go on to be among the most competent in transferring which later came to be called the Kenya study, Ruben technology. and Kealey undertook empirical research on two As to the relationship between personality factors points: the relationship between communication skills and situational factors, Kealey suggested that person- and cross-cultural adaptation, and the definitions and ality variables affect how an individual interprets situ- indices of cross-cultural adaptation. First, they extract- ations, and explained how differences in interpretation ed seven social skills12 from previous research13 that can be predicted by personality variables. Whether the were thought to be effective in cross-cultural adapta- environment was regarded as oppressive is closely tion. Second, they defined and measured cross-cultur- related to overall satisfaction and success. In addition, al adaptation based on three aspects: culture shock, differences in cognitive processes between individuals psychological adaptation, and interpersonal interac- have a great importance. One person may regard the tion. The subjects of the study were Canadian techni- environment as oppressive, whereas another may feel cal experts serving in Kenya for two years and their comfortable in the same environment. Such differ- spouses, 8 families, 19 persons in total. As to whether ences in interpreting situations and in predicting the it is possible to predict cross-cultural adaptation from attributes of others influence the interpersonal behav- communication skills, there proved to be some corre- ior in various social situations. Although the survey lation between communication skills and cross-cultur- did not completely deny the effectiveness of social al adaptation. However, the overall correlation was skill training, it concluded that successful technology relatively low. transfer was not possible through training unless the The second survey by Hawes and Kealey was con- individual possessed appropriate personality and inter- ducted to explore the types of interpersonal communi- personal attitudes. cation skills necessary for experts, and to clarify the meaning of overseas effectiveness. The subjects com- V Research on the American Peace Corps prised 250 persons, 160 technical experts and 90 spouses in 6 countries (Pakistan, Peru, Senegal, Volunteers in the American Peace Corps (APC) Kenya, Haiti, and Afghanistan), as well as more than are dispatched to assigned areas soon after completing 90 local people were interviewed.14 The following a screening of each applicant’s documents (primarily a three characteristics were found to be necessary for letter of recommendation) and a physical examination.

11. Michiko Tokuyama, “Seinen kaigai kyoryoku taiin no haizokusaki eno tekio ni kansuru kenkyu (A survey on the adaptation of Japan Overseas Cooperation Volunteers to an posted workplace),” Keiei Kodo Kagaku 11 (1) (1997), pp. 13-22. 12. See note 3. 13. Ruben and Kealey, op. cit., pp. 16-19. 14. The following technical report was published based on this research: F. Hawes and D. J. Kealey, Canadians in Development: An Empirical Study of Adaptation and Effectiveness on Overseas Assignment (Ottawa: Canadian International Development Agency, 1979). 15. Hawes and Kealey, “Empirical study” in IJIR, p. 252. 16. D. J. Kealey, “A study of cross-cultural effectiveness, theoretical Issues, practical applications,” International Journal of Intercultural Relations 13 (1989), pp. 387-428. 17. The following technical report was published based on this research: D. J. Kealey, Cross-cultural Effectiveness: A Study of Canadian Technical Assistance Overseas (Ottawa: Canadian International Development Agency, 1990). 18. Y. Amir, “Contact hypothesis in ethnic relations”, Psychological Bulletin 71 (1969), pp. 319-341.

100 A Study on the Cross-cultural Adaptation of Technical Experts Engaged in International Development Cooperation Activities: A Review of Literature and Directions in Research

They are given three months of training on site. Between 1961 and 1971, an average of 26% of volun- VI Discussion on Personal Factors teers left during training and approximately 22% more left while serving. In total, almost 50% of volunteers Factors thought to influence adaptation have been left without completing their assignments.19 Large personality and social skills. Personality factors have numbers of volunteers quitting halfway through their been regarded as stable indices, and research was con- assignments caused inconvenience to the recipient ducted in the hope of establishing a scientific principle countries and resulted in increased operating costs. showing that personality factors could explain the dif- Thus, from the early stages of dispatching volunteers ferences between individuals. A series of studies were up to the 1970s, the APC conducted research to find conducted to clarify which personality factors would clear indices for predicting adaptation. The three stud- predict adaptation so that the selection of personnel ies that are most frequently quoted are summarized could be more accurate and thus, their effectiveness in below. the assigned area could be improved. It was concluded First, Maretzki hypothesized that effective volun- that personality factors did not sufficiently explain dif- teers may well be those who learn to understand the ferences, and that there were other factors involved. culture via a maze-like principal, and who have an As a result, the emphasis of research shifted from per- appropriate personality to interact, use their knowl- sonality factors as criteria of selection to the abilities edge, and draw on a strong, positive ego identity, related to adaptation which could be enhanced through warmth, and openness. Furthermore, he proposed that training, such as social skills and cross-cultural com- transition training should be aimed at acculturation munication skills. and transculturation, and noted that personality factors Many researchers, including Furnham and and personality needs could serve as obstacles to the Bochner,23 took the approach that an individual will success of such training.20 successfully adapt if he acquires certain social skills Second, research was conducted by Guthrie and through training, and so tried to identify which kinds Zektick during the training of 278 volunteers who of social skills would help an individual to adapt well. were serving in the Philippines. The survey consisted It is useful to identify the essential social skills based of various tests, including psychological and intelli- on specific situations, such as the country to which the gence tests, the collection of personal data such as individual has been assigned and the nature of the family, social and educational background, and ratings assignment, and then train volunteers in those skills. by the APC American staff, by Filipinos in the local For instance, one study described in great detail ten community and by other volunteers in training. social skills necessary for successful cross-cultural Although the results showed that there were possible contact.24 In Kealey’s opinion, not everybody can relationships among the variables, the relationships are improve their skills through training because improve- not great enough to be useful in selection. Guthrie and ment is based on the individual possessing a certain Zektick pointed out the importance of how volunteers personality or interpersonal attitude to begin with. perceived their situation and environmental condi- Skills are also related to an individual’s awareness of tions.21 their circumstances. Accordingly, there is a close tie Third, Harris’ research targeted volunteers dis- between personality and how an individual interprets patched to Tonga and compared those who successful- situations. ly completed their assignments and those who left As for personality, it is important to continue halfway (52 samples). Three APC staff were designat- research into which aspects of personality affect social ed to assess each volunteer’s activities with regard to skills and the interpretation of situation. It is also nec- personality and interpersonal relationships. In compar- essary to specify the social skills which are effective ing the two groups, it was found that “perseverance” in certain concrete situations by analyzing the cultural was the most decisive variable, followed by 5 other background of sojourners and the recipient country. significant variables, which included patience and tol- erance, courtesy, interest in local inhabitants, knowledge of subject, and reliability.22 VII Future Directions

1. Research Perspectives and Methods Cross-cultural adaptation of those involved in

19. J. G. Harris, “A science of the south pacific: an analysis of the character structure of Peace Corps Volunteers,” American Psychologist 28 (1973), pp. 237-247. 20. T. Maretzki, “Transition training: a theoretical approach,” Human Organization 24 (1965), pp. 128-134. 21. G. M. Guthrie and I. N. Zektick, “Predicting performance in the peace corps,” Journal of Social Psychology 71 (1967), pp. 11-21. 22. Harris, op. cit., p. 242. 23. A. Furnham and S. Bochner, Culture Shock (London: Metheun, 1986). 24. Fumio Watanabe, “Ibunka sessyoku no skill (Cross-cultural contact skills),” in Akio Kikuchi and Kazuya Horike (eds.), Syakaiteki Skill no Shinrigaku (The Psychology of Social Skills) (Tokyo: Kawashima Shoten, 1994), pp. 152-165.

101 Technology and Development, No.12, 1999 international development projects should not be dealt a country. One of the reasons that research on the with as a matter only for the experts and volunteers American Peace Corps declined after the 1970s was who are dispatched, but also as a part of the process of that personal factors could not sufficiently explain development projects. Previous research primarily cross-cultural adaptation. focussed on dispatched experts and volunteers. Future In previous approaches, the issue of who (i.e. per- research should include perspectives that state: 1) The son with what cultural background), and where some- ultimate goal is to accomplish technology transfer, not one was sent were neglected. For example, the types cross-cultural adaptation; and 2) Members of the local and levels of adaptation, and various theories includ- community should be included when considering the ing the U-curve and W-curve hypotheses are based on factors which influence the success of technology the assumption that cross-cultural adaptation is a uni- transfer. It is said that development projects are con- versal phenomenon. At the same time, however, it is a sidered to be a kind of cross-cultural exchange.25 In fact that there are differences in adaptation between other words, development projects proceed through Japanese and Canadians and differences whether the interaction between the providers and recipients of assigned country is Kenya or China. Based on the assistance and the field of technology transfer is exact- above facts, Okazaki-Luff26 proposed that the cultural ly where that exchange takes place. background of a sojourner and the assigned nation With respect to research methods, most researchers should be taken into consideration. Further discussions have conducted cross-sectional questionnaire surveys are necessary in which the dimension the culture by using cognitive indices. From a behaviorist’s stand- should be considered. point, the assessment of a sojourner’s behavior is more Situational factors in organizations also influence objective if it is done through a third party than the success of development assistance. For instance, through self-reporting questionnaire surveys. There Harari pointed to obstacles outside the behavioral sys- are cases in which two reports can differ: self-assess- tems of experts from a survey conducted on French ment by sojourners regarding psychological adaptation experts.27 Obstacles in undertaking assignments and assessment by third parties regarding sojourners’ included the following: missions without real purpose, behavior. For instance, an expert may like the country missions with no follow-up, instability of personnel, and feel that the assignment is going well. However, underemployment, political interference, cultural local people working with the expert may feel that obstacles, having too many responsibilities and lack of they are forced to work according to the expert’s will. facilities. These issues still trouble many international A discrepancy like this can be clarified only by third- aid organizations. It is too much to expect that individ- party observation. In the future, it is necessary to plan ual experts alone can solve all of these problems. longitudinal surveys through participant observation and to develop procedures to analyze the dynamic This article is based on a master’s degree thesis sub- aspects of technology transfer as a cross-cultural inter- mitted to the Graduate School of International Relations, action between experts and local people. University of Shizuoka in March 1996. The author would like to take this opportunity to express her gratitude to 2. Identifying Situational Factors Professor Mitsuru Wakabayashi and Susan Tennant at There is a need to design surveys that identify situ- the Graduate School of International Development, ational factors in which technical experts are posted, Nagoya University, for their valuable advice on this arti- such as those concerning the organization, culture, and cle.

25. Yoshio Hara, Masakazu Yano and Junji Nukata, “OECF project ni okeru gijutsu iten to sustainability (Technology transfer and sustainability in OECF projects),” Kikin Chosa Kiho 59 (Tokyo: 1988), pp. 3-87. 26. K. Okazaki-Luff, “On the adjustment of Japanese sojourners, beliefs, contentions and empirical findings,” International Journal of Intercultural Relations 15 (1991), pp. 85-102. 27. D. Harari, The Role of the Technical Assistance Expert (Development Center of the Organization for Economic Cooperation and Development, 1974).

102 INFORMATION

1 The Committee on the Country Study for Japan’s Official Development Assistance to Mongolia

1. Background and process of the committee regime. establishment Based on the above perspectives, the report cites Mongolia seems to have overcome the economic the following focal sectors and considerations in assis- disorder caused by a drastic transition from a socialist tance implementation that Japan’s ODA should cover. regime to a market economy, which took place since the beginning of the 1990s. The Mongolian 1) Priority areas for assistance Government is expected to quickly respond to the (i) Support for full-scale rehabilitation of social and needs of human resource development and institution- economic infrastructure. building for smooth transition to a market economy. In (ii) Support for improvement of social and welfare line with these efforts, donor countries are requested services and alleviation of poverty. to review their long- and intermediate-term develop- (iii) Support for the mining and related industries. ment and assistance strategies to envisage the (iv) Support for the livestock and agricultural sectors country’s economic recovery and expansion. and the manufacturing sectors.

2. Progress of the committee 2) Consideration for assistance implementation The study committee held a total of 5 meetings, (i) Integrate elements of institution-building and which started in June 1996 and closed in December human resources development into assistance 1996, to review the possible direction and forms of programs and projects. assistance to Mongolia. In the course of the review a (ii) Pursue strengthened ties and cooperation with 10-day field study was carried out to hold policy dia- major aid institutions. logues with the Government of Mongolia and its prin- (iii) Conduct careful preliminary assessments and ciple aid agencies, and to gather the necessary infor- evaluations regarding assistance for new invest- mation and related materials. The report was compiled ment projects. from the manuscripts written by the members of the committee and took shape as recommendations based 4. Committee members (The titles are as of the on the outcomes. report compilation) Shinji ASANUMA (Chairperson) 3. Outline of the report Professor of Economics, From the beginning of the 1990s to date, Mongolia Chiba Institute of Technology has overcome the initial stage of economic disorder Hiroshi TANEDA (From November 1996) instigated by the transition of the political regime, Director, 1st Division, Operations Department II, backed by the government’s economic stabilization The Overseas Economic Cooperation Fund policy and international economic assistance. In con- Shigeru KIYAMA (Until October 1996) sequence, the priority in economic policy goals is Director, 1st Division, Operations Department II, shifting from economic stabilization to a sustained The Overseas Economic Cooperation Fund economy with structural reforms of institution-build- Shinichi KUBOTA ing, and the recovery and restoration of the economic Director of the Sasakawa Japan-China Friendship level. Under these circumstances, the smooth transi- Fund, The Sasakawa Peace Foundation tion to a market economy is the country’s most Akira KUMAKURA important challenge. Director, Second Regional Division, Although Japan’s long-term aid policy stays in Planning Department, supporting the country’s self-sustained economic Japan International Cooperation Agency development, to gear the country to the right direction, Sumio KURIBAYASHI Japan’s aid policy is, for the time being, expected to Professor, School of Economics, support the transition. More specifically, Japan’s aid Tokyo International University policy is required to focus on a more integrated and Shinichi KOIBUCHI multi-faceted cooperation with emphasis on pertinent Professor, Department of International Relations, institution-building, intellectual support to develop- Asia University ment strategy and policy formulation, and assistance Miyoko SHIMAZAKI for human resources development to create a new Professor of Economics, Institute of Chita

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Regional Development, Nihon Fukushi University Masao SASAKI (Advisor) Hiromi CHIHARA Development Specialist, Development Specialist, Japan International Cooperation Agency Japan International Cooperation Agency Osamu MAKINO (Advisor) Hiroshi NIKI Development Specialist, Professor, Tokyo University of Foreign Studies Japan International Cooperation Agency

104 INFORMATION

2 The Issue-wise Study Committee for Development Assistance on “Local Development and the Role of Government”

1. The background of aid study University of Tokyo Japan, JICA in particular, have endeavored in Yoshio KAWAMURA cooping with regional development and alleviation of Professor, Faculty of Economics, regional disparities, setting them as principle aid Ryukoku University issues. The issue-wise study committee was estab- Hiroshi SATO lished with the purpose of reviewing these issues from Professor, Yachiyo International University new perspectives. The circumstances in which special Hitoshi SYOUJI efforts are required in this area are derived from the Senior Economist, Director, Sector Studies, following two currently emerging factors; namely, 1) Research Institute of Development Assistance, the change in aid focus, as a current global trend, has The Overseas Economic Cooperation Fund come to shed light on these issues, and 2) the local Naohiko JINNO systems, which had long been considered as given fac- Professor, Department of Economics, tors, have started to call for a new revision in dealing University of Tokyo with these issues. The revision of the local system Yuji SUZUKI itself is an important issue, and moreover the local Professor of Politics, Faculty of Law, system forms one of the basis to support the nation- Hosei University state system together with the government’s three Keiichi TSUNEKAWA branches (legislation, jurisdiction and administration), Professor, College of Arts and Sciences, and is an important framework when considering the University of Tokyo development issue of the developing countries. The changes in local systems that have chronically trou- 4. Outline of the report bled developing countries such as administrative, fis- In recent years, issues such as decentralization cal and political reforms and democratization have and specific problems in the loca area have emerged largely related to such issues. as key policy challenges in redefining the role of gov- Based on the above perspectives and consideration ernment in developing countries. This trend is backed of the wide ranging problems, the committee has by the circumstances in which the whole world has determined to review regional development and the witnessed changes in political and economic environ- reduction of regional disparities in relation with the ments as a consequence of the end of the Cold War movement toward decentralization. and economic globalization. At present, more than 60 out of 75 developing and transitional countries with 2. Progress of the committee populations of over five million are conducting some The study committee started in January 1996 and regional decentralization programs. This fact can be held a total of 11 meetings including an open study considered in relation with the increasing interest in meeting. From September to October in 1996, some developing countries, including local development committee members were dispatched to China, and regional disparity redressing programs. Indonesia, and the Philippines respectively to carry Decentralization in this context is expected to con- out field survey. They gathered necessary information tribute to local advancement by redressing regional and related materials, and held policy dialogues with gaps and creating an appropriate institutional environ- the respective government officials. ment that facilitates development planning and implementation at the local level. On the other hand, one of 3. Committee members the crucial questions is whether or not local govern- Michio MURAMATSU (Chairperson) ments are able to use the devolved power and Professor, Faculty of Law, Kyoto University resources to benefit local progress. At the same time, Akira KASAI the role of the central government should be duly Technical Special Assistant to the President, reviewed in order to properly curb the regional dispar- Japan International Cooperation Agency ities aggravated by ability of local governments. Hiroyuki KATO The current circumstances observed in developing Professor, Faculty of Economics, Kobe University countries in terms of structural reform required the Hiroyoshi KANO committee to review the issues of regional disparities Professor, Institute of Oriental Culture, and local development in relation with the regional

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decentralization. The report was compiled, after the local development, the committee underscored the focal points were studied and shaped up, with recom- necessity of considering various factors in the devel- mendations to the donor countries in dealing with opment and their role at the local level as well as the these points. central-local government relationship of a recipient In the report, the following points are discussed to country. The following points are cited in the report as identify possible cooperation of our country: 1) good basic aid policies: 1) intellectual support for political governance in the framework of the relationship and economic reform including decentralization; 2) between the central government and the local govern- support for upgrading the local government’s adminis- ment, which has a definitive impact on regional trative and financial capabilities; 3) support for the development and the reduction of regional disparities; central government’s roles in regional disparity reduc- 2) the required institutional preparation at the local tion; 4) support for the development of regional core- level to mobilize governmental and private resources. cities. In reviewing our country’s effective cooperation in

106 INFORMATION

3 JICA’s International Seminar on Basic Education and Development Assistance in Sub-Saharan Africa

1. Background of the seminar as ways to enhance their mutual coordination and Since their independence in the 1960s and the 70s, cooperation for the attainment of universal primary Sub-Saharan African countries have invested in the education in Sub-Saharan Africa; and thus, to con- expansion of the modern education system. Primary tribute to more effective and efficient implementation school enrollment, however, has stagnated and even of Japan’s development assistance for basic education decreased in many countries with the decline of public in Sub-Saharan Africa. investment in education sector under the macroeconomic crisis in the 80s, while the population growth 2. Outline of the seminar rate remains high. Besides, some studies indicate that Date: March 7, 1997 (Friday); the quality of education has been declining in some Number of participants: 170 countries rather than improving. The Government of Japan has strengthened its 1) Keynote Speech assistance for expansion of education in developing “Basic Education in Sub-Saharan Africa - Its histo- countries, in line with the declaration adopted in the ry and prospects” by Aõ¬cha Bah Diallo, Director, World Conference on Education for All in 1990. Also Division of Basic Education, UNESCO as one of the leading members of the Developing The educational history in Africa is divided into Assistance Committee (DAC) of the Organization for the following three periods: the pre-colonial period, Economic Cooperation and Development (OECD), the colonial period, and the period since indepen- Japan has committed itself to cooperate under a global dence. partnership with the international development com- The crisis of education in Africa is evidenced by munity to realize universal primary education by the various difficulties including persisting inequality of year 2015, one of the targets set by the member coun- access between boys and girls, declining quality of tries of DAC in its so-called new development strate- education (hiagh rates of repeaters and droppouts), gy in 1996. As for the development of Africa, the excessive centralization of administration, poor school Japanese Minister for Foreign Affairs Yukihiko Ikeda management, and financial crisis. at the 9th UNCTAD meeting held in April, 1996 The Guinean experiences in educational reform announced a plan to play active roles in education in show the following measures to be taken: improving Africa, mainly for the enhancement of primary educa- quality and relevance of schools and upgrading their tion. efficiency, increasing the budget addressed to educa- JICA, as the implementing agency of technical tion, establishing institutional and legal systems, cooperation and grant aid programs of the govern- encouraging close cooperation with regional society, ment, has always put emphasis on training and educa- providing literacy education for parents (the literacy tion in various sectors. The report of the Aid Study program is valuable for promoting the schooling of Committee on Education and Development commis- children, especially girls.), promoting cultural identity, sioned by JICA in 1993 recommended, among others, strengthening the parent -teacher associations, advo- to improve the regional distribution of Japan’s ODA cating girls’ education, providing gifted children with to Sub-Saharan Africa and to stress aid for basic edu- scholarships and other incentives, forbidding the cation as a priority area. Study teams have visited employment of school-age children, reviewing the tra- several African countries to formulate new projects in ditional values, and fostering an attitude among people the basic education sector, and research projects are to respect positive traditional values. being conducted for better planning, design and imple- All the partners in the country and abroad are expected mentation of the projects for basic education. to cooperate in supporting African people so that The objective of this seminar is to review, together they can find the solution and overcome the problems with experts of the international and bilateral organi- on their own. zations in education development in Africa, the present situation of basic education in Sub-Saharan 2) Panel discussion African countries; to discuss the major development Moderator: Yumiko Yokozeki issues regarding access to and quality of basic educa- (JICA Development Specialist) tion in Sub-Saharan Africa; to discuss the roles of African governments and international donors as well (1) Part I: “Problems, Issues and Opportunities of

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Basic Education in Sub-Saharan Africa” (i) “Donor Coordination: Old Ways, Mixed Results Two presentations were given under the following and New Approaches” by Richard Sack, Executive themes; Secretary, Association for the Development of (i) “Basic Education in Sub-Saharan Africa and Education in Africa (ADEA) Japan’s Initiatives for Educational Cooperation” by A systematic overview of the types of coordina- Seiji Utsumi, Professor, Faculty of Human Sciences, tion, and details of a new form of cooperation called Osaka University, “collaborative partnership” were presented. The Possible challenges to support educational devel- speaker also reported on the activities of ADEA opment, such as, safety-net programs, comprehensive undertaken with the participation of educational insti- approaches, tie-ups with local specialists, emphasis on tutions and representatives of African education min- the close ties between rural communities and the edu- istries. ADEA is active in promoting assistance adjust- cational sector, needs for multi-cultural and multi-sec- ment and aid studies with careful consideration of the toral approaches were pointed out. developing countries partnership in order to improve (ii) “Financing Sustainable Education Programs in education programs. Sub-Saharan Africa: Challenges and Opportunities” (ii) “Basic Education: Sector wide and School by Ruth Kagia, Manager, Human Development, Focused” by Terry Allsop, Senior Education Advisor, Eastern and Southern Africa, World Bank ODA(1), United Kingdom The speaker singled out the educational situation The aid policies in the United Kingdom for educa- in Africa where the investment for education is cru- tional development. Emphasis on the necessity of a cial, and diversity of the continent, population growth, long-term commitment and sectoral investment plan- increasing debt burden and economic stagnation, ning. declining school enrollment ratio, widening, and dete- (iii) “International Seminar on Basic Education and riorating educational quality are persistent problems. Development Assitance in Sub-Saharan Africa” by The following principle measures are proposed to be Takenori Odano, Managing Director, Planning taken: forging effective partnerships (south-south Department, JICA cooperation, etc.) capacity-building, and supporting The importance of a comprehensive approach, educational reform. coordination and collaboration with other aid organizations, cooperation with NGOs, improving the aid (2) Part II: “New Approaches to Assistance for implementation structure including human resources Expansion and development are stressed. Improvement of Basic Education in Sub-Saharan Africa” (1) ODA has changed its name as DFID (Department Three presentations were given under the follow- for International Development) in 1997. ing themes;

108 INFORMATION

4 Study on the Participation of Disabled Persons in International Cooperation Activities, Phase II

1. Background and objectives of the study Kazutoshi IWANAMI Efforts to promote policies for disabled people Managing Director, have been moving forward worldwide in recent years, Institute for International Cooperation, as symbolized by the declaration of the United Japan International Cooperation Agency Nations Decade of Disabled Persons (1983-1992) and Etsuko UENO the Asian and Pacific Decade of Disabled Persons Director, International Department, (1993-2002). As part of that trend, Japan has instituted Japan Society for Rehabilitation of Disabled the Long-term Program for Government Measures for Persons Disabled Persons (1982) and the New Long-term Hideharu UEMURA Programs for Government Measures for Disabled Chief Psychologist, Persons (1992) (to be referred to as the “New Long- Division of Psychology and Rehabilitation term Program” below) Management, National Rehabilitation Center for International Cooperation is one of the priority the Disabled areas under the New Long-term Program. In particu- Yoshiko OTSUKI lar, emphasis has been placed on measures to promote Director of JFD Headquarters, exchanges among organizations for disabled people, Japanese Federation of the Deaf the transfer of technologies to developing countries, Akiko KOBAYASHI and the sharing of information on policy-related Associate Professor, Chubu Gakuin University issues. Hisao SATO Reflecting these circumstances, in fiscal 1995, Dean , Faculty of Social Welfare, JICA initiated the research study named “The Japan College of Social Work Participation of Japanese Disabled People in Tetsuji TANAKA International Cooperation Programs” (Phase I) with Chief Librarian, Japan Braille Library the objective of promoting the participation of dis- Masatsugu NARUSE abled people in Japanese ODA programs. Phase I was Director, International Cooperation, composed of a questionnaire survey of Japanese orga- Japan Council on Disability nizations for and of disabled people. Based on the Ryosuke MATSUI survey, disabled people’s interest and obstacles in par- Director, Japan Association for Employment ticipating in ODA programs ware identified and ana- of the Disabled lyzed. The study gave recommendations urging that steps be taken to encourage disabled people’s active 3. Outline of the report participation in international cooperation as a high pri- The full scale study report consists of the follow- ority issue. ing four chapters. The Phase II study was carried out to analyze the Chapter 1: Outline of the Study (details are omitted) current situations disabled persons face and institu- Chapter 2: Findings of the Questionnaire Surveys tional setups necessary to implement measures for dis- (details are omitted) abled people and to respond to cooperation needs. The Chapter 3: Overview of the Field Surveys recommendations gathered in Phase II and those of (details are omitted) Phase I were put together into the final recommenda- Chapter 4: Recommendations to Foster Heightened tions, which propose measures to facilitate the partici- Participation by Japanese Disabled People pation of Japanese disabled people in international in the Field of International Cooperation cooperation. Chapter 4 features the final recommendations based on the outcome of a two-year study of Phase I 2. Progress of the study committee and II. The general line of recommendations adopted The study committee, started inviting outside spe- in Phase II does not differ from those in Phase I. After cialists, held total of 8 meetings from June 1996. The a comprehensive examination on the outcomes of committee was formed by the following committee Phase II as well as Phase I, the following finalized rec- members: ommendations were compiled in a more specific and Yasuhiro HATSUYAMA (Chairperson) practical manner assuring higher viability: President, National Rehabilitation Center (1) Significance of participation by disabled people for the Disabled (2) Aid needs in developing countries and the interest

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of Japanese disabled people in fulfilling their roles As for the participatory measures proposed in the in assistance. recommendation (6), Japan’s urgent and effective (3) Disabled people’s possibilities for participation undertakings and enhanced cooperation to disabled (4) Basic directions for participation people in the developing countries are highly neces- (5) Priority areas for participation sary in order to encourage Japanese disabled people’s (6) Measures to encourage participation in priority participation in the above mentioned focal areas. areas Specific measures are cited with the following seven (7) Factors deserving special attention for promoting points: (i) expansion of the assistance program and the the participation of disabled people formulation of basic policies for disabled people in As for priority areas proposed in recommendation developing counties; (ii) establishment of administra- (5), in implementing cooperation among disabled peo- tive systems in aid institutions to undertake welfare ple, we should focus on the areas where there are larg- services for disabled people; (iii) promoting better er cooperation needs by developing countries, and understanding of disabled people and their problems where higher cooperation potentials of Japanese dis- among personnel in official aid institutions; (iv) prepa- abled peoples can be expected, and a greater coopera- ration of fundamental information on disabled people tion effect is anticipated. In line with the above obser- in developing countries; (v) establishment of advisory vations the eight points proposed as practical steps to groups for assistance to disabled people in developing be taken. The necessary steps were determined based countries; (vi) establishment of a network for sharing on the analysis of past surveys, considering 1)whether information on assistance programs for disabled peo- these are the areas where the cooperation needs of the ple in developing countries; (vii) implementation sup- recipients meet the cooperation and participation port for on-going projects that call for the participation available by Japanese disabled persons, and 2)whether of disabled people. these are areas which require more specific and inten- As for the factors deserving special attention for sive activities. Those are considerations following the promoting the disabled people’s participation pro- “Action Plan”, an agenda to achieve the target adopted posed in the recommendation (7), careful and meticu- by the UN’s ESCAP resolution named “the Asia and lous considerations are required in participating in Pacific Decade of Disabled Persons”, and “the New international cooperation, especially when dispatching Long-term Program”, a guideline to the policies for disabled people to developing countries. Most atten- the disabled people in Japan. The proposed eight tion should be paid to securing the dispatched partici- points are: (i) advocacy concerning disabled people; pants’ safety. The following four points are the out- (ii) the establishment of accessible communication, comes of the 2-year study starting from Phase I and transfer and information network for disabled people; fundamental requirements in accelerating the partici- (iii) improved sharing, collection and utilization of pation of disabled people in future ODA activities: (i) information; (iv) larger job opportunities for disabled improvement of training centers and other facilities; people; (v) the organization and management of dis- (ii) execution of detailed preliminary studies of current abled people in developing countries; (vi) the promo- local conditions; (iii) commencement of pilot projects tion of sports, recreational and cultural activities for with a focus on ASEAN countries; (iv) special atten- disabled people; (vii) the establishment and furnishing tion to the needs of women with disabilities. of welfare facilities and equipment; (viii) other areas.

110 Technology and Development

Institute for International Cooperation Japan International Cooperation Agency