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ISSN 0914-918X
Technology and Development
No. 12
January 1999
ARTICLE
Development Economics and Some Issues on Poverty
Hideki ESHO
Yasutami SHIMOMURA
Economic Development and Good Governance ― In Search of Functional Policies ―
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
Ichigaya Honmura-cho 10-5, Shinjuku-ku, Tokyo 162-8433, Japan
© 1999 Japan International Cooperation Agency
All rights reserved.
Printed in Japan on recycled paper.
No. 12
January 1999
CONTENTS
ARTICLE
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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
– Based on Social Changes in the 1990s –
Yusuke NAKAMURA / Takashi HAMANO / Yoshiyuki NAGATA /
Yumiko YOKOZEKI / Junko KURASHIMO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
CASE STUDY
– 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 / Sergio R. FRANCISCO / Teruaki NANSEKI . . . . . . . . . . . . . . . . . . .
Japanese Language Education for Promotion of International Understanding and Cooperation
– An Example of Japan's Assistance and Cooperation in Indonesia –
Yuko MOMOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Hiroyuki NAKANO / Gen INUO / Takatoshi KOBAYAKAWA / Akira KANEKO /
Toshio AKIBA / Hiroaki YAMAZAKI / Tomoko SAITO / Kimiteru NAKAGAWA . . . . . . . . .
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 . . . . . . . .
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JICA
Japan
International
Cooperation
Agency
was established on 1 August 1974 as an official aid agency of Japan under
the supervision of the Ministry of Foreign Affairs. In order to help promote
the ecomonic and social development of the developing world, JICA extends
various kinds of cooperation including technical cooperation, grant aid, dispatch
of Japan Overseas Cooperation Volunteers (JOCV).
IFIC
Institute
For
International
Cooperation
was established on 1 October 1983 as one of JICA’s affiliated organs. Its pupose
is undertaking recruitment of development specialists, training qualified Japanese
experts, research and study, and collection and dissemination of information of
technical cooperation.
ARTICLE
Hideki ESHO
Professor
Faculty of Economics, Hosei University
The collapse of the centrally controlled socialist system of the former Soviet Union provoked the emergence 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 macrolevel 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.
I Introduction
As the centrally controlled socialist system of the
former Soviet Union collapsed, issues concerning the
environment, ethnic conflicts, the role of women,
AIDS, and human rights emerged as “critical problems challenging development”. Poverty in developing countries is no exception. The World Bank
focused on poverty as the main theme for its “World
Development Report” in 1990.1 The United Nations
Development Programme (UNDP) also has been publishing its “Human Development Report” since 1990.2
In 1996, the Organization for Economic Cooperation
and Development (OECD) proposed a new strategy
for development cooperation in which it stated its goal
to halve the number of people who are living in
extreme poverty before the year 2015.3 Japan’s main
concern for official development assistance is also
rapidly shifting from an infrastructure-oriented type to
a poverty-oriented type.
Development economics is a field of economics
*
1.
2.
3.
that focuses on identifying the nature and causes of
poverty in developing countries and seeks a development strategy to eradicating poverty. Looking back on
its history will help to find the key ideas for eliminating poverty in developing countries.
II The Structuralist Approach to Poverty
In development economics between the second
half of the 1940s and the first half of the 1960s, there
was a shared dichotomous world view that the economic structure of developing countries is of a different nature from that of developed countries and that
supply side rigidities hinders the industrialization of
developing countries, and in later years, this view
came to be called structuralism.
Advocates of structuralism presumed that market
mechanisms could not contribute to economic development and desirable income distribution in developing countries. They described the nature of economic
growth in developing countries where the market
This article was first published in Japanese in Kokusai Kyoryoku Kenkyu, Vol. 14, No. 1(April 1998)
World Bank, World Development Report 1990 (Oxford: Oxford University Press, 1990).
UNDP, Human Development Report 1990 (New York: Oxford University Press, 1990).
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
stage of leapfrog progress was essential for economic
growth to take place. They also argued that governments ought to play a pivotal role in staging drastic
growth, and that development planning was indispensable at the national level of the economy. Moreover,
they asserted that under the free trade system which
was formed after the Second World War, the economic disparities between rich industrial countries in the
North and poor developing countries in the South
would widen, and that there was no hope for development of the Third World countries.
Acording to structuralism, three reasons why
developing countries cannot be freed from poverty
are: 1) the dependence of their economic structure
on primary product exports (export pessimism); 2)
bottlenecks on the supply side; and 3) insufficient capital. Because of these factors, developing countries
cannot escape from ‘low-level equilibrium’. They
asserted that in addition to reforming the international
trade and monetary system (the so-called ‘free trade
system’ under the IMF and GATT), which unfavorably affects developing countries, it is essential to proceed with an ‘inward-looking’ development strategy
(or import- substitution- industrialization strategy) to
expand the economy and eliminate poverty. They also
asserted that there is a need to internalize the external
economy in order to make an ‘inward-looking’ development strategy successful so that the role of governments (or planning) in this respect is indispensable.4
III
The
Neo-classical Approach to Poverty
In the second half of the 1960s, the neo-classical
approach began to resurge in development economics.
The neo-classical approach is an economic paradigm
that trusts price mechanisms to adjust supply and
demand, and also represents the idea that markets
function as well in developing countries as they do in
industrial countries. The neo-classical approach was a
striking contrast to structuralism in that the former
trusted markets to work well even in developing countries, whereas the latter took government intervention
in markets for granted (the importance of economic
development planning by governments and state enterprises to lead economic growth) based on the assumption that markets failure in developing countries.
The neo-classical approach passed severe criticism
on all the hypotheses that formed the backbone of
structuralism.
Theodore Schultz criticized the structuralist theory
of promoting industrialization based on the accumulation of material capital, and instead proposed the strategy for technological innovation in modernizing traditional agriculture and human capital. Schultz asserted
4.
5.
6
the rationality of the economic activities of rural people in developing countries (the image of poor, but
efficient peasants), and provided the theoretical
groundwork for the Green Revolution strategy. He
also thoroughly criticized the idea of ‘disguised unemployment’, on which structuralism depended.5
In contrast to the structuralist hypothesis that the
most important factor for economic growth is the
quantity of capital i.e. savings and investments, the
neo-classical development economists argued that
improvement of capital-output ratio, namely, improvement in the production efficiency of investments, is
most important. Moreover, they put forward the idea
that the true bottleneck in economic development is
not the quantity of capital, but the scarcity of private
enterprises which can control and operate capital efficiently, and a lack of management abilities.
The advocates of the neo-classical theory criticized
the export pessimism by arguing that the crucial factor
influencing export performance and economic development in developing nations is not stagnant global
demand, but rather the trade policies adopted by
developing countries. As a result, they contradicted
the validity of the ‘inward-looking’ development strategy proposed by the structuralists and advocated the
effectiveness of an ‘outward- looking’ development
strategy.
In relation to the assumption of “market failure”,
the neo-classical development economists contradicted it by discussing “failure of government
intervention”. They pointed out the failure of governments in economic planning and the inefficiency of
state-owned enterprises. Instead, they stressed the
effectiveness of market mechanisms and the necessity
of introducing the robustness of the private sector.
According to the neo-classical approach, the reasons for poverty in developing countries derive from
the insufficiency of investment in human capital (i.e.,
education and nutrition), and the exposure of the market to excessive and constant government intervention
through the promotion of an ‘inward- looking’ development strategy, which consequently leads to market
distortions. In order to eradicate poverty, they argued
that it was necessary to correct artificial distortions in
the market by facilitating investment in human capital
and curbing government intervention, and to adopt an
export-oriented industrialization strategy based on
comparative advantage.
IV The Reformist Approach to Poverty
In the second half of the 1960s, around the same
time as the birth of the neo-classical approach,
reformism also came to be influential. Reformists
argued that increased employment, equitable income
Hideki Esho, Kaihatsu no Seiji-Keizaigaku (The Political Economy of Development) (Nippon Hyoronsha, 1997).
T. W. Schultz, Transforming Traditional Agriculture (New Heaven: Yale University Press, 1964).
distribution, and fulfillment of basic human needs
should be made the principle challenges of development strategy and assistance policies.
This approach derives from doubts about the validity of the trickle-down hypothesis. In the 1960s, not
only did economic disparity between industrial and
developing nations worsen, but the economic gap
between the rich and the poor within developing countries themselves widened. People began to criticize
growth-oriented policies.
The International Labor Organization (ILO) was
the first to take a reformist approach. In 1969, the ILO
established the World Employment Programme,
through which it advocated an employment-oriented
development strategy that aimed at employment
growth itself. The establishment of the Program was
based on the idea that increasing job opportunities and
productive labor was the most effective way to
improve the income and living standards of the general public. Another organization that paid attention to
poverty issues was the World Bank. After 1968 when
Robert McNamara assumed the presidency of the
World Bank, the organization experienced a brief era
of ‘idealism’.
The ILO and the World Bank then shifted their
attention from issues of employment, poverty and
income distribution to “fulfillment of Basic Needs
(BN)” as a development goal. The ILO defined BN as
“a minimum living standard for the poorest of the poor
to be set by the society”. Specifically, BN represents
the following four points: 1) to fulfill the minimum
needs of private consumption for a standard household, i.e. to provide sufficient food, shelter and clothing as well as to provide the facilities and services
necessary for a standard household; 2) to improve
basic services provided by and to the society, such as
safe drinking water, public health, public transportation, health service, and education; 3) to ensure
employment that sufficiently remunerates individuals
who are capable and willing to work; 4) to fulfill
needs of higher quality, i.e. to make the environment
healthy, humane, and satisfactory, and to enable people to participate in the decision-making process
which affects people’s lives and freedom.6
The most distinctive characteristic of reformism is
its attitude to reexamine the “purpose of development”
and its appeal to human morality. Paul Streeten, one of
the central figures in the BN approach, called those
who look at human beings from a productivity perspective, “human resource developers”, to differentiate them from those who think of human beings as the
objective of development, “humanitarians”.7 Needless
to say, the former refers to the neo- classical approach,
6.
7.
8.
whereas the latter refers to reformism. Reformism also
differed from structuralism in respect to how poverty
should be dealt with. Whereas the structuralist
approach addressed the issue from a macroeconomic
perspective, the reformist approach focused on the
poor, which is the subject of microeconomics.
In the 1980s, the reformist approach dropped out
of the world of development economics. One of the
reasons for this was the ambiguity of the approach.
Although the approach was acceptable (or irresistible)
from a moral point of view, it was lacking in regards
to practical policy recommendations.
Reformism accepts government intervention to a
large extent. In this context, reformism was the successor to structuralist arguments, but with a more
intensive focus. Reformists needed to concentrate on
various issues related to the roles of governments and
market mechanisms in meeting BNs. They also needed to analyze political, administrative and other types
of systems in which domestic-demand-driven growth,
land reform, and people’s participatory development
were prerequisites to fulfill BNs. However, they failed
to consider these issues sufficiently.
Countries and states that were thought to be typical
examples of implementing development strategies
suitable to the BN approach included China, Tanzania,
Cuba, Sri Lanka, Viet Nam, and the state of Kerala in
India. All these countries/states either are socialist
states or are adopting relatively socialistic political
systems. In hindsight, all these examples lacked persuasiveness as concrete examples for supporting the
new development strategy.
The neo-classical approach became dominant in
the 1980s. One of the reasons was the newly industrializing economies (NIEs), which included Taiwan and
South Korea. Their experience was interpreted to be
the result of trickle-down effects. In other words, their
experience was understood to be an example of successful poverty alleviation without worsening the
income distribution by adopting labor-intensive and
export-oriented industrialization, and leading to
employment growth. 8 In short, the export-oriented
development model of Asian NIEs was a development
model which simultaneously resolved all three issues
of unemployment, inequitable income distribution,
and poverty, which reformism attached great importance to. High economic growth of Asian NIEs after
the 1970s supported the validity of this interpretation.
On the other hand, the effectiveness of the BN
approach weakened empirically as well as theoretically as countries which adopted the BN development
strategy experienced sluggish growth.
International Labour Office, Employment, Growth and Basic Needs, A One-world Problem (Geneva: ILO, 1976).
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).
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
V Paradigm Change in Development Economics
In the 1980s, the neo-classical approach dominated
the world of development economics after it was
adopted by the International Monetary Fund (IMF)
and the World Bank as the theoretical base for their
structural adjustment programs. However, in the second half of the 1980s, skepticism and criticism toward
the effectiveness of the neo-classical approach
emerged because most developing countries, except
Asian NIEs, experienced weak economic performance. Latin American nations were caught in severe
cumulative debt crises. Countries in Sub-Saharan
Africa and South Asia failed to solve the poverty issue
while foreign debt continued to surge. In the course of
various experiences of development and structural
adjustment, several points were brought to light.
First, the importance of certain political and institutional presuppositions (pre-conditions) came to be
stressed in order to liberalize markets (or to pursue
structural adjustment programs) in line with the neoclassical model and produce desirable results.
Governments were expected to play an active role in
choosing a desirable economic policy and carrying out
economic reform. Thus, this new approach was introduced into the political economics of development.
Second, there was criticism that the assumptions of
the neo-classical approach (especially general equilibrium theory) was inappropriate for developing countries. In particular, the assumptions of zero transaction
cost and perfect information drew the most skepticism. Moreover, an argument was made that a state of
underdevelopment refers to the condition of undeveloped markets; as a result, the “mechanism of market
development” itself should be made the subject of
analysis. This approach is called the neo-institutional
approach.
Third, the existence of external economies began
to attract attention again. As a result, the significance
of industrial policies came to be highly regarded from
a perspective of “economies of increasing returns”
with the necessity for government intervention was
stressed.
VI Resurrection of Reformism
At the same time, critical doubts were expressed as
to whether the structural adjustment programs of the
IMF and the World Bank had a negative effect on the
poor and the distribution of income. Moreover, the
widely-accepted perception then was that problems of
poverty, the environment, income distribution, women
and children, human rights, and military affairs had
not been solved at all in most developing nations. It
was believed that the market itself could not deal with
these issues. This belief led to the resurrection of
reformism.
Among various international organizations, it was
the United Nations Children’s Fund (UNICEF) that
first took a critical stand on the structural adjustment
programs of the IMF and the World Bank, and put forward the need to introduce reformist modifications. A
slogan adopted by UNICEF was “Adjustment with a
Human Face”, which represented a BN approach to
structural adjustment. It can be also understood as an
alternative adjustment package, connecting “revival of
economic growth” with “protection of vulnerable people”. “Vulnerable people” refers to children, pregnant
women, and mothers with infants.9
The World Bank, in response to criticism posed by
UNICEF, began to include anti-poverty programs and
provide funds to the social sector in its structural
adjustment programs. In the “World Development
Report 1990: Poverty”, the World Bank noted that
there were still more than 1 billion people living in
poverty despite the economic development and welfare improvement in developing countries over the
past 30 years. In short, it paid attention to the poorest
of the poor. This report proposed a two-pronged strategy as a politically-sustainable counter-poverty measure. First, it proposed productive utilization of the
assets plentiful among the poor, such as labor. Second,
it proposed provision of basic social services to the
poor. It argued that these two elements reinforced each
other, and that neither of them could be done without.
Furthermore, it explained that “Most of the poor will
continue experiencing severe conditions even if a policy composed of these two elements is adopted.
Therefore, transfer payment and safety net programs
targeted for the poor need to be included in comprehensive poverty alleviation measures to supplement
the basic strategy.”10
The innovativeness of reformism lay in having
again questioned the ‘purpose of development’ in the
course of diverging from a ‘growth-first policy’.
Reformists argued that meeting basic needs was the
ultimate goal of development. In regard to this argument, Amartya Sen began reexamining the meaning of
development from a deeper point of view. The work
involved rethinking the true purpose of development,
centering on a concept of ‘capability’.
Poverty in this approach refers to human deprivation where individuals lack basic capabilities, and
development refers to the expansion of each
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
from a ‘commodity-oriented approach’, in which
development meant self-sufficiency in terms of goods
and services, found not only in the neo-classical
approach but also in the BN approach, to a human-oriented approach of which the primary concern was the
“quality of life” and “human well-being”.
Sen’s approach covered a broad range of issues
including the role of political systems and journalism,
differences in capabilities of the genders, and typical
comparisons between famine and malnutrition, etc.
Most importantly, his approach helped to clarify that
both market incentives and the role of public activities
are indispensable in resolving the problem of poverty.
The “Human Development Report” of the UNDP
defined “human development” as “the process of
enlarging people’s choices” based on the “capability”
concept of Amartya Sen. Subsequently, the report
attempted to prepare a human development index to
comprehend the condition of human development. For
this purpose, the report looks at three factors requisite
to human lives, namely, longevity, knowledge, and a
decent standard of living, as measures for human
progress. More precisely, three indicators, “average
life expectancy at birth”, “adults literacy”, and “logarithm of the actual GDP per capita based on purchasing power parity” were chosen as indicators for each
factor, and each country was ranked based on a compound index which is the arithmetic average of the
three indicators.12
VII For the Progress of Research on Poverty
In the previous section, the author outlined the history of development economics from a perspective of
understanding of poverty. Three challenges facing the
study on poverty surfaced. The first challenge is to
clarify the relationship between the macro-level and
the micro-level approach in the poverty issue. In
development economics, the issue of poverty has
always been intertwined with two totally different levels of argument: “poverty at the level of the national
economy” and “ poverty at the level of the
individual”.
Structuralists dealt with poverty at the level of the
national economy, examining why economic disparities exist between rich and poor countries, whereas
reformists focused on poverty at the microeconomic
level, arguing why absolute poverty is not eradicated
and hardships of the poor people cannot be eliminated
in developing countries. The neo-classical approach,
on the one hand, paid attention to poverty at the microeconomic level as in Theodore Schultz’s approach, and
dealt with poverty at the level of national economy as
in arguments over export-oriented industrialization
and structural adjustment.
Common points found in criticisms by reformists
and neo-classical advocates against structuralism
should not be overlooked even though there is a contradiction between the two in terms of what they are
criticizing, ‘government (public policy)’ or ‘market’.
The common points include; 1) a growth strategy that
leads to employment growth is necessary to eradicate
poverty; and 2) investments in human capital (education and nutrition) are essential. The primary advancement in development economics in the 1970s was the
shared understanding that a development strategy that
creates employment opportunities and boosts human
capital investment is the main route to eradicating
poverty.
It is important to remember, however, that to the
structuralist, the idea that the accumulation of capital
and industrialization are indispensable for growth has
not been completely renounced yet. Arguing that
“economic development” and “social development”
are contradictory approaches is pointless. If the
macroeconomic environment and infrastructure are
immature, anti-poverty projects at the microeconomic
level will be fruitless. They are not alternatives, but
complemental to each other.
The second challenge is how to make the best use
of Sen’s approach. Sen’s “capability approach” is an
epoch-making achievement in terms of suggesting
how development studies should be conducted in the
future. His approach re-appraises poverty from a perspective of how people should live, and severely criticizes previous approaches which were confined to
poverty only in the economic context. However, one
of the weak points of his approach is that the operational potential of a number of his concepts is still not
quite clear. The human development approach by
the UNDP is one way to attempt to put Sen’s concepts
into practice. The reality of the UNDP approach, however, is slightly different from what Sen suggested.
It is possible to conduct analysis at the national
level focusing on ‘capability’ as Sen does. A perspective emerging from comparisons between India and
China is that each country has its own form of capability failure. A heavy loss of lives caused by famine in
China during a period of the ‘big leap forward’ from
1958 to 1961, or during the Cultural Revolution illustrates capability failure as a result of one-party rule by
the communist. In India, chronic malnutrition and
deep-rooted discrimination against women suggest a
deprivation of capability caused by the caste system
and low educational standards.
To prepare the Human Development Index and
rank each country is not the way to make the best use
out of Sen’s approach. The way to do it must be to
precisely analyze the types of capability that are lacking on a number of different levels, for example
national, regional, social, occupational, and gender,
12. UNDP, Human Development Report 1990 (New York: Oxford University Press, 1990)
9
and to scrutinize the causes.
The third challenge is how to apply issues raised
by the neo-institutional approach to the poverty problem. A model proposed by neo-institutionalists is the
multiple-equilibrium model which assumes two equilibrium states, i.e., low-level and high-level. Selection
of a low-level equilibrium state is a rational selection
in a given environment, and ‘institutional complementarity’ is observed. Therefore, in order to leap up to
the higher equilibrium state (or in order to eliminate
poverty), it is necessary to contrive various institutional means that can reduce ‘risk’ and ‘uncertainty’ as
well as supplement the market. Moreover, governments need to play a vital role in creating such institutions. Neo-institutionalists, however, make a realistic
10
assumption that even governments are not free from
the problem of incomplete information.
Needless to say, market incentives are not sufficient for poverty alleviation; public policies play a
pivotal role in this regard. However, it does not necessarily follow that government intervention is justified.
To make anti-poverty projects successful, issues such
the ‘institutional design (governance)’ for projects and
‘how to arrange incentives’ for project executors and
beneficiaries have enormous importance. A high standard of morality is a necessary condition for the success of poverty alleviation projects, but not a sufficient
condition. Further advancement of poverty-related
studies based on the benefits of the neo-institutional
approach is awaited.
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.
I Introduction
Since the end of the Cold War, political themes
have been stressed as the new policy agenda for development assistance. As a part of this trend, the importance of good governance to sustainable economic
growth has been pointed out in recent years. Parallel
to discussions in the international community initiated
by the Organization for Economic Co-operation and
Development (OECD) and the World Bank, debates
pertaining to the theme of good governance have proceeded in Japan as well. The Japanese government
mentioned this theme in the basic principles of its
Official Development Assistance (ODA) Charter,
approved by the Cabinet in 1992. The Japan
*
1.
International Cooperation Agency (JICA) also published an outstanding report called “ Sankagata
Kaihatsu to Yoi Tochi (Participatory Development
and Good Governance)” in 1995.1
Through these discussions, the role of good governance in economic development has been thoroughly
reviewed. This is a worthy achievement. However,
many issues have been left untouched. The remaining
issues can be summarized as follows; it remains
obscure what kind of developing nations’ actions will
lead them to sustained economic growth. If clarifying
the definition of good governance was the first generation issue of good governance, the second generation
issue might be to specify policy matters that are effective for the economic development of developing
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)
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
introductory analysis of the second generation issue.2
Difficulties surrounding the issue of good governance are thought to result from the vagueness of the
concept. Accordingly, the author would like to go
back to the starting point and ask a fundamental question of “what is good governance?”
II The Concept of Good Governance: Broad
Definitions vs. Narrow Definitions
To date, various definitions of good governance
have been proposed. These definitions can be categorized into two groups: broad and narrow definitions.3
At present, broad definitions are dominant internationally. According to the typical broad definition
proposed by the OECD, good governance is composed
of three aspects: “the political regime”, “the exercise
of power in relation to the resource allocation”, and
“the government’s capability for policy planning and
practice”. The OECD also stresses the importance of
such factors as public sector efficiency, a well-organized legal system, and the control of corruption and
military expenses. 4 JICA, in its aforementioned
report, defined good governance as consisting of two
factors: “ state ” , in terms of whether a country is
democracy-oriented or not, and “ government
function”, with respect to whether a government can
function effectively and efficiently.5 These two definitions of good governance are thought to share the
same idea. One of the main characteristics of these
broad definitions is that they explicitly include the
political regime, i.e. parliamentary democracy or
democratization (transformation from a non-democratic to a democratic regime) in the definition of good
governance.
By contrast, the most representative example of
narrow definition proposed by the World Bank primarily focuses on “the manner in which power is exercised in the management of a county’s economic and
social resources for development,” excluding the issue
of the political regime. Specifically, the World Bank
described “ public sector management ” , “ the legal
framework ” , “ accountability ” , “ transparency ” and
“information” as key factors to good governance.6 In
addressing good governance, the World Bank deliberately avoids mentioning the political system because
of the “non-political consideration” provision that prohibits the organization from considering the political
2.
3.
4.
5.
6.
7.
8.
9.
12
conditions of recipient countries as a criteria when
extending loans (Article 4, Paragraph 10, Agreement
of the World Bank).7 This provision was made under
the Bretton Woods system that makes it a rule to separate politics from economics. In this regard, the basic
principle of the Bretton Woods system clearly differs
from that of the European Bank for Reconstruction
and Development, which was founded in response to
post-Cold War trends. The World Bank explains that
it attaches great importance to good governance not
for political reasons but because good governance
contributes to improving the resource allocation (i.e.
an economic perspective).8
It is thought, however, that exercising power in the
way the World Bank has demanded to developing
countries in recent years, is hard to adopt without a
parliamentary democracy. Thus, its claim regarding
good governance can be said to aim tacitly at a certain
political regime, in this case, parliamentary democracy.9 In this regard, the narrow definition by the World
Bank does not differ essentially from the broad definitions.
It is possible to envisage a narrow definition which
differs from that of the World Bank? If so, they must
focus on “institutional capability” which means “the
ability and efficiency of a government to plan and
carry out policies that contribute to economic growth”.
This idea is based on the assumption that the ability
and efficiency of the government of a developing
country are determined separately from its political
regime and the manner of exercise of power, and that
they have direct influence over the economic performance. The author would like to call this idea a
“third definition” and discuss it in depth in the latter
half of this article.
III Review of the Broad Definitions of Good
Governance
As described earlier, broad definitions of good
governance are currently dominant in the international
community. When a donor advises developing countries to improve their governance, what points should
be taken into account, and thereby accomplish sustainable economic development in line with the broad definitions? The following four points are considered to
be particularly important:
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.
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.
OECD, Participatory Development and Good Governance (Development Co-operation Guidelines Series) (1995), pp. 14-23.
JICA, op. cit., pp. 28-32.
World Bank, Governance and Development (1992), pp. 3-6.
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.
World Bank, op. cit., p. 5.
J. Nelson and S. Eglinton, op. cit., p. 15.
- In Search of Functional Policies -
1. Does a political regime have significant influence
on economic growth?
Policy recommendation to developing countries by
the OECD are based on the premise that a political
regime (more specifically, the establishment of parliamentary democracy) is the key to sustainable economic development. Apart from its value as a philosophy
and principle, it is very difficult to support this
premise on the basis of historical facts (Owing to limited space, the author does not deal with the adequateness of interference by donor countries in the political
regime of developing nations), because various
researches have shown that there are no significant
correlations between a country’s political regime and
its economic performance.10 Incidentally, a list of
countries which achieved high economic growth over
a long period of time display diverse political regimes
including democratic, authoritarian, and developmental.11
One may argue, however, that there is a close correlation between democratization and economic development although such a relationship is not found
between parliamentary democracy and economic
development. In fact, this idea is widely shared in the
international community even though it is also difficult to prove. Let me give an example showing the
lack of positive correlation. After the end of the Cold
War, most nations which had adopted centrallyplanned economic systems began transforming their
economies into market economies. While central
Europe, Russia, Kirgyz, and Mongolia conducted
political reforms (the introduction of parliamentary
democracy), China, Viet Nam, and Uzbekistan continue to maintain defacto one-party rule. It is extremely
difficult to prove that there is a correlation between
the level of democratization and the macroeconomic
performance of these transition economies.12
If contributions to economic development are the
grounds for recommending good governance to developing countries, it is inappropriate to include political
regime elements.
2. Can broad definitions of good governance provide a functional policy objective for developing
countries?
Even excluding political aspects, it is very difficult
for developing countries to meet entirely the wideranging demands included in the broad definitions of
good governance. Considering that non-Western
industrial countries, such as Japan, are far from meeting required standards for the exercise of power, it is
highly doubtful that any developing country fulfills
enough requirements in either the aspects of “capability and efficiency of government ” or “ exercise of
power.” On the other hand, various developing countries, such as countries in East Asia, have accomplished sustained economic growth. This suggests
that what is indispensable for sustained economic
growth is not a high degree of governance, but rather,
a minimum requirement of governance. It would be
more practical to examine what the minimal requirements are and to propose cooperation between developing and industrial countries toward fulfilling those
requirements than to list all of the ideal conditions.
The importance of good governance came to be
emphasized in response to the disappointing results of
the structural adjustment lendings for Africa,13 which
had been vigorously extended since the 1980s. As a
result of structured adjustment, some African countries introduced economic policies that were in line
with market mechanisms, which led to a massive
improvement in economic management. However, it
produced neither the expected increase in investments
nor economic growth. In a report recapitulating its
experience with Africa, the World Bank stated that
appropriate economic policies alone would lead to neither reducing poverty nor improving standards of living without investments in human resources and infrastructure as well as measures to improve administrative capabilities. In the same report, the importance of
good governance was also stressed, arguing “strong
leadership and good governance are needed, above all,
... 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
tence as an indispensable supplement to sound economic policies.
The aforementioned World Bank report did not,
however, show specific conditions of good governance for Africa. The high standard of governance
currently demanded by the international community is
miles apart from the actual conditions in Africa, and
inappropriate for the purpose of securing governance
that is required for putting African economies on a
growth track. In other words, the orthodox concept of
good governance can hardly work as a basis for policy debates to improve conditions in Africa. For more
functional policy discussions, it is essential to examine
the minimum requirements for developing nations as
mentioned in earlier sections.
3. Explaining the economic development of East
Asia
One clue is to analyze the relationship between
long-term economic development and governance in
East Asia. Several countries in the region have been
suffering from severe economic crises since 1997 (the
author will refer to this point in the next section).
Nonetheless, East Asian countries are still salient in
terms of long-term development performance dating
from the 1960s. If we accept the basic idea of close
relationship between governance and economic
growth,15 these countries must have had higher standards of governance than other developing countries at
the point when the rapid growth era was started. The
question is in what way?
Since the 1990s, a large number of outstanding
researches have been conducted on the development
process of East Asian countries. These studies have
unanimously pointed to the importance of the role
played by governments. In particular, the fact that
government intervention produced productive outcomes, unlike in other regions, is thought to be the
main characteristic of East Asia. Capable technocrats
and a functional bureaucracy that enabled growth
drew world-wide attention.16 There is also a consensus
that one determinant to a clear contrast between East
Asia and other parts of the world is the “institutional
capability of a government”, or “the capability of government to formulate and implement policies”according to the definition made by the OECD. 17
Incidentally, these surveys did not find governance in
East Asia relatively superior to that of others in terms
of the exercise of power. However, if there had been
any severe shortcomings in the manner of exercising
power, it would have been difficult to sustain growth.
It is important to note that most Western
researchers dealing with the capabilities of govern-
ments in East Asia show a tendency to lump all East
Asian countries together, and fail to pay due attention
to the diversity among the countries. These
researchers are inclined to argue for the high capability of East Asian governments based on the state of
affairs in Northeast Asia, i.e. Japan, South Korea, and
Taiwan. However, it is perilous to generalize on East
Asia without fully considering the differences between
Northeast and Southeast Asia. In South Korea and
Taiwan, which have preserved the classical examination system for government service from ancient
China as part of their cultural heritage, the social status of bureaucracy might distinctly differ from that in
other developing countries. In Southeast Asia,
Singapore, 18 unlike other developing countries,
showed signs of unusually high institutional capability
at an early stage of growth, which is thought to have
derived from the devotion of leaders of independence
to the establishment of an elite bureaucracy. These
experiences are not necessarily appropriate models for
other developing nations.
Thailand and Indonesia appear to show suitable
representatives of experience for the average developing countries. Prior to the era of rapid economic
growth, neither country attracted particular attention.
The capabilities of their governments and bureaucracies were thought to be no better than the average
level of developing countries. Unlike India, where the
selection of bureaucrats was, and still is, far more
competitive and systematic than in other developing
countries, the promotion system was, and still is, more
organized, and civil servants have enjoyed a relatively
high social status.
Supposing that the capabilities of the governments
of Thailand in the late 1950s and of Indonesia in the
mid-1960s were more or less like that of an average
developing country, the governance of these two
countries during those periods may provide a clue
regarding the standards and content of minimum governance that is indispensable for the growth of developing nations (needless to say, it is also necessary to
consider the differences between those periods and the
present ones). Another reason for paying attention to
Thailand and Indonesia during those periods is that
those were the times when both economies overcame
stagnation and got on track with sustained growth.
How can this change be explained from a perspective
of governance factors?
4. How does the necessary governance change with
different stages of economic development?
Thus far, this article has focused on the minimum
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
- In Search of Functional Policies -
tained growth in developing countries because many
developing countries, including those in Africa, have
trouble in initiating development. At the same time, a
country may have difficulties in moving up to the next
level after appreciating considerably long economic
growth unless it improves its standards of governance.
It is more practical to assume that the governance necessary should advance along with the stage of development rather than trying to apply the same standards
and content of governance regardless of the country's
stage of development.
In relation to the above, some argue that there is a
connection between the East Asian monetary crisis of
1997 and government-led economic management or
the quality of governance in the region. A typical
example of this argument is made by Alan Greenspan,
the Chairman of the Federal Reserve Board (FRB),
who said that the system in which a government
decided the resource allocation jointly with big business groups could not respond effectively to the
changes in the market and led to overinvestment and
oversupply.19 It is difficult to assess the validity of
such an argument. It is true that South Korea and
Indonesia have implemented developmentalist economic management. However, Taiwan and
Singapore, which share the same characteristics, were
only slightly hit by the crisis. On the other hand,
Thailand, in contrast to South Korea and Indonesia,
has kept its government's role traditionally moderate.
Thailand also surpasses other developing countries in
terms of economic reforms such as deregulation and
liberalization.
One characteristic common to South Korea,
Indonesia, and Thailand is that unreasonably optimistic private corporations borrowed excessively in
foreign currencies and collapsed the macroeconomic foreign exchange balance. Another characteristic is that patronage by politicians and high ranking officials made such recklessness possible (there
were patron-client relations between influential people
and private corporations). This is a problem of governance in terms of the exercise of power. To date, the
relationship between governance and the monetary
crisis has been discussed in an anecdotal manner.
However, if the differences in the levels of governance
between Taiwan and Singapore, on the one hand, and
South Korea, Indonesia, and Thailand on the other
hand, led to differences in damage under the monetary
crisis, this would be an important case when examining the relationship between stages of development
and governance (not the governance necessary for initiating economic growth, but the governance necessary for moving up to a higher development stage after
achieving sustained growth).
III. In Search of the Conditions of Governance
Indispensable for Initiating Economic
Development
As indicated by the above analysis, several problems lie in making functional policy recommendations
to developing nations based on the broad definitions
of good governance. First, it is inadequate to suggest
any particular political regime on the grounds that
such a regime will contribute to economic development, since any concrete relationship between economic growth and political regime has not yet been
verified (This is a different issue from the value judgment of democratization). Second, demanding far too
high and wide-ranging governance, given the actual
conditions of developing countries, is not a reasonable
policy objective, and thus cannot be a practical basis
for policy debates. Third, the broad definitions of
good governance do not give a satisfactory account of
East Asia ’ s economic achievements. Fourth, the
broad definitions do not elucidate the relationship
between the stages of economic development and the
good governance required.
Accordingly, the previously mentioned “third definition” which focuses on a government's institutional
capability appears to be more effective. The author
would like to examine the changes which occurred in
Thailand around 1960 and in Indonesia in the mid1960s from this angle.
Unlike many other coups d’état in Thailand, the
one pulled by General Sarit Thanarat in 1958 is known
for bringing crucial changes to the economy of the
country. The Thai economy, which used to be stateenterprise-oriented and stagnant, was vitalized by new
devices which he introduced. Importantly, this change
also meant the establishment of a technocracy with a
view to accomplishing ‘development’, a key word of
the Sarit administration. In addition to the Ministry of
Finance and the Central Bank, the nearly established
National Economic and Social Development Board
(NESDB) and the Budget Bureau, were the central
structure of the technocracy. In 1960, The 6-Year
Economic Development Plan was announced and
many young technocrats who had studied abroad were
appointed, replacing traditional elite bureaucrats composed mainly of the nobility. Sarit vested in these
young technocrats broad authority to manage the
economy. It is important that this change was strongly
supported by the Chinese citizen who were dominant
in the country’s economic activities.20 Attaching great
importance to economic development and social stability was understood as a sign that the rules of the
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
In Indonesia, the “New Order”, which has continued up to now, was established when presidential
power was transferred to General Suharto in 1966 in
the midst of chaos following the September 30 incident. Sukarno, who had remarkable achievements as
the standard-bearer of the non-aligned nations movement including the holding of the Bandung
Conference, had emphasized political and diplomatic
goals. By contrast, the key words of the Suharto
regime, which attached great importance to the economy, were ‘development’ and ‘stability’. The shift in
priorities matched the broad consensus among people
that they could tolerate no more chaos and fear, as
happened at the end of the Sukarno regime.21 The
Suharto administration also appointed a group of
young economists who had studied overseas and
authorized them to manage the macroeconomy. The
Badan Perencanaan Pembangunan Nasional (BAPPENAS: the National Development Board) became the
hub of their activities and played an important role.
The Indonesian economy which had been stagnant
with hyper inflation and a heavy debt burden gradually recovered and began powerful growth after 1968.
It has been pointed out that the Sarit and Suharto
regimes share many features. In short, the ‘development-oriented’ rule of the game was made clear.
North described institutions as the “rules of the game
in a society.”22 According to his view, the Sarit and
Suharto regimes accomplished what can be called the
“ institutionalization of development ” . Once rules
were elucidated, predictability increased for the private sector. As a result, the credibility of the government improved, and stable economic activities became
feasible. The characteristics of these regimes are also
characteristics of the “developmental state” which was
mentioned earlier,23 and are the basis of the argument
that a developmental state is effective in preparing
advantageous conditions for starting economic
growth. However, this does not necessarily exclude
the possibility of the institutionalization of development under parliamentary democracy. What matters
is not a political regime, but how to mobilize
resources effectively towards development, and how
to attract talented people to the public sector.
Thus, the institutional capability of the Thai and
21.
22.
23.
24.
16
Indonesian governments was improved, and it became
possible to formulate and implement economic policies that would lead to economic growth. One issue
remaining is how to improve the ways in which power
is exercised. In this regard, little change has been
made. Rent-seeking by politicians and high ranking
officials, and the patron-client relations between them
and the private sector continue to exist. What is
important in such an economic society is a checksand-balances mechanism that is expected to control
rent-seeking and corruption within certain limits. The
checks-and-balances mechanism in Indonesia is very
weak, as power is concentrated in the presidency. In
Thailand, especially under the Prem administration in
the 1980s, the mechanism worked relatively well
owing to mutual restraint among the military, political
parties, technocrats, and private corporations.
However, it is an irony that after the drastic progress
in democratization in 1992, the brakes on the abuse of
power by political bosses vanished.24
Conclusion
In this article, the author has underscored that it is
effective, in order to put developing economies on a
track of sustained growth, to 1) concentrate all efforts
on strengthening the institutional capability of government and 2) establish a complementary relationship
between government capabilities and appropriate economic policies. Reconsideration of the relationship
between good governance and economic development
from this perspective is desirable. However, it is
essential to reinforce a checks-and-balances mechanism in order to curb the negative factors of strong
government. Improvement of good governance from
the point of exercise of power will be the key for
developing countries to leapfrog to the next level after
having accomplished a certain extent of sustained economic growth.
When we review the discussions pertaining to
good governance, we find the dominance of donors'
logic and perspective. It is desirable to pay more
attention to the cultural background of developing
countries and local communal logic.
Takashi Shiraishi, Indonesia: Kokka to Seiji (Indonesia: The Nation and Politics) (Tokyo: Libroport, 1992), p. 60.
D. North, Institutions, Institutional Change and Economic Performance (Cambridge: Cambridge University Press, 1996), p. 3.
See note 11.
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.
A Reflection of Japan’
s Experience
on its ODA for Poverty Alleviation and WID
ARTICLE
A Reflection of Japan’s Experience
Yuriko SATO
Deputy Director of
Technical Personnel Development Division
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 revitalizing 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.
I Introduction
In response to the New Development Strategy
announced by the Development Assistance Committee
(DAC) of the Organization for Economic Cooperation
and Development (OECD) in May 1996, the trend of a
“ people-centered development” with emphasis on
*
poverty alleviation, WID, education, health, and the
environment, has been growing. Assistance for poverty alleviation and WID includes elements of intervention not only in market economies, but also in the
social and cultural structures of recipient countries. In
this regard, the views of donor countries on these
issues will be strongly reflected in their way of development assistance.
This article was first published in Japanese in Kokusai Kyoryoku Kenkyu Vol. 13, No. 2 (October 1997)
17
In this article, the author would like to examine
how Japan’s past experience of coping with poverty
and improving women’s status in the society has been
reflected in its ODA and to propose what needs to be
taken into consideration in future assistance.
II Japan’s ODA for Poverty Alleviation and WID
What kinds of efforts has the Japanese
Government made to reduce poverty in developing
countries?
Regarding the question of what constitutes assistance for poverty alleviation, the DAC/OECD has not
yet set any clear criteria for measuring the performance of counter-poverty assistance. However, in
general, the term “poverty-alleviation assistance” is
used in the sense of “assistance to people under the
absolute poverty line, or assistance to correct disparities between the rich and the poor in developing countries.” The author would like to apply this definition
throughout this article.
Up to 1996, Japan had been the top donor country
in the world for six consecutive years. The net disbursement for 1995 amounted to 14.49 billion dollars
(approximately 24.4% of the total disbursement of the
21 DAC members). Although it plunged by 35% to
9.6 billion in 1996, Japan’s ODA continues to play a
pivotal role in international assistance to developing
countries. Japan also took a strong initiative in formulating New Development Strategy, “Shaping the 21st
Century,”1 announced by the DAC/OECD in 1996. In
this strategy, the specific goal of reducing poverty was
set, that being “The proportion of people living in
extreme poverty in developing countries should be
reduced by at least one-half by 2015.” Japan’s active
involvement in setting this goal is highly evaluated in
the international community as a sign of its commitment to tackling poverty in developing countries while
other industrial countries have shown signs of “assistance fatigue.” At the same time, it also means that
there are more expectations of Japan’s contributions to
poverty alleviation.
Comparing Japan’s assistance to that of other
countries, there are several characteristics of note.
One of them is that the percentage of bilateral loans
(yen loans) is relatively high (28.0% of the net disbursement of the ODA). Accordingly, both the grant
share and grant element remain below average of
DAC member countries, being 46.6% for the grant
share (DAC average 77.1%) and 78.7% for the grant
element (DAC average 90.8%).2
1.
2.
3.
4.
5.
6.
7.
18
The distribution of Japan’s bilateral ODA by sector is as follows: 26.7% for social infrastructure and
service; 44.5% for the economic infrastructure and
service; and 11.7% for the production sector.
Apparently, the category of economic infrastructure
and service accounts for the largest share. Moreover,
among the items in that category, energy (such as
power plants) and transport (such as roads, railways,
and ports) constitute high percentages of 22.7% and
18.8% of the total, respectively (Table-1).3 When
Japan’s ODA in 1993 is compared to that of major
DAC member countries (Table-2),4 it reconfirms the
fact that Japan’s ODA consists of a high percentage of
assistance in the area of economic infrastructure. For
instance, the economic infrastructure for that year
accounts for 36.7% of the total as opposed to the DAC
average of 19.5%, whereas the social infrastructure
only accounts for 22.6%, which is lower than the DAC
average of 25.1%. But if compared with previous
data, the percentage of the social infrastructure in
Japan’s total bilateral ODA surged from 12.3% in
1991 to 26.7% in 1995.5 Moreover, the percentage of
ODA allocated to Basic Human Needs (BHN), the category which is underscored in Japan’s ODA Charter,
accounts for 36.7%, about one third of the total
(Table-1).
It is inappropriate to say that assistance in the areas
of social infrastructure (education, health, water supply, sanitation, etc.) and Basic Human Needs is equal
to poverty alleviation. However, it can be said that
such assistance is closer to the poor in the sense that
the poor will directly benefit through it in the shortterm. In this regard, Japan has recently been increasing its assistance in social infrastructure and Basic
Human Needs, which are thought to constitute more
direct assistance to the poor. whereas in the past, assistance in economic infrastructure which directly contributed to economic growth had been dominant. It is
expected that this trend will continue by the momentum of the New Development Strategy of DAC.
The geographical distribution of Japan’s bilateral
ODA is as follows: 54.4% for Asia, 12.6% for Africa,
and 10.8% for Central and Latin America. The focus
continues to be on Asia. However, compared with
data in 1980 (70.5% for Asia, 11.4% for Africa, and
6% for Central and Latin America), assistance to areas
outside of Asia has been increasing. Assistance to the
Least among Less-Developed Countries (LLDCs)
reached its peak of 18.8% in 1987, then fell to 11.2%
in 1991 and 1992, but resurged to 15.4% in 1995.6
Now we would like to see poverty-related descriptions in the Japan’s ODA Charter.7 At the beginning
Organization of Economic Cooperation and Development, Shaping the 21st Century: The Contribution of Development Cooperation (1996).
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.
ibid., p. 109.
ibid., p. 110.
ibid., p. 108.
ibid., pp. 105-107.
Ministry of Foreign Affairs, Seihu Kaihatsu Enjo Taiko (Japan’s Official Development Assistance Charter) (Tokyo: 1992).
s Experience
Table 1 Sectoral Distribution of Bilateral ODA (1995)
(On a commitment basis; $ million, %)
Type of aid
Sector of destination
1. Social infrastructure & service
(1) Educational services and investments
(2) Health
(3) Water supply and sanitation
(4) Population programmes
(5) Public administration
(6) Development and planning services
(7) Other social infrastructure & services
2. Economic infrastructure & service
(1) Transport
(2) Communications
(3) River development
(4) Energy
(5) Other economic infrastructure
3. Production sectors
(1) Agriculture
(2) Industry, mining and construction
a) Manufacturing
b) Extractive industries
c) Construction
(3) Trade, banking, tourism
4. Multisector
Subtotal 1-4
5. General program assistance
a) Structural adjustment assistance
b) Commodity loans
6. Debt relief
7. Food aid
8. Emergency assistance (excluding food aid)
9. Administrative costs of donors
10. Support to private voluntary organizations
11. Unallocated/unspecified
Total 1-11
BHN(1+3.(1)+7+8)
Grant
aid
725.43
178.28
151.93
236.14
―
―
―
159.08
466.69
347.86
63.44
15.07
40.32
―
524.61
501.58
23.03
17.30
―
―
―
―
1,716.73
―
―
―
609.68
74.52
39.11
―
36.94
336.63
2,813.61
1,340.64
Technical
cooperation
1,484.48
930.07
175.49
87.56
17.00
131.59
―
142.77
350.83
122.14
61.63
―
76.46
90.60
685.69
412.46
231.61
―
―
―
41.62
15.65
2,536.65
―
―
―
―
―
5.64
758.81
―
327.61
3,628.71
1,902.58
Total
grants
2,209.91
1,108.35
327.42
323.70
17.00
131.59
―
301.85
817.52
470.00
125.07
15.07
116.78
90.60
1,210.30
914.04
254.64
17.30
―
―
41.62
15.65
4,253.38
―
―
―
609.68
74.52
44.75
758.81
36.94
664.24
6,442.32
3,243.22
Loans
2,652.35
507.64
―
749.08
―
―
―
1,395.63
7,291.76
2,961.90
246.91
―
4,029.80
53.15
917.89
794.12
90.69
90.69
―
―
33.08
205.23
11,067.23
395.00
―
395.00
308.49
5.74
―
―
―
18.18
11,794.64
3,452.21
Total (share)
4,862.26 ( 26.66)
1,615.99 ( 8.86)
327.42 ( 1.80)
1,072.78 ( 5.88)
17.00 ( 0.09)
131.59 ( 0.72)
―(
―)
1,697.48 ( 9.31)
8,109.28 ( 44.47)
3,431.90 ( 18.82)
371.98 ( 2.04)
15.07 ( 0.08)
4,146.58 ( 22.74)
143.75 ( 0.79)
2,128.19 ( 11.67)
1,708.16 ( 9.37)
345.33 ( 1.89)
107.99 ( 0.59)
―(
―)
―(
―)
74.70 ( 0.41)
220.88 ( 1.21)
15,320.61 ( 84.01)
395.00 ( 2.17)
―(
―)
395.00 ( 2.17)
918.17 ( 5.03)
80.26 ( 0.44)
44.75 ( 0.25)
758.81 ( 4.16)
36.94 ( 0.20)
682.42 ( 3.74)
18,236.96 (100.00)
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 Unallocated/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
recognition that “Many people are still suffering from
famine and poverty in the developing countries, which
constitute a great majority among countries in the
world. From a humanitarian viewpoint, the international community can ill afford to ignore this fact”.
In section (1), “Regions” of chapter 3 “Priority”, it
clarifies that “Due consideration will be paid in particular to LLDCs” while Asia will continues to be a priority region. Sub-section (B) “BHN” of section (2)
“Issues” of the same chapter reads “To help people
suffering from famine and poverty, refugees and others, Japan will provide assistance to the Basic Human
Needs (BHN) sector and emergency humanitarian
aid.” Moreover, in section (14) of chapter 4
“Measures for the Effective Implementation of ODA”,
it declares that “Considerations will be given to
redressing the gap between the rich and the poor and
the gap among various regions in developing countries.” Thus, Japan clarifies its basic stance to make
19
Table 2 Bilateral Official Development Assistance of Major DAC Member Countries by Sector (1993)
(Based on agreed amount; %)
Country
Sector
Social Infrastructure
Economic Infrastructure
Agriculture
(excluding food aid)
Production Sectors
Food Aid
Program Assistance
Total
France Germany
DAC
Total
Japan
USA
UK
22.6
23.1
30.8
38.1
25.3
14.9
9.5
37.3
32.9
25.1
36.7
5.4
15.7
11.9
20.9
10.6
10.5
12.5
14.3
19.5
8.1
4.4
10.1
7.6
8.2
5.0
3.5
5.2
11.3
7.5
5.1
5.0
6.2
14.2
8.9
5.8
16.2
2.5
12.7
8.5
0.3
9.4
3.0
0.4
2.1
5.5
4.69
2.3
–
2.8
27.2
52.7
34.0
28.0
34.6
58.3
55.4
40.1
28.9
36.6
100.0
100.0
100.0
100.0
100.0
100.0
100.0
100.0
100.0
100.0
Italy
Canada Australia Sweden
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
But as for its approach, chapter 1 “Basic
Philosophy” reads, “Japan attaches central importance
to the support for the self-help efforts of developing
countries towards economic take-off. It will therefore
implement its ODA to help ensure the efficient and
fair distribution of resources and ‘good governance’ in
the developing countries through developing a wide
range of human resources and socioeconomic infrastructure, including domestic systems, and through
meeting the Basic Human Needs (BHN), thereby promoting the sound economic development of the recipient countries”.
As we can see in this description, Japanese government regards the self-help efforts of recipient countries as an important factor. In relation to “the efficient and fair distribution of resources and good governance,” the Japanese government tries to avoid
direct intervention. Rather it prefers to preparing the
environment for that purpose by supporting the sound
socioeconomic development of recipient countries.
It is worthwhile to compare Japan’s approach to
those of other donor countries. For example, in its
foreign policy statement published in February 1995,
the Canadian government states the purposes of its
ODA as “to support sustainable development in developing countries in order to reduce poverty and contribute to a more secure, equitable and prosperous
world.” The policy commits the Canadian
International Development Agency (CIDA) to making
poverty reduction a key elements in each of its six
program priorities 1)BHN; 2)WID; 3)Infrastructure
Services; 4)Human Rights; Democracy and Good
Governance; 5)Private-sector Development, and 6)
Environment).8
The British government announced its basic principle for assistance, composed of seven priorities, to
support developing countries to realize sustainable
economic and social development. These priorities
include: 1) to support economic reform; 2) to improve
productivity; 3) to support Good Government; 4) to
support the poor; 5) to develop human resources
including population and education issues; 6) to
advance women’s status; and 7) to cope with environmental problems. Based on this principle, the British
government allocated 73.3% of its bilateral assistance
to low-income countries in the fiscal years of 1994
and 1995.9
The United States set sustainable development as a
basic goal of its development strategy, and chose the
following five areas as priorities: 1) to cope with environmental issues; 2) to foster democracy; 3) to stabilize population and secure primary health care; 4) to
support economic growth; and 5) to extend humanitarian aid. The focus of Development Assistance (DA),
which accounts for about 30% of its bilateral assistance, is for projects to improve the living conditions
of the poor (besides this, there is Food Assistance
based on Public Law 480 as well as the Economic
Support Funds which is extended mainly from political and security perspectives).10
As you can see, most donor countries share their
positive stance toward poverty reduction, but the
major difference between Japan and other donor countries is that Japan tries to achieve the goal rather indirectly 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
s Experience
ient countries, whereas the other donor countries put
up “poverty reduction/support for the poor” and
“human rights, democracy and good governance” as
direct goals of their development assistance.
What types of ODA has Japan been extending in
the area of WID? The WID approach is based on the
idea that “in order to make development plans and
development assistance more effective, it is essential
to include women in development not only as recipients, but also as positive participants of
development.”11 This idea come to be stressed on the
reflection that women have not fully benefited from
development, that women are under-represented in
development programs, and the development widened
gender disparities, instead of closing them. Recently
there have been arguments that the WID approach,
which focuses only on women, is insufficient. Based
on this claim, some researchers and aid agencies have
begun to use the term “gender and development”
(GAD), which focused on gender, or in other words,
the social differences between men and women. The
GAD approach aims at realizing a more equitable and
fairer society by empowering women.12
The WID approach has been gradually incorporated in Japan’s ODA since the second half of the 1980s,
and its presence keeps increasing. In its ODA Charter
in 1992, it is stated in section (12) of chapter 4
“Measures for the Effective Implementation of ODA”
that, “Full consideration will be given to the active
participation of women in development, and to their
obtaining benefits from development”. The Japanese
government announced “Japan’s Initiative on WID”13
at the Fourth World Conference on Women held in
Beijing in 1995. In the statement, Japan reaffirmed its
commitment to expanding its assistance to support
women in developing countries, particularly in three
priority areas: 1) education; 2) health; and 3) economic and social participation. In the “Basic Concepts and
Ideas” of this initiative, Japan clarifies its basic stance
to supports the self-help efforts of the recipient countries, stating, “The primary responsibility for achieving gender equality necessary to participate in and
benefit from development rests with the developing
country itself. However, the developed countries can
assist the self-help efforts of the developing countries
in this respect through development cooperation that
integrates gender considerations.”
In the area of education, Japan sets a numerical
objective of “closing the gender gap in school education for all 6-11-year-old children by 2005, and providing universal education for all 6-11-year-old girls
as well as boys by 2010.” Similarly, the numerical
objective in the area of health is: “to reduce maternal
mortality below 200 per 100,000 childbirths by 2010,
and the infant mortality rate below 35 per 1000 by
2015 in all countries and regions.” The Japanese government expresses its dedication to achieve these
objectives, cooperating with recipient countries and
other donors.
As for the area of economic and social participation, the Japanese government is to undertake cooperation and support in areas including, “providing job
skill training and learning opportunities for women to
acquire relevant skills, improving the working environment for women, establishing legal and institutional framework for women’s full participation, and
assisting micro-enterprises which are often run by
women.”
In the Platform for Action of the Fourth World
Conference on Women, issues that were discussed as
critical problems included poverty, education, health,
violence, persecution at the time of conflict, participation in policy and decision-making processes,
advancement of women’s status, human rights and the
media.14 One of the major characteristics of Japan’s
Initiative on WID was that it expressed its support in
the area of gender practical needs such as poverty,
education, and health among other issues raised in the
conference. Practical needs refer to the actual needs
found in the daily life of women. In the GAD
approach, the term “practical needs” is used in contrast to “strategic needs”, which represent the long
term goal, for example, the need to eliminate institutional discrimination and to enlarge the political participation of women.15
The aforementioned New Development Strategy
by the DAC sets a series of objectives including “universal primary education in all countries by 2015”,
“demonstrated progress toward gender equality and
the empowerment of women by eliminating gender
disparity in primary and secondary education by
2005”, “to reduce the mortality rate for infants and
children under age 5 to one third and the maternal
mortality rate to one fourth by 2015” and “to make
reproductive health services available for all individuals of appropriate ages through the primary health care
system.” Some of these objectives overlap with
Japan’s Initiative on WID, but they include more positive expressions for realizing gender equality and
reproductive health. As for the volume of Japan’s
WID assistance, according to Japan’s Initiative on
WID, it reached approximately 600 million US dollars
in fiscal 1993, which accounts for about 5% of the net
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
lion US dollars.
Finally, the author would like to briefly mention
the efforts of the Japan International Cooperation
Agency (JICA) in the areas of poverty alleviation and
WID. JICA formed an Aid Study Committee on
Poverty in 198916 and an Aid Study Committee on
WID in 1990,17 which consist of scholars and other
well-informed persons related to poverty and WID.
Based on the recommendations of these Aid Study
Committees, JICA compiled the “Manuals for
Integrating WID Considerations into JICA Projects”18
in 1993, and the “Guidebook for Poverty Issues”19 in
1994. In the “Manuals for Integrating WID
Considerations into JICA Projects,” JICA sets a standard for integrating WID considerations into projects
(devices at each stage of planning, implementation
and evaluation in order to secure project benefits to
reach women and facilitate women’s participation in
development). In the “Guidebook for Poverty Issues,”
it pointed out that various “considerations for the
poor” were essential in any field of assistance to
enlarge benefits for the poor. The “considerations for
the poor” include 1) to specify the target group; 2) to
implement social analysis; and 3) to promote people’s
participation.
This concept of “considerations for the poor,”coupled with the preceding idea of “WID considerations”,
evolved into the idea of “social and WID consideration” (considerations for the socially disadvantaged
groups such as the poor, women, and minorities) in
1995.20 This concept is based on the recognition that
poverty and social disparities derive from social factors such as gender, ethnicity, religion, and possession
of
productive
resources,
and
special
consideration/intervention by the donor is necessary to
secure their benefits and participation in the project’s
activities.
One of the examples of the projects which integrate this social and WID considerations is the
Community Development and Forest Watershed
Conservation Project in Nepal which commenced in
1994. The purpose of the project was articulated as
“improving the natural environment and land productivity, especially to stop the reduction of natural
resources such as forests, and to expand forest land in
the mountainous areas of the Kaski and Palbat districts. These objectives are to be met through the
implementation of a model project which aims at
improving the standard of living in these areas by
encouraging the active participation of the local people, with due consideration to women and the poor.”21
As to the specific contents of this consideration,
the following items were included in the Operational
Guidelines of the project: 1) to form a users group
with equal participation of women (users group; a
group which plans, carries out, and benefits directly
from the project); 2) more than half of the users group
committee members should be women; 3) women and
socially and economically disadvantaged people such
as occupational castes have priority in participating in
popular income generating activities; and 4) more than
50% of participants in training, workshop, and study
tours should be women.22 These items are actually
being implemented in the project under the guidance
of a long-term WID expert.
Different people have different opinions about the
extent to which these social and WID considerations
should be incorporated. Some may argue that the reasons why women and the poor are at a social disadvantage and unable to fully benefit from development
is rooted in the social and cultural structure of recipient countries/areas, and that special consideration and
intervention are inappropriate. Others assert that the
elimination of poverty, gender equality, and assurance
of fundamental human rights are goals common to all
mankind, and that active intervention should be
encouraged for the purpose of accomplishing these
goals. Kurata argues that Japan, as a non-Western
country, is in a better position to understand gender
issues within certain cultural and historical contexts
than Western countries.23
III Japan’s Own Experience in Overcoming
Poverty and Assisting the Vulnerable
Japan has invaluable experiences with respect to
overcoming poverty. At the time of the Meiji
Restoration, Japan’s income per capita was only 290
US dollars (1988 value). Japan launched heavy industries with little economic assistance from other countries and achieved rapid economic growth.24
Japan also suffered immense economic and social
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
s Experience
mated at about 36% of national wealth)25 and the living conditions of the people were under extreme distress. Under these circumstances, the government
implemented relief measures for the unemployed
through public works, which was followed by the
introduction of the Priority Production System in
1974. Based on this system, materials and capital
were concentrated in the steel and coal industries, and
revitalization of these key industries proved to be the
trigger which touched off growth in the entire economy26 At the same time, American economic assistance
under the schemes of GARIOA (Government and
Relief in Occupied Areas) and EROA (Economic
Rehabilitation in Occupied Area), which was extended
immediately after the war, was helpful to Japan in
overcoming the foreign exchange gap caused by an
import surplus. Loans granted by the World Bank in
1950s also played a vital role for Japan to construct
economic infrastructure such as power plants, roads,
and railways.27
The restoration of the Japanese economy was
record-breaking. The actual GDP per capita growth
rate from 1958 to 1970 was approximately 10% a
year, and the economy continued to grow even after
that period.28 While the economy kept expanding, the
number of poor people decreased drastically, and
income disparity also shrank. In 1993, Japan’s GNP
per capita was 31,490 US dollars, which was third
among industrialized countries. The average life
expectancy at birth was 79.6 years, the longest in the
world for both men and women, and the unemployment rate was 2.5%. The ratio of wealth held by the
top 20% of high-income households compared to the
bottom 20% of low-income households was 4.3 times
(between the years 1981 and 1991), showing Japan
had the fairest distribution of wealth among industrialized countries, excluding former socialist countries
such as Hungary and Poland.29
What made such rapid economic expansion and
fair distribution of wealth possible? In “The East
Asian Miracle,” the World Bank concluded that rapid
growth and fair distribution in East Asia, including
Japan, were made possible by: 1) the rapid growth of
human capital; 2) the high domestic savings rate and
high domestic investment rate by the private sector; 3)
the steady growth of agricultural sector and rapid
growth of the export-oriented manufacturing industries; and 4) decrease of the population growth rate.
As for the accumulation of human capital, the World
Bank pointed out the fact that these countries had
already achieved a high rate of primary and secondary
enrollment when their economies started to take off.
Moreover, in relation to their economic policies, it
mentioned the following factors as causes of the miracle: 1) while the governments have respected market
principles, they have conducted discreet and limited
intervention such as extending export credit to particular industries with the intention of accelerating
growth; and 2) the existence of superior bureaucracies
which planned and implemented effective policies.30
In a column entitled “Japan - a century of economic growth and equity opportunities” in the “Human
Development Report” published by the United
Nations Development Programme (UNDP) in 1996, it
is stated that the base for this equalitarian development was built in the post war period, by introducing
radical reforms such as the abolition of the aristocracy,
the drafting of a new constitution, land reform, wealth
tax, and equal rights for women and men. It also
pointed out the existence of a virtuous circle that high
standards of human development at the beginning promoted economic growth and it, in turn, contributed to
human development.31
But have all the Japanese people truly benefited
from this remarkable economic growth?
As an example of the Japanese government’s policies toward the socially vulnerable, the author would
like to draw attention to social security-related expenditures. In 1965, the total amount of social securityrelated expenditures was 518.4 billion yen, which
accounted for 17.8% of the general expenditure budget. This surged to 14.2879 trillion yen in 1996,
which accounted for 33.1% of the budget (Figure-1).32
Social security benefits (benefits received by Japanese
nationals, including pension and health insurance)
increased from 1.6037 trillion yen (6.0% of GDP) in
1965 to 56.7961 trillion yen (15.2% of GDP) in 1993.
However, the percentage of Japanese social security
benefit expenditures to GDP is still small compared to
those of other industrialized countries (The United
States 18.0%, United Kingdom 24.5%, and Sweden
49.0%) (Figure-2).33 The breakdown of these expenditures includes medical services (38.3%), pensions
(51.2%), and others (10.6%) which include social welfare, livelihood aid, and measures for unemployment.
The percentage of “others,” which is mainly composed of expenses to support the socially vulnerable,
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
160,000
140,000
(Hundred million yen)
Welfare and others
120,000
100,000
Pensions
80,000
60,000
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.
Japan (FY 1993)
5.8
(38.3)
7.8
1.6
(51.2) (10.6) 15.2
Japan (FY 1991)
5.4
(38.8)
7.1 1.4
(51.2) (10.1) 13.8
USA
5.6
(31.0)
8.4
(46.5)
6.8
(27.9)
UK
10.0
(41.1)
8.0
(27.0)
Germany
Pensions
10
24.5
8.4
(28.4)
17.0
(48.7)
12.1
Sweden Medical (24.8)
0
7.6
(31.0)
13.2
(44.6)
8.5
(24.4)
France
4.0
(22.5) 18.0
29.7
9.4
(26.9)
17.8
(36.3)
20
Others
30
34.9
19.1
(38.9)
49.0
40
50 (%)
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
Kingdom 31.0%, and Sweden 38.9%) (Figure-2).
The Ministry of Health and Welfare of Japan lists
several reasons why there is such a gap between Japan
and other industrial countries: the welfare policy of
the Japanese government has put pension and medical
insurance systems first over providing welfare services such as nursing care; social and economic differences such as the unemployment rate between these
countries.34 The author guesses that in the background
of these factors there exists the difference of social
and cultural attitudes toward social support to the disadvantaged: western societies, based on Christian values, take it for granted that the socially disadvantaged,
such as the needy and the disabled, should receive
social aid, whereas Japanese society fundamentally
regards ‘self-help efforts’ as vital and has minimized
direct social aid by taking an indirect approach, that is,
“to help ensure the efficient and fair distribution of
resources through developing human resources and
socioeconomic infrastructure, and through meeting the
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
s Experience
Table 3 Changes in the Number of Households and Persons on Livelihood Protection Aid
and Rate of Livelihood Protection Aid
(Monthly average)
Fiscal year
Number of
Households on
Livelihood
Protection Aid
(thousands of households)
Actual Number
Rate of Livelihood Protection Aid
Rate of
Number of
Number of
Number of
Number of
Number of
of Persons on
(Actual Number of Persons = 100.0)
Livelihood
Persons on
Persons on
Persons on
Persons on
Persons on
Livelihood
Other Aid
Protection Aid Protection Aid Livelihood Aid Housing Aid Education Aid Medical Aid
Other
(‰)
(thousands of persons) (thousands of persons) (thousands of persons) (thousands of persons) (thousands of persons) Livelihood Housing Education Medical
(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
whole population, Japan has the lowest percentage
(2.3%) among the high human development countries
specified by UNDP (the United States 12.0%,
Germany 8.4%, and Sweden 12.0%).36 This indicates
that Japan sets more strict criteria for disabilities so
that fewer people are qualified to receive public welfare.
Livelihood protection aid for the needy is designed
in compliance with the spirit of Article 25 of the
Japanese Constitution (the right to live) which articulates that “All people shall have the right to maintain
the minimum standard of wholesome and cultured living. In all spheres of life, the State shall use its
endeavors for the promotion and extension of social
welfare and security, and public health.” The amount
of assistance is rigorously assessed so as to cover the
minimum cost of living just enough to assure “the
right to live,”37 and households and persons eligible for
assistance are encouraged to be self-supportive as
soon as possible. As a result, the percentage of persons receiving livelihood protection aid in the whole
population, including foreign residents, drastically
decreased from 1.63% in 1965 to 0.71% in 1994, in
spite of an increase of the elderly (Table-3).38
The social aid systems in western societies are not
free from problems. Countries such as France,
Germany, and Sweden, where compassionate social
welfare services are provided, suffer from financial
deficits in their social security systems and the
increased burden of taxes and social security expendi36.
37.
38.
39.
ture have been imposed on people (Table-4).39 How to
reduce this deficit and burden has become an issue of
public concern.
Based on the above arguments, the author would
like to summarize Japan’s past experience in overcoming poverty and assisting the disadvantaged as follows: 1) After World War II, Japan has achieved an
economic miracle, helped by the economic assistance
from the United States as well as loans granted by the
World Bank to build its economic infrastructure.
Japan also has become one of the fairest countries
among industrialized countries in terms of its distribution of wealth; 2) One factor which has contributed to
the miracle was the development of human capital
such as the diffusion of primary and secondary education from the early stage of growth, and the introduction of a social system which encourages social equality. Another factor was the existence of a superior
bureaucracy which conducted careful and effective
policy intervention to promote economic growth; 3)
The government of Japan has extended little direct
support to the socially vulnerable, such as the needy
and the disabled. The government has rather adopted
an indirect approach “to help ensure the efficient and
fair distribution of resources through developing
human resources and socioeconomic infrastructure,
and through meeting the Basic Human Needs (BHN).”
In the background, there is a social culture of Japanese
society which respect ‘self-help efforts’ and prefers to
minimize social assistance.
UNDP, op. cit., p. 219.
Ministry of Health and Welfare, op. cit., p. 397.
ibid., p. 398.
ibid., p. 104 and pp. 287-307.
25
Table 4 International Comparison of Social Security Benefits, and Tax and Social Security Burdens
Tax and Social Security Burden as % of National
Income(1991)
Social Security Benefit
Expenditure as % of
National Income
1991
Percentage of the Elderly
(65 and above)
1991
Tax Burden
Social Security
Burden
Total
13.8%
12.6%
27.1%
11.6%
38.7%
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
Country
Japan
1993
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
25.6
1950
7.2
Become equal
35.1
1975
1990
67.2
No opinion
Undecided
16.0
41.5
4.7
Not become equal
44.1
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.
IV Changes of Gender Relations
in Post-War Japan
After the end of the Second World War, how has
the social relationship between men and women (gender) changed? According to the report published by
26
the Prime Minister’s Office in 1996, there was a
change in the recognition of women’s status. In a poll
conducted in 1950, 67.2% answered that women’s status in the household was low, while 25.6% answered it
was not low. In a similar survey in 1990, 41.5%
thought it had become equal to men’s, which slightly
surpassed the 38.8% who thought otherwise. (Figure-
rsba
s Experience
2.7
-10
-20
-30
Not become equal
0
-9.0
Workplace
Socially accepted idea
10
Become equal
20
Household
(% point)
-9.1
-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)
s Office, Josei no Genjo to Sesaku (Current Situation of
Women and Policies) (Tokyo:1996), p.5.
3).40
However, as for women’s status in the workplace
and in the socially accepted idea, different results are
reported in the polls conducted in 1975, 1987, and
1990: those who answered that women’s status in the
workplace and in the socially accepted idea had not
become equal to that of men exceeded those who
answered that it had by 33.5 points respectively, even
in the 1990 poll (Figure-4).41 This shows that people
think that women’s status in the household has been
improving but that in the workplace or in its socially
accepted idea it has not yet become equal.
As for the gender situation in education, the school
enrollment rate for compulsory education had already
reached almost 100% for girls as well as boys in the
late 1940s. The ratio of students who go on to high
school after completing compulsory education was
36.7% for female students and 48% for male students
in 1950. In 1995, it reached 97% for females and
94.7% for males, showing females surpassing males.
The percentage of students who go to university
increased from 2.4% for females and 13.1% for males
in 1955 to 22.9% for females and 40.7% for males in
40.
41.
42.
43.
44.
1995. If coupled with the 24.6% of female students
who continue their education at junior colleges, more
females go on to higher education than male students
after finishing high school. Although fewer female
students go on to graduate schools than male students
(5.1% for female students and 10.9% for male students in 1994), it can be said that the gender gap in
education through primary school to university has
almost been redressed (Figure-5)42.
Gender gap in health has been overcome as well:
the average life expectancy at birth which was 53.96
years for women and 50.06 years for men in 1947 has
extended to 82.98 years for women and 76.57 years
for men in 1994, making Japan the country with the
greatest longevity in the world 43 (The longer life
expectancy for women is a result of biological differences). As to the reproductive health of women, perinatal mortality declined from 46.6 in 1950 to 5.0 in
1994 (per 1,000 deliveries). The total fertility rate
also drastically fell from 4.54 in 1950 to 1.50 in
1994.44 This drastic change is thought to have been
achieved due to the general improvement in reproductive health, including the prevalence of perinatal
Prime Minister’s Office, Josei no Genjo to Sesaku (Current Situation of Women and Policies) (1996), p. 4.
ibid., p. 5.
ibid., p. 50.
ibid., p. 225.
27
(%)
95.4
94.9
93.1
92.8
93.0
90
91.0
97.0
95.6 96.8 Senior High School
94.7
93.2 94.6
82.7
80
81.6
Female
Male
71.7
70
69.6
59.6
60
55.5
55.9
50
48.0
40
36.7
47.4
40.4
Senior High School
39.3
38.9
38.6
40.7
33.4
30
University (undergraduate)
27.3
Junior College (female only)
22.2
19.9 21.0 20.8
20.7
20
13.1 13.7
10
11.2
12.5
University (undergraduate) 6.7 6.5
5.1 5.1
4.7
3.0
2.6
4.6 1.5
1.7
2.4
2.5 1.9
0
1950
55
60
65
70
75
12.3
13.7
24.9
24.6
22.9
21.0
15.2
10.9
6.5
7.7
4.7
1.6
2.5
3.1
80
85
90
Graduate School
5.1
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.
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 pregnancy and childbirth, although there still exist strict
restrictions on the use of oral contraceptives (pills).
The situation is different in the area of employment. Women’s labor force rate (the percentage of the
working women population in the total women’s population above the age 15) was 38.6% in 1950 (83.4%
for men), which increased only slightly to 39.4% in
1990 (78.7% for men). The gender gap has not shrunk
much over the period of time. Although the percent-
45. Prime Minister’s Office, op. cit., Note 40, pp. 70-83.
28
age of female employees of all paid employees
increased from 25.8% in 1950 to 39.1% in 1990, the
picture is not yet rosy. As of 1994, 32.5% of female
employees were engaged in part-time jobs, and the
gap in fixed salaries between men and women has
remained huge: the ratio was 100 to 55.4 in 1965, and
100 to 62.0 in 1994.45 The factors causing the wage
disparity include ongoing discrimination against
women in terms of opportunities for employment and
promotion, and the average length of service for
s Experience
(%)
100
Denmark
80
France
USA
Germany
Japan
60
40
South Korea
20
0
15-19 20-24 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
men (7.6 years for women in 1994 as opposed to 12.8
years for men).46 The main reason for women’s short
length of service is the existence of the so called Mcurve, which shows the drop of women’s labor force
rate during childbearing and rearing years (Figure-6).47
In 1986, the Equal Employment Opportunity Law
(Law concerning the Promotion of Equal Opportunity and
Treatment between Men and Women in Employment
and Other Welfare Measures for Women Workers,
Amendment of Labor Standards Law), and in 1991, the
Child Care Leave Law (Law concerning the Welfare
of Workers Who Take Care of Children or Other
Family Members Including Child Care and Family
Care and Family Care Leave) were promulgated. In
spite of these laws, the percentage of women holding
managerial positions is still low: 6.4% for subsection
chiefs, 2.6% for section chiefs, and 1.4% for departmental chiefs.48
As to the political participation of women, equal
suffrage between genders was realized in 1945 under
the new constitution, and since 1969, the voting rate of
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.
47.
48.
49.
50.
to other advanced countries. For example, only 7 %
of Diet members are female (the average for high
human development countries was 11% as of June
1994), 3% for local levels, and 0% for heads of
municipalities (the average for high human development countries was 15% and 6% respectively between
1990 and 1994).50
Accordingly, the gender situation in Japan can be
summarized as follows: 1) Gender disparities in the
areas of education and health have almost been overcome; 2) Disparities still exist in the areas of employment with regards to opportunities and wages. In
order to ease the situation, various measures are currently being undertaken including the enforcement of
Equal Employment Opportunity Law and Child Care
and Family Care Law; and 3) The suffrage of women
is secured and the voting rate of women is higher than
that of men. However there is a huge gap between
women and men in terms of numbers of women holding positions as lawmakers and heads of local government. Enough measures have not been yet taken to
correct these disparities.
ibid., p. 80.
Prime Minister’s Office, op. cit., Note 40, p. 82.
ibid., p. 82.
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
V Conclusion
There are several interesting similarities between
Japan’s experience in overcoming poverty and
improving women’s status (chapter III and IV), and
the characteristics of Japan’s ODA for poverty alleviation and WID (chapter II): 1) Both in domestic administration and overseas assistance, the government of
Japan respects ‘self-help efforts’. Instead of directly
supporting the poor and the socially vulnerable, it
takes an indirect approach of “ensuring the efficient
and fair distribution of resources through developing
human resources and socioeconomic infrastructure,
and through meeting the Basic Human Needs (BHN).
2) After the Second World War, the Japanese government undertook the fulfillment of its economic infrastructure, especially in the field of transportation and
energy, with loans from the World Bank and other
sources to restore its economy. Similarly, one of the
characteristics of Japan’s ODA is the high percentage
of bilateral loans, of which the largest portion goes to
the economic infrastructure sector such as transportation and energy. 3) As for the WID assistance, the
Japanese government is earnest in providing assistance in areas where it has succeeded domestically,
namely, in the area of practical needs (education,
health, etc.). However, the government has shown
less interest in the area of strategic needs, which
includes the further participation of women in the
decision-making process and politics.
On the basis of Japan’s past experience and the
characteristics of its assistance, what points should be
taken into consideration when Japan extends its ODA
in the future?
First, the government of Japan should strengthen
its assistance in the area of human capital development”, which is thought to be one of the main factors
that made rapid economic growth and fair distribution
of wealth possible in East Asia including Japan.
Theodore Schultz was one of the first people to recognize the importance of “human capital development”.
He claimed that the mainstay of human capital investment is health and education (school education as well
as technical education).51 In the “World Development
Report” published in 1990, the World Bank also
acknowledged that improving education, health and
nutrition is equivalent to directly coping with the most
negative influences of poverty, and that, in particular,
investing in primary and secondary education would
contribute to the growth of real GDP.52
In the Japanese ODA, education and health have
been already regarded as vital as can be seen in the
expression of “developing human resources and meeting the BHN”. However, the New Development
Strategy by DAC is significant in the sense that it set
specific goals and reconfirmed the need for the expansion of these assistance as well as ownership efforts on
the side of developing countries.
As far as Japan’s own experience is concerned,
achievements in education and health were made virtually on their own. Therefore, when Japan expands
its assistance in these areas in the future, it is necessary to verify whether the recipient countries, especially the LLDCs, have the “social preparedness”53 to
absorb and utilize the assistance effectively.
By “social preparedness” the author means the
enthusiasm on the part of the recepient government
and the people to improve their own education and
health, and the situation of the related institution and
capacity building. If “social preparedness” is insufficient, assistance for facilities and equipment such as
school buildings and hospital equipment might not be
utilized to its full extent or might be wasted. In this
regard, it is essential to confirm the “social preparedness” of recipient countries prior to giving assistance.
If it proves to be insufficient, additional parallel support for the development of related human resources
and social institutions should be undertaken.
A second point is also related to “social preparedness”: the administrative accountability of developing
countries. In the case of East Asia including Japan,
the governments had excellent bureaucracies (administration) by which effective policies were planned and
implemented. Although the vitality of the private sector was also utilized, most economic growth and social
development in the region was government-driven and
achieved through top-down methods. However, many
developing countries, especially the LLDCs, have
weak and inefficient administrative system, which in
many cases lead to ineffective use of assistance. In
these cases, additional assistance to enhance the
administrative capabilities of governments prior to
actual assistance is indispensable. If a long time is
required to do so, it will be necessary to undertake
bottom-up type development with the participation of
community residents and to establish necessary grassroots institutions with the collaboration of NGOs in
order to meet urgent people’s needs (for instance,
community-participatory management system of
schools and water supply facilities).
A third point is concerned with the introduction of
a system which promotes fair distribution. Economic
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
s Experience
duction of social systems which lead to the fair distribution of wealth are vital. In the case of Japan, a
series of egalitarian reforms were conducted semiforcibly by the occupation army, including the land
reform, the dissolution of the “zaibatsu” (financial
combines), and equal rights for men and women.
Introduction of social institutions for the purpose of
the fairer distribution of wealth generally faces strong
opposition from existing powers in developing countries. So, it is essential to examine the feasibility of
such reforms.
The last point is in relation to WID assistance.
Considering the huge gender gap in developing countries, especially in the LLDCs54, there is a large possibility that Japan’s ODA can contribute much to fulfill
the practical needs such as education and health in
developing countries as stated in Japan’s Initiative on
WID.
But in order to realize an equal and equitable society in Japan as well as in developing countries, not
only for women but also for the socially vulnerable,
the fulfillment of practical needs is a necessity, but not
a sufficient condition: more affirmative approache
become necessary such as to improve the social institutional setups to correct disparities and to expand
opportunities for social and political participation.
The efforts to take up such an approach are expected
to run in parallel: Japanese society will seek measures
to realize an equal and fair society at home through
the revitalized civil movements led by NGOs, and at
the same time, it will incorporate these factors in its
assistance to developing countries.
Bibliography
Esyo, Hideki, “Kaihatsu no Seiji Keizaigaku: Josetsu
(Political Economics of Development:
Introduction”, Keizai Seminar 4 Gatsugo (Tokyo:
Nihon Hyoronsya, 1997).
Ishikawa, Tsuneo (ed.), Nihon no Syotoku to Tomi no
Bunpai (Income and Distribution of Wealth in
Japan) (Tokyo: Tokyo Daigaku Syuppankai,
1994).
Nishikawa, Jun, “Syakai Kaihatsu: Riron to Seisaku
(Social Development: its Theories and Policies)”,
Waseda Seiji Keizaigaku Zasshi No. 322 (Tokyo:
1995).
Nishikawa, Jun, “Sekai no Hinkon: Kokuren Hinkon
Kaisyo 10 Nen no Kadai (Poverty in the World:
Challenges in the United Nations’ Decade of
Poverty Eradication)”, Waseda Seiji Keizaigaku
Zasshi No. 325 (Tokyo: 001996).
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
− Based on Social Changes in the 1990s −
ARTICLE
Basic Education in Sub-Saharan Africa and the Possibilities
for Japanese Assistance
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”.
I Introduction
Among the various fields in development assistance, basic education in Sub-Saharan Africa (referred
as Africa throughout the article) is one of the areas
that currently attracts the most attention. During the
World Conference on Education for All (WCEFA) in
1990, the importance of basic education was high-
*
lighted. In 1996, the Development Assistance
Committee (DAC) issued a document “Shaping the
21st Century: the Contribution of Development
Cooperation” - the new development strategy - in
which the committee stressed the indispensability of
education development. Moreover, during the general
assembly of the United Nations Conference on Trade
and Development (UNCTAD) in 1996, the then
Japanese Foreign Minister Ikeda assured the active
33
role of Japan in African nations and its assistance to
education.
Understanding and analyzing the current condition
of education in Africa is essential for improving the
effectiveness of Japanese educational cooperation to
the region in the future. However, few studies have
been conducted in Japan regarding basic education in
Africa and international cooperation in the area of
assistance for basic education. This article is aimed at
identifying the current conditions and problems of
basic education in the region, and looks into possibilities for Japanese assistance in the field.1
In general, the term “basic education” refers to elementary education and literacy education for adults.
However, in some countries, it also includes preschool education and some secondary education. This
article primarily deals with primary education because
that was the focus of the declaration issued at the general assembly of UNCTAD.
II Common Problems Facing Basic Education
in Sub-Saharan Africa
First, we would like to outline the characteristics
of basic education in Sub-Saharan Africa as compared
to other parts of the world.
1. Stagnation in Quantitative Expansion and
Reduction in the Quality of Education
Africa has the lowest enrollment ratio in primary
education in the world. As of 1980, it was at about the
same level as South Asia. Looking at the trend of primary education enrollment ratios in African countries
during the 1980s, often described as “the Lost
Decade”, it decreased in many countries. Moreover,
Africa was the only region where the enrollment ratios
went down during this period. Their growth in the
1990s has not been very favorable either. It is said that
it will be impossible for most African countries to
achieve “Education for All” by the year 2000.2
In addition to these quantitative problems, basic
education in Africa also faces many problems in terms
of its quality. High rates of repeaters and dropouts are
good examples of the ineffectiveness of the education.
For instance, in Zimbabwe, where the enrollment ratio
is relatively high, only 40% of all children of school
age start elementary education at the age of six.
Ineffectiveness, coupled with the low enrollment
ratios, leads to an increasingly illiterate population.
2. Background to the Stagnation in Educational
Development
Behind the stagnation in educational development
1.
2.
3.
34
in both quantity and quality, there are several problems that are commonly faced by African countries.
The common problems in Africa are briefly outlined.
2-1 Tight education finances and a shortage of educational infrastructure caused by population
increase.
The number of school-aged children in Africa
keeps increasing year after year, and the percentage of
those children against the entire population shows no
sign of decreasing. According to the World Bank, the
annual growth rate of the population between the ages
of 6 and 11 is expected to be more than 2.5%, the
highest in the world, during both the decades of 1991
to 2000 and 2001 to 2010.3
In addition to the increases in the school-aged population, the domestic allocation of education budgets
is also problematic. First, expenditure on higher education is too large considering the number of students,
which indirectly serves as a factor preventing the
growth of basic education. Second, current expenditure accounts for a large percentage of the educational
budget. In African countries, the vast majority of education budgets is allocated to current expenditure such
as teachers’ salaries, whereas very little amount of
money is spent on improving textbooks, teaching
materials, and educational facilities, or re-training
teachers.
Small expenditure on basic education leads to a
shortage of educational facilities and equipment.
Primary schools have to operate in shifts (two and
three sessions a day), which is a factor in reducing the
number of hours each child is in school. Thus, the
quality of education declines. Textbooks and teaching
materials are also lacking. Some countries have introduced a loan system and have been reusing the same
textbooks for a number of years in order to reduce the
financial burden on pupils. However, in many cases,
the system does not function effectively due to difficulty in management
2-2 Various problems surrounding teachers
Despite the major amount of the education budget
being spent on recurrent expenditure such as teachers’
salaries, teachers’ salaries are relatively lower than
any other occupation at all. At the same time, in
Africa, the social status of teachers is generally low
and in most cases, it is not a well-respected occupation
in the society. The low socioeconomic status of teachers creates a low morale among teachers and its
unpopularity as an occupation, which leads ultimately
to poor quality and a shortage of teachers.
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.
ADEA, “Towards education for all: the situation in ten countries of Sub-Saharan Africa,” ADEA Newsletter, April-June (1997).
World Bank, “Priorities and strategies for education,” A World Bank Review (Washington D. C.: 1995).
2-3 Lack of relevance in the content of education
Many African countries have been revising their
curricula and improving the content of education.
However, such attempts do not match with the social
and cultural environment of the country or region and
often fail to satisfy the needs of the target pupils. If the
content of education provided at schools bears no relationship to their own lives or is far from their needs,
they often do not find merit in going to school.
Therefore, lack of relevance in the content of education is a factor that decreases the quality of education
and prevents enrollment ratios from improving.
2-4 Language diversity and gaps in the medium of
instruction
In basic education in Africa, the medium of
instruction is a key issue. Many African countries are
multilingual nations. In many cases, these countries
use a western European language, a language of their
former colonial rule, as the official language. Attempts
to create writing systems for the African languages,
which are the first languages of local people, lag
behind. Language diversity coupled with a gap in the
medium of instruction hinders pupils in learning and is
a major factor in causing dropouts and the low literacy
rate.
2-5 Poor education and school administration
In rural areas, educational policies that the central
government draws up often do not proceed as planned
due to shortages in human resources or budgets. This
leads to disparities among regions in education. At
present, an increasing number of countries, like
Ghana, have adopted policies that attach importance to
the development of education in rural areas as decentralization proceeds. However, there are still some
problems in the capacity of local education administrations. In addition, there are problems at the school
level which include the management of school facilities and equipment. For instance, in Zambia and other
countries, theft of school property and equipment
occur so frequently that the education infrastructure
has become inadequate.
Major problems of basic education commonly
faced by African countries have been outlined above.
Although these problems appear in different forms in
different countries, it is important to remember that
the situation could vary even within the same country
depending on factors such as region (urban and rural),
social class, ethnicity, and gender disparities within a
country are also a serious problem facing basic education in Africa.
II Social Changes in the 1990s Concerning Basic
Education in Sub-Saharan Africa
It is extremely important to understand the social
and economic changes particular to a certain region in
extending assistance to basic education in a region
which has a lot of problems that need to be solved. At
present, African nations are undergoing the biggest
political and economic changes since gaining their
independence in the 1950s and 1960s. Briefly speaking, it is a compound change from extremely centralized political and economic systems to “democratization of the political system”, “decentralization of
administrative systems”, and “liberalization of the
economy”.
Major changes have happened within basic education as well since the beginning of 1990s. The key
concept of this change is “community participation”.
The importance of the community participation in economic and social development is widely recognized
not only in the context of Africa, but throughout the
world. The area of education is no exception. In particular, the community participation is hoped for since
centralized political systems have proved ineffective.
In this section, we would like to lay out the possibilities that the community participation has for school
education in Africa as well as analyze the problems
about.
1. Liberalization of the Economy, Democratization,
Decentralization, and Reform of Education
Systems
Let’s take the example of the Republic of Mali,
which, in recent years, has been conducting a largescale education reform. Up until the 1980s, the education system in the country showed a strong tendency
toward centralization, which had begun during the
French colonial period. Autonomous management by
local people was rare. However, through the liberalization of the economy, facilitated by the structural
adjustments of the 1980s and the democratization that
took place after the military coup in 1991, the country
is currently undergoing various institutional reforms.
Educational reform is one of the main pillars of
these reforms. In 1994, the “New Law regarding
Private School Education” (Law No. 94-032) was promulgated, which renounced the basic principle held
since independence that “it is the nation that provides
people with education.” In short, the new law made
the establishment and operation of a more flexible and
diverse school education possible. (that had been primarily controlled by the central government and had
suffered substantially from serious malfunction.)
In particular, what is attracting attention as a
promising alternative to primary education are “community schools” run by a rural/urban community or
association on a non-profit basis. There are basic conditions 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
facilities. However, each school or school management committee is vested with a great deal of discretionary power to decide the medium of instruction, the
method of paying teachers and other things. For example, as to the education program, community schools
can teach their own program within limits approved
35
by the Ministry of Basic Education, although in principle the schools are supposed to follow the national
program. In addition, if qualified teachers are not
available, members of the community or association
may serve as substitute teachers.
A series of educational reforms in Mali, in particular the community school system, are said to be some
of the boldest attempts in the trend toward the democratization and decentralization of basic education
which are taking place throughout Africa (Similar
changes have been observed in Senegal).
2. Democratization, Decentralization, and NGO
Activities
The community school system in Mali has already
started producing satisfactory results in school enrollment and retention rates in both rural and urban disadvantaged areas.4 One of the reasons is the activities
carried out by local NGOs, the number of which has
rapidly grown since the democratization in 1991.
According to a recent report, the number of local
NGOs surged from some 50 in 1990, before democratization, to the present 650. These NGOs are playing
an active part in various regions in the country.5
Considering the ongoing democratization and
decentralization, the empowerment of NGOs seems to
be the natural consequence of the active community
participation. However, administrative and electoral
reforms inevitably impose various influences on
NGOs, who originally undertook their activities as
non-governmental agencies. For instance, in the
Republic of South Africa, the NGOs that were once
active under the apartheid regime have faced difficulties since the formation of the Government of National
Unity in 1994 because of the changes in the financial
flow mechanisms from overseas and the outflow of
human resources to the new government. The total
number of local NGOs in the country plunged from
54,000 in 1991 to somewhere between 15,000 and
25,000 in 1996.6 It will take us more time to evaluate
the actual capacity of the local NGOs in terms of their
public service in these countries which are in the midst
of fundamental transformation. However, it is certain
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
afford to deal with the complex task of public service.
3. Public System and Diverse Values
As inferred from the previous two examples
regarding local NGOs, the consequences of democratization and decentralization are far from simple.
Moreover, considering that the liberalization of the
4.
5.
6.
7.
36
economy is proceeding along with democratization
and decentralization, there is the undeniable danger
that the “community participation” could lead to
enlarging the gaps of the living standards among the
population. “School administration by the local community” is not easy by any means, particularly for the
poor, even if support is available. On the other hand,
some “private schools”, in particular those for well-off
people, might be able to improve the quality of their
educational services by deregulating state control over
primary education. Thus we have to continue monitoring the consequences of decentralization of primary
education systems
The privatization of primary education necessarily
increases the degree of involvement of local communities in the establishment and administration of
schools in the choice of the medium of instruction and
the contents of education. This not only means that
they become less dependent of the state financially,
but also that there are social and cultural overtones,
resulting in various interests emerging. In short, the
liberalization of the economy and the democratization
make the presence of diverse stakeholders, who were
not visible under the centralized regime, apparent.
4. Necessity of Coordinating Diverse Values and
Interests
Considering the lack of capacity on the part of the
central government, the transformation of the education system from state monopoly to community participation seems to be an inevitable consequence.
However, the transformation created new issues (or
rather brought them to the surface). One common
issue that is coming to the fore is the coordination
among the diverse values and interests, which are a
natural consequence of introducing the participation of
residents, and the importance of coordinating them.
The problem is, in a sense, it is a price that local people have to pay in exchange for gaining democratization and decentralization. Coordination among the
diverse stakeholders is one of the central challenges
the African countries face after having overcome the
radical social transformations in the 1990s.
IV Challenges Facing Japan’s Assistance
As a basis for analyzing Japan’s assistance in the
area of education, a report by the Study on
Development Assistance for Education and
Development was compiled in 1994.7 With regard to
how to implement education assistance, the report
attached importance to the following 5 points:
A. Antonioli, “Le droit d’ apprendre,” Une école pour tous en Afrique (Paris: 1993).
Le Monde Diplomatique (mai, 1997).
Hirohisa Kitagawa, “Shiren o mukaeta nan-a no NGO (NGOs in South Africa face hardships),” Gekkan Africa, 36 (12) (1996), 32-37.
JICA, Bunyabetsu Enjo Kenkyukai Hokokusyo (Kaihatsu to Kyoiku) [A Report by the Issue-wise Study Committee for Development Assistance (Development
and Education)] (1994).
1) Introduce multiple approaches
2) Collaborate with recipient countries in planning
3) Participate actively in international education aid
networks
4) Establish communications with developing countries
5) Develop new aid approaches
The last point, “developing a new assistance
approach”, is particularly important for the assistance
to basic education in Africa amid large-scale social
changes. This section aims at examining new
approaches for assisting basic education in Africa.
“ownership” and “partnership”. The concept of “ownership” refers to the “awareness of being involved” on
the part of the beneficiaries which means “development is ours, and we are the main actors in development”, whereas the concept of “partnership” refers to
attempts by the development agencies to regard
African nations not as “recipient countries” but as
“partner countries” that act on their own initiative in
educational development. Thus it has observed that
the environmental surrounding educational development in African countries has transformed significantly during the last ten years.
1. Short-Term Challenges
Short-term challenges for Japan’s assistance in the
area of basic education in Africa include assessing
previous fields of cooperation, identifying factors
which manifest and hamper results, and determining
the future direction of assistance. Considering the
social changes discussed in the preceding, it is also
necessary to develop a new approach not bound by
conventional frameworks.
1-2 Toward the “community participatory schools
construction”
We are now in a position to examine how the community participatory approaches can be incorporated
in basic education in Africa. Conforming to the local
needs and conditions has certainly been considered
vital in past school construction projects. Now that
ownership and partnership on the part of the African
people are playing a more positive role in education
development, school construction has begun to be
considered as having a broader social significance
than a simple provision of infrastructure. In fact, in
addition to being a place for the education of children,
a school can also function as a community center for
the local population.
If community participatory approaches are applied
in the formulation and implementation phases of
school construction projects, these approaches will
give an invaluable contribution toward the enhancement of participatory educational development at the
local level. However, for the successful application of
community participation to school construction projects, the following points should be checked:
1) results of previous school facility surveys (ex. reliable school mapping);
2) awareness of the importance of education among
the local people, in particular the degree of participation in school management;
3) frequencies and patterns of migration of the local
people (ex. In an area where local communities are
unstable, it will not be easy to foster people’s commitment to the educational development of the
area.);
4) coordination with the other development agencies
involved in similar projects;
5) establishment of a monitoring system.
At the moment, it must be admitted that most local
communities satisfy only a few of these conditions. In
those cases, a preliminary survey of the local situation
has to be carried out first to create favorable conditions for the implementation of participatory projects.
For these two purposes, the participatory development
research methods which have been rapidly developed
1-1 “Community participation” and “ownership
(awareness of being involved)”
In the 1980s, the structural adjustment approaches
initiated by the World Bank have been influential in
the area of educational development in African countries. However, its effects on educational development
in Africa seem to have been rather negative.8 First, the
cutbacks of educational budgets prescribed by the
structural adjustment tended to decrease the number of
teachers as well as the number of schools constructed.
The burden has been passed onto the beneficiaries, the
majority of which cannot afford it. The whole process
has lead to a decline in educational quality at the
school level. Secondly, the structural adjustment programs have been implemented in African countries
without improving the capacities of the Ministries of
Education to formulate and implement the policies.
Consequently African countries still remain dependent
on foreign assistance not only financially but also at
the technical level in policy formulation and implementing capacities. The “poor participation of African
governments to educational development” seems to be
one of the most serious consequences of the structural
adjustment programs in Africa in the 1980s.
However, in the 1990s, there has been a significant
shift in the approaches taken by the development
agencies, in accordance with the surge in the number
of local NGOs operating in developing countries, as
described in section II. In particular, they have begun
to lay stress on new concepts such as “ownership” and
“partnership” With this expansion, however, the drift
of assistance organizations also began to manifest
changes, namely, new approaches with concepts of
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
in recent years seem to be effective because local people can increase their awareness of the importance of
education through active participation in the process
of understanding the conditions surrounding basic
education.
A typical example of a participatory development
survey is the participatory rural appraisal (PRA) methods developed by Chambers and others. The methods
were developed in the 1970s based on the rapid rural
appraisal (PRA) method, which aimed to conduct surveys in a short period of time, reducing biases which
were found in conventional rural research such as 1)
towards those living on the outskirts of cities or near
paved roads ; 2) an over-emphasis on projects; 3)
towards favored parties such as the elite and males; 4)
carrying out studies in the dry season; 5) communal
norms and people’s timidity; 6) researchers’ lack of
specialty. During the course of seeking a more effective methods, the PRA methods expanded in the direction of facilitating the active participation of residents
and developed into the PRA method.9
The PRA method utilizes ingenious devices to
encourage active participation of many local people in
research, particularly those who are non-literate, and
has already produced results in several places. For
example, drawing up a big map of the surrounding
area or a calendar in an open space in the village
together with local residents in order to understand the
ways in which local people use the environment and
occupations of local people, or using stones, twigs and
other every-day tools as symbols to analyze priorities
and relationships among various issues. In Gambia,
research was conducted using the PRA methods in
order to identify obstructive factors against girls’ education. It was found that 1) school expenses reach
their maximum right before the harvest season and the
timing overlaps with a period when local people are
short of cash; 2) the period of schooling overlaps with
the time when girls’ farm work increases. Local people also adopted the PRA method to elaborate measures to resolve the situation.10
At present, various participatory development
research is being implemented in many places of the
world. Related seminars are being held in Japan. One
example of such a program is the Overseas Fieldwork
Program by the Foundation for Advanced Studies on
the International Development (FASID). In order to
integrate rapidly-growing participatory approaches
into the field of basic education, these participatory
appraisal methods need to be adopted in the process of
formulating and implementing school construction
9.
plans.
1-3 Activities of the Association for the Development
of Education in Africa (ADEA): Establishing partnership at the levels of governments and development agencies11
So far, we have discussed the participation of local
people, that is, a partnership at the grassroots level. As
for recent attempts at establishing a partnership
between development agencies and education delegates of the African region, we would like to take the
example of the ADEA which consists of development
agencies and representatives of the Ministries of
Education of African nations. The ADEA is operating
not as an “organization” for policy-making, but also as
a “network” for sharing awareness of issues. It attaches importance to being a place where African countries and development agencies can discuss, on equal
terms, educational issues in Africa. In October 1997,
the third biennial general assembly was held in Dakar,
Senegal, the first time on the African continent. Prior
to the assembly, various working group meetings were
held with regard to girls’ education, education sector
analysis, and informal education.
The ADEA is an important foundation for establishing partnership among governments and assistance
organizations in the area of education assistance in
African. Eighteen development agencies, including the
World Bank, have already joined the association.
Although JICA presented a report regarding Japan’s
educational assistance in Africa at the ADEA steering
committee meeting in Dakar, Japan has not become a
regular member yet. Considering the new development strategy of DAC, it is hoped that Japan will soon
join the association.
2. Long-term Challenges - Future Perspectives
In the previous section, proposals regarding the
basic principles of basic education in Africa were
made based on Japan’s previous experiences of
extending assistance. In this section, suggestions are
put forward with respect to future assistance from a
long-term perspective.
When Japan extends assistance in the future in the
increasingly diverse and complicated field of basic
education in Africa, the following two domains are
expected to be vital in the long-term period: 1)
strengthening the administrative and research capacities of various institutions taking part in basic education; and 2) coordinating the relationships between
diverse organizations and institutions. The following
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
are specific measures that Japan can take to contribute
in each of these domains.
2-1 Strengthening the administrative and research
capacities of the various institutions taking part in
basic education
Due to ongoing decentralization, democratization,
and liberalization of the economy, organizations
involved in basic education in Africa are and continue
to diversify. However, neither central governments
whose size and authority are shrinking, nor local governments and communities, which are expected to
play an active role, have sufficient administrative
capability to cope with the new situation. Moreover,
the decentralization of basic education requires
detailed research into the social conditions, languages,
and cultures of the target area in order to reform curricula and develop teaching materials utilizing African
languages among other things. At present, there are
few higher education organizations and research institutions that have sufficient research capacity to meet
these demands.
In order to successfully reform the basic education
system, strengthening the administrative and research
capacities of diverse organizations and institutions is
essential. In this aspect, there are many issues to tackle
for development agencies, including Japan.
1) Central governments
Although their size and authority are diminishing
because of institutional reforms, central governments
must continue to play an important role in coordinating the relationships between diverse organizations
and institutions, and maintain overall integration of
the national system of basic education. The responsibility of central governments is particularly vital,
especially because there is the danger that regional
disparities will be enlarged due to organizational
diversification. To this end, central governments need
to have more effective administrative capacities than
before. It is hoped that assistance will be given in the
areas of preparing nationwide information networks
and education statistics, and providing staff-training.
2) Local governments and regional education offices
In general, there are disparities between the central
and local governments of African countries in terms of
financing and human resources. If left in their present
state, it will be extremely difficult for local governments and communities to administer basic education
systems on their own. Therefore, preparation of infrastructure and staff-training at the local level will
become increasingly important in the future. In particular, the improvement and expansion of teacher training institutions is needed because recruitment of local
teachers is vital for establishing a basic education system that corresponds to the diversified needs of the
local community. In doing so, programs designed to
raise the morale of teachers and training for female
teachers should be given priority.
3) Local communities
In countries where decentralization and democratization are being implemented, it is anticipated that
local communities will also have to share a greater
burden in the improvement of basic education. To prevent education disparities between urban and rural
areas, and the rich and the poor from widening, the
capacity of local communities to administer schools
and identify needs should be enhanced in addition to
endeavors at the central level to coordinate such disparities. In doing so, NGOs that have been playing an
active role in recent years will be extremely important.
4) Higher education organizations and research institutions
In order to turn complicated basic education systems into fruitful systems in African nations where
diverse cultures exist within each country, stronger
research capacities are more essential than ever.
Particularly now that drastic changes are anticipated in
education systems, the systematic collection of basic
education data along with increased research activities
are becoming more important to fairly assessing the
situation from a long-term perspective. Therefore,
strengthening the capabilities of higher education
organizations and research institutions to collect and
analyze basic education data is indispensable. It is
hoped that development agencies will contribute to
this by preparing the information infrastructure and
conducting training programs for experts. Moreover,
rather than just providing equipment and facilities, it is
also necessary to strengthen the field research capacities of higher education organizations and research
institutions in order to understand the constantly
changing environment in education.
2-2 Coordinating relationships between diverse organizations and institutions
The coordination of the overall basic education
system, which is becoming more complicated as a
result of organizational diversification, is essential in
addition to strengthening the capabilities of the diversifying organizations to administer and do research.
Most African countries have been independent for less
than half a century and are undergoing drastic changes
of decentralization, democratization, and liberalization
of the economy even before national unity fully manifests itself. Basic education, in particular primary education, is an important domain for national unity and
coordination of relationships among diverse organizations and institutions is the key to achieving the current objective of “realizing national unity while
respecting diversity”.
1) Central governments, local governments and communities
As mentioned in the previous section, coordination
of diversifying education administration is supposed
to be carried out by central governments. However, as
great difficulties are anticipated, support, such as hold-
39
ing workshops, from assistance organizations is
desired. Especially, if the diversification of curricula
and medium of instruction are being implemented,
nationwide coordination including NGOs is indispensable.
2) Formal and nonformal education
In Africa, the effectiveness of formal education is
generally low. Thus, nonformal education plays a vital
role. Particularly now that needs for education are
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
importance of formal education will vanish. The coexistence of formal and nonformal education in basic
education is expected to continue. Therefore, coordination, such as exchanging credits and creating common curriculum between formal and nonformal education is necessary for preventing an already complicated basic education system from becoming even more
complicated and confusing.
3) Research and administration
As mentioned in the preceding section, basic education research is indispensable for improving and
expanding the basic education system. In order to
effectively apply research findings, research institutions must cooperate with education administering
organizations while maintaining neutrality in their
research. In this respect, active involvement by assistance organizations through publishing reports and
holding workshops is effective.
4) African countries and development agencies
As mentioned in the section on short-term challenges, coordination among development agencies,
including those involved in education, has begun at
the national level. However, in the future, it is expect-
40
ed that regional collaboration beyond national boundaries will become increasingly important. There is
expected to be increasing attempts toward creating a
regional basis by facilitating policy dialogs between
governments and development agencies as well as
between development agencies themselves, by
strengthening the capacities of organizations and institutions within the region, and by establishing an intraregional information-exchange and cooperation network.
V Conclusion
In this article, the authors attempted to outline the
conditions of basic education in Africa during the
1990s, and analyze possibilities for Japan’s assistance.
Conditions surrounding basic education in Africa
show a tendency toward stagnation both in qualitative
and quantitative aspects. In addition, more turmoil is
expected as a result of recent political and economic
changes. Under the circumstances, it is a good sign
that the active participation of residents, which is represented by the empowerment of NGOs, is taking
place in many African countries.
In response to these circumstances, Japan’s future
assistance to education in Africa should aim at including the community participation. As for short-term
challenges, it is necessary to transform conventional
assistance in terms of school facilities and equipment
into more participatory assistance. In doing so, the
introduction of participatory appraisal methods such
as the PRA would be effective. As for long-term challenges, the following support should be considered: 1)
to strengthen the administrative and research capacities of various institutions taking part in basic education; and 2) to coordinate relationships between
diverse organizations and institutions.
Title
CASE STUDY
- 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).
I Introduction
The Japan International Cooperation Agency
(JICA) defines grant aid cooperation as “a form of
financial assistance extended to socioeconomic development projects in developing countries based on official requests of recipient countries without obligation
of repayment, and constituting a portion of Japan’s
Official Development Assistance (ODA) programs.”1
The Ministry of Foreign Affairs states that “the form
of grant aid cooperation is also found in the assistance
of other industrialized nations. Grant aid cooperation
of major donor countries can be generally classified
into five categories: 1)general project assistance (construction of facilities and provision of equipment); 2)
program assistance (provision of equipment); 3) nonproject assistance (financial assistance, commodity
assistance, sectorial assistance, and structural adjustment support); 4) grant aid for disaster relief; 5) food
aid.”2 This article mainly focuses on 1) general project
assistance (construction of facilities and provision of
equipment) and 2) program assistance (provision of
equipment).
*
1.
2.
3.
So far, a large number of experts have taken part in
grant aid cooperation study missions. However, the
fact is that “assistance has not always been extended
with sufficient preliminary surveys.”3 Priorities and
criteria for selecting equipment are created based on
vague concepts such as needs, propriety, and sustainability. The authors were given an opportunity to participate in a study mission for grant aid cooperation to
build an ICU and attached dialysis room for the
Mulago Hospital in Uganda. With respect to the various factors that need to be considered in extending
grant aid cooperation, the authors would like to look at
Uganda, one of the least among less developed countries (LLDC) and take up problems facing grant aid
cooperation candidly, clarify vague concepts, and lay
the foundation for future analysis.
II Outline of Uganda
Uganda, in eastern Africa, covers an area of
236,000 km2 and has a population of 17.5 million (as
of 1992). The country is in-land and located near Lake
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)
JICA, Grant Aid and JICA (1996).
Economic Cooperation Bureau, Ministry of Foreign Affairs (ed.), Syuyo Senshinkoku no Enjo (Assistance of Major Industrialized Nations) (Tokyo: Kokusai
Kaihatsu Journal Sya, 1989).
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
Table 1 Cause of Death among In-patients
1989
Name of disease
Malaria
AIDS and HIV infection
Diarrhoeal disease
Acute respiratory infection (ARI)
Anemia
Non-meningococcal meningitis
Malnutrition
Tuberculosis
Tetanus
External injury and mental trauma
Measles
Others
Total number
1990
Rank
3
2
1
4
5
7
6
8
10
9
%
8.4
8.9
11.1
7.7
7.4
5.2
6.0
4.6
3.1
3.3
Rank
1
2
3
4
5
6
7
8
9
10
%
14.2
9.3
8.7
7.9
7.3
5.6
5.4
4.5
3.3
3.1
33.9
30.6
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
Name of disease
Malaria
Upper respiratory tract disease
External injury and mental trauma
Parasites in small intestine
Diarrhoeal disease
Lower respiratory tract disease
Skin disease
Eye infection
Ear infection
Anemia
Sexually transmitted diseases (STD)
Others
Total number
1990
Rank
1
2
3
5
4
7
6
8
10
9
%
21.7
16.1
9.6
7.5
8.7
5.3
7.4
4.7
2.3
2.4
Rank
1
2
3
4
5
6
7
8
9
10
%
22.6
15.6
9.1
7.7
7.0
5.9
5.6
4.5
2.1
1.9
14.4
4,208,705
18.0
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
gained independence from Britain in 1962, the country
underwent a series of uprisings until 1986, when the
present President Museveni came into power. The
tumultuous period started with a coup in 1966 staged
by Prime Minister Obote, another coup in 1971 by
President Amin, the subsequent massacre of opposition factions and exile of President Amin in 1979,
which led to civil war and finally, several changes in
the presidency.
Uganda is classified as an LLDC, with a GNP of
170 dollars per capita (as of 1992) and a literacy rate
4.
5.
6.
7.
42
of 52%. Government expenditure on public health
accounts for 5.1%, the average life expectancy at birth
is 43 years old, and the infant mortality rate (IMR)
worsened from 109 in 1970 to 122 in 1992.4 Infectious
diseases such as malaria, AIDS, diarrhoeal diseases,
and acute respiratory infection (ARI) rank high on the
list of causes of death among in-patients (Table-1).
The same pattern is found in the statistics of diseases
among out-patients (Table-2).5 Although it has been
reported that the prevalence of AIDS is decreasing
among the youth,6 the disease continues to be one of
the biggest concerns of health7 and the financial bur-
World Bank, World Development Report (1994).
Health Planning Unit, Ministry of Health, Republic of Uganda, Health Information Quarterly, 8 (3) (1991).
D. Mulder, et al., “Decreasing HIV-1 Seroprevalence in Young Adults in Rural Ugandan Cohort,” BMJ, 311 (7009) (1995), pp. 833-836.
WHO, Epidemiology Record, Acquired Immuno-deficiency Syndrome (AIDS) (data at July 1, 1992) (Geneva: WHO, July 2, 1992).
- Based on Grant Aid Cooperation to a Hospital in Uganda -
den is thought to be substantial.
III Outline of Cooperation to the Hospital in
Uganda
The African Development Bank (AfDB) has
undertaken rehabilitation of the superannuated facilities of the Mulago Hospital (900 beds in the New
Mulago Hospital and 400 beds in the Old Mulago
Hospital) in Kampala, the capital of Uganda. It was
decided that Japan would provide medical equipment
for the ICU and laboratories, which were not included
in the AfDB project. The Mulago Hospital is the only,
and the biggest, tertiary (final referral) medical facility
in the country as well as a teaching hospital for the
Department of Medicine, Makerere University. The
authors would like to outline the status quo of the ICU
(including the dialysis unit) at the hospital.
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
patients being hospitalized at the time. There were
several broken artificial respirators, and a second-hand
dialyzer which had been provided by a foreign NGO
and had parts missing from the time it was given to the
hospital (it was unknown whether it was operational).
It was difficult to distinguish between clean and
unclean areas in the ward. A small room next to the
sickroom was being used for cooking by the nurses.
2. Human resources and functions
At present, there is no medical facility in Uganda
that has an operational ICU. However, the Mulago
Hospital has a doctor and two nurses who are specially
trained for that purpose. In addition to these three, the
hospital is currently training more.
In relation to dialysis, the Lacor Hospital, which is
located some 350 km away from Kampala, has
hemodialysis equipment. However, because the function of the equipment is very limited, many patients
(those rich enough) go to either the Aga Khan
Hospital or the Nairobi Hospital in Kenya. Peritoneal
dialysis is performed by a doctor who is a nephrologist
and had had some experience in this area in England,
but sometimes peritonitis occurs.
3. Infrastructure
With regard to electricity, the voltage is currently
steady. There are usually a couple of power failures
every month. As for water, the water pressure is relatively low and there are occasional interruptions of the
water supply. A water tank was newly installed, but
the degree of improvement in the current conditions
still needs to be confirmed. As to medical gases (oxy-
8.
gen and vacuum), central piping was expected to be
completed in February 1996.
4. Costs
The hospital charges private patients and allocates
the earnings to part of cost recovery. In relation to the
CT scanner that was installed by the AfDB, the hospital started charging fees to offset the cost of providing
services to poor patients and allots the return as depreciation expenses. As to the dialytic treatment which is
scheduled to be introduced to the hospital, it is expected to yield substantial revenue. It will be possible to
allocate the surplus to cover part of the cost of providing services to the poor.
Needless to say, aspects other than the aforementioned were taken into consideration. For instance,
it was made sure that parts were procurable and maintainable locally. However, this did not mean that there
were no problems.
IV Problems in Extending Cooperation to the
Hospital in Uganda
What was particularly difficult was that neither
dialysis nor an ICU had previously been implemented
domestically in Uganda and there was no example to
follow, let alone criteria for selecting equipment. The
authors therefore had to estimate needs based on a
needs assessment performed by on the Ugandan side
and on the medical records of the hospital. As to the
propriety of facility size, the authors had no choice but
refer to Japanese standards,8 and examples of Japan’s
assistance to other developing countries.
The following is a list of other issues and questions:
(1) There is no ICU or dialysis service currently operating in Uganda.
* How many patients will there be in the country?
* How many beds are necessary for ICU and dialysis treatment?
(2) There is virtually no ICU and dialysis equipment
in Uganda.
* Can the entire population or at least a majority of
people benefit?
(3) The ICU and dialysis equipment are not being used
in the Mulago Hospital.
* There are only one medical specialist for the ICU
and one for dialysis.
* There are only a small number of ICU nurses.
* Infection (peritonitis) occurs even in peritoneal
dialysis. Is hemodialysis safe?
* The hospital has agreed to arrange personnel by
an appointed date. Will it be able to meet the
deadline?
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
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
an appointed date. Will it be able to meet the
deadline?
* The system in the ICU is not established yet.
* People cook in the ward.
(4) Do ICU and dialytic treatment have priority?
* Is it justifiable to input limited resources into
ICU and dialysis? Should the area of primary
health care (PHC) such as for AIDS be given priority?
* Japanese standards cannot be applied.
* Can the hospital afford to perform dialysis on
patients with chronic renal failure for the rest of
their lives?
* Other infrastructure must be prepared before
continuous ambulatory peritoneal dialysis
(CAPD) can be performed.
* Is this technology from which only the rich can
benefit? Can the poor receive treatment using
9.
44
this technology?
(5) Is financial recovery possible?
* Will only particular individuals (doctors) who
know dialytic techniques benefit?
* Is technology transfer possible?
(6) Isn’t peritoneal dialysis that is currently being performed enough?
(7) The hospital requests the same level of quality as
before the civil war because it is proud of having
previously been far better than other hospitals in
Africa .
V Analysis
According to the definition by JICA, “feasibility
study as a part of development study is designed to
objectively examine the technical, economic, financial, social, and environmental feasibility of a project
JICA, Kokusai Kyoryoku Jigyo Dan Nenpo (JICA Annual Report) (1994).Purifying Methods),” Syuchu Chiryo, 3 (2) (Tokyo: 1991).
Ultimate tier: Problem management of:
economic factors
international partnership with
donor countries/organizations
social and cultural systems
political systems
agriculture and others
Natural environment
Allocation of labor for farming
and others within household
Decision-making authority
within household
Form of residence:
waterworks, water supply
Farm work using livestock
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
Diarrhea
Lower respiratory
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
propose the most appropriate implementation plan for
implementing the project in question.”9 This policy is
reflected in grant aid cooperation as well.
In actual grant aid cooperation, criteria for selecting appropriate equipment is set for each project, and
unfortunately, differs from case to case (Table-3).
Because each case has different needs, it is natural that
criteria for selecting equipment differ. It is, however
important to clarify a set of general criteria, or have a
general idea, for selecting equipment.
As demonstrated in the sectional models of health
determinants by Mosley10 and the three tiers of high
infant mortality rate by Millard,11 it is necessary to
tackle a particular health problem systematically by
analyzing each level of related factors. In the three
tiers of the causal factors of the high infant mortality
rate proposed by Millard (proximal tier, intermediate
tier and ultimate tier), the proximal tier represents
direct biological causes of infant mortality, the intermediate tier constitutes activities and general living
environment which increase the exposure of infants to
the proximal tier, and the ultimate tier represents economic, 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
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 hightech 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
proximal and intermediate tiers.
Millard argues that infant mortality is caused by
12. FASID, PCM (Project Cycle Management) (1994).
46
mutual relationships of each factor (Figure-1).
Methods, such as this, which cope with a particular
problem by analyzing the issues accompanying the
Valuability
& Usefulness
Feasibility
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
Sustainability:
[usage, maintenance,
management, repair]
skill, parts, reagents, consumed
articles, financial resources
Social infrastructure:
electricity, water, gas,
telecommunications,
transportation
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)
Emergency
Other factors
Needs
Request
Figure 3 A Model of (Request-Based) Grant Aid Cooperation
problem, or the factors causing the problem, are based
on the same idea as the problem tree of Project Cycle
Management (PCM).12 This perspective can be applied
to cooperation and assistance in solving problems (that
is similar to objectives tree in PCM).
Table-4 shows factors that need to be considered in
selecting equipment, following the Ugandan case. The
factors are grouped according to needs, valuability and
usefulness, feasibility, propriety, sustainability,
urgency and other factors. In previous assistance,
these factors were understood on the same level
(based on the request) (Figure-2). Conventional feasibility study addressed these factors in an unclear and
confused manner. Utilizing the same perspective as
Mosley and Millard will clarify the relations between
the request and these factors. Factors such as “needs,”
“valuability and usefulness” and “urgency” constitute
the proximal tier, “feasibility (facility, activities and
47
Ultimate tier:
Propriety:
economic factors
social, cultural and religious systems
political system
assistance organizations
Social infrastructure:
electricity, water, gas,
telecommunications,
transportation
Medical system:
position of each medical institution
referral system
Sustainability:
[usage, maintenance,
management, repair]
skill, parts reagents
consumed articles,
financial resources
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
(technology, equipment)
Emergency
Other factors
Needs
Figure 4 A Model of Medical Cooperation
the environment within the facility)” represents the
intermediate tier, which serves as the environment for
the former, and “propriety” and “sustainability” constitute the ultimate tier, which serves as the social, cultural and economic background to the intermediate
tier. Figure-3 is the model of this relationship.
In fact, these factors need to be considered more
extensively and should not be limited to health-related
areas (Figure-4). These factors should be considered
in estimating equipment and facilities based not only
on requests, but also on “needs”, as well as in providing equipment and facilities, and in planning technology transfer. Global issues such as the women in development (WID) and considerations for the environment
and the poor can be considered as factors in the ultimate tier. The WID perspective has been taken up as a
vital subject by the United Nations since the 1970s
and its importance has been increasing in recent
years,13 and consideration for the environment,14 and
consideration for the poor, have been issues of concern for a long time.
Although the above comprehensive principle is
proposed, whether a recipient country is utilizing the
given assistance appropriately (appropriate usage provision) is a matter of concern not only for Japanese
citizens, whose tax money constitutes the source of
revenue for grant aid cooperation, but also for experts,
who actually participate in studies. The appropriate
usage provision serves as an indicator for more appropriate cooperation and assistance. In relation to the
appropriate usage provision, the Ministry of Foreign
Affairs states that “Major donor countries including
Japan have a provision which states the appropriate
usage and allocation of aid resources, although its
degree varies from country to country. It takes the
form of obligation for recipient countries to report,
consultation during the course of assistance, follow-up
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
and post-project evaluation study.”15 There have been
attempts to prepare an internationally-standardized
model of appropriate usage. However, few of the
models could be applied practically.16
The following are approaches that need to be taken
in the future to make the comprehensive principle
more practical and concrete, and to make the selection
of equipment and technology more appropriate:
(1) Necessity for monitoring provided equipment
To strengthen monitoring how previously provided
equipment is being used for the purposes of maintenance as well as identifying needs for technical cooperation.
(2) Necessity for post-project evaluation
To review each selection standard used in individual cases in the past and prepare a pertinent standard.
(3) Necessity for standards for each major type of
equipment and technology
VI Conclusion
In this article, the authors cited the Ugandan case
as an example to clarify the current standards being
used in selecting equipment for Japan’s grant aid
cooperation and to present a new and more generalized model for selection. It is desirable for this model
to help in creating appropriate standards for selecting
equipment and technology. To this end, it is necessary
to consistently implement the aforementioned three
approaches. With this, grant aid cooperation, as well
as international cooperation at large, will be more
meaningful for not only the people of recipient countries, 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 decisionmaking 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.
I Introduction
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 the central
element in its assistance strategies for sustainable
development. The “Good Governance” which the
OECD/DAC points out, emphasizes democratic management capability with transparency in the decisionmaking process and accountability to citizens. In this
*
context, it is clear that the trend toward decentralization puts importance on the benefit of development to
a local society and on ways of reaching agreement for
the public benefit.
In the Philippines, decentralization has been implemented by enactment and enforcement of the “1991
Local Government Code (LGC)”. Decentralization is
based on the LGC implementation master plan which
consists of three phases: namely, the Changeover
Phase (1992-93), the Transition Phase (1994-96), and
the Stabilization Phase (1997- onwards). This paper,
which focuses on the functional relations between
Local Government Units (LGUs) and National
Government Agencies (NGAs), analyzes decentralization in the Philippines which occurred at the end of the
51
Table 1 Development Stakeholders and Their Concerns in Decentralization
Development Stakeholders
National Government
Agencies (NGAs)
NGA Regional Offices
LGUs (highly urbanized
and special cities,
provinces, component
cities, and municipalities)
NGOs
Local Residents
Their Concerns
- NGA personnel, assets, and facilities devolved to LGUs
- Supporting LGUs and strengthening policy functions expected to the NGAs
- Management of development activities financed by foreign assistance which is articled 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
- 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
- Strengthening LGUs’ implementing function for development and service activities
- LGUs’ extremely smaller financial scales compared with those of NGAs
- “The 20% Development Fund” of the IRA is directed to LGUs as their primary financial resources to promote their original development plans
- 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
- 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
- Participation of local residents promoted by the LGCs can facilitate diversified stakeholderes 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 cooperation to institutionally support decentralization that
prompts local development in the country. 1
Development stakeholders discussed in this paper and
their concerns on decentralization are summarized in
Table 1.
1.
2.
52
II Background of the LGC Enactment and Issues
which Emerged after the LGC Enforcement
1. Background of the LGC Enactment
The LGUs had previously been paired with the
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-
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.
For details, see Hiraishi 1993.
tion, for example, President Marcos’ authoritarian
regime was supported from 1971 by dynasties, that is,
one or two families in each of many provinces which
enjoyed political and economic privileges.
After the democratic revolution in 1986, the LGC
was enacted in October, 1991, influenced by the 1987
Constitution, which was enacted during the Aqino
administration. The administration took a series of
pro-democratic policies and lead the tide of democratization created by the 1987 general election. For fear
that the pro-democratic movement that was about to
take shape at that time might suffer setbacks at the
1992 general election, the then administration hurriedly enforced the LGC in January, 1992, prior to the
election, only two months after it was adopted.
There were two critical factors which drove the
decentralization by reducing the size and shaping the
organizational setup of the NGAs. One of the factors
was the LGC enactment. This was supported by the
political intention to try to destroy the local traditional
power structure, which was the hotbed of the powercentralized Marcos regime. The serious economic situation which obliged the central government to introduce economic structural adjustment policies was the
other critical factor. Without reaching a consensus on
measures to deal with the uncertainties that followed
decentralization, the LGC was enacted. It included: 1)
the devolution or transfer of basic social service activities from the LGAs to the LGUs; 2) institutional
building to establish relations between NGAs and
LGUs; 3) promoting the participation of NGOs and
people’s organizations (POs) in Local Development
Councils (LDCs); 4) identifying each LGU as the
owner of its development plan and budget program;
and 5) increasing the revenue of LGUs and carrying
out financial reforms.
2. Issues which Emerged after the LGC
Enforcement
In the Changeover Phase of the LGC Enforcement,
the personnel, assets, and facilities of the central government were devolved to the LGUs (Figure 1). The
central government had owned the personnel, assets,
and facilities to directly control development and public service activities at various local levels. The devolution was carried out involving all the country by
transferring the jurisdiction of 70,000 personnel,
3.
4.
assets and facilities worth more than 250 million
pesos, and affecting eight departments of the central
government. Among the eight departments, the
Department of Agriculture (DA) which transferred
more than 17,000 of its regular personnel, (43% of the
total) to the LGUs; the Department of Health (DOH)
which transferred more than 45,000 personnel including its hospitals and public health centers at the
provincial, city, and municipal levels to the LGUs, and
the Department of Social Welfare and Development
(DSWD) were particularly affected by the devolution.
During the Transition Phase, which ended in 1996,
the NGAs and the LGUs adjusted their institutions to
the decentralized setup achieved by the devolution in
order to establish a new system. As a task for the
institutionalization, the NGAs were expected to provide technical and financial support to the development and public service activities devolved to the
LGUs. Moreover, they were expected to identify and
strengthen new policy functions, such as drafting policies and guidelines, promoting research and development and conducting monitoring and evaluation, in
order that the LGUs could promote local development
after the devolution. The LGUs, which had been
regarded, before the LGC enforcement, as recipients
of development assistance and public services directly controlled by the NGAs, were required to enhance
their executive function in the region after decentralization, assuming new tasks and responsibilities.
III LGU Implementation of Development
Activities at the End of the Transition Phase
1. LGU Financial Resources After the LGC
Enforcement
Since the LGC enforcement, LGUs have been trying various ways to increase their tax revenue, which
becomes each LGU’s own financial resources, the
LGUs raised their fixed property tax, and cities and
municipalities increased their commercial tax. 3
Compared with that of the central government, however, the financial capacity of each LGU is very small
(Table 2). The Internal Revenue Allotment (IRA),
which is distributed from the central government’s
revenue to each LGU as a subsidy, generally makes up
a large share of the LGU revenue. 4 The ratio of
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.
(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
Table 2 Annual Expenditure of the Central Government and LGUs
Fiscal Year
The Central Government’s Expenditure (billion pesos)
LGUs’ Expenditure (billion pesos)
Ratio of LGUs’ Expenditure to the Central
Government’s Expenditure
IRA Share in the Central Government’s Expenditure
1988 1989 1990 1991 1992 1993 1994 1995
167.4 227.4 233.5 247.1 272.8 281.6 317.1 337.1
10.3
12.5
15.1
22.7
25.3
38.5
n.a.
n.a.
0.061 0.055 0.065 0.092 0.093 0.137
n.a.
n.a.
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
Resources on IRA
LGUs
Provinces
Highly Urbanized
and Special Cities
Component Cities
Municipalities
IRA Dependency Rate
80%
56%
95%
85%
Source: Interviews from studied LGUs
Note: Each IRA Dependency Rate is the average of IRA
Dependency Rates at each LGU level of the LGUs studied
dependency on the IRA at each level of the LGUs
sampled in this study are summarized in Table 3.
Except for highly urbanized and special cities, whose
independent financial resources are relatively plentiful, many of the LGUs depend on the IRA for their
revenue.
In this situation, the 20% Development Fund of the
IRA is the primary financial resource for each LGU to
formulate its own development plans and implement
its own development activities. The 20%
Development Fund obliges a concerned LGU to spend
54
no less than 20% of its IRA for its own development
projects in social economic, and infrastructural sectors. However, when the LGU has very limited financial resources and depends highly on its IRA, the
share of the 20% Development Fund in its IRA is usually close to 20%. Furthermore, the 20%
Development Fund can only be utilized for the development projects that each LGU implements separately.
2. Roles and Functions of LDCs and Their
Challenges
1) Roles and Functions of LDCs as Stated by the
LGC
The LGC allows each provincial, city, and municipal government to have its own comprehensive development plans and to establish its own development
council as a planning institution for development
plans. The development councils of LGUs are collectively called Local Development Councils (LDCs).
Each LDC must consist of representatives from its
LGU, and the heads of the lower LGUs under the
jurisdiction of the LGU, and elected NGO members.
The LDCs’ feature worthy of mention here is that the
members from NGOs should account for more than
25% of all the LDC members.5
It is mandatory that each LDC be held at least once
every six months. The LDC’s functions are 1) to
design long-term, mid-term, and annual socio-economic development policies and plans; 2) to design
mid-term and annual investment plans; 3) to prioritize
socio-economic development programs and projects;
and 4) to coordinate, monitor, and evaluate the implementation of these development programs and projects. Moreover, the LDC of an upper LGU has the
right to review the development plans of LGUs under
its jurisdiction.
2) The Current Situation of LDCs
(1) LDCs’ Functions
Though the functions of the LDCs are as described
above, the results which the LDCs were expected to
produce were not apparent at the end of the Transition
Phase.6 The following three factors are possible reasons:
a) Because LDCs have too many members, it is
difficult for them to hold constructive discussions.7
b) The development plans of upper LGUs seldom
reflect the needs of their lower LGUs, rarely
making effective use of their LDC functions.
The plans often lack consistency with development plans formulated by their lower LGUs,
and neither do they have complementary perspectives.8
c) Participation of NGOs in the LDCs does not
always guarantee the promotion of local societies’ grass-roots participation in the decisionmaking process such as development policy formation.9
While containing these functional defects, the
LDCs are required to formulate comprehensive development plans covering various sectors for their concerned LGUs. However, required to urgently deal
5.
6.
7.
8.
9.
with this pressing current situation, the LDCs often
cannot but limit their activities to conventional
appraisals of development plans. For instance, the
LDC of an upper LGU, is the place to which lower
LGUs under the upper LGU’s jurisdiction make a
petition. However, this petition can hardly be accepted in the framework of the LDC of such an upper
LGU, and, it is very common that provincial, city, and
municipal development councils approve draft development plans only when they are elaborated in
advance by their Planning and Development Officers,
who work as the secretariat for each of their development councils. The author will take a closer look at
this matter below.
(2) Development Plans Formulated by LGUs
Development plans of each LGU are drafted along
with guidelines for development plans imposed by
NGAs. These guidelines are based on national and
regional development plans that the NGAs have drawn
up. The LGC states that development plans of uppermost LGUs (i.e., provinces and highly urbanized and
special cities) should be integrated into their regional
development plans. Consequently, because a Planning
and Development Officer of an upper LGU selects the
needs of the LGUs under its jurisdiction according to
these guidelines, the importance placed on the needs
of the grass roots is at the discretion of the upper
LGU. In other words, priorities of LGU’s socioeconomic development programs / plans, which in fact
the LDCs formulate, might be decided not by respecting the needs of their local residents, but by considering the consistency with national and regional development plans.
With regard to drafting development plans of each
LGU, it is important to note that the head of each
LGU is also the chairperson of its LDC. The chairperson has the right to appoint and dismiss a LGU
Planning and Development Officer in charge of for-
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).
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.
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.
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.
(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
mulating draft development plans. This means that
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
enforcement.10 This influence creates large differences
in the strategies and emphases of LGU developments.
3) Developments Controlled by NGAs and the Role
of the LDC
Regardless of the many problems in LDC functions, it should be noted that the NGAs are still
required to obtain the approval of the concerned
LDCs, even when they are the principle executors of
their programs/projects as they were always so before
the LGC enforcement. Thus the LDCs have come to
hold the critical role necessary to promote local development. As a result, a new relation between NGAs
and LGUs now needs to be created concerning the
decision-making process and program/project management which takes account of aspects after phaseout, such as ownership and sustainability. The LGUs
are supposed to be in a position to get necessary information on the sites and local circumstances, and they
are able to directly contact local residents who are the
real beneficiaries of a program/ project. Therefore,
they are expected to play an important role in improving the effectiveness of programs/projects even for
those executed by NGAs.
4) The Role of LDCs from the Perspective of
Residents
The LGUs cannot always grasp the needs of local
residents, even though they are in a position to easily
understand the local situation and contact residents.
The intention behind promoting the participation of
NGOs and POs in the LDCs, through the participation
of local residents in formulating and deciding comprehensive development plans of their own LGUs, is to
create public interest in the needs of local residents,
especially, those at the grass-root level. However, it is
too early to conclude that the LDCs can secure the
means of reflecting the needs of local residents, by
judging only from the fact that the NGOs and POs are
sending representatives, because their selection often
lacks transparency.11 The intention incorporated in the
LGC is to let the LDCs function to facilitate the examination of an alternative plan submitted by local residents and to seek common ground for public benefit of
a local society.
IV NGA-LGU Relations After the LGC
Enforcement
1. Roles and Functions of RDAs and Their
Current Performance
1) Roles and Functions of RDCs
Regional Development Councils (RDCs), which
are held at least once every six months, are a place to
discuss their region’s development.12 The RDC in
each region consists of NGA Regional Offices, heads
of uppermost LGUs (i.e., provinces, and highly urbanized and special cities), and representatives of NGOs,
who make up more than 25% of the members.13
Besides the secretariat, which the Regional Office
of the National Economic and Development Authority
(NEDA) takes charge of, the RDC has: (1) a development administration committee; (2) a sectoral committee for each of the social, economic and infrastructural
sectors; (3) an advisory committee consisting of district representatives and members of the House of
Representatives; and (4) an ad hoc committee by subject matter. The author will explain how these function
below.
2) Current Situation of Functions of RDC and
Sectoral Committees
It is very meaningful to hold discussions at RDCs
on regional development. Even in an active region,
however, the RDC is held only a few times a year.
Like LDCs, the RDCs usually function merely to
approve the agenda of their own regional development
plans which have been prepared by their own secretariats. One of the reasons for this is that the RDCs
have too many members to hold practical discussions.14
To compensate for the malfunction of the RDCs,
their subordinate development administration committee and sectoral committees hold discussions on
regional development almost every other month. It is
not mandatory that representatives of the LGUs and
NGOs have to be the members of these committees.
For instance, the economic sector committee of RDC
Region 11 consists mainly of Regional Office representatives of the NGAs that directly relate to the economic 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
NGAs
Enactment of
national policy
and guidelines
Influence of guidelines on
development plans
Participation of
uppermost LGUs
in planning
stage
Insufficient collaboration
and coordination among
LGUs in formulating
and implementing
development plans.
Municipal
Development Plans
Municipal
Government
Provincial
Development Plans
Provincial
Government
Implementation
of LGUs'
development
plans and
participation
of NGOs in the
planning stage
Regional
Development Plans
Regional
Development Council
Participation of
NGOs in planning
stage
Participation in
RDC sectoral
committees
NGA
Regional Offices
Implementation of
developing activities
initiated by NGAs
Municipal
Development Plans
Municipal
Government
Municipal
Development Plans
Municipal
Government
Implementation
of LGUs'
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
Department of Trade and Industry (DTI)15 Moreover,
it is the RDC secretariat (i.e., concerned NEDA
Regional Office) that, while taking account of the discussions at each RDC sectoral committee, formulates
draft regional development plans. Consequently, a
regional development policy rarely includes the intentions of the uppermost LGUs and NGOs (development
NGOs and POs in the region), because they have little
means to reflect their intentions (needs) during the formulation process of regional development plans.
Nevertheless, as one example shows, their intention
can be reflected in the regional development policies
if the RDCs are sensitive enough to their needs.16
For provinces and highly urbanized and special
cities, which are the uppermost LGUs, their RDC is
also the place to appeal for development needs that
cannot be afforded by their own financial resources.
Due to the above mentioned facts, that is: (1) the
composition of members at each of RDC sectoral
committees; (2) the formulation process of regional
development plans; and (3) the actual situation of the
RDC functions, it is difficult for such development
needs of these LGUs to be taken into account as they
are claimed.17 As a result, it often occurs that, among
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
Table 4 Annual Expenditure of the Central Government and Shares in the Central Government Expenditure
Fiscal Year
The Central Government Expenditure (billion pesos)
Ratio to 1992 real value
Share of the DA’s Ordinary Budget
in the Central Government Expenditure
Increase of the DA’s Ordinary Budget per DA Regular Staff
(1992 real value = 100)
Share of the DA’s budget for foreign-assisted projects
in the Central Government Expenditure
IRA share in the Central Government Expenditure
Expected IRA share in the Central Government Expenditure
in accordance with the LGC
1992
272.8
100.00
0.90%
1993
281.6
103.23
0.68%
1994
317.1
116.24
0.69%
1995
337.1
123.57
0.42%
1996
400.5
146.81
0.42%
100.00
100.00
77.98
n.a.
88.71
n.a.
58.07
101.73
66.97
117.31
0.52%
1.07%
0.94%
n.a.
n.a.
100.00
5.67%
8.94%
213.78
9.75%
12.93%
210.31
n.a.
14.73%
n.a.
n.a.
n.a.
n.a.
n.a.
n.a.
*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 directions of concerned RDC sectoral committees can be
considered as a part of the program or project that is
directly controlled by NGAs.
2. Implementation of Development Activities by
LGUs and NGAs’ Support
1) LGU Development Activities and Development
Activities Implemented under the control of NGAs
(1) LGU Development Plans and Development
Activities led by NGAs
Generally, it is difficult for LGUs to be fully
informed of the planned programs or project in their
planning stage, when programs/projects within their
own boundary are directly executed by NGAs, and to
effectively accord their programs/projects within their
own boundary, with those by the NGAs (Figure 2).
This is reflected by the fact that, until the budgets for
NGA national programs and projects are confirmed,
NGA Regional Offices do not know what
programs/projects will be implemented in their concerned regions because their central offices, whose
principal functions should consist of strengthening
institutional capability in the context of decentralization, and in fact usually design and manage these programs and projects by themselves. This applies to
donor assisted projects in which an NGA is a counterpart to the donors and in which foreign financial
resources can be, even partially, used for their implementation.
For instance, the Department of Education,
Culture, and Sports (DECS) maintains its facility of
implementing a project to build schools all over the
country even after the LGC enforcement. Following
the LGC enforcement, DECS devolved its budgets for
58
construction, maintenance, and the repair of elementary and middle schools to the LGUs. Nevertheless,
because its financial resources include foreign assistance, these projects are controlled by DECS, that is,
the counterpart of the donor providing the assistance.
DECS always selects a site for the project by itself,
but this selection often does not fit in with the provincial development plan, which puts a high priority on
school construction in municipalities identified as its
poor areas. Many LGUs, which are well informed of
local situations and able to encourage the participation
of local residents, are still considered as DECS’s subordinate auxiliaries even after decentralization. After
the implementation of this construction project, the
school building is handed over to the municipality.
Maintenance of the school building, which means sustainability of the project, is regarded as the responsibility of the municipality. This often creates an additional financial burden on the municipality.
(2) LGU Development Activities and Central
Government Resources for Development
In the above situation of development management
conducted by NGAs, it is also difficult for LGUs to
seek, other than from the IRA, external financial
resources in the form of a grant or a subsidy from the
NGAs to implement their development plans reflecting needs of local residents. Due to an incidental condition to the LGC, moreover, the LGUs are kept away
from the financial resources which NGAs can receive
with their foreign assistance. Furthermore, NGA budgets for development activities have been increasing,
as the central government’s expenditure has increased.
LGU budgets for development activities, on the other
hand, have not increased, while for the last three years
the IRA has not been allocated its share in the central
government’s expenditure each year as pledged in the
LGC.18
For example, the DA (Department of Agriculture),
which until September 1994, almost completed transferred its personnel from devolved services and functions to LGUs, set a sharp reduction in its ordinary
budget, which excepts budget for projects (including
foreign-assisted projects)from its entire budget, in
1995 (Table 4). It is noteworthy that in spite of transferring its personnel to the LGUs during the transition
period, its budget related to foreign-assisted projects
in 1993 increased by more than double that in 1992,
and this trend continued in 1994 in which the budget
for projects remained almost the same as that in 1993.
There are other development funds financed by the
central government such as the Congressional
Initiative Allocation (CIA) and Countryside
Development Fund (CDF), which are allotted to each
member of the Senate and the House of
Representatives, respectively.19 These funds are used
through a concerned sectoral NGA, while each congress member can decide and change the objective or
target of his/her fund at his/her individual discretion.
Consequently, the CIA and CDF are often used without respecting the LGUs’ development plans.
2) Implementation of Development Activities by
LGUs and Technical Assistance by NEDA
(1) The Official Development Assistance Act of 1996
and LGUs’ Access to the ODA
When the financial resources for LGU development activities are very tight, the Official
Development Assistance (ODA) Act of 1996 (hereinafter “the ODA Law”) gave each LGU direct access
to the ODA. The Act can provide, through the ODA,
external financial resources for implementing their
individual development activities. In this section the
author examines the viability of the enforced ODA
Law including problems and challenges.
The ODA Law formulated by NEDA, whose primary role is to coordinate the development plans of
the nation with those of the regions, allows NEDA to
allocate itself approximately 5% of the total ODA
loans and grants. The resource is directed to its project identification, preparation for feasibility studies,
master planning, and monitoring and evaluation of
projects. Even though NEDA insists that it has been
providing technical assistance to the LGUs, this merely means that NEDA Regional Offices distribute
guidelines and handbooks to the LGU Planning and
Development Offices. The NEDA Regional Offices
has prepared such guidelines because they need to
draw up their regional development plans in line with
the sectoral frameworks for regional development
which are formulated by the Regional Development
Coordination staff of the NEDA central office.
In the current situation, it is difficult for the LGU
and NGA Regional Offices to obtain sufficient information on ODA. This is closely connected with the
fact that the Public Investment Staff (PIS) of the
NEDA central office, who are often regarded as coordinators of ODA, do not have their counterparts at the
NEDA Regional Offices.20 As a result, the PIS of
NEDA can hardly play its primary role of providing
LGUs or ways of obtaining access to donors and
detailed information on their various schemes. Even if
the LGUs might be able to access to such detailed
information on ODA, when taking into account
NEDA’s one-way communication with LGUs in the
past, NEDA’s assistance system effectively based on
the ODA Law would not respond sensitively to a wide
range of needs of different LGUs.
(2) LGU Project Development Capability and the
Project Development Assistance Center
NEDA also formally decided to establish a Project
Development Assistance Center (PDAC) under each
RDC in August 1996. The reason for this establishment was to respond to the poor capability of LGUs
and NGA Regional Offices in project development,
including project identification, project conceptualization, project design, and packaging of projects. PDAC
plays a supportive role in a similar way as NEDA, and
extends technical support to LGUs, as stated in the
ODA Law, to cover the insufficient capability of
LGUs. According to the guideline for establishing the
PDAC provided by NEDA, a PDAC Regional Core
Team should be formed within a concerned NEDA
Regional Office, led by the NEDA Regional Office
and assisted by representatives from regional line
agencies, in particular, those from the DA, the DAR,
the DECS, the DENR, the Department of Public
Works and Highways (DPWH), and the DTI.21
The guideline does not refer to the involvement of
the Regional Offices of other NGAs including the
Department of the Interior and Local Government
(DILG), which can be expected to play an important
role after the LGC enforcement in collaboration and
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
Requests from LGUs to the DSWD
central office for technical assistance
and offers of such technical
assistance
Enactment of national
policies and guidelines
DSWD
DSWD Field Office
Provincial Government
Requests from LGUs
to the field office for
technical assistance
and offer of such
technical assistance
Provincial Social Welfare
and Development Officer
Municipal
Government
Municipal Social
Service Unit
Implementation
of Social
Welfare
Services by
LGUs and
Participation
of NGOs in the
planning stage
Municipal
Government
Municipal Social
Service Unit
Administrative
support and project
implementation
support
Municipal
Government
Municipal Social
Service Unit
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 conducting technical assistance to the LGUs by making a
contract with the LGUs to develop the projects only
when so requested from the LGUs.22 Consequently,
there is some fear that technical transfer to the LGUs
will be neglected in PDAC technical assistance on
project development. The PDAC’s project development skills are expected to be transferred to LGUs’
Planning Development Offices. For prospect of the
decentralization, it is crucial that the LGUs can accumulate skills and experience in their own project
development.
LGUs and Technical Assistance by the DILG
After the LGC enforcement, the DILG became the
only NGA that could directly approach each level of
LGU, such as all the units of the provinces, highly
urbanized and special cities, component cities, and
municipalities, and some of the barangays, in addition
to its Regional Offices. Other NGAs, however, are
always required to contact LGUs through the DILG
when they formally approach LGUs.
The DILG’s primary task in assisting the LGUs is
to provide administrative guidance on budget management and promote self-governance. Though it does
not have the authority to distribute financial resources
to the LGUs, the DILG is in the position to monitor
the LGUs’ management of the 20% Development
Fund of their IRA and take a role in supporting the
implementation of their development activities.
Moreover, the Technical Assistance Division of a
DILG Regional Office now tends to be considered a
counterpart by the LGU Planning and Development
Offices because the LGC requires each LGU to summit a copy of its development programs and projects
to the DILG.
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
Capacity Building Program (ICBP) for personnel of
the LGUs in order to fulfill their urgent need of institutional strengthening. 23 In the ICBP, the Local
Government Academy (LGA) of the DILG and MultiDisciplinary Mobile Teams consisting of the staff of
the DILG’s Regional Office and DILG field staff
transfer their know-how to the LGUs’ staff members
so that they can undertake effective local administration.24
The DILG’s role has become important, since the
LGC enforcement, for implementing policies that will
promote local development through the development
activities of LGUs. Furthermore, the roles of the
DILG, especially those of the DILG Regional Offices,
are expected to be more and more significant in the
current situation under which skills in the administrative practices need to be transferred to the LGUs.
Regarding the NEDA’s support to the LGUs to develop their capacity, it is evident that the NEDA’s collaboration with the DILG is indispensable in order to
effectively transfer its administrative skills to the
LGUs.
LGUs and Technical Assistance by DSWD
Among the NGAs affected by the LGC enforcement and required to identify and strengthen their new
policy functions, DSWD takes an interesting new
approach to implement its policy. This is because
DSWD knows that supporting the LGUs is one of its
duties, because they are in a closer position to the
local residents, that is, the real beneficiaries.
Consequently, the DSWD concentrates its assistance
on supporting the LGUs to effectively perform their
functions devolved from DSWD such as providing
social welfare services. Converting its Regional
Offices into its Field Offices, DSWD monitors LGUs’
functions for supplying social welfare services, visits
the LGUs to directly provide technical assistance to
them, and coordinates with the LGUs. DSWD has
been trying especially to strengthen the functions for
supplying social welfare services at the municipal
level (Figure 3).25 As one case illustrates, by DSWD
coordinating with provinces and municipalities, the
municipalities can systematically provide social welfare services to specific groups such as children,
women, the young, and the aged.26
The DSWD’s approach is exceptional among the
NGAs. However, supporting the LGUs with sustainable and appropriate technical assistance and development management skills is the key to local development promotion. In this sense, the significant change
in the DSWD’s roles and functions since the LGC
enforcement can be a useful example for other NGAs
to follow. Furthermore, this process of change suggests both a direction for effective assistance and an
approach for appropriate technical assistance to
donors.
V Conclusion
Because of the LGC enforcement, LGUs were
faced with absorbing functions and responsibilities
devolved from NGAs and directly implementing their
development activities. Except for provincial governments, whose financial affairs are made difficult by
having to manage district hospitals devolved from the
central government, the LGUs have been planning and
implementing urgently needed development activities,
while dealing with a lack of financial resources and
techniques. At this point, decentralization in the
Philippines has brought out the significant role to the
LGUs, requesting them to improve their functions and
efficiency in development activities.
From the viewpoint of “Good Governance” discussed at the beginning of this paper, however, the
current situation of decentralization in the country
suggests the need to design and implement development programs and projects which promote sustainable effects on local societies among residents. To
achieve this, one of the effective ways is to strengthen
the RDCs’ and LDCs’ function to incorporate the
needs of various stakeholders of local development
into the process of development planning. Even
though NGOs participate in RDCs and LDCs, their
participation does not always mean that the local residents are involved in the formulation process. It is
necessary to look at development activities of a local
society from the view point of public interest, that is,
to examine whether development programs and projects approved at the RDCs and LDCs bear accountability to local residents. An effective social skills are
required to create a common consensus and thereby to
check whether or not such programs/projects contribute 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
Even when JICA approaches a local society by
implementing development activities controlled by the
NGAs, JICA is expected to utilize the concerned
LDCs’ function of effectively assess the programs and
projects implemented in the LGUs in order for the
LDCs to approve them formally. Not by excluding
the LGUs and local residents, but by involving them
into the decision-making process and management of
development activities, the LGUs’ strengthened function supporting the public interest, which is an expected outcome of the decentralization, will enable program/project effects sustainable even after their phase
out.
Furthermore, collaboration and supplementary
functions among the LGUs are needed to promote
local developments. So far, collaboration and interactive performances within the same level or with a
lower level LGU in the same region have not functioned well. An appropriate unit in size for an effective administrative collaboration should be identified
and put into practice to promote the local developments.
Because the LGC is reviewed every five years, as
mandated by the 1987 Constitution, the LGC has not
been definitively established yet in terms of its
enforcement. However the social conditions of the
Philippines, which have long demanded the enactment
and enforcement of the LGC, and the recently
emerged local-oriented approach to development are
strong momentums for promoting decentralization in
the country. A JICA expert was dispatched as a policy
adviser to DILG and JICA’s project-type technical
cooperation with the DA’s agricultural Training
Institute is being carried out in Bohol Province for the
improvement of rural livelihood. These two cases evidence JICA’s active support for the decentralization.
According to the LGC master plan of implementation,
the LGUs are expected to acquire adequate capabilities in managing local affairs in the Stabilization
Phase starting from 1997. During this phase, the
NGAs are expected to continuously provide appropriate technical support to the LGUs. In the Current situation where DAC member countries of OECD cooperate towards decentralization word-wide, JICA’s technical cooperation is expected to support more effectively local development in the Philippines by facilitating its decentralization, based on the understanding
of the “now working together towards world-wide
decentralization. In this situation, JICA’s technical
cooperation is expected to support more effectively
local development in the Philippines by facilitating its
decentralization, based on the understanding of “Good
Governance”, which emphasizes the importance of
local societies in developments.
Acknowledgment
This paper is written based on the results of JICA’s
project formulation study for promoting local developments in the Philippines, which was conducted by the
author from October to December in 1996. In this
62
study, the author conducted interviews at central,
regional, and LGU levels, including 11 LGUs in
Region 6 and Region 11, and analyzed the current situation of LGC enforcement. Among the interviewees,
JICA staff and experts were involved in the study, and
Mr. Rey Gerona, Consultant to the JICA-Philippine
Office, provided his sincere and thoughtful support to
the author. In writing the original Japanese paper, the
author received a lot of valuable comments from both
Mr. Shiro Akamatsu, Development Specialist of JICA,
and Mr. Akira Namae, Director of IRSCD. The
author thanks them all very much.
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(Development of Local Societies and the Role of
Government), Report of the Aid Study
Committee (Tokyo: JICA).
Katsuma, Y., and A. Koyama, 1995, “Kaihatsu no
shakaiteki sokumen ni hikari wo (Focusing on
social aspects in development)”, Nyumon Shakai
Kaihatsu: Jumin ga Shuyaku no Tojokoku Enjyo
(Introduction to Social Development: Assistance
to Developing Countries where Local Residents
Play a Leading Role), ed. Shakai kaihatsu
kenkyukai (Study Group on Social
Development)
(Tokyo:
International
Development Journal), pp.6-19.
Morita, A. ed., 1998, Ajia no Chihou Seido (Local
Systems in Asia) (Tokyo: Tokyo University
Press).
Namae, A., 1992, “Jyumin chihou jichi to zeikin:
Filipin shin chihou jichihou zakkan (Local
Autonomy and Tax: Some thoughts on the new
Local Government Code in the Philippines)” in
Gekkan Jichi ken (Monthly Study on Local
Government), April, 79-85.
Organization for Economic Co-operation and
Development (OECD), 1995, Participatory
Development and Good Governance (Paris:
OECD).
Yamada, Y., 1997, Filipin ni Okeru Chihou Kaihatsu
Sokushin no tameno Kikaku Chousa: 1991 nen
Jichitaihou Shikou gono Jichitai no Genjo to
Chuouseifu Kikan tono Kinou Kankei (A Project
Formulation Study on the Promotion of Local
Development in the Philippines: Current
Situation of LGUs After the 1991’s Enforcement
of the Local Government Code and Their
Functional Relations with NGAs), Report of the
Project Formulation Adviser (Tokyo: JICA).
Yamada, Y. and R. Gerona,1996, Decentralisation
and JICA: Prospects and Challenges - The
Philippine Context (Manila: JICA-Philippine
Office).
63
Optimum Crop Combination under Risk:
Second Cropping of Paddy Fields in the Philippines
CASE STUDY
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 tomato. 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.
I Introduction
Rainfed areas represent about half of the total
cropland area of the Philippines. Promotion of rainfed
farming is increasingly important to meet the
increased and diversified food demand as population
grows and income increases, because the potential
for new irrigation development has reached its limit
and the yield increase has stagnated. In rainfed paddy
fields, various crops are grown according to the degree
of water constraints, location and the market conditions. These crops are roughly divided into two
groups. One group is low input and low return crops
traditionally grown in dry areas, such as coarse grains,
legumes and tuber crops. They are characterized as
low risk and stable production. The others are vegetables with high gross margins per hectare, but with
heavy resource requirements because of their intensive
use of chemical input and labor. They are typical
high-risk, high-return crops. High uncertainty and risk
are also important features of rainfed farming.
*
The wider choice of crop combinations under risky
conditions mentioned above makes the process of
decision-making complex and difficult. One option
may have more profitable expectations than another,
but at the same time be more risky. This can occur,
for example, when crops or combinations of enterprises with high average profit suffer from a high degree
of variability and risk. The economic consequences of
instability in agriculture are not universal. There is a
general recognition, however, that risks do influence
farmers’ production decisions(1-7). Production depends
greatly on the amount and distribution of rainfall,
which varies widely from year to year. Unpredictable
price fluctuations are also serious for non-rice crops,
for which government programs such as price support
and credit schemes are less widely implemented.
Thus to promote rainfed agriculture, in addition to
technical assistance and risk mitigating programs, a
support system for decision-making regarding risk is
also needed.
65
II Objective and assumptions
The objective of this study is to identify the conditions associated with optimum crop combinations for
the rainfed areas in the Ilocos Norte, the Philippines,
and to draw out some policy implications based on
these results for rural development in less favorable
areas for cultivation.
We assume that :
i. In a risk neutral situation, farmers will choose those
crop combinations that will give the highest profit
under the given resource constraints; and
ii. As the farmers are becoming more risk averse, they
will select enterprise combinations which have
lower risk associated with them, at the expense of
profit.
III Characteristics of the study site and
cropping pattern
The studied village is in the Province of Ilocos
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 ,
out of which 694 km2 is considered cropland. Nearly
half of the cropland, or 324 km2 , is under rainfed conditions(8). The average annual rainfall from 1976 to
1993 was 1,703 mm, of which almost 90% occurs
between May and October. It is occasionally visited
by tropical cyclones and storms during the southwest
monsoon season. The monthly mean maximum temperature is 32.1ºC , and the mean minimum is 22.1ºC.
As of 1990, the province had a total population of
461,661 with a computed annual growth rate of 1.68
percent. It has a population density of 136 per km2
and an average household size of 5 members. A
majority of the people in the area derive their livelihood from either agriculture, fishery or forestry.
Totally, people engaged in these three activities constitute 51.3% of the total population(8).
Rice dominates the agricultural products of the
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
crops like garlic (19,003 t) and tobacco (3,488 t) are
also important in terms of their production value, and
hence in agricultural economy of the region, even
though their production quantities appear to be smaller. In addition, people are also engaged in livestock
and poultry production, and fishing. In general, the
farming of the province is highly diversified and commercialized.
In the village, the local infrastructure for irrigation
facilities, such as canals or reservoirs, are lacking.
However tube wells are constructed privately and
diesel engines are used for pumping water in the dry
season. Rice is grown solely in the wet season
between May and October. In the dry season, a wide
66
Table 1 Agricultural Production of Ilocos Norte,
Crop Year 1993
A. Food Crops
Production (t)
1. Rice
221,902.6
2. Corn (Seeds)
17,051.3
3. Corn (Green)
50,916.0
4. Legumes
18,163.2
5. Vegetables
87,228.5
6. Root Crops
22,732.5
7. Fruit
13,910.0
B. Commercial Crops
1. Garlic
2. Tobacco
Native
Virginia
3. Cotton
C. Livestock/Poultry
1. Carabeef
2. Beef
3. Swine
4. Goat
5. Poultry
19,002.6
324.6
3,163.2
182.1
1,210.5
1,078.1
2,982.7
411.3
305.9
Source: Ilocos Norte Provincial Profile (1993).
variety of crops are grown. In terms of resource
requirements, corn and mungbean are categorized as
labor- and water-saving crops, whereas tobacco, tomatoes, garlic, and sweet peppers are labor- and waterusing in nature (Table 2). Considering that the availability of hired labor and pumped water are limited,
the technical features of the resource requirements of
each crop may affect the crop choice in the farming
system.
Land preparation for all crops is done customarily
by hand tractors with a few exceptions of farmerowned draft animals. However, few farmers in the
village own hand tractors. At the beginning of each
crop season, machine operators arrive in the village
with their own hand tractors and provide services on a
per hectare basis. Other operations from planting to
harvesting are done manually with family and hired
labor.
IV Theoretical Framework
The complex interrelationships between different
crops coupled with the risk associated with the output
and price fluctuations of each crop makes mathematical programming a particularly useful technique for
farm planning. It incorporates all these major factors
to determine the relative advantage of each crop.
Furthermore, various scenarios can be simulated once
the model has been properly defined and constructed.
We employ the Minimization of Total Absolute
Deviations (MOTAD) model proposed by Hazell(9) as
a method for calculating a profit maximizing crop
combination concerning risk. In the model the
Expected income-mean Absolute income deviation (E-
A) criterion is used in the following formulation:
Minimize: Σyh−
Subject to:
Σ(chj - g j) xj + yh−＞
＿0 (for all h, h=1,2,...,s)
and
Σfjxj = Θ
(Θ= 0 to unbounded)
Σaij xj ＜
＿bi
(for all i and j,
i= 1,2,...,m; j=1,2,...,n)
xj, yh−＞
＿0
(for all h and j)
where
fj: the expected forecasted gross margin of
the jth activity;
g j = (1/s) Σchj
is the sample mean of gross margins for the
jth activity,
which is exactly equal to fj unless subjective
information is incorporated in these values;
chj : the hth gross margin from the jth activity.
xj : the level of the jth activity.
The model can be solved using conventional linear
programming codes with a parametric option and provides a set of farm plans that are efficient for expected
income and mean absolute income deviations. By
parametarizing the expected income, a sequence of
solutions (E-A frontier) for increasing gross returns
and mean absolute deviations are obtained until the
maximum total gross margin is attained under the
resource constraints.
V The Model and Data
A model farm with 1.0 ha of owned operational
area was selected to represent the existing farming
systems in the village. The representative farmer is
assumed to be a rational decision-maker under the
given conditions. The data on material inputs, labor,
input prices and wages were obtained from a collaborative research project of three institutions, namely,
Mariano Marcos State University, Batac, Ilocos Norte;
The Philippine Rice Research Institute, Maligaya,
Munoz, Nueva Ecija; and The International Rice
Research Institute, Los Banos, Laguna (referred to as
the Rainfed Lowland Rice Research Consortium
Project hereinafter). This project was based in Batac,
Ilocos Norte and data from 1993 was used. To draw
fifty farmer cooperators, the Stratified Random
Sampling was employed(10). The time series of yields
and output prices for the years from 1989 to 1993
were obtained from the Statistical Series for the Ilocos
Region(11).
It is assumed that only the prices and output yields
are random variables. The prices and quantities of all
inputs such as fertilizer, seeds, pesticides, custom rates
of hand tractor hiring, etc., are assumed to be given in
the area. Output prices and yields used to calculate
revenues and their variances consisted of provincial
averages only. The main disadvantage of aggregated
data is that they underestimate variances since the
basic data are already aggregated(12). Another limitation of the data used in this analysis is that the Rainfed
Lowland Rice Research Consortium Project was not
designed to monitor labor utilization, hence labor use
may be underestimated. Furthermore, no data were
obtained to accurately distinguish whether family or
hired labor was used for each crop. This prevented the
model from determining how family and hired labor
allocation changes with increased risk in farming.
The programming model consists of 25 activities
or variables, and 48 constraints. The profit vector
includes the stochastic net return from each cropping
activity and the hired labor wages. Due to a lack of
data on wage variation, hired labor wages are assumed
to be the same from year to year in this model. The
constraint matrix consists of land and labor constraints
(family and hired). It is assumed that the model
farmer has, at most, two persons of available family
labor at any point in time. In addition, he has access
to hired labor up to a maximum of 100 man-days for
each 10-day period. Daily work hours are set to eight
hours for family labor and six hours for hired labor.
The labor coefficients for each crop were obtained
from data of the Rainfed Lowland Rice Research
Consortium Project. Daily wage rates differ by operation according to their intensity, gender composition,
and other institutional factors. In the model, the wage
rate is set by 10-day periods as follows: 102 pesos
from mid-January to late April, the harvest season of
non-rice crops; 60 pesos in mid-June, the rice transplanting; 198 pesos in late-September, the rice harvest; and 60 pesos from early-November to midDecember, the planting of non-rice crops. These
wages are nearly the same or above the legal minimum wage for non-plantation farming, ranging from
63.38 pesos to 105.63 pesos in 1992(13).
The model also incorporates a water availability
constraint in the dry season. This is a valid constraint
because of the environmental conditions inherent in
the area. The water requirement for each crop, shown
in Table 2, was computed based on the number of
days of water application obtained from the Rainfed
Lowland Rice Research Consortium Project, assuming
that the tube-well pump irrigation has a capacity of
105 gal/min (the discharge of the Kato pump, most
commonly used in the area) and 8 hours of operation
per day.
The elements of the profit vector were derived by
subtracting the corresponding non-labor costs from the
gross product of each crop for the period 1989 to
1993. Non-labor costs (seed, fertilizer, pesticide, the
fuel and oil for the tube-well pumps, and custom hand
tractor tillage) in 1993 are used for each year, assuming that the input structure is fixed for the period considered. Yield and output prices were obtained from
regional statistical data(11). To account for inflation,
the output prices in each year were deflated using the
67
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
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
a
1
Rice
Resource Constraints
Unit Resource
＞
1
1
Land/WS
ha
―
＞
.
1
Land/DS
ha
―
.
Water/DS 1000gal. W a ＞
―
＞
.
2
Fam Labor
man
―
.
HJAN2
man-day 100 ＞
―
.
HJAN3
man-day 100 ＞
―
.
HFEB1
man-day 100 ＞
―
.
HFEB2
man-day 100 ＞
―
.
HFEB3
man-day 100 ＞
―
.
HMAR1 man-day 100 ＞
―
.
―
.
―
.
HAPR1
man-day 100 ＞
―
.
HAPR2
man-day 100 ＞
―
.
HAPR3
man-day 100 ＞
―
.
HJUN2
man-day 100 ＞
―
.
HSEP3
man-day 100 ＞
―
＞
.
0
HNOV1
hour
―
＞
.
0
HNOV2
hour
―
＞
.
0
HDEC1
hour
―
＞
.
0
HDEC2
hour
―
＞
26
0
2-May
hour
―
＞
16
0
1-Jun
hour
―
＞ 160
0
2-Jun
hour
―
＞
16
0
1-Jul
hour
―
＞
6
0
2-Jul
hour
―
＞
8
0
2-Aug
hour
―
＞ 140
0
3-Sep
hour
―
＞
32
0
1-Oct
hour
―
＞
.
0
3-Oct
hour
―
＞
.
0
1-Nov
hour
―
＞
.
0
2-Nov
hour
―
＞
.
0
3-Nov
hour
―
＞
.
0
1-Dec
hour
―
＞
.
0
2-Dec
hour
―
＞
.
0
3-Dec
hour
―
＞
.
0
1-Jan
hour
―
＞
.
0
2-Jan
hour
―
＞
.
0
3-Jan
hour
―
＞
.
0
1-Feb
hour
―
＞
.
0
2-Feb
hour
―
＞
.
0
3-Feb
hour
―
＞
.
0
1-Mar
hour
―
＞
.
0
2-Mar
hour
―
＞
.
0
3-Mar
hour
―
＞
.
0
1-Apr
hour
―
＞
.
0
2-Apr
hour
―
＞
.
0
3-Apr
hour
―
2
3
4
5
6
7
Tobac Tomato Garlic Mung Corn Sweet
Bean
Pep.
.
.
.
.
.
.
1
1
1
1
1
1
264.6 232.3 352.8 88.2 44.1 220.5
.
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8
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46
.
.
6
.
.
36
.
174
.
8
.
100
10
44
12
54
50
.
22
16
12
8
20
8
38
16
10
16
108
16
94
16
.
.
72
8
32
16
.
.
24
8
14
.
.
60
64
36
14
.
12
.
16
70
6
.
.
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.
70
6
180
.
.
48
36
14
.
.
.
56
36
6
.
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.
48
.
36
.
.
.
56
.
30
.
32
.
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.
30
.
.
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.
38
.
56
.
.
.
30
.
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26
.
.
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8
Fam
Lab
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.
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
-80
9
HJa2
.
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-6
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10
HJa3
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-6
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11
HFe1
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1
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-6
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.
12
13
14
15
16
HFe2 HFe3 HMr1 HMr2 HMr3
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1
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-6
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1
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-6
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1
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-6
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1
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-6
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1
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-6
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.
Wis set to 200, 300, 400.
Consumer Price Index(14).
Table 3 shows the net return by crop. Garlic has
the highest mean return with the largest standard deviation followed by tomatoes. In general, the higher the
net return, the larger the deviation. Correlations of the
profits of different cropping sequences are shown in
Table 4. A high positive correlation was found
between the rice-corn and tobacco-garlic sequences,
whereas a high negative correlation was found
between the tobacco-sweet pepper, tomato-garlic, and
garlic-sweet pepper sequence pairs. It should be noted
that profitable and risky crops such as garlic and tomatoes have negative correlations with many other crops.
The basic model has the following features:
i. 7 croppings, including the rotation of rice and other
68
crops. Rice is planted in the wet season (May to
October) and is followed by different alternative
crops such as tobacco, tomatoes, garlic, mungbeans,
corn and sweet peppers;
ii. 27 ten-day periods for labor activities, from midMay to late-April (2-May to 3-Apr in Table 2);
iii. Two land area constraints: 1 ha each for the wet
and dry seasons;
iv. 27 ten-day periods for farming operations, land
preparation, planting, weed control, insect control,
water application, fertilizer application and harvesting/post harvest activities; and
v. 17 ten-day hired labor constraints; from midJanuary to mid-December (HJa2 to HDe2 in Table
2).
17
18
19
20
r3 HAp1 HAp2 HAp3 HJu2
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1
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1
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1
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The complete structure of the activities and constraints of the model is presented in Table 2.
VI Results and Discussion
The model was solved by a mathematical programming package, ‘micro-NAPS’, developed by Nanseki
et al. for personal computers(15).
The optimal solutions according to various levels
of income deviation are presented in Tables 5, 6 and 7.
The poverty line in Ilocos Province in 1988 was 4,934
pesos per capita(16). Assuming the average family size
of the study village is five, the same as the provincial
average, the poverty line for a family is 24,670 pesos.
Therefore, the income threshold is set to 24,000 pesos
in this study and the solutions which gave an expected
income less than this amount (corner solution 1 to 4 in
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
deviation in the first row of each table indicates the
degree of income variation. It is assumed that the
larger the income variation, the bigger the risk to the
farm household.
Table 5 shows the case of no water constraint in
the dry season. Assuming that the farmer is risk neutral 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
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
becomes more risk averse, lower profits with less
risky crops are chosen, resulting in a more diversified
crop combination with subsequent decreased returns.
From Solution 11 to 9, tomatoes, which are the second
most profitable and risky crop, enter sacrificing the
area of garlic, and result in decreased returns and deviations. 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 relatively 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
corn. In this case, the expected returns drop to 26,281
pesos, or 64% of that of the risk neutral case of
Solution 12.
There is no clear tendency of change in the total
labor input or non-labor cost with the regards to the
risk averseness. It appears that the level of risk aversion 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.
This contrasts with a case study in Indonesia in which
a capital-saving cropping pattern is chosen as the
farmer becomes more risk averse(7).
The extent of farm production diversity is measured by the Diversification Index (D. I.) defined by
Forster(17) shown in the last row of Table 5. When
only one crop is chosen for a farm plan, D. I. = 1. As
the number of crops increases, D. I. increases. For a
given number of crops, the higher the share of one or
more subset crops in the total production value, the
lower D. I. becomes. Conversely, the more equal the
share of each crop in the total production value, the
69
Table 3 Deflated net returns by crop, 1989 -1993
Mean
Min.
Max.
------------- Peso /ha --------------4,364
3,525
5,683
25,833
21,291
32,648
27,040
4,032
42,344
37,467
13,648
72,583
6,441
5,073
8,353
2,581
1,233
4,323
20,294
10,926
26,629
Rice
Tobacco
Tomatoes
Garlic
Mungbeans
Corn
Sweet Peppers
S.D.
752
3,931
13,914
20,277
1,256
1,006
6,765
Source: Calculated based on data from Rainfed Lowland Rice Research Consartium (1993)
Net return = Gross product - non-labor cost
Rice
Tobacco
Tomatoes
Garlic
Mungbeans
Corn
Sweet Peppers
Table 4 Correlation matrix of net returns by crop, 1989 - 1993
Rice
Tobacco
Tomato
Garlic
Mung
bean
1
0.018
1
-0.063
-0.442
1
-0.375
0.801
-0.676
1
0.375
0.493
-0.106
0.007
1
0.855
-0.240
-0.344
-0.365
0.164
0.146
-0.787
0.330
-0.835
0.130
Corn
1
0.356
Sweet
Pepper
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.
5
6
7
8
9
10
11
12
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)
Dry season
Tobacco (ha)
Tomatoes (ha)
Garlic (ha)
Mungbeans (ha)
Corn (ha)
Sweet peppers (ha)
Total
Labor input
Family (hours)
Hired (hours)
Total (hours)
Non-labor cost (P. 1000)
1.000
1.000
1.000
1.000
1.000
1.000
1.000
1.000
0
0.170
0.220
0
0.187
0.423
1.000
0.082
0.182
0.234
0
0
0.502
1.000
0
0.223
0.276
0
0
0.501
1.000
0
0.180
0.348
0
0
0.471
1.000b
0
0.549
0.451
0
0
0
1.000
0
0.115
0.885
0
0
0
1.000
0
0.080
0.920
0
0
0
1.000
0
0
1.000
0
0
0
1.000
846
0
846
915
0
915
913
0
913
910
0
910
857
0
857
864
0
864
859
6
865
832
34
866
14.162
3.997
14.802
4.077
15.025
3.767
15.107
3.596
14.123
2.769
15.135
1.671
15.216
1.585
15.403
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 diversification increases as the farmer becomes more risk
averse.
In general, as the farmer becomes more risk
70
averse, the optimal crop combination shifts from a
small number of profitable and risky crops to a larger
number of more diversified, less risky but less profitable crops. Further consideration is required in the
Table 6 Optimal Solution of MOTAD Model, Water/DS =300,000 gallons / ha
Solution no.
5
6
7
8
9
1.41
1.96
2.62
4.56
13.58
Mean of total net
return (P. 1000)
26.281
30.363
30.916
31.862
36.121
Wet season
Rice (ha)
1.000
1.000
1.000
1.000
1.000
Dry season
Tobacco (ha)
0
0.082
0
0
0
Tomatoes (ha)
0.170
0.182
0.223
0.180
0.549
Garlic (ha)
0.220
0.234
0.276
0.348
0.451
Mungbeans (ha)
0
0
0
0
0
Corn (ha)
0.187
0
0
0
0
Sweet peppers (ha)
0.423
0.502
0.501
0.471
0
Total
1.000
1.000
1.000
1.000b
1.000
Labor input
Family (hours)
Hired (hours)
Total (hours)
10
18.93
37.274
1.000
0
0.438
0.562
0
0
0
1.000
846
0
846
915
0
915
913
0
913
910
0
910
857
0
857
859
0
859
14.162
3.997
14.802
4.077
15.025
3.767
15.107
3.598
14.123
2.769
14.382
2.585
Diversity index a
a
b
Random error.
following two findings.
First, both mungbeans and corn are categorized as
less risky crops. However, mungbeans are never
selected even though their expected profit is substantially larger than that of corn (Table 3). Although the
standard deviation of mungbeans is slightly larger
than that of corn, this can be largely explained by the
difference in the use of labor between corn and mungbean. Both are planted during mid-November and
early December, the same as other non-rice crops.
However, corn is harvested in mid-February when the
labor demand for other crops, especially profitable
garlic and tomato, is not tight. On the other hand, the
harvesting and threshing of mungbeans are done in
March and April when the tomato harvest is at its peak
(Table 5). Therefore corn is easier to combine with
other crops in terms of the seasonality of labor. The
two crops are agronomically contrastive. Corn is a
typical soil-exhausting crop whereas the mungbean, as
a leguminous crop, conserves and improves soil fertility. Thus to promote a sustainable cropping system
including the mungbean, the development of early
matured varieties is necessary.
Second, the result that the garlic area is almost
unchanged and dominant over the tomato seems to
contradict our assumption that as the farmer becomes
more risk averse, less risky crops are selected. Table
3 shows that garlic has the highest expected income,
and at the same time, the highest variability, followed
by tomatoes. We would therefore have expected that
as the farmer becomes more risk averse, the area of
garlic would decline much faster than that of toma-
toes. This observation points to the importance of the
relationships among the crops being considered.
Table 4 shows that garlic has a high correlation with
the less risky sweet pepper, which dominates the solution as the farmer become more risk averse, whereas
the tomato has a positive correlation with sweet peppers. Therefore, the combination of garlic and sweet
pepper is less risky than that of tomato and sweet pepper. This result implies that the correlation between
the returns of the different crops is of equal or greater
importance than the variance of the individual crops.
Thus, the addition of a seemingly more risky enterprise, like garlic, in this study, actually reduces total
income risks if its correlation with the revenue of
other crops in the model is strongly negative (3) .
Consideration of the variance of individual crops
alone may lead to a sub-optimal crop combination.
Table 6 shows the scenario when water availability
in the dry season is reduced to 300,000 gallons.
Solution 10 presents the risk neutral case under this
scenario. Because of its high water requirement
(352,800 gallons/ha), the planted area of garlic is limited to 0.562 ha, or around 60% of that of the no water
constraint scenario in Table 5. Solutions 9 to 5 are
exactly same as those in Table 5. This indicates that a
reduction of 100,000 gallons of the available water has
little impact on crop choice, except in the risk neutral
case.
When water availability is reduced to 200,000 gallons, the farmer’s choices become very limited as
shown in Table 7. Because the two most profitable
crops of garlic and tomato are water-using in nature,
71
Table 7 Optimal Solution of MOTAD Model, Water in Dry Season = 200,000 gallons / ha
Solution no.
5
6
7
8
9
10
11
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
Wet season
Rice (ha)
Dry season
Tobacco (ha)
Tomatoes (ha)
Garlic (ha)
Mungbeans (ha)
Corn (ha)
Sweet peppers (ha)
Total
Labor input
Family (hours)
Hired (hours)
Total (hours)
Diversity index a
a
1.000
1.000
1.000
1.000
1.000
1.000
1.000
0
0.160
0.198
0
0.276
0.366
1.000
0
0.155
0.205
0
0.083
0.399
0.842
0.017
0.151
0.201
0
0
0.406
0.775
0
0.159
0.209
0
0
0.405
0.773
0
0.434
0.281
0
0
0
0.715
0
0.672
0.125
0
0
0
0.797
0
0.861
0
0
0
0
0.861
813
0
813
804
0
804
801
0
801
799
0
799
727
0
727
761
0
761
788
0
788
13.710
13.189
12.911
12.939
11.618
11.861
12.043
4.172
3.855
3.820
3.744
2.925
2.276
1.608
0.2 to 0.3 ha of land remains unplanted for the less
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
lack of adequate water.
VII Policy Implications
The results provided by this study demonstrate that
the selection of an optimal crop combination is sensitive to both risk and farmers’ attitudes toward risk. In
other words, risk can influence the decision-making
process of farmers.
It is important to breed varieties which are more
tolerant against environmental stress and to develop
cultivation techniques which stabilize yields.
However, to eliminate risk completely from agricultural production is impossible. Thus to promote agricultural development in less favorable areas, the farmers need to have higher risk management abilities than
those in irrigated areas. In addition, risk mitigating
programs are also necessary to support farmers in less
favorable areas for cultivation. To enhance risk management ability, providing information on weather and
price, and training in data processing and analysis are
important. The extent of risk averseness depends
greatly on the financial status of the farmer. Farmers
with substantial savings may choose a more risky plan
than those with few savings. Programs such as crop
insurance and relief loans could widen the choices
72
available to farmers with fewer savings.
This paper is a part of the results of the JICA counterpart
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
helpful comments of Hisataro Horiuchi, Tottori
University, and John S. Caldwell, Virginia Polytechnic
Institute and State University. Responsibility for any
errors remains with the authors.
References
(1) McFarquhar, A. M. M. (1961) “Rational
Decision-Making and Risk in Farm Planning:
An Application of Quadratic Programming in
British Arable Farming,” Journal of Agricultural
Economics, 14-4: 552-563.
(2) Camm, B. (1962) “Risk in Vegetable
Production on a Fen Farm,” The Farm
Economist 10: 89-98.
(3) Stovall, J. (1966) “Income Variation and
Selection of Enterprises,” Journal of Farm
Economics, 48-5: 1575-1579.
(4) Traill, B. (1978) “Risk Variables In Econometric
Supply Response Models,” Journal of
Agricultural Economics, 29-2: 53-61.
(5) Antle, J. (1987) “Econometric Estimation of
Producers’ Risk Attitudes,” American Journal of
Agricultural Economics, 69-3: 509-522.
(6)
Hassan, R. and A. Hallam (1990) “Stochastic
Technology In Programming Framework: A
Generalized Mean-Variance Farm Model,”
Journal of Agricultural Economics, 41: 196-206.
(7) Nanseki, T, and Y. Morooka (1991) “Risk
Preference and Optimal Crop Combinations In
Upland Java, Indonesia,” Agricultural
Economics, 5-1: 39-58.
(8) Ilocos Norte Provincial Profile (1993): Manila,
Philippines
(9) Hazell, P.B. (1971) “Linear Alternative to
Quadratic and Semi-Variance Programming for
Farm Planning Under Uncertainty,” American
Journal of Agricultural Economics, 53(1): 5362.
(10) Rainfed Lowland Rice Consortium (1993) Site
Characterization and Economic Evaluation of
Existing Crop Sequence - Farmers’ Field:
Manila, Philippines.
(11) Bureau of Agricultural Statistics (1994) Selected
Statistics on Agriculture in Region I-A: Quezon
City, Philippines.
(12) Freund, R. (1956) “The Introduction of Risk into
A Programming Model,” Econometrica, 24:
253-263.
(13) Bangko Sentral Ng Pilipinas (1992) “Selected
Philippine Economic Indicators,” 1992
Yearbook: Manila, Philippines.
(14) National Statistical Coordination Board (1994)
Philippine Statistical Yearbook 1994: Manila,
Philippines.
(15) Nanseki, T., A. Zakaria, S. Kosugi and Y.
Morooka (1989) Comparative Advantage
Analysis of Soybean in An Upland Area of West
Java: Case Study of Mathematical Programming
Approach, Report On JICA Technical
Cooperation With UN/ESCAP CGPRT Centre:
Bogor, Indonesia.
(16) National Statistical Coordination Board (1991)
The National Account of The Philippines:
Manila, Philippines.
(17) Forster, G. W. (1953) Farm Organization and
Management: Prentice-Hall, N.Y.
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.
I Introduction
Following Japan’s post-war economic development, Japanese language education has developed
with a growing number of students learning Japanese
around the world, especially in the Asian region. The
Japanese government has extended various types of
cooperation in areas such as human resources, materials, and funds, in an effort to support Japanese language education abroad. In the case of Indonesia, the
Japanese government started extending its assistance
to Japanese language education in the country not long
after the end of World War II. Since then, Japanese
language education in Indonesia has expanded, helped
by efforts coming from the Indonesian side as well as
the friendly economic and political policies of the two
countries. As of 1993, the number of Indonesian stu-
*
1.
dents learning Japanese at various institutions had
grown to approximately 70,000, coming fourth after
South Korea, China and Australia.1
Japanese language education will continue to play
a vital role in deepening the mutual understanding
between Japan and other countries such as Indonesia.
It is, therefore, very important for Japan to extend the
appropriate assistance and cooperation that bring
about further development of Japanese language education overseas. To do this, it is essential for Japanese
language education to be based on a new, bi-directional principle that aims at bilateral or multilateral understanding, rather than being based on the one-way
cooperation undertaken by Japan in the past.
In this article, the author would first like to use
Indonesia as an example to reflect on Japan’s assistance and cooperation in the area of Japanese language
education. Secondly, the author would like to analyze
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
the principles, and systems of assistance and cooperation that would facilitate mutual understanding
between Japan and other nations in international cultural exchanges. Thirdly, the author aims to propose a
way of assisting Japanese language education overseas, especially in Asia, based on the new principle.
II History of Japanese Language Education in
Indonesia and Japan’s Participation
1. Japanese Language Education in the Pre-war
and Wartime Periods
The first Japanese language class was organized in
1903 by a Japanese businessman (Chikara Nagayama)
who worked at the Batavia branch of an English trading company.2 It is said that the class was intended for
local Indonesians and was given by a Japanese
instructor invited from Japan. In Bandung in 1934,
the Japanese language was introduced into the local
education system as one of the foreign language subjects at the Institute of Ksatrian, a private school.3
Hiroshi Nagashima, a lecturer, was invited from
Japan, and among other things, he compiled Japanese
language textbooks.
During the Japanese occupation (1942-1945), the
Japanese language was made a compulsory subject
throughout primary and higher education. Adults
were also given Japanese classes, and Japanese rapidly
spread among the local inhabitants. The Japanese
army held up the “dissemination of the Japanese language” as the pillar of the language policy in
Indonesia and put its energy into drafting related laws,
training Indonesian teachers locally, and creating textbooks.4 The “dissemination of the Japanese language”
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; professors 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.
3.
4.
76
Jagatara Tomo no Kai (ed.), Jagatara Kanwa (Jagatara Idle Talk) (1978), pp. 19-20.
Kenichi Goto, Showaki Nihon to Indonesia (Propaganda and Teaching of Japanese in the Japan-Occupied Area)(1986), pp. 396-402.
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).
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
in Indonesia.
2. Development of Japanese Language Education
in Post-War Indonesia
Official foreign relations between Japan and
Indonesia commenced in 1958 when the JapanIndonesia Peace Treaty was concluded.
Simultaneously, a war reparation agreement was
signed between the two countries, and many
Indonesian students and trainees were given opportunities to visit Japan to receive Japanese language education. Moreover, technical cooperation based on the
Colombo Plan began to Indonesia. As part of the
cooperation, Japanese language specialists were dispatched to Indonesia in 1961.5
Japanese language education in Indonesia was
restored some 10 years after the end of the war. At the
same time, assistance and cooperation began. At that
point, however, language education was only supplemental and concomitant to a series of technical cooperation projects.6 Another reason for the revival of
Japanese language education was that there were all
sorts of expectations on the Indonesian side on Japan
which reemerged and developed in the very early
stages of the post-war period.7 Japanese language
education in Indonesia has grown over the last 40
years because of domestic efforts on the part of
5.
6.
7.
8.
9.
Indonesia, and because of Japan’s assistance and
cooperation. Major achievements are listed in Table-1.
The following is a summary of major achievements in Japanese language education over the last 40
years:
1) Japanese language education developed geographically from the capital and major cities to the rural
regions.8
2) Places for Japanese language education have varied
from specialized education at graduate schools to
TV broadcasts targeting the general public. In the
1990s, in particular, Japanese language education
has experienced an increase in the number and kinds
of students.9
3) As the quantitative growth of Japanese language
education has taken place (the introduction of
Japanese into high school education has been the
primary cause of this.), a deepening in the quality
has begun (in addition to the implementation of
Japanese language education at the graduate school
level, and strengthening of research through the formation of a Japanese language education society).
4) Systems on the Japanese side have gradually developed to extend assistance and cooperation (including the foundation of the Jakarta Language Center
by the Japan Foundation).
As shown earlier, Japan’s participation in Japanese
language education in Indonesia has changed over
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.
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.
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).
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).
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
time. Japanese language education that started in the
Meiji period as an individual pursuit experienced a
dark age of coercion during the occupation of
Indonesia, but was restored as part of technical cooperation programs after the war. Over some 50 years, it
has developed basically as part of cultural exchange
programs, helped by various types of assistance and
cooperation given by the government of Japan to
Indonesia.
III Analysis of Japan’s Assistance and
Cooperation Programs
At the governmental level, assistance and cooperation programs to Japanese language education in
Indonesia are currently undertaken by the Japan
Foundation, the Japan International Cooperation
Agency, the Ministry of Education, and other bodies.
The purpose of this section is to analyze programs
undertaken by the Japan Foundation, which plays a
pivotal role in assistance and cooperation to Japanese
language education abroad.
1. Japan’s Basic Stance on Assistance and
Cooperation, and the Content of Assistance and
Cooperation Programs
1.1 Japan’s Basic Stance on Assistance and
Cooperation
The Japan Foundation was established in 1972 as a
special legal entity under the auspices of the Ministry
of Foreign Affairs. The aims of the organization are
prescribed as follows in Article 1 of the Japan
Foundation Law (Law Number 48; June 1, 1972):
The purpose of the Japan Foundation is to efficiently carry on activities for international cultural
exchanges and thereby to contribute to the enhancement of world culture and the welfare of mankind,
with a view to deepening other nations’ understanding
of Japan, promoting better mutual understanding
among nations, and encouraging friendship and goodwill among the peoples of the world.
The content of its operation is described as below:
The Japan Foundation is to undertake the following activities in order to achieve the objectives listed
in Article 1:
(1) Invite and dispatch personnel who could serve
with the intention of international cultural
exchange;
(2) Assist to Japanese studies overseas as well as the
dissemination of the Japanese language
(Underlined by the author); (The middle parts have
been omitted)
(7) Other activities (Article 23) necessary to fulfill the
ultimate goal listed in Article 1
Moreover, the Japan Foundation Operational
Methods 1(Article 3 No. 3; 1974 Provision No. 2)
outlines how to carry out the “dissemination of the
Japanese language” as follows:
Dissemination of the Japanese language by training and dispatching specialists in language education,
researching teaching methods, and developing and
delivering teaching materials.” (Underlined by the
author)
What basic stance should concerned parties take
when implementing such activities? No written document stipulates this. However, as far as previously
issued reports are concerned, “local initiative” is recognized as the basic stance. “Local initiative” is the
stance taken in both the methods for conducting
Japanese language education and the request-basis
principle of assistance and cooperation.10 Local teachers should play a central role, and the contents of education and teaching materials should be developed by
local governments and institutions in line with the purpose and educational goals of learners.
Based on the above, Japanese language education
programs undertaken by the Japan Foundation can be
summarized as follows:
(1) As a part of international cultural exchange programs, the Japan Foundation implements the “dissemination of the Japanese language”.
(2) In order to implement the “dissemination of the
Japanese language”, the following three items:
human resources, teaching materials, and teaching
methods, need to be improved.
(3) The Japan Foundation assists and cooperates in
Japanese language education taking the basic
stance of “local initiative”.
1.2 Contents of Assistance and Cooperation Programs
This section deals with specific contents of assistance and cooperation programs undertaken by the
Japan Foundation for Japanese language education
overseas, particularly in Indonesia.
Table-2 shows the major subsidy programs that the
Japan Foundation headquarters and domestic organizations attached to the Japan Foundation are responsible for in the area of Japanese language education
overseas.
In the case of Indonesia, the Japanese-Language
Center was founded in Jakarta. Besides serving as a
liaison office in undertaking activities controlled by
Tokyo headquarters, the center implements its own
assistance and cooperation programs (Japanese language courses, libraries, teacher-training, various
kinds of consultation, teaching materials subsidy programs, etc.) according to the actual situation in the
country.11
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
quarters, domestic affiliated organizations, and overseas centers are being implemented in line with the
Japan Foundation Operational Methods, with the purpose of achieving the development and improvement
of human resources, teaching materials, and teaching
methods, etc.
Each recipient organization should apply for a particular subsidy program based on whether the program
in question is necessary for enriching its own human
resources, teaching materials, etc.
2. Problems in Assistance and Cooperation
Programs
In 1970, when a survey on Japanese language education overseas 12 was first conducted, it was reported
that there were 56,649 students learning Japanese language at 717 institutions (50 countries/areas) around
the world.
Twenty-three years later, a survey on overseas organizations teaching Japanese language conducted in
199313 found 1,620,000 students learning Japanese at
6,800 institutions (99 countries/areas). During this
period, the number of teachers also surged from 1,890
to 21,034. In the case of Indonesia, over the same
period, the number of institutions increased from 25 to
460, and the number of teachers grew from 84 to 998.
Unfortunately, the aggregated number of students who
learned Japanese during this period is not known.
However, it must be quite large, considering that there
were 2,236 students in 1970, and 73,248 in 1993.
Quantitatively, “dissemination of the Japanese language” has been quite successful. However, the question arises as to whether “dissemination of the
Japanese language” as a primary policy is effective in
promoting better understanding among nations and
encouraging friendship and goodwill among the peoples of the world. This question arises because facilitating Japanese language education from this perspective has a number of problems and limitations.
2.1 Problems Resulting from the Historical
Connotation of the Term “Dissemination of the
Japanese Language”
Before and during the World War II, “dissemination of the Japanese language” denoted coercive
Japanese (or national) language policies in Japanese
colonies and occupied areas. As mentioned earlier, in
Indonesia as well, the Japanese army drafted a regulation to outline educational strategy for disseminating
Japanese language,14 and forcibly introduced the language as the common language of the Greater East
Asia Co-Prosperity Sphere. Therefore, when the term
is placed in a historical context, it has the connotation
of cultural invasion, which is quite opposite to its
intended meaning of cultural exchange.
Moreover, there are still victims of the language
policies are still alive in various parts of Asia. They
continue to pass down the history of Japanese occupation to younger generations in detail. The term “dissemination of the Japanese language”, which the government of Japan proudly holds up as a policy for cultural exchange programs, still connotes cultural invasion to people in other parts of Asia, and there is a
clear gap between the way Japanese people interpret
the term and the way people in other parts of Asia
interpret it.
2.2 The Problem of “Dissemination of the Japanese
Language” Continuing to be the Central Policy
Dissemination of the Japanese language as a foreign cultural policy in the post-war era was modeled
after western countries, such as England, France,
Germany, and the United States, which had similar
policies for promoting their own languages. 15
Provided that “cultural exchange is aimed at facilitating the ties of friendship by deepening understanding
toward Japan among other nations as well as mutual
understanding between Japan and other countries
through cultural programs, and thereby contributing to
the welfare of mankind and global peace”,16 should
assistance and cooperation programs of Japanese language education be established around a more appropriate principle for greater development in the future,
rather than being centered around a one-sided, selfcentered framework, i.e. the “dissemination of the
Japanese language”?
The term “dissemination of the Japanese language”
is also inadequate in terms of further promoting “local
initiative”, which is the basic principle of the Japan
Foundation for extending Japanese language programs. Moreover, this self-centered perspective should
be altered now17 while there is a growing number of
foreign teachers striving for the development of
Japanese language education in their own countries.
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 independently 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
IV Japanese Language Education in Light of
International Understanding and Cooperation
1. Need for a More Adequate Principle
What kind of new principle should assistance and
cooperation programs for Japanese language education
overseas be based on in order to contribute to mutual
understanding and friendship?
First of all, a perspective of ‘cooperation’, not
‘aid’, should be emphasized. A perspective proposed
by Sumiya is suggestive and could be applied to
Japanese language education programs overseas:
...the most basic problem facing foreign assistance
is whether it is ‘aid’ or ‘cooperation’. In ‘aid’, the
donor is autonomous, while the recipient is dependent.
On the contrary, in ‘cooperation’, both the donor and
recipient are equal.18
It is important for Japan not to take the initiative,
but to proceed while establishing an equal and cooperative relationship with the other party.
Secondly, a perspective of “interactive international exchange” is essential. A point presented by Notsu
merits attention, that is
...what is most important for Japanese language
education in Asia is a principle that makes it clear that
dissemination of Japanese language education is
sought neither for national nor economic interests, but
to contribute to the bilateral exchange of universal culture and values.19
Measures need to be examined so that interactive
international exchange becomes feasible through the
Japanese language and language education.
The author would like to add the point that
Japanese language education should play a major role
in facilitating bilateral, multilateral, and international
understanding, namely, a standpoint that international
understanding is possible through the Japanese language and language education. In summary, there are
three key words when establishing a basic principle
for assistance and cooperation programs in the area of
Japanese language education, those being
‘cooperation’, ‘interactive international exchange’ and
‘international understanding’.
Japanese language education programs have
focused on increasing the number of students from the
perspective of the “dissemination of the Japanese language”. At the same time, Japan has taken a stance of
“local initiative”, basically a hands-off approach.
However, the number of students has grown and it is
time to give a more positive role to Japanese language
and language education and utilize them as effective
tools for international exchange and understanding.
2. Proposal of Specific Measures
In this section, several points are proposed based
on the new principle.
2.1 Strengthening the Cooperation System
Assistance and cooperation in the past were centered around Japan’s aid which included provisioning
of human resources, materials, and funds. Although
Japan took the basic stance of “local initiative”, past
assistance and cooperation cannot be regarded as truly
interactive, leading to international cultural
exchange.20 As mentioned earlier, it is necessary to
stress a perspective of ‘cooperation’, that is, Japan and
the other party collaborate on common ground, in
order to realize interactive programs for Japanese language education. In Japanese language education
abroad, it is particularly important to establish a close
cooperative relationship with non-native Japanese language teachers around the world.
To strengthen the cooperative relationship with
Indonesia, for example, three measures could be taken
with respect to human resources, teaching materials,
and teaching methods, which are key factors in
Japanese language education:
1) Strengthening cooperation in teacher training
2) Strengthening cooperation in teaching material
development
3) Strengthening the joint research system (Japanese
language studies, Japanese teaching methods studies)
2.2 Seeking International-Understanding-Oriented
Japanese Language Education
The objectives of Japanese language education
overseas are changing. In the past, Japanese studies
and Japanese language and literature studies were the
mainstay of Japanese language education. In recent
years, a growing number of junior and senior high
schools have introduced Japanese language education
as a part of cross-cultural education. Each country is
undertaking Japanese language education based on its
own needs. This is positive.
However, Japanese language education programs
need to have a syllabus that can facilitate international
understanding so that they may contribute to international cultural exchange in a more active way. So far,
various syllabi have been considered including grammar-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
and situational syllabis.21 It would be effective to prepare a new syllabis for Japanese language education
that promotes international understanding. For
instance, in the case of Indonesia, it is necessary to
examine how the contents of Japanese language education should be planned for both Indonesian and
Japanese people to deepen their understanding of each
other. The following perspectives should be incorporated into the drafting of a syllabus:
1) what Indonesians would like Japanese to know
about Indonesia
2) what Indonesians would like to know about Japan
3) what Japanese would like Indonesians to know
about Japan
4) what Japanese would like to know about Indonesia
If topics in a textbook are selected incorporating
these perspectives, not only would it help deepen
understanding toward Japan among Indonesians, but it
would also make it easier for Indonesians to convey
information about their country to Japanese. Needless
to say cooperation from both Indonesia and Japan is
essential for preparing an “international-understanding-oriented syllabus”.
2.3 Organizing Information Related to Japanese
Language Education and Establishing a Network
In order to realize bilateral international understanding and cooperation, information from around the
world regarding Japanese language education needs to
be shared freely and globally. If information in each
country about Japanese language education is organized and a network is established, it will become possible for each country to easily and quickly exchange
information on syllabi and teaching methods.
Moreover, multilateral exchange will be possible if
information, such as what textbooks are used in each
country, and compositions and speeches of students
can be gathered and exchanged. Such a network would
also be useful in helping Japanese to understand other
countries/cultures and in introducing Japan/Japanese
culture to others. More than ever, effort to make information available on Japanese language education and
to expand the network at the level of governments and
educational institutions are necessary to revitalize
Japanese language education.
2.4 Necessity of Asian Language Education for
Japanese to Understand Asia
Junior and senior high school and university students throughout Asia are striving to understand Japan
and to introduce their own nation to Japan by learning
Japanese. In contrast, foreign language education in
the Japanese educational system is centered around
Western languages. Interactive communication by
way of various languages would be effective for wider
cultural exchange in the future. In response to Asian
people learning Japanese, it is necessary to foster an
environment in which Japanese youths, who are the
torchbearers of Japan’s future, can learn Asian languages as well.22 Learning a language is the first step
toward understanding the other party.
V Conclusion
The era when “dissemination of the Japanese language” was the ultimate goal is over. Now it is time
for the Japanese language and Japanese language education to take a part in advancing international mutual
understanding and contributing to international cultural exchange. Fortunately, the overseas situation of
Japanese language education is becoming more favorable for the development of international cultural
exchange programs because there is a greater range of
students learning Japanese due to the introduction of
language education at junior and senior high school
level. It is strongly desired that assistance and cooperation programs by the Japanese government for
Japanese language education be based on a perspective of international understanding and cooperation
and that they respond to a new era.
When thinking about how Japanese language education should be conducted in Asia, particularly in
Indonesia, it is necessary to dispose of the old perspective of the “dissemination of the Japanese language”, to reflect on Japan’s past conduct, and to
proceed with new program development based on a
basic stance of international understanding and cooperation. Taking Indonesia as an example, this article
analyzed the principles and measures necessary for
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
CASE STUDY
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
Tomoko SAITO
Former Expert, Public Health Project in Malawi, Japan International Cooperation Agency
Kimiteru NAKAGAWA
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 firsttime 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.
*
83
I Introduction
The condition of public health in developing countries is, in general, far from satisfactory. This is especially true in the area of maternal and child health,
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,
for example, Asia and Africa, but also according to the
levels of development. As a result, medical cooperation 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
was made possible as part of a public health project by
the Japan International Cooperation Agency (JICA).
The primary objective of the project is to organize and
strengthen the laboratory examination section of the
Community Health Sciences Unit (CHSU). The project also aims at conducting public health activities in
the designated model district and simultaneously
enhancing the referral system between the CHSU and
the field. The foundation of the research on pregnant
women rests on three things: (1) antenatal women, the
primary targets of maternal and child health programs,
were determined to be the most suitable to study in
order to understand health conditions in the model district; (2) the laboratory examinations done as part of
the research were expected to contribute to strengthening 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
of the survey, identify problems, and suggest possible
countermeasures for overcoming these problems.
II Subjects and Methods
1. Subject
1.1 Target Area
The country of Malawi is divided into three parts,
the northern, central and southern part, and consists of
25 administrative districts (Figure-1). The target district of the survey is Salima in the central region.
Salima is located about 100km northeast of the capital
Lilongwe, and faces Lake Malawi. Salima has a population of about 240,000. A relatively large number of
cases of malaria, bilharziasis, and nutritional disorders
are found in the district. The major medical facilities
in the district include one district hospital, eight government-run health centers, and seven church-run
health centers.
1.2 Subjects of the Research
Pregnant women who visited the antenatal clinic at
the Salima District Hospital were chosen as subjects
of the survey. The target number of samples was set at
500, with the number of samples taken at one time
being limited to 30. The total number of days spent on
84
The
Northern
Region
Tanzania
Lake Malawi
N
Zambia
Mozambique
Salima
The
Central
Region
Lilongwe
Mozambique
National Boundary
Regional Boundary
District Boundary
0
50 100km
The
Southern
Region
Figure 1
Map of Administrative Division in Malawi
Note: The target district of the survey, Salima, is located
100 km northeast of the capital Lilongwe, and faces
the survey, over a 6-week period, was 17. The survey
took place from April 3 to May 9 of 1995. The subject
pool was, in principle, limited to new patients regardless of whether the subject was a primipara or a multipara. When the number of new patients did not meet
the target number of 30, patients with 2 visits or more
were included.
2. Method
2.1 Gathering Information on the Background of
Pregnant Women
First, all subjects were given explanations of the
purpose of the survey, the contents of the laboratory
examinations, and the confidentiality of the results.
Provided her consent was obtained, each woman was
asked to sign her name or put a thumbprint on the
agreement (Her thumbprint was used when she was
unable to sign her name). Consent was followed by
getting information about the backgrounds of the
women through interviews, medical examinations, and
counselling. The interviews, examinations and counselling were conducted at the antenatal clinic in the
Salima District Hospital by 3 maternal and child
health (MCH) nurses.
2.2 Laboratory Tests on Pregnant Women
Laboratory tests were conducted in an examination
room at the Salima District Hospital and included
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 (protein, sugar, occult blood, and schistosomiasis), and
preparation of a smear for a malaria test. These tests
were carried out by two technincal assistants, one
from the Salima district hospital and another dispatched by the CHSU, under the supervision of a
Japanese expert. Blood samples were gathered separately and brought back to the CHSU along with the
smears. The separation of serums in these blood samples was conducted that day so that both serum total
protein (TP) and rapid plasma reagin (RPR) tests
could be conducted the following day. In addition, a
microscopic test for malaria and a virus antibody test
were also carried out. These tests at the CHSU were
conducted by technical assistants from the facility
under supervision of a Japanese expert.
Examination of the urine for protein, occult blood
and sugar was conducted semi-quantitatively by using
multi-sticks. Examination of urine for bilharzia was
conducted by using the filter method, with less than 10
eggs in the entire scope rated as 1+, between 10 and
50 eggs as 2+ and more than 50 eggs as 3+. The Hb
level was measured by using a spectrophotometer. For
the malarial parasite test, a double-layered smear (thin
and thick) was prepared for microscopic analysis.
Rating was carried out following the scheme of 1 to 9
parasites per 100 scopes rated as 1+, 1 to 9 per 10
scopes rated as 2+, 1 to 9 per 1 scope rated as 3+, and
more than 10 per 1 scope rated as 4+. For the syphilis
test, an RPR test was conducted on all subjects, and an
additional TPHA (treponema pallidum hemagglutination) test was conducted on those who tested positive
for RPR. The serum TP test was conducted by using a
refractometer and albumin was measured by the BCG
method. Virological tests were all conducted by using
the serodia method, including hepatitis B-antigen
(HBs antigen), human T-cell leukemia virus 1
(HTLV1), and human immuno-deficiency virus (HIV)
tests.
85
Table 2 Breakdown of Abnormal Childbirth Cases (52 Cases)
Abnormality in mother
Number of cases
Abnormality 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
A questionnaire (Table-1) was prepared in order to
determine how the background of pregnant women
and their health conditions during pregnancy influenced the mother and child at the time of childbirth.
Each pregnant woman who received the laboratory
examinations was asked to carry the sheet with her.
The sheet was to be filled out by a midwife at the district hospital or at a health center, or by a traditional
birth attendant (TBA) who was present at the child’s
birth. The questionnaires were collected by MCH
nurses when mothers visited the clinic afterward. In
cases in which mothers were unable to visit, questionnaires were collected in villages. The collection of
questionnaires continued until the end of December
1995.
As shown in Table-2, outcomes of childbirth were
grouped into two categories: abnormal childbirths, in
which abnormalities were found in the mother and/or
neonate, and normal births, in which no abnormalities
were found. An analysis was made of the relationships
between outcome of childbirth and the mother’s background and examination results. Incidentally, abnormalities found in mothers included one case of re-hospitalization due to an unknown cause, and one case of
severe dizziness. Abnormalities found in neonates
included two cases of multiple malformations, and one
case each of septicemia, bulging of the major fontanel,
an abnormally large baby and deformation of the cranium. Cases that had influenced or might influence the
prognoses of mothers and neonates were included in
the abnormal childbirth category. In relation to the statistical analysis of disparities between the normal and
abnormal childbirth categories, a chi-square test and
test of average disparity (t-test) were done.
III Results
1. Summary of the Research on Pregnant Women
Five hundred and nine pregnant women were registered to participate in the survey, two of which were
86
later proved not to be pregnant and another 6, who
either took the questionnaire back home or refused to
have a blood sample taken. In the end, 501 women,
excluding these 8, became subjects. The percentage of
women who dropped out after their registration was
finalized was 1.6%.
2. Collection of Questionnaires
Three hundred and thirty one questionnaires
(66.1%) were collected after the completion of the
medical examination. As indicated in Table-2, there
were 52 cases (15.7%) of abnormal childbirth, either
for reasons concerning the mother or for reasons concerning the baby.
3. Background of Pregnant Women: Its
Relationship to the Survey Results and
Childbirth Outcomes
3.1 Breakdown of the Abnormal Childbirth Category
(Table-2)
Among the cases of abnormal childbirth, there
were 2 cases (0.6%) which resulted in the death of the
mother. In one case, the mother suffered from severe
diabetes; in the other, the woman’s husband died of
AIDS and she herself also had malaria, anemia (Hb:
10.3g/100ml) and HTLV1, and subsequently, died.
There were 16 cases (4.8%) which resulted in the
death of the child through stillbirth, miscarriage and
death after delivery. In the 2 cases where the mothers
died, their babies were born with abnormalities.
3.2 The Location of Delivery
A relatively large number of abnormal deliveries
took place either at the hospital or at a TBA. Most
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
difficult, however, to conclude whether higher risk
deliveries tended to be made at the hospital than in
other locations because not all questionnaires were
collected.
Table 3 The Relationship between the Location and the Outcome of the Delivery
Normal childbirth category
Delivery Location
Health center
6
Own house
Abnormal childbirth category
2
(2.2%)
(3.8%)
115 (41.2%)
15 (28.8%)
Hospital
95 (34.1%)
22 (42.3%)
TBA
61 (21.9%)
13 (25.0%)
Unknown
2
0
(0.7%)
52 (100%)
279 (100%)
Total (0.0%)
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
15 and below
Total
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.
3.3 The Place of Residence
Most women lived in the areas surrounding the
Salima District Hospital. In areas where a health center was nearby, women were more likely to go to that
center. Because the women had no means of transportation and had to walk, the degree of difficulty in
accessing a particular medical facility, especially due
to distance, was the key in deciding what facility to
utilize. In this survey, the authors found no relationship between where women lived and the outcome of
their delivery.
3.4 Age Distribution
Although no women under the age of 15 were
included in the survey, there were 79 women between
the ages of 15 and 19, which accounted for 15.8% of
the total (Table-4). There were 11 women who were
above the age of 40. Assuming that those women
whose age was unknown were over 40 years old, the
age range in the sample population was relatively
wide. Comparing the percentage of abnormal childbirths to that of normal childbirths in each age category, women between 15 and 19 had the highest percentage of abnormal childbirths (The percentage of abnormal childbirths in this group was higher than other categories by p<0.05). Considering these results, being
very young during pregnancy should be considered a
high risk factor in childbirth.
3.5 Level of Education
In the sample population, 45.1% of the women had
some elementary education: 18.4% finished standard 1
through 4 and 26.7% had completed standard 5
through 8 (Table-5). However, 49.3% of the women
had never enrolled in school, which reflects the overall
low rate of school attendance in the country. A comparison of childbirth outcomes of those who had
attended school and those who had not proved to be
statistically insignificant. However, it is noteworthy
that the percentage of those who did not enroll was
relatively high in the abnormal childbirth category.
The authors suggest the possibility of a connection
between whether a woman received some form of formal education , the level of that education and the outcome of childbirth.
3.6 Religion
The religion followed by most people in the survey
was Christianity (63.0%), followed by Islam (22.0%)
and indigenous religions (13.8%). The surveyed area
has slightly more Muslims than average for the country. The percentage of followers of Islamic and indigenous religions in the abnormal childbirth category was
marginally higher than that in the total survey population.
3.7 Marital Status
There were 11 single women (2.2%) who either
87
Table 5 Level of Education by Category
Level of education
Total
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%)
Table 6 Occupational Classification of Husband by Category (Classification based on the Malawi Code
Total
Code classification
1
19
2
94 (19.2%)
3
8
(3.9%)
(1.6%)
12
(4.4%)
54 (19.8%)
4
(1.5%)
2
(3.8%)
8 (15.4%)
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
did not have a husband or whose marital status was
unknown. In addition to the above, there was one case
in which the husband was killed in an accident during
the pregnancy. Of women who had normal deliveries,
2.1% were single. All the women who had abnormal
childbirths were married.
3.8 Occupations of the Women
Most of the women (95.6%) answered housewife
as their occupation, with a few answering teacher,
clerical worker, and typist. The number of women
who held occupations other than housewife was 13
(4.6%) in the normal childbirth category and 3 (6.3%)
in the abnormal category.
3.9 Occupations of the Women’s Husbands
In order to classify the occupations held by the
women’s husbands, the authors employed a code classification method which is used in Malawi, modifying
the occupational classifications (Table-6). Generally,
the number of unemployed husband was considerablly
88
high (code 8), and if these husbands was employed,
the job was, in many cases, unstable. Although the
percentage of agricultural workers (code 6) was high
in the abnormal category, overall, there were few disparities between the two categories.
3.10 Total Number of Pregnancies
Figure-2 shows the total number of pregnancies
including the current one. There were 109 cases
(21.7%) of first-time pregnancy, which was the most
common, followed by a second pregnancy and a
fourth pregnancy. The highest number of pregnancies
was 16. Whereas the first-time pregnancy made up 46
cases out of 279 normal childbirths (16.5%), abnormal
childbirths among first-time pregnancies surged to 21
cases out of 52 (67.8%). It appears that first-time
pregnancy is a high-risk factor.
3.11 Previous History of Stillbirth and/or Miscarriage
As indicated in Figure-3, 16 women had stillbirths
in the past (19 cases in total). This accounted for 4.1%
*4-
120
109
Number of women
100
81
77
80
86
60
49
40
34
23
20
19
8
8
3
0
1
2
3
4
5
6
1
1
7 8 9 10 11 12 13
Number of pregnancies
1
0
1
14 15
16
Figure 2 Total Number of Pregnancies among Subjects
50
45
42
Number of women
40
35
Stillbirths
30
Miscarriages
25
20
15
15
10
7
6
5
0
0
1
0
2
3
Number of stillbirths and miscarriages
1
0
4
Figure 3 Frequency of Stillbirth and Miscarriage among Subjects
of 392 pregnancies, if first-time pregnancies are
excluded. Similarly, 55 women had previously had
miscarriages (74 cases in total), which accounted for
14% of 392 pregnancies. As to the relationship
between a history of stillbirths and miscarriages, and
the outcome of childbirths, the total number of stillbirths among multiparae in the normal childbirth category was 7 cases among 7 women (3.0%). In the
abnormal childbirth category there were 6 cases
among 3 women (19.4%). Similarly, the total number
of miscarriages among multiparae in the normal childbirth category was 41 cases among 31 women
(17.6%), whereas that in the abnormal childbirth category was 12 cases among 6 women (38.7%).
Obviously, a history of stillbirths and miscarriages is a
significant risk factor.
3.12 Number of Children
Table-7 shows the number of children belonging to
women in the study in three categories: children born
(excluding stillbirths and miscarriages), surviving
children, and dead children. The category of “surviving children” represents those who are still alive
among all children born, and the category of “dead
children” constitutes those who died for some reason
by the time of the present survey. The total number of
dead children was 331, which accounts for 26.2% of
all children born 1264 (i.e. infant mortality index of
262). The number of surviving children per mother in
the normal childbirth category turned out to be 2.1 (±
1.7), whereas that in the abnormal childbirth category
was 1.3 (±1.7). Clearly, the number of surviving children of the abnormal childbirth category was significantly fewer (p<0.05).
3.13 History of Complications during Pregnancy
Complications during previous pregnancies included premature delivery (15 cases), bleeding after delivery (9 cases), Cesarean section (8 cases), and two
cases each of difficult labor, retention of placenta, and
pre-eclampsia. Although answers to this question
sometimes included more than 2 complications, the
89
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.
percentage of the women who had had any complications during previous pregnancies was 10.2% of a total
of 392. More women had a history of developing complications in the abnormal childbirth category.
3.14 History of Systemic Diseases
Having a history of systemic diseases included 4
cases of tuberculosis, 5 cases of STDs, 1 case each of
high blood pressure and diabetes, 10 cases of blood
transfusion (2.0%), and 7 cases of urinary surgery
(1.4%). More women in the abnormal childbirth category had a history of systemic diseases.
3.15 Diseases during the Current Pregnancy
The most common disease contracted by the
women during the current pregnancy was malaria,
with 150 cases (29.9%). Besides malaria, there were
50 cases of diarrhea (10%). Altogether, 43.9% of the
total survey population developed some kind of illness
during their pregnancy. The survey showed that slightly more women in the abnormal childbirth category
were infected by some kind of disease during this
pregnancy.
3.16 Family Background
One hundred twenty-three pregnant women
(24.6%) answered that they had twins in their family.
This was thought to result partially from a vague definition of family and its extent. There proved to be no
difference between normal and abnormal delivery categories in terms of family background.
90
4. Laboratory Examinations Records: Results and
their Relationship to the Outcome of Childbirth
4.1 Albuminuria (Table-8)
In the urine test, protein was detected in 39.7% of
the pregnant women. In particular, 10.2% were rated
as 2+ and above. More cases of albuminuria were recognized in the abnormal childbirth category than in
the normal category, with 46.1% in the former and
38.1% in the latter.
4.2 Diabetes (Table-8)
There were only 3 cases in which sugar was found
in the urine. In particular, one woman who was known
to have diabetes was rated as 4+ during her pregnancy.
The follow-up research found both she and her infant
had died. Severe diabetes is the riskiest factor in childbirth.
4.3 Occult Blood (Table-8)
There was a high incidence of occult blood in
urine, accounting for 15.6% of the total population.
This is believed to be closely connected to bilharziasis.
4.4 Schistosomiasis (Table-8)
Bilharzial eggs were found in the urine of 15.2%
of the pregnant women. However, no significant relationship was proven between schistosomiasis and the
outcome of delivery.
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
Table 8 Results of Urine Tests by Category
Total
0
302 (60.3%)
173 (62.0%)
28 (53.8%)
1+
148 (29.5%)
85 (30.5%)
19 (36.5%)
Urine test
Albuminuria
Diabetes
Occult blood
in urine
Bilharzial
egg in urine
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%)
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%)
2+
9
(1.8%)
4
(1.4%)
2
(3.8%)
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%)
2+
14
(2.8%)
3
(1.1%)
2
(3.8%)
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 2: In each test, ratings from 1+ to 4+ represent the degree of positive reaction (For the criteria used, please refer to the text).
anemia in pregnant women (Figure-4). There were 7
cases of serious anemia with the hemoglobin level
being lower than 7.0g/100ml. With respect to the relationship between hemoglobin level and the outcome of
childbirth, the average hemoglobin level in the normal
childbirth category was 10.9±1.4g/100ml, whereas
that in the abnormal childbirth category was 10.5±
1.6g/100ml, which is slightly lower.
4.6 Serum Protein
The authors surveyed serum total protein with the
purpose of examining the conditions of undernourishment. However, there were few cases indicating significant hypoproteinemia. Surprisingly, there were
some unexpected cases of hyperproteinemia. The
authors, therefore, conducted an additional survey to
look into the protein albumin level, but a high frequency of hypoalbuminemia was not found. There
were only 16 cases (3.2%) in which the level was less
than 3.0g/100ml. The authors found no significant
connection between the outcome of delivery and the
serum total protein level, albumin level, globulin
level, or the A/G ratio.
4.7 Malaria
Table-9 shows the percentage of malaria parasites
detected in blood smears. The overall positive rate was
as high as 21.6%. It is also noteworthy that there were
9 cases (1.8%) of 3+. A comparison of the frequency
of a positive reaction to malaria tests between the normal and abnormal childbirth categories produced a
significant difference (p<0.05), with 19.1% in the normal category and 34.5% in the abnormal category.
Accordingly, malaria infection during pregnancy is
also a high-risk factor for abnormal delivery.
4.8 RPR and TPHA
The authors undertook the RPR test as a screening
test for syphilis infection and discovered 44 cases
(8.8%) of positive reaction. Because infection by other
diseases such as malaria will cause the same reaction,
the authors conducted an additional test of TPHA. As
a result, 14 out of 44 (31.8%) tested positive in the
TPHA test, which accounted for 2.8% of the total pop-
91
−5.0
3
1
5.1−6.0
Concentration of Hb (g/100ml)
6.1−7.0
3
17
7.1−8.0
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
4
14.1−15.0
15.1−16.0
1
16.1−17.0
1
Not tested
1
0
20
40
60
80
Number of women
100
120
140
Figure 4 Hemoglobin Concentration of Subject Women
Table 9 Results of Malaria Tests by Category
Malaria test
Total
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 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).
ulation. Among those who had a positive reaction to
the RPR test, slightly more women were classified in
the abnormal childbirth category. Two women who
tested positive to the TPHA test were in the abnormal
childbirth category.
4.9 Virological Tests
The number of women who had positive reactions to
HBs antigen, HTLV1, and HIV tests was 32 (6.4%),
13 (2.6%), and 101 (20.2%), respectively (Figure-5).
Frequency of a positive reaction to HBs antigen was
relatively high and that for HIV was significantly
high. The percentage of those who tested positive for
HBs antigen and HTLV1 was higher in the abnormal
childbirth category. However, the percentage of those
tested positive for HIV was not much different
between the two categories.
92
IV Discussion
1. Outcome of the Research
Although this survey is limited to the health conditions of pregnant women in Salima, it represents the
general conditions of pregnant women that can be
found, not only in other parts of Malawi, but also in
any developing country. For example three characteristics which are shared by many women are: 1) the age
of pregnant women ranges widely from 15 to over 40
years old; 2) their level of education is generally low,
and a relatively high percentage do not receive any
formal education; and 3) a large number of their husbands have an unstable job or are unemployed.
In looking at the history of pregnancy, the total
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
89!*+45>?!*+45
(%)
100
13
(2.6%)
32
(6.4%)
90
101
(20.2%)
80
(+)
(–)
70
60
50
40
30
20
10
469
(93.6%)
488
(97.4%)
400
(79.8%)
HTLV1
HIV
0
HBS-Ag
Virological test
Figure 5 Results of Virological Test
born was also high, and it is important to note that
26.2% of these had already died. It also became clear
that the women were frequently infected with malaria
or had diarrhea, and that they were constantly being
exposed to the dangers of diseases.
Through the course of various clinical urine tests,
it was found that many pregnant women had positive
occult blood, and 15.2% of women had schistosomiasis. As to hemoglobin, there were a large number of
women who had very low hemoglobin level. In fact,
more than half of the women had anemia with a below
standard hemoglobin level. In cases of severe anemia
with an extremely low hemoglobin level, immediate
action is necessary; otherwise the life of the mother is
at risk. The authors measured serum total protein in
order to assess the nutritional health of pregnant
women. Relatively few cases of hypoproteinemia were
found, but there were some cases of hyperproteinemia.
This was assumed to be the result of an increase in the
serum globulin concentration due to chronic or repeated infection by diseases such as malaria. Based on this
assumption, the authors conducted an additional investigation of the serum albumin concentration. Only a
small number of cases of hypoalbuminemia were confirmed. There were a large number of cases in which
the serum globulin concentration was high. In short,
the result of the serum protein test confirmed that
hypoalbuminemia, which is a sign of chronic malnutrition, was rare and that the increase in hyperglobulinemia was caused by repeated or chronic infection.
During the course of the survey, it was revealed
that 29.9% of the antenatal women had a history of
malaria. 21.8% also showed positive in the malaria
test that was done at the time of the survey. Malaria
infection is usually accompanied by severe anemia,
and can result in a high frequency of low birth weight
babies. Severe malaria infection is an extremely risky
factor in childbirth; thus, it is an issue that needs to be
dealt with promptly and appropriately.
To screen for syphilis, one of the common STDs,
the authors conducted the RPR test. Next, those who
had a positive reaction to the RPR test were given the
TPHA test. Although 8.8% tested positive in the RPR
test, only 31.8% of those had a positive reaction to the
TPHA test. As a whole, only 2.8% of all pregnant
women were confirmed to be infected with syphilis.
This result is in line with some reports that the rate of
syphilis infection in developing countries has been on
a downward trend in recent years. It is also thought to
reflect the STD infection control plan that has been
implemented as a part of HIV countermeasures.
In relation to various virological tests, the number
of the pregnant women who tested positive in the HBs
antigen test was greater than expected. The percentage
of HIV positive women was as high as 20.2%. More
than 40% of pregnant women in urban areas are
infected with HIV. Not only do these women suffer
from health problems associated with the disease, but
they also face socioeconomic problems. As to HIV, it
is necessary to seek measures based on the analysis of
the relationship between the disease and the socioeconomic background of patients.
2. The Influence of Background and the Course of
the Pregnancy on the Outcome of the Delivery
As a part of the survey, the authors conducted an
analysis of how the course of the pregnancy influenced the outcome of the delivery by collecting the
questionnaires that had been distributed to the women
at the time of their medical examination. Collecting
the questionnaires was a difficult task because it
required actually going around to villages to collect
them. Fortunately, the retrieval rate turned out to be
66.1%, which is high. Most of the questionnaires were
93
collected from women who had delivered at the hospital or a health center, and therefore it was easier to follow-up on these cases. There may, therefore, be some
disparities between the collected and uncollected
questionnaires.
Statistics show that the mortality rate of antenatal
women is as high as 604 (per 100,000 childbirths) and
the infant mortality rate is also as high as 48 (per
1,000 childbirths). In fact, during the short period of
our survey, there were 2 cases where the mother died
from delivery and there were 16 cases of child death.
Considering that the conditions for those whose questionnaires were not collected were relatively poor,
these figures are expected to be worse for the population as a whole.
In looking at the background of the pregnant
women, the percentage of women between the ages of
15 and 19 was significantly higher in the abnormal
childbirth category, and therefore it was concluded
that delivery at a young age was a high risk factor. In
considering the level of education, the abnormal category tended to include a larger percentage of those
who had never enrolled in school. Thus, it is indicated
that there is a close connection between level of education and health issues. In looking at the total number
of pregnancies, first-time pregnancies showed an
extremely high risk of abnormal delivery. This suggests that first-time pregnancy in youth is the riskiest
factor in childbirth. Having a history of miscarriage
and stillbirth was also found to be significant in the
abnormal childbirth category. Moreover, having had
complications and systemic disease in previous pregnancies and sickness during the current pregnancy
were more prevalent in the abnormal childbirth category than in the normal childbirth category. In short,
background factors such as being very young in age,
having no formal education, first-time pregnancy, and
having a medical history of miscarriages, stillbirths
and complications during pregnancy increase the likelihood of abnormal delivery
Now the authors would like to look at how the
results of the laboratory examinations influenced the
childbirths. Malaria infection and diabetes are obviously risk factors. In particular, diabetes is extremely
dangerous. A case of true diabetes with a 4+ rating
resulted in the death of both the mother and the infant.
Albuminuria, low hemoglobin concentration, syphilis
infection, HTLV1 infection, and HBs antigen infection also tended to be more prevalent in the abnormal
childbirth category. However, there were no differences between the two groups in terms of occult blood
in urine, schistosomiasis, various serum protein concentration, or HIV infection. According to the results
of this survey, the clinical factors that negatively influence delivery include a number of infectious diseases
excluding schistosomiasis and HIV, diabetes, and
albuminuria.
94
3. Proposed Measures for Improving the Outcome
of Childbirth
Based on the findings of the survey, the authors
made the following proposals based on the principle
of providing more appropriate care for pregnant
women who visit the Salima District Hospital. At the
same time, the authors implemented project activities
such as case management based on principlesd of
technical cooperation. The authors proposed: 1) providing appropriate guidance in nutrition and sanitation
because these areas contributed to the frequent occurrence of abnormal deliveries among young mothers
and mothers who have no formal education; 2) taking
necessary measures for those who have a history of
complications, miscarriages and stillbirths because
being at high risk, they are most likely to have an
abnormal delivery; and 3) taking aggressive measures
to improve the delivery system of medical services by
improving the consultation system for those in high
risk groups, improving the transportation system so
that those in high risk groups can be transferred to a
better medical facility at the time of delivery, and
improving the medical facilities of hospitals and
health centers, given that problems are found in the
system. In relation to the above proposals, this project
has already provided necessary equipment for consulting with pregnant women and delivering babies,
including a radio communication system.
Dealing with malaria infection in antenatal women
is vital. A blood smear should be performed during the
first consultation to screen for malaria infection.
Those who have a positive reaction should be treated
immediately. If a mother suffers from persistent anemia, the possibility of malaria infection should be
investigated. Because diabetes is not common, it is
sometimes overlooked. However, it is definitely one
of the riskiest factors to delivery. It is desirable to
examine urine along with other tests on every pregnant woman. If a case of true diabetes is found, it is
important to take the necessary measures to gain control over the condition.
Although it was not made clear during the course
of this survey, anemia is thought to be the most common illness during pregnancy, and to have a negative
impact on childbirth. Therefore, it is recommended
that hemoglobin tests be conducted on all pregnant
women in the first consultation, and that they receive
iron. If the hemoglobin level is less than 11.0g/100ml,
an additional test should be done in the following visit
to make sure that the condition has not deteriorated.
When a woman has severe anemia with a hemoglobin
level of less than 7.0mg/100ml, she should be immediately hospitalized. As for STDs, in particular syphilis
infection, the VDRL (venereal disease research laboratory) test and RPR test are recommended from a
practical point of view. These tests, unfortunately, frequently 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,
it is practical to give treatment for syphilis to those
who test positive to either the VDRL test or the RPR
test. Schistosome infection did not seem to directly
influence childbirth. It is, however, a disease that can
be treated relatively easily and so immediate treatment
should be undertaken.
HIV infection presents a big challenge at present
because of its impact on childbirth. It is a struggle
dealing with it because it is a disease for which no
appropriate remedy has yet been found, and for which
the carrier’s prognosis is unsatisfactory. Moreover,
pregnant women are usually very sensitive about the
infection, and many even refuse to take the test. At
this stage, it is extremely difficult to tackle the issue as
it affects antenatal women. Rather, it is necessary to
cope with it within the framework of AIDS control
programs targeted at the general public.
As mentioned above, the authors presented the
basic principles for the appropriate case management
for pregnant women. At the same time, the authors
took several concrete measures in line with these principles including providing a spectrophotometer necessary for measuring hemoglobin level, a stocker for
keeping samples, test reagents, anti-malaria medicine,
and iron. In addition, based on their acknowledgment
of the importance of health education for pregnant
women, the authors provided the IEC (information,
education and communication) equipment, and assisted in training health workers. From a perspective of
technical cooperation, the authors attached greatest
importance to strengthening the clinical examination
system which was one of the primary goals of the project, and strove, not only to transfer knowledge and
technology, but also to establish a reliable examination system.
4. Future of the Project
The health conditions of pregnant women are
closely related to social, economic and cultural factors
and in a poor country like Malawi, it is very difficult
to improve their health conditions thoroughly. This is
especially true in a country like Malawi, where poverty is prevalent. In general, factors influencing the
prognosis of mothers and children fall into two
groups: factors surrounding the mother’s health such
as nutrition and infection, and the response of medical
providers. In addition to factors directly attributed to
poverty, such as malnutrition, anemia, infection, overwork, and high birthrates, the factors surrounding the
mothers health also include having a lack of knowledge about health because of a lack of formal education and a dependence on traditional medicine. The
clue to an effective way of resolving these issues has
not even been found yet. It is difficult, at least within
the limits of this project, to break this structural barrier
as provision of primary health care is aim of the project.
Activities to improve the prognosis for pregnant
women and infants from a perspective of providing
public health services include practical measures such
as case management and health education, as mentioned earlier, and technical cooperation including the
establishment of an emergency referral system by setting up a communication system and providing ambulances. Malawi is one of the 10 poorest countries in
the world, and its economic as well as human
resources are very limited. It is very important that a
series of cooperation efforts be continued in the future,
balancing effectiveness against expense and determining project priorities by identifying risk factors as has
been done in this survey.
Acknowledgments
In conclusion, the authors would like to take this
opportunity to express gratitude to the staff of the
Community Health Science Unit of Malawi and the
Salima District Hospital, who offered their generous
cooperation in the course of the survey.
The gist of this paper was presented at a workshop
entitled “Maternal and Child Health Project” held during the 12th Conference of International Public Health
(July 27, 1997, Yuki City, Japan).
Bibliography
1. Burnham, G. M. and J. Baker, “Do antenatal clinics benefit mother and child?,” Malawi Medical
Journal 16 (1) (1983), 12-15.
2. Clotti, M. (MOH/WHO), Syphilis and HIV Seroprevelance Survey in Rural Antenatal Women
Report from a 1993 Field Study (Malawi: 1994).
3. MOH, Mortality and Maternal and Child Health
(Malawi: 1987).
4. MOWCACS, UNICEF, and UNDP, Situation
Analysis of Poverty in Malawi (1993), pp. 159176.
5. Nyirenda, T., G. S. Cusack and B. M. Mtimuni,
“The effect of mother’s age, parity and antenatal
clinic attendance on infant birth weight,” Malawi
Medical Journal 7 (3) (1991), 110-112.
6. Sangala, V., “Maternal deaths in 1990 at Kamuzu
Central Hospital,” Malawi Medical Journal 8 (1)
(1992), 24-28.
7. Wiebenga, J. E., “Maternal mortality at Queen
Elizabeth Central Hospital, 1989 to 1990,” Malawi
Medical Journal 8 (1) (1992), 19-23.
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.
I Introduction
Technology transfer as a part of international
cooperation is aimed at training personnel for development in developing nations. Japanese technical experts
are not international development professionals, but
are government officers and engineers in private companies. Therefore, it is vital to train personnel taking
part in technology transfer. It takes some time before
it becomes apparent whether an international development project will be successful, especially in the area
of technology transfer. Whether those taking part in
technology transfer can adapt themselves to the local
community or assigned institution and proceed
smoothly with the assignment is of vital concern. It is
not simply an issue of concern to a particular individ-
*
ual, but will deeply affect the success or failure of an
international development project.
Organizations in highly developed and newly
developed nations that are dispatching experts and
volunteers are greatly concerned about how an individual taking part in technology transfer adjusts to the
local community and the assigned organization,
because the individual’s adaptation closely relates to
whether that person will be able to carry out his/her
task smoothly, and whether the technology transfer
will succeed. Previous research on people participating in international cooperation was conducted around
the following three goals:
1) To ascertain personal factors that could be used as
criteria for selection; i.e., what index can be used to
predict desirable adaptation.
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
i.e., what skills should be taught during pre-dispatch
training and what type of orientation should be conducted.
3) To identify situational factors in the technology
transfer process, which may affect adaptation; i.e., differences between organizations, inter-personal relationships, culture, etc.
Cross-cultural adaptation of those involved in technology transfer is one of the leading factors in the success of international development projects.
Accordingly, many studies have been conducted on
this topic. In this article, the author takes an overview
of the definitions and indices of cross-cultural adaptation found in previous research, and examines future
challenges facing the study of cross-cultural adaptation that leads to more successful technology transfer.
Among Governmental international aid organizations,
there are differences in the purposes for which experts
are dispatched and in the international aid systems of
each country. This article focuses on surveys of
Japanese experts and Japan Overseas Cooperation
Volunteers (JOCV) as well as studies on experts sent
by the Canadian International Development Agency
(CIDA) and volunteers sent by the American Peace
Corps (APC). Both CIDA and APC have similar goals
and systems of dispatching personnel to those of
Japan.
II Definitions and Indices of Cross-cultural
Adaptation
Definitions and indices of cross-cultural adaptation
have always been an issue for researchers in this area.
For instance, Ruben and Kealey, in their study of
Canadian technical transfer, defined and measured
cross-cultural adaptation based on three aspects: culture shock, psychological adaptation, and interpersonal relationships.1 Hawes and Kealey based on their
research proposed that overseas effectiveness is composed of the following four factors.2
(1) Personal/Family Adjustment and Satisfaction: satisfaction with living overseas, adjustment as a family
unit and successful coping with day-to-day life overseas, etc.
(2) Intercultural Interaction: interacting with local
people and making local friends, learning the local
language and non-verbal communication, etc.
(3) Task Accomplishment: job commitment and
achievement of daily tasks, responsibilities, and trans-
1.
2.
3.
4.
5.
98
fer of specific concrete skills to local people, etc.
(4) Transfer of “Software”: transfer of global knowhow by which people manage, control, operate and
maintain the complete system of a technological field.
There is no denying that to use certain indices for
the purpose of understanding cross-cultural adaptation, which concerns an entire individual, will result in
the exclusion of many aspects of adaptation represented by other indices in the research. Also, in some studies, a particular variable may be regarded as an independent personal factor, whereas in other studies, the
same variable may be treated as a dependent variable.
This is particularly true when a personal factor is used
as an index for adaptation. For instance, if the particular personal variable changes over time, it is treated as
a dependent variable. This means there are many cases
of correlation among dependent variables as well as
among explanatory variables. For example, Benson
listed the following as indices of adaptation: language
ability, communication skills,3 personal relationships,
positive cultural activities, a friendly attitude, displaying socially acceptable behavior, accomplishing the
assignment, open-mindedness, politeness, satisfaction,
and mobility.4 Certainly, an individual who is well
adjusted to the local community can speak the local
language to some extent. However, it does not necessarily 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
not sufficient enough to explain the state of adaptation. It is expected that there is a certain combination
of explanatory variables required to fully explain
cross-cultural adaptation.
Cross-cultural adaptation is a complicated process
for which researchers have not succeeded in finding
definitions or indices on which they can agree. Indices
used repeatedly in studies focusing on sojourners have
been based on the premise that the adaptation process
is a process in which an individual is satisfying his/her
needs, and further, that the indices represent psychological stability, indicated by such things as satisfaction and fulfillment.
III Outline of Research on Japanese Involved in
International Cooperation
1. Research on Japanese Experts
With regard to the adaptive ability of dispatched
experts, one study classifies aptitudes based on the dif-
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.
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).
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)].
P. G. Benson, “Measuring cross-cultural adjustment, the problem of criteria,” International Journal of Intercultural Relations 2 (1) (1978), pp. 21-37.
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).
ficulties experienced by experts, and analyzes aptitudes according to the results of the surveys.5 The
study conducted by Kaigai Consulting Kigyo Kyokai
in 1978, “A Questionnaire Survey on Dispatched
Experts” (Questionnaires were sent to repatriated
Japanese experts and 360 responded) classified factors
that facilitate adaptation into seven categories: natural
environment, material environment, social environment, personal relationships, assignment, post-repatriation, and children’s education. The study also divided
the factors into two sets: personal factors (age, occupation, educational background, qualifications, the
numbers of children and their ages, previous experience in international development projects) and nonpersonal factors (dispatching organization, designated
area, length of service, recipient organization). The
relationships between the above factors and the difficulties facing the experts were then analyzed. The survey results indicated that age, experience and length of
service strongly affect adaptation. It is also necessary,
when dispatching experts, to take this into consideration that issues concerning the family are inevitable
regardless of whether or not an expert is accompanied
by his/her family.
Another survey on dispatched experts conducted
by Kumara et al. 6 analyzes the characteristics of
experts as leaders which influence performance
improvement in technology transfer based on contingency models.7 A questionnaire survey on the behavioral competence of Japanese experts was given to
participants for JICA’s technical training in Japan
(116 participants responded). It was found that the
most influential factors contributing to the technical
development of local staff were consideration behavior and structural behavior. The language capability
and the expatriate’s recognition by local staff also
played significant roles.
2. Research on Japan Overseas Cooperation
Volunteers
The Secretariat for JOCV published a report, “A
Questionnaire Survey Report on Pre-assignment
Training for Japan Overseas Cooperation Volunteers”
8. A questionnaire which included many questions on
the actual conditions of volunteers’ lives was sent to
all volunteers who were serving overseas in 1991 (895
responded). A survey targeting JICA/JOVC office
staff abroad (111 responded) was conducted simultaneously in order to objectively assess volunteers.
Issues raised by volunteers were related to assignment
and included the lack of technical skills and language
proficiency, and human resource/equipment shortages
at the assigned organization. On the other hand, the
issues raised by overseas office staff were problems
with volunteers with regards to technical skills, language proficiency, negotiation skills, clerical skills,
and problem-solving skills. There seemed to be a difference in understanding between volunteers and
office staff as to where the problems lay in carrying
out assignments. In short, volunteers perceived that
external factors were also responsible for the problems
although they held themselves responsible to a certain
extent, whereas office staff recognized problems only
on the side of volunteers.8
There is an anthropological study on volunteers’
activities in the Philippines, Malaysia, Kenya,
Ethiopia, and Bangladesh.9 It describes how volunteers
were strongly bound by Japanese notions even though
they were away from home and leading a life in totally
new surroundings. It also reported how difficult it was
to change cultural patterns once ideas and emotions
had been prescribed by an individual’s own culture.
One survey tried to clarify the process of the formation of a more international outlook among
Japanese from the perspective of globalization based
on research on Japanese business people and Japan
Overseas Cooperation Volunteers abroad. Interviews
were conducted with volunteers who were serving in
Kenya, Malawi, and Zambia, and questionnaires were
given to repatriated volunteers.10 It was assumed that
an ability to speak the language, communicate well,
and adjust to the community were essential to accomplishing an assignment.
Volunteers on service and repatriated volunteers
had different opinions on the importance of language
ability. Repatriated volunteers thought they had made
up for their insufficient language ability with their
physical strength, personality and enthusiasm, and had
succeeded in carrying out assignments, whereas volunteers in active service stressed the importance of
language and the fact that Japanese often lacked language skills. In short, currently serving volunteers
thought that only language skill was necessary for
them to communicate well, whereas repatriated volunteers recognized the importance of factors other than
language skills in contributing to successful communication. This finding, coupled with the results of the
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
was a gap between volunteers and office staffs in identifying the causes of problems, suggests there are limits to cross-sectional surveys based on questionnaires
that depend on cognitive responses.
I noted that there is confusion and conflict about
what role each volunteer is to play, because a volunteer must work with two organizations: the Secretariat
of JOCV and the assigned overseas organization.
When individual factors and situational factors that
influenced adaptation (907 responses from 51 countries) were analyzed,11 situational factors tended to
have a stronger correlation with adaptation than did
individual factors.
IV Research on Canadian Experts
There have been three studies conducted, under the
auspices of the Canadian International Development
Agency (CIDA), on the cross-cultural adaptation of
Canadian experts and their spouses. In the first survey,
which later came to be called the Kenya study, Ruben
and Kealey undertook empirical research on two
points: the relationship between communication skills
and cross-cultural adaptation, and the definitions and
indices of cross-cultural adaptation. First, they extracted seven social skills12 from previous research13 that
were thought to be effective in cross-cultural adaptation. Second, they defined and measured cross-cultural adaptation based on three aspects: culture shock,
psychological adaptation, and interpersonal interaction. The subjects of the study were Canadian technical experts serving in Kenya for two years and their
spouses, 8 families, 19 persons in total. As to whether
it is possible to predict cross-cultural adaptation from
communication skills, there proved to be some correlation between communication skills and cross-cultural adaptation. However, the overall correlation was
relatively low.
The second survey by Hawes and Kealey was conducted to explore the types of interpersonal communication skills necessary for experts, and to clarify the
meaning of overseas effectiveness. The subjects comprised 250 persons, 160 technical experts and 90
spouses in 6 countries (Pakistan, Peru, Senegal,
Kenya, Haiti, and Afghanistan), as well as more than
90 local people were interviewed.14 The following
three characteristics were found to be necessary for
overseas effectiveness:15
1) Having interpersonal skills to colaborate well with
others
2) Having a sense of personal or cultural identity
3) Having realistic pre-departure expectations
Following the previous studies, Kealey conducted
research to try to establish a social-psychological theory for cross-cultural adaptation.16 89 experts were subjects of longitudinal surveys, 189 experts were subjects of cross-sectional surveys in 20 recipient nations
around the world, and 120 local nationals were interviewed. 17 The study examined several theories of
social psychology and succeeded in presenting new
ideas. For example, as to Amir’s contact hypothesis,18
supporting results were reported even without the condition of “among those who have equal status”. It also
brought a whole new perspective to culture shock,
which had previously been considered to have a negative impact. The data uncovered that some people who
undergo the most severe stress in the adjusting process
go on to be among the most competent in transferring
technology.
As to the relationship between personality factors
and situational factors, Kealey suggested that personality variables affect how an individual interprets situations, and explained how differences in interpretation
can be predicted by personality variables. Whether the
environment was regarded as oppressive is closely
related to overall satisfaction and success. In addition,
differences in cognitive processes between individuals
have a great importance. One person may regard the
environment as oppressive, whereas another may feel
comfortable in the same environment. Such differences in interpreting situations and in predicting the
attributes of others influence the interpersonal behavior in various social situations. Although the survey
did not completely deny the effectiveness of social
skill training, it concluded that successful technology
transfer was not possible through training unless the
individual possessed appropriate personality and interpersonal attitudes.
V Research on the American Peace Corps
Volunteers in the American Peace Corps (APC)
are dispatched to assigned areas soon after completing
a screening of each applicant’s documents (primarily a
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
They are given three months of training on site.
Between 1961 and 1971, an average of 26% of volunteers left during training and approximately 22% more
left while serving. In total, almost 50% of volunteers
left without completing their assignments.19 Large
numbers of volunteers quitting halfway through their
assignments caused inconvenience to the recipient
countries and resulted in increased operating costs.
Thus, from the early stages of dispatching volunteers
up to the 1970s, the APC conducted research to find
clear indices for predicting adaptation. The three studies that are most frequently quoted are summarized
below.
First, Maretzki hypothesized that effective volunteers may well be those who learn to understand the
culture via a maze-like principal, and who have an
appropriate personality to interact, use their knowledge, and draw on a strong, positive ego identity,
warmth, and openness. Furthermore, he proposed that
transition training should be aimed at acculturation
and transculturation, and noted that personality factors
and personality needs could serve as obstacles to the
success of such training.20
Second, research was conducted by Guthrie and
Zektick during the training of 278 volunteers who
were serving in the Philippines. The survey consisted
of various tests, including psychological and intelligence tests, the collection of personal data such as
family, social and educational background, and ratings
by the APC American staff, by Filipinos in the local
community and by other volunteers in training.
Although the results showed that there were possible
relationships among the variables, the relationships are
not great enough to be useful in selection. Guthrie and
Zektick pointed out the importance of how volunteers
perceived their situation and environmental conditions.21
Third, Harris’ research targeted volunteers dispatched to Tonga and compared those who successfully completed their assignments and those who left
halfway (52 samples). Three APC staff were designated to assess each volunteer’s activities with regard to
personality and interpersonal relationships. In comparing the two groups, it was found that “perseverance”
was the most decisive variable, followed by 5 other
significant variables, which included patience and tolerance, courtesy, interest in local inhabitants, knowledge of subject, and reliability.22
VI Discussion on Personal Factors
Factors thought to influence adaptation have been
personality and social skills. Personality factors have
been regarded as stable indices, and research was conducted in the hope of establishing a scientific principle
showing that personality factors could explain the differences between individuals. A series of studies were
conducted to clarify which personality factors would
predict adaptation so that the selection of personnel
could be more accurate and thus, their effectiveness in
the assigned area could be improved. It was concluded
that personality factors did not sufficiently explain differences, and that there were other factors involved.
As a result, the emphasis of research shifted from personality factors as criteria of selection to the abilities
related to adaptation which could be enhanced through
training, such as social skills and cross-cultural communication skills.
Many researchers, including Furnham and
Bochner,23 took the approach that an individual will
successfully adapt if he acquires certain social skills
through training, and so tried to identify which kinds
of social skills would help an individual to adapt well.
It is useful to identify the essential social skills based
on specific situations, such as the country to which the
individual has been assigned and the nature of the
assignment, and then train volunteers in those skills.
For instance, one study described in great detail ten
social skills necessary for successful cross-cultural
contact. 24 In Kealey’s opinion, not everybody can
improve their skills through training because improvement is based on the individual possessing a certain
personality or interpersonal attitude to begin with.
Skills are also related to an individual’s awareness of
their circumstances. Accordingly, there is a close tie
between personality and how an individual interprets
situations.
As for personality, it is important to continue
research into which aspects of personality affect social
skills and the interpretation of situation. It is also necessary to specify the social skills which are effective
in certain concrete situations by analyzing the cultural
background of sojourners and the recipient country.
VII Future Directions
1. Research Perspectives and Methods
Cross-cultural adaptation of those involved in
19.
20.
21.
22.
23.
24.
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.
T. Maretzki, “Transition training: a theoretical approach,” Human Organization 24 (1965), pp. 128-134.
G. M. Guthrie and I. N. Zektick, “Predicting performance in the peace corps,” Journal of Social Psychology 71 (1967), pp. 11-21.
Harris, op. cit., p. 242.
A. Furnham and S. Bochner, Culture Shock (London: Metheun, 1986).
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
international development projects should not be dealt
with as a matter only for the experts and volunteers
who are dispatched, but also as a part of the process of
development projects. Previous research primarily
focussed on dispatched experts and volunteers. Future
research should include perspectives that state: 1) The
ultimate goal is to accomplish technology transfer, not
cross-cultural adaptation; and 2) Members of the local
community should be included when considering the
factors which influence the success of technology
transfer. It is said that development projects are considered to be a kind of cross-cultural exchange.25 In
other words, development projects proceed through
interaction between the providers and recipients of
assistance and the field of technology transfer is exactly where that exchange takes place.
With respect to research methods, most researchers
have conducted cross-sectional questionnaire surveys
by using cognitive indices. From a behaviorist’s standpoint, the assessment of a sojourner’s behavior is more
objective if it is done through a third party than
through self-reporting questionnaire surveys. There
are cases in which two reports can differ: self-assessment by sojourners regarding psychological adaptation
and assessment by third parties regarding sojourners’
behavior. For instance, an expert may like the country
and feel that the assignment is going well. However,
local people working with the expert may feel that
they are forced to work according to the expert’s will.
A discrepancy like this can be clarified only by thirdparty observation. In the future, it is necessary to plan
longitudinal surveys through participant observation
and to develop procedures to analyze the dynamic
aspects of technology transfer as a cross-cultural interaction between experts and local people.
2. Identifying Situational Factors
There is a need to design surveys that identify situational factors in which technical experts are posted,
such as those concerning the organization, culture, and
a country. One of the reasons that research on the
American Peace Corps declined after the 1970s was
that personal factors could not sufficiently explain
cross-cultural adaptation.
In previous approaches, the issue of who (i.e. person with what cultural background), and where someone was sent were neglected. For example, the types
and levels of adaptation, and various theories including the U-curve and W-curve hypotheses are based on
the assumption that cross-cultural adaptation is a universal phenomenon. At the same time, however, it is a
fact that there are differences in adaptation between
Japanese and Canadians and differences whether the
assigned country is Kenya or China. Based on the
above facts, Okazaki-Luff26 proposed that the cultural
background of a sojourner and the assigned nation
should be taken into consideration. Further discussions
are necessary in which the dimension the culture
should be considered.
Situational factors in organizations also influence
the success of development assistance. For instance,
Harari pointed to obstacles outside the behavioral systems of experts from a survey conducted on French
experts. 27 Obstacles in undertaking assignments
included the following: missions without real purpose,
missions with no follow-up, instability of personnel,
underemployment, political interference, cultural
obstacles, having too many responsibilities and lack of
facilities. These issues still trouble many international
aid organizations. It is too much to expect that individual experts alone can solve all of these problems.
This article is based on a master’s degree thesis submitted to the Graduate School of International Relations,
University of Shizuoka in March 1996. The author would
like to take this opportunity to express her gratitude to
Professor Mitsuru Wakabayashi and Susan Tennant at
the Graduate School of International Development,
Nagoya University, for their valuable advice on this article.
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
establishment
Mongolia seems to have overcome the economic
disorder caused by a drastic transition from a socialist
regime to a market economy, which took place since
the beginning of the 1990s. The Mongolian
Government is expected to quickly respond to the
needs of human resource development and institutionbuilding for smooth transition to a market economy. In
line with these efforts, donor countries are requested
to review their long- and intermediate-term development and assistance strategies to envisage the
country’s economic recovery and expansion.
regime.
Based on the above perspectives, the report cites
the following focal sectors and considerations in assistance implementation that Japan’s ODA should cover.
2. Progress of the committee
The study committee held a total of 5 meetings,
which started in June 1996 and closed in December
1996, to review the possible direction and forms of
assistance to Mongolia. In the course of the review a
10-day field study was carried out to hold policy dialogues with the Government of Mongolia and its principle aid agencies, and to gather the necessary information and related materials. The report was compiled
from the manuscripts written by the members of the
committee and took shape as recommendations based
on the outcomes.
2) Consideration for assistance implementation
(i) Integrate elements of institution-building and
human resources development into assistance
programs and projects.
(ii) Pursue strengthened ties and cooperation with
major aid institutions.
(iii) Conduct careful preliminary assessments and
evaluations regarding assistance for new investment projects.
3. Outline of the report
From the beginning of the 1990s to date, Mongolia
has overcome the initial stage of economic disorder
instigated by the transition of the political regime,
backed by the government’s economic stabilization
policy and international economic assistance. In consequence, the priority in economic policy goals is
shifting from economic stabilization to a sustained
economy with structural reforms of institution-building, and the recovery and restoration of the economic
level. Under these circumstances, the smooth transition to a market economy is the country’s most
important challenge.
Although Japan’s long-term aid policy stays in
supporting the country’s self-sustained economic
development, to gear the country to the right direction,
Japan’s aid policy is, for the time being, expected to
support the transition. More specifically, Japan’s aid
policy is required to focus on a more integrated and
multi-faceted cooperation with emphasis on pertinent
institution-building, intellectual support to development strategy and policy formulation, and assistance
for human resources development to create a new
1) Priority areas for assistance
(i) Support for full-scale rehabilitation of social and
economic infrastructure.
(ii) Support for improvement of social and welfare
services and alleviation of poverty.
(iii) Support for the mining and related industries.
(iv) Support for the livestock and agricultural sectors
and the manufacturing sectors.
4. Committee members (The titles are as of the
report compilation)
Shinji ASANUMA (Chairperson)
Professor of Economics,
Chiba Institute of Technology
Hiroshi TANEDA (From November 1996)
Director, 1st Division, Operations Department II,
The Overseas Economic Cooperation Fund
Shigeru KIYAMA (Until October 1996)
Director, 1st Division, Operations Department II,
Shinichi KUBOTA
Director of the Sasakawa Japan-China Friendship
Fund, The Sasakawa Peace Foundation
Akira KUMAKURA
Director, Second Regional Division,
Planning Department,
Sumio KURIBAYASHI
Professor, School of Economics,
Tokyo International University
Shinichi KOIBUCHI
Professor, Department of International Relations,
Asia University
Miyoko SHIMAZAKI
Professor of Economics, Institute of Chita
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INFORMATION
Regional Development, Nihon Fukushi University
Hiromi CHIHARA
Development Specialist,
Hiroshi NIKI
Professor, Tokyo University of Foreign Studies
104
Masao SASAKI (Advisor)
Osamu MAKINO (Advisor)
INFORMATION
2
The Issue-wise Study Committee for Development Assistance on
“Local Development and the Role of Government”
1. The background of aid study
Japan, JICA in particular, have endeavored in
cooping with regional development and alleviation of
regional disparities, setting them as principle aid
issues. The issue-wise study committee was established with the purpose of reviewing these issues from
new perspectives. The circumstances in which special
efforts are required in this area are derived from the
following two currently emerging factors; namely, 1)
the change in aid focus, as a current global trend, has
come to shed light on these issues, and 2) the local
systems, which had long been considered as given factors, have started to call for a new revision in dealing
with these issues. The revision of the local system
itself is an important issue, and moreover the local
system forms one of the basis to support the nationstate system together with the government’s three
branches (legislation, jurisdiction and administration),
and is an important framework when considering the
development issue of the developing countries. The
changes in local systems that have chronically troubled developing countries such as administrative, fiscal and political reforms and democratization have
largely related to such issues.
Based on the above perspectives and consideration
of the wide ranging problems, the committee has
determined to review regional development and the
reduction of regional disparities in relation with the
movement toward decentralization.
2. Progress of the committee
The study committee started in January 1996 and
held a total of 11 meetings including an open study
meeting. From September to October in 1996, some
committee members were dispatched to China,
Indonesia, and the Philippines respectively to carry
out field survey. They gathered necessary information
and related materials, and held policy dialogues with
the respective government officials.
3. Committee members
Michio MURAMATSU (Chairperson)
Professor, Faculty of Law, Kyoto University
Akira KASAI
Technical Special Assistant to the President,
Hiroyuki KATO
Professor, Faculty of Economics, Kobe University
Hiroyoshi KANO
Professor, Institute of Oriental Culture,
University of Tokyo
Yoshio KAWAMURA
Professor, Faculty of Economics,
Ryukoku University
Hiroshi SATO
Professor, Yachiyo International University
Hitoshi SYOUJI
Senior Economist, Director, Sector Studies,
Research Institute of Development Assistance,
Naohiko JINNO
Professor, Department of Economics,
University of Tokyo
Yuji SUZUKI
Professor of Politics, Faculty of Law,
Hosei University
Keiichi TSUNEKAWA
Professor, College of Arts and Sciences,
University of Tokyo
In recent years, issues such as decentralization
and specific problems in the loca area have emerged
as key policy challenges in redefining the role of government in developing countries. This trend is backed
by the circumstances in which the whole world has
witnessed changes in political and economic environments as a consequence of the end of the Cold War
and economic globalization. At present, more than 60
out of 75 developing and transitional countries with
populations of over five million are conducting some
regional decentralization programs. This fact can be
considered in relation with the increasing interest in
developing countries, including local development
and regional disparity redressing programs.
Decentralization in this context is expected to contribute to local advancement by redressing regional
gaps and creating an appropriate institutional environment that facilitates development planning and implementation at the local level. On the other hand, one of
the crucial questions is whether or not local governments are able to use the devolved power and
resources to benefit local progress. At the same time,
the role of the central government should be duly
reviewed in order to properly curb the regional disparities aggravated by ability of local governments.
The current circumstances observed in developing
countries in terms of structural reform required the
committee to review the issues of regional disparities
and local development in relation with the regional
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INFORMATION
decentralization. The report was compiled, after the
focal points were studied and shaped up, with recommendations to the donor countries in dealing with
these points.
In the report, the following points are discussed to
identify possible cooperation of our country: 1) good
governance in the framework of the relationship
between the central government and the local government, which has a definitive impact on regional
development and the reduction of regional disparities;
2) the required institutional preparation at the local
level to mobilize governmental and private resources.
In reviewing our country’s effective cooperation in
106
local development, the committee underscored the
necessity of considering various factors in the development and their role at the local level as well as the
central-local government relationship of a recipient
country. The following points are cited in the report as
basic aid policies: 1) intellectual support for political
and economic reform including decentralization; 2)
support for upgrading the local government’s administrative and financial capabilities; 3) support for the
central government’s roles in regional disparity reduction; 4) support for the development of regional corecities.
INFORMATION
3
JICA’
s International Seminar on Basic Education and Development
Assistance in Sub-Saharan Africa
1. Background of the seminar
Since their independence in the 1960s and the 70s,
Sub-Saharan African countries have invested in the
expansion of the modern education system. Primary
school enrollment, however, has stagnated and even
decreased in many countries with the decline of public
investment in education sector under the macroeconomic crisis in the 80s, while the population growth
rate remains high. Besides, some studies indicate that
the quality of education has been declining in some
countries rather than improving.
The Government of Japan has strengthened its
assistance for expansion of education in developing
countries, in line with the declaration adopted in the
World Conference on Education for All in 1990. Also
as one of the leading members of the Developing
Assistance Committee (DAC) of the Organization for
Economic Cooperation and Development (OECD),
Japan has committed itself to cooperate under a global
partnership with the international development community to realize universal primary education by the
year 2015, one of the targets set by the member countries of DAC in its so-called new development strategy in 1996. As for the development of Africa, the
Japanese Minister for Foreign Affairs Yukihiko Ikeda
at the 9th UNCTAD meeting held in April, 1996
announced a plan to play active roles in education in
Africa, mainly for the enhancement of primary education.
JICA, as the implementing agency of technical
cooperation and grant aid programs of the government, has always put emphasis on training and education in various sectors. The report of the Aid Study
Committee on Education and Development commissioned by JICA in 1993 recommended, among others,
to improve the regional distribution of Japan’s ODA
to Sub-Saharan Africa and to stress aid for basic education as a priority area. Study teams have visited
several African countries to formulate new projects in
the basic education sector, and research projects are
being conducted for better planning, design and implementation of the projects for basic education.
The objective of this seminar is to review, together
with experts of the international and bilateral organizations in education development in Africa, the present situation of basic education in Sub-Saharan
African countries; to discuss the major development
issues regarding access to and quality of basic education in Sub-Saharan Africa; to discuss the roles of
African governments and international donors as well
as ways to enhance their mutual coordination and
cooperation for the attainment of universal primary
education in Sub-Saharan Africa; and thus, to contribute to more effective and efficient implementation
of Japan’s development assistance for basic education
in Sub-Saharan Africa.
2. Outline of the seminar
Date: March 7, 1997 (Friday);
Number of participants: 170
1) Keynote Speech
“Basic Education in Sub-Saharan Africa - Its history and prospects” by Aı̈ cha Bah Diallo, Director,
Division of Basic Education, UNESCO
The educational history in Africa is divided into
the following three periods: the pre-colonial period,
the colonial period, and the period since independence.
The crisis of education in Africa is evidenced by
various difficulties including persisting inequality of
access between boys and girls, declining quality of
education (hiagh rates of repeaters and droppouts),
excessive centralization of administration, poor school
management, and financial crisis.
The Guinean experiences in educational reform
show the following measures to be taken: improving
quality and relevance of schools and upgrading their
efficiency, increasing the budget addressed to education, establishing institutional and legal systems,
encouraging close cooperation with regional society,
providing literacy education for parents (the literacy
program is valuable for promoting the schooling of
children, especially girls.), promoting cultural identity,
strengthening the parent -teacher associations, advocating girls’ education, providing gifted children with
scholarships and other incentives, forbidding the
employment of school-age children, reviewing the traditional values, and fostering an attitude among people
to respect positive traditional values.
All the partners in the country and abroad are expected
to cooperate in supporting African people so that
they can find the solution and overcome the problems
on their own.
2) Panel discussion
Moderator: Yumiko Yokozeki
(JICA Development Specialist)
(1) Part I: “Problems, Issues and Opportunities of
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INFORMATION
Basic Education in Sub-Saharan Africa”
Two presentations were given under the following
themes;
(i) “Basic Education in Sub-Saharan Africa and
Japan’s Initiatives for Educational Cooperation” by
Seiji Utsumi, Professor, Faculty of Human Sciences,
Osaka University,
Possible challenges to support educational development, such as, safety-net programs, comprehensive
approaches, tie-ups with local specialists, emphasis on
the close ties between rural communities and the educational sector, needs for multi-cultural and multi-sectoral approaches were pointed out.
(ii) “Financing Sustainable Education Programs in
Sub-Saharan Africa: Challenges and Opportunities”
by Ruth Kagia, Manager, Human Development,
Eastern and Southern Africa, World Bank
The speaker singled out the educational situation
in Africa where the investment for education is crucial, and diversity of the continent, population growth,
increasing debt burden and economic stagnation,
declining school enrollment ratio, widening, and deteriorating educational quality are persistent problems.
The following principle measures are proposed to be
taken: forging effective partnerships (south-south
cooperation, etc.) capacity-building, and supporting
educational reform.
(2) Part II: “New Approaches to Assistance for
Expansion and
Improvement of Basic Education in Sub-Saharan
Africa”
Three presentations were given under the following themes;
108
(i) “Donor Coordination: Old Ways, Mixed Results
and New Approaches” by Richard Sack, Executive
Secretary, Association for the Development of
Education in Africa (ADEA)
A systematic overview of the types of coordination, and details of a new form of cooperation called
“collaborative partnership” were presented. The
speaker also reported on the activities of ADEA
undertaken with the participation of educational institutions and representatives of African education ministries. ADEA is active in promoting assistance adjustment and aid studies with careful consideration of the
developing countries partnership in order to improve
education programs.
(ii) “Basic Education: Sector wide and School
Focused” by Terry Allsop, Senior Education Advisor,
ODA(1), United Kingdom
The aid policies in the United Kingdom for educational development. Emphasis on the necessity of a
long-term commitment and sectoral investment planning.
(iii) “International Seminar on Basic Education and
Development Assitance in Sub-Saharan Africa” by
Takenori Odano, Managing Director, Planning
Department, JICA
The importance of a comprehensive approach,
coordination and collaboration with other aid organizations, cooperation with NGOs, improving the aid
implementation structure including human resources
development are stressed.
(1)
ODA has changed its name as DFID (Department
for International Development) in 1997.
INFORMATION
4
Study on the Participation of Disabled Persons in International
Cooperation Activities, Phase II
1. Background and objectives of the study
Efforts to promote policies for disabled people
have been moving forward worldwide in recent years,
as symbolized by the declaration of the United
Nations Decade of Disabled Persons (1983-1992) and
the Asian and Pacific Decade of Disabled Persons
(1993-2002). As part of that trend, Japan has instituted
the Long-term Program for Government Measures for
Disabled Persons (1982) and the New Long-term
Programs for Government Measures for Disabled
Persons (1992) (to be referred to as the “New Longterm Program” below)
International Cooperation is one of the priority
areas under the New Long-term Program. In particular, emphasis has been placed on measures to promote
exchanges among organizations for disabled people,
the transfer of technologies to developing countries,
and the sharing of information on policy-related
issues.
Reflecting these circumstances, in fiscal 1995,
JICA initiated the research study named “The
Participation of Japanese Disabled People in
International Cooperation Programs” (Phase I) with
the objective of promoting the participation of disabled people in Japanese ODA programs. Phase I was
composed of a questionnaire survey of Japanese organizations for and of disabled people. Based on the
survey, disabled people’s interest and obstacles in participating in ODA programs ware identified and analyzed. The study gave recommendations urging that
steps be taken to encourage disabled people’s active
participation in international cooperation as a high priority issue.
The Phase II study was carried out to analyze the
current situations disabled persons face and institutional setups necessary to implement measures for disabled people and to respond to cooperation needs. The
recommendations gathered in Phase II and those of
Phase I were put together into the final recommendations, which propose measures to facilitate the participation of Japanese disabled people in international
cooperation.
2. Progress of the study committee
The study committee, started inviting outside specialists, held total of 8 meetings from June 1996. The
committee was formed by the following committee
members:
Yasuhiro HATSUYAMA (Chairperson)
President, National Rehabilitation Center
for the Disabled
Kazutoshi IWANAMI
Managing Director,
Institute for International Cooperation,
Etsuko UENO
Director, International Department,
Japan Society for Rehabilitation of Disabled
Persons
Hideharu UEMURA
Chief Psychologist,
Division of Psychology and Rehabilitation
Management, National Rehabilitation Center for
the Disabled
Yoshiko OTSUKI
Director of JFD Headquarters,
Japanese Federation of the Deaf
Akiko KOBAYASHI
Associate Professor, Chubu Gakuin University
Hisao SATO
Dean , Faculty of Social Welfare,
Japan College of Social Work
Tetsuji TANAKA
Chief Librarian, Japan Braille Library
Masatsugu NARUSE
Director, International Cooperation,
Japan Council on Disability
Ryosuke MATSUI
Director, Japan Association for Employment
of the Disabled
The full scale study report consists of the following four chapters.
Chapter 1: Outline of the Study (details are omitted)
Chapter 2: Findings of the Questionnaire Surveys
(details are omitted)
Chapter 3: Overview of the Field Surveys
(details are omitted)
Chapter 4: Recommendations to Foster Heightened
Participation by Japanese Disabled People
in the Field of International Cooperation
Chapter 4 features the final recommendations
based on the outcome of a two-year study of Phase I
and II. The general line of recommendations adopted
in Phase II does not differ from those in Phase I. After
a comprehensive examination on the outcomes of
Phase II as well as Phase I, the following finalized recommendations were compiled in a more specific and
practical manner assuring higher viability:
(1) Significance of participation by disabled people
(2) Aid needs in developing countries and the interest
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INFORMATION
of Japanese disabled people in fulfilling their roles
in assistance.
(3) Disabled people’s possibilities for participation
(4) Basic directions for participation
(5) Priority areas for participation
(6) Measures to encourage participation in priority
areas
(7) Factors deserving special attention for promoting
the participation of disabled people
As for priority areas proposed in recommendation
(5), in implementing cooperation among disabled people, we should focus on the areas where there are larger cooperation needs by developing countries, and
where higher cooperation potentials of Japanese disabled peoples can be expected, and a greater cooperation effect is anticipated. In line with the above observations the eight points proposed as practical steps to
be taken. The necessary steps were determined based
on the analysis of past surveys, considering 1)whether
these are the areas where the cooperation needs of the
recipients meet the cooperation and participation
available by Japanese disabled persons, and 2)whether
these are areas which require more specific and intensive activities. Those are considerations following the
“Action Plan”, an agenda to achieve the target adopted
by the UN’s ESCAP resolution named “the Asia and
Pacific Decade of Disabled Persons”, and “the New
Long-term Program”, a guideline to the policies for
the disabled people in Japan. The proposed eight
points are: (i) advocacy concerning disabled people;
(ii) the establishment of accessible communication,
transfer and information network for disabled people;
(iii) improved sharing, collection and utilization of
information; (iv) larger job opportunities for disabled
people; (v) the organization and management of disabled people in developing countries; (vi) the promotion of sports, recreational and cultural activities for
disabled people; (vii) the establishment and furnishing
of welfare facilities and equipment; (viii) other areas.
110
As for the participatory measures proposed in the
recommendation (6), Japan’s urgent and effective
undertakings and enhanced cooperation to disabled
people in the developing countries are highly necessary in order to encourage Japanese disabled people’s
participation in the above mentioned focal areas.
Specific measures are cited with the following seven
points: (i) expansion of the assistance program and the
formulation of basic policies for disabled people in
developing counties; (ii) establishment of administrative systems in aid institutions to undertake welfare
services for disabled people; (iii) promoting better
understanding of disabled people and their problems
among personnel in official aid institutions; (iv) preparation of fundamental information on disabled people
in developing countries; (v) establishment of advisory
groups for assistance to disabled people in developing
countries; (vi) establishment of a network for sharing
information on assistance programs for disabled people in developing countries; (vii) implementation support for on-going projects that call for the participation
of disabled people.
As for the factors deserving special attention for
promoting the disabled people’s participation proposed in the recommendation (7), careful and meticulous considerations are required in participating in
international cooperation, especially when dispatching
disabled people to developing countries. Most attention should be paid to securing the dispatched participants’ safety. The following four points are the outcomes of the 2-year study starting from Phase I and
fundamental requirements in accelerating the participation of disabled people in future ODA activities: (i)
improvement of training centers and other facilities;
(ii) execution of detailed preliminary studies of current
local conditions; (iii) commencement of pilot projects
with a focus on ASEAN countries; (iv) special attention to the needs of women with disabilities.

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