Community Capacity and Governance – New Approaches to Development and Evaluation

by Banyai, Cindy Lyn, PhD

Abstract (Summary)

This work looks at the concept of community capacity and how it can be advanced to improve governance. The main concepts explored here, related to community capacity, are community, social capital, and community capacity building. The importance of broadening the view of development beyond economic development is discussed in this work as being both a moral imperative to reduce poverty and a smart way to approach global and local governance. The areas of economic development and poverty alleviation are addressed, as well as alternative development with a special focus on rural and community development. The main concepts are discussed in context of their relationship to human development and poverty alleviation, being most closely associated with the paradigm of alternative development. Major components of public administration are also addressed in this work, focusing on decentralization, localization, democracy, and participatory governance. Tools to improve governance are also discussed, including the logic framework, the policy management cycle, and evaluation. The epistemological approach employed here focuses on post-modernism and post-positivism and focuses highly on qualitative research. The research contained in this work is mostly derived from case study analysis and employs data gathering techniques such as interviews, surveys, focus groups, and various forms of observation. The academic contribution of this work is twofold, concept progression and method development. First, this work develops the concept of community capacity that was introduced by Chaskin, Brown, Venkatesh, and Vidal (2001) by amending and clarifying the terminology in the framework and employing a more useable and easily understandable model called the A-A-A framework. The A-A-A framework is developed through case studies on rural revitalization in Japan and the assessment of community capacity using the framework in Pagudpud, Philippines. The definition of community is expanded to include the local government and all stakeholders, as well as to define the parameters of larger communities, such as the international community. Additionally, two newly adapted concepts are postulated to further address alternative development and community capacity building. They are community-driven economics and community leadership. The concept of localization is also clarified, particularly in terms of the localization in evaluation. This is done through the analysis of various efforts to localize evaluation through JICA trainings and a project for MDG localization in the Philippines. Issues with evaluation in developing countries are surveyed through analysis of the technocrats that were involved in evaluation training in Japan. The identification of these issues led to some proposals for improving evaluation including a focus on assets, qualitative measures, participation, and guiding concepts. Regarding method development, two methods of non-traditional participatory evaluation, participatory photo evaluation and participatory video evaluation, were created to further explore community capacity. Using trial cases in Pagudpud, the methods were developed to ensure proper data gathering and to render information that is useable for local public administration. These unique methods combine action research, participatory research, concept-driven evaluation, and the use of non-traditional media and have the benefit of providing data for better local governance and being a community capacity building tool.

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Bibliographical Information:

Advisor:Koichi Miyoshi

School:Ritsumeikan Ajia Taiheiyou Daigaku

School Location:Japan

Source Type:Doctoral Dissertation

Keywords:community capacity, community, leadership, evaluation, localization, participatory photo evaluation, governance

ISBN:

Date of Publication:03/12/2010

Document Text (Pages 1-10)

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Community Capacity and Governance –
New Approaches to Development and
Evaluation

By
Cindy Lyn BANYAI

61107008
April 2007-March 2010

Dissertation Presented to the Higher Degree Committee
Of Ritsumeikan Asia Pacific University
In Partial Fulfillment of the Requirements for the Degree of
Doc to r o f Ph i l o sophy i n As ia Pac i f i c S tud i es

Page 2

Acknowledgments

There are so many people that have helped me on the journey through this
dissertation, it would be impossible for me to name them all. I give my gratitude to all
those who have helped me along the way at APU and elsewhere.

Specifically, I would like to start by thanking my professor, Koichi Miyoshi.
Professor Miyoshi has provided me with an abundance of guidance and opportunities to
grow academically and professionally. I am grateful for all that he has done for me.

Next, I would like to thank Mayor Marlon Sales and the community in Pagudpud for
allowing me to explore their community. Mayor Sales gave me endless support during
my field work in Pagudpud and I appreciate his willingness and openness to participate in
this study. I would also like to thank the people of Pagudpud, who were warm and open
to me and my ideas and who provided me with one of the most rewarding experiences of
my life.

I need to also thank my parents for their support of my education from the beginning
and for specifically giving me editorial guidance on this work. Like everything else that
you have given me in life, I am eternally grateful.

I would like to thank my colleague, Naomi Stenning, who traveled with me on our
first field work experience, worked with me, presented at conferences with me, and
generally was there as a friend. I hope that we run into each other again sometime and
somewhere.

Another classmate that I would like to thank is Ana Puatu. Ana assisted me with all
things Filipino while we were in Japan and she connected me with an Ilocano translator.
I appreciate her support.

Finally, I would like to thank my wonderful husband Andrew Banyai. Andrew
helped with editing and supported my work in every way possible. Without him it would
have been difficult for me to complete this daunting task and we would not have had the
extra push from our lovely daughter, Ani. Thank you both and lots of love.

Page 3

Table of Contents

Page 4

List of Abbreviations

Page 5

Abbreviatio
n

A-A-A

Full Name

Attributes-Agents-
Actions

Description

Cycle of community capacity

AFMA Ag r i cu l t u r e and
F i she r i e s
Mode rn i za t i on Ac t
o f 1997
BWI Bre t t on Woods
I n s t i t u t i ons
BHW Ba rangay Hea l t h
Worke r s
CNN Cab le News
Ne two rk
CSD Commission on
Sustainable Development
Agricultural development legislation in the
Philippines

World Bank, International Monetary Fund

Local medical personnel

International satellite news network

Organization created at the Rio Summit n
1992 charged with monitoring Agenda 21

CSR

DAC

DHAN

Corporate social
responsibility

Development Assistance
Committee

Development of Humane
Action Foundation

Responsibility of business to promote
sustainable development or mitigate their
negative effects

OECD forum of select members to focus on
aid, development, and poverty

Community development project in India

EU European Union Assembly of European states

FPQ

FPTCA

GMA

Focal Point
Questionnaire

Filipino Parent Teacher
Cooperation Association

Ginintuang Masaganang
Ani

Community capacity survey in Pagudpud

Parent-teacher association in the Philippines

Arroyo’s addition to the AFMA

G-7 Group of Seven Association of the dominant global
economies – USA, Canada, France,
Germany, Italy, Japan, United Kingdom

HDI Human Development
Index
Quality of life indicators rendered by the
UNDP

HIV/AIDS Human Diseases

Page 6

HPCC

immunodeficiency
virus/Acquired
immunodeficiency
syndrome

Himeshima Prawn
Cultivation Company
Prawn company on Himeshima island, Japan

IDI In-depth interview Interview technique used in Pagudpud case
study

IFAD

IMF

JICA

International Fund for
Agricultural
Development

International Monetary
Fund

Japan International
Cooperation Agency
Organizations that promotes rural
development

Bretton Woods institution overseeing the
global financial system

Japan’s agency for overseas development

JTB Japan Travel Bureau Travel agency in Japan

LGU Local Government Unit Municipal administration in the Philippines

LMS

MDG

M & E

NDI

NGO

Localized Monitoring
System on the
Millennium Development
Goals

Millennium Development
Goals

Monitoring and
Evaluation

National Democratic
Institute

Non-government
Organization

EU project for evaluation localization in
Bohol, Philippines

Internationally set goals for development to
be achieved by 2015

Shorthand for all activities involved in
monitoring and evaluation

International organization that promotes
democracy and elections

An entity that is outside of state control

NPM New Public Management Public administration reforms to make
governance function more like business

ODA Overseas development
assistance
Term for formal nation to nation aid

Page 7

OECD Organization for
Economic Cooperation
and Development

Multinational organization of big economies
focusing on economics

OFW Overseas foreign worker People who leave the Philippines for work

OVOP One Village One Product Develop initiative originating from rural
Japan

PATODA

PLA

PM&E

PPE

PRA

PRSP

PTCA

Participation, Learning
and Action

Participatory monitoring
and evaluation

Participatory photo
evaluation

Participatory Rural
Appraisal

Poverty Reduction
Strategy Papers

Parent Teacher
Cooperation Association
Tricycle drivers’ union in the Philippines

Fully participatory rural planning and
appraisal method

Using participatory methods for assessment

New form of participatory evaluation
introduced here

Participatory surveys of rural poverty

Documents required by the IMF and WB
before debt relief is considered

Parent- teacher association in Pagudpud

PTM Program theory matrix Policy management tool

PVE

PVP

Participatory video
evaluation

Pagudpud Volunteers for
Progress

New form of participatory evaluation
introduced here

Civil society organization in Pagudpud

RRA Rapid Rural Appraisal Surveys of rural poverty

SANJERA

SCOR Sense of community,
commitment, ability to
set and achieve
objectives, ability to
recognize and access
resources

Farmers’ group in the Philippines

Community capacity attributes

Page 8

SEP Socio-Economic Profile Pagudpud government report

SMART

SME

SMES

TQM

TWG

Specific, Measureable,
Attainable, Relevant, and
Timely

Small and medium
enterprises

Strengthening of
Monitoring and
Evaluation Systems

Total Quality
Management

Technical Working
Group

Youth organization in the Philippines

Australian evaluation indicators

Businesses that are not large firms

JICA-Nepal project to develop Nepal’s
evaluation system

Management strategy that emphasizes
quality at all stages

Implementing body for the Jagna MDG
localization project

UN United Nations Supranational governing body

UNDP

UNICEF

United Nations
Development Program

United Nations
International Children’s
Education Fund

Agency of the UN in charge of development
programs

Agency of the UN devoted to children’s
issues

WB World Bank Bretton Woods institution overseeing
banking for development

WTO World Trade
Organization
Bretton Woods institution overseeing trade

10-Ks 10-K Initiative Pagupud local program

Page 9

List of Figures

Page 10

List of Tables

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