Development communication how is it used by international ngos in vietnam exploratory research into the cases of oxfam and snv m a

Nguyen Thi Thao Nhan| DevComm used by INGOs 1 Statement of Originality and Authenticity SCHOOL OF COMMUNICATION AND MEDIA Postgraduate Scheme Course: MA International Communication Sta

Trang 1

Hanze University Groningen

Supervisor: Dr Hope Webber

A dissertation submitted in partial fulfilment for the degree of

Master of Arts in International Communication

May 2012

Trang 2

Nguyen Thi Thao Nhan| DevComm used by INGOs 1

Statement of Originality and Authenticity

SCHOOL OF COMMUNICATION AND MEDIA

Postgraduate Scheme Course: MA International Communication

Statement of Originality and Authenticity

This dissertation is an original and authentic piece of work by myself I have fully acknowledged and referenced all material incorporated from secondary sources It has not, in whole or part, been presented elsewhere for assessment

I have read the Examination Regulations and I am aware of the potential consequences of any breach of them

Signature:

Name: Nguyen Thi Thao Nhan

Date: 22 May 2012

Trang 3

Abbreviations and Acronyms

ADB Asian Development Bank

AEC Agriculture Extension Centre

AECID Spanish Agency for International Development Cooperation

AKAB Awareness – Knowledge – Attitude – Behaviour

ASEAN Association of Southeast Asian Nations

AusAID Australian Agency for International Development

BCC Behaviour Change Communication

BDU Business Development Unit

BMU Germany’s Federal Ministry for Environment, Nature Conservation and Nuclear Safety

CBA Communication-Based Assessment

CBDRM Community-Based Disaster Risk Management

CBO Communication-Based Organisation

CCA Climate Change Adaptation

CCI Climate Change Insurance

CDI Centre for Development and Integration

CFSC Communication for Social Change

CLTS Community-Led Total Sanitation

CNA Communication Needs Assessment

Trang 4

CORDAID Catholic Organisation for Relief and Development Aid

CPM Centre for Preventive Medicine

CSO Civil Society Organisation

CSR Corporate Social Responsibility

DARD Department of Agriculture and Rural Development

DGIS Dutch Ministry of Foreign Affairs

DevComm Development Communication

DMC Disaster Management Centre

DPM Disaster Preparation and Mitigation

FAO Food and Agriculture Organisation

FLAIR Farmer-Led Agricultural Innovation for Resilience

IBLF International Business Leaders Forum

IEC Information – Education – Communication

INGO International non-governmental organisation

Trang 5

IPSARD Institute of Policy and Strategy in Agriculture and Rural Development

LCB Local Capacity Builder

MARD Ministry of Agriculture and Rural Development

MDG Millennium Development Goal

ME Monitoring and Evaluation

MNC Multinational Corporation

MONRE Ministry of Natural Resources and Environment

NGO Non-governmental organisation

NPO Non profit organisation

ODA Official Development Assistance

OECD Organisation for Economic Co-operation and Development

PACCOM People's Aid Coordinating Committee

PAR Participatory Action Research

REDD+ Reducing Emissions from Deforestation and Forest Degradation

PES Payments for Environmental Services

PME Participatory Monitoring and Evaluation

PPD Plant Protection Department

PPSD Plant Protection Sub-Department

Trang 6

PPST Pro-poor Sustainable Tourism

PRA Participatory Rural Appraisal

PVCA Participatory Vulnerability and Capacity Assessment

SEDP Socio-Economic Development Planning

SMS Singe Management Structure

SNS Social Networking Site

SNV Netherlands Development Organisation

SRD Sustainable Rural Development

SRI System of Rice Intensification

SSA Small-Scale Agriculture

UNDP United Nations Development Programme

UNEP United Nations Environment Programme

UNICIEP United Nations International Children's Emergency Fund

USAID United States Agency for International Development

USP Unique Selling Point

VANGOCA Vietnam–Australia NGO Cooperation Agreements

VNGO Vietnam’s Non-governmental Organisation

Trang 7

VUFO Vietnam Union of Friendship Organisations

WASH Water, Sanitation and Hygiene

WHO World Health Organisation

Trang 8

Abstract

This dissertation involves three key concepts: Development, Non-governmental organisations (NGOs) and Development Communication (DevComm) Regarding knowledge gaps, there has not been any research paper which has carefully and systematically examined DevComm done by NGOs before Existing literature on the key concepts and relevant issues has missed the links between DevComm and NGOs in the Vietnamese context Covering all of these issues, the dissertation therefore fills in the gaps Specifically, the dissertation aims to explore the ways international NGOs (INGOs) use DevComm, and to explain the differences in their employment of DevComm, in Vietnam To be clear, it examines if INGOs have used DevComm’s elements (modes, models, approaches, tools, for example) in Vietnam, and if their communication activities in the country reflect DevComm’s features It also examines if different INGOs operating in Vietnam have employed DevComm differently, and if the differences in their communication are due to the differences in organisational and management factors – such as types, roles, specialisations, and financial resources

In terms of methodology, the dissertation employs case study approach and examines Oxfam and the Netherlands Development Organisation (SNV) – the two leading INGOs working in Vietnam Ten projects run by these two INGOs were selected Methods used to collect data include documentary analysis, interview and participant observation Specifically, participant observation took place during the researcher’s three-month internship at SNV Vietnam in 2011 Two series of interviews were conducted

in two different periods: from August to October 2011 and from April to May 2012 Documents analysed are categorised into published and unpublished documents The published documents include websites, brochures, leaflets, reports, and manuals Project proposals and project briefs are examples of the unpublished documents

Data collected reveal Oxfam and SNV have known the concept of DevComm, and they have also employed DevComm in Vietnam Specifically, their communication has used DevComm’s core elements such as modes, approaches, tactics, and tools DevComm’s principles are also detected in their

communication as it is dialogic, participatory, inclusive and contextual Interestingly, Oxfam and SNV

have employed DevComm differently The differences are indicated by the tools and tactics they have used Specifically, Oxfam has been proven to be better than SNV in using electronic media and media relations In terms of tactics, Oxfam has extensively used advocacy, whereas SNV has been in favour of social marketing Identified reasons for these differences are the differences in their financial resources, specialisations and organisational structures

The first paper to explore NGOs’ employment of DevComm in the Vietnamese context, this study is useful for both academic and practical use Academically, it fills in the knowledge gaps of NGOs and Communication thereby being a reference material for those who are interested in these fields, such as lecturers, researchers and students Practically, as giving insights into NGO work, it is useful for everyone involved in development sector such as donors, development practitioners and communication professionals However, this study examines only two INGOs and their ten projects Although being suitable for a Master’s dissertation, this sample is not large enough to represent the whole community

of 900 INGOs in Vietnam A larger-scale research on the same topic is therefore needed A research that aims to measure DevComm’s contribution to the success of development work in Vietnam is also desired

Trang 9

Acknowledgements

Finally, I am reaching the Finishing Line of a marathon that I will never forget

To me, writing a dissertation has been an academic journey which has given me valuable lessons and experience It is a journey that has had its own ups and downs Finishing it marks a turning point in my life

Although the journey has officially lasted four months – from January to May 2012 – during which I have been working extensively, its final product – the dissertation report – has resulted from my study and work experience for over a year since the submission of the first proposal in April 2011

During this journey, I have been supported by a number of individuals and organisations to which I am deeply grateful

Firstly, they are Leeds Metropolitan University and Hanze University Groningen – the two universities where I have obtained knowledge and experience which have inspired and nurtured my interests in NGOs and DevComm There, I have also received constructive feedback and useful advice from my two supervisors, Gerard Choo andHope Webber There, my learning skills, self-care skills and English have been improved thanks to the tutors of Skills for Learning workshops, the counsellors of Counselling Service and the language adviser in the Language Resources Area at Leeds Metropolitan University

Secondly, Oxfam and SNV – the two leading INGOs in Vietnam – also deserve my expression of gratitude

I am thankful to them for two reasons First, they both participated in my research as two case studies Without the information provided by their enthusiastic staff, my dissertation would not have been completed Second, SNV Vietnam is where I had my three-month internship and gained insights into NGO work for the first time Similarly, getting involved with Oxfam North of England by volunteering for its bookshop and participating in its events has also helped the writing of my dissertation

In addition to Oxfam and SNV, I would alsolike to acknowledge Save the Children, CARE International, Vietnam Union of Friendship Organisations and The People's Aid Coordinating Committee for helping

me to better understand the INGO community in Vietnam

Another organisation which deserves my thanks is Vietnam International Education Development, a department of Vietnam Ministry of Education and Training, which has financially sponsored my study in Europe

Importantly, I am truly indebted to my beloved family, friends and colleagues who have always been beside me during my two-year study period abroad

Trang 10

Table of Contents

Statement of Originality and Authenticity 1

Abbreviations and Acronyms 2

Abstract 7

Acknowledgements 8

Table of Contents 9

List of Tables 12

Chapter 1: INTRODUCTION 13

1.1 Context 13

1.1.1 NGOs 13

1.1.2 DevComm 14

1.2 Knowledge gaps 14

1.2.1 NGOs gap 14

1.2.2 DevComm gap 15

1.2.3 Context gap 15

1.3 Research aims and research questions 15

1.4 Significance of the research 16

1.5 Structure of the dissertation 17

Summary 17

Chapter 2: LITERATURE REVIEW 18

2.1 Development industry 18

2.1.1 Contemporary context 18

2.1.2 Three paradigms 20

2.2 NGOs 22

2.2.1 Definitions 22

2.2.2 Diversity 23

2.2.3 Strengths and weaknesses 23

2.2.4 Roles and general activities 25

Trang 11

2.2.5 Specific activities 26

2.3 DevComm 32

2.3.1 Theoretical framework 33

2.3.2 Features 33

2.3.3 Principles 36

2.3.4 Application 38

2.3.5 Contribution 40

Summary 41

Chapter 3: METHODOLOGY 42

3.1 Research nature 42

3.2 Research approach 42

3.3 The two case studies 43

3.3.1 Oxfam 43

3.3.2 SNV 45

3.4 Research methods 46

3.4.1 Documentary analysis 47

3.4.2 Interview 47

3.4.3 Participant observation 48

3.5 Research limitation 49

Summary 49

Chapter 4: ANALYSIS OF RESULTS 50

4.1 Project Overview 50

4.1.1 Oxfam’s projects 50

4.1.2 SNV’s projects 52

4.2 Findings 55

4.2.1 Finding 1: INGOs have used communication for a number of purposes and expected outcomes in Vietnam 55

4.2.2 Finding 2: INGOs have used DevComm in Vietnam although they have not used the same term 56

4.2.3 Finding 3: INGOs have used various elements of DevComm in Vietnam 57

Trang 12

4.2.4 Finding 4: DevComm’s principles are reflected in Vietnam 61

Summary 63

Chapter 5: DISCUSSION OF RESULTS, CONCLUSIONS AND RECOMMENDATIONS 64

5.1 Discussion of Results 64

5.1.1 INGOs have employed DevComm differently in Vietnam 64

5.1.2 Reasons for the differences in their employment of DevComm 66

5.2 Conclusions 69

5.3 Recommendations 71

Summary 73

BIBLIOGRAPHY 74

APPENDICES 79

Appendix 1: Application for Graduation Project Permission 79

Appendix 2: Proposal and Ethics Release Form 79

Appendix 3: Overview of VUFO’s NGO Resource Centre 79

Appendix 4: Overview of PACCOM 79

Appendix 5: List of examined projects 79

Appendix 6: List of interviewees 79

Appendix 7: Interview outline 79

Appendix 8: Interview transcript 79

Trang 13

List of Tables

Table 2.1 NGOs’ strengths 24

Table 2.2 NGOs’ weaknesses 24

Table 2.3 NGO activities based on types of work 25

Table 2.4 NGO activities based on roles 26

Table 2.5 Core principles for good partnerships 29

Table 2.6 Four communication types in development context 34

Table 2.7 Monologic and Dialogic mode 35

Table 2.8 Key principles of DevComm 37

Table 2.9 Methodological framework 39

Table 3.1 Oxfam's work in Vietnam 44

Trang 14

Chapter 1: INTRODUCTION

This chapter first outlines the context in which the study is conducted It then identifies knowledge gaps based on which the research significance is pointed out The next section deals with research aims, research questions, hypotheses and methodology Finally, the chapter presents the usefulness and structures of the dissertation

1.1 Context

1.1.1 NGOs

The twenty first century has witnessed the rise of civil societies where individuals, non-state groups and NGOs act politically (Price, 2010) More than 100.000 NGOs of different specialisations existing today have become one of the most powerful forces for development and social change (Sitkin and Bowen,

2010, p.153) According to Hulme and Edwards, the number of INGOs in 1993 was 28.900 (1997, p.4) Recent statistics shows that in 2009, the number of large established NGOs was 35.000, and in 2004, the amount of aid money NGOs received was 23 billion USD, equal to one third of total overseas development aid (the UN, quoted in Lewis and Kanji, 2009, p.2)

With remarkable economic growth and social achievements over the past ten years, Vietnam is considered one of the fastest growing countries and a country that has impressive development success stories (Guardian, 2010) Apart from significant changes resulted from renovation policy, Vietnam’s outstanding achievements have been supported by INGOs The number of INGOs working in Vietnam has constantly increased, from 200 in 1994 to more than 500 organisations in 2002; the total disbursement has also gone up from $60 to $85 million dollars per year during this period (VUFO-NGO-Resource-Centre, 2004) The INGOs have significantly contributed to poverty reduction, women’s empowerment, accountability, transparency, people’s participation in policy and decision-making in Vietnam (Norlund et al., 2006; VUFO-NGO-Resource-Centre, 2004)

According to Mr Marko Lovrekovic, who has been the Managing Co-Director of NGO Resource Centre1since 2009, INGOs in Vietnam have been legally categorised into three groups based on their types of operation: Work permit, Project Office and Representative Office As he highlights, INGOs of Work permit group are allowed to carry out short term projects only Meanwhile, INGOs of Project Office are entitled to have long term projects thereby showing greater commitment Finally, INGOs of Representative Office have projects that are larger, take longer and spread in wider areas (Marko Lovrekovic, Interview, 30 Aug 2011)

Trang 15

The People's Aid Coordinating Committee (PACCOM)2 estimates that recently there have been 900 INGOs working in Vietnam Mr Nguyen Ngoc Hung, Deputy Director General of PACCOM, states that the numbers of INGOs belonging to each group are 430, 200 and 70 respectively He also reveals that in

2010, total budget INGOs spent in Vietnam was 279 million USD, 85% of which was contributed by 130 members of the NGO Resource Centre INGOs give priority to these working areas: health, education, economic growth, social issues, emergency response, environment protection, disaster prevention, capacity building; health is the largest area as contributing 30 – 40% INGOs’ budget in Vietnam (Nguyen Ngoc Hung, Interview, 20 Sep 2011) As Mr Hung concludes, this shows that INGOs have aligned their work with the country’s development goals

It should be noted that the community of NGOs in Vietnam consists of both INGOs and Vietnamese NGOs (VNGOs) The latter groups, that can also be called local NGOs, however are not true representatives of NGOs in the country as they are less influential and less widely acknowledged Norlund et al (2006) state that VNGOs act as service providers because they are established to implement programmes funded by international organisations including INGOs

1.1.2 DevComm

Emerging in the 1940s right after World War Two (WW2), DevComm is a comparatively new interdisciplinary field of communication and development In the 1960s, like other groups of development organisations, NGOs began to put communication at the heart of development In 2006, at the First World Congress on Communication for Development held by the FAO and the World Bank, participating development organisations agreed to adopt DevComm in their development work (The-Communication-Initiative-Network,FAO and World-Bank, 2006) Since the establishment of Millennium Development Goals (MDGs) in 2000, DevComm has been systematically used by development organisations including NGOs and has enjoyed increasing popularity (Servaes and Malikhao, 2005)

1.2 Knowledge gaps

1.2.1 NGOs gap

While NGOs’ roles in civil societies have been widely acknowledged, their key success factors in general and their communication in particular have not been explored carefully Although there are a number of studies on NGOs as a subset of civil society family, the findings are mostly about NGOs’ history and operation in practice Theoretically, significant attention has been paid to development theories which help to explain NGOs’ organisational evolvement over time rather than their communication Practically, NGOs’ general activities – such as their organisational management, their relationships with stakeholders (states, donors, businesses, etc) – have been analysed in depth However, their communication activities and their use of DevComm remain unquestioned

2

A VUFO’s functional body which specialises in facilitating foreign NGOs' activities in Viet Nam, its principle activities include facilitating humanitarian and development aid activities; processing the issuance, extension, amendment of Work Permits for INGOs; working as the focal agency between INGOs and their Vietnamese partners Please see Appendix 4 for more details on PACCOM

Trang 16

1.2.2 DevComm gap

Generally speaking, existing papers on DevComm have provided readers with an overview of the emerging field However, it is just an overall picture and the specific picture of how NGOs use DevCommhas not yet been displayed Specifically, although already discussing history, challenges, future and relevant theories of DevComm, researchers have not yet examined its practical side in any detail Some case studies of development organisations using communication in their development work have been presented, but these papers have not truly and systematically focused on NGOs’ DevComm More importantly, differences in the ways different NGOs use DevComm have been ignored In addition, some existing papers overlap each other, causing confusion to readers and limiting the amount of knowledge generated

1.2.3 Context gap

Regarding the Vietnamese context, the existing literature on NGOs in Vietnam has touched on only some general issues such as the rise, operations and impacts of NGOs in the country It has therefore missed the ways INGOs apply DevComm in the country

For example, aiming to draw some lessons INGOs learnt from a decade of working in Vietnam, the study co-ordinated by Nguyen (2001) analyses the work of international NGOs from 1990 to 1999 and identifies development areas where these non-state organisations had impacts However, while the general roles of NGOs in Vietnam’s development are examined, NGOs’ communication remains unquestioned

Some research into civil society organisations (CSOs) in Vietnam has also done over the past ten years

As the first attempt to provide a general picture of civil society in Vietnam, the project conducted by Norlund and his colleagues (2007; 2006) describes the current position of CSOs based on their four dimensions: structure, environment, values and impact The strengths and weaknesses of CSOs’ impact are also pointed out Although studying the same subject, Kerkvliet, Nguyen and Bach (2008) look at the perspective of societal state engagement and point out four forms of civil society – state interaction However, like other papers, research findings on CSOs, once again, fail to consider NGO’s communication

In brief, regarding knowledge gaps, there have been no research papers which have carefully and systematically examined DevComm done by NGOs before Existing literature on key concepts and relevant issues has missed the links between DevComm and NGOs in the Vietnamese context This dissertation, which covers all of these issues, therefore fills in the gaps

1.3 Research aims and research questions

The dissertation has two main aims and four sub-aims The two main aims are to explore INGOs’ employment of DevComm, and to explain the differences in the ways INGOs use DevComm, in Vietnam The first main aim has two sub-aims which are to examine if INGOs have used DevComm’s elements (modes, models, approaches, tools, for example) in Vietnam, and if their communication activities in the country reflect DevComm’s features The second main aim also has two sub-aims: to examine if different INGOs operating in Vietnam have employed DevComm differently, and if the differences in their

Trang 17

communication are due to the differences in organisational and management factors – such as types, roles, specialisations, and financial resources

To achieve the two main aims, the study addresses two main research questions:

(1) How do INGOs employ DevComm in Vietnam?

(2) Why do INGOs use DevComm differently in Vietnam?

These two main research questions have five sub-research questions:

- To what extent do INGOs employ DevComm in Vietnam?

- What are DevComm’s elements (modes, models, approaches, tools, for example) INGOs have used in Vietnam?

- What are DevComm’s characteristics reflected in Vietnam?

- To what extent do different INGOs use DevComm differently in Vietnam?

- What leads to the differences? Are they due to the differences in organisational and management factors (types, roles, values, specialisations, financial resources, for example)?

The first three sub-questions support the first research question and the first main aim whereas the two last sub-questions serve the second research questions and the second main aim

Hypotheses are also made to answer the five sub-questions With the first sub-question, the researcher supposes that INGOs have considerably used DevComm in Vietnam For the second and third sub-questions, the hypothesis is the fact that DevComm’s elements have been used and its characteristics can be detected in the INGOs’ work in the country For the last two sub-questions, the researcher supposes that there are differences in different INGOs’ use of DevComm and it is the organisational and management factors which cause the differences The processes of data collection and data analysis examine and verify these hypotheses with specific evidences

In terms of methodology, the research is explorative and analytical in nature Employing case study approach, it examines Oxfam and SNV – the two leading INGOs working in Vietnam Data are collected

by three methods: documentary analysis, interview and participant observation

1.4 Significance of the research

The significance of this dissertation derives from its contribution to the existing knowledge of Development, NGOs and DevComm

As mentioned above, little literature has been concerned with communication activities done by NGOs and there has been a surprising lack of research on the subject of DevComm The lack of attention to DevComm is an important gap because, as many researchers discuss, poor communication is one of the most noticeable weaknesses and failure factors of development programmes (Mefalopulos, 2008, p.8) According to Deane (2004), communication strategies used in development programmes have failed because they consider people as objects rather than change agents, focus on behaviours rather than

Trang 18

social norms, aim to persuade rather than negotiate, and make slow progress in epidemic response By analysing DevComm used by NGOs in the Vietnamese context, the dissertation draws lessons learnt which help to improve NGOs’ communication

In addition, although being crucial to successful development intervention (Mefalopulos, 2008), DevComm has not been well-aware of, and development practitioners still perceive communication in traditional way By researching into DevComm, the dissertation promotes the field and contributes to a better understanding of DevComm

The first paper to explore NGOs’ employment of DevComm in the Vietnamese context, this dissertation

is useful for both academic and practical use Academically, it fills in the knowledge gaps of NGOs and Communication thereby being a reference material for those who are interested in these fields, such as lecturers, researchers and students In terms of practical use, as giving insights into NGO work, the dissertation is useful for everyone involved in development sector such as donors, development practitioners and communication professionals

1.5 Structure of the dissertation

Following this Introduction chapter, the rest of the dissertation consists of four chapters

The Literature Review chapter critically looks at existing literature which examines three following key concepts: Development, NGOs and DevComm Relevant definitions and theories are also discussed in this chapter The Methodology chapter presents nature, approach and methods employed to collect data in detail Overview of Oxfam and SNV – the two examined INGOs – are featured here The next chapter, Analysis of Results, interprets data collected and points out key findings The final chapter continues the flow of the previous chapter by presenting and discussing more findings Conclusions and relevant recommendations are also made in this chapter

-

Summary

This chapter has introduced the research context which is dominated by the rise of NGOs and DevComm It has also pointed out the knowledge gaps which are filled in by the dissertation With the objectives of examining the ways INGOs use DevComm in Vietnam, the dissertation contributes to the existing knowledge of the relevant fields and is useful for both academic and practical use Its significance and contribution are shown in the next four chapters

Trang 19

Chapter 2: LITERATURE REVIEW

As stated in the Introduction, the dissertation involves the following key concepts: Development, NGOs and DevComm This Literature Review aims to provide an overall picture of the existing literature relevant to these key concepts We begin with development industry in general, and then we move to consider NGOs in particular before engaging with the concept that drives this study: DevComm Elements which occur throughout the Review include historical background, contemporary context, relevant theories and key concepts

2.1 Development industry

In this section, we will firstly look at contemporary context of development industry examining its history, new trends in practice and relevant concepts Then we will pay more attention to the theoretical side to notice three main paradigms which have significantly influenced development practice since the WW2

2.1.1 Contemporary context

Development is a complex and ambiguous term Although there are different interpretations of development, thanks to its clarity and inclusiveness, Thomas’s definition has been widely accepted and

used in the contemporary context of development He states: “Development is either deliberate

attempts at progress through outside intervention, or people’s own efforts to improve their quality of life within unfolding processes of capitalist change” (1996, quoted in Lewis and Kanji, 2009, p.49)

According to Mefalopulos (2008), after the WW2, there have been a number of debates on the issue of development The arguments have revolved around two opposite points of view The first one, which is also the dominant approach, considers development as an effort led by rich countries to help poorer countries push up their economies and escape underdeveloped condition However, the other viewpoint refutes this argument and considers development as an attempt by which rich countries maintain their power and privilege over the poor ones It also criticises the dominant approach for not taking internal factors of poor countries - such as local realities, needs and capacities – into account

Although the history of development can be traced back to the beginning of human history, it was not until 1949 that the modern concept of development took its shape Specifically, in his inaugural speech

in January 1949, President Truman suggested the developed countries to transfer their scientific advances and industrial progress to underdeveloped countries Esteva claims that this synthesised “the emerging vision of the world divided between richer and poorer countries” (1992, quoted in Mefalopulos, 2008, p.43)

Since 1949, development has been in the top priorities in international political agenda This is indicated

by the significant increase in financial and human resources that development organisations have received over time For instance, in 2005, official development assistance by member countries of the Organisation for Economic Co-operation and Development (OECD) reached a high record of US$106

Trang 20

billion More importantly, in 2006, the net private capital flows to developing countries was US$491 billion, an evidence for the growth of developing markets (Mefalopulos, 2008, pp.43 - 44)

As Lewis and Kanji discuss, development industry - also referred to as aid system or international development system - consists of bilateral and multilateral aid donors, the United Nations (UN) system and the Bretton Woods system Examples of bilateral donors include the UK Department for International Development (DFID) and the United States Agency for International Development (‘USAID) The three leading multiple donors are the World Bank, the European Union (EU) and the UN The UN system is represented by UN agencies such as World Health Organisation (WHO), Food and Agriculture Organisation (FAO), United Nations Development Programme (UNDP), United Nations International Children's Emergency Fund (UNICIEP) and United Nations Environment Programme (UNEP) The Bretton Woods system consists of global and regional financial institutions Statistic shows that currently 40 bilateral donors, 26 UN agencies, and 20 global and regional financial institutions have involved in development industry (2009, p.164)

Development theories and practice have evolved over time During the 1950s and the 1960s, development was perceived as an economic term and mainly emphasised economic growth and statistics rather than distribution and people However, since the 1980s, a new trend of development has emerged and been growing: alternative development In contrast to conventional development, alternative development places great importance on people-centred approaches and the concepts of Rights, Gender equality, Empowerment, and Participation According to Lewis and Kanji, six “buzzwords”

in development nowadays are Empowerment, Participation, Partnership, Ownership, Accountability, and Transparency (2009, p.73) Alternative development, therefore, is also referred to as people-centred development or right-based development (Lewis and Kanji, 2009, pp.88 - 89)

Participation is not an absolute concept According to Mefalopulos, participatory approaches facilitate

people’s involvement and create a shift in the roles individuals play: “from passive recipients to active agents of development efforts” (2008, pp.50 - 54) In other words, by participating, people get involved

in problem-solving and decision making processes, thereby gaining more power over their own lives

Indicators of participation in development initiatives vary From a political perspective, participation is good governance and a right-based approach From a technical perspective, participation is long-term results and sustainability of initiatives According to Tufte and Mefalopulos, participation takes place at three levels: Individual psycho-social, life skills or competencies, and institutional or community level (2009, p.4) The World Bank identifies four types of participation The types of lowest levels are information sharing and consultation The types of higher levels are collaboration and empowerment (1995, quoted in Mefalopulos, 2008, p.52) This typology is consistent with classification by Lewis and Kanji (2009, p.75) who call four forms of participation as nominal, instrumental, representative and transformative participation

The most popular examples of participatory approaches are Participatory Rural Appraisal (‘PRA) and Participatory Action Research (PAR), two research methods which require community to be involved in the research process and the identification of problems Specifically, researchers spend their time living with local people to gain insights into the problems identified by the community Designed to be conducted in rural poor areas, PRA employs tools and techniques that can suit illiterate people (Mefalopulos, 2008, p.53) In PAR, local practitioners play two roles: subjects of the research and co-researchers (Cadiz, 2005, p.153)

Trang 21

The focus on participation has increased interests in “social exclusion” This concept emphasises

experience of certain groups who have been excluded from decision making process, and calls for inclusive solutions where affected people are no longer left behind As social exclusion is one of poverty causing factors, participation is therefore one of key answers to poverty reduction

Participation also has close links with empowerment As Lewis and Kanji (2009) explain, due to its

multiple origins, the term “empowerment” has been interpreted in different ways One of the interpretations considers empowerment as an individual process which provides people with means to improve their personal lives Meanwhile, another viewpoint looks at empowerment as forms of

“collective action which emphasises issues of organisation and politics” (Lewis and Kanji, 2009, p.77)

Interestingly, Narayan embraces both of these two viewpoints as he says: “Empowerment is the

expansion of assets and capabilities of poor people to participate in, negotiate with, influence, control, and hold accountable institutions that affect their lives” (2002, quoted in Mefalopulos, 2008, p.55)

However, whichever meanings the term carries, empowerment is widely acknowledged as a tool for understanding what need to be done to transform the condition of the poor and marginalised people; and the change process takes place at two levels: from understanding to taking action, from personal growth to collective development (Lewis, 2007, pp.113 - 114) In fact, in alternative development context, the growing attention paid to empowerment proves a shift in the way poverty is considered As Lewis and Kanji state, poverty is no longer perceived simply as a result of the lack of material resources, but “an outcome of unequal power relations” (2009, p.76)

According to the World Bank, empowerment has five key elements: access to information, inclusion within decision making, accountability of organisation to people, and local organising capacity to resolve problems of common interests (2002, quoted in Lewis and Kanji, 2009, p.59) Rowlands suggests an effective strategy to achieve empowerment Her strategy aims to empower people at three levels: personal, relational and collective Respectively, indicators of empowerment at each level are the greater self-confidence, the ability to renegotiate and gain greater decision-making power, the ability to set up local or national networks (1995, quoted in Lewis and Kanji, 2009, pp.77 - 78)

2.1.2 Three paradigms

The moves in development practice can be explained by three theoretical paradigms which have been dominating the development industry and the field of DevComm since the WW2 (Mefalopulos, 2008, p.43)

The first one is modernisation paradigm, or the dominant paradigm, which started taking effect at the

same time with Truman’s inaugural speech in 1949 It bloomed in the Cold War context where the world politics was polarised by the two superpowers: the US and the Soviet Union Conceiving development as modernisation and economic growth, this paradigm suggests that solutions to development problems should be based on science, technology and free markets From its viewpoints, developed countries have responsibilities to modernise underdeveloped countries, and poor countries have to modernise and speed up their economies in order to achieve development It also blames poor countries for their underdeveloped condition

As Mefalopulos (2008) discusses, although bringing systematic approach and practical tools to development initiatives, modernisation paradigm has been criticised for two reasons Firstly, it focuses

Trang 22

exclusively on economic factors and neglects factors of historical, political, social and cultural dimensions, thereby limiting alternative routes to development Secondly, it overemphasises capacities

of individual countries as requiring poor countries to be economically self-reliant

Risen in the 1970s and 1980s, dependency theory is another paradigm that has contributed to

development theoretical framework Rooted in political – economic dimensions, this theory is opposite

modernisation theory as considering “development and underdevelopment are two faces of the same

coin” (Mefalopulos, 2008, p.47) From its viewpoints, the world is divided into two different blocs: the

core of a few rich countries, and the periphery of many poor countries It claims that underdeveloped condition of the poor countries is not only internally caused but also depends on external factors such as the rich countries’ domination Therefore, it assumes that solutions to development problems should be collective actions made by both underdeveloped and developed countries

The paradigm also proposes solutions to address the imbalance between the core and the periphery Its suggestion is as follows At national level, poor countries would develop their economies thereby becoming economically self-reliant and less dependent on rich countries Internationally, poor countries would work together in form of alliances to strengthen their political presence As a result, the world politics and economy would be balanced by both rich and poor countries (Mefalopulos, 2008, p.48)

Like modernisation paradigm, dependency paradigm has its own pros and cons It looks at development issues in broader context and lifts the solutions to global level However, it oversimplifies the complexity

of global context when dividing the world into two parts (the core and the periphery) and ignoring the differences in political-economic status between developing countries In addition, by suggesting collective actions, it blurs the determinant roles played by internal capacities of poor countries in solving development problems

The third paradigm, participatory paradigm, emerged in the 1980s It differs from the two other

paradigms as being rooted in cultural dimension and considering development as participation and empowerment Focusing on social dimension instead of economic growth, its solutions to development problems place importance on people, rights and power issues People’s participation, good governance, democratic principles, sustainability are at the centre of this perspective (Mefalopulos,

2008, p.51) Its popularity has been growing since 2000 when the UN established the Millennium Development Goal (MDGs) giving priorities for poverty reduction, education, gender equality and health issues

As Mefalopulos (2008) points out, advantages of this paradigm derive from its participatory feature Specifically, participation lowers cost of services provided, encourages the powerless to get involved, makes use of local knowledge, increases sense of responsibility and stimulates further development efforts In addition, flexibility and adaptability also makes participatory paradigm easy to adopt in different contexts However, its complexity, ambiguity and involvement with sensitive issues discourage development practitioners to employ it in practice

To sum up, we have looked at overall picture of contemporary development industry which has witnessed the emergence of alternative development, or people-centred development and right-based development Participation and Empowerment, the two concepts which have been central to alternative development, have been highlighted Three main paradigms - Modernisation, Dependency and Participatory paradigm - which have characterised the field of development have also been analysed in considerable depth The next section will deal with NGOs – key actors in development industry

Trang 23

2.2 NGOs

In terms of NGOs, there is considerable literature on this concept thanks to the popularity that civil society has enjoyed over the past three decades This section will firstly provide definitions of key relevant concepts such as NGO, civil society, civil society organisation, and third sector Next, NGOs’ diversity, strengths and weaknesses will be discussed before their roles and general activities are identified Finally, we will look closely at three specific activities that represent NGOs’ key roles

2.2.1 Definitions

According to Lewis and Kanji, emerged in the 1980s and became important in the 1990s, civil society is a space between state and market which consists of a wide range of groups acting to balance these two sectors (2009, p.9) The two authors also state that a CSO is driven by the values of social justice and development Examples include people’s movements, citizen’s groups, consumer associations, small producer associations (Lewis and Kanji, 2009, p.121)

Within the framework of civil society, NGOs is a subset and the main representative of this wide family From different perspectives, many researchers have made different definitions of NGOs Whereas others focus on either legal, economic or functional features of NGOs, definition of Vakil is based on structural-operational elements and has been widely used in development industry As Vakil defines,

NGOs “are self-governing, private, not-for-profit organisations that are geared to improving the quality

of life for disadvantaged people” (1997, quoted in Lewis and Kanji, 2009, p.11)

In the existing literature, different terms have been used to refer to NGO Similar labels include

“Voluntary organisation” (‘VO), “Charity”, “Non profit organisation” (NPO) Lewis and Kanji explain that this is a result of different cultures and histories (2009, pp.7 - 9) For example, the term VO or “charity”

is popular in the UK where Christian values have established a long tradition of volunteering and voluntary work Meanwhile, the term NPO is common in the US due to the dominance of market and the fiscal benefits rewarded to citizen organisations if they are not commercial and work for public good Importantly, in its Charter drawn up in 1945, the UN invented the term “NGO” and first defined

NGOs as “international non-state organisations which gain consultative status in the UN activities”

(Lewis and Kanji, 2009, p.8) Because the UN has been playing leading role in development industry, the term NGO has been widely used since 1945

Another confusion found in the existing literature is the usage of the concept “third sector” In fact, the

“third sector” is a counterpart to the concept of “civil society” although the former is less normative and less complex than the latter The label “third sector” is based on a classification which divides all institutions into three sectors: the first one is public sector dominated by government, the second is private sector comprised of for-profit businesses, and the third one of not-for profit organisations or

NGOs As Lewis and Kanji discuss, a third word organisation is characterised by the fact they are formal,

private, non-profit distributing, self-governing and voluntary (2009, p.10) These characteristics are in

line with those indicated in Vakil’s definition of NGOs A third sector organisation, therefore, can be

considered as an NGO

Trang 24

2.2.2 Diversity

The first NGOs were established in Western societies in the late 18th century (1775) Having gone through the history of more than 200 years, NGOs are now high profile actors in the field of international development A number of studies have focused on portraying NGOs as a rising group of organisations Basic organisational and management factors of NGOs – such as structures, financial resources, values – have been analysed in depth Lewis and Kanji (2009) are among the researchers who have carefully presented a complex picture on NGOs’ diversity

According to these two authors, NGOs are extremely diverse because they “play different roles, take

different shapes and forms, and work across different country contexts” (2009, p.2) They explain that

this diversity is derived from the differences in organisational and management factors Specifically, some NGOs have large, formal and bureaucratic structures while their counterparts fit in small, informal and flexible ones In terms of financial resources, some NGOs receive funds from aid donors whereas the others work outside the aid system, accept public giving only and finance themselves by trading and fundraising Division in financial resources leads to NGOs’ differences in independence and values: while some NGOs are run by government and bureaucratic, the others are not; while some NGOs resemble private organisations and drive for profit, the others do not

Expectations on NGOs also vary The radicals expect NGOs to be vehicles for progressive change Meanwhile, from conservative and neoliberal views, NGOs are a part of market-based solutions to policy problems (Lewis and Kanji, 2009, p.5) Differences in activities NGOs undertake are also striking Lewis and Kanji categorise NGOs work into two types: relief work and development work Relief work, or humanitarian intervention, aims to address immediate needs - such as water, food, clothing, shelter and health care – in the areas of disasters, conflicts and crises Development work, in contrast, has the forms

of programmes and projects, bringing innovation and sustainable solutions to certain problems While the former takes place in short term, the latter requires long term strategies However, in the context of

“complex emergencies”, the distinction between relief and development is not clear anymore

The diversity not only makes NGOs difficult to grasp, but also brings a dual character to this non-state group This is proven by the fact that in reality, NGOs “alternate between theoretical and activist discourse, between identities of public and private, professionalism and amateurishness, market and non-market values, radicalism and pluralism, modernity and tradition” (Lewis and Kanji, 2009, p.44) However, the two authors claim that the dual character is a NGOs’ strength as it enables NGOs to transcend categories and boundaries

2.2.3 Strengths and weaknesses

Strengths and weaknesses is another aspect of NGOs to which many researchers have paid attention In general, they agree that NGOs have a number of advantages over other types of organisations As

Hulme and Edwards state, in development industry, “NGOs serve as a response to failure in the public

and private sector” (1997, p.46) However, NGOs have also been criticised for their weaknesses The two

following tables present NGOs’ pros and cons respectively

Trang 25

Table 2.1 NGOs’ strengths

1 Specialisation NGOs focus on serving the poor and concentrate on a few activities relating to

the needs of the poor

2 Participation NGOs use participatory approaches thereby facilitating decentralisation and

involvement of the poor in decision making process

4 Innovation This strength is a result of flexibility which helps to reduce bureaucratic factors

involved in decision making process

Table 2.2 NGOs’ weaknesses

1 Legitimacy problems They do not coordinate well among themselves

NGOs working in the same country often criticise their counterparts rather than collaborating together

They consider other NGOs as rivals rather than partners

2 Leadership and control

problems

The board is not well-equipped to run aid programmes

3 Staff problems Their Human Resources (HR) structure is similar to those of

government Tension between expatriates and local staff Decentralisation is weak

Ineffective reallocation

4 Project design Not reach the poor

The poorest are least served The less needy clients received better services

Decision making is dominated by local elites/ no real grassroots participation

Disconnected/ isolated

5 Accountability problems Unproven record in poverty reduction

Accountability and control

6 Private character Undermine voluntary values and government roles

Sources: Hulme and Edwards (1997), Clark (1991), and Lewis and Kanji (2009)

Trang 26

2.2.4 Roles and general activities

In addition to general features, researchers have also analysed particular roles and activities NGOs have undertaken

In his book on management of NGOs, Lewis (2007) says, despite their diversity, all NGOs need to manage three main areas which are interrelated and whose centre is the context The first area is development activities such as programmes, projects, campaigns, services The second is relationships with other institutional actors: state, private business, NGOs, etc Finally, organisation - such as internal structure and process – cannot be ignored

As mentioned above, two types of NGO work are relief work and development work Lewis and Kanji lists 10 key activities carried out by NGOs (2009) The following table categorises these activities based

on two types of NGO work

Table 2.3 NGO activities based on types of work

Type Relief work Development work

Activities Services delivery Policy advocacy and public campaigns

Emergency response Democracy building

Conflict resolution Human right work Cultural preservation Environmental activism Policy analysis

Research and information provision Source: adapted from Lewis and Kanji (2009, p.1)

There is another classification which is based on the roles NGOs play Hulme and Edwards (1997) and Lewis (2007) claims that NGOs have been playing three roles: implementers, catalysts and partners The Table 2.4 presents three main sets of NGO activities based on roles

Trang 27

Table 2.4 NGO activities based on roles

Implementers This role involves resource mobilisation and

programme implementation to provide goods and services to people who need them

Service delivery Healthcare Microfinance Agricultural extension Emergency relief Human rights Catalysts NGOs inspire, facilitate and contribute

improved thinking and actions to promote changes Another type of catalyst activities

is innovation (which means bringing new ideas, approaches, solutions to development)

Grassroots organising Group formation Gender and empowerment work Advocacy3

Researching Innovation4 and policy entrepreneurship Partners NGOs work with governments, donors,

private sectors on joint activities

Activities concerned with this role aim to make more efficient use of scare resources, increase institutional sustainability and improve quality of an NGO’s interaction

Partnering Capacity building5

Source: adapted from Lewis and Kanji (2009, pp.12 – 13, pp.112 – 116)

in generating pressure on governments and holding them accountable to have better services (Lewis,

2007, p.111; Lewis and Kanji, 2009, p.93)

Although the involvement of NGOs makes service provision more flexible and bring better services to people, there have been concerns that this NGO role undermines state power, leads to unsustainable results, and takes away NGOs’ voluntaristic character as well as value-driven identity (Lewis, 2007, pp.113 – 114)

Trang 28

2.2.5.2 Advocacy

According to Rugendyke (2007), Lewis and Kanji (2009), advocacy is the strategic use of information to influence decision making process and to address the causes of problems Its activities - such as campaigning, lobbying, education and research – create public awareness, influence structures and policies, and eventually bring about change

NGOs began advocacy in the 1970s and the 1990s witnessed the increased importance of this NGO work Take Australia for an example During the 1990s, in this country, both existing and new NGOs, considered advocacy as either their specialisation or a crucial part in their operation In fact, advocacy has increasingly become an important global phenomenon and has been adopted as the strategy most effective in reducing global poverty (Ollif, 2007, pp.66 - 67) As Clark explains, poverty is political in nature, advocacy brings political change thereby contributing significantly to poverty reduction (1991, p.29)

Researchers have pointed out two types of NGO advocacy The first type is advocacy that is seeking fundamental change by influencing processes, structures or ideologies The other is advocacy that is seeking incremental reform by influencing specific policies, programmes or projects The first type takes longer time and uses more extensive resources (Ollif, 2007, pp.49 - 55)

To implement these two different types of advocacy, NGOs have used two different approaches: confrontation and cooperation While the first approach employs confronting actions - such as protests, marches, demonstrations, the other is in favour of non confrontational means such as dialogues Research findings conclude that cooperation is more successful than confrontation approach (Lewis and Kanji, 2009, pp.105 - 106) However, in practice, NGO advocacy is often the mix of both approaches

Existing literature has mentioned three tools essentail to advocacy work The first tool is public support For example, during campaigns, NGOs deliver signed postcards, petitions, emails or letters to politicians The second tool is alliance which means NGOs build partnership with various types of organisations As Ollif reveals, in Australia, 90% of NGOs had worked in alliance with other (2007, pp.49 – 55) The third tool is media Ollif explains, good media coverage helps to inform the public and the politicians, to set agenda, and to prove to NGOs supporters that they are working seriously

In fact, these three tools are among success factors of advocacy work As Rugendyke (2007), Lewis and Kanji (2009) analyse, successful advocacy is resulted from clear strategy, strong alliance, accurate and well documented research, significant public support, appropriate use of media and communication technology

According to Lewis and Kanji (2009), although being highly appreciated by NGOs as an effective strategy

to achieve development goals, advocacy has been criticised due to the following reasons First, it feasibility is low because it mainly involves political issues Second, its accountability and legitimacy is not clear as it is hard to identify whose views NGOs are presenting and because NGOs’ desires are just ideological and not reality-based Two other reasons are the low relevance of advocacy to context, and the lack of scientific evidence for advocacy’s effectiveness and impact

Trang 29

Due to the criticism, NGO advocacy work has been facing a number of challenges, such as inadequate funding, lack of adequate resources and maintaining accountability As advocacy outcomes are often invisible, it is difficult for NGOs to prove its accountability as well as the links between advocacy outcomes and social change This also discourages donors to support NGOs financially As Ollif (2007) suggests, the challenge of funding can be addressed by demonstrating that advocacy is cost effective and make a positive difference to people’s lives Building more deliberate alliances to raise their profiles and to reduce cost is another recommended solution

2.2.5.3 Partnering

This NGO activity has received greater attention from researchers

A global programme of the International Business Leaders Forum (‘IBLF)6, The Partnering Initiative (TPI)

has been considered as a global hub for learning about partnering It promotes cross–sector partnership for sustainable development by providing partnership practitioners from all sectors with practical

guidelines and tools Two of its recent tool books are Partnering: Step by step (Tennyson,Huq and Pyres, 2009) and Talking the Walk: A Communication Manual for Partnership Practitioners (McManus and Tennyson, 2008)

The former tool book focuses on operational aspects of partnering at local level A simple partnering cycle which has four phases and twelve steps is suggested for local practitioners to apply The authors emphasise the importance of local partnership as it also contributes to the global partnership movement by “creating greater local self-reliance and home grown solutions to challenges, promoting more sustainable development initiatives, having long-term impact on institutions and organisations in each sector, and building a more stable and less fragmented society” (Tennyson,Huq and Pyres, 2009, p.4)

Recognising the crucial roles communication plays in partnering process, the latter tool book focuses only on this element According to the authors, partnering is actually a communication challenge, and

“good communication is the heart – or more accurately, the heartbeat – of all effective partnering”(McManus and Tennyson, 2008, p.1) Drawn from experience more than fifteen practitioners, the tool book presents a series of case studies, think pieces, guides, tools and checklists to enable better communication in partnering

In its publications, TPI has defined relevant key concepts Partnering, from its viewpoint, is “the delivery

of co-created and co-managed initiatives with an emphasis on building local self-reliance and sustainability” (Tennyson,Huq and Pyres, 2009, p.4) Partnership, as TPI defines, “is the collaboration between different sectors in society to achieve sustainable development goals” (McManus and

Tennyson, 2008, p.4)

According to TPI, different sectors have different motivations for partnering Specifically, government’s motivations include being responsive to local need, delivery effectiveness and reach, cost effectiveness,

6

working in association with the European Partnership for Sustainable Development, Overseas Development Institute, United Nations System Staff College and University of Cambridge Programme for Industry

Trang 30

innovative solutions, implementing regulations, improving good governance, and building constituency support Business develops partnership because it wants to develop market and product, mitigate risks, gain reputation and competitive differentiation, and demonstrate CSR Meanwhile, to the third sector, partnering is a useful tool to achieve development goals, engage stakeholders, create greater reach and impact, improve transparency, reduce aid dependence and build community self-reliance (Tennyson,Huq and Pyres, 2009, p.5)

IPI also claims that good partnerships are based on the three core principles presented in the following table

Table 2.5 Core principles for good partnerships

Equity Everyone’s contribution is valued and respected

Transparency Partners deal with each other in an open and honest manner

Mutual benefit It is legitimate for all partners to expect a ‘return’ for their own organisation/

sector from being partners Source: Adapted from Tennyson, Huq and Pyres (2009, p.4)

Other factors that contribute to effective partnerships include partnering skill, shared values and principles, common goals or objectives holding the group together, good governance arrangements, enabling environment, etc Importantly, communication plays crucial role in the partnering process (McManus and Tennyson, 2008, p.4)

Lewis and Kanji (2009) categorise partnerships into active and passive partnership The authors say, active partnership is built through negotiation, debate, occasional conflicts and a process of learning through trial and error Therefore, it is a flexible relationship In contrast, passive, or dependent partnership has blueprint characters and fix regulations (Lewis and Kanji, 2009, pp.114 - 115)

A number of research papers have focused on relationship between NGOs and their key stakeholders including states, donor and business

 NGOs and states

According to Lewis and Kanji (2009), relationship between NGOs and states is interesting as it moves between two opposite points: hostility and cooperation The first type of relationship occurs as NGOs challenge states by advocating for changes in policy and legislation In return, states react by intervening NGOs’ affairs or dissolving them Meanwhile, the cooperation occurs as NGO work improves living conditions and the governments support NGOs during intervention processes (Lewis and Kanji, 2009)(Lewis and Kanji, 2009)(Lewis and Kanji, 2009)(Lewis and Kanji, 2009)(Lewis and Kanji, 2009)The two authors also point out the “enabling environment” for NGO work It is the one in which the government manages the economy well, provides basic infrastructure and services and maintain peace and the democratic rule of law (Lewis and Kanji, 2009, pp.25 - 30)

Trang 31

The book NGOs, states and donors: Too close for comfort? edited by Hulme and Edwards (1997) is one of

few research dedicated to relationships between NGOs, states and donors It deeply analyses factors which either contribute or prevent positive links between NGOs and states Specifically, according to Clark (Clark, 1997), the foundationof a healthy relationship between the two parties is their common objectives, and barriers to their good relationship involve a number of factors For instance, governmental factors include government’s weak commitment, rife corruption and nepotism Meanwhile, NGOs’ preference for isolation and their low profiles are obstacles to mutually beneficial relationship (Clark, 1997, pp 47 – 50)

 NGOs and donors

Relationship between NGOs and donors takes place in the context of development industry, or the aid system Many NGOs are funded by aid donors while others only accept public giving and finance themselves by trading and fundraising Some NGOs are even donors who finance other organisations (Lewis and Kanji, 2009, pp.164 - 165)

Researching mechanism of NGO funding, Lewis and Kanji (2009) point out two key routes: grand model and contracting The first route requires NGOs to submit proposals of programmes or projects whereas with the second one, NGOs undertake specific roles and tasks within programmes or projects run by donors or governments (Lewis and Kanji, 2009, p.171)

Donors’ direct support to NGOs started in 1970s and accelerated in 1980s as donors realised that NGOs were better than organisations of public and private sectors Being funded by donors ensures NGOs’ financial sufficiency However, it reduces NGOs’ financial independence and autonomy For example, in terms of administration, financial dependence reduces NGOs’ freedom in carrying out fundraising and advocacy work It also leads to the lack of clarity in organisational decision making process In addition, donors’ bureaucratic approaches can limit NGOs’ creativity and flexibility; NGOs may shift from informal

to formal structure, from empowerment to service provision In return, NGOs influence donors by bringing people – centred approaches to development industry and working as consultancy agencies for donors (pp.175 - 180)

 NGOs and businesses

Relationship between NGOs and businesses is stimulated by the context of globalisation As Lewis and Kanji (2009) explain, globalisation entered development discourse in the 1990s and since then has become an important framework which impacts the way NGOs engage in development and the work they undertake Specifically, in globalisation context, civil society requires new cross-national meanings and new forms of connection between non-state groups and organisations As a result, global civil society, a global network of organisations united to work together on poverty, environment, peace and human rights is established As a part of this network, NGOs attempt to make economic globalisation to work for the poor by advocating ethical business and fair trade initiatives (Lewis and Kanji, 2009, pp.142

- 150)

In this context, aiming to bring economic benefits to the poor, and to facilitate economic opportunities for developing countries, NGOs have strengthened their engagement with business Lewis and Kanji (2009) claim that corporate social responsibility (CSR) is currently among the most effective ways in

Trang 32

which NGOs influence business and market The rise of CSR has required business to place more importance on their moral obligation by making greater contribution to community development rather than focusing only on making profit To meet the growing demand for CSR, business has diversified their stakeholders, committed to codes of conduct and applied right-based approaches Business, in return, has also influenced NGOs For instance, NGOs have employed business-oriented approaches by offering microfinance services, and building financial self-sufficiency among their southern partner organisations (Lewis and Kanji, 2009, pp.150 - 154)

Noticeably, various writings have revealed interaction between NGOs and businesses For instance, Winston (2002) examines strategies and tactics NGOs employed to influence multinational corporations (MNCs) and call for improvement in their corporate social responsibility (CSR) Meanwhile, Burchell, Cook, Huijstee and Glasbergen (2006; 2008) investigate dialogue between NGOs and business to find out its drivers, types, topics and impacts These authors claim that dialogues improve the relationship between the two groups of organisation, leading to positive change in company strategy and policies Similarly, in a study on trends of business-NGO partnerships, Bobenrieth and Stibbe (2010) point out key challenges and opportunities for the two parties to achieve mutual benefits Some case studies have also been done to give more explicit examples of business-NGO interactions and CSR development as a result of responding to NGO pressures Among them are the case studies on Starbucks’ collaborations with NGOs (Argenti, 2004), Rabobank with Friends of the Earth (Huijstee and Glasbergen, 2010)

In summary, we have had a close look at NGO picture Definitions of key concepts – such as NGO, civil

society, civil society organisation, and third sector – are provided Different terms used equally with NGO have also been explained in order to reduce confusion NGOs’ diversity has been highlighted showing differences in their organisational and management factors (structures, financial resources, independence, values, expectations, and types of activities) NGOs are usually more valuable than other types of organisations thanks to their specialisation, participation, flexibility, innovation, cost effectiveness and efficiency, commitment, and credibility However, these non-state organisations are facing problems about legitimacy, leadership and control, staff, and accountability Their project design and private character have also been criticised In development industry, NGOs carry two types of work (relief and development work) and play three roles of implementers, catalysts, and partners Service delivery, advocacy and partnering are three typical activities undertaken by the three roles respectively

Having considered the existing literature related to development industry and NGOs, in the next section, the Review will discuss another key concept, DevComm, to explore communication used by NGOs in the development context

Trang 33

2.3 DevComm

DevComm emerged in the 1940s, but it was not until 1972 that the term DevComm was coined by Nora

Quebral7 Before that, different labels had been used to refer DevComm such as Communication for

Development, Development Support Communication, and Communication for Social Change The First

World Congress of Communication for Development, held in Rome in 2006, defined DevComm as “a

social process based on dialog using a broad range of tools and methods It is also about seeking change

at different levels, including listening, building trust, sharing knowledge and skills, building policies, debating, and learning for sustained and meaningful change It is not public relations or corporate communication” (FAO, n.d.; Mefalopulos, 2008, p.8)

An experienced professional of DevComm, Mefalopulos summarises: “DevComm is an interdisciplinary

field dedicated to enhancing development initiatives through the professional use of dialogic and monologic approaches, methods, and media” (2008, p.231) In other words, as he states, although

belonging the broad communication family, DevComm is a specific discipline, or an interdisciplinary field

of study, which has its own theoretical body of knowledge, methodologies and toolbag Therefore, it differs significantly from other communication areas, such as journalism, public relations, or corporate communication (Mefalopulos, 2008, pp.69 - 71)

According to Tufte, communication academics had not touched the field of development and social change for nearly 20 years (2005) Currently, there are four key bodies specialised in researching DevComm: Nordicom, Consortium of Communication for Social Change (CFSC Consortium), the UN and the World Bank

Set up by a cooperation between five Nordic countries (Denmark, Finland, Iceland, Norway and Sweden), Nordicom is a knowledge centre that popularises Nordic research in the field of media and communication, and promotes collaboration between the Nordic research communities and colleagues abroad (Nordicom, n.d.) Meanwhile, established in 2003, CFSC Consortium has worked through advocacy, research, publications, teaching and training to enhance the practice of communication for social change It also aims to improve effectiveness of development work by encouraging collective actions and people’s participation in finding solutions to their own problems (CFSC-Consortium, 2010) The World Bank is one of the organisations active in promoting DevComm Established in 1998, the Bank’s Development Communication Division (DevComm Division) has significantly contributed to

popularising the field Aiming to “put communication at the heart of development”, it values

communication as a pillar of development and provides the Bank’s staff as well as clients with communication advice, skills and tools needed for successful development work (World-Bank, 2008, n.d.)

Similarly, the UN and its agencies (FAO, UNDP, UNEP, etc) are also leading organisations in DevComm The Roundtables and World Congress on Communication for Development which they organise regularly have increased interests in DevComm among practitioners and academics Moreover, discussions during their events have helped generate knowledge, address issues and set priorities for the discipline’s development (FAO, 2004)

7

A Filipino scholar who has significantly contributed to the field and has been honoured as the Mother of DevComm

Trang 34

Most of the existing research papers on DevComm have been produced by these four bodies Researchers have paid attention to both theoretical and practical sides of the field For instance, its basic concepts, features, principles, approaches and application have been explored in considerable depth in the work of Hemer and Tufte (2005), Gumucio-Dagron and Tufte (2005), Parks (2005), Mefalopulos (2008), Tufte and Mefalopulos (2009), and FAO (n.d.)

Aiming to provide an overview of DevComm, this section will firstly look at theoretical roots of DevComm before engaging in its features and principles which reveal the field’s advantages over other types of communication Next, the application and contribution of DevComm in development industry will be discussed to emphasise a methodological framework which has been widely employed, and obstacles that limit the field’s potential

2.3.1 Theoretical framework

Historically, as Mozammel (2008) analyses, DevComm takes its roots in the aftermath of the WW2 as a response to increased demands for the following factors in the new development process: democratisation, transparency, a holistic approach8, and people’s participation in decision making

Theoretically, the changing development theoretical framework since the WW2 has significantly changed the roles of communication in development industry The development of DevComm is therefore to satisfy the new roles communication undertakes Specifically, the shift from Modernisation

to Participatory paradigm has shifted development work from focusing on economic growth to people’s empowerment Individuals, from being considered as passive recipients have become active agents of development initiatives The field of communication, in this context, has also made radical changes

Particularly, as Mefalopulos (2008) explains, communication used in development projects has moved from vertical to horizontal flow, from top-down to bottom-up approach, from traditional one-way model

to interactive two-way model Due to its closeness and inflexibility, diffusion approaches based on Lasswell’s classic formula9 are no longer in favour Instead, communication practitioners have started employing participatory approaches which focus on participation and make great room for dialog As a result of this move, media, which were once powerful for information dissemination and persuading people, have been turned into tools for situation analysis and facilitating stakeholders’ engagement (Mefalopulos, 2008, pp.43 - 56)

2.3.2 Features

Mefalopulos (2008) says, in development industry, there have been four types of communication: corporate communication, internal communication, advocacy communication and DevComm The following table distinguishes them

Trang 35

Table 2.6 Four communication types in development context

Corporate

communication

To communicate vision, mission, values and activities of an organisation, mostly for external audiences

To build trust in the organisation and support for development

Use media outputs to promote the vision, mission, values of the organisation

Inform audiences about relevant activities

Internal

communication10

To facilitate the information flow within an organisation or project

To reduce duplication between units

Ensure effective information sharing between the organisation’s staff

Advocacy

communication To advocate for development initiatives

Raise awareness on development issues

Influence relevant public and decision makers

DevComm To facilitate sustainable change in

development work

Engage stakeholders Establish conducive environments for sustainable change

Source: Adapted from Mefalopulos (2008, p.5) and Mozammel (2008)

As mentioned above, since the WW2, theoretical framework of development industry in general and communication used in development context in particular has shifted from Modernisation to Participatory paradigm Two modes of communication based on these two dominant perspectives are called monologic and dialogic mode respectively Actually, these two basic modes consist of and characterise DevComm Although being opposing and serving different purposes, they do not conflict and can complement each other (Mefalopulos, 2008, p.21) The table 2.7 presents them in detail

10

This type of communication can be included in corporate communication

Trang 36

Table 2.7 Monologic and Dialogic mode

Paradigm Modernisation Participatory

Process Top-down

Vertical Product-oriented Message-based Close-ended

Bottom-up Horizontal Process-oriented Dialog-based Open-ended Model One-way/ Transmission/

Lasswell’s classic formula

Two-way Approaches Diffusion approaches Participatory approaches

Dialog-based approaches Tactics Social marketing

Media campaign Information dissemination Advocacy

Awareness raising Strategic communication

Community mobilization Capacity building Conflict resolution Nondirective communication Roles Persuasive tool Research/ analytical/ explorative tool

Facilitate dialog Analyse the situation Propose the appropriate strategy for change Stakeholders’

roles

Passive receivers Active partners

Timing At implementation stage when

objectives have already set

Best used at the beginning of the project before objectives have been defined

Outcomes Change in AKAB ladder (Awareness,

Knowledge, Attitudes and Behaviours)

Awareness raising Knowledge increase Favour or positive attitudes Behaviour change

Stakeholder’s participation Mutual understanding Trust building

Consensus building Empowerment Capacity building Risk mitigation Identifying opportunity Conflict resolution Problem solving Source: Adapted from Mefalopulos (2008, pp.21 - 24, pp.56 - 60) and Tufte and Mefalopulos (2009, pp.9

- 16)

Trang 37

In addition, as Mefalopulos categories, monologic mode can be divided into two modes: communication

to inform and communication to persuade The first aims to raise awareness and increase knowledge

whereas the second’s objectives are to foster positive behaviour, promote behaviour change and

maintain appropriate behaviours Similarly, under dialogic mode, there are two modes: communication

to assess and communication to empower The former aims to investigate, assess and analyse the

situation whereas the latter is used for increasing stakeholders’ involvement in decision making process

(Mefalopulos, 2008, p.24)

In practice, application of DevComm is the selective mix of the two communication modes Practitioners

have flexibly combined different approaches and tactics borrowed from monologic and dialogic modes

to fulfil their projects’ objectives This integrated approach is named “Communication multitrack

approach” DevComm is best employed when the two modes are fully understood and carefully tailored

for each situation (Mefalopulos, 2008, pp.70 - 73)

2.3.3 Principles

As mentioned above, DevComm emphasises participation and dialog It aims not only to inform,

persuade and advocate, but also to listen, explore, engage, empower and mobilise It strives not only for

information dissemination, awareness-raising or behaviour change, but also for stakeholder

participation, community empowerment, self-renewing societies, and sustainable development

(Mozammel, 2008; Servaes and Malikhao, 2005; World-Bank, 2004) The following table points out nine

key principles that make DevComm different from other types of communication

Trang 38

Table 2.8 Key principles of DevComm

Dialogic

DevComm is dialog-based and uses interactive two-way communication model to build mutual understanding

Dialog, in development communication context, is “about the professional facilitation

of dialogic methods among stakeholders to explore and identify priorities and best alternatives leading to change” In contrast to discussion which aims to identify who is right, dialog is a win-win situation where everyone’s idea is respected and everyone is the winner (Mefalopulos, 2008, pp.42 - 43) Focusing on dialogue, DevComm encourages all stakeholders to voice their concerns

Inclusive DevComm gets all stakeholder groups involved Special attention is paid to the

marginalised and disadvantaged people

Heuristic Communication is used as an explorative tool to discover and solve problem through

sharing information and knowledge

Analytical Within DevComm framework, communication is not just to communicate the

message but also to analyse situation, to assess risks and identify opportunities

The application of DevComm makes great room for creativity and adaptability There

is no universal formula as situation varies in each development project Practitioners always take local context and local resources into account Although projects follow the same process, different modes, approaches and tools are employed

Interdisciplinary Some principles of DevComm body of knowledge are borrowed from other disciplines

DevComm specialists are required to be familiar with other disciplines - such as sociology, psychology, ethnography, political economy, and adult education

Persuasive

In the past, “persuasion” is a negative term as communication is used for the purposes of manipulation and propaganda In DevComm, persuasive arguments are needed in stakeholder dialogs, and persuasion is based on accurate information and within a context of two way communication

Source: Adapted from Mefalopulos (2008, pp.89 - 92)

Trang 39

2.3.4 Application

As a promoter of this field, the World Bank suggests a framework which divides methodology of DevComm programmes into four phases (Mefalopulos, 2008, pp.81 - 148) At the first phase, Communication Research, appropriate communication research methods and techniques are used to engage stakeholders and analyse the situation Next, based on the findings of the first phase, appropriate communication approaches are selected, during Strategy Design phase The third phase is Implementation where an action plan is drawn up to organise and monitor all relevant activities and factors Elements stated clearly in the action plan include objectives, stakeholders, approaches, resources, responsible parties, time frame and expected outcomes Finally, Monitoring and Evaluation phase is carried out to evaluate the implementation process and final impact of communication intervention

Trang 40

Table 2.9 Methodological framework

Phase Communication research

(1)

Strategy design (2)

Implementation (3)

Monitoring and evaluation (4)

Goals To engage stakeholders

To investigate the situation

To define both project and

communication objectives

To define indicators for

monitoring and evaluation

To define type of change needed

To transform the findings of (1) into appropriate strategy

To identify activities needed to ensure the outputs of (2)

To evaluate ongoing work and final impact

Inputs Desk review

Secondary sources review

Country reports

Client survey

Etc

Outputs Specific objectives Appropriate communication

approaches, messages, channels, media

Action plan Staff training Message dissemination Media production Other relevant activities

Evidence of impact are found and documented

Source: Adapted from Mefalopulos (2008, pp.81 - 148)

Định dạng
Số trang	140
Dung lượng	3,51 MB