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A FIELDHORK STUDY ON NONGOVERNMENTAL ORGANIZATIONS
AS DEVELOPMENT INTERMEDIARIES BETWEEN
THE GOVERNMENT AND THE INTENDED BENEFICIARIES

By

Jill Baldwin

A DISSERTATION

Submitted to
Michigan State University
in partial fulfillment of the requirements
for the degree of

DOCTOR OF PHILOSOPHY

Department of Educational Administration

1992

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ABSTRACT

A FIELDNORK STUDY OF NONGOVERNMENTAL ORGANIZATIONS
AS DEVELOPMENT INTERMEDIARIES BETWEEN
THE GOVERNMENT AND THE INTENDED BENEFICIARIES

By
Jill Baldwin

This research describes the processes, problems and outcomes of
four nongovernmental organizations (NGOs), functioning as development
intermediaries between the government and the intended beneficiaries,
in a national community based reforestation program. The study
compares and contrast the experiences of four NGOs to gain indepth
insights related to what enables NGOs to successfully implement and
maintain joint development programs.

Eighteen organizational characteristics and/or approaches were
identified that influenced and enhanced the implementation and
maintenance of the program on the local level. Higher levels of
volunteer participation and project maintenance occurred when the
development intermediary:

* demonstrated a strong commitment to the socio-economic development of
the community members.

* are locally based;
* drew upon local knowledge and experiences in the community;

* tailored the program to fit the short and long term needs of the
intended beneficiaries;

* was able to facilitate the program so that it directly reached the
intended beneficiaries;

* organized the intended beneficiaries to work toward the achievement
socio-economic community development goals;

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provided extensive social preparation so that the program goals and
objectives were understood by the intended beneficiaries;

provided social development and technical skills for the intended
beneficiaries simultaneously;

established open and responsive communications systems with the
intended beneficiaries;

established a high degree of trust with the intended beneficiaries;

shared decision-making responsibilities with the intended
beneficiaries;

relied on local volunteers to maintain the program;
used a combination of local and external resources in the program;

actively involved the intended beneficiaries in the local planning
and monitoring of the program;

structured the program so that the intended beneficiaries would
increasingly assume responsibility to manage and maintain the
program;

structured the program so that the intended beneficiaries had
ownership of the program and its products;

actively involved the informal community leaders to endorse and adopt
the program; and,

implemented the program on a small scale level.

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ACKNOWLEDGEMENTS

The undertaking of a doctoral program in never done alone. It is
a collaborative effort among an individual’s family, friends, academic
peers, professors, and coworkers. This work would have never been
completed without the support of these individuals. I am truly
grateful to those people who supported me throughout this learning
endeavor.

I would like to express my gratitude to my guidance committee
members: Dr. Howard Hickey, Dr. Gloria Kielbaso, Dr. Frederick
Ignatovich, and Dr. William Derman. I am also grateful to Dr. Steve
Yelon who served as a role model and mentor for my development as a
professional.

My sincere apprciation is extended to the Philippines Department
of Environment and Natural Resources staff members who willing took
time from their busy schedules to talk with me and provide me with the
materials and information I needed to complete this work. The majority
of these individuals represent a group of government employees who are
dedicated to their work and the people they serve. Most importantly,
they demonstrated a willingness to take a risk within their own
department and to act as a catalyst for change.

I am indebted to the Ford Foundation and DeLa Salle University who
provided the funding and administrative support for this research. I
am particularly appreciative of Dr. Frances F. Korten for her guidance

in formulating this study and the insightful information she provided

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to me during my data collection in the Philippines.

My deepest gratitude goes to the participants of this study who
were willing to talk with me and demonstrated the greatest patience as
I interviewed them. Also, I would like to thank the numerous people
who extended their hospitality and opened their homes to me during my
stay in local communities.

My special thanks to Christen Streegan who worked as my research
assistant. His enthusiasm, eagerness, and willingness was always a
source of energy in the data collection process.

I am grateful to the employees of Winrock International who worked
with me during a summer internship in Manila and assisted me to
identify my research topic.

A special note of thanks to a core groups of friends who
continually and constantly provided emotional support to me, especially
Donna Korora, Yvonne Caamal Canul, Josie Csete, Larry Princinsky, Aiqun
Liu and Timothy Mashinini.

My sincerest appreciation is extended to my coworkers at the
Michigan Center for Career and Technical Information. I have no doubt
in my mind that I never would have been able to complete my graduate
studies without their unconditional support.

I am indebted to my parents, Harold and Oletha Baldwin, for their
encouragement. And lastly to my husband, Elpedio Canono, who provided
the love and understanding so that this dissertation could take

priority over our marriage.

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TABLE OF CONTENTS

Page
LIST OF TABLES .................................................... viii
CHAPTER
I. INTRODUCTION ............................................. 1
Purpose of the Study ..................................... 1
Background of the Problem ................................ 2
Statement of the Purpose ................................. 4
Research Questions ....................................... 5
Rationale and Significance of the Study .................. 6
Methodology .............................................. 9
Limitations of the Study ................................. 9
Definition of the Terms .................................. 11
Organization of the Study ................................ 12
II. LITERATURE REVIEW ........................................ 13
Introduction ............................................. 13
Definition of Development ................................ 13
Nongovernmental Organizations ............................ 26
Local Organizations ...................................... 30
Joint Development Endeavors .............................. 33
Summary .................................................. 35
III. METHODOLOGY .............................................. 36
Introduction ........ ' ..................................... 36
Qualitative Research — An Overview ........................ 36
Focus of the Study ....................................... 38
Research Design .......................................... 40
Procedures ............................................... 41
Selection of Sites and Subjects .......................... 46
NGOs Selected for the Study .............................. 50
Nongovernmental Organization #1 ........................ 50
Nongovernmental Organization #2 ........................ 51
Nongovernmental Organization #3 ........................ 52
Nongovernmental Organization #4 ........................ 54
Subjects of the Study .................................... 56
Materials ................................................ 61
Data Analysis ............................................ 63

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IV.

PRESENTATION AND DISCUSSION OF THE FINDINGS .............. 67

Introduction ............................................. 67
Whose Problem ............................................ 68
Development and the Perception of the Problem .......... 68
The DENR, Deforestation, and the Definition of the
Problem ............................................. 70
The DENR’s Solution to the Identified Problem .......... 72
The Problem as Perceived by the Intended
Beneficiaries ....................................... 75
From Jobs to Trees ..................................... 77
Who Participates ......................................... 79
Major Actors in the Development Process ................ 80
Asian Development Bank ............................... 80
Department of Environment and Natural Resources ...... 83
The DENR Bureaucracy ............................... 84
Rapid Implementation of the CRP .................... 86
Issuance of Contracts .............................. 86
Nongovernmental Organizations ........................ 88
Recruitment of Contractors ......................... 90
Intended Beneficiaries ............................... 93
Who Controls ............................................. 104
Development Partnerships ............................. 104
Program Design and Development ....................... 106
Program Implementation and Maintenance ........... -... 106
Participant Access to CRP Documents .................. '109
Hierarchical Organizational Structures ............... 113
Local Organizations .................................. 119
Local Resources ...................................... 126
Community Volunteers ............................... 126
Hired Professionals ................................ 129
Infrastructure Construction ........................ 129
Nursery Establishment .............................. 131
Inorganic Materials ................................ 132
Delay of Payments .................................... 135
Quantifiable Outcomes ................................ 141
Whose Solution ........................................... 143
Blue Print Plans ..................................... 143
, Tailored Plans ....................................... 146
Externally Imposed Development Programs .............. 148
Locally Based Development Programs ................... 150
Long Term Development Plans .......................... 153
Large Scale Development Programs ..................... 154
Technically Oriented Development Programs ............ 156
Technically Oriented Trainings ....................... 157
Socially Oriented Trainings
and Community Development ......................... 159
Integrated Social and Technical Development .......... 162

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VI. PRESENTATION AND DISCUSSION OF THE FINDINGS (continued)

Who Benefits ............................................. 166
Organizational Benefits .............................. 167
Asian Development Bank ............................. ‘ 167
Department of Environment and Natural Resources.... 170
Nongovernmental Organizations ...................... 171
Intended Beneficiaries ............................... 173
The People as the Intended Beneficiaries ............. 175
Summary of the Findings .............................. 176
V. CONCLUSIONS AND RECOMMENDATIONS .......................... 178
Purpose of the Study ................................. 178
Conclusions ......................................... 178
Types of Nongovernmental Organizations ............... 179
Entrepreneurial Organizations ...................... 179
Technical Organizations ............................ 180
Social Development Agencies ........................ 181
Homogeneous SDA .................................. 181
Heterogeneous SDA ................................ 182
N60 Umbrella and Consortia ....................... 182
Roles and Responsibilities Performed by the
Types of NGOs .................................... 182
Approaches Enhancing the Participation of the
Intended Beneficiaries ........................... 184
Tensions and Barriers ................................ 185
Sustainable Development .......................... 186
Large Scale ...................................... 187
Centrally Controlled ............................. 187
Technically Focused .............................. 188
Externally Funded ................................ 189
Quantifiable Outcomes ............................ 190
Benefit and Beneficiaries ........................... 190
Recommendations From the Study ...................... 201
Recommendation #1 - Redefining Development ........ 191

Restructuring Organizations... 192
NGOs as Catalyst for Change... 193

Recommendation #2
Recommendation #3

Recommendation #4 - NGOs as Networks .............. 196

Recommendation #5 - SDAs as Mentors ............... 196

Recommendation #6 - Reallocation of Funding ....... 197
Recommendation #7 - Local Organizations as

Development Intermediaries.. 197

Implications ...................................... 199

Recommendations for Further Study .................. 200

APPENDICES .................................................... 202

A. Nongovernmental Organization Questionnaire .............. 203

B. Intended Beneficiaries Questionnaire .................... 210

C. DENR Questionnaire ...................................... 216

BIBLIOGRAPHY .................................................. 220

viii

LIST OF TABLES

TABLE Page
1 Profile of Nongovernmental Organizations 49
2 Interviewed DENR Employees 57
3 Subjects Interviewed at NGO Reforestation Sites 58

ix

CHAPTER I
INTRODUCTION

Purpose of the Study

The purpose of this study is to describe and explain the
processes, problems, and outcomes experienced by four nongovernmental
organizations (NGOs), functioning as development intermediaries between
the government and the intended beneficiaries, in a national community
based development program. By contrasting and comparing the
experiences of these four NGOs, it is the intent of this study to gain
in-depth insights related to what enables NGOs to successfully
implement and maintain joint development efforts so that program
participants will eventually be able to sustain programs independently
or interdependently. Five main areas will be explored: (1) the types
of NGOs that participated; (2) the roles and responsibilities performed
by each type of N60; (3) the approaches that enhanced or hindered the
participation of the intended beneficiaries and the sustainability of
the program; (4) the tensions and barriers each NGO experienced during
the implementation; and, (5) the benefits and actual beneficiaries of

the programs.

Background of the Problem
Development programs implemented during the past four decades that
have relied on central governments to distribute resources and mobilize

the country toward achieving national development goals have proven

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themselves relatively ineffective in improving the standard of living
for the majority of the nation’s population, particularly the rural
poor (Seers, 1965; Myrdal, 1970; Hellinger, 1988). As an alternative,
some national governments have begun to develop and implement new
strategies to actively involve "the people" in the development process.
One strategy used by national governments has been to involve
nongovernmental organizations as development intermediaries.
Nongovernmental organizations are broadly defined as any organizations
not affiliated with the government; thus, an initiative of the private
sector. This term is used interchangeably with private voluntary
organizations (PVOs), foundations, and social development agencies
(Quizon, 1989).

Distinct among NGOs are development NGOs or social development
agencies (SDAs). This type of NGOs is defined as a "group organized to
facilitate people’s empowerment, socio-economic development of the
poor, and environmental conservation" (UNAC, l991:4). Traditionally,
most SDAs have been community based and worked directly with local
residents to improve their standard of living using community
organization and non-formal education strategies. The majority of
Social Development Agencies have established an impressive track record
of enabling the organization’s intended beneficiaries to: (1) identify
and work toward meeting their needs; (2) assume a more active role in
the design and management of local development endeavors; (3) acquire
necessary skills and knowledge to improve local socio-economic and'
environmental conditions; and, (4) build and maintain local
organizations to support and sustain community development efforts.

In general, the successes of NGOs are based on their

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characteristics or as Fowler (1988) referred to them as "the comparable
advantages of NGOs". Fowler drew the first group of advantages from
the seminal work of Judith Tendler (1982), who referred to these as NGO
"articles of faith", and expanded on her list by drawing upon the works

of other authors:

NGOs believe that in comparison with governments they have a

better ability to:

I. reach the poor, i.e. to target their assistance to chosen
groups;

2 obtain true, meaningful participation of intended
beneficiaries;

3. achieve the correct relationship between development processes
and outcomes;

4 .work with the pebple and thus choose the correct form of
assistance to them, i.e., not be dominated by resources as the
basis of the relationship;

5. be more flexible and responsive in their work;

6. work with and strengthen local institutions;

7. achieve outcomes at less cost.

In addition, from other authors, the following comparative
advantages of NGOs are stated:

8. ability and preparedness to experiment with unorthodox ideas
and practices (Esman and Uphoff 1984:275);
9. patience coupled to a strategic perspective (ibid);
10. ability to undertake people-centered research
(Chambers 1987: 5);
11. faster learning through and application of experience
(Korten 1980:19);
12. better ability to articulate rural reality (OECD 1987;iii).
Although the existence of some NGOs date back to the beginning of
the twentieth century or earlier, their importance as a development
mechanism remained relatively unrecognized and under-utilized until the
early 1970’s. Today NGOs are increasingly being considered as a vital
component in the development equation, particularly as development
intermediaries, based on their abilities to assist communities to

achieve program objectives and sustain local development programs.

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Statement of the Problem

Using NGOs as intermediaries in the development process has
numerous advantages, if the concept is properly understood, defined,
supported, implemented, monitored, and evaluated. To date, this
approach is still in the experimental stages on a nationwide scale and
has produced a range of program outcomes from dismal failures to
substantial successes. The reasons for the diverse outcomes for NGOs
in joint development endeavors may be attributed to: (l) the types of
organizations participating in collaborative endeavor; (2) the
delineation of roles and responsibilities of each development partner;
(3) the approaches used by organizations to initiate, implement, or
maintain the program; (4) institutional barriers and institutionalized
development practices; and (5) the actual beneficiaries and the
distributions of the benefits.

Joint endeavors which unite the public and private sectors to
achieve national development goals have tremendous potential if
development partners can work in collaboration and capitalize on each
other’s strengths. This approach needs to be further explored to gain
in—depth insights on how to most effectively and efficiently work in
collaboration so that joint endeavors are able to empower ”the people"
to achieve and sustain mutually defined development goals.

The success of joint development efforts to achieve sustainable
development goals does not rest solely on the inclusion of more people
in the process; but, on an in-depth understanding of the process.
Therefore, this study will examine four NGOs that functioned as
development intermediaries in a national reforestation development

program to gain in-depth insights into the processes utilized by these

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organizations and their collaborating partners to build the foundations

for sustainable community based development programs.

Research Questions

This study is designed to describe and explain the processes,
problems, and outcomes of NGOs acting as development intermediaries
between the government and the intended beneficiaries in a national
community based development program. The overarching research question
guiding this study is: What enables development intermediaries to
successfully initiate, implement, and maintain joint development
programs so that the intended beneficiaries will eventually be able to
sustain community based development programs independently or
interdependently? To gain an indepth understanding of the NGOs’
performance in this program, five primary areas will be explored, using
the following research questions to guide the inquiry:

1. What are the missions and goals of the NGOs?

2. What were the participating organizations’ roles and
responsibilities during the initiation, implementation, and
maintenance of the program?

3. What approaches are used by the NGOs to introduce, implement, and
maintain the program in the community?

4. What approaches enabled the NGOs to assure the active participation
of the intended beneficiaries and the maintenance of the program by
local community residents?

5. What were the problems encountered by NGOs that created tensions and
barriers to the smooth initiation, implementation, and maintenance

of the program in local communities?

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6. What were the benefits of the program and who received these

benefits?

Rationale and Significance of the Study

Considering the increasing worldwide trend to involve NGOs as
intermediaries in national development programs, there is a need to
gain a better understanding of what enables NGO intermediaries to
successfully facilitate community based joint development efforts.
This study is designed to examine four NGOs that participated in a
joint development endeavor as development intermediaries between the
government and the intended beneficiaries to gain a more indepth
understanding of the process. Five primary areas will be explored: (1)
types of organizations; (2) organizational roles and responsibilities,
(3) development approaches utilized; (4) organizational problems; and
(5) program benefits and beneficiaries. By examining these areas in-
depth insights or problems related to the process can be documented and
understood. As a result of this research, development agencies and
organizations should be able to understand some of the factors
affecting sustainable development endeavors and utilize this
information to develop strategies to address organizational as well as
program needs and problems. Five areas of particular significance for
this study are: (1) the types of NGOs and their performance;
(2) collaboration and the ability to share ownership of the program;
(3) the program approaches necessary for sustainable development; (4)
the tensions and barriers experienced during collaborative endeavors;

and (5) the benefits and actual beneficiaries of the program.

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First, it may be argued in some development circles that only one
type of NGO, Social Development Agencies, should be allowed to enter
into joint development endeavors. But due to the increasing trend of
governments to use NGO intermediaries and the willingness of the
private sector to participate in development endeavors, it is unlikely
this suggestion will be honored. Therefore, government agencies need
to develop plans to appropriately select, train, and monitor the
diverse types of NGOs that participate in joint development endeavors.
This process should begin by understanding the organizational and
program characteristics that enable NGOs to effectively facilitate the
empowerment of the intended beneficiaries. With this information,
government agencies could be able to plan strategies to train
inexperienced or poorly performing NGOs to become effective
intermediaries. Also, government may be able to more efficiently
screen out organizations that have inappropriate motives or unrealistic
expectations related to their involvement in joint development
programs.

The second significance of this study is to gain a better
understanding of collaborative dynamics among development
organizations. Changing behaviors that are institutionalized into
organizational cultures is a difficult task. In joint endeavors this
may be most obvious as organizations begin to share ownership of
collaborative programs with other participants. Without well defined
or appropriate roles and responsibilities for each of the program’s
participants, struggles for power and control may arise. The
consequences of undelineated roles and responsibilities or the uneven

balance of power, based on inappropriate roles and responsibilities,

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may result in the disempowerment of participants. By developing an in-
depth understanding of the most appropriate roles and responsibilities
for program collaborators and distributing them accordingly, it is
hoped that the participants can begin to empower each other so that
they can achieve mutually defined sustainable development goals.

The third significance is to gain an understanding of sustainable
development approaches used in collaborative endeavors. These concepts
then can be translated into action plans that are used by organizations
on the national as well as the grassroots level.

Another significance of this study is to develop an understanding
of tensions and barriers experienced by joint development participants.
By providing an analysis of identified problems, plans can be made to
proactively address and hopefully resolve some of these problems so
that further complications can be minimized.

Lastly, all development programs must ask two crucial questions:
"what are the benefits?", and "who actually receives these benefits”?
If the benefits are not compatible to sustainable development goals and
the intended beneficiaries receive the smallest distribution of the
benefits, then actions can be taken to assess program or organizational
goals. By assessing the benefits and the benefactors, efforts can be
made to adapt strategies so that the appropriate distribution of
benefits can be achieved.

Gaining valuable insights into successful components and some of
the weaknesses of joint development programs, development partners then
can begin to design appropriate strategies to resolve collaborative

issues so that sustainable development goals can be achieved.

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may result in the disempowerment of participants. By developing an in-
depth understanding of the most appropriate roles and responsibilities
for program collaborators and distributing them accordingly, it is
hoped that the participants can begin to empower each other so that
they can achieve mutually defined sustainable development goals.

The third significance is to gain an understanding of sustainable
development approaches used in collaborative endeavors. These concepts
then can be translated into action plans that are used by organizations
on the national as well as the grassroots level.

Another significance of this study is to develop an understanding
of tensions and barriers experienced by joint development participants.
By providing an analysis of identified problems, plans can be made to
proactively address and hopefully resolve some of these problems so
that further complications can be minimized.

Lastly, all development programs must ask two crucial questions:
"what are the benefits?", and "who actually receives these benefits"?
If the benefits are not compatible to sustainable development goals and
the intended beneficiaries receive the smallest distribution of the
benefits, then actions can be taken to assess program or organizational
goals. By assessing the benefits and the benefactors, efforts can be
made to adapt strategies so that the appropriate distribution of
benefits can be achieved.

Gaining valuable insights into successful components and some of
the weaknesses of joint development programs, development partners then
can begin to design appropriate strategies to resolve collaborative

issues so that sustainable development goals can be achieved.

9
Methodology

A qualitative research methodology was used to collect descriptive
data from a diverse sample of research participants and sites.
Participants included administrators and staff members from such
organizations as NGOs, NGO consortiums, government agencies,
multilateral banks, and other organizations that were directly or
indirectly involved with the program. Research sites included
community program sites, organizational offices, and conferences.

Data were analyzed to identify patterns and themes related to the
research problem and assertions were made according to the study’s

findings.

Limitations of the Study

The limitations to this study were influenced by the location and
nature of the research. First, the researcher is not a native speaker
of the language used by the majority of the participants. In
situations where there was not a common language, the researcher relied
on translations by a research assistant to confirm the researcher’s own
translations of interviews and informal conversations. The researcher
has used English to report the findings. Therefore, most of the
interview quotes are not direct translations, but quotes paraphrased in
the English language as accurately as possible from the exact quotation
in the native language.

Second, the researcher is not a native of the country in which the
study took place. Therefore, the perception of the researcher, based
on her nationality and the intent and purpose of the research, may have

influenced the research participants’ responses. To address this

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problem, most of the data collected during interviews was triangulated
with observations and documents.

Third, the researcher was restricted by access. The sites used
for this study were purposefully selected from organizations and
individuals that were willing to participate in the study. In
selecting sites and research participants, the researcher made a
concerted effort to select a representative sample of organizations as
well as participants.

Fourth, limited time was spent at each site. Thus, the researcher
was not able to build relationships and trust to the degree used in
most fieldwork research studies. To compensate for the limited time,
the researcher typically spent the first week visiting individuals and
sites so that the community members could begin to interact with the
researcher on an informal basis. During this period, the researcher
was typically questioned by the residents on the reason for her
presence in the community as well as about her background and personal
matters. The second and third weeks at the site, theresearcher used
more direct and formal methods to collect data.

Fifth, when interviewed the participants had to rely on their
recollection of incidents. These recollections were influenced by the
participant’s own perceptions as well as their ability to recall
specific incidents.

Sixth, the researcher’s own bias may have influenced the study.
Efforts were made to compensate by collecting confirming and
disconfirming evidence, using triangulation, and working directly with
a research assistant to check the researcher’s interpretation of

comments, incidents, and information. The research assistant, who also

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was not without his biases, had an academic background in a different
' field from the researcher and was trained in quantitative research
methods. This enabled the research team to check for biases based upon

their differing perspectives, training, background, and experiences.

Definition of Terms I

The following terms are used frequently in this study:

Collaboration is a process of two or more organizations working
together on a project or program.

Development Intermediaries are organizations that facilitate
development programs between the government and intended beneficiaries.

Intended Beneficiaries are the designated recipients of program
services.

inpt Development Endeavors are development programs that unite
the private and public sectors to work toward the achievement of
national development goals.

Nppgpygzpmgptpl Organizptippp (NGOs) are organizations not
affiliated with the government; an initiative of the private sector.

Social Development Agencies (SDAs) are one type of NGO that are

 

groups organized to facilitate people’s empowerment, socio-economic
development of the poor, and environmental conservation.

Sustainable Development is a process of change to meet the needs
of people, as defined by them, without lessening their potential to
meet future needs, the needs of other societies, or those of future

generations.

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fllpg People" refer to the general population of a nation that are
not employed in the service of the government agency represented in the
development program.
Traditional Development Mpggls pr Approaches have such
characteristics as top-down administrations, time-driven, technically
focused, capital intensive, blueprint planning based on externally

defined problems.

Organization of the Study

This study is presented in five chapters. Chapter 1 includes an
overview of the background of the problem, the purpose, significance of
the study, the overarching and main research questions, a brief
statement of the type of research methodology used, the limitations,
and the definitions of terms. Chapter II outlines major theories,
concepts, and definitions related to this study from the existing
knowledge base in the areas of development and nongovernmental
organizations. Chapter 111 provides the rationale for using a
fieldwork study, an explanation of the methodology used and the data
collection process, a description of the selection of the research site
and the participants, a profile of the organizations studied and the
individuals interviewed. Chapter IV is a narrative description of the
data collected.. Chapter V, based on the findings and analysis,

presents the study’s major conclusions and recommendations.

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CHAPTER II
REVIEW OF SELECTED LITERATURE

Introduction
This chapter provides an overview of the body of literature
related to development from its post World War II beginnings through
today. The review also presents literature from the body of knowledge
on nongovernmental organizations and theories of organizational

collaboration.

Definition of Development

Development is a normative concept. According to Bertrand (1972)
development is difficult to define due to key reasons. First, the
concept of "development" is often used interchangeably with such
concepts as modernization, progress, and growth. Second, a plethora of
adjectives have been used to modify the meaning of development such as
social development and agricultural development. Third, beliefs about
development are often linked to ideological perspectives (i.e.
capitalism, Marxism). Fourth, development is difficult to measure.
Fifth, the goals of development are often vague and unclear. And
sixth, there are often differences in opinions regarding the key
questions in development: Why development? Development for whom? How
development? Development for what? Development when? Bertrand,

however, asserts that two characteristics undergird the concept of

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development: (1) instigated change; and (2) normative interest. He
also proposes that the concept of development becomes clear when it is
realized that: (1) Development is not a research problem;

I (2) Development is not a theoretical concept; (3) Development is not a
scientific problem in the usual sense; (4) Development can not emerge
as a formal scientific theory because development is a normative goal
and a policy goal; and, (5) development fundamentally involves people.

Bryant and White (1982) identify three major perspectives of
development: economic, dependency, and humanist. Economic development
has its roots in modernization theories that were popular during the
1950’s and 1960’s. The influence of these theories are still evident
today, particularly in major development institutions that were founded
during this period.

Economic theories viewed the problem of development as the lack of
modernization, specifically industrialization. Dependency theories
analyzed the problem of underdevelopment as development. And, the
humanist viewed underdevelopment as a result of stunted view of self
and the need to for a sense of self-efficacy among the poor.

The most popular of the economic theories was modernization.
Modernization theories are based on the belief that by increasing
production and economic growth the standard of living of countries
would rise through a process of diffusion. Francois Perrox’s (1964)
perception of development, based on modernization, was "a combination
of mutual and social changes of a people which enable them to increase,
cumulatively and permanently, their total real production" (p.155). In
W. W.‘ Rostow’s Stages of Economic Growth: A Non-Communist Manifesto

(1960) he viewed development progressing through a series of stages in

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which societies moved from "traditional" to "modern" societies.
Traditional stages were considered to be "backward" states that would
be eventually replaced by "advanced" nations by closing the
technological gaps that existed. Through the transfer of knowledge,
technology, and capital, countries would then mature. The last stage
of maturation would be when a country was able to achieve high rates of
production and mass consumption. At this final stage the benefits
would "trickle down" to the poorest sectors of society from the
industrialized state created through this evolutionary process of
economic development. The goal was eventually to achieve, as described
by David Bell (1973), a capitalist utopia by modernizing countries into
post-industrial societies.

According to Bragg (1985) the failure of modernization theories to
achieve their goals can be attributed to five basic assumptions.
First, it was assumed that the values and institutions of traditional
societies were the cause of underdevelopment. Second, development was
considered to be a linear process in which society must progress
through the stages already experienced by western societies. Third,
development occurred by meeting the economic needs of nations based on
levels of productivity. The emphasis was placed on large—scale
capital, energy, and imported systems. Perceiving needs solely as
economical, as Bragg explains, reduces man to only "a producer-
consumer" and "basic materialism as the goal of life". Fourth, the
belief that the benefits from this process would "trickle down” from
the top to the bottom was incorrect. Instead, the wealth generated by
these systems remained concentrated in the hands of the wealthiest,

most notably multinational corporations (Barnet and Muller, 1974). For

16
the multinational corporations, developing countries offered cheap
labor, looser controls on pollution, fewer safety regulations, longer
work days, better labor discipline, little or no trade union protection
of workers, and higher profits (Hayter, 1981). The last assumption is
that bilateral aid fosters development. However, foreign aid was, and
still is, influenced by national interests. During the post World War
II era, it was thought aid was a means to suppress communism and
provide natural resources to enhance foreign markets and production,
stimulating the spread of capitalism.

Dependency theories, the second perspective of development
identified by Bryant and White, viewed the problem of underdevelopment
as dependency. Dependency theorists argue that foreign interventions
work toward creating structures of poverty. Andre Gunder Frank (1969)
argues that underdevelopment is created'by the development of
capitalism in societies and that the most underdeveloped countries are
the nations that had the closet ties to developed nations in the past.
Stevenhagen (1969) points out that dependencies are not only created by
foreign governments but also encouraged by the system of "internal
colonialism" in developing countries that benefits the urban elites and
exploits the rural poor.

With the growing realization that development was not
accomplishing it goals, the United Nations Sixth Special Session of the
General Assembly of 1974 developed a ”Declaration of the Establishment
of a New International Economic Order". This global reform, formulated
by leaders of developing countries, advocated a more just economic
order. The NIEO, as the New International Economic Order was commonly

referred to, proposed a transition from economic dependencies by less

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developed countries to a more equitable distribution of the world
economy. This reform was rejected; but, at the same time movements
demanding a more humanist approach to development began to emerge and
build strength.

The 1975 Dag Hammarskjold Report, titled What Now? Another
Development, was compiled and distributed as an alternative to economic
reforms to development. A new framework was proposed to alter the
dominant perception of development. This report stated that:

Development is a whole. Its ecological, cultural, social,

economic institutional and political dimensions can only be

understood in their systematic interrelationships, and action in
its service must be integrated. Similarly, needs cannot be
disassociated from each other: the satisfaction of each need is at
one and the same time the condition and the result of the

satisfaction of all others (p.28).

It was hoped in this report, as well as others that were being
distributed at the time, that the focus of development would shift from
predominantly economic to more humanistic and holistic approaches that
emphasized environmental and social perspectives. Since, by the 19705,
the impact of capital intensive, growth centered development in
countries that had not performed well in accordance with the expected
outcomes of economic theories were exhibiting signs of increased
environmental degradation and poverty.

Everett Rogers (1975) describes this period as "The Passing of the
Dominant Paradigm" and in his article which aptly bears the same title
he provides an alternative definition for development:

A widely participatory process of social change in a society,

intended to bring about both social and material advancement

(increasing greater equality, freedom, and other valued qualities)

for the majority of the people through their gaining greater
control over their environment (p. 133).

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The concepts that undergirded and influenced the emergence of this
new definition, according to Rogers, included: (1) the equality of
distribution of information; (2) popular participation; (3) self-
reliance and independence in development, with an emphasis upon the
potential of local resources; and, (4) integration of traditional and
modern systems.

Oberle (1974) draws upon the fields of sociology, economics and
philosophy to offer another definition of development:

. the process in which increasingly more members of a given
area or environment make and implement socially responsible
decisions, the probable consequences of which is an increase in
the life chances of some people without a decrease in the life
chances of others (p.61).

Oberle (1974) sets forth criteria of evaluating development
activities in on single question with eight interrelated subparts as
follows: "(1) How much increase (2) in whose life (3) will probably be
produced (4) by which types of actions (5) of which types of persons
(6) at what cost (7) to which people (8) in relation to what
alternative".

Other social movements at this time discounted the current
paradigm as well as the very term "development”, claiming that the term
"development" was "pejorative" (Gutierrez, 1970). Gutierrez,
influenced by the philosophies of Paulo Friere, preferred to perceive
true development as "liberation" from the capitalist countries or as
Friere refers to it, "cultural action for freedom". Gutierrez’s book,
ELDiSél Stpptggigs £9: ngglppmgpp, proposes that three strategic
principles related to the goals of development should be pursued. The

first of these principles states that the good life is not defined by

the abundance of goods, although men must surely "have" enough goods if

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they are "to be" good men. The second principle asserts the need for
global solidarity in development. It views development as the integral
ascent of all men and all societies: the quintessence of cultural,
spiritual, and esthetic maturation, as well as of economic and social
improvement. A third principle postulates optimum participation in
decision-making as desirable. Development must be pursued in such a
way that all men are allowed to become agents of their own social
destiny. The liberation movement was an attempt to divorce itself from
any affiliation with development as it had been defined and perceived
in the past.

During this same period in the 19705, some national governments
of developed countries were also attempting to make their own changes
in established practices, particularly those related to rural
development efforts. In 1973 the United States Congress’ Foreign
Assistance Act mandated that the intended beneficiaries be involved in
the planning and implementation of programs. By 1975, the United
Nations Economic and Social Council recommended that governments should
include popular participation as a basic policy including the active
involvement all individuals and nongovernmental organizations such as
trade unions, and youth and women’s organizations. The involvement of
local people and organizations were recommended in such processes as
goal setting, policy formation, and the implementation of plans.

Cohen and Uphoff (1980) state that the problem during this period
was that the concept of participation was not operationalized. It was
perceived in some settings to be more of a political participation. In
his article "Citizen participation is not community development",

Koneya (1978) differentiates between these two concepts. First, he

 

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asserts that citizen participation programs occur when the government
decides to include the participants. In contrast, community
development is citizen-oriented and organizes the people to "reach
upward toward government". Koneya develops a continuum that
demonstrates the roles of leaders as participation moves from
government-centered to citizen-centered. The extreme end towards
government‘centered begins with the leader deciding on the type and
degree of participation through bulletins and edicts. In this model,
the government has complete authority and power and decides on the
course of action. At the next point, the government "sells the
decision to citizens“. The government planners in this situation have
a master plan already developed and citizen input is not solicited.
Moving more towards the center of the continuum, the government
announces the decisions and permits questions. These questions are
basically for clarification, not necessarily for modification of the
plan. The center of the continuum is considered the ritualistic
participation position. At this point, the government has defined the
problem, designed a plan, and presents a tentative decision and
consults with the people, then a decision is formally approved. The
next point on the continuum, the government presents the problems, asks
the citizens for ideas and then incorporates the ideas. Government
control is lessened further at the next point, where the problem is
presented and the boundaries are formulated by the government but the
citizens decide upon the type and degree of participation. The end
closet to citizen-centered emphasizes citizens’ control so that they
have as much control as government leaders in the definition of the

problem and the decision to act.

21

Koneya’s continuum is based on political participation; this
according to Cohen and Uphoff (1980), is different than participation
for development. They set forth several major points related to
participation for development. First, participation is a rubric in
which a number of related activities can be analyzed and promoted.
Second, participation for development is different than participation
in politics. Third, participation is a means, not just an ends.
Fourth, participation is not a panacea for development. Fifth,
connections do exist between different kinds of development. And
lastly, participation is inescapably political even in development
terms.

The movement towards participation is not without its barriers. As
Frances Korten (1983) illustrates, the obstacles to participation may
be found in the agency, the community, and society. First, Korten
points out that most development agencies were established prior to
participation being a major theme in development. These agencies have
centralized service delivery structures whereby the locus of control in
decision-making is with the agency. The values, attitudes and beliefs
of these agencies expect the recipients to passively accept the
services offered and the evaluation systems within these organizations
do not reward employees for the time consuming efforts required in
participatory programs. Second, communities often have difficulty with
the concept and logistics of participations due to poor communication
facilities; factionalism and differing economic interests; corruption;
and the lack of appropriate local organizations and organizational
skills. Third, increasing participation in society means changing the

status quo where barriers in politics, laws and the established

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bureaucracy exist.

By the mid-1980’s major movements that had gained strength in
previous decades were influencing how development was conceptualized
and a larger body of participants began to advocate structural and
institutional reforms be made in regards to how development was
perceived, implemented, and evaluated.

Robert Chambers (1988) put forth a call for a change from "normal
professionalism" to the "new professionalism". This transition is
described as follows in the abstract to his article, "Normal

Professionalism and the Early Project Process: Problems and Solutions":

The early project process is dominated by engineers and
economists, and preoccupations with infrastructure, budgets,
schedules, and quantification. The way professionals and
organizations think and operate biases the process against poor
people. A new professionalism and a new paradigm start with
people rather than things, and adaptive processes rather than
blueprints. Practical implications for this approach include the
need for calibre, commitment and continuity in field staff,
restraint in funding, use of methods of rapid rural appraisal, and
support for ’learning projects’ without deadlines and targets

(M).
The new professionalism was based on the concepts and principles

of sustainable development.

Sustainablity should be seen both in economic and social
dimensions. Sustainable development must provide secure and
ongoing livelihood for people while ensuring minimal environmental
degradation and resource depletion taking into account the socio-
cultural values of a given society. Sustainable development
demands a responsible use of the earth’s resources to ensure that
future generations will not be deprived of their share of the
fruits of the earth. (ANGOC, 1982)

However, the rationale for sustainablity may not always be rooted,
as Chambers promoted, in "putting the last - first” but, by the
international debt crisis. As Cernea (1987) explains:

The concern for sustainablity is now being powerfully reinforced
by the international debt crisis, which has thrown glaring light

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on a profound paradox of both nationally and internationally

financed development programmes. Such programmes are undertaken

with the expectation that their benefits will not only allow
recovery of the investments and repayment of the loans that made
them possible, but will also generate a net surplus. However, if
such projects do not foster sustainable development, then instead
of surplus benefits the borrowing party ends up increasing its

accumulated debts. In part, the international debt crisis is a

product of repeated investments in nonsustainable development

programmes (p.2).

Sustainable development, as Hondale (1985) points out,.is not a
matter of substituting one approach for another, but understanding the
problems of previous models that hindered sustainablity in the past and
modifying development strategies accordingly. He identifies four major
categories based on experiences from previous models of development
that are potential constraints for sustainable development: financial,
organizational, policy, and side effects. First, in the past high cost ,
goods and services were used without plans to maintain and replace them
after funding had been reduced or eliminated. He further elaborates
that this tendency was "reinforced by pressure on donors to use foreign
assistance and capital-intensive solutions" (p.77). Second, he states
programs in the past were unable to perpetuate benefits after funding
was terminated due to the lack of organizations to continue them.
Hondale advocates establishing and strengthening local institutions so
that local actors can continue activities after the withdrawal of
external assistance. Third, national politics and economics affect
development programs, particularly macroeconomic policies. The
political distance between local people and central planners
“frequently manifests itself in project designs that are imbued with a
lack of knowledge about local conditions and a lack of accountability

of local people". Coupled with centralized planning, most of the

resources are also controlled by the center. This often results in a

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"portfolio of national policies and implementation strategies" that
serve the interest of groups other than the rural poor. The fourth
constraint is any unanticipated side effects. One example of such side
effects that he provided was the disruption of the existing social
order in the community.

Hondale (1985) also recommends a process strategy to counter these
potential constraints with the following characteristics:

(1) An emphasis on an extended, collaborative design process that
builds a coalition of local actors committed to the project;

(2) A program-level effort using subproject learning laboratories;
(3) A design broken into discrete phases;

(4) An ability to provide flexible mixes of short-term technical
assistance;

(5) An emphasis on the mobilizer model for long-term technical
assistance;

(6) Frequent use of management workshops and action-oriented
training among both staff and beneficiaries;

(7) A concern for participatory decision making and the use of
temporary task forces or working groups instead of complete
reliance on rigid management hierarchies;

(8) A reward system consistent with a learning orientation and an
evaluation focus that goes beyond resource disbursements and
production targets to emphasize the accumulation of local
capacity;

(9) An applied research component with a learning repository
located in a local institution;

(10) A redesign orientation, such as periodic revisions of project
organization, project objectives, and job descriptions of
project personnel; and

(11) A management and planning focus on the type and source of
resources needed to continue benefit flows after the end of
project funding, and the institutionalization of the capacity
to provide them (p.92).

In the 19905, the debate within some development circles focuses

on how sustainable development can actually be facilitated and by whom.

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Other questions have also been raised regarding the ability of
governments, multilateral donors, and foreign governments to plan
sustainable develbpment programs, given that their interest and
professional orientation to development often does not parallel the
major principles embedded in the concept of sustainable development.

As Cheema (1979) points out, governments may not be the best
organizations to implement development models:

Most developing countries have inherited colonial administrative
systems which for the most part were aimed at the maintenance of
law and order, the collection of resources, and the development of
infrastructural facilities for extracting resources to meet
colonial economic requirements (p.251).

This system has yet to be restructured so that it serves the
people.

Others feel that international development institutions, such as
the multilateral banks, can not be effective in promoting sustainable
development based on their primary objective to "move money" (Tendler,
1975; Goldman, 1985). The combination of national governments and
multilateral banks can even be more risky as Korten explains:

International financial institutions have had a central role
in defining and implementing the conventional vision, especially
in dictation supporting policy prescriptions. The policy
prescriptions advocated by the banks are disturbingly self-
serving. As banks, they are in the business of making loans.
Loan repayment is basic to their survival. Thus, they have a
strong natural interest in encouraging export promotion as a
policy priority to repay existing loans and to establish credit
worthiness for new borrowing.

The benefit of such policies to the bank is self-evident.
The long-term benefit to the borrowing countries of the resulting
economic dependence is less self-evident. Yet the borrowing
continues. The reasons are straight forward.

The political leaders of borrowing countries invariably face
impossible demands from countless constituencies. Their own
efforts to achieve a politically acceptable level of economic
performance are seriously handicapped by the debts of their
predecessors. When loans are available to finance temporary

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prosperity, everyone wins -- in the short-run. The rich line

their pockets. The poor get enough "trickle down" to quiet their

frustrations. The politicians get the credit, and the bills fall

on their successors (ANGOC, 1989:86).

Yet, the reality is that sustainable development must become the
responsibility of organizations and people working in collaboration.
Bridging the gap between the rural poor and central offices is the
challenge. New attention has been given to the role of development
intermediaries to assist in the facilitation of the processes necessary

for sustainable development. One type of development intermediary is

Nongovernmental Organizations (NGOs).

Nongovernmental Organizations

Nongovernmental organizations (NGOs) represent a diverse group of
organizations that may be internationally, nationally, or locally
based. They may serve a specific population group determined by the
intended beneficiaries’ ethnicity, geographical location, demographic
profile, or a narrowly defined need. 0r, NGOs may provide their
services to a wide array of individuals, groups, or organizations
delineated from the general population by loosely defined criteria The
uniqueness and diversity of these organizations often creates problems
in defining NGOs.

A nongovernmental organization is broadly defined as any
organization not affiliated with the government, thus it is an
initiative of the private sector. The term is frequently used
interchangeably with private voluntary organizations (PVOs),
foundations, and social development agencies (Quizon, 1989).

In the Philippines, the government set forth a specific definition

in Senate Bill No. 786, defining NGOs as:

any. I

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private, non-profit and/or non-stock organizations or

corporations, registered with the Securities and Exchange

Commission, and engaged in long-term activities howsoever financed

or organized, such as but not limited to: community organizing,

community education, sectoral development, humanitarian or charity
work, disaster relief, family planning, rehabilitation,
environmental protection, human rights promotion and social

amelioration. (ANGOC, 1989: 19)

The goals of NGOs are typically determined by each individual
organization. Although the majority of NGOs state their goals in terms
of "development", their specific organizational goal(s) may be
influenced and/or determined by the organization’s philosophy of
development, sector specialty, maturity of the NGOs, and collaborative
partnerships.

Traditionally, some NGOs with social development missions have
functioned in relative isolation and have had the freedom to determine
their own operating procedures and establish their own policies. As a
result, in most cases NGOs have built their reputations on being
individualistic organizations, free to function as each organization
deems appropriate. Yet, most NGOs share a common set of
characteristics. Alan Fowler (1988:8) cites these characteristics -
referring to them as “comparable advantages", beginning with the
seminal work by Judith Tendler (1982) who referred to these as NGO
"articles of faith”:

NGOs believe that in comparison with governments they have a

better ability to:

I. reach the poor, i.e. to target their assistance to chosen
groups;

2. obtain true, meaningful participation of intended
beneficiaries;

3. achieve the correct relationship between development processes
and outcomes;

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28

4. work with the people and thus choose the correct form of
assistance to them, i.e., not be dominated by resources as the
basis of the relationship;

be more flexible and responsive in their work;

work with and strengthen local institutions;

achieve outcomes at less cost.

\IOlm

In addition, Fowler cites the following comparative advantages of
NGOs from other authors:

8. ability and preparedness to experiment with unorthodox ideas
and practices (Esman and Uphoff 1984:275);

9. patience coupled to a strategic perspective (ibid);

10. ability to undertake people-centered research
(Chambers 1987: 5);

11. faster learning through and application of experience
(Korten 1980:19); and

12. better ability to articulate rural reality (OECD 1987;iii).

These characteristics often determine the roles and
responsibilities of NGOs. Cernea (1989) identifies the function of
community based NGOs as:

. purposively organizing people for reaching their common
objectives. This way, NGOs are ’putting people first’ in their
work, both as a methodology and as a goal. ...They organize
people to make better use of their own local productive resources,
create new resources and services, promote equity and alleviate
poverty, influence government actions toward these same
objectives, and establish new institutional frameworks that will
sustain people- or actor-centered development (p. 119).

During the past forty years, a number of NGOs have seen their
roles in development change or expand. David Korten (1987) classifies
NGO development stages into generations. First generation NGOs focus
their efforts on addressing the issues of poverty through the delivery
of relief and welfare services. These emergency endeavors are focused
on the intended beneficiaries’ short-term needs and seldom produce any
long-term development assistance. Many of these first generation NGOs

continue to exist. A second generation N60 is a development

0‘I‘9ilnization oriented toward the empowerment of a local community by

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implementing programs to increase the community members’ self-reliance
through capacity building. Third generation NGOs seek to change the
institutional and policy context consistent with greater local control
and initiatives. Korten also notes that a thirdgeneration NGO can be
involved in all of the generational activities.

In a 1989 publication by Private Agencies Collaborating Together
(PACT), Asian NGOs were divided into five broad categories and placed
along a continuum based on their mission, to demonstrate the spectrum
of these organizations as well as their evolutionary process:

(1) Social service delivery or basic self-help (relief and welfare);
(2) Mixed social service delivery and development (relief and
development);

(3) Local development only (community organization and development);
(4) Sustainable local development (horizontal, integrated long-term
development); and,

(5) Sustainable and expandable development (vertical and horizontal
integrated long-term development).

In the 19905, NGOs are being increasingly recognized as vital
components in the development process and are being called upon by
national governments and international development agencies to assist
in joint development efforts. The advantage of using NGOs as
development intermediaries, from one perspective, rest in their ability
to organize local communities and establish locally based
«organizations. This is now viewed as a necessary component to

enhancing and ensuring sustainable rural development.

30

Local Organizations

Local organizations, as defined by Esman and Uphoff (1984), are
"organizations which act on behalf of and are accountable to their
membership and which are involved in development activities" (p. 18).
These organizations often provide effective volunteer mechanisms by
appealing to people’s shared interests and values. By promoting
community organization activities and building local organizations, the
goal is to create viable and self-sustaining community-based
organizations so that development efforts will continue, even after
program monies and support have been withdrawn. Alfonso (1987)
outlines six requirements for accomplishing this goal:

(1) developing group building and basic communication skills to

develop cohesive group identity;

(2) developing organizational objectives and structures;

(3) developing leadership;

(4) developing project development and management skills while

projects are being implemented;

(5) developing group linkages, and the building of a council

composed of different groups and organizations; and

(6) developing volunteerism so that organizations produce their

own indigenous paraprofessional workers, and the role of the
community organizer becomes that of a consultant (p. 67).

The advantages of developing and including local organizations in
rural development projects identified by Esman and Uphoff (1984)
includes: (1) accurate and representative information about the needs,
priorities, and the capabilities of local publics, and more reliable
feedback on the impact of government initiatives and services; (2) the
adaptation of programs to meet local conditions; (3) opportunities for
group communications where reaching rural publics is costly; (4) local
resource mobilization; (5) the use of local technical knowledge; and

(5) cooperation in new programs.

31

According to Esman and Uphoff, sustaining local organizations are
difficult due to the political environments typically found in the
majority of developing countries. They cite four primary reasons for
these difficulties. First, there exists a hostility by central
governments toward local organizations not initiated by the government.
Rural organization and independent development activities were often
viewed as subversive activities by the ruling regimes. Second, the
local elites often viewed the activities to empower the rural poor as
threats to their domination and control within the established rural
social and economic structure. Third, local organizations often fail
due to the lack of trust, based on ethnic, kinship, political and other
differences, among the poor when social cleavages occur. And fourth,
local organizations struggle to survive when the lack of services
promised by government agencies and are not delivered.

Yet the advantages of sustaining local organizations for
governments often outweigh the disadvantages. Esman and Uphoff (1984)
cite several reasons. First, local organizations can be helpful in
assisting governments in delivering services. Second, organizations
can assist by keeping bureaucracies responsive to both the priorities
of the government and the needs of the rural poor. Third, valuable
information exchanges can occur so that rural development programs can
be more effective. Fourth, resources can be mobilized that enable
government to further stretch their own limited budgets. Fifth,
elected politicians may be able to expand their support by being

helpful to local organizations by giving them legitimacy and respect.
Sixtti, regimes may find the existing social order can remain stable by

Working with organized groups rather than to rely on patronage systems

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32

or coercion. And seventh, a strong local organization system can
provide a positive image to foreign donors who are interested in
providing monies to national governments for development.

Sustainable development rests in the hands of governments,
intermediaries, and the people working in collaboration towards
mutually defined goals. The sustainable development approach is
starkly different from when governments or government contractors
deliver programs to "the people". Government contractors functioning
as intermediaries are typically used as extensions of the government
and perform in the capacity of Public Service Contractors or PSCs
(Korten, 1991). PSCs have limited if any input in the design and
planning of programs. They may be required to follow rigid guidelines
and plans, and they remain primarily accountable to the government, not
the people.

The importance of involving NGOs as development intermediaries in
joint development rest in understanding their roles as representatives
of the intended beneficiaries, not the government. As Cernea (1989)
describes:

The two fundamental actors in local development processes are the

local governments and the local Communities. But community and

bureaucracy are two evidently antithetical styles of social
organization, which serve to distinguish the two major
protagonists in planned development: the people and the state. In
the interaction between these two actors, NGOs insert themselves
not as a third and different/independent actor, but as an

emanation and representation of the community (p. 121).

Using NGOs as development intermediaries will require some

readjustments in traditional development approaches by governments and

Other development institutions. As Esman and Uphoff (1984), who have

33
advocated the use of local organizations in development for over two
decades, have come to realize:

. effective local organization requires far-reaching changes
in the overcentralized structures and rigid operating procedures
of the agencies of public administration that have evolved in most
developing countries (p. 31).

Chambers (1988) also advocated structural changes and approaches, for
example budget driven programs, as illustrated in the following
excerpt:

Too much money, or money too soon, or budgets which have to be
spent by given dates, drive field staff into blueprinting. The
budget which has to be spent in two weeks before the end of the
financial year has to be converted to things, for example cement,
which points to physical construction not human process. Large
budgets mean buildings and machinery rather than self-help and
self-reliance. Large sums thrust on NGOs tempt them to induce
participation and to achieve early results through subsidies.
These then prevent learning from participants because poor people
will undertake work in which they are not interested if they are
paid or fed for it. Big budgets hinder learning (p. 15).

To achieve sustainable development goals, it will require

substantial changes in traditional development approaches.

Joint Development Endeavors
Collaborative development endeavors are not easy. They require
substantial changes in existing development practices, institutions,
values, and philosophies. As Barth (1963) suggests, there are several
potential causes of conflict, including organizational philosophies and
goals, that may occur among collaborating agencies. First, there are
differences between or among the agencies’ ideologies.

. . differences in philosophy derive from the unique origins
of each agency in response to the challenge of a particular set of
historical problems which brought them into being. The skills
IJseful at the point in time in which the agency was formed were

'found successful in an attack on the specific problems of that
period. -

34
. . .The ideology molds the range of facts observed as well
as the importance affixed to those facts. Thus, there is a strong
tendency for agency personnel to view what needs to be done in

their community in terms of the diagnosis implicit in their
organizational ideology.

In addition to this tendency, in order to be effective
themselves, agency staffs are also likely to view the content of
an effective program in terms of their own professional skills.
(p.53)

Second, organizational goals influence the rationale for
programs as well as the existence of the organization.

The manifest goals (those publicly announced) which gave rise to

the organization at its inception, are not the only goals shared

by members of the organization. Maintaining the existence of the
organization (regardless of it general usefulness) tends to become

a goal of its members. (p.54)

In response to these potential conflicts, Lippet (1981) provides
suggested solutions that include a six step process to enhancing
interagency collaboration. First, a precondition for collaboration
needs to be established. He sites that collaboration begins with a
vision between or among organizations. Second, he recommends testing
the collaborative waters. These tests include: assuring that
collaboration does not threaten the organizational domain; establishing
a domain consensus by agreeing upon the terms of the mutual activity;
and, checking the limits of existing collaborative networks. The third
step involves the initiation of the idea for collaboration. All
organizations involved in the endeavor need to be informed and aware of
the plans so that they understand the rationale and potential
advantages of the endeavor. The fourth step involves defining the
collaborative endeavor. It is in this step that roles are defined so
that each partner will be able to arrive at a win-win solution. The

fifth step is invigorating the collaborative process. This allows for

an assessment of the endeavors to resolve any problems after the

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35
implementation and to correct or adjust the problem accordingly. The

last step is to evaluate the collaborative endeavor.

Summary
With this theoretical background, this study sets forth to gain a
more indepth understanding of what enables NGOs to successfully
implement and maintain joint development efforts so that the program
participants will eventually be able to sustain local development

programs independently or interdependently.

CHAPTER III
RESEARCH METHODOLOGY

Introduction

The purpose of this study was to describe and explain the
processes, problems, and outcomes of four NGOs, functioning as
development intermediaries between the government and the intended
beneficiaries, in a national community based development program. By
contrasting and comparing the experience of four NGOs, it is the intent
of this study to gain indepth insights related to what enables NGOs to
successfully implement and maintain joint development efforts so that
program participants will eventually be able to sustain the program
independently or interdependently. Five main areas were explored: (1)
the different types of NGOs that participated in this program; (2) the
roles and responsibilities performed by each type of NGO, the
government, and the intended beneficiaries; (3) the approaches that
enhanced or hindered the participation of the intended beneficiaries
and the sustainability of the program; (4) the tensions and barriers
each NGO experienced during the implementation of the program, and the
reason(s) for or soUrce(s) of the identified problems; and, 5) the

benefits and actual beneficiaries of the program.

Qualitative Research - An Overview
The methods used for this qualitative study are drawn from the

fields of sociology and anthropology based on the works of Bogdan and

36

37
Biklen (1982), Hammersley and Atkinson (1989), and Cuba and Lincoln
(1981). Qualitative research is distinct from other types of research
based on several primary characteristics. Bogdan and Biklen (pp. 27-
30) identified the following characteristics:

(1) Qualitative research has the natural setting as the direct
source of the data and the researcher is the key instrument.

(2) Qualitative research is descriptive.

(3) Qualitative researchers are concerned with process rather than
simply with outcomes or products.

(4) Qualitative researchers tend to analyze their data
inductively.

(5) "Meaning" is of essential concern to the qualitative approach.

The first task of the researcher when she enters the site is to
view it as an exploratory opportunity. During the initial phase, the
researcher interacts within the community to build trust and the
foundations for a comfortable relationship among the community members.
Initial interactions often include basic social exchanges as the
participants begin to familiarize themselves with the researcher, the
purpose of her presence in the community, and the study. Gradually,
the researcher and the participants work together to explore the
research problem by uncovering the details of specific events. The
researcher collects data by providing opportunities for the subjects to
describe experiences, while probing for the meanings attached to these
experiences as they were interpreted by the research participants.

This process is typically rich in description as events are
reconstructed and details are revealed. Open-ended questions allow the
respondent to elaborate so that information can be recalled, as close

to the actual event as possible, without omitting details that may

38
prove vital to the research. Thus, the researcher guides the subject
through loosely structured interviews to gain indepth insights. Using
this technique, the researcher may uncover new insights, not previously
considered, and can redirect the line of inquiry to gain additional
information.

In the naturalistic setting, the researcher is also afforded the
opportunity to observe events or the results of events. The researcher
can generate questions based on observations at the site as well as
include descriptive data based on observations.

Guiding the participants through interviews, the researcher
focuses on gaining a detailed, indepth understanding of the process,
not just the outcome. Thus, the researcher is able to discover
information, for example, on strategies, tensions, behaviors, and
motives; all factors influencing the research problem. This inductive
process enables the researcher to construct linkages and make
assertions based on diverse, yet interrelated, perspectives of the
research problem.

The qualitative researcher is interested in understanding how
people think and develop the perspectives that they hold, and to
discover the meanings people give to their experiences as well as the

processes utilized to interpret events.

Focus of the Study
This study was designed to examine the processes, problems, and
outcomes of four NGOs, functioning as development intermediaries
between the government and the intended beneficiaries. The focus of

this study was four NGOs in the Philippines that were participating in

39
a three year Contract Reforestation Program (CRP). This collaborative
program was administered by the Philippines Department of Environment
and Natural Resources (DENR) and funded by the Asian Development Bank
(ADB). The Contract Reforestation Program, according to the DENR
literature, enables participants "to become partners with the
government in forest development, management, resource utilization, and
conservation". The incentives identified by the DENR for people to
participate in this program are embedded in the goals of the project
with such expected outcomes as the generation of jobs and
infrastructures, restoration of the forest and its natural resources,
and increasing the means of the participants’ livelihood and economic
stability by harvesting food and wood products from the forest.

In an effort to reach as many people as possible, as well as to
meet the high target numbers set by the DENR for this program, the
Department offered contracts to families, communities, and
corporations. Family contracts could be entered into by the head of
the family, who "is of legal age and with good moral character that is
physically and mentally able to undertake the necessary work".
Community contracts were available to duly recognized local entities
such as associations, cooperatives, NGOs, foundations, civic and
religious groups, and local government units for areas ranging from six
hectares to one hundred hectares. The third type of contract was
awarded to corporations, by competitive bidding, for areas of one
hundred or more hectares.

One of the five types of community contractors eligible to
participate in this program were Nongovernmental Organizations (NGOs).

NGOs defined by the Department of Environment and Natural Resources

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(1990) are "private, non-profit voluntary organizations that are
committed to the task of socio-economic development and established
primarily for service" (p.94).

Thus, the Contract Reforestation Program was designed to trigger a
nation-wide reforestation effort on a massive scale to reach as many
upland residents as possible by involving various entities of the
private sector. The first phase of a two part reforestation scheme,
this program was designed to provide the foundations for the Forest
Land Management Agreement (FLMA).

The FLMA, which is the second part of this scheme implemented
after the completion of the CRP, is a long-term production sharing
contract between the DENR and the contract reforestation intended
beneficiaries. The twenty-five year renewable FLMA contract, according
to the DENR, would provide considerable benefits to the participants
including: 1) the opportunity for contractors to become legitimate,
licensed suppliers of timber and other forest products; 2) tenure
securities on their contracted land; and, 3) profits from the sales of
interplanted cash crops and tree products from the forest.

Critical to the long term goals of this program was the ability of
contractors to establish the necessary foundations that would sustain
this program beyond its three year contract period so that communities
could independently enter into the second stage of the program, the

FLMA, with the DENR.

Research Design
This study was designed to explore five major areas related to the

Process of using NGOs as development intermediaries in joint endeavors

41
between the government and the intended beneficiaries. These areas
included: 1) the types of NGOs; 2) the roles and responsibilities of
NGOs, 3) the approaches used by NGOs; 4) the tensions and barriers
encountered by NGOs; and, 5) the benefits and the beneficiaries. To
explore these areas, a list of main and subsidiary questions was
generated that would initially guide the data collection process. The
researcher structured the investigative process so that indepth
insights related to these questions could be gained by drawing upon the
methods of interviewing, observations, and reviewing documents.
Gradually, this list of questions was modified as the researcher began
to narrow the focus of the study. New questions, designed to collect
confirming and disconfirming evidence, were added as patterns and
themes began to emerge from the study. Other questions were omitted

when it became evident they were no longer relevant to the study.

Procedures

This research study had four main phases duringthe six month
overseas data collection period. The phases naturally evolved as the
focus of the study gradually progressed from the broad exploration of
the five main research questions to a narrow focus and eventually an
iterative process of checking and clarifying emerging patterns, themes
and assertions.

The first phase of the data collection was completed in Manila,
the capital city of the Philippines. To gain indepth insights into the
collaborative endeavor, the researcher spent one month in Manila
collecting information on the participants and the program to be

Stud ‘1 ed. Interviews were conducted with administrators from

42
participating agencies and organizations affiliated with the program.
Opened—ended interviews were used to gather historical and foundational
information on the program, the main goals and objectives of the
program, and problems that had transpired since the inception of the
program.

In addition, administrators from development organizations and
agencies that were directly or indirectly affiliated with the program
in some capacity were interviewed to gain their input related to the
program. Documents were reviewed to gain insights into the program
design, desired outcomes, and quantitative and qualitative results from
the first three years of the program’s initial nation-wide
implementation. Literature was obtained from diverse sources such as
the Department of Environment and Natural Resources, the Asian
Development Bank, and NGO consortiums.

Participant and nonparticipant observation were conducted during a
national conference designed specifically to discuss concerns and
problems related to the program’s policy issues. Conference attendees
included administrators and staff members from throughout the nation
representing the Department of Environment and Natural Resources,
Nongovernmental Organizations and Consortiums, and academic
institutions.

During this phase of the study, the researcher was able to obtain
historical and general background on the program, the program’s design
and development, the current state of the program, and the significant
problems that had been identified with the program to date.

At this time, the researcher also identified two provinces in

which to conduct the study. Three factors influenced the selection of

43

one province for this study: (1) language, (2) the presence of a large

pool of diverse types of NGOs participating in the program, and (3) the

level of cooperation extended by the provincial government officials.

A second province was selected based solely on the location of an

indigenous ethnic group.

The second phase of the study was conducted on the provincial
level. This phase was designed to gain insights related to the
implementation of the program and its participants and to select the
NGOs to be studied. During the initial arrival of the researcher in
the first province studied, the first two weeks were spent interviewing
regional, provincial, and community level representatives of the DENR.
Data was collected regarding the program, NGO participants, and the
identified problems experienced with the program in the province. DENR
erecords of the participating NGOs in this province were reviewed to
gain insights into the type of organizations that were participating in
the program, organizational program plans and performance, and the
outcomes of the NGOs.

The eight NGOs that were participating in the Contract
Reforestation Program were identified as potential research sites. The
researcher then contacted the top administrator of each of the
identified organizations and set-up meetings. Each meeting had three
objectives:

1. to gain background information on the NGO related to its mission,
experiences in development, and overview of the NGO’s performance in
the Contract Reforestation Program;

2. to explain the purpose of the study and assess the NGO’s level of

interest in participating in the research project; and,

44
3. to gain indepth insights from the NGO in this province about the
Contract Reforestation Program, historical background on previous
relationships between the NGO community and the government, and the
current state of NGOs in the province.

After completing interviews with administrators from the eight
identified NGOs, four NGOs were selected for the study. Selection was
based primarily on access to the site and the difference among the
characteristics of each NGO. Each of the administrators was contacted
and dates were identified for the on-site study. Initial arrangements
were also made for housing the researcher during the study and the
identification of a local on-site contact person who would serve as a
key informant and guide.

The third phase was the collection of data at the actual
reforestation sites. The researcher spent approximately two to three
weeks at each of the sites. The first week on the site, the
researcher’s main objective was to become visible within the community
and allow time for the community members to familiarize themselves with
the researcher and understand the purpose of the researcher’s visit in
the community. During this first week, the researcher toured the
community reforestation sites, attended community meetings, spent time
at local markets and other community gathering places. A key informant
from the NGO would accompany the researcher to orient and introduce the
researcher to the community members and the geographical layout of the
community. Some visits and introductions were also done independently
by the researcher.

During the first week, the researcher made a concerted effort not

to ask specific questions related to the N60 or the program but rather

45
to allow the community residents to inquire about the researcher.
After a level of comfort had been reached between the researcher and
the individual(s) engaged in conversations, many of the individuals
would voluntarily express their opinions about the N60 or the program
without direct inquiries from the researcher. If community members
would volunteer information, then the researcher would ask for
clarification of statements or ask further probing questions so that
the individual would continue the conversation. Without rigid time
constraints, the researcher would often let the conversation continue
until it was terminated by the community members.

All the information gathered during this period from conversations
and observations were recorded as research notes. In addition, any
documents collected or reviewed were also included in the research
notes.

During the second and third weeks in each of the communities, the
researcher conducted formal and informal interviews with various
community members that included: (1) program participants;

(2) nonparticipating community residents; (3) local elected officials;
(4) local informal leaders; and (5) N60 staff members. Interviews
after the first week were more structured and guided by the researcher
so that relevant data related to the study could be collected. The
settings for these interviews varied. Interview settings included the
reforestation work site, community members’ homes, public community
buildings, or local variety stores.

Throughout the data collection phases on the national, provincial,
and local levels, the researcher would continually assess the data

looking for emerging themes and patterns.

46

The fourth phase included the process of actively seeking
confirming and disconfirming evidence to patterns and themes that had
emerged during earlier stages of the research. This process occurred
in the final two months of the data collection. Information was
collected during interviews, observations, and the review of documents
at various locations that included the reforestation sites, community
and provincial government offices, provincial-wide seminars, and
national level office of cooperating organizations and agencies.
Interviews were conducted with new individuals as well as individuals
who had been previously interviewed.

Thus, the four phases of this study allowed the researcher to
continually narrow the focus of the study, as the research progressed
from the national, provincial, to the local level. Then, retracing the
research from the local back to the national level in seeking

confirming and disconfirming evidence of the findings.

Selection of the Site and Subjects

The study was conducted in two provinces of the Philippines.
Three of the four NGOs were located in one province. This province was
selected based on the researcher’s familiarity with the language and
the local culture, the types and large number of NGOs participating in
the program, and the receptivity to study by local government
administrators. The decision to base the majority of the study in one
province was to control for environmental, cultural, and historical
differences. The second province was included so that the researcher
would be able to study one NGO that had entered into a contract with an

indigenous tribal group; no indigenous ethnic minority communities were

47
found in the former province.

All of the NGOs were purposefully selected for this study so that
the researcher would be able to examine a range of NGO contractors
based on the organization’s background, mission, primary development
thrust, and rationale for entering into the Contract Reforestation
Program.

To select the NGOs for this study, the researcher obtained a list
of NGO contractors from the Regional DENR office. The departmental
files of NGOs were reviewed by the researcher to gain insights into
each organization’s mission, goals and objectives, and their
performance in the program. Personal interviews were conducted with
the two Community Environment and Natural Resources Officers (CENROs)
in this province to obtain these department administrators’ assessment
of the organizations and their performance in the Contract
Reforestation Program. One DENR official classified the organizations
into different categories which were later used as one of the criteria
for the selection of the organizations. These classifications
included: profiteers, technocrats, and developmental organizations.

Interviews were conducted with the presidents of eight NGOs,
either at the organization’s office or the actual contract
reforestation site, to gather information on the organization’s
background, philosophies, development approaches, rationale for the
formation of the organization, performance of the NGO in the Contract
Reforestation Program, and openness of being studied.

The criteria used by the researcher to select the NGOs was based
on a range of differences among the NGOs. The criteria included the

Organization’s:

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48
(1) mission;
(2) rationale for establishing the organization;
(3) previous history of working with community groups;
(4) development approaches, strategies, and methodologies; and,
(5) performance in the Contract Reforestation Program.

NGOs were selected according to their differences on each of the
criterion so that a diverse sampling of NGOs would be used for the
study.

Table 1, on the next page, shows the Organizational Profiles of

the four NGOs that were selected for this study.

49

 

 

 

 

 

 

 

 

 

 

 

 

TABLE 1
PROFILE OF NONGOVERNMENTAL ORGANIZATIONS
+ ------- +----+----+----+----+
| NGO | #1 | #2 | #3 | #4 |
+ ----------------------- + ------- +----+----+----+----+
| Reforestation Mission | xx | l | |
+ ------------------------------- +----+----+----+----+
| Environmental Mission | | xx | | +
+ ------------------------------- +----+----+----+----+
| Social Development Mission | | | xx | xx |
+ ------------------------------- +----+----+----+----+
Founded Specifically to |
Participate in the CRP xx |
+ ------------------------------- +----+—---+----+----+
Founded for Social and xx | xx
Technical Development Purposes |
+ ------------------------------- +----+----+----+----+
Only Organizational |
Project is Currently CRP xx xx |
+ ------------------------------- +----+----+----+----+
Wide-range of Development |
Projects within Community | xx xx
+ ------------------------------- +----+----+----+----+
Established in Community
Prior to the CRP xx xx
+ ------------------------------- +----+----+----+----+
Utilizes Primarily
Technical Capacity xx xx
Building Approaches
+ ------------------------------- +----+----+----+----+
Utilizes a Variety
of Capacity Building xx xx
Approaches
+ ------------------------------- +--—-+----+----+----+
| Hierarchical Organizational
| Structure xx xx xx
+ ------------------------------- +--—-+----+----+----+
| Loose Organizational l
| Structure xx 1
+ ------------------------------- +----+----+----+----+
| Works Specifically with |
| Indigenous Tribal Groups xx |
+ ------------------------------- +----+----+----+----+
| Total Hectares Contracted | 100| 100+ 10 I1250|
+ ------------------------------- +----+----+----+----+

xx - Indicates that the category applies to the NGO.

50
NGOs Selected for the Study
Nongovernmental Organization #1

NGO #1 was founded in August, 1989 and was registered with the
Securities and Exchange Commission in September, 1989. This
organization was founded after the implementation of the Contract
Reforestation Program solely to participate in this program. The
mission articulated by the president of the NGO is ”to work toward the
goals of the DENR’s Community Based Reforestation Program". After the
founder, who is also the president, read an article in the local
newspaper about the Program, he decided to form a NGO so that he could
participate in the Contract Reforestation Program.

The NGO has four board members: the president and founder who is a
retired engineer; the vice-president, who is a commerce graduate and a
relative of the president; the secretary/treasurer, who is the
president’s wife; and, one auditor, who is the president’s son. The son
is currently studying engineering and works part-time as a driver.

None of the board members had any previous training or background in
forestry, agriculture, or community development.

The NGO was scheduled to receive the contract in early 1990 but
was not awarded the Reforestation Contract by DENR until four months
after it was scheduled. To date, the organization had never been
accredited by the DENR. The NGO has no other source of funding except
'the payments from the DENR as a CRP contractor.

This was the first and only project the NGO had participated in as
a formal organization.

This NGO was based in the provincial capital, where all of the

board members permanently reside.

51
To implement the program, the NGO used predominantly technology
transfer approaches and strategies utilizing a hierarchical management
structure with the NGO president at the top of the pyramid and the
community residents at the bottom.
This NGO had repeatedly failed, according to DENR administrators
and documentation, to meet the terms of the contract. In August, 1991

the DENR recommended immediate cancellation of the NGO’s contract.

Nongovernmental Organization #2

NGO #2 was founded and registered with the Securities and Exchange
Commission in July 1988 by a former employee of the DENR. According to
the organization’s first mid-year report, the rationale for the
establishment of the organization was "In answer to the growing need
for contractors within the region".

This NGO was awarded its first CRP contract in June 1990 and to
date, they have entered into three Community Based Contracts in this
province and are responsible for the reforestation of large tracts of
land totaling to almost six hundred hectares at several different
geographical locations in the province.

The NGO supports itself through governmental contracts and private
donations.

The organization’s core staff of five members is composed
primarily of technicians from the fields of forestry and agriculture.
The members of this staff tend to take a highly technical approach to
inmlementing forestry programs and manage their organizations as well
as their projects similar to that of a small bureaucracy.

This organization had never done previous NGO work in any of the

52
communities they were awarded reforestation contracts.

At the community site for this study, the original contract was
for 100 hectares. This amount was officially reduced since the NGO was
unable to reforest the entire amount of the land agreed upon in the
contract.

The success rate of trees at this community site during the first

years of the program was approximately 50%.

Nongovernmental Organization #3

NGO #3 was founded in 1988. Prior to the organization’s founding,
the three community sites currently managed by this NGO had been
development projects initiated by an international development
organization. After ten years, the international organization decided
to turn the project areas over to the local people. Local community
participants and support staff formed a new organization and
incorporated themselves as a NGO.

The mission of this organization is "to assist marginal upland
farmers in uplifting the quality of their lives through improved
farming practices and proper utilization and management of the resource
base“. The following objectives listed in the Articles of
Incorporation of the organization are:

1. To develop awareness among farmers and fishermen on the
conservation and rehabilitation of our natural resources
through dissemination of appropriate technology by way of
conducting trainings, seminar-workshops, farmer-to-farmer cross
visits, and the development of educational materials on

successful field-tested technologies;

2. To promote and develop resource management skills among project
implementors and participants through trainings;

53
3. To teach farmers soil and water conservation technology, and to
teach fishermen coastal development and rehabilitation
techniques;

4. To develop appropriate technology adaptable to specific areas
and conditions and to fund implementation of new technology;

5. To sustain technology through monitoring and evaluating of
technology adaptors;

6. To fund forage development projects for livestock and cash
crops;

7. To develop and establish wells and springs in project sites
where possible;

8. To coordinate and form linkages with non-governmental
organizations (NGOs as well as government organizations)
involved in agriculture and natural resources development, and,

9. To enter into contracts or trust agreements with individuals,
corporations, partnerships, foundations or other associations
in order to carry out and promote the purposes of this
corporation.

The board members for this NGO include professional staff members
of the organization as well as community members from each of the three
community sites in which the NGO is actively involved.

Staff members include a range of professionals and support staff
with various backgrounds in the environmental and social sciences. The
president of this organization was formerly a local farmer who had
participated in different capacities with the organization’s programs
and rose through the relatively small ranks to head the organization
today.

In each community, the NGO has formed an organization that plays a
dominant role in determining the selection, design,
implementation, and monitoring of community based development efforts.

This NGO and its former counterpart have been working in this

community for ten years and have intimate knowledge of the geography,

the people, and their problems. Their projects, responding to the

54

identified needs of the community members, include soil and water
conservation, backyard gardening, goat raising, and community
beautification projects.

Funding for this organization is provided for by two international
development agencies in the form of grants. They also receive money
from government contracts.

This organization has a relatively flat, as opposed to
hierarchical, administrative structure. Its official organizational
chart lists the community members at the top and the program manager at
the bottom.

This NGO received contracts in 1988 and 1989 totaling to ten

hectares.

Nongovernmental Organization #4

NGO #4 was established in 1961 to help protect the tribal rights
and lands of indigenous peoples. The ethnic groups had been
systematically losing their ancestral lands as non-indigeous settlers
continued to migrate further into the mountainous area of this region
looking for land to farm.

The statement of purpose of this organization, according to their
literature, is the following:

(Name of Organization) is a community of religiously
motivated people organized to assist the indigenous tribal pe0ples
(list of tribal groups) to realize their full human potential as
individuals and as peoples.

This NGO covers an expansive area in which eight different tribal

groups reside. Twenty six community centers have been established by

the NGO throughout the area in which it provides a range of services.

55

Each community center has an elementary school, accredited by the
Philippine Department of Education, Culture and Sports (DECS); a
clinic; a cooperative store; a chapel used for a variety of functions;
and a staff house. The staff house provides accommodation for the NGO
personnel assigned to work within the community, offices, and a common
room. Community center staff usually include a community coordinator,
the elementary school teachers, and environmental technicians.

Six different programs are instituted by this NGO to assist
community members in upgrading their standard of living. These
programs include community organization, religious, general education,
health, agriculture, and marketing.

This NGO has existed in the area for over 26 years and has
developed an in-depth understanding and respect for cultural beliefs
and customs of the indigenous groups. Tribal leaders maintain
decision-making positions within the community and their input and
advice are sought prior to and during the implementation of projects.

This organization maintains a hierarchical structure, headed by a
non-Filipino priest and predominantly non-tribal administrators and
staff. Community level organizations are managed by the tribal
leaders, usually in cooperation with NGO staff members.

The funding for this NGO comes from numerous international donors,
the Catholic Church, and government contracts. The organization also
is able to generate some of its own funds through small business
enterprises.

This NGO has entered into several Contract Reforestation contracts

for a total amount of 1250 hectares.

56
Subjects of the Study

The subjects for the on-site study included a diverse group of
individuals affiliated with the Contract Reforestation Program who have
been directly or indirectly affected by the program. Subjects
included: (1) the intended beneficiaries, (2) local community members,
(3) temporary and permanent NGO staff members, (4) NGO administrators
and staff members, and (5) DENR administrative and field staff.

During the first month, the researcher conducted interviews with
central office administrators from the DENR, international development
organizations, national NGOs, NGO umbrella organizations and
consortiums, and representatives from the Asian Development Bank who
were directly or indirectly associated with the Contract Reforestation
Program. These individuals represented a diverse sampling according to
their gender, age, and educational background and position within the
organization. In total twelve structured interviews were conducted in
Manila.

The researcher also attended one national conference devoted to
policy issues of the Contract Reforestation Program. Participants in
this meeting included administrators and staff members from the DENR,
national and local NGOs, NGO umbrella organizations, and
representatives from various academic institutions. As a participant
and non-participant observer, the researcher was able to obtain
extensive data related to the program and the joint partnerships. This
three day conference exposed the researcher to approximately forty
program participants and organization administrators. At the

conference, the researcher made extensive efforts to interact with as

many of the participants as possible.

 

57
At the provincial level, the researcher identified specific
representatives of the government to interview based on their position
or function within the organization. Eighteen members of the DENR
representing the regional, provincial, and local offices of the DENR

were interviewed in the provinces.

TABLE 2
INTERVIEWED DENR EMPLOYEES
+ ------------------------------------------------ + ------ +
| Level of Employee lNumberl
+ ------------------------------------------------ + ------ +
| National Level Employees and Consultants | 7 |
+ ------------------------------------------------ + ------ +
| Regional Level Employees | 6 |
+ ------------------------------------------------ + ------ +
| Provincial Level Employees | 4 |
+ ------------------------------------------------ + ------ +
| Community Level Employees | 8 |
+ ------------------------------------------------ + ------ +

TOTAL 25

Level g: Employee indicates the physical and hierarchical
location of the office within the bureaucratic structure
of the DENR.

Number indicates the number of employees that were interviewed
as research subjects for this study.

 

Approximately two to three weeks were spent at each NGO community
contract reforestation site. During the on-site community studies, the
researcher stayed with either a local family or at the NGO staff
facilities (e.g. bunkhouse). Local interviews were arranged by the
NGO community representative(s) with various individuals who served in
different capacities in the local program or community. In addition,
the researcher independently sought out community members to interview
by socializing at local community gathering places and attending
scheduled community events and meetings. Semi-structured

questionnaires were used during formal interviews. Other interviews

58

were conducted in a more spontaneous manner drawing upon the

information from the questionnaire to guide the conversation.

I.

2.

3.

 

 

 

 

 

TABLE 3
SUBJECTS INTERVIEWED AT NGO REFORESTATION SITES
+ --------------------------------------------------- +
| NGO #1 #2 #3 #4 |
+> ------------------------------ +----+----+----+----+
l | Local Political Leaders | 3 | l l 2 | 2 |
+ ------------------------------- +---~+----+----+----+
2 | Indigenous Tribal Leaders | NA | NA | NA | 5 |
+ ------------------------------- +----+----+----+----+
3 | Local CRP Supervisory Staff | 3 | 7 | NA | NA |
+ ------------------------------- +--—-+----+----+----+
4 | Full-Time CRP Community | |
l Participants I 3 l 10 5 6
+ ------------------------------- +----+----+----+----+
5 | Part-Time CRP Community I |
| Laborers I 1 | 0 NA NA
+ ------------------------------- +----+----+----+----+
6 | Short-Term CRP Community I |
| Laborers | 5 | NA NA NA
+ ------------------------------- +----+--—-+----+—-—-+
7 Non-participating CRP |
Community Members | 2 2 5 6
+ ------------------------------- +----+----+----+----+
8 On-Site NGO Professional |
Staff | 0 3 2 5
+ ------------------------------- +----+---—+----+----+
9 On-Site Local Nursery I
Maintenance Laborers l 0 3 NA NA
+ ------------------------------- +--—-+----+----+----+

Legend for Table 3

Local Political Leaders - Formally elected community officials.

 

Typically, the mayor, local government unit captain and the local
government unit council members.

Indigenous Tribal Leaders - Traditional leaders of ethnic
communities. These individuals were usually not formally elected
political leaders.

 

 

Local Community Reforestation Program Supervisory Staff -Individuals
who were selected by the NGO to locally manage and supervise the
program. All of these individuals are local community residents and

59

receive some type of monetary compensation for their duties. (At
some sites, category one and three may represent the same
individuals.)

4. Full-time Contract Reforestation Program Community Laborer -
Individuals who worked in some capacity on a full time basis to

implement and maintain the program. They usually received some type
of compensation, typically wages, for their participation in the
program. All of these individuals were members of the community.

5. Part-time Contract Reforestation Program Laborers-Individuals who
worked on a contractual basis for the program when specific job
skills were needed to complete a project (e.g. carpenter) for the
program. These individuals typically had a skilled trade.

6. Short-term Contract Reforestatjgn Program Community Laborers-
Individuals who were involved with the program as wage laborers for

only a short period of time, usually less than one month. Although
these community members had expressed a desire to continue working
with the program, they were not asked to return to work by the local
project managers. These individuals were typically unskilled
laborers.

7. Non-participating Contract Reforestation Program Community
Members — The community residents who elected not to participate in
the program as paid staff, laborers, or volunteers. Usually these
community members had other means of income and did not need to
participate in the program to earn an income.

8. On-site ygg Professional Staff - Individuals who were not usually
from the community and were externally hired professionals.

9. On-site Local Nursery Maintenance Laborers - Individuals who
received a regular salary from the NGO to maintain the nursery
facilities and seedlings. They usually lived near the nursery area
or owned the land where the nursery was established.

NA - Indicates the category was "Not Applicable" to the community
studied.

0 - Indicates that these individuals were not available to talk
with at the time of the research study.

During the fieldwork in the first province, the researcher also
attended two provincial wide meetings sponsored by NGOs. The first
meeting was held for administrators and members of the NGO community
who were participating in the Contract Reforestation Meeting. The

researcher had been invited to attend this meeting by one of the

60
membership organizations. The purpose of the meeting was to plan a
conference for NGOs and community leaders to discuss local development
programs provided by governmental and nongovernmental organizations.
Four individuals, representing three NGOs, were in attendance at this
meeting. After the members in attendance completed their agenda, the
researcher was given an opportunity to discuss the Contract
Reforestation Program with the three individuals. The researcher used
this meeting to conduct a semi-structured focus group session for
approximately two and one half hours to gain insights related to their
experiences as CPR contractors.

The second provincial meeting the researcher attended was a
conference organized by provincial NGOs. At this time, approximately
three months later, the researcher was able to individually interview
each NGO administrator that was in attendance at the previously
mentioned meeting. In addition, seven other officials from the
government and provincial NGOs administrators were informally
interviewed.

The subjects of this study represent a diverse group of
individuals. Their ages ranged from sixteen to over seventy years old.
The sampling represented a mix of male and female organization members
and program participants. Educational levels of the subject varied
from no formal education to individuals with professional and doctoral
degrees.

Participants in this study were selected through a process of
purposeful sampling. The participants were categorized according to
three major groups according to their affiliation either to the DENR, a

N60 or NGO consortium, or a participating community. Nithin each of

61
these major groupings, participants from the DENR and NGOs were
selected based on the individual’s position within the organization and
their role in the program. A sampling of individuals at different
levels within the organizational hierarchy was selected. These
included the president, one other administrator, technical or social
development specialist, and on-site staff members(s),

At the community level, the researcher selected individuals from
each of the following categories: (1) formal, politically elected
community leaders; (2) informal community leaders; (3) participating
community residents; (4) non-participating community residents; and (5)
community based NGO staff members.

The research participants were selected in one or more of the
following ways: (1) identification of individuals from a list related
to a specific criteria (i.e. community CRP fieldworkers);

(2) recommendations for other participants; and, (3) unscheduled,
spontaneous interactions with individuals at the research sites.

Each formal interview was conducted for approximately one hour.

Materials

A list of topic areas and related questions was used as a guide
for all interviews with the participants. Interviewees were asked
general open-ended questions. Upon the completion of each answer, the
researcher would either ask for further clarification, probe further
into the answer, or facilitate the conversation so that the next
general question could be asked. As the study evolved, questions were
modified, changed, or omitted according to the narrowing of the focus

of the study. The fluidity of the questionnaire allowed for

62
conversations to be guided so that the necessary information could be
collected in a natural manner during structured and unstructured
interviews, casual conversations, and focus group discussions.

The researcher worked in conjunction with a Filipino research
assistant. All interviews conducted at the research site completed in
the local language were done in tandem. This dual interview approach
was utilized for three primary reasons: (1) to compensate for gaps in
language skills by the primary researcher; (2) to assure the smooth
flow of natural conversation without interruptions to record notes
since most participants did not feel comfortable being tape recorded;
and, (3) to increase the accurate interpretation and written recordings
of the responses.

Using this approach, one researcher would ask questions while the
other individual would jot down brief notes on the answers given by the
participant. As soon as possible after the termination of the
interview, the researchers would meet to discuss the information
collected during the interview. This process involved recording
comprehensive notes in a research journal using the interview notes as
a guide. Second, the researchers would identify questions that
participants had a difficult time comprehending or exhibited hesitation
in answering. The researchers would then rephrase the question so that
the future participants would be better able to understand and answer
the question. Third, the researchers would identify information that
needed further clarification. This would involve questioning the
individual again or asking another interviewee in the community for
clarification or confirmation. Fourth, the researchers would compare

the most recent interview notes with previous data and identify

63
emerging patterns or themes. Fifth, areas for further exploration were
identified from a list of the emerging themes and patterns.

If documents were available at the site, the researchers would
examine and make notes in the research journal of related or relevant
information to the study.

Documents collected and/or reviewed at the national, provincial,
and local levels included program literature and guidelines,
independent program evaluations conducted by other organizations,
internal and external memos, NGO literature, work plans, contracts,
land survey maps, monitoring and evaluation reports and on-site staff
reports and surveys.

Participant and non-participant observations were conducted at
(1) national, provincial, and local meetings; (2) within government and
NGO offices; (3) local NGO facilities; (4) community work sites;

(5) community gathering places; and (6) the homes of commUnity members.

Data Analysis
Data collection and analysis in fieldwork occur simultaneously.

While the researcher is collecting data, she also begins the process of
analysis. Data analysis usually begins by coding the data. In this
study, each participant was labeled with an alphabetic code determined
by the organizational or community affiliation of the individual and
the position of the individual within the organization, community, or
program. The participant was also assigned a series of numbers based
on the date, the site in which the participant was interviewed and the
sequence of the interview at the site. An alphabetical extension was

added to the end of the code to determine how the data was obtained.

64
For example, if the participant was an administrator at the community
level of the DENR and the second individual to be interviewed on
November 15 at the DENR’s local office, the first place of two
scheduled site visits on that day, then he would receive the code DENR-
A-LL-1115-1-2.FI. Thus, this code signified that (DENR) the
individual’s organizational affiliation was with the DENR as (A) an
administrator at the (LL) local level (1115) on November 15 and he was
at the (1) first site visited by the researcher and the (2) second
person to be (FI) formally interviewed.

This coding system enabled the researcher to quickly scan notes
and identify information related to the organizational affiliation, the
position of the individual in the organization, the level within the
organization, the date, the individual, and the method used to collect
the information. For example, if the researcher was looking for
patterns among DENR administrators, then the researcher could quickly
locate the information in the research notes by looking for notes coded
DENR-A. ’

The process of sorting and coding the data evolved as the
researcher progressed through each phase of the study. During the
first phase, the researcher began to analyze the data collected on the
national level that was related to common concerns, problems, and
issues raised by the participants. These similarities were grouped
into three broad categories: (1) the collaborative partnerships, (2)
the program studied, and/or (3) specific population groups of the joint
endeavor (the government, NGOs, or intended beneficiaries). Second,
the data was sorted into the five groups identified for exploration in

the study. These areas included: (1) types of NGOs, (2) roles and

65
responsibilities, (3) approaches, (4) tensions and barriers, and (5)
beneficiaries and benefits. For example, the researcher began to look
for patterns regarding the types of NGOs in collaborative partnerships
and similar characteristics. This process allowed to researcher to
examine possible patterns, make contrasts and comparisons, and identify
gaps between articulated and actual goals, behaviors, or outcomes. New
coding systems were added as the research continued. For example, if
the data did not fit into any of the existing categories, then new
categories were created for the information. All data collected was
recorded and coded.

This process continued on the provincial level and then the
community level. Eventually, all the data from the national,
provincial, and local sites were combined and examined.

The researcher used three methods to physically code and/or
manipulate the data. First, all the data in the fieldnotes was
highlighted with colored marking pens according to a color coded
system. Second, all data was inputed directly on to a computer disk.
The data was electronically cut and pasted into different categories.
Information was commonly shifted from one category to another looking
for the most appropriate fit. Third, all fieldnotes were adhered to
3" x 5" note cards allowing the researcher to arrange and rearrange
data into different categories and sub-categories. These cards were
taken to the different research sites and reviewed by the researcher as
new data was collected.

Throughout the six month period of data collection, the researcher
maintained three journals. One journal contained all the fieldnotes

collected during the study. A second journal was used to record and

mainta

.d
Jr a
«d.

ltkrfiw

ex;e"i£

66
maintain a chronological account of the researcher activities, ideas,
and assumptions related to the study. The third journal was used as a
personal diary to record the researcher’s feelings and biases. By
acknowledging the biases or personal emotions in written form, the
researcher was better able to segregate personal and professional

experiences.

V333 tc
SUCCESS
t"? Pro

‘ 29:99

CHAPTER IV
PRESENTATION AND DISCUSSION OF FINDINGS

Introduction.

The purpose of this study was to describe and explain the
processes, problems, and outcomes of four NGOs, functioning as
development intermediaries between the government and the intended
beneficiaries, in a national community based development program. The
intent of the study was to contrast and compare the experiences of four
NGOs to gain indepth insights related to what enables NGOs to
successfully implement and maintain joint development programs so that
the program participants will eventually be able to sustain the program
independently or interdependently.

This chapter describes the data collected from ninety-eight formal
and informal interviews with individuals associated with the DENR’s
Contract Reforestation Program. Research participants represent a
diverse group of communities and organization from different
geographical locations in the Philippines. The majority of the data
was collected during visits at four NGO contract sites. The interview
data is triangulated with program literature and organizational
documents, and observations at community sites and organizational
offices.

A question format will be used in this chapter to present the

findings of this research as well as to illustrate the larger context

67

68
of the research problem. Questions include: "Nhose problems?"; "Who
participates?"; "Nho controls?"; "Nhose solution?"; and, "Who

benefits?".

Nhose Problem?
Development and the Perception of the Problem

In the 19905, the field of development is in a period of
transition as traditional development models and conventional
development wisdom are being challenged. New demands are being placed
on established development institutions and governments for a more
equitable distribution of the benefits and increased participation by
the general public.

Previously, national development efforts were centered in the
hands of a few individuals and organizations. These earlier approaches
tended to rely on the expertise of personnel from foreign institutions
and governments to identify an "underdeveloped" nation’s problems.
Problems were often perceived to be economic in nature and thus, it was
assumed, could be resolved by implementing growth centered development
programs that transferred knowledge, technology, and capital from
developed nations to underdeveloped countries. One of the major
thrusts of these programs was to transfer large amounts of capital
through foreign loans and/or grants to a country so that the nation’s
problems, as defined by experts, could be addressed and minimized. One
of the assumptions of these development models was that the economic
benefits, derived from high production and mass consumption, would
eventually trickle down to the nation’s poor (Rostow, 1961; Hagen,

1962; McCelland, 1961). But the benefits from these models often

69
remained concentrated in the hands of foreign and national elites;
never reaching the poorer sectors of society. Ironically, many of
these programs that were supposedly designed to alleviate poverty
exacerbated environmental problems and accelerated the degradation of
natural resources upon which the poor depend to meet their basic
survival needs. (Myrdal, 1968; Inayatullah, 1975; Seers and Joy, 1971;
Frank, 1971; Schumacher, 1973).

It was also during this period when modernization theories were
embraced that most of the bilateral and multilateral development
institutions that still influence development today were founded. Many
of the beliefs that undergirded the organizational philosophies of
these institutions, and often provide a rationale for their existence,
continue to remain visible in their development programs today
(Tendler, 1975;vKorten, 1989; Chambers, 1987). Staffed by
predominantly economists and engineers, these organizations still
remain actively involved in large scale development efforts to assist
poorer nations in identifying and resolving their national development
problems. However, development professionals from these and other
institutions, staff members of national governments, and laypersons
have been increasingly drawn together toward such common causes as
restoring the ecological balance and alleviating poverty under the
concept of sustainable development.

According to the Asian Nongovernmental Coalition (1982):

Sustainability should be seen both in economic and social
dimensions. Sustainable development must provide secure and
ongoing livelihood for people while ensuring minimal environmental
degradation and resource depletion taking into account the socio-
cultural values of a given society. Sustainable development
demands a responsible use of the earth’s resources to ensure that

future generations will not be deprived of their share of the
fruits of the earth.

cnara

ECCOL

7O

Embedded in the large concept of sustainability are such
characteristics as participation, shared ownership, inclusiveness,
accountability, empowerment, capacity building, local organizations,
collaboration, goodness of fit, and interdependence. All of these
concepts are increasingly being recognized as vital components of the
development processes to assure the regeneration, protection, and
perpetuation of natural resources.

These concepts have also become the "buzz words" of development,
as well as other fields, bantered around frequently by experts and
novices alike. Yet, the true test for sustainable development may come
when development institutions, organized to provide support and
assistance based on previous models of development, are able to
incorporate these concepts into development models, plans, and

programs.

The DENR, Deforestation and the Definition of the Prpplgm

The personnel of Department of Environment and Natural Resources
boast that they were one of the first government agencies in the
Philippines to begin to integrate sustainable develOpment concepts into
departmental plans and programs. Their responsiveness, as described by
several DENR employees, in including sustainable components into the
department’s program was based primarily on four factors: (1) the
changing attitudes of the citizenry after the "people’s power“ movement
in 1986; (2) visionary, top level administrators of the DENR, appointed
by President Aquino, who had new freedoms to advocate and implement
departmental changes; (3) a recognition of environmental problems and a

large amount of funding available for environmental development

rever

‘ '|
.34." ‘

71

programs from donors and banks; and, (4) the immediacy and urgency of
reversing the environmental conditions of the Philippines. Of these
four factors, the last has been the most compelling for the department.

Today, the Philippines is faced with a plethora of environmental
and socio-economic problems. Among the most striking and ecologically
devastating of these problems is the deforestation of the country’s
upland areas. The landscapes of the countryside where once majestic
forests stood have been systematically destroyed and depleted of their
natural resources resulting in heavy soil erosion, sedimentation of
rivers and reservoirs, flash floods, and droughts. Since World War 11,
according to the Department of Environment and Natural Resources (DENR,
1990), it is estimated that one-third or approximately 20 million
hectares of the country’s forests have become barren waste lands due to
indiscriminate logging and exploitation of the land. The DENR
currently estimates that there are only about 6.69 million hectares of
forest in the country. Yet, according to the DENR, this limited amount
of forest still remains threatened by the increasing number of illegal '
loggers and people in search of land to clear for farming (DENR, 1989).

One does not have to look very far in the Philippines to see the
devastation created by deforestation and to question "how did this
happen"?

According to the DENR unpublished paper "Facts and Figures on the
National Forestation Program":

The rapid destruction on the country’s forests had been
blamed principally to increasing population in search of land to
till, illegal loggers, swidden farmers (kaingin) and inadequacy of
policies and programs for forest protection, management and
development. An estimated 1.3 million families or about 8.0

million people derive their livelihood from forestland, including
slash-and-burn (kaingin) farming (p.1).

72

As the researcher traveled to each community site of this study,
evidence could be seen of slash and burn farming, over populated land
trying to support the needs of upland dwellers by swidden farmers, and
the remnants of illegal logging activities. However, during these same
journeys upland the researcher also observed large fruit and vegetable
plantations owned by multinational and national businesses that
overwhelmed the once wooded landscapes; areas where thousands of trees
were removed to construct golf courses, a game the former president of
the Philippines claimed as his avocation, and is today considered as
one of the most important attractions for Japanese tourists; and,
trucks hauling massive loads of logs from mountainous areas that had
been removed by companies granted logging licences by the DENR.

It is evident deforestation is a problem but is it valid to blame
the problem on "increasing populations in search of land to till" and

"illegal loggers"?

DENR’s Solution to the Identified Problem

In response to the problem identified by the DENR, the Philippines
Department of Environment and Natural Resources began the development
and implementation of the Master Plan For Forestry Development (MPFD).
Funded by the ADB with a multi-million dollar loan, this 25-year plan
is designed to ensure a systematic and coordinated effort in the
development and management of forest resources. A major focus of this
plan, as explained in the DENR newsletter NFP Bulletin, is:

The provision of opportunities for people’s participation in

forest development, management and utilization so that they will

finally become agents of forest conservation rather than forest
destruction (p.1).

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One of the six programs of the 25 year plan is Contract
Reforestation. This program, utilizing the concept of people’s
participation in their own development, offers three-year reforestation
contracts granted by the Department of Environment and Natural
Resources to the nation’s private sector on land identified for
reforestation by the DENR. This scheme, according to the DENR
literature, enables contract participants "to become partners with the
government in forest development, management, resource utilization, and
conservation". The incentives identified by the DENR for people to
participate in this program are embedded in the goals of the project
with such expected outcomes as the generation of jobs and
infrastructures, restoration of the forest and its natural resources,
and increasing the means of the participants’ livelihood and economic
stability by harvesting food and wood products from the forest.

In an effort to reach as many people as possible, as well as meet
the high target numbers set by the DENR for this program, the
Department offered contracts to families, communities, and
corporations. Family contracts could be entered into by the head of
the family, who is "of legal age and with good moral character and is
physically and mentally able to undertake the necessary work" (DENR,
1988). Families were allowed to contract for land ranging between one
hectare to five hectares. Community contracts were available to duly
recognized local entities such as associations, cooperatives, NGOs,
foundations, civic and religious groups, and local government units for
areas ranging from six hectares to one hundred hectares. The third
type of contract was awarded to corporations, by competitive bidding,

for one hundred or more hectares (DENR, 1988).

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74

The Contract Reforestation Program was designed to trigger a
nation-wide reforestation effort on a massive scale to reach as many
upland residents as possible. As the first part of a two part scheme,
CRP was designed to provide the foundations for the Forest Land
Management Agreement (FLMA).

The FLMA, which is the second part of this scheme, is a long-term
production sharing contract between the DENR and the contract
reforestation intended beneficiaries. The renewable FLMA contract,
according to the DENR literature, would provide considerable benefits
to the participants including: (1) the opportunity for contractors to
become legitimate, licensed suppliers of timber and other forest
products; (2) tenure securities on their contracted land; and,

(3) generate profits from the sales of interplanted cash crops
(planting agricultural crops among trees) and tree products from the
forest.

According to the DENR document "Facts and Figures on the National
Forestation Program" (1991),

The FLMA democratizes access to the bounty of the forest by
the very people who planted and cared for the trees. Under the
present reforestation contract reforested areas are turned over to
the government after the third year.

The FLMA will considerably lessen tenure insecurities and
uncertainties among the contractors and allows these same
families, communities and corporations, with impressive
performance as contractors, to enter into contract with DENR in
the protection, maintenance and management of forest plantations
after these have been turned over to the government. The FLM
(Forest Land Manager) assumes responsibility for care and
maintenance of the three-year old trees and gains exclusive right
to harvest the timber and other products. Thus, through the FLMA,
a successful reforestation contractor graduates into the status of
tree farm owner-operator.

The FLMA will be operationalized after the third year of the
reforestation contract. FLMs can start harvesting timber products
from their contract areas starting the sixth year of the FLMA when
fact-growing species such as Albizzia falcateria (Moluccan sau)
could be harvested. In return, FLM shall pay DENR a production

75

share equivalent to the cost of reforesting one hectare of denuded

land for every hectare of three to four-year old trees turned

over. Payments to the government will be in installments starting

when the trees are about nine years old (p.14).

Fueled by multimillion dollar loans, the CRP and the FLMA were
designed by personnel from the DENR and the Asian Development Bank,
based on these organizations’ assessment of the problem. This program
is heralded by department personnel as an innovative approach to
development. Yet, many traditional, top down strategies such as the

dependency on large loans, identification of the problem and solution

by experts, and quantifiable targets, are also evident in this plan.

The Problem as Perceived by the Intended Beneficiaries

One of the major focuses of the Contract Reforestation Plan is to
establish large tree plantations throughout the countryside in the
upland areas of the Philippines. This objective has sent a confusing
message to many upland dwellers. Timberland residents of the
Philippines, unaware of major shifts and changes in the larger
development arena toward massive reforestation initiatives, are now
instructed to plant trees instead of agricultural crops. Previously,
these same farmers had been encouraged by government extension workers
to plant agricultural crops under former development schemes and
programs.

As one DENR official explained:

In earlier decades, farmers were told to clear the trees on their

land and plant as many crops as possible and feasible for the

plants to survive on the limited hectares. This practice was
passed from father to son and generation to generation. Today,
these sons now are training their sons in the same practice.

Often times, this is the only livelihood skills upland dwellers

may have to survive. Now, the government, or other organizations,

are telling them to plant trees without providing them with the
reason or training them about other alternatives to earn a

1.31

P.-
H—

76

livelihood. What would you do if you were a farmer?

This confusion was illustrated at one NGO community site when the
researcher asked a NGO staff member if the intended beneficiaries
understood the purpose of the Contract Reforestation Program. He
commented that:

Some of the people know the purpose of the program because they

had received explanations from the NGO in an effort to receive

permission to plant trees on their land. But, other community
residents still don’t completely understand the program, in spite
of being given explanation about the purpose. The individuals who
do not understand the program continue to complain about trees
being planted on their land. For example, one community resident
questioned me during a conversation, ’Nhy plant trees all over our
land? What will happen to us and our children’s children if there
is no more space left for tilling because all of it has become
forest?’.

The majority of the intended beneficiaries in this study
identified their primary problem as meeting their basic needs on a
daily basis. For most of the intended beneficiaries in this study,
they could not understand how planting trees would help them meet their
daily needs. Forestry, as a livelihood alternative for upland
dwellers, would not produce the perceived results needed by many of
‘these families. At a minimum, a tree will take at least three years
before any of its food or wood products can be harvested. This creates
a sizable time gap for individuals struggling to meet their daily
needs. Although most of the intended beneficiaries in this study could
understand the environmental rationale for planting trees, as one
upland dweller explained, "environmental reasons are not enough when I
have family members to feed and clothe".

Thus, the problem for most of the upland residents was to have the

ways and means to produce or acquire resources to meet the basic needs

of their families, not restoring the ecological balance. To the

77

poorest ecological concerns, "is a luxury, not a necessity" as one NGO

staff member explained to the researcher.

From Jobs to Trees

According to some DENR staff members, the Contract Reforestation
Program was designed to meet both the short and long term needs of the
intended beneficiaries. Ideally, the first part of the scheme would
provide jobs for the timberland residents so that they would be able to
purchase basic necessities while establishing local forest. During the
period between planting and harvesting the trees, the intended
beneficiaries would be able to reap the benefits of agricultural
products that had been intercropped among the trees. In the last
stage, the intended beneficiaries would gain a percentage of the
profits from the harvesting of forest products after they had matured.

However, these three stages were not well defined or articulated
by DENR personnel, in the literature, or as part of the program
evaluation criteria. According to some research participants, several
discrepancies existed in the scheme. First, the contract promoted the
establishment of tree plantations on large tracts of land. This
approach differs from sustainable development approaches, such as
agroforesty, that advocates the integration of agriculture and
forestry. To the intended beneficiaries, the plan to reforest their
land was often perceived as substituting crops for trees. Second,
intercropping was only mentioned by the DENR. It was not mandated or
included in performance or production appraisals of the project by the
DENR. Therefore, according to some NGO presidents, they did not

encourage intercropping. When the researcher asked one intended

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78

beneficiary if she had used intercropping, she stated she wanted to but
was afraid the government would punish her since the program’s
objective was to establish forests. Third, the hiring of the timber
land residents as wage labors was perceived by many of the workers as
opportunity to earn money. This approach, stated several NGO staff
members, held a strong resemblance to relief, not development. Last,
many timber land residents do not legally own the land on which they
reside. Instead, they are considered to be land claimants on what is
officially determined to be government property. These residents who
did not have legal claims were suspicious of the DENR and their motives
to reforest the land. Knowing that the land was not legally their
property, many of these residents feared they would be used as cheap
labor to upgrade the land and then would be forcefully evicted after it
had been upgraded by the government. Inversely, these same residents
feared losing their land to the government if they did not participate.
For the land owners, some of them did not see any incentive to
reforest their land and improve it environmentally. According to one
NGO administrator:
Land is taxed in the Philippines based on it classification.
The higher the classification; the higher the taxes. The
classification is based on location, fertility, and accessibility.
If a resident participated in the Contract Reforestation Program
and improved the fertility of their land, his taxes would be
increased. Not only would the resident have to pay higher taxes,
he would also have to give a portion of the monies earned from the
tree harvest to the DENR. After paying the government, the small
landowner has little left to meet his needs.
From this perspective, one may assume the poor made a wise

decision not to participate in this program.

For the upland dwellers in this study, reforestation was not

79
considered an immediate problem. And, the urgency to reforest the
uplands was not a priority to the intended beneficiaries in comparison

to their other needs.

Who Participates?

Does the majority, based on democratic principles, actually define
the nation’s problems and its development agenda or has this
responsibility been delegated to others? Does the ambiguous category
of "others", as in the past, include multilateral development banks,
foreign and national governments, established development
organizations, or the nation’s political and economic elite? If others
make development decisions, then who represents the poor? Do the poor
have a voice in the process? If not, then who speaks for the poor?

One may argue it is the voice of the middle class. As one of this
study’s participants explained to the researcher:

When the middle class of countries throughout the world began
to cry out against the destruction of the environment and
ecological problems, then these issues started to come to the
forefront of development. As more citizens become aware of the
crimes mankind was committing against nature, groups were formed.
The groups organized, collected donations, disseminated
information to the general public, lobbied for changes, and
finally created change.

This is what happened in the Philippines in 1986. The middle
class joined forces with the lower class and refused to tolerate
the oppression any longer. It was a period of jubilation in this
country when the Marcoses left and the middle class started
demanding reforms. It was a new era in this country. We wanted
a more participatory democracy and we felt free to ask for it. In
the first years of her presidency, Cory responded to our request
and began to institutionalize reforms in the government.

However, other participants in this study stated that they had not
witnessed any changes, or only superficial changes in the nation’s

approaches to development. Some participants explained that the same

(IL-1 $71..

80

institutions that determined development agendas in the past still
controlled the process today. As one individual explained, "The only
thing about development that changes are the people. New politicians
come in and try to make changes but eventually they realize its too
overwhelming and just accept the status quo." The latter perception
may have been more accurate than the former since the Philippines did
not begin anew after the "people’s power" movement. Instead, the
people inherited an enormous national debt and various established

institutions that were accustomed to setting development agendas.

Mejor Actors in the Development Process
In this study, there were four primary actors whose influence and
their agendas effected organizational as well as program outcomes. The
major actors included: the Asian Development Bank, the Department of
Environment and Natural Resources, Nongovernmental Organizations, and

the intended beneficiaries.

Asian Development Bank

The Contract Reforestation Program received its funding in the
form of a loan from two major sources: the Asian Development Bank and
the Overseas Economic Cooperation Fund (OECF).

Asian Development Bank, as described in the Bank’s literature:

. . . is an international development finance institution owned by
49 member governments. The Bank, which is headquartered in
Manila, opened its doors for business in December 1966. The ADB
fosters economic growth and cooperation in the Asian and Pacific
region, and contributes to the economic development of its
developing member countries (DMCs).

M r in do“

81
The principal functions of the Bank are:

- Making loans and equity investments for the economic and social
advancement of its DMCs;

- Providing technical assistance to prepare and execute
development projects, programs, and advisory services;

- Promoting investment of public and private capital for
development; and,

- Responding to requests for assistance by DMCs in coordination
with development plans and policies (p.89).

From another perspective, the major objective of the Bank, as
explained by three research participants during this study, is to "make
loans", "move money; large amounts of money", and "make repayable
loans to support the extravagant lifestyles and incomes of its
employees." The last comment was in context to the multi-million
dollar ADB facility recently completed in Manila. The "opulence" of
the building has angered more than one development worker.

Although the Bank is responsible for assisting Development Member
Countries finance projects through loans, concerns have been raised
over the reward systems within the organization that are dependent on
the quantity, not the quality of loans. In "Cooperation with NGOs in
Agriculture and Rural Development", a two volume report prepared for
and funded by ADB in 1988, under the section Staff
Development/Incentives, item (d) Incentives to Staff to Design Projects
for Increased Beneficiary Participation, it states:

Given that the Bank’s lending program has expanded
considerably in the past few years without a commensurate increase
in staff establishment, the staff are under great pressure to
identify and design increasingly large scale projects. Rewards
:gzhgn the Bank tend to relate to performance on the quantity

Logically there are considerable career disincentives to a
staff member to engage in the more managerially demanding and

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82

slower work of identifying and designing a project to increase
beneficiary participation but which may be comparatively small.
Attention therefore needs to be given to the development of
incentives for staff to identify and design projects with
beneficiary participation and poverty alleviation as the
objectives. Staff need to be rewarded for numbers of
beneficiaries reached as well as dollars disbursed (p.66).

ADB staff members cooperating in the program may have been driven
and "under great pressure to identify and design increasingly large
scale projects".

According to "A Primer on the National Forestation Program",'

a pamphlet by the DENR, it describes the funding scheme as follows:

. . .Funding assistance has been extended by the Asian Development

Bank by way of a soft loan of USS 120 million and a technical

assistance grant of USS 1.93 million. The loan carries a 3%

interest rate with a grace period of 10 years, with the principal

payable in 18 years.

The loans will be released in two tranches of USS 120 million
each. The first tranche was released in 1988 after loan
effectivity. The second tranche release is due in 1990 upon
fulfillment of program commitments in a manner satisfactory to the
lending institutions.

The program loan for the forestry sector is a loan assistance
extended by the ADB and the OECF to support the government’s
efforts to develop, conserve and rehabilitate the country’s
natural resources and restore ecological balance (p.8).

This money was needed, according to several employees of the DENR
and ADB, to finance the massive reforestation effort. But other
research participants did not see the need for such large amounts of
money. These individuals, predominantly NGO staff members, explained
that reforestation can be done effectively without large budgets, if
the people are mobilized properly. Some other research participants
suspected the money was used for "other purposes".

' During an informal conversation with some organizational
administrators, the researcher inquired why the Philippines continues

to take out loans when they are currently in unproportionately high

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83

debt for a country of its size. One research participant explained:

The country must continue to take out loans to pay off previous
debts. When a sector of the Philippines’ government is granted
loans, the money is paid into a general accounting fund by the
institutional lender. This government accounting agency, then,
takes the new loan money and pays off the balance due on previous
loans. A smaller portion of the money is given to the government
agency that was granted the new loan to implement the funded
program.

Another participant elaborated:

Big loans, for an agency like the DENR, is a win-win '
situation. The government is able to receive a loan to pay off
old debts and DENR gets money to implement new programs. New
programs result in more positive publicity so that the general
public will assume the DENR is doing their jobs well as public
servants. And, everyone is happy.

Of course, the biggest winner is the Bank. They get rewarded
for making loans, they get the payments for previous loans, and
they receive the interest from the loans.

ili in e artment of nvironment and Natur l Res urces

The Philippines Department of Environment and Natural Resources is
the government agency charged with the responsibility of protecting,
preserving, and regenerating the country’s forest. The mission of the
DENR is:

To conserve, manage, develop, and promote the judicious use
of the country’s natural resources and to ensure the equitable
sharing of the benefits to be derived therefrom as well as to
protect the environment and develop an effective environmental
management system for the welfare of the present and future
generation of the Filipinos.

By involving the private sector in this program, it was assumed
the DENR would lessen their own burden to regenerate, protect and
sustain the national forest. However, what was not foreseen was the
tremendous increase in the DENR’s responsibilities, primarily for three

reasons. First, utilizing top down bureaucratic structures and

84

blueprint program plans, the DENR’s paperwork, processing, and
monitoring responsibilities increased substantially. Second, in a rush
to implement this program, the DENR did not fully develop the plan or
the necessary internal systems to effectively and efficiently manage
the program. Third, under pressure to commit money for this program as
quickly as possible, the department issued contracts to organizations
that had minimal experience in development or questionable motives to

participate.

The DENR Bureaucracy

The DENR, one of numerous government agencies in the Philippines,
is a quintessential example of a typical bureaucratic organizations as
they are known today. It is a multi-layered, highly departmentalized
organization with a top-down administrative structure. A core of top
level administrators manage various sectors of the organization with a
rigid hierarchical structure. The bottom level of the organization,
located in various communities within a geographically defined area,
reports to Community Environment and Natural Resources Officers
(CENROs), who report to Provincial Environment and Natural Resources
Officers (PENRO), who are responsible to Regional Executive Directors
(REDs), who are responsible to their Undersecretaries. All of the
Undersecretaries then report to the Secretary of the DENR who is housed
in the National Office of the organization located in Quezon City, a
suburb of the vast city of Manila. The Secretary is a political
appointee of the President of the Philippines.

According to a historian the researcher informally interviewed

during this study, bureaucratic government structures were first

|"‘»

P—A.-‘A_n-_—-A--__

85

introduced in the Philippines by the Spanish, the country’s first
recognized colonizers, in an effort to consolidate and centralize
power. This system was perpetuated by the country’s second colonizers,
the United States, and is maintained today by the Philippine
government.

Today, Philippine government offices have the same structures
inherited from their colonial predecessors and are characterized by a
centralized, rigid, and paternalistic orientation of past decades.

For example, the following is an excerpt from the Policies, Memoranda
and Other Issuances on the National Forestation Program, Volume I, that
aptly illustrates the hierarchical levels and control mechanisms in the
DENR:

Any of the prospective contractors identified in Sec. 32 may
propose a CCR project to the PENRO through the CENRO.
Furthermore, the PENRO or CENRO may initiate a CCR project and
enlist any of the parties listed in SEC.32 as implementors. In
either case, the PENRO concerned shall submit the appropriate
development plan and recommendation to the RED. The RED or his
representative shall, within fifteen working days after the
PENRO’s recommendation approve, modify or disapprove the same and
send a written advice accordingly to the CENRO and the applicants.
For each approved community reforestation project, the RED shall
order the preparation of a contract based on the PENRO’s
recommendation and furnish one copy each of the approved contract
to the RED, PENRO, community/organization representative,
Undersecretary and Director (p.29).

Time consuming, hierarchical, bureaucratic processes often
resulted in some contractors forfeiting the local focus of the program
to meet the criteria of the DENR. Other NGOs enjoyed a luxury of no
criteria, loosely adhered criteria, or selective compliance to
established criteria. This inconsistency was explained by some DENR
administrators as the result of the rapid implementation of this

program.

QOVErn

86

Rapid Implementation of the CRP Progygm

According to an ADB official, this program was implemented at
"breakneck speed" due to the urgency "to arrest the deforestation in
the country“. However, according to a DENR official, the urgency was
based on the pressure from the ADB and the national office of the DENR.
The rush, explained one participant, was precipitated by the conditions
placed on the loan from the Asian Development Bank. According to this
individual, ADB had to make and release the loans within a pre-
determined period of time. After the DENR received the loan, then the
department had to distribute the money within a designated period of
time. In response to the pressures of the deadlines, contractors were

often selected by the DENR using limited, if any, criteria.

Issuance of Contracts

The DENR, according to several staff members, was one of the first
government organizations to explore the idea of working in
collaboration with NGOs and established NGO Desk Offices within the
Department. The objectives of the NGO Desk Offices are: (1) to provide
a system for greater DENR—NGO collaboration; (2) to ensure NGOs
participation in DENR programs; (3) to provide a mechanism of
accreditation of NGOs which are involved in DENR concerns.

In the preliminary planning stages of the Contract Reforestation
Program, the National NGO Desk Office had been involved in the planning
of the Contract Reforestation Program. The Desk Officer had presented
the program to a few DENR accredited NGOs and requested their input.
These NGOs provided their feedback and guidelines were drawn up by the

NGO Desk Office and presented to the National Program Coordinating

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87

Office (NPCO) of the DENR. (NPCO is the office coordinating and
managing the Contract Reforestation Program). NPCO disagreed with the
definition of NGOs presented to them stating that they would not be
able to find enough NGOs to participate in the CRP if they utilized the
definition established by the NGO Desk Office. NGOs, as defined by the
DENR (1989):

. . refers to private, non-profit voluntary organizations that

are committed to the task of socio-economic development and

established primarily for service (p.49).

The DENR had already accredited a number of NGOs whose missions
matched this definition. However, most of NGOs which met the DENR’s
definition, according to the interviewee, did not want to participate
in this program and never applied for contracts because as one non-
participating NGO president explained, "we did not like the terms of
the contract".

During the implementation of this program, the DENR Desk Office
tried to intervene and voice their concerns about the types of NGOs
that were receiving contracts. However, according to the research
participant, NPCO was uninterested in listening to the input and
ignored the advice of the Desk Office and the Special Concerns Office.
After repeated unsuccessful attempts to work with NPCO, the NGO Desk
Office opted not to continue working with NPCO.

At a conference the researcher attended during this study, one of
the administrators of the CRP admitted that when this program was
initiated the DENR "was looking for people to plant trees". However,
today the DENR is addressing the problem of "fake NGOs" and other

organizations that were “taking advantage" of the program. He also

Socia

Com;

88
requested the assistance of NGOs in attendance at this conference to
"help the DENR find the real definition of NGOs and the range the

Department will allow within the broad definition".

Ngngovergmental Organizetions

Is there a difference among NGOs? What is the "real definition"
of a NGO? -Can NGOs successfully perform as development intermediaries?

When NGOs are placed in the role of intermediaries, according to
Korten (1990), they will typically function more as Public Service
Contractors (PSC). Korten defined PSCs as organizations "that function
as market-oriented nonprofit businesses serving public purposes". This
starkly contrasts with NGOs, or more appropriately Social Development
Agencies (SDAs), that have a predominantly social development mission
based on shared values with the intended beneficiaries.

Was the DENR looking for PSCs or SDAs, both of which fall within
the broadest definition N60, to implement this program? Is there a
difference between the performance, processes, and outcomes of these
two classifications of NGOs?

Historically, development NGOs, also commonly referred to as
Social Development Agencies (SDAs), have worked to assist scattered
communities throughout the country to organize and improve their social
and economic well being. Often functioning independently, NGOs have
made isolated contributions to the development of the country. In the
mid-eighties, as numerous developmental and governmental organizations
began to recognize the potential of NGOs to assist in initiating and
sustaining development endeavors, efforts were initiated to formalize

vertical and horizontal linkages with NGOs to assist in unifying

deve

WE
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89
development efforts on a larger scale.

By the late 19805, NGOs had become big business in development as
more international agencies and governments began to earmark large
portions of their budgets to finance collaborative endeavors with NGOs.
As a result of this trend, a mushrooming of NGOs occurred throughout
the country. According to an ADB report in 1989, there are over 20,000
organizations registered with the Philippines government as NGOs, and
200 specifically identified as development NGOs (Asian Development
Bank, 1989). By 1991 the number of development NGOs had increased to
2000 (FEER, 1991).

Without a national regulatory agency in the Philippines to screen,
accredit, or monitor these organizations, any group of citizens is
basically eligible to establish a NGO, regardless of the individuals’
background, experience, or motivation.

When the DENR began to solicit for community contractors in the
Contract Reforestation Program, the department’s call was answered by
a plethora of organizations. Contractors ranged from Social Development
Agencies (SDAs) that had been legitimately established in local
communities for years to newly formed organizations designed
specifically to receive contracts, referred to as Contract
Reforestation Organizations (CROs), and "paper NGOs". Paper NGOs
existed only on paper or until the first payment from the DENR was
received.

Without established criteria to select NGOs, the DENR "issued
contracts to almost any organization that was willing to do the tedious

paperwork involved in the bidding process”, stated one DENR official.

9O
Regrgitment of Contractors

 

Two primary strategies were used to inform the public of the
program: personal contacts and the media. A large percentage of
personal contacts made by DENR staff members were to former
departmental employees. Some of the former employees of the DENR had
received advance notice of the implementation of this program ”while it
was still in the pipeline". As explained by a DENR official, these
individuals established NGOs a few months prior to the program’s
nationwide initiation, specifically to obtain reforestation contracts.

Three of the NGOs in the province in which this study was
conducted had been founded recently by former employees of the DENR.
These organizations received several contracts for the maximum amount
of hectares allowed for community contracts. During an interview with
one of the NGO presidents, who was a former DENR employee, he stated
that the primary rationale for establishing his organization was "to
provide employment for himself and other employees whose contracts with
the DENR had expired or were near expiration".

Of the four NGOs that participated in this study, three were
directly approached by the members of the DENR staff and the remaining
NGO president learned about the program after reading an article about
Contract Reforestation in the local newspaper.

To disseminate information about this program to a wide public
audience, a "media blitz" was designed by the department. The DENR
released articles about this program in the provincial newspaper,
published in its entirety in English and distributed in the cities of
the province. Using the print media as the primary source to publicize

this program, it tended to attract well educated and urban based

91

contractors. Despite the articulated rural based focus of this program
and the department’s criterion for NGOs to be "locally based", only one
of the eight NGOs interviewed for this study in this province was
permanently established in the local community. According to the
DENR’s accreditation criteria for NGOs outlined in Volume II of
Policies, Memoranda, and Other Issuances on the National Forestation
Program Manual, Article 3, Section 9 is the following:

In order to select NGOs which can best address the most pressing

needs and problems of the masses and which can respond immediately

to their needs and aspirations thereby helping them to increase

their confidence and self-reliance the following accreditation

criteria are hereby set:

9.] Known to be with integrity and commitment to the

environmental and social issues.

9.2 Reputable and socially acceptable to the concerned and/or
affected community.

9.3 Locally-based and with adequate basic resources (i.e.
manpower, etc.)

9.4 With technical capability or can be trained if there are
technical capability gaps (p. 95).

Two of the four NGOs that participated in this study are urban
based. (Although, temporary staff offices for these contractors have
been established at their reforestation sites.) Three of the four NGOs
in this study have been accredited by the DENR and one contractor has
never been accredited. All of the three accredited NGOs received
accreditation at least one year or more after the issuance of their
contract. None of the NGOs in this province were accredited by the
DENR until August of 1990.

The gap between the issuance of the contract and NGO

accreditation was explained by one DENR administrator:

92

At the beginning of this program, there were no guidelines given

to us (DENR staff) related to the selection criteria for community

contracters. The criteria for the selection and accreditation of

NGOs were established only after this program was implemented.

As a result, contracts were issued to organizations with little
discretion regarding their background, experience, motives, or ability

to effectively implement this program and to act as development

intermediaries between the government and the intended beneficiaries.

The procedure required by the DENR to apply for a reforestation
contract consisted of three stages: pre-qualification, bidding, and the
awarding of contracts. To prequalify, potential contractors had to
submit the following documents to the DENR:

1. Certified copy of the Certificate of Registration of the
company issued by the Securities and Exchange Commission;

2. Certified copy of the Articles of Incorporation and By-Laws of
the company.

3. Certified summary of corporate experience in reforestation work
and related forestry works;

4. Organizational chart, and statement of qualifications and
experience of key company officials and personnel;

5. Annual Financial Statements (Balance Sheet; Income Statement)

for the previous three years.

Only contractors who had been pre-qualified by the DENR were able
to receive bid proposal forms and allowed to participate in the bidding
procedure.

After the contractor received approval from the DENR to
bid, the DENR would provide information to the bidder about available
land areas that had been identified as potential contract reforestation

sites. According to the Policies, Memoranda, and Other Issuances on

93

the National Forestation Program, Volume 1, page 16:

SEC.5 Delineation and Approval of Project Sites Five Hundred
Hectares (500) or Less Size. The Regional Executive Director
shall within three (3) months from the promulgation of this Order,
identify, delineate and approve for implementation the specific
sites for development under this Program: Provided, that priority
shall be given to the following locations:

a. Lands that are accessible by motorized transport (e.g. jeep or
motorcycle) or not more than two hours hiking distance (est. 8
kms.) from a road or trail accessible by motorized transport;

b. Lands that are visible from roads traversed by public transport
vehicles;

c. Totally or partially denuded lands where there is an obvious
need for reforestation;

d. At least sixty percent (60%) of the land area is suitable for
the establishment of production forests, or

e. The proposed site is a catchment area providing water for
irrigation, household consumption or hydro-power generation.
Noteworthy, is the fact that the approval from the local residents
of these areas was not considered as a prerequisite in the

delineations.

Intended Beneficiaries
In the DENR literature, NGOs are listed as one of five types of

contractors eligible to apply for Community Contracts. Identified in
Chapter II, Section 32 under prospective contractors, the following
statement is included in item "e" about NGOs:
A non-governmental organization (NGO), preferably a non-profit
group, duly registered with the Securities and Exchange Commission

that has secured written authorization from all the proposed
participants to represent them as their linkage with the DENR

(p.28).

Therefore, according to the DENR’s literature, one of the first

responsibilities in this program for NGOs, acting as a link between the

94

government and the intended beneficiaries, was to secure the.
authorization of community members.

The intended beneficiaries that participated in this study as
research subjects were neither asked for nor given their written
permission to the NGO to represent them in this program. All four of
the NGOs stated they had not secured any written permission from the
prospective participants. During interviews, each of the four NGO
administrators stated they had never heard of this regulation.

For clarification, the researcher inquired about this stipulation
with DENR administrators. One official explained that, "NGOs were not
required to obtain permission from each participant but only from one
individual in the community who duly represents the people such as a
mayor or barangay captain".

All of the NGOs in this study confirmed they had received written
permission from one community member before the program was
implemented.

Consequently, it was often the more visible, the able-bodied, the
more economically secure, or the well-connected community residents
that were selected to participate in the program. The Basic Policy of
this program, as stated in Article I, the Policy, Objectives, and
Definition of Terms, item 1 in Volume I of the Policies, Memoranda and
Other Issuances on the National Forestation Program, is:

..-

Consistent with national thrusts on forest development
conservation, and equitable distribution of the benefits derived
from our forest resources, it is the policy of the government to
democratize the disposition of incentives to encourage the
participation of the private sector, including forest occupants
and rural communities, in forest resources development, management
and protection (p.13).

95
In the Family Approach Reforestation Contract, one of the three
options of contracts, specific guidelines are provided on the
requirements for family participation listed on page 9 of the Policies,
Memoranda, and Other Issuances on the National Forestation Program

Manual, Volume I. These requirements include:

9.1.3.1 Must be bonafide residents of the project site;

9.1.3.2 Must be of legal age and Filipino; _

9.1.3.3 Must be physically fit to conduct various reforestation
activities;

9.1.3.4 Priority shall be given to the interested participants who
are residing within the project sites;

9.1.3.5 Priority shall be given to those interested participants

who have an annual income of less than P5,000.

In contrast, under the section applicable to Community Based
Contractors reference is only made to whom is eligible as prospective
contractors. No reference is made to the criteria for community based
participants or their socio-economic status.

During interviews with DENR administrators and staff members, all
of the employees stated this program was designed to reach the upland
residents, considered one of the poorest groups in the Philippines.
When the researcher probed further for a definition of upland
residents, one DENR official explained:

Upland residents were those individuals who live in the country’s

timberlands. These residents, who are usually not the land

owners, are considered the poorest in society because they are
often forced to earn a living off of small parcels of
environmentally degraded land.

Yet, who was served and who participated in the Contract
Reforestation Program on the local level was largely dependent on the
contractor.

The president of NGO #1 worked primarily with three community

individuals, the local government unit’s captain, a local government

96
unit councilor, and a leadman who was appointed upon the recommendation
of the DENR. The role of these individuals was to supervise and
monitor the project on the local level under the direction of the NGO
president, the only NGO staff member to consistently frequent the
project site.

The president of NGO #1, according to several community members,
did not work closely with the people or interact with them except in an
instructive manner. He often distanced himself from the community
members when problems arose or concerns were raised. His
responsibilities, he stated during an interview with the researcher,
were "supervisory". He, according to several of the program
participants, seldom interacted with the workers except to explain the
task and duties involved with the various activities of the program.

As one resident stated, the president was always the star; one actor
playing the lead role.

Meetings were held every Sunday by the NGO president with the
three barangay councilors. None of the community residents were invited
to attend the meetings. Therefore, some community residents explained,
they were not sure about the purpose of the meetings or the topics
discussed at the meetings. But, community members did notice that
large amounts of money were spent on food and drinks for the people
that attended the meeting. One interviewee explained that when
representatives from the NGO were in the community, they spent large
sums of money. For the inauguration of this program, the NGO hosted a
beach party supplying two roasted pigs for the consumption of the few
attendees that included the NGO board members, the barangay councilors,

and the relatives of these individuals.

97

According to several community members, only on rare occasions did
the NGO’s board members visit the reforestation site. If they visited
the site, they typically did not go to the planting areas in the
uplands. Instead, the board members would spend their time at the
beach or the local government unit’s captain’s house.

NGO #2 primarily worked with individuals in the community who had
prior experience working, usually as wage laborers, on previous DENR
local reforestation projects. The N60 president stated he selected
these individuals to implement the program because he needed people to
begin work as quickly as possible with minimal training. Because the
contract for this community was transferred to this community from
another community at the end of the planting season, the first
objective of the organization was to plant the seedlings before the
rains stopped.

N60 #3 also used a select group of individuals from the community.
These individuals, according to NGO staff members, were all land
claimants or residents within the timberland area‘that had been
identified by the NGO as intended beneficiaries for this program.
Criteria for selecting these residents included: the family’s socio-
economic status, condition of their land, and level of participation in
the organization’s community development programs.

NGO #4 limited the participation of individuals to only tribal
group members. Non-minority communities members, living in ancestral
domain areas, are ineligible to participate in any of the NGO programs.

When NGO contractors were asked if through this program they were
able to reach the poorest sectors of the community, three of the four

NGOs in this study stated that they had been able to reach the poorest

98
members of the community.

During an interview the president of NGO #1 stated that the NGO
had been able to reach the poorest sectors of this community. As he
explained, "the NGO had a non-discriminitory hiring policy and every
able-bodied community member was hired to work in the program,
including women, children, and the poorest members of the community."
To enable the organization to reach all of the community members, the
NGO used a community based, employment rotational system designed so
that all of the community residents would be included in the
implementation of this program. It was set up so that each family in
the community who wanted to work would be hired one day of the week to
work on the project. If the performance of the family was good, then
the family would be hired to work twice a week.

In an interview with one of the local government unit council
members, he explained that the rotational system was not implemented
into the community until after the first week of the program. During
the first week, fourteen people from a distant city were brought to the
project site by the president of the NGO to do the manual labor. These
laborers did not do any work. Instead, they toured the site and were
paid a total of P20,000 by the N60 for the week they were in the
community. After the first week, the workers did not return. The
following week the president of the NGO confided to the local
government unit council member that he was afraid the imported workers
would not work if he was not there to supervise them, so he fired them.

The bio-data of these fourteen individuals were all found in the
(organization’s official file in the Regional DENR office. Each form

had the signature of a DENR official indicating that the official had

99
read the forms and approved them.

During the site visit the researcher was informed by several
community members that the rotational system was implemented after the
first week and it was only used for a short period of time. When this
system stopped in the community, hiring was based on the local leaders’
individual preferences, usually their relatives, friends, and
neighbors.

Some of the community residents stated they had wanted to work on
this program but were never hired. Three local community members
indicated in separate interviews that they had expressed interest in
working for the program when it first was started in the community.
These individuals had approached the local supervisors, a group
including all of the local barangay council members, to inquire about
employment. These individuals were told by the local supervisory staff
that there were no current openings but to wait and when there were
openings in the program they would be contacted. After a period of
time, without any contact from the supervisors, some of these
individuals reapproached the supervisors to inquire about working in
some capacity with the program. They were told there were still no
openings and to continue to wait. By the time the program had stopped
in the community, these three community residents had never worked for
the program.

All three of these individuals were particularly frustrated with
the program’s hiring practices since each of these individuals owned or
claimed land included in the contract area that was being reforested.
As one community member stated, "this program would not even let me

work;on my land. My neighbors were paid to plant in my field."

100

Another local resident said that he had only worked on the program
for one week. After the first week, he had been informed by one of the
local supervisors that he would not be needed the following week
because another group of workers would be rotated to do the job.
Accepting this rationale and "believing" he would be contacted to work,
he used the time to do other tasks to earn money. Although he was
interested in continuing the work on this program, he confided, that
after a period of time he realized that the hiring practices for this
program were not based on the rotational system but one’s "closeness to
the supervisors". Since he was not related to the supervisors of this
program, either through extended family ties or the patron system, he
never pursued employment possibilities any further with the local
program supervisors.

One "life-long" community resident, who had never been hired to
participate in this program, was extremely upset by the practice of the
NGO to hire political evacuees from neighboring areas to work on the
program. These individuals, who were forced to flee from their homes
due to the occupations of their lands by members of a communist
insurgent group, have resided in the community for a period of time
ranging from a few months to two years. Since all the land in this
community is owned or claimed, the evacuees have had to rely on local
community members to provide shelter and jobs.

One group of evacuees had resided on the property of a local
barangay official. These individuals were also some of the first hired
as wage laborers for this program. The interviewee stated she knew
”these people were hired to work so that they could earn the wages to

Pay their rent to the barangay council member". By hiring the

101
evacuees, she stated:

[The local government unit council member] is just fattening his

pockets, while mine are still empty. He is paid to supervise this

program and receives money from the government as a barangay

official, and now he gets money from the evacuees for rent and a

share of the crops they grow. It’s just not fair.

While another community member stated that this program was not
reaching the poorest sector of the community because the poorest
members are the evacuees, and only a few of them are employed as wage
laborers in this program. As he explained:

The evacuees are the poorest in the community. They do not own

any land and are forced to find any means possible to earn enough

money to survive on a daily basis.

When the researcher inquired if the evacuees planned to become
permanent residents of the community, the community member stated that
the majority of the evacuees probably would return to their own
communities to reclaim their lands and resume farming after the
insurgents had left the area.

At N60 #2, according to one of the staff members, their program
had reached the poorest sectors of society. As he explained, most of
the individuals who were recruited as workers in this program were the
poorest in the community, primarily because these individuals must
depend on wage labor for an income.

Yet, several of the community residents at NGO site #2 explained
that the subcontractors hired by the NGO were typically the more
economically stable in the community and these contractors tended to
liire their relatives, friends, and/or neighbors.

When community residents were asked if this program was reaching

the poorest members of the community, most of the residents agreed the

Program had reached the poor, rationalizing everybody in this community

102
was poor.

One subcontractor explained that this program had not reached the
poorest sectors of this community:

The poorest members of the community are not working in this
program because they need to be paid on a daily basis to buy basic
necessities. These people cannot afford to be paid at the end of
a 20-30 day cycle. The poorest do not even have enough food
available in their homes to bring their lunch to the work site.
Because they cannot work without food for nourishment, they can
not work for this program.

Another worker stated:

This program is not for the poorest people in the community.
To work for this program you need to be able to do the hard work.
If you can not do the hard work, then you are not asked to work.
There are some people in this community who are too old, too weak,
or disabled. They can not do this type of work. These people are
probably the poorest in the community because they can not do any
type of hard work. They often depend on others to provide for
them.

To implement this program on the local level, NGO #3 identified
the "timberland residents" who either owned, claimed, or tilled the
land in the upland areas of this community and invited these
individuals to attend an informational meeting on the Contract
Reforestation Program. Approximately 20 residents, all members of the
NGO attended the meeting.

Ten community members agreed to participate in this program during
the first year. The following year, after observing the results of the
first contractors, other community members entered into reforestation
contracts.

Staff members of NGO #3 admitted they were not able to reach the
poorest in the community through this program. As one NGO staff member
explained, the poorest members of this community do not own or claim

land. Often they must leave during the weekdays to look for employment

103
in the cities or neighboring towns, typically accepting jobs below
minimum wage. Other upland residents fish for a living because they
can not make an adequate income off their small parcels of depleted
land.

One resident in the community stated:

The N60 has tried to help all the members of the organization, but

it is usually the residents who have land or other sources of

income that are willing to experiment with new techniques or
programs, even though everyone has the opportunity to participate.

If the new techniques or programs are proven effective, then the

poorer residents are more willing to try them. The poorest are

usually the last to participate in programs, probably because they
have the most to lose if it fails.

N60 #4 administrators and technicians designed a scheme to
introduce the Contract Reforestation Program to tribal community
members as "a community forest program" prior to the implementation of
this program on the community level. The NGO purchased the ”rights to
till” from local land claimants and gave the land to the community
residents to establish the forest. First priority was given to members
of the NGO who had demonstrated a "good performance" in community based
activities. Good performance was defined as a high level of
participation and cooperation in community based development efforts.
Land claimants, who volunteered to sell the rights to their land, were
given first priority to work on the program as laborers. Other
community members were hired according to their performance in previous
community based activities, as determined by the N60 and local tribal
leaders. Community members who are not tribal members but reside in
this area were not allowed to participate in the program.

Administrators from N60 #4 stated they have been able to reach the

poorest members of communities for two reasons. First, the tribals are

the poorest members of Philippine society. And second, everyone can

104

participate in the community-based reforestation and then they
collectively can reap the benefits of the forest.

Overall, the locus of control for this program was centered in the
major institutions that had been primary actors in the deVelopment
arena for extended periods of time. The private sector was represented
by organizations that had a range of experiences in development from
decades of grassroots experience to novices. At the local level, the
intended beneficiaries were often selected based on their affiliation
with the organization or the individuals that locally controlled the
program.

If this program was designed to democratize the process of
development, how was it democracized? and, when did democratization

begin? Who actually had the power and control of this program?

Nho Controls?

In joint development endeavors, are development institutions and
national governments actually seeking to establish "partnerships" or
institutionalize "democratic" principles? Or, is the role of the
private sector to function as extension agencies of the government?
Metaphorically, are joint development endeavors relay races against
time to reach predetermined goals in which each member of the team goes
a certain part of the distance and then passes the baton to the next

team member?

Development Partnerships

In the Contract Reforestation Program, the DENR did not involve

"the people” until after the program had been designed and was ready

105

for implementation on the local level.
According to the DENR publication Primer on Contract
Reforestation, page 1, CRP is described as:

a new government strategy to improve and re- invigorate
the worsening condition of the environment. Specifically, the
program provides incentives to the private sector, non-government
organizations (NGOs) and local government units (LGUs) for them to
become partners in forest resources utilization, conservation
management and development.

If they were "partners", when did the partnership begin? When
should partnerships begin in joint development endeavors?

In E. S. Guiang’s (1991) unpublished paper "Government-Implemented
Reforestation Projects: Overview, Lessons Learned, and
Recommendations", that was presented and distributed at a national
level policy meeting on the Contract Reforestation Program, he cites
that the first lesson learned was:

The continuing deforestation, the ensuing degradation of
forest lands, the resulting environmental deterioration, and the
government’s inability of accelerated reforestation efforts
underscored the need for a change in direction. The government
came to a turning point in considering other strategies to
accelerate reforestation. It realized that forest occupants,
upland communities, non- government organizations, and even private
corporations could play a significant role in the rehabilitation
of open, marginal, cogon- -dominated, inaccessible, and inhospitable
forest lands. The government, particularly DENR, could not "hack
it alone"; other sectors must be involved in accelerating
reforestation in the country.- An overall long-term action plans
(national, regional, and provincial) are needed; programs have to
be designed, new and responsive structures must be set up; the
bureaucracy has to be re- -oriented; and external and internal
resources have to be tapped and mobilized.

How were the people to be involved in "accelerating
reforestation"? From Guiang’s statement, the answer remains vague.

Therefore, one must ask, how are the people to be involved...in the

106
"long term action plan" or are the people the “external resources to be

tapped and mobilized"?

Program Desiqnyend Development

 

Promoted as a "partnership" endeavor, the Contract Reforestation
Program was designed and developed primarily by the National Office of
the Department of Environment and Natural Resources and the Asian
Development Bank. The absence of representatives from the private
sector, particularly NGOs, is significant in this country. The
Philippines has one of the largest NGO communities in the world as well
as numerous NGO umbrella organizations and consortiums that represent
these organizations on the national level. Many of these umbrella
organizations are located in Manila, accessible to the ADB and the DENR

for meetings and frequent interchanges.

Prpgram Implementation and Maintenance

When this reforestation program was presented to "the people", one
of the first barriers hindering the active participation of the upland
dwellers was access to information.

The program literature, bidding instructions, and the contract for
this program are written in a highly sophisticated level of English.
Although most government documents in the Philippines are written in
English, literature about the CRP used highly sophisticated language.
The instructions for bidding in the CRP were rated on the Flesch
Reading Ease Score at a level of 20, whereby 0 is rated very difficult
and 100 is very easy. In addition, the Instruction to Bidders

Guidelines, item No. 10 states that:

Philipp'
America:
language
tools u:
class 53
Spanish,
written
nation’s
country‘
American
the coun
the form
Public 9
the IQVE
English
Today, El
farm“ C.
instlUCti
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DTOgram W
edUCatiOn

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107

The Bid prepared by the Bidder, and all correspondence and

documents relating to the Bid exchanged by the Bidder and the

DENR, shall be written in English language.

The English language has an interesting history in the
Philippines. English was brought to the Philippines after the Spanish-
American War by the United States to replace Spanish as the "official
language" of the Philippines. The Spanish language was one of many
tools used by the country’s first recognized colonizers to create a
class system in this country. National elites were schooled in
Spanish, or in Spain, and all official government documents were
written in this language to centralize power among the Spanish and the
nation’s elite. When the United States replaced the Spaniards as the
country’s colonizers, they changed the "official language" to English.
American teachers came to the Philippines to teach English, not only to
the country’s elite but to rural residents. English was mandated as
the formal language to be used in all government communications and
public education. The English language, thus, became an indicator of
the level of one’s education. The more sophisticated the individual’s
English language skills were, typically the higher their status.

Today, English is used as one of the mediums of instruction in the
formal classroom setting, and is predominantly used as the
instructional language in higher education settings.

Those individuals who have obtained a level of reading and writing
comprehension in English necessary to understand the documents for this
program would be expected to have at least completed secondary
education. Secondary education until recently in the Philippines was
not provided free by the government and was considered a luxury to the

poor, not a right. It is also typical in rural areas that children may

108
not even complete the six years of government funded primary school due
to family pressures to help on the farm or the scarcity of schools
within close proximity to rural families. Thus, the language
requirements alone in this program may have restricted the active
involvement of the majority of upland residents, the articulated
intended beneficiaries.

Given these conditions, several questions are raised: Whose
responsibility was it to assure that participants, with limited formal
education, had access to information about this program?; Who was
responsible for writing the contract and work plans in English?; Did
the intended beneficiaries actually have any control in this program or
were they dependent on external agencies to translate information about
the program and submit documents in a language in which they had
minimal comprehension levels?

One of the four NGOs in this study did written translations of the
contract bidding procedures and other selected relevant information
into the native language. The president of NGO #3, according to one of
the organization’s staff members, completed written translation of
selected information about the program and the contract so that the
intended beneficiaries, if they had the literacy skills, could read the
materials. All of the NGOs in this study relied predominantly on
verbal communications to convey information about this program. Verbal
translations of materials were done either through meetings and
assemblies or direct one-on-one contact with community residents.

An administrator from N60 #4 stated to the researcher that the
organization works with a predominantly illiterate population and

therefore does not translate any documents. He rationalized that if

109
the information had been translated into the native language, most of
the intended beneficiaries still would not have been able to read them
due to lack of literacy skills. Instead, this NGO depended on multi-
lingual community members or NGO staff members to verbally translate
the information from the DENR materials to the community residents.

By not using native languages in official DENR documents, most of
the intended beneficiaries relied on the NGO or the DENR to provide
verbal information about the program. Although most of the
participants in this study had some mastery of the English language,
their level of reading comprehension was lower than the elevated level
used in program literature and documents. Seven of eight NGO
presidents when questioned about the ability of the intended
beneficiaries to read and comprehend the documents stated that the
intended beneficiaries they worked with were not able to understand the
materials. The eighth president stated the intended beneficiaries in
some capacity could read the documents and the literature. I

Fourteen community members involved in this program representing
all four community sites stated that they had never seen either the
contract or any written literature on the program when asked if they

could comprehend the CRP literature.

Participant Access to CRP Documents

In most situations, the intended beneficiaries were dependent on
the government or the NGOs to provide information about the program,
the contractual agreement, and the work plans. None of the intended
laeneficiaries interviewed by the researcher in this study had seen the

(rfficial contract or the work plans negotiated by the N60 and the DENR.

155

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The DENR in Volume I of the Policies, Memoranda and Other
Issuances on the National Forestation Program, item 2.05: Contract
Documents at Site of Work, stipulates:

The Contract shall keep available to the Employer and his

representative at the site of the work in good order one copy of

all maps, specifications, breakdown of work, schedule of the

reforestation work, including all instructions and graphs (p. 80).

A community member at community site #1 stated:

I had never seen a copy of the contract. I was only given

instructions, by the NGO president or one of the barangay

councilors, from their work plan. The barrio captain has seen the
contract and it is the captain’s responsibility to translate the

English and explain the terms of the contract to the community

members. Besides, it is written in English and if I had seen it,

I would not have been able to read it.

One of the on-site staff members at N60 #2 stated he had seen the
contract but had never read it. This individual further explained that
he had never read the contract because he "was only concerned about the
job." This staff member informed the researcher that the workers and
the leadmen working on the reforestation project knew such specifics
about the contract as the number of years of the contract and the
environmental rationale but the actual contract had not been shared
with them.

Two on-site staff members of NGO #2 said they had never seen the
contract. When the researcher inquired why the staff members had never
seen the contract, one of the staff members stated, "We are new in this
job and we are embarrassed to ask too many questions about the
contract." The staff member further stated:

The only discussions we have with the NGO’s administrative staff

regarding the contract are the monthly goals and the specific task

and responsibilities of the subcontractors and the workers.

One community member, assigned to supervise a group of workers at

the reforestation site of N60 #2, stated that he knew about the three

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111

year contract but he had never seen it. His understanding of the
contract was that the people who worked on the reforestation program
would be able to harvest the wood products from the forest, with the
permission from the DENR, but he was unfamiliar with any other details.

Another community worker at this site stated that the residents in
his community were never informed about the Contract Reforestation
Program in any formal manner by the NGO. The residents only knew they
are paid to plant trees. Thus, he stated, "community residents have
not been concerned about finding out about the details of this program.
We only care about the wages the program offers."

When this community resident was asked by the interviewer if he
knew the goals of the program, he said, "no one knew except the
government", referring to the NGO. The individual did not even know
the program implementor was a NGO, he referred to the program
implementor as "the government" throughout the interview.

The community members at the site of NGO #3 stated they had never
seen the official contract between the NGO and the DENR. All of the
participants of the study at this site explained to the researcher that
they understood the program and the terms of the contract.

As one community member explained:

Each participant made their own decisions how to implement the

program on their land. It was the NGOs’ responsibility to

negotiate with the DENR. We planted trees according to the
trainings provided by the NGO and the suggestions of other
community members. Some of the resources such as seedlings and
fertilizers were provided by the NGO. The contract was not
important to us. We knew our responsibilities. We agreed to

plant trees, and that is what we did.

Community residents at NGO #4 stated they had not seen the

contract. One tribal leader explained that "the contract was not

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112
important, it is bringing back the forest". Seven other tribal leaders
during this meeting agreed with this comment. None of the tribal
leaders expressed concern about not having access to the official
contract or the work plans.

The researcher found this to be peculiar since, as one NGO
administrator had explained, in earlier decades many of the indigenous
people had suffered numerous consequences by signing documents they did
not understand or by believing translators who misrepresented the
information, to nonliterate tribals.

When the researcher inquired among all four of the NGO
administrators who participated in on site studies why they had not
made the contract and work plans more accessible to the intended
beneficiaries, the administrators unanimously stated that the contract
was between the N60 and the DENR. Therefore, they did not perceive it
as necessary to make the document readily available to the community
members. When the researcher made the same inquiry to the NGO on-site
staff members, the answers varied. At N60 #1, there was no on-site
staff member but one of the former local project supervisors stated
that he assumed the reason the NGO did not make the document available
to all of the community members was because of language barriers. On-
site staff members of N60 #2 stated that there were probably three
reasons: first, most of the community members were not concerned about
the contract, only the wages; second, lack of sophisticated English
skills by the majority of the community members limited their
understanding of the documents; and third, some community members did
not know a contract existed. At NGO #3, the staff member explained

that he assumed the community trusted the NGO, therefore they were not

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113
interested in seeing the completed copy of the contract between the NGO
and the DENR. Staff members at NGO #4 stated the lack of concern about
access to the document by community members was probably due to
language barriers and that the community members trusted the NGO.

When the researcher asked local community members why they thought
they had not seen the contract the following answers were received.
Three community members at NGO #1 stated they thought they did not have
access because the NGO president wanted to control everything in this
program. Community members at N60 #2 stated they were not concerned
about the contract, just the wages, and some of the community members
were unaware there was a contract. At NGOs #3 and #4, the majority of
the community members stated they trusted the N60 and did not need to
see the contract or the work plans. The trust, as explained by some of
the community residents at NGOs #3 and #4, was based on the community’s
members prior experience with the NGO and the relationship developed

during the years of working in collaboration.

Hiererchicel Organizetionel Strpetgyee

Collaboration is best achieved when organizations have open
communications system. This is seldom accomplished in hierarchical
organizations designed to delegate orders downward and to send
information upwards. In this type of structure, information tends to
be filtered and lost among the successive layers it is required to
travel through before it reaches the decision makers.

All four NGOs in this study worked with a select group of
individuals within the community. The type and degree of work among

the participants often depended on the structure or administrative

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114
hierarchy of the organization. Of the four NGOs in this study, N60 #3
had the flattest organizational structure. The decisions in this
organization were typically made collaboratively between the NGO and
the community members.

While a hierarchy does exist in NGO #3, the organizational
structure has a minimal number of levels. The president of NGO #3 is a
permanent resident of this community. Although his office is based in
the provincial capital with other organizational administrative staff
members, he visits this site frequently, where his wife still resides,
and is respected by the community members as a permanent resident.

In the community, the organization has a full time, permanent on-
site staff member. This individual works in cooperation with the
community members as a bridge between the NGO’s administrative office
and the people. During observations at two NGO community meetings
facilitated by this staff member, the community participants openly
expressed their ideas and views. The on-site staff member would
intervene periodically to facilitate or to make comments without
overtly directing the outcomes but assisting the people in drawing
their own conclusions. NGO #3 has also established a local community
organization and a local system to assist community members in trying
innovative techniques by using some of the local program participants
as field instructors. These field instructors, referred to as farmer
instructors, are community members who have tried new techniques
introduced by the N60 and have been successful at implementing them in
local community development programs. Farmer instructors work
cooperativelywith community residents on their own farms. They

introduce new techniques and help community members them to solve

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115
problems to improve productivity. The farmer instructors, selected by
the N60 and the community members, are paid a small honorarium by the
NGO.

Farmer instructors were also used in the Contract Reforestation
Program. This system was structured so that first year contractors
would assist new contracts during the second year of the program in the
community.

In contrast to the relatively flat organizational model of N60 #3,
the other three organizations in the study either had already
established hierarchical structures or created them to implement the
Contract Reforestation Program.

The president of NGO #1, who was not a resident of the community,
described himself as the primary manager and overseer of the program.
His self-description of duties included writing the contract,
identifying specific tasks and duties to be performed by the team
leaders and the workers, setting time lines and deadlines for the
completion of tasks, monitoring the progress of the program, and
meeting with the DENR regarding program issues and concerns.

Within the community, six team leaders and one timekeeper, all
members of the barangay council, were appointed by NGO #1 to supervise
the workers and monitor the progress of the program in the
reforestation area. Other community residents were involved in the
program as wage laborers to complete the labor intensive activities
required by the contract.

A rigid hierarchical structure was established by this
organization. According to the descriptions by research participants

at this site, the organizational structure created a buffer between the

membi

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intended beneficiaries (wage laborers) and the NGO. Two way
communication was limited and the majority of the people’s interactions
with the NGO was to receive instructions and wages.

One worker at NGO community site #1 stated that the community
members were never asked about their opinions and ideas by either the
NGO or local community leaders. He further elaborated by stating:

We had ideas and opinions about the program that we talked about
among ourselves, but we did not share these ideas with the
program’s supervisory team or the NGO. If they did not want to
hear from us, then why should we create problems for ourselves
by speaking out?
Another intended beneficiary at NGO community site #1 commented:
None of the workers were asked to contribute any ideas or

comments about this program. We are treated like forced labor.

The contractor did not care about the people. He only inquired

about the program’s quotas. When people did express their

concerns, the community leaders did not want to hear them.

In one situation, a community resident stated that when he spoke
out about his concerns to a barangay official, the local political
leader responded, ”Isn’t it enough we are getting paid on a daily
basis, why do you want to make trouble?".

NGO #2 staff members include the president, who is primarily
responsible for coordinating the activities of the organization and the
management of the reforestation contracts. Reforestation management
responsibilities as described by the president of NGO #2 include:
meeting with the DENR regarding contractual matters, identifying the
monthly activities, setting the timeliness for activities, and the
payment schedule at the NGO’s three program sites. The president
visits the community periodically to monitor the progress of the

program, tour the reforestation area, and meet with on-site staff and

the local community subcontractors. The two foresters and one

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supervisor employed by the NGO, who temporarily reside in the community
during the week days, are under the direct supervision of the
president. Staff members described their responsibilities as
include monitoring the daily progress of the program and the workers.
The forester’s interaction with the workers is primarily to give
technical instructions. The foresters and the supervisor also are
responsible for collecting numerical data on the survival rates of the
trees, assessing the technical problems of the program, and providing
social orientations related to the maintenance of the program.

In addition to the foresters and supervisor, nine subcontractors,
who are all residents within the contract reforestation site, were
hired by the NGO president to implement and manage the CRP program in
different areas of the community. The subcontractors function as the
intermediaries between the local workers and the NGO.

Monthly meetings are held by the NGO president with the on-site
staff and the sub-contractors to inform them of the tasks to be
completed during a specific time period, usually 20-30 days; the quotas
to be achieved, and the payment schedule for these activities. The
numerical quotas are determined by the NGO administrative staff
according the terms of the contract and current program outcomes.

The sub-contractors are then responsible for recruiting and
supervising the community workers in completing the designated tasks
for each of the reforestation areas. Community workers, hired as wage
laborers or contractors, are responsible for completing the assigned
task. The researcher observed that in a meeting held by the president
with the subcontractors that the president worked with these

individuals to identify problems, discuss possible solutions, and

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118
determine the actions to be taken to resolve problems. Solutions
identified during this meeting were basically sanctions against
violators for such acts as burnings. It was also decided that if the
NGO sanctions did not deter the community member(s), then the NGO would
release the name of the individual(s) to the DENR who had the legal
authority to administer punitive actions against the individual(s).

This hierarchical approach established a top down structure that
limited communication among the program’s participants. Although the
staff members had frequent contact with community wage laborers, the
majority of these interactions were instructive focusing on the work
task.

One of the laborers at NGO #2 commented during an interview at the
reforestation site among other workers that the community residents had
not been involved in any of the decision-making processes for this
program. He stated that "we only take instructions regarding work
projects." Five other individuals that were present either verbally or
non-verbally agreed with this comment.

NGO #4, servicing an eXpansive area within the ancestral domain of
eight indigenous tribal groups, has 361 non-indigenous and indigenous
staff members employed in various capacities by the NGO. To implement
the CRP program, according to the descriptions of five NGO
administrators and staff members, the organization drew upon its
administrative staff, agricultural technicians and local community
leaders. The reforestation program was presented to the community
members after being redesigned by the administrative and technical
staff for local implementation. Foresters were hired by the NGO #4 as

temporary staff to supervise the program in each community. After

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the program had been designed by the NGO’s technicians and
administrators, local tribal leaders participated in introducing the
program to local community members and selecting the land for the
development of forests. Community members had the opportunity to sell
their "rights to till" to the organization. -The organization would
then hold the rights in trust and designate the land to be developed as
community forest. First priority to sell the rights to till and to
work on the program were given to community members based on their
previous level of participation in the NGO’s community based projects.

Local residents were involved either as wage labors or paid on a
piece work basis, depending on the task during the initial
implementation stage. Gradually, as the work task decreased, community
residents were trained on how to maintain the newly planted forests and
given the responsibility of collectively protecting the forests.

In this study, NGO #3 had the most open and responsive
communication systems based on the lesser number of hierarchical layers
and shared decision making responsibilities, also had the highest tree

survival rate of the four communities studied.

Local Organizations

The importance of community organization in rural development is
not a new concept; it is centuries old. Most forms of local
organizations were eventually replaced by centralized governments by
western colonizers to concentrate power and control into the hands of a
few. In the 19905, as governments make efforts to decentralize, are
government agencies actually redistributing power within their own

organizations (i.e. field offices) or actually sharing the power with

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120
the people?

In the DENR program literature, the department encouraged the
organization of program participants. Chapter 11, Community Contract
Reforestation, Section 37 of Volume I of the Policies, Memoranda, and
Other Issuances on the National Forestation Program Manual recommends:

For better management, coordination and control, participants

(except those who are already organized) shall be encouraged to

group themselves into a formal and informal organization and to

elect a set of officers who shall oversee the operation of the
project or appoint one or more representatives to represent their
group in dealing with the DENR office concerned; Provided, that in
case of tribal communities (ethnolingistic groups) existing local
leadership will be further enhanced/recognized based on existing,
local customs, traditions, and beliefs.

Although the importance of developing local organizations is
stated in the program literature, the DENR did not support the
formation of any local organizations either financially or by providing
time in the contracts to organize communities participating in this
program.

During a provincial wide seminar, one NGO president stated that he
recognized the importance of building a local organization within the
community to help sustain the project but his attempts had been
discouraged by the DENR. In his original contract, he included a line
item in his budget for community organization. But when the contract
was returned to him by the DENR the line item had been crossed out.
During this same conversation, another NGO president said he had been ~
able to get approval for community development as a separate line item.
He explained that originally it had been crossed out, but he went to
speak with a DENR representative and the line item was reinstated.

When one DENR regional administrator was queried by the researcher

about the lack of financial support for building local organizations,

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121

the official explained that:

The Department fully supports the idea of community organizing

(CO) but, we can not finance CO because we have not found an

appropriate unit of measurement to justify the expense. It is

just not quantifiable.

Another NGO president interviewed during this research project
stated:

Community organization takes time. Time that contractors do
not have the luxury to use for organizing the participants when we
have deadlines to meet. If I would have done the type of
community organizing needed to sustain this project in the
community, then one year of my three year contract would have
ended without a single tree planted. Instead, I have trees at my
site now but no guarantee they will be there tomorrow. God only
knows what will happen to the trees once our NGO withdraws from
the site.

In this study NGO #3 and NGO #4 used local community organizations
to assist in the implementation and maintenance of this program. These
local community organizations had, in a sense, been integrated into the
NGO’s organizational hierarchy and were considered part of the NGO.

Both of the community based organizations used by NGO #3 and #4
had been established by the NGOs prior to the introduction of the CRP
into the community. The leadership for the community based
organizations were typically informal community leaders. And,
membership in these organizations had limited, if any criteria.

As an alternative to the NGO organizing local community groups for
this reforestation program, some NGOs sought out existing local
organizations to aid in the introduction and the implementation of the
reforestation program. Two NGOs in this study used Local Government
Units (LGUs; formerly known as barangay councils and barrio councils)
as their entry point into the community. Using local governments units

to enter communities to introduce government sponsored programs is a

122

typical practice by government line agencies in the Philippines. One
of the major responsibilities of LGUs is to assist in the delivery of
government programs to the local community. By using government
organizations to implement this program in local communities, one of
the research participants asserted that the NGOs forfeited their non-
governmental status. In this study, when the NGOs relied on locally
elected leaders to assist in the initiation and implementation of this
program, political problems and polarization tended to transpire within
the community.

To initiate the CRP on the local level, the president of NGO #1
approached the local mayor and LGU council members to assist the NGO in
entering the community and introducing the program. The NGO hired the
council members as the local leaders of the reforestation program.

Each council member was paid an honorarium by the NGO that was
equivalent to the amount paid to the council members for their elected
responsibilities as LGU representatives. This created a conflict among
some of the community members because the local residents did not
understand why the council members were paid for their CRP
responsibilities as well as receiving a salary from the government for
their LGU responsibilities.

Another member of the community viewed the LGU members as pursuing
this program for their own political ambitions so that he could get
reelected. In fact, during this study, the president of the LGU
admitted to the researcher that he was hopeful this program as well as
some other community improvement programs he helped to initiate would
get him reelected.

Other community residents were frustrated that only elected

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officials were considered and given leadership roles in this project.
One community resident stated that, "the LGU members appointed
themselves as supervisors and team leaders, not the community members."

Today, this project has been disbanded by the community residents
and the contractor. When the community members failed to receive wages
for their labor due to delay of payments from the DENR, the project
stopped. Community residents returned to farming or found other means
of employment. Evidence of this project still exists in the community
such as an overgrown nursery as well as some trees that have survived
or were not destroyed by the residents or animals. Some of the farmers
have also intercropped corn among the trees.

Community members admitted they had no motivation to maintain this
program independently. They had been frustrated by the attitude of the
contractor and the political favoritism built into the hiring practices
by the barangay council members. Therefore, as one community resident
stated, "this project remains only as a bad memory in most of the
community members’ minds".

Another local resident explained the impact of this program within
the community:

Cooperation within the community has decreased because of this

program. Residents are no longer interested in attending

community meetings. Prior to the implementation of this program,
the community had experienced a high degree of cooperation and
worked together collectively to achieve mutually identified
community goals and projects such as the building of a community
stage and repairs to other community facilities.

Another interviewee explained:

The community residents have been discouraged by this program and

their treatment by barangay officials. They feel the barangay

councilors are only using the program to enhance their own

prestige and income. The program was not being used for the good
of the community but only for the good of a few individuals.

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NGO #2 also suffered consequences when they used the local
political structure to enter into a community. The original contract
for NGO #2 was transferred to a new community by the DENR after the NGO
could no longer function in the original contract community due to the
local political dynamics and the subsequent problems.

NGO '#2 entered its first community reforestation site through
the locally elected political structure. The NGO president approached
the local mayor requesting his assistance to initiate and implement
this program in the community. According to the NGO president, the
mayor had recommended that the NGO use the barangay council and a few
of the "mayor’s men" as local leaders for the program. The mayor
agreed to be the leadman and offered to help in mobilizing the
community. An information campaign was initiated by the NGO using the
mayor to inform the community about the reforestation program. Within
a short amount of time, the mayor’s political opponents began to view
the Contract Reforestation Program as the "mayor’s project". Conflicts
within the community began to erupt between these two political ‘
factions regarding the program. The political opponents began a
"disinformation" campaign against the NGO and the program. The word
was spread within the community that the reforestation program was a
political move by the mayor and at the end of the contract the mayor
would receive the reforested land. The wage laborers were told by the
mayor’s political opponents that they would not be paid for their work
and absentee landlords were contracted and told that their lands were
being confiscated by the mayor. A petition was circulated by the

opponents among the community members demanding the termination of the

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125
program. The DENR’s Community Environmental and Natural Resource
Officer (CENRO), a witness to some of these problems, agreed to
transfer the contract of NGO #2 to a new site within the province.

When NGO #2’s contract was transferred to the current site, the
location for this study, the NGO had not entered the community through
any local organization. Instead, the staff members went directly to
the people and began recruiting community residents as laborers. As
one of the NGO staff members explained, already frustrated by the
organization’s previous attempts to complete the necessary social
preparation and organize the community members, we entered the second
site and immediately began to look for community members who would be
able to provide the labor needed to replant the seedling before the end
of rainy season.

This administrator further explained:

I am aware of the importance of social preparation and community

organization to sustain programs but when I entered this site I

did not have the time to do the necessary social preparation. We

had entered the community at the end of planting season and our

first priority was to transfer and finish planting the seedlings
before the beginning of dry season. If the seedlings were planted
too late, then the they would die and the organization would not
be able to meet any of our quotas.

Driven by "measurable outcomes", this NGO may once again encounter
community based problems; this time by not providing social preparation
or developing a local organization. When one subcontractor was asked
if this program could be sustained after the NGO withdrew from the
community. He remarked:

The community members could maintain the forest after the NGO

leaves the community if the local residents would organize

themselves. But, I do not have any idea who would do it or how

the community could be organized.

Another community member stated:

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It could happen if the community residents voluntarily set aside

time to look after the trees but it would be much better if the

NGO or the government would provide the orders and wages to

maintain the project. I do not think anyone in the community

would be willing to voluntarily come up and maintain the forest
plantation without being paid.

These comments indicate that the communities may have become
dependent on external organizations to maintain this program, rather
than on the local community members as designated in the department’s
literature for the long term goals of the Master Forestry plan.
Dependencies may also have been further exacerbated in this program by

the use of external resources.

Lgeel R_§ources

The use of external, non-indigenous resources during the
implementation of this program in local communities tended to advocate,
endorse, and possibly create dependencies on costly external resources
to maintain local programs. By relying on external resources
throughout the implementation and maintenance stages of these programs
to increase tree growth and survival rates, some community members
were oriented toward utilizing these resources instead of gradually

replacing them with accessible and affordable indigenous resources.

Community Volunteers

The most important of the local resources in communities are the
human resources. The two NGOs that organized the community members
were able to establish a volunteer force that is willing to work on
community development endeavors without immediate monetary
compensation. NGOs that have relied predominantly on wage labor, in

contrast to integrating a volunteer component, have had more difficulty

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in maintaining and sustaining the reforestation program.

When this program was initially implemented in the NGO community
site #1, NGO staff members hired technicians and laborers who did not
reside in the community. After the first week, the NGO fired these
workers and hired local residents. Throughout the duration of the
program, community residents were paid on the piece work system to do
program activities. Volunteers were never used nor, did people
independently volunteer to maintain this program when wages were not
paid or after the program was terminated. This contract was cancelled
in the Summer of 1991 and as of December, 1991 only a few trees
survived. As one of the barangay council members explained:

The president of the NGO and the Barangay Captain tried to
encourage the workers to continue with the project until the NGO
received the payments from the DENR and the residents could be
paid for their work. But, the community members refused, stating
they needed money to purchase basic goods for their families.

This community is relatively poor, but the residents have
other means of livelihood such as farming, fishing, gathering
firewood and large stone blocks for sale as well as the
opportunity for employment at factories in a neighboring town.
Since the community members were not completely reliant on the
program to provide a source of income when they stopped receiving
payments, they found other ways to make money. Besides, since the
project was not providing any source of income, why should we work
on it?
NGO #2 hired local community residents as sub-contractors and wage

laborers. All of these individuals were paid by the NGO. During
periods when the workers did not get paid, due to delay in payment from
the DENR, none of the laborers continued to work on the project. Two
community residents agreed to patrol these areas in the evenings

without payment, contingent on the reimbursement of their services when
the NGO received money.

When local community members were asked how they planned to

128

maintain this program at the completion of the contact, they stated:

We can not maintain the forest after the NGO leaves because the

people in this community have to work every day in their fields to

grow their crops. We do not have time to work on this program
without getting paid.

Another local community worker said:

The only responsibility for the project we could maintain without

the money from the NGO is the weeding. But, it is not likely

anyone would do this on a voluntary basis because we don’t have
the time to do it without getting paid.

NGO #3 did not pay wages but provided"allowances" to local
participants at the completion of each activity. When payments were
not received from the DENR, local participants continued to work on
their individual reforestation projects without monetary compensation.
When one community resident was asked if this project could be
maintained without external assistance, the farmer replied:

Of course it can. We have proven that already. We haven’t been

paid before and we continued to work. It’s my land and I am

responsible for seeing that trees reach maturity for my own needs,
my family’s needs, and the good of the community.

NGO #4 provided payments to each of the individuals who
participated in this program. During periods when the NGO did not
receive payments, work temporarily stopped.- Although, as explained by
one NGO staff member, some of the people would independently work in
the reforestation area after they had completed other tasks.

In one of the community reforestation sites of NGO #4, the work
had completely stopped. When payments were not received, the NGO used
Community Action Days to maintain the project. Community Action Days
are held once a month in local communities in which the local residents

work collectively on an identified community improvement project.

Throughout the implementation of this program, a strong social

129
orientation component was integrated into the program by the NGO. Now,
according to NGO staff members,
People are independently beginning to take ownership of the
community forests and protecting them. We still have sanctions
for intentional destruction, but the majority of the people have

realized the importance of their voluntarily participation in
maintaining the forest.

Hired Profeesionals

In addition to the expense of wage laborers, the DENR required

NGOs to hire professionals, if these individuals were not already on

the NGO’s staff.
The DENR guidelines state:

The Contractor, if he supervises the work personally, must be a
Registered Forester with at least three years of work experience
in reforestation. Otherwise, he must have in his employ a
licensed forester with at least three years of work experience in
reforestation acceptable to the Employer who will supervise the
work personally.

Three of the four NGOs in this study hired professional foresters
for on-site supervision of this project. One NGO administrator

questioned this requirement.
It should be the DENR’s responsibility to provide the technical
assistance, they are the experts. Why were NGOs required to hire
foresters when I could have used that money more effectively to
develop this projects in this community? Instead of a forester, I

would have built more wells for these people. The people needed
wells and I could have used more water sources for this project.

Ipfpaetructure Construction

The DENR also required contractors to build infrastructures to
support "plantation" maintenance and protection. According to the
”Outline of Reforestation Contract Development Plan”, under

Reforestation Strategy, item A:

The types of infrastructure facilities to be put up in support to

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130

the project must be indicated (this includes plantation trail and

access road construction, project headquarters, fires look-out

stations, water system and similar facilities).

Nongovernmental organizations in this study that established large
tree plantations tended to use program funds for infrastructures rather
than capacity building endeavors for the participants.

At community site #1, the NGO built a bunkhouse and a fire tower.
The bunkhouse was constructed of sturdy materials, such as concrete
blocks and lumber, that were not indigenous to the community and
relatively expensive. The bunkhouse, never used for its intended
purpose, was used as the office for the NGO president during his on-
site visits. A fire tower was also constructed at the base of a hill
near the nursery site. This tower is seldom used because ”its
visibility is limited and no one is paid to do fire patrols". NGO #2
rented an on-site facility to use as a bunkhouse and local office. The
NGO pays a nominal fee to the owner for the use of the facility. Other
costly infrastructures were not built by NGO #2 since this community
had accessible roads and trails in the reforestation area.

NGOs #3 and #4 used training and community centers which they had
already built in the communities prior to the implementation of CRP
contract. Neither of these organizations built costly infrastructures,
primarily because "reforestation was done in on a small scale basis",
stated one NGO administrator. Another NGO staff member stated, ”we did
not build fire towers because people would not use them. Why incur an
expense on the organization for something that will never be used?".
One NGO administrator questioned, ”why would we need to build a

bunkhouse if community residents have their own houses to sleep in at

night?".

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131

Nursery Esteblishmep;

One of the main activities of this program was the establishment
of a nursery at each contract site. Although the DENR did provide the
option of purchasing materials from external sources, all four of the
NGOs elected to establish their own nurseries.

NGO #1 built only one nursery at one of the lowest points in the
community.* When the seedlings were ready for transplanting, workers
had to carry the plants in large baskets long distances over the
rolling hillside. This often resulted in the loss of seedlings during
their transfer to the planting site. '

NGO #2 established three nurseries located near natural water
sources. At one nursery, the local land owner is paid a rental and
maintenance fee. The second and third nursery are maintained by the
local land owners for wages. Community workers also had to haul the
seedlings up steep hills, which resulted in the loss of some of the
plants.

NGO #3 had one nursery located near the organization’s training
center. Seedlings from this site were also transported long distances
for replanting.

At NGO #4, nurseries were established near the reforestation site.
Workers carried seedlings to planting sites that were located nearby.

One NGO staff member from NGO #4 said: ,

In retrospect, I would have given each participant the seeds and

materials necessary to grow them. In one short session, we could

have trained them on how to grow and care for seeds. Then, when
the plants were ready to be transferred, the people would just

carry the seeds to the planting area on their land or a

neighboring area [designated for reforestation]. There would be

no need to transport the seedlings long distances, the people
would begin to identify with the plants immediately as their own,

and I think they would have a tendency to nurture the trees more
until they were full grown.

11
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132

He further explained that he thought this was not done by the
organization for two reasons, quality control and convenience.

Considering the amount of seedlings required and the terms of
the contract, we needed to monitor the planting, growth, and
maintenance of the.seedlings. We needed to assure we obtained the
numbers.

Also, the DENR [during monitoring] wanted to see large
nurseries. They did not want to go house to house to count the
seedlings to determine the survival rates.

Another NGO employee explained that the nursery establishment had
numerous costs; the most expensive were the external resources. He
stated that:

The organization paid for wages of the nursery workers, the

materials and construction of sheds, and the purchase of seeds,

plastic bags, and inorganic fertilizers. We could have saved more
than 50% on the nursery, if we would have used more local
resources.

Inorgenic Meperiele

The DENR advocated the use of plastic bags for the nursery
establishment. According to the project specification on page 63,
Volume I of the Policies, Memoranda, and Other Issuances on the
National Forestation Program, "Soil medium should be potted in
polyethylene bags of 4 x 6 inches in a gauge of at least 0.002 inch".

This practice is not only costly but it has been criticized for
its environmental unsoundness. As one NGO employee stated:

I find it ironic that a governmental organization responsible for

protecting the environment required us to use non-biodegradable

materials.

Other non-organic materials used for this project included
fertilizers. Although the DENR advocated a mixture of organic and
inorganic materials for fertilizers, all the NGOs in this study
predominantly used inorganic fertilizers during the initial stages of

the project. The unanimous rationale for the use of inorganic

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133

fertilizers, among the four NGOs as well as other NGOs in this program,
was the pressure on the organization to achieve project quotas.
Inorganic fertilizers, NGO staff members explained, expedite the growth
of plants at a faster rate than organic fertilizers. Another
individual stated that the NGO used non-indigenous materials because of
the pressure to reach the program goals. He explained that trees had
to be a certain height at each monitoring period or they would not be
included in the count.

Everyone felt the pressure to meet the survival rates

required by the DENR. It didn’t really matter how you did it.

What was important was that we reached our quotas. We used

inorganic fertilizers so that the trees would have a higher rate

of survival and grow faster. It’s the same reason we used gmelina
trees. They are a fast growing trees.

The cost really didn’t matter. Money was budgeted for it and
the government approved it. It’s what they wanted.

The use of gmelina (gmelina arhorea) seeds, non-indigenous to many
regions of the country, was advocated by the DENR as one of the species
for use in this program. This species, according to numerous technical
sources, is considered an excellent nurse tree and grows relatively
fast. Other individuals explained the rationale for the DENR promoting
the use of these seeds was due to the department’s overstocked supply
of gmelina seeds. As one NGO staff member explained, "If you use
gmelina seeds, then the department sells them to you. It was a money
making venture for them and an opportunity to unload their surplus
supplies".

Three of the NGOs varied the species to adapt the trees to the
condition of the area. Two of the NGOs tried to integrate local

species. One NGO used wildlings from indigenous forest in the

community, drawing upon local resources. Wildings are seedlings that

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134
rooted and grew naturally in the forest, as opposed to seeds
intentionally planted by man.
According to DENR literature:

The species to be planted shall depend on the site conditions and
the purpose of the plantation, (i.e. whether for production or
protection). The Project Leader shall request the community based
contract reforestation awardee concerned to recommend the species
they believe are suitable and desirable to plant and to suggest
sources of seeds and other planting materials. After due
consideration of these recommendations, the Project Leader in
consultation with reforestation and social forest specialist in
the CENRO shall have the final responsibility for choice of
species and sources taking into account site suitability, and
related technical criteria, optimal species diversification and
avoidance of extensive monocultures, financial viability criteria
and marketing potentials (e.g. accessibility to processing
centers/prospects for added-value via processing). However, in
the process of finalizing species/seed choices, the Project Leader
shall at all times strive for consensus with the local leaders and
participants to help ensure that species planted are perceived by
the residents of the area to be useful and desirable with
marketing and processing potentials.

Two of the four NGOs in this study integrated the suggestions of
the local participants into the selection of the seeds. The tree
losses of organizations that did not use local input was illustrated by
these comments from two community residents at the site of NGO #1.

Decisions on the species to be planted were made by the DENR
and the NGO. I did not understand the selection of the species or
why we were planting certain types of species in areas. We were
planting mango trees at the top of hills where the wind frequently
blows. The wind would eventually destroy the blossoms that would
bear the fruit. In areas with thin soil, the most appropriate
species were not planted but a species that required thick soil.

Local farmers were never asked for their input or to give
their comments regarding the soil, the tree species, or the
suitability of the species. We have been here longer than anyone
else but they never asked us anything. They (the NGO) just wanted
us to plant trees, nothing else.

One community member explained:

I did not provide any input for fear of retaliation. We all kept
our comments to ourselves and quietly received our wages. They
kept telling us about all the benefits we would receive from this
program but we knew there would not be any future benefits from
this program because the tree species were not suitable. We just

135

planted the trees and watched them die. We all lost in this
program, not just me but everyone.

Delay of Payments

One of the primary problems identified nationwide by NGO personnel
who participated in this program was the delay of payments from the
DENR. All of the NGOs in this study experienced problems with the
financial disbursements of payments from the DENR.

The mode of payment, as stipulated in Volume I Policies, Memoranda
and Other Issuances on the National Forestation Program Manual, page

31, is:

The community contract participants shall be paid in
accordance with their accomplishments after each major activity
has been completed or as stipulated in the contract of works. As
a general practice, the participants shall be paid at least ten
installments based on the schedule of activities as dictated by
the prevailing site and climatic conditions. In general, payments
would be consistent with the pattern, schedule and approximate
percentage ranges of total costs of the contract as indicated
hereunder. ‘

a. First Payment - (IO-15%) This shall be made after acquisition
of planting materials, preparation of potbeds, potting soil and
sowing beds, successful germination and potting/planting of
seedlings, and construction of trails.

b. Second Payment - (3-5%) This covers the care and maintenance of
seedlings in the nursery and would normally be paid before the
start of planting season.

c. Third Payment - (20-30%) This covers the activities for
plantation establishment including trail construction, strip
brushing, hole digging, plowing, planting and application of
fertilizer.

d. Fourth Payment - (5-10% This covers ring weeding and
cultivation. This payment shall be based on the inventory of
surviving seedlings two months after planting and the amount of
trail maintenance that was implemented.

e. Fifth Payment - (3-5%) This covers the second ring weeding
cycle replanting and protection of the plantation during the
first rainy season.

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136

f. Sixth Payment - (3-5%) This covers the third ring weeding cycle
cultivation, cost of fertilizer and labor for application and
protection of the plantation up to the start of the first dry
season and trail maintenance.

9. Seventh Payment - (3-5%) This is given after further
maintenance and protection of the plantation and after
inventory of surviving seedlings.

h. Eighth Payment - (2-3%) This is given after the fourth ring
weeding cycle, cultivation and application of fertilizer and
maintenance and protection of the plantation (2 months after
the start of the rainy season of the second year.)

i. Ninth Payment - (1-2%) This is given after the fifth ring
weeding cycle and if plantation is properly maintained and
protected.

j. Tenth Payment - (IO-20%) This is the last payment given to the
community contract participants and shall be governed by the
provisions for bonuses described in Section 27-d, herein.
(This item was still under study and has not been implemented

yet.)
The process of receiving these payments was a "bureaucratic
nightmare”, one NGO staff member explained:

The DENR was too unorganized to do this program. If you submitted
papers for payment of an activity that required monitoring by the
DENR, such as weeding, then you had to wait until a department
staff member could come out and evaluate the work before you could
get paid. The department had no systematic way of handling the
request. They would not respond immediately but came out at their
own convenience. By the time a department employee came out, the
weeds had begun to grow in the area again. We had to lay off
workers temporarily because we did not have the money to pay them,
so the weeds grew back. When the department employee finally
arrived, he would tell us we had not done adequate weeding to
receive the payment.

Another NGO president stated,

I typically walked my payment papers through the office.
Otherwise, they might sit on someone’s desk for a week or more.
You needed so many signatures, I think by now I have met every
employee in the entire department.

The president of NGO #1 blamed the failure of the program at the

contract site on the delay of payments. The organization had not

received any payments, "due to inadequate survival rates", from the

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DENR since December 15, 1990. (This study was done in early September
of 1991). Laborers had not been paid for the work they had completed
and refused to maintain the plantation until they received their wages.

As of December 1991, the nursery at this site is filled with
trees, some standing over four feet tall, still in their plastic
potting bags. The community has been able to maintain some of the
trees but most of these are on sloping nonarable areas that were not
used for agricultural purposes. In areas used for growing crops, some
farmers confessed to the researcher that they had either uprooted or
burned the trees so that they could plant their crops.

In July of 1991, NGO #1 filed a legal suit against the DENR for
release of the payments. The DENR, in August 1991, officially
cancelled the contract of this NGO for failure to comply with the terms
of the contract. Noteworthy among the information in the cancellation
document is the following statement:

Whereas, the main objective or thrust of the government in so far

as contract reforestation is concerned is to avoid or prevent

spending the government’s money to a substandard project in order
not to jeopardize the government’s interest.

NGO #2 had also experienced problems with the release of payments.
Fortunately, explained two of the staff members, the organization was
able to continue paying the workers by borrowing monies from the
accounts of the NGO’s other contract sites to pay workers. But, during
one period, the NGO had not received payments for any of their
contracts. For several months, reforestation activities at NGO #2 had
completely stopped operations due to numerous problems the NGO was

having with the DENR and the release of payments. The government was

threatening to cancel the contract due to unsatisfactory outputs by the

138
NGO. The failure of the DENR to release the payment left the NGO
without monies to pay wages or maintenance costs to the laborers. As a
result, some of the local workers intentionally burned the area as
revenge, according to NGO staff members. The NGO also lost its
credibility in the area and found it difficult to recruit workers when
they reinstate work on the contract after the release of the payments.
Fortunately, during the period of non-payment, the NGO was able to
recruit a few patrol workers, promising to pay them once the DENR
released the funding. Eventually, the funds were released by the DENR
and the operations were reinitiated.

NGO #3 experienced the same problems with delayed payments. As a
result, they drew upon the organization’s cash reserves from other
programs to pay the participants. Fearful of bankrupting the
organization, the NGO stopped utilizing their other accounts to fund
the program. The situation was explained to the participants and they
agreed to maintain the trees, despite the lack of funds. By this time,
most of the trees had reached a level requiring only periodic
maintenance. Thus, the participants were able to tend to their other
farming responsibilities and care for the trees as well.

When NGO staff and community members were asked to explain the
reason the trees were voluntarily maintained, all of the respondents
basically replied that the organization has been in the community for a
long period of time and pe0ple trusted the organization to pay the
allowances once the NGO received them. Another participant stated, "I
worked hard to plant and grow those trees, why would I want to destroy
them." The wife of one contractor stated:

We still maintain the trees because we understand their value. If
we didn’t maintain them they would be overcome by weeds and it

139

would be a waste. It is nice to watch these trees grow.

Other participants gave similar answers indicating a sense of
ownership and a need to protect the trees for themselves and the
community.

When participants at NGO #3 were asked if they would be able to
maintain this program without the financial assistance of the NGO, they
stated they had already done so due to delayed payments from the DENR.
Some farmers had not received payments for several months but they
continued to maintain the trees. One participated stated, "we have to
maintain the trees for our future and our children’s future".

As of the last months of 1991, according to one staff member at
NGO #3, all of the participants have been paid. Although, during the
study, several participants indicated they had not received their
payments from the NGO yet. However, the community members still
continue to maintain the trees on their land.

In one incident, when NGO #3 finally did receive a payment from
the DENR, the check was past the expiration date and could not be
cashed. The president of the NGO questioned this event, further
explaining:

Our office is just a short distance from the DENR in the city, if

our check was ready, then they could have called us and we would

have gladly gone to the department’s office‘and picked it up.

They did not have to mail it to us.

Failing to receive payments from the DENR, N60 #4 was also forced
to borrow from their other accounts to pay the participants. This
practice stopped after organizational funds were becoming "rapidly
depleted". As an alternative, people were paid in kind with goods from

the local cooperative located in the community center. After a period

of time, all of the supplies were distributed and the NGO was unable to

140

continue even this method of compensation.

People at one community site of NGO #4 continued to maintain the
trees independent of the lack of funds. Most of the community members
stated they maintained the trees because they knew the value of the
forest and felt responsible for assuring its protection.

At another community contract site of NGO #4 that was composed of
a different tribal group, the people did not independently maintain the
trees. Although the majority of the trees had survived, it was evident
some of the smaller trees were competing with the other vegetation for
nutrients and space. When the researcher asked the NGO representative
at this site why the community members had not performed as well as the
other community sites he explained:

We (the NGO) are new at this site. We have not been here as long

as other community sites in the area. Prior to the organization

coming to this site, it had been a government project set up to
protect the tribals. What the government actually did was teach
these people to be dependent on handouts. They (the government
agency) did not work to develop and organize the people; the
government only gave them relief. Now we are trying to train them
to be self-reliant, but the government programmed them to be
reliant. That is a difficult pattern to break.

Other NGO representatives at this site provided the researcher
with similar reasons for this community’s less successful performance
on the program.

At the time of this study, the NGO #4 had received all of its
payments. One administrator stated the organization had now made a
profit off of this program even before they began to harvest the wood
products. He contributed the ability of the NGO to function in the
black was because they knew how to do sustainable development; "an

inexpensive endeavor if it is done appropriately".

Other NGOs have suffered a range of consequences from the DENR’s

141

inability to meet payment schedules. As organization presidents from
various NGOs in the province studied shared their experiences with the
researcher during a provincial wide informal meeting of contractors.
One NGO president in this province stated he had to borrow money at 10%
interest to pay the workers. The most extreme incident was when one
NGO president’s son was taken hostage by the community members,
threatening to hold him until they received their wages.

In a conversation with one NGO staff member during a site visit,
the staff member stated that this NGO had not suffered as much as a
neighboring NGO had:

When this NGO had not received its payments from the DENR for
several months, the organization gave the workers bags of
fertilizer purchased for the Contract Reforestation Program. The
laborers were than taking the fertilizers and selling them at the
local market for prices below its actual value so that they would
be able to have some type of cash income.

One of the NGO employees in this province graphically described
the problems with the DENR and the delay of payments.

The DENR should have limited their role to technical advisors for

this program, that’s their expertise, not money matters. As the

program is set up now, the DENR strangled us (NGOs) with their

purse strings and did not release their grip until we coughed up

the numbers they wanted. But even if we gave them the numbers
they wanted, they still did not release their grip.

Qgentifieble Outcomes

The measurement of numerical outcomes has been the predominant
evaluation method used by the DENR throughout this program. By
emphasizing the quantitative aspect of this program instead of a
qualitative, some NGOs, according to several organization
administrators, have been forced to prioritize their activities so that

numerical goals could be achieved, often at the expense of the social

142
development and the program’s long term sustainability.

The majority of the NGO administrators in this study stated that
they perceived the primary objective of the DENR in the Contract
Reforestation Program was to produce as many trees as possible,
regardless of the needs of "the people". As one NGO administrator
stated, "the DENR’s real goal in this program is to increase the number
of trees, not to create forest for the people."

Another NGO president described "the vicious cycle" of this
program by stating that:

You can not get people to maintain the trees until they
appreciate and valuable them. They do not see the immediate value
of trees because it takes time for trees to produce a source of
income for them. If you are poor, you can not wait five years.
These people need to use their land today so that they can harvest
their crops in a few months and receive some type of income. The
way this program is designed you are supposed to tell the people
that the trees will bring back the water and the soil, but for
people who live day to day, they can not appreciate the
significance of restoring the environment. You have to give
people a better reason to plant trees then for environmental
reasons. You can’t eat trees when you are hungry today.

At the beginning of this program the people loved the trees
because they supplied a source of income because they were paid to
plant them. But today, they do not see their value. Without the
right social orientation, this program just becomes a vicious
cycle. If people do not understand the purpose and value of
trees, then they destroy them. If they destroy them, then you can
not get your payments from the DENR because your survival rate is
too low. If you don’t get the payments, you can not pay to
people. Then, the pe0ple get angry at the NGO and destroy the
trees. You can not do the social preparation to stop the people
from burning the trees because you do not have the time or the
money. But, if you do not do the social preparation, you have
wasted your time and money anyway.

The DENR has only cared about the numbers, not the people in
this program. They never asked about the people only the trees,
the survival rates, and the cost.

Another NGO administrator summed up the program as follows:

Development projects have ignored the importance of people for
decades. I thought we had finally reached a point where the people
would be respected as the most important resource in development
projects, but this program forgot about the people again. They use
people for cheap labor, just like machines. But, even a machine has

143
many parts that must work together before it will run properly.
People are not just a nut or bolt, they are the energy that fuels
the program. But, this program used money as the fuel.
Unfortunately, when the gas ran out...so did the people.

If development is a race as illustrated by such frequently used
terms by the DENR as "urgency", "accelerated", and "immediacy" and an
issue of who wins, then who determines the strategy, the participants,
and the rewards in the race? Can sustainable development be
accomplished at "breakneck speed"?. If not, is the time sacrificed in
the race to increase the potential of assuring sustainable development
worth the consequences? Most importantly, it may not be who runs in

the race but whose rules they play by? Can organizations that

play by the same rules that have failed to produce the desired
results in the past expect new outcomes with the same rules? It

may be worth the time of the major players in development to

examine what works and, then change the rules accordingly.

Whose Solution?

Traditional approaches to development, influenced by economists
and engineers, have tended to rely on capital intensive, budget driven,
large scale, technically oriented blue print solutions. Have these
solutions changed with the passing of time or are development banks and
central governments still dependent on these same types of strategies

to solve development problems?

Blge Print Plene
As a contractual agreement, this program required comprehensive,
technically oriented planning documents. Contract bids had to meet

guidelines, specifications, and requirements that were stipulated by

144
the DENR. Article III -Types of Reforestation Contracts, Procedures
and Mode of Implementation, Section 9-A, in the Policies, Memoranda and
Other Issuances on the National Forestation Program Manual -Volume I
states that the Contract Award procedure would be done in the following
manner:

Family Approach and Community Contracts may be awarded
through negotiated bidding procedures, subject however to the
rules, regulations and financial ceilings pertinent to negotiated
contracts that have been, or may subsequently be prescribed by the
duly authorized government offices/agencies (p. 18).

To bid, NGOs could select from reforestation sites identified by
the DENR. After the organization determined the area they wanted to
bid on, the NGO had to submit documents outlining in detail the
proposed implementation and maintenance plans of the program. These
documents, listed in the Instruction to Bidders’ Section, page 52 of
the Policies, Memoranda, and Other Issuances on the National
Forestation Program Manual, included:

a. A proposal Bid form completed in accordance with Clause 12 and

9

Clause 12. Bid Form: The Bidder shall complete an original and
five copies of the Proposed Bid Form including the work
program, organizational chart and network diagram.

Clause 13. Bid Price: The Bidder shall complete the appropriate
Price Schedule included in the Proposal Bid form, stating the
unit price, total costs per item and the total bid amount of
the works to be undertaken under the Contract.

b. Work program including an organizational chart, a network
diagram of major activities indicating those on the critical
path.

c. A letter from the Bidder stating that all Bidding Documents
including Instruction to Bidders, General Conditions, Project
Description, Specifications and any other addenda relating to
the Works, have been "Read and Accepted as Good for Agreement".
The letter form enclosed in the Bid Proposal Forms shall be
accomplished and signed by the Bidder as part of his Bid
Proposal.

145

d. Bid Security furnished in accordance with Clause 15; and,

e. Any such other documents as the Bidder is required by the

specifications to submit with the proposal.

A development plan, referred to in item (ix), was defined, in the
same manual as:

A plan which describes a site programed for Contract Reforestation

development; such plan to include targets, quantities and quality

of work to be performed, schedules and cost estimates (p. 14).

In addition to submitting these documents, bidders were also
required to visit the site as stipulated in Part C -Preparation of
Bids, of the Polices Manual:

Before the preparation of bid proposals, the Bidders must visit

the proposed site for necessary investigations of their nature,

and make themselves acquainted with the circumstances thereat on
their responsibilities for the purpose of making a bid and
entering into a contract, Project specifications, and the General

Conditions of the Contract (p. 55).

The awarding of the contract was done completely by the DENR,
according to the following procedure outline on page 60 of the
Policies, Memoranda, and Other Issuances on the National Forestation
Program - Volume I:

28.1 The DENR will determine to its satisfaction whether the
Bidder selected as having submitted the lowest-evaluated,
responsive Bid is qualified to satisfactorily perform the
Contracts.

30.1 The DENR will notify the successful Bidder in writing by
registered letter, or by telegram to be confirmed in writing
by registered letter that its Bid has been accepted and on
which basis the Bid has been accepted.

To assist in the technical procedure of preparing documents such

as project specification and the development plan, the DENR provided a

format to be followed for submitting bids.

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Tailored glee;

This prescribed bidding procedure required NGOs to submit
blueprint plans that adhered to the regulations set forth by the DENR.
However, some of the NGOs, while not deviating from the terms of the
contract and project specifications, were able to implement this
program on the local level so that it fits the cultural, socio-economic
and environmental needs of the community. Two of the NGOs in this
study were able to tailor programs to fit the community needs prior to
implementation on the local level. One NGO modified the plan after the
program was implemented so that it was adjusted to fit the needs of the
intended beneficiaries. Of the four NGOs in this study, one worked
directly with the intended beneficiaries to develop the contract work
plan.

Chapter II, Section 39 of the Policies, Memoranda and Other
Issuances on the National Forestation Program, Volume 1, states:

The prospective participants shall be encouraged to
participate actively in the preparation of the development plan.
Technical personnel from the PENRO and CENRO concerned shall be
made available to assist specifically on the technical aspects of
the detailed design. It should be indicated in the plan that the
project shall be developed through cooperative efforts of all the

participants or by any arrangement cognizant of the existing
customs and traditions of the communities, groups or associations

(p. 30).
NGOs #1 and #2 submitted their bids to the DENR without any in—

depth consultation with the majority of the intended beneficiaries
according to the NGO staff and community members at each site.

At the introduction of this program on the grassroots level, NGO
#3 invited community residents who were members of the NGO to attend a
meeting to present the program and determine how it would be

implemented on the local level. Residents were given an overview of

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the program and the terms of the contract. Members then discussed the
program and decided the methods they would utilize to implement the
program in their community by determining the land to be reforested,
the species, the payment scale, and schedules. This information was
then incorporated into the workplan that was submitted to the DENR by
the NGO.

The administrators and technical staff at NGO #4 submitted their
bid to the DENR without consulting with the community members. Because
the NGO had been working in this community for almost 30 years, one NGO
staff member clarified, the organization was familiar with the needs of
the people, the community members, and their tribal customs.

Therefore, they did not find it necessary to involve the people at the
initial contracting stage. He elaborated:

If the NGO introduces programs in communities before we are ready

to implement them, then people start lining up at the door of the

administration office wanting to participate before we are
prepared to introduce the program on the community level.

Externally Imposed Development Programs

In situations where the NGO had no prior affiliation with the
community such as NGO #1 and N60 #2, the first time many community
residents met the contractors was during a community informational
meeting held jointly by the NGO and the DENR to explain some of the
intended beneficiaries. This meeting, required by the DENR as outlined
in Section 38, Volume I of the Policies, Memoranda and Other Issuances
on the National Forestation Program, was held to provide information on

the program:

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Prior to the implementation of the project, the PENRO or CENRO
shall conduct a seminar for the community participants, explaining
all aspects of the project and the procedures to be applied.

According to the President of the NGO #1, two assemblies in the
community were held by the DENR, the NGO, and the local government
officials to explain the program prior to its implementation. Community
members in attendance were informed of the environmental benefits of
the trees to the community members, the terms of the contract, and the
long term goals of the program. One community member, who attended the
meeting, stated that,

We (the community residents) were called to the meeting only to

say yes to the program. But that was not necessary since it was

apparent a decision to proceed with the program had already been
made by the officials.

Another community member who worked on the project explained the
meeting was not structured to solicit input from the community members,
"instead they came to tell us what we would be expected to do with our
land." He acknowledged that the community members did ask many
questions, particularly regarding land tenure rights, but they were
reluctant to challenge these government officials. Three community
members during an informal interview stated that although the community
members did raise questions about the program and land tenure rights,
eventually the residents in attendance at the meeting agreed to accept
the program primarily because they were afraid not to participate in
"the government’s program". One resident said, "It was like opening
our mouths and feeding us and we just took it because we were too
afraid of the government and losing our land." '

During the informational assembly held at NGO community site #2 by

representatives from NGO #2 and the DENR, the local residents reported

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that they were basically informed about the plans to reforest the
community. Five of the local residents stated that the majority of the
community residents felt they were only involved in the meeting to get
their approval to proceed with the program.

During the meeting, the primary concern raised by the community
members, according to the one of the NGO staff members, was the amount
of wages that were to be paid to the laborers. This community had been
a recipient of several DENR reforestation projects in which local
community members had been hired as laborers and they knew the
department’s wage rate. The NGO had planned to pay the laborers a
lower wage than the DENR typically paid. But community members,
unwilling to accept the "inadequate wages," negotiated a higher rate
with the NGO.

At NGO community sites #2 and #3, some residents did not attend
the meeting. No systematic attempt was made by the NGO to inform these
community members not in attendance at the meeting about the program
even though their lands may have been included in the program’s
reforestation plan. If community members did not attend the program’s
informational assemblies, they remained unaware of the reforestation
program until they were told by friends or neighbors. In some
situations, the residents did not know about the program until they
were hired as laborers to plant trees in their community.

One resident at NGO #1 shared how he was personally affronted when
no attempt was made by the NGO or local community officials who served
as program supervisors to tell him about the reforestation plans prior
to the planting of trees on his land. According to him:

I was not at home when the laborers arrived at my farm to plant
trees but my wife was there and asked the workers to stop until I

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returned. The workers totally ignored her and continued to plant

the trees despite her request to stop. I was so mad when I came

home and found out that I went outside and uprooted some of the
trees.

Some of the residents at NGO #2, who did not attend the meeting,
only found out about this program when they were offered opportunities
to work in this program. As some community members explained, they
heard about this program when word quickly spread throughout the
community about this program as a wage labor opportunity, not as a
participatory reforestation program.

In some areas of the community site #2, land claimants were
temporarily not residing on the land at the time the reforestation
program began. Thus, according to NGO staff members, the decision was
made to reforest these lands since no one was available to seek
approval to plant and the organization felt pressured to meet the
contractual land area requirements. When the land claimants returned,

not understanding the reason their land had been planted with trees,

they burned the land to prepare it for planting.

Loeally Baeed Development Programs
One factor that influenced the ability of NGOs in this study to

design community specific programs was the length of time the NGO had
been established in the community. Aware of this advantage, the DENR
criteria for five of the six types of contractors required that they
had to be locally based; the only exception was NGOs.

In this study, NGOs that were locally based in communities had the
advantage of being familiar with the people, their lifestyle, program
approach preferences, and community needs. These organizations were

also able to utilize knowledge they had gained from previous

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experiences with development projects implemented in the community to
tailor fit the program.

NGO #3, established in the community for eight years, identified
the timberland residents in the area that the organization perceived to
be the program’s intended beneficiaries. These individuals were
offered small family type contracts to reforest a portion of the land
they were currently residing on or tilling.

NGO #4 designed a plan to implement "community forest" buying the
"rights to till" small parcels of land from local residents. (The
organization could not buy the land because it is government protected
as ancestral domain.) Many of the indigenous community members never
filed claims for this land as required by the country’s previous
colonizers and more recently by the Philippine government. Therefore
in the "eyes of the law", many of the residents whose families have
lived on these lands for generations are not the legal owners and do
not have the rights afforded legal landowners to dispose of their
property. As an alternative, the NGO brought the "rights to till" from
the land claimants and held the rights in trust until the organization
withdraws from the community. At that time, the plan is to release the
rights to the tribal communities.

Noteworthy about the "right to till" concept is that the NGO used
the Contract Reforestation funds from the DENR to buy the rights. As
one NGO administrator explained,

We did not spend the money to build expensive infrastructures.

Instead, we used the money to buy the rights to assure the

residents would have land designated specifically for communal
forests.

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Land identified for reforestation had to meet two criteria. It
had to be non-arable and not used for agricultural purposes. Farmers,
in conjunction with the NGO, determined the land area to be used and
the number of hectares per participant. The land area usually ranged
from one to three hectares. The rights were purchased from several
farmers in each community so that the forests are established in small
areas scattered throughout the community.

This NGO had the advantage of participating in previous
reforestation projects. As one staff member explained:

We learned from former projects the most appropriate procedures to

use. For example, during one Bureau of Forestry Development

project, they (the department’s staff members) went directly to
the land of the people and began replanting. The residents were
never informed about the plans to reforest or the reasons for
replanting. The government agency hired lowlanders (non-tribal
group members), not the community members, to do the planting.

The community residents, fearful of losing their land to the

government and suspicious of their motives, uprooted or burned the

newly planted seedlings.

A few years ago USAID initiated a contract reforestation
project. It was at that time we learned and developed many of the
strategies we used in the government’s Contract Reforestation
Program. We used most of these strategies again for this program
because they were successful in sustaining the forests.

This NGO also integrated a strong tribal cultural component in the
program. For example, one tree that has traditionally been considered
sacred to one of the many tribal groups in this area was one of the
types of species planted instead of using the more traditional and
common species recommended by the DENR. Tribal groups respected the
tree and would not damage it. Another example of using indigenous
species, as explained by the staff member, was planting trees that
communities were named after.

Some communities are named after trees but most of the residents

have never seen the tree since it no longer exists in the
community. We promoted planting this specie in these communities.

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The people have tended to protect this tree, feeling an affinity

to them since their community is named after the tree species.

Also at NGO #4, some natural forests still exist and the NGO is
trying to duplicate these forests by using barelings collected from the
natural forest. The barelings have been mixed with non-indigeous
species that are nurse trees and/or a hardier tree species.
‘Unique within the setting is the establishment of two forests per
community, a "no-touch forest" and a "commercial forest". As one NGO
administrator explained:

The no-touch forest is designed to replace the original forest and

regulate environmental conditions in certain areas; regenerate

flora and fauna; and encourage the return of indigenous animals.

The commercial forest is used for production purposes. The

products from this forest will be used to supply materials for

income-generating projects, lumber for sale, housing materials,

and intercropping for commercial sales.

The two forest approach enabled the residents to meet their

environmental and economical needs.

Lgpg Term Development Bleep

NGOs #3 and #4 decided to participate in the CRP because
reforestation had been identified as a priority in each of these
communities’ long term development plans. Both of these NGOs had
worked with community residents to design long term, holistic community
development plans based on the needs of participants and the

environmental conditions of the land. As one staff member explained at

NGO #4:

When the NGO is aware of a government program, or any program,
that matches community identified needs, then the organization
decides to participate. The criteria for participation is simple:
do we need it?; is it compatible?; and will it be sustainable? Of
course, another concern is to assure the tribal traditions can be
integrated into the program and it has cultural value to the

community.

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Large Scale Develooment Projects

 

In contrast, NGO #1 and NGO #2 had not been established
in the communities prior to the awarding of the contract and had
limited familiarity with the people. These organizations tended to use
approaches that would result in the development of large tree
plantations in the community.

NGO #1’s reforestation area, as detailed in their land survey map,
included areas that people were currently residing in and using for
planting and pasturing purposes. Residential and agricultural areas
were not designated on the map. All of the IOO-hectare land area had
been targeted for reforestation by the NGO, inconsequential to its
current use or the residents’ preferences on the use of the land
according to their own needs. The reforestation areas had been
sectioned into ten-hectare blocks. Each block was to be replanted
entirely with trees.

As the president of NGO #1 explained, "it was my contractual
obligation to reforest the 100 hectares. These were the terms of the
contract". He elaborated further stating, "the contract was binding
and non-negotiable".

For NGO #2, the land area map indicated specific areas reserved
for the tree plantation scheme for planting and pasturing designated by
the local community residents. According to one of the administrators
at NGO #2, before the NGO began to plant a new area the community
residents were given options to specify areas for their personal
agricultural use. These identified areas of land were not reforested
by NGO #2. To compensate for the loss of hectares due to reserved

areas, NGO #2 expanded the contract into other areas surrounding the

155
original contracted land area. This plan was conceived, stated on NGO
staff member, after the organization had problems with intentional
uprootings and burnings of tree seedling by residents who did not want
their land reforested primarily because they needed it for planting or
pasturing.

The NGO #2 staff members also have been flexible in respecting the
workers requests even though they required deviating from the DENR’s
guidelines. As the president of NGO #2 explained:

At the initiation of this program, contour planting was required.

After the first year, the DENR changed to due north planting.

This approach is inappropriate for most of the areas of this

province. The workers find it extremely difficult to work the

land this way and requested to continue with the contour planting.

We gave them the approval to do the planting as the workers

requested. Our primary concern was to get the planting completed

in the most expedient manner.

The NGO president also explained that the organization did not
deviate too far from the contract because when the DENR monitoring and
evaluation teams arrived on-site, they used the original contract to
assess the program. Thus, he stated, the NGO Would be penalized by the
Department, if the NGO "deviated to a great degree from the original
plans".

According to Volume I of the Policies, Memoranda, and Other
Issuances on the National Reforestation Program, Conformity to
contracts is stipulated as follows:

All works shall conform to Contract Documents. No change

therefrom shall be made without the Contractor having first

received a written permission from the Employer (DENR) to make

such a change (p. 79).

Fearful of sanctions by the DENR, some NGO administrators in this

province stated they felt bound to following the blue print contract

plans they had originally submitted to the DENR even through it may

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have been inappropriate after the organization had been working with
the community for a period of time.

In the same section of the manual regarding the conformity to
contract detailed above, the immediately preceding item is a statement
about the "Intent of the Contract":

The intent of the Specifications is to prescribe a complete
work which the Contractor undertakes to do in full compliance with
the Contract Documents. The Contractor shall perform all items of
work covered as stipulated in the Proposal and on the
specification and do such special, additional, extra and
incidental work as maybe considered necessary.

Therefore, it may be the "special, additional, extra and
incidental work" of adapting the program in communities to location and
peoples’ specific needs that holds the key to the success of this
program, not necessarily the blueprint specifications.

As one NGO staff member shared with the researcher, "the DENR is

trying to create man-made forest but somewhere in the process they

forgot about the man, and only remembered the forest".

Technically Oriented Development Programs

The focus on the forest, instead of "the man", as perceived by
this individual and numerous other participants was based on the DENR’s
technically oriented thrust and emphasis on numerical production goals.
As stated in the DENR’s pamphlet "A Primer on the National Forestation
Program", the goal of the National Forestation Program is "to
rehabilitate some 1.4 million hectares of denuded forest up to the year
2000. This means an annual reforestation goal of 100,000 to 150,000
hectares."

Other NGO administrators explained that when the DENR monitoring

and evaluation teams came to contract community sites, the teams

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surveyed the land, identified a sample, and counted the trees to get an
estimate for the total land area. The teams would seldom inquire about
other aspects of the program (e.g. social development). As one
research participant stated, "we were not motivated to do social prep
and community organization because the DENR did not recognize it as a
part of the contract, nor was the organization evaluated or rewarded

for it by monitoring and evaluation teams".

Technieel Oriented Trainings
According to the guidelines, the trainings for this program were
designed "to equip" the participants with the "technical know how". In
Volume I of the Policies, Memoranda and Other Issuances on the National
Forestation Program, Section 38:
Prior to the implementation of the project, the PENRO or CENRO
shall conduct a seminar for the community participants, explaining
all aspects of the project and procedures to be applied. All
participants shall be required to attend the seminar, and
subsequent training conducted on-site by the PENRO or CENRO, in
order to equip them with the necessary technical know-how in

raising seedlings, site preparation, planting techniques,
maintenance, protection of plantations and related activities

(p. 31).

Two of the four NGOs in this study received technical trainings
from the DENR. The other two NGOs never received training from the
DENR.

The president of NGO #1 stated that the DENR had provided
technical training to the community members. All of the trainings
focused on the technical aspects such as planting the seeds, digging
the holes, and transfer of the seedlings.

A local government unit member at NGO #1 explained that all

trainings in this community for the reforestation program were

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conducted by DENR field representatives. He clarified by further
saying:

Every Monday for three months, a DENR employee would meet with the

workers to explain technical tasks such as digging the holes for

seeds, use of fertilizers, and other tasks.
Through these trainings, the community member explained:

We were able to acquire new skills on how to plant trees. Other

traditional methods that we were already familiar with such as

direct planting of trees into the ground were also discussed
during these training sessions.

NGO #3 held three formal technical training sessions related to
the contract reforestation program. Each training was conducted by the
NGO for the program participants as well as any member of the community
who wanted to attend. A DENR technician attended one of the three
local seminars. All of the trainings focused on planting techniques,
as required by the DENR. One NGO staff member stated that the
organization had not involved the DENR in the other two trainings
because it took the department too long to respond to their request.

As he explained, "if the NGO requested the DENR to do a training, the
organization would have to wait until someone from the office was
available. This may be weeks or a month after the training was
requested or needed."

DENR forestry field staff explained they were required to provide
the technical assistance for this program and social orientation. The
field staff members assigned to this program were responsible for
integrating a social orientation component in the trainings as well as

the technical information, stated one DENR staff member. We would

discuss "the importance of trees to the environment, the need to

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protect trees, and the methods of preventing and containing forest

fires".

Speiel Orientetion Trainings egg memunitv Orqenization

All of the NGOs in this study stated they provided a social
preparation component either in large group settings or one—to-one
dialogues for this program.

The president of NGO #1 explained that social preparation for this
program was given during the initial community assembly that was
sponsored jointly by the DENR, the NGO, and local government unit
councilors. The DENR spokesperson stressed the responsibility of the
people to protect the trees so that the ecological balance could be
restored and the people could gain the environmental and economic
benefits. He further elaborated that he regularly reminded workers of
the need to protect the trees and not burn them. He had hired a
firefighting team and built a watch tower so that the community
residents could assist in monitoring the area for fires.

One worker stated the NGO #1 had not provided any trainings. "The
NGO only gives instructions on specific tasks such as the distance
between plants, the depth to plant, or how to strip weed".

Another worker at this site stated that the NGO never provided any
social trainings. "They only told us what to do, where to do it, and
how to do it."

A third interviewee explained he only gained technical skills from
the trainings he attended.

According to NGO president #2, the NGO was behind seasonal

planting schedule due to the transfer of the contract to a new

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community. The NGO entered the new contract site behind seasonal
planting schedules and the NGO staff members did not have time to
organize the community. Instead, the NGO immediately began
implementing the program by hiring local workers to set up the
nurseries and plant the seedlings transferred from the original NGO
contract site. The workers were basically instructed how and where to
plant by technical representatives from the NGO. This pattern of
technical instruction has continued throughout the program, according
to the one of the NGO staff members, because the organization has been
pressured to meet contractual requirements.

The NGO president stated that social preparation is budgeted for
this program but is not a separate line item. Currently, the NGO staff
members have been doing social preparation when they visit the work
sites and talk with the community residents. Community residents are
reminded of the need to protect the trees and to limit the practice of
"slash and burn" farming or other practices that start fires in the
community. To reinforce this message in the community, the on-site
staff members have been doing house-to-hoUse information campaigns on
forest protection.

Despite their efforts, the community still has been experiencing
fires in the community. At a recent staff meeting with the sub-
contractors, it was decided that in an attempt to diminish the fires a
number of sanctions would be implemented. First, the NGO would try to
find out from the community members who was responsible for setting the
fires. The NGO would talk to the individual(s) and explain to them the
consequences of their behavior. Second, the individual would be

physically and/or financially responsible for replanting the area. As

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a last alternative, if the burnings did not stop, then the individuals
would be reported to the CENRO office, who had the legal authority to
penalize the individual financially or by incarceration.

NGO #3 integrated social preparation into their technical
trainings, information was provided on how to protect the trees from
fires and the advantages of maintaining the trees for the individual
contractors as well as the community. This NGO has regular meetings
within the community and information is provided at every meeting about
the need to maintain the forest. They also utilize sanctions to
penalize community members who are responsible for the destruction of
the forest. Perpetrators are either fined or they have to replace the
trees destroyed using their own money and labor. Only one accidental
fire has been set in this community since its initial implementation.

NGO #4, a participant in numerous reforestation projects funded by
external agencies in the past, had an established history of working
with the community residents to educate them about the importance of
protecting the forests. This NGO provides social orientation through
formal and nonformal education efforts at the elementary, secondary,
and adult level. Integrated into the curriculum of local schools are
lessons about trees and the responsibility of the community residents
to become protectors of the forest. At community meetings, the
benefits of the program and the trees are frequently discussed.

In this study, NGOs that had the advantage of established local
organizations tended to have better success in integrating an in-depth
social component. They utilized these organizations to communicate

information about the program, educate the people about environmental

162

concerns, establish local structures to protect the forest, and

maintain a regular dialogue with the people.

Integrated Sgeiel egg Technicel Development Programs

The highest success rate among the four NGOs in this study was by
the organization that used people-centered and sustainable development
processes. As one research participant explained, "If you use the
right process, you get the right product. It’s that simple."

The "concept" of the Contract Reforestation Program, as outlined
by the DENR, is described as the following:

The program is expected to promote forest conservation, instill

public awareness in the values of forest resources, and foster the

growth of dynamic private sector participation in the
reforestation industry.

Embedded in this statement are the social development concepts of
conservation, awareness, and participation. To achieve these
objectives, programs need to be people-centered, beginning with a
social development component. If a strong social orientation not
provided at the beginning of local programs, then community members
often fail to see the rationale, purpose, or long term social goals of
the program. In this study, community residents that did not receive a
social orientation coupled with an integrated social development plan
tended not to understand the goals and objectives of CRP and perceived
it as a short-term wage labor opportunity.

When one worker at community site #1 was asked the purpose of the
program she said that "maybe it would bring back the trees and the

water." Asked why she said "maybe", she explained, "I do not want to

give an answer that I am not sure is actually going to happen".

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One program supervisor at NGO #4 stated he thought some of the
community residents understood the long term goals of the program;
while other community residents only participated in the program
because of the wages offered by the NGO.

One community worker at NGO #1 viewed the benefits of this program
as a means of livelihood. She explained that she had been pleased to
be a participant in this program because the wages she earned allowed
her to buy the necessities her family needed. This was the only
benefit she was able to identify from the program during the interview.

A worker at NGO #2 stated that he did not know the purpose of the
program. He thought only the subcontractors knew the purpose since
they are the individuals responsible for handling the workers and
supervising the work.

Another community member at NGO #2’s site did not have any idea of
the goals of the program. He viewed the NGO and the program only as a
means of earning wages. During the interview this contract laborer,
asked the researcher to explain the goals of the program and the
purpose of the NGO. He did not know about the Reforestation Contract
or the role of the community members, aside from wage laborers, in the
program.

Another community member at NGO site #2 stated that he felt this
program was providing benefits to the community because of the wages
the residents were able to earn. With this money, the workers were
able to purchase their basic necessities.

A staff member at NGO #2 was asked if the community residents
understood the purpose of the reforestation program, he stated:

Community members have been given explanations about the program
but they must not care about the results because they keep

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burning, or tolerating the burning of the forest. These people

are basically participating in this program just to receive the

wages it provides.

Each community member interviewed at NGO #3 was able to state the
environmental and economical advantages of this program to the
community. According to one participant, "The advantages of this
program for me is a means of earning an income from the trees. For the
community, it the establishment of a forest." Another community member
explained, "our land could not tolerate many more years of farming.
This program provides and opportunity to increase the productivity of
the land, which eventually means more income for me. It also provides
trees within the community so that the environmental problems can be
corrected."

NGO #4, using the concept of establishing a community forest,
purchased the "rights to till" from land claimants. This land was then
given to the people to reforest, maintain, and sustain. Using this
approach, it provided a sense of community ownership of the forest and
established the residents as the protectors of the forest. The people
understood that if they lost the forest due to abuse they would lose
one of the community’s most important natural resources.

NGO #4 set up structures within the community to promote the
participation on the residents in the reforestation effort. School
children planted seeds for the program and some community members
looked for wildings in the forest for the program. Monthly Community
Action Nays (CADs), a weekend day designed once a month for community
members to collaboratively participate in community based development

or improvement efforts, were used to plant and maintain the forest.

Educational programs included lessons on the importance of forest and

165
how to maintain the trees. Also, according to a NGO #4 staff member,
after a period of time spontaneous efforts among the community
residents began to protect the forest. Residents also would report any
intentional or unintentional abuses of the forest by community members
to the tribal leaders or NGO staff members.

One tribal leader explained, "it was not difficult to maintain the
forest because we have seen what happens to our land when the trees are
destroyed". One of the tribal staff members in the community further
explained:

The tribal members to not view this land as theirs, we are only

temporary residents. Before we use the land, we ask for

permission, and leave a small gift, for the spirit who actually
owns and protects the land. Then, we use the land temporarily, as
our ancestors did, and protect it for our children to use.

In the community sites of NGO #3 and #4 where the people had a
strong social orientation and were given the responsibility to manage
and maintain the program, as well as a strong social orientation,
community residents tended to take more ownership of the project and
sought to protect the trees to a higher degree than those sites which
primarily used workers as wage laborers.

But wage laborers may have been the type of workers the DENR had
preferred to have implement this program rather than enlightened
communities and provide them with a sense of ownership for the land and
. the trees. In a 1991 DENR report "Facts and Figures on the National
Forestation Program", the introduction to the document begins with a
description of the state of the forest in the Philippines, and then

cites three major problems and the "answers" identified by the DENR.

This information is condensed in a box as follows:

+ ------------------------------------------------------------------ +
| THE STATE OF THE FOREST ISSUE ANSWERS |

Poverty Pay forest dwellers
| to plant trees

-8 million upland dwellers
resort to kaingin farming
for farming

Enforcement Involve forest
occupants as key

I

I

l

I

| — Rate of deforestation is
| 119,000 hectares/year
I

I

I

I

|

I

I

 

 

|
|
|
|
|
|
I
| stewardship
I
I
I
I
I
+

men in forest
-Reforestation rate is not Slow Step up reforestation
commensurate to deforestation reforestationl by enjoining private
rate sector in tree
planting
+ ------------------------------------------- + --------------------- +

By paying the timberland dwellers to plant trees, explained on
DENR staff member, the government was hopeful that the wages would
provide a source of income so that community members would not rely on
the forests for their livelihood and continue to deplete its natural
resources. Ironically, explained a NGO staff member, the wages
provided a supplement to the community residents’ income, instead of
becoming a substitute for their income. The wages never deterred the

use of forest land or its products.

Who Benefits?

Casting a wide net to include diverse sectors of the population
for the Contract Reforestation Program, the DENR opened the
participation to "the people" so that the responsibilities and the
benefits of reforestation efforts could be shared. However, did the
benefits meet the needs of the people or the organizations? And, who

actually reaped the largest share of the benefits?

167
Organizational Benefits
One measurement of accomplishment for organizations is to
determine if the organizational’s objectives were met through programs
and services. In this study, three primary organizations were

involved: the Asian Development Bank, the DENR, and NGOs.

Asian Development Bank

The four principle objectives of the ADB, as cited in their
literature (1990) are:

- Making loans and equity investments for the economic and social
advancement of its DMCs (developing member countries).

- Providing technical assistance to prepare and execute development
projects, programs, and advisory services;

- Promoting investment of public and private capital for development;
and,

- Responding to requests for assistance by DMCs in coordination with

development plans and policies.

The first objective was accomplished by providing a

120 million dollar loan to the Philippines government to finance the
Department of Environment and Natural Resources’ National Forestry Plan
of which the Contract Reforestation Program was one component. (This
program was also funded by the Overseas Economic Cooperation Fund of
Japan with an additional loan of US $120 million) The second objective
of the bank, technical assistance, was accomplished by bank personnel
who worked directly with the DENR to design and develop the Contract
Reforestation Program. The Bank also provided a technical assistance
grant of USS 1.93 million (DENR, 1990). The third objective, promoting
the investment of capital for development, was accomplished by granting

the loan to fund the National Forestation Plan. The last objective,

168

responding to request for assistance by developing member countries in
coordination of development plans and policies, was addressed when
administrative officials from A80 and the DENR worked collaboratively
to design the Contract Reforestation Program.

Funding was summarized for the first three years of this program
in the DENR report "Facts and Figures on the National Forestation
Program" (June, 1991) as follows:

ADB loan that provided assistance on a significantly expanded

scale. Negotiations that were started and completed in record

time of about six months resulted in a USS 120 million Forestry

Sector Program Loan released in two equal trances of US$60 million

each. The first tranche was released September 1988 and the

second tranche was released in September 1990. The loan will
support implementation up to 1992 of the following targets:

a) 160,000 hectares of reforestation by DENR, primarily through
private sector contractors.

b) 65,000 hectares of reforestation by DENR administration.

c) 115,000 hectares of reforestation by Other Government Agencies
and Local Government Units.

d) 80,000 hectares of Timber Stand Improvement on residual forest.

e) 180,000 hectares of agro-forestry through Integrated Social
Forestry Program

f) 50,000 hectares of watershed rehabilitation.

Therefore, the A80 had fulfilled their organizational objectives.
When organizations fulfill their objectives, there are numerous
benefits. Most commonly, organizations remain viable; this enables
them to maintain staff, provide salaries and benefits to their
employees, and potentially expand. When staff members fulfill the
responsibilities of their positions, they are able to maintain their
employment, receive salaries and benefits, increase their promotion

potential, and receive other organizational rewards. The benefits for

169

an ADB employee may be substantial.

The ADB’s business is to make loans. When a loan is made, as
with any bank, capital is earned through the transaction of the loan
and the interest. The loan for the National Forestry Plan "carries a
3% interest rate with a grace period of 10 years, with the principle
payable in 18 years" (DENR, 1990). Most ADB loans also carry a 1%
service charge per annum (ADB, 1991).

Another benefit when organizations are successful they are able to
remain stable as well as exercise the option to expand. According the
ADB literature (1991):

The Bank’s operations have grown quickly since 1966. In its
first year of lending activities in 1968, the Bank made seven
loans totalling $41.6 million, all from ordinary capital resources
(ORC). Twenty-four years later, in 1990, annual lending
commitments had grown to 63 loans worth $3.97 billion, of which
$2.49 billion was for OCR and $1.48 billion from the Asian
Development Fund.

Since the beginning through 1990, the Bank has committed a
total of more than $32 billion for 1,040 loans for 962 projects in
29 DMCs.

For an ADB employee, the personal benefits included: "an
attractive salary denominated and paid in U.S. Dollars" that is exempt
from Philippines and home country taxes, international transportation,
settlement allowance, installation allowance, salary advances, rental
subsidy, education travel grants, education placement grants, allowance
for dependents, medical and dental insurance, life insurance, pension
benefits, disability benefits, death benefits, annual leave, home leave
and travel allowance, casual and sick leave, severance pay, termination
payment, resettlement allowances, and promotions and raises in

conjunction with performance (A80, 1991).

Thus, the benefits for the Bank and its employees provide ample

170
motivation for the movement of large amounts of money by its employees,

the primary objective of the organization.

Department _£ Environment egg Natural Resources
The mission of the DENR is:

To conserve, manage, develop, and promote the judicious use
of the country’s natural resources and to ensure the
equitable sharing of the benefits to be derived therefrom as
well as to protect the environment and develop an effective
environmental management system for the welfare of the
present and future generations of the Filipinos.

The DENR, charged with the responsibility of protecting the
remaining forest as well as reforesting denuded areas, integrated the
concepts of their mission into the Contract Reforestation Program in an
attempt to fulfill their organizational responsibilities. According to
the DENR’s paper, "Facts and Figures on the National Forestation
Program during the initial stages the DENR had been able to build the
foundations for the second stage of this program, the FLMA. It also
states that the 5-year target of 160,000 hectares had been accomplished
by contracting 205,275 hectares; a 128.3% of the target percentage
(p.11).

With a success rate above the anticipated target, these figures
portray an organization that has performed its public service
obligations well. This quantified data served many purposes. For
example, as one research participant explained:

When the public is outraged about the environmental conditions of

this country and wants to know what the DENR is doing about it,

they present these figures. The people are temporarily passified
and the DENR’s public relations are increased.

Also, at a conference the researcher attended where the Secretary

of the DENR was the main speaker when a question was raised about the

171
status of the progress of the National Forest Program he replied: "The
Department must be doing a good job because we just received the second
loan from the ADB." Thus, the message conveyed was that the success of
the program was based on the ability to acquire loans, not the
empowerment of the people.

Based on these two examples, the DENR used the Contract
Reforestation Program to reap the benefits of producing data that would
demonstrated actions by the DENR. This program was often featured in
the Department’s literature and the provincial and national newspapers
as a positive environmental program highlighting the positive efforts
of the DENR.

Also, similar to the ADB, more loans result in job security for
government employees, related benefits, and the potential for

promotions.

Nongovernmental Organizations
Two of the NGOs in this study stated they had not received any

benefits. One of the NGOs stated they had made a profit from this
program. Another NGO administrator sarcastically stated he had
benefited by learning valuable lessons about working with the DENR,
which he would never do again.

Although the majority of NGO personnel that participated in this
study did not identify benefits to the organization; each organization
did acquire several benefits. Like their organizational counterparts,
the program’s funding provided monies to the NGOs for salaries,
overhead costs, and the acquisition and upgrading of equipment. Based

on observations and interviews by the researcher, some degree of

172
knowledge about forestry, agroforestry and social development were
gained by the NGO through either negative or positive experiences in
this program.

Another benefit to some of the NGOs was increasing their positive
image among community members. In some situations, due to the
ineffectiveness of the DENR such as the delay of payment, NGOs could
maintain their reputations as the protectors of the people against the

government.

AflfitMMNE-Q;

Another noteworthy benefit shared by the ADB, the DENR, and the
NGOs was the reinforcement of the perception of their organizational
value to the development of the country as a whole. First, ADB
demonstrated their need by designing a program that needed funding from
the Bank. This program was a win-win situation for the bank,
regardless of the outcome of the program. If the program succeeds,
then the DENR would still need more money to perpetuate it. However,
if the program failed, then the DENR would need additional funding to
initiate a new program. Second, because the DENR exceeded their
projected numerical targets, the perception was projected that the
organization was effectively working to achieve organizational goals.
The funding as well as the existence of the organization was justified.
Lastly, NGOs also had a win-win situation. If the NGO fairs well in
this program, then it will have demonstrated that it is an effective
development mechanism that could be trusted to implement further

contracts. If a NGO is not able to complete its goals within the three

,year time limit, then it could extend their contracts and continue to

173
receive funding. Even organizations that completed failed were not
required to cover the expenses lost. In fact, without a national
screening organization, NGOs could continue to function and enter into .
new partnerships with other government agencies regardless of their
previous performances.

Subsequently, most of the organizations that participated in this
program were able to expand their staffs. In several instances, this
resulted in the hiring of an individual or individuals who were loosely
affiliated with the organization or a member of the organization’s
staff. Consequently, this action either paid a social debt for the

organization or created new social debts in the organization’s favor.

Intended Beneficiaries

All of the intended beneficiaries in this program identified the
primary benefit of this program as the wages they received during the
participation. Wages at each site varied from 25 to 70 pesos a day
depending on the activity. Calculated at an exchange rate of 26
Philippine pesos to one United States dollar, this is the equivalent of
between one to less than three dollars per day. Intended beneficiaries
at NGO #1 and #2 also identified wages and technical trainings as the
benefits. At NGO #3 and #4, wages were identified as the first
benefits and the second most frequent benefit described was trees
and/or the establishment of the forest.

Ironically, from one perspective, it may have been the intended
beneficiaries at NGO #1 and #2 who received the most benefits from this
program by maintaining the status quo. Although one may be inclined

after reading this chapter to draw the conclusion that the upland

174
dwellers were victimized, these individuals may perceive themselves to
be the victors. At the time this program was implemented, no official
policy statement had been made about land tenure rights of the
participants. As the law exist today, if the land is not lawfully
titled, then it is the property of the government. Many upland
community residents demonstrated resistance to participating in this
program based on the fear they may lose their land to the government
once it was reforested, particularly if it was to be used as a
production forest. The agreement to participate in this program,
according to some community members, was based on the fear that they
would lose their land if they did not participate. Therefore, "feeling
forced into this program" some community members intentionally or
unintentionally demonstrated measures to assure it did not succeed so
that they would not have to cope with the insecurity and uncertainty of
losing their land. This action enabled them to maintain the status quo
and a higher possibility of retaining their land. In contrast to the
community residents who succeeded, not only have to worry about land
tenure but they will also now be taxed more for their improved land in
addition to having to share a portion of the revenues from the forests
with the government.

Land improvements, explained one NGO staff members, do not always
guarantee an increased income for the upland dwellers. Improvements
can bring better roads which bring more people. These "new" people may
want to use the land to farm or governments may want to develop the
land for business purposes. When this occurs, residents are often
forced off the land or flee to different land areas. Remaining

isolated and invisible may, from the perspective of some upland

175
dwellers, be the best means of survival.

Community members who were organized by NGOs tended to reap
different types of benefits from individuals who were not organized.
First, organized community groups had a better understanding of the
program goals and the benefits the community members could acquire by
maintaining and protecting the trees. Second, organized community
members were able to understand community development from a holistic
perspective, and the regeneration of the forest as part of a long term
plan. Third, organized community members worked in collaboration to
achieve their goals. Also, as one NGO administrator pointed out,
people gathered strength from numbers. If the government decided to
take back the land, then the people felt empowered to resist, where
before they may have simply fled. Lastly, the people had trees planted
in appropriate places that they could derive a sense of accomplishment,

pride, and economic security.

The "Peoole" _§ th Intended Beneficiaries

From another perspective, "the people" benefited from this
program. First, by organizations attempting to pool resources to make
effective changes, new inroads to dismantling established
institutionalized practices which have proved harmful to the people may
be starting to penetrate the system. Second, development may begin to
be viewed as a "we”, instead of an "us/them", potentially eliminating
the practice of victim blaming. Third, the issues raised during this
program may bring the problem instead of the symptoms to the surface
and ferce them to be addressed. Evidence has already been demonstrated

of an increased willingness for organizations and the government to

176
work more collaboratively in this program. For example, in a memo from
the ADB and the DENR, the "Minutes of the Meeting of the
Nongovernmental Organizations (NGOs) with the Appraisal Mission"

states:

The Appraisal Mission requested Secretary, Department of
Environment and Natural Resources (DENR) convene a meeting under
his chairmanship to discuss and resolve issues on various NGO
concerns. The meeting was held on 2 July 1991 in the Office of
the Secretary, DENR, and was attended by a large number of NGOs
including those in the implementation of the contract
reforestation program. There were 26 participants representing 17
NGOs. The Meeting discussed the following:

(i) Strengthening of collaboration and partnership between the
DENR and NGOs and clarification of the latter’s terms of
involvement and linkages in the implementation of the
Second Forestry Sector Program Loan in particular and in
sustainable forest management.in general;

(ii) Strengthening of the existing institutional set-up
particularly the NGO desk through the help of a task force
on DENR-NGO collaboration which will recommend measures to
effectively promote or further collaboration in overviewing
and implementation of forestry and other natural resources
conservation program; and

(iii) Soliciting support of NGOs in providing a better policy
environment for the implementation of the Master Plan for
Forestry Development, with the revision of the forestry
code, setting-up of a reforestation trust fund, recognition
of the rights and claims of the indigenous cultural
communities on public lands and the formulation of a
workable ban on commercial logging as part of the Second
Program.
Bringing this group together to share dialogue and discuss
problems is a step, "a small step...but a step", as one research
participant stated, toward creating change in traditional development

practices.

Summary of Chapter Findings
This chapter describes the data collected from ninety-eight formal

and informal interviews with individuals associated with the DENR’s

177

Contract Reforestation Program. Research participants represented a
diverse group of communities and organizations from different
geographical locations in the Philippines. The majority of the data
was collected on the community level at the site of four NGO contract
areas. This information was triangulated with program literature and
documents, and observations at reforestations sites and organizational
offices.

The findings were reported using a question format so that larger
issues related to development could be explored. The five questions
were: Whose problem?; Who participates?; Who controls?; Whose
solution?; and Who benefits?

Significant to this study was the range of answers to these
questions on the local level. The differences in local communities
were basically determined by the approaches and strategies used by
NGOs. The more the NGO utilized sustainable development concepts and
strategies to implement the program the higher the survival rate of the
trees and the reforestation program in local communities. Inversely,
the more conventional and technically oriented the concepts used by the
NGO, the lower rate of success of the trees and the community

reforestation program.

CHAPTER V
CONCLUSIONS

Purpose of the Study

The purpose of this study was to describe and explain the
processes, problems, and outcomes of four NGOs, functioning as
development intermediaries between the government and the intended
beneficiaries, in a national community based development program. By
contrasting and comparing the experiences of the four NGOs, it was the
intent of this study to gain indepth insights related to what enables
NGOs to successfully implement and maintain joint development programs
so that the program participants will eventually be able to sustain the
program independently or interdependently. Five main areas were
explored: (1) the types of NGOs that participated in this program; (2)
the roles and responsibilities performed by each type of NGO; (3) the
approaches that enhanced or hindered the participation of the intended
beneficiaries and the sustainability of the program; (4) the tensions
and barriers each NGO experienced during the implementation; and, (5)

the benefits and actual beneficiaries of the program.

Conclusions
Conclgsion #1: Type§ of Nongovernmentel Orgpnizations
The term nongovernmental organization is used to broadly define a

wide range of organizations with differing missions, goals and

179
objectives, and experiences. In this study, the DENR (1989) defined
NGOs as:

private, non—profit voluntary organizations that are committed to

the task of socio-economic development and established primarily

for service. Cooperatives and people’s organizations shall be
considered as NGOs for purposes of this definition.

Yet, the National Program Coordination Office of the DENR, which
is responsible for the planning and administration of the Contract
Reforestation Program, rejected the department’s definition and elected
to use a broader, more general definition of NGO so that program quotas
could be met. As a result, the Contract Reforestation Program
attracted a wide range of organizations defining themselves as NGOs.

In this study, five types of NGOs were identified and classified
as follows: (1) entrepreneur organizations, (2) technical
organizations, (3) homogeneous social development agencies,

(4) heterogeneous social development agencies, and (5) NGO umbrellas

and consortiums. Each of these organizations differ from one another,

particularly their range of skills, approaches, and strategies.

Entrepreneurial Orqepizations

 

NGO #1 was commonly referred to as a "CR0“ or a Contract
Reforestation Organization by some members of the development
community. This term was used frequently, and often in a pejorative
manner, to distinguish organizations that were established specifically
to participate in this program from other NGOs such as established
Social Development Agencies. Typically CROs are not locally based;
have minimal, if any, experience in the area of social development;

tend to be strictly profit motivated; and, they had minimal

180
accountability to the intended beneficiaries. Other such terms as
profit-oriented NGOs and entrepreneurial NGOs were given to
organizations such as NGO #1. The researcher prefers to classify NGO
#1 as an entrepreneurial organization.

Entrepreneurial organizations have consistently increased in
numbers during the past few years as more opportunities have been made
available for the private sector to participate in joint development
efforts. This increasing demand for NGOs has created a mushrooming of
organizations defining themselves as NGOs throughout the country. Many
of these newer organizations have neither the skills nor the knowledge
to perform the tasks expected of the organizations. Even more
questionable are their motives for participating in such programs. One
of the primary concerns among the well established NGO community about

this type of NGO is their potential to discredit NGOs as a whole.

Technical Organizations

NGO #2 represents a technically oriented nongovernmental
organization. This organization’s primary function is to provide
technical assistance. Technical organizations most appropriately fit
the needs for programs with a strong technical orientation. There are
also several financial and philosophical rewards for government or
donor agencies to enter into contracts with this type of organization.
From a financial perspective, technical NGOs have the capacity to
function as an extension of the contractor by providing the same
services the government would provide. Therefore, the contractor is
able to enter into short term contracts with technical NGOs instead of

expanding their own staff or decentralizing power to rural offices of

181
the organization. Philosophically, the contractor and the NGO may have
similar backgrounds, expertise, training, and orientations; their
perspectives do not tend to deviate a great degree from each other.
This type of organization often reinforces the contractor’s
organizational behaviors, beliefs, and practices, leaving the status
quo unquestioned.

In this study, NGO #2 did not distinguish itself from the
government and relied on this misrepresentation to increase compliance
from the intended beneficiaries. The major focus of this organization
was to achieve the numerical goals of the contract. Without
established roots in the community, minimal concern was exhibited by
this organization regarding the social development or the long term

outcomes of the community residents.

Social Development Agencies

NGO #3 and #4 are classified as Social Development Agencies.
These organizations had social development missions and demonstrated
characteristics of a developmental NGO such as those outlined by
Fowler. Upon closer examination, the two organizations also represent
different types of SDAs. The researcher has chosen to use the terms

homogeneous and heterogeneous to distinguish between NGO #3 and NGO #4.

Homogeneous Social Development Agencies

 

NGO #3 was a homogeneous organization with roots in the local
community. This organization was community based and all of the
members of the NGO’s local community organization, expect for one staff

member, were residents of the community. This NGO has been

182
instrumental in organizing local projects and organizing the people

toward achieving long term community development goals.

Heterogeneous Social Development Agencies

 

NGO #4 represents a heterogeneous organization in which members
with various ethnic backgrounds work in collaboration to achieve social
development goals of the special population groups served. This
organization is community based and provides opportunities through
various means, to promote sustainable development programs within the

communities in which they are established.

Nongovernmental Organizations Umbrellas egg Consortia

A fifth type of NGO also participated in the study on the national
level. These organizations served as NGO umbrellas or consortia that
represented member NGOs on the national level. Their roles varied
according to the organization. Their objectives were one or more of
the following: (1) to work within the system to change policies and
monitor development activities of the government, donors, and
multinational banks; (2) to work with donors and governments to deve10p
and deliver programs to identified population groups; and, (3) to

provide trainings to NGOs in special areas or for special needs.

Conclpejon #2: Roles and Responsibilitiee of the Type§ of N§Q§

Nongovernmental organizations functioning as intermediaries for
the DENR were prescribed responsibilities as defined by a contract.
The DENR defined a Community Reforestation Contract as:

A CONTRACT between the government represented by the DENR and a
duly recognized entity such as an association, cooperative,

183

foundation, civic or religious organization acting for and in

behalf of residents of a community located in or adjacent to a

reforestation site, whereby the residents would implement

activities prescribed in the Contract under supervision of the
entity, which would in turn be directly responsible to the DENR
for performance under the CONTRACT.

The four NGOs in this study had their own perceptions of their
roles as intermediaries. The president of NGO #1 described the role of
the organization as "assisting the government to reforest the uplands".
NGO #2 administrators viewed their role as "meeting the terms of the
reforestation contract". NGO #3 staff members defined their roles as
"assisting the community residents to meet their needs through
increasing the viability of the land and the socio-economic condition
of the community members". NGO #4 perceived their role as "providing
programs and assistance to assure that tribal group members would be
able to maintain their cultural heritage, lands, practices, and
lifestyles by facilitating community development programs that
respected their traditions and increased their socio-econonmic standard
of living". NGO #1 and NGO #2 focused on facilitating the contract,
while NGO #3 and NGO #4 concentrated on increasing the socio-economic
conditions of the intended beneficiaries.

Nongovernmental organizations in this study were expected to
function as Public Service Contractors (PSCs) for the government.

PSCs’ primary role is to deliver services. This is starkly different
from the role of Social Development Agencies.

In this study, it was found that NGOs functioning as development
intermediaries which had social development missions and used

sustainable development approaches to introduce and implement the

program into local communities had a higher degree of success in

184

maintaining the program and building the capacities of the intended -

beneficiaries so that they could eventually sustain the program

independently or interdependently.

This was different from NGOs which assumed strictly public service

delivery roles and used predominantly technical development approaches

to introduce and implement the program into local communities. These

organizations had a lower degree of success in maintaining the program

and building the capacities of the intended beneficiaries so that they

could eventually sustain the program independently or interdependently.

Conclusion #3: Approaches Enhancing Berticipetion pf Lhe Beneficiaries

Eighteen organizational characteristics and/or approaches were

identified that influenced and enhanced the successful implementation

and maintenance of the program on the local level. Higher levels of

participation occurred when the development intermediary:

*

demonstrated a strong commitment to the socio-economic development of
the community members.

were locally based;
drew upon local knowledge and experiences of the community members;

tailored the program to fit the short and long term needs of the
intended beneficiaries;

was able to facilitate the program so that it directly reached the
intended beneficiaries;

had the time to organize the intended beneficiaries to work toward
the achievement of socio-economic community development goals;

provided extensive social preparation with the intended beneficiaries
so that the program goals and objectives were understood by the
intended beneficiaries;

provided social development and technical skills for the intended
beneficiaries simultaneously;

185

* established open and responsive communications systems with the
intended beneficiaries;

* established a high degree of trust with the intended beneficiaries;

* shared decision-making responsibilities with the intended
beneficiaries;

* relied on local volunteers to maintain the program;
* used a combination of local and external resources in the program;

* actively involved the intended beneficiaries in the local planning
and monitoring of the program;

* structured the program so that the intended beneficiaries would
increasingly assume responsibility to manage and maintain the
program;

* structured the program so that the intended beneficiaries had
ownership of the program and its products;

* actively involved the informal community leaders to endorse and adopt
the program; and,

* implemented the program on a small scale level.

Conclusion #4: Tensions and Barriers

 

The tensions and barriers that occurred during the Contract
Reforestation Program’s implementation were primarily due to program
inconsistencies. Substantial controversy was generated regarding this
program and its conflicting messages. One thrust of this program was
to generate quantifiable outcomes with the "establishment of tree
plantations" (DENR, 1988) for production purposes. The other thrust
was "to democratize the disposition of incentives to encourage the
participation of the private sector, including forest occupants and
rural communities, in forest resources development, management, and
protection" (DENR, 1988). Six inconsistencies during this study were
identified: (1) sustainable focus vs. production orientation; (2) large

scale vs. community based; (3) centrally controlled vs. community

186
controlled; (4) technically focused vs. socially and technically
balanced; (5) externally funded with a dependence on external resources
vs. interdependence with a gradual withdrawal of external funding; and
(6) quantifiable outcomes vs. qualitative process and measurable

outcomes.

Sustainable Development
This study began with the assumption that the Contract

Reforestation Program as one of six components of the Philippines
Department of Environment and Natural Resources’ National Forestation
Program (NFP) was designed and developed using the philosophies and
principles of sustainable development. As described in "A Primer on
the National Forestation Program":
When President Corazon C. Aquino launched the NFP in 1986, the
government declared as a national policy ’the perpetuation of our
country’s forest resources for the benefit of future generations
of Filipinos’.
This statement closely parallels the definition of sustainable
development:
Sustainable development demands a responsible use of the earth’s
resources to ensure that future generations will not be deprived
of their share of the fruits of the earth. (ANGOC, 1982)
The aims of this program were stated as the following (DENR, 1988):

1. ensure a sustained production of wood and other products for
wood-based industries;

2. provide livelihood for upland dwellers; and,

3. restore and maintain ecological balance.

Throughout the DENR’s program literature such words as

"participation", "partnerships", and "democratize", were frequently

187
used to describe the program and its processes - key components
necessary to build the foundations for sustainable development. For
example, local organizations were recommended in program guidelines to
serve as a vehicle to mobilize the people and perpetuate the program.
But, neither organizing nor involving the participants was funded,
rewarded, or advocated at the grassroots level by the DENR.

The CRP literature strongly suggest the program is designed based
on the concepts of sustainable development. However, upon closer
examination, the program also has characteristics of development models
that were based on growth centered, economic theories. These
characteristics include large scale, centrally controlled, technically
focused, externally funded programs with blueprint plan solutions and

quantifiable outcomes.

Lar e Scale

 

The Department had implemented this program on a large scale that
included all the provinces of the Philippines. The targets for the
Contract Reforestation Program for the first five years were 160,000
hectares (DENR, 1991). As of June 1991, the DENR was working with more
than 11,594 reforestation contractors. (DENR, 1991).

On the local level, the contract was designed to develop tree
"plantations". And, contractors were often encouraged to apply to the

maximum amount of hectares that a NGO could receive in this program.

Centrally Controlled
This program was centrally controlled from the beginning. Both

the problem and the solution were defined by the Asian Development Bank

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and the DENR. Representatives from reputable social development
agencies or Manila based NGO umbrella and consortia were not involved
in any of the program planning or design.

At the beginning of the planning stages, when input was solicited
from the DENR’s NGO Desk Office by NPCO, the advice and recommendation
from this office was ignored. Although NGOs were supposedly "partners"
with the DENR in this program, they were not involved until the
implementation stage and a hierarchy had been established. The DENR
had the control of the monies, identification of land areas, and
issuance of the contracts. The DENR entered into contracts with the
NGOs; not the community members. In some situations, contracts were
negotiated without the community members’ knowledge or approval. The
intended beneficiaries were consistently at the bottom of the
hierarchy. It was the NGO that often wrote the contract, designed the
local plans, and identified who and how local community residents would
participate in this program. At some contract sites, the community
members served only as wage laborers; not partners in a program

supposedly designed for them.

Technicellv Focused

The primary goal of this program was to initiate massive
reforestation of the upland areas of the Philippines. Contracts and
local work plans were based on technical reforestation processes.
Payments were broken down into ten increments that were related to
completion of technical aspects of reforestation and quantifiable
measurements. Monitoring and evaluations were based on the survival

rates of trees regardless of other factors that may have increased the

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program’s sustainability. Activities that may have enhanced the
sustainability of the program such as intercropping and community

organizing were not monitored, evaluated, or rewarded.

Externellv Funded

This program was financed by the Asian Development Bank and the
Overseas Economic Cooperation Fund of Japan in the form of a loan. To
date the loans for the National Forestation Program have totaled to
almost a half of a billion dollars. This money will have to be paid
back with interest to the Asian Development Bank in United States

dollars by the Philippines government.

Qgentifieble Outcomes
The goals of the program were stated in numerical terms:
The NFP seeks to rehabilitate some 1.4 million hectares of denuded
lands up to the year 2000. This means an annual reforestation
goal of 100,000 to 150,000 hectares.
Payments were based on the survival rates of trees. These rates were
computed by survey teams who visited contract sites and did

calculations based on sample areas. Social development criteria were

not included in the community level program assessments.

Conclusion #5: Benefits egg Beneficieries

The primary actors in this program were the ADB, the DENR, NGOs,
and the intended beneficiaries. Each actor received benefits from this
the program. The ADB was able to "move money". This ensured that the
organization would be able to receive payments from a previous loan,

create a new debt, and accrue interest on the loan. The profits from

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this transition enabled the organization to remain viable and support
its current organizational practices.

The DENR was able to initiate a massive reforestation program
which enabled the organization to appear as if it was functioning to
meet the needs of the country and providing a substantial public
service. The organization was also able to begin the process of
regenerating the forest in some areas. The DENR, also remained viable
by receiving loans to cover their current expenditures.

The NGOs, depending on the type of organization, received
substantial benefits. Foremost is the money they received to aid in
the cost of the program, sustaining the organization, and providing
salaries.

The intended beneficiaries received benefits from either
initiating local forest or perpetuating the status quo in additional to
receiving wages.

The most substantial benefits were accrued by the Asian
Development Bank. This organization was, as it always had been, in a

win-win situation whether the program succeeded or failed.

Recommendations from the Study
Today, the multidisciplinary field of development is in the
process of a paradigm shift. Each discipline has to some degree been
united under the general philosophies of sustainable development. To
achieve the goals and objectives embedded in the broad concept of
sustainable development, the first step may involve the restructuring

and reorienting of the major institutions that set development agendas

191
and deliver development-oriented services. To do so may require a

process of change beginning with redefining development.

Recommendation #1 - Redefining Development

Today, development organizations, institutions, banks, and
governments are espousing sustainable development theories. Yet, only
a few of these organizations have truly embraced this concept and
institutionalized it into their organizational practices, policies, and
procedures. To fully integrate the emerging paradigm, an organization
can not immediately shift from one paradigm to the other. This is a
slow process that does not begin with espousing new philosophies while
still practicing traditional approaches to development or by forcing an
organizational fit between established practices and new theories.

The process of change is completed in stages. Therefore, the
first stage in the change process may be to recognize and utilize an
alternative definition to development. This definition of development,
according the David Korten (1988, p.10), is:

a process by which a society transforms its institutions in ways

that enhance its ability to mobilize and manage resources to

produce a sustainable output of benefits, consistent with the
aspirations of its members. Capital investments have a meaningful
developmental consequence mainly to the extent that they
contribute to the development of institutional capacities to

manage resources more productively and sustainably in response to
the society’s self-defined needs.

By redefining development, the next step in the process would be

to initiate the restructuring of organizations.

 

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Recommendation #2 - Restructgrinq Organizations

If development is defined as "a process" of transforming its
institutions, then development should begin with assessing the
functions of existing development institutions and organizations to
understand who they serve and how they serve. As Van Arkadie (1989)
aptly stated:

The most telling case against many institutions is not that they

are technically inefficient or poorly managed (although they may

be) but that, they end up pursuing objectives inconsistent with

development (p. 171).

He elaborates,

. . one must go beyond the assumption that government

institutions are by definition pursuing the goals of national

development to explore what determines the interest organizations
work for in practice. This proposition applies as much to
international institutions, and to bilateral donors, as to
institutions in the recipient countries. "Interests" can relate
to the play of foreign policy concerns of states, sectional
economic interests brought to bear on aid programs, and the
interests of aid officials, departments, and agencies in
perpetuating their roles.

The benefits under this system continue to remain concentrated in
the hands of the foreign and national elites. The middle class
commonly employed in government offices either consciously or
unconsciously often function as the reinforcers of the system. At same
time the poor are increasingly being forced to adjust to man-made and
natural disasters.

Mechanistic organizations such as government agencies that are
characterized by the delineation of jobs and responsibilities into
narrow functions, predominantly technical orientations, rigid

hierarchical structures of authority with control centered at the top,

vertical channels of communications with strict routing systems,

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demanding loyalty to the organization, over reliance on internal
organizational knowledge, and limited participatory decision-making
tend to reinforce the organization’s perspective and the conventional
wisdom. Organizations became institutions in which Douglas North
(1981) defines as "a set of rules, compliance procedures, and moral and
ethical behavioral norms designed to constrain the behavior of
individuals". In contrast, Ruttan and Hayami (1984) refer to
institutions as:

. the rules of society or of organizations that facilitate
coordination among people by helping them form expectations which
each person can reasonably hold in dealing with each other.

This definition parallels with organic organizational structures
that are more appropriate for changing environments than traditional
mechanistic models. Characteristics of organic structures include:
cooperative problem solving, decentralized authority and control,
lateral interactions, and commitment to organizational objectives
instead of compliance with rules and regulation.

Mechanistic organization need to be restructured. And organic
organizations such as SDAs can serve as lead organizations that guide
and facilitate the change by representing the people, their needs, and
the majority’s development agendas. Functioning as intermediaries,
SDAs can become the pivotal organizations bridging the gap between the

government and the people as well as provide a organizational model.

Recommendation #3 - NGOs as Catalysts for Change

Reorienting established organizations is a difficult endeavor,
particularly if current organizational outcomes still serve its

employees well. However, societies must begin to regain control of

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their own development and the institutions that control it. One
alternative is to use nongovernmental organizations that reflect
organic structures as catalysts for change so that the voice of the
majority can be heard and development can be recentered in the hands of
the people. This too may require NGOs to begin to reexamine their
organizational roles and responsibilities or established practices and
behaviors.

Similar to the concept of development, there are many definitions
of nongovernmental organizations. Of relevance to this study is the
delineation between nongovernmental organizations and public service
contractors. The definition of NGOs may best be understood by
identifying their organizational characteristics, or as Fowler (1988)
identified them as:

I. reach the poor, i.e. to target their assistance to chosen

groups;

2 obtain true, meaningful participation of intended
beneficiaries;

3. achieve the correct relationship between development processes
and outcomes; '

4 work with the people and thus choose the correct form of
assistance to them, i.e., not be dominated by resources as the
basis of the relationship;

5 be more flexible and responsive in their work;

6. work with and strengthen local institutions;

7. achieve outcomes at less cost.

8 ability and preparedness to experiment with unorthodox ideas
and practices;

9. patience coupled to a strategic perspective;

10. ability to undertake people-centered research;

11. faster learning through and application of experience; and,

12. better ability to articulate rural reality.

0f central importance to this thesis is highlighting the
importance of NGOs based on their organic nature and organizational
characteristics. This type of organizational structure allows NGOs to

constantly evolve to meet the needs of the people. Therefore, NGOs

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must continue to evaluate their role in development and change
accordingly.

To evolve, NGOs need to constantly assess and evaluate their roles
and responsibilities in development. For example, in this study NGOs
#3 and #4 both had succeeded in organizing local communities, they also
had established a structure in which the NGO maintained a degree of
control. NGO #3 stated their success in the CRP was attributed to
their family type approach to this program. In essence, the NGO
received a community contract and subcontracted their contract to local
farmers. A more appropriate alternative may have been for the NGO to
work with the local farmers to apply for family contracts by providing
assistance in facilitating the process.

At NGO #4, the intended beneficiaries were not involved in the
process until the program had been designed by NGO administrators.

This approach as well as the approach used by NGO #3 has the
characteristics of reinforcing dependencies on the NGO, not necessarily
assisting community memberS'to become self-reliant.

One of the problems of external programs introduced into local
communities by government and donor agencies is the withdrawal from the
community when the program funding is terminated. This usually happens
prior to the time when community residents are fully prepared to take
over the program independently. The inverse may happen with NGOs; when
organizations remain involved in programs or communities too long, not
allowing the people to form independent organizations in order to

become self-reliant.

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Recommendation #5 - NGOs as Networks

After succeeding in organizing communities and establishing
healthy local organizations, another role for NGOs may be to expand
their existing networks by forming more vertical and horizontal
linkages to build larger constituencies of people united under a common
cause. Each local organization would maintain its own autonomy but
they would also be united on a larger scale to voice their concerns and
place more pressures on the government for policy changes that were
identified by the people on the grassroots level.

NGOs need to begin to realize their potential and significance to
development on a larger scale. During this study, it was the staff
members at two NGOs who knew about policy issues and the need for
larger scale reforms to correct the current socio-economic conditions
in the Philippines. Therefore, these organizations have two options.
One option is to form vertical networks with consortia or umbrella NGOs
whose role is to advocate national policy changes. The second option
is to form horizontal networks to build strong local organizations and
unify the public voice for policy changes on local and provincial

levels.

Recommendation #5 - Sociel DevelOpment Agencies as Mentors

If social development agencies do not want to leave their current
milieu, then they could still make substantial contributions to joint
development endeavors. In the current situation, where the number of
NGOs has grown beyond control, established NGOs could play pivotal
roles in mentoring and training newly founded NGOs with social

development missions to understand the organizational characteristics

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which enable local communities to achieve sustainable development
goals. This, of course, would require funding and assistance from
external sources so that social development organizations could provide

the necessary training and follow-up.

Recommendation #6 - Beelloeetion of Funding
To build the foundations for sustainable development through NGOs
and local organizations, portions of national develOpment budgets must
be earmarked for these activities. Therefore, development institutions
must begin to realize the importance of social preparation and
community organization in programs by providing the necessary time,

resources, and rewards so that organizations would be able to

concentrate on this foundational development activity.

Recommendation #7 - Lpeel Organizations e; Development Intermediegie;

Rural development literature repeatedly substantiates the need to
establish local organizations if long term program goals are to be
achieved. Without this component, it is unlikely new approaches to
development will fair any better then their predecessors.

Cernea (1989) discusses the role of NGOs in local development
between the government and the people as "not a third and
different/independent actor, but as an emanation and representation of
the community". Key to Cernea’s description is that NGOs come from the
people. In the CRP, NGOs were not necessarily affiliated with the
community prior to their involvement with the program. Thus, Korten
(1991) defines this type of NGO as a Public Service Contractor (PSC).

These organizations are not driven by shared values because they

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"function as market-oriented nonprofit businesses serving public
purposes". Esman and Uphoff focus on local organizations as
development intermediaries utilizing the definition set forth by Berger
(1977) in which local organizations were perceived as intermediates
"standing between the individual and the state".

If local organizations are the true intermediaries of development,
then it may be from this perspective in that NGOs can define their
roles in development on the local level. Their role may not be as the
development intermediary, but to create the intermediary in the form of
a local organization that is managed and controlled by the people.

NGOs functioning as development intermediaries between the people
and the government for community based joint endeavors should act as
catalysts to establish local organizations so that the community
members will eventually be able to independently or interdependently
sustain local development programs.

Developing local organizations and establishing networks of these
organizations would eventually lead to the people becoming a stronger
voice in development so that they could set their own agendas.

To expect the "democratization" of development to be achieved
through governments and established institutions is unrealistic. As
Bjur and Caiden explain:

. .institutionalism cannot be handled by traditional reforms,
nor will internal change occur naturally; organizational change is

a political as well as management task. This observation means

that external pressure is necessary, rather than relying solely on

internal processes and intentions to effect change.

(cited from Bryant and White, 1982: p.54)

If the people are to gain control of their own development, it is

their "democratic" right and responsibility to take ownership of the

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process on the local, provincial, national, and international level.

Implications

Professionals, practitioners, and laypeople who participated in
this study all spoke with great concern and awareness of the worsening
conditions of the environment. It was evident from conversations with
individuals from the Asian Development Bank and the Department of
Environment and Natural Resources that these two organizations wanted
to implement more sustainable oriented programs. Yet, a major gap
existed between theory and practice. Or, as Argyris and Schon (1974)
describe,the discrepancies between espoused theory and theory-in-use.
In this study, the innovativeness of the CRP was often overshadowed by
program personnel reverting to standard procedures or practices. The
consequences of such practices effected everyone and will continue to
do so until conventional practices are modified and eventually changed.

The ADB must begin to make smaller loans to fund smaller projects
with flexible timelines. The existing organizational mentality that it
is more cost effective to make one large loan rather than several
smaller loans must stop. This practice only benefits the A80, and
often at the expense of the environment and the people.

The DENR needs to earmark monies and allot reasonable periods of
time to build local organizations so that program participants will
have the structures to maintain their community based programs.
Otherwise, neither the program, nor the trees will last any longer than
the external motivators provided to the people to participate in the

program.

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NGOs need to make sure they are not perceived as the new panacea
for development. Instead, NGOs need to step forward as the lead
organizations for change, while remaining cautious that they are not
coopted into established, ineffective systems. NGOs roles are far
greater than organizing communities and introducing new programs.
Their role, as intermediaries in development, requires that they are
responsible for bridging the gap between the government and the people,
asking the difficult questions such as "for whom?", and assuring that
the people maintain control of development processes.

Most importantly, it must be realized development is a process,

not a product.

Recommendations For Further Study

The purpose of this research was to do an exploratory study of
NGOs functioning as development intermediaries. The findings from this
study are specific to only a small sample of NGOs that may or may not
be applicable to other development programs or different contexts.
Further studies may want to expand on this study. The researcher
recommends the following for further study: A

First, the conclusions were drawn from a limited sample of NGOs in
this study. The NGOs involved represent four broad types. There were
other types of NGOs that also participated in the Contract
Reforestation Program but were not included due to the time limitations
and not meeting the research criteria. Therefore, it is recommended
that other types of NGOs be studied so that a broader picture may be
drawn related to NGOs functioning as development intermediaries.

Second, a longitudinal study is recommended to measure

201
sustainability after a number of years have transpired.
Third, a study of different types of joint endeavors to assess,
understand, and/or measure the types and degrees of cooperation,
compromise, and conflicts among the participating organizations is

recommended.

APPENDICES

I.

12.

APPENDIX A
_§Q QUESTIONNAIRE

NGO BACKGROUND
1. What is the overall mission of the NGO?
2. What date was the NGO founded?
3. Is the NGO registered with the SEC?

a. What date was the NGO registered with the SEC?
4. Is the NGO accredited by the DENR?

a. What date was the NGO accredited by the DENR?
5. Who are the board members?

a. What is their background?

6. How many staff members do you have and what are their major
responsibilities?

7. What is the financial status of the NGO?
8. What/Who is the major funding source of the NGO?

a. Are funds received as loans, grants, donations, etc.?
9. Are there other sources of income for the N60?

10. What additional projects/programs is the organization involved
in besides contract reforestation?

11. Are there multiple programs in one community facilitated by the
NGO?

a. If yes, what are the other programs and how do they interface
with contract reforestation?

b. If no, what is the rationale for only one program (contract
reforestation) in the community?

Is the NGO involved in more than one community?
a. If yes, what communities and why? What are the projects?

b. If no, why not?

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II. COMMUNITY PROFILE

1. Has the NGO worked in this community prior to the contract
reforestation project?

a. If yes, please describe the activities, programs, etc.
facilitated by the NGO prior to the implementation of the
contract reforestation program.

b. If no, why did the NGO decide to target this community for a
contract reforestation program?

2. Describe the community including it environmental and social
conditions and the community’s main source of livelihood?

3. What attempts have been made by the NGO to increase the socio-
economic well-being of the community?

4. Why was contract reforestation selected for this community?
5. Describe the impact of contract reforestation on the community’s
members livelihood and economic well-being.
111. N60 PROBLEM AREAS
A. Definition of Development
1. What is the organization’s operating definition of development?

2. Has the organization’s definition of development changed since
entering into the contract reforestation program?

3. If yes, how has the definition changed and what have been the
outcomes of this change?

4. If no, why has the definition remained the same and what impact
has it had on the NGO?
8. Organizational Goals
1. What are the organization’s goals?

2. Have these goals changed since entering into contract
reforestation?

3. If yes, what are the changes and what have been the outcomes of
the changes?

'4. If no, why have the goals remained the same and how has that
impacted the NGO?

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C. Roles and Responsibilities

1.

What are the organization’s primary and secondary roles and
responsibilities in the community?

. Have these roles and responsibilities changed since entering into

contract reforestation?

. If yes, what are the changes and what have been the outcomes of

these changes?

. If no, why have the roles remained the same and how has it

impacted the NGO?

Development Approaches

1.

Identify and describe some of the development approaches the
organization uses in the community?

. Which approaches have been most successful? Describe why.
. Which approaches have been least successful? Describe why.

. Has the organization’s development approaches changed within the

community since entering into contract reforestation?

a. If yes, how have they changed? And, what is the outcome of
these changes?

b. If no, why not and how has it impacted the NGO?

Resource Acquisition and Dependence

What resources were required to implement contract
reforestation?

How have these resources been acquired and utilized?
What local resources were used?

What external resources?

. Are most of these resources locally renewable?

a. If not, how will the community renew these resources?

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F. Desired Outcomes

IV.

1.

What are the NGOs desired outcomes when implementing/facilitating
community based programs?

. Has the organization’s desired outcomes changed since the
implementation of contract reforestation?

. If yes, what are the changes and what are the outcomes of these
changes to the organization? community? intended beneficiaries?

. If no, why have they remained the same and how had this impacted
the NGO?

NGO CHARACTERISTICS

A. Participants

1.

Who has participated in the Contract Reforestation Program?
How were these individuals recruited to participate in this
program?

Who recruited these individuals or how did they find out about
the program?

What have been their various task and responsibilities in the
program?

How was it decided what task would be performed by each
individual participant?

What benefits have the participants received since the
beginning of the program?

Has this program reached the individuals with the lowest
economic base in the community?

Are the participants the same individuals who participated in
previous programs administered by the NGO?

a. If yes, describe the individuals (level of education,
livelihood, leadership roles in the community, etc.)

b. If no, why have the participants changed? Who are the new
participants?

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8. Participation of the Intended Beneficiaries

1.

How have community members, including the program participants
and non-participants, been involved in this program?

. What was the community members involvement during the

initial/planning stages of this program?

. What has been the community members involvement since the

program’s implementation in the community?

. What choices and decisions have the community members been

actively involved in during the contract reforestation program?

. What are the different task and responsibilities the community

members have performed during this program?

. Have there been conflicts among the community members since the

implementation of this program?

a. What were the problems?

b. How were the problems resolved?

c. Who participated in the problem resolution?

d. What were the outcomes?

C. Planning and Implementation

1.

Has the NGOs plans deviated from the original contract?
a. If yes, please describe?

b. If not, why?

. Were pilot projects initiated before the implementation of the

program?
a. If yes, please describe.

b. If no, why not?

. When problems arose in the project, what approaches were used to

correct the problem?

4. How were the participants involved in the problem solving

process?

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0. Changes

1.

Describe the changes you have witnesses among the community
members since their participation in the contract reforestation
program?

. Have the dynamics within the community changed?

a. If yes, describe.

b. If no, describe why not.

. Have community members gain new skills and knowledge from this

program that may be transferred to future community projects or
development endeavors?

a. If yes, describe the skills and knowledge.

b. If no, describe why not.

. Have new community leaders been identified and developed through

this project?

a. If yes, describe how they were identified and their current
leadership roles in the community.

b. If no, why do you think new leaders were not identified and
developed?

. Do you think this program could continue without the assistant

and facilitation of the NGO?

a. If yes, describe how will it continue without the NGO’s
support.

b. If no, describe why.

. Do you think this program has created dependencies by the

community members on external organizations and resources?
a. If yes, how?

b. If no, why not?

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E. Collaboration

1. Identify the different groups the NGO has had to work with to
implement this program.

2. Describe the types of interaction the NGO has had with each one
of these groups.

3. How much time is typically spent with each one of these groups
per week and why?

4. What have been the outcomes of working with each of these groups?

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APPENDIX B
INTENDED BENEFICIARIES QUESTIONNAIRE

A. Definition of Development
1. Describe how you would like to see the community developed.

a. Has the community been able to achieve any of these
development goals with contract reforestation?

b. If yes, describe the changes in the community.
c. If no, explain why the program has not been effective in
achieving the development goals you described.
8. N60 Goals
2. In your opinion, what are the goals of the NGO?

3. Are the NGO’s goals the same as the majority of the community
members goals?

a. If yes, describe the similar goals.

b. If no, describe the differences.

C. Roles and Responsibilities

4. What have been the primary roles and responsibilities of the NGO
in the community?

5. Does the NGO share different roles and responsibilities with
community members or is there a rigid division of labor?

6. Does the NGO encourage community members to take leadership roles
in community projects?

a. If yes, describe how.
b. If no, describe why not.

7. Are community members involved in the program decision-making
process?

a. If yes, describe the process.

b. If no, describe why not.

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0. Development Approaches

8. Describe how the NGO involves community members in projects and
programs.

9. Does the NGO have regular meetings within the community?
a. If yes, describe the meetings and their frequency.

b. If no, describe how the NGO shares information with community
members.

10. Has the NGO conducted any trainings in the community?
a. If yes, describe the trainings and who participated.
b. If no, describe how the NGO transfers information and skills
to community members.

11. Describe the local resources the NGO has used in their community
programs?

a. Are these resources renewable?
12. Describe the external resources the NGO has used in their
community programs.

a. Can the community maintain these resources without
assistance from outside agencies or organizations?

13. Does the NGO encourage experimentation, particularly if
problems occur within the program?

a. If yes, explain the ways experimentation was done.
b. If no, explain why not.
14. Were different approaches, methods, and ideas tried during the
project?
a. If yes, describe the different approaches.

b. If no, describe why not.

E. Participants

1. Who has participated in the Contract Reforestation Program?

2. How were these individuals recruited to participate in this
program?

212

Who recruited these individuals or how did they find out about
the program?

What have been their various task and responsibilities in the
program?
How was it decided what task would be performed by each

individual participant?

What benefits have the participants received since the beginning
of the program?

Has this program reached-the individuals with the lowest
economic base in the community?

Are the participants the same individuals who participated in
previous programs administered by the NGO?

a. If yes, describe the individuals (level of education,
livelihood, leadership roles in the community, etc.)

b. If no, why have the participants changed? Who are the new
participants?

Participation of the Intended Beneficiaries

1.

How have community members, including the program participants
and non-participants, been involved in this program?

What was the community members involvement during the
initial/planning stages of this program?

What has been the community members involvement since the
program’s implementation in the community?

What choices and decisions have the community members been
actively involved in during the contract reforestation program?

What are the different task and responsibilities the community
members have performed during this program?

Have there been conflicts among the community members since the
implementation of this program?

a. What were the problems?

b. How were the problems resolved?

213
c. Who participated in the problem resolution?

d. What were the outcomes?

G. Planning and Implementation

1.

H.

Describe the methods, approaches, and strategies used to
initiate, implement, and monitor this project.

. What trainings and information meetings were held?

. Who conducted the trainings and meetings?
. Who attended and/or participated in these trainings and meetings?

. What skills do you think the participants have gained since

participating in the contract reforestation program?

. What new knowledge and information do you think the participants

have gained since participating in this program?

. Do you think the community understands the purpose of

reforestation?

. How do community members plan to sustain the forest after the

termination of the reforestation contract?

. What plans has the NGO made to withdraw from the community after

the termination of the contract?

Problem and Problem Solving

. Has the NGOs plans deviated from the original contract?

a. If yes, please describe?

b. If not, why?

. Were pilot projects initiated before the implementation of the

program?
a. If yes, please describe.

b. If no, why not?

. When problems arose in the project, what approaches were used to

correct the problem?

. How were the participants involved in the problem solving

process?

214

1. Local Capacity Building

1.

Describe the changes you have witnesses among the community
members since their participation in the contract reforestation
program?

. Have the dynamics within the community changed?

a. If yes, describe.

b. If no, describe why not.

. Have community members gain new skills and knowledge from this

program that may be transferred to future community projects or
development endeavors?

a. If yes, describe the skills and knowledge.

b. If no, describe why not.

. Have new community leaders been identified and developed through

this project?

a. If yes, describe how they were identified and their current
leadership roles in the community.

b. If no, why do you think new leaders were not identified and
developed?

. Do you think this program could continue without the assistant

and facilitation of the NGO?

a. If yes, describe how will it continue without the NGO’s
support.

b. If no, describe why.

. Do you think this program has created dependencies by the

community members on external organizations and resources?
a. If yes, how?

b. If no, why not?

J. Collaboration

1.

Identify the different groups the NGO has had to work with to
implement this program.

. Describe the types of interaction the NGO has had with each one

of these groups.

215

3. How much time is typically spent with each one of these groups
per week and why?

4. What have been the outcomes of working with each of these groups?

216
APPENDIX C

DENR QUESTIONNAIRE

I. PROBLEM AREAS

1. What is the DENR’s concept/definition of development?

2. How does the DENR define NGOs?

3. How were NGOs recruited to participate in the contract
reforestation program?

4. How was it determined which NGOs would participate in the
contract reforestation program?

5. Was the criteria for the participation of NGOs rigidly adhered
to or were exceptions and special agreements made with different
NGOs?

a. If yes, what were the exception and special agreements?
b. Why were these exception allowed?
c. What have been the results of the exceptions or special
agreements?
d. Has this created problems for the DENR? If yes, what have
been the problems?
6. What were the goals of the NGOs in the contract reforestation
program?
7. Have the NGOs been able to achieve these goals?
a. If yes, how?
b. If no, why not?
8. What are the primary roles and responsibilities of NGOs in the
Contract Reforestation Program?
9. How the NGOs been able to perform these roles and
responsibilities?
a. If yes, describe how?
b. If no, describe why not?
10. What preparation and/or trainings were NGOs given by the DENR

p

rior to signing contracts?

11.

12.
13.
14.

15.
16.
17.

18.

19.

20.
21.
22.
23.

24.

25.

26.

217

What follow-up has the DENR provided for NGOs since the
establishment of the contract?

What resources have the NGOs used in this program?

How were these resources acquired and utilized?

Did the NGO use primarily local resources?

a. If yes, what were they?

b. If no, why not?

Are the local resources renewable? How?

What external resources were used?

Has the organization become dependent on external resources?
a. If yes, what to you think are the outcomes?

b. If no, why not?

What development approaches have been used by NGOs to implement
this program?

Have some development approaches been more effective than
others?

Which approaches have been the most successful? Why?
Which approaches have been the least successful? Why?
What are the desired outcomes of this program for NGOs?

Have NGOs been able to achieve the desired outcomes of this
program?

a. If yes, how?
b. If no, why not?

What population groups have the NGOs been able to reach with
this program?

Have NGOs been able to reach the poor segments of the community?
a. If yes, how?

b. If no, why not?

c. How do you define poor?

What benefits have the participants been able to derived from
the contract reforestation program?

27.

28.

29.

30.

31.

32.

33.
34.

35.
36.

37.

38.
39.

40.

218
Have NGOs included the intended beneficiaries in the planning of
the reforestation plan?
a. If yes, how?
b. If no, why not?

How have the participants been empowered in the contract
reforestation program? .

What new skills have the participants learned by participating
in this program?

What new information and knowledge have the participants
acquired from participating in this program?

Have the NGOs shared leadership roles with community members in
this program?

a. If yes, how?
b. If no, why not?

Have new community leaders been identified and developed in this
program?

a. If yes, how and who?
b. If no, why not?
What types of interaction has the NGO had with the community?

How frequent have these interactions occurred? What were the
outcomes?

What types of interaction has the NGO had with DENR?

How frequently have these interactions occurred? What were the
outcomes?

What type of local technologies were used by the NGOs in the
community?

What were the results of using these technologies?

What type of external technologies were used by the NGOs in the
community?

What have been the results of using these technologies?

41.

42.

43.

44.

45.
46.
47.

48.

49.

50.

51.

219

Do you think the community members have become dependent on
external technologies?

a. If yes, what are the consequences to the community?

Can this program be maintained by using only local technologies?
a. If yes, how?

b. If no, why not?

Have NGOs been able to use experimentation and flexibility in
this program?

a. If yes, please describe.
b. If no, why not?

How would you describe the overall performance of NGOs in this
program?

Have some NGOs performed better than other NGOs?

Why do you think there is a difference in their performance?
Have the participants become dependent on the NGO?

a. If yes, why?

b. If no, why not?

Do you think NGOs have been an effective means of introducing
and implementing this program?

a. If yes, how?
b. If no, why not?

What recommendations would you make to the department about
using NGOs in future programs?

Would you be willing to work with NGOs in future projects?
a. If yes, why?
b. If no, why not?

Do you think NGOs have enhanced this program’s sustainability in
the contract reforestation communities?

a. If yes, how?

b. If no, why not?

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