INTERNATIONAL DEVELOPMENT AND COOPERATION: Common Issues and Challenges Norman Uphoff, Cornell University, FASID Course on ‘Introduction to Development Cooperation’ Tokyo, August 1, 2003

PERSPECTIVE ‘ Grassroots’ perspective -- desire to help people improve their lives and their futures, and the conditions and futures of their communities What is the role and contribution of outsiders? My initial perspective was more “macro” -- more policy-oriented, more interested in planning than in participation (Princeton, UC Berkeley) PhD thesis research in 1968 on Ghana’s use of foreign aid (external assistance) under Kwame Nkrumah, 1957-1966 -- all sectors, all donors

‘ Grassroots’ perspective -- desire to help people improve their lives and their futures, and the conditions and futures of their communities

What is the role and contribution of outsiders?

My initial perspective was more “macro” -- more policy-oriented, more interested in planning than in participation (Princeton, UC Berkeley)

PhD thesis research in 1968 on Ghana’s use of foreign aid (external assistance) under Kwame Nkrumah, 1957-1966 -- all sectors, all donors

CONCLUSION OF THESIS Unless and until less-developed countries use their OWN resources well, they will not get much benefit from OTHER countries’ resources More than matter of increasing their ‘absorptive capacity’ -- need to improve their own operations Need to improve accountability, efficiency, realism, honesty, innovativeness, etc. -- external resources not a substitute for own efforts Opportunity at Cornell University to work on RURAL DEVELOPMENT, from 1970 to now

Unless and until less-developed countries use their OWN resources well, they will not get much benefit from OTHER countries’ resources

More than matter of increasing their ‘absorptive capacity’ -- need to improve their own operations

Need to improve accountability, efficiency, realism, honesty, innovativeness, etc. -- external resources not a substitute for own efforts

Opportunity at Cornell University to work on RURAL DEVELOPMENT, from 1970 to now

ANALYSIS OF STRATEGY Opportunity to teach course on rural development (with an anthropologist and agricultural engineer) We formulated a ‘meta-model’ for rural development: Micro factors: local level -- household, community, farm unit, influences of culture, social organization Macro factors: national and international levels -- government, economy, policies, trade, etc. Technical factors: material processes -- infrastructure, technology, natural resources, etc. Development involved all three (dimin. returns?)

Opportunity to teach course on rural development (with an anthropologist and agricultural engineer)

We formulated a ‘meta-model’ for rural development:

Micro factors: local level -- household, community, farm unit, influences of culture, social organization

Macro factors: national and international levels -- government, economy, policies, trade, etc.

Technical factors: material processes -- infrastructure, technology, natural resources, etc.

Development involved all three (dimin. returns?)

FURTHER ANALYSIS Study of rural local organizations across Asia (funded by USAID) -- 16 case studies + analysis Conclusions about multiple channels and levels -- importance of system of organization -- very evident impact on development performance (even or esp. controlling for GNP p/c differences) Historical introduction to analysis: 1950s: technology gap  technology transfer 1960s: resource gap  resource transfers 1970s: institutional gap  institutional transfers?

Study of rural local organizations across Asia (funded by USAID) -- 16 case studies + analysis

Conclusions about multiple channels and levels -- importance of system of organization -- very evident impact on development performance (even or esp. controlling for GNP p/c differences)

Historical introduction to analysis:

1950s: technology gap  technology transfer

1960s: resource gap  resource transfers

1970s: institutional gap  institutional transfers?

REFLECTION Systems perspective : different sets of knowledge and practice -- all important and interacting Interdisciplinary cooperation needed, but more than this -- supradisciplinary perspective (transdisciplinary, cross-disciplinary) Importance of connecting theory and practice -- not a sequential process -- more interactive Action research -- reciprocal relation between knowledge and practice Problem-based research -- real world > literature as point of departure and objective for contributions

Systems perspective : different sets of knowledge and practice -- all important and interacting

Interdisciplinary cooperation needed, but more than this -- supradisciplinary perspective (transdisciplinary, cross-disciplinary)

Importance of connecting theory and practice -- not a sequential process -- more interactive

Action research -- reciprocal relation between knowledge and practice

Problem-based research -- real world > literature as point of departure and objective for contributions

THIRTY YEARS OF WORK Local organization as first focus in early 1970s Participation as next focus of work in mid-70s Local institutions and decentralization as further subject of work Natural resource management as applied sector for participation and local institutions (CBNRM) with special concern for irrigation sector Social capital as a more recent concern System of rice intensification (SRI) as current focus, and biological approaches to agriculture

Local organization as first focus in early 1970s

Participation as next focus of work in mid-70s

Local institutions and decentralization as further subject of work

Natural resource management as applied sector for participation and local institutions (CBNRM) with special concern for irrigation sector

Social capital as a more recent concern

System of rice intensification (SRI) as current focus, and biological approaches to agriculture

HOW HAS SUBJECT CHANGED? All of these subjects continue to be important, but Other subjects have emerged over the years: ‘ Appropriate technology’/Labor-intensive development ‘ Basic needs’ and human resource development Gender in development (former WID) Environmental problems and protection Structural adjustment (reduce: budget deficits, public sector employment & enterprises, overvalued exchange rates) ‘ Open’ markets with ‘free’ trade and investment Human rights and good governance, NGOs, ‘civil society’ Post-conflict reconstruction

All of these subjects continue to be important, but

Other subjects have emerged over the years:

‘ Appropriate technology’/Labor-intensive development

‘ Basic needs’ and human resource development

Gender in development (former WID)

Environmental problems and protection

Structural adjustment (reduce: budget deficits, public sector employment & enterprises, overvalued exchange rates)

‘ Open’ markets with ‘free’ trade and investment

Human rights and good governance, NGOs, ‘civil society’

Post-conflict reconstruction

HOW HAS DEVELOPMENT ASSISTANCE CHANGED? Unfortunately, assistance has not changed as much as development theory has changed Gradual shift from ‘foreign aid’ to ‘development assistance’ to ‘international cooperation’ Greater role of NGOs in assistance and in country development efforts Reduction in agency capacities/professionalism Issue of ‘debt forgiveness’ now on the agenda, critiques of ‘tied aid,’ funding of recurrent costs? ‘ Aid fatigue,’ loss of confidence in effectiveness

Unfortunately, assistance has not changed as much as development theory has changed

Gradual shift from ‘foreign aid’ to ‘development assistance’ to ‘international cooperation’

Greater role of NGOs in assistance and in country development efforts

Reduction in agency capacities/professionalism

Issue of ‘debt forgiveness’ now on the agenda, critiques of ‘tied aid,’ funding of recurrent costs?

‘ Aid fatigue,’ loss of confidence in effectiveness

International Development and Cooperation Huge subject -- would prefer to respond to and discuss questions that you are interested in -- many topics have been introduced already And/or could make some prepared presentations: Social Capital: What is it? -- an analytical approach Establishment of Participatory Irrigation Management -- a case study of successful social ‘engineering’ The System of Rice Intensification -- how to raise the productivity of land, labor, water and capital, without needing to use chemical fertilizers or new varieties, and with positive environmental benefits

Huge subject -- would prefer to respond to and discuss questions that you are interested in -- many topics have been introduced already

And/or could make some prepared presentations:

Social Capital: What is it? -- an analytical approach

Establishment of Participatory Irrigation Management -- a case study of successful social ‘engineering’

The System of Rice Intensification -- how to raise the productivity of land, labor, water and capital, without needing to use chemical fertilizers or new varieties, and with positive environmental benefits