SOCIAL CAPITAL AND THE GOVERNMENT HOUSING PROGRAM:

A CASE STUDY OF BAAN MANKONG PROGRAM

IN BANGKOK

PRACHAKPORN SOPHON

MASTER OF ECONOMICS

(ENGLISH LANGUAGE PROGRAM)

FACULTY OF ECONOMICS, THAMMASAT UNIVERSITY

BANGKOK, THAILAND

MAY 2006

SOCIAL CAPITAL AND THE GOVERNMENT HOUSING PROGRAM:

A CASE STUDY OF BAAN MANKONG PROGRAM

IN BANGKOK

by

Prachakporn Sophon

A thesis submitted in partial fulfillment of

the requirement for the degree of

Master of Economics

(English Language Program)

Faculty of Economics, Thammasat University

Bangkok, Thailand

May 2006

ISBN 9749731573

SOCIAL CAPITAL AND THE GOVERNMENT HOUSING PROGRAM:

A CASE STUDY OF BAAN MANKONG PROGRAM

IN BANGKOK

by

Prachakporn Sophon

A thesis submitted in partial fulfillment of

the requirement for the degree of

Master of Economics

(English Language Program)

Faculty of Economics, Thammasat University

31 May 2006

Is hereby approved:

Chairman, Thesis Committee : ________________________________ _________

(Assoc. Prof. Dr. Patamawadee Suzuki) (Date)

Member, Thesis Committee : ________________________________ _________

(Assoc. Prof. Dr. Plearnpit Satsanguan) (Date)

Member, Thesis Committee : ________________________________ _________

(Assoc. Prof. Dr. Somboon Siriprachai) (Date)

Dean : ________________________________ _________

(Assoc. Prof. Dr. Nipon Poapongsakorn) (Date)

ABSTRACT

This study attempts to investigate the roles of social capital on the

government housing project, Baan Mankong Program. In the study, types of social

capital are classified into bonding and bridging social capital.

Four low-income communities in Bangkok, whose housing development

proposals were approved in 2003 and 2004, are chosen for observation. A set of social

capital variables is constructed based on the information of the 4 communities and 53

households collected by the depth interview. Basic descriptive statistics and Chi-

square test are applied to demonstrate the relationship between the progress of the

project and social capital factors.

The results illustrate that bonding and bridging social capital variables, that

already exist in the communities and that are generated under the project, have the

effects on the progress of the project.

Bonding social capital within each community that has statistically

significant role in operating the program includes a level of coordination in communal

activities, particularly, collective solving problems, level of exclusion and capabilities

of the leader. Trust variables play the crucial role in operating the program especially

the processes regarding activities of a saving group and loan repayment.

The progress of the program also relates with number of community

development activities per year and number of meetings.

Bridging variables such as number of activities, meetings and level of

cooperation between the communities and outside organizations, both already exist in

the communities and those are generated under the project, facilitates the achievement

of the project.

These kinds of social capital variables play their roles in each community

differently. It depends on the level and types of the social capital that each community

has accumulated.

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ACKNOWLEDGEMENT

Completing this thesis requires more than my ability. I am truly indebted to

many people who have encouraged and motivated me along the way

First, I would like to express the deepest gratitude to my thesis advisor, Dr.

Patamawadee Suzuki, for guidance and patience. I shall never forget her warm

support and encouragement she gave me ever since the beginning phase of this thesis

writing. The next persons I would like to thanks are my thesis committees, Dr.

Plearnpit Satsanguan and Dr. Somboon Siriprachai. I am deeply touched by their kind

assistance and comment. Thank you so much for devoting your precious time and

energy throughout all the research years.

Also, I would like to extend my sincere thanks to my family. I am very

thankful to my mom, who always supports and helps gathering information in the

interview session during the fieldwork. She never failed to provide me with the kind

assistance, particularly in my most difficult moment. No words can describe my

sincere thank to my family for what they have done for me.

For warm hospitality and useful information, I would like to show my

appreciation to CODI officials, the community leaders, and all of the villagers, whom

I met in the interview. This thesis would have been impossible without their warm-

hearted assistance.

In addition, my thanks also go to all my colleagues, who fulfilled

multifunctional roles as tutors and friends. I am extremely graceful for their help in

such a critical stage of the development of this thesis.

Besides, my gratitude goes to for granting me the scholarship for my

graduate study and, finally, I would like to thanks librarians and computer lab officers

for their generous advices.

Thammasat University Prachakporn Sophon

Bangkok, Thailand May 2006

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CONTENTS

PAGE

ABSTRACT........................................................................................................ (1)

ACKNOWLEDGEMENT................................................................................. (2)

CONTENTS…………………………………………………………………… (3)

LIST OF TABLES............................................................................................. (7)

LIST OF FIGURES........................................................................................... (9)

CHAPTER

1. INTRODUCTION.................................................................................... 1

1.1 Statement of the Problems……………………………………….. 1

1.2 Objectives of the Study………………………………………….. 5

1.3 Scope of the Study ……………………..……………………….. 5

1.4 Methodology……………..……………………………………… 6

1.5 Hypotheses of the Study………………………………………… 6

1.6 Organization of the Study……………………………………….. 6

2. REVIEW OF RELATED LITERATURES AND CONCEPTUAL

FRAMEWORK....................................................................................... 8

2.1 Concepts of Social Capital …………….……………………….. 8

2.1.1 Definitions of Social Capital……………………………… 8

2.1.2 Classifications of Social Capital…………………………… 10

2.1.2.1 Structural and Cognitive Social Capital………… 10

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2.1.2.2 Bonds and Bridges………………...................... 11

2.1.2.3 Vertical and Horizontal Linkages…………….. 13

2.1.3 Theory Describing to Social Capital……………………. 14

2.1.4 Positive and Negative Effects of Social Capital……….. 15

2.1.5 Measuring Social Capital and Its Outcomes………….... 16

2.2 Social Capital and Environmental and Housing Development

in Urban Slums…………………………………………………. 17

2.2.1 Environmental and Housing Problems and Development

in Urban Slums ………………………………………….. 17

2.2.2 Social Capital and Environmental and Housing

Development in Urban Slums……………………............. 23

2.3 Social Capital and the Progress of “Baan Mankong Program” 29

2.3.1 Evaluation of the Progress of Processes in the Housing

Problem Solving Program………………………………. 29

2.3.2 Factors Determining the Operation of Housing Problem

Solving Program………………....…………………….. 34

2.3.3 Social Capital and “Baan Mankong Program” Progress 38

3. OVERVIEW OF SAMPLE COMMUNITIES AND BAAN MANKONG

PROGRAM IN THE COMMUNITIES.................................................. 40

3.1. Baan Mankong Program ……………………………………… 40

3.1.1 Objectives of the Project………………………………… 41

3.1.2 Types of the Housing Improvement…………………….. 41

3.1.3 Types of Budget of the Project ………………………….. 42

3.1.4 Process of “Baan Mankong Program”…………………… 43

3.1.5 Evaluation of the Progress of the Baan Mankong Program …. 50

3.2 Description of basic characteristics of four sample

low-income communities……………………………………... 59

3.3 Overview of Baan Mankong Program in the sample communities 64

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4. METHODOLOGY................................................................................ 68

4.1 The Progress of “Baan Mankong Program”……………………. 68

4.2 Factors Underlying the progress of “Baan Mankong Program” 71

4.2.1 Neighborhood variables …………………………………. 71

4.2.2 Social Capital Variables ……………………………........ 72

4.3 Sampling Design and Sources of Data ………………………... 77

4.3.1 Sample Selection…………………………………………. 77

4.3.2 Sources of Information…………………………………… 78

4.4 Data Analysis…………………………………………………. 80

5. EMPIRICAL RESULTS........................................................................ 81

5.1 Basic statistical characteristics of sample households ..…………. 81

5.2 Description of progress of the project…………………………… 86

5.3 Characteristics of social capital variables observed from sample

households and the leaders………………………………….. …. 89

5.3.1 Characteristics of social capital variables……….…………. 89

5.3.1.1 Bonding social capital variables………………… 89

5.3.1.2 Bridging social capital variables………………… 101

5.4 Hypothesis testing on the relationship of progress of the project

and bonding and bridging social capital factors………………… 109

5.4.1 Hypothesis testing of the association of progress

of the project on economic and social capital factors by

using Chi-square test……………………………………… 109

5.4.2 The investigation on the relationship of progress of

the project and social capital factors by using qualitative

analysis………………………………….……………….… 121

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6. CONCLUSION............................................................................ 124

6.1 Summary……………………………………………………….. 124

6.2 Limitation of the Study………………………………………... 127

APPENDICES……………………………………………………………… 129

A. The Data of Population and Slums in Bangkok ……………………. 129

B. Household Questionnaire……………………………………..…….. 131

C. Community Questionnaire……………………………………..….… 141

D. Baan Mankong Program Questionnaire…………………………….. 149

E. CODI official Questionnaire……………………………………….. 164

BIBLIOGRAPHY………………………………………………………… 169

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LIST OF TABLES

TABLE PAGE

2.1 The Housing insecurity problems of urban communities

in Thailand in 2000………………………………………………………… 19

3.1 Budget for infrastructure construction:

The case of “Charoenchai Nimitmai”…………..…………………………... 54

3.2 Description of Baan Mankong Program in sample communities................... 65

3.3 Budget received and spent for Baan Mankong Project

in Sample Communities (As of December 2005)…………………………… 67

5.1 Basic socio-economic characteristics of sample households………….…..... 82

5.2 Occupation of earners in sample households………………………….. 83

5.3 Progress of the project in each community evaluated by CODI officials… 88

5.4 Level of participation in communal activities.............................................. 90

5.5 Level of trust in opinion of households………………………………….. 91

5.6 Level of exclusion………………………………………………………. 92

5.7 Causes of exclusion……………………………………………………… 93

5.8 Level of Capabilities of Community Leaders............................................... 94

5.9 Cooperation in implementing the project..................................................... 96

5.10 Number of Groups or Organizations Established prior to the Project 98

5.11 Number of Communal activities Per Year.................................................. 99

5.12 Number of Meeting Per Year and Number of Participants Per Time......... 100

5.13 Trustworthiness in Lending......................................................................... 100

5.14 Cooperation Between Community and Outsiders....................................... 102

5.15 Types and number of the project’s meetings ............................................. 104

5.16 The assistance from outside organizations in carrying the project……… 106

5.17 Level of the Assistance from Outside Organization................................... 108

5.18 Hypothesis Testing on the Association of Progress of the Project on

Bonding and Bridging Social Capital......................................................... 109

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A.1 The Amount of Population, Density and Increasing Rate of Population

in Bangkok in 1991 to 2003…………………………………………….. 129

A.2 The Number of the Urban Poor Living in Slums and

Outside Communities in 2000…………………………………………… 130

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CHAPTER 1

INTRODUCTION

1.1 Statement of the Problems

The current trend in the economic development literature pays more

attention on the roles of social factors. In particular, the questions how social factors

contribute to the economic performances have led to a growing number of efforts to

measure outcomes generated by such factors, comprehensively called ‘Social

Capital’. Even if there is no consensus accepted in its concept, in a quite broad sense,

social capital is referred to “features of interpersonal interactions or social structure,

such as, trust, norms, reciprocity, social networks, institutions that can affect

efficiency and sustainability of society, including economic development, by

facilitating coordinated action.” (Putnam, 1993 cited in Pargal et.al., 2000)

Through information sharing, coordination of activities, or collective

decision making, social capital encourages associations and institutions to provide an

informal framework and has impacts on economic outcomes, such as growth, equity,

or poverty alleviation. Information sharing may create mutual knowledge about how

agents respond to different situations, and the cohesive association helps reduce

opportunistic behavior by creating repeated interaction among individuals. (Grootaert,

1998).

It is known that social capital is a critical determinant of collective action

through a self-reinforcing cycle of trust and reciprocity. Inevitably, one

understandable issue is that there are simultaneous relationships between social

capital and cooperative activities. Specifically, the process of developing cooperation,

whether creating continuous communication between agents, suppressing

opportunism or moral hazards and promoting collaborative relationship, can

strengthen social network, reinforce norms of reciprocity, build trust, and even

possibly encourage participation in other civic cooperation or social organizations

(Pargal et.al, 2000). The idea that social capital feeds upon itself, thus, suggests an

1

2 importance of creating and maintaining of social capital through commonly

stimulating the coordination (Glaser, 2001). This direct building or investment in

social capital can be supported by intermediary institutions, e.g. from government

intervention, nongovernmental organizations (NGOs). Of course, private communities

can also attempt to coordinate themselves.

In urban communities, especially in slums, social diversity and fluidity of

cities and frequent movements of households and communities, in response to

economic shocks and vagaries of urban development, cause the urban poor to suffer

from conditions of social disintegration and the erosions of community (Farrington et

al., 2002). Social capital in slums appears to have had strong linkages between the

dwellers that have the same origin hometown or identical ethnic groups; however,

social network among them mostly is in the form of weak ties. This type of social

capital facilitates the poor especially those who are migrants in terms of wide

information in looking for accommodation and work. Even though social capital is

very crucial, assets for the poor in mobilizing to get access to, for instance,

information sharing, childcare, loans, including demands for services and rights to the

state. Processes of urbanization and migration might weaken social network and lead

to economic vulnerability as mentioned earlier. Therefore, building social capital

through local cooperations or organizations in poor urban neighborhoods, where

people are living without getting basic needs or land and housing security1, seems to

be difficult. Supporting by implementing projects or policies, from intermediary

institutions, become a necessity in order to promote mobilization of a limited stock of

social capital for collective action to improve well-being as well as to stimulate social

capital accumulation through such cooperation.

In talking about slums’ problem issues, the initial crucial problem is in the

housing instability, such as land right or housing conditions. The policies

implemented by local authorities, particularly the government, in the past would

1 As of 2000, 8.25 million people were counted as the urban poor, about 37% of Thailand’s total urban population. In such amount, 5.13 million people are living in communities with insecured tenure problems, 1.50 million people are living outside established communities, e.g. laborers. See appendix A for more detail.

3 provide help by supplying new housing or infrastructure development without

encouraging or incorporating the participation from dwellers, especially in the

collective decision making, that is, top-down planning decision. Only seven years ago

the new approach for solving and improving the environmental and housing

conditions has been developed in the form of encouragement in the cooperation both

within community and the linkages with the multi-stakeholders such as community

networks, local government to collectively solve problems. Efficient community

organization is established to coordinate in working within community and in

connecting with outsiders. This approach generates the mobilization and increase of

social capital, both strong and weak ties that facilitate an improvement of well-being

of slum dwellers. Rudd (2000) mentions that when there is genuine participation, the

organizations will be more efficient than when they are under a top-down

management.

“The Baan Mankong Program”, was launched in 2003 2 by the Thai

government’s the Community Organization Development Institute (CODI). The

program aims at creating land and housing security for the urban poor in the nation-

wide level by providing infrastructure subsidies and soft loans for housing

construction and land purchase. Poor communities are allowed to plan and carry out

activities to improve their own housing, environment and basic services, and manage

the budget collectively by themselves. The processes of the project in each

community start with establishing basic understanding of the villagers on the project.

Then the survey of household information used in setting the project’s goals will be

conducted by villagers. This process probably provides opportunities for the

community dwellers to learn about each other’s problems and also establish linkages

within community. Furthermore, saving group in each community will be formed and

expanded to strengthen self-help spirit and help develop collective management skill

of the poor. The villagers should develop their savings for a guarantee that they have

the readiness for housing improvement and construction. They also will cooperatively

design new community layout and prepare the processes for constructing their 2

This is a five-year plan, period of 2003-2007, implemented by the Community Organizations Development Institute (CODI). For more detail, see chapter 3.

4 housing and infrastructure. Instead of delivering housing units to individual families,

this unconventional project puts slum communities and their networks at the center of

development. The communities and their networks have been working in close

collaboration with partners consisting of local public and private organizations, such

as, Municipality, universities, NGOs, etc., in planning and improving housing

conditions. In addition, it is expected that these partners extend their cooperation

beyond the housing development schemes toward other areas of local development,

for instance, creating community welfare programs, managing sustainable

environment condition, and so on (CODI, 2003). Therefore, the objectives of the Baan

Mankong program are not only to solve housing problems of slum dwellers, but also

to utilize the process of problem solving to build up social capital, necessary for urban

development process, both in the forms of the cooperation within community or

between community and the outsiders. At the same time, the processes of community

development strengthen both intra and inter community ties.

Until the present time, this program has been carried out for three years, with

success in some communities. Even though, the development process of each

community under “The Baan Mankong program” has not been fixed in any particular

form, it seems that there are common factors underlying the progress of the projects in

these communities, especially social capital factors.

This study aims to investigate socioeconomic factors, including social

capital factors, which encourage progress of the project in each community. The role

of social capital that affects benefits and costs to each community in implementing the

project will be verified. The necessity and channels in mobilizing social capital will

be explored. The study will provide information useful for designing and

implementing other policies which could encourage moving and sustaining existing

social capital to be utilized in urban development.

5

1.2 Objectives of the Study

To study the impacts of social capital, both bonding and bridging social

capital, on the progress of the “Baan Mangkong Program” in urban slum communities,

in Bangkok, Thailand.

1.3 Scope of the Study

The target groups of this study are communities under the “Baan Mangkong

Program” whose plans are approved by the project managing committee3 in 2003 and

2004. Out of twenty-five communities in Bangkok, four communities are chosen4.

Two of them are the communities whose proposals were approved in 2003. In the past,

their dwellers collectively solve land problems. Another two communities are in the

same district of Bangkok. Their proposals were approved in 2004.

Forms of social capital include bonds (the relationship among members

within the community) and bridges (the relationship between community members

and outsiders, such as dwellers of other communities in the same networks, local

private and public authorities, etc.).

The progress of the project is measured here by evaluating the achievement

of each step with scales of score. There are 14 steps of project development; since the

process of planning and preparing until the construction finishes and other

development activities are operated. In addition, the progress has been considered

since the community enters the “Baan Mangkong Program” (2003 or 2004) until the

day the study started in ( January to February).

3

This national level committee is established to approve budget and loan. The details of committees and steps of approval are described in Chapter 3. 4

However until August 2005, 78 communities in Bangkok have been approved.

6

1.4 Methodology

As mentioned earlier, the in-depth interview covers 4 communities. For each

community, the interviewees consist of community leaders, project leaders within

communities, CODI officials who work in the target communities, and sample

households.

This household survey is conducted, with 11-15 households per community.

In total, there are 53 households, in 4 communities collected as samples.

After the data and information are collected, the statistical testing technique

will then be deployed to study the contribution of social capital. Moreover, the

descriptive statistics will be applied to analyze the incentives of the dwellers’

participation in the process of project implementation.

1.5 Hypotheses of the Study

Social capital, which already exists in the community has been stimulated

under the processes of the “Baan Mangkong Program”, this has significant impact on

the progress of the project. In particularly, two aspects of social capital, both bonds

and bridges, have affected the movement of such a project.

1.6 Organization of the Study

This thesis consists of six chapters. The first chapter describes the statement

of problems, scope of the study, and methodology. The second is the review of

literature which include the issues relating to this study. In this chapter, the concepts

of social capital, housing and environmental management as well as the relationships

between social capital and the progress in implementing the housing project,

especially the “Baan Mankong Program” are investigated. The third chapter is the

description of the Baan Mankong Program including an overview of sample

communities and the Baan Mankong project.

7 The fourth chapter provides the methodology that describes how qualitative

statistics will be utilized in the study. In addition, this chapter also describes data

source and the instrument applied for collecting information.

In the fifth chapter, the empirical results will be presented. The results

consist of how the progress of the “Baan Mankong Program” is determined by the

socio-economic factors, including social capital variables. Finally, in the sixth chapter,

the conclusion, policy implication and also the suggestion of further studies will be

provided.

CHAPTER 2

REVIEW OF RELATED LITERATURES

2.1 Concepts of Social Capital

2.1.1 Definitions of Social Capital

The notion that the social relation, networks, norms and values matter and

have the crucial role in the functioning and development of society has long been

presented in economics, sociology, anthropology, and political science literature.

Nevertheless, the conception of social capital has been put forth as the unifying

concept embodying these multi-disciplinary views recently (Grootaert and Bastelaer,

2002).

Many scholars have tried to provide a definition to the concept of “social

capital”. Actually, it first obtained popularity and analytical teeth in James Coleman’s

work. He views the social capital as “social relationships which come into existence

when individuals attempt to make the best use of individual resources”. He mentions

that “if we begin with a theory of rational action, in which each actor has control over

interests in certain resources and events, the social capital constitutes a particular kind

of resource available to an actor.” In addition, he looks at social capital as “a variety

of different entities, with two elements in common:

1. They all consist of some aspect of social structure.

2. They facilitate certain actions of actors, whether personal or corporate

actors, within the structure.

In other word, social capital adheres to the structure of relationships between

actors. This broad concept includes vertical as well as horizontal associations, thus, it

will cover both positive and negative associations. (Coleman, 1990, cited in Pargal

et.al., 2000, and 1988 cited in Serageldin and Grootaert, 1997).

The concept was originated from Robert Putnam. The social capital in

Putnam’s view is in terms of resources that characterize societies, which has feature

8

9 social structure, such as, trust, norms, reciprocity, social networks that can improve

the efficiency of society by facilitating co-coordinated action (Putnam, 1993). In

addition, Putnam also equates social capital with the intensity of networks of civic

engagement. These social networks can be characterized as a set of “horizontal

associations” among people who share equal status and power. Hence, networks of

civic engagement will be an essential form of social capital; the denser the network in

the community, the more likely that its citizens will be able to cooperate for their

mutual benefit. Thus, trust and reciprocity, that sustain civic networks are self-

reinforcing because as networks become denser the cost of being opportunistic or

selfish behaviour increases.

However, his concept has been extended to include “vertical association”,

with an asymmetric relationships based on hierarchy and dependence, that may

produce undesirable outcomes, such as, groups of the Mafia. (Putnam, 1993 cited in

Serageldin and Grootaert, 1997).

Additionally, a more encompassing view of social capital includes the social

and political environment that enable norms to be developed and shape a social

structure, that is, this notion not only consists of the informal horizontal relationships

and the vertical hierarchical organizations, but also encompasses formalized

institutional relationships and structures, for instance, governments, political regimes

and the rule of law (Serageldin and Grootaert, 1997).

Even though there is no universally accepted definition of social capital,

Carroll (2001) concludes the usage of the term social capital as the trust, reciprocity,

norms and networks of civic engagement in a society that facilitates coordinated

action to achieve desired goals. If we live in a community with an active and trusted

neighborhood watch, we are definitely beneficial from our individual trustworthiness

and participation in the neighborhood watch patrols. Because of this public-good

characteristic, social capital appears to have been undervalued. It does not attract a

private investment and is often a by-product of other activities. As Coleman (1988)

mentions, social capital is a public good and requires investments of time on the part

of people who will not reap the complete benefits of their investment.

Moreover, when people in groups or communities have repeated interactions,

feel solidarity, and trust one another, the costs of completing a transaction are lower

10 than when people are afraid that their trust will be violated. It is trust that lead to

voluntary collaboration to overcome collective action dilemmas. The world-wide

success of indigenous rotating-credit societies, need collaboration to manage common

pool resources, as well as various arrangements among the poor farmers and small

firms to share labor and tools, are manifestations of social capital as a productive asset.

(Carroll, 2001).

In addition to the previous conceptions described earlier, other scholars,

such as Glaeser (2001), mentions that most economists think that the community-level

social capital is of the set of social resources that increase the welfare of the

communities. These social resources, such as norms and networks, can solve

economic problems. Better social connections, for instance, can get rid of free-

ridering problem in providing public goods, or they can create trust between

individuals in the absence of documented contracts. However, Glaeser argues that the

direct effect of social connections on utility probably becomes more important than

these indirect effects. He believes social capital at an individual level is a pre-requisite

for the formation of community social capital. Thus, the investment in individual

social capital leads to the creation of social capital in the community level. His simple

social capital model suggests that the individual will invest to the point where

marginal private costs equal marginal returns to social capital. Finally, he concludes

that individuals are more likely to invest in social capital when they are in their

communities for some time. Home ownership, thus, increases the level of this

investment.

2.1.2 Classification of Social Capital

From the previous definitions, there are different types and dimensions of

social capital. The following statements are the summarized classification.

2.1.2.1 Structural and Cognitive Social Capital

The structural social capital is associated with social organization of various

kinds, both informal network and formal organization, and particularly with roles and

11 rules while the cognitive social capital is based on mental processes and psychology

in the domain of ideas and includes particularly norms, values, attitudes, and beliefs.

Both structural and cognitive social capitals concurrently affect the behavior

of persons, in both individuals and groups, and are highly interdependent of each

other. However, the major difference is that the latter is very hard to change by

deliberate interventions since it represents an historic accumulation through cultural

norms whereas the former manifests itself in different kinds of specific organizations

and can be influenced by investment incentives and policies in a medium run.

In addition to playing the roles of social capital, whether the impetus has

come via structural or cognitive causes, social capital evolves into the shared

knowledge and patterns of interaction a group of individuals adopting in dealing with

each other. These individuals can be a far more productive with their endowment,

which they have, if they can make an agreement for co-ordination and commit

themselves credibly to a sequence of future actions.

2.1.2.2 Bonds and Bridges

Molinas (2002) argues that bonding social capital refers to relations among

family members, close friends, and neighbors whereas bridging social capital refers to

relations among more distant associates and colleagues who have somewhat different

demographic characteristics, regardless of how well they know each other.

Intra-community ties or bonds are the social relations within communities

and groups of a similar cultural background and extra-community ties are the

relationships between dissimilar individuals and groups. (Carroll 2001). The reasons

why economic groups in poor communities need to forge extra-group linkages are as

follows.

- The economic and non-economic claims of community members can be

resisted when they are threatened to undermine the group’s economic viability and

expansion.

- The entry to more sophisticated factors and the product market can be

secured.

12 Narayan (1998) mentions that the voluntary cross-cutting networks,

associations and related norms, based in every day social interaction, lead to the

collective good of citizens, whereas networks and associations consisting of primary

social groups without cross-cutting ties, create the betterment of only those groups.

Furthermore, in order for every society to institute social capital, for social well-being

or the collective good, a transition from exclusive loyalty, to primary social groups,

and to networks of secondary associations, whose most important characteristic is that

they bring together people who in some ways are different from themselves, are need

to occur. Cross-cutting ties which are dense and voluntary, though not necessarily

strong, help connect people with access to the different information, resources and

opportunities. These are reflected in the right-hand side of figure 1.1. In addition,

when people get to know others who are different from themselves, there is less

likelihood that social difference will grow into divisive social cleavages. On the other

hand, the social fabric may comprise primary social groups with few inter-

connections between groups or consist of groups with inherent power asymmetrics

such as the caste system in India (see the left-hand half of figure 1.1). These societies

are likely to be characterized by social exclusion and polarization at best and by

corruption at worst, where the disadvantaged coped by depending on the informal

social mechanisms for livelihood and security.

Moreover, this framework in figure 1.1 is helpful in capturing the

relationships between social capital and the state institutions. The vertical axis in such

figures indicates the level in functioning of state. Under conditions of good

governance, the functioning state complements the functions of informal social

groups. In the societies where primary social groups are connected through cross-

cutting ties, economic prosperity will result. On the other hand, when societies’ social

capital inheres mainly in primary social groups that are disconnected from one

another, the more powerful groups will dominate the governance structures to the

exclusion of other groups. These societies are characterized as latent conflict. As the

efficacy of government deteriorates, informal social groups become substitutes for the

state.

13

Figure 2.1

Relationship between cross-cutting ties and good governance

As the previous framework outlines, the intervention of the state or markets,

aiming for economic prosperity, needs to take into account the underlying social

organization and actively facilitates cross-cutting social interactions. It is meant that

in creating economic, political, institutional, and social incentives to help build

physical and social space in which cross-cutting or bridging linkages among people

from difference social groups should begin to emerge.

2.1.2.3 Vertical and Horizontal Linkages

‘Horizontal’ social capital implies egalitarian forms of reciprocity. Each

member of the community is expected to give and gain status and gain pleasure from

doing so, with the expectation that each is to receive as well.

On the other hand, Vertical social capital, or ‘Hierarchical’ social capital,

while it is also built on norms, reciprocity, and mutual trust is quite different.

Traditional patron-client relationship, expressed in feudal tenancy, money lending,

political patronage, or mafia protection are in this nature of hierarchical social capital.

The greater the stratification of a society in class, status, and income, the more virtual

2. Exclusion 1. Social and economic Well-being

Dysfunctional states

3. Conflict 4. Coping

Source: Narayan, 2002

A Well-functioning State

High cross-cutting ties (civic engagement)

Low cross-cutting ties

14 ties prevail. The hierarchical social system, specifically in slums, also has

empowering patron, and mafia influences. This may obstruct the role of party, in

building or operating organization and in showing disapproval. It can cause people to

go out of their way to avoid conflicts or making controversy in deference to elites

with the expectation that troublesome issues will be either resolved themselves or be

dealt with by the appropriate patron or elite groups. This is an important weak point of

some types of social networks but the intervention from outside, NGOs or

government, might solve this problem. On the other hand, it is necessary to take into

account the possible losses of security maintained by such a patronage, which may

damage rather than enhance social capital.

2.1.3 Theory describing Social Capital

Many theories are closely related to social capital and one of these theories

is the ‘Game Theory’. The prisoner’s dilemma is highlighted in the game theory that

can explain the importance of co-operation for efficient resource allocation.

It is known that the basic cause of a prisoner’s dilemma is lack of

communication and mutual trust between transacting parties. Thus, it should be

prevented by the formation of trust through the development of a community

relationship. Certainly, the repeated transactions, such as in form of co-operation

activities, that are expected to continue over a long time have the power to protect

transacting parties from the pitfall of the prisoner’s dilemma situation. Hence, mutual

trust created through long time and multiple transactions will not only be effective in

suppressing the moral hazard between the contracting parties, but can also promote

the collaborative relationships within the wider communities.

The reason why the cooperation is finally generated in playing repeated

games is that people are likely to expect that they will obtain higher payoffs in the

future from co-operating with others than that in the present from exercising

opportunism. This is so because, with such moral behaviour, it can cost them from

social opprobrium and ostracism. Especially, in a small and closed community

characterized by high degree of information sharing through close personal interaction,

the cost of such opprobrium will be large (Hayami, 2001).

15 When people believe that their individual long-term benefits will exceed

their long-time costs, they will find a set of rules on which they can agree, and then

adopt strategies that do not constantly challenge the delicate balance of mutual

expectations that they have in order to maintain the system going over the long run.

Some persons may be left much better off than others. Nevertheless, the less

advantages must perceive that they obtain a positive gain from participating very

much or else they will not voluntarily participate. Hence, individual incentives depend

on the expectations, the viability of the rules that they have established, their

consequent beliefs concerning overall net benefits, and the distribution of benefits and

costs.

2.1.4 Positive and Negative Effects of Social Capital

There are several mechanisms through which social capital might affect

economic performances, such as growth, equity, or poverty alleviation. Social capital

can have impact on economic outcomes, through encouraging associations and

institutions to provide an informal framework to organize, whether information

sharing, coordination of activities, or collective decision making.

Firstly, information sharing, an important key for poverty alleviation, will

reduce market failure since, in uncertainty over a future state, information-sharing

role of social capital may create mutual knowledge about how agents will respond to

different state. Moreover, it can prevent agents who derive benefits from relaying on

incorrect information to the other. In other word, social capital will help reduce

informatiom asymmetrics; lower transaction cost and increases the enforceability of

contracts.

Secondly, the cohesive association helps reduce opportunistic behavior by

creating repeated interaction among individuals to strengthen trustworthy.

Thirdly, collective decision making is a necessary condition for the

provision of public goods and management of externalities. In some societies or

communities which consist of public resources (for example, land, water,

infrastructure, etc.), these societies are necessary to making collective decisions about

how to jointly benefit from those resources for a long time.

16 Noticeably, these processes will work well when they consist of a common

set of social norms, and sanction.

Ultimately, Social capital can increase welfare by increasing the likelihood

of co-operative behaviour in the prisoner’s dilemma problems, in the private provision

of public goods, and in the management of common property resources (Grootaert,

1998; Grootaert and Bastelaer, 2002).

However, social capital might have negative effects on welfare of the agents

in some societies. For instance, as mentioned above, vertical social capital illustrates

the inequality of relationships. Someone may possess more benefits generated from

the coordination within the network than others. Dasgupta (2005) mentions that,

within networks, it is probable to see the weak points of social capital especially when

members have resided together for a long period. In some societies, the exclusion and

inequalities among the agents in type of patron-client relation lead those societies to

exploitation. The client may be worst off from this association more than he would be

when it is absent.

2.1.5 Measuring Social Capital and Its Outcomes

To measure social capital, it is necessary to know the economic effects of

social capital that are evaluated. In other words, in order to account for the effects of

social capital on economic outcomes, the economic outcomes will be in turn used to

measure social capital. The proxy indicators that measure the outcomes will be

utilized since it is difficult to directly measure levels of social capital.

Several useful proxies have been identified for measuring social capital.

Grootaert and Bastelaer (2002) argue about the indicators, in which should be focused

on, and also classified them into three types of proxies as follow:

1. Membership in local associations and networks

The membership in local associations is used as an indicator of the structural

social capital. It consists of counting the associations and their members and

measuring various aspects of membership, such as internal heterogeneity, and

institutional functioning, e.g. the extent of democratic decision making. In the case of

networks, which are less formal, the key information is the scope of the network and

17 the internal diversity of its membership. This type of proxies is an input indicator

since it is the vehicle through which social capital can be acquired.

2. Indicators of trust and adherence to norms

This cognitive social capital measuring requires asking respondents about

their expectations about experiences with behaviour requiring trust. Trust can be seen

as an output or input indicator or even as a direct measure of social capital.

3. Indicators of collective action

The provision of many services requires collective action by a group of

individuals. The extent to which this collective action performs can be measured and

is an indicator of underlying social cohesion, at least to the extent that the cooperation

is not imposed by an external force, such as the government. Obviously, this proxy is

an output indicator.

2.2 Social Capital and Environmental and Housing Development in Urban Slum

2.2.1 Environmental and Housing Problems and Development in Urban

Slum

Housing problems of the urban poor seem to have started at the end of the

Second World War when people began to move to the cities. For being the line of

thought in the development, the application of the National Economic and Social Plan

led the Thai economy rapidly grow, especially in the industrial and service sectors.

This, in turn, created structural change of labour in the production process, i.e. the

decrease of demand for labour in the agricultural sector and a rapid increase in

demand for labour in the industrial and service sectors. This gradual change is the

important factor which has pulled the rural labours to urban areas (CTF, 2000).

Number of population of the Bangkok Metropolitan Region, or Thailand’s

capacity city, grew rapidly in the 1980s (from 5.7 million in 1980 to 10.8 million in

1990) because of the migration of population from rural region (National Statistical

18 Office, 1993 cited in Daniere et.al., 2002). Figure 2.2 indicates the increase of the

amount of population from 1991 to 2003.

Figure 2.2

Bangkok Population in 1991 to 2003

1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003

Note: See source of data in Appendix A.

Additionally, because of their relatively low-income level, as well as

expensive and rising land prices, many Bangkok residents find it necessary to live in

slums or squatter communities that are extremely crowded and unsanitary. According

to Setchell (1992), 1400 physically separate slums in the metropolitan area were home

to about 300,000 households, or approximately 1.7 million persons, in 1992. For

Bangkok in 2000, about 1,000 slums are scattered throughout its area (CTF, 2000). In

2003, from the survey of the Community Development Office, Bangkok Metropolitan

Administration, Bangkok area has 810 slums and, from information of CODI (2005),

825 communities, or 80,839 households, scatter in almost all of 50 districts of

Bangkok in 2005.

As with most cities in the developing countries, most of the slum population,

who is illegally living in the unoccupied lands, is likely to face the eviction. In 2000,

Bangkok Populaion in 1991 to 2003

5 ,400 , 000 5 ,450 , 000 5 ,500 , 000 5 ,550 , 000 5 ,600 , 000 5 ,650 , 000 5 ,700 , 000 5 ,750 , 000 5 ,800 , 000 5 ,850 , 000 5 ,900 , 000

Year

Population

19 such housing insecurity problems of Thailand’s low-income urban communities could

be classified as in Table 2.1

Table 2.1

The Housing Insecurity Problems of Urban Communities in Thailand in 2000

Type of Communities Number of Number of

Communities Households (million)

1. Communities facing Eviction Problems 445 0.20

1.1 Being Evicted 180

1.2 Expanding the Rumour of Eviction 265

2. Communities Living in the Invaded Lands 692 0.18

3. Communities Living in the leased Lands 1,041 0.30

4. Communities Living in the leased and

Invaded Lands 2,019 0.67

5. People Living Outside the Community 0.37

Source: CODI, 2000.

In Bangkok, the slum dwellers and squatters are vulnerable because they

lack tenure security. Without tenure security, households are less likely to invest in

housing and it might hamper them to access to public services. According to a study

in five low income communities in Bangkok and suburban areas, namely Ruam

Samakkee, Railroad Slum in downtown, one slum in Pathum Thani Province, Klong

Toey, and one slum in Samut Prakarn Province of Daniere et.al. (2002), land right is

the crucial problem for two-thirds of all residents in the first three communities, all of

whom have been facing eviction on a permanent basis. In addition, these communities

also are confronted with the problems of unsanitary conditions, such as, water and

solid waste lying beneath houses, the children’s poor health, the prevalence of

mosquitoes and vermin, etc. Daniere and Takahashi (1999) claim the study of Setchell

(1992) who finds that there approximately 20% of Bangkok residents living in

settlements that had inadequate waste and sanitation facilities, contaminated water,

and erratic and unsafe supplies of electricity.

20 Hence, the housing condition management of urban areas has gradually

become the important issue for the development including in economic aspects since

the housing and environmental destruction may result in hampering economic growth,

as well as threatening the health and well-being of the local population.

Some approaches for housing problem solving in the past are as follow.

In the first period of the development, began after the Second World War

ended, the success of Singapore in solving housing problem by building flats for the

poor population stimulated the establishment of the National Housing Authority in the

late of 1960’s in many countries. For Thailand, in the beginning of period,

constructing flats of the National Housing Authority was conforming to the Singapore

manner. Nevertheless, this idea was cancelled and has improved finally since

providing the habitation of government as the flat construction had a lot of restriction,

for instance, this approach required abundant money and did not solve the rapid

expansion of housing problem.

In the second period, counting from 1977 to 1987, the World Bank carried

forward to the new approach for the housing development that is the improvement in

the former habitation or ‘slum upgrading’. The government would help construct

some parts of housing and infrastructure and then the residents will have to build

houses by themselves. This approach has been developed continuously and can solve

environmental and basic infrastructure problems. In addition, with this development

approach, the status of slum dwellers is accepted as members of the society.

However, in the late of 1970’s and until the middle of 1980’s, the prosperous

economy caused the market system becoming to have a crucial role in housing

solving. The privates would provide land and construct houses. They also obtain

supporting fund from the government. However, because landowners will force the

low-income dwellers to return their lands for making economical development, the

booming economy and the resulting climbing up in land price make the violent

eviction problem worse. For many countries, such as the Philippines, Thailand, Korea,

etc., when the economies grew fast, the eviction problem increased as well.

Later, Thailand had attempted to seek a better way for both slum residents

and landowners. That approach was called ‘Land Sharing’. The dwellers still are able

21 to live in the former land by purchasing or leasing land from the owners. Such owners

also receive a part of divided land.

In addition, in 1987, an assembling group of the community has been

initiated to collectively solve housing problems. The communities will play the role of

being the center in determining the requirement, including designing community

plans and harmonizing with their ability to construct their own houses, whereas the

government will help support the needed basic infrastructures. The habitation

development is one part of community development which covers other developments

whether social welfare, saving, or communal business. The experiences from this

approach generate the establishment of Urban Community Development Office

(UCDO), which has finally become the Community Organization Development

Institute (CODI) that has worked by adhering to this concept until the recent time.

Obviously, in the beginning phase, the development in housing and

environment of slums by government organizations was implemented without

regarding the public participation or opinion from slum dwellers, which cause a

missing of the important point and the satisfaction of the dwellers. Additionally, with

this problem-solving approach, the slum residents would not realize that the

development provided belongs to them. Daniere et.al. (2002) mention that it was

typical of many urban infrastructure development initiatives which were mostly

generated from a top-down planning decisions. As a consequent, it is unlikely that

low-income residents requested these services, particularly not those with informal

land tenure arrangements that are often refused public services as a result of their

illegality.

Nevertheless, as previous statement quoted, the development in time

emphasized the participation among residents themselves and between them and

outsiders, both the government and privates. For example, a mean in working of

CODI as mentioned earlier, or the concept in management new housing of Bangkok

Metropolitan Administration (BMA) in 1999 that endeavours to create the

cooperation of slum dwellers, living in a community faced with housing problems,

which has the important principles of this idea in development that consist of :-

1. The planning process should originate from the collaborative work, both

from people and local authorities.

22

2. In solving the housing problems, the development of financial capacity is

one of the necessary factors, for instance, the savings group or

cooperatives establishment for usefulness in asking for the housing credit

approval.

3. The community has to determine regulations as follow:-

3.1) Agreement in land leasing between tenants and landlords

3.2) Rules in movement to new sites

3.3) Set a plan for housing construction

4. In their new community, the urban villagers have to help construct their

houses together, and also build and maintain public areas by themselves.

From such a concept, regarding the participation, Kumemongkol (2005)

argues that characteristic of involvement of slum dwellers to find new living areas

were divided into three types. Firstly, they can join in the planning decision on living

areas. Secondly, they can join in building new houses. Finally, they can join in

checking on progress of the operation to develop new living area further.

In addition to such a development approach which emphasizes the

participation among the dwellers, the collective planning and developing between the

community and outsiders, whether governmental or private sectors, to solve the city-

wide level problems has become a new process. Many programs, whether they deal

with the housing management or not, apply this mean for the development objectives,

such as the Social Investment Fund (SIF) and the other example. The project “Urban

Community Environmental Activities (UCEA)”, Phase I and II, had been operated by

CODI and Chumchonthai Foundation (CTF) in 1996 to 2003 with getting funding

from the Danish Cooperation for Environment and Development (DANCED), aiming

to implement the concept of community-driven development process, as was

previously mentioned, in solving the slum housing and environmental problems. In

particular, the project in Phase II encouraged the mechanism of cooperation not only

at community level but also community network level as well as the creation of

innovative prototypes in urban community’s environment development. This project

helps serve as the prototype for the important subsequent project, that is, the so-called

the “Baan Mankong Program.” Such the project has been implemented due mainly to

the development objectives as the following.

23

1. To decentralize community-driven housing problem solving in urban low-

income areas by creating an opportunity for existing slum communities to be the key

factors to actively participate with multi-stakeholders and partners in the local

development process. By this way, the slum dwellers’ problems can be straight

forwardly solved.

2. To strengthen community the social development process and community

organization by promoting a more comprehensive community improvement process,

encompassing issues of welfare, economical and social development.

3. To make use of the powerful integrated upgrading process to strengthen

the capacity of community in management, negotiation and linkages with local

development partners to form a city-level housing development. (CODI, 2003)

Eventually, solving and developing housing and environmental conditions of

slum communities would be able to spread over the city wide, in a sustainable manner,

if every partner, slum dwellers themselves, local authority’s government and privates,

intermediary institutions as NGOs, or even the middle class neighborhoods put a

serious concern and collectively cooperate in such issues.

2.2.2 Social Capital, Environmental and Housing Development in Urban

Slums

Lee (1998) proposes an idea about the urban environmental management,

case study of three slums in Yannawa District in Bangkok, namely, ‘Chea Pleung I’

‘Chea Pleung II’ and ‘Bua Luang’. Lee finds that, in housing and environmental

problem solving, the interaction between and among intermediary institutions, low-

income communities and municipal authorities have a critical role.

Overall, in developing the community capacity to be able to deal with

environmental and other communal problems, the intermediary institutions have

principally played a crucial role in facilitating. They make available to the community

organizations funding and technical advice and drawing upon part of their capital or

collateral to obtain credit from national governments or international funding agencies

to improve low-income communities. They can facilitate the successful

implementation of a community-based effort through an empowering strategy for the

24 poor communities by improving their access to important environmental resources,

particularly land, and also infrastructure and services necessary for environmental

management. These agencies have to encourage community residents to participate

actively in community-wide projects and some agencies help establish networks of

community-based organizations to exchange development experiences and assist each

other, especially in situation of eviction. Most of intermediary institutions are NGOs,

and some of them are the research organizations, labor unions, religious institutions,

etc.

In addition to the intermediary institutions, the linkages with larger

administrative networks, such as municipalities, to receive supporting in infrastructure

and services are still required for the development in the community level. However,

it is likely that what the grassroots need from the outside institutions as local

government is the more direct empowerment of the community as a legitimate level

of decision making in allocation of public resources, as mentioned in section 2.2.1

(Daniere et.al, 2002). Thus, the intermediary institutions can also help reinforce the

linkages between the communities and the wider political processes, such as the BMA,

in order to gain access to public resources. For example, the intermediaries facilitate

communities by obtaining the house registration numbers to apply for receiving

certain municipal service such as piped water supply, etc.

The detail of Lee’s study in three slums in Bangkok seems to suggest that,

from the experiences of these three communities, despite the lack of land tenure

security in these communities, with stimulus of external agencies especially NGOs,

the residents could cooperate and invest in communal infrastructure, such as piped

water supply, to improve their housing condition. From the in-depth interview with 99,

100 and 50 villagers of Chea Pleung I and II and Bua Luang respectively, the

overwhelming majority of residents and also renters are satisfied with their sanitation

facilities. However, approximately 60-90% of the residents in all communities think

that the local government should be responsible for the uncollected garbage and for

the problem of flooding. Additionally, the number of slum dwellers who belong to the

community membership organizations is less than the numbers of those who do not

belonging to organizations. Nevertheless, the proportion of villagers who often and

25 sometimes participate in activities of these organizations is higher than those who do

not cooperate. This is true in two of these communities, Chea Pleung I and II.

The crucial observations of participation in the environmental management

are, firstly, that the activities may probably be discontinue in the projects initiated by

external agencies if these outsiders, either NGOs or government authorities,

unilaterally implement and terminate projects with minimal or no inputs from the

target groups. Secondly, the discontinuity also emerges when two or more outside

agencies fail to coordinate their respective activities with each other in the same target

community. Thirdly, the interactions between NGOs and government offices are

working as mostly advisory and consultative in Thailand. The concrete example of

increased government-NGOs cooperation in working with urban communities is the

establishment of UCDO and CODI. Nevertheless, one of the major problems in

maintaining this kind of relationship is the high turnover rate of staff in both the

district offices and NGOs. Fourthly, the existence of environmental management is

also afflicted by major free-ridering problems, such as the substantial amount of

uncollected waste that is found scattered in lanes and waterways.

Eventually, with key inputs provided by intermediary institutions, it is

possible to address some of the environmental condition concerning within the

communities by generating models of participation with a high level of contribution

of community and also encouraging and maintaining the coordination between

communities and external agencies.

In addition to Lee’s study, Pargal et.al (2000) also studies the role of social

capital in private and community-based provision of the public good, such as the

garbage collection system in Dhaka Bangladesh. Specifically, they attempt to identify

forms of social capital which affect the collective action, or the existence of a

voluntary solid waste management system. Thus, they precede the in-depth interviews

with 650 urban lower-to upper-middle-class households in 65 neighborhoods. Then,

four probit regression models were generated, where the social capital proxies and

other factors are the regressors whereas the formation of a voluntary solid waste

management system in the neighborhood is the endogenous variable. The difference

among each model is such social capital proxies that are utilized. The first model uses

‘trust score’ as an indicator, the second one uses a ‘reciprocity score’, the third one

26 uses a ‘sharing score’, and the last one includes all of the three proxies. These proxy

indicators are measured through a point of view of households. Finally, after the

estimation, the results for these four regressions show that the largest and most

significant effect from a single social capital variable on the probability that a

voluntary solid waste management system will be formed is due mainly to the

strength of norms of reciprocity. In contrast, trust is not an important determinant.

Pargal et.al conjectured that the relatively low stake involved and the transactional

nature of coordinated action for solid waste disposal may indicate that trust between

neighbors is not particularly important for the formation of systems. Additionally,

other variables, such as, a median per capita income, a number of existing public

good-oriented associations and neighborhood size are not significantly associated

with the existence of the system.

Pargal et.al, finally, concluded that the implementation of public-private

partnership or self-help schemes is more likely to be successful in neighborhoods in

which the level of social capital is found to be high. Therefore, social capital proxies

can be used as the predictors of success when targeting neighborhoods for

interventions, projects or programs.

In addition, Daniere et.al (2002) studies social capital and environmental

management in five communities in Bangkok, as briefly mentioned in section 2.2.1,

whereby the in-depth interview with households to evaluate how social networks and

community governance structures affect local environmental management practices.

To evaluate social capital, Daniere et.al measure both intra and extra community ties.

Firstly, measuring social integrations is the assessment of intra-community support

systems, social ties and general trust, for example, the evaluation of the community

participation in community groups and projects including the environmental

improvement activities. The result suggests that at least 56% of households in four

communities regularly participated in the community project operated in previous

year, except households of slums in Pathum Thani, in which the residents are widely

dispersed and face the threat of eviction, participated with only 25% of all households.

Moreover, in these four communities, almost all residents claim to dispose of their

waste in bins directly serviced by BMA and also pay for their waste disposal service.

By contrast, in Pathum Thani, only 45% of all households dispose of their waste in

27 bins. This shows that it has relatively low social integration since they have been

unable to organize community-centered methods of disposing of solid waste, which

contribute less to environmental pollution than methods of individual disposal.

Secondly, the measurement in social linkages is the other aspect that Daniere

et.al.(2002) consider. For examples, in the assessment of inter-community networks,

households would be asked about their reliance upon and trust in government officials

and NGOs, the community’s efforts to obtain help from outside groups for expertise

and resources and the community’s willingness to appeal for additional government

resources for community betterment. This willingness and capacity among

community group members in working with government and NGOs would reflect that

the community has exhibited a commitment to develop extra-community networks.

The factual results, finally, suggest that many residents reported that the government,

in response to community outreach, has responded positively. For instance, four

communities, except slums in Pathum Thani, felt that the BMA have helped to resolve

garbage collection problems. In the case of Ruam Samakkee, BMA and the

Department of Public Works have been very helpful. For example, when the canals

were lined with cement, the BMA offered to pay for the cost in part of the bridge over

it which greatly increased safety for the residents. In the study of trustworthiness level

of government officers and NGOs, the communities reported that, overall, Klong

Toey, Ruam Samakkee and the slums in Pathum Thani appear to have had fewer

reliable linkages with public and NGO officials who might offer development

assistance.

From the study, Daniere et.al concluded that, firstly, the communities that

appear to share many of the socio-economic characteristics may contain very different

endowments and forms of social capital. Hence, they probably have very different

capacities to engage in welfare-increasing collective action. Secondly, in the

communities in which the majority of households are very poor, it is quite difficult to

develop a productive social network. The relationships are two ways undoubtedly,

that is, the relative poverty of some communities as the slums in Pathum Thani is

partly caused by a lack of social capital among residents. The investment in such

social capital will most likely be more costly than in relatively well-off communities.

28 Eventually, in planning for development, whether for environmental

management or not, the mobilization of social capital for development objectives

should be realized in the following issues. First, forms of social capital within each

community should be assessed prior to project implementation since they can

critically affect the probability of success of a project. For instance, only specific

forms of social capital might effectively leverage and mobilize environmental

improvements.

Second, policies designed to create or reinforce social capital needs to be

treated carefully since these projects may detrimentally affect the existing complex

social relations. This may be particularly true in very poor communities because

households struggling to seek basic needs are less likely to respond to available

incentives that are designed to create social capital. For example, such households

might not have time to serve on a new water user’s association. Thus, without

adequate significant financial resources, land status, and access to public services, the

projects implemented to mobilize and increase social capital for collective action may

do little to improve their well-being.

Therefore, if external agencies, whether government, international donors, or

NGOs make any attempt to promote collective action to improve well-being, they

must concurrently address basic issues of poverty and public health in order to cope

effectively with environment degradation. In other word, if the basic needs are taken

into account, then the community-based environmental improvements can be

distributed more equitably across diverse communities.

In sum, the environmental and housing development in urban, especially in

slums, can be generated and extended, if these low-income communities obtain the

encouragement from the external organizations, by supporting the resources or

stimulating dwellers to coordinate in community projects. In addition, the important

factors which influencing the existence of the development in the community are the

relationships among community dwellers, between communities and outsiders,

including the linkages among the external agencies. It might be stated that these

relations and networks, referred to forms of social capital, are the indicators of

success and sustainability in community development, particularly, in project

implementation. However, the forms of social capital in each neighborhood should be

29 realized and evaluated to facilitate for mobilizing and creating social capital through

project improving well-being and also to maintain the existing social capital.

2.3 Social Capital and the Progress of “Baan Mankong Program”

2.3.1 Evaluation of Progress Processes in the Housing Problem Solving

Program, “Baan Mankong Program”

In general, the development program planning follows the format of the

project cycle. Even though the steps of operating project are not clearly separated in

between the steps, the division of these stages in this cycle is necessary to indicate

that the decision process regarding planning and pursuing the project can occur at any

time. These steps consist of:

1.Project Identification

2.Project preparation and feasibility study

3.Project appraisal

4.Project implementation

5.Project evaluation

The last step of the cycle consideration is the assessment of the project

performance against the original blueprint about the differences between the factual

processes and the plan determined. The evaluation can be operated not only when

such a project have been completed, but also throughout every stage of the project. a

If the assessment is operated in the period of investment processes, the evaluation is

likely to concern itself with the problems occurring in those processes, for instance,

the construction has continued strict to the plan the plan and the period of time. This

assessment information will be useful for changing a plan which have not been

preceded yet, and will facilitate the preparation of other programs. If the evaluation

goes forward in the period that the investment is almost or perfectly completed, it will

probably aim at assessing the development of outputs generated from the project,

whether in aspects of management, cooperation or economics (Tappan, 1998).

In part of the evaluation in project of environmental and housing

development, one project example, Urban Community Environmental Activities

30 (UCEA), mentioned in section 2.2.1, which encouraged the community-driven

environmental development in urban poor slums, the performances of the project in

Phase I after running for one years was evaluated. The purposes of such assessment

were

• To perceive the processes of the operation which are related to the objective

of the project.

• To examine the performances which achieve the objective of the project.

• To verify the restrictions and factors which affect to the efficiency of such

a project.

• To recommend the suggestion to the project development.

The assessment indicates that outputs of the project consist of the

environmental and infrastructure development. In addition, the community’s members

in communities have received the convenience and the complete infrastructure

systems.

For the “Baan Mankong Program”, in 2003, the Faculty of Environment and

Resource Studies, Mahidol University, Vimut Prasertpunt and company proposed the

initial stage evolution and also policy evaluation to CODI. The results of research can

be concluded that dwellers who are living in communities, selected to be the first

round pilot projects5, receiving the satisfaction in these issues as the following.

• The land and housing insecurity problem can be solved.

• The local economy can stimulate the increase in saving and the decrease of

informal liabilities, the securitization or the transformation of assets, land

and house, to be sources of funding.

• The social problems, such as drugs, decreases

• The communities are regulated and they have the property rights in land,

especially long-term leases.

In addition, in January up to May 2005, the other evaluation project had

been operated by researchers from the Faculty of Social Administration at Thammasat

5

The ten pilot projects had been studied in such evaluation (see list of these communities in Appendix B). The in-depth interview in leaders, mayors and officers in areas, whether from CODI or NGOs. Additionally, the focus groups setting and the examination of researches also the methodology of this assessment project.

31 University, lead by Dr. Jitti Mongkonchaiaranya.6 The results from this project were

presented to CODI. The objectives of the evaluation are the following:

• To assess level of project performance by comparing outputs and the

objectives of project

• To evaluate the impacts, both the pros and cons, to low-income households

• To analyze the restrictions and factors affecting the sustainability of such a

project and also propose the suggestion for the project development in the

future.

The framework utilized in this assessment that consists of the following

themes:

1.The participation between residents and multi-stakeholders

2.The capacity of organization and good governance

3.Productivity and public accountability

4.The sustainability of the project

The areas studied comprise of 26 communities of every region, northeast,

central, north, south and Bangkok7. In the assessment, the researchers determined

eighteen indices for evaluation. There were eleven indices measuring level of

performance in a period before the construction had started. They consist of:

1.The public relation: making an understanding on the project among leaders,

villagers and multi stakeholders

2.The selection of pilot project in each area

3.The establishment of city mechanism to be core in operating the project in

each area

4.The encouragement of the process in learning to apply knowledge for the

project operation

5.The survey of household information

6.The formation of committees and volunteers to work in each area

6

The methodology in survey was similar to the first evaluation, but the steps may have more details. 7

In Bangkok, sample communities are Shang Tip cooperative, Suan Pool, Kon Rhai Baan and Khlong Lam Noon and number of villagers who answered the questionnaires was 27, 37, 0, and 27 respectively. Number of committees and members in focus groups were 9, 9, 12 and 3 in order and amount of managerial persons who were interviewed was 1.

32

7.The establishment of savings groups, or cooperatives for housing

development

8.The design in community plan and infrastructure system, the rearrangement

of land right including the consideration in land and housing loan

9.The scheme for expenditures, budgets and forms of approval

10. The design house and price assessment

11. The analysis and preparation in plan for asking for loan approval

The next three indices created are constructed to measure successful level in

the period of construction.

12. The preparation for construction: checking the material price, hiring

contractors and expanding duties

13. The operation in construction: managing materials, budget, wages, etc.

14. The inspection in the construction

The last four indices was aimed to assess the project after the process of

construction is finished

15. The satisfaction of members to get new houses

16. The implementation in a community welfare system and development in

skills for labour

17. The ability to repay loan

18. The special activities which help develop learning and coordinating

The scale of scores is divided into three levels starting from value of 1 to 3.

If the project in a community is highly successful, the score will be ‘3’.

By using these indicators, the researchers found that 14 communities could

operate their project successfully, including ‘Shang Tip Cooperative’ and ‘Suan Pool’

community which are located in Bangkok. There are 6 communities that could

proceed their project in a moderate level and 6 communities need to improve their

operation.

Additionally, the overall picture of the success of the project in each

community, comparing with the project objectives, is reflected through 10 indices as

follow:

1. The solving of land and housing insecurity problems

2. The development of livable habitation

33 3. The development of infrastructure system and environmental management

4. The plan generating the coordination, both between communities

5. The community status is acceptable

6. The efficient management system

7. The establishment of savings group

8. The cooperation and unity within community

9. The information exchange within and outside community

10. The city mechanism generated for the development

The scale of scores is divided into three levels starting from value of 1 to 3,

and ‘n.a.’ for the community which does not proceed yet.

Most communities have been ranked in ‘moderate’ success level, 45.20% of

all communities. Their main characteristics are the efficient and transparent

management system, the coordination of dwellers, the knowledge exchange and the

city mechanism generated. 35.62% of total communities has been ranked in ‘high’

successful level. These communities can remedy their own housing insecurity, their

status is acceptable, and savings group and community welfare are developed.

In addition, the level of cooperation among villagers is also assessed by

themselves. The results show that the dwellers have participated in some processes in

quite high proportion: 63% of sample dwellers has coordinated in solving land

problem, 50% has helped design a new community layout, 53% has participated in

design house styles and 50% has cooperated in regulating rules for the project

operation. However, in some processes, members rarely have an opportunity of

coordination. There are only 38% of members who work as the committees or

volunteers. There are 31% of members have been hired labours in construction and

38% has cooperated in training activities and the study trips.

In sum, from the previous part, the broad concept of the project assessment,

especially projects designed for the sake of social welfare, has been presented. The

analysis of the project performance can be operated through the consideration in the

working processes against the original blueprint and the project objectives.

Even though this study does not directly aim at evaluating “Baan Mankong

Program” performance in detail, it intends to study the progress of processes

34 generated by the influence of factors underlying. The project assessment concept will

be applied since it is necessary that each step of the project process should be

consistent with the plan and objective achievement. Hence, in section 5.3, the project

evaluation concept and also the literatures involving the assessment of the “Baan

Mankong Program” will be applied in the identification of progress of the project for

this study.

2.3.2 Factors Determining the Operation of Housing Problem Solving

Program, “Baan Mankong Program”

According to section 2.2, it is obvious, in managing environmental

conditions including rearranging the habitation, the participation, among and between

community dwellers and community networks, local authorities, become the

important factors determining the success of housing projects for the poor since these

slum dwellers can collectively develop their habitation to fulfill to their desire with

understanding and supporting from these local organizations. Moreover, the housing

development in such forms, which need and stimulate participatory actions of people,

can also encourage to solve problems and develop housing, environment and also

other areas of development in a nation-wide level.

Lee (1998) mentions the general framework for the study on environmental

management in poor communities at the community level consisting of these themes

as follow. Firstly, it is difficult for low-income groups to access to basic infrastructure

or service, either individually or collectively, without some form of technical support

and other resources from external agents. Moreover, Daniere and Takahashi (1999)

argue that in some areas of the development especially in the efforts of the

environmental protection and investment in basic sanitation infrastructure that require

the participation of local residents to be successful need to be emanated largely from

agencies and institutions outside national boundaries. Hence, these agents, which

could provide support to communities, have become one of the important factors in

improving their living environment condition.

Several tasks relating to encourage communities in such empowering

strategy can be initiated and undertaken by these intermediary institutions, especially

35 NGOs, that is, building the enhancement of the cohesiveness and strengthening the

organizational fabric of each community, through innovation participatory tools, such

as formation the effective committee system or a leader group which is the

prerequisite to mobilizing the residents within community for communal undertakings.

Nevertheless, it is possible that the establishment of committees and community

membership organizations does not lead to a panacea for all or even some parts of the

community-level environmental and social problems. In addition, these agencies also

improve the community’s access to financial resources whereby innovative credit

provide the technical skills about accounting, management, monitoring and evaluating.

In addition, the capacity of communities to engage collectively in

environmental problem solving is contingent upon a particular set of the

circumstances and political, social, economic, and cultural configuration that force

reciprocal and cooperative relationships in the communities, for instance, the state

interventions, economy structure, social and cultural institutions. Lee argues that there

are the constellations of factors that are conductive to the collective initiatives which

these factors are composed of the dedication and commitment of outside and internal

organizations, the resourcefulness and ingenuity of community leadership and other

unexpected sources of empowerment.

In addition to the capability of intermediaries, the relationship between

community organization and outsiders, or even among external agencies, the

capabilities of leaders and also other circumstances have also effect on environmental

and housing management.

Another example of the study in factors underlying the project concerning

environmental and housing development originates from lessens learned of the

evaluation in the performances of Urban Community Environment Activities (UCEA)

Project Phase I and II, which directly regard to slum upgrading by using a new

approach. Such an evaluation has indicated that the progress of project according to

this type is generated by these following factors.

1. The objectives and characteristics of program are the vital factors which

are in conformity with the problems and the needs of the poor.

2. The cooperation of villagers within communities

36

3. The transparent management systems which can be available examined

4. The experiences in development working of leader groups in communities

5. The linkages of the communities and their networks are the important in

development process. They can provide both exchanging of knowledge and

experiences. Additionally, the interaction and active role of communities and their

networks could change the relation with the authorities and other stakeholders (CTF,

2005).

6. The linkages and supports from outsiders, other community networks, the

authorities whether local government, NGOs, academic institutes, or even middle

class groups, etc.

In addition, the participatory culture could be developed and led to policy

change, from “an upper down to bottom up or supply driven instead of demand

driven”.

7. The provision of financial resources is an essential component for

community development. Thus, the community fund should be established and its

operation has to be free from individual interests’ interference, in addition, the

administration of fund should open an opportunity to their members to participate in

the decision making process (CTF, 2005).

Nevertheless, some factor could become the obstruction for the success of

project such as the groups of leaders. The disagreements among the groups of leaders

within community affect the progress of the community development. In addition, the

ambiguous duties and duplicating works of the partners, whether NGOs, or local

government retard the speed in working processes.

For the Nation-wide Slum Upgrading Program, “Baan Mankong Program”,

Sridarat (2005) mentioned that the experiences of “Charoenchai Nimitmai”

community, in Chatuchak District, in operating “Baan Mankong Program” include the

determinants underlying the success of project as the following

1. The kindness of landowner is the first factor of the project success for this

community. Since the landlord and slum dwellers have the relationship for so long

time, thus, the land owner decided to sell the land for them, instead for other privates,

with the price which is lower than the price assessed.

2. The unity and participation of slum dwellers themselves

37

3. The capability and sacrificial groups of leaders

4. The support from outsiders, such as, NGOs, Department of Cooperative

Auditing in Ministry of Agriculture and Cooperative, and, especially CODI office.

Additionally, in the project evaluation of the Faculty of Social

Administration, Thammasat University, in the end of the project, the researchers

collectively created 9 key success indicators for utilizing in the evaluation. These

factors are generated from the consideration in the issues; the accomplishment in

project objectives, working processes, the community strength, etc. The scale of

scores is separated into five levels from 1 to 5. The 9 key success factors consist of:

1.The roles and support from local politics, particularly politicians

2.The participation within each community

3.The mobilization of community organizations

4.The encouragement of the local authorities, both government and private,

including local mechanism

5.The economic structure of households in community: occupation and saving

6.The capability of leaders

7.The efficiency of committees who operate project in community

8.The arrangement in right land: the satisfaction of members in housing

management

9.The satisfaction of members in entering to such project and the usefulness

which they receive

From the assessment, the results suggest that most communities have had the

success factors in high level. In particular, in Bangkok, three in four of sample

communities, are evaluated that they have had the success factors approximately 80-

87%. In contrast, the other community, ‘Kon Rhai Baan’ is ranked by level of such

factors at 45.83% of success level.

In addition, in general, in the project implementation, as Pipatsithee(1997)

mentioned, in project analysis, particularly institutional analysis, progress of the

projects partly occur due to efficiency of the authorities, which has responsible duties

or concern in performance of such projects, including governmental authorities.

Hence, institution factors should be considered as indicators underlying the housing

project operation as well.

38 Moreover, the other factors may have affected the advance of project, for

instance, the variance of income, age of community, endowment already exists in

communities, the average age of population, gender, education, occupation, so on.

2.3.3 Social Capital and “Baan Mankong Program” Progress

For “Baan Mankong Program”, operated by community dwellers themselves

with the support of local partners, thus, factor determining performances and

progresses of such project mainly are generated from the participation both within the

community, and between community and outsiders, such as relationship with other

communities in community network, local authorities as Bangkok Metropolitan

Administration, university and NGOs. As Sridarat (2005) mentioned about “Baan

Mankong Program” in Charoenchai Nimitmai Community, in section 2.3.2, the

important determinants underlying the success of project are the unity, participation

and relations which can be referred to the social capital.

In the other word, the particular characteristic of social capital which has

influence to the progress of such project is cross-cutting ties, or bond and bridge

social capital. According to the section 2.1.2, although the cross-cutting ties are dense

but not strong, it can help people in connection and access to the information.

Certainly, the processes in the operation of “Baan Mankong Program”, is not only the

participation among the dwellers within the community in proceeding their project as

community-driven process described in section 2.3.1, but also the cooperation

between them and outsiders. Especially, the communities in the same networks can

provide the member communities the help, such as, information and knowledge, and

the coordination in solving problems. Furthermore, the collaboration of community

and local authorities, for example supporting from local government as in Bangkhen

district, the district officers encourage and help communities to solve problems as a

result of the progress of project in these communities.

In addition to the participation and reciprocity within community and the

cooperation between community and outsiders, trust in each other within community

is the other crucial factor and directly reflects the importance of social capital in

proceeding project. Obviously, the project members have to collectively save their

39 fund for operating both in development infrastructure and environment and especially

in asking for loan approval, in addition, in the future, this amount of their fund

reserved will be useful for loan repayment to CODI or other fund resources. Hence,

trust which is the factor influencing to the regularity in saving including loan

repayment of slum dwellers, would consequently affect to the operation progress of

project as well.

In sum, the factors determining the progress of “Baan Mankong Program”

are broadly divided into two categories. First, the socioeconomic characteristics which

have effect to the operation of such housing problem solving program, such as, the

capability of leaders, etc. Second, the factors in aspects of social capital, for example,

cooperation, reciprocity, trust, social networks, including relationship among

community members, and between community and outsiders, whether the connection

with other communities in the same community networks or with local private and

public organizations. These factors will be verified in detail in section 5.2 further.

CHAPTER 3

OVERVIEW OF BAAN MANKONG PROGRAM AND

SAMPLE COMMUNITIES

This chapter is divided into three parts. First, the detailed description of

Baan Mankong program will be provided. The sources of information are the

documents published by Community Organizations Development Institute (CODI)

and the project evaluation report by the Faculty of Social Administration, Thammasat

University. Another important source is an in-depth interview with CODI officials.

Second, basic characteristics of four sample low-income communities in

Bangkok are presented. The information is collected from observation and the

in-depth interview with the community leaders.

The description of the program implemented by each community will be

summarized in the last section. The information is provided by the project leaders in

the communities.

3.1 Baan Mankong Program

In the past, approximately seven years, community-driven development

process has spread and matured. Networks of communities have become a channel for

sharing, learning, and linking mutual assistance and solidarity among the urban poor.

These community networks have allowed communities to collectively develop large-

scale development activities.

Proposed by the Community Organizations Development Institute (CODI)

under Thailand’s Ministry of Social Development and Human Security, the “Baan

Mankong” Program was launched in January 2003. The program aims at solving

housing problems while utilizing community strength as a basis. By strengthening the

collective force in urban poor communities, the program is much different from other

government housing upgrading programs. Details of the program are as follows.

40

41 3.1.1 Objectives of the Program

1. To create land and housing security for the urban poor in their existing

settlements and develop basic infrastructure and environment condition

2. To strengthen community’s social development process and community

organizations by promoting a more comprehensive process which encompasses issues

of welfare, economic, and social development in poor communities.

3. To build managerial and negotiation capacity of communities as well as

community’s linkages with local development partners and Municipality or Bangkok

Metropolitain Authority.

4. To build new local partnership and community development capacities

through city-wide development process.

5. To deal with eviction problems at its cause through planning and

cooperation with local partners

3.1.2 Types of Housing Improvement

1. Slum Upgrading is a way of improving physical environment and basic

services in existing communities, while preserving their location, characteristics and

social structures. Apart from improving the physical conditions and quality of life,

these improvements can act as a springboard for other kinds of development among

their members, such as welfare, etc.

2. Re-blocking is more systematic way of improving the infrastructure in

the existing communities, by making adjustments to the layout, by installing, such as

sewers, drains, waste water treatment system, and roads. Probably, some houses may

have to be moved, some may partially or entirely be reconstructed for a better access,

or some lanes may have to be re-aligned to enable drainage lines, and so on.

3. Land sharing allows mutual benefits for both landowners and the

community people living on that land. The agreement will allow the community to

buy or rent the portion of the land for their housing while the other portion of the land

belonging to the landowner can be used for commercial developing.

42 4. Reconstruction is the strategy that the existing communities are totally

rebuilt on the same land, or on the nearby, either under long-term lease or outright

land purchase. Although the reconstruction option involves making considerable

physical changes within the community and requires some adaptation to a new

environment, this way, it allows people to continue living in the same area and to

remain close to their places of work. The continuity is a crucial compensation for the

expense and difficulty involved in reconstruction.

5. Relocation usually comes with advantage of housing security, outright

ownership or some kind of long-term land lease. However, relocation sites are often

far from the existing communities, job opportunities and schools.

In case of improving or building new houses whether because of

re-blocking, land sharing, reconstructing or relocating, the largest size of land

arranged for each house is approximately 50-60 square meters (about 20 square wah

in Thai measurement).

3.1.3 Types of Budget

1. Infrastructure subsidies

The communities can use this grant to improve their basic infrastructure

systems, such as, laying water pipeline, land filling or activities to maintain their

dwellings and environmental conditions, for example, tree planting.

Depending on activities, the amount of subsidy per community is calculated

by multiplying the number of households in the program with a fixed rate of

infrastructure subsidies:

• 25,000 Baht (US$625) per family for communities upgrading settlements.

• 45,000 Baht (US$1,125) per family for communities re-blocking

settlements or rebuilding in the land they now occupy under a land-sharing agreement.

• 65,000 Baht (US$1,625) per family for communities relocating to different

lands.

43 2. Low-interest housing loans

Soft loans will be made available to families wishing to improve their

houses or to build new houses after upgrading or relocating. The loan will be provided

via CODI and some directly from commercial banks with a subsidized interest rate of

2%.The loan must be repaid within 15 years. In this way, the program helps making

financial institutions more accessible to communities.

The highest amount of loan approved for construction is 150,000 Baht

(US$3,750) per household. The amount varies depending on housing styles, ability to

pay back the loan and opinion among community dwellers. If a piece of private land

is purchased to be outright cooperative ownership and to build a house, the maximum

amount of 300,000 Baht (US$7,500) per household is the available.

The prerequisite is that, each community must have a saving group or saving

cooperatives in order to generate a deposit amount to 10% of the total budget for

housing construction and/or land purchase. In other words, communities are liable for

90% of the total budget, whereas the rest of the budget, 10%, comes from their

savings. Seemingly, it should be the responsibility of each household to save up 10%

of its own loan in order to come up with the equivalent of 10% of the community’s

credit. Nevertheless, if some households cannot manage to do so, other community

members may collectively make decision to contribute saving for them.

3. Administrative supporting grant

The grant equal to 5% of the total infrastructure subsidy will be provided to

an organization that the community selects to assist or support its process of local

upgrading. The organization could be an NGO, a community network, a local

university, a group of architects, or a local government agency.

3.1.4 Process of “Baan Mankong Program”

1. Mechanisms and Actors Involving in “Baan Mankong Program”

(See Figure 3.1)

1.1 National level

44 1.1.1 Ministry of Social Development and Human Security has

authority in implementing the policy and oversee the budget.

1.1.2 The Community Organizations Development Institute (CODI)

is an autonomy organization under the Ministry of Social Development and Human

Security. CODI was established in October 2000 by merging the Urban Commnunity

Development Office (UCDO) and the Royal Development Fund. It supports

community-driven development process in order to develop any activities that

communities need. In “Baan Mankong” Program, CODI will encourage the learning

process, promote the development of an extensive operational mechanism in the cities

and also distribute the budget from the government to communities.

1.1.3 The project managing committee consists of representatives from

local public and private organizations, such as, municipalities, university, NGOs, and

community networks. The CODI director performs as the president and the CODI

manager acts as the secretary. The committee has the role in budget approval and has

been divided into two groups. The first group takes responsibility in housing and land

loan approval, whereas the second group takes responsibility in infrastructure and

administrative supporting grant approval.

1.2 City and regional level

1.2.1 A Subcommittee in a regional level has a role in screening the

project proposed by a community.

1.2.2 A City-Level Committee, Local Mechanism, consists of the

representatives from community networks and local partners.

• Community Networks are important actors in implementing the project.

Volunteers from these networks will closely coordinate with communities. For

example, they help communities in designing and planning the infrastructure system,

and provide a knowledge in managing financial accounts.

• Local partners, including municipalities, NGOs, academics, local

public private organizations, etc., will join together as local “core units” involving in

developing, supporting, and solving problems in cooperation with community organizations for

either housing management or other development (See Figure 3.2).

45 1.3 Community Level

Within each community, a few small working groups will be established to

carry a particular work, for instance, infrastructure committee (purchasing and

inspecting construction materials), accounting committee, saving group committee.

In practice, the groups are not obviously divided. One community member

may perform various tasks in more than one committee.

Figure 3.1

The Mechanism of Project and Budget Approval

(4)

(3)

(2)

(1)

Community Organizations

National Committee: Project Managing Committee

CODI

City Level Committee: District Level (Local Mechanism)

Infrastructure and Administrative Grant Approval Committee

Housing Loan Committee

Managing Department

Regional Level Committee:

Government

National Level

Regional and City

Community Level

Community Organizations

Network

Source: Adapted from the Faculty of Social Administration, Thammasat University, 2005

46

Figure 3.2

Local Mechanism for Community and Housing Development

Source: CODI, 2003

2. Steps of Budget Approval

From Figure 3.1, at (1), community dwellers cooperatively and collectively

design plans. This step lasts from approximately 3 months to 1 year. Then, the

community will propose the drafted plan to the city level committee, (2). The

committee of this level will study such plan together with the villagers in that

community, so, in this step, the community dwellers can easily improve their project.

Next, the revised plan will be proposed by the CODI officers who work in the

community to the regional and national committee, (3) and (4). In general, the

national committee will approve the project in principle and give advice to the

community for further improvement of their plan. After that, the community has to

revise the former plan and improve its community-driven process. The community-

Community

Community Organizations

Network

Community

Local Mechanism Other

Academics

Municipality/Bangkok Metropolitan Authority

(BMA) NGOs

Community Community

47 driven process such as performance in a saving group, participation in project

meetings; is regarded as an important variable which reflects the readiness of that

community for operating activities or projects. Then, the plan must be submitted to

those committees at the regional and national level again for budget approval. Finally,

the managing department (5) will release the budgets and loans to the community.

Hence, the period of time spent in an approval process is about 3-7 months. In total, a

community will spend approximately 6 months to 2 years for budget approval.

In “Baan Mankong Program”, the operation scheme will generally be

divided into an infrastructure construction plan, a land purchasing plan, and a house

building plan. Each plan has to pass the approval process as mentioned above. In

practice, at first, most of the communities will propose an outline of each plan to the

committees in order to ask for the budget approval. Then, it will probably be approved

in principle; however, the budget will be released from the managing department of

CODI only if the detailed plan is ready and approved by CODI (see figure 3.3).

Moreover,, some preparation processes for an improvement and a

construction of the infrastructure and the environment are implemented in advance

prior to presenting a detailed scheme to the committees because the actual budget will

not be released until some processes of the project have been completed. In addition,

the preparation processes of the three plans are usually conducted in parallel to

shorten the whole period of implementation.

Usually, a community will primarily present an infrastructure plan, which

has a high possibility of being approved. Getting the housing loan approval is more

difficult. A housing construction plan and loans will not be approved and released

until some conditions are fulfilled, for instance, agreements with landlords,

rearrangements of land rights, and the development in savings at the lowest level of

approximately 10% of the housing loans. Noticeably, these processes are quite

meticulous. Thus, a majority of communities, counting since “the Bann Mankong

Program” began three years ago have gotten approvals for infrastructure budgets more

than housing loans. At present, these communities are proceeding to the step of

preparation for building houses and asking for the housing loan.

48

Figure 3.3

Evaluation Process of the Baan Mankong Program

Conditions of Budget Approval: Conditions of Budget Approval: (Project Preparation for Construction) (Project Preparation for Construction)

Source: Author, 2006

The community is accepted to join the

program

Infrastructure Construction Plan Project Approved (in principle)

Land Purchase and House Construction Plan

Project Approved (in principle)

Budget Implement: Construction

Budget Implement: Construction

Development after the construction finishes

Development after the construction finishes

Budget Approval for Infrastructure (Grant)

Budget Approval for Land and Housing (loan)

49 3. Processes in Solving Housing Problem in City Level

A set of collective actions to solve housing problems at a city-wide level

includes:

1. The beginning processes are establishing the coordination of all various

stakeholders, particularly the municipality, and explaining the opportunities offered

by this program offers. In this step, inviting these stakeholders to visits other cities

where the program has already been started can give a big boost to the process at the

outset.

2. Community networks play a major role in implementing the program in

each city. They organize meetings in each community, with municipality or BMA, if

possible, in order to explain the program and to help the communities in preparation

for the local project.

3. A city-level committee will then be set up to oversee the program’s

implementation in each city. The composition of such committee is not fixed, but it

should include community, network leaders, the municipality as well as local

academics, NGOs and other local development partners.

4. The city-level committee’s first task is to organize a city-wide meeting of

representatives from all poor communities to inform everyone about the steps

involved in implementing “Baan Mankong Program”, and to launch the survey.

5. The network and joint committee will then gather detailed information

about all poor communities in the city or update the existing data. Information about

households, housing security, land ownership, infrastructure problems, communities

organizations, saving activities and existing development initiatives will be collected.

In this process, the survey will provide opportunities for community people around

the city to meet and establish linkages which will assist their collective planning later

on.

6. The survey will help in establishing priorities in the city-wide upgrading

program and to inform the process of housing improvements of an individual

community to the city level parties. During this process, community leaders will try to

utilize every local resources; such as land, expertise, and budget, together with the

helpers from outside collaborators in order to overcome all barriers.

50 7. The community savings will be promoted since it is the important mean

of mobilizing internal resources, strengthening the self-help spirit and building the

collective management skill. In fact, most cities already have saving groups; however,

these activities must be deepened and expanded.

8. The city’s joint committee may opt to select a few pilot communities to

provide “learning by doing” for the whole city. In case of Bangkok, each district has

selected two communities to be its pilot projects. Pilot communities may be chosen

based on their readiness, the urgency of their housing problems or the learning

possibilities which they present to other communities in the city.

9. The pilot communities plan their housing and infrastructure improvements

with community architects or helpers from the local authority or university. This

planning should be comprehensive, covering not only a physical improvement, a

housing and detailed project management, but also social aspects such as welfare and

the creation of a greater economic space for the poor.

10. The pilot communities have to present their upgrading plans to the joint

committee for a discussion and an approval. Then it will be sent to a committee in

Bangkok and a project managing committee for a final approval.

11. Once community’s plans are approved and the budget is released, then

the people can begin the construction by themselves or by lending the services of

either constructors or community labors.

12.These project can be functioned as learning center for other communities.

13. This city-wide housing plan should also cover vulnerable families living

outside established communities, homeless people and itinerant workers. For example,

the communities may collectively build hostel for the poor elder.

14. Finally, the housing upgrading plans should be integrated into the city’s

urban development.

3.1.5 Evaluation of the Progress of the Baan Mankong Program

In this study, the objectives of “Baan Mankong Program” are divided into

major and minor objectives. Thus, the conditions for the accomplishment of each step

will be described as follows.

51 • Main objectives

The main purposes of the “Baan Mankong Program” are the creation in

land stability and development of basic infrastructure, housing, and environmental

conditions. In addition, the processes of solving housing problems can be classified

into three stages as follows;

1. Planning and preparing for the construction

2. Housing construction and improvement

3. Housing and environmental development

The assessment of each stage will be as follows.

1. Planning and preparing for the construction

This first stage includes several processes. The progress of each process is

considered from its accomplishment. The consideration of quality of accomplishment

will mainly depend on judgment of the CODI officials who work closely with each

community.

The processes and the criteria which each process must attain are identified as

follows:

1.1 Land agreement is of high concern because the housing improvement

cannot be operated without permission of the land owner. Thus, every community has

to complete negotiation with the landlords to make a long-term lease contract or

purchase. Then, the managing department, CODI, will release budgets and loans to

land owner.

In case of government lands, an owner can be either the Crown Property

Bureau (CPB), the Treasury Department, the Port Authority of Thailand (PAT), or

other state organizations. Although CODI has made memorandum of understanding

(MOU) with the land owners, the community itself or the community network must

make agreement and bargain with the land owner for the period of leasing, the

beginning of rent, and rental rates. Then, the housing cooperatives of each community

or community network and the state land owner have to make a lease contract or other

formal confirmation for permission of land development.

As for private lands, in the case of agreement for rent, it is similar to state

lands but if a community needs to purchase lands, it may utilize its own saving or ask

for housing loan to buy lands. In this case, the land will belong to the community’s

52 cooperatives. The communities is said to accomplish this process if it received formal

contract with the land owner or finished purchasing land outright.

1.2 Villager information survey is conducted by community’s leaders to

collect socio-economic data, for example, the amount of residents per household,

housing problems and basic needs, occupation, income, expenditure and liabilities of

households, the cooperation in saving group or collective activities.

1.3 The preparedness of the saving group is the index which implies the

community financial ability and the ties of community members. The levels of the

preparedness are classified into two stages:

1.3.1 Establishment of a saving group or cooperative

The community must establish a saving group or a cooperative and all

members of the Baan Mankong project must be a member of the saving group or the

cooperative. This is the basic condition of joining in this project. Furthermore, in land

renting or asking for housing loan, the community’s saving group has to register for

establishment a housing cooperative since dwellers of each community must rent land

collectively, not individually. In the case of purchasing land, the community has to

apply for loans in the form of housing cooperative as well. In some cases, many

saving groups within the same community network can organize an aggregate housing

cooperative, in which all saving groups in its network are its members, in order to

jointly make a lease contract.

1.3.2 Saving development

The community housing cooperatives which need to purchase land or build

houses have to develop saving at the lowest level of 10% of the total amount of

housing loan.

In case of the communities which are going to make a lease contract, even

though they are not under the constraint of saving at 10% level, they should have

savings to the some extent to indicate the readiness of the communities.

1.4 New community layout

The communities and young architects from CODI or local universities will

cooperate in designing a new layout for a better site of well-arranged houses, area for

infrastructure construction, common areas, such as, multi-purpose pavilions, central

53 welfare center, youth and day care center, hostels for poor or elderly members, fire-

fighting facilities, etc.

1.5 Adjustment and demolition

The demolition of houses will be done to have space for infrastructure

installation and building houses in the future.

1.6 Preparation for the specification of infrastructure constructions is to

be done by search for information on specification and actual prices of materials.

Then, the information will be provided to dwellers, representatives from community

networks, architects, CODI office, NGOs, etc. for consideration.

1.7 Connection with contractors or laborers, tender and connection water

supply and electricity system providers

The dwellers have to collectively decide on types of the infrastructure

construction such as paved lanes and roads. Furthermore, they have to decide whether

to make construction by themselves or hire laborers in a part or all of works. The

construction of water supply and electricity systems will be provided by the

Metropolitan Waterworks Authority and the Metropolitan Electricity Authority. After

the communities connect and explain their desires to the organizations, the officers in

change will observe, draw a plan, assess prices, and operate the constructions.

1.8 Infrastructure plan proposed to the committees for budget approval (as

mentioned in chapter 3) requires of the details as follows:

- Number of project members

- Completed land agreement

- Size of land utilized in the housing development

- Details of infrastructure improvement and specification consist of the

construction material prices, and expenditures for establishing water supply

and electricity systems, conditions of hiring contractors and labours. Such a

plan has to mention the period of time in construction and installments of

payments for purchasing materials and hiring laborers.

54

Figure 3.4

Infrastructure Construction Plan:

The case of “Charoenchai Nimitmai” community.

Infrastructure The Period of Time in 2003

Feb Mar Apr May Jun Jul

1. Adjusting level of road

2. Sewage drains

3. Water pipeline

4. Electricity systems

5.Concrete roads/paved lanes

Source: In-depth interview ( August, 2005)

The drainage pipe is 696 m. in length, can drain water in three ways, and its price

is 529,782.00 Baht.

Table 3.1

Budget for Infrastructure Construction:

The case of “Charoenchai Nimitmai” community.

Items Amount of money Installment

1. Materials, hire 265,000.00 First

2. Lay ditches, 10 days 150,000.00 Second

after making a contract

3. Finish laying, 15 days 114,782.00 Last

counting from the second installment

Total 529,782.00 Source: In-depth interview ( August, 2005)

55

- The adjustment of housing location and demolition which include the number

of houses demolished and period of demolition.

In fact, while an infrastructure plan is being developed, these processes are

continuing at the same time. CODI officers will consider the readiness of community-

driven process through the community’s operation and its members’ cooperation in

those activities stated in the plan.

1.9 Purchase and inspection of the construction materials

At first, the purchase and inspection the construction materials will be done by a

team established within each community. After the construction is finished members

in the community network, the CODI officers, architects, etc. will examine to approve

the completion of the construction.

1.10 The arrangement of land right

The communities have to specify a size of land that each household can

possess. For example, if the household is an extended family, it can obtain a larger

size of land. The household can negotiate for the location of land and house. In

addition, if a loan is needed to buy land, the size of land to be allocated will have a

positive relationship with the credit and the household’s ability to repay loan.

1.11 Planning for land-purchasing loan

The plan consists of

- The number of project members and borrowers

- The arrangement of land right and credit for each member

- The land price assessed by the government

- The amount of savings reserved

If the community project is approved by the committee at the national level

then the community is said to complete this step.

1.12 Releasing loan for land purchase

The criterion for accomplishment this step is that the total loan has to be

released by CODI in full amount.

1.13 Designing house styles

The residents themselves and architects will work together to design houses.

56

1.14 Connection to contractors or laborers, and tender

The slum dwellers have to discuss among themselves how their houses will be

constructed, whether building by themselves or hire laborers in some or all of works.

1.15 The consideration of credit for members

The approval in housing loan for each household have to consider the design,

actual prices of construction materials and the household’s financial status. It is

preferable, if the household is a member of a saving group or cooperative and

coordinated in communities consistently.

1.16 House construction plan used for loan approval

The plan will consist of

- The number of project members and borrowers

- The completed land agreement

- The land right specified for every household.

- The credit for each member

- The installments of construction and the amount of loan in each

installment

- The amount of savings reserved

If the community plan is approved, then the community will complete this step.

1.17 Releasing loan for house construction

1.17.1 Loan is released and the community receives money to

complete a certain phase of construction.

1.17.2 Loan is released and the community receives the total amount

of money for construction.

1.18 Purchasing and inspecting the house construction materials

A team established within each community purchases construction materials

and members in community networks, CODI officer, architects, etc. examine

materials used for construction.

2. Housing construction and improvement

2.1 Infrastructure construction

The operation in this process will depend on the plan, types and steps of

improvement. The progress of work will be evaluated by the project committee

57 consisting of members within community and from community networks such as

CODI officers, local organizations, NGOs, etc. The committee will inspect every

processes. Particularly, when the construction in each installment ends, the

community must obtain the formal written verification from the committee before it

can withdraw money from the managing department of CODI to pay for the

construction in that installment.

In general, the processes of infrastructure construction and improvement include:

2.1.1 Land filling consists of processes as

- Levelling land surface by, for example, pouring broken bricks on land.

- Filling the land by laterite then roll the roads by a road roller as

determined by the plan

2.1.2 Sewage drains

Laying drainage pipe-lines, wells for trapping the fat of each household and a

well for collecting seweage from all households.

2.1.3 Water supply system: laying water pipes.

2.1.4 Electricity system: establishing street lights by laying posts and

hanging on the wires.

2.1.5 Concrete roads and/or walkways: laying sand, iron wires and concrete

2.1.6 Public areas: construction of public buildings, such as,

multipurpose building, day care center, playground, central welfare center, bridge,

recreation areas, etc.

2.2 House construction

The inspection process of house construction is similar to infrastructure

construction. The process in the house construction depends on how the methods of

building houses that the communities choose, e.g. construct by themselves,

collectively build by themselves, and/or hire community laborers or contractors.

3. Housing and environmental development

The followings are the activities which they are likely to do.

3.1 The development of the new residence for a better scenery such as:

3.1.1 Tree planting

3.1.2 Maintaining and decorating dwellings, such as house painting.

58

3.2 The maintenance of environmental conditions

3.2.1 Managing solid waste disposal or trash recycling

3.2.2 Canal cleaning or waste water treatment.

3.2.3 Alternative energy systems

3.3 Controlling pollution, such as sound, dust, bad smell, waste water, or solid waste.

The financial support can be obtained from budget in part of improvement of

infrastructure and from other organizations, NGOs.

• Minor objectives

In addition to the improvement of housing and environmental conditions, the

development in social and economic aspects is another objective of the Baan

Mankong Program. Activities to achieve this goal can be operated during or after the

construction.

1. Social aspects

1.1 The communities are well-arranged and are in order since they

have community regulation.

1.2 Decreasing social problems, for example, crimes, gambling, and so on.

1.3 Establishing community welfare and encouraging occupation, such as,

encouraging welfare for poor or building hostels for elderly members

1.4 Community obtains acceptance from the society

2. Economic aspects

2.1 Reducing the cost of housing construction

2.2 Encouraging savings and decreasing of informal liabilities

2.3 Securitizing or the transforming assets, land and houses, to be sources

of funds

3.2 Description of basic characteristics of four sample communities

Bang Bua (Lhang Kong Karn Pab)

‘Bang Bua Community’ has trespassed on land of the Treasury Department.

The community is located on Bhaholyodhin Road, in Bang Khen District, Bangkok,

behind a photograph division of the Signal Department Royal Thai Army and

59 Samakkee RuamJai community. The other side of the community is Bang Bua canal.

Its entrance is not convenient. The community has only a narrow concrete walkway

which a car cannot pass through. The community has piped water and electricity, but

no any sewage drain.

Age of the community is about 60 years. Number of population is about 800

persons, 159 households. Most of people have their hometowns in various regions of

Thailand. Bang Bua has been registered by the district office as a community

organization for ten years. The community has a head leader whose family has

occupied the position for a long time. In the year 2003, the community members had

the first election for a community committee.

In the past, the dwellers rarely have any chance to cooperate in making

decision for communal activities but now it is the opposite. Groups or organizations

which are carrying activities at a community level consist of a ‘Village Fund’

committee chaired by the previous leader. In addition, the community has a saving

group, group of gremation and football team established at the same time when Baan

Mankong project was initiated in 2003. The community is also a member of Bang

Bua canal side community network. This network is established for the objective of

environmental preservation. It consists of 15 communities including Samakkee

RuamJai. The present president of the network is the leader of Bang Bua. The

members of the network have activities supported by NGOs, NIDA (National Institute

of Development Administration) and politicians, such as activities of cleaning canal,

etc.

Figure 3.5

The low-income communities on Bang Bua canal

60 Samakkee RuamJai

Samakkee RuamJai has invaded on land of the Treasury Department. The

community is located along Bang Bua canal in front of Bang Bua community. The

entrance is opened to the main road, Bhaholyodhin Road. The passage of the

community is narrow similar to Bang Bua community. The community has facilities,

such as electricity, while some households have no piped water. In addition, the

community does not have sewage drain around there.

Age of the community is more than 60 years approximately. Number of

population is about 550 persons, 112 households. Most people have moved from rural

areas in various regions of Thailand. The dwellers used to have a community leader

who held the position for seven years since nobody desired to be the leader. Since the

year 2003, the community leader has changed but he still has the important role in the

community because he has been the leader of the saving group and Baan Mankong

project. Thus, some villagers think that benefit from the community activities is not

distributed to equally within the community.

Groups or organizations which are proceeding their activities consist of a

saving group and a‘Village Fund’ committee.

Charoenchai Nimitmai

Charoenchai Nimitmai community is in Chatuchak district. The dwellers

have trespassed on a private land. The community is located beside a railway on

Kampeangpet Road, so the passage is quite convenient.

61

Figure 3.6

Landscape of Charoenchai Nimitmai (See blue shade)

Age of the community is about 50 years. After Charoenchai Nimitmai

cooperative purchased land from the landowner in the year 2000, people from

surrounding communities facing eviction bought land from the cooperative and 36

households move in. At present, number of population is about 201 persons, 82

households. Like many other urban poor community, most dwellers are from rural

areas in other regions.

Charoenchai Nimitmai has registered by district office as a community

organization for 20 years. The community had faced land insecurity and attempted to

establish a saving group and develop it to be a cooperative in order to purchase land

from the private owner. Such community-driven process was under the advice of

Suppanimit Foundation and Urban Commnunity Development Office (UCDO). The

community was successful in solving land right problem in 2000 as mentioned above.

Groups or organizations in the community consist of a cooperative and a

housekeeper group established by the support of Cooperative Promotion Department.

However, the housekeeper group, which used to providing career training to members,

now only collectively accumulates saving for lending because in the past the

disagreement amongst the members occurred so that some part of them retired from

being the member. Moreover, the community also forms community welfare. The

members have to pay one baht per day. Many aids are provided to patients, children,

elders, etc. For example, the patients will receive money for transportation to hospital.

62

In common, the community does not cooperate with other communities in

form of community network. Nevertheless, when the community has entered in the

Baan Mankong project, it has coordinated with another 9 pilot communities and later

also has linked with the other communities in the program as a supervisor.

Khlong Lumnoon

Figure 3.7

Landscape of Khlong Lumnoon

Khlong Lumnoon is located beside Lumnoon canal on Ramindhra Road in

Kannayoaw district. The community dwellers have trespassed on land of two private

owners. The neighbourhood is full of trees, lalang grass and rice fields. Three

households used to do rice farming on that land (they have not planted for 3 years

since the private owner divided part of the land for sale). In addition, there is no basic

infrastructure in the community.

Age of the community is more than 20 years. Number of population is about

197 persons, 49 households. Most of people have their hometowns in the northeastern

and northern regions of Thailand. However, the community is not registered by the

district office as a community organization.

The villagers faced the eviction. Since the year 2000 to 2001 the dwellers

were in the risk of the capture by policemen in the accusation of invasion. Thus, they

established a saving group and developed a cooperative under the suggestion of CODI.

63 In addition, there are no groups in the community. However, the dwellers

always cooperate in communal development by cleaning the canal on special holidays.

The community is a member of a greater canal-side community network (every

community in Bang Bua canal side community network also are members of this

network). The network is established under encouragement of CODI. The objectives

of such network are to collectively preserve environment and to form the cooperation

among communities and networks.

Figure 3.8

Canal cleaning activity

3.3 Overview of Baan Mankong Program in the sample communities

In this section, the description of the Baan Mankong project operated by each community is summarized in Table 3.3. This table

consists of the details about types of housing improvement in the communities including the settlement of land problem and current

project status. Types and amounts of the budgets received and spent are illustrated in Table 3.3 and Table 3.4.

64

65

Table 3.2

Description of Baan Mankong Program in Sample Communities Community

Processes Bang Bua Samakkee RuamJai Charoenchai Nimitmai Khlong Lumnoon

Starting period

Bang Bua started the project around March 2004. The Network of Bang Bua Canal-side Communities is a trainer.

Samakkee RuamJai started the project in early 2004. The Network of Bang Bua Canal-side Communities is a trainer. It was selected to be one of the pilot projects in the year 2004

Charoenchai Nimitmai started the project in March 2003. It was selected to be one of the ten-pilot projects in 2003.

Khlong Lumnoon was chosen to be the pilot project of the year 2003 at the same time as Charoenchai Nimitmai. The greater network of canal-side communities is a trainer.

* Every sample community is under supervision of CODI local officials together with networks of the communities coordinating in Baan Mankong program.

Nevertheless, some communities in the program, which are not presented here, are supervised by other non-governmental organizations Participation

( Reasons for non participation)

Members: 154 households Non-members : 5 households

(Reason: 1. Houses open for rent. 2. Houses have just been

renovated)

Members: 97 households Non-members: 5 households (Reason: 1. Houses have has just been renovated. 2. Disagreement with leaders prior to the project)

Members: 82 households

Non-members: None

Members: 49 households Non-members: None

Settlement of land problem

Making an agreement with the Treasury Department to rent land for 30 years

Making an agreement with the Treasury Department to rent land for 30 years

Purchasing land from private

owner

Purchasing land from private

owner

Types of housing improvement Reconstruction Reconstruction Upgrading Land sharing

66

Community

Processes Bang Bua Samakkee RuamJai Charoenchai Nimitmai Khlong Lumnoon

Type of budget received (See an amount of

budget in table 4.2)

1. Budget for infrastructure 2. Loan for house reconstruction

1. Budget for infrastructure 2. Loan for house reconstruction

1. Budget for infrastructure (All households borrowed

money from the cooperative for house reconstruction)

2. Loan for land purchasing

1. Budget for infrastructure 2. Loan for house reconstruction

3. Loan for land purchasing

Plan for housing improvement

1. Reconstruction of all houses including moving out

the houses which invade the canal

1. Reconstruction of all houses including moving out

the houses which invade the canal

1. Reconstruction of all houses 1. Reconstruction of all houses

Plan for improvement

(Continued)

2. Construction of infrastructure:

- Piped water - Electricity system

- Sewage drains - Multiple-purpose building

2. Construction of infrastructure:

- Piped water - Electricity system

- Sewage drains - Public parks

2. Construction of infrastructure:

- Piped water - Electricity system

- Sewage drains

2. Construction of infrastructure:

- Piped water - Electricity system

- Sewage drains - Hostel for the old

- Sidewalk along the canal

Current project status

-Just received permission from a photography division of

the Signal Department Royal Thai Army for carrying

construction materials passing through the department’s area. - The houses and infrastructure have not been constructed yet.

- The housing and infrastructure constructions include

8 phases. Now the second phase is constructed.

- The infrastructure construction finished.

- Eighty percent of the housing construction is completed.

- The infrastructure construction finished.

- Eighty percent of the housing construction is completed.

Saving group

The community has established a saving group since 2003. The members have to save

200 Baht.

The community has established a saving group since 1994. The members have to save

300 Baht.

The community has established a cooperative since 1994. The members have to save

100 Baht.

The community has established a cooperative since 1998. The members have to save

100 Baht.

Source: Survey (January, 2006)

67

Table 3.4

Budget received and spent for Baan Mankong Project in Sample Communities (As of December 2005)

Unit: Baht

Note: ( - ) = Not propose n.a. = Not approved yet Source: CODI, 2005

Budget from “the Bann Mankong Program”

Loan Grant for

Infrastructure Land Houses Community

Proposal Spending Proposal Spending Proposal Spending

Grant for

Administration

(5% of

Infrastructure)

Charoenchai

Nimitmai 2,446,230.00

2,446,230.00

(As of November 2003)

20,828,000.00 20,828,000.00

(As of August 2000) - - 122,312.00

Khlong

Lumnoon 2,495,592.00

2,495,592.00

(As of 2003)

3,240,000.00 3,240,000.00

(As of June 2002)

7,597,480.00 7,597,480.00

(As of September 2003) 174,170.00

Samakkee

RuamJai 8,775,000.00

548,060.00

(As of June 2005) - - 16,218,000.00

2,191,821.68

(As of March 2003) 438,750.00

Bang Bua 10,305,000.00 n.a. - - 24,000,000.00 n.a. 515,250.00

CHAPTER 4

METHODOLOGY

The methodology of the study will consist of three parts. Firstly, the

indicators of the progress of the “Baan Mankong Program” will be identified.

Secondly, the important determinants, especially social capital, underlying the

progress of the project will be presented. The last part will discuss sources of data,

sampling design and method of analysis.

4.1 The Progress of the“Baan Mankong Program”

As described in the second chapter, the assessment of the project’s progress

can be analyzed by comparing the factual processes against the project objectives and

the original blueprint.

In this section, the measurement of the progress of the “Baan Mankong

Program” will be identified. The evaluation will cover the period since the community

is accepted to join the “Baan Mankong Program” until the day the fieldwork starts in

that community. Hence, the evaluation will include the procedures since the

preparation prior to the construction, the construction and other development

activities during and after the construction.

The list of the forty-two steps towards the accomplishment of the project

described in chapter 3 is summarized here in Figure 4.1.

Figure 4.1 The processes for the project progress evaluation • Main Objectives: Development in housing, infrastructure and environment

Stage of the processes in planning and preparing for construction (1) Land agreement (2) Household information survey (3) Savings groups

(4) Saving, 10% of loan (5) New community layout (6) Adjustment and demolition Infrastructure construction plan preparation (7) Consideration spec of infrastructure construction

68

69

(8) Connection water and electricity suppliers, contractors, tender (9) Infrastructure plan: for releasing budget (10) Purchasing and inspecting the construction materials

Land purchase loan plan preparation (11) The arrangement in land right (12) Plan used for asking loan approval for land purchase (13) Total loan is released in full

House construction plan preparation (14) House styles (15) Connection contractors or laborers, and tender (16) Consideration in credit for members (17) House construction plan used for asking loan approval (18) Loan released for some phases of construction. Releasing house (19) Loan released for every phases of construction. construction loan (20) Purchasing and inspecting the house construction materials Stage of the processes in housing construction and improvement Infrastructure construction (21) Land filling (22) Sewage drains (23) Water supply system (24) Electricity system (25) Concrete roads and/or walk way (26) Public areas, such as, multipurpose building and daycare center

House construction (27) 95% of all houses continue construction less than 50% (28) 95% of all houses continue construction more than 50% (29) 95% of all dwelling finishes or almost finishes Stage of the processes in community development after construction (30) Tree planting Development in (31) Maintaining and decorating dwellings livable residence

(32) Solid waste disposal or trash recycling (33) Canal cleaning or waste water treatment. Maintenance in (34) Alternative energy systems. Environment (35) Households, 100%, are not disturbed from the pollution • Minor objectives: Development in social and economic aspects (36) Community is well-arranged and in order (37) Decreasing social problems and crime rates Social aspects (38) Establishing community welfare (39) Community receives the acceptance from society (40) Economizing the cost of house construction Economic aspects (41) Encouraging saving and decreasing of informal liabilities (42) Securitizing / transforming assets, land and house, to be sources of fund.

70

In this study, the forty-two steps of progress in Figure 4.1 will be summarized

into 14 steps as the following.

1. Preparing and planning

1) Household information survey

2) Establishment of savings group

3) Determining goals of project

4) Land agreement

5) Layout design

5.1) Design of new infrastructure layout

5.2) Design of new housing layout

6) Arrangement of land right

7) Accumulation of savings of the community

8) Presentation of plans asking for an approval of loan and/or grant

9) Connection with the organizations, e.g. Metropolitan Waterworks

Authority, etc.

10) Purchasing materials and hiring laborers

2. Construction

11) Construction

11.1) Infrastructure construction

11.2) Housing construction

12) Inspecting construction

3. Other development activities and loan repayment

13) Loan repayment

14) Other development activities, e.g. establishment of community welfare etc

The completion in every step will be evaluated by CODI officials who work in

the sample communities. In each step, the communities may obtain score ‘0’ for no

progress to score ‘3’ for the most progress.

(0) No progress (1) Less (2) Moderate (3) Most

If the communities have not operated in some processes yet, that process will

be specified by a blank which means no score.

71

The total progress of each community is calculated by summing up the scores

of every process. The scores of accomplishment are evaluated by the CODI officials.

4.2 Factors underlying the progress of the “Baan Mankong Program”

The factors determining the progress of the “Baan Mankong Program” are

broadly separated into two categories: an economic variable and social capital

variables. Firstly, the economic variable, the average household income, hypothesized

to affect the processes of the“Baan Mankong Program” will be presented. Social

capital variables, existing within the community before and after the program has

begun, will be identified in the second section. In this study, the social capital factors

are classified into bonding and bridging social capital.

4.2.1 Economic variable

The economic factor within a community which is hypothesized to play an

important role on the development of the project is the average household income per

month.

1) Average household income per month

The information about the stability and level of income indicates the extent

to which households have an opportunity to coordinate within a community. In

particular, if households regularly gain high revenue to a certain level, then they are

likely to participate in voluntary activities. This factor will be measured at a

community level by calculating the mean income of households in each community.

An information regarding income of each household is obtained from an in-

depth interview, asking a house leader about occupations, wage rates, probability to

have job daily, number of family members who earn income, and family expenditures.

72

4.2.2 Social Capital Variables

Social capital factors, here, are divided into bonding and bridging social

capital variables. The first nine variables measure bonds and the last three variables

evaluate bridges.

Classifying by sources of information, the first five variables are evaluated

by households and the next seven variables are assessed by the community’s

committee.

Variables assessed by the sample households

1) Level of cooperation in communal activities

This variable is used to measure collective action, the cooperation which is

not imposed by an external. Level of coordination by the dwellers will be assessed

and receiving score (1), (2), or (3) from the sample households as follows.

(1) Not coordinate or infrequently coordinate (2) Moderate (3) Often or most

The three types of activities are evaluated.

- Collective-problem solving

- Community development activities

- Activities in festivals

A higher level of participation reflects a higher level of collective action

which is an output indicator of social capital. The higher the level of social capital in

the community, the more likely the community dwellers will cooperate in the project.

2) Level of trust (%)

The sample households are asked to access the percentage of neighbours that

can be trusted in the following issues.

- Percentage of households that will help others facing troubles

- Percentage of households with honest members

- Percentage of households highly responsible for public works

73 3) Level of exclusion

Measurement of exclusion level consists of five scales of score from value

of (1) to (5), evaluated by the sample households. Score (1) represents no exclusion in

the community. Score (2) represents as the situation that less than 25% of total

households are excluded. Score (3) represents exclusion level of 25-50%. Score (4)

represents exclusion at level 51-75% of population and score (5) represents exclusion

level of 76-100%.

4) The capabilities of leadership of community leaders

The capabilities of groups of leaders or committees have influenced on the

movement of the community activities. If the leaders have experiences, knowledge

and networks including trustworthiness, they probably lead the community to a high

quality of development.

However, in any community, the leaders may behave as if they have

superior status to their villagers. Sometimes, groups of leaders may experience

disagreement among themselves. These behaviours may obstruct to the development

of the community. So the obstacles will be evaluated as less capability of the leaders.

The examples of issues applied for evaluation in

• Level of ability to make a decision and initiatives

• The ability in building cooperation and decreasing disagreement within

community as well as ability to coordinate with outsiders

• The ability to manage, put right persons to work and build up new leaders

• The transparent management

Each issue will be assessed by using ‘Likert scale’ which divides the scales

of score into four levels from value of (1) to (4) (Taveerat, 1997).

(1) Mild (2) Adequate (3) Well (4) The most

5) Cooperation in implementing project of the dwellers

The characteristics of participation are divided into three stages and each

stage is evaluated by five scales of score from value of (0) to (4) as follows.

(0) None (1) Mild (2) Adequate (3) Well (4)The most

74

Stage 1: Participation in planning and preparing

1) Participation in meeting to make an understanding in the objective of the

project

2) Participation in selecting target households

3) Participation in regulating new rules for living within community

4) Participation in solving land problems

5) Participation in solving problems happening during the process of the

project continues

6) Participation in considering in new community layout

7) Participation in arranging land right such as land selection method

8) Participation in considering housing styles

9) Participation in being volunteers to help the committee

9.1) Works relying on knowledge, e.g. layout design

9.2) Voluntary help in general kinds of works, e.g. preparing meetings,

cooking, etc

Stage 2: Participation in construction

1) Participation in determining type of infrastructure, housing and common

area improvement

2) Participation in infrastructure, housing, and common area construction

3) Participation in follow up the construction

Stage 3: Participation in other development activities

1) Participation in preserving environmental condition

2) Participation in other development e.g. career training

Variables assessed by community leaders/committees

6) Current number of informal and formal organizations in neighborhood

Numbers of organizations and groups in neighborhood, either generate

private benefits (such as women’s groups which generate benefits to the groups’

members) or provide local public goods (such as religious and welfare groups). This

factor is a proxy that measures not only bonding social capital, but also structural

social capital at the same time. Since associations or groups, create a framework for

75 repeated interaction and sharing information among dwellers within the community,

they are expected to increase social capital. High experiences of cooperative activities

will build up social capital and contribute to the progress of the project.

7) Number of communal activities per year

This variable can reflect level of public collective action. It does not include

religious activities.

8) Number of meetings per year and rate of participation Number of meetings measure collective action in making decisions.

Rate of participants is created by dividing the average number of participants

per meeting by total number of population. This variable indicates the level of

participation of the villagers in making decision.

9) Level of trust in opinion of leaders (%)

Level of trust in the leaders’ view is assessed as percentage of households

that can be trusted in lending from a savings group or cooperative.

10) Average number of cooperation and meetings between community and

outsiders per year

Level of cooperation between community and outsiders

This variable is measured by an average number of activities and meetings

organized per year within a community network. In addition, it includes activities

with coordination between community and outsiders, such as, local government,

NGOs.

For example, the urban communities living beside canals are likely to be

members of the network of canal-side communities. These communities commonly

arrange collective activities in environmental preservation, especially water resources,

with supports from NGOs.

76 The measurement of cooperation level reflects the social ties, which is the

extra ties of the community. If such cooperative activities are frequently arranged,

level of relationships is expected to high. Then these social ties will encourage the

operation of the project implemented at a city-wide level.

The level of cooperation between community and outsiders will also be

assessed by using five scales of score, namely,

(0) No support (1) Mild (2) Adequate (3) Well (4) The most

11) Number of the project meetings per year

This variable reflects level of collective action in making decision regarding

the “Baan Mankong” project. The meetings are divided into three types as follows.

- Meeting within a community

- Meeting between leaders and outsiders

- Public hearing

12) The level of participation between the community and partners in city-level

mechanism

The city-level mechanism is very important to the success of the community

in operating the project (See chapter 3). This mechanism consists of partners as

follows:

• Bangkok Metropolitan Administration, especially, district offices

• Local universities

• Government authorities: authorities encouraging community organizations, e.g.

Cooperative Auditing Department

• CODI and NGOs, such as, Chumchonthai Foundation

• Community networks, e.g. network of canal-side communities

The cooperation and helps from each partner will be assessed according to

the following issues:

1.1) The partners help connect relevant institutes or authorities for supports.

Particularly, they provide assistant and support in a negotiation process. For

example, the partners help negotiate with authorities to provide basic

77

infrastructures. In addition, they may help bargain with government authorities

or privates who are land owners for a permission to make land leasing or

purchasing.

1.2) The partners promote the progress of the housing project and development in

other areas by providing a community a useful information. They may send

personnels or volunteers who are knowledgeable and specialize in some fields,

e.g. in accounting, in designing a community layout, in building houses, etc.

They also provide training.

1.3) The partners devote financial resources to develop the community.

1.4) The partners strengthen the community organization by preparing group of

leaders, analyzing community information, or coordinating in planning.

The level of the support from each outside organization in each issue will be

evaluated by using five scales of score as follows:

(0) No support (1) Mild (2) Adequate (3) Good /Well (4) The most

4. 3 Sampling Design and Sources of Data

4.3.1 Sample Selection

In this study, community is the unit of analysis. Samples will be selected

from low-income communities in Bangkok that join to the “Baan Mankong Program”.

Four communities whose proposals were approved in 2003 and 2004 are the target

groups to be studied;

The project in Charoenchai Nimitmai and Khlong Lumnoon were approved

in 2003. The project in Bang Bua and Samakkee RuamJai were approved in 2004.

In the process of in-depth interviews with the observed households, the

sample households will be collected from the total number of households living in

each target community. The number of the samples can be calculated from the

formula (Kitpreedaborrisut, 1997):

78

n = [ N / ( 1+Ne2 ) ]

where N = Total number of households joining to the project

n = Number of sample households in each community

e = error in the sampling

In this study, 25% of error in sampling is assumed. As a result, 11-15

households per community will be selected for the interview. In Bang Bua which has

154 households joining the project, the sample will include 15 households. Samakkee

RuamJai consisting of 97 households will have 14 sample households. Charoenchai

Nimitmai and Khlong Lumnoon have 82 and 49 households. There will be 13 and 11

sample households, respectively. In total, 53 households will be chosen for the

interview.

In the sampling design for selecting such household samples in each

community, the systematic sampling will be utilized. If K = N/ n, for example, 10

households joining to the project in ‘Sang San Pattana’ community will be chosen

from 114 households, then K will be equal to 11.4. This means that in every 11

households from all households, one family will be chosen to be a sample. Each

sample chosen will follow the sequence of the house number according to registration.

This process will be continued until the amount of samples needed, 10, has been

completed.

However, in practice, this method is hardly applied. Therefore, non-

probability sampling is utilized if the previous method cannot be applied.

4.3.2 Sources of Information

The information about the “Baan Mankong Program” is collected from the

documents, books, published by the “Community Organizations Development

Institute (CODI)”, and also from newspaper and websites. The website of the “Baan

Mankong Program”, www.baanmankong.com, can provide useful information for the

assessment in the performances of the program. In addition, the interviews with the

79 leaders, CODI officers and slum households also are important sources of primary

data.

In summary, this study will utilize the in-depth interviews and the

questionnaires for interviewing:

• Community Leaders

• Project Leaders

• CODI officer who work in the target communities

• Sample households

One economic factor, average household income per month, and social

capital variables are observed from sample households by using a questionnaire and

the in-depth interview.

In addition, with questionnaires applied for interviewing with community

leaders and project leaders, social capital variables are observed as well.

In the case of dependent variables, progress of the project in each

community, it is evaluated by interviewing CODI officers with another questionnaire.

4.4 Data Analysis

In this study, the descriptive statistics together with the statistical test

operated by SPSS for Windows (Statistical Package for the Social Sciences) are

applied to illustrate the collected information.

The hypothesis testing about the association between the progress of the

project and social capital variables is operated applying the Chi-square test. The

testing is proceeded at 95% confidence level. Null hypothesis and alternative

hypothesis are as follows:

Ho = There is no the relationship between progress of the project and

social capital variables

Ha = There is the relationship between progress of the project and social

capital variables

80 The Chi-square test is chosen for testing because it is suitable for the

analysis of the relationship between categorical variables. Most variables collected

from sample households in this study are the categorical variables.

The procedure of testing the association between the progress of the project

and hypothesized variables consists of the following processes. First, the level of

progress of each community will be generated as the dependent variables. Then

relationship between the dependent variable and each independent variable will be

tested. There are 53 observations in each testing. Six independent variables (five

social capital variables evaluated by 53 households and one income variable) are

tested applying the chi-square testing method.

In case of the last seven social capital factors collected from the information

of the leaders, these variables will be considered by associating them with the

progress of the project using descriptive statistics.

CHAPTER 5

EMPIRICAL RESULTS

In this chapter, the descriptive statistics is applied together with the

statistical test to illustrate the results of the study. It includes socio-economic

characteristics and types of social capital which hypothetically have crucial roles on

progress of the Baan Mankong Program.

The characteristics of sample households and social capital variables

observed from households are described by using percentage, mean and mode. In

addition, the hypothesis testing about an association between progress of the project

and these social capital factors is operated by using Chi-square test.

Furthermore, the characteristics of social capital variables collected from the

information of leaders and a relationship between progress of the project and such

social capital factors are described by the descriptive statistical method.

The description of the results is categorized into four parts.

Section 1: Basic statistical socio-economic characteristics of sample

households

Section 2: Description of progress of the project in each community

Section 3: Characteristics of economic variables and social capital variables

observed from households and leaders

Section 4: Hypothesis testing on dependence of the progress of the project

on socio-economic variables, especially social capital factors,

both bonds and bridges

5.1 Basic statistical characteristics of sample households

In this section, the basic characteristics of the dwellers in sample

communities are explained and compared among the communities as follows.

81

82

Table 5.1

Basic socio-economic characteristics of sample households

Source: Survey (January, 2006)

Note: a. Multiple modes exist. The lowest level is shown.a

From Table 5.1, ages of respondents in Charoenchai Nimitmai and Khlong

Lumnoon are lower than the other two communities. The average age of respondents

in Samakkee RuamJai is the highest (52 years old). The average age of respondents in

Khlong Lumnoon, approximately 44 years old, is the lowest among average age of

respondents in all communities surveyed. From the interview, the highest age is 71

years old and the lowest age is 26 years old. Most of respondents are 42 years old.

Educational level of most respondents in every community is primary

schooling, counting as 67.3% of the total respondents. All four communities have

some respondents who graduated or currently study in secondary schools and

polytechnic institutes. Charoenchai Nimitmai and Samakkee RuamJai have a few

respondents who graduated in Bachelor degree. Furthermore, all sample communities

have the respondents who have no schooling, except respondents of Bang Bua.

Basic Mean of basic variables

characteristics Community

of sample Bang Samakkee Charoenchai Khlong

respondents Bua RuamJai Nimitmai Lumnoon

Mean Mode Std.Dev

Number of sample (n) 15 14 13 11 - - -

Age 50.87 52.08 44.73 43.73 48.18 42.00 11.24 Number of members 5 5.15 4.17 4.36 4.69 4 2.17

per household

Years of 34.67 34.64 20.23 9.6 26.23 30 17.53

Residence

Economic

characteristics

Income 11,692.31 12,707.14 11,423.08 8,055.56 11,242.86 13,000.00a 6,714.91

Expenditure 12,221.43 12,118.85 11,510.83 10,400.00 11,623.50 5,000.00 8,047.76

83

Number of household members on average of every community is five

persons per household. At most ten persons stay in one house, in Charoenchai

Nimitmai.

On average, households reside in Bang Bua community for about 35 years,

which is the longest among communities. The respondents of Khlong Lumnoon have

lived in community for approximately 10 years on average. This is the lowest mean

years.

The description of economic characteristics of households in sample

communities consists of an average household income, expenditure and occupation of

slum dwellers. However, the types of career will be mentioned first as the following.

Table 5.2

Occupation of earners in sample households

Source: Survey (January, 2006)

Number of earners carrying on each career Types of Community Total

Bang Samakkee Charoenchai Khlong ( % of total Item

Occupation Bua RuamJai Nimitmai Lumnoon earner ) 1 Hireling ( e.g. motorcycle rider, caddie, 2 4 4 4 14 (26.4%) babysitter, decorate ceramic on wall)

2 Stallkeeper (e.g. sell Chinese noodles) 2 3 1 0 6 (11.3%)

3 Shopkeeper (sell groceries, food, hairdresser) 2 5 4 2 13 (24.5%)

4 Construction worker 3 4 2 1 10 (18.9%)

5 Government official/ Regular official of Bangkok 4 1 3 1 9 (17%)

Metropolitain Authority/Official of state enterprise

6 Wageworker of company 3 4 2 4 13 (24.5%)

7 Retiree/ Pensioned official/Supported by offspring 2 1 2 1 6 (11.3%)

8 Looking for a job 0 0 0 1 1 (1.9%)

Total 18 22 18 14 72 (100%)

84

In the sample communities, dwellers of each community carry on various

kinds of works, as shown in Table 5.2. Most of occupations give dwellers an irregular

income. That is, 81.10% of all earners in sample households are working as hireling,

stallkeepers or shopkeepers selling food or groceries or services, or construction

labours. Fifty percent of total earners in Bang Bua samples have income from

irregular careers, like in Khlong Lumnoon. Samakkee RuamJai and Charoenchai

Nimitmai have 72.73% and 61.11% of earners receiving irregular income. In the case

of occupations providing regular income, 38.89% of total earners are carrying on

these careers, for instance, officials of government organizations, state enterprises,

Bangkok Metropolitain Authority, or companies. It also includes persons who

regularly obtain pension or assistances from offspring. Bang Bua and Khlong

Lumnoon have 50% and 42.86% regular earners which are higher than that of

Samakkee RuamJai and Charoenchai Nimitmai, which have 37.5% and 38.39% of all

earners, respectively. Persons who can devote themselves to communal works,

especially the committee, come from these regular earners or members in households.

One economic factor expected to have an effect on the progress of the

project is the average household income per month. From Table 5.2, most respondents

have an average household income of 13,000 Baht per month. These respondents

account for 10.2% of all respondents. In addition, the mean household income per

month calculated from the income of every community is approximately 11,243 Baht.

The highest per month average household income is at 28,500 Baht. The respondents

who have a household income lower than 3,000 Baht per month are households which

have only one member and have received money from relatives living outside

communities.

Even though most earners in the sample households have occupations

providing irregular income, each month these households receive money from some

form of work. There are no months in which no money is received. However, some

households may have no jobs on some days. For example, the work days of families

working in construction probably varies each month, especially in the rainy season.

Sometimes building contractors have no money to pay wages. Nevertheless, as

mentioned above, they can earn income every month.

85

Another economic characteristic is monthly expenditure of households.

Table 5.1 shows that the average of monthly household expenditure of the sample

communities is 11,623.50 Baht. Most respondents have average household

expenditure of 5,000 Baht per month. These respondents account for 10% of all

respondents.

Considering the relationship between income and expenditure, more than

half of the respondents, 54.7%, answer that their households have a monthly income

greater than their monthly expenditure. The respondents in this amount consist of

more than half of the respondents of each community, except Charoenchai Nimitmai.

In Charoenchai Nimitmai, 7.5% of all sample households have income per month

equal to their monthly expenditure. Lastly, 37.7% of the total respondents have a

monthly income less than their monthly expenditure. Significantly, more than half of

respondents of Charoenchai Nimitmai have an insufficient income.

The information gathered regarding the relationship between income and

expenditure is partly consistent with the reality. In general, from observation, most

dwellers are likely not to have enough monthly income to meet their needs since they

are urban residents facing high costs of living and, notably, they are slaves of

consumerism also. For instance, one household, in Charoenchai Nimitmai has ten

members living together. Though this family has only four earners who have a total

monthly income of 7,500 Baht, this household has three televisions and pays more

than 1,000 Baht per month for electricity.

From a depth interview with some households and from observation, many

households in the sample communities have liabilities. Lending in communities

emanates from both formal and informal sources. In Bang Bua, dwellers can borrow

money from a ‘Village Fund’ project. A savings group is currently established, so it

can not provide any loans yet. Samakkee RuamJai has both a savings group and a

‘Village Fund’. One of the villagers in Samakkee RuamJai said that the problem about

informal loans has already disappeared from the community. However, some villagers

still borrow money from their neighbours. Charoenchai Nimitmai has a cooperative

providing loans for residents, nevertheless, some poor households necessarily borrow

money from informal sources. Khlong Lumnoon has established a cooperative for the

86

objective of saving for housing only. Thus, in general cases, if dwellers need money,

they have to borrow from other sources.

5.2 Description of progress of the project

The description of progress of the project in each community is evaluated

by CODI officials who work with the villagers in the sample communities. The results

are illustrated in Table 5.3. From the evaluation, Charoenchai Nimitmai received the highest score of

progress, 45 points from a total of 48 or at the rate of 93.75%. Next in order, Khlong

Lumnoon, Samakkee RuamJai and Bang Bua are evaluated with scores of 29, 27 and

20 or 60.42%, 56.25% and 41.67%, respectively (see Table 5.3). Considering the progress in several stages of the process, the result indicates

the development level of the project in each community as follows;

In the preparing and planning stage which includes three processes,

Charoenchai Nimitmai has a level of success higher than that of the others. Noticeably,

in the second and third process (Establishment of savings group and determining goal

of project), every community has a score of 2 whereas Charoenchai Nimitmai’s score

is the top.

The progress of the stage prior to construction, which consists of the 4th to

10th process, is arranged in order as follows: Charoenchai Nimitmai, Khlong

Lumnoon, and Samakkee RuamJai and Bang Bua, which both have proximal scores.

When the detail of each process is considered, process of land agreement in

Charoenchai Nimitmai and Khlong Lumnoon12 achieve more success than Samakkee

RuamJai and Bang Bua. However, an accumulation of savings in Khlong Lumnoon is

evaluated at a lower level of success than the other communities.

In the construction stage, three communities, except Bang Bua, already have

operated infrastructure and housing construction. Charoenchai Nimitmai still leads

while the score of the others are equal.

12

Charoenchai Nimitmai and Khlong Lumnoon negotiated with a private land owner. They have also established cooperatives to support land purchasing (See chapter 3)

87

In the development activities and loan repayment stages Charoenchai

Nimitmai is the best in proceeding processes. From observing the detail of each

process, Khlong Lumnoon’s score of progress in repaying loans is at the lowest level

compared with the score of the others. In the case of communal development in other

activities, whether establishing community welfare or encouraging activities about

energy saving, progress of Charoenchai Nimitmai and Bang Bua are assessed at the

same level, at a moderate score. Samakkee RuamJai and Khlong Lumnoon have the

lowest score of 1.

In conclusion, the result of consideration in each stage of housing

improvement is consistent with the study of the total progress score mentioned earlier.

That is, Charoenchai Nimitmai has remarkably the highest level of development.

Moreover, in each process, the score of Charoenchai Nimitmai is greater than the

mean of calculated from the progress of all communities. Although Khlong

Lumnoon’s scores are ranked second most processes of Khlong Lumnoon are

evaluated with scores which are similar to the scores of Samakkee RuamJai and Bang

Bua. In some processes, Khlong Lumnoon also obtains the lowest points compared

with the points of the other communities.

88

Table 5.3

Progress of the project in each community evaluated by CODI officials

Source: Survey (January, 2006)

Level of progress of each community

Community Item Progress of processes in

improvement of low- income community housing Bang Bua Samakkee

RuamJai Charoenchai Nimitmai

Khlong Lumnoon

Mean

Progress of preparing and planning(1-3)

1 Household information survey 2 2 2 2 2.00

2 Establishment of savings group 2 2 3 2 2.25

3 Determining goal of project 2 2 3 2 2.25 Total 6 6 8 6 6.50

Progress of processes before

construction (4-10)

4 Land agreement 2 2 3 3 2.50

5 1) Design of new infrastructure layout 2 1 3 2 2.00

2) Design of new housing layout 2 2 3 2 2.25

6 Arrangement of land rights 2 2 3 2 2.25

7 Accumulation of savings 2 2 3 1 2.00

8 Plan for asking loan and/or grant approval - 1 3 2 1.50

9 Connection with related organizations e.g. 2 2 2 2 2.00

Metropolitan Waterworks Authority etc.

10 Purchasing materials and hiring laborers - 1 3 2 1.50

Total 12 13 23 16 16.00

Progress of construction (11-12) 11 1) Infrastructure construction - 2 3 1 1.50

2) Housing construction - 1 3 2 1.50

12 Inspecting construction - 2 3 2 1.75 Total - 5 9 5 4.75

Progress of development in other areas and loan repayment (13-14) 13 Loan repayments - 2 3 1 1.50

14 Other development activities e.g. 2 1 2 1 1.50

establishment of community welfare, etc. Total 2 3 5 2 3.00

Total progress 20 27 45 29 30.3

(%) 41.67% 56.25% 93.75% 60.42% 63.13%

89

5.3 Characteristics of social capital variables observed from sample

households and the leaders

In this section, the descriptive statistics of social capital variables will be

presented.

5.3.1 Characteristics of social capital variables

Here, social capital variables are classified according to types of social

capital, the first nine variables are proxies measuring bonding social capital and the

last three variables are measuring bridging social capital.

These social capital variables are gathered from information of households

and from community leaders and project leaders. The first five variables are measured

through the residents’ points of view whereas another seven variables are evaluated

by community leaders and project leaders in the communities.

5.3.1.1 Bonding social capital variables

The description of basic statistics of social capital variables will be presented

as the following.

1) Level of participation in communal activities

As mentioned in chapter 4, this variable is assessed by dividing the scales of

cooperation into three levels from value of ‘1’ to ‘3’.

(1) Not coordinate or infrequently coordinate (2) Moderate (3) Often or most

From Table 5.4, in the first kind of activities, sample households of

Charoenchai Nimitmai and Khlong Lumnoon coordinate the solving of communal

problems more than the others. The average score of cooperation of both communities

is at a ‘moderate’ level approching to a ‘good’ level. Mean of both Bang Bua and

Samakkee RuamJai is around the ‘moderate’ level. Charoenchai Nimitmai and

Khlong Lumnoon faced insecurity in land more than Bang Bua and Samakkee

RuamJai, especially Khlong Lumnoon, whose community’s villagers were in facing

90

eviction. Furthermore, the average of cooperation in solving communal problem of

the sample communities is at a moderate level, at 1.83.

In the case of cooperation in activities about communal development

whether cleaning or maintaining public areas, and cooperation in activities of festivals,

the average participation in each activity of all communities is at a level of 1.83 and

2.26, respectively.

Table 5.4

Level of participation in communal activities

Level of participation in communal activities

Community Samakkee Charoenchai Khlong

Item Types of communal activities

Bang Bua RuamJai Nimitmai Lumnoon

Mean

1) Collective solving problem 1.53 1.57 2.23 2.09 1.83

or making demands for basic rights (e.g. facing eviction and

claims for human right, etc.)

2) Community development

(e.g. maintaining public areas of community, cleaning ditches, 1.60 2 1.92 1.82 1.83

cutting down trees, etc.)

3) Activities in festivals 2.47 2.29 2.38 1.82 2.26

Total 5.60 5.86 6.54 5.73 5.92 Source: Survey (January, 2006)

Finally, after adding up the participation level of every type of communal

activities for each community and calculating the mean, the level of coordination on

average in collective action of four communities is at a ‘moderate’ level, at 5.92.

Charoenchai Nimitmai, the most progress among four sample communities, has the

highest score for the level of participation in communal activities.

91

2) Level of trust in opinion of households

Trust, here, is measured in three issues. Percentage of neighbours who can

be trusted in these issues are evaluated from the villagers’ points of view of each

community as in Table 5.5.

Table 5.5

Level of trust in opinion of households Level of trust (%)

Community

Samakkee Charoenchai Khlong Item Issues of trust

Bang Bua RuamJai Nimitmai Lumnoon

Mean

1) Expected assistance 61.67 64.29 53.53 62.09 60.52

2) Honesty 47.23 52.99 52.60 40.72 48.79

3) Responsibility 69.58 62.19 73.26 79.24 70.40

Total 162.20 175.68 175.26 172.96 171.20 Source: Survey (January, 2006)

The mean of percentage of households that will provide assistance to others

facing troubles in the sample communities is 60.52%. Additionally, the mean

percentage of households consisting of honest members in the sample communities is

48.79%. The mean percentage of households which have a responsibility for public

works or neighbors is 70.40% of total households.

Samakkee RuamJai is the best regarding the level of trust. Charoenchai

Nimitmai ranks second with the score 175.26, not much different from the first rank at

175.68.

3) Level of exclusion Exclusion is the dark side of social capital. It can occur in a long-term

relationship group (Dasgupta, 2005).

Exclusion, here, is referred to the feeling of some households or residents

that they are not included as part of the others in the community. Some groups of

residents may not obtain the same chances as other neighbours. In the survey, some

92

residents may not be allowed to cooperate in some communal activities. Although

there is no obvious exclusion, in case of lending from a savings group, for example,

they may be only allowed to borrow a lesser amount. The exclusion level is measured with a score of “1” to “5” (See scales

determined in chapter 4 mentioned earlier).

Table 5.6

Level of exclusion

Mean of exclusion level

Community

Samakkee Charoenchai Khlong Exclusion

Bang Bua RuamJai Nimitmai Lumnoon

Mean

Exclusion 1.33 1.00 1.77 1.09 1.30

Source: Survey (January, 2006)

Most respondents amounting to 83% feel that there is no exclusion in their

communities while 17% do. The level of exclusion which most respondents answer is

‘less than 25%’ of households in their community. Charoenchai Nimitmai has a

higher number of households feeling that they and some neighbours are excluded than

other communities. That is 11.3% of the sample households in Charoenchai Nimitmai

feel exclusion, at different levels. Other communities have the respondents who feel

excluded at a rate less than 4% per community.

Causes of exclusion in the sample communities are quite numbers (See

Table 5.7). From interviewing with those who answered that they are excluded, the

most important reason is inequality of economic status. This reason might result from

an inequality of social status also. Some residents feel that they are looked down upon.

As mentioned above, they think that since they are poorer than the others, some

community leaders and neighbours are likely to exclude them from some communal

activities or from benefits which they should have chance of receiving. This opinion

mostly occurs in Charoenchai Nimitmai and to be a lesser extent in Khlong Lumnoon.

93

Table 5.7

Causes of exclusion Causes of Number of member who feel excluded in each reasons

Community Total

Samakkee Charoenchai Khlong (% of total Item Exclusion Bang Bua

RuamJai Nimitmai Lumnoon repondents)

1 Inequality of economic status 4 1 5 (38.46%)

2 Inequality of social status 2 2 (15.38%)

3 Making decisions of community dwellers 2 2 (15.38%)

depend on the influence of some persons/groups

4 Members infrequently 1 1 (7.69%)

cooperate in communal activities

5 Member miss sending money to saving group 1 1 (1.89%)

6 Member miss understanding in some details of the project,

1 1 (1.89%)

especially, in money distribution

7 No reason 1 1 (7.69%) Source: Survey (January, 2006)

In Charoenchai Nimitmai, the status of some leaders is higher than that of

community members. This situation has clearly occurred since the project has become

a reality. Some villagers view leaders as persons which are strong and have influences

in the process of decision making. From observation, this characteristic commonly

happens with leaders, especially successful leaders. Thus, the exclusion including

feeling of excluded dwellers automatically occurs in many communities. Samakkee

RuamJai is similar to Charoenchai Nimitmai. However, the leadership will be

described in detail in the following section.

In addition to the causes described above, other reasons have originated

from members themselves. If households infrequently cooperate in communal

activities or intentionally miss sending money to the savings group, leaders or

neighbours certainly view them strangely.

94

4) Level of capabilities of community leader

This variable is assessed by dividing the scales into four levels from a value

of ‘1’ to ‘4’ as follows:

(1) Mild (2) Adequate (3) Good (4) The most

The average of ability in initiative of leaders in the sample communities is

2.49.

Table 5.8

Level of capabilities of community leaders

Source: Survey (January, 2006)

Most respondents in each community evaluate managerial ability including

ability to put persons in works of their leaders at ‘good level’. Considering the mean

managerial ability score, the group of leaders from Bang Bua has average scores

higher than the others.

Noticeably, ability in decreasing disagreement of leaders of Samakkee

RuamJai is lower than leaders of other communities. The average for decreasing

Level of capabilities

Community

Samakkee Charoenchai Khlong Item Capabilities of leadership

Bang Bua RuamJai Nimitmai Lumnoon

Mean

1) Initiative of community leaders 2.93 2.08 2.42 2.45 2.49

2) Managerial ability/ ability 2.89 2.00 2.23 2.72 2.45

to put persons in works

3) Ability to decrease disagreement 2.40 1.43 2.00 2.50 2.06

4) Ability to coordinate with 3.13 2.57 3.08 3.18 2.98

Outside organizations

5) No favouritism 2.87 2.00 2.00 2.40 2.33

6) Encouraging development of 2.47 1.50 1.62 2.55 2.02

new leaders

Total 16.67 11.43 13.15 15.36 14.15

95

disagreement score of Samakkee RuamJai is at ‘low level’ approaching to ‘Adequate

level’, 1.43.

In the case of ability in coordinating with outside organizations, the leaders

of most communities have quite a good capability. Bang Bua, Charoenchai Nimitmai

and Khlong Lumnoon have proximal means at 3.08 to 3.18 and Samakkee RuamJai

has a score of 2.57.

No favouritism is another characteristic which community committee should

adequately have. Bang Bua has the highest mean score compared with the others. The

average score of Charoenchai Nimitmai and Samakkee RuamJai are equivalent. As

mentioned above, both communities have leaders who have some similar

characteristic.

Leaders of Charoenchai Nimitmai have true capability and have a high state

of being leader whereas dwellers are likely to have leadership within themselves also.

Thus, it is probable that leaders are viewed as attempting to have and maintain

influence by using some methods, especially by establishing a power base.

Leaders of Samakkee RuamJai have good capability as well and devote

themselves to communal works all the time since many members of the committee are

retirees. The important characteristics of a head leader are self confidence. From

observation, the committee members attempt to manage everything by themselves and

bring members within their families to help with communal works. This may cause

some villagers to feel that favouritism occurs. Nevertheless, though they dislike this

way, they never think about what they should change or improve to implement a

better type of communal management. It seems that leaders are familiar with

autocracy and some villagers are used to just being residents under the responsibility

of leaders. This reality is consistent with an opinion of CODI official. She commented

that this community still misses work distribution.

The encouragement of new leader origination in Khlong Lumnoon is quite

good. In Samakkee RuamJai and Charoenchai Nimitmai, even though the important

leader positions are changed for the newcomers, the dwellers think that the prior

leaders still have some influences over the newcomers.

For the overall picture, the committee of Bang Bua probably has the highest

capabilities from the villagers’ points of view. In fact, as described in chapter 3, the

96

current Bang Bua committee has just been selected so the dwellers still view their

leaders with a good feeling.

5) Cooperation in implementing project of the dwellers

The characteristics of participation are divided into three stages, as

mentioned in chapter 4, and each process in these stages is evaluated by a score ‘0’ to

‘4’ as follows:

(0) None (1) Mild (2) Adequate (3) Well (4) The most .

Table 5.9

Cooperation in implementing the project

Source: Survey (January, 2006)

Participation in planning and preparing consists of ten processes of the

cooperation as presented in chapter 4.

Charoenchai Nimitmai has the coordination at the maximum level in every

activity, except coordination in considering house styles and coordination in being

volunteers, while Bang Bua is opposite to this. Bang Bua has the lowest level of

cooperation, except participation in arranging land rights and considering house styles.

Level of cooperation in implementing the project Community

Samakkee Charoenchai Khlong Item

Cooperation in proceeding the project Bang Bua

RuamJai Nimitmai Lumnoon

Mean

1) Participation in planning 8.20 10.21 18.46 14.00 12.45

and preparing

2) Participation in proceeding 0.93 2.79 6.69 4.82 3.64

Construction

3) Participation in 0.53 0.71 3.23 2.27 1.60

Other development activities

Total 9.67 13.71 28.38 21.09 17.70

97

Households in Bang Bua have the highest level of participation in considering house

styles.

Households in Khlong Lumnoon have participation in solving land problems,

arranging land rights, considering house styles and following up the implementation

at the second level. Additionally, they have a score of cooperation as volunteers to help

the committee at the maximum level.

In the case of participation in construction, Charoenchai Nimitmai, again,

has the coordination in these processes at the highest level, except housing

construction evaluated at the lowest score of ‘0’ since each household builds the

house by itself. The dwellers collectively help only one poor household to demolish

and construct. They help this family probably because the house obstructs the

convenience in improvement.

Khlong Lumnoon also has a participation score for these processes at the

second level, except participation in housing construction, which is at the maximum

level. The agreement in construction among households is that every household will

help each other to build their houses. In fact, when the construction starts, nobody

calls the neighbours for help, except in some groups of villagers. Nevertheless, the

picture of cooperation in building houses may be found here more than the others.

Samakkee has the lowest level of participation in determining type of

infrastructure improvement. Bang Bua obtains a score of ‘0’ in participation in

infrastructure, housing and common area construction such as multipurpose building,

since the construction has not begun yet.

In the case of other development activities, the cooperation in environmental

preservation (such as water resource, tree cutting, etc.) of sample communities,

Khlong Lumnoon gets the maximum points. Charoenchai Nimitmai is the next in rank.

In conclusion, overall, households in Charoenchai Nimitmai have the highest

level of participation compared with other communities whereas Khlong Lumnoon

receives a score level at the second rank.

98

6) Number of groups or organizations established before the project occurs

Before a project begins in the sample communities, each community has

types of organizations as the following description.

Groups and organizations within Bang Bua consist of a community

committee and a savings group established at the same time as the project happens

there. This savings group is managed by the present committee. Moreover, Bang Bua

also has ‘Village Fund’ that is operated by the previous community committee. In

sum, Bang Bua has three organizations.

Samakkee RuamJai has the same amount and types of organizations as Bang

Bua but their savings group has been around larger.

Charoenchai Nimitmai consists of a community committee and a

cooperative operated by a cooperative committee. Some persons hold a position in

both the community and cooperative committee. Charoenchai Nimitmai has a

housewife group also. This group used to arrange many activities for members but

now its members only collect their savings and lend them within the group.

Charoenchai Nimitmai has three organizations in total.

Khlong Lumnoon has a community committee, but it has not been registered

as yet. Here, there is a cooperative for housing.

Table 5.10

Number of groups or organizations established prior to project occurs Groups or organizations established prior to

project occurs Type of Community

Samakkee Charoenchai Khlong Item

Organization Bang Bua RuamJai Nimitmai Lumnoon

1 Community committee 1) Formal √ √ √ 2) Informal √

2 Housing cooperative √ √

3 Savings group √ √

4 Housewife group √

5 Village Fund √ √ Source: Survey (January, 2006)

99

7) Number of communal activities per year

Each year, each community has similar activities arranged within the

neighbourhood, especially religious ceremonies, activities on ‘Children’s Day’ and

‘Shongkran festival’.

Table 5.11

Number of Communal activities per year

Source: Survey (January, 2006)

Activities about communal development whether cleaning or maintaining

public areas are presented in some communities only, that is Charoenchai Nimitmai

and Khlong Lumnoon. They collaborate to cleaning a ditch.

8) Number of meetings per year and number of participants per meeting

Bang Bua had an election for a new leader in the end of 2005, a few months

before the survey. In the past, Bang Bua had a committee that monopolized power and

made decisions within its own group. There was no meeting.

Samakkee RuamJai and Charoenchai Nimitmai often announce information to

their dwellers through a microphone.

Khlong Lumnoon has meetings twelve times per year and Charoenchai Nimitmai

has meetings twice a year. As assessed by leaders, on average, 80% of households in

Charoenchai Nimitmai participate in each meeting, comparing with 45% in Khlong

Lumnoon.

Number of Communal activities per year Communal Community

Samakkee Charoenchai Khlong Activities Bang Bua

RuamJai Nimitmai Lumnoon Community 0 0 2 5

development

Activities in festival 4 4 4 4

100

Table 5.12

Number of meetings per year and number of participants per time Source: Survey (January, 2006)

9) Level of trust in opinion of leaders The committee of Charoenchai Nimitmai evaluates the percentage of

households that can be trusted in lending from a savings group at 95% of all

households. It is the highest level compared with other communities. Trustworthiness

in lending of households in Samakkee RuamJai is assessed at 90% of total households. This indicator of leaders in both communities is consistent with the reality.

The dwellers of Charoenchai Nimitmai and Samakkee RuamJai have self-

discipline in sending both loans and savings. It is probable that their cooperative and

savings group have been established for a long time compared to other communities.

Table 5.13

Trustworthiness in lending

Level of trust in leaders’ opinion (%)

Community Trust

Bang Bua Samakkee RuamJai

Charoenchai Nimitmai

Khlong Lumnoon

Trustworthiness in 87.00% 90.00% 95.00% 70.00%

lending Source: Survey (January, 2006)

Characteristics of meeting in each community

Number of meeting and

Community

participants Samakkee Charoenchai Khlong

Bang Bua RuamJai Nimitmai Lumnoon

Number of meeting 0 0 2 12 per year

Percentage of 0% 0% 80% 45%

participants per meeting

101

5.3.1.2 Bridging social capital variables

1) Number of activities and meetings between community and outsider

Level of cooperation between community and outsiders

Table 5.14 demonstrates the number of activities and meetings between

community and outsiders per year. The table also illustrates the level of cooperation

between them. Such coordination level is assessed by using four scales of score as

(0) No support (1) Mild (2) Adequate (3) Good (4) The most

From the table, NGOs have quite an important role in the sight of leaders of

Charoenchai Nimitmai. Suppanimit Foundation is the first outside organization that

has entered to provide aid to the community’s residents. This organization also

suggested CODI to them.

Government organizations, such as the Cooperative Promotion Department

and the Department of Cooperative Auditing, have also encouraged cooperative

management in Charoenchai Nimitmai and Khlong Lumnoon.

Khlong Lumnoon and district office have not had activities or meetings

together whereas other communities have. In fact, both of them have a relationship

with each other, but in a negative way, since the district office used to help

landowners to evict the villagers.

The feeling of some leaders in each community towards politicians,

particularly in District and Bangkok council members, is indifferent. They offer many

things, such as tents, tables and chairs, tee shirts, loudspeakers, or even useless things.

They propose budgets for approval to the council. It is possible that they support the

communities to maintain and extend their power base. The leaders are aware that, if

they rely on the aid or power of the politicians, in the future these politicians may

probably cause them problems. It is not reliable if they bring themselves to have

dense ties with the politicians, as Dasgupta (2005) said “vertical network…can not

sustain social trust and cooperation”. However, the slum dwellers need some supports

from the politicians. This is one kind of vertical social capital. It seems that it might

facilitate the benefit as equal as the cost for living. The hierarchical relationship

between the politicians and the sample communities also provide the advantages to

the projects of some communities. This issue will be stated in details later.

102

Table 5.14

Cooperation between community and outsiders

Cooperation between community and outsiders

Community

Samakkee Charoenchai Khlong Item Cooperation activities and

meeting Bang Bua

RuamJai Nimitmai Lumnoon 1 Number of activities per year:

NGOs - - - -

State organizaions - - 2 2

District office 2 2 2 -

Local politicians - - - -

Community network 1 1 - 1

Institutes of education - - - 1

Religious organizaions 1 1 1 1

CODI - - - -

Total 4 4 5 5

2 Number of meetings per year:

NGOs - - 12 -

State organizaions 12 12 12 12

District office 12 12 12 -

Local politicians - - - -

Community network 12 12 - 12

Institutes of education - - - -

Religious organizaions - - - -

CODI 12 12 12 12

Total 48 48 48 36

3 Level of cooperation evaluated by

community committees

NGOs 1 1 4 -

State organizaions 1 1 3 3

District office 1 2 1 -

Local politicians 1 2 1 -

Community network 3 4 - 4

Institutes of education 3 3 - 3

Religious organizaions - - - - CODI 3 3 3 4 Total 13 16 12 14

Source: Survey (January, 2006)

103

In the opinion of the leaders of Bang Bua, Samakkee RuamJai, and Khlong

Lumnoon, the community networks have a crucial role for community driven process.

The network of canal side communities has been established through the force of

UCDO. Within the network, the villagers have exchanged their experience and

problems with each other, especially land problems, and have also attempted to find

the solution together. As Narayan (1998) mentioned, the cross-cutting ties help

connect people with access to different information and opportunities. On the other

hand, the residents in Charoenchai Nimitmai tried to solve problems by themselves

through advice from NGOs and Urban Commnunity Development Office (UCDO).

As a result, as mentioned earlier, the residents have self-confidence as they have

experiences to overcome some communal problems such as land settlement.

The next two variables are measuring social capital under Baan Mankong

Program

2) Number of the project’s meetings about the project

Both Charoenchai Nimitmai and Khlong Lumnoon often arrange meetings

regarding the project within the community since they have to buy land thus the

meetings among the dwellers are essential to collective decision making.

104

Table 5.15

Types and number of the project’s meetings

Number of meetings

Community 1 2 3 4

Samakkee Charoenchai Khlong Item Types of project meeting

Bang Bua RuamJai Nimitmai Lumnoon

1 Meeting within community

1) Major meeting 23 24 76 94

2) Subgroup meeting 26 15 24 0

Both types of meetings may consist of community members and outsiders

Total 49 39 100 94

2 Meeting between

leaders and outsiders

1) Meeting with partners 24 24 66 66

e.g. district office, CODI,

pilot communities of the project

2) Meeting with community network 24 24 0 3

Total 48 48 66 69

3 Public hearing arranged outside 3 3 0 0

community which consists of

dwellers from communities

Source: Survey (January, 2006)

CODI establishes the relationship between the communities implementing

the project and encourages the formation of the Baan Mankong networks. At the

beginning, the first network in Bangkok consisted of 10 pilot communities, including

Charoenchai Nimitmai and Khlong Lumnoon.

Moreover, CODI attempts to link local outsider organizations such as district

office, institute of education, etc., to be partners of the communities in order to

collectively solve problems.

Both Baan Mankong network and the local partners will cooperate in

meetings. The community network originated prior to the Baan Mankong program

also coordinate in the network of the project. Public meetings are arranged by the

105

Bang Khen district office. The villagers from the communities that are members of

the network of Bang Bua canal-side communities have also participated.

3) The assistance from outside organizations under the project

As mentioned in chapter 3, assisstance from outside is classified into

5 issues. The level of the assistance from each type of outside organizations is

evaluated by using five scales as

(0) No support (1) Mild (2) Adequate (3) Good (4) The most

Bang Bua canal side communities and Bang Khen district office help Bang

Bua and Samakkee RuamJai to connect local-involved organizations whether they be

landowners, Teasury Department, or Metropolitan Electricity Authority, etc. Leaders

of Charoenchai Nimitmai view CODI as an important contributor. CODI helps them

in the agreement with private landowners and also encourages them to establish a

savings group for buying land before the Baan Mankong project occurred. The

committee in Khlong Lumnoon feels that the residents solve problems by themselves.

Their households still do not receive formal electricity installation from the

Metropolitan Electricity Authority, thus, the residents connect BMA by themselves to

demonstrate their need. In addition, after they bought land and constructed housing,

The Department of Highways planned to make a highway pass through their land. The

residents went to Department of Highways to make an agreement for shifting the road

15 metres from their land..

For every community, CODI plays an important role in stimulating the

community driven processes. In addition, leaders of Samakkee RuamJai also think

that the district office and networks strengthen the cooperation among the

communities and the villagers within the community.

106

Table 5.16

The assistance from outside organizations in carrying the project

Organizations Level of assistance from Issues of assistance Providing assistance outside organizations in each issue

from outside Community organizations

or cooperation to Bang Samakkee Charoenchai Khlong Total

Item

communities Bua RuamJai Nimitmai Lumnoon 1 NGOs - - - - - State organizaions - - - - - District office 4 4 - - 8 Local politicians - - - - - Community network 4 4 - - 8 Institutes of education - - - - - Religious organizaions - - - - - Landowner - - - - -

To help community connect local-involved organizations to obtain support or lessening in Strictness of regulation

e.g. to help bargain with

landowner and connect Metropolitan

Electricity Authority

CODI 4 - 3 - 7

2 NGOs - - - - - State organizaions - - - - - District office - 4 - - 4 Local politicians - - - - - Community network 4 4 - 4 12 Institutes of education - - - - - Religious organizaions - - - - - Landowner - - - - -

To stimulate community

driven processes, strengthen community

organization by promoting

preparedness of leadership, or coordinating in

planning

CODI 4 3 3 2 12

3 NGOs - - - - - State organizaions 3 - - - 3 District office 3 - - - 3 Local politicians - - - - - Community network - - 3 4 7 Institutes of education 3 3 - - 6 Religious organizaions - - - - - Landowner - - - - -

To provide information or experts e.g.

architect, accountant to

encourage knowledge in

saving, layout design, etc.

CODI - - 3 2 5

4 NGOs - - - - State organizaions - - 3 - 3 District office - - - - Local politicians 2 2 - - 4 Community network - - - - Institutes of education - - - - Religious organizaions - - - - Landowner - - 4 1 5

To donate fund or accessories for construction or

to provide convenience in developing

community housing

CODI - - - -

107

Source: Survey (January, 2006)

Bang Bua and Samakkee RuamJai have received architectural support from

a professor of Sripatum University. The constructions in Charoenchai Nimitmai and

Khlong Lumnoon are advised by voluntary villagers who have knowledge about

construction work and live in other communities joining the Baan Mankong network.

Local politicians donate paint for houses in Bang Bua and Samakkee

RuamJai. Charoenchai Nimitmai has obtained a budget for improving roads from

Department of Cooperative Auditing. Moreover, Charoenchai Nimitmai also receives

help from kind landowners who sell their land to the residents at a cheap price.

Landowner donates two hundred thousand baht for constructing sidewalk along the

canal to Khlong Lumnoon. In the case of Bang Bua and Samakkee RuamJai, they

obtain much aid from politicians, especially from persons who are going to be

candidates in the next election. Because of such aid and favor, the dwellers of some

communities are necessary to support and give flowers to the politicians when they

are faced with political problems.

In other development activities, the sample communities receive assistance

from NGOs and institutes of education. Chumchonthai Foundation and NIDA give

suggestions and accessories for preservation in water resources to Bang Bua,

Samakkee RuamJai and Khlong Lumnoon. Charoenchai Nimitmai obtains support

Organizations Level of assistance from Issues of assistance providing assistance outside organizations in each issue

from outside Community organizations

or cooperation to Bang Samakkee Charoenchai Khlong Total

Item

communities Bua RuamJai Nimitmai Lumnoon 5 NGOs 2 - 2 5 State organizaions - - 1 - 1

District office - - - - -

Local politicians - - - - -

Community network - - - - -

Institutes of education 2 - 2 5

Religious organizaions - - - - -

Landowner - - - - -

To promote other development e.g.

career training Preserving quality

of environment, etc.

CODI - - - - -

108

regarding environmental preservation from the Department of Alternative Energy

Development and Efficiency which donates equipment for preserving energy such as

kilns, electric lamps, etc. to the community.

From Table 5.16, after adding up the scores that each kind of outside

organizations are assessed according to the five issues, level of the support from each

kind of the organizations is concluded in Table 5.17. Bang Bua and Samakkee

RuamJai have higher scores for the level of assistance from outsiders.

Table 5.17

Level of the assistance from outside organizations

Cooperation between community and outsiders Community

Samakkee Charoenchai Khlong Item Cooperation activities and meeting

Bang Bua RuamJai Nimitmai Lumnoon

1 NGOs 1 2 - 2

2 State organizaions 3 - 4 -

3 District office 7 8 - -

4 Local politicians 2 2 - -

5 Community network 8 8 3 8

6 Institutes of education 4 5 - 2

7 Religious organizaions - - - -

8 Landowner - - 4 1

9 CODI 8 3 9 4

Total 33 28 20 17 Source: Survey (January, 2006)

The work of CODI and the community network play crucial roles in every

sample community, even though, from observation, the efficiency of providing the

advice and inspecting the construction is not good enough since CODI has few

officials and not enough volunteers from the Baan Mankong network to help the

communities.

In addition, in implementing the project, the leaders of Bang Bua and

Samakkee RuamJai view that their community obtains much assistance whereas leaders

109

of Charoenchai Nimitmai and Khlong Lumnoon feel the opposite way. It is probably

because the residents of both communities get used to being self-reliance.

Bang Khen district office pays attention to the living conditions of the

residents. Nevertheless, much more support from the district office seems to cause the

dwellers to miss the enthusiasm in developing their communities and solving

problems by themselves.

5.4 Hypothesis testing on the relationship of progress of the project and

bonding and bridging social capital factors

In this section, the analysis of the effects of socio-economic variables,

which include social capital variables, on progress of the Baan Mankong project is

divided into two parts. First, the hypothesis testing on the association of an economic

variable and the progress of the project will be described. In addition, the results of

testing the relationship between bonding social capital variables measured by

households and progress of the project will also be illustrated. Second, the qualitative

analysis on the association between bonding and bridging social capital evaluated by

the leaders and progress of the project will finally be explained.

5.4.1 Hypothesis testing of the association of progress of the project on

economic and social capital factors by using Chi-square test

In this section, Chi-square test is applied for testing the association of

progress of the project on economic and social capital variables at a confidence level

of 95%. Only one economic variable hypothesized, average household income per

month will be tested first. Then Table 5.18 will illustrate the results of testing in the

relationship between the progress and social capital variables. All variables in that

table are evaluated by households in each community.

Firstly, after the average household income per month is tested by Chi-

square, the result indicates that progress in each process of the project has no

significant association with household income.

110

Considering the stability of household income from the in-depth interview

and from observation, although the proportion of the dwellers that have an irregular

occupation is higher than who have regular careers, the dwellers have time to

participate in activities of the project.

Charoenchai Nimitmai has more irregular earners than Bang Bua and

Khlong Lumnoon. The dwellers have a higher cooperation level and progress level of

the project than the others. In Charoenchai Nimitmai, if some villagers volunteer to

coordinate in communal works, they can come to do whenever they have time. One of

the committee members comes from the household that consists of only irregular

earners. This household also has the lowest income level compared with their

neighbours. Another irregular earner, a stallkeeper, often helps to plant trees and

cleans the area around the cooperative office.

It seems that the fluctuation of income may not affect the level of villagers’

cooperation and the progress of the project.

As mentioned above, Table 5.18 illustrates the results of testing in the

relationship between the project and social capital variables evaluated by households.

The first variable in the table, level of active cooperation in communal

activities of households, reflects the level of collective action in the community. From

Table 5.3, overall progress of processes, progress of processes in stage before the

construction; land agreement and accumulation of saving, progress of construction

and progress of other development activities and loan repayment have a relationship

with level of cooperation in every type of communal activities.

Considering the level of coordination in communal activities in Table 5.4,

and the level of progress in Table 5.3, Charoenchai Nimitmai has a maximum level of

cooperation and score of progress of processes. Samakkee RuamJai and Khlong

Lumnoon have proximal level of participation in activities and the progress. These

illustrate that the level of cooperation have a positive effect on progress of the

processes.

Furthermore, considering each type of cooperative activities, the results of

Table 5.18 suggest that progress of the process regarding land agreement depends on

the level of collective solving problem of the households since α from Chi-square test

0.013 is less than the significant level of 0.05.

111

Table 5.18 Hypothesis Testing on the Association of Progress of the Project on Bonding and Bridging Social Capital

α value from Chi-square test Progress of preparing Progress of processes before Progress of Progress and planning (1-3) construction (4-10) construction (11-12) (13-14)

Factor underlying

the progress

Item

(1) S

urve

y

(2) E

stab

lishm

ent o

f sav

ing

grou

p

(3) D

eter

min

ing

goal

of p

roje

ct

(4) L

and

agre

emen

t

(5.1

) Des

ign

of in

fras

truct

ure

layo

ut

(5.2

) Des

ign

of n

ew h

ousi

ng la

yout

(6

) Arr

ange

men

t of l

and

right

(7) A

ccum

ulat

ion

of sa

ving

(8) P

lan

for a

skin

g lo

an/g

rant

app

rova

l

(9) C

onne

ctio

n w

ith re

late

d or

gani

zatio

n e.

g. M

etro

polit

an W

ater

wor

ks A

utho

rity

(10)

Purc

hasi

ng m

ater

ials

and

hiri

ng la

bore

rs

11.1

) Inf

rast

ruct

ure

cons

truct

ion

11.2

) Hou

sing

con

stru

ctio

n

(12)

Insp

ectin

g co

nstru

ctio

n

(13)

Loa

n re

paym

ent

(14)

Oth

er d

evel

opm

ent a

ctiv

ities

(1-1

4) P

rogr

ess o

f eve

ry p

roce

sses

1 Level of participation in communal activities:

1) Collective solving problem* - - - 0.013* - - - - - - - - - - - - -

2) Community development - - - - - - - - - - - - - - - - -

3) Activities in festival - - - - - - - - - - - - - - - - - Total* - - - 0.010* - - - 0.015* - - - 0.008* 0.008* - 0.008* 0.008* 0.035*

2 Level of trust (%) 1) Expected assistance* - 0.017* 0.017* - - - - 0.037* - - - - - 0.012* - 0.016* -

2) Honesty* - - - - - - - - 0.027* - - - - - 0.027* - -

112

α value from Chi-square test

Progress of preparing Progress of processes before Progress of Progress

and planning (1-3) construction (4-10) construction (11-12) (13-14)

Factor underlying

the progress

Item

(1) S

urve

y

(2) E

stab

lishm

ent o

f sav

ing

grou

p

(3) D

eter

min

ing

goal

of

proj

ect

(4) L

and

agre

emen

t

(5.1

) Des

ign

of in

fras

truct

ure

layo

ut

(5.2

) Des

ign

of n

ew

hous

ing

layo

ut

(6) A

rran

gem

ent o

f lan

d rig

ht

(7) A

ccum

ulat

ion

of sa

ving

(8) P

lan

for a

skin

g lo

an/g

rant

ap

prov

al

(9) C

onne

ctio

n w

ith re

late

d or

gani

zatio

n e.

g. M

etro

polit

an

Wat

erw

orks

Aut

horit

y

(10)

Purc

hasi

ng m

ater

ials

and

hi

ring

labo

rers

11.1

) Inf

rast

ruct

ure

cons

truct

ion

11.2

) Hou

sing

con

stru

ctio

n

(12)

Insp

ectin

g co

nstru

ctio

n

(13)

Loa

n re

paym

ent

(14)

Oth

er d

evel

opm

ent

activ

ities

(1-1

4) P

rogr

ess o

f eve

ry p

roce

sses

3) Responsibility - - - - - - - - - - - - - - - - - Total - - - 0.014* - - - - - - - - - - - - -

3 Level of exclusion - 0.018* 0.018* - - - - - - - - - - 0.013* - - -

4 Level of capabilities of leader

1) Initiative of community - - - - - - - - - - - - - - - - - leaders

2) Managerial ability/ ability - - - - - - - - - - - - - - - - -

to put persons to work

113

α value from Chi-square test Progress of preparing Progress of processes before Progress of Progress and planning (1-3) construction (4-10) construction (11-12) (13-14)

Factor underlying

the progress

Item

(1) S

urve

y

(2) E

stab

lishm

ent o

f sav

ing

grou

p

(3) D

eter

min

ing

goal

of p

roje

ct

(4) L

and

agre

emen

t

(5.1

) Des

ign

of in

fras

truct

ure

layo

ut

(5.2

) Des

ign

of n

ew h

ousi

ng

layo

ut

(6) A

rran

gem

ent o

f lan

d rig

ht

(7) A

ccum

ulat

ion

of sa

ving

(8) P

lan

for a

skin

g lo

an/g

rant

ap

prov

al

(9) C

onne

ctio

n w

ith re

late

d or

gani

zatio

n e.

g. M

etro

polit

an W

ater

wor

ks

Aut

horit

y

(10)

Purc

hasi

ng m

ater

ials

and

hi

ring

labo

rers

11.1

) Inf

rast

ruct

ure

cons

truct

ion

11.2

) Hou

sing

con

stru

ctio

n

(12)

Insp

ectin

g co

nstru

ctio

n

(13)

Loa

n re

paym

ent

(14)

Oth

er d

evel

opm

ent a

ctiv

ities

(1-1

4) P

rogr

ess o

f eve

ry

proc

esse

s

3) Ability to decreasing - - - - - - - - 0.007* - - 0.007* 0.007* - 0.007* - 0.012* disagreement*

4) Ability to coordinating - - - - - - - - - - - - - - - - -

with outside organizations

5) No favouritism* - - - - - - - - - - - - - - - - 0.031*

6) Encouraging development - - - - - - - - 0.044* - - 0.044* 0.044* - 0.044* 0.029* 0.029*

of new leaders*

Total*

- - - 0.016* - - - - - - - 0.016* 0.016* - 0.016* 0.016* 0.016*

5 Cooperation in operating

the project

114

α value from Chi-square test Progress of preparing Progress of processes before Progress of Progress and planning (1-3) construction (4-10) construction (11-12) (13-14)

Factor underlying

the progress

Item

(1) S

urve

y

(2) E

stab

lishm

ent o

f sav

ing

grou

p

(3) D

eter

min

ing

goal

of p

roje

ct

(4) L

and

agre

emen

t

(5.1

) Des

ign

of in

fras

truct

ure

layo

ut

(5.2

) Des

ign

of n

ew h

ousi

ng la

yout

(6) A

rran

gem

ent o

f lan

d rig

ht

(7) A

ccum

ulat

ion

of sa

ving

(8) P

lan

for a

skin

g lo

an/g

rant

app

rova

l

(9) C

onne

ctio

n w

ith re

late

d or

gani

zatio

n

e.g.

Met

ropo

litan

Wat

erw

orks

Aut

horit

y

(10)

Purc

hasi

ng m

ater

ials

and

hiri

ng

labo

rers

11.1

) Inf

rast

ruct

ure

cons

truct

ion

11.2

) Hou

sing

con

stru

ctio

n

(12)

Insp

ectin

g co

nstru

ctio

n

(13)

Loa

n re

paym

ent

(14)

Oth

er d

evel

opm

ent a

ctiv

ities

(1-1

4) P

rogr

ess o

f eve

ry p

roce

sses

Participation in planning

and preparing*

(1) Meeting to make - - - - 0.028* - - - - - - - - - - - 0.011*

understanding in the project

(2) Determining new rule - 0.000* 0.000* 0.003* 0.000* 0.000* 0.000* 0.000* 0.001* - 0.001* 0.001* 0.001* 0.000* 0.001* - 0.000*

for living within community

(3) Collective solving land problem - 0.000* 0.000* 0.000* 0.000* 0.000* 0.000* 0.000* 0.000* - 0.002* 0.002* 0.002* 0.001* 0.002* 0.023* 0.000*

(4) Arranging in land right - 0.003* 0.003* 0.020* 0.011* 0.003* 0.003* 0.018* 0.012* - 0.012* 0.012* 0.012* 0.004* 0.012* - -

(5) Considering in house

styles - 0.000* 0.000* 0.008* 0.000* 0.000* 0.000* 0.000* 0.000* - 0.000* 0.000* 0.000* 0.000* 0.000* 0.004* 0.000*

115

α value from Chi-square test Progress of preparing Progress of processes before Progress of Progress

and planning (1-3) construction (4-10) construction (11-12) (13-14)

Item

Factor underlying the progress

(1) S

urve

y

(2) E

stab

lishm

ent o

f sav

ing

grou

p

(3) D

eter

min

ing

goal

of p

roje

ct

(4) L

and

agre

emen

t

(5.1

) Des

ign

of in

fras

truct

ure

layo

ut

(5.2

) Des

ign

of n

ew h

ousi

ng

layo

ut

(6) A

rran

gem

ent o

f lan

d rig

ht

(7) A

ccum

ulat

ion

of sa

ving

(8) P

lan

for a

skin

g lo

an/g

rant

ap

prov

al

(9) C

onne

ctio

n w

ith re

late

d or

gani

zatio

n e.

g. M

etro

polit

an W

ater

wor

ks

Aut

horit

y

(10)

Purc

hasi

ng m

ater

ials

and

hiri

ng

labo

rers

11.1

) Inf

rast

ruct

ure

cons

truct

ion

11.2

) Hou

sing

con

stru

ctio

n

(12)

Insp

ectin

g co

nstru

ctio

n

(13)

Loa

n re

paym

ent

(14)

Oth

er d

evel

opm

ent a

ctiv

ities

(1-1

4) P

rogr

ess o

f eve

ry

proc

esse

s

(6) Volunteers in

community - 0.023* 0.023* 0.001* - 0.023* 0.023* 0.003* 0.041* - 0.041* 0.041* 0.041* - 0.041* - 0.022*

activities: General kinds of works, such as preparing

meetings,

cooking.

Total score of - 0.027* 0.027* 0.022* - 0.027* 0.027* - - - - - 0.048* - - - participation in planning

Participation in construction*

(1) Determining type of - 0.007* 0.007* 0.020* 0.030* 0.030* 0.007* 0.018* 0.033* - 0.033* 0.033* 0.033* 0.014* 0.033* - -

infrastructure improvement

116

α value from Chi-square test Progress of preparing Progress of processes before Progress of Progress

and planning (1-3) construction (4-10) construction (11-12) (13-14)

Item

Factor underlying the progress

(1) S

urve

y

(2) E

stab

lishm

ent o

f sav

ing

grou

p

(3) D

eter

min

ing

goal

of

proj

ect

(4) L

and

agre

emen

t

(5.1

) Des

ign

of in

fras

truct

ure

layo

ut

(5.2

) Des

ign

of n

ew

hous

ing

layo

ut

(6) A

rran

gem

ent o

f lan

d rig

ht

(7) A

ccum

ulat

ion

of sa

ving

(8) P

lan

for a

skin

g lo

an/g

rant

ap

prov

al

(9) C

onne

ctio

n w

ith re

late

d or

gani

zatio

n e.

g. M

etro

polit

an W

ater

wor

ks

Aut

horit

y

(10)

Purc

hasi

ng m

ater

ials

and

hi

ring

labo

rers

11.1

) Inf

rast

ruct

ure

cons

truct

ion

11.2

) Hou

sing

con

stru

ctio

n

(12)

Insp

ectin

g co

nstru

ctio

n

(13)

Loa

n re

paym

ent

(14)

Oth

er d

evel

opm

ent

activ

ities

(1-1

4) P

rogr

ess o

f eve

ry p

roce

sses

(2) Infrastructure construction - 0.003* 0.003* 0.009* 0.003* 0.003* 0.003* 0.004* 0.044* - 0044* 0.044* 0.044* 0.038* 0.044* - 0.004* (3) Determining type of - 0.000* 0.000* 0.001* 0.000* 0.000* 0.000* 0.000* 0.000* - 0.000* 0.000* 0.000* 0.000* 0.000* 0.035* 0.000* Housing construction (4) Housing construction - - - - - - - - - - - - 0.010* - 0.000* 0.018*

Total score of - 0.046* 0.046* 0.006* 0.001* 0.046* 0.046* 0.026* 0.042* - 0.042* 0.042* 0.042* - 0.042* 0.018* 0.000*

participation in construction*

Participation in other

development activities

(1) Maintaining environmental - - - - - - - 0.017* 0.009* - 0.009* 0.009* 0.009* - 0.009* - 0.026* condition

Total score of participation - 0.009* 0.009* 0.000* - 0.009* 0.009* 0.000* 0.014* - 0.014* 0.014* 0.014* - 0.014* - 0.008*

in other development

activities

Total scores of participation* - 0.013* 0.013* 0.000* 0.041* 0.013* 0.013* 0.008* - - - - - - - -

117

The level of coordination of active households in solving communal

problems reflects the level of collective action in the community. The repeated

interaction and continuous communication through social network has improved the

flow of information among the villagers, increase and reinforce cooperative behaviour

in civic cooperation. Finally, this working process of social capital will increase

welfare of the community which, here, is in the form of the success of solving land

problems (It is one of the important processes of housing development).

In the past, in Charoenchai Nimitmai and Khlong Lumnoon, the

neighbourhood association helped the villagers get news about land insecurity from

information exchange between them. Especially in Khlong Lumnoon, the dwellers

helped to watch over each other. Otherwise, someone might be sent to jail by the

police on the accusation of invasion. Moreover, such bonding relationships have

helped them to cooperate in solving such land problem, leading to their current

success. One committee member of Khlong Lumnoon mentioned that ‘problems’

seem to be the glue to relate the villagers and strengthen their association. However,

when the problems disappear, their density of network is lessened.

Both Charoenchai Nimitmai and Khlong Lumnoon have higher level of

coordination in solving problems (See Table 5.4) and the level of progress of land

agreement (See Table 5.3) than other communities. Thus, it seems that the level of

collective problem solving positively affects the progress of land agreement.

In the case of variables measuring level of trust in households’ opinion, the

results of testing in the dependence of success of the project on such variables suggest

the following.

The percentage of households expected that they will provide the assistance

to their neighbours facing troubles has a relationship with the progress of the stage of

preparing and planning especially the process of establishment of a savings group.

Moreover, it also has an association with the progress of the process of accumulation

of savings. Considering Table 5.5 and Table 5.3, such expectation of the dwellers on

the behaviour of their neighbours has an effect on the progress of the project by

noticing in Bang Bua, Samakkee RuamJai and Khlong Lumnoon. These communities

have such factors at a higher level than Charoenchai Nimitmai has and they have high

progress at a moderate level as well. Thus, this factor may have a relationship with the

118

advance of the processes as establishment of a savings group and development of

savings in a positive direction.

For Khlong Lumnoon, the progress of development of saving is at the lowest

level compared to others. Khlong Lumnoon’s project may possibly receive an

influence from other variables, such as percentage of households that can be trusted to

borrow which will be described later.

In the case of Charoenchai Nimitmai, this expected assistance among the

residents might not be the important factor for the community’s project. However, it

is probable that the data generating this variable is collected after the success of the

project in the community has become a reality. At that time, the failure of the

understanding among some residents and the leaders had led to a bad relationship.

This issue will be mentioned again in the following statement.

The percentage of households expected that they consist of the honest

members has the relationship with progress of loan repayments, by considering α

from Chi-square test 0.027 less than 0.05. From Table 5.4 and Table 5.1, Khlong

Lumnoon has percentage of households that expect honesty lower than other

communities and also has the lowest level of progress in repaying loans. Households

in Samakkee RuamJai and Charoenchai Nimitmai evaluate such percentage at a

moderate level. It is quite consistent with the reality because both of them can repay

loans back to CODI on time. Khlong Lumnoon has missed returning money to CODI

twice.

It seems that both the expectation about receiving assistance and honesty

have an effect on the progress of the activities regarding establishing and extending

savings group s including repaying loans to savings group s. The reason is that, by

social norms, if the households expect that other neighbours will be creditable in the

cooperation of activities and contracts made with a savings group, they will do as well.

This results in the progress of the project ultimately.

From the Chi-square test, the level of exclusion has an association with the

progress of the stages; the stage of planning and preparing (process of a savings group

establishment) and the stage of construction (process of inspecting construction).

In fact, the relationship between the level of exclusion and the progress of

the project is likely to be in the opposite direction. In turn, Charoenchai Nimitmai has

119

the highest amount of households that feel exclusion as described earlier.

Nevertheless, considering such variables in Samakkee RuamJai, Khlong Lumnoon

and Bang Bua compared with their progress, a lower level of exclusion causes a

greater level of progress.

In the case of Charoenchai Nimitmai, it is probably similar to some

communities. Some communities where residents have resided together for a long

time, may appear weakness within the social network. Some leaders might want to

hold the position or power or even the reputation for a long time. Their behaviour

automatically excludes the others from their group.

Households in Samakkee RuamJai may not severely feel exclusion or the

inequalities. Maybe most of the villagers are familiar with the management of their

leaders like this.

The level of capabilities of leadership has a relationship with the advance of

the project in total. Considering each issue, firstly, the ability in decreasing

disagreement has an association with the progress of infrastructure and housing

construction. The relationship between such variables and the success are in a positive

direction because from Table 5.7 the score of this kind of ability of each community is

approaching the mean whereas the level of the progress is increasing follows that

score.

In addition, no favouritism in the community has an effect on the overall

progress, the progress of the processes prior to the construction, the progress of the

construction and the progress of other development activities. In fact, the relationship

between such variables and the success should be positive. Since the bonds of

relationship between some villagers and the leaders in Charoenchai Nimitmai and

Sammakkee RuamJai are shaky, the committees in both communities are evaluated at

a lower level than the others.

The level of encouraging the development of new leaders has a relationship

with the total progress, the progress of the infrastructure and housing construction, the

progress of other development activities and loan repayments.

From Table 5.18, overall, the level of participation in planning and preparing

certainly has an effect on the progress of preparing and planning and also on the

advance of the construction. Considering each process, participation in the meetings

120

to make understanding in the project has an association with the progress of every

process, except the progress of the stage in preparing and planning. It seems that the

committee is still the plan determiner while most villagers in sample communities are

followers. Additionally, the other interesting type of coordination is being volunteers

in order to help the committee work. The participation in working in general kinds of

work e.g. preparing meetings, cooking, etc. has a relationship with the progress of

preparing and planning, the progress of processes before the construction and the

overall progress. Considering the level of participation of each community, Khlong

Lumnoon and Charoenchai Nimitmai have higher levels than the others and both

communities also have levels of progress of processes before the construction and the

overall progress. Therefore, the level of participation in planning and preparing and

the advance of the project have a relationship in a positive direction.

The overall level of the participation in construction affects the progress of

the project. When each process is considered, participation in determining the type of

infrastructure and housing improvement and participation in infrastructure and

housing construction has an association with the progress of the construction.

Noticing the level of these types of participation in each community compared with

their progress, the relationship between the factor of cooperation and the progress of

construction are in a positive direction. That is, Charoenchai Nimitmai and Khlong

Lumnoon have a higher level of the participation than the others and they also rate at

first and second for the level of progress in construction, except in the case of the

participation in housing construction. As described earlier, Charoenchai Nimitmai has

the lowest level of cooperation in housing construction. Nevertheless, it does not

mean that such cooperation has an opposite relationship with the progress of

construction.

From the Chi-square test, the overall level of participation in other

development activities has an association with the progress of the project. Considering

each process, only participation in preserving the environmental condition has a

relationship with the progress of the development in other areas. The example of the

development in other areas is energy preservation.

121

5.4.2 The investigation on the relationship of progress of the project and

social capital factors by using qualitative analysis

In this section, the qualitative analysis is utilized for indicating the

association between bonding and bridging social capital evaluated by the leaders and

progress of the project. Since the amount of information collected from the leaders is

insufficient for quantitative statistical testing, descriptive statistics and tables will be

applied for analysis as presented earlier.

The number of communal development activities per year is likely to have a

positive relationship with the progress. Considering the number of development

activities in Table 5.11 and the level of progress in Table 5.3, Charoenchai Nimitmai

and Khlong Lumnoon have total scores of progress greater than the others. They have

also arranged cleaning their communities and canals by themselves every year,

whereas Bang Bua and Samakkee RuamJai have received a budget from district office

for cleaning their canal and consequently hire some labours to clean. Therefore, the

number of communal development activities per year has an association with the level

of advance of the project.

From observation, the number of groups or organizations may not have an

influence on the welfare of the residents. Higher number of organizations might not

reflect a denser level of norm and trust, coordination and network, and also collective

action. Some groups are exclusively operated or some groups do not have activities

encouraging the bonds of relationship. For instance, Bang Bua had the formal

committee for a long time, prior to the currently elected committee, but such

community organization never attempted to promote the cooperation among the

villagers. Although Bang Bua has the same amount of organizations as Charoenchai

Nimitmai Bang Bua seems to accumulate a lower bonding social capital than

Charoenchai Nimitmai. This causes the project in Bang Bua to have lower progress

than Charoenchai Nimitmai.

The number of meetings per year and the average number of participants per

meeting might have a relationship with the progress of the project. The number of

meetings per year, nevertheless, seems to have a somewhat positive effect on the

project. Most sample communities rarely arrange meetings among the residents,

122

except Khlong Lumnoon which the committee tries to pull the villagers from house to

venue. Thus, collective action in decision making, which facilitates the project, may

not be regularly learned by the dwellers from this activity.

In addition to trust in the opinion of the villagers, the percentage of

households that can be trusted in lending of savings group is evaluated from the

leaders’points of view. This variable may affect the progress of the project. By

considering level of this factor in each community, Bang Bua, Samakkee RuamJai

and Charoenchai Nimitmai have rates of households that can be trusted to borrow at

87%, 90% and 95%, respectively, see Table 5.13. After comparing these percentages

with the overall level of the progress (see Table 5.3), it is suggested that the

percentage has a positive relationship with the progress. From information provided

by the leaders in Samakkee RuamJai and Charoenchai Nimitmai, the previous

evaluation of the leaders is consistent with reality. That is, in general, Samakkee

RuamJai has a number of the residents who regularly miss repaying their loans to a

savings group for 5-6 months accounting for 5.15% of the total members, at an

amount of 30,000 Baht. It means that 94.85% villagers in Samakkee RuamJai can be

trusted in lending. Charoenchai Nimitmai has a number of dwellers who regularly

miss loan repayments to a savings group for 2-3 months account for 3.66% of the total

members, at an amount of 10,000 Baht. Thus, 96.34% of villagers in Charoenchai

Nimitmai can be trusted in lending.

In the case of Khlong Lumnoon, the committee member evaluates

percentages of households that can be trusted in lending at 70%. It is in accordance

with the behaviour of repaying loans to CODI or the progress in loan repayments.

That is, Khlong Lumnoon has a number of households that miss repaying loans for 3-

8 months or accounting for 70% of all households at an amount of 100,000 Baht. The

community is going to sue some households that miss repaying money for 8 months.

Furthermore, in Khlong Lumnoon, some committee members, the treasurers, have

been found guilty of embezzlement.

The number of activities and meetings between the community and outsiders

is likely to have an effect on implementing the project. As mentioned in section 5.3,

the long relationship between the communities and the outside organizations results in

the sample communities being able to obtain support for implementing the project

123

from them. However, from the analysis, a high number of activities and meetings may

not reflect a high relationship or even high support.

The number of meetings to implement the project, both meetings among the

villagers and between the villagers and outsiders seems to have an association with

the advance of the project. So does the level of assistance from outside organizations.

The results show the level of a bridging social capital.

CHAPTER 6

CONCLUSION

6.1 Summary

At present, studies about the effects of social capital on the economic

performance are numerous. The measurement of social capital is needed and the

proxies are required to construct social capital variables.

This study attempts to measure the influence of bonding and bridging social

capital on the progress of the housing development program, Baan Mankong Program,

implemented in low-income communities in Bangkok.

The “Baan Mankong Program” is initiated in 2003 based on a new approach

for housing development for urban low-income communities. The participation of the

residents and networks is an important mechanism for improvement of their own

housing. This point makes this program differs from the old fashions of housing

development schemes.

The information of the communities and their households, in four low-

income sample communities in Bangkok, are collected through an in-depth interview

with 53 sample households, community leaders and CODI officials to generate the

social capital variables. Basic descriptive statistics and Chi-square test are also

operated to demonstrate the relationship between the progress of the project and social

capital factors.

The results illustrate that bonding and bridging social capital variables, that

already exist in the communities and that are generated under the project, have the

effects on the progress of the project.

The level of coordination in activities, particularly, collective solving

problems of the households have an association with the progress of the project at a

statistically significant level of confidence. In addition, the level of trust (percentage

of households that will provide assistance to others facing troubles and percentage of

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125

households consisting of honest members) has an influence on the project especially

the processes regarding savings groups and loan repayments.

The level of the leadership in the committee (level of ability to decrease

disagreement, level of no favourtism and level of the encouragement of new leaders)

associates the progress whereas level of exclusion is likely to have a negative

relationship with the progress.

Certainly, the coordination among households under the project has an

association with the advance of the project, particularly, meeting to make an

understanding the project among dwellers and being volunteers in community

activities.

Bridging variables such as the number of activities, meetings and level of

cooperation between the communities and the outside organizations, which both

already exist in the communities and those are generated under the project, facilitate

the benefits to the project. However, statistical test is not applied in these cases due to

a small number of observations.

It is observed that social capital variables have different roles in each

community. It depends on the level and type of social capital that each community has

accumulated.

Charoenchai Nimitmai the community that has been assessed at the highest

progress score has both strong and weak points.

The important characteristics of Charoenchai Nimitmai are that the

community members have observable level of self-confidence so that their

participation rate is high leadership. In particular, the leaders have good capabilities.

It seems that the community can rely on itself. The experience from collectively

solving land problems encourages the strength of the residents. These characteristics

are important factors facilitating the advance of their project. Obviously, these

villagers are voluntary to help communal works. Even if some members behave as

free- riders, the way to solve this problem is whenever the community has arranged

activities or meetings the committee will take photographs’ of the villagers to record

the persons who rarely coordinate in communal works.

Khlong Lumnoon also faces the same land insecurity as Charoenchai

Nimitmai. The villagers then obtain experience from collectively solving land

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problem as well. They often cooperate when problems occur. Nevertheless, one weak

point of Khlong Lumnoon is the residents’expectation about honesty in their

communities is destroyed by the behaviour of some committee members and from

some neighbours who miss repaying loans.

Samakkee RuamJai has capable leaders. However, they do not attempt to

distribute communal works for the villagers. The committee always manages and does

everything. The residents do not cooperate in decision making.

Bang Bua has been monopolized by the family of leaders for a long time.

With the current committee, the villagers are hopeful of the change and the

development.

By considering the strong and weak points in each community, it is probable

that the communities and the related organizations will attempt to maintain and

accumulate the existing social capital providing positive benefits to them. They

should also improve social capital factors facilitating negative effects to them and

their project.

In addition, considering the deep incentive of the households in coordinating

the project from the interview, the results indicate that most villagers cooperate since

they need housing. Otherwise, only a few leaders and some residents mentioned that

they would like to build social capital.

127

6.2 Limitation of the Study

1. With limited number of communities, a comprehensive statistical estimation

method cannot be applied.

2. Size of community may have an impact on the progress of the Baan Mankong

project. For instance, a larger community with a larger number of project members

may have a high transaction cost in implementing the project. Since the number of

sample communities is small, this factor is left out term of the analysis.

3. Numbers of participants in meetings or activities between the communities and

the outside organizations should be included another variables relating the progress of

the project.

4. Most of variables in the study are subjective as the assessment is made based on

the view points of the residents, the leaders, and officials. Thus, it may decrease the

reliability of information collected.

APPENDICES

128

APPENDIX A

THE DATA OF POPULATION AND

SLUMS IN THAILAND

Table A.1

The Amount of Population, Density and Increasing Rate of Population

in Bangkok 1991-2003

Year Amount of Density Increasing

Population (Person/Sq km.) Rate

1991 5,620,591 3,583 1.33

1992 5,562,141 3,546 -1.04

1993 5,572,712 3,552 0.19

1994 5,584,226 3,560 0.21

1995 5,570,743 3,551 -0.24

1996 5,584,963 3,560 0.26

1997 5,604,772 3,573 0.35

1998 5,647,799 3,600 0.77

1999 5,662,499 3,610 0.26

2000 5,680,380 3,621 0.32

2001 5,726,203 3,650 1.13

2002 5,782,159 3,686 2.11

2003 5,844,607 3,726 2.89

Source: The Registration Administration Bureau, Department of Local Administration, Ministry of

Interior

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130

Table A.2

The Number of The Urban Poor Living in Slums and Outside

Communities in 2000

Detail Amount of Amount of Amount of

CommunitiesHouseholds

(million) Population (million)

Total Amount of Slums and 5,500 1.5 6.75

Low-income Communities

1. Slight Problems:

-Former Communities 1,750 0.36 1.62

2. Serious Problems:

- Temples and government 1,360

- Communities in private lands 1,400

- Communities in invaded and 990

rented land

Total of Case 2 3,750 1.14 5.13

3. People Living Outside

Community:

Vagrants, labours in factories, 0.37 1.5

collective tenants both room and

building rents, craftsman, etc.

Total (counted as 37% of 1.87 8.25 Thailand’s total urban

population)

Source: CODI (2000)

APPENDIX B

HOUSEHOLD QUESTIONNAIRE

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132

HOUSEHOLD QUESTIONAIRE

Community......................................................................... District.......................................................................

Note: The objective of this questionnaire is to collect household data in the

community for the M.A. thesis “Effects of social capital on the Progress of the

Bann Mankong Program: (The National Program of Building Secure

Community Housing): A case study of communities in Bangkok. The result is

beneficial for both the communities themselves and the others who involve in

the operation of the project. Thus please answer all questions. Thank you for

your generosity.

-------------------------------------------------------------------------------------------------------

This questionnaire is divided into 2 parts

Part 1 : Private information

1. Sex Male Female

2. Age……. ….years old

3. Education Primary school Secondary school

Certificate or Diploma Bachelor degree

Master Degree Other (specify).. .……

4. Amount of member in your family …………… persons

5. Period of time of living in the community ……. years

6. Main income comes from career

General Hiring Vendor

Own commercial shop Government/State enterprise official

Private employee Retiree/Pension official

Construction worker Others ……………

Date of interview ……… Interviewer…………

Result: Complete……………… Absent.................................. Refuse to answer

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7. Average income and its stability

7.1 Household average income ………………….…… Baht/month

7.2 In a year, you have income for ……… months

7.3 What months do you receive the least amount of income? ………..…

What months do you receive maximum amount of income? …..………

What months do you have no income? ……………

8. Household average expenditure………………………… Baht/month

9. Relationships between income and expenditure

Some saving Just enough Not enough

Part 2 : Characteristic of social capital in the community

- Collective Activity

10. Before joining in “Bann Mankong Program”, did you or someone in your family

have ever participate in the community activity as follows:

Level of participation Issue studying

Most (4)

Well (3)

Moderate (2)

Less (1)

None (0)

1) Collective activity for solving problems, claim for the right or help for the members of community such as land agreement, street lighting, water drainage, or collect money from the members for repairing the road etc.

2)

Activity for better quality of life in community such as tree planting, sewage drains cleaning, or arrangement of public area (play ground, meeting place, road)

3) Activity on special days or on religious days

134

- Trust 11. If you or someone in your family have financial problem, what proportion of the

members in community, except your relatives, will help your family ? (specify the

proportion)

Less than 25% (specify)………………. 25 – 50 % (specify)……………

51- 75% (specify)……………………. 76- 99% (specify)……………...

All members

12. What proportion do you think the members of your community are honest and no

cheating (specify the proportion)

Less than 25% (specify)………………. 25 – 50 % (specify)……………

51- 75% (specify)……………………. 76- 99% (specify)……………...

All members

13. What proportion do you think the members of your community have work

responsibility

Less than 25% (specify)………………. 25 – 50 % (specify)……………

51- 75% (specify)…………………..…. 76- 99% (specify)……………...

All members

Exclusion

14. What proportion do you think the members of your community received un-fair

treatment in loan consideration from saving group/cooperative/or other fund?

None Less than 25% (specify)……………….

25 – 50 % (specify)…………… 51- 75% (specify)…………………….

76- 100% (specify)……………...

15. From 14, what is the reason that some members received un-fair treatment?

Political relationship Social status

Nationalism Power group in the community

Other (specify)……………...

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- Leader’s capability

16. How do you explain about character and capability of the leaders in your

community?

Note: Please check √ in a box that correspond to the characteristic in your

community Level of participation

Issue studying

Most (4)

Well (3)

Moderate (2)

Less (1)

None (0)

16.1 Have vision and creativity

16.2 Have managerial skill and job delegation

16.3 Create cooperation and reduce conflict

16.4 Coordinate with outside organizations

16.5 Fair and impartial, no favouritsm

16.6 Encourage new leaders capability

- Participation

17. How do you participate in housing improvement activity under Bann Mankong

Program?

The assessment divided into 3 levels as follows:

1. Assessment of participating in planning and preparation

2. Assessment of participating in implementation of the project

3. Assessment of participating in other community improvement activities

136

Note: Pleas check √ in a box that correspond to your actual practice

Level of participating No participation Item Improvement activity

Most Well Moderate Mild Not

participate

Not yet

start

1) Planning and

preparation

(1) Participate in the meeting to

understand the objective and

step of the project

(2) Participate in selecting target

households

(3) Participate in establishing

rules of living in community

(4) Participate in land problem

solving

(5) Participate in solving

problem of implementing the

project

(6) Participate in considering

new layout of the community

(such as housing layout,

infrastructure, common area)

(7) Participate in arranging land

right such as land selection

method

(8) Participate in considering

type of own house

(9)

Participate as volunteer to

help the committee in

Professional work such

as action plan, budget,

reimbursement,

procurement, and accounting

etc.

General work such as

venue, cooking, cleaning,

planting, document copying

etc.

137

Level of participating No participation Item Improvement activity

Most Well Moderate Mild Not

participate

Not yet

start

1) Planning and preparation

(10) Participate in follow up the

project such as financial progress,

progressive of the project etc.

2) Implementing the project

Infrastructure

(11) Participate in considering

improvement activity

(12) Participate in implementing

(In case of the dwellers

collectively construct by

themselves)

(13) Follow up the implementation (In case of the dwellers collectively hire the constructor)

Housing

(14) Participate in determining type of

housing construction

(15) Participate in implementing (In

case of the dwellers collectively

construct by themselves)

(16) Follow up the implementation (In case of the dwellers collectively hire the constructor)

138

Level of participating No participation Item Improvement activity

Most Well Moderate Mild Not

participate

Not

yet start

1) Planning and

preparation

Common area such as

multipurpose building,

daycare center, plantation,

painting etc.

(17) Participate in determining

type of improvement

(18) Participate in

implementing

(In case of the dwellers

collectively construct by

themselves)

(19) Follow up the

implementation (In case of

the dwellers collectively

hire the constructor)

3) Other community

improvement activity

(20) Environmental and living

preservation such as water

resource, tree cutting,

facility and common area

maintenance

(21) Participation in other

activities

Career training

Raising fund for future

use such as for community

welfare

Other……

……………

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- Incentives and Coordination Benefits and Costs 18. The reason why you cooperate with the members in implementing the project (can

answer more than 1 choice ranking by priority)

(specify) …………………………………………………………..

To receive acceptance and trust from members and outsiders

Because the problem must be solve together

19. What benefit or satisfaction that you receive from implementing the project and to

what level of satisfaction Level of satisfaction

Item

Issue studying Most

(4)

Well

(3)

Moderate

(2)

Less

(1)

Unsatisfied

(0)

Housing problem

1) Unsecured in land and housing was solved

2) Good surrounding for living, improved

environment

3) Access to basic infrastructure

Social benefit

4) Good order, reduce social problem and crime,

secure in life and property

5) Good welfare for low income, jobless, children

and old-age

6) The community was recognized by the society

especially at the city level

Economic benefit

7) Cost saving in housing improvement

8) Encourage saving

9) Reduce illegal debt

10) Securitization in the future such as using the

house to guarantee loan from financial institute

11) Others…………………………………………

s

140

20. Do you loss any benefit in cooperating with members in the community to

implement the project (specify and ranking by priority)

Have to work with some members who have non-concurrent opinion

Waste time for earning money for living

Waste time to spend with family/resting

Others…………………………………..

APPENDIX C

COMMUNITY QUESTIONNAIRE

141

142

Community Questionnaire

Community.......................................................................... District .............................................................

Note: The objective of this questionnaire is to collect basic information of the

communities for the M.A. thesis “Effects of social capital on the Progress of the Baan

Mankong Program: (The National Program Of Building Secure Community

Housing): A Case Study Of Communities in Bangkok ”. The result is beneficial for

both the communities themselves and the others who involve in the operation of the

project. Thus, please answer all the questions truthfully. Thank you for your

generosity.

Information of the interviewee

Name of the interviewee(Mr.,Mrs., Miss.)………………….……………………

Career …………………………………….Family status….………………….……….

Position in the community….…………………………………………………………...

Period of time in the position………...………………………………………………...

Period of time living in the community……...…….......................................................

The Questionnaire contains three Parts.

Part 1: Physical Characteristics of the community.

1. General Physical Characteristics

………………………………………...………………………………………...

2. Types of the community

1. Trespass ....……… households, Land owner ……………………………

2. Lease ………. households, Land owner …………………………

Date of interview ……… interviewer………………

Result: Complete…….. Partially complete…

143

lease Period ............... years.

3. Own land or Cooperative’s land ....……… households

3. Dwelling and Facilities Characteristics

Before you participate in Baan Mankong Project, what characteristics of dwelling and

facilities does your community have from the list below? Please choose number 1 to

4(detailed below) and insert it in front of each characteristic to specify which

proportion of the community member can access each of them.

Choice: 1) Less than 25 percent 2) 25-50 percent 3) 51-75 percent

4) 76- 99 percent 5) 100 percent

……. permanent home(lasting for at least 5 year) …… piped water

……. sewage drain ……. electricity

……..road/walk way maintenance …… concrete road/walk way

..…. waste/garbage disposal site …… park/recreational area

…… sewage treatment …… multipurpose/meeting place

…… cooperative/saving group office …… unsafe areas

Part 2: Socio-economic characteristics of the community

4. Age of community ...years Age of community organization ........years

5. Number of household ……………units classified into

own home …………… units rented home……… units

6. Number of population ……………… people

7. Average member’s number of year residing in the community. ……. years

8. Where is the hometown of most member of the community

1. present community 2. other community in Bangkok 3.the north

4. the northeast 5. the central region 6.the south

7. others (specify) ……………………

9. Which group of the members most frequently move in and out?

…………………………………………… the number of them …… people

144

10. What is the religious of the majority of the community?

1. Buddhism 2. Christianity 3. Islam 4. others (specify) …..

11. What is the major career of the majority of the

community?

1. general wage labor 2. vendor

3. shop owner 4. recyclable waste collectors

5. firms/factories workers

6. others (specify) …………………….

12. Which instrument do the community member use for saving?(before participating

in Baan Mankong Project)

1. saving group/cooperative 2. commercial bank

3. group encouraging circulation

of fund (‘Fund share group’ in Thai)

4. not likely to save 5. other (specify)

13. What is the major source of loan for the community member(before participating

in Baan Mankong Project) and what is the interest rate?(Please specify)

1. saving group/cooperative : interest rate(%)…

2. commercial bank :interest rate(%)...

3. other members: interest rate(%) …..

4. other community’s member: interest rate(%) …..

5. others: {specify) …………………………..

Part 3: Characteristics and level of social capital in the community

(Leadership)

14. In general, how are the community’s leaders and committees chosen?

1. inherited within some group or family

2. election

3. Others(specify) …………………………..

145

(Organizational Density)

15. Number of groups/organization currently operate (before participating in Baan

Mankong Project)

Type of the

organization/group

(consider the

choices below)

(Name of the

organization/group)

Number of

members

participating in

group activities

regularly.

The Founder Current leader

total number of

organizations

Choices community organization 1 educational extension group 8

cooperative 2 housekeeper group 9

saving/ lending group 3 group encouraging family institute 10

sport supporting group 4 environment-protecting group 11

health care group 5 facilities management group 12

religious group 6 teenage group 13

politics group 7 cultural conservation group 14

Others 15

16. The number of community development groups from the past till now.

Type of Project

consider the choices below) Name of the

project

The founders and

sponsors

Budget

The leader

from the

community

Total Number of the projects

146

(Collective action and Participation)

17 On average, how many times per year does your community operate community

development activities, excluding the religious activity? What are they?

………………………………………………………………………………………

………………………………………………………………………………………

………………………………………………………………………………………

18. What is the proportion of the community member voluntarily participating in

above activities?

1. Less than 25 percent 2. 25-50 percent 3. 51-75 percent

4. 76- 99 percent 5. 100 percent

19. On average, how many time per year does your community arrange meetings?

How many members participate?

Type of meeting Number(per year) Number of participants

1. committee meeting

2. community meeting

Others

Total number of the meeting

20. Before participating in Baan Mankong Project, do the community members

cooperate in problem solving or voice for their right and help for the betterment in

their community?

1. (No) 2(Yes)

21. From the above question, what are the problems that the community members are

facing and cooperating to solve them?

1. Insecurity of their dwellings …………………………………………

147

2. Scarcity of infrastructure facilities ……………………………………

3.Environmental Problem………………………………………….………………

4. Unemployment…………………………………………………………

5. Crime/Drugs…………………………………………………………….

6. Others(specify)……………………………………………………………

22. On average, how many times per year does your community operate community

development activity collectively or have meeting with the other community?

(Before participating in Baan Mankong Project)

Level of cooperation and support

Type of Organization or agent

Number

of

activities

Number of

meetings The most

(4)

much

(3)

Moderate

(2)

Less

(1)

Least

(0)

NGOs

state organization

District office

Politician

community network

Educational institution

Religious Organization

Others

(Trust)

23. In your opinion, what is the proportion of the members in your community being

honest?(Please specify the proportion)

1. Less than 25 (specify) …percent 2. 25- 50 percent (specify) …percent

3. 51-75 (specify) ………percent 4. 76-99 (specify)………percent

5. 100 percent

24. In your opinion, what is the proportion of the members in your community having

responsibility ?(Please specify the proportion)

1. Less than 25 (specify) …percent 2. 25- 50 percent (specify) ……percent

148

3. 51-75 (specify) ………percent 4. 76-99 (specify)………percent

5. 100 percent

25. In your opinion, what is the proportion of the members of your community that

you can refer as being so credible that community group can do contractual

agreements, such as lending contract, with?( Please specify the proportion)

1. Less than 25 (specify) …percent 2. 25- 50 percent (specify) …percent

3. 51-75 (specify) ………percent 4. 76-99 (specify)………percent

5. 100 percent

APPENDIX D

BAAN MANKONG PROGRAM QUESTIONNAIRE

149

150

BAAN MANKONG PROGRAM QUESTIONNAIRE

Community…………………….… District………………………………….. Note: The objective of this questionnaire is to collect information about operation

of Bann Mankong Program for the M.A. thesis “Effects of social capital on the

Progress of the Bann Mankong Program: (The National Program of Building Secure

Community Housing): A case study of Communities in Bangkok”. The result is

beneficial for both the communities themselves and the others who involve in the

operation of the project. Thus, please answer all questions truthfully. Thank you for

your generosity.

Name of interviewee (Mr., Mrs., Miss) ……………………………………….……

Career …………………………... Family status………………….………………

Address…………………………………………………………………………………

Position in the community……………………………………………………………

Period of time in the position...……………………………………...………………

Period of time living in the community ……………………………………...…….....

The questionnaire is divided into 3 parts:

Part I : The Description of Baan Mankong Program in the Community

1. Form of the organization in the project management

1.1 Organization which proposed the project ……………………………………

1.2 Status of the organization Legal entity Non legal entity

2. Date of entering to Baan Mankong Program was (Date/Month/Year).......................

3. What organization or person is the core organization who facilitates the project in the

community?

NGOs (specify)……. Community network (specify)

District office Group of leaders

CODI Others…………..

Date of Interview…………… Interviewer…………………

Result: Complete ………… Partially complete……..

151

4. Number of members who participate in the project

4.1 Number of households who participate in the project: (after land right

arrangement and confirmation of the right) compose of:

Households……………. units Rental house…………… units

4.2 Changing of the Number of members

Increase………… households Decrease………. households

4.3 Number of households who do not participate in the

program………….households

4.4 The reason why they do not participate or quit

Having house outside the community

Rental house or the house is too big so they do not want to lose the land

Just renovate the house

5. Description of improvement

5.1 Forms of improvement:

Upgrading the old land………………………………………………….

Reconstructing new house on the old land………………………………

Relocating to the new land……………………………………………….

5.2 Layout of the community

Before improvement After improvement

6. Budget from CODI including of the approval of the Project and the budget

6.1 Date of project approval (approved in principle)

Infrastructure budget was approved in the year ……, amount ……… Baht

Loan for housing improvement (Housing and Land)

Loan for land buying was approved in the year………., amount……Baht

Housing loan was approved in the year ……., amount…… …...Baht.

152

6.2 Date of budget approval (Reimbursement date)

Infrastructure budget: First reimbursement was approved in the

year……amount……Baht

( ) Fully reimburse

( ) Partially reimburse, remain amount……………..Baht

Loan for housing improvement was approved in the year…..,

amount…….Baht

Loan for land ( ) Fully reimburse

( ) Non reimburse

Housing loan ( ) Fully reimburse

( ) Partially reimburse, remain……installments

totaling of……….Baht

7. Support budget from other organizations/persons

Local administrative organization such as …………………………………

for………………………………………….., amount…………………….Baht

From politician’s request from the government such as ………………………

for………………………………………….., amount…………………….Baht

From government organization such as …………………………………….

for………………………………………….., amount……………..Baht

From private development organization such as……………………………

for…………………………………...., amount……………………..Baht

From the community itself for………………………,amount……………Baht

Others such as…………………………….for………………………………..,

amount………………………Baht

8. Land negotiation (can answer more than 1 choice)

Rent from the government or private land owner (specify)……..…………….,

rental period……….years

rental rate…………Baht/square wah rent by……………………

Buy from the government or private (specify)………………………..…

buyer name………………………….

resale price to members…………….Baht/sq.wah

153

Negotiation not yet finished because of…………………….........................

9. Plan for housing and infrastructure improvement

Implementation Improvement Description Period

Finish On Process Not

start

Central area: landfill, piping,

road, electricity, water supply

Park

Common area

Phrase 1

Phrase 2

Infrastructure

construction

(Phrasing)

Phrase 3

Phrase 1

Phrase 2

Housing construction

divided into

….. phrases Phrase 3

10. The project in your community is now in the stage of…………………………

11. Management structure of the project in your community

11.1 Number of the committee……………………persons

11.2 Structure of working teams or subgroups:

Infrastructure Team e.g. purchasing , inspection ………………………...

Management Team e.g. accounting team………………………………

Welfare Team…………………………………………………………

Others…………………………………………………………………

Part 2: Saving and credit management

12. Saving group/ cooperative was established on…………………………………

13. Economic characteristic of the members of the saving group

13.1 Household income on average………………..Baht/year or month

13.2 Household expense on average……………….Baht/year or month

13.3 Household debt on average……………………Baht

154

14. Saving behavior of the members

14.1 Members have to send their saving to their group every (day/ week/

month)………

-The minimum saving rate is…………… Baht

- Saving interest rate or dividend for members is……… %

14.2 Overall, how many percentages of the members in the community can

send their savings on time, or can continuously saving

Less than 25% (specify)……… From 25% to 50% (specify)…….

From 51% to 75% (specify)……. From 76% to 99% (specify)……

All members

15. Loan and loan repayment

15.1 How to punish when member does not repay the loan and

interest…………

15.2 Does the above punishment applied

Yes No, but other method is implemented (specify)…………….

16. Housing loan implementation in Bann Mankong Program

16.1 Guarantee to CODI by saving group or cooperative

All committee members jointly guarantee for the full amount of loan

All committee members and/or the beneficiary jointly guarantee

Guarantee by fix saving book having at least 5 % of the amount of loan

Others……………………………………………………………

16.2 Guarantee of the member to the saving group or cooperative…………

16.3 The saving group has to pay interest to CODI at the rate

of………………% per year

16.4 The member has to pay the interest rate of ……% per year to the saving

group

16.5 Member has to repay the loan and interest by ……….installments.

each installment about ………….Baht to ………….Baht per

household

16.6 How the saving group considers to award loan to its member…………

155

17. Financial status of the saving group/cooperative and loan repayment for Bann Mankong

Program

17.1 At present, overdue debt is…………….persons totaling to………….Baht

17.2 Conditions of loan classification to be NPLs are …………………………..

17.3 In case the community has begun to repay the loan, the saving group does

not return the loan continuously…………..times

Part 3: Social Capital under Baan Mankong Program

- Collective activities and participation in the community

18. How many times does your community arrange for the meeting of the project

from the starting of the project and how many participants in the meeting?

Type of the meeting Number of meeting Since the beginning

of the project (times)

Number of participant in each

meeting

1. Meeting to clarify the project

2. Meeting to follow-up the progress of the project

3.Meeting to brain-storming/project planning/decision from the members

4. Other meeting

Total number of meetings

156

- Participation in the community 19. How do the members in your community participate in housing improvement

activity under Bann Mankong Program?

The assessment divided into 3 levels as follow: 1) Assessment of participating in planning and preparation 2) Assessment of participating in implementation of the project 3) Assessment of participating in other community improvement activities Note: Please check √ in a box that correspond to actual practice of the members in the community

Level of participating No participation Item

Improvement activity Most Well Moderate Mild Not

participate

Not yet

start

1) Planning and

preparation

(1) Participate in the meeting to

understand the objective and

step of the project

(2) Participate in selecting target

households

(3) Participate in establishing rules of

living in community

(4) Participate in land problem

solving

(5) Participate in solving problem of

implementing the project

(6) Participate in considering new layout

of the community (such as housing

layout, infrastructure, common area)

(7) Participate in arranging land

right such as land selection

method

(8) Participate in considering

type of own house

157

Level of participating No participation

Item Improvement activity Most Well Moderate Mild Not

participate

Not yet

start

(9)

Participate as volunteer to

help the committee in

Professional work such as

action plan, budget,

reimbursement, procurement,

and accounting, etc.

General work such as

venue, cooking, cleaning,

planting, document copying

etc.

(10) Participate in follow up

the project such as

financial progress,

progressive of the project

etc.

2) Implementing the

project

Infrastructure

(11) Participate in determining

type of infrastructure

improvement

(12) Participate in implementing (In case of the dwellers collectively construct by themselves)

(13) Follow up the implementation (In case of the dwellers collectively hire the constructor)

Housing

(14) Participate in determining

type of housing

construction

158

Level of participating No participation Item

Improvement activity

Most

Well

Moderate

Mild

Not participate

Not yet

start

(15) Participate in implementing (In

case of the dwellers

collectively construct by

themselves)

(16) Follow up the implementation (In case

of the dwellers collectively hire

the constructor)

Common area such as

multipurpose building, daycare

center, plantation, painting etc.

(17) Participate in determining type

of improvement

(18) Participate in implementing (In

case of the dwellers

collectively construct by

themselves)

(19) Follow up the implementation

(In case of the dwellers

collectively hire the

constructor)

3) Other community

improvement activity

(20) Environmental and living

preservation such as water

resource, tree cutting, facility

and common area maintenance

159

Level of participating No participation

Item Improvement activity Most Well Moderate Mild Not

participate

Not yet start

(21) Participation in other

activities

Career training

Raising fund for future

use such as for community

welfare

Other……………………

- Participation with outside organizations

20. How often that your community send representatives to participate with outside

organizations?

Type of meeting Number of meeting

1. Meeting with local authority, associate, city network

2. Brain storming/Member decision such as land renting

3. Public hearing

4. Other (specify)…………………

Total number of meeting

21. Cooperation between the community and outside organization/person to

implement the project

Note: 1. Please write √ in a box that correspond with actual cooperation

2. Please put representing numbers of organizations that support the project

by selecting number 1 to 7 below

Representing numbers

1. District office of BMA

2. Education institute, University

3. Land owner (Government and Private)

160

4. Government organization such as Cooperative Promotion Department, Cooperative

Accounting Auditing Department

5. National and local politician

6. NGO’s such as Four regions community network, Chomchonthai Foundation,

Supanimit Foundation

7. Community network such as Saving group network, Canal-side community

network, Cooperative network

8. CODI

Level of participation Issue studying Supporting

Organization Most Well Moderate Less None 1)

2) 3) 4) 5)

Help the community to receive support or

lessening in the legal strictness from other

organization such as negotiation with land

owner, public utilities (electricity, water

supply)

Encouraging community strength by advise

in planning and implementing the project

Support information, expert such as

architect, accountant to help or give

knowledge for technical matter, design,

saving, and welfare arrangement etc.

Support other improvement activity such as

environmental preservation, energy saving,

career training etc.

Others………………………………………..

………………….

…………………

……………….…

………………….

……………….…

……………….…

……………….…

……………….…

…………………

………………….

………………….

………………….

…………………

………………….

………………….

………………….

- Trust

22. What proportion that you think the members of your community are trustful and

no cheating?

Less than 25%(specify)………………. 25 – 50 % (specify)……………

51- 75% (specify)……………………. 76- 99% (specify)……………...

All members

161

23. What proportion that you think the members of your community has work

responsibility ?

Less than 25% (specify)………………. 25 – 50 % (specify)……………

51- 75% (specify)……………………. 76- 99% (specify)……………...

All members

24. In making contract or in lending to the members, what proportion of the

members that you think the saving group/cooperative/or other fund can trust to

make contract with ?

Less than 25% (specify)………………. 25 – 50 % (specify)……………

51- 75% (specify)……………………. 76- 99% (specify)……………...

All members

- Incentive for cooperation in the project and benefit

25. The reason why you cooperate with the members in implementing the project

(can answer more than 1 choice ranking by priority)

(specify)…………………………………………………………..

To receive acceptance and trust from members and outsiders

Because the problem must be solve together

162

26. What benefit or satisfaction that you receive from implementing the project and to what level of

satisfaction ? Level of satisfaction

Item

Issue studying

Most

(4)

Well

(3)

Moderate

(2)

Less

(1)

Unsatisfied

(0)

Housing problem

1) Unsecured in land and housing was solved

2) Good surrounding for living, improved

environment

3) Access to basic infrastructure

Social benefit

4) Good order, reduce social problem

and crime, secure in life and

property

5) Good welfare for low income, jobless,

children and old-age

6) The community was recognized by

the society especially at the city

level

Economic benefit

7) Cost saving in housing

improvement

163

Level of satisfaction

Item

Issue studying Most

(4)

Well

(3)

Moderate

(2)

Less

(1)

Unsatisfied

(0)

8) Encourage saving

9) Reduce illegal debt

10) Securitization in the future such as using the

house to guarantee loan from financial institute

11) Others…………………………………………

27. Do you loss any benefit in cooperating with members in the community to

implement the project ? (specify ranking by priority)

Have to work with some members who have non-concurrent opinion

Waste time for earning money for living

Waste time to spend with family/resting

Others…………………………………..

APPENDIX E

OFFICIAL QUESTIONNAIRE

164

165

OFFICIAL QUESTIONNAIRE

Community…………………….… District……………………………………….. Note: The objective of this questionnaire is to collect information about operation

of Bann Mankong Program for the M.A. thesis “Effects of social capital on the

Progress of the Bann Mankong Program: (The National Program of Building Secure

Community Housing): A case studey of Communities in Bangkok”. The result is

beneficial for both the communities themselves and the others who involve in the

operation of the project. Thus, please answer all questions truthfully. Thank you for

your generosity.

-------------------------------------------------------------------------------------------------------

Information of interviewee

Name of interviewee (Mr., Mrs., Miss) ……………………………………………

Working Office………………………………Position……………………………….

Working in the community (specify)...………………For………...………Month/year

The questionnaire is divided into 2 parts:

Part I: General information about Baan Mankong Program in the Community

1. This community was selected to participate in the project in

(month)………..(year)…….

2. The project period is targeted to be finished within…………..(month/year)

Date of Interview………………

166

Part 2: Assessment of the progress of the project

3. In implementing the project, what steps that the community have to do and how is

the progress of those steps

Note: Please check √ in a box that correspond to steps that the community have to do

as planned, and check √ in a box that correspond to the level of success of

those steps

Level of success Item Steps of implementing the

project Most Moderate Less No progress

Preparation before entering the project

1 Household information survey 2 Establishment of saving group Planning

3 Feasibility study, target for each community and implementation guideline

167

Level of success Item Steps of implementing the

project Most Moderate Less No progresss

Preparation for construction

4 Negotiate with land owner

5 1) Design of new infrastructure layout

2) Design of new housing layout

6 Arrangement of land right and confirmation

7 Encourage community’s saving

8 Infrastructure plan and loan

9

Cooperation with related organization e.g. Metropolitan Waterworks Authority etc.

10 Purchasing materials and hiring laborers

Total

Construction

11 1) Infrastructure construction

2) Housing construction

12 Construction progress and inspection

Progress of other development activities

13 Loan repayment of saving group

14 Other development activities such as welfare plan, career promotion

168

4. In general, to what level do you think that the project was succeed

Very well Moderate

Less, should improve more in……………………………

5. What are key success factors of the project ?

(can answer more than 1 choice, ranking by priority)

Note: Please inset number in the boxes ranking by priority

Cooperation of the members in the community

Co-working and help from community network

Support from affiliated organization both government and private sector

Knowledge and capability of community leaders

Promotion of community participation by CODI or NGO’s

Others…………………………………………………………………………

6. What are the weak points of implementing the project ?

Internal factor

1)……………………………………………………………………………

2)……………………………………………………………………………

3)………………………………………………………………………

External factor

1)……………………………………………………………………………

2)……………………………………………………………………………

3)……………………………………………………………………

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