COMiT: Regional Development - Participation 164

7.1 Definition, background, principles and problems

7.1.1 Definition

Participation is a process
which allows all parties concerned to formulate their interests and objectives in
a dialogue,
which then leads to attuned decisions and activities,
which as far as possible take into consideration the interests and objectives of
all concerned parties
(Participation of target groups, participation of co-operating institutions, of staff-
members, ...)

7.1.2 Reasoning

1. Sustainability
→ Target groups support measures

2. Measures identified are adequate and appropriate to the situation

(the target group analysis on its own is insufficient)

3. Emancipatory objectives
→ Create possibilities to empower disadvantaged groups: they have
space to air their views / represent their interests

7.1.3 Some non-participatory practices claiming to be participatory:

1. A representative of target population participates in a planning workshop
(= "alibi-participation")

2. Outside attempts to introduce ideals of basic democracy in third world

conditions (= "picture-book-participation")

Consequences: Claim of participation is reduced in order to save the

principle
COMiT: Regional Development - Participation 165

7.1.4 Problems in implementing participation

¬ Participation not sufficiently operationalised in development projects /

programs, i.e. it is not clear how to implement it; how to conceptualise it.

¬ Democratic organisation of participatory processes for the mass of

people on an area level is politically problematic and not easy to
organise.

¬ It is difficult to come to decisions in a participatory way given the tensions

between different interests and between administrative responsibilities;
i.e. how to clarify these interests and take them into account is not easy.

¬ Goal-conflicts concerning
- poverty orientation (not popular with elite groups participating)
- sustainability (faced with participating people putting forward shopping
lists of needs or wants)

¬ So-called “product versus process” tension / dilemma of development;

pressure to deliver development (from politicians/ donors) versus time
needed to hear all voices and take interests into account.
COMiT: Development Design- Participation 166

7.1.5 The roles of the civil society versus the roles of local government

In the context of participation, note that the roles of representative

government and civil society are different, although both express the wishes
of the people.

ROLES OF CIVIL SOCIETY

ORGANISATIONS
ROLES OF THE SYSTEM OF
REPRESENTATIVE (people’s initiatives, associations,
GOVERNMENT unionism, corporations, etc.)

(Local Councils / City Councils) ∗ Pressure groups/watch dogs

∗ Budget control ∗ Articulation of needs / proposals /

disagreement
∗ Legal authority
∗ Dialogue with representatives of
⇒ Final decision-making at the government system
end of the process
∗ Monitoring government action
⇒ Accountability towards the
people (elections) ⇒ control of own resources

⇒ accountability only towards own

members

Planning laws and

procedures:

− right to be heard
− right to protest

Legal System:
Right to go to court
COMiT: Development Design- Participation 167

7.1.6 Principles for the participation of the mass of target groups in

development programmes

1. Broad mass-based participation of disadvantaged groups

→ institutionalisation of those types of participation which are
viable in specific situations over a specific area (instead of
island solution with non-transferrable basis-democratic
participation models).
→ integration of disadvantaged groups into the process of
participation as a precondition for poverty-oriented measures.
Danger: Selective participation of privileged groups → risk of
poverty aggravation.

2. Sustainable establishment of participatory procedures:

A contribution to democratisation = a contribution to sustainability.

Danger: a temporarily limited participation of target groups in the

context of externally funded projects contributes to situation
adequate planning, but does not contribute to a sustainable
strengthening of the bargaining power of target groups.
COMiT: Development Design- Participation 168

7.2 Methods of target group-participation

The major point made here is that there are different types of participation by
target groups in development projects. Different types are appropriate in
different situations depending on what information is required for what
decisions, by whom. The types relate to the process used and ways of
structuring participation.

In the case of people's participation in the planning of support measures (to be

differentiated from the 'participation' of facilitators in people's planning of their
own projects) the project cycles of people and of supporting agencies have to be
attuned to each other.

ð Participation system needs to be designed!

COMiT: Development Design- Participation 169

7.2.1 Participation as informed decision-making in attuned ways -

the rationale

INTENDED BENEFICIARIES SUPPORTING AGENCY

•
„
Decions on production
, Decision on budget volume, on type,
DECISION on consumption, on marketing, conditions and volume of support,
on cooperative action etc. on procedures of service agencies,
… on laws, on regulations etc.
ƒ

‚
INFORMATION Local resources, own needs, Technological alternatives, external
local experiences, social relations, markets, prices, economic viability
modes of cooperation, participatory etc.
organisational issues Dialogue
etc.
COMiT: Development Design- Participation 170

7.2.2 Different means of enhancing participation

1. Expansion of target groups' self-determination (re. decision-

making)
Principle: The offer for support by service institutions should
leave the maximum choice or maximum scope for
decision-making to the target groups

Instruments:
These increase the scope of people’s decision-making and reduce
that of the support agencies, e.g.:
¬ Untied grants offered to village communities
(e.g. decentralisation of government functions towards village
levels)

¬ General multi-purpose funds to finance the support of self help

organisations

¬ Untied loans/credit

¬ A wide choice of inputs, of means of production, of

recommendations by the extension service

¬ Improvement of local transport system

→ wider geographical range for people’s activities
→ greater choice

¬ Improvement of local information systems

→ wider information about opportunities of choice.

Advantages: - Little effort required on all sides with regard to

participation, with potentially high effect.
The free choice of a number of seed varieties
provides more decision-making power to
producers than the right of a farmers'
representative to participate in a project planning
workshop which decides on the seed variety to
be made available.

Limitations: - with regard to mass impact: free choices can

operate at the expense of disadvantaged groups

- with regard to sustainability: there must not be

free choices at the cost of future generations.
This requires putting in place new structures to
ensure participation.
COMiT: Development Design- Participation 171

2. Facilitating and institutionalising channels for unidirectional

articulations of target groups i.e. channels for target groups to
express opinions

Principle: Decisions taken by service agencies are based on

more detailed, improved information about target
groups and their needs.

Instruments:

¬ Problem census / opinion polls

¬ Creating possibilities for articulations which were not asked for

(e.g. integration into reporting system of field staff)

¬ Establishing formal channels for complaints

(e.g. monitoring of spontaneous articulations)

Advantages: - Limited effort required for participation

- Can be implemented on an area-covering scale

Limitations: Bottom-up information channels allow for an

identification of problems, but they do not
guarantee the identification of adequate
solutions to these problems. This does not
guarantee dialogical / two way interaction.

This type describes a process approach to participation.

COMiT: Development Design- Participation 172

3. Participatory dialogue

Principle: Decisions of partner institutions and target groups

are based on mutual exchange of information and
are attuned to and co-ordinated with one other.
People’s information influences agencies’
decisions and agencies’ information influences
people’s decisions

Instruments:
¬ Individual discussions with knowledgeable persons,
representatives or target group-members

¬ Informal group discussions

¬ Dialogues for identifying problems and problem solutions with

visual aids
(e.g. participatory rapid rural appraisal methods, e.g. maps,
aerial photos, 3-dimensional models, wealth ranking, transsect,
seasonal diagrams)

¬ Participatory action research

(e.g. on-farm-research)

¬ Official meetings
(e.g. formal local bodies with a mandate to decide, to propose,
or to apply)

¬ Target group representatives take part in planning workshops of

agencies (e.g. ZOPP).

Advantages: - Mutually learning from each other

- Avoiding unrealistic shopping-lists

Limitations: - Very time consuming if organised on an area-

covering scale and integrating disadvantaged
groups
- Requires a high professional and
communicative competence on the side of
participating agencies.
- Requires lots of effort on both sides: intensive,
demanding, time consuming.

Picture-book case of participation!

This type describes a process- oriented approach.
COMiT: Development Design- Participation 173

4. Application and contract

Principle: The decisions of service institutions and target

groups are mutually interlinked / attuned in a
binding way

Application procedure:
1. Decision of supporting agency with regard to type of support
services offered and service conditions
2. Decision of target groups with regard to application for support
3. Decision of supporting agency with regard to granting support

Principle of contract:
Legally binding agreement on contributions from all parties
involved = formal contract

Applicability: In the case of support to self help projects,

especially in the field of communal infrastructure
Advantage: Simple procedure which can be institutionalised on
a broad scale
Limitations: Unsuitable for identification of problem-solving
means, e.g. for support measures in the productive
area which are adapted to different target groups.
What is offered is set, i.e. solutions/service is
fixed.

This type requires a new structure to ensure participation.

COMiT: Development Design- Participation 174

5. Co-determination (i.e. target groups have formal membership,

and vote in decision-making bodies of supporting agencies)

Principle: Target groups co-rule the decisions of agencies in

a formalised way
(e.g. target-group representatives vote in board of
directors, supervisory board, workers' council, etc.)

Applicability: Service agencies, which support their member

organisations (e.g. co-operative associations); not
in government, in development projects. Needs
membership-base so there is some responsibility
for outcome.

Advantage: Strong, obliging influence

Limitations: Rather demanding, requires special training.

Functionaries in danger of losing contact with their
grassroots base

This type requires a new structure to ensure participation.

The design question here is:

What type of participation (process, structure) is appropriate in each

situation?
Hint: Look at what each type of participation offers, and make strategic
decisions based on your work situation.
COMiT: Development Design- Participation 175

7.3 Appropriate combination of methods of participation

F For institutionalising sustainable ways of participation for people

concerned, usually a mix of more intensive methods and of less
demanding methods of participation will be appropriate
à optimising (not maximising) participation is the guideline!
(remember: for all sides participation demands time and effort )

F Criteria for designing a participation strategy appropriate to a situation and

involving a combination of different methods of participation

1. Traditional ways of participation in the specific culture need to be

taken into account.

2. Sharing of responsibilities for implementing measures among the

people and the support agencies
Rule: Decision-making power and responsibility for carrying out
should be close to each other
Differentiate the cases:
a. support agencies participate in people’s projects
e.g. communal self-help projects
b. people participate in measures of support agencies
e.g. operation of a governmental hospital

3. Requirements in subject matter competence

Ask: in how far is local knowledge important?
in how far is knowledge of specialists required?

4. Degree to which target population is affected 

and  Relevance of decision
the extent of controversy related to the 
decision
à not everyone can directly and actively take part in all decisions
which affect her / him
COMiT: Development Design- Participation 176

F Model for optimising participatory methods

w intensity of the process

w quality of participation

w social levels of participation w institutionalising participation

w poverty orientation w sustainability of the process
w integration of w replicability of the process in
disadvantaged groups similar situations (horizontal)
COMiT: Development Design- Participation 177

'Participation' in development programmes means costly requirements in

personnel and transport. If participation is to be institutionalised on an area
covering scale, and if poorer and disadvantaged groups are to be integrated into
the decision-making processes, the intensity in participation will usually have to
be limited in view of scarce resources.

It is therefore necessary to specify participation requirements by considering

- issue of participation ð relevance of people's influence

- type of participation ð strength of people's influence
- direct or indirect participation / legitimisation of representation
- level at which participation takes place
- selective or area-covering
- who is to be involved from the side of supporting agencies

Examples of different types and functions of participation:

A. Farm Workers: focus on empowerment of a neglected group
ð strengthening negotiation power in case of conflicting interests
B. Government planning system: focus on ownership and
sustainability
ð involving people -> more self-determination
C. Agricultural production methods: focus on appropriate solutions
ð making use of people's knowledge
COMiT: Regional Development - Participation 178

7.4. Overview over relevant methods of participation

in different planning steps

Methods of Opinion polls Unrequested Institutionalised Informal Formal meetings Participatory Participation of Plebiscites
participation articulation of information channels discussion with decision action research target group
concerns making powers representatives in
planning workshop
of government
agencies (project
Planning steps agencies)
Establishing a situation
X X
-
Objectives analysis
X
X -
Problem identification
(deficiencies, X X X X X X X
constraints, potentials) -
Appraisal of alternatives
X X X
-
Planning of measures
(conceptualising X X X X
strategies) -
Operational planning

- - - X X -
Budget planning

- - - - - - -
Monitoring, Feedback,
Plan adjustments X X X X X -
X
X = very important X = supplementary no sign = unlikely - = not useful or impossible
COMiT: Regional Development - Participation 179

Further reading on participation:

• Burkey, Stan, People first: a guide to self-reliant, participatory rural development.

London: Zed Books 1993. ISBN 1-85649-082-3 (chapter 3: especially the section on
“What do we mean by participation?”).
• The development dictionary: a guide to knowledge as power. Edited by Wolfgang Sachs.
London: Zed Books, 1992. ISBN 1-85649-044-0. (section on “Participation”).
• Rahman, M.D. Anisur, Peoples’ self-development: perspectives on participatory action
research. London: Zed Books; Dhaka: University Press, 1993. ISBN 1-85649-080-7.