Unit 1 Introduction

The concept of participation

Participation means different things to different people. This chapter clarifies the what, why,
who, and how questions of participation and collective action and outlines the conceptual
model used to guide the study.

What Is Participation?

Definitions of participation abound . All of them include in some measure the notions of
contributing, influencing, sharing, or redistributing power and of control, resources, benefits,
knowledge, and skills to be gained through beneficiary involvement in decisionmaking.
There is also much debate among practitioners and in the literature about whether
participation is a means or an end, or both (World Bank 1992; Picciotto 1992). For the
purposes of this study, participation is defined as a voluntary process by which people,
including the disadvantaged (in income, gender, ethnicity, or education), influence or control
the decisions that affect them. The essence of participation is exercising voice and choice.

This conception does not assume that there is an ideal level of participation to be achieved.
The most effective form of participation varies, but over the long run sustainability will
depend on minimizing transaction costs in horizontal and vertical interactions. Participation is
viewed as a means to defined ends, not as an end in itself; the goal therefore is to optimize
participation to achieve the desired project goals, not simply to maximize participation. The
desired goals in rural water supply projects include achieving improved water supply systems
and developing the human, organizational, and management capacity to solve problems as
they arise in order to sustain the improvements.

The principle underlying participation-to give people a voice-is constant, yet the choices that
people make vary infinitely. Thus, a community may decide to subcontract maintenance to an
independent mechanic rather than to undergo training and take turns doing the work. A water
users' group may choose to dissolve the organization or to define new goals after the first
ones have been met. For example, when construction is complete, a water committee may
transform itself to undertake sanitation construction, to build a football field, or to branch into
children's education, depending on the commonality of interests. A large community group
may divide into smaller, functional subgroups, with the larger group meeting only
occasionally. Alternatively, people may informally nominate leaders to represent their
interests.

Issues concerned with participation

Participation is a multidimensional, dynamic process, which takes varying forms and changes
during the project cycle and over time, based on interest and need. Samuel Paul (1987)
usefully distinguishes among levels of participation, all four of which may coexist in a
project. The first two categories present ways to exercise influence; the other two offer ways
to exercise control. The levels comprise information sharing, consultation, decisionmaking,
and initiating action.

Information Sharing

Project designers and managers may share information with clients to facilitate collective or
individual action. The information flow is one-way, from agencies to communities. Although
it reflects a low level of intensity, information sharing can positively affect project outcomes
by enlarging clients' understanding of specific issues (for example, by explaining hygienic
practices or how groundwater is polluted). Information sharing may also be one-way in the
other direction, in the form of baseline or feasibility studies wherein information (but not
necessarily opinion) is gathered from beneficiaries. Many such studies tap local knowledge
but do not consult the local clients.

Consultation

When project designers and managers not only inform clients but also seek their opinions on
key issues, a two-way flow of information develops. This two-way flow presents some
opportunities for clients to give feedback to project designers or managers, who can then use
the information about preferences, desires, and tastes to develop designs and policies that
achieve a better fit between agency programs and community demand. Examples of
consultation include methods that tap indigenous knowledge and organizational forms, such
as socioeconomic surveys, beneficiary assessments, and willingness-to-pay studies.

Decision making
Information sharing and consultation generally do not lead to increased local capacity or
empowerment of local people and institutions, although they can lead to more effective
programs. Client involvement in decisionmaking, however, either exclusively or jointly with
the external agency, is a much more intense level of participation which often promotes
capacity building. Decisionmaking may be about policy objectives, project design,
implementation, or maintenance, and different actors may be involved at different stages of
the project. thus, the decision to participate in a project may be made by the community, and
the choice of technology may be made jointly, after the costs and benefits of the various
technological options have been explained by the agency and understood by the community.

Initiating Action

Initiating action, within parameters defined by agencies, represents a high level of

participation that surpasses involvement in the decisionmaking process. Self-initiated actions
are a clear sign of empowerment. Once clients are empowered, they are more likely to be
proactive, to take initiative, and to display confidence for undertaking other actions to solve
problems beyond those defined by the project. This level of participation is qualitatively
different from that achieved when clients merely carry out assigned tasks.

Institutional options for rural water supply depend on whether water is treated as a public,
private, or common property good, and on the resultant degrees of excludability (the degree
to which other users can be excluded) and jointness or subtractability (the degree to which
use by one affects the overall production cost of use by someone else). Similarly, the most
appropriate level of participation depends on who owns the water and on who manages the
extraction and distribution of water. The degree to which water can be managed collectively
depends on the ability to exclude some, but not others. The degree of jointness adds
complexity to and determines the participants in the negotiations. (For example, in the
development of a system for piped water, users at the top and at the bottom of the distribution
ladder need to be involved in negotiating rules and regulations for the distribution of the
water.) Moreover, the moment external agencies intervene to improve the quantity and
quality of water, or to make water more accessible, issues related to rural infrastructure and
technology choice come into play and add another layer of complexity to issues of
decisionmaking and participation.
Despite continued government investment, the state of infrastructure has deteriorated,
especially in developing countries (Israel 1992). This decline has led to a renewed attempt to
focus on the reliability and maintenance of infrastructure. To help identify the role that
participation plays in infrastructure effectiveness, it is useful to look at the decisionmaking
phases and tasks involved in the construction of rural infrastructure.

Rural infrastructure is developed in four broad phases:

• Design or planning

• Construction

• Operation

• Maintenance.

In practice, work overlaps and shuttles back and forth among those tasks. For the purpose of
undertaking a rural water supply project, the categories of issues confronting the rural
infrastructure concern:

• Decisions to join, ownership issues, and conditionality

• Choices of technology and service levels

• Costs and financing

• Decisions about design and construction

• Tariff management

• Water allocation

• Operation and maintenance

• System expansion and replacement.

These categories clearly suggest that clients and agency personnel can be involved to varying
degrees in influencing or determining the many different choices to be made in any given
project. The tendency in the past was for agencies to dominate over community or client
choice, sometimes with disastrous results.

Why Participate?

Participation engenders financial, social, and psychological costs as well as benefits. Clients
or beneficiaries are likely to participate when their benefits outweigh their costs, just as
agencies are likely to foster beneficiary participation when the benefits of doing so outstrip
the costs to the agency. However, knowledge about the costs and benefits of participation
remains limited; little guidance about budget allocations appropriate to induce participation is
available to those planning large-scale projects. Nevertheless, from an agency perspective
people's participation (as an input or an independent variable) can contribute to the
achievement of four main objectives: effectiveness; efficiency; empowerment; and equity.

Project Effectiveness

Project effectiveness is the degree to which stated project objectives are achieved. Client
involvement, direct or indirect, may result in a better match between what users want and
what an agency or project offers. Rural water supply projects are considered effective if they
increase access to and reliability of water sources, so that people have water in the quantity
and quality and with the reliability and convenience they demand. Effective water projects
produce health-related, economic (time savings), and environmental benefits, among others
(Narayan 1989; Jaganathan 1992).

Users can facilitate effective water projects in several ways at different stages. They may
contribute to redefinition of objectives, better project design, redesign, site selection, resource
mobilization, construction, implementation, and maintenance of facilities beyond the life of
the project. Beneficiary ownership and control of the project also are often seen as essential
elements in establishing effective projects.

Project Efficiency

Project efficiency measures the relationship between a given output and its cost and inputs.
Because anticipatory decisionmaking allows more timely beneficiary inputs, as well as
synchronization of agency and client inputs, it may well lead to greater efficiency.
Discussion, consultation, and information sharing often produce greater consensus about
goals and means and more clarity about roles, authority, and ownership than would otherwise
be possible. Consensus and clarity in turn reduce conflict and delays, resulting in smoother
implementation and lower overall costs. For example, proper identification of land and water
ownership rights and timely acquisition of land permit quick construction and completion of
piped-water systems. Community management or private sector involvement in fee collection
may entail high transaction costs, yet either of those options may be much more efficient than
fee collection by a public agency.

Empowerment

Empowerment is essentially a political concept that means more equitable sharing (or,
redistribution) of power and resources with those who previously lacked power. Any activity
that leads to increased access and control over resources and to acquisition of new skills and
confidence, so that people are enabled to initiate action on their own behalf and acquire
leadership, is an empowering activity. The central argument for participatory processes is that
involvement in decisionmaking lets people exercise choice and voice more broadly in their
lives, as well as in the more immediate context of development programs that benefit them.
Empowerment is thus, about the capacity building of individuals and the organizations that
support them.

Equity

A major purpose of development assistance is a more equitable distribution of the benefits of

development. It is well established that development gains tend to be "captured" by those
already better off. Despite the gains made during the International Drinking Water Supply
and Sanitation Decade, over a billion people are still without access to safe water. The
primary goal of rural water supply projects is to reach those people. When included in the
pursuit of this broad goal, beneficiary participation-which promotes transparency and
accountability-may lead to less capture by the elites and to more equitable access to improved
water supply, thus, helping serve the purpose of development assistance in general.

Rural Poor

Rural poverty is heterogeneous: the rural poor are widely dispersed, possess a variety of
income sources and may be ethnically diverse. Constructing an overview of rural poverty
allows target groups to be identified as a preliminary step to formulating coherent poverty
reduction policies. (Chapter 3 of this sourcebook, Poverty Data and Measurement, provides a
detailed explanation of how to construct a national poverty profile).

Unit 2

PEOPLE'S PARTICIPATION

Agriculture is the predominant occupation in India. Nearly, 60 per cent of population of the
country depends on it for livelihood. The concept of 'development' has undergone many
important and significant changes over the years. The development efforts during 1950s,
1960s and 1970s were based on a top-down service delivery approach. The scientific and
rational planning was its ha:llmark and emphasis was on a centralized delivery system based
on the efficiency of civil personnel as agents of development. This approach is now largely
discredited since the expected trickle-down effect never took place. Important factors for the
failure at the system level were the lack of reward and punishment for development agents
and lack of political will on the part of the government. At the local level, the rural people did
not feel involved and therefore, never took up the developmental programmes as their own.
The present agricultural and rural development paradigm revolves around people and
strongly believes that unless and until local people are involved in decision making at all
levels of programme - need identification, planning and designing, implementation as well as
monitoring and evaluation, the desired development cannot be achieved. Participation is used
as a means to achieve development, Although its role is still critical, it is today being
balanced by incorporating other concerns related to basic needs, environment, human
development, and more recently, democracy, human rights and liberalization. Participatory
development focuses on local institutions and local people. The main objective of
participatory development is to support and strengthen the capabilities of local people and
their institutions.

The various organisations in India, government as well as non-government, have

conceptualized the SHG as a voluntary gathering of people, who share the same type of needs
or the same type of problems, which are not being addressed 'by other organisations. Starting
from a position of powerlessness, ithas brought about personal and social change that
enhances a person's sense of identity, which provides opportunities for personal growth and
emotional sustenance. The experience in India shows that provision of small financial
services and products to the poor people through bank linkage of SHGs has contributed to the
process of rural development by creating conditions that are conducive to human
development. This unit presented you all these aspects of participatory agriculture and rural
development.

Characteristics and Importance of People's

Participation

The word 'participation' has been part of the development vocabulary since the 1960's. It was
then usually understood to mean people's involvement in only some specific kind of
problems. The concept of participation in development has gained credence and currency in
the last decade or so largely due to the failure ofthe 'trickle-down' growth model of
development. Today, participation is viewed as integral to the-overall development effort.
Participation is a 'means' to more poverty reduction and a window of opportunity for
accelerating social. and: economic progress. It is regarded as Aprocess of redistributing
power in

favour of poorer groups so that they can take equal part in it and have control over
development process, which affects their lives. In any setting; the people have
differentpower, interests and resources. A f~lVourablenvironment is required to enable them
to interact on an equitable and genuinely collaborative basis.

Viewed from these observations, participation can be defined as an interactive socio-political

process, motivated by the desire to meet an individual's need through collective.acdon on
mutual benefit basis. People's participation may be defined as the process of giving priority to
local people's perspectives in identifying and analyzing their problems and opportunities and
improving the situation through
.their self-mobilisation. The focus ison the insiders' i.e. local people's perspective. Many
development interventions have been seen to create a sort of dependence syndrome. With
active involvement of the local people, it is possible not only to break the mentality of
dependence but also to increase their awareness and self- confidence. .

Advantages of people's participation (Ray, 1991) are as follows;

People's Participation in Agriculture and Rural Development

Participation makes it possible to make use of knowledge, experience and resources of the
local people.

Participation is a learning process through which people can develop their capabilities. I 0-

It helps in individual and collective decision making and problem solving.

Programmes involving participation of people are more likely to be sustained after outside
funding and support are reduced or withdrawn.

Participation by the poorer elements prevents the 'hijacking' of programme . benefits by

wealthier sections ofthe community,

Basic Principles of Participation

This sub-section of the unit deals with the basic principles underlying people's participation
in agricultural and rural development. Each ofthe five principles makes the participation a
driving force and set the direction of development

 Mutual respect: All people must be accepted as they are with their weaknesses and
strengths. There should be mutual respect among them ..
 Active participation: There should be active participation of ail people in the
programme and participation patterns must continue from planning through
evaluation.
 Agree to disagree: Participation requires an implicit and explicit understanding to
agree and disagree and to accept common interest abovepersonal interest.
 d)  Building consensus: Collective responsibility for the decision made is must and
there should be consensus on the same. "1>~
 e)  Commitment to action: All participating partners must commit themselves to
action on the basis of agreed upon decisions and plans.


Key element of Participation

 Participatory development means to sensitize people and thus, to increase the

receptivity and ability of rural people to respond to development progr~mme as well
as encourage local initiatives. It includes people's involvement in decision- making
process. Participatory development is externally directed manipulative participation.
 The participants on their own set the direction of development, set their priorities,
make decision about it, plan actions and execute them.
 Participatory development has a goal, which the participants commonly share. The
common sharing makes the participants come together to take collective action to
achieve the common goal. All the participants are not equally endowed, and thus
nature and kind of participation differ. .
 Participatory development happens gradually, step by step as a result of various
attempts. People are to be put on top of the development agenda. They need to be
organized and helped to be active participants of development process.
 Poor people face many barriers to having a real stake in development activities.
Special arrangements and efforts are required to reach and engage them and to
progressively empower them. Power and control are pivotal to participatory
development. Participation is a process ofleaming and releaming for the participants
as well as the agency. The ownership of participants is enhanced when they are made
to feel important and responsible. The feeling and capacity for self-help emanate from
the collective strength and group action of different forms of self- help groups of the
people. The process is, therefore, closely held with the sustainable development of
self-reliant self-help organisations of the poor.
 Key Paradigm of Participatory Development Approach

Participatory development approach in agriculture and rural development programmes

should be based on the following key paradigms:

1. Primacy of people: People's participation is not optional or convenient choice but

people themselves are at centre stage. People's interests must be taken into
consideration throughout the programme.

2. People's knowledge and skills must be seen as a positive contribution

to the programme: It should make use of people's knowledge for effectiveness of the
programme and oflocal resources, avoid dependence on 'external assistance, and help
to build local capability.

3. People's participation must empower women: It must seek mechanisms to reduce

gender inequalities by providing means by.which women can take part in decision-
making and create transforming changes against the social and cultural baniers.

Autonomy as opposed to control: It should invest responsibility with the local people.
This strategy should be for sustainability of the programme.

5. Local action as opposed to local responses: It should encourage local people to

i
make decisions and to take action within the broad parameters of the programme, as
opposed to merely responding passively to initiatives proposed by others.

6. Allow flexibility in programme direction: The project should create to

accommodate the abilities oflocal people to play increasing role and begin to assume
responsibility.
 Resource Conservation

Resource conservation means safeguarding precious resources such as minerals,

wildlife, trees, water, and other natural resources.

Resource conservation also involves judicious use of resources to avoid waste and
allow the environment to rejuvenate.

Conserving natural resources will help to make our planet habitable for future
generations.

1. Environmental Conservation
Environmental conservation protects the natural environment to prevent it from
deteriorating due to human activities, including unsustainable agriculture,
deforestation, and fossil fuels.

2. Animal Conservation
Protecting ecosystems and surroundings to safeguard the animals that reside there is
known as animal conservation. With our planet witnessing its sixth major extinction
catastrophe in the 3.6 billion years since life has existed on it, the value of animal
conservation is enormous.

3. Marine Conservation
4. The preservation or protection of ecosystems in oceans and seas via conscious
management to minimise overfishing of natural resources is known as marine
conservation or ocean conservation. Marine conservation is based on research into
aquatic plants and creatures and ecosystem functions. It is motivated by a reaction to
the environment’s manifested negative consequences, like species extinction, habitat
degradation, and changes in ecosystem functions. It focuses on limiting human-caused
marine ecosystem degradation, rebuilding damaged ecosystems, and protecting
vulnerable marine species and ecosystems.
5. Human Conservation
Conservation strives to enable humans to make appropriate use of nature, such as
hunting, logging, or mining, whereas preservation aims to protect wildlife from
human use. The way the United States handles its public lands exemplifies this
distinction. Conservation work is vital for various reasons, one of which is its impact
on human health, both in terms of controlling the spread of new diseases and
manufacturing medicines that we rely on. Animal habitats in the wild act as a
deterrent. It keeps new infectious diseases from spreading from animals to people.
 Unit 3

Participatory -Methodology

There isa need to unite the development efforts of the planners with the needs, aspirations and
resources of the target group for sustainable growth. The clientele inust be made active
partners in planning, execution and evaluation of any programme/project. Considering the
genuine need for involvement of farmers in formulation of programmes/plans for tackling
their problems, a new approach of PRA i.e. Participatory Rural Appraisal is followed. The
major change in approach is that there is a shift from 'Top to Bottom' to 'Bottom to Top'.

PRA is a method for appraisal ofthe resources in the village with the assistance of the
villagers themselves. It helps to assess the option of how to utilize these resources for
sustainable development, to rank the priorities as the villagers see them, to record all the
information and prepare a plan of action. It is a very flexible approach to make use of the
varying situations. It can be used to plan, execute, monitor and evaluate programmes.

I PRA is an alternative to time consuming and expensive surveys. The surveys ard conducted
to collect data by investigators from outside usi~g lengthy schedules/

questionnaires, the results of which are 'never shared with clientele and are simply used to
prepare programmes for them. In PRA, the information, which people give/require, is given
to them so that they can suggest their own plans for solving their problems. Since the
information collected can be crosschecked then and there with other groups, the information
is more reliable and authentic. Some important PRA techniques are discussed below .

. 1) Village mapping

In participatory mapping the villagers themselvesvisualize their natural resources such as

rivers, forests, types of soil etc., and depict them visually on a map in their own way. This
helps both the villagers and the programme team in appraisal of the village resources and
their locations. The mapping exercise is done by the villagers themselves and all the micro
details of the village get triangulated and corrected on the map itself through discussions
among the villagers. Generally following two types of map are prepared.

• Social map

In this map, the villagers indicate the location of schools, hospital, houses, post . office, bank,
dispensaryetc. While drawing these maps, the villagers can describe/

discuss the characterization and conditions of households,. caste-wise distribution, ~c. .

• Resource map

In this map, the villagers draw the location of natural resources such as land use pattern,
crops grown, rivers, types of soil, ponds, trees, pastures, threshing yards, .. irrigation
resources, topography etc. While depicting these resources the villagers are also encouraged
to discuss the problems and opportunities on the basis of their natural resources.

2) Village transect

Transect walk is a simple technique which provides an opportunity to the team to go through
the village and explore in detail the land use pattern, types of soil, irrigation sources, types of
vegetation, livestock, trees etc. The village transect provides an opportunity to stud~ the
natural resources, its profile and distribution- and utilization by villagers developed through
ages. During the walk, problems/ issues and opportunities related to these can also be
discussed. It is very useful to encourage elderly and experienced villagers and village youth
to join the transect walk and encourage other villagers to join the walk as they are available
on the way. Proper documentation of all the relevant information. collected is very essential,
Questions, which could not be answered by the accompanying villagers, may be discussed
with other experienced persons of the village.

3) Seasonal calendars

This technique helps to understand the seasonal variations of rainfall, temperature,

availability of food, crop sequences, crop pests/diseases, labour demand, work load, prices,
social events, income and expenditure, fuel collection/utilization etc. The seasonal calendars
are useful for identifying the major problems and oppdrtunities, the months of greatest
difficulty and vulnerability or other variations, which have an impact on people lives. In
participatory seasonal analysis, the

For drawing diagrams of seasonal changes and variations, the vi.llagers may be asked to
describe/explain these variations related to different aspects and help them to develop their
own scale e.g. a bar diagram. The months or years may be written on x-axis and then using
bars or pieces of sticks or number of seeds, the quantitative aspects of rainfall, workload etc.
may be depicted on y-axis. The data may be confirmed by encouraging discussion among the
villagers and allowing them to make necessary corrections. Separate graphs/bar diagrams
may be prepared for different items, e.g. rainfall, agriculture labour demand etc. or seasonal
variations of a number of items may be depicted on one chart using different materials to
indicate different aspects e.g. seeds to show, rainfall, sticks for availability of fodder. Once
the diagram is made, the information may be transferred to a large sheet of paper for
triangulation with a larger group.

4) Time trends and timeline

These techniques are very useful in understanding the changes and trends in population,
agriculture, livestock, forestry, prices, interest rates on loans etc. Time trends depict
quantitative changes over. time and can be used for variables such as yield, area under crops,
livestock population, horticultural crops, area under fodder, birth and death rate, rainfall,
temperature etc.

Time line/historical transect presents an overview of the key historical events that have taken
place and their importance in the present situation. This information will tell regarding the
year of introduction of new crops, crossbred animals, fisheries, outbreak of epidemics,
drought, famines etc., and how these situations were tackled. For the historical time line, the
elderly people are very useful to share their wealth ofinfonnation. They should be encouraged
to recapitulate the major events and changes that took place when they were young.

5) Mobility map

This wi II reveal the pattern of social mobility for different sections of community for
different activities. Mobility map of rural people based on socio-economic aspects will reveal
the type of interactions, economic status etc. of the community. Mobility map can also be
used for assessment of marketing of farm produce, fetching of drinking water, etc.

6) Matrix ranking

111istechnique reveals the villagers' preferences and attitudes towards a particular topic of
interest, for example, farmers preference for a variety of crop, vegetables, tree species etc.
The reasons for their liking and dislik ing and the subtle differences in their choice and
.
priority help to determine thestrategies .

For matrix ranking, the discussion on.a particular 'crop is initiated and listing of all the
varieties and species is done as told by the farmers. They are asked to discuss the advantages
and disadvantages of each variety and list their good and bad points.

7) Well being/wealth ranking

2. 2)  Village tour with the key local leaders to identify the soil type, wa!er resol~rces;
crops grown, dairy etc. Start the tourearly in the moming.
3. 3)  Group exercises - . «

This technique is useful to find out the economic profile ofthe village and also to identify the
status of each family as perceived by the villagers. Participatory wealth ranking is a very
sensitive task and the whole process and environment needs to be controlled carefully. This
exercise helps in identifying the target groups of specific programmes for rich, poor, landless
families etc. This also enables the community members to accept more assistance being given
to the needy families .
.During the process of wealth ranking, the villagers should be encouraged to speak out their
own criteria for identification of wealth i.e. land holding, availability of irrigation facility,
cattle holding, material possession, etc.

8) Livelihood analysis

. These diagrams are used to help interpret the behaviours, decisions an\ll coping strategies of
households with different socio-economic characteristics, The ~~riables may include
household size and composition, land ownership, wealth, assets, livestock strength, seasonal
variations in earning, consumption patterns etc.

9) Venn diagram

A Venn diagram shows the kind of communication between the villagers and different
agencies. The following steps are involved in preparation ofVenn diagram:

i) Identification of key institutions and individuals responsible for decision in a community or

organisation.

ii) Identification of degree of contact and overlap between them in terms of decision- making

Venn diagram is a simple method to identify the roles played by different agencies

in a village as perceived by the people of that village. It helps to identify the

relationship among and between various institutions working ina particular area; their
deficiency and area of improvement and need for any new areas of intervention. It also helps
the outside agencies to know about their own image in the community as well as their
organisation performance. This also reveals the areas of duplication of efforts of various
outside agencies.

For making a Venn diagram, the villagers are asked to cut discs of paper of different sizes
and write the names of agencies involved in village development.
The largest disc is to be used for the most important agency and smaller ones for / less
important. The distance from the centre will denote the intensity of invo lvement

Stages

Introduction aboutPRA - meet the village community and explain the purpose ofPRA. No-
promises to be made.

village tour with the key local leaders to identify the soil type, wa!er resol~rces; crops grown,
dairy etc. Start the tourearly in the moming.

Group exercises

1. Drawing a sketch map ofthe village, locating the facilities

2. ii)  Mapping of resources
3. iii) Plotting of seasonality,
 iv) Historic profile ofthe, village
v) Time allocation for different activities
vi) Village transect
vii) Priority ranking
viii)Village integrated resources management plan

4) Summary - At the end of each exercise. The villagers should be asked to . summarise what
the diagram conveys, the imp911ant implications etc.

Conditions for Participation

Conducive situations are required for people's behaviour to change within a given system.
The participation in real sense means fundamental change in behaviour. Active people's
participation can take place under following four conditions.

i)  Initiation: This is the process that unfolds naturally bringing people together for a common
action. It is based on the initiative ofthe people, by the people and for the people.

ii)  Facilitation: This is a process of catalysing action by an outside agent. It is a planned

intervention to create awareness and motivate action by a group or a community to change a
situation or redress the cause or causes of problems.

iii) Co-optation: This is the process through which a project or programme is decided upon,
designed and packed for implementation in the community. It is a top-down process of
decision-making. The implementation requires people to participate and then, they are to be
involved in the activities ofthe programmes.

iv) Induction: This is a process in which power, social sanctions, and propaganda are used to
brainwash people into participation in a certain project or programme.

Unit 4
Evaluation

The four broad principles that guide PM and E process are as follows: Participation to open
the design of the process to include those most directly affected by the program and agreeing
to analyze data together;

Negotiation to reach agreement about what will be monitored or evaluated, how and when
data will be collected and analyzed, what the data actually means, and how findings will be
shared, and action taken;

Learning for subsequent improvement and corrective action; and

Flexibility is essential since the number, role, and skills of stakeholders, the external
environment, and other factors change over time. (Marisol and Gaventa 1999)

Some of the key steps in the process of participatory monitoring and evaluation are as
follows.

i) Setting Objectives: Frames of reference

Establishing the frame of reference and planning the details of the process, keeping in mind
the concerns of the stakeholders and ensuring their participation is the first task in any PM&
E exercise. In this step you need to discuss about why evaluation is needed, to whom it is
going to benefit, what problems one might face and what should be the objectives of
evaluation exercise takes place. One must know the actors in the process, the rationale of the
project, the end users of the project, and how the results and process are to be used. End
users could be multiple: community members, project staff, donors, development agencies,
NGOs, researchers, national policy makers. This helps us set the frame of reference within
which a pre-planned evaluation exercise then proceeds. Having decided the objectives,
indicators are then established. The selection of indicators usually depends on what is being
assessed, who the end users are, and how the information will be used. The criterion for
determining indicator is based on acronym SMART; specific, measurable, action oriented,
realistic and time frame. Indicators should capture intangible as well as tangible changes and
factors such as personal and social development.

Selecting the best indicators is, however, not always easy. .· It is in fact a balancing act
between choosing locally- relevant factors, and those that can be applied more widely. The
more stakeholders that are involved, the longer the process of selecting indicators could take.

ii) Identifying parameters and Information needed

This is an exercise that requires some reflections on what is that we are trying to assess. It is
the statement of those dimensions, factors, aspects and variables, which we are trying to
assess. PM& E is generally used for impact assessment, project management and planning,
organizational strengthening or institutional learning, understanding and negotiating
stakeholder perspectives and public accountability. When emphasis is on impact of programs
and activities within a given development context such as girl child education; an income

generating program, a health care program, the focus of such PE exercise is essentially on the
field; entails active involvement local population, people, likely to benefit from the programs,
field level staff and organizers. When the emphasis is on development promoting
organizations, open, critical and collective reflections on various organizational issues like
people to people interactions, interpersonal interactions, issues of team building conflict
management, tensions between the need for routine structure and spontaneity and flexibility
can bring about a common and shared understanding of problems and collective efforts to
solve them.

iii) Developing methods to obtain that information and data collection Choice of methods
becomes relevant here. We can have open-ended interviews, questionnaires, structured
interviews, group discussions, field observations study of records etc. Folk media, songs,
role-plays, dramas, art, drawing, have also been extensively used in getting information.

iv) Analyzing data

This is a stage of systematization of information obtained. At this stage a collective process is

supported and encouraged. PM and E involves at all levels all end users and stakeholders
including the beneficiaries in data analysis. Stakeholders groups engage in critical reflection
and thinking about the problems and constraints, success and outcomes of the activities
undertaken. Data analysis primarily depends on the tools chosen for gathering data and on the
information required by the participants.

v) Documenting, Reporting and Sharing

The collective analysis should be disseminated to all constituencies from where the
information has been taken. This feedback is an important step. Some of the important
criteria in documentation and reporting include: clarity, simplicity, brevity, use of visuals,
timeliness familiarity, and accessibility. Results should be communicated in different ways
responding to end users’ needs.

vi) Creating Future Scenarios.

This step entails painting future scenarios on the basis of analysis developed and assessment
of outside environment for their work and programs etc.

vii) Evolving Action Plans

These action plans are broadly identified and not concretely planned in detail. Multiple future
scenarios are discussed, sorted out, integrated and the parties are encouraged to develop
concrete action plans.

Process of collecting information

A. You may consider the following dimensions of the process of monitoring and evaluation.

1. End users (Actors/Participants)

 Who are the actors in PE process? What roles do they play? What responsibilities they
undertake? Who identifies them?

2. Purpose
What is the situation and context of PE? Who decides?
3. Question makers Who frames?

Methods

i. Who decides?

ii. Who owns the methods?

iii.What is the intent and purpose of methods?

iv. Are the methods relevant to culture of the participants?

v. Do the methods facilitate learning?

vi.How is the methods used-for data collection; to generate interest; to mobilise participants
in PE process?

vii.Are methods gender sensitive: focus and highlight gender specific issues?

6. Facilitators’ role

Why facilitate?

i. To create an environment of sharing and reflection, encouraging participation and

expressions of people’s knowledge and experience.
ii. To build confidence and capacity of the people to be active owner and partner in the
process of evaluation.

iii.To stimulate critical faculties of analysis and reflection among various constituencies

iv.To help identify resources and ways of collecting information, analysing and systematising
that information and planning actions to help bring together the view points of various
stakeholders in PE exercise.

v. To facilitate dialogue between the constituencies on the issues raised by the evaluation.

Who facilitates?

i. A set of persons having effective facilitation skill such as sensitivity to view points of
different stakeholders; understanding the context where evaluation is being undertaken;

identifying the participants; manoeuvring the process of evaluation in various stages for
collecting, analysing and utilizing information.
ii. These persons could be from within the context; outsiders; they could be combination of
insiders and outsiders.

7. Impact/outcome

Who are we empowering: individuals/ groups? Who has the control? Who utilizes the
results?

B. The issue of unequal powers of stakeholders is also important.

While identifying various constituencies in a given PE exercise, different sets of participants

have different power relations among themselves. For instance, local community feel
dependent on animators; animators may feel powerless in front of their organizations;
organizations may feel powerless before donor agencies. If the sensitivity to these unequal
power relations is not maintained, the process of authentic participation may not take place at
all. The PE exercise may degenerate into an exercise controlled by the powerful. For
instance, donors and organizations are legitimate stakeholders to the outcome of PE exercise.
How and to what extent do we incorporate their viewpoints? How not to distort PE process or
undermine critical reflections by crucial stakeholders?

C. Validation of participatory evaluation process is also necessary.

How does one validate a PE exercise? What are the bases by which validation can occur?

If PE is a collective process of reflection and action on both past, present and

Indicators and Tools

Cost-Benefit Analysis

Cost-benefit (CB) analysis is a tool used to compare, in monetary terms, the actual or
estimated costs and benefits associated with a program. They are used, for example, in
decision-making processes that determine budget allocations for public spending. When used
as a simplified tool for evaluation, group together can create a straightforward list of the costs
and benefits associated with the project, program, or other activities, can even think for future
plans. Determining the social, economic, ecological, governance, and learning implications of
a program, for example, can help to evaluate the sustainability of that program over time.
Comparing costs and benefits can also help the group make decisions around ‘tradeoffs’, that
is, which costs the group is willing to incur to achieve the benefits, or which risks they are
willing to venture to meet the stated objectives

SWOT Analysis

SWOT is an acronym that stands for strengths, weaknesses, opportunities and threats. The
first two components refer to the strengths and weaknesses internal to the group conducting
the analysis. They are a basic inventory of what the group does well, and what areas are in
need of improvement. The last two components refer to opportunities and threats in the
external environment. Opportunities can include discovering potential sources of funding,
creating partnerships with other organizations, finding out what relevant literature is
available. Threats can emerge from the political-economic climate, organizations with
competing goals and ideologies, or changing community demographics. Taking account of
external opportunities and threats is sometimes referred to as an ‘environmental scan

Values-based Analysis

The techniques for recognizing stakeholder values are increasingly being incorporated into
evaluation processes. The program beneficiaries themselves determine which values the
standards against which their programs are evaluated. The process of collectively stating
values can occur before a project is initiated, so that community members can return to those
values at decision points throughout the project implementation.
 Unit 5

An alternative approach is Participatory Technology Devel- opment. Its elements can be

briefly explained as:

Participatory Technology Development (PTD)

PTD is a strategic action and a purposeful process by which scientists sponsored technology
is tested, suitably modified and refined by the farmers in their fields leading to its, viability
and acceptability by them in their farming situations.

Participatory: Technology: Development:

involving and therefore empowering local people

based on local people’s knowledge and practical methods of experimentation

people-centered sustainable agricultural devel- opment based on technological generation

from within

Key features of PTD

  Client-based: The knowledge, needs, criteria, and references of farmers are given
importance in decisions regarding research agenda, prioritization of problems for
research, choice of methodologies, and verification, validation, dissemination and
adoption of research results.

  Decentralized research/technology development

  Devolution of more responsibility to farmers for adaptive

testing

  Accountability sharing

  Focuses on farmer-led experimentation

  Tests the relevance of farmers’ problem solving measures

   Takes in to account the local resources

  Is often based on indigenous technical knowledge and native

wisdom of farmers

  Emphasizes use of low cost and locally available resources

Steps in PTD Process

To have a more meaningful and effective PTD process for suitable and appropriate
technology development so as to enable farmers to use and implement the
technologies in their fields, following steps are suggested.
Participation typology

Contractual participation: Scientists contract with farmers to provide land or services. In this
approach the farmer‟s role is passive and participation is not explicit. Scientists manage
research themselves so as to maintain tight control over the variables. Multilocation testing of
technology is a good example of contract participation. Although this mode cannot by itself
be considered as client-oriented research, it can form an important component of such efforts.
E.g. On-farm Trials.

 Consultative participation: Scientists consult farmers about their problems and then
develop solutions. This type of participation is akin to „doctor-patient‟ relationship.
Researchers use formal and informal surveys to define farming systems and diagnose priority
problems. Then they design experiments to test various solutions or to better understand
identified problems. The emphasis is on adapting technology to the socioeconomic as well as
the agro- ecological conditions facing farmers. Researchers involve farmers mostly in the
problem identification and diagnosis and then later in the evaluation of proposed solutions.
This mode was dominant in more than half of the programmes reviewed by the ISNAR study.
E.g. FSR.

 Collaborative participation: Scientists and farmers collaborate as partners in the research

process. This approach, noticed in about a third of the programmes reviewed, involves more
intense and continuous interaction. Researchers actively draw on farmers‟ knowledge and
experimentation in seeking solutions to identified constraints. Regular meetings are held
between farmers and researchers to understand the current farming practices, set priorities
among research problems, develop potential solutions, monitor progress, and jointly review
the results. E.g. PRA.

 Collegiate participation: Scientists work to strengthen farmers‟ informal research and

development systems in rural areas. Here the emphasis is on increasing the ability of farmers
to carry out research on their own, as well as to request information and services from the
formal research system. This mode is often used with large-scale commercial producers, but
is uncommon with resource poor farmers. E.g. PTD.

Obstacles in PTD
Although convinced of the importance of PTD, scientists generally may

be hesitant to involve farmers because:

They are concerned that results could be spoiled by mismanagement of factors outside the
researchers‟ control.

   The failure of technologies in farmers‟ fields may be construed as demonstration

of inadequacies of scientists. Therefore, scientists prefer „finished‟ and well-tested
technologies.
   Scientists are afraid of exposing farmers to too many uncertainties, in terms of
economic, health and environmental damages.
    Lack of participatory theory in the practice of analytical research; therefore,
   Lack of skills and experience in PTD.
   Scientists may lack time, motivation, and the communication skills

to approach farmers.