PARTICIPATORY DEVELOPMENT PLANNING

Theory and Practice of Participatory Approaches

Learning Objectives

Students will be able to …

To define and illustrate the basic concepts of participatory approaches from both theoretical and practical perspectives.

Articulate how participatory methods can elicit peoples’ knowledge and expertise.

Describe how participatory methods build local capacity for effective problem solving and action.

Key Concepts and Issues

Types of participation (e.g., nominal, passive, consultative, active)

Triangulation

Stakeholder

Rules of entry

Social norms and perceptions

Household endowments and attributes

Participation: Key Concepts

Participatory planning can be defined as joint actions of local people and project staff with the objective of formulating development plans and selecting the best available alternatives for their implementation.

Participation should be a two-way learning process of dialogue, negotiation, and decision-making between insiders and outsiders, concerning activities to be undertaken by the insiders and supported by the outsiders.

Participatory planning approaches strengthen local capacity for sustainable development in terms of knowledge, skills and organization.

Participation does not just mean getting the basic information out of the community in order to "target" the project interventions effectively. This approach is oriented towards establishing horizontal relationships between external agents (the project) and the local community, as equal partners who are willing to learn from each other.

Participatory Approaches: Purpose

Identification of the felt needs of the people

Bring forth consensus

Empowerment of local disadvantaged groups

Integration of local knowledge systems into project design

Two-way learning process between the project and local people

Political commitment and support

Accountability in local governance

Participatory Approaches: Assumptions

Participatory approaches facilitate local empowerment by creating opportunities for specific disadvantaged groups, such as women or the landless, to have access to external resources (training, credits) or to mobilize their own resources (organization, knowledge, skills). This enhances their capacity to take action to defend their own interests.

The use of participatory approaches will allow the integration of local knowledge systems into local project planning and implementation. The project then complements these knowledge systems with technical support for the development of appropriate technical menus. Therefore, in particular during the planning process, emphasis should put on the mutual assessment and mobilization of local knowledge and management systems.

Participatory planning facilitates a two-way learning process between the local community and the project. This two-way learning process should facilitate the timely adjustment of project support services to changing local realities. Similarly, it should strengthen local capacity to identify and mobilize local as well as external resources needed to undertake sustained actions.

Participatory Approaches: Assumptions

Development projects operate within an existing institutional framework, and participatory approaches should provide planners and decision-makers with the necessary information for providing more adequate enabling environments and institutional support.

The extent to which local communities are given the conditions for, are capable of and are interested in developing more sustainable resource management systems will determine the level of local capacity for claiming higher quality external services. The institutional environment should respond to these bottom-up claims for more decentralized planning. The final assumption is that participatory planning will enhance political commitment and institutional support for local planning by building a common understanding between institutions and local groups.

What are the advantages of a participatory planning approach?

Participation carries with it feelings of ownership, and builds a strong base for the intervention in the community. If people are integral to the planning of a community intervention, then that intervention will be theirs. They have a stake in it not only as its beneficiaries or staff or sponsors, but as its originators. They'll do what they can to see their work succeed.

It ensures that the intervention will have more credibility in all segments of the community because it was planned by a group representing all segments of the community. If people know that others with the same point of view and experience as theirs were instrumental in making the intervention happen, they'll assume that their interests were attended to.

Bringing a broader range of people to the planning process provides access to a broader range of perspectives and ideas.

A participatory planning approach avoids pitfalls caused by ignorance of the realities of the community or the target population.

What are the advantages of a participatory planning approach?

It involves important players from the outset. If the intervention needs the support of a particular individual, or that of a particular agency or group, and they've been part of the planning from the beginning, their cooperation is assured.

It can provide an opportunity for often-disenfranchised groups to be heard, and teach the community that they have important things to say. It teaches skills which last far beyond the planning process, and can help to improve the community over the long term. People learn to run meetings, to analyze data, to construct strategic plans - in short, to become community resources and leaders.

It can bring together and establish ties among community members who might normally have no contact. Such relationships - between low-income people and business leaders, for instance - are not only supportive of the intervention, but may help to create long-term relationships and break down barriers in the community.

A participatory planning process builds trust, both between your organization and the community and among the individuals involved. This trust can serve as a foundation for future community development and community action.

What are the advantages of a participatory planning approach?

A participatory planning process generally reflects the mission and goals of grass roots and community-based organizations. With its underpinnings of collaboration, inclusiveness, and empowerment, a participatory approach embodies the ideals that form the foundations of most grass roots and community-based organizations.

It implies respect for everyone in the community, and thus sets a standard for community participation and empowerment that other organizations - and the community at large - may feel compelled to follow.

Logically, a participatory planning approach should be effective. The fact that it includes the views and perspectives of everyone affected by the intervention should work to assure that all assets and needs are identified and addressed, and that unintended consequences are minimized.

Finally, it does things the way they should be done. It respects everyone's intelligence, values everyone's ideas and experience, and affords everyone a measure of control.

What are the disadvantages of a participatory planning approach?

A participatory process takes longer. A diverse group always takes longer to make decisions and come to conclusions than does an individual or small group. It could take so long that an opportunity is missed, or that valuable time is lost that could be spent addressing the problem.

Members of the target population or the community may not agree with the "experts " about what is needed. This may point out serious flaws in a proposed plan, and acknowledging and addressing those flaws may be difficult. Disagreement may also mean that the target population or community members simply don't have access to the knowledge or expertise to understand why the intervention is in fact a good idea.

Lots of education may be needed, both for community members and the organization. Members of the target population and the community may not have important technical knowledge or experience, and may need to understand some theory or past practice in order to see what the organization is trying to do. Some may need new skills in order to participate fully in the planning process. The organization, on the other hand, may need to learn more about local culture, political issues, and community history in order to tailor the intervention to the community and avoid past errors. Education of either or both takes time...and time may not be available.

What are the disadvantages of a participatory planning approach?

One determined individual can wreck the whole process if he's not handled well. Someone who has a particular axe to grind, or who's convinced that only he knows what's right for the community can make a participatory process very difficult. Handling this situation can take both tact and toughness.

It may be difficult to assure that all the right people get to the table. Some key people may simply not want to participate. Factions in the community, a history of failed attempts at communication or at dealing with problems, ignorance of which groups or individuals are important, or just basic mistrust may complicate the task of creating a participatory planning process. Overcoming this barrier, however, can have profound positive consequences in the community over the long term.

A participatory planning process takes patience and commitment on everyone's part. People have to maintain their commitment over time, remain civil while discussing issues about which they may have strong feelings, and be willing to compromise. A few misplaced words, or one or a small number of key people losing interest can upset the whole process.

Key Issues: Types of participation

Participation can take a number of forms …

Nominal: participation in name only. Project is planned, implemented, and assessed by outsiders.

Passive: people participating are told what is going to happen. The stakeholders of a project essentially act as “empty vessels” and receive information. Feedback is minimal, if at all, and participation is assessed through methods such as head counts.

Different Levels of Stakeholder Involvement

Consultation

Information-sharing: dissemination of documents, public meetings, information seminars.

Listening and learning: field visits, interviews, consultative meetings.

Joint assessment: participatory needs assessment, beneficiary assessments.

Participation

Shared decision-making: public review of draft documents, participatory project planning, workshops to identify priorities, resolve conflicts, etc.

Collaboration: joint committees or working groups with stakeholder representatives, stakeholder responsibility for implementation.

Empowerment: capacity-building activities, self-management support for stakeholder initiatives.

Source: Adapted from World Bank, Participation Sourcebook , 1995.

Key Concepts: Stakeholders

Stakeholders: there are many parties with interest in any particular resource, and that all of these interests are legitimate and need to be considered.

Stakeholder analysis is a means of increasing the decision-maker’s knowledge of the environment in which the planned intervention is to be made, so as to increase its chances of success. It does not necessarily imply ‘participation’ of these various groups in the decision-making itself, but it does imply that some accommodation has to be made at least to interests that would otherwise be threatening to project success, and it could be used to ensure that the opinions of weaker groups are at least put on the agenda.

Key Concepts: Triangulation

Triangulation is 'using more than one source of data to strengthen the validity of research by telling a more comprehensive story of the thing to be examined.’

Triangulation in research increases the credibility of the research by drawing on multiple viewpoints. Researchers feel confident that they may be moving toward accuracy and reliability as they tap into a variety of sources of information, confirmation, individuals and processes of data collection.

Triangulation is the process of corroborating evidence from different …

individuals such as local villagers, forest rangers and government workers

types of data such as field notes and case studies

methods of data collection such as documents and interviews

Key Concepts: Triangulation

Triangulation is not just about validation but about deepening and widening one’s understanding.

Triangulation is an attempt to map out, or explain more fully, the richness and complexity of human behavior by studying it from more than one standpoint.

Key Concepts: Stakeholder

Stakeholders are usually defined as those who can affect or may be affected by a particular activity.

stakeholder involvement in program development, implementation, and assessment has positive impacts on project success and sustainability.

Why does stakeholder participation work? Trust is one of the most important mechanisms at play. After participation in project planning and implementation, participants are significantly more likely to believe agencies are responsive to public concerns.

Types of Stakeholders

The community whose situation the program seeks to change

Project Field Staff who implement activities

Program Managers who oversee program implementation

Funders and other Decision-Makers who decide the course of action related to the program

Supporters, critics and other stakeholders who influence the program environment.

Source: Adapted f rom C.T. Davies, 1998.

Participatory Planning Tools

Rapid Rural Appraisal (RRA): RRA can be defined as a qualitative survey methodology using a multi ‐ discipline team to formulate problems for research and development. It involves external experts teaming up with local community in a process of knowledge sharing.

Participatory Rural Appraisal (PRA): Participatory rural appraisal evolved from rapid rural appraisal ‐ a set of informal techniques used by development practitioners in rural areas to collect and analyze data. PRA is a label given to a growing family of participatory approaches and methods that emphasize local knowledge and enable local people to make their own appraisal, analysis, and plans. This tool is efficient in terms of both time and money. PRA work intends to gather enough information to make the necessary recommendations and decisions.

Key Tenets of PRA

Participation. Local people's input into PRA activities is essential to its value as a research and planning method and as a means for diffusing the participatory approach to development.
           

Teamwork. To the extent that the validity of PRA data relies on informal interaction and brainstorming among those involved, it is best done by a team that includes local people with perspective and knowledge of the area's conditions, traditions, and social structure and either nationals or expatriates with a complementary mix of disciplinary backgrounds and experience. A well-balanced team will represent the diversity of socioeconomic, cultural, gender, and generational perspectives.
          

Flexibility. PRA does not provide blueprints for its practitioners. The combination of techniques that is appropriate in a particular development context will be determined by such variables as the size and skill mix of the PRA team, the time and resources available, and the topic and location of the work.
           

Optimal ignorance. To be efficient in terms of both time and money, PRA work intends to gather just enough information to make the necessary recommendations and decisions.
          

Triangulation. PRA works with qualitative data. To ensure that information is valid and reliable, PRA teams follow the rule of thumb that at least three sources must be consulted or techniques must be used to investigate the same topics.

PRA Tools

PRA is an exercise in communication and transfer of knowledge. Regardless of whether it is carried out as part of project identification or appraisal or as part of country economic and sector work, the learning-by-doing and teamwork spirit of PRA requires transparent procedures.

A series of open meetings (an initial open meeting, final meeting, and follow-up meeting) generally frame the sequence of PRA activities. Other tools common in PRA are:

Semi-structured interviewing

Focus group discussions

Preference ranking

Mapping and modeling

Seasonal and historical diagramming.

Sequence of PRA Techniques

PRA techniques can be combined in a number of different ways, depending on the topic under investigation. Some general rules of thumb, however, are useful.

Mapping and modeling are good techniques to start with because they involve several people, stimulate much discussion and enthusiasm, provide the PRA team with an overview of the area, and deal with noncontroversial information. Maps and models may lead to transect walks, perhaps accompanied by some of the people who have constructed the map.

Preference ranking is a good icebreaker at the beginning of a group interview and helps focus the discussion. Later, individual interviews can follow up on the different preferences among the group members and the reasons for these differences.

Wealth ranking is best done later in a PRA, once a degree of rapport has been established, given the relative sensitivity of this information.

Key Issues: Types of participation

Participation can take a number of forms …

Consultative: Researchers or “experts” pose questions to the stakeholders. Input can be provided at different points in time but the final analysis and decision-making power lies in the hands of the external professionals whom may or may not take the stakeholders decisions into consideration

Active: Primary stakeholders are involved in every step of the process and take part in decision-making. Outsiders are equal partners, but the stakeholders make the final decisions as ownership and control of the process. Knowledge exchange leads to solutions.