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PART II: METHODS

Participatory Approaches: A facilitator’s guide 35

Introduction

Having established a framework fororganising our work and considered the skillsthat we need, the next question is, ‘How?’ PAis not rigid or prescriptive, but when planningparticipatory processes, facilitators willneed to devise a set of procedures in whichto organise their activities and guide theirchoice of tools

This raises the following issues aboutappropriate choices:

Q. Which tools work well together?

Q. What sequences of tools lend themselves toparticular tasks or phases of the process?

Q. Which tools help encourage the appropriatelevel of participation?

For the purpose of this guide, the term‘methods’ is used to describe the procedurein which collections of tools are put togetherto achieve a certain purpose or goal. Thissection presents some suggestions formethods that may assist each phase of thedevelopment process. These are presented intwo broad areas: methods for analysis andplanning, and methods for reviewing.

In line with the model used in Part I, Section2, each method includes a summary of itslevel of participation (1-5) and the phase(s)of the development process where it is mostcommonly used (analysis, planning, doing orreviewing). Signposts to possible sequencesof tools are included.

Most methods build on what has gone beforeand may represent the application of newprinciples to very similar tools. There istherefore considerable overlap betweenmethods and very few methods can lay claimto an exclusive set of tools. The differences

lie in the purpose of the method, the level ofparticipation it aims to work at, its guidingprinciples and the attitude of the facilitator.

II-1.1 Methods for analysis and planning

RAPIDRURALAPPRAISAL

Rapid Rural Appraisal (RRA) was one of thefirst PA methods. As such it represents thefirst step away from the simple questionnaireapproach of top-down, non-participatoryappraisal, analysis and research. As thename suggests, this method is essentiallyfor collecting data with rural communitiesabout their livelihoods and territory, andgenerally is intended to not take morethan one or two days.

In its day, RRA represented a radicaldeparture from traditional practice. Bytoday’s standards it is a relatively ‘quickand dirty’ method that corresponds to levels1 and 2 of our framework: informing andconsulting. RRA does not guaranteesubsequent action or response to communityneeds unless specified. It is more extractive

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than empowering, and retains control in thehands of the development worker.

Nevertheless, it is an important methodwhich has done much to establishobservation, Semi-Structured Interviewing,Transects and rapid Diagrams firmly in thedevelopment worker’s toolkit. RRA haspotential uses if time is short and can bemade more empowering when carried out bya skilled facilitator/team. A good discussionof RRA can be found at:www.unu.edu/unupress/food2/UIN08E/uin08e0u.htm

PARTICIPATORYRURALAPPRAISAL

Although it is still used for some specificapplications, the ‘rapid’ approach of RRA haslargely evolved into Participatory Rural Appraisal(PRA). PRA is essentially a planning approachfocusing on shared learning between localpeople and outsiders to enable developmentpractitioners, government officials and localpeople to plan appropriate interventions togetherin small groups. Local people take a more activerole and the analysis may take a week or so.

Although RRA and PRA have different aims andgoals, a critical point here is that no tool isexclusively a RRA tool or a PRA tool. All ofthese tools and exercises can be used fordifferent purposes and in different methodssimply by modifying their structure and theattitude of the facilitator.

Visual techniques of Mapping, Ranking, trendanalysis and Drawing, often directly onto theground, have become strongly associated withPRA. As a result, it is common to hear PRAbeing used as shorthand for any participatorytool used at any stage of a developmentprocess. However, PRA is interpreted here inits original sense – as an appraisal method tohelp stakeholders to define jointly theirdevelopment needs.






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Frequently, development workers will enter asituation where this needs analysis is alreadycompleted (often with only level 1 or 2participation). However, if opportunities stillexist to increase the level of participation, PRAis useful to help clarify issues or share ideas.The benefits of making initial appraisal andassessment as participatory as possibleinclude the following:

1. The ethos of participation is establishedfrom the start.

2. Stakeholders become empowered to shapeprojects from the outset, dramaticallyincreasing their commitment to the project,its appropriateness and sustainability.

3. Discussion of objectives reveals potentialconflicts before they hinder success.

4. Opportunities arise for mutual learning andunderstanding.

5. PRA data can complement baseline andevaluation information.

The time required will vary. It may take alarge group meeting to go through the firstanalysis, another smaller team to gatherinformation, and then another meeting of thelarge group to conduct a final analysis usingthe new information.

The first step is for all stakeholders to sharetheir objectives, and for development workersto clarify what they can and cannot do. It maytake some time for stakeholders to discuss anddetermine their problems and to establish jointobjectives.

Tools that may help include Drawing andDiscussion, visuals, Open-Ended Stories,Picture Stories, Flow Diagrams, Problem Trees.

In some situations, this may be going toofar, too fast. It is essential to build rapportand develop an understanding of the localcontext before moving too quickly intoproblem identification. Tools that mayassist this process include Timelines toestablish stakeholders’ identity and history,

Seasonal Calendars and Mapping to showwhen and where livelihood and culturalactivities take place.

All parties should clearly understandtheir own responsibilities and have identifiedoverlapping areas of interest to clarify theirstake in the process. Constraints need tobe identified, including social, cultural andinstitutional factors. Tools that may assistthis process include SWOT or ForcefieldAnalysis. Successful communityorganisations can be used to modelnew community structures.

The community may be divided in such a way(gender, caste, politics) that groups will notcooperate unless they see equal benefits.Discussions of constraints may bring up verysensitive issues, but these do not have to bechallenged or resolved. They must only berecognised so that planning and negotiationstake them into account.

The next step is to identify suitable activitiesor development interventions that willimprove the situation, and to rank these inorder of importance. Each activity can beanalysed for its feasibility given localconditions. The information needed forthis analysis may exist within the group.Stakeholders can revisit the outputs ofprevious tools, or carry out new activitiesto explore the information, such asDrawing and Discussion, discussion starters,Picture Stories, Semi-Structured Interviews,Ranking, Rating, Sorting and Mapping.

The information may need to be shared withother interests before selection of appropriatedevelopment interventions can take place. Theinformation needs to be recorded and stored toassist later phases of the process.

There are many PRA resources on the web,notably the manuals and toolkits of FAO(United Nations Food and AgricultureOrganisation). One useful search engine is at:www.fao.org/documents/

PARTICIPATORYLEARNING ANDACTION

The name ‘PRA’ has become a littlemisleading, since the tools associated withthis method are no longer limited to ruralsettings or appraisal functions. PRAsometimes promotes a clichéd image of‘working on the floor with illiterate farmers’,even though the tools have been extensivelyused in urban, organisational and corporatesettings. Tools are used for increasinglydiverse applications throughout all thephases of the development process.

This means that ‘Participatory Learning andAction’ (PLA) more accurately representswhat many practitioners believe in and aredoing, and this name has gained widespreadacceptance in VSO and beyond. A keyprinciple of PLA is that the method hasunlimited scope, and that tools should beadapted to their purpose or designed fromscratch. There is a stronger emphasis oncommitment to action, rather than analysissimply for the sake of learning. In this sense,all participatory tools are PLA tools. Table 3presents some illustrative examples of howPLA tools can be adapted to community andorganisational settings.

Table 3: Some common PLA tools

The International Institute for Environmentand Development is a key source ofinformation on PLA: www.iied.org

Community context Organisational context

Semi-Structured InterviewsCommunity Mapping_________________Concept MappingTransects____________________________Cross Visits

Ranking, MatricesStakeholder Analysis

SLOC Analysis_______________________SWOT AnalysisSeasonal Calendar______________Organisational Calendar

Historical CalendarFlow Diagram/Webbing

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PARTICIPATORYACTIONRESEARCH

Participatory Action Research (PAR) is acontinuous cycle in which local and externalpeople jointly decide on information thatwould be useful to shed light on their ownsocial and economic conditions, onconstraints affecting them and theirorganisations, and on their community as awhole. This mixed group decides the topic ofresearch, designs the research (what will bemeasured and how) and collects thenecessary information. This information isthen put into practical applications or used toidentify new research ideas. Developmentworkers therefore act as ‘participantobservers’, learn first hand about localproblems and help to find solutions.

The scope of PAR is similar to PRA/PLA, andmay use the same tools. However,organisations like the International Institutefor Sustainable Development (www.iisd.org)argue that the distinctive role of PAR is toempower communities to change higher levelpower relations. In their interpretation, PARcan “empower a community …or totally messthings up”1 – success is dependent on goodknowledge of the local power structure, andan awareness of the potential impacts of themethod on the community.

Initially, the main research objectives are toselect the project area, identify disadvantagedgroups and to determine whether they areinvolved in local development efforts.Research is used to select suitable groups,plan and implement group activities and todevelop appropriate training programmes.

Although the profile above presents PARprincipally as a method for planning andanalysis, ongoing PAR may help to solveproblems and provide data for fieldworkshops, develop and sustain participatorymonitoring and evaluation, carry out casestudies of disadvantaged people and developappropriate technologies.

Tools for participatory action research aresimple household and village surveys. Thesesurveys will help to establish economic andsocial benchmarks, which highlight thestatus of the beneficiaries in the initial phaseof the project and allow progress to beevaluated. Group discussions are useful forlearning and building rapport. Part of actionresearch is to record systematically eachstep of the process.


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1 www.iisd.org/casl/caslguide/par.htm/

PARTICIPATORYBASELINES

A Participatory Baseline provides informationneeded to start development activities. Itestablishes common understanding, fromthe beginning, of how change relating to aspecific situation will be measured. Thisinformation should relate directly to theobjectives of the planned developmentintervention. Without a baseline, it isdifficult to monitor and evaluate theimpact of development.

Participatory Baselines offer the followingbenefits:

� Stakeholders decide how to measurechange, helping them observe changeeasily.

� Specific information can be organised andobtained when needed.

� It complements other baselines createdby external development workers.

� Joint planning and analysis enablesmutual learning and skill-sharing.

� It can be used to plan project activitiesand identify potential problems.

� If information is scarce, baselines help toguide Participatory Action Research.

The first step is to discuss the purpose of abaseline – whether stakeholders want tomeasure progress or obtain informationabout a specific issue. If the baseline is toenable change to be measured at a futuredate, then objectives and activities can bereviewed. If a baseline is being carried out toobtain specific information for a new activityor because of a problem, reviewing of thecentral questions can be useful.

Once the purpose has been determined,stakeholders must decide:

Q. What do we want to know?

Q. What are the many pieces of informationthat could tell us this?

Q. What are the key pieces of information(indicators) that will tell us this?

Q. Where and how is this information bestgathered, and by whom?

Q. How is information best analysed, sharedand stored?

Establishing good indicators is time wellspent, since they will reduce the amount ofinformation needed. Stakeholders may wishat this point to delegate responsibility to abaseline team. Some information may beavailable from a secondary source, whileother information will have to be collected.Suitable information gathering tools mayinclude physical measurements, communityrecords, Drawing and Discussion, Open-Ended Stories, Semi-Structured Interviews,Ranking, Rating, Sorting, Maps, CommunityFinancial Accounts. This may require peoplewith specific skills, and will also requirelabour and time. The team will need to decidewhether external skills and labour arerequired, although it is more empowering touse or build the skills of the group.


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II-1.2 Methods for reviewing

Reviewing relates to two key operations, oftenreferred to collectively as ParticipatoryMonitoring and Evaluation (PM&E). PM&Einvolves stakeholders at different levelsworking together to assess the developmentintervention and take any corrective actionrequired. This joint problem-solving includesmen and women at the community level;intermediary organisations, including NGOs;private sector businesses involved in theproject; and government staff at all levels.

Conducting user surveys or asking communitymembers to respond to questionnaires doesnot support a participatory approach. Allstakeholders should have the opportunity todefine the monitoring and evaluation criteria,identify problems, collect and analyseinformation, generate recommendations andimplement change.

PARTICIPATORYMONITORING

Participatory Monitoring is the systematicrecording, sharing and periodic analysis ofinformation that has been chosen andrecorded by insiders with the help ofoutsiders. The main purpose is to providestakeholders with information during the lifeof a development process. This allowsadjustments to be made if necessary andprovides information for future ParticipatoryEvaluation. Implementing agencies anddonors also require data on progress towardoverall objectives.

So a workable participatory monitoringsystem needs to accommodate the different –and often competing – information needs ofthose involved in the project, and incorporateregular meetings at each level to make use ofthe data generated.

The benefits of Participatory Monitoringinclude the following:

� Locally defined indicators are morerelevant.

� It provides an ongoing picture.

� Problems are identified and solutionssought early.

� Good standards are maintained.


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� Resources are used effectively.

� It creates an information base for futureevaluations.

� A complete picture of the process isproduced – stakeholder participationmeans that results are examined relativeto past experience, increasing all otherbenefits.

As with any participatory process, thepurpose and benefits need to be discussed sothat stakeholders can decide for themselveswhether monitoring will help them. If theyhave already been involved in the analysisphase then shared objectives will alreadyhave been reached. If the project has beendefined externally, some discussion andagreement is necessary in order to alignobjectives and secure commitment.

Stakeholders suggest monitoring questions,which can be ranked and sorted, andindicators developed for useful criteria. Foreach indicator or monitoring question, themost appropriate information-gathering toolmust be chosen. Often one tool can gatherinformation that answers many monitoringquestions.

Some of the information-gathering toolsuseful in Participatory Monitoring includegroup log-books, records, meetings, ledgersand accounts, and meetings to monitor groupprogress. At project level, tools includeproject records and accounts, samplesurveys, field visits, preparation of periodicprogress reports and meetings or workshopsto review progress. At donor level, toolsinclude external monitoring and workshops.

Responsibility for monitoring needs to beagreed with appropriate stakeholders.The information gathered should indicateshortfalls in project performance anddiscrepancies between objectives plannedand those achieved. The results need to beshared for mutual learning, and to reveal anynecessary modification of activities,objectives and processes.

Participatory Monitoring should be conceivedfrom the beginning as part of the grouplearning and action process. This means thatbaseline and benchmark data, as well as dataon inputs, outputs, work plans and progressmade in group development, should berecorded, discussed and kept for later use.

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PARTICIPATORYEVALUATION

Evaluation is an opportunity for allstakeholders to reflect on the past in orderto make decisions about the future. As such,it is not just an ‘end of project review’.Ongoing analysis of monitored informationenables adjustment of project objectives,policies, institutional arrangements,resources, activities and level of participationwhere necessary.

Participatory Evaluation activities can bedone because PA has been planned at everystage of the development process to dealwith a potential crisis, to respond toproblems (including low participation/disinterest), or to introduce PA into aproject defined by outsiders.

Local beneficiaries already evaluateintuitively and informally. This is because theyultimately reap the benefits and bear many ofthe costs of development, and choosewhether to continue or discontinue activitieswhen the outsiders leave. Local stakeholdersmay therefore use the results of evaluation tochoose to continue activities, modify all orsome, change the strategy, change theobjectives, or discontinue activities.

Benefits of Participatory Evaluation includethe following:

�Decision-making by beneficiariesimproves – particularly relatingobservations to objectives.

�Local evaluation capabilities are stronger,enabling local people to organise andexpress their concerns and interests inways outsiders can understand.

� Information flow changes (Figure 9) so thatdevelopment workers and donors increasetheir understanding of the local context.

�Stakeholders learn from each other andmay pass on good practice to othergroups.

�An entry point for PA if participation hasnot been a feature so far.

� Information improves chances of self-supported management of activities inthe future.

Figure 9: Examples of information flow


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donors

national government

national project

field staff

community

A. With outsider evaluation

The first step is to discuss whether anevaluation is necessary and to explore thebenefits. It is useful at this stage to reviewoverall objectives. If PA has been usedthroughout the process, this meansrevisiting the outcomes of tools used earlier.Stakeholders can then explore what theywant to know.

Development of evaluation questions mayfocus on achievements, areas forimprovement, and overall developmentimpact or significant change. Arepresentative group will be assignedresponsibility and a timeframe for gatheringinformation on direct and indirect indicators.This will need some clarification of wherethe information will come from, and whichtools to use. External skills and resourcesmay be needed, although if PA has beenused throughout there will have beenopportunities for sharing and buildinginformation-gathering skills. This could beone of the objectives of the project.

The choice of tools will depend on the kindof information needed. If an information-gathering tool has been used before, it maybe used again to update the information andshow change. Outputs from ParticipatoryBaselines and Participatory Monitoringcan be used in Participatory Evaluation.Frequently used tools therefore focus onsome kind of document analysis anddiscussion, eg log-books summarisinggroup records, and diaries containingpersonal observations on the process andresults of beneficiary participation.Regular group and inter-group evaluationdiscussions, studies and surveys can be usedto derive key lessons, which may becommunicated via newsletters in the locallanguage. Field workshops anddemonstrations are an additional way tobring together participants, project staffand external stakeholders to demonstratemeasurable benefits and new practice,and to assess the project fully.

Nevertheless, other tools should not beoverlooked if they suit the local culture, bothfor gathering information and sharing theresults. These include oral histories andstorytelling; Timelines, pictures anddiagrams for showing change over time,milestones or key achievements. Drama androle plays can reveal a variety of evaluativedata on social relationships, benefits ofskill-sharing, and historical events that haveaffected the solutions to problems.

Maps or a series of map overlays areanother key way to demonstrate changeand share results: where contacts weremade; where good practice occurred;comparisons with social Ranking to judgethe impact on disadvantaged groups; andexplanations regarding success andfailure of specific activities. Maps canreveal contradictions in underlyingassumptions and expectations, whichin turn can lead to new experiments.

These tools should all be used to sustain atwo-way flow of information between groups

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field staff

community

donorsnationalproject

nationalgovernment

B. With participatory evaluation


and the project staff. Evaluation should includenot only measurable results of group activitiesbut also encourage reflection on other benefitsof the process such as increased skills andknowledge or changing attitudes.

II-1.3 Sharing results

Sharing results is a key part of PA. Theresults of early analysis and planning phasesare for immediate use and may not need tobe presented until later in the process.However, it is good to have visible reminderssuch as objectives and maps.

Results of Participatory Monitoring may bepresented monthly, seasonally and/orannually to the community. These may alsobe incorporated with evaluation results.Results of Participatory Evaluation aregenerally presented in complete andintegrated form.

Results should be:

• interesting

• appropriate – designed with the audiencein mind (Table 4)

• clear – use the language of the intendedaudience

• convincing and represent all stakeholders.Those who were not involved in theprocess of collection or analysis shouldhave an opportunity to verify theinformation

• timely – in order to help stakeholders anddonors make informed decisions

• participatory – stakeholders shoulddecide what and how to communicate toothers. It is their story and it will be allthe more powerful if they tell it in theirown way.

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Table 4: Three main ways to present results, with examples of possible tools

WRITTEN ORAL VISUAL

ReportsCase studiesCommunity newslettersDiagrams

Drama and puppetryTape recordingsVideoSlidesStorytellingGraphics/Charts

PhotographsDrawingsVideoSlidesCartoonsDiagrams

SECTION SUMMARY – KEY LEARNING POINTS

• PA can be used at any stage of a project ordevelopment process.

• Different methods may use similar tools, buthave different priorities and starting points.

• Clarify your purpose, and considerappropriate methods in your strategy.

• Regularly revisit your aims, what level ofparticipation is desired, and your ownbehaviour and level of control.

NEXT STEPSFollowing these generic methods, Section 2presents examples adapted for specific uses.VSO/Helen Schneider

PART II: METHODS


Introduction

The following methods are drawn from theexperience of VSO and other developmentorganisations. Some are large scale andmultisectoral; others are more focused inscope. This is simply an illustrative ratherthan a comprehensive selection, to show thepotential diversity of possible methods.

STAKEHOLDERANALYSIS

Stakeholder analysis is the starting point ofmany organisational or social projects. It isused to acquire an understanding of thepower relationships, influence and interestsof stakeholders involved in the developmentof a project or policy. Its findings can provideearly information about:

• who will be affected by the project(positively or negatively)

• who could influence the project (again,positively or negatively)

• which individuals, groups, or agenciesneed to be involved in the project, and how

• whose capacity needs to be built to enablethem to participate.

Based on this analysis, a plan for how to involveeach stakeholder group in subsequent stagesof the project or policy work is developed.Although there is a single Stakeholder Analysistool described in this toolkit, other tools likeorganisational Mapping, Seasonal Calendars,Focus Group Discussions, Matrices, Ranking,Problem Trees or SWOT Analysis may help toenrich the analysis.



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PARTICIPATORYORGANISATIONALAPPRAISAL

Every organisation will periodically needa strategic reorientation to increase itseffectiveness, respond to change, or raiseawareness of those within and outsidethe organisation of its main purposeor strategy.

Participatory Organisational Appraisal (POA)enables managers to use the experiences,knowledge and skills of their staff to assistthem in refocusing their organisationaldevelopment strategy. The recommendedlength for this method is three days, involvingup to 20 staff, although this could be adapted.Any number of creative tools can be used –visual diagramming tools originally designedfor overcoming language and literacy barriershave transferable value since they stimulatecreativity and engage people in active learning.

Participants complete an in-depth analysis oftheir own organisation and determine theactual position they have in their institutionalsetting. After this analysis, participants willdiagnose the causes for successes andfailures at present and subsequentlyformulate strategies for organisationalimprovements over the next two years.

This will generally involve Problem Tree,Flow Diagram or Webbing tools.

Although the method is in essence a review,this action plan should include a division oftasks and timeframe. It can therefore engagewith all stages of a development process.Depending on the management attitudeand organisational culture, the level ofparticipation may vary from consulting tomore empowering levels.



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THEATREFORDEVELOPMENT

Although role play can be easily used tocommunicate issues to people, the value ofTheatre for Development is to engage peoplemore actively in analysing their own situation,playing out alternatives and planning action.There are many different sub-methods withinTheatre For Development (eg University ofManchester’s ARTPAD1 method) thatuse creative tools of mime, role play,improvisation or puppetry to engage peoplephysically in active, experiential learningand action planning.

The keystone of Theatre for Development2 isthe work of Brazilian theatre practitioner andpolitician Augusto Boal, who created a wholesystem called the Theatre of the Oppressed.This is based on the assumption that allpeople desire and are capable of dialogue,and when a dialogue becomes a monologue,oppression ensues. He used theatre as anextraordinary tool for transforming thetraditional ‘monologue’ of the stage into adynamic ‘dialogue’ between the actors andthe audience, enabling issues to be exploredand experienced together. Key tools includeImage Theatre, Forum Theatreand legislative theatre.

Theatre for Development opens up verypowerful, experiential methodologies thatengage with local culture and art forms.It can be used as a method in itself, or asa toolkit of activities that can be insertedinto other methods. Participation operatesat a high level, and the tools translate theenergy of performance into a mobilisingforce for change and action. Theatre isparticularly effective for analysis andexploring possible action, but can alsobe used for reviewing and celebrating.



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1 See www.art.man.ac.uk/DRAMA/staff/BrazilandPeru.htm2 For more information on Theatre for Development see: www.kit.nl/specials/html/td_theatre_and_development.asp

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BENEFICIARYASSESSMENT

Beneficiary Assessment (BA) is a consultativemethodology, and hence principally forfeedback. It is used in both project andeconomic sector work to gain insights intothe perceptions of beneficiaries regarding aproject or policy.

The overall objective of a BA is to enablebeneficiaries and other local-levelstakeholders to identify and designdevelopment initiatives, signal constraints totheir participation, and give feedback onthese activities to those designing andmanaging a project or formulating policy. Alarge sample of Semi-Structured Interviewsprovides the bulk of the findings, with FocusGroup Discussions to provide context. Variousdiagramming tools may be used to increasecreativity.

The most common application of BAtechniques has been in service projectswhere it is especially important to gauge userdemand and satisfaction. Duringimplementation, BAs can provide feedbackfor monitoring purposes and for reorientationof the project. Towards the end of the project,BAs can also complement technical andfinancial evaluations, as well as survey-based

impact evaluations with the views of thebeneficiaries themselves.

More details can be found at:www.worldbank.org/poverty/impact/methods/ba.htmLEVEL OF PARTICIPATION


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PARTICIPATORYCONFLICTMANAGEMENT

When participatory processes bringstakeholders of different power and intereststogether, both apparent and latent conflictsare often at issue. Conflict managementtechniques seek to involve these stakeholdersin a process, based on improvedcommunication, to address differences ina constructive way.

PCM (Participatory Conflict Management) asan end in itself relies on expert facilitation byconflict management specialists. However,similar approaches and tools may be used formanaging conflict if it is revealed as an issueduring projects or activities tacklingdifferent goals:

• to describe key concerns and identify commoninterests that will motivate joint work

• to undertake joint problem-solving and suggestmeaningful decision-making processes

• to work together to design creative solutionsand commit to agreements reached.

The Relationship Strings tool directlyaddresses conflict. Other tools that helpinclude Mapping or participatory land

delimitation to identify conflicts over spaceand resources; Seasonal Calendars toidentify conflicting seasonal activities;Timelines to map out key historical eventsand to identify unifying values and origins;and Theatre activities to explore perceptionsand examine different behaviours that mightreduce conflict. Ranking and Matrices helpto examine choices and preferences.Guided Visualisation may consider a futurefree of the constraints of the present. Anytool that helps to structure debate (eg Yes,But…) may help to facilitate constructivegroup discussion.

This process is best carried out in the earlyanalysis and planning phases, otherwiseprojects are doomed to failure. However, theymay also be used for review purposesin response to emerging conflict situations, tomanage tensions and make plans for action.

Conflict management demands a high level ofparticipation – conflict cannot be sustainably‘resolved’ by an external party, but mustcommit to joint analysis, decisions andactions.






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GENDER/DIVERSITYANALYSIS

Gender Analysis is a well-developed field,even though the goal of gender equityremains a challenge. These tools andmethods are equally suited to exploring othersocially constructed differences betweenpeople, on the grounds of age, disability,race, caste, ethnicity, HIV and AIDS statusetc. Gender is used here as an illustrativeexample. Despite the name, this method canbe used to plan and review action as well ascarry out initial analysis.

Gender Analysis focuses on understandingand documenting the differences in genderroles, activities, needs and opportunities in agiven context. This analysis examines theroles of men and women in production,reproduction and management in thecommunity and attempts to understand howchanges in one role may produce beneficialor detrimental effects in others.

Gender Analysis may address practicalgender needs such as clean water; strategicgender needs such as laws to facilitateproperty ownership; the likely effects ofdevelopment changes on the interdependentrelationships of family members; and

development impacts on community labourexchanges, the flow of goods and othersurvival coping mechanisms.

Tools used for Gender Analysis include socialMapping of infrastructure and settlement toshow gender differences in mobility, wealth,and well-being; Diversity Analysis Matrix toexamine division of labour and resources;Bomb Shelter to explore prejudices; 24-HourAnalysis to compare the average day of menand women; Equality Tree to identifypersonal, institutional and political changeneeded; role play or Forum Theatre toexplore issues and strategies. Puppets mayhelp to explore sensitive themes. Variouskinds of Matrix can be used to monitor andevaluate action and change.

For information and resources on genderanalysis, go to: www.ids.ac.uk/bridge






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INTEGRATEDENVIRONMENTALMANAGEMENT ANDSOCIALDEVELOPMENT

This method makes direct links betweenenvironmental systems, the communitiesthat inhabit them and their livelihoodactivities in order to integrate conservationor sustainable environmental managementwith social development interventions.Community-based approaches arecentral to this process, with support fromother stakeholders (local government,NGOs, private sector, etc).

As with all multisectoral approaches, arange of PA tools can be used. Figure 10shows a process and menu of PA toolsused by VSO volunteer Johann Van Djuinin the Philippines to help communitiesevaluate their own natural resources andlivelihood strategies, set goals and plandevelopment interventions. The outputsof these PA tools are transferred ontocommunity map overlays showing howpeople interact with their environment.






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• Service Map

• Venn Diagram of Local Stakeholders

• Work Division (Gender) Matrix

• Income–Expenditure Tree

• Well-being Ranking

• Matrix to rate the effectiveness of local institutions

• Problem Tree to identify causes and effects

• Pairwise and Matrix Ranking to prioritise problems

• Community Timeline

• Resource and Social Map

• Transect Map

• Social Census Map

• Historical Transect

• Seasonality Diagram (Weather, Agriculture, Health)

• Flowchart of Traditional Practices involved in Agriculture

B. Menu of PA Tools

A. Process

Figure 10: A community planning process used by VSO in South Cotobato, Mindanao, Philippines.

Orientation

Mapping

Expectations & Objectives

Introductionto NGOs

CommunityDevelopment

ProblemIdentification

SWOTAnalysis

Vision, Mission, Goals

WorkshopGroups

PATools

Reporting &Discussion

PART II: METHODS


PARTICIPATORY ANDINTEGRATEDWATERSHEDMANAGEMENT

The multisectoral approach of Participatoryand Integrated Watershed Management hasbeen specifically recommended by Agenda 21for sustainable watershed management. Inessence, this means using naturalhydrological units as geopolitical territoriesfor integrated development activitiesdescribed above. This method is based onprinciples of watershed governance;participation of local communities, civilsociety and institutions; women’sempowerment; integration of conservationand development goals and livelihoodimprovement; and micro-meso-macro links.This integration of environment, livelihoodsand gender equity is consistent withVSO’s strategy.

SUSTAINABLELIVELIHOODSANALYSIS

The livelihoods approach to developmentis a step beyond the integrated people –environment approach explained above.It takes local livelihood capabilities andneeds as local people perceive them asthe starting point for planning newdevelopment interventions or reviewingexisting ones. Sustainable LivelihoodsAnalysis (SLA) comprises a set of coreprinciples (Table 5), and a framework(Figure 11) to enable consistent andreplicable work. The principles describedin Table 5 support an empoweringprocess operating with high levels ofparticipation. Commonly used toolsare summarised in Table 6.

The livelihoods approach is widely used by DFIDand other agencies: comprehensive guidelinesare available at www.livelihoods.org







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Table 5: Principles of Sustainable Livelihoods Analysis

PRINCIPLE DESCRIPTION

PEOPLE-CENTRED

HOLISTIC

PARTICIPATORY

DYNAMIC

BUILDING ON STRENGTHS

MICRO-MACRO LINKS

SUSTAINABILITY

Development starts with an analysis of people’s livelihoods and how these have been changingover time, in their own words.The framework model (below) represents the various factors which constrain or provideopportunities, and their inter-relationships.The framework is constructed by local people using PA tools, and subsequent actions are basedon local people’s own agenda. Livelihoods and the institutions that shape them are highly dynamic. SLA aims to support positivechange and reduce negative patterns.SLA recognises inherent potential, and starts with an analysis of strengths and capabilities,rather than needs.SLA identifies policy and institutional constraints on local systems, and feeds these lessons backto shape policy reform.SLA enables people to independently maintain their livelihoods in changing conditions, withoutundermining natural resources.

Figure 11: Schematic of the Sustainable Livelihoods Framework

HumanSocial Natural

Policiesinstitutions and

processes(may help orhinder locallivelihoods)

Livelihoodoutcomes

(goals,objectives)

Livelihoodstrategies

(what people do)

Vulnerabilitycontext

(trends, shocks,seasonality)

Livelihood assets

(resources, skills,capabilities)

Physical Financial

Table 6: Tools for Sustainable Livelihoods AnalysisAdapted from DFID (www.livelihoods.com)

TOOL PARTICULARLY USEFUL FOR24-HOUR ANALYSISTIMELINESSEASONAL CALENDARSTRANSECT WALKSRESOURCE MAPSSOCIAL MAPSPREFERENCE RANKINGMATRIX RANKINGWEALTH RANKINGVENN DIAGRAMSFORUM THEATRE

Assets, strategies, local institutions, vulnerabilityVulnerability context, policy changeVulnerability context, assets, strategiesQuality and quantity of natural capitalExistence of shared natural assetsAccess to services and infrastructureLivelihood strategies, assets, access to servicesAccess to infrastructure, livelihood strategies, investment choicesStrategies and assets relations between social groupsSocial assets, institutional and policy environmentVulnerability, PIP (policy, institutions and processes) constraints, strategies to exit from poverty

PART II: METHODS

PART II: METHODS


SARAR

SARAR is an education/trainingmethodology requiring a trained facilitator.The process aims to engage stakeholderscreative capacities in planning, problem-solving and evaluation; to develop people’sown capacities for self-direction andmanagement; and to enhance the quality ofparticipation among all of the stakeholders.The acronym SARAR stands for the fiveattributes and capacities that areconsidered the minimum essentials forparticipation to be a dynamic and self-sustaining process:

• Self-esteem: as a person as well as avaluable resource for development.

• Associative strength: the capacity to workcollaboratively toward a common vision.

• Resourcefulness: the capacity to visualisenew solutions, meet challenges and takerisks.

• Action planning: combining criticalthinking and creativity to come up withnew, effective and reality-based plans inwhich each participant has a useful andfulfilling role.

• Responsibility: for follow-through until thecommitments made are fully dischargedand the hoped-for benefits achieved.

Although they have no set order, the five keySARAR techniques are often appliedprogressively, having a cumulative effect:

1. Creative techniques involve the use ofopen-ended visual tools such as Mappingand posters to encourage participants tobreak out of conventional ideas androutine ways of thinking

2. Investigative techniques such as pocketcharts are designed to help participants dotheir own needs-assessment by collectingand compiling data on problems andsituations in their community

3. Analytical techniques including three pilesorting and Gender Analysis tools enableparticipants to prioritise problems andopportunities and to examine a problem indepth, allowing them to understand betterits causes and identify alternativesolutions

4. Planning techniques are used to simplifythe planning process so decisions can bemade, not only by the more prestigiousand articulate participants (such ascommunity leaders or senior staff), butalso by the less powerful, including non-literate, community members. Planningtechniques include story with a gap,Forcefield Analysis and software–hardware exercise.

5. Informative techniques help gatherinformation and use it for betterdecision-making.

Further details can be found at:www.worldbank.org/poverty/See also Srinivasan (1993).



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PART II: METHODS


QUALITYSERVICEAPPROACH

The Quality Service Approach deals withreform of bureaucracy and governmentservices, particularly in rural areas. The aim isfor communities/clients to become empoweredto expect and receive the services they needfrom (a) decentralised and efficientgovernment organisations; and (b) morecommunity-based private sector services. Thisrequires significant changes in institutions andattitudes, particularly in rural services.

The method promotes a number of principles,on which it offers further guidelines:decentralisation, better government,community empowerment, privatisation,community-based services, Total QualityManagement, PA.

PA is used to identify areas for change, planand implement change, and review progress.The process needs strong support from seniormanagement and experienced facilitators. Theprocess relies on a series of trainingworkshops: initially with senior managers,followed by building capacity of middlemanagers and operational staff in basic skills.Training is also given on new skills needed toimplement the new approaches. Review,reflection and expansion involves localchampions training others and producingtraining materials.

This method is beyond the scope of most VSOinterventions, although VSO volunteers haveworked on DFID-funded QSA projects inIndonesia. It is included here to show thepotential for PA to facilitate significantinstitutional change that links micro and macroscales. Further details can be explored at:www.deliveri.org


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PART II: METHODS


PARTICIPATORYEXTENSIONSYSTEMSDEVELOPMENT

Extension and outreach systems can be mademore participatory by training frontlineextension officers in PA. This includesparticipatory Gender Analysis and planningtools. The aim is to create closer bonds andbetter cooperation between extensionofficers, farmers groups, organisations andlocal institutions. Trained staff develop on-farm participatory research, demonstrationand group extension activities.

As with the Quality Service Approach,Participatory Extension SystemsDevelopment involves significant reform ofattitudes and strategy, and a commitment toparticipatory monitoring and evaluation.

PARTICIPATORYNUTRITIONPROJECTS

Participatory Nutrition Projects aim toimprove the nutritional situation of vulnerablehouseholds through concrete activities thatare designed, implemented, monitored andevaluated by the people of the community andthat address the causes of malnutrition asthe people themselves perceive them.

Many efforts have already been made toincorporate nutrition in agriculture projects.Most of these concentrate on improving thenutritional status of the target populationthrough complementing agricultural activitieswith more specific nutrition interventions, suchas nutrition education. Participatory projectsrender these efforts even more effective byaddressing the causes of malnutrition from theperspective of the people themselves.

Nutrition concerns can be integrated into theroutine activities of agricultural extensionists,primary school teachers, health staff orextension. An online toolkit is available atwww.fao.org/participation/ includingrecommendations for preparation,participatory appraisal, design, delivery,monitoring and evaluation.



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PART II: METHODS


SECTION SUMMARY – KEY LEARNING POINTS

• Different methods tend to have naturallimits on the potential level ofparticipation. It is therefore vital to clarifyyour purpose and desired level ofparticipation throughout the developmentprocess before selecting or designing anappropriate method.

• Existing methods should be adapted toyour purpose rather than taken asblueprints.

NEXT STEPSHaving examined principles and methodsof PA, Part III outlines a compendium oftools, illustrated with case studies fromVSO and other organisations.

PART II: METHODS


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