THE WORLjD ]BANK PARTICIPATION SOURCEBOOK ESD . . ., . / * Environmentally Sustainable Development Publications ESD Proceedings Series No. 1 Culture and Development in Africa: Proceedings of an International Conference (Also in French) No. 2 Valuing the Environment: Proceedings of the First Annual International Conference on Environmentally Sustainable Development No. 3 Overcoming Global Hunger: Proceedings of a Conference on Actions to Reduce Hunger Worldwide No. 4 Traditional Knowledge and Sustainable Development: Proceedings of a Conference No. 5 The Human Face of the Urban Environment: A Report to the Development Community No. 6 The Human Face of the Urban Environment: Proceedings of the Second Annual World Bank Conference on Environmentally Sustainable Development No. 7 The Business of Sustainable Cities: Public-Private Partnerships for Creative Technical and Institutional Solutions No. 8 Enabling Sustainable Community Development No. 9 Sustainable Financing Mechanisms for Coral Reef Conservation: Proceedings of a Workshop ESD Studies and Monographs Series (formerly Occasional Paper Series) No. 1 The Contribution of People's Participation: Evidence from 121 Rural Water Supply Projects No. 2 Making Development Sustainable: From Concepts to Action No. 3 Sociology, Anthropology, and Development: An Annotated Bibliography of World Bank Publications 1975-1993 No. 4 The World Bank's Strategy for Reducing Poverly and Hunger: A Report to the Development Community (Also in French, forthcoming) No. 5 Sustainabilitiy and the Wealth of Nations: First Steps in an Ongoing Journey (forthcoming) No. 6 Social Organization and Development Anthropology: The 1995 Malinowski Award Lecture Related ESD Publications Monitoring Environmental Progress: A Report on Work in Progress Water Supply, Sanitation, and Environmental Sustainability: The Financing Challenge Directions in Development Series Toward Sustainable Management of Water Resources Directions in Development Series Nurturing Development: Aid and Cooperation in Today's Changing World Directions in Development Series THE WORiLD BANK PARTICIPATION S OURCEBOOK The World Bank Environmentally Sustainable Development Washington, D.C. ESD ( 1996 The International Bank for Reconstruction and Developmenlt/THE WORLD BANK 1818 H Street. N.W.. Washington, D.C. 20433. U.S.A. All rights reserved Manufactured in the United States of America First printing February 1996 This report has been prepared by the staff of the World bank. The judgements expressed do not necessarily reflect the views of the Board of Executive Directors or the governmenits they represent. The boundaries, colors. denominlations, and other infor- mationi shown on the maps in this volume do not imiply on the part of the World Bank any judgement on the legal status of any territory or the endorsement or acceptance of such boundaries. ISBN 0-82113-3558-8 Library of Congress Cataloging-in-Publication Data World Bank participation sourcebook. p. cm. - (Environmental Department papers; 019) ISBN 0-8213-3558-8 1. World Bank. 2. Economic development projects-Case studies- Handbooks, manluals. etc. 3. Economic developmenit projects-Citizen participation-Case studies-Handbooks. manuals, etc. 4. Community developmenit-Case studies-Handbooks, manuals. etc. 1. World Bank. 11. Series: Environmiiiental manaagemilenlt series (Washington. D.C.) 019. HG3881 .5.W57W692 1996 338.9-dc-20 96-1868 CIP Cover Design: Tomoko Hirata Cover ANote: The artwork reprodUced on the cover is from the Warli tribe. who live in the Sahyadri mouLntaills in Maharashtra state. north of Bombay. These tribal peoples are renownled for their mythic vision of Mother Earth. their traditional agricultural metlhods. and their lack of caste differentiationl. Photos in Table of Contents: Chapter 1. CuL-t Carnemark: Chapter 11. Stefano Pagiola: Chapter III, Ron Sawyer; Chapter- IV, Asem Ansari: Appendix I. Deepa Narayan: Appendix 11. CuL-t Carnellmark. e Printed on recycled paper CONTENTS Foreword ix Preface xi Acknowledgments xii Acronyms xiv The Project Cycle at a Glance xvi INTRODUCTION 1 CHAPTER I: Reflections: What Is Participation? 3 External Expert Stance 3 Listening and Consultation 4 Social Learning 4 , Social Invention 5 Coi-nrnmmitment 5 Popular Versus Stakeholder Participation 6 Reaching the Poor 7 CHAPTER II: Sharing Experiences 9 A Guide to Sourcebook Examples (with Map) 13 Albania: Rural Poverty Alleviation Pilot Project 17 Benin: Health Services Development Project 23 Brazil: Municipalities and Low-lncome Sanitation 29 Chad: Education V Project 35 Colombia: Electricity Sector Reformli 39 Egypt: Matruh Resource Managemiient Project 47 India: Andhlra Pradesh Forestry Project 53 Lao People's Democratic Republic: Health System Reform and Malaria Control 61 Niexico: Hydroelectric Project 67 Morocco: Enhancing the Participation of Women in Development 75 Mozambique: Country Implemenitationi Review 83 Nigeria: Women in Agriculture 89 Pakistan: Sindh Special Development Project 95 Philippines: Integrated Protected Areas Project 103 Philippilnes: Comimiunial Irrigationi Projects 109 Republic of Yemen: Educationl Sector Adjustment Progr-am 117 CHAPTER III: Practice Pointers in Participatory Planning and Decisionmaking 121 Getting Started 2 I When to Star-t 122 Getting Governm11ent Support 122 Identifving Stakeholders 125 Who Is a Stakeholder? 125 [low to Identify Stakeholders 126 iii ITHl.E{11 BANK51 I).%l¢'T'(CllPATl').N 91I(';llti Involving Stakeholders 129 Building Trust 129 Involving Directly Affected Stakeholders 130 Seeking Feedback 131 Involving the Voiceless 132 Involving the Opposition 134 Participatory Planning and Decisionmaking 136 What Do Participatory Techniques Achieve? 136 Creating a Learning Mood 136 What Does the Learning Mood Produce'? 138 Strategic Planning 138 Tactical Planning 139 Task Manager Roles 140 Initiating 140 Facilitating 140 Participating 141 Sharing Expertise 141 Observing 142 Navigating 143 Nurturing 143 CHAPTER IV: Practice Pointers in Enabling the Poor to Participate 145 Learning from the Poor 146 Learning What Poverty Means to the Poor 146 Providing Incentives for the Poor to Participate 147 Facilitating Women's Participation 148 Barriers to Women's Participation 149 Seeking Women's Views 150 Working with Women's Groups 151 Building Community Capacity 152 Understanding Community Organizations 152 Building the Capacity of Community Organizations 154 Intermediary NGOs 155 NGOs as Intermediaries 156 Intermediary Roles 157 Understanding the NGO Sector 158 Identifying Appropriate NGOs 159 Bridging the Gap 161 Strengthening NGO Capacity 163 Financial Intermediation 164 Fiscal Decentralization 164 Social Funds 165 Sustainable Financial Systems 167 Group-Based Approaches 168 Building Capacity of Groups 170 Crafting Responsive Institutions 170 Characteristics of Responsive Institutions 171 Strengthening the Capacity of Government Institutions 173 The Enabling Environment: Legal Issues 174 Right to Information 174 iv C )N'r EN TI Right to Organize 175 Impact of Borrower's Financial and Other Regulations 177 APPENDIX I: Methods and Tools 181 Types of Methods 181 Using the Methods Well 182 Appreciation-Influence-Control (AIC) 185 Objectives-Oriented Project Planning (ZOPP) 187 TeamUP 189 Participatory Rural Appraisal 191 SARAR 193 Beneficiary Assessment 195 Systematic Client Consultation 197 Social Assessment 199 Gender Analysis 201 Glossary of Tools 203 APPENDIX II: Working Paper Summaries 205 .. > Participation in Country Economic and Sector Work 207 Participation in Poverty Assessments 211 * Participation in Agricultural Extension 215 Participation in Forest and Conservation Management 219 Participation in the Irrigation Sector 223 Participation in the Water and Sanitation Sector 227 Participation in the Education and Training Sector 231 Participation in Social Funds 235 Gender Issues in Participation 239 Participation and Intermediary NGOs 243 Designing Community-Based Development 247 Participation and Indigenous People 251 INDEX 255 Figures Figure 2.1 Problem Tree for Forest Protection 56 Figure 2.2 Objectives Tree for Forest Protection 57 Figure 4.1 The Participation Continuuimi 167 Boxes Box 2.1. Forest Protection Actions Excerpted from ZOPP Problem Tree 58 Box 4.1. Organizing a Participatory Poverty Assessment 147 Box 4.2. What Makes Community Organizations Work? 156 Box 4.3. Indicators of Participatory Effectiveniess in Intermediary NGOs 160 Box 4.4. Tips For NGO Assessments 161 Box 4.5. Desiggning a Social Fund 166 Box Al.1. AIC Conference in Colombia lIeads to Commitments and Action in the Energy Sector 186 Box A 1.2. Creating a Forum for Stakeholdler Communication and Innovation 188 Box Al .3. Uganda. Private Sector Development Workshop 190 Box A 1.4. Natural Resource Management in Burkina Faso 192 v Box Al1.5. Stakeholders Identity Institutional Requirements of a Community-Management Approach in Indonesia 194 Box Al1.6. Mali: Beneficiary Assessment in an Education Sector Project 196 Box Al.7. Zambia: Outlook from the Field 198 Box A 1.8. Morocco: Fez Medina Rehabilitation Project 200 Box A1.9. Analyzing Gender Issues in the World Bank's Country Economic Memoranda: An Example from Uganda 202 Box A2. 1. Participation in the Long-Term Perspective Study for Africa 208 Box A2.2. Brazil: Creating Government Ownership 209 Box A2.3. Benin: Confiontinlg the Diverse Interests of Stakeholders 210 Box A2.4. Broad Stakeholder Participation in Cameroon 212 Box A2.5. Policy Formulation in Peru 212 Box A2.6. PPA Highlights Potential of Women's Groups in Kenya 213 Box A2.7. Policy Impact of the Zambia PPA 214 Box A2.8. Integrated Pest Management in Indonesia 216 Box A2.9. Reaching Women Farmers in Nigeria 217 Box A2. 10. Using the Pmlvate Sector in Latin Amer-ica 218 Box A2. I 1. Contrasting Forest and Conservationl Management Approaches 2 19 Box A2. 12. Learning ftromi Indigenlous Practices to Increase Local Participation and Improve Forest Productivity 220 Box A2. 13. Women's Participation in Bank-Financed Forestry Projects 22' 2 Box A2. 14. Tenure and Access to Forests in Nepal and IndiWa 222 Box A2.15. Senegal: Creating Incentives for Farmer Participation 223 Box A2.16. Evidence fi-om the Philippines 224 Box A2.17. Mexico: Rapid Change in a Crisis Situation 225 Box A2.18. Nepal: Building on Traditional Strengths 226 Box A2. 19. Community Mobilization for Sanitation in Kenya 228 Box A2.20. The Risks of a Multi-Agency Approach 228 Box A2.2 1. Learning about Participation Models 229 Box A2.'). Tips for Task Managers of Water and Sanitation Projects 229 Bo x A2.23. Student and Commliullity Participation in Colombia 231 Box A2.24. Mobilizing ConnulitV Support to Primilary Schools in Pakistan 232 Box A2.25. Building BorTower Commitimient in the Philippines 232 Box A2.6. Participatory Research in The Gambia Uncovers Reasons for Low Enr-ollment and Highl Dropout 233 Box A2.27. Flexibility at the Regional Level: Mexico 236 Box A2.28. Tips for a Successful Social Fund Media Campaign 237 Box A2.29. Zambia: Beneficiary Assessment in a Social Fund 237 Box A2.30. Characteristics of Interiiediai-ies That Successfully Support Participation 238 Box A2.3 1. Involving Women in Policy Work 240 Box A2.32. Addressling Gender Issues in Poverty Assessments 241 Box A2.33. Gender Awareness in Project Design 241 Box A2.34. Enabling Women to Attend Meetings 242 Box A2.35. Indicators of Participatory Effectiveness in Intermiediary NGOs 244 Box A?.36. Mainstreaniming a Successful Participattory Process 245 Box A2.37. Encouraging NGO Partnerships 246 vi (ONTrENrns Box A2.38. Does Participatory Communiity-Based Development Cost More? 247 Box A2.39. Community Participation Yields Significant Results 247 Box A2.40. The Benefits Must Outweigh the Costs 248 Box A2.41. Checklist of Steps in Designinig Large-Scale Projects 249 Box A2.42. Shared Control and Benefits: CAMPFIRE in Zimbabwe 250 Box A2.43. The Politics of Indigenous Participation 252 Box A2.44. Community Participation in Bilingual Education 253 Box A2.45. Tribal Womenl and Forestry 253 Box A2.46. Investing in Capacity Strengthening 254 Tables Table 2.1. A Guide to Sourcebook Examples 13 Table 2.2. Example of Calculating Costs from Caseload Data 63 Table A. 1 . 1. Participatory Methods and Tools 183 vii FOREWORD A lthough I joined the World Bank less than a year ago, I have had the privilege of visiting many of our developing country partners in this short period. On every mission, I have made it a point to listen and learn from different in-country stakeholders. Based on my dis- cussions. I am convinced that their involvement and collaboration can not only make our development efforts more effective and sustainable, but can also fos- ter ownership and a sense of belief in the relevance and value of our programs- right down to the community level. This book presents the new direction the World Bank is taking in its sup- port of participation, by recognizing that there is a diversity of stakeholders for every activity we undertake. and that those people affected by development interventions must be included in the decision-making process. I personally believe in the relevance of participatory approaches and part- nerships in development and am committed to making them a way of doing business in the Bank. I therefore welcome The World Bank Participation Sourcebook which shares with Bank staff how they can support participatory approaches. To do this, the authors have turned to participation practitioners within the Bank who contributed their expertise and advice. It is this experience-its successes and frustrations-that is documented on the pages of this book. I commend Bank staff who are pioneering participatory approaches in the Bank's work. I encourage others to learn from the practical experience of their colleagues in order to produce better results on the ground, improve develop- ment efforts, and more effectively reach the poor. James D. Wolfensohn President The World Bank February 1996 ix PREFACE Thirouighi participa- articipation is a rich concept that means different things to different tion, we lost 'control' people in different settings. For some, it is a matter- of principle: for of the project and in others. a practice: and for still others, an end in itself. All these inter- so doinig gainied pretations have merit. The World Bank Pairticipationi Sourc ebook, how- Ownership anld ever, follows the definition of participation adopted by the Bank's Learnineg sustainiability. pre- Group on Participatory Development: cious things in our- business. Participation is a process through which stakeholders influence and -World Bank share control over development initiatives and the decisions Task Manager and resources which affect them. In writing the Sourcebook, we wanted to discover how this could be achieved. As a first step. we turned to ouI- colleagues, who contributed their experience and advice. It is tllis experience, both successes and frustrations, that we have tried to capture for Bank staff. The Sourcebook is not a policy documenit on participation; nor is it to be read cover to cover. It also does not seek to persuade anyone (other thani through ex- ample) to use participator-y approaches. It is primarily intendecl for readers who have already decided to use participatory approaches in their professional work. How you read the Sourcebook is up to you. We hope. however. that it strengthens your ideas about participation and how you do your work. We also hope you agree that the new ways of working presented here can improve projects, contribbUte to the development process. and help reach the poor. xi ACKNOWLEDGMENT S Pa articipatory approaches to development activities have been pioneered and practiced for many decades by community workers. government bureaucrats, nongovernmental organization (NGO) practitioners, and academics. Indeed, the World Bank is fortunate in being able to draw from the vast body of literature and path-breaking work of the individuals and institutions that have moved participation forward. We are most grateful to development colleagues outside the Bank. whose experiences and support we have relied on in learning how to apply participatory approaches in our work. The World Balnk Participation Sourcebook has been prepared by the Envi- ronmeent Department's Social Policy Division (ENVSP). It was written by a team led by Bhuvan Bhatnagar, Task Manager, and comprising James Kearns and Debra Sequeira. Valuable inputs came from Sandy Granzow, Sue Jacobs. Gillian Perkins. and Jennifer Rietbergen-McCracken. Cristy Tumale. Isabel Alegre. and Nona Sachdeva provided secretarial support. Pamela S. Cubberly edited the manuscript. Jennifter Sterling was responsible for the design and layout. The work was carried out under the general direction of Gloria Davis, Division Chief, ENVSP. Many other people inside the Worlcl Bank provided valuable contributions. advice, and comments. All told, more than 200 Bank staff and consultants contributed directly to the contents of the Sourcebook. As a result, the prepara- tion process has resulted in sharing, learning, and a sense of ownership on the part of participating Bank staff. The Sourcebook builds on the work of a Bankwide Learning Group on Participatory Development, which was led over the last four years by David Beckmann and Aubrey Williams and which drew on the contributions of count- less Bank staff. Case studies documeniting the Bank's experience with partici- pation were contributed by Michael Azefor, Ajit Banerjee, Neil Boyle, Ann Clark, Willy de Geyndt, Jacomina de Regt, Esther Gadzama, Sunita Gandhi, Scott Guggenheim. Charles Gunasekara, Abel Mejia, Makha Ndao, Maria Nowak. Yogendra Saran, Katrine Saito. Turid Sato, Bachir Souhlal, Denise Vaillancourt, and Thomas Wiens. Twenty steering committees composed mainly of Bank staff prepared back- ground technical papers for the Sourcebook. Primary contributors included Charles Antholt. Dan Aronson, Michael Bamberger. Aj it Banerjee, Anthony Bebbington, Lynn Bennett, Mark Blackden, Gabriel Campbell, Tim Campbell, Thomas Carroll, Nat Colletta, Chona Cruz, Shelton Davis. Jim Edgerton, John Frankenhoff, Michael Goldberg, Gita Gopal, Davicd Gow, Hans Jurgen Gruss. Malcom Holmes. N. Vijay Jagannathan, James Kearns. Anirudh Krishna, An- drew Manzardo, Alexandre Marc. Ruth Meinzen-Dick. Augusta Molnar, Deepa Narayan, Andrew Norton. Gillian Perkins, Richard Reidinger, Mary Schmidt, Jerry Silverman. Lars Soeftestad. Tova Solo, Thomas Stephens, Abeba Taddese, Ellen Tynan, Gabrielle Watson, and Willem Zijp. These background papers are being published as Environment Department Papers, and most have been sum- marized in Appendix 11. xii The Sourcebook was prepared with support from two of the World Bank's central vice presidencies-Environmentally Sustainable Development (ESD) and Human Capital Development and Operations Policy (HCO)-and with resources from the German Gesellschaft fur Technische Zusammenarbeit (GTZ) and the Swedish International Development Authority. Thomas Kuby of GTZ also provided substantive support. In addition to direct contributions to its contents, the Sourcebook has ben- efited from the comments and feedback of several hundred reviewers both in- side and outside the Bank. We have taken many of these views and insights into account in revisions. But given the sheer number of responses, it was im- possible to incorporate all of them. Fortunately, we do not see this document as the final word. Instead, we envision the Sourcebook as a "living" document, which will be updated and revised regularly to reflect our rapidly growing experience in this area. In future editions, we also hope to incorporate contri- butions from outside the Bank-from donors. NGOs, our government coun- terparts, and other participation practitioners, all of whom have valuable expe- riences of their own from which we can learn. xiii ACRONYMS ADP AA riculturlal Development Project AIC Appreciation-Influence-Control AIDS Acquirecd Immune-Deficiency Syndrome BA Beneficiary Assessment CAMPFIRE Commllunal Areas Management Programme for- Indigenous Resources CDEEP Comite Departemental de suivi d'Execution et d'Evaluation des Programmes du Secteur de la Sant6 CEF Caixa Economica Federal CESW Country Economic and Sector Work CFE Coniisi6n Federal dc Electricidad CIDP Communal Irrigation Development Project CIR Country Implementation Review CNEEP Comit6 National de suivi d Execution et d'Evaluation des Programnmes dIi Secteur de la Sante C(OGEC Cornite de Gestion de la Commune COGES Comite de Gestion de la Sous-prefecture DENR Department of Environlmiient and Natural Resources ENVSP Environment Department, Social Policy Division ESD Environmiientally Sustainable Developmenit Vice-Presidency ESMAP Energy Sector Management Assistance Pro-ram ESW Economic andc Sector Worlk EXPACO Executive Planning andl Action Coordination Organization FACUI Federal Agricultural Coordinatinc, Unit FENACOAC Federaci6n Nacional de Cooperativas Agricolas de Ahorro. Creditos. y Servicios Varios FONCODES Fondo Nacional de Compensation v Desarollo FPC Forest Protection Commllittees GA Gender Analysis GDP Gross Domestic Product GOS Governmenit of the Sindh GTZ Gesellschaft ffir Technische Zusammenar-beit HCCO Hunuai Capital Developmenlt and Operationls Policy Vice-Presidencv HIV Humllani Immllunodeficienicy Virus IA Irri-ation Association ICC Indigenous Cultual-ll Community IDA International Development Association IFAD International Fund for Agricultural Development INDAP Instituto NacionaLl de Desarollo Agropecuario IPAS Integrated Protected Areas System IPM Integrated Pest Management KWSB Karachi Water and Sewerage Board xiv LogFRAME Logical Framework LPDR Lao People's Democratic Republic LTPS Long-Term Perspective Study MOH Ministry of Health NGO Nongovernmental Organization NIA National Irrigation Adminiistration OOPP Objectives-Oriented Project Planning O&M Operations and Maintenance PA Poverty Assessment PAMB Protected Areas Management Board PPA Participatory Poverty Assessment PPM Project Planning Matrix PRA Participatory Rural Appraisal PSM Public Sector Management RDF Rural Development Fund SA Social Assessment SARAR Self-esteem. Associative strength. Resourcefulness. Action planning, and Responsibility for follow-through SCC Systematic Client Consultation SSDP Sindh Special Development Project TM Task Manager TWUWS Transportation. Water, and Urban Development Department. Water and Sewerage Division UNICEF United Nations Children's Fund VCC Village Credit Committee VCF Village Credit Funld W&S Water and Sanitation WIA Women in Agriculture ZOPP Zielorientierte Projektplanung (Objectives-Oriented Project Planning) xv THE PROJECT CYCLE AT A GLANCE I _M M I Km_KINII | X0 '00IPwNABN: 0 | OBorrower; primary Joint Bank; primary Joint Bank: advisory _ o Borrower: advisory Source: Th1e Task Manager's Handbook, World Bank, 1995 xvi INTRlODUCTION It is niot that ii*e - Y e have written the Sonurcebook for World Bank Task Managers- should sinplpv seek and those who work with them-to help them support participa- newv and(1 better waYs tory processes in economic and social developmenit. fior maanaging societv ,T The Souirrcebook is not a policy document on participation, nor the econ7oivi .v an d the is it to be read cover to cover. It also does not seek to persuade anyone (other than wvo rld. The point is through example) to use participatory approaches. In prepaling it, we are assum- that wve shouild ing that readers have already decided to use participatory approachies in their fundamen2tally'v chalnlge professional work. The Sourcebook has been formatted so that busy people can howv wve behave. pull it off the shelf, consult the table of contents, and quickly tum to the section they need. Chapters are set up in modular form, with reference headings that -Vaclav Havel should allow the reader to dip in and out of the document according to individual interest and need. Readers may also wish to supplement the contents of the Soircebook by reading more detailed information on1 methods and tools (Ap- pendix I) or the background paper summaries (Appendix II). AV IIAT' IS9 N' IN i T (H)E SO (I )OB(O? Chapter I: Reflections on Participation Chapter I brings together the key themes and common elements of participa- tion. It also contains our reflections on what we have learned from the ex- amples in Chapter II. We explore what participatory development is and what it means to use participatory processes to plan and implement Bank-supported operations. We also discuss the importance of using participatory approaches in reaching the poor. Although Chapter I is not an executive summary, it does invite you to explore the cases that follow. Chapter II: Shared Experiences This chapter contains examples, presented in the first person. of how World Bank staff used or helped others use participatory approaches in Bank-sup- ported operations. We identified these examples through the work of the four- year Bankwide Learning Group on Participatory Development. In making se- lections, we attempted to cover a variety of countries, sectors, and types of activities. We recognize. however, that we have not even come close to captur- ing the vast, rich. and varied experiences in participatory development. even within the Bank. In compiling these case studies. it became evident that each example is context specific: therefore, applying what you find useful in these examples to other situations will nio doubt require some interpretation and adaptation. You may wish to browse through several of these cases to see what your colleagues are doing before settling on a final approach. [rHI-i NV O1RIA) BANK PAR'TIUI'I('IOI'\IION SMIRVEIIOOKI Chapter III: Practice Pointers in Participatory Planning and Decisionmaking Chapter III draws largely on the experiences presented in Chapter II to guide the reader through the various steps of participatory planning and decisionmaking. These practice pointers provide answers to questions Task Managers may have about using participatory approaches in Bank-supported activities. Given the context-specific and multidimensional nature of partici- pation, the practice pointers give the reader a menu of options for each stage of the participatory process based on actual Bank experiences. This leaves read- ers free to decide for themselves which examples are most relevant to their own situation and adapt the ideas accordingly. Chapter IV: Practice Pointers in Enabling the Poor to Participate The practice pointers in Chapter IV focus on one particular group of stake- holders-the poor-and some of the common barriers to their participation. Chapter IV presents the experience of Bank staff and their government coun- terparts and shares approaches to strengthening the financial and organiza- tional capacities of the poor. It also discusses ways of creating an enabling environment for the participation of all stakeholders, including the poor. Appendix I: Methods and Tools This appendix describes a range of participatory methods, some of which have been used in the Chapter II examples. We have borrowed techniques freely from those who "invented" them and have modified them, when necessary, to fit into the context of Bank-supported operations. Appendix II: Working Paper Summaries Steering committees composed mostly of Bank operational staff prepared back- ground papers on participation for the Sourcebook. The eighteen papers fall into three categories (a) Bank-supported activities and operational tasks, (b) sectors, and (c) cross-cutting issues. Appendix II contains summaries of these papers and their main findings for readers who want to explore a specific area or issue in greater depth. 2 C{HAPTEIR I REFLECTIONS: WHAT IS I~ PARTICIPATION? Participation is a ome readers who know the World Bank well will note that the ex- process through amples presented in Chapter II differ from their notions of how the which stakeholders Bank normally goes about its work. This difference could be either in inifluence and share style or presentation. In our opinion, however, it is not a matter of control over style but rather the "stance" adopted by the sponsors and designers in organiz- development ing and carrying out the activity. Also different is the explicit recognition and initiatives and the importance attached to description of the processes used to plan and imple- decisions and ment development activities. resources which The behavior of those who sponsored and designed the development ac- affect them. tivities described in Chapter II illustrates what we mean by "stance." For Bank activities, the central government is usually, but not always, the sponsor. In the -Participation examples included here, the sponsors and designers take a stance that places Learnng Group them inside the local social system being addressed; that is, they demonstrate Final Report a willingness to work collaborativelv with the other key stakeholders in carry- ing out the steps required to prepare a project for World Bank financing. Spe- cifically, they do the following: * Identify the strengths and weaknesses of existing policies and service and support systems; that is, the stakeholders conduct the analysis and diagno- sis collaborativelv. I Decide and articulate what is needed; that is, the stakeholders collaboratively set objectives. * Decide in pragmatic terms. directions, priorities, and institutional respon- sibilities; that is, the stakeholders collaborativelv create a strategy. * Develop or oversee development of project policies. specifications, blue- prints, budgets, and technologies needed to move from the present to the future: that is, the stakeholders collaborativelv formulate project tactics. These steps are carried out for all Bank-financed projects, be they tradi- tional projects or projects planned in what we call a "participatory" way. But the key characteristic of a participatory approach is the collaborative stance the project sponsors and designers take in carrying out these steps so that stake- holders inzfluence and share control over the decisions that are made. 1':x' I: I1141 NA. I, 1' E 1 '1.1'1' '1' \ I N( I:'1 Bank-supported projects have in the past usually been prepared in a different manner. We call this more traditional approach the "external expert stance" to distinguish it from what we are calling the "participatory stance." In the external expert stance, the same activities-setting objectives, diagnosis, and so on-are undertaken to prepare a project for financing. The difference is that in the exter- 3 'THIC WoI1r.) WOL \ANI( I'PlA'I'rTll'.'I'ITN S(II1('ICI4)(JI( nal expert stance, the project sponsors and designers place themselves outside the local system they are investigatino and about which they are making deci- sions-even if they happen to come from or live within the local system. Usually. these exterinally positioned sponsors and designers are substan- tive experts in the subject matter they are investigating. Thev deterillille what the project will look like. They view other stakeholder-s mainily as sources of informationi and opinions. Their- expert role" incltides collecting hinfolrilatioln and opinions from the other stakeholders. making(T sense out of what they col- lect, and converting all of it into a development strategy or project. The external expert stance is not a World Bank inilovation but an inhel-elit ancd deeply embedded part of our understanding of how to produce results and the role one plays in producilng them. LiS'T'EINING( AND) (oNFlm'1,TA'l'I)N Even when working in the external expert stance. Bank staff. their government colleagues, and the consultants they hire do consult with and listen to people in the local system. Admittedly. in the past. sponsors and designers maya not have always listened to all the people or consulted poor and disadvantaged mem- bers of society, but this is changing. Concer-ted efforts are now being made to consult and listen to all concerned stakehiolders. The emphasis of the Bank's Afi-ica Region on systematic client consultation is an example of the changes underway. The inclusion of beneficiar-y assessments in poverty assessments is another example. We fully support and advocate consultation and listening-especially with the poor and disadvantaged. But we do not equate thils with the process called 'participation." Instead, we recoalnize consultationi and listening as essential prerequisites for participation. because, no matter how good the sponsors and designers are at consultation and listening, what is still missing is leirning on the part of the people in thle local system. A person who is being '"listened to" or "consulted with" does not learn nearly as muchi as the personl doing the listening and consulting. By focusing attentioni on "who needs to learin what" in a project and revis- ing our understanding of how learnino occurs. we gain insights into the rea- sons why the behavior change dimensionis of Bank-financed projects have run into so many problems. We are also aided in our understanding of what project design changes are needed to enable social change. SOiA)' 1. I-EA.RNIN-(: In the external expert stance, experts design strategies and projects that require behavior changes on the part of people within a given system. Then they tur n these preset specifications over to people who are accustomed to behaving in a significantly different way and have not learned what the experts have learned about lowt! and why! their behavior needs to change. The implementation chal- lenge that arises in such situations hinges, as far as we can tell, on the issue of learniing. Specifically, how can the people within a local system learn the value and rationale of new social behaviors specified by an expert'? Behind the well-institutionalized practice of specifying new behaviors in reports and other texts is the belief that people learn by reading informilation about a reality external to them. Under this assuniption, it is logical to think that 4 presentinig people with a plan is enough to enable them to take new actions effec- tively. And if the actions taken turnl out to be ineffective in practice. then we believe it is necessary to go back and reconstruct our strategy or project or plan. But. over time, development experience has shown that when extenlal ex- perts aoloec acquire. analyze. and process information and then present this information in reports, social change usUally does not take place: whereas the kind of "social learning" that stakeholders generate and interilalize during the participatory planning and/or implemilenltatioln of a developmenit activity does enable social change. As indicated in the Chapter IT examples. Bank Task Man1agaers are increas- ingly supporting processes in whichi the stakeholders themselves generate. share. and analyze inforimiationl: establish priorities: specify objectives; and develop tactics. The stakelholders contr-ibute their experience and expertise-for instance. the experienlce of what it is to be poor or female or the expertise to develop specificationis for a new road or edLicational program. The stakeholders learn and develop a joint purpose together. !-illCIAl, I NVENT'1ION This social learning is ftollowecl by "social inventioni." The stakleholders invent the new practices and institUtional ariangem11ents they are willing to adopt. In the process. they individually and collectively develop insight and understanld- in- of the new behaviors required to attain the objectives they set. Having all stakeholder-s work. learn. and invent together reduces the need for the transfer of expeit learning ftromi one group of stakeholders to another. The Task Managers of the case studies in Chapter 11 say that local people often create the most importanlt parts of the projects. Task Managers make a point of distinguishing between what seem to outsiders to be good ideas and what the local stakeholders invent as practical and expedient ways to get thingys of value done. The implication is that experts standing outside of the local systemn often miss possibilities and opportunlities that come naturally to its memiibers. The Chad Education Task Manager. for example. poilts out that he had never thoughlt about parent education as an importanit means of inprovilng child education until the parents them1selves proposed it. Again. this seems sensible. How cani experts positioned outside the local system figure out what the people in it are willing and able to change'? More important, how can they know the speed and depth with which the local stake- holders are willing to make these changes' If behavioral and organizational chiangies are necessary, theni the people whose behavior has to change should create the change and commlit themselves to it. The absence of sufficienlt "commitmiienat" in many of the projects the Bank finanices conies, we believe, mainily from the external expert stance, in which small groups of experts ask the other stakeholders to commit themselves to a project the experts have designed. Even if these stakeholders do so. they often have not learned enoughi to understanld fully the commitmenlt they are being asked to miake. Nor have they learned enough to judge their ability individu- ally and collectively to fulfill it. We need to be clear that commitmenits made ulider- such circumstanlces cannot be relied on. 5 ITHE4 WORIAx1) BA4NE ISA1RTICIPATIIFMIN .SOU1 1EA 1 01i(( Through the participatory process, however, people can make informed commitments, and, by observing the participatory process, assessments can be made by Bank and government staff, among others, about the presence or ab- sence of the commitment necessary to ensure sustainability. In Chapter II, we see how such a network of support and commitment generated by participatory processes can keep a project going in the face of problems. In the Benin Health example, a strong network of local health com- mittees was formed during the initial design phase to set the objectives and strategies of the project. This network was able to keep the project going as officialdom continually changed-with four new health ministers in fourteen months and four different notions about what would be good for the people. This is because the process that produced the project was inclusive from the start, therefore gaining broadly based support from all concerned. Of course, more than commitment is needed. Economic, financial, and technical arrangements must be in place to deliver on these commitments. But if these arrangements exist only on paper or in agreements made without the understanding of those stakeholders who must implement and sustain the project, little will be accomplished. -}OPrr1,AP, N-[,.IR!:tTs S;r.l;,KEU10.DERI PARs1TWulSPAT-MllN When we began preparing the Sourcebook, we assumed we would be writing about "popular" participation, that is, participation of the poor and others who are disadvantaged in terms of wealth, education, ethnicity, or gender. It seemed obvious to us to focus on the participation of these poor and disadvantaged groups because, although often the intended beneficiaries, they are usually without voice in the development process. But, as we started documenting the Chapter II examples, we noted that apart from poor and disadvantaged people who were directly affected, a range of other stakeholders for Bank-supported operations existed. These stakeholders could affect the outcome of a proposed Bank intervention or were affected by it; because of this, their participation was critical. In addi- tion to those directly affected by the project, these stakeholders include the following: * Borrowers, that is, elected officials, line agency staff, local government officials, and so on. Governments representing borrower member coun- tries are the Bank's most significant partners in that they are shareholders as well as clients and are responsible for devising and implementing pub- lic policies and programs. * Indirectly affected groups, such as nongovernmental organizations (NGOs), private sector organizations, and so forth with an interest in outcomes * The Bank, that is, Bank management, staff, and shareholders We also noted that, in our Chapter II examples, sponsors and designers of development activities had to work with and through powerful stakeholders to serve the needs of the poorest people. Attempts to bypass powerful stakehold- ers often resulted in opposition from them; this opposition usually compounded the problem of getting anything useful accomplished. For these reasons, we shifted our focus from popular participation to stake- holder participation-the participation of all relevant stakeholders in the de- 6 velopment process. This is a decision that we have made consciously and that will have important implications for the way the Bank works. m But although we argue that all stakeholders must work collaboratively to advance development projects, we recognize that different stakeholders have different levels of power, different interests, and different resources. For these reasons, we also recognize that arrangements are needed to level the playing field and enable different stakeholders to interact on an equitable and genu- inely collaborative basis. Appendix I discusses the methods and tools that can be used for these purposes. Achieving consensus and reconciling key stakeholder differences is not al- ways easy; it may entail risks, such as generating or aggravating conflicts among groups with competing interests and priorities. Dealing with conflict often re- quires an understanding of the underlying societal interests inhibiting consensus and putting into place mechanisms for dispute resolution and negotiation. h'F'.kc'II1N-(: [,HI,; Poo"> As the Sourcebook examples illustrate, the poor face many barriers on a num- ber of different levels that prevent them from having a real stake in develop- ment activities. Reaching and engaging the poor requires special arrangements and efforts by the sponsors and designers that go beyond those used to involve government officials and other relatively powerful stakeholders in participa- tory processes. Who Are the Poor? The poor include people in remote and impoverished areas. Women and chil- dren make up a large proportion of the very poor, which also includes people marginalized by virtue of their race and ethnicity as well as those disadvan- taged by circumstances beyond their control, such as disabilities and natural or man-made disasters. Some of the poorest people live in countries character- ized by weak governments and civil strife. Because the poor are generally less educated and less organized than other more powerful stakeholders, because they are more difficult to reach, and be- cause the institutions that serve them are often weak, interventions targeting the poor must often be small, context-specific, and resource-intensive. Learning from the Poor Task Managers, some of whose experiences are cited in Chapter 11, are learn- ing a great deal about reaching the poor and engaging them in their own devel- opment. Understanding how to do this calls in part for "bottom-up" approaches that begin by involving the poor and learning from them about their needs and priorities. When we take a look at the types of methods and approaches that work best at the field level for engaging and enabling the poor to participate, we see that these are quite different from the set of techniques used when relatively sophisticated and powerful stakeholders are involved. The Chapter II examples indicate that stakeholder workshops and other planning methods, such as Ob- jectives-Oriented Project Planning (ZOPP)* and Appreciation-Influence-Con- trol (AIC) (see Appendix I for descriptions of both), tend to work well when * From the Gernman term "Zielorientierte Projektplanung." 7 ITHl; \% (ORIA) BA.NK PA '.RTI( S0tT"I() F ('l.X1:J3(>)1;K the objective is to gain ownership and commitment on the part of stakeholders such as governimlent officials and staff of internationial agencies. These examples also demonstrate that workshops can be structured to include the views of the poor, but this requires conscious and careful planniniig. But, when the primary objective is to learn from and collaborate with the poor, a different kind of dynamilc is involved that calls for a different approach to facilitating participation. These methods should engage poor people and build their confidence, knowledge base. and capability for action. Visual meth- ods that are carried out in the local setting. using local materials and calling on local knowledge and expertise as inputs into project design are often used to good effect. Building Capacitv to Act Getting the participation of the poor involves a lot more than finding the right technique. It requires strengthening the organizational and financial capacities of the poor so that they can act ftor themselves. In searching for ways to build local capacity. we found it useful to think in terms of a continuulil along which the poor are progressively empowered. On one end of' this continuum, the poor are viewed as beneficiaries- recipients of services, resources. and development interventions. In this con- text, communitv organizing. training, and one-way tlows of resources through grant mechanisms are often appropriate. Although much good work has been donie in this mode, the provision of bene'fits delivered to people in this way may not be sustainable in the long term and may not improve the ability of people to act for themselves. As the capacity of poor people is strengthened and their voices begill to be heard, they become "clients" who are capable of demanding and paying for goods and services from governimlenit and private sector agencies. Under these chianged circumstanices, the mechanisms to satisfy their needs Will change as well. In this context, it becomes necessary to move away from welftare-ori- ented approaches and focus rather on such things as building sustainable. mar- ket-based financial systems: decentralizingi authority and resources; and strenigtheninig local institutiolis. We reach the far end of the continuum whenl these clients ultimately be- come the owners and managers of their assets and activities. This stage ranlks highest in terins of the intensity of participation involved. A questioni we asked ourselves while preparing the Sourcebook was. how can we support and pre- pare poor people to own and milaae assets and activities in a sustainiable mall- ner? In part, we found out that the more poor people are involved upstreamii in the plannilig and decisionmaking process, the more likely they are to oNvil a development intervention, contribute to it. and sustain it: this alone, however. is not sufficient. Constraints exist at the policy level that impinge on the rights of people to organize. access informationi, engage in contracts. own and maniage assets, and participate fully as members of civil society. Efforts are needed. therefore. to create an enablinig policy environimienit that allows all stakeholders-especially pooI and disadvantaged ones-to be part of the definition we noted at the out- set. They too must be enabledi to: ...influenice and share control over development initiatives and the de- cisions and resources which affect themil. 8 CHAPTER II SHARING EXPE,RIENCES In prepar-ing, the Son rcebook we discovered that the best way to learn about participation is to experience it direct/v. The second best way is by seeing, what others have done in the name of participation. talking to themn and seeking their guidance. Thits chapter shares the experiences of individu- als who SuIpported par-ticipatory approaches in Bank operationial activities. We have documnented these examiples to hielp Task Maniagers anid othier inlterested parties learni abouIt participationi fromi the pr-actical experienices of thieir col- leagues. They are presented in the first-person narrative. most often but not always by Banik Task Managers. the people with overall responsibility' for- pro- cessing Bank-supported projects and policy work. No tE~"'(''MoI We do niot offer these examiples as perfect miodels of how, for examiple. to plan a development project in a participatory manner. In fact, we believ'e that no -perfect m-odel" for participationi exists. Thie form- participation takes is highly' inifluenced by the overall circumnstances and the unique social context in which action is being taken. Whatever our initial intuition might have suggested. we observed that par- ticipation has m erany faces and ways of showing up in the multidimensional field of developh ent-a field that embraces mian different types of historical, political. CultUral. sectoryalh and institutional settiings. ~'i[L. I'irTIO M': LE'AHNN'D We recoglnize that the Banik is in the process of learning how to introduce participatory approaches into its work, especiall' friom those practitio- 9 TIH1E AN( IRA1.1) CNIIP A AION SOURC11 I 10i )( ) Ii ners in developing countries who have been practicing participation for many years. Because the Bank has a great deal to learn about using participatory ap- proaches, you may wonder why we have not gone outside the institution in search of examples. The reason is that, at this initial stage, we feel the Sourcebook will be more useful, relevant, and convincing to Bank staff and managers if it is based on actual Bank staff experience with participatory ap- proaches. By highlighting current Bank practices, the Sourcebook demonstrates that participation is not only possible but already underway in many Bank- supported activities. We hope to include examples from other organizations in future editions of the Sourcebook. SEl.ECTION B1A1ES We selected the following examples from those we came to know through the work of the Bank's four-year Learning Group on Participatory Development. We have included examples of economic and sector work, investment projects, and a country implementation review-all of which were conducted in a par- ticipatory manner. We acknowledge two limitations in the range of examples presented in this chapter. The first is that more of the examples are about participation dur- ing preparation and planning than during implementation. This does not mean we think the former are any more important than the latter. In fact, we want to be clear that participation is an iterative process that can and should be re- peated at every stage of the Bank's project cycle. This "planning bias," how- ever, does reflect that the Bank has only recently made an institutional com- mitment to supporting participatory approaches and most of the examples from which we had to choose are still in the "honeymoon" phase of the project cycle. Wherever we could, we have tried to include examples of participation during implementation. But beyond this, we will have to wait, watch, and docu- ment our experience in this area as it grows. Perhaps more important, we have found that not all projects can be planned in detail from the outset. Many projects deal with stakeholders or sets of prob- lems for which the exact modalities for achieving the set objectives are un- known at the start. These projects require flexible and iterative planning that can respond to changing situations and new information as it becomes avail- able. Such projects need to be approached in an exploratory mode, in which future stages are planned in light of the outcome of initial interventions. We have selected several examples because they illustrate how Bank Task Managers adapted a "process" approach for such operations. This entailed (a) piloting activities, (b) undertaking design concurrently with implementa- tion, (c) introducing flexible targets, time frames, and funding mechanisms, and (d) encouraging other changes in the existing project cycle and operat- ing procedures. These examples also document a significant shift in stance from emphasizing mechanistic "things" to emphasizing people, processes, and continuous learning. A second limitation of the Sourcebook lies in the preponderance of ex- amples that deal with Bank-financed projects as opposed to policy work. Again, this reflects the realities of Bank experience with participation to date. We hope to add more examples of participatory policy work as our experi- ence grows. I0 SH.'%I?IN(; XPERIENCU;z:5 1: THE, INLkNY F.x( ;s ()I' FPARTIC'IPATION In selecting these examples, we have tried to reflect the impressive diversity of participatory practices across countries, sectors, and types of activities. For instance, we have included at least one example from each region of the Bank. We have also tried to represent a range of participatory techniques currently being used in Bank-supported operations. We are well aware, however, that for every example we included, many other equally innovative and instructive cases probably exist. We have been told so, in fact, by dozens of Bank staff who are working in a participatory manner in countries, sectors, or activities that have not been included in this edition of the Sourcebook. INrEN,IIv t-I' i'lPA'r ici.r(rION Another important criterion for selection was the level or intensih of participa- tion illustrated by the examples. This is important because participation is an elastic term that can mean different things to different people in different institu- tions. All the examples you will read in the Sourcebook are situations in which the relevant stakeholders have engaged in collaborative decisionmaking as op- posed to listening and consultation. In making this distinction, we are emphasiz- ing the point that participation must involve some degree of shared control. ' INI)IN(; Yot: WAY THIHOI 1( '[H TH SotEl BOE1 I0i The map and table on the following pages will guide you to the examples most appropriate to your needs. You may wish to read a few of the examples repre- senting the sector or region in which you work, or you may wish to choose examples based on participatory techniques you have heard about or the type of Bank activity in which you are involved. However you choose to start, you will probably find that reading an example will stimulate your interest in reading others and drawing your own conclusions about what works and what does not. 11 ,X ( ITII)I,: 'I'() )t ' 1) ('EI1; I E X.,ANI I,E: TABLE 2. 1 (tIDEI1, To SOLTR('EBO)IK EX.AmPt,ES Stakeholders Community Country Sector Activity Technique Starting Point Involved Organization Albania Rural Credit Project Generic Preparationi G. 1, D Village Credit Committees Benin Health Projecl SW Preparationi G. 1. D Village Health Commliittees Brazil Water/Urban Project Generic Three years into G. 1. D Homeowner Implemiienitationi Condominillrns Chad Education Project ZOPP Preparationi G. I Parent-Teacher Associationis Colombia Energy ESW AIC Start of the Study G. I NA Egypt Natural Resource Project PRA Preparation G. I. D Community Management/ Resource Agriculture Managemenlt Committees India Forestry Project ZOPP Preparationi G, 1, D Forest Protection Comlmllittees Lao People's Health Project SW Mid-way thioLugil G NA Democratic Preparation Republic Mexico Hydroelectricl Project Generic Preparation G. I. D NA ResettleIlemeit Morocco Womell-ini- ESW PRA Beginnilg of G. I. D NA Development Study Mozambique Cross- CIR SW Start of the G NA Sectoral Review Nigeria Agriculture Project SW Preparaltioni G. I Womeni's Groups Pakistan Public Sector Project Action Preparationi G NA Management/ Researcl Urban Philippines Biodiversity Project Generic After Appraisal G, 1, D Comimlunity Manlagemiient Boards Philippines Irrigatioin Project Generic Before Preparation G. 1 D lITigation Associations Yemen. Rep. of Educationl Sectol- SW Preparation G Locatl Schools Adjtistilmeint Progrlam s Legend: NA = Not Applicable CIR= CountrY Iniplenmenration Rev iewi ESW = Economic and( Sector Wor-k G = Government Stakeholder.s I =n(irec t/v A'ftcted Stakeholders (NGO.Y, interinediarY orll:'izationls. technical bodies, and so on) D = Direct/v Afft7cted Stakeholders (tlhose wh'l1o stand to benelit oF losef tion Bank-supp(orted operations) Techniques: A IC = Appr71 eciationU-In -f7Pem1( e-Conit1Yol PRA = Participatorl Rural Appraisal ZOPP = Oh/jec tives-Oriented Project Plannin1g SW = StakewiderWo rkshop i 3 YEMEN, REP. OF 1 EGYPT Once governme-nt education officials fo- cus on the quality of education instead of Bedouin representatives join govern- ment officials and consultants on. a number of classrooms, teachers, and project design team. Planning sessions books, attention turns to the local schools. and PRA held in Bedouin comnmunities. Workshops are used to givevoice to head- Separate planning sessions are held for MOROCC masters and mistresses, local schools are wepat e d for mowa ~~~~~~~~~ ~ ~ ~ ~ ~ LAO P.D.R. >_ 1 ;11()I 1~ port department within the RDF to help farmers use the Regular district seminars and workshops have done a lot to right technology arid find markets. The upcoming $12 promote dialogue. hininnation sham-i ng, and learning among million project will iniclude the creation of 125 additional project participants from different areas. The Albainiani con- 'village credit funds" throughout Albania. sultant. who now heads the RDF's credit departmenit, orga- nizes training seminars every two to three moniths, which Ti-lll; :,ND I(INEY bring together VCC memilbers from various districts. These typically two-day workshops are held in a local school with The participaitor-y preparation of the project actually took the RDF covering the costs of transport, food, and accomii- little time. The first preparation mission was in August modation for the participants. During these seminiars, rep- 1992. and the project was passed by the Bank's Board in resentatives of the various VCCs make presentations on the Februar-y 1993. A consensus existed among relevant Bank way the credit program runs in their villages. They share staff that the project was needed quickly, so they agreed new ideas and experiments they are undertaking and dis- that the pre-pilot phase and experience was equivalent to cuss the obstacles and problems they face. a project appraisal. Supervision of the project, however, For example, one VCC went beyond basic credit and has been time consuming. This may partly be due to its started experiments to mobilize savings by soliciting con- participator-y nature (which makes supervision more com- tributions from its members. They received help in setting plicated than slimply going to a ministry with a check- up the necessary procedures firomii theil- district credit of- list), but it also has to do with Albania's transition ficer. I was pleased to leamn about this initiative, because we economy and the fact that RDF has financing from five had been planinling to introduce a savings component in the or six donors. next phase of the project in 1995. We have found, however, As for the costs of preparation, our experience has that introducirignew ideas andconcepts is mucheasierwhen been that participatory preparation costs less than doing they come from the people themselves. After all, when lo- expert studies. because participation involves local people cal people themselves invent practical ways to get things of riather than many foreign consultants. As mentioned be- value done, they are more likely to commit themselves to it. fore, the pre-pilot was paid for by the United Nations Now that the idea of savings mobilization has been planted Development Programimille and Fr-6res d'Esperance. The by o*ne VCC, it has proved contagious, spreacling among aniount allocated for the credit componenit during the pre- communities as other VCCs are eager to introduce the con- pilot phase was $20,000. The project impact study cost cept in their villages. Local people are starting to really feel about $60,000, most of which was used to hire a foreign that they own the system and. as a result, are willing to take consultant. This was paid out of project funds. The dis- on greater responsibilities and risks. trict workshops were very inexpensive. 24) A 1, BA N IA: I? r R.,,i,IN 1(\- u:l l'\ .11A.1.1, ; v 1\'F'() N O)N HK:'FI.E (-rTiN- precise concept in the Albanian context. In dealing with procurement and disbul-sement. I was shocked to discover An added twist to this project is that we are operating in that when local comimlunes ordered supplies from a state an Eastern European envir-onimient. Believe me when I enterprise, the standard procedure was to send a blank say that it is a completely different and often difficult check. which would eventually be returinedl three months context in which to work. In this project. we had to in- later with a fixed price filled in by the state. After so troduce western management concepts, but. even after many years In a centrally planned systemn, competitive two years of repeated interaction and training, it is clear bidding and western accounting practices are just not that the Albanians are still not comfortable with these something people can relate to easily. concepts of management and often insist on doing things Tryinig to apply Bank regulations in such a situation their way. For example. our team really took for granted is complicated at best. As a Bank Task Manager, this the tradition of writing down and documenting proce- meanis you have to be flexible, be willing to compromise dures and activities. Albanians, however. have an "'oral" andi adapt, and learn how business is done "Albanian culture, they don't understand our fixation on preparing style." This understanding does not develop overnight. agendas or reports. For them, this information is stored but over time a process of cross-fertilization occurs in in their heads, and they much prefer to tell you about it which each side learns from the other. I think this is the than write it down. way it should be. Similarly, when it came to recruitilng local stafl'for I also think the reason a great many of these the project, the Albanians were baftled by our request projects fail is that we try to interject our style of do- that job descriptions and selection criteria be drawn up. ing things into a context that has a completely differ- Furthermore, they were surprised when we began ciloos- ent history, tradition, and mode of interaction. The ing candidates based on their professional qualifications. reason the Albania Rural Poverty Alleviation Pilot Again, we had taken this for granted but soon realized project has worked well and has progressed quickly is that this was not the Albanian way. Instead, people are because we started small. included local people. and hired on the basis of their "biography"-in other words. then scaled up over time. This has allowed people to according to the political history of their family over the get used to the project, understand it, feel comfort- last two generations. So whether one's uncle was a good able with it. and claim it as their own. Of course, this communiist or one has any relatives in prison is given is not possible for all projects: for example, you would more importance than professional background. not build a dam with NGO seed money and piloting. I am continually reminded that much of what we take But for this type of rural development project. the "pro- for granted simply does not always correspond to any cess approach" has really worked well. BEININ HEALTH SERVICES DEVEILOPMENT PROJECT MichaelAzefor, Task Man77ager of the first Beniin Heailth Services Developlment Pro'ject, was appI)ointed as the Bt-llk's r-esitleiit representative in Ben in in October It 1995. Denise - Vaillancourt is the Task Mtitnager of tile second pro-tect I n 1971- Benin became a leading inlovator in primary health care. when it designed-without outside help-a unique, state-of-the-an-t primary health care system involving rural populations and covering the entire coulitry. By 1986, however. Benin's primary health care ranked among the poorest in Africa. I D)E':N'TIF'I'C'T'ION N1 lSIION When the government of Benin asked the Bank for help in this area, we sug- gested we start by finding out why the original strategy failed. In February 1988 1 led an identification mission accompailled by a Bank healtih maniage- ment specialist and an architect. As agreed in advance of our departure, we joined forces with staff from Benin's Finanice, Planning, Health, and Rural Development Ministries. These were the appropriate tgovernment stakeholders who had to work together to provide primary health care. Although somile were a bit skeptical. our governimienlt colleagues agreed that. to learn more about the problems in the primary health care system, we had to begin with the local health centers and communities they serve. We decided to visit three districts that were the focal point of some previous project preparation work to see to what extent we could build on what had al- ready been done. Before arriving in a district. we requested that an open meeting be arranged. The purpose of the meeting, we said. was to find out what the people of the community expected from government by way of primary health care and what they were willing to do themselves to have the kind of health care they) wanted. All told, we held eight meetlings that were attended by representatives of some thirty-two villages. Sometlimes. the entire village showed up. 23s 'i'Hl: NO ()RIA) HA.VNK PARTIC1(I PATlIO)N S(OURC( Ai; 01(1 PAR'I'I('PI'ATORY DIS'I SIONNS all problems were written up on sheets of flip chart pa- per, which we mounted on the walls. The participants Long aMarxiststate,Beninwasiustbeginniingtochange. then assigned the problems to several categories they Needless to say, local people had some difficulty in par- established: buildings and facilities, medicine. staffing ticipating in open discussions. Some said they were too and skills, primary health care, and so on. "busy" doing other things to attend, and no women We then spent a significant amount of time discuss- showed up at all. Nevertheless, we were able to get across ing the diagnosis of Benin's current health care system. that our objective was to learn from the people about using the categorized list of problems as the basis for their situation and what they felt they needed. We said discussion. We did this to be sure that the different types we did not want a project that only represented the think- of people attending the conference-from village mother ing of the World Bank and central officials. We asked the to high-ranking government official to World Bank staff communities to appoint a committee of five or so local member-understood the problems in the same way. people who were wise about money, life, health, and how the community worked. We also stipulated that at least one or two mothers be included. These committees helped After attaining closure on the diagnosis, we devoted the validate our analysis of systemic and operational prob- se ato developing app opit wa sove the lems that contributed to poor health care in Benin. second day to developing appropriate ways to solve the Before organizing th nextphaseofthework, problems. To do this, we broke into small groups, each Before organizing the next phase of the work, we' checked back to see if community representatives had of which dealt with one of the major problem areas. We been named. The communities had indeed done this and made sure that the officials responsible for the areas be- ing addressed were part of the group. The villagers chose presenlted US with the names of five people from villages fo r . - in each of the three districts we had visited. the be expected, group size turned out unevenly and some balancing had to be done. On completing the work, the PR EPA RING TH-F: PROJECT small groups reported their conclusions to a plenary ses- sion. A discussion of the recommendations took up the Now that we had identified a good set of village stake- remainder of the day. holders, we set up a workshop to generate a diagnosis of A small group of officials from the Ministries of the existing primary health care system. A member of Health. Finance, Planning. and Rural Development then the Bank team-the architect-had experience in run- wrote up the conclusions of the workshop and shared ning participatory workshops. He served as the work- them with all participants. The proceedings subsequently shop designer and facilitator. The minister of health is- served as health policy and guided the work of ministry sued invitations to representatives of communities in a officials in preparing the specifics of the project proposal. sample of three districts in various regions of the coun- try for a workshop in Cotonou. Benin's capital. and we Feedback reserved a hall in the ministry that was large enough to Before completing the mission, the joint Bank-ministry accommodate the eighty participants. team again visited the original villages to discuss the re- About fifty participants came from the various com- sults of the workshop and see if the recommend munities we had visited. They were ordinary citizens, In- cludinge abouttwenity. moThers, weratheordhan try a chtizefs, were what people really wanted. The villagers supported clud-ng about tetmohsthe work of their representatives, giving the design team who usually represent the villages. A few technical staff from local German and Swiss projects also attendedJ further confidence that it was on the right track. In addition to the village stakeholders. we invited officials from the central ministries, regional and district PR , -AP l R A Is.A1I health offices, and local health centers. We did this to be In April 1988 the Bank team returned to Benin for sure we would be working on the enltire system of health preappraisal. Again we held a workshop with represen- care rather than just part. tatives of the same four stakeholder groups (villagers and officials from the ministries, health offices. and local Brainstorming health centers) who had attended the first workshop. This On the first day we brainstormed about health issues and time, participants reviewed the written project proposal problems. Each participant had the opportunity to cite a to ensure that it was consistent with what was learned problem. We went around the room again and again until and understood several months back. About sixty-five 24 1, i.-rN I N llr I E.A 1,H Fil:R 1,;N NI C` people attended the second workshop. We again assigned Swiss Development Corporation indicated that it wanted small groups to work on the same categories identified to increase its cofinancing contribution by more than four- at the first workshop. fold. Of course, we in the Bank welcomed cofinancing The written proposal was a good reflection of what as a matter of policy, so we were pleased with the Swiss the participants wanted. Two new concerns appeared, how- offer. It meant, however, returning to Benin for a joint ever. The first had to do with who really represents and reappraisal of the project during which time the Swiss speaks for the villages. After considerable debate, the par- became full partners in supporting and nurturing the par- ticipants decided that village representatives should be ticipatory process. We then had to change the project to elected democratically and that the village should enter accommodate budget cuts mandated by the structural into a legal contract with the Ministry of Health (MOH), adjustment program. As a result, we didn't begin nego- defining the responsibilities of both parties for improving tiations until March 1989. The Bank's Board approved the health status of the local populations. the project in June 1989 and the credit became effective The second had to do with implementation priorities. in January 1990. The communities with which we were working were not necessarily those w ith the greatest need. Although they rec- ognized that other communities were in really dire straits, the participants nevertheless felt that their communities de- The Bank's applied time devoted to this project from Feb- served priority given their involvement. In the final analysis, ruary 1988 to appraisal in June 1988 was about forty-three all concluded that it would be best to continue working with staff weeks. Appraisal added another twenty-one staff weeks. the same set of stakeholders during initial implementation. Govemnment paid the modest costs of the three workshops- around $6,000. Preparing this project in a participatory A P XR AI S A .I l. manner was neither expensive nor time-consuming. The Bank team returned in June 1988 to appraise a project T NPA IENTrATIoN EXO:R IEN( I that now looked like this: The project has just started its fifth year of implementa- * Improve the quality of primary health care delivery tion. After matters delaying loan effectiveness were at all levels of the country cleared up, the first year went extremely well. In every * Develop pilot hygiene and sanitation programs for respect, the pace of implementation that year was well disadvantaged urban communities above any reasonable expectation for a project like this. * Improve sector financial resource mobilization. al- I attribute this to the high levels of commitment of all location, and management capabilities concerned and to the thorough understanding of objec- * Strengthen institutional capabilities of the MOH tives, strategies, and tactics all stakeholders developed * Improve human resource capabilities in the health sector. in working together. This understanding and the com- mitment it generates are attributable, in my opinion, to For a third time, we organized a workshop with the the participatory project planning processes we used. same stakeholders to review the final version of the It is unfortunate that implementation ran into trouble project. By that time. we had gone over it carefully and during the second year. A new democratically elected gov- put it into Bank style and format. In so doing, we be- emient cleaned house at the center. An entirely new team lieved we had not strayed from what the stakeholders of officials appeared on the scene, who not only knew noth- said they wanted and were willing to do. But the only ing about the project but were also distrustful of anything way we could be sure was to subject it fully to the scru- done by the previous government; thus, every aspect of the tiny of those stakeholders who had been working on this project involving the MOH came to a halt. The dynamism project since the beginning. As it turned out, our pro- at the local level, however, did not wane during this period. posal did indeed reflect what they wanted and had been By the third year we were pretty much back on track, and proposing all along. the project is doing well in all important respects. EN('OUN'I( ERIN, I )EIN AY'-' E(CON I) PROJE(CTI As we were reviewing the project in Washington and The design and development of a second project, pre- getting ready to invite government for negotiations, the sented to the Bank's Board in May 1995, closely fol- 25 Tni.1: Wou11{1.) BASNI P%RTIs( WAI I.'llON So)tl-RUEBOOK(l lowed the participatory process. which had proved so be handled well by the private sector. What was effective the first time around. Virtually all meetings with needed was a small cadre of people who could fol- the government, which occurred during the series of low the international pharmaceutical industry and World Bank missions concerning this project, were at- wisely buy the small quantities Benin needs. The tended by representatives of all key stakeholder groups agency is kept responsive to the communities through including local health committee members from all over the villagers sitting on its board. the country. Preparation of this project was intimately * The establishment of Comite National de suivi linked with government efforts to prepare a revised na- d'Execution et d'Evaluation des Programmares du Secteur tional health strategy for the period 1995-99, which was de la Sante (CNEEP), an intersectoral committee at the the subject of a Health Sector Round Table held in Janu- national level, and Comite Departemental de suivi ary 1995. We were quite successful in encouraging the d'Executionetd'EvaluationdesProgrammulesduSecteur government to give stakeholder participation more promi- de la Sante (CDEEP) at the departmental level. These nence in the sector strategy. both by highlighting accom- interministeiial committees undertake periodic assess- plishments to date and by outlining steps to consolidate ments of the progress made in implementing the objec- and build on successes in this regard. To make an effec- tives set out in the national health strategy. They are tive contribution to the strategy from a participation per- composed of high-level representatives of central and spective. the Bank mission undertook numerous field line ministries and other key stakeholders. visits with MOH staff and held town hall meetings to * The reorganization of the MOH, which. followilg discuss the views of the various stakeholders on their an organizational audit. encompasses the creation of participation experience thus far. three new di-ectorates for (a) planning. coordination. and evaluation. (b) administration and finance. and (c) familv health and the strengttheninig of departmen- tal directorates for health to accommodate the With only about 50 percent of the credit disbursed and a government's intention to decentralize sector man- closing date scheduled for 1997. assistance under the first agement and administration. project has already resulted in a number of notable achievements, which have both expanded and clarified - I.: s the role of various stakeholders (including the ministry) in the planning, financing, execution, and evaluation of * Local health commln1ittees: After several years of op- sector activities. For me. the most notable among these eration. COGES and COGEC have demonstrated achievements include the following: thei- potential. This experience has also highlighted issues that still need to be addressed. For example, * The creation of local health management commit- some COGES/COGEC members lack motivation tees-coamite de gestion cle la commune (COGEC) because of a number of factors, most notably a lack and comite de gestion de la sous-p7efecture of(a) understanding of their roles and functions. (b) (COGES)-with real authority and autonomy, skills in community financial management and group through which communities throughout Benin man- animilation techniques, (c) opportunity to exchange age cost recovery funds and participate in the plan- informationl and ideas at the departmental and na- ning. implementation, and evaluation of sector ac- tional levels, and, for some, (d) financial remunera- tivities carried out in health facilities. The members tion. Although the bylaws of the local health man- are elected democratically, and anyone may serve, agement committees state that elections should be provided that at least one member is a woman. held every two years. elections have not been held * The establishment of a central procurement agency that frequently or routinely. Some aspects of finan- (Centrale d'Achat), which assures the affordability cial management of these committees are not fully and constant availability of essential generic drugs explicit in the bylaws. Furthermore. accounting ca- at all levels of the health system and is managed by pacity is lacking. Also, although COGEC bylaws an autonomous board, composed of various stake- provide for one seat each for a woman and a youth, holders and including representatives of local health elected by their peers to represent their interests, management committees. Previously, drug procure- COGES members are elected from among the ment was done-poorly and corruptly-by the MOH COGEC officers (presidents. treasurers, and secre- itself. Given the fact that no drugs are produced in taries) leaving the possibility that women and youth Benin for its small market, this wasn't ajob that could may not be represented at the subprefectiire level. 26 HEI:NN: H E.\.',I,H lt I': *hltersectorYl coordfination. The establishment in 1988 ties. Considerable effort will be warranltecd undelr the of CNEEP and CDEEP constituted an impor-tanit step project to ensule the tollowing: by the government to improve prooramii coordinatioin and to strenigtheni decisionmaking capacity in the MOH. * Operationis at these various levels are realistic in terms Their creation was meant to correct weaknesses in the of the capability, availability, interests. and compar-a- planning, coordinationi. monitoring, andc evaluationl ot' tive advantages of the various partners. sector Investments, which were largely donor-driveni. * Health managers and other health personiniel work Since their creationi. these two organis of intersectoral effectively andc in cooperation with partners. coordination have ncot been suLffiCiently active, palticu- * The need ftor conflict mnanaoement is appreciatedi and larlv at the departmental level; they must be revitalized effectively met. to enable them to car-y' out their *ipoitaiit fLICtiolIS. Partniers will occasionallv be given the opportunity Furthermore. although their memilbershiip accomm11lo- to share experiences and exchange ideas and best dates represenitatives from other line ministries and somze practices with their- counitelpar-ts at the various lev- NGOs. at presenit no permanent seat exists for repre- els of the systemii. sentatives of the local health commillttees, whose per- * Inforimiatioll on the perspectives of the partners and spectives on investimienit planin ing and mon1itorilno would the qualitv andc extent of participation flvows freevly be valuable. anid expeditiously, both up and down the system. Polic/v andie in.stitutional refiwins. In addition to the Banlk's success In strengthening and concretizing the As part of its aninlLal review of sector performance, language on participationi in the draztft national healthl CNEEP and CDE.EP will evaluate progress niade in build- strategy for the period 1995-99. we made two other ing and sustaininig participation ot' key stakeholders in important contr-ibutionis to strengthening partnerships health anLd will revise plans ftor the coming year accord- in health. Fi-st. we worked with government to pre- injglv. Central MOH, in consultationi with COGES/ pare a revision to thle adminiistiative text that lays out COGEC memilber-s and decentr-alized MIOH statff has the bylaws of COGEC anid COGES. Major amend- compiled a list of inidicators for monitoring performance menits were introduced to (ai) expantid memilber-ship to In this regard. The project will also suppolt the costs of other partners working on relatecl issues in the same strengthening the capability of CNEEP anid CDEEP to coniniune or subprefecture (NGOs. indigen1ous social uLider-tak-e participatory planning and evaltiationi of sec- Troups. school teachers. personnel working on relevant tor activities as well as the costs of their operations. developmenit projects such as water and sanitation, and so on). (b) clariify aspects of financial maiiac-emilenit and other operations, (c) establish two additionial seats on the COGES and manidate that they be filled by one AlthougIL the Benin case is very' much alive and oncro- womanl and one youth, and (d) specify procedures for lit. the participatory approach has already had positive hiring with COGEC/COGES' own i'unds. independenit impact on the lives of comimluniity members. Three years auditors to audit their own accoulIts alnnUallv. into the fiirst project. an independenit survey directed by a local sociologist was comimiissionied to obtain feeciback We also workecd with government on a draft decree ftromii people wlho participated in preparing the project. amending the bylaws and internal regulations of CNEEP Through interviews an1d focus groups involving elected and CDEEP to replace the 1988 decree creating- these village representatives and other villagers: local. regrional. comnmittees. Amzenldimienlts were intiodluced to (a) specify and cenitr-al health officials: and the personnel of health the functions and staff profiles for their- respective Secre- facilities, the followin- was learined: taiiats. (b) provide for the represenitation of COGEC anid COGES and other key nongovernmental Pillatilels in tlese * Villa,ge people noW klnow more about what health entities. and (c) to streamlinie its operatiols. These two services are available. texts will be sigtned by the timze this proQject is preseiited * People are satisfied with the increased availability to the World Banik's Board of Executive Directors. and decreased cost of drugs throuoh health centers land. as a result, incr-eased utilization of health .srs llw- ,Tjj.DlN(i services). * Funllilng for essentiail dIugs is Sguaranteed, because Secondl. direct project support will be given to COGES/ local health comminlittees, not the minlister of health, COGEC and CNEEP/CDEEP to strengthen their- capaci- manlaoe the cost r ecovery fun(ds. Z!7 People appreciate the local control they now have be altered. Increasingly. MOH staff-particularly service over funds collected by the health facilities. (These providers-are accountable to those they serve (their cli- funcis now more than cover replenishimient of drug ents) rather than excLusively to their superiors in the admin- stocks and, in some cases, even other essential istration. which had been the case in Benin several years nonsalary operating costs.) ago. This is due in large part to the fact that their clients are The involvenment of women in the project is a strong niow involved in the planning of health sector interventions factor in buildling community support and has raised and in the evaluation of health sector performance. the status of women as community leaders. Central MOH staff visiting and collaborating with communiities is now becoming much more standard prac- Perhaps the most significant of the findings of this tice-even in the absence of World Bank missions. The beneficiary assessment is that local healtl staff are perfornm- participatory approach is evolving beyond the prepara- ing better. Roles and responsibilities of the clifferent actor-s tion and implemenitation of Bank-financed projects to and stakeholders in the sector have been recast in a becoming a permanent way of doing business for the signiticant way, causing the system of accountabilities to health sector in Benin. 2 s BRAZIL MTUNICIPA,ITIES AND LOW-INC'OME SANITATION Abel Mejia was the Task Manager for the - . __ . I Bra.il Municipalities i and(I Low-Income Sanlitation Project. - . s_ - I n February 1992-just thl-ee monthis after joining the Bank-I went on mission to Brazil to decide the fate of a problem project, one that might quite possibly be canceled. The problem was clear: the portion of the project that would provide water and sanitation to slum comimiunities wasn't moving. No disbursemenits had been made three years after effective- ness on this part of the loan (62 percent of the total) and no real prospects were tioreseeable for disbursing them. This project was intended to bring water and sewerage to some of the most congested and difficult slums in the world. The notorious favelaN-or shantytowns-of Rio were among the intended beneficiaries. It seemed to me that this is exactly the kind of loan the Bank should be making. Cancellation would be unforluniate. I N('1?EA, -1N( FRU'I' URATION Canceling. howevei- would surprise no one. My colleagues in the World Bank who prepared and appraised the original project beginning in 1986, were quite discouraged about its prospects. They had tried time and time again to get Caixa Econoinica Federal (CEF), the Brazilian government's gigantic national devel- opment bank and the implemeniting agency. to move ahead-all to no avail. Preparation of this project began in collaboration with Brazil's National Housing Bank-an institution well known to the World Bank and quite com- petent at water and sewerage work. But along the way. the National Housing Bank ceased to exist by the stroke of a political pen. CEF took over BNH's responsibilities. 2 9 TIu Hl:o u1i,i) BANKS PARTICIPATIO.\''lN Sf Il-lRCIAMM-zZl Fromii every appearance, CEF had the ability to make We met with the SWCs, along with CEF. and laid solinId Joans for- water and sanitation systems. But. as it our cards on the table. We said that we would have to turned out, CEF management's heart just wasn't In deal- recomimlenid canceling the low-incomiie part of the loan if ing with sluIlms and SlUi dweller-s-per-hapS uliderstanid- the SWCs were unable to subillit borr-owing proposals to ably, because few successflul prececlents exist oir provid- CEF withill the next two moniths. We told them, if they ing waterL and sanitation to the ftil-hIaS and their counter- submitted proposals, it wouLd be possible to persuade parts throughlout the world. Bills aren't paid. illegal coIn- Our mania-emilenlt that things were movilng on this loal. nections blossom. and care and maintenance are the ex- But, it was up to them, we said, as only they knew what ception rather than the r ule. For lenders and water conilpal- could be done. nies alike. serving the slumIls has been a losing proposi- Our strategy worked. Within two months we had pro- tion, and few advocates of doing so can be found in water posals from six of the eight com1paniies. and CEF knew compalnies. other-s were on the way. Unfol-tUnately, the proposals wer-e vwish lists. lacking practical wvays to designi water and ('oITL,r) PARTICIPATFL0N H i,i? sewerate systems in the fti'lasex. As I prepared for the ImlissioI, I learned thiat staiff fromli THE FA I-E'A A C'1AL 1ENG;I: the Bank's Transportation, Water, and Urban Develop- menit Departmenlt's Water and Sewerage Division Developing an efficient and effective water and sewer- (TWUWS) had been visiting- Brazil duriig thie past year age system tfor any fui'ela-and particularly a Rio to help us get this loanl moving. Their interest was the fri1'eIa--is a rea l challenge Rio hive/as climb the high samle aIS OUIS: to find ways to prevent the cancellation of hills surrounding the city. Houses appear to sit on top of this ininovative pro ject. one another and often do. Populationl density is extremiiely TWUWS believed thalt involving slum dwellers in high. Their layout has no rhymiie or reason. Virtually ev- the design, operation, and mzainitenialice of a water and ery bit of space is in use by someonle somehow, The lay- sewerage systemii was the only way it could be clone well. ing of pipes, even uncderground, would more than likely TWUWS wanted to do "action researchi" in the ar-ea or intrude on someone's sense of ownership. Adjudicating commIDunLity participation in water anld sewerage systems, disputes fi-om the outsicle can be next to impossible, something they callecd "structuirecd learnin-.- Mv own At the samie timie, the laws of hydraulics can't be previous experience in rural irrigation for poor ftarmilers chianged. and engineers don't like to negotiate their de- led me to the sam1e conclusion about involvingr the people. signs with nonengineers. Setting the reservoir higher than Clearly we were simipati o. the houses is much cheaper than pumping the water up My colleag,ues in TWUWS hacd been hard at work in to themi. The numiiber of users ancd the volumes to be de- Brazil identifving allies who wished to milove alhead withi livered determinle the size of the pipe. regar-dless of this loan andc its purpose. They h.ad idenitifiecd allies in whether a convenlient place can be located to lay the pipe. CEF, in the state and municipal water companies. and in It's almost impossible to get to one house without going the nonigoverinimlenital sector. Although they hadin't yet through or tinder someone else's. In addition., kivela popu- succeeded In getting the loanI moving,. they toldl me that lations are not insignificant. We are nlow working with the new project manager- in CEF. a veteraint' from the Na- one, made up of 30.000 houses. There is simplv no way tioInlil Housing Bank's Water and Sewerage Departiment. to do anything without working closely with the people. was enthusiastic about the project. vet there is no way for a water company to negotiate di- rectly witil 30,000 individual families. Pl1,ANNIENG 'I'Hk: NMi1,SMN A N EN ID)EA We wZantedl to get this project moving anid inoving in the right direction, But, at the same time. we had to face In the process of discussing how to proceed. we came reality. On the positive side, we kinew that CEF had leild- Upon an approach that had not been tried before in Bra- ing agr-eeieilts withl eiglht or so state water companies zil or. for all we know, in any other couintry. It struck US (SWCs) and that these companies wanited to borrow' for that the way to deal simtiltaneously with the "hard" and capital investimients. We also knew that we had an action- "soft" aspects of this problem was to get a different type orienited person runiiing the project in CEF. andc allies in ofteanm to do the work. We decided that engilleering com- the SWCs. panies bidding oil the project must team up with coill- :3() 1:lAZt,l: 1,0.%1\--NCOM)Pl l SA\NITATtOII(N munity participation NGOs or individual specialists. We by the SWC or through hired firms discussed this wvith our colleagues in the SWCs and found * Who pays for operation and mainteniance-users. pretty ready acceptance ot' the idea. The engineering and cross subsidies, capital subsidies, and so on community participation specialists indicated they were * If and to what extent institutional intermediation was used willing to give it a try. * The nature. type. and ease with which collective The original project wisely established simple and choice decisions were reached straightforward criteria for subproject funding. which * Project outcomes included: * Project impact. * Cities with populations greater than 50.000 It is nlow just over two years since my first mission * Areas having per capita monthly incomes below $87 on this project. Some sixty-odd subprojects are now tin- • Per capita. investmiienit ceilings of $98 for water and derway that account for 65 percent of the original project $140 for sewerage cost estimate. None is complete. although some are in • Obligatory stakeholder participation and hygiene the advanced stages of construction. As expected. differ- educationi parts of the subproject. ent interpretations of participation are being used and the subprojects are being designed using different tech- niques. The most commonly used approaches. however. Pivolve two different versions of community necotiations. We were now ready to move. The water companies started The first starts with the design and then negotiates it with issuing bid solicitations. We then began to discuss the the community. The second starts with community in- criteria we would use to approve projects. Most of the volvement from which the design emerges. criteria were pretty objective: city size. income, invest- ment limits, and so forth. But what about stakeholder T STARTEO participation? What exactly is it'? We knew that different people had different inter- Let me describe the latter approach, which was used in the pretations of participation. For some, simply interview- fi'wela called MoTro do Estado. Morro is in a satellite city ing potential beneficiaries to establish demand prefer- close to Rio. We chose MoIro as a pilot because it looked ences is participatory. Some believe "infor mingir and edu- somewhat easier than the other pilot possibilities. One fac- cating" constitutes participation. Others insist that the tor in its favor was its small size, about 2,000 families. essence of participation is a negotiation between the en- Next we had to find someone who could and would oineers and ilte beneficiaries. Still others wvant to sit down wor-k in Morro. Generally, engineers who design and with the beneficiaries and the engineers to build the sys- build water and sewerage systems hold extremely nega- tem from scratch using facilitation techniques. tive attitudes about fi7'elas. We had heard. howvever. of someonie who had a reputation for understandingl how BE;EIN(. }IL.A(:MAI.TI(' slumIis work anid foIr working in themii. This person is a sanitary enginieer by training and To be honest, we weren't sure ourselves what constituted work experience. He comes from Recife-one of Brazil's participationi and how to make ex ewlite judgmiienlts about poorest regions-where he worked for the municipal wa- it. So we decided to let the water companies define it and ter authority. He is now a consulting-, engineer in private go with their definitions. Then we would use structured practice. When we talked to him, he spoke of fiwelas learning to kleep abreast of what was happening so that and their inlhabitants in a different way than most. He we could systematically learni from this experience. We stressed that many were solid, permanenit communities structured the learningi to track the following: where people had lived for as long as forty years. He talked about how impressed he was by the energy and * Methods of 'revealing' specific. price-sensitive de- creativity of fiwe/a dwellers who have to-and do-take mand. instead of assuming- that demand existed, as care of everything themselves. as they receive precious is normally clone little help from government. He described to us how he * Hypotheses and assumptions on project design anid had wovoked with some fin\elas to generate affordable and community involvement and how these intluenced effective water and sewerage systems on a small scale. speed. cost. and effectiveness Whenl we told him about our plans for this project, he * How the project is managed. ftor example. directly becamiie interested and excited over the possibilities. 31 lTI'.: NVORIAI,) BANIK. P iC1PA1(l'A1'I)N SOIMO()N)OK After reflecting on and comparing his view offavela the individuals involved learned together what was pos- dwellers with what we heard from conventional engineers, sible and not possible, what they really wanted, and how we knew he would be a great asset to this project. We then they had to behave to get what they wanted. So the ac- had a starting point. We began what turned out to be the tual engineering design of a functioning water and sew- most arduous task of getting both the Bank and the Brazil- erage system run by a modern SWC. was a social. itera- ians to agree to sole-sourcing a design contract to his firm. tive process between experts and ordinary people. It took us four months or so to get all the agreements and begin the work. We got approval from the Bank's pro- J3R01TRE1.:Nr AcTION curement adviser to hire the firm as an exception based on the highly specialized nature of the work. Once we were sure that local demand and a willingness to work things out existed, we started the procurement I_a INTI FIN4 STAKEHOLDERS process-well before all the details were worked out. The first step in construction would be trunk line work-con- The first action we took was to learn about the conmunity, necting the fivela with the SWC's main trunk lines. The how it was organized and operated. To do this, the design- next step would be connecting the trunk lines to the ers had to be present in the community when the people houses. themselves were present-often on weekends and late at Bidding trunk line construction work and pipes and night. The initial phase served to identify who were the key fittings for house hook-ups and actually selecting the stakeholdersandin particularwhowerethecomrxiunitylead- contractor made the whole thing real for the people of ers. They came from all walks of life and places, but mainly Morro. They realized that what we were doing was not were associated with religious, sports. or other types of clubs another election year promise. In election years.favelas that exist in communities everywhere. got some partial attention, but no serious effort was ever made to serve the entire community. We dissolved the Tijii F 1NIiPO)RTrA.NC(l; OF W0.1ENelection-year skepticism through our large-scale, early procurement. This in turn motivated the local people fur- It was the women's clubs, however, that proved the most ther to do what only they could do: organize themselves effective instruments for working with the community, to work effectively with the water company. and the women themselves turned out to be the key to getting the subproject under way. In afalvela, more often than not, a woman is the actual head of the household. She is the permanent feature. The men tend to come and One of the key lessons for the people in the community go. The designers met the women first when they came was something called the condominium approach. At the into the community and worked with them on a daily bottom of it was the understanding that the water com- basis to organize local involvement. In a real sense, pany could not deal directly with each family in a "helter- women were the local community. skelter" community like Morro. Instead, families had to band together to negotiate and commit to operate and 1t ILolI)ING a r1 -rn maintain the service to a group of some twenty to fifty barracos (homes). This way of generating and support- As the designers learned about the community, the commu- ing communal interdependence helped work out afford- nity came to learn about them. The local people saw the able solutions: people could afford what they wanted and respect the designers had for them. They saw the designers' the water company would recover its capital and operat- admiration for people willing to take charge of their lives ing costs-a "win-win" game for all concerned. and do something about it. To enter the community and The designers made the initial suggestions for orga- gain trust meant in part accepting what the official commu- nizing a number of barracos into a condominium and nity callsfavela illegality, including narco-traffic, violence, then negotiated the details with those involved. There and the ubiquitous and illegal informal lottery. had to be and indeed was flexibility on the part of the In the process, the designers helped the community designers to accommodate what the local people wanted to learn about and understand the water company: how it in forming condominiums as well as other things. For operated, what it could and could not do, and the basic instance, a water tank had to be placed at the highest hydraulics of water and sewerage. At the same time, the point in thefavela to service the community. Of course, community helped the designers learn about them. All the several possible locations for the tank were already 32 BR.AZIE: LO)W-J N'CONIEI S.ANITAT'I'I'N occupied by a house, church. or other structure that was amounts substantially below the subproject estimates important to at least some or all. prepared by the SWCs. Negotiation was required to work out the water tank These final costs-not just in the pilot but in the sub- siting problem. But perhaps the word "negotiation" sequent subprojects-are generally 50 percent below (in misses the essence of what really went on. It wasn't just one case 25 percent below) the SWC estimates. Of course, the designers negotiating with the community; more im- design and designi costs are one thing. Whether the sys- portant, it was also the community working together to tern will work well, be sustained, and generate payments take care of both individual and communal needs. that cover the investment and operating costs are the fi- The Morro do Estado pilot project took about six nal tests. We have yet to get to that stage. months to design at a cost of about $100,000. Since this was our first such opportunity, learning was the objective. '1 A lot of people had to learn: the designers, the water com- pany, CEF. the Bank, and the people living in the fatvela. This project is doing more than providing water and sew- While the pilot was going forward. initial work began on erage to aftivela, in my opinion. It is a starting point for other larger and tougherfitel/as: the lessons from Morro individual and community development. Person after per- flowed into the second and beyond. The design phase of son has told me how she is looking forward to receiving any project. however. is never really finished: redesigning water bills at "her" condominium. People also say-with- goes on with construction and implementation. What is out being asked-that they intend to pay their bills. It's as surprising, perhaps, is that the adjustments appear to have if the existence of a postal address and a water bill with gotten done with ease and good will. By the time of con- one's own name on it confers a new, permanent identity in struction and implementation, all became a team commit- the society-no longer at the margin, no longer a faceless ted to producing something of real value. member of afjiiela. but a full-fledged citizen. Beyond that, people in thefiavela speak of the possibility of realizing a C' o)FS T .AN D '[1 NIE long-held dream: having their owIn telephone number, just like "other" people in the country. From time to time. I ask myself if this is a cost-effective If anything gives me confidence that these systems approach. I must say I haven't got a satisfactory answer will be sustainable, it's an empowerment I have seen that yet. The $100,000 design cost of MoITo works out to is almost palpable. Of course. a lot of other things have to $15 per capita-not a large amount. More important, we be right for the systems to be sustainable: govemance, are not only seeing final costs within the investment pa- economic management, jobs for people. and more. Our rameters set by the original Bank-financed project but at project can't take care of these things. Only time will tell. 33 CHAD E'D1TC'ATION V L'ROJEC'T MVakha Ndao is the Tassk Managerjtr the Chadbe Eduication V Project. I ..... .. ., ,h ........... ...................... 01 : Cv hadians value education highly. so local involvement and signifi- cant local contr-ibutions to the cost of education have been a long- standing tradition in Chad. During the 1979-82 war, Chad's educa- tion system deteriorated seriously. The slow recovery from the period of disturbances causecd local comIlmunities to play an even greatel- role in financing and operating their schools. The Education V project, financed by the Internationial Development Association (IDA), has been supporting reha- bilitation In this sector. During fLurthier disturbances In Decemlber 1990. looting and damage oc- cLiriecl in the building housing Chad's Ministry of Educationi, which lost a great deal of its recoircis, files, and equipment. Schools throughout the country suf- fered various kinds of damaoe; books and other teaching materials were in short supply. TFo rebuild the education system, the government of Chad devel- oped an Education-Traininig-Emiiploymenit strategy for 1990-2000. Chadians t'romil maniy backgrouncis and sectors (mainly from the public sphere) ancd most manjor donors helped create this strategy. In 1991 the new minister of education asked the Bank to help the government implemilenit its new strategy. In our initial conversations with the minister, he asked that we prepare the new project in a manner that involved local people and responded to their real needs andc conceris. We were deligThted with the request and quickly responded in the affirmative. Duringo our next mission, we visited local communities and held discussions with officials and citizens at the local, regional, and nationial levels. We theni sat down with the officials at the central level to decide the specific actions and steps needed to plan the project It sooni dawned on all of us that. although we were in full agreement with planning the project. nonie of us really knew how to do it. We clecided to start :35 THI: NVORIA) BAh I'R'PIA'IT'IC'IPAION SOUIR'CE13()0J1 by finding a tried and tested methodology with which education problemils and ways to correct them. We were we were comfortable. The Banik offeed to find the meth- pleased that two of the meetings were held in a tradi- odology. and, as Task Manager for the project. I under- tional manner, under a tree-sous Iarbre ci palabre- took the search myself. where passers-by joined in the discussion. As a result of these meetings we learned that C'H)OOSING A INifE'THOD0oL()(GY Chadians at the local level are seriously committed to and closely involved in educating their children. One In talking with my Bank colleagues. I learned about a unexpected benefit for us was learning local people's methodology called Objectives-oriented project planning concerns about thei- ability to collect and account for (ZOPP) (see Appendix I) that was originated by educational funds and about dealing effectively with the Gesellschaft fUrTechnische Zusamimienarbeit, a Germial well-educated people who ran the schools and taught in aid agency. I found that a nearby company offered semi- them. Clearly, local people needed educationi on how to nars on ZOPP. one of which I attended along with my run a school and would greatly welcome this as part of Bank project team members. the project. We also noted how women came and spoke ZOPP seemed to fill the bill nicely: the project team up at these meetings, often complaininig that not enough returined to Chad enthusiastic about sharing what we had girls were getting educated in the countrv. learned with our Chadiani partner-s in the project. At a meetling, we told our Chadian colleagues that we could DESIC;NING THE PROJ(ECT use a methodology called ZOPP and proceeded to ex- plain how it worked. As we described ZOPP. I noticed All of this was helpful. but it still had not been translated that people were giggling and laughing. I asked what was into a project suitable for Bank financing. To get the coIn- the matter. They good-naturedly explained that in Chad. tents of the project identifiecd and to do the detailed prepa- the word "ZOPP" was a slang expression with sexual ration. governlillelit convened a six-day national "OOPP" connotations, and we all had a good laugh about it. But conference for participatory project planiing. The min- they had a more serious concerin. They said we were act- ister of education invited ministry staff, regional officials, ing in a typical Bank manner by prescribing how to do NGOs, and several of us firom the World Bank to a project things. planning contfei-erice. All told. about thilrty people attended We got over both these problems in good fashion by the conl'erence. recognizing that ZOPP was the only participatory meth- Puiposely. government set the date of the meeting to odology we knew. Besides. we explained, ZOPP is not coincide with a planned Bank project mission to the coun- the usual way of doing things in the Bank, and we might try. In selecting the stakeholders. we thought that the have to persuade Bank management that using it made NGOs would represent local people at a conference oth- good sense. Also. we simply dropped the ZOPP acro- erwise attended by government officials. As it turned out. nym and replaced it with its English equivalent "OOPP" the NGOs tended to represent their own interests. and it or Objectives-oriented project planning. fell to others to represenit the views and interests of local people based on what we heard at the regional confer- I_1)ENT1FVI 1SN-f:: THTE. F;T VlSTAK:HT01,)1:RS ences. We also learned, to our dismay, that no women were presenit at this meeting. because no one took any The first step in the ZOPP methodology' is identifying special action to ensure their presence. Nevertheless, the the stakeholders of the projects and then beginning to participatory planning process went rather well, in our understand what they want. It was a simple matter to rec- opinion, even though it was the first thime any of us used ognize the official stakeholders in an education project. our so-called OOPP methiocd. But we wondered who really spoke for the local com- munity and if there were issues of gender. ethnicity, so- THE NATION O{ )PP ('ONFREN(' cial class, religion, or other factors that we had to take into account. We hired a consultant from a nearby country to plan and The government organized four regionial conferences facilitate the conference. The consultant was experiencecd attended by high ministry officials. school inspectors, in the OOPP methodology and worked well with Chadians. school directors and teachers, members of local school We devoted the first day to identifying stakeholder associations, and representatives of NGOs and women's interests. We did this slimply by asking and encouraging groups. At these meetings, we discussed local primary the participants to express their own interests, hopes, 3 6 C HA D): ED UCT'( 'I'ION expectations, and fears related to Chad's education svs- TtI-F Pt0.JIi:c(I- tern and a possible Bank-financed project. At the end of the day, all of us at the conference could see pretty clearly In Bank project terms. the last two days of work pro- how the potential project activities might affect each duced a project with these components: stakeholder. We spent the second day delineating the specific * Classroon conlstruction (800 prinmary school rooms) problems that existed in providing sound primary edul- and rehabilitation (200 classrooms) cation in Chad. We did this by means of a "problem tree" * Purchase and distribution of primary textbooks and that clearly identified the causes of the problems the par- teacher guides ticipants mentioned during the first day. We noted how * Restructuring and improvement of in-service and well the participants worked together even though this preservice teacher traininlg was not their normal way of working. This is not to say * Strengthening primary school management and in- that everything went smoothly. At one point. a Chadian spection participant said to one of us from the Bank. "I am telling * Development and imlplemiietntation of a girls' educa- you that I have a headache, and you keep telling me that tion programn I have a foot ache and vou want to force imie to take a * Promoting pedagogic improvement projects in indi- medicine for that." Hearing that made us from the Bank vidual schools think twice about our own feeling that we were i-eallv * Strengthening the capacity of 100 parent associations just part of the group. * Institution strengthenlino of the Ministry of Education. On the third day, we developed the objectives of the project. As it turned out, this was pretty easily done by AN I) ' 11 converting the problem tree into a "decision tree." One key objective was to reinforce a clecentralized system in The total project cost is $33.8 million. The Bank is pro- which local communities had more autonomy and re- viding an IDA credit of $19.3 million. Eighteeni months sponsibility for their schools. while central government elapsed from Initial Executive Project Summary to Bank provided part of the finance and technical guidance and Board approval in May 1993. well within the standard for assistance. education pi-ojects in Africa. Three fund sources paid for Day foul was devoted to developing alternative ways the preparation of this project. The Bank's budget contrib- of attaining the objectives we had decided on the previous uted enough to pay for the seventy-eight staff weeks ap- day. We did this together listeninig to proposals. discuss- plied to the project by four Bank staff members and one ing them, andl then choosing what we considered to be the consultant. We made six imissions from idenitiCication to best. We were pleased that the methodology facilitated a appraisal. I believe these preparationi costs are significantly consensus among a group of people whose interests and below average for education projects in our region. The views had so severely differed on1 the first day. previous IDA credit contributed about $8.000 for the out- Days five and six were devoted to developing logi- of-pocket costs of the national conference, including the cal frameworks for the project and its various compo- fees for the facilitator, who resided in the Central Africa netits. The logical framework employs a project-plan- Republic. The government's budget paid tor the salaries nmng matrix that looks like this: and associated costs of the Chadian officials. PROI(JECT QITALI'ITS Summary Verifiable Means and Sources Important of Objecives/Activities Indicators of Verification Assumptions Implemilentatioin is just beginnino (the credit became ef- GoaT fective on January 18. 1994). so I cannot say much about Purpose how the participatory approach has affected sustainability Activities and ease of imiplemnentationi. But I can share some imme- Outputs diate results of the participatory planninig process. The project wvent thll-ough the peer and management review processes quickly and easily. which pleased us because Participants broke into small groups. each working on the project was mainly prepared by the Chadians. During one or more goals in a detailed fashioni. Banlk staff be- identificationi and preparatioll, a large numlber of people came part of several small groups. w ithiln Chadl learned a great deal about what was wrong .37 ITHl: AVORIA'1) BA\NK PAR'\ TICIPATIO\'11(N Solt lRCEMlA)oKil with their educational system and what could be done given ()N 1xEFIAECTIION the financial constraints of the country. The actual project was produced by many of the people who will have to I think the process of identifying objectives and building work together to implement it. They really "own" it. and, consensus brought stakeholders at all levels together and more important, they really understanid it. Finally, we have produced a project plan that the local schools, donors, something in it that the local people really want-help for and government could really "own." This project dem- parent associations in interacting with the school direc- onstrates, in my opinion. that a participatory approach tors and teachers. I doubt if we would be doing this if it can be employed within the time frame and procedures hadn't been for the sous I'orbre b' palabre. of the Bank, if the Bank and government are genuinely Implementation has been delayed some because of the committed to the process. If I were to do it over again. economic and political situation in Chad and the constant I'd first have a consultant train four or five Chadians in change of ministers and directors. In this difficult Chadian the ZOPP methodology. Then, with those four or five context, the broadly based preparation process and the re- trained national facilitators, I'd ask the Chadians to iden- sulting network of committed stakeholders has been keep- tify and prepare the project themselves as a basis for dis- ing the project going through times of changing otficialdom. cussing with the Bank our financing their project. 38 C OLOMBIA EL.ECTRICIITY SECTOR R1EFORM Turid Sato, who was the Task Manager for the Colombia Electricitv Sector Reform Project, is flow codirector Of Organizingfior Development, an A International Institute (ODII) '41 In late 1984 1 received a new assignment as the senior loan officer for Colombia in the Country Programs Division. Over the holidays, I acted for the division chief while he was on vacation. To my astonishment, a telegram arrived from the Colombian finance minister saying, in essence, that the electricity sector was bankrupt. Because the Bank had been supporting the sector for thirty years, could we help them solve this problem? At first, I thought the message was exaggerated, but after some investigation and a Bank workshop I organized in January to assess the situation, it was clear that the crisis was real. I \AN 1i XV(RKSXH()P The workshop consisted of fifteen Bank staff familiar with Colombia, includ- ing the relevant division chiefs. One of the staff was a Colombian power engi- neer who had considerable experience in Colombia itself. The participants determined that one major problem was the overbuilding of hydroelectric power plants and a high debt load, which, because of a rapid devaluation of the peso, had suddenly mushroomed from $1.8 billion to $3.5 billion. What should be done? At about 5:00 P.Mi. the group's thinking gelled, thanks to an engineer who said "The Colombians need an institutional mechanism to provide over- sight for the entire energy sector." Everyone agreed. A nationwide energy board was proposed as the solution. In addition, it was time to (a) stop new construc- tion in the electricity sector, such as a planned $3 billion hydroelectric project called URRA, (b) make better use of installed capacity, and (c) increase tariffs. The trouble was: we weren't the Colombians. The Colombian civil service is competent and doesn't welcome outside directives. Only the Colombians 3 9 TH1: W VORIA) BAN K PA1RTHr I'\'LI(PTN S(WR'C(E1B300K could decide what they were willing to change and to collectively had the power to change the electricity sec- what extent. tor-a bipartisan group that we hoped would carry for- ward any commitments they made. despite the fact that elections were onlv a year away. The invitations were F I 1 S;T 'M<1I EF I O) Nv signed by the ministers of finance, mines and energy, So on a mission in February 1985. my task was to find and development planning. I was pleased that everything out if we could tind a way of working together with the was in order and that the Colombian stakeholders would Colombians. From my graduate studies and work on in- have a chance to work together to find their own solu- stitutional development at the Bank, I knew about a par- tions. A few days before the conference, I arrived with ticipatory process that I thought might be useful. It was two facilitators, one of whom had developed the AIC called Appreciation-influence-control (AIC) (see Appeni- process. and another Bank consultant. dix I) and required all stakeholders in the electricity sec- tor to participate in a search for solutions. The Colombi- 11.:AlANG WITH ()'POS I TION anls-includiing the minister of imines and energy, who was new and seeking priorities for a work program- But, wheni we got to Santa Marta, the small northern town were delighted with my proposal of this approach. where the conference was to be held, we encountered a We agreed to schedule a three-day conference in major problem in the form of a new member of the local April, but the Colombians didn't trust the Bank enough conferenice team chosen by the minister of planning. The to include it as a participant. They thought the Bank was new team member flatly vetoed the participatory ap- seeking the chance to put a new loan in place. After con- proach already agreed on. She wanted a conventional siderable negotiation, they were persuaded to change their "talking heads" confer-ence and insisted that "the minis- minids and include Bank represenitatives in the confer- ters wanlt to make speeches, not participate in games.' ence. While I was back in Washingtoni, the Bank's resi- After many hours of exhausting arguments about the dent representative in Bogota assisted the government in agenda. the AIC consultant and the other facilitator said. drawing up a list of participants and handling the logis- "We can't run this conference the way you want it. Our tics. In the interim, the Bank sent comments on the URRA only choice is to pull out. We are leaving tomolTow morn- project. the major beneficiary of which was a huge util- ing." And they left the meeting. ity called CORELCA. The Bank's view-that the project After a final attempt to persuade the local team. I felt had no justification and that the electricity sector needed I had run out of options. "If you insist onl a traditional to diversify away from its heavy reliance on hydroelec- contference. I'll announce tomor-ow at the opening that tric power-set off a firestorm. we cannot guarantee any results with a traditional format. and therefore we will have to leave the management of the CONFERIENCE IPREPARATJION conference to you." With this, our local counterpart changed her mind. but she still insisted the ministers would The Bank's resident representative worked one-on-one never go along with the idea of working actively and with the Colombians to organize the coniference and did equally with others in a search for solutions. a gtreat job of pulling together the key stakeholders- that is, the people with the power, intluence. anid knowvl- 1) A :V I 1'ii i: AI( (O NFEHE r, N('C. edge to change the electricitv sector. These stakeholders included the ministers, permanenit secretaries, heads of We had willilgly agreed that the four ministers would the utilities and tleir contractors. several mlayors (because give introductory remarks. This went well and under- some of the utilities were municipal), congresspeople, scored that the conference was being held under their several expert consultants, and members of the opposi- auspices. tion party. The special interest gNroups who waanted to keep Then the AIC consultant took the floor. He intro- building more hydroelectric plants also vanted to attend duced the process we were about to use. The conference, and were invited. Although the Colombians were initially he said. would help the participants find ways to Llnder- reluctant to do so. they accepted the Bank's suggestion stand and manage three levels of "eenvironment": to include six project department people from the Bank and the Inter-American Development Bank, because they * The internal or c onitrolled environiment (of the orga- too were stakeholders. All the above mentioned people nizationis that have the power and responsibility to accepted the invitation. so we had all the people who carry out projects in the electr-icity sector) 4 0 * The relationship with others outside the electricity TH'I: AP'P'RECIATIVE PHA1I': sector who influientce or are influenced bv the achieve- ment of the sector's purpose (beneficiaries. contrac- The first assignment to the conferees was to come up tors. credit companies, advisers. and so on) with an ideal future for Colombia. After ten minutes * The relevant context that needs to be appreciated to for individual reflection, they were to go around the understand the impact of economic, political, anid group with each person contributing an idea. They were cultural factors on the achievement of the electricity to keep going around until all ideas had been exhausted. sector's purpose. One of the group members was to be chosen as a rapporteur. The facilitator would go around to ensure These three concepts-appreciation, influence, and that everyone was heard and that they listened control-he explained, form the core of the AIC method. uncritically. "You will see how the "A," the "l," and the "C" play out Working in this mode, the groups made lists on flip in this workshop." he said. "This is a differenit approach charts. They drew illustrations of their visions. They re- to problem solving. It holds a lot of potential. and I nleed ally had fun. The six ministers, past and current, partici- your commitment to stay with me for the next twenty- pated as equals. The minister of mines and energy grace- four hours. After that, if you don't like the format we are fully stepped up to the role of concerned citizen and was using. you can go back to a traditional conference. Here a model for everyone else. is the assignment: Imagine now that you are ordinary The process enabled all the stakeholders, despite their Colombian citizens. We have just received news that all relative power positions, to share information never pre- the power plants in the country have been blowni up. You viously brought together. to learn from each other and to are all out of jobs. Oveir the ilext twenty-four hours, you build a common appreciation of the entire electricity sec- will act as ordinary citizens and devise a new electricity tor anid its relationship to the broader energy sector and sector. an ideal one. that serves the interests of all the national economy. After about an hour, each group Colombian people." summarized its ideas for the plenary. Common themes With this. the confterence launched into the "appre- emiierged, but also many original ideas to which the ple- ciative" phase, designed to understanld the econiomic, nary was receptive. political. and cultural context of the Colombian electric- ity situation and to stimulate the group to come up with D.A-\ 2X: THE; AI(' ('CON Fi R EN (CE as many' ideas as possible. The participants were divided into heterogeneous The "appreciative" phase continued the next day. with groups of ten. structured to include people from across another assignmenit for the same small groups. Using the the spectrum of the energy sector and each with a group same process, they were asked to examine present reali- facilitator. They were told to come up with ideas and lis- ties. both positive and negative. Again, the groups reported ten to each other without comment or judgment. Ques- back to the plenary. With the help of the AIC consultant, tions would be allowed but only to clarif'y. not to criti- the plenary was able to reduce all of the thinking into one cize. These guidelines would enable them to come overarching vision: a functioning system that provided "'unstuck" from the present dilemma and unleash their electricity as a basic right of every Colombian citizen. creative energies. to invent without thinlkinig about There was one major disagreement. The manager of practicalities or all the reasons their ideas would never CORELCA. the huge utility that had been involved in work. Role playing as ordinary citizens would also re- the URRA project. was furious. He stood up and said duce the power differences among the group. The con- that he wanted to discuss URRA-nowi'. He ignored the ferees agreed to accept the challenge and. within one hour. facilitators' attempts to calm him. so the minister of mines the small groups were buzzing with ideas. and energy stepped in. saying "We will get to this issue The press and electronic media were anothier matter. in proper order. I ask you to wait." The CORELCA offi- Because the Colombians had almost doubled the partici- cial wouldn't take his seat. Finally, the minister took him pants previously agreed to, the conference roomii lhad aside and told him that, if he was not willing to partici- proved too small. We had moved onto a verandah. where pate in tlle process. he should leave. So the man did leave. many reporters waiting outside a fence were able to hlear The rest of the people there agreed that the minister had the loudspeaker. They took the facilitator's announice- done the right thing. ment literally. and we had quite a timie persuading them This comiipleted the "appreciative" phase or the "A" the World Bank hadn't blown up the electricity sector! in AIC. 41 THE4F AVO(R1,A) BA:NKC PA.RTICIPATIO'l(N' S4)URl lClEMMEl FrliF, INP'lTrIEN(NE I'H-Xi: rected and, more generally, that most of the problems could only be resolved with participation from a broad Next, we moved to the "influence" phase-the "I'" in AIC-during which the themes and priorities for change range of stakeholders. For instance, because the electric- ity sector was organized along regional lines, no mecha- and understanding the potential reaction in the political e f ti nismn existed for tak'ng a national perspective Into ac- environment were discussed. The same groups formed count. Colombia needed an institutional mechanism that again. They were to listen fully to each other first and could look at the issues and recommendations emerging then debate, pushing the limits of each idea. from the conference-and also future issues-in the con- In the middle of the "I" session, each group made a text of both the entire energy sector and the national preliminary report to the plenary. indicating roughly . . ~~~~~~~~~~~~~~~economy. They debated whether a national board should their agreements and disagreements. Anticipating the be created for the electricity sector or for the overall en- need for synthesis, we had asked the budget director a c . . -i. from the finance ministry to be both a facilitator and a fluence" phase. synthesizer of the many ideas we expected would come forth. He was a quiet man whose leadership qualities were not therefore obvious, but we had observed that D)AY 3: T'iE (CONTRO], Pi-i\Ei. he had an intuitive grasp of how the electricity sector The "control" phase, which took place on the third day, worked in its totality. He reviewed the flip charts and drew lines around the main themes and viewpoints, was structured so that clear outcomes and commitments Then, with little preparation, fed back a concrete, emerged from the conference. We started by putting up tetmntsnhiofhiseansrtiop flip charts around the room, each listing one of the main twenty-. mne sy'ints of their and ategc themes developed the day before. We asked people who tinued with more focus and clarity. had the power to implemiient recommendations to volun- The groups were given some schematics with which teer as "champions" of each theme and form groups. Then we asked the participants to select the issue they wanted to work. First, they were given a stakeholder map to en- ., . to work on. They tended to choose the group in which able them to analyze the strategies they considered nec-tr c essary~~~ tacivthiidaouom. Thshlpdte they had power and/or a stake, or for which they had a essary to acheve their idel outcome. T is epdte strong desire to influence. The groups were instructed to consider all of the stakeholders associated with each strat- egy and whether each stakeholder would favor or op- prepare action plans specifying what would be done by pose that strategy. They also produced an AIC table. For whom, where, and when. each of their strategic priorities, they could list all the The next morning, the groups reported back to the In p~~~~~~~~lenary. Among the concrete recommfendations were: stakeholders in the left-hand column and then indicate p if, in relation to the strategy, the stakeholder had appre- Iiistitutionial reformt. A "rector" or some kind of gov- ciative, influence, or control power. This gave some in- erning entity, for managing the electricity sector in dicators of the relative power of the stakeholders. tn At the end of the "I" phase, the groups reported again mci ntefor teholoy andesomon to the plenary for general discussion. Thanks to the syn- * Netorm, tecin. a fe on thesizing efforts of the budget director, various main f fe years: dirsioncA from hydroeletricto themes had been identified and options and strategies had for five years, diversification from hydroelectric to ?_11 ~other power sources via conversion of existing power been proposed for each theme, along with an assessment plants (hydroelectric had gotten 90 percent of the of the political feasibility of the strategies. One option, i ec proposed by the minister of planning, whose family hap- yes): nd gegapi dvers tio (te ous thirty pened to own one of the largest engineering firms, was oears: a generatilo was in atershed) to privatize the entire electricity sector. The plenary's otFincncial issues. Change in the structure and levels reaction to the Idea was chilly. reaction to the idea was chilly.of tariffs, external borrowing to buv time. Aside from that issue, the plenary looked at the list o of main themes that had emerged from the group discus- sions and voted on the top four: (a) a new direction for The groups reported these conclusions to the plenary. policy, (b) finance issues, (c) permanent improvement in and they were accepted with little debate. They had arrived the management of the entire sector, and (d) a new cli- at a consen sus by working together for the last three days. mate of collaboration among the different stakeholders. During the final session of the conference, the group Participants recognized that investments had to be redi- focused on next steps and designated a mid-level task 4 2 force to prepare a report of the conclusions. The mem- In 1986 the Bank provided a S400.000 Energy Sec- bers were appointed by the minister of mines and energy tor Management Assistance Program (ESMAP) grant for and represented all the stakeholders in the sector. Finally. work on the detailed strategy. This was carried out by this minister took a microphone with a long cord and Colombian energy experts under the guidance of the walked around the room giving it to whomever wanted Technical Energy Board and the ESMAP division. Even to speak-and almost everyone did. The team spir-it and though the elections brought a change in parties. the fact commitmenit to action could be felt in the air. In one way that the conferenlce an(d the tollow-up had been biparti- or another, they said. "For the first time, we know what san led the new goverilnment to implement many of the is happening. We came up with the answers, and we know recomimienidations detailed in the energy sector report. what to do." As people were making, their own cominit- The new policies set the stage for the Bank, the In- ments about the future. their voices were filled with emo- ter-American Development Bank, and the Export-limport tion. They pleaded with the miniister and said, 'Please Banik of Japan to each make $300 million loans, temppo- don't drop the ball." The minister respondced. "The re- rarily alleviating the financial crisis. sults of the conference have been brilliant. You have given By the time the Bank's loan went to the Bank's Board, me imy work plan for the coming year." in autumn 1987. the Colombians had al-eady met most of the conditions-which they themselves had proposed in the first place. The positions of some of the participants enabled them The AIC conference had fundamentally changed the work- to use thei- influence at the right time in the policy process. ing climate. The key actors in the sector moved fromil a situ- As tor the AIC process, the Colombians continued to ation of inaction to a commitment to detailed proposals for ask the Bank ftor help with other key issues, such as a tranis- clhange, seen in the many activities that were set in motion. portation strategy, an infonnation system for the country. For instance, the task force conipleted the report, and and internal organization problems of the state petroleum the minister- of mines and energy held a series of work- company. We have conducted approximately ten workshops shops to review and obtain commitments to implement to deal with these and other matters using the AIC process. the work plan. The report was used in the government's The Colombianls persisted with the commitment their political negotiation process in the Parliament. participatory process had produced. In the 1987 Bank The minister of mines and energy began implement- reorganization. however, the key people in the Country ing some of the workshop recommendations before the Programs Division moved on to other jobs. For this rea- final report was even completed. He immediately froze son, the Bank's follow-up lacked consistency and did not construction and set up an interim coordinating body support all the recommendations of the AIC workshop. called the Technical Energy Board. This board was the forerunner of the National Energy Board. whose creation - l * E; I E N i' N 'I' S required and eventually received the approval of Con- gress. The National Energy Board, which then replaced The process that began at Santa Marta, however, did not the Technical Energy Board, worked in cooperation with stop. In 1987 the Bank's Operations Evaluation Depart- all the entities in the sector to carry out sectorwide plan- nient undertook an in-clepth evaluation of the history of ning responsibilities and formulate policies and invest- lending to the power sector in Colombia and in 1989 is- ment programs for the sector. sued a report that described a "checkered" picture. The Later, with broad support, the minister integrated the report suggested that the Colombians continue with an electricity and energy sectors and brought them under internal process to come up with their solutions. A sec- his aegis (previously, the electricity sector had gone ond strategy session was held in Santa Marta in 1990. around his ministry through its ownI contacts reporting This strategy session led to the design of a three-year directly to the ministers of finance and planning). effort to restructure the power sector. The minister personally reported the conference con- Untfortunately, Colombia encountered serious shortages clusions to the World Bank and the Inter-American De- of electricity in the early 1990s, and all major cities suf- velopment Bank and got their support for financing an feredfrequentblackouts.Aonce-a-ceniturydrought-prob- energy sector study to help formulate a detailed energy ablycausedby"EI Nino"-primarily caused the shortages, strategy grounded in the Santa Marta conference report exacerbated by the country's overdependence onl hydroelec- along with two follow-up workshops to help design co- tric generation and the failure to maintain the actual avail- ordination mechani.sms and implementation plans. ability of alternative electricity capacity in the country. 43: TrHE; N(h'l.l) BANI BxNti I'sOI'I'A N S(t','I'sI.:m)(( ESMAP then becaime involved again. Many work- $5.00() by the Bank. In addition, six moniths of my staff shops and seminars were held involving all stakeholders time was devoted to investigating the electricity sector. in the electricity sector and provicing, "appreciative" ESMAP's subsequent work came at additional cost. mechanisms for airing all views. These also became the "intluence"' mechanisimis for clebating^. maylly of the StrIuc- ON H1.E1'1 I)N tuLal problems that had affected performance, such as the risk-laden strategy of too heavy a reliance on hydro- Originally. I had thought of AIC as a good strategic plan- electric power. lack of a regulatory mechaLinisimi, the mix- iniig tool. But, in Santa Marta. it turined out to be much inc of generation and transmissioni in the system, and more than that. It had empowered those who had to live lowv tariffs. New policies were adopted to address all these with the results to take charge of their own problems and issues includinig privatization of electric ulilities. The thei own future. It had shown itself to be a self-organiz- National Energy Board, which was originally designed ing process, low-cost, and repeatable. I thought about as an "influence"' mechaniisin to mzediate and negotiate what a change this had been from the developmenit para- among the many conflicting parties In the energy sector. digrn centered on the transfter of resources, technology, was replaced by the Ministry of N4ines andc Energy. The and skills, in which experts defined solutions. ministry's role was to work in cooperation with the na- In Colombia the AIC process continued to be popu- tional and sector stakeholclers to formulate and negotiate lar: many requests emerged from the different ministries, annual investment programiis for the energy sector as a state-owned enterprises, and even the private sector. All whole. For the electricity sector-, a new Regulatory In0111- in all. I was able to support ten of these requests, mostly mission, resembling what was recomnieind1edi at the first with money fromii di'ferent trust funds rather than from Santa Marta conference, has n0ow been created, and the the Bank's own budget resources. The process achieved Bank has recently' made a techilical assistance loan to three major successes: support impleinentationi ot'the Colombianii-bred reforimls. These activities are detailed in an ESMAP report en- * First, the process proved effective as a means to pull titled Power Sector Restructuring Prog iram Rep?ort. It de- together all the stakeholders ftor an entire sector. en- votes a chapter to the design and implemilenltationi of the abling them to understanld the whole situationi, dis- process and states that "the restructuring of the sector cuss options. and make choices for action in a con- was made in Colombia. by Colombianis. for Colonibi- genial atmilospilere. Previous attempts for organizing ans.... The role of ESMAP, the Bank and foreian coIn- problern-solving sessions had led to much acrimloy' sultants was limited strictly to ancillary support.'' almlonFg palrticipalnts. The manager of the ESMAP pr'ogram in Colombia be- l Second. the process was empowering. When the Co- lieves that the process adoptecl by tlhe Bank-not the Bank's lombian stakeholder-s saw the totality of the situa- technical advice-facilitated the chatnge in attitude that led tion. they realized that they themselves were respon- to the changes in policy. The Banik facilitated a process for sible for the conditions of the sector, not the Bank. problem solving, leaving country officials to do their OWIn not the Inter-American Developmenit Bank, nor any diagnostic work and thereby learin mor-e fully about their othel externial actors. They realized that they had to own problems and set their own future directions. take charge of formulating policies and institutional An energy economiiist, who was one of the small reforms in the energy sector. group facilitators at Santa Marta and iS now the minister * Third, the workshop-short as it was-helped the of minies and eneg-y', had this to say: "The participatory Colombianl stakeholdei-s to strengthen their- resolve. process ill the powel sector started in Santa Marta in 1985. 1 mentionied how this process. much to our surprise. It has contilued with many'. mrany seminars before arriv- engaged people's emotions at a deeper level than most ing at a schemile that we are all pleased with. I believe the conferences. For example, the Colombians after- pam'ticipator' approach was the only' route to restructLure wards refen'red to the work-shop as the "Spirit of Santa this complicated sector. The challenge now is to imiple- Marta.' Over time. in maniy clifferent settings, we ment it. This is my top priority." have seen this team spirit emerge. often expressed as a feeling of elation and harmony among the partici- 'OS'I'T; AN n) 'Fr iME: pailts. generating the energy to move forward. These feelings halve proved to be an important foundation T'he cost of the Santa Marta conference was about for the commlilitimienit, unity. and patience required $25 ,000-$30,000 contributed by the Colombians and during the frequently arduous implementatioi periocd. 4-4 Co'oNI1.I>111\: F:,4tU':(II'r I; , .i:'l)lwll:^z)ws On the downside. the participatory process was not fully continued in fits and starts by the Colombians illustrated understood in the Bank, and the two follow-up workshops for me what true development is: namely, to augment your that were organized to continue the "influence" phase of ability to plan your owIn future and deal with the problems the process were stopped. The Colombians, however, did you are facing in a democratic, transparent way. The Co- continue the participatory process for the energy sector. This lombians have set the pace and paved the way for doing led to major reforms in oil exploration policies, domestic sector work, policy formulation, and program implemen- oil price levels, and gas development strategies. The AIC tation-all as one integrated, democratic process. workshop did fundamentally change directions in the elec- After leaving the Bank, I helped form Organizing tricity sector; for a long time to come. the Santa Marta par- for Development, an International Institute (ODII), which ticipants were the initiators of refomrs in Colombia. Lead- is devoted to action learning and democratic approaches ership emerged as well. Several of the younger participants to development. We have implemented the AIC self-or- at that workshop later became ministers. ganizing process in many countries for both public and Although I would like to have seen many things done private organizations at every level of society from vil- differently. what was started at Santa Marta in 1985 and lage to global. 4.5 EGYPT M.-ATRUH RESOURCE MANAXGEMENT PROJECT Bachir Souhlal is the 77 Task Manager for the Egypt Mazrih Resouirce _' Mlfanagement Project. I The Nile irrigates more than 90 percent of Egypt's agricultural land. Unfortunately, limited scope exists for expanding Nile-irrigated land, although some potential exists in the country's rainfed areas. Rainfed farm and grazing land are mainly worked by poor tribal farm- ers who sometimes distrust government and with whom government officials have thus far had little effective contact. In late 1990 the government asked the Bank to help identify ways to im- prove agriculture in the Matruh Governorate, particularly for poor and remote farmers. The governorate is in Egypt's Western Desert bordering. on Libya to the west. the Mediterranean Sea to the north, the Sahara Desert to the south, and the Nile Delta to the east. Approximately 250,000 people inhabit this large area, 85 percent of which are Bedouins. These traditionally nomadic people have in the last decade switched to a more sedentary lifestyle. Although the goverment has attempted to integrate Bedouins into the mainstream of Egyptian society, they remain an isolated, tribal society whose leadership still performs many administrative and judicial func- tions. The Bedouin are aeong the poorest and most vulnerable of Egyptians. In October 1990 led an identification mission to comply with the wovemment's request for a livestock project in the Matruh Governorate. The mission, includ- ing a Bank researchi specialist and a consultant, joined staff from Egypt's Ag- ricuture Livestock and International Cooperation Departments for a field trip to the governorate. As we traveled the Matruh Governorate, we noted that the Bedouins are no lonaer nomadic. They had accepted incentives offered in a 47 'I EHF: VOR1,1) 1.XANU lSOU'IltIlOAt'I()N K()t R (F IIO()( government program about a decade ago to settle into a to get it from the Japanese. We faced a long delay, but. more sedentary lifestyle. They now raise mostly sheep thanks to courage on the pait of a government official, and goats. which seriously overgraze the sparse vegeta- we were able to move relatively quickly. The United tion in the area. Figs, olives, and other crops grow Nations Development Programme put up an additional throughout. Environmental degradation and poor resource $ 100.000. The Bank became the executing agent for both management practices are evident everywhere. Fortu- grants, which allowed us to be closely associated with nately, we also had the chance to talk to United Nations project preparation. But the local people did the actual Food and Agriculture Organization volunteers. staff from work of identification and preparation, instead of a team the Agha Khan Foundation, and Gesellschaft fur of external experts. Technische Zusammenarbeit staff who were working in the area. They were excellent sources of information. It became clear to the mission that a traditional live- sITTIN(; I'l A LOC(AI., TArSK FOR(CI'; stock project was not the appropriate solution. Resource First. we established a local task force consisting of ten management, particularly the capability to catch and re- people from the central government. twenty from local tain rain water, had declined severely through an endemic government and local institutions, and ten from the cycle of poverty, lack of viable production alternatives. Bedouin communiity. Local government authorities chose and uncoordinated regional development. Intuition told the Bedouin representatives on the basis of their judg- us that if things were to change. all stakeholders would nient about whonm the community trusted and respected. need to make an effort. Local people would have to This task force stayed intact, working closely together. change the way they behaved, individually and collec- throughout preparation of the project. To help them with tively. Government would have to leam how to work with their work, we hired a British consulting firm. This firm the local people and develop their trust and confidence. had the experience and capability to help prepare the Finally, the Bank would have to learn how to contribute project using a participatory approach. It also helped the its knowledge and resources to fit what the local people members of the task force prepare the types of data and were capable of and willing to do. documents needed by the Bank. (GETTtING TIME ANI) MONEY LE-ARlNi.NI(N AiVUTT MA'RI-H On returning to the Bank, we reported that a regular live- The task force-now about forty-six persons, including part- stock project would not suffice. Instead, the Bank should timie assistance from the consulting firm-set out to leam encourage the government to address the funldamentals everything it could about the govemorate and its people. To of natural resource management in the area. Initially. our start, the members combed texts of all sorts, some dating thought was to ask the United Nations Food and Agri- back to the nineteenth century. Early on I had asked the culture Organization to prepare the project. After delib- government to collect texts and prepare a local library that eration. however, the mission recommended something was put to great use by the task force. We learned a great new-an approach that would have central and local gov- deal from these texts about geography. topography, econom- ernment officials collaborate with Bedouins to identify ics, history, and culture, but we weren't satisfied with that and prepare the project. alone. We knew we had to go to the people. quickly but This approach would, of course, require both money thoroughly. We decided to use a technique, called partici- and time. Bank management agreed to the approach and patory rural assessment (see Appendix I), that appeared well time needed, but no money was readily available to sup- suited to our needs. It would provide a good understanding port the special kind of preparation we felt necessary. I of the people and what they needed through intensive and offered to search for funds and came across the Japanese participatoly contact with them. Grant Facility and an old friend in the United Nations Development Programme who was interested in what we PAR'T'11 'IATORV RUtRAXL AS SE E S SAI' 1NT were suggesting. We quickly put together and submitted a Japanese Grant Facility application. The task force formed itself into about seven teams to To our surprise. we quickly got a grant of 35 million learn more about the governorate and the Bedouins who yen, the equivalent of $250,000, with virtually no strings inhabit it. We used the following elements over a three- attached. It proved, however, much more difficult to get month period to identify what should be included in the the government to formally accept the grant than it was project and how to implement it. In each case we sought 48 1' A.l'1PT: MA.-'ITRUH lRE:>(l'RCE' 1N1ANA(:T'\IE''N'T to have groups of informants participate with us in de- land use, vegetation, soils, cultural practices, infrastruc- veloping the information. policies, activities, and insti- ture. trees, livestock, water availability, and so forth. tutions that would constitute a project that would Actually, the local people did the observing, while the sustainably help the Bedouins as well as meet Bank qual- team recorded their observations because local people ity standards: always see things outsiders are likely to miss. After the walk, we produced a transect diagram-a stylized repre- Semistructured Interviewing sentation of the area covered by the walk(s). These guided interviews with Bedouin households were conducted by a subteam of the task force. Usually we Seasonal Calendars interviewed a group of households together-an extended These calendars focus on local livelihood systems. They family or larger community. Only some topics were pre- show month-by-month patterns of rainfall, crop sequenc- determined in our preliminary planning for the interviews. ing. water use, livestock fodder, income, debt, migration, leaving room for local people to talk about their own wild harvests, labor demand, labor availability, health, dis- interests in their own way. We always asked open-ended eases. prices, and so on1. We put them together from inter- questions and probed into answers and new topics raised views with local people, using several different sources to by those being interviewed. Typically, these interviews create each calendar. Usually the calendars were created provided data about the household-how many were in at a meeting of several households at which people de- the household, how they related to each other, how they cided among themselves what are the appropriate answers related to neighboring households, the household's his- to the various questions asked. We always created our cal- tory, assets they owned. activities they engaged in, who endars and other records on the spot and in front of the did what, who made the decisions, who controlled in- group, so that data checking occurred immediately. come, who did the hard work, and so on. But these interviews did more than just gather data. Social and Historical Profiles and Time Trends They also gave both sides a feeling for and understand- We used these techniques to help understand key changes ing of the other, thereby generating vital insights. For over the years in land use, erosion, rainfall, population, instance, we learned-when they told us how they ex- tree cover. income opportunities, commoni property re- ported lambs directly to Saudi Arabia at prices much sources. and so on. We also asked respondents to fore- higher than they could get locally-that the Bedouins cast how they expect things to be in the future and how are quite entrepreneurial. they would like them to be. Again, we always did this with large groups of Bedouins to produce a lot of inter- Participatory Mapping action between us and the Bedouins, and among the Maps are especially important in rural development Bedouins themselves. projects in which planning, implementation. monitoring, and evaluation are required. The best sources of infor- Matrix Ranking mation for such maps are the people who live and farm We used this technique to learn from the people what an area. The maps allow us to collect and position a lot they thought about particular matters in both absolute of information and recognize spatial relationships. They and relative terms. We began these sessions by listing reveal differences in farming practices and pinpoint con- measures about which we needed their judgment (for straints. The shared generation of a map creates consen- example, possible project activities). Then we asked a sus and facilitates communication among respondents. group of local people to state their negative and positive At the same time, it helped the team gain insights into feelings about the measures. They were also encouraged the way people think, their priorities, and their reasonis to add their own measures and then rank order or assign for wanting or not wanting to do something. scores to the various items on the list. We did this exer- cise a number of times with groups of people represent- Transect Walks ing different tribes, areas, and wealth. This helped us This is a simple device to ensure that the team explores better focus project activities on the poorer segments of and understands fully the spatial differences in an area Bedouin society. These exercises often turned into brain- (catchment. village, or field, for example) under study. storming sessions; team members became active partici- We walked to the periphery of the settlement, along with pants, offering at times concepts and suggestions that a select group of local people, observing differences in were new to the Bedouins. These sessions produced the 49 IT-E Hl OI D1.1) UANIK P'AITI(I IPAlION SOtTIJ(' EIJ()(l(s participatory, community-based implemiienitation arrange- on 6.200 feddans ( I feddan equals 1.037 acres). ce- ments that form an important part of this project (see mented stone or gabion dikes across wadis to inter- below for a clescriptioln.) cept the water flow and create about 500 feddans of new fruit orchards, rangeland improvement and man- VOCUS-~i N(. ON~ WOMEN agement of 14,000 feddans. and more. * Adaptive research an(Id exten.sioni focuses on dryland As we went along, we noticed that only meni showedl up ftor farming andc livestock production systems, range meetings witlh the teamns (not unlusual fo r a Muslim com- maniagemlent. sustainable agr-iculture development. * munity). But women were imiportanit fo- the project to suc- and training directed at the local comimlunities. ceedbecause they takecareofssmall animals, producecrafts Amonig other things, foul subregional resource cen- for sale, haul water, harvest wood, and performiil many other ters, built to bring services (research, extension, and tasks. 'e enlisted a female meibe- of the British consult- credit) closer to the local communiities, would be ing firm and paired her with a female Bedouin veterinarian suppor-ted with adequate staffing, technicall assis- who was working on a Gesellschaft fir Technische tance. vehicles, equipment, and materials. Zusammenarbeit project. These two held meethigs with * Rurlalfinaice, in inodest amoLints, was provided f'or woImien to cover m1UCIh of the samie grouLInd covered at the small farmers, the landless, and rural women for on- all-male meetings described above, and off-farm income-producinIg activities. These vital meetings with women greatly contrib- uted to the project. For instance, although women ale The project ats proposed in the locally produced fea- publicly silent, we learned that all major~ decisions were sibility studv went through the Bank's project cycle fully taken by the men only after they spokie with thle oldest initact anid rather rapidly. Negotiations went particularly womzan in the household. When men1 saty aIt tr-ibal mleet- well: we started in April and the Bank's Board approved ings "I have to think it over,'' what they oftenl ilmeani is the project in May 1993. In my opinion, the ease of ne- they have to first discuss it with the women. But wlhat we gotiationis was due to the under-standing and consensus really learned here is that the contenits of the project hadd e developed In the country through the participatory prepa- to be socially acceptable and that womilen wouild have a ration pr-ocess. Further evidence is that effectiveness. strong voice in (leciding when it was acceptable. scheduled for the first quarter of 1994, took place on Februarv 2, 1994, fewer than six moniths after the sign- LOCA('.1, ( )WSN l1S11 P in,g of credit. Effectiveness usually takes much longer in Egypt. in part because Parliamenit must approve each In this project description. I frequently say "we." Actu- ci'edit. Parliament was closed due to elections for about ally. my Bank colleagues and I were only involved in a half the time it took for the plroject to become effective. small part of the actual work, that is. when we could visit on mission. The local team anid the local comimiunitv clid much of the work. The consultaints. like the Bank staff. MO( RE Tl IAN (COMPONENTS were presenlt only on certaini occasions. Yet. all of us who The precedling project descriptioni leaves out the most w'ere engaged in this project felt. and indeed were, part important poinit aboLt this project, which is special be- of a special community engaged in "inventing" a new caulse of its thoroughly participatory and empowering futul-e for the Bedouins of the Ma 0truh Governorate. coiiiiiiLiiiltv-based iim-pleiietitatioii arrangemeiits. `Com1- munity groups," which build on traditional Bedouin lin- Ti-IL Fix-.xL I4I:'t 1,'1'eage structures-the baivt-will prepare community ac- tion plants to tailor the objectives of the project to local It took about one year to prepare the project. The proposed circumstances and capabilities. Once the plan is prepared project containied the following componients. eachl of which and approved, the commnuniity group will be involved in was thoroughly vettecd within the large preparationl team an(d implementing it and monitoring results. A conditionl of within the constituencies the team members represented: credit effectiveness was the preparationi of three such plans, which wei'e ready on time. Natural resour'ce mnagee nt was intended prinl- The community goups will help monlitor project Out- rilv to conserve the water, land, and vegetation of comes by adding on-the-scelne interpretations to make the Matruh Governorate. The project provides 800 better sense of the nunmbers we usually collect. In addition underground cisterns, earth ancd stone contour- dikes to paliticipatory monlitoring. we will also be doing '"hi-tech" 54? monlitorillg Using a geographic information systei, whose to build, ani the trust became mutual before long. I can- satellite inages will help locus attention on natural re- not imagine that occun-rig when a group of external ex- sources and the iilpact the pro ject has on them. perts rush in andi out gathering tacts and1 miaking judg- In addition to community empowerment andl action. ments and quickl recommilenidations. Equally important, the trust ancl respect have been established betweeni the Bedouins saw possibilities to take care of what counted Bedoninis andc the government. I certainly hope it will for theml, began to think about their situationi, and made prove sustainable, and I'm enicouraged by what some geniniile comimlitmiients to do something about it. goverinimient officials have said to me about how mucih ThrougLh participationi, we lost "contiol'' of the they have learned trom the Bedouins In the process ofl project antd in so doing gained owner-ship and preparing the project. sustainability. precious things in our busiless. We also galilled more influelnce with the local people. and they ]i'[ I N(; .NI) (~'()i''S were more open to listening to our sugggestions and to the experienices of othel- people in the world that we Identification and preparation started in October 199() and could provide. Althougih we learned a lot and devel- concluded In January 1992. AbouL 3.25 years elapsed from oped understanding and empathy for Bedouin life, we the first idenitification missioIn to effectiveness. I hear thils is couldc not know what would work ftor themii in the fu- relatively ftast for the Bank. especially in Egypt and In our ture. Only they can klnow this. region. The project cost about $350.0()0 to prepare. not If I had to do this project over again I'd do some counting the cost of Bank statfftime and travel on the project. things differently, but [ would still have prepared it in a This certainly compares well with projects prepared in a participatory manner. I got a great deal of' support from more traditional manier. The real test will be in imiplemileni- colleagues in the Bank and the couLitry while going about tation speed and the quality of the outcomes. We are al- this work. But I also sometimes encountered whalt I con- ready ofl'to a good start with the speed ot'effectiveness. sider to be a general lack of understanding about what participationi can do to make the Bank's work more ef- O)N I1EI.'LLCTI0(N- fective. It was a touLh. stressful. timile-consumiing battle to prepare this pro ject. At the same time, it is truly satis- Not too long ago. someone asked me what value partici- fying to be able to maniage a project that generated so pation added to the Matrih Resource ManagelilIt Project. much mutual trust and respect w\here little had existed I said that one was that the BedoLinis realized we were not before. In so doing. possibilities opened up that did not attemptini- to use tilemi, as had beeni their previous eXpelri- previously appear to be presenit for the Bedouins or tile ence with outside authorities. This openedl the way for trust Egyptian authorities or the Bank. 5 1 INDIA ANDHRA PRADESH FORESTRY PROJEC'T An)2 Clark was the _____ T1sk Ma1,nagerftor the . Andhra Pradesh . Forestrx Project front 8 .Y, - I 1992 to 1993. . Ajit Banerjee is the fi rester iwho helped A( Ie - illitiaite the fto est - pr-otection committee alpp oacl in WVest Bengal. i I started work on the World Bank-supported project in the Indian state of Andhra Pradesh at its very beginninig. I had just finliSTed work oni a tor- estry project in the state of West Bengal in which I had learned something- important from the West Bengalis: poor people can protect the torests and earn income at the same time. In Andhra Pradesh. we helped dissemiiate the idea, but it took those of us from the Bank a long, time to discover and value this simple but effective approach. F() 1> :S.'r ('()1I"'S The idea of usilng what are now called forest protection commillttees (FPCs) be- gail in 1972 in West Bengal. At that time, the role of the state Forestry Depart- ment was mainly to protect the forests from illegal use by unautilorized persons. Foresters spent most of their time on armied patrol, hunting forest product poach- ers and evictinig, people encroaching on forest lands, yet foresters behaving like police were losing the battle to conserve the forests. Even though the forests continued to degrade rapidly, local people became increasingly aggressive to- warid the foresters, whom they generally considered corrUpt. In the Arabaii Range of West Benoal. the local people had literally throwin the department out of its territory. threateninig any forester who entered with bodily harm. One forester, however, had a different idea on how to save the torests. He felt that people living in the forests were not thieves. If they could supplement their incomes through legal forest work and organized extraction of forest prod- ucts, he believed they would not haphiazardly destroy the forests. In fact. he wondered. would not the local people actually protect the forests if they' had a real stake in themil'? So he went to Arabari to talk to the local people about a 5:3 ITHl: NVORIJ.) HA.NK PARTICIPATI'.\''llN .SOUR'1 Il(FAMOR new way of managing the forests-largely by and ftor products trom what became "their own forest." The forest- the people. On its part. the Forestry Department would ers began playing a more socially useful role than that of provide real support to the local people. who would re- "forest cop." Instead, they enabled the protection of exist- ceive somie of the economic benefits on behalf of the in g forests against fultherdegradation. With theirowneyes. oovernment. they coLIld see reforestation begininiig in areas that had ear- lier beeni all but wlitteln off by the department. AN A( 1iE' ou PEWS()NAI. CM'!IRA;I: Faith in the local people and the new approach seemed to pay otf. Over time. the news of good resUIlts for the local Although this forester-who now works with us in the people spread to other comm1i1unities. Things then began to Bank-modestly denies it, others say that he exhibited change in this part of West Bengal. More and imor-e people extraordiniary courage in introduIcilng this new approach. who lived on the edge of a forest and depended on it 1'or Simply ooing into Arabari put him into personal danger. firewood and other forms of subsistence banded together to Nevertheless, he eventually gained the trust of the local form FPCs. The creation, however, of new FPCs proceeded people. In a participatory manne-, they crafted a way to slowly because people felt wary of the (lelay in getting for- halt forest clegradation, begin reforestation, and enable mial government approval for benefit sharing. poor people to earn a legitimiate living while conservinv the forest. F1(C ii s PI1 i'.AD) r? l ALo A<; l v N ) .N' 1E: (: ()sT I .\ IA'IIO ) N The FPC approaclh began to spread throughout that state. mostly ot' its own accor-d but in some cases assisted by Developing the new forest management appi-oach joinltly local foresters. Bv 1988 more than 500 Fl'Cs had been with local people did nlot happeni overnight. however. It formlled coverini an area of mor-e thani 70.000 ihectares. took about nine mzonths of dialogue and negotiation. The A large numiiber of FPCs had sprung up spontaneously dialogue started with the foresters being fi-anlk about the following a West Bengal Governmenit Order in 1989. This nmistakes they had made in forest management andit.l ' in order- fully recogtized the verbal agreement between the dealing with their conflicts with the people. It was not foresters and the local people. which ainonig other things loIng before the local people reciprocated. They admitted entitled FPC memilbers to 25 percenit of the final Sal tree breaking the rules and explained whiy they felt they ha rl alvests. A year later. FPCs numilbered 1.250 and cov- to do so. This led to joint exploraltioni of futuLe arralnce- ered an area of I 20.00() hectares. The cost of regenerat- menlts that would take care of the neecds of the people ing the forests in this m1anniier proved remiiarkably low. while they in turnl took care of the forests. By forming about 250 rupees per hectare or 5 percent of the cost of themselves into a ulified village-based orCgalnizationl-a creating .I hectalb e of plae1tatiol1 trees FPC-villa-ers oroanized themiiselves to neLotiate with Following the West Bengal success story, the gov- one voice with the Forestry Departmienit. By negotiating ernnient of Inclia urged all state governments to adopt amoni themselves, the villagers also learned negotiat- the FPC miodel. So far. fourteen states have not only ini skills. adopted but imiproved on this model of protecting and regenleratinig degraded lands. It appears. however, that governlmelnts in India and elsewhere have been cener- ( (>5 51 >N'I NTE1RFSTSi -ic ally unwilling to share control ofiremaining non-degracded Initially, the people ofAi'abati ald tie Forestry Depaltillenlt forests with the local people. Instead, traditional gov- reached a verbal understanding- about their irespective fights emirnent forestry practices ai'e still beingg alpplied to these and obligations. Among othoer thigs. the agreement pro- frests and are n1ot workinig anywher-e near as well as the vided equality of contiibutions anid benlefits for- all ilmemil- FPC applroach to conserve the foi'est, particularly in for- bers of the commilunity. The memilbei's of the FPC took on ests with good capacity for self-regeneration. the duty of keeping the forest free fi-om poachers. FPC memii- ber-s also agreed to protect shoots tilrowin up by Sal StUmpIS 13HANKE Ii'Pl?'J FPC' IN -ES'r BP: NGAL so that they would eventually become salable poles. When the poles were harvested. FPC meiiber-s got the Wheni we approved the first Baniik forestry project in West culls. plus a percentage of the reveniue fironm the sale of the BengTal in 1981 we seem to have entirely missed the pi- good poles. But long before the first Sal harvest, mzemibers loting andl demonstration of FPCs. The Bank's maini ob- of the FPC were legitimately harvesting mzaniy nontlimber jective at the timze was to support iiicreasecl fuelwood 54 INA.%: AN DIHIRA PIRAD)I'EI-SH FORIESTRY PROJEC.T('I production in areas outside forests. This project. there- (O)FF'' A (.0m) STAI'AT fore, mahily supported creation of village woodlots. strip plantations, and farm forestry covering about 150.000 We left Andlira Pradesh feeling that prospects were good hectares at a project cost of almost $30 millioni. for reworking the existing proposal into a strong project By the time we got arounid to starting preparation foi proposal. Our discussionis with the department's leader- the next forestry project in West Bengal in 1989. it was slhip were frank anlid cordial. We felt that we had persuaded clear to us that village woodlots and strip plantations were themil to prepare a substanltial componenlt along the liies neither directly helping poor people to thie extenlt envis- of the FPC approach and that they had agreed to take a aged nor halting degradation of natural forests. close look at existing forestry policies and thei- effect on I was also involved in preparing the seconid West enlisting private support for sound forestry practices. They Bengal Forestry project. whichi largely supports the ex- also agreecd to do furtlier work in advanlce of our first prepa- tension and improvemenlt of the FPC milovement, as well ration mission that we had scheduled for May 1992. as the farm forestr-y programii. Impleienitationi is not vet We returned in May to continue the discussioni and complete: the project is behind target in creating ilew see how preparation was going. Not a great deal of FPCs in the northern part of the state. BLIt the southler-n progress had been made fromii our point of view. No policy portion is going well. Some .3S50 FPCs (up fiom0l m11ore chanige proposals hiad been preparecl anc, although the than 1.700 whieni the project became effective) now cover original proposal hacl been somewhat restriuctured along more than 65 percent of the degrat.ded for-est in the state, the lines we discussed. it was still mainily a "village including the entire southwest (about 335(000 lhectares). woodlots and strip llantations project. Nevertheless. From the air. you really notice thle flour1ishing green ar- officials had a strong desir-e to move ahead with prepara- eas that just a few years ago wer-e largely barreni. In 1994 tion ainid what seemed to us to be an openiess to a change the West Bengal Forestry Department begani reorganiz- in thinikiing and directionl. The officials asked if they could ing itself to support FPCs. get some help to prepare the project to Bank standards. anid we agreed to see if we could arrange it. On retur-ningo to Washington. we an-angTed for a con- IN'ROD()I)U('1N(G F"P('S IN A NI)IIDHR IA'PRADI:H sultant teamii to be supportecd throughi a donior country consultant trust fund. The termis of reference specified [ was also part of the January 1991 identificationl iflission that local conisultanits also be engaged. The consultanit forwhat was to becomie theAnidira Piadesi Forestr'y Project. team spent the summer of 1992 working on preparation At'ter a while, I becamie its Task Maniaaer. When we ar- tai pn iesiiie f19 okn t rprto a We of the project. Looking back. I recognize that I was not rived. we found thlat Andhr-a Pradeshl Forestry' Depar-tmenlt reallv thinking about having- the project prepared in a staff had done a lot of good work in preparinig a pr-oposal participatory manner. Nevertheless I suggested that the fior what would be thei- first operation with the Baik. The consultant team consider engaging the local consultants FPC approach had not yet been introduced inl this state: their we used on the West Bengal project. In my opinion. thev experience had also been with village woodlots and stlip did excellenit work in West Bengal. The foreign consult- plantations-supported by a bilateral donlor whio was niot ants agreed to do so. going to extend its sUpport. The departmenit was proposingc a contiluation of this approach for the new project. The MORE 1EARNING NEEDED proposal also contained requests for guns and ammunition, money to pay the salaries of more staff, subsidized distribu- In retrospect, I am glad thils happened. If this project was tion of seedlings for fanmi forestry. improving tree genetics. to be done. muciL learining bv different stakeholders had to research, staff training, and the like. take place both within the Forestry Department and within On our part. we explaiiecd that the Bank siilply does other organizations working in the target areas. At least not finance sucIh thinigs as guns. amimiuniition, and operat- five government agencies would be involved plus a num- ing salaries. We said we doubted that subsidized seedlings ber of NGOs. They' had little experience working together would be economically justifiable. In addition and more as a teamn. Moreover, the institutional competence in the iilportait, we shared the experience in West Bengal. both forestry area was pretty much limited to policing and tree with village woodlots and strip plantations on the one hand farming. Of course. the consultanits worked collaboratively and forest protectioni committees on the other. We said we with various officials on the many technical matters that understood that India's overall priority is to halt the coin- needed to be covered in the comprehenisive forestry project tinued degradation of existing forests and that the Bank is we had underkay. but a key activity carried out toward the seeking lending operations in support of it. end of preparation proved invaluable for the ftuture of this 5.70 THE; NV O)R1I) HANli 1'A ITI'1A I 1T t1( N Fi )t K ( lt4 )( Ii effort. The local consultants organized and facilitated a that when those whose institutional and individual be- three-day ZOPP (see Appendix I) workshop that brought havior needs to change grapple with such problems in a together officials from the Forestry Department and other well-designed, intensive, participatory learning experi- agencies. The lead foreign consultants and central gov- ence, the prospects for real change increase greatly. ernment representatives also attended as participants. The workshop started with a presentation of the project as it stood after the joint work of the consultants, Forestry Z( )I'P m()RIW-IdI(m)P Department officials, and the local people with whom the consultants and officials interacted during field trips. The Prior to the workshop, the consultants interviewed some head of the Forestry Department opened the session (and forty officers at various levels and locations in the in- then participated for the full three days); one of the for- volved agencies. The interviews revealed that important eign consultants described the preparation process, and institutional issues needed to be dealt with, such as coor- one of the Forestry Department deputy heads outlined the dination among the several independent departments and proposed project. About twenty-five people attended. agencies that would have to work together, inadequate institutional capacity to protect existing forests, the qual- .; ANALYS IS ity and productivity of forest work, personnel manage- ment and the highly centralized operating format of the The first order of business for the attendees was a stake- Forest Department. The workshop's stated purpose, there- holder analysis. It identified the interests, expectations. fore. became "examining the institutional framework for and potentials of all the important groups. organizations. the project to identify any gaps that needed to be filled.' and institutions that would be affected. one way or an- For most participants, this would be the first time they other, by the proposed project. Almost sixty different got to see the whole project and had a chance to think groups were identified, includinig villager-s from adjoin- about their ability to carry it out. ing forests, rural women, cattle owners, tribes, the World Although the consultants could have prescribed Bank. and so on. Ajudgment was made about the project's policy, structural, and procedural "solutions"' to these positive and negative effects on each group, and an insti- problems. they knew that such prescriptions would not tution was designated to deal with the matter. For ex- produce the needed changes. Their experience told them ample. a positive result was villagers' involvement in Figure 2.1. Problem Tree for Forest Protection Extinction of certain Increase in tloods, drouight. Reduction in flora aind fauna and reservoir situation productivity Shrinkage of c<< EFFECTS >>> Degradation of forest area forests and environment Inadequate forest protectioni <<< CORE PROBLEM Increased - Increased smuggling - Free grazing - Local population not involved demanid for forest products - Deteriorated law - Regulation of encroachimients - Mistrust of departnment by and land and order population - Political interferenice Iopulatioi - Increased extremiiist * Departmenit collects beedi leaves - Lack of environmental awareness increase: humani action * Increase plantation area * Nonfulfillment of villagers and cattle * Failure to increase protection staff * Noninvolvement of - InadequaLte facilities * Area too large and ulllinaageable department in welfare for protection staff activ ities - Lack of protection staff CAUSES >>>>>> 5(1 I N li I: AN 1) t-I P1)Ek P t) t1l UIl'O i' P'R R (R.IfI.:( -r Figure 2.2. Objectives Tree for Forest Protection Degradation alTested Extinction of flora and environment improved and fauna halted Shrinkage of Forest productivity forest area controlled increased I I - Reduced - Reduced smuLggling - Organization strengthened to handle - Local population involved demand for plantinng through FPCs forest products/ - Laws strengthened wood substitutes - Administrative jurisprudence * Double assets created available - Law agencies workload reduced * Local needs reasonably met coordinated * Interface with welfare departments - Grazing reduced through cattle * Forestrv rehabilitation measures - More protection staff upgrading and reduction of scrub * Environmental awareness cattle * Public relations improved l'Better staff facilities * Fire hazard reduced Interface with politicians Better staff incentives established protection and generation of the forests, assisted by the tree and indicates what the future will look like by solv- Forest Department and NGOs through the establishment ing each problem. This is done by converting the nega- of FPCs. A negative result for cattle owners was the re- tive conditions in the problem tree to positive conditions duction of the number of cattle: the animal husbandry in the objectives tree, with the criterion that an objective unit was designated to handle the matter. must be both desirable and attainable. Figure 2.2 is the resulting objectives tree for forest protection. P1-()mBI.E1I TRP:E A("1'1o(N PRo(GRAM The next step was a problem analysis and construction of a "problem tree." This involved the following: The next session converted objectives into the specific actions needed to attain each objective. Alternative sets * "Brainstorming" in which each attendee contributed one were created when possible. For each set, the group re- or more problems drawn fromii personal experience viewed such matters as policy, probability of success, * Clustering the problems identified during the brain- timing. resource requirements, cost-benefit ratio, and so storming on. Box 2.1 shows several of the detailed actions selected * Identifying the cause of each problem for forest protection. * Identifying the consequences if the problem was not solved. The portion of the tree dealing with the forest protection A separate two-day workshop was held with Forestry problem cluster is shown in figure 2. 1. Department staff and representatives of a wide range of NGOs. Central government staff chaired this workshop, OB.I E(TIVES 'rR]SE which lent a lot of credibility to the effort. The first ses- sion explained the proposed project to the NGOs and Having completed the problem tree, the next step in the invited their suggestions and participation. The discus- ZOPP methodology is to create an "objectives tree." The sion then focused on formation of FPCs based on a re- objectives tree is really a mirror imiage of the problem cently issued enabling Government Order. It also cov- 5.7 ITHE< NVO(1x1,) IBANK PAR,TICIPATM\ N SOV'1C'1;1OMt)1 cal about it along with those who indicated openness or Box 2.1. Forest Protection Actions -Excerpted outright support. All members of the team came back con- from ZOPP Problem tAee vinced that the FPC approach was viable. The question was :not if but howi to go about establishing FPCs. Involvement of Local After returning to Washington, we began planning Population in Forest Protection the preappraisal missioni, set for early December 1992. 1. Rehabilitation of headloaders (firewood poachers) To ensLure ownership of and agreement wvith the project into plantation activities ireport prepared by the consultants, I decided to invite 11. Participatory management by the villagers the head of the Forest Departmenlt and the head of the III. Reforestation of encroached areas under the consultant team to Washingtonl for detailed discussions concept of FPC by actively involving the encroach- ersthemselves ~~~~~~~of the proposal before preappr-aisal. It went well. The ers themselves, IV. Training of villagers andfarmersinthedevelop- two were qLuite uniftorm in what thev advocated. which ment of protected forests made sense to us. The fact that the head of' the Forest Department mentionied to me on leaving that he was con- Meeting Local Needs Reasonably sideriny a few small changes in the proposed forestry 1. Opening up local fuelwood depots, bamboo depots. treatmenits did not worTy me. and small timber depots fl. Supply of bamnboo to local artisans at subsidized rates FA.IN(G A 1.A.J)R HREAJ(I)V)VN III. Raising fodder plots in the forest adjoining the villages Preappraisal began in early December as planned. but :we were in for a big surprise. The Forestry Department Interface with Welfare head disavowed the previous work and presented us with Departments in Welfare Activities a new proposal. It was essentially the same as the origi- I. Participation in implementation of welfare in ibal nal proposal-fundin,g for additional Forestry Depart- areas ;ment staff and a huge component of subsidized seedlings for' distribution had crept back into the project. It felt like we were back to square one. I was disap- ered how NGOs could contribute to FPC development, pointed. The consultants and Forestry Department staff The workshop was fruitful. The NGOs made many valu- who had been working together were perplexed. When able suggestions for how to modify the proposals and we went to the field, we found staff' well informiied about agreed to future collaboration. The foresters also became thle project and keen to start implemenitation. The propos- less suspicious of the NGOs. als that the Forestry Department staff had seen. however; were the later version issued by the Forestry Department head, not the ones prepared jointly with the consultants. SECO (ND PRE9P.-VRAT'IOIN MIISSIO}N The problem wvith the Forestry Department head's newv When we arrived for the seconcd preparation mission at proposal was mostly related to general forestry manage- the end of September 1992. we f'ound a great deal of menit and the organizational aspects of the project. Also. enthusiasm on the part of all concerned-the officials despite earlier enthusiasm about trying the FPC approach. from the various agencies, the consultants, the NGOs. no further contacts had been made with NGOs by the For- and others. The project scope. size, and components estry Department. Except for the preparation of guidelines struck us as sensible and acceptable to the Bank. The for establishing FPCs, little else had been accomplished. FPC approach had become a major part of the project. Through patient discussion, however, the situation turned The results of the workshop gave me confidence that around. By the time we left, we thought we had reached agree- there was now a quite widespread buy-in to try the Forest ment on what would and would not be covered by the project Protection Committee approach. 1 cannot say that the ZOPP and the steps that had to be carried out before appraisal could workshop alone did this. All the collaboration among begin. One of these steps was to contract the Tribal Cultural multiagency staff anld foreign and local consultants provided Research Institute to carry out participatory ruLral assessments an environment for thought. leamning. and judgment. In ad- (PRA) (see Appendix I) to obtain feedback from the direct dition, a team of officials visited the West Bengal project beneficialies on the proposed project. sites during the fall. The team was carefully selected to in- During the May 1993 appraisal mission we found clude staff who opposed the FPC approach or were skepti- ourselves back on the roller coaster. The Forestry De- #8 I ND11A: A\NDHRlt\ P'1ADE1,1:11' (1FORE1'TRY PROJECT1:"1 partment head kept returning to the essence of the origi- leained not too long after our returil fromii appraisal that a nal proposal. On his priority list were moie staff, strip new head of the Forestry Departmilent had been appointe(. plantations. andl seedlings for distribution. It \as also We were told that the previous head had been transferred difficuIlt to persuade his team of the need to adopt effec- to another post, allegedly because of earlier problemils and tive. low-cost technologies for forest land treatmenits. changing state priorities. Negotiations took place in No- On the positive side, some movemenit in the direc- vember 1993 andc the Bank's Board approved the project tion of FPCs was apparelt. The feedback fi'rom pilot PRAs in February 1994. The project becamie eff'ective in July In the tribal areas was encouraging and included many 1994. 1 aim no longer the Task Manager for this project but specific suggestions for improving the FPC approaci. I understanidl from my successor thalt the project is still on Trainin- of Forestry Department staff in PRA had started. course and widely supported by those involved. Furthermore, an order had been issued to set up at least two FPCs in each range as soon as possible: a few hald t) ( ) already been createc. Some of the new FPCs existed only on paper. but others (for which staff had been trained) The timing and costs for this project were fairly standard were solidly prepared in the participatory' maninler that is for a foorestry project in this part of the world. Preparat- fundamentall to the success of the FPC approach. tion took about twenty months. The Bank logged I 10 staff weeks durin, this time. The conisultant contract cost Fomxt 'fNr.r I-E Il l; approximately $300.000. During the mission. our teamn concluded that we had a (N REF lECTION weak basis for a successful appraisal. What we really hacd were two projectsweore prepared collaboratiVely by The next time I do a project like this. I will build more senior memilbers of the Forestry D)epartment. other agen- participation inito the early preparation phase and the con- cies. and the consultant team and the other belongingt to sultants' teriis of rel'erence. I highly recommend hold- the head of the Forestry Department. Not that they were ing a participatory workshop for any project requiring mutually exclusive, but the latter still included a numelire important institutionial chanige, which includes. I suspect, of proposals that the mission could not Support. This was the vast majority of Ban 2 weeks 3 1.410 Ziehl test All Positive Ziehl test 0).3 141 TB treatment 63 TIN NVORE BA){11 .N1 PARIC'IPAT'IO.''tN SOURCEIM(Il(M(l (CcmiPv-ri.:i-AriIEFr P:,RTI('CIATOR I):ElYD (,N She had been doing all along what we just recently decided to do in the basic health services component. With these two tools in hand, we designed a strategy to She was also running training workshops to build insti- involve Lao health officials and personnel in the prepa- tutional capacity before project implementation began. ration of the project. Indeed, we intended to have them It was clear to me that what was being proposed in this do it entirely on their own. Our plan was to return in component had a sufficient amount of learning and com- March for preappraisal as scheduled. At that time we mitment behind it to make the implementation and would present the workbook to the counterpart officials sustainability risks acceptable. in the ministry, go over it with them. and train two of I can't say the same thing for the malaria control their staff in the use of the workbook. The blank sheets component. It was prepared using the "expert" stance. would have to be filled in-working with their provin- The experts had done almost all the work and almost all cial and district colleagues-with accurate local data in the leaming; their national counterparts had only "agreed" time for a second preappraisal in June. to the proposed activities. Although it was an excellent For the June preappraisal, we proposed holding a five- piece of work, somehow we would have to find a way to day participatory workshop involving national level staff shift the stance to participation for this component so the and key officials at the provincial and district levels. These Lao would decide for themselves and learn in the pro- were, it seemed to us, the main stakeholders in the LPDR cess what should be done and how to do it. health care system. No doubt it would have been useful to involve some patients in the workshop. But we decided against it on the ground that the first priority was to in- x+:AoNI) IiI{x\I-E Ai 1 i. volve the political and sectoral decisionmakers to gener- ate political commitment and ownership at those levels. n our return in June, we concentrated on the Basic Health The ministry officials accepted our request to com- Services Component and the participatory workshop. We plete the workbook by June and hold a participatory work- held this five-day workshop in one of the two provinces shop at that time. We decided to use some of the Japanese (Savannakhet) covered by the project. About forty people Special Fund for Policy and Human Resources Devel- attended, drawn from national, provincial, and district opment grant to do quick surveys and collect data in health care cadres. Two staff from the central level had certain specific areas (HIV incidence, private sector phar- been trained by us previously and acted as facilitators. A Thai consultant-fluent in Lao-was able to understand macies, and user fees) to help the effort along. Central Thaisconsuand-rent back to u ndersthe and provincial staff would manage the studies and hire the discussions and reported back to us on the flow of the local people to do them. proceedings. The provincial health authorities made the Satisfied that we had the basic health services com- necessary arrangements and decided whom to invite at each ponent on track, I turned with some apprehension to the level, taking care to ensure that the people at the work- other components. Fortunately, the health education com- shop were representative of the whole. ponent was being prepared in a collaborative process with The three of us from the Bank stayed in the back- the staff of the Lao Health Education Institute. I had seen ground, available to participate as resource persons if the write-ups of this component and they looked solid, asked but primarily observing the process. But we also but I hadn't paid attention to the process being used. added value in the form of a portable computer, loaded with the Dbase program our consultant had designed for that purpose, and a printer. At the end of each morning ALlfi:.srEAD 1TCi,NT(. PARTI(r'i(i'A'i'i(ON and afternoon, we entered the workshop's consensus numbers. providing instantaneous feedback on changes To help prepare the health education component we had n theg anstariabes. hired a Thai consultant who spoke Lao. She did her work by holding intensive workshops with the staff respon- sible for health education. The staff themselves diagnosed BA ;I( 1iEA1,Tl X S EIRVICES () Ri(SHOI' the country's health education problems, generated a vi- sion of what it should be, developed strategies to realize On the first day, the facilitators formed the participants the desired future, and then prepared the blueprints. They into two heterogeneous groups. For the entire five days, then went to the provinces to work with the provincial these groups, after discussing and debating matters among staff, thereby giving the central staff the opportunity to themselves, inserted data into the blank section of the apply what they had learned by doing participatory workbook. The facilitators ensured that everyone spoke, project preparation with their provincial colleagues. regardless of level, rank, or function. After both groups 6G4 1,x() PD)lR: H i:.%I.I''H SN ,'T'I>M IRI':FO UM M had com . eted their work, they compared results and lengthy. time-consuminiig process of clearing the staff rieiotiated a consensus position. appraisal report, memoranidumli and recomimiendations of Durinig lunch and dinner, the consultanit inser-ted the the president, and legal documents went on, the Laotians data into the Dbase program. From it. we printed out the grew increasingly eager to start implemeniting their humani and financial resources required to carry out the project. I was able to obtain and apply the resources of a kind of basic health services programil implicit in the second Japanese Special Fund for Policy and Human choices made by the workshop participants. The first ruLn Resources Development grant ($600,000) to start in- generated a $35 million program. an amount totally out country capacity building and begin pre-effectiveness of the question for a province of 600.000 people. The activities. This was a crucial step because it allowed us participants concluded that they had been too amibitious to keep up the momilenitLIm, to do additional learinlg and went back to the drawing board to reshape the pro- thiough piloting and demonstrating before mainstreaminlg gram by spreading actions over a longer thime periocd. It- the project. and especially to fill the financial void and eration two produced a $20 millioni program. more real- the lack of on-the-ground action between appraisal and istic but still too big tor the human resour-ces the LPDR credit effectiveness. could assemble and train. After furtiher- discussion, fur- Durinig that lengthy Bank-processing period (it will ther modifications. arguing, debating. reshaping, and likely be more thani one year in this case), the basic health computer runs, a programil of just less than $1 0 million services componienlt organiized a workshop to define theilr was developed and agreed to by the participants. 1994 preproject action program, organized a study tour Although I couldnl't uLiderstand what was being said, to Thailand, started two pilot health centers, and orga- the excitement running through the rooni was impossible nized English lan,guage and computer literacy courses. to miss. This kind of conceptual planningil was unlusual The health education componenit ran a five-week inten- for the Lao. but they picked it up quickly and used it sive information-education-communlicationi training well. Many said that they had never- worked so har-d in couIse tfor thirty participants and organized surveys in their lives, but it was well worth it. We knew that a great three provinces of people's health knowledge, practices, deal ot' "embodied"' lcarning took place with the partici- and beliefs as an essential conditioni for designinlig health pants. They learned what they themselves would have to messages and decidintg on the most effective message do to implemenit and sustain "their project." wilicih they media. The national leaders of the malaria conitrol comi- learned as the group of people who would have to work ponent called together the eight participating provinces together to implemilenlt and sustain the project. to explain the objectives and the suggested approach. Given the LPDR's fragile institutional infrastructure, it was clear that a large inifusioni of hancis-oni expatriate P R( )IJ lF:t 'T ( )'% -N ERS{ H t1 P technical assistance would be needed to assist the country Clearly. this is what constitutes countly ownershilp of a in implementing the project. Client participation and Bank-finaniced project. The vice minister with whom we project ownership are necessary but may not be sufficient worked was pleased with the workshop. He promiiised to conditions to have a successfully executed project. Expert do exactly the same thing in the other province in July'. advice and assistance is still needed in this country. As flor before we retuined ftor appraisal in September. The vice many countries, the LPDR is reluctant to use their bor- minister kept his promiise. The September appraisal wenit rowed money to pay fOr outsicle technical assistance. I off without complications, therefore contilLued to approach bilateral donors and was After returning fromii appraisal we begani preparation successftul in securing cofiriancing from Belgiulml for a S2 of the loan package for inter nal Bank review. A difficulty million technical assistanice grant-in-kind forproject imple- at this point in the project cycle was to write the staff ap- menitation. We plan to use part of this to geneirate owner- praisal report and menior-andumil and recomilimlenidationis of ship througTh participation for the malaria component. the presidenit in language that suitably expressed the spiit of the participationl mode and conveyed the essenice of the }* PA R v I ( ) N ( '0wT A NI '1'I M F participatory process used. I kept falling back into old hab- its and had to struggle to bridge the gap betweeni partici- Interestingly enough. shifting the stance in the middle patory language-with less precision and more tlexibil- of prepar-ation neither added more time nor cost to itv-and Bank standards, which demanldied a higher de- preparation. The time and money we spend (or cause to gree of certainty and precise. hard numbers. be spent) on preparation are mainly for data collection Negotiations with the country. originally schedulecd and report preparation to meet the Bank's internal loan- forApril 1994, didn't take place until August. While the processing requiremients. Workshops, participationi, 65 TIHE: BA PNI A) IA.ANli PAHT1'I( I PAT'ION SMAtZlE(BO:Ml()(Pi{ collaboration, and the like are not very costly. The real pervision missions and expatriate technical assistance choice is whether external experts do it by themselves staff will work closely with these teams. In this way, I or collaborate with the local stakeholders. If behavioral believe the Bank can effectively participate with the lo- change is the objective, the only way to do it is with the cal people in making the adjustments and changes al- local stakeholders. ways necessary during implementation. I'm comfortable with the health education compo- (ON REF1,C'TX'IION nent, because those who will have to implement it have been working on the design for about two years, includ- I certainly learned a lot from this experience-which is ing lots of training. far firom over. Fortunately, the Lao have also learnled a The use of computer-s has made a great difference. lot in the process. This learning has led to a level of in- I've always considered computers good for linear think- volvement, ownership. and commitment that otherwise ing: spreadsheets, calculating. and word processing, for could not have been attained. My Lao counterparts say instance. I had previously used "timelilne" management this wxsed to be the Bank's project but n1ovw it's ours. software to prepare and monitor a project, but it had never I'm not yet willing to place bets oni implementation dawned onl me that a computer could be used to facilitate success or failure. Fm not sure that the several months collaboration. By running the choices the workshop par- of thinlking about the workbook approach and the two ticipants miade through the Dbase program. officials from five-day workshops are enough to generate the kind of different levels and areas and with different skills had a embodied learning necessary for effective implementa- new. common language to unite them. As one or another tion and sustainability. We will need to keep at it through argued for their functional or geographic area, the effect implementation. on the whole could easily be seen in the "bottom line" I'm going to stpervise the basic health services com- the dlata base produced. I must say that this has helped poneit by repeating the kinds of workshops we arranged me see more clearly how we are imprisoned in our during implementation. The Laotians have already set sectoral and functional views of life. I also see how this Lup the health managemiient teams at the provincial and gets in the way of collaborating with each other to serve district levels to oversee and gtuide implemiientation. Su- the poor people of developing countries. 6t6 MEXICO HYDROEI,ECTRIC PROJECT Scott Guiggenheim / / -as onie of the soc ial / / scientiosts wto/rk.ing ' oil the Me(uoic Hydlroelectric 1,'''rr ¢r Proec( ft. 'g/ *! Z~~ I-I) ~ ~ ~ ~ ~ ~ -X4,,. du.e/etil daiiis. Int.d wewr rnigbhd a la, tal.w_cin,arun ,:,. .. , , I- lookedn over the dareki smoky. adobe hall and wondered how I'd gotten into this situation in the tirst place. OUI mission was supposed to comn- plete the social and envihronmental appraisal of two large hydroelectric -dams. Instead,o we were criningh be hind a large table. watching .a raing argLlumenlt develop between istcmpanfy oftficials and three or four husi ndred angry peasaits. This was not the way to begin a participatory' project. XViI \ I)oEl:sN''I' tEIwr 'I;"rI.I:.;M1:N' r W)rKl? IPvol Lintary resettlemenot in Mexico diftelrs little fiom large-scale resettlement elsewhere in the workl. Large ilstitutions, in this case, the national power com- pany (CeE). acqui-re land through eminent domain so they' can build hydroelec- tric dlams. iniigation systems, htihways. and so on. But people lilsl on that land. Four built-inl characteristics of most resettlemet situations make them in- herently difficult. Perhaps the most significant factor is that iitais imnolanterd. People dlo riot have the optionl of lnot relinquishing their land. At the same time. although all legal systems require governments to pay compensation for ex- propriated property. in pn-lctice. most compenisation sy'stems are determined through administr ative rather than market mechanismis. They usually fall short of providlinlg enough monley' to replace what's been lost, and few opportunities exist to negotiate better rates. Resettlement situations typically pit large. pow- erfuil institutionis against poor. weak, anid often (though not always) isolated commuinities. Information, political and economic resources, and organization are not eqLually balanced. Unlike Imlost other examples described in the Souircebook. the affected com- mLIllities are not central to the achievement of project objectives. It doesn't (;7 matter, for example. if local communi.111ties are comimiitted ment package that had been tried elsewhere in the coun- to developing national energy sources or not. The people try. They included unrealistic proposals for long-distance who build a hydroelectric dam normially don't want their relay irrigation to sites that subsequent research showed involvement. onily thei- departure. Managers of ir-iga- were unsuitable for agriculture or for breeding new, dwarf tion projects, who might organize the most plarticipatory fruit tree varieties that could adapt to the har-shi mounitain water user associations downstream. don't tilink of the environiliment where the people were expected to move. displaced people as project participants. Constructionl Heavily influeiced by the engineering strengtils of CFE. companies that must work against tight budgets and strict the resettlemenlt planis showed few signs of having been deadlines irarely want to take extra time to plan and conI- developed or modified through discussions with those suit with people whose major contributioni to a project whose lives they would profoundly change. will be to get out of its way. But why should resettlement be treated like this? Finally, an often underappreciated feature of the re- Wasn't there a better way? The Task Manager, project settlemenit environment is thalt the people who will be lawyer, and I thoughLt there was. I'd al-eady worked on displaced are frighitenied. Most have heard stories of (lis- enough projects to know that few technical agencies have placement elsewhere and know that the rosy visions of as full control over resettlement situations as they think new homes and farmis often don't turil out to be true. For they clo. Diversifying skills and increasilng participatioll most. losing their land is tantamounit to losinc theil souirce are not just philosophically good principles; they're ne- of livelihood in an environenlt in whichi there are few cessities. In addition. Mexico has some of the finest so- ways to replace it. For them, a failed resettlemilenit pro- cial scientists. comillunity developimenit experts. and par- -ramil isn't a 'lesson learned" or a lowered rate of return. ticipation specialists in the developed or developing It's a leap into poverty. world: although CFE didn't know it. Mexican social sci- Because it lies on the extremlie margin of the project entists have genlerated one of the world's richest litera- landscape, resettlemenit provides a test case for develop- tuL-es on resettlement and its solutionis. The skills and ment alternatives based on participation. With sucIh un- knowledge were there: now we. CFE. and the Bank had favorable preconditionis. examples of successful. partici- to learn how to work with theml. patory resettlemiient provide a special kinid of evidence AlthougIl the project was already in negotiation, our for claimis about the scope and potenltial ol' participation teamii introduced tighit conditions to require the company to imprlove developmelt, to develop an organizationial structure and obtain profes- sionals skills that would be conducive to participatory 1'{L.E'l''l"l'l,l :NIENI' IN NIl;\l( () planni.ll The Mexican delegation balked. but the Bank held The Mexico Hydi'oelectric Project was going to be the lirm. The resolutioll of the situation was helped. I have first Bank investimient project in Mexico's enerov sector to adlit, by anl eqLually intractable procureinent prob- in seventeen years. The country was in dire neecd oftelec- lcimi. Negotiations broke dowvn; for the next seven months tricity. Bank involvemilent was a new opportunity to sup- the project sponsor-s tried to raise money privately. port long overclue production, efficiency. ancd manage- Many' things had changed when they returned to the ment reforms in the sector. The project, conceived to be Bank seven monitihs later. A nationial election had trig- the first of four large loans that would be miaide over the ge'ed a nationial political crisis, followed by a nation- next two years, consisted of the Aguamillpa andc Zimapani wide campaign to improve local participationi in devel- hydroelectric dam projects and a variety of policy and oplelet. Our in-country counterpa-ts were now much institutionlal reftorms: hence. it provided an impor-tanlt more receptive to our ideas about what needed to be dole. opportunity to piggyback social and environmental i-e- Helped by late night beers. we spent long hiours in dis- formiis onto a major developmenit program. CuSSion about a new approach to resettlemilenit-an ap- The resettlemilenit plans developed for the 3.000 proach based on creating an institutionial capacity ftor people who would be displaced by the Mexico Hydro- consultatioll and participatioln. electric Project we'e neithier better nor worse than the typical resettlemenit componient. At the point wlleni the ) HAN I. I)l'([ ()I- A NE.I N4 (I' CAPACITY Bank became involved, project technilcal planning (damns. powerhouses. roads, and so on lhad advanced well be- We began by asking thiee basic questions that we thought yond the resettlemenit plans, which were little more thani lay at the root of the resettlement problem. The first was skeletal copies of a standaid (and unlsuccessful) resettle- if the companiiy knew enoughi about the people being dis- 68N ,Mi';xiu <: II Yi)ItbEL.1.4( ''1'1 placed and their needs to prepare a good resettlenient generally well runi, suchl as utilities and parastatals. can plan. The second was if the company had the skills and attract andi direct good staff once they uliderstand what experience to manage a participatory resettlement pro- is requLlired. After some discuissioIn over which qualifica- gram. The thircl was what channels were available for tions were relevant for the new position. CFE assembled the people being resettled to make sure that agreements a good group of experienced planners, economists, and were respected and inftorimiation flowed to decisionmakers social scienltists to staff the new unit. when construction schedules began tightening. Making sure that the company included UnlitS with Field-level information was strikingly incomplete. enough incentives and weight to do resettlemenit right But more important than the lack of good planning in- was part of the solutioll to the problem of power imbal- formationi was the conspicuous lack of contact with the ances. We wanted, however, to make sure that there were villagers being resettled. The company's planning teams independetit sources of information and appeal as well. had been set up to plan the resettlemenit programs and( Eacil state g.over-nimilent formed a -comite de concertacion" rAp/ain them to the villagers. They weren't eqtuipped to involving ditfferent Iine agencies andl headed by the gov- learn from them or to collaboriatively decide how they erno- to review and assist with the resettlemilent plans. might want resettlement to proceed. The National Indian InstitUte-a branch of the Educa- New teamis were recruited. This thime they caiie with tion Milistry-provided field monitoring. The company different skills and experiences. Mixed groups of young also appointed a senior, independent resettlemilent adviser professionlals-fi-omil university, NGOs, andc social worlk (an internationially faLious Mexican social scientist) to and applied science backgrotiuicis-were sent into remiiote the compalny presidenit to concluct inter-iittent field re- villages with termis of refer-ence that required them to views of the project. stay there foI three weeks out of every four. The problemii changed from one of getting the staff to listen to the 1SI.MAKE N(. TAHI siT~\I'.IEf; iNTo) A PRO()(;F AM people. to one of getting them to stol) listening.r long enough to write something down. The two projects took different approaches to turning the If giving villagers a "voice" proved surprisingly easy. general resettlemicent strategy into on-the-groUnd pro- developing an institutionial fi-aniewor-k to act on the infor- granis. Most of the people affected by the Aguamilpa mation provecl surprisingly difficult. Yet there would be project were Huichol Indians. a group knowin for their little point in havine highly participatory fieldwork if the wonderful artistry and symbolically rich rituals but also information were lost in some office building. Virtually amonig the most desperately poor people Hi the country. all of our involvement in the project was aboUt revising Aguanillpa's first attempt to organize group ineetings and the institutional design for participation, rithier than "do- discussions about resettlement among the Huichol met ing" participation oul-selves. CFE's organizationial shakeup with nearly complete ftailure. Villagers had no tradition created a new. high-level Social Development Office that of group meetings with outsiders: virtually the only such reporte(i directly to the company management. Sililar-ly, experience they'd ever had was when they were sum- each project had its own. on-site high-level office that re- moned by local goverinments to learn that their houses ported to the engineer in charge of constructioni. would be sprayed for malariai and yellow fever. Why was the company receptive to these changes' Theproject'sindependentadviserquicklyrecognized LUndoubtedly the size of the Bank loan[ helped. It was that a iore culturally appropriate approaci was needed. believed that this would be the first oftfour pro jected $500 The companiy increased the numliber of small field teams million lending operations to the Mexican energy sector and began house-to-house visits to the remiiote settlements in seventeen years. But other factors were equally Hn- dispersed in the high Sierra Madre Occidental. Local portant. The new companiy presicdent caine fromii a politi- Co ulnlllity leaders were offering to help. The project cal background and had already introduced several orga- grad(iually built a series of basic service programs such as nizational reforimis. Other changes taking place in the health, cultural recreation. and basic needs that devel- countr-y's own development dialogue were leading to oped trust beftwe they moved into the resettlemenit dis- more requirements for environmental and social impact cussion. After years of "top-down" planning, the analysis. Given the virtual nonexistence of such units Huicholes for the first time began contributing their ideas withill CFE, the plan we'd developed durling negotiations about good locations, proper housinig designs, and where was as good a start as any. to find the right priests (mawo 'katmikes for a proper inau- Filling in the organizational boxes with qualified staff eur-ationi. The video we made of the project ends with a was the next step. In my experience, comilpaniies that are small grouLp of beautifully costumed old men, sonic of (i' TII.: NVORIA) BANKi I'AR'I'I('II'\'ION 9)IT11IHI:I( the Huicholes' most respected mari 'kames. blessing the elsewhere. The conference brought together engineers, large dam and new villages. researchers, activist groups, and academics. Zimapan was a different kettle of fish. Lying in The mor-e open, more participatory approach drew Mexico's central plateau. these comm1lunLities have favorable reviews from unexpected quarters. Articles in marched across the pages of Mexican history for hun- nationial and ilternational newspapers compared progress dreds of years. The irrigated orchards that would soon in Aguamilpa and Zimapan favorably with resettlement be flooded, for example, were expropriated fi-om large elsewhere. Visitors from as far away as the United States h?acielda.s and given by a grateful governmienit to its revo- and South America were also struck by the high degree lutionary supporters during Mexico's great agrarian re- of local involvement in the initial program. form of the 1930s. For centuries they'd lived in a hostile svmbiosis with the outside world: they depended on ~~~~~ . .~~~~~~~~~~~~~ INSTITtFI I'ONA I, Ri?E ;I ;TAN UP: employment in the large grain hacienldas of the rich, yet internally they'd had to repress dissensioni to avoid los- The first sign that implementation would not be all milk ing their lands to hungry outsiders. Unlike the Huichol, anid honiey came when a new head of the social develop- they were used to collective action. The ejido assembly inent unlit was appointed. Concurrently serving as politi- hall, where we had first met the villagers. was the forum cal adviser to the conpany president, he removed many for all secular decisionmaking. of the most competent staff. Field morale plummeted. More recent developments had led to somlle deep cracks The company also decided that it did not like reporting in the social structure. Seasonal mieration to Mexico City to independent monitors, whose analyses couldn't easily and the United States reduced many people's ties to the be discarded when they reported bad performance. An- land. The poor harvests and shared poverty of fonner years tagonisms with Zimapan villagers flared up again when was giving way to a new crop of parabolic anltennas on villagers were excluded from the company's replacement adobe huts. Dissatisfaction with the religious hierarclhy lanld selection committee. The company, unused to so had plowed the way for extensive evangelization by Prot- much ouLtside scrutiny, was reasserting itself. estant missionaries, further dividing the communities. Relations with the Bank also became more brittle. The participation strategy in Zirnapan was more 50- Reports bv the inidependent monitors showed that sev- phisticated than in Aguamilpa because the strategy itself eral of the agreements reached with the communities (and was negotiated locally. Community antagonism toward us) were not being fully implemented. At times, Bank the first resettlement proposals had been so intenise that pressure seemed to be the only way to induce a response. people had repudiated their official leaders, who had ac- ceded to the company's plan. and formed their own lead- ership. This evolved into a "negotiating committee" that IPR()JiM1,E1i11 N I'I'H IPARITI(11CATI'ON developed a protocol for all resettlement discussions with It wasn't just the power company's intransigence that CFE: full disclosure of information, joilnt financial au- made for difficulties. Village-level problems also made dits, no individual deal makinog and so on. Although the the participatoystrategyghardvto iprleme Two prob- * ~~ ~ ~~t, L_ the participatory strategy hard to Implerment. Two prob- new resettlement unit was allowed to field social work- ers,theonlybininc arrncrment Nvre hosesigedIems .stood out. First, despite their snmall size, the com- ers, the only binding arrangements were those signed munities themselves were highly factionalized. Partici- jointly in the monthly meetings in the assembly halls. pation was defined as imiuch by who didn't want to work Saul Alinsky would have been proud. together as by who wanted to make joint agreements. Second, the commilunities were highly stratified. One TIi I E-ETIF "IlEIF.NTI i . group of farmers was desperately dependent on land. particularly on the irrigated fruit orchards that would be The company as well as the villagers liked the new ar- destroyed by the reservoir. The second, more diverse rangements. Field tensions quickly diminished. Particu- gr-oup consisted largely of land-poor or even landless la- larly in Aguamilpa, the farmers came to trust the new borers who had left the communities to work as braceros teams and even started coming to them for advice. As in the United States. Although most of these people had the new social development staff started to think about started off poor. many had become relatively wealthy once long-termii social impacts caused by CFE's development they received green cards that gave them access to regu- program, the company decided to hold a nationial resettle- lar seasonal employment. ment conference to discuss the approach being devel- As long as the issues confronting the communiities oped forAguamilpa and Zimapan in light of resettlement were general ones that applied to everybody, commilunity 70 Nli1;x1( e: Hovj)H( F:l,u:(-'1'1i1{ leadership could negotiate fair deals on behalf of every- skills or experience to run them. Coming at the same one. But once the big issues were resolved, private deal time as Mexico's dissolution of commlion property ejido, making and special arrangements guided by the interests the villagers opted to sell the replacement farms negoti- of the rich became an increasing problem. Poor people ated with the company rather than move there, despite were increasingly excluded from resettlement their original agreements. It seemed less risky to com- decisionmaking, and over time a new, small elite devel- bine rainfed farming back in their home villages with oped within the community that jealously guarded its seasonal emigration. In other villages, in which the ap- monopoly of power, sometimes through force. proach evolved to the point that farmers could select their own land, it appears that resettlement went smoothly. WOM)1EN'SF '.I(IX XCompensation payments provided another flash point. Initial underassessments by the company were sud- Rich and poor weren't the only fracture lines in Zimapan. denly matched by an equally absurd overassessment by When CFE began its first community consultations, many the community's negotiating committee. Company threats of the participants were women, because their husbands were matched by community visits to legislators and on- were off in the United States or other parts of Mexico for site work stoppages. For the first time. compensation rates the agricultural harvest. Initially too shy to speak up in were renegotiated and assessments raised to reflect the public meetings, they became more assertive over time. real costs of replacing them. Even some of the resettlement demands changed. Once the women had a chance to say what they wanted, nego- tiations had to include not just requests for land but also some credit to open sewing shops or a small bakery. No easy way exists to measure accurately the costs of This didn't last long, however. As the consultations our more participatory approach to resettlement. On the began to produce tangible actions, the men attended Bank's side, the costs consisted of little more than tak- meetings and women were increasingly scarce in the ing me along on regular missions. Our role wasn't to do monthly meetings. The social workers, who were mostly the participation, only to help the company form and young women, continued to visit their homes and trans- implement a more participatory program. Incremental mit their requests for schooling, health, and other ser- costs for the Bank, therefore, came to about twelve weeks vices that rarely occurred to the men who now domi- of staff time over the two years that I was with the project. nated the meetings. Women never again had the same The cost issue is less clear when it comes to the bor- voice in the big negotiations with CFE. rower. The two projects have been the most expensive resettlement operations they've ever financed, costing at WH WhAT 1HAPPE.1 NED:I)? least double the most expensive previous program. There's no question that the higher resettlenient costs are I left the project about two years after the first villages caused by greater participation; negotiation forced com- were moved to make way for the coffer dams, although pensation rates up considerably-at least to market rates I've tried to maintain some contact with the Bank staff and probably somewhat beyond them. The company also and consultants who have taken over. had to form social and environmental impact units at a Aguamilpa supervision reports that resettlement is time when the Bank was otherwise recommending sub- working well, a particularly encouraging outcome be- stantial staff slimming. cause the Huicholes were especially vulnerable to the Project costs must be weighed against the benefits debilitating effects of mishandled resettlement. During gained from the new approach. Aguamilpa and Zimapan my last mission there, not only had all of the resettled are among the few large dams ever completed on time in families remained in their new sites, but relatives had Mexico. Although not every delay in the other projects started to move into the area. can be attributed to fractious resettlement, many can be. Resettlement in Zimapan's main villages got off to a During roughly the same period that Aguamilpa and bad start when people from the largest town discovered Zimapan were being built. two other large dams-not that one of the ranches bought by the project's land se- financed by the Bank-were canceled entirely because lection team lacked the promised irrigation water. Fur- of resettlement protests that blossomed into armed con- thermore, as the villagers studied their new, irrigated, frontations and marches into Mexico City. Because of highly capitalized ranches, on which they'd formerly been the enormous costs of dam construction-nearly a bil- low-paid workers, they realized that they didn't have the lion dollars for the two projects-each year's delay in 71 THE NVO)RIAL) HANIK I'P\A'I'II'I'I(IN SOUR'I- 'EIMM)( project commilissioniing would have implied foregone Not all the lessons are positive ones. Pressed by time benefits that exceeded the total cost of our entire partici- and swept up in the enthusiasm and camaraderie of a patory resettlemilenit package by orders of magnitude. new idea, we didn't operate with a clear understanding I think that the program's social benefits exceedecl of the limits of our participatory approach. nor with an the econonic savings. The project's "participatory objective assessment of our role in making it happen. stance 'led to happier people, not just ainonc the resettlers Field visits by Bank staff led to local beliefs that the Bank but among the technical staff as well. Durilng supeIvi- was on "thei- side." Such sentimenits led to strong re- sion we repeatedly met field enginieers and supeIvisors sentments in government agencies and raised legitimate who commenited how relieved they were to be working questionis about the Bank's proper role. on1 a project in which they didn't feel sulTounded by hos- How important to the overall outcome was, in fact, tile, bitter people. the Bank's work in introducing a more participatory ap- Finally. I think that the nation as a whole benetited. proach to the project'? It's difficult to step back enough There isn't any real way to capture the true costs of us- to provide a fully objective evaluation, but I think the ing state power to force resettlemzent, but they're high. Bank made a limited number of critical interventions that Resettlement colonies in other projects we visited were paved the way for new ideas. The Bank's big compara- often squalid places, mired in poverty and unhappiness. tive advantage comes from its focus on policies and in- The children of Aguamilpa and Zimapan are already back stitutionis, not in "doing" participation per se We helped in newly built schools, on their way to becoming the create the enabling environment that provided incentives country's next generationi of engineers. economists, and and opportunities for CFE staff to work with the com- perhaps even anthropologists. munities, insisted that the company assign qualified staff, and introduced cleaner lines for decisionmaking. We 0 N R? E FLE f; ( "U I O) N played ailmost no role in developing the specific partici- patory methodologies and activities. This is not a case in which hindsight produces a much That said, there's no question that the Bank's sig- clearer vision of what could have been done differently. nals were heard throughout the power company. De- Certainly it would have been better to begini the participa- tails of the long discussion of resettleimenit at the Bank's tory approach earlier instead of having to rebuild from a Board were known by every engineer we met. As the fragile and already confrontational base. Yet many of the project advanced, the Bank's Mexico Department di- project's problems were not really related to planning. rector and the energy division chief gave the project a My experiences in Aguamilpa and Zimapan taught big boost by visitilg the communities and meeting spon- me a lot about participationi and development. More than taneouslv with some surprisecd resettlers. These visits ever before, I'm convinced that people make the projects. were as important for the impression they made otn CFE Yet, good people trapped in powerless positions can managemernt as for any facts they found in the field. achieve little. Resettlemenit in Aguamilpa and Zimapan Perhaps most important of all was that the Task Man- worked because the power company hii'ed good people ager made a strong point of visiting the field sites on and gave them a mandate and sufficient resources to do virtually every supervision mission, no matter how brief what they already knew how to do. Once the field teams it was. Knowing that the Bank would come led to flur- were in place, many of the ideas they came up with w'ere ries of activity before and after our missions, during much different from what I would have suggested, but which some of the annoying problems that had been usually they were better, lingering on through bureaucratic iner-tia were magi- Resettlement also worked because community con- cally solved on the spot. sultation and dissemination of information was so much The other big mistake we and CFE made in the project better than in any previous resettlement program. People was in riot thinking carefully enough about the implica- may not always have agreed with what happened, but they tions of commiunity stratification. Particularly in Zinapan, were rarely surprised by it. Furthermore, because there most of our assumptions abouit communities' abilities to was so much more openness about what was supposed to make satistactory collective choices turned out to be wrong happen, NGOs and other state and national agencies were "Letting them decide" often turned into a way for unequal able to pressure Mexico's civil institutions. Peasant resis- village social systems to become even mole unequal. tance committees visiting slate capitals may have been Could we or CFE have done much imore about it than troublesome to project managers. but they returned resettle- we did'? I'm not sure. In their few, short years of life, ment to the national political system in which it belongs, development projects cannot undo social systems that 7_ .Al EN5 1(0' : H E I)R0L(l5ll '1a R have developed over centuries; this applies as much to mess up resettlement. They used that trip well, comment- the big bureaucracies with whiicih we work as it does to ing self-consciously about the differences among the lev- the small comimlunities affected by projects suchi as this els of community participation in the program and adapt- one. I'm not convinced that we have the analytical and ing that program's creative approach to participatory operational tools we need to deal with the local-level monitoriig of housilg conistruction. We also imailed dowil problems of conflict and inequality that we face once we a huge amount of literature on participation and resettle- get through the highier-level problems. ment that was copied and circulated. Several years after I left the project, I asked my in- What they liked least was the Bank's lack of self-aware- counti-y counterparts in the diffetrenlt Mexican agencies ness duriig field visits. They thought we were fair game for what they thought we'd done well and where they felt anlybody who wanted to manipulate the missions-from we made big mistakes. Somewhat to my chagrini, nobody project heads who warned staff not to relay bad news, to singled out the Bank's use of a field anthropologist with wily farmers who saw a chance to get a new round of con- years of experience working in central Mexico as being cessions. Some of the more thoughtful people noted that especially important. Instead, they focused on the Bank's because of the project's size. CFE and. by extension. the -weight, " the fact that such clear signals about participa- Bank. transfornied and often in effect replaced traditional tion came down to their own managemnent. More than conduits and mechanisms for local decisionmaking. Nei- anything else. they said, the consistency of our overall ther the Bank nor the company, they said. had ever under- message opened up space for them to try new ideas, of- stood the ramifications of these changes on a regional envi- ten despite strong internal opposition to changing the sta- ronment. These are good points that I return to often. tus quo. One senior enginieer, who strongly supported Finally. I hiave to say that introducing a participatory the changes. told me that he believed that the Bank has a approach was not all fun and games. Old ways fighit back. lot mor-e power to introduce changes than it thinlks it does We had our share of good times. and many of my in- and a lot less than the government thinks the Bank does. country counterpar-ts who developed the project remain The question was if the Bank had a clear enough strat- not only close friends but also people who have gone on egy and resolve to make institutions like his more open to reforimi projects elsewhere in Mexico. Still, it would to a participatory approach. be naive in the extreme to claim that all it took was a They also liked some of our technical exchanges. launch workshop and participatory trainiing to get the new Early into the project. I helped organize a visit to the approach adopted. "Buy-in" and "ownership" are part of Hopi-Navajo relocation program in the LUnited States so the story, but so are Bank pressure and willingness to our Mexican team could see how industrial couLitries also stand firimi on agreements. 73 MOROCCO ENHANC1ING THE PARTICIPATION OF WOMEN IN DEVELOPMENT Sunita Gandhi is the . Task Manager for the Ki Economic anid Sector I Work: E,zhaic-int g the Participationl of Womrieni in Developmnent. * 4~~~~~~ r F 641 - ; w A -t - A" 4~~~~~ hy not ask the women themselves?" This was the question that kept running through my mind as I sat around the table one afternoon with members of my division. We had been called together to discuss an issues paper that had been prepared as a forerunner to the Morocco Women in Development sector study. Here we were, sitting in Washington, talking about the different thiings that could be done to help the women of Morocco. yet no one had thought to ask the women what they wanted. So when it came my turn to comment, I expressed this thought. My division chief imimlediately endorsed it. Both he and our director were re- ceptive to the idea of a "bottom-up" approach. Shortly after our discussion, I was asked to manage the Morocco Women in Development Sector Study. STAIRTIN( ilN A "(Oh) (I'UE" Because participatory sector studies were not customary in Morocco, I real- izeci we would have to start by bringing together key Moroccan stakeholders from governimienit. academia, and the NGO community to share their experi- ences in working with women and get their ideas on how we should proceed with the study. To do this, we organized a one-day workshop in July 1993 in Rabat. This event marked the beginning of the preparation process for the study. It was also the start of a long and involved effort to build consensus for partici- pation at all levels in the country and within the Bank. Now. you must understanid that we were starting all this in a "cold cli- mate." The Moroccan government finds the question of women's economic 7 5 Till: NV O)I.l) B:AN I'XIUICIPATIION SOiiUCIMIS(II( indepenidence to be controversial and up unltil this point women s issues. I think the neutral banier of the World had been reluctant to even disc lss it with the Bank. Di- Bank helped facilitate dialogue between the two sides. rect participationi of the local populaltion in development Through the course of the afternoon. I could see that strategies is also a sensitive issue. As a result, getting the people were gradually shedding much of their initial skep- ministries to attend a workshop on womenes develop- ticisimi and were beginning to think more about cooperat- ment turined out to be mucih more complicatecd than first ing towaid a comilmon goal. envisionecl. By the end of the workshop. the group had endorsed the use of a participatory approachi. Withi regard to pri- II) EN tIFY IN'\ 15-(; STA K i, \ 1)i:RE orities. different views emerged during the debate. which were iiitegrated with those of Bank consultants who were The first step was figurinig out whom to invite. We knew preparing the back_round documenlt based on a review we wanted to involve all those working with or inter- of existing liteirature. Out of this emerged four principal ested in the affairs of women. Withi regard to goveril- areas of concentr-ationl in order of their importance: (a) ment stakeholders. we invited all relevant ministries, literacy and education. (b) labor-saving technologies, (c) which totaled nine. We also hacd local conIsultanlts corn- mlateinal health and preventive health care. and (d) ac- pile lists of all NGOs and academic institUtion1s that were cess to creclit. doing work in this area. By the end of this process. we This list represented ovr collective view of their pi- hiad identified all potentially interested palties-or so we orities. Now the big question was if the women would thought. come up with the same priorities. If not, whliose view Our -overiinment counterpart for the stuLdy was the Couflts:> In addition, how would we reconcile these dif- Ministry of Agriculture. Due to the nature of the topic, ferences in views not only between its and thieml, but also however. we were faced with a prevailing reluctance on between various parts of the coulitry, because it was also the part of the other ministries to participate in such an quite possible that views would differ among regions. event. Nevertheless. I persisted in organizing this meet- ing becaLuse I believed that withiout a consenstis at the (H10,IN( A T'HNIQUE ministry level. we would never achieve the support and leitiinacy needed to move the process forwvard. I sooIn When I retul-ned to Washington. I was caLitiously happy realized that I would have to change tactics to bring the about the gence-al consensus on using a participatory ap- different ministries to the table. So. instead of billing this proach for the strategy development. The next step was as a higih profile workshop, I decicded to presenit it in a choosiiig the right technique. I believed that local women niuch less threatening way. as a 'Joint discLIssion" with arc probably the best experts alound when it comes to those involved in women's activities. I visited each min- knowing what they need and whiat they are (or are not) istry personally and asked them to attend an inforimial willing to do to bring about the desired chiangtes in their gathering to discuss tile issues. On the day of the work- commun.1ities. I knew I needed an approach that would shop more than sixty people attended when we had ex- not only allow us to talk with womenl about what was pected only twenty-two. Not only was every milist-y we important to them but go beyond this to involve them visited represented. but participants from woinen's NGOs actively in the policy formulationl process. Tllis was my ancd other groups we hadnit known even eistedl heard shopping list, but I didn't know where to look. about the meetling and turined up. I think those who at- I mentioned this to a Bank colleague one afternoon tended were a combiniation of people who were genu- over a cup of tea. He suggested that I consider using par- inely interested as well as those who were just CLII;OUS tO ticipatory rural appraisal (PRA) methodologies (see Ap- see what the Bank was doing. pendix 1). This was completely new to me. but I decicded to look into it. The first thing I did was call Dr. Robert THlE FiHR1T WO(!)RKSHOP)' Chambers at the Institute for Development Studies in Sus- sex. After an encouraging conversation, he graciously sent The objectives of this first workshop were to deterinilie me all sorts of m aterials on PRA. I immer-sed myself in priority areas for the sector study and discuss a partici- them. drawn by the seeming dynamnism of the process and patory approach that would enable us to identify womeni's the way it allowed people to modify their views as their perceptionis of their own clevelopmenit. I shiould mentioni contexts ancd priorities changed. PRA seemed well suited that this was the first time that government officials and for our purposes. but I still had miiany questions. How could NGOs had sat down tooether at the same table to discuss we correlate qualitative responses with "scientific" data? 7 6 MOROCCO ('o: *WOMiEN IN DU1.A' ElO01'ME:NTl' Is it worth the extra time, money. and effort'? Will the Mo- local people is a sensitive matter and shouldc be done by roccans want it'? Where will the money come from?' Could Moroccans. Second. it was an issue of capacity building this be done on a large scale'? Although I still remained a within the countr-y. This left me in a dif'ficult position. I bit skeptical. it seemiied worth a try-particularly after a knew that there wereni't maniy PRA experts worldwide. comparison with other approaches. A few weeks later. I let alone within Morocco. How was I going to find twenty hir-ec two PRA experts and took them with me to Mo- or so Moroccans experienced in this area'? rocco for the seconicd workshop. In the end. there was really only one option. We w ould have to traini local people to do this. As you probably know. trahiiiiii prolgraniis-let alone PRAs-are not conimionly 'I HE SECO'(ND) NVOIRISHOPI C_ - a part of Bank-financed econlomilic and sector work exer- We held the second workshop in November 1993 with cises. As such, this issue was debated quite vigorously at approximately the same set of stakeholders. This time the departimlental and regional level at the Bank. My man- around, the purpose was to discuss the specifics of uni- ager-s were nlot as conicernied about the methodology per dertaking participatory fieldwork and the possibility of se but imlore about the cost effectiveness of incorporating using PRA. One of the PRA consultants introduced thle local-level participation in a sector study. I would have to participants to the basic principles of PRA and explainted do some convincing to get the fLunids to do this work. how it could be used to contr-ibute to the study. A great deal of debate followed her presentationi. Many qulestions T E'1S NT (i TIHl: 1'i(oS ANY (' )N S were raised about how the regions would be selectecd for PRA and who would conduct it. One prevailing concern At a seminar- on gender hosted by the regional vice presi- expressed was that the results would be qualitative and dent. I was given the opportunity to talk about the sector not "scientific." How would this kind of' inforimiationl be study. At this time. I mentioned the problems of finding incorporated into the rest of the study'? funcis for participatory work. I ran through the benefits 'I'he consultants and I did our best to respond to the coilpared with the costs of using a participator) approachi. cluestiotins andc concerns. Durinig this discussion, we mnade whlichi in my view were that it would (ai) lead to a greater a point not to try to influence the participants in any one dialoguie between governmnent and nonigovernment insti- direction. I certainly lidil't have all the answers. as thils tutionis (somethilng that was currently lacking in the coun- was new to me as well. I shimply presented the pros and try), (b) lead to greater ownership of the strategy by coons of using the methodology and why I thouoht it made Moroccans at every level, (c) contribute to empowering sense within the context of Morocco. Then I asked them people il rurlal and poor urban communllities by giving what they thought. them an opportunity to assess their owIn needs and pro- As I look back. I see that detachment is an important pose solutions, and (dl) likely lead to better implementa- principle when presenting options, particularly on the part tion anid sustainability of follow-on projects. of the Bank. The Moroccans are particularly sensitive about Then, of course, I stated the cons of using a participa- anything "assumed"' about or forced on them. So I made it tory approach, that is, (ai) participation may be time and clear that they could take it or leave it-the choice was resource intensive, (b) it raises expectations among- local theirs. This approach put the Moroccans imimiediately at populations that may not be fulfilled if projects are not ease. It let them know that they were in control and that Forthcoming. (c) it is organizationally and logistically nothing would happen without their approval. This really troublesome. and (d) becaluse methodologies used are not set the "learniln-" mood. From this point on, we were "scientific."the legitimacy ofthe results iiay be questioned flooded with questions andl ideas. Everyone was interested by various expemis. Fortunately, the conclusion drawn from and eager to know' more. We received manl1y suggestions all this was that the benefits of participation were likely to regarding regiolial site selections ftor the PRA. exceed its costs in termis of extra tine and resources re- quired. The regional vice president's special genider fund providecd the critical funding we needed to move ahead. The main outcomile of the one-day workslhop was a gen- (Wj? Hvi ()THEI , eral conselnsus on1 giving PRA a try. Participanlts, espe- cially governmelnt representatives, held the strone° view In Februally 1994 we decided to runi a pilot PRA session. that Moroccans should be the ones to carr-y out the PRA. I had heard that Gesellschaft fur Technische no0t foreign consultants. First, it was felt that talkiilg to Zusammenarii-beit (GTZ) was runniinig a program in the 77 'IE 1 ORiA) BANIr PA'TIC'I('I'''ATION SOURF'I :It(I' (II Zagora area and had established a relationshlip with the stat'f NGOs. academics, and a few members of the bilat- local populationi there. I contacted the headl of the pro- ernl donor community. Its theme was "Usino Participa- graam who offered his staff to carr-y out the pilot. We hir-ed tory Mlethods." We intentionially held it in the South of a PRA consultant from Singapore who joined two local Morocco away from Rabat. in a town called Ouarzazate. womeni from GTZ and one from the local university to so that fewer people would attend. The interest was so carry out the four-day exercise in the rural village of great, however, that despite the inconivenience of travel Tinfu. In this wayv we were able to "piggybback on the and expense-which had to be borine by the partici- work of GTZ. All this, however, was done in conjunc- pants--more than 100 people showed up. Sixty partici- tion with the Ministry of Agriculture. our iin-couniti-y coun- pants were firomii goverinmenit (it is interestinC to note that terpart for the study. Fromii the pilot, we learned that mien's this was a significant increase froii the ten who had at- and women's views were diffe-erit. Whereas men wanted tended the first workshlop ancl twenty who had attended to build bridges and roads. womieni's top priorities were the secon(l). clinics, amnbulances, electricity, running water, and col- The workshop began wvith an overview of the gov- lective ovens. This showed us that womieni's time hori- emilinleilt ot' Morocco's Strategy for Integrating Women zons are short and their gL-eaitest concerins lie in meeting in Developmenlt and the role of the economic and sector theil- imninediate needs and removing the bur(denis of their study. This was followed by' a presenitationi on the impor- daily drucgery. Although rulal womenC vIalued girls' edu- tance of participatory methodls in preparation of the sec- cation they viewed it as a lon_-terineed achlevIle tor tucly and the strengths and weaknesses of PRA coiln- only after their most pressing basic needs had heen met, pared with conventional survey research minethiods. Next This was a significant finding given that w'e-that is gov- camiie the fun part-the inter-active and practical exercises. einiilenit, NGOs. academics, and Bank experts-as well as (quatitLtive studies had all idenitified education as the s ~(;I'I i'ii W%Ho) KN0W)\F? t'irst priority above all else. These results contfirlmed my belief that we were moving in the rig,ht directio n anld that MuIcIh of PRA training is based on the concept of ''em- we would learn a ireat deal by con(Luctilng PRA oni a bodied learning" througih social interactionis, game-play- wider scale. The central problem. however, of how we i ug. gro-Up(dylnramlics and soon. We wanted to.get people would integrate this information with the formal quanti- to shuedn thiri pi'ececeptiomls and start thinking in new tative sector analysis remained to be seen. ways aboUt whose klnowledge couLits. To set the right miood. we began with a warm-up exercise that I have since D)0'13S'I'i i''TART'1' C'RIEI'JNG JIN namied "Guess Wlho Knows'?" With the exceptioni of two people, the group was asked Task Managers w'ho have supported participatory processes to gather in a circle and join hands. They were instructed will tell you that it's harcl to do when you are only in the not to let go or change the positions of their grip during country ftoir a few weeks at a tilme. I CiLlickly found out that the exercise. Next the facilitator asked them to entangle these sorts of undertakings are dynamnic and reqluire coin- themselves any which wav. They found this to be quite a tinuous interaction with the diffeerent stakeholders. Par- lot of fuin and caile up with all soils of contortiolns! The ticipatory economzic and sector work is a completely new two outsiders were theni asked to help untangle the mess. concept in Mlorocco. particularly when it attempts to bringt They were not allowed to touclh-only give instructions local stakeholders into the policy dialogue. Anything lnew as to who should do what. We started timing the process: is bound to r aise a lot of questions. So whell new person- six minutes to sort out the contfusion. nel in certaini miniistries beg an to ask questions-aInd I was Next. the group was asked to r epeat the exercise and not there to answer- them-thiey started makilln assLIuIp- entangle themselves once again. This tilme it was the tions. Unkinown to me or my Bank colleagues, these mis- facilitator's turn to give instruction, but she simply said uiderstandings and lack of in-CouLntry presence would lead to then. "Untangle YoUrselves! Aia-in we tiimed it. "JJust to difticulties down the r-oad. over 10 seconds!" the fiacilitator anilounlced. "What do vou think of this?" The group wvas surprised and excited. (;ls:NI:R uI, ( )RI F.N'l'.\'l'l(IN \\-1HtIsSH111' They bloke lIp in1to smiiall grOUpS to discuss. Olne conlCdlL- (,ENE'RAL, ( )RiENT1AT1ION ~Te rk sion was that ''local people kniow better hlow to get out of Meanwhile. I was back in Washington busily preparint their- own mess because they live in it." Another- conclu- ftor the two PRA training workshops. The first was a three- sion was that it took mor-e thie for outsiders to sort things dav general orientation workshop held for government out, cespite thieir good inten1tions. Others, however, ques- MO(ROC>((O: WVOMNIN IN I)DE:VAl,0PNIE:NT tioned if this really represents what occurs in reality. This an opportunity to test some of the methods they were led the group to ask. "What is our role as outsiders'?" learning. It was agreed that at the end of the ten days, The facilitators began a discussion around the role twenty people would be selected to go out and do the played by external experts in the development process. field PRA. Through discussion, participants concluded that outsid- Preparations for the training were going smoothly, ers have another, more effective role to play as "cata- but on the other side-the bureaucratic side-we were lysts" or '"facilitators" as opposed to leaders of the de- experiencing lots of problems. We discovered that going velopment process. The exercise helped them to under- into the field and talking to local people required a "visa" stand that when people are given the opportunity and from the government. It took yet another round of per- encouragement to help themselves, they learni how to do sonal phone calls and letters to get most ministries to it in the process. agree. The Ministry of Economic Affairs and Statistics- The remainder of the semiiina- consisted of maly such the key ministry when it came to fieldwork and re- activities, which the participants enjoyed and ranked search-however. did not respond. We were not sure until highly during the evaluation as preferable to the lecture the last minute if the field mission would go through. format. The participants felt that learinig about PRA by doing some of the actual group exercises such as map- ping. ranking. and drawing matrices helped themn better t SUDDEN BRE* appreciate the value of participatory methods. I am cer- When I arrived in Ouarzazate for the training mission, I taim that these interactions contributed toward a level of was informed that a new person had just taken over as understanding and commitmiient on the part of the par- government liaison with the Bank. Apparently, he was ticipants that no amouLnt of lectures or book reading could under the impression that the Bank was trying to circum- have achieved. The flood of interest in the upcominlg. vent the government and go directly to the people. These intensive PRA training workshop came as no surprise. misunderstandings had in turn been passed on to the di- rector of statistics-the man in charge of granting our AN- EMBLARRA l:IENT OF UHICH:s clearance. He was angry and wary of our motives. He felt that we were trying to carry out the fieldwork with- Everyone wanted to attend. yet we had spots for only out his knowledge, despite the fact that a representative twenty to thirty people. I was amazed that so many would from the Department of Statistics had agreed to the PRA go voluntarily into a village setting and endure such rough at the November workshop. I decided to fly to Rabat to conditionis. This was a bare-bones villaee with no elec- request permission to proceed. tricity or rfinning water. We had asked each minlistry to In the meantime. the governor of Ouarzazate, who restrict their nominations to two people and each NGO to had attended the opening of the training workshop, had one person. Even then we ended up with thirty-four (thilty- become interested in the program. His presence at the three women and one man) and a long waiting list. Many opening sessioni had given our project national televi- people came up to me personally that afternoon and ex- sion and media coverage. Ironically, all this attention pressed their disappointment in not being chosen for the served only to fuel the suspicion of central authorities training. None of us could have predicted such a level of and made things worse for us back in Rabat. To add to demand for training in participatory techniques. In pro- the difficulty of my situation. the governor himself asked viding this training. the Bank is helping to build capacity me to proceed with the PRA activities in Ouarzazate, within the country to undertake participatory wvork. regardless of whether we received permission to do so fromii the central government. I thanked him for his sup- port. but knew instinctively that I was better off not mak- THURALNlNUi IN A V'ILLA.AE ',E'r'iI[NG. ing any promises. We had been working in an environ- For the ten-day intensive PRA training, we wanted the ment of uncertainty from the beginning. There was no participants to live in a rural setting. We decided to hold telling what would happen next. the training in Sidi-Filah. a village two hours east of Ouarzazate, which was accessible onlly by dirt road. All B1ACK TO SQA>i Eh' 0NE the participants. trainers, and Bank staffers (a total of some fifty people) were to stay with village families to "Final clearance has been denied." This was the message I see if trainees could endure such living conditions for received on arrival in Rabat. I was in a state of disbelief as extended periods of time. We felt it would also give them the new governimenit liaison with the Bank and director of 79 Tii NVORIA) BANE PA'TIC'I'l('I'AT'l'ION SMOl{I'UCE)li statistics started raisiln the same old issues and questiolls over a f0olr-imonth period and covered five rLral and two that we had been answering for the past year. It was as if I urban regionis. The trainees were divided into teams of was starting all over. What were we doing in Ouarzazate'? three. We sent five teams to rural areas and the remain- Why was the Bank siding with regionial governments? ing tive people to urban areas. Within each region, the Furthermore, the director didn't understanid our method- teams covered four or five doC1ar7/s or- villages, often in ology and did not agree with some of the selection criteria isolated regions and desert commllunities. The first step and the regions we had chosen for the study. He was an- was to meet with the local authorities and bring them on gry because he perceived us as flouting the authority of board. We explained what we had come to do and asked the central government. Again, I did not try to debate the for their assistance in selecting which villages withini their issues with him or deftend my position. I simply presented region would be most suitable for the PRA. We found the pros and cons of the PRA methodology and the ratio- that gainling their- support from the beginning ultimately nale for wanting to involve local woomen in formulating ensured that our work in the douars progressed smoothly. the sector strategy. After this I said. "if you don't think we Most d(luars conitained anywhere from fifty to one should proceed with this, I don't either. This enthie effort hundred families. In doing the PRA. our objective was has been based on conselnsus. Your support of this is im- to bring together memubers of the comm11ullity-both men portant. We will do what we can to persuade you. but if and women-inl an open dialogue to generate learning you do not agree, we are willing to withdraw the team." and spark innovative thinking on a wide variety of is- With that. the attitude of the director changed dra- sues. The team used a numiiber- of techniques. including maticallv. He had been afiraid that the Bank was trying to open-ended interviewing, focus group discussiols. Ilia- run the show and was visibly relieved to realize that the trix ranking, mapping, and seasonal and historical dia- Moroccans were in the driver's seat. From this point on. grammingi to bring out the rich experiences and local he was much more receptive to everythini I said. At first, knowledge of the villagers. he asked us to hold oft while the governmiient undertook This was a highly interactive process in which the their naticonal census. This would meani a delay of more par-ticipants were able to modify their views as the PRA than four months and possiblv Imluch longer. I decided to went along-adding to theil- previoLIs models or maps. present to him the risks of delaying as opposed to the shifting priorities. rethinking their strategies, and invent- benefits of doing. First, I explained, the newly trainied ing new options-as they began to view and discuss their Moroccans might forget what they had learned if the PRA problems, constraints. and opportunities in new ways. was postponed: second, the outside trainier-s wvere already The process was iterative and continuoUs. Each exercise in the country, and I was not sure they Wvould be avail- built on the intormation anld ideas generated in the pre- able if we did this later: third, too much delayv might lead vious one. For example. during a focus group discus- the Bank to decide to withdraw its support for the study sion, womeni identified certain top priorities but were because of a perceived lack ol' governmiienlt interest: and undecided on1 which of these was most important. The fourth. several critical projects were coming down the matrix ranking exercise helped them clarif'v their priori- pipeline that would need a strategy for integrating women. ties ancl think through the choices they were making by Little by little, I could sense his reluctance dissipating. giving each a fixed number of points (representing The last obstacle to overcome was the selection of regionis. money') and asking them to allocate these among a list of At this point I realized how worthwhile it had been to spend needs that thev had identified earlier. When asked to look the extra time and energy developing the elaborate (thirtv- at the same issue in a differenit wvay, some womnen foulld point) selection criteria and site designation through a pro- that they valued one item mor-e than another and as a cess of consensus. The broadly based support we had gar- group began to articulate and understanid the reasons why. nered by involving the various ministries fronm the start gave It was a learning experience ftor the team as well as the legitimacy to the site selection process. In the end, the di- participants to see hiow their responses changed and rector made only one change to our regional lists. We re- evolved during the course of the PRA. ceived our "visa" ftor PRA the followilg day. FX'I P()%% E RI N( ; V( )1IF N ('RT RY Hy(I ( )I M'1' P. RL 'lr II '.VI'( )h' IR' .P- APP'RA]SA.I In oUr efforts to discuss problems and find solutions to the constraints facing local women. we were always care- Now that the director of statistics had given his final ap- ful to include the men and work with them as well. We proval. we were ready to begin. The PRA was conducted realized the importanice of their participation in this ef- sio NXIoIzo('b: wom)NIEN IN i)E:EIA)I'NIEN'I fort and the need to sensitize them to the hardships women synthesized them, we will be presenting the information face. These group interactions helped them to understand in a language and format that has been filtered and for- how constraints on women affect the family and village malized through our lens. But, I believe it's equally im- as a whole. In this way. they became part of any collec- portant (and more powerful) for local women to present tive solutions. So, although women remainied the focus their own findings using their own locally constructed of our study. we knew it was essential that those who floor diagrams and models. I think lots of people assume held the power-the village men-were involved in the that local people can't solve their own problems. My process. It was clear that without their support, change guess is that it will be quite a revelation for many to see would be impossible. that village women not only have the ability to identify Having said this, we noted that organizing women constraints and invent solutions but that they can be quite into focus groups for discussion and decisionmaking had good at quantitative analysis as well. empowering effects on them; in at least one instance, it The locally (lerived strategies that will be presented gave them confidence to take the initiative to improve to Moroccan policymakers will constitute a fresh source their circumstances. Shortly after the PRA was completed of information. With regard to the sector study. we will in one v illage, local authorities visited the community. use these findings to enrich the strategy document and As was customary at such meetings, the men were seated refine some of our assumptions. Not only will this input at the fi-onit of the room and the women gathered at the influence sector recommendations, but it will be avail- rear. On this occasion, the representative of the local able to help guide the future work of the participating people was quite vocal in expressing the community's ministries. desire for installation of tube wells (in locations situated conveniently near his own home). ON REFIA:TION Suddenly. a woman at the rear stood up and voiced her objection to this request. As a result of the informa- We are not at the finish line yet-the months ahead may tion generated during the PRA, she was much more aware still bring further uncertainties-but I can say that intro- of what was good for the village as a whole. Along with ducing participatory economic and sector work in other women. she had worked through a cost-benefit Morocco has not been easy. We have made many mistakes analysis type of exercise that showed that a tube well along the way. but I know that's part of the learniing pro- would only benefit a few. She then put forth her own cess. We hope that, by the end. we will have insights to suggestion for a collective oven, which she argued would share with those who are interested in undertaking simi- benefit many more of the families in the village. She re- lar participatory sector studies. ceived support in this from many of the other village Already, I can see the impact that this consensus-build- women, who then also felt encouraged to speak. These ing process has had on everyone involved: government women had gained strength from having done their own ministries that only last year showed marginal interest in analysis and examining the pros and cons of various op- this initiative are now eager to be the main conductors and tions. The consensus they had built around these priori- sponsors of this study; a broad range of government offi- ties during group discussions and focus groups gave them cials and NGO personnel have been exposed to a variety the power to speak and the knowledge to defend their of participatory methods and techniques; a smaller group choices. We heard many similar stories from team mem- of their representatives have received PRA training and bers returning from their different regions following the field experience that they will be able to pass on to others completion of the PRA. in the country; and the director of statistics is now in favor of utilizing PRA on a larger scale in Morocco-perhaps NExT FrirPS within the context of the nationwide census. Participation in the context of economic and sector The next step will be to bring representatives of the work has not only generated interest, ownership, and women who participated in the PRA together with se- collaboration among different government agencies, nior ministry officials to present the priorities and strate- NGOs, and research institutions, but, more important, it gies for their own betterment that they themselves have has opened up a realm of possibilities for involving local devised. Although we have taken our PRA results and people in their own development. 81 MOZAMIBIQUE ('OITNTRY IMI'`FI, IENTATFION IREVIEWN' Jacomina de Regt rIll.s the, Tksk Mimi- igerf ifr tllh Coo, \ b. ._ Review' -- , in M'oc,-,abi1ue.JW ozainbique hals been at war since 1964, first to gain indepeni- dence from Portug-.al in 1974 and theln a-ain for some ti-tteeni years in a civil war. This meanis that allyolne Llider the age of _ T 9~0-albout ha11 the pOpU]ationl-does niot kn0ow whiat it mleajis to live in peace. Mv tirst exposure to this couLIntry at war was in December 1988 while on a Bank mission to Maputo. Maputo was then a desolate city. Shops and houses had been boarded up andc abandoned by their owners. Few cars were in sight. People got ar-ound on toot. Telephonie service was erratic, and electricity andi water were only occasionally available. Foocl and( other amnelli- ties were scarce. Two years later. I was assigned to the Bank's new residelit mlission ill Maputo. By thel. things had improved somewhat. But it was still a difficult place to live. More thani anythingt else, however, the difficulties and frustra- tions I faced revolved arounid getting things clone at work. I did not realize just how difficult it was in Mozambique until I actually lived there. Previously, I had comie as a member of a Baiik mlission, well looked after by Mozambique officials. I know now that the attention we received was at oreat sacrifice to an official's governimienital and personal responsibilities, which had to be set aside when Bank (and other donor) Imiissiols arrived. Ex'rRAO\RDnNARY I'EIFVOIRT1 I i EQUI-REL) But we in the resident ImlissioIn had to worki with the government day by day. Without extraordinary efforts. even simple things COuldi not get done. Picking up the telephone seldom resulted in reaching the rihlit person or even any per- son. If I wanted to get somnethincg to someone. I had it sent by mlesseniger. And F3 if I wanted to see someone. settin,g up a meeting could ministries and the project implementation units of Bank- take a lot of time. Living and working in Maputo allowed financed projects talking to each other about the real me to understand in a differelt way why the Mozambique implemenltationl problems they faced. In doing so, we portfolio had so many implementation problems. A gen- thought it might be possible to develop a network of sup- eration of war simply does not produce the kind of policy port for implementing Bank-financed projects. and administrative environment needed to implemenit. Having been placed in the field to improve imple- much less sustain, good development projects. mentation. I had responsibility for designing and orga- Although the war was a handy scapegoat on which nizinlg the CIR. I thought to myself that perhaps this to blame problems, I also realizecd it was more than just would be the real start in Mozambique of what the re- the war that was causing the problems. Clearly, too little gion is calling an "'impleimenitation culture." The more I communication took place among the various parts of think about it, "culture" is a good word. because it in- the government, a situation that was not really a conse- clucles everyone. And clearly, everyone must work to- quence of the war. igether and learn to understand each other's constraints to implement a project in Mozambique. RCf1O(iNIZIN(' TlIE 1'1 ,E)BL1F I)EiN ['(. A P.vAr'F1i(.IvPr(AI' (CJR Donor-finlaniced projects almost always have prolect implementation or coordination units staffed with well- The facilitator of the Mozambique Country Team team- paid. competent people. The fact that these people often building retreat did a great job. I asked him if he could come from government service weakens that service and help me design and facilitate a participatory CIR for demotivates those left behind. No two donors follow the MIozambique on short notice. We would use a workshop same procedures, thereby immensely complicating ad- format in which all participants-government and ministrative actions in government. No wonder imple- Bank-would work together intensively on the problems mentation problems occur. Maybe we are part of the prob- hindering project implementation. Fortunately, this fa- lem also, and maybe we can do something about it. cilitator had become interested in w hat we were doing In addition, the administrative system was hierarchi- and reshuffled his workload to be with us. cal. operating on archaic rules and regulations often based I hurriedly put together some materials about the on old Portuguese codes. Virtually all the decisions were Bank's Mozambique portfolio, a draft schedule for the CIR made at the top. and two process and outcome scenarios. One scenario was Then, in January 1991, I returned to Washington to of Bank and government staff learning together how to attend the Mozambique Country Team retreat. The coiTect implenieitation problems and committing them- retreat's purpose was team building. We chose to "build" selves to doing so. The other scenario was that the Bank our team by working on a real piece of work. designing would study the problems, report them to government, and the format ftor the next Mozambique country implemen- recommend the solutions. I gave them to our facilitator tation review (CIR), scheduled for February 1991 in for reading on the plane. I also shared them with my coun- Maputo. We also sought to claritfy the roles, functions, try team colleagues to get everyone thinking about it and and decisionmaking powers of the country team com- to see the differences between the "participatory" scenario pared with the divisional team. The seminar was facili- and the "Bank-mainly-does-it" scenario. To push the par- tated in a way that had some Mozambique Country Team ticipatory scenario, I asked the Central Bank to invite all members playing the roles of various government offi- the coordinators of Bank-financed projects to a meeting cials while others played normal Bank roles. to iind out what topics they wanted on the agenida. The four agenda points idenitified during that meeting were Amaintained throughout the process. 15NSUAITTS AND PWt')BSlIAT1IES EA11IFI{RGES 9 Something important happened at this unusuial retreat. IiN1T[F'N'I( TrHiE ST.AKEHI,)ERS By identifying and playing the roles of the various stake- holders in government, the enti-e country team together The fiirst step was to determine who should be invited realized the lack of unity in the government of and find a way to get them there. At the Mozambique Mozambique. We began to see that we might be able to Country Team retreat we had already identified the Bank use the upcoming CIR to bring together the various parts participants, about fifteen in all. We wanted a large Bank of govern1ment. We hoped to get the core ministries, Inze contingent to ensure that we talked not only to the gov- 8i4 INI ZX \A N I 1I(QL 1,;:: ' ( )L 7N 'I' 1,: ' [ I I I I'I.I; : II.: N '1%'.\' I ( )N I .1: N I U%.5' ernmenit officials but also to each other. On the country floor. We asked the participanits to choose any four carids side, we targeted the core ministries and the agencies that interested them-except their owi-and begin a dis- implementing Bank-supported projects. Our target was cussion with another participant not known to them. to get, at a minimum, all the Central Bank and Fhianice After the discussiois, the participants "brainstormed" Ministry staff hanidling World Bank-supported projects. and categorized a list of major problems. The following pIlIs the project di-ector or cooridiniator- or both of each list then becamne the agenda for the CIR: Bank-supported project from the implemilenitingit agenicies. All told. the minimuimiiuill workshop would have about * Role of project implemilentationl agencies sixty participants. We decided to limit it only to the Bank's * Procuremilenit work because we believed we had a lot to do to develop * Disbursemilents a better working relationship with our in-country coun- * Planning and fimonitorinig (budget, accounting, audit. terparts. Once a sounder relationship was established, we and evaluation). could then invite other donors. A N.WA WYO VO1' W()R KING( 1')(;E'riiI:R (O)NVEN FNG TIHE (CIR VR I 1I HI)I' The opening session workec. People's moods had Once the facilitator arrived. we quickly got to work. We changed by the endc of the session. I could see this clearly went over our invitation list with the goverinor of the in the way people spoke to each other and to the group. Central Bank and cliscussed the way we wanted to runl paying less attention to rank or organizational location. the CIR. We asked the governor to issue the invitations More importait, the participants set the agenda for the and stress the impor-tance of attendi.LT CIR instead of having it set for them by the organizers of We set the CIR for February 26 through MatcCh I- thle event. Perilaps this may seem unexceptionial to some, four full days. A seminary just outside Maputo afforded but lr mainv, per-haps most of the participanits. this is the adequate space andc isolation from day-to-day' work pres- fiirst tilme they attended a meetinig or semiiiar- in which sores. The resident mission provitled the supplies, mainly the agenda was theirs to create. flip charts, magic markers, anid the like. The seminary We set up small gr-oups to work oii the various parts provided shimple but adeqLuate food. Buses brought the of the agenda. We-the organizers-assigned the par- pai-ticipailts in the morninigl and retur-nie(i them to the city ticipants to the various work groups. We had multiple in the evening. gOroUps working on each issue. At the end of the session, The vice governor of Banco Mozamnbique (the Cen- each group made a report of its findings, conclusiolns. tral Bank) and the World Bank resident representative and recommenidations to a plenary session. The plenary opened the session. Both made short, appropriate theni discussed the validity of the findings and the utility speeches welcoming the participants anl(d stating the ob- of the recommendations. jectives of the workshop: We repeated this format untild we comlpleted each of the fLoul agenda items. We, as the ormanizers, maintained * Identifying obstacles to project implementation control over the assig-nmenit of participants to the various * Finding ways to overcome the obstacles g roups. W;'e dlicd this to give as many par-ticipants as pos- * Incorporating what we learnecd into ongoing- and fu- sible the opportuLity' and experience of working with dif- ture projects ferenit people. I must say we received a lot of opposition * Creating a spirit of teamwork andc conistiuctive dia- on this. The small groups wanted to stay together after logue among all concer-ned, they had gonle thri-ough the diffiCult process of establishing a way of wor;kini together and hacd worked out their "in- ternal" hiera-chy. Neverthieless, we stuick to our gUlS. On the afternioon of the third day, represenitatives of We used a "white car-d" exercise to get people acquainted the small groups began to work on prepar-ing an annex to with each other and accustomecd to the openness an(d in- the CIR final report summiiarizinig the diiscussiolis about foorimiality of the session. The purpose was to break the each agenda item. Wlhile thlis was goiog onl. an executive oldi mold of extreme formalisimi in working together. We committee consisting- of the operationis adviser and resi- *ave each person foul- blanik cards and asked each to write clent representative on the Bank's sicle aLid senior Central one importanit implemilentation problem on each card. Bankl and project officials ftor the governiment, was forimled Next we shuffled the cards aiic (lisplave(d them on the to prepar'e a summary report. We set up each group with a 8 5 balaniced epresentation ofgoverninent and Bank ofticials * A ULnit should always be responsible for project as well as both core and line miniistr y gover-nmiiient repre- imn1pleimenitation. Such a uniit can be placed inside the sentatives. The flip charts fioml the previous smal1 grIOUp ministry if the project cleals with only one agency or presentation1s were available as input as well as the ch1ar-ts outsidie if the project deals wiith several minlistries prepared by the faCilitator during the plenary discussions. and agencies. * Project imiplemenltatioln unit funlctiolns should be har- LoCAL~, PAHITI('l PANT1', TIA KI' THE INIT mTIvt,; nonized with those of the miniistry, which implies that at timies project implemenltationi will be slower At the initiative of several local people. we established two witlh only gr-adual imnprovemenelt In the capability of new a-enda items and set up groups to deal with these ne- existinl ministries. glected matters. As one of these focused on "inforniation * The dilemima between capacity building and project needs." weiasked thedirectorof'planning to work withtlhem. implemleintationl needs to be addressed explicitlv. The secon(d dealt with 'pay and remunerIation01 issues, so a Project implelentation UnitS shouIldC onlyv coordinate MNiistry of Finance representative joined the (group to implemenitation. They should not be implemilentingT piesenit Tovernmeneit s latest thinking on this matter. bodies. This needs to be addiessecd in all new projects. The work of repor-t preparation anld the new agTenda The question of salary and remuneration also needLs item1s started on the afternoon of the third day and con- to be lookecl into seriousLiv as this issue is causinl tinted during the moninil of the fouLth day. The "pay' distortions within the government and relmlulneratiol" group decided to split itself i two. * The WNorld Bank needs to standardize its criteriai and with working-level staff of the central bank constituting elhliminate delays in responiding- to "ino objections" to the secondc roup. By' lunch, each of the groups had coin- procuem1lent. It shouldc contilue to offer traininc pleted its wvork of prepalingt anlexeS and the Summ11ar'y courses. develop standard contiracts foi technical as- report. After lunch we condlucted an evaluation session. sistance. create a procuremenlt library in Mozam11- again Using the "white cai'd" approach. We clistributedl biqCIe anid establish a systeim to back LIl) Task Man- the final repoit at the endc of the evaluation session. agers so someone is always pi'esenit at headquiLitels to handle plroculenlenit requests. 9 The Central Bank's ability to hanldle disbuisemiienlt 'iand payment requeSts Shotildi be clecentialIzed. The miniister-s ot' healtih andc edLuca6tion, thc vice mlillistel Project imlplemenitation Units should be trainied to of agriculture, and the vice *govcrnol ot the Centi'al Bank handle the disbursemenit and paym1enit requests them1- canie to the closing session Each working group miiade a selves Central Bank staff working with the public brief piesentation of wVa11t the annexes andCl the summary \,vill be instructed to be molre polite. repol-t conicluded. The miniister of health closedt the ses- * Thle Ministryl of Finance and the National PlanningT sion and took a tough stance on the needl for change in C0ommlissionI shoull be actively involvecd in pro ject the way the Bank organized and sent iaiss'iOfl to preparationl to enable sectors to propose irealistic in- Mozamlbique. The ministerl ui'ed the Bank to ensuLe that vestmnent programns that will receive an adequate i'e- its mllission milemilbers know' about the country before al- curr-enlt budget. The Ministry of Finance and the rival andc also know the whole dcevelopimenit plan. This Worldc Bank should harmonize the accounting re- would, he said. i'educe thle burdenl onl government olfi- luiremellts To solve the huge backlog of audits the cials to "educate' Bank mission members. Cential B3ank will recLuit one audit agenlcy to carry The minister's tougI tallsk oosk somce of the paitici- out audcitS for all projects. pants by surprise as it is norm0al tOr sucSh sessions to end with platitudes. I felt good about it. as it signaled to iime I think that somile of these Iecommendations would that we had accomplished Our objective of cireatinig la new haIve beell Much less franiki if we haid clone a CIR in the atmosphere of openness and franikness witlh onie another. 'egular wavy. On the other hand, the plro ject iinplementa- tion ulitS had So much anger ancl frustiationi with the centli'alized decisionmaking system that it would have hRE: it LU rhbeen hard to restrain them] eveni if we wanted to. W' all learined a lot at this session. The recoinmnen(da- With loLir yeais' hindsight and thiee ClRs uLIClel my tions conistituted a longl list. Some1 o)f th1e inl1poitanlt ones belt. it is clear to me that 'power' was the ireal issue at these meetings. The Central Bank and for'eign exchange illCicLdeci ttie follow inl:rr Nt ( )ZA NAI II( O'TIT:: ( (1 N 'I' Itv NI'I.ENENTAlTIO' (N H EV I EW contiol departimienlt resisted any attempt to devolve responi- proaches in going about our work. I do not see it that sihility or delegate decisionmakin, to the line a-encies. wayv We have no choice but to practice participation be- cause development is a social process. It OCCuI-S when people come together anid choose new behaviors that thev have learned about by working together. There is simply My imimlecdiate eValuatioll of this participatory CIR was no othier way to bLild ownership and a productive net- positive. In my opinioin. the CIR achileved its three, al- work of relationships othier than by involvill tile elevant beit modest, objectives to (ai) idenltify obstacles to project stakelholders in participatory sessions suchi as this. In the implemilenitationi, (b) finhd ways to overcomile the obstacles. final anallysis. it is the process of collaboration thaat cre- an(d (c) create a spi-it of teaLilwork. opeliness. andc conl- ates ownership and lasting relationships. structive dialooue among all concerined. We dlid the next CIR in October 1992. in essentially \A'e woulcI, of couIse, have to wait to see what effect the samlle mnnI'ler as in 1991: in my op0)inio it worked the CIR Wouldl have on the design ot' new pro jects. but well. Quite a bit of opposition, however, camie fromil the we all kinew what we had to clo. CentraLl Baiik on the "inforiality" of the process. They The participalits evaluated the experienice positively clearly let us kn1ow thalt they preferred forimial andl well- as meaCsured by the fact that twice as malny positive com- rehearsed mcetings. Although we ciropped the "games" ielints were written thiani neaative conlilienits on thle white to accommiio)date the Central Bank. we went fLulther- in cards prepared for the evaluation discu,sio1. In nzy oph1- the second CIR withi tie flexible agenda. In part this was ionI, the following, techniques enabled reail participation forced on us by events. The Mozambique peace accorcl to OcCUr in all othelwise ftormal. hierarchical society: was ratified on the fiirst day of the CIR and the secondi was declared a public holiday. We therefore conicenitrated T TIe "wh ite card" exercises, becaLuse they broke the on the " essence' of the process: a series of negootiatiolis t'ormiial meetingy customI1ary in Mozamblique among stakeholders to eilter- into "contracts to remilove Assign1ing people to grouLps in a way that providedl the imiiplementatioil bottleniecks identitied duringtheCIR. the opportUllity for everyone to work seriously witil For inistLiance. a g'roup of project coordinators would walk every other person at somie point into the smiall room in which the Ministry of Fiianice * Asking the participants to set the CIR agenda staff was located and try tO get them to Commilit thenm- Having everyone parlicipate in writing the final i-epoll selves to a period for contract clearing, whereas the * Using a skillecd, experienced facilitator (even thoughll pro ject coordinators would commit themselves to sencl- the facilitator (lid not speak PortuCuese). in, in the whole dossier ftor a contract. Unquestionably. wlhat wve started in 1991 still per- One of the local participanis captured the essence of mieates the way Bank an(l ooverinmenit officials intelact what I believe the seminar producedl by saying: "It will in MozamINCbiLue. Compared with other country teamis or be years before the public adiniliistr-atioll will work- efti- other CIRs that I have attended in neighborino countries. ciently in our country. For the foreseeable future, work hierarchical formalismi is now much less present in both will be accomplished based on who you know, and1 now the formal and informal interactions betweenl the Bank we have created a networ-k of personal contacts that will and government officials. facilitate project iilplemiientationi in the future." The overall record of imiplemienitation progiress. how- ever. has not impr-oved dramilatically. linplemilentation C os;r9 1'breakcdownsS still occur muchi too often. We now resolve breakdowns :faster throughi the network established dur- As Icalculate it, tlis CIR cost approximiiately 50 percelt more ing the ClRs. But systemic adminiistr-ative problemils still thani if we had sent just a few key Bank staff. Most of this cost exist. Maybe the par-ticipant at the first CIR sizecd up the came from the unusually large numiiber of Bank participants futuL-e well in saying it will be years befoi-e the systemi is we sent to the CIR and the adciditionial two days we spent on it. efficient. In my opinion, this Was thiiie and moniey well spent. But I feel thalt the main reason we have not madle mioie progress is our failure to encage the political level- {N RE1ILECTf0N the minlisters-in the participatory process and network. They are wlilill to come to the start and fiinish but are Somie people seemn to thiliik that wve have a choice in our apparently uniwilllinc to engage In the social learning and business between participatory andi nonparticipatorx' ap- invention that goes on during the participatory process. F4, ITHE1 WVORIA) BANK PARTICIPrAT'IIN l Officials at the lower levels are not able to make major good example of how one can get the message across changes without the support of the political level. lnvolv- that implementation is important. The Bank sent one ing the political level in the participatory process is, as I single message: until you get implementation moving see, a major challenge that we must learn to overcome. (defined as getting disbursements up). there will be no The reason the political level was not engaged suc- new lending. This review did have the continuing par- cessfully also has to do with the fact that unltil quite re- ticipation of political officials: the coordination and cently. the implementation culture had not really perme- implementation staff considered their participation a posi- ated the Bank. If we only raise implementation issues tive sign. every eighteen months and spend the rest of the time on I think even more could be done to develop an imple- lending and economic policv, the message is clear: imple- mentation culture. This probably includes broadening the mentation is really not so important. dialogue by including other stakeholders who can affect The third and most recent CIR (July 1994). now re- action on the oround such as donors. NGOs, and benefi- named the "country portfolio progress review.'' was a ciary representatives. NIGERIA WVOMIE,N IN AGRIC ULTURE Katrine Saito is ___ thle Task MVfanager ftor the Bank's Women . in Agr-iculture Project . E e Gadza a , H in1 Nigeri'ti. .NO . + \-, .2 >Kt. Esther Gadz-ama i%,%-u's'^ tst; works in the resident i mission (Lagos) J\ i ', . ' as th1e Banik liaison * j II x for thle WIA prY)graii. In Nigeria, wvomen play a domiinant role in agricultural production. This was confirned by the findings of a study financed by the United Nations Developrent Programme (UNDP) in which I became involved when I joined the Women in Development Division of the Bank's Population and Human Resources Department in 1987. The study revealed that women make up 60-80 percent of the agricultural labor force in Nigeria, depending on the regioni, and produce two-thirds of the food crops. Yet, despite the facts. widespread assumptions that men-and not women-make the key farm man- agement decisions have prevailed. As a result, agricultural extension services in Nigeria (as in other Airican countries) have traditionally been focused on men and their farm pr-oduction needs, while neglecting the female half of the production force. Most extension messages targeted at women emphasized their domestic role with topics on child care and family nutrition. It became clear that despite a decade of Bank assistance in building up Nigeria's agricultural extension service. women were receiving minimal assis- tance and information from extension agenlts. The study caught the eye of the head of the Nigcria's Federal Agriculture Coordinating Unit (FACU) and the Bank division chief on agriculture in the West Africa department who were both committed to finding a solution. In 1988 their support led to the creation of Women in Agriculture (WIA) programs within the existing state agricul- tuLal development projects (ADPs) in an attempt to address the gender-related del'iciencies within the existing extension program. The ADPs were created in the 1970s with fundinig assistance from the Bank. Their overarching objective was and continues to be increasing the production of both food and industrial crops by stimulating agricultural production at the small farmer level. #D9 ITHEl NVOEI) BANIK PART'I'IPIIA'I'ION SIlTRCE1300KIs Up until this point, the ADPs had contaiiied only a ered bringing womnieit farmers fromii acloss the couLIty to home economics wing responsible tor holime-r-elatedt participate clirectly in the worksliop, but this was prob- women's activities. The WIA prograill, whichl WaIS lemaltic for a nulilber of reasons. The political situation launched as a pilot (again withi UNDP fundcs), soug,ht to in Nigeria at the time was extremiiely volatile and made improve agricultural extensioni services ftor women. Ex- in-country travel cdifficult. Strikes andt riots had brokeni istilI home economics agents were retrained in agricul1- out in mianiy parts of the country, and military troops were ture an(d extensioni methodologies. placing special emii- everywlie-e. There were no reliable limeIs of public t-ans- phasis on women's activities. Pilot efforts were beglll in port. particularly in the rur-al areas. Moreover, the major- differenit areas that were intenided to supplemnent our on- itV of these womenCe 11aId nevel traNveled outside their vil- going sector studies as well as provide practical insights lages. and manly would have to travel with their babies. on how to change extensioni services to mieet the needs Getting the permission of their husbanids to come to the of women. As Task Manag er of this researchi project. I capital posed yet anotlier obstacle. wvorked wvith Bank project staTf and with FACU in devel- In addition to logistical difficUlties. ve had to take oping program guidelines for assistiny woniieni farmers. into conisider-ationi othel factors related to the effective- ness of womilen farmer-s as participants in this high-level BRINGIN(i STA1iEHOIOF)ERSThCO(GETIKR -Urn This wouldc be an entirely; new aild potentially overwhelming situation for them in whicih they Would Froiii the beginning I knew this was going to be a process have to inter-act withi power-ful stakeholders sucli as mrli- of learning by doing. We had maniy questiolns but few ready isters and senior- government officials. We were also Lin- answers. Through the pilot programs. we worked with lo- certaini of thei- ability to articulate their problemils andc cal ADP staff to test out differenit approaches. About a neecis et'fectively in this sort of context. year into oui action resear-chi. it was clearl to Us that local For all these reasonis. the solutioll appeared to lie with people had better ideas than we did about what coulcl work. the femiiale extensioni aoYents who inter-acted with womeln We had been hearing accoulits about differenit WIA iitiaL- farmInels on a regular- basis. These womcen were accus- tives in each state that seemed to be occurrine ll i a spo- tolied to working with iiale bureaucrats, traveling alolle radic. ad hoc way: some ADPs were iaklilln tremilelnd(ous and were better able to articulalte constiainits faced bv progress ancl others were doing nothing at all. We decicle(d women farllmers aLid plropose solutiolns On their behalf. to bring evervone together in a National Planlllilln Work- We felt confident that these women extensioni ayents were shop to take stock of various WIA initiatives arouncd the well qualified to( replesent the interests of women farm- country, share lessons and experiences among regions. and ers because they were from the same areas and often were develop three-yeaL action plans for each state. We ap- farmers thiemilselves. The' lhad fi-sthianid knowledge of the proached FACU with the idea of inviting local-level stake- Nitualtioll and good working relatiolis with the womeli holders to join national anid state agriculture development farmnerss Although it should never- be assumed that cer- officials and Bank agricultuL-al staff at the workshop. Againi taMl grotips will accurately represent the interests of oth- the director of FACU was supportive. He felt strongly that ers. in this case. we had every' reasoni to believe that fe- those at the policy level (himself Included) should better male extensioln acenlts would serve as reliable proxies. understand women's constiainits at the local level before any recommendations for policy reforiml were made. He FHs' NATIONAL PiANNfNG IVRIiHOP believed that this was best achieved byl broadening the policy dialogue and bringing a range of differ-ent stake- In the days precedinig the July' 1989 workslhop. demonl- holders into the learning and decisionniaking process. It stiatiolns against the goverinmenit had broken Out in many was his enthusiasm and keen support for this initiative that cities. inaking travel to the capital even more clifficult. made the workshop a reality. OII the day it was to begin. a coup was attempted in Lagos. I wonderecd if anyonie was going to show up. But to Our Cr l U~ V O ( r \'(I( ' Ie 'I'( 4) WO-( N!% If N 1s P lu all w 9 surpr ise. somile sixty-four participants-r-mostly womileni- fromil all over Nigeria made theil- way to the worksliop. In Nigeria, female farmers are often among- the voice- Sixteen ADPs were represenited in total. The delegates less-particularly when it conies to influenicmie aericul- were primiiarily the female heads of the WIA units, chief tural policies and projects. We were deterimlined to give extensiol o(fficers. and ADP project managers (mostly them voice in the WIA policy reformn process but were men). Senior- miniister-s anld officials fromil the sponsorilng uncertain about the best way to achieve this. We consi(l- goverinimenit departimienits of FACU andc the Federal De- <,,) oNi(;l:lm,^v: '*% 0()llNIN 1A.(ijzl(7I'I'l.7jZ-,t partment of AgriCUltural and Rural Developmenit wer-e aiotioid tables andci woikecl out the three-yeal- plans witi also present. The Bank was represented by project divi- littlc miore than pencils and paper. sion an(d residenit missioni staff. The thl-ee-dav event startecd with opening remiear-ks anld greetinLgs from the head of FACU. the residenlt imiission represenitative, and mvself. We devoted the first day to Participaints were actively braiinstorni-i ng. discussing. and lefining problems. Each WIA representative presented lhe exchanging all sorts ot ideas. They wer-e sharing experi- assessimenit of the types of problemiis encouLitered by ences with other teami iliiemilber-s and gettilnLildeas for tleir womiieln farmers il her respective ADP. explaining how own pr) ravis by learning what others wer-e (loinS to extension services were currently' meeting- local needls and address similar problems in their states. Appropriate tech- how they could be 'impr-ovec. Believe mie wheni I tell you nology and innovations were constanitly being exchanged that these womiien were impressive! They were well-in- aionlt the womien. Extensioni agents froni one slate pre- forimled, dedicated. cdynamllic, and articulate. They all camiie selitecd a new -aaclet that tihey ha(d develope(d with women - with prepar-edi presentationis anid blew us away! The head farmers for ieedinu c*hickenis and channeling their- dtrop- of FACU was visibly impressec. He had original.lly told uLs pilgs into fish ponlls Others had invented diffeenit types he coould only attend for the first hour bLut ended up stav- of *ee ders or had other sorts of farming inventiolis and inm the entir-e thiee (lays. The excitemenit and ener-y in tips to share. Another g-oup, through their own iinitia- the r-oomil was almost tanlible. It was a -reat learning ex- tive. had started a cooperative woodlot and 1 was char-ing perience for everyonle and a reatl eye-opener to see the in- a fee for fuelwood. Yet another had organized a nul-serv novative thi ngs that local womeni wer-e doing to miect their and was sell in tiree seedlings to earn inicomie. It Was needs. This sharing- of idleas and praCcticees °PeleCl tip a1 obvious thaLt a lot of' knowledge Was tloatiii g arOUnd at realmii of new possibilities. providing Participnlits withl a this workshop---it WaIS jUSt a matter of pUllilg it together. range of options they' may have nlot previously considered. We found that comihbining this local knowledge and cr'e- Thie presenitaltionls were followedl by a plenary session. atiX itv witi the teciiical expertise of the government and during which the comimilloin problems and constraints that Bank workie(d extremely well in producing plalln that were had been expresse(d thiolluhout the daIy wele d1iscussed, localllv tailored. financially viable. and technically SOulid. 1-irl?AT11(;1( ANI) T-A'LICAI. PlANN INU (I I'111Ti I)NI T1('9 On the second cday.-the participants broke uL intlo teaMs The intelestilln thii g aboult thesc small group arrange- to undertake strategic and tactical planning. They were menits was thalt it brioke the formal otfice hierarchy that asked to comile up with three-year action plans fr inite- existed hetween the femaile extensionl acents and their grating women inito the mainstream of ADP activities for ADP maniaers, who were male. I thililk this Was largely thei- r espective areas. Each teamn was miadle up ot thlree attributable to the pressUmre situaltioll this was. The stakies or four state ADPs. which we giroLiped into FACU ire- were hi lh. Eacih teamn haldi to malke a presentation in ,ion,: northlea;st (Jos), nortihwest (KaduLnla) souItheast fronlt ot everyonie the niext day. and they obviously (EMIuu). and soutIhwest (Benin.) Each state ADP was waiited to (lo a good job. This forcecd thcm to cooperate represented-at a mit imu in-by a WIA person and a and work together to comiie up with a detailed plami of senior ADP manaLer. We felt it was cr-iticai to 1ave ADP activities, a waly to pay for themi. and indicator-s to mea- managers involved to build ownership of the plans by suLe how their objectives were bein met. The dir-ect management. Once participants had devised their- strate- interaction betweeln extensioll agents anld mamilaers was aies. we asked themii to be as specific as possible. cletail- key. For one thing. it helped the iilen recogilize that the int Lctivities. traininig. logislics. staffin,. timetables. and. womenl were experts too aiiic had Valuable kInowlecide ofcourse, bud-ets. The teans woiked througlout the day to cOntribute about thelsituation ofwomIlelln famers. Both aLii( into the niLht. As techiical specia.lists, those of us realized thalt they needed each others expelienice and fronm the Bank. FACtU. the Federal Deplartment of Agri- knowledge to get the joh donic. Although the womeln cultural and Rui'al Developiienlt. anmd the residenit mis- could put fortil thcir perspectives based on firstIhand sion servecl as resouice people. We wenl ai'oLIlCl fi'oli expeCieices ill the field. managers could put a bhudget- roiOLp to groLI1). histefiiin. offering suggestions andiv- aryperspective Oin souliolis beiiig proposed. while gaiii- IiiL technical acivice wheln nee(led in shapig g the tactical ing all underfstanding of the 1m11pact theil dlecisiolis would plans. The whole process was iitbOrnial. We all huddled halve oni womieni farmlers. 91, t'ilE X\OR8 l HAw.} SsNI( I'.Ai{'l('It'Al.'lIO(N' 914) N(iI:1(U)l1( Thlis iterative process of' learinino and negotiation stnicture o' thie WIA program itself is also decentr-alized sensitized all sides to the potential advantages and dis- and integrated inito the extension service. advanita-es of proposed reforms. I noticed that, at first. At headlquarters, the WIA head holds the rank of many managers felt uneasy about making comimitmilenits deputy director within the state ADP and is responsible to budget items. They protestecd that they did not have for the overall planning and implemlientation of the WIA the authority. This was another inistanice in whicih the pres- programn. Shc is assisted hy subject matter specialists who ence ol' the head of FACU camiie in hanidy. He was able to work for WIA at the zonal level. supervisin- and moni- assuL-e themil that makinig tentative commitments was. In toring the implementation of the WIA programris in their fact. all right and that budgetary' decisions would be for- zone. These specialists interact with research and techi- malized later. nology institutions, participate in problem identification and field training, and provide support to WIA block - Bt'I1.DIN(~ ( )WNE1~III extensioni agents. At the block level, these agents work tsdirect v with womeni faimers. identifyinlt and organiz- On the w einnl day of' the woirksho each ADP presented into groups in the eight-cell blocks and reg- its action plan. covering staffing and training needs, or- istering grroups into cooperative societies. The ftormation ganizational structure, logistical support. and proposed of WIA farmIelrs' groups facilitiates the dissemination of incoime-earining activities foi woient farmers. This tiie, agriCUltUral innovations and provides women farimners presentations were imade by the proogiriai managers rather with better access to farm inputs and credit than they thani the extension agents. as we felt it was critical for woulId have as individuals. managemilenit to gain ownershiip ot' the plan. We knew without the personial involvemenit aind coiiimimitme of'the 'T ADP manager-s to the retfobrms being proposed. the likeli- hood of changes being implemieted was mllillimlILI. Bring- One outcome of the workshop was that it resulted in a ing aboLit change in favor of women fiar-miers requiriled large-scale administrative "switchlover" taken with the ownership by both1 men (11a1d wiomien at all levels. We knew cooperationi of the key government miniistry and the state from past experience that sensitizillg or empowering One ADPs. Although it was envisioned that all WIA agents set ofstakelholders to take action while leaving other key have-at miliilulim-a cliploma in general agricultu-re. players out of the process could lead to problems dowin In practice. too few womeni hald these qualificationis. To the road or, worse, no action at all. Therefore, by pub- resolve this, a large cadre of existing home economic licly presentinig action plans-in the presence of other agents weere redirected into the agriculture wint of the stakeholders at the plenary-each state ADP was denil- ADPs and retiainied to become WIA agents. Buildinig on onstrating thei- commitment to take action in improvinIg this existing cadcre meant that a huge number of women services ftor womienl tfarmers. The head of FACU was so agents were mainstrearned into the agricultural depart- enthusiastic aftter hearing the ininovative action prOpOs- menit with no net addition to the ranks of civil service. als that he toc madle a public comimilitmllenit to miove for- Womeni's extensioni services received a highier pro- ward with the WIA programil. He emphasized the need to file; resources were devoted to training the new WIA set up anl institutional firamileworik to capture and main- agenits in agriculture and extensioni methodologies. In taml the moinentuLil genereated at the workshop and to states that have a shortage of qualified t'emale staff. inale help implemilenit and track the progress of these programs. aenlits try to work with womern in groups (although it is generally fouLndC that women agents are better conduits (JIt( .A.NI IZ,AT'I(O)NA\L. ('H-t~ \ '(1: ............. t'o r technology disseminiationl for a variety of reasons). Followina the national planninii woorksiop, a flemale Fortunately, the ADP structUre withlil whiici the WIA pro- extension agrent who had demonstr-ated stt'ong leadeirship grami was to be housed was decentralized and, In this sense, skills and dynaimlismii at the workshiop was hired to be the alrea(ly conducive to supporti ig localized. participatory Batik liaison tcbr the WIA program. She was charged with activities. Each state ADP has field oftices staffed by l(OCal tiricking- thie activities and progress of implementation In extension agents with FACU playing a coordinating role each state. Her firsthand kinowledge oftilhe situation, techni- froml the capital. Establishment ol' the WIA program en- cal expertise, aLid personal ci:ive proved clitical to the suc- sured that extension services in every state in Nigeria halve cess of' the programn. As WIA coordinator, she divides her ftemale extension workers at every level o l'operation from time between the r esident mission and the field and has proved state headquarters in the capital down to the villages. The extremilely helpftul in facilitating Bank supervision missionis. 02 Nwi(:i:zU %: WONIEN IN A(I1I(1li,'i'L'ixE P R()I I)I N( E 1 'P rF" i toplanning and implementation. WIA agents assist thein in selecting the type of project they want to engage in, All staff assigned to the ADPs come from state iniilis- such ais cassava processing. groundnut oil production, tries of agricul ture, other relevant departments, or ram fatt(ening. andl so on. dependino on which enterpr-ise parastatals. Because they are existing government staff, will be most successt'ul in their locality. A the project does not have to pay their salaries. To attract multidisciplinary approach is taken during planning and and motivate WIA statf, however, they receive a salary implementation. Block extension supervisors, technical that is one grade level higher than their ministry counter- specialists. and othier resource persons from ADP field parts as well as transportation and medical allowances. offices advise the women's group on a regular basis, pro- In general. ADP staff enjoy better conditions ot service viding technical inputs when necessary and monitoring than their mniistr-y counterparts. their progress. Local women's groups are not required to obtain official status to participate in WIA activities or 1I1'3,lD)NG 0N E:1l'iN PAIRTWIPrATO(1Y receive assistance from ADP officials. In fact, the miajor- s;'i'RU(T l 7R.S; ity of women i-eached by this program are members of inlormal groups. About one-third of Nigerian women belong to coopera- tive societies or other locally organized associations. Members may be united by common age. religion, trade. or economic activity. Some groups are inforinal and temn- Eighteen months after the first workshop, a Second Na- por-ary. while others have well-established principles and tional Workshop of the WIA program was convened to operating procedures. The functions of such groups in take stock of the action plans' implemenitation. The same rural areas include rotating credit and savings, sharing groups of stakeholders were brouglit together to share labor. borrowinig money through cooperatives, and group their experiences, succes, and problems. By this time, farming. The institutionalization of such women's groups all states had ongoing WIA programis, althoughi some had started with the ADP system. Uncder the auspices of the started more recenitly than others. Objectives of the fol- newly established state WIA prograiis, these groups were low-up workshop included problem idenitification. replan- targeted by state ADP field staff to initiate and execute ning, and making mid-cotirse modifications for the fol- project activities. The WIA progr-am helps to build the lowing year based on what had been learned. New an- capability of these local groups by assisting theml to reg- nual targets for the WIA program, including the number ister as cooper-ative societies to qualify 'or credit and tarm of feimale farmer groups were collectively set. inputs and he recognized by other institutions and NGOs. The preliminary findings of a mid-term rural house- The WIA program has three different ways of target- hold survey. which had been conducted between work- ing women's groups and building their capacity. It works shops to monitor progress and measure achievements of with pre-existing organizations in whicih metnbers are al- the WIA progr-ami, were disseminated and discussed at ready pursuhig a specific goal such as credit or communal the conference. The survey was carried out in three dif- work. Second, WIA agents help organiize women into 1erenit parts of the country and revealed that WIA front- blocks or cells so that they can receive ADP assistance. line agents were an effective channel of communication Third. the ADP system uses NGOs to identify womeni's and feedback on the needs of womeni farmers. The in- beneficiary groups. There are currently more than 5,000 creasedl demands from the women for information and of such groups in Nigeria, and more are being organized. technology had been stimulating the supply from the WIA units and FACU. EP.AIRTI('IPATJO(>N INs- Fl2B1'ROJE( '} t lwi' Recomimiliendationis and action plans emanatinig from the first participatory planning workshop had led to sev- The WIA program that emerged from the worlkshop en- er-al positive results: visions a syst\mc in which WIA agents work with groups of women in their area of operation. Each women's group * The number of female extensioni agents doubled be- elects four key leaders: a president. secretary. tieasurer, tween the two workshops. and adviser. Decisionmaking authority rests with the * The number- of tfemale farmers in contact with the group although at certain times. the clected officers cani extension services tripled. make decisions on the group's behalft. The women par- * Better- diagnosis of' intformationi and techniology needs ticipate in all aspects of the project, trom identification by gender was being undertakeni. 93: * Male extensioni workers were beine trLirned in () N 1i? IXI,'[E('T1()N womells activities. * Femrale extension acents hald been successltll l i- Frankly, the programil developedl better than we'cl ex- troduciHI male agents to womnen fairmers. pected; this is clue primilarily to the dynamilisnm ancd re- * A concerted effort to register woinien's gronIps as soLIFcefulless of the Ni-erian womiien. Also important cooper-atives with leg al statuis had facilitated their was the support of Bank pro ect staff and Nigerian gov- access to bank credit and inputs, eminlenit ofticiails. We did. however. encouliter some clif- ficulties along the way. Some staff both in the Bank Workshop participants also idenilifiecl mobilitv prob- and the government were less than enthlusi.astic and con- lems anld a lack of appropriate technologies amiiong thle stantly questioniecd the needl for such an 'lemphasis on maini constraints that neededl to be addressed In the com- woinei Bu the momentum generated by the work- ing year. Although many states had anl increased um- shiop was dif'ficult to stop. It created a much greater ber of women agents. they were still not reaching thieir awareness ainonig policyrnakers about the needs ot' targets due to Clifferelnt levels ol' access to transporta- womnen farmers, led to a rise Il the iliilmber of womiien tioil. Men tendced to moniopolize the available velicles: extenisionl agenits. and resulted in a significant increase whenever there was a shortage of'fLIel for lm1oPCeIS. Male in the percentage ot' womeii reached lby the extension extensioni agents were given prelereice. In ad(clition, riot svstemi. I hILve 110 cdoubt that the prognaram has benefitedI enougih progress had bcen made in developing apio- both the agricultural sector and tlie activities of rural pirate tools and equtipimient to relievc womenie farmers of womileni considerably. Womein farmiers have increased somile of their most basic labor and energy constraints. their standard olf lvi ng throLglh iilpr-oved productiol. Provisionis to correct and address iltese ploblemils were which is a dilect result of the new technoloeies now desi uned into the ftollowil- year's action plans along withiln tihcir- grasp. It is also hcartcning to see that womell with any othelr activities that had not beeni achievedi farmers now retulalv visit the ADP headquarters to the preVioLis year. Both the Bank and the governmient express thei- grievances and dissatisfaction aboLIt such fiouLndC this participatcoy approachl to project planning thing-s as ilte miethod of fertilizer distr-ibutioni. for ex- and replLianning to be an effective way oftranslating fieldl ample. Until i recenltly. womeni were rarely hear-d-onlly knowledge into specific action for improving wolileii's seen--and in this sense the WIA programil has dramati- productivity in agriCUltUle. cally increased their voice and participation. The pIogIrIIa1, h1owever, ha1s not been withoLIt its prob- lems. Althouglh the workshIopl generated finanicial suppoIt COSTS foi the WIA programn through annually budgeted activi- The initial study by tile Banik's Populationi and HtL- ties, the reatlity hias been that manly of these activities are man Resourl ces Department. Womilen in Developiment nt being tilly implemented Priority is of'ten Cien to other Division. that revealed the ineffectiveniess of tue ex- activities of tile Extension or Technilcal Services Depart- tensionl prog ramil i n reachi nt \vomie n f armlilers anIld the iieliit: WIA conies last iin the allocation of resoUrces. Some pilot projects thalt were launched to test va-ioLis ap- states are also experiencing difficultv hiring arid keeping proaches were funded by the l!NDP at an adequate numbers ol qualified pemaole agents iiiate cost of $40,000. whiclh included hirinit two Bank Staff relocation poses a significant problemil as many consultants anid conduIctingtl two mllissions. The first Il married womeni ar-e unwilling to move from city centers National Planning Workshop anid thie follow-up work- to the more remote rural areas Employing married women shop held eighteen months later wer-e paid tor bv f-o'°m "local government areas" is being considered as a FACU at an estimated cost of $il0 (1.00 each. The possible way of reducing this problemi. Curr-enitly. both UNDP funded the mid-terim rUral hiousehold suir-vey FACU and the Bank are workinLg with the ADPs to de- undertakenl between workshops aIt aIn aIpproximate xvelop strategies that will address these deficiencies and cost of $65,000. allow the WIA program to realize its fLill potential. "4 PAKI S TAN SINDH SPECI.AL DEVEELOPMENT PROJEC'T Neil Boyle is - 7m the Task ManaiZer of tle Sinitlh SP'ci1(1 DeBi-elopmen)L'flt _1 Projec(t. -5 ,. _ A t the time of the 1987 reor-anization, I'd been with the Baink about ten years. The reorganization produced a lot of problemils toi- Bank staft'. But it also provicled me a useful opportunity. By that thie, I had come to the concluSionI that we couldn't help our clients produce sustainable clevelopment through episodic missions. de(licated to producing yet another pro-ject as quickly as possible. In iimany cases. our bor-r-owers lacke(d the governance an(d institutional capacity to imiple- merit developimienit investimenlts properly, mucih less sustain them. Tacking, tech- nical assistanice onto larec investimlenit loans didn't do the job: indeed, as frag- ile institutions attempted to implement the loans we typically make in the ur- bani sector-. theil institUtiolnal capacity often diminlished. So. when my thie came to be "irehired'" in 1987. I said that I would really like to iliake a lon-term commitmenit to one COUlltlry. in fact, to one part otf one coun- trV-the Siindh. in Pakistan. I hoped to be able to penetrate the system in which we did Our worlk, get to know tile people well, and find a way to help build needed goverilance and institutionial capacity beftore we started lending. That's how what became kilowni as the Sinhcil Special Developiienit Prioject (SSDP) oot started. I kinew then-anid even more so oii looking back. that the people of the Sinclh-elected officials. bulealucrats. and citizens-would have to collaborate to devise answers on how to build this capacity. We would have to learn to- gether while doing. F;I'.\ R'Fl.N oui- i IN r'mHE Sil.NI)tI Pakistan. where I hacd workied a number of times. be-an to chan,ge in the late 1 980s. In 1988 the first democratic national electiotis occurr-ed al'ter decades 95 'I'HIS N VORl.) BA.NES1.1'' PARTCIPTION>. SOURCEM)I;Z(MIX of authoritarian rule. By the early 1 990s, the government help it needed. Early on. an opportunity presented itself. I had begun the process of privatizing. reforming currency was attending a rather sensitive meeting with the senior controls, improving taxation, reducing trade barriers, and staff and a sanitary engineer from the Bank. The chief promoting exports. These changes had accelerated a mass engineers from two separate departments of KWSB were movement to the cities and a strain on infrastructure, with reporting about their projects to senior management. These accompanying shortages in water supply, sanitation, en- projects had run into delays and mistakes, which came ergy, transport, and communications. out into the open during the meeting. My questioning I was pleased about the opportunity to work in the Sindh brought out the fact that these delays and mistakes were Province, which includes Karachi as its capital. Karachi, is due primarily to institutional and organizational problems. less traditional than some other Pakistani cities, full of people Given that the two separate and unrelated departments had from elsewhere and bursting with energy and opportuni- similar difficulties, I pointed out that KWSB's problems ties. With an estimated population of 10 million, it is also appeared to be systemic. Staffed mostly by engineers, the country's largest industrial, commercial, and financial KWSB did not have the practice of looking at the way it center with the worst urban problems. managed itself. It didn't take long for the entire room to Although the government of the Sindh (GOS) needed erupt into a heated argument in which everyone started large infusions of capital to deal with these problems, it had a blaming something on someone else. reputation for poor management and, by all accounts, was I had previously asked the consultant to wait out- not in a good position to handle major infrastructure projects. side, because the meeting was sensitive and he was new Although I am trained in engineering and finance, my inter- and unknown to the KWSB. At the point that things got est in the Sindh was in figuring out how we could help put really out of hand, I slipped into the hall and invited him institutional capacity in place so that the provincial gover- to come in. At first, the presence of' a stranger dampened nance system and the policymaking machinery would be able the conflict, but it soon flared up again as people attacked to sustain the Bank's investments. That was the challenge. each other and made excuses for themselves. I took the opportunity to introduce the consultant as someone who miTmht be able to help. The group gave him the floor. He THE. K9\AUAHI NV ~ATER BOAND L) asked everyone to take a blank sheet of paper and anony- In 1987 we were preparing a new water project with the mously write a list of KWSB's organizational problems. Karachi Water and Sewerage Board (KWSB). Like the He shuffled the papers, summarized the lists on a chalk GOS, KWSB also had a reputation for poor management. board, fed back what the managers were saying, pointed Without considerable change. it was in a weak position out that considerable agreement appeared to exist about to absorb major Bank loans, which it was going to need the problems, and made some suggestions about what to meet the demand for water and sewerage. Fortunately, might be done. our discussions with KWSB's senior management team The senior management team calmed down and be- led to an agreement to undertake an institutional reform gan to discuss KWSB's internal organization and mana- program. To support the reform, KWSB applied for a gerial behavior-its real problems-probably for the first British Overseas Development Administration grant. time. They indicated strong interest in working with the We needed to f-ind a way to help KWSB understand consultant. We went back to the hotel excited, because the its problems and develop a transparent, effective organi- group that had the power to make decisions and change zational style. Instead of doing an expert study, I was the organization was now ready to take action. We asked interested in using an organization development approach ourselves if a similar process could be undertaken with to the transformation. But, of course. this approach would the Provincial Cabinet and administrative departments in not work unless the KWSB managers were willing to which even broader institutional problems existed. change both the organization and themselves. And these changes could only be eff'ective after they had gained N Hp1,ES fresh insight into the organization's deficiencies and why they needed to change their own behaviors. Using the Overseas Development Administration grant, KWSB hired the consultant on a long-term contract. His 'REATIN(l A LEARN ING MOODmandate was to take the role of a facilitator, always help- ing KWSB understand itself and search for ways to On my second mission, I brought along an organizational change; help the senior management team see what was development consultant I believed could give KWSB the going on and reflect back to them what had happened in 96 PAISTA\D'11,1 thei- recent meetings or events: and help them internal- fice. All this resulted in gridlock. For example, to autho- ize important learnings. althoughi the decisions would rize paynient to contiactors took 1 74 clerical steps. Cus- always be theirs. tomers -didn't pay their water bills; government agencies, Durinig the first months, however. distrust of the coIn- not individuals ancd businesses. were the worst offend- sultant kept bubbling up. We had expected this and dealt ers. The agencies played a ping pong gamile: the electric with it through1 open communication, reflecting back any power agency didn't pay for its water; the water agency veiled suspicion anid reiterating the consultant's puipose: didn't pay its power bills; the telephone company didn't he was there to help the organization undierstand its owin pay for its electricity or its water: and so forth. functioniing and the problems this was causing them. Along the way, he would help themi learn ways to correct 1. > F N( I H ( x- N(4 IsR( )( the problems. We stressed he was also there to help the Bank team learn so that we could be of assistance. Yes. We had started at the top of the organlization. working with he would be a liaison for the Bank-but not a spy. the managing director and the clepartment heads, because WorkingT for botli the Bank Task Manacer- and we had access there. As these leaders becamie mor-e com- KWSB's managing director remailed a delicate matter mitted. the collaborative probe went deeper into the orga- for the consultant. He had to be clear which inftormation nizationi. drawing in division manaters. section chiefs. and could be relayed to whomn. Over time, a hi_h level of supervisory aiid executing engineers and thei- assistants. trust developed anlong the three of ls. To keep it that We didin't work exClusively with each tier. At any way. both the managing director- aiid I 0rew to under- given meeting, we tried to mocdel openiness by iicluding stand that this meanit the consultant had to be discreet. several levels and conistanitly enCouragingt those lower The consultant. I must sav. did not let either of us dowin. dowin to give feedback and participate in decisiolns. We also saw to it that documenits that we _ave out were widely distributed and not withheld by any managTer fromil his staff. One outcome was that lower-level people took more The process the consultailt brought to KWSB was "ac- aLn(d mior-e responsibility in meetings. sharing y more. as- tion researchi." He aicl I had learned abouit this techniique sUltlilng leadership roles more assertively, and so forth. It at the National TrainingT Laboratory, where we hacd both was truly inspiring to see this develop over time. separately spent several years studying organizational. The consultant kept feedinig back to the senior mana- group. and individual behavior change. Action researchl aiemenit team w hat everyone was learning, thereby stimu- is a process that helps people change their organizations lating discussion an(d helping the managers at all levels and solve their problems by carrying out their own data recogtnize that they were empowered to makle chaniges. collection, diagnosis, planning. and evaluation-learn- In addition, the Consultant and I conducted many in- ing wh ile doing. The role of the outsider is that of facili- ftorm1al discussionIs with the senior manacgemenit team, help- tator rather than expert. img thcimi see, without being threatened, how their beliav- iors worked anid didin't work, recomimiending new man- ) acelenleiit techniqcues and helping them internlalize learninig l]i.llRINAITIS OF1q TIHEI: NFO(RMA1. ( )RGA.NIZ ..................T............... ''(N ... ,'v, and( invent collaborative ways of getting things done. At KWSB. the senior manaoemiienit teami and the coin- sultanit began by using action research to miap strategic ( ( ), (;N 1/,xi'> -' pathways of power and iltiuenice to under-stand how the managers actually got things done. Wheni I was there on Thr-ougIlout this process. the organization was articulat- milissioI, I participated. inc its owIn issues and findilng much more comimioniality The senior- maniagemilenit team discussed the findinigs thaLn anyonie had expected. After about a year, the senior in group meetings and one-on-one sessions with the con- management teamil and top staff were ready to assume sultant. Gradually. the recognition spread that, for the responsibility' for KWSB's problems andi move to goal last fouI years. they had been runiniig KWSB as an amal- setting and action plans. After discussioii with statff the gami of three organlizations-which is how KWSB came senior managemient teaml hired a local consUlting fir-im in into existence-with three different service rules. medi- 1990 to ulider-take aii organization stucly. cal insulanice plans. and pension plans. There were no The organization stLidv becamne the principal tool for staff meetings. The managing director would hold six driving the reformi/modernization effort forward. It pro- meetings at once, with anyone permittedl to enter his of- vided a comprehenisive organizational cliagnosis and rec- 97 TIHi E tVRIA( 1 1;) AN K PA RT I'I'P'AI()N SO '1R[ I.:IM(O 10 ommendatiolns to the KWSB Board of Directors. The While we were waiting for the approvals. we kept Board of Di-ectors and the seniori management team com- preparation going with bailino wire and trust. The KWSB mitted themselves to almost all of the recommendations consultaiit and several Pakistanis at times had to wait in the organization study and set out to implement them. quite a few moniths for their pay. To cover other expenses, The steps taken over the next two years either came out we were able to hold things together by using technical of the organization study or evolved as the KWSB man- assistance money ftrom other projects. avers retlected about them together andc with those lower We began to lay the groundwork for the provincial down in the hierarchy, making adcjustments based on what fiscal and adminlistrative reform program. which we ex- they had learned. pected would be the cornerstone of the SSDP. This expe- rienlce gave us insight into the ad hoc, arbitrary way the _ATE K PROJECT I]E- t1T GOS developed policies-similar to KWSB several years earlier. No institLutionlalized means existed for collabora- The most dramatic result of the new organizational style. tive policy formulation within the bureaucracy, much less transparency. and collaborative processes has been sol- amonig the bureaucrats, politicians, and public. In effect, vency. The KWSB increased water tariffs fivefold be- policy was formllulated in "stovepipes' consisting of each tween 1987 and 1993 and improved collections bv 40 department and its iminister. Little, if any. lateral consulta- percent. The most recent tariff iicr-ease, two years ago. tion took place and certainly none with the public at large. enabled the authority for the first time to cover all of its operating costs except depreciation. Most of these tariff xVorking with the Entire GOS increases occurred in the absence of adiditional water In Januarv 1991 tile final arant approval came through. supply. Until new supply is commissioned in 1997, the and work intensified on preparation of the policy reform emphasiswill be on reducing current expeniditures. progran, thanks to the leadership of the ininister for plan- ning and developimient. who saw the reforiims as contrib- Tni, SjINDH)II'E( S II. 1)A1DEVEIlA)PNIENT uting to the administrationi's platform of improving ur- PROJEi.(T ban infrastructure and services. DuLinglls that year-. we used the same participatorv As word got around of the improved perforimiance of the techniques we had used in the KWSB project. Working Water Authiority, other gover nment institutionis began with the whole government rather thani just one agency. asking the Bank to help them improve tieir performance. however, was more complex. To help GOS come to The time was ripe for major change. The federal gover-n- terimis with this complexitv, we conceived of policy as ment was experienlcingp great fiscal imbalanices anid had being formulated at three levels-technical. adminis- to tighten up on discretionar-y _rants and bailouts to the ti-ative (including legal and regulatory), and political- provinces. In 1988 an urban-basecl political party with and then helped create the institutional apparatus to strong interests in improving the conditiolIs of urbani miake it work. We started with ad hoc working oroups Sindh became the majority party in the GOS assemiibly at the departmenit level. These groups each made rec- and took over the Cabinet. These factors caime togethier- ommendations to their minister. After discussion and to focus serious attention on urban development and, as imiodification, the minister then negotiated the recom- the Sindh Special Development Project progressed, the imiendationis via meetinigs ancd inftormal discussions with Sindh Cabinet naturally took an active interest. other members of the Cabinet. The recommineidations amounted to a broad and de- Preparation tailed reforiml program covering hve urban subsectors: I should be able to give the date wheni we began to pre- land managemient. urban transport. urbani envi-oniment, pare the SSDP. but the learning approach we used makes water and sanitation, and nmunicipal developmenit. In ad- that a bit difficult. Again, we had to obtain funding. In dition. the GOS would focus on strengthening its taxa- 1990 we got a grant fromii the Bank's Japanese Grant Fa- tion and financial management. Although the details were cilitv (the precursor of the Special Fund for Policy and to be spelled out dUring implemenitatioin. the ad hoc work- Human Resources Development). But we couldn't spend ing committees proposed some far-reaching strategies, the money until the GOS and the goveriinment of Pakistan such as property tax reforimi based on market value, an had formally accepted the grant. The GOS took three across-the-boar-d labor redundancy program. the months to approve the legal agr-eement. and there was a privatization of the Karachi Transit Corporation. and a seven-monith delay with the governimient of Pakistan. provinicial urban environment program. The Cabinet 1'VAKIS'TA.\N: S1.NDH1 SPCIA1,tl.l D)EV\ l.rf,()'ANF;N'F members supported these proposals. The GOS expected broad participation of the chief secretaries. assistant chief the program would take about two decades to implemenit. secretaries, and other levels of the bureaucracy in the departmental ad hoc working comimittees, the ideas in UEIs:]'()R.XI P.v('ls\(l§: XN1)AI>'\I<)I\NITI SIthe eniot-aiidLniofagreenie(ithad support that survived .MFRA PACKAGE AND Z _)_ ~~ h eoanu foemn the goverinmen1t leadership changes. Without that, the new OF1> AGKEE:<:S-ISTE'I'r. r chie' minister would never have signed. Eleven months The Bank team was happy with thie effective work of the later, we negotiated the project. including the policy re- ad hoc committees and the support the minister-s wer-e able form program. without a hitch. to generate. The process and the resulting learning repre- sented significant strides in both the reformn and collabo- Av RA t : AR RN(iEMI ENT' rative decisionmaking process. But all of this was too in- forrmal. Despite the consultations, we were worried that The institutional arrangemenlt agreed to by the GOS con- the Cabinet was still not adequately involvedl. A lasting sists of three tiers. Each tier has a particular function and process aiid structure for turning the recommeniidations makes recommendations to the next tier up in the chaini: from the departments into official policy still needed to be created. Much more work needed to be done to institu- *Ad hoc interdepartewntal working gooups to look at tionalize the decisionmakinig process so that the politicians the core functions of goven1ment. Composed of middle- and bureaucrats could collaborate with each other. level civil servants, these groups develop and assess the Given that the Bank team often was the only con- technical feasibility of policy proposals and work} to- stant in the picture. moving ahead was n0t easy. Thie GOS ward harmonizino departinental viewpoints. Their rec- itself experieniced almost perpetual turimoil. New minis- omimlenidations go to the Secretaries Committee. ters were appointed all the time and. except for 1991 anid * Secretaries Comttiittee. This includes concerned secre- early 1992, their involvenmenit was sporadic. Neverthe- taries (the highest ranking- civil servants arid heads of less, as early as mid-1l9,1 key Cabinet members were the provinicial adminiistrative core and line depart- telling the Bank team that they needed a formal menlts) and is chaired by the chief secretary. Its pur- policymaking structure and process to linki the various pose is to examine the policy mneasures presented by government entities to each other ancd to the public-a theworking gi-oupsanidassesstheiradninistr-ativeanid structure and process that would surVive the GOS's pe- legal-regulatory feasibility and conisistency with ac- rennial political changes. cepte(d public adminlistrative standar-ds. Its recom11meni- In June 1991 1 went on a mission to Karachi to ap- dations oo to the Cabinet Committee. praise the project. As I ponderedl the problems. I thought Cabinet Conimiorittee. This top-level tier is a committee about a three-tier institutionial arranoemirent that would of concerned miniisters fiom the Cabinet of the GOS bring burceaucrats froml different levels and politicianis and is chair-ed by the chief minister. Its purpose is to together in the policymnaking process. The good workinig examin1e the policy measures for political feasibility. relationship that was now in place between the senior officials and the Bank gave me the couraLye to su-est At the top. to provide overall coordination of the my idea. The people we were meeting with-the chief SSDP. the group agreed to establish the Executive Plan- secretary, the miniister- of planning and development. and ning andci Action Coordination Organization (EXPACO). the chief minister-were interested. This organization serves as the secretariat to the Cabinet We agreed to inlcorporate this three-tier arrantgellent and Committee. EXPACO's work is carried ouLt through the the basic content of the policy refonin progiamn into a melmio- followin- directorates: raiduim of aoreement between the mission and the CJCS. * Polic Action Coordinaijon Uniit for policy' formula- tion and implemenwntation * InslitiIIionl Strengthening Coordination Unit for in- But by June 1992 all the ministers I had been workino StitutiOn strelngthelling with were gtone-the entire Cabinet resignied to protest a * PnjeXt Planning Unit for plannin. nonitoring. and military intervenition in the Sincdh. So we had a new Cabi- supervisioni of major works. net and a new chief minister In September 1992 the new chief minlister signed the mTeIorand0umIC of agreemlent. EXPACO is headed by a director gteneral with civil kniow the GOS well enouoh to say that. thaniks to the seivice manik equivalent to a secretary. EXPACO reports 99 TIHi; BAoRI.i HAN P T 1'. 'IIPAT\'I'IO.N S()OFUIUIIE )Mi to the chief secretary of GOS. FouL hi-h-level GOS staff * Imimiiediate actions on alleviatino envirollillental deg- people make up EXPACOQ with all other support func- radation and traffic congestionl tions provided by a private contractor, The views ol'the * GOS's newly created policy planninlg arTangement public are brought into the policyimaking, process thl-ough andl nistitutioll strengthenlilng advisory ancl steering cominittees composed of' public * Fiscal and administrative reforms in GOS and private NGO represenitatives. * Eni'neerilnL studies for intifrastructure improveimenits. How the Arrangement U'orks Other loans or creclits or both will be prepared while The GOS approachi ttorul1 1LIlti ugill land mianaoement the SSDP is being imuplemilented bhut these will be approved policy provides an illustration of how the thiee-tier strtic- only when GOS has demonstrated the success of its re- tulre works 'forimis and the ability to sustain the Bankl's investmenlts. The landc maniagemnent reforimi package was devel- oped by an ad hoc working- group made uLp of experi- N i- A( ((I N NTA" II ATY' enced senior officials fironii several adciniiistrative depar-t- menits of GOS. land registrationi ot'fices of hoth GOS anid More limportant than the credit was the shift from midi- municipall governimenit, and the Boardi of Revenue. vicual to group responisibility and the improvecl account- To provide input to the workilln group from t'l-0111 1IV ability of the entire govermiient. The open meetings of stakeholders, the GOS also establishied an Urbani Land the comimillittees andc EXPACO dramatically underinilied Advisory Council. To take into IccOLunt the views of closed-door dealings revolving- around cliques, ethnic "shiftees," the people who are otten forced tc) relocate reliatiois, and patronage. Oice people iake comimiilitimielnts because of government developmienit policies, the coonl1- in public, it is risky andi potentially embarrassing to re- CilI inclUded a spokesperson representing the highly or- neve. because they will have to contend with the other canized squatters and encroachers. The concerins ot' tie stakeholders. The new transpairenicy also led to a clear. shiftees were also voiced by the Bank. based oni numer- public picture ot how the government was operatllng- oIis consultations with the shittees over- the years. one that was not in the anniual buidget reports. Contrary After several mionithis of work and debate in 1991 to these reports. the GOS was runninig a deficit, as every- and 1992- the working rolUp selnt a policy r-eforlml 1l)ck- one unofficial ly kiew. ace to the Secretaries' Commiittee to he revieweci for le- A cri tical cvent that showed how far the process gal. administrative, anid regulatory adequacy as well as had miiovecl took place as early as 1991. wheln I meni- for the trade-offs that might have to be made. The pack- tinoned the deficit in a high-level meeting. One official age passed this test anid was then sernt to the Cabinet becaile filrious. But the secretary of 'lianice wanted the Cominittee, which gave it final approval, truth to come out. He said "I'd like to correct Mr. Boyle's numbers. The deficit is not Rs.3.5 billion. It is Rs.4 biillionl." Using the Three-Tier Process: Thle SSDP Credit In June 1993 the Cabinet presented the fiscal 1994 Since then, the GOS has usedi the three-tier decisionl- lJue19 teCbntpsneithtic 94 budget to the Assembly. For the First time in five years. makill process to prepare detailled policy action pro- the chief minister, with the agreement of the Cabinet yrams for the fi-st tive vears. finalized with the Bank in - - *~~~~~~~~~~~~~~~hose to pi-esenit the real pilcture. September- 1992. Ani impor-tant part of' the negotiations c was the a-reemiient that futule filnlciail suplpolt would depencl oni how well the GOS implemilents the policy re- k' ANi) Timi' formii programi. Fromil 1990 to 1993 approximilately 83() staff weeks (572- bv the GOS anci 258 bv the Bank) went into preparing SSDP Approved by Bank SSDP. By Banki standards. 258 stat'f weeks is high. The The SSDP project. 546.8 million, was approvedl by the institutional chances we ha(ve supported however, reuire Bank Board in December- 1993' andc signed by the gov- a long-term commitimienit and the kiind of staff time that eminillent of Pakistan on March 10. 1994. fOuL years after we clevotecl. Much of the tine should be viewed as re- the first missioi. The plo ect was declared effective i seaL-rh andti developimienit in the forma of action learning September 1994. on the g7rouIndC. To help Karachi and to a lesser extenit six intelior cities. the credit will support the tfollowiicg t104) PAKP,TAl' N: SI.NDII SPECIA(1.1,)1: DEVET>AWlNIEN O)N- t¢E'1ZE( 'II(" >N- ing settiniz up decisionrmaking procediures and steerin- committees. Other costs were covered by using language As I thlinik abouit ouI experience in the Sindh. I am pleased in the credit legal document, which was amenable to in- that we decided to work on institutioll strenothening, he- terpretation. It would be nice if we could draw on the fore lendinio and that we have retained leverage by link- Bank's budLget for all this work; it would simplify mat- ing future loans to the pace and quality of refolIS. It ters anlcl ieduce preparation time. Another hurdle was the would have been difficult to carry out investillenlts suc- project cycle. The Bank's problem identification process cessfully. I think, if we hadn't supported the GOS in build- r-equires standard research, analvsis. an(d quantitative data. ing sound capacity to makie policies and investment The participatory tools we used in the Sindih, on the other decisions. hand. were catalysts for plans based on the self-discov- ery. cominilioni sense. aiid collective experienice of the The Triad people themselves. Translatin g these plans into a tradi- I thinlk the politicians. buleaucralts, and citizens could be tional Bank appraiisal documenit was quite a task! seen as forming a triaid. Initially, in the Siclh, the char- A thir(d hurld-le lay in forIulating a long-term policy acteristics and relationships of the three groups addedl ancd institutionial reform program-in SSDP. of maybe up largely to a closed sstem, impoverishied of ideas and two decades-and linking futtire lending operations of ima-ination andl not able to mana-e lonm-term develop- the Bank to progr-ess made on the reforill pio 'ram We mzeit. This triad conicept has givenl us an imipor-tanit frlamle- did this by grouping the program into tive-vear sections. work for the Sindhi Special Developmilent Project. but this wa's not easy because Banki processes doni't work The gradually improving health and energy of the tilis way. triaed is. I think, mo-e important than the physicail devel- opment plans the Sindhis have made. I am pleased that Interventioni and Participation In so malny important areas the three legs of the triitd are I can't claimii that everything we dlid was participatory. collaboratint regularlly and directly for the first tiie. At Thle Banik teamn's leverage lay in having the knowledge miany levels, politicians and bureaucr-ats comprising the to be catalysts for ijU1Ilp staitino'' change and in making GOS and the represenitatives of ordinary citizenis have suggestions based on our experience around the world diaginosed their probleiis. decided what issuies they ar-e The thiree-tier structure and EXPACO are examples of going to own, and developed the solutions: the participa- ideas we proposed (although they were adopted only af- tory policymaking iimaciniller-y is also embedded enough ter extenisive discussioll amonie the bureaucrats and poli- to be used for new purposes. It will be used. for examllple. ticians who would have to change their behaviors to manke for problem solving in connectionl ith the plroposed the new structure successful). Karachi Urban Ti-aispor-t Project. GOS will work through Looking at the whole, some of the ad hoc working EXPACO to help reach a much-needed public conseni- gro1Ups anid advisory committees representing the civil sus on mass transit investmenits. dlevelop a transit authlol- societv h-ave fuLictionied in a participatory manner and oth- ity'. and lay the foundaltion of a legal-regulatory systemn elrs have not. BuIt the Slindh is at larle social systemil in whlich for the traLnsport sector. EXPACO will f;acilitate the wor-k capacity is unevenly clistributed: -radial chang-e seems to of the ministries, agencies, and consultative groups r-ep- ille to be a realistic expectation. As time passes. I thilik the resenting the populationi as a whole andc presenit policy imiore participatory working groups and( comiiittees will recommendaltions to the Secretaries Comimiiittee anid the demonstrate their success and others wvill follow their ex- Cabinet Comimnittee. This structuL-e for involving the enl- ample. Through EXPACO, GOS is already building, its tire tr-iadl is neither "top-down" nor "bottoml-up." We caine atbilitv to pr-epare fLutuL-e projects collaboratively. Each time to view it as "middle-out." I visit the Sincid. I find prog-ress. The Karachi Uirban Trans- port Project I just mentioned is an example. There is much Navigating Bank Requirements public debate (and sometimes criticisimi) of this project, bLut I believe the participator-y process will give the debate Participation activities in the Sln(dh ,vere miacle possible _ not niiiv alli outlet bLut a policyi-akViin fLulICtioll and Lliti- by the grants fromt the Japanese Grant Facility andc the o a British Overseas Development Adminiistiation. The niatelv a resolutio Japanese grant paid for the KWSB participant-observer, the goal setting process, the organization study. process The Future consultation, extensive coaching, of KWSB leadership. Until now', we have given highest priority to the svstemilic project costing, and the restructuring of KWSB. includ- problems within the government, because these problemis I (0 THE NVORIA) BANE IP'AIRI(IIPAT'ION SOII{IFIN Ohi were at the heart of the policy gridlock. As the SSDP Impact progr-esses. the next step is to further involve the public A strong signal that the participatory approach is work- in the policymaking process. We will explore ways of ing lies in the fact that ownership of the SSDP project including beneficiaries and adversely affected people has survived eight successive national and provincial themselves in the deliberations, because the NGOs may -overinimlents, militar-y inteivenltioni, and mass resigna- not be truly representative. I think we should encourage tion fromli the provincial assembly in protest of the mili- the GOS to strenigtheni the advisory committees and. in tarv. In March 1994 the government of Pakistan re- time, introduce public hearings. although1 this is a so- quested that the Sindh project model be replicated in phisticated concept. The East Asian mocdel of delibera- other provinices. Disbursements of the International tive councils may be another mechanism of giving voice Developienit Association credit have begun. and bids to civil society. We are also considering how we can help have been called for the two largest physical compo- the GOS Provincial Assembly be a mor-e effective force. nents in the project. I ( 02 PHILIPPINE: S INTEGRATED PROTECTEr) AREAS PROJECT Thomas Wiens was T the Ta-sk Manaitger *~ of the Philippines ' sitegrcatetd Protected _ I Areas Project. <--,- I t was on the eve of the appraisal mission that I realized we had a potential problem on our hands. We had been working with the Philippine govern- ment for a number of years to devise a policy framework that would help preserve the few good stretches of forest that were left in the country. Out of this was born the Phililppines Integrated Protected Areas System (IPAS) project. It envisioned a shift toward a decentralized mianagement system to resolve the resource conflicts among various user groups at the ground level. But despite the or-iginal intent to give equal attention in project design to biodiversity preservation anid the nieeds of directly affected groups, the project had been prepared in an expert, "top-down" manner, with miinimial local par- ticipation at the onset. A local e xpert had drafted the new protected areas leg- islation, which had subsequently been passed by Congress. Teanis of NGO consultants had been hired by the government to identify priority areas to in- clude in the project. They were then charged with developing managem-ent plans for ten of these based on scientific criteria. These same NGOs were also give resonsbility for holding, public meetings in these areas to disseminate information and obtain community feedback on the new legislation. Up to this point, I had been focusing most of my energy on the draft legis- lation and hadn't paid much attention to the participatory aspect of the project. I assumed that, because it was being done by local NGOs, participation would take care of itself. I was soon to learn that this was not the case. WARNING SIGNAES By the time we ariived in Manila for the appraisal mission. I had received many signals from the NGO comimunity that the public consultations had not 1I03 TI NVO\ 1R1.A) BA\NKs}.N11 P TICIPATIlZlN S01l 'Rf :B;(l01l been done satisfactorily. Apparently, maniy stakeholders unique situation as PANLIPI was brought into the pro- who expected to be included in the earlier discussions cess personally by the secretary of the DENR. who was had been left out. From what we were hearing. we knew a former huliman rights lawyer. In addition to being trusted potential issues with indigenous peoples would arise that by the government, PANLIPI had a good reputation woulcl have to be addressed. A numliber of Indigenious among- indigenous communllities and hiad built a relation- Cultural Communities (or ICCs, an acroniymii used in the ship of trust by providing them with pro bono legal ser- Philippines to refer to tribal peoples) cur-enitly inhabited vices. Because of their good relationship with both sicies. a good portioni of the proposecd park lands. It was clear PANLIPI was able to organize the necessary meetiligs that we would need their participation and stipport to between the mission anid the communities in each of the implement the project. But somehow. we hadni't man- four areas that had been selected. They identified the aged to achieve this. What had gone wrong'? stakeholder groups that would be met by the appraisal team based on their knowledge of the groups in the area and used their connections with the local NGOs to ar- PRk;P.1R.-NITION B3E- E.xPu;k.RPI ranige open meetings with the variotIs indigenious groups. When I clelved into the matter. I discovered that the NGOs Inii my view, PANLIPI did a pretty good job of staying hired to help the Departnent of Envirojnment and Natu- neutral and ensul-ing that all relevant stakeholder groups ral Resources (DENR) to prepare the project were es- were brought into the dialogue. By this, I mean both sentially technical in orientation-a collection of scien- groLups that supported the project and those that strongly tists. academics, andc forestry specialists brought in for opposed it. their expertise in biodiversity preservationi. No one on the team had any experience working with indigenous Information Sharing peoples or using participatory approaches. Although they The fotu- sites chosen for appraisal by the joint mission were the right kind of NGOs to design the technical were selected because they presented the greatest chal- framework for the program. they were the wrong kind to lenge for implemilenltationi of the IPAS progratm and had undertake collaborative dlecisionmakinii with local tihe most coniplex humani and sociological pr-oblemlis. The people. This reflected the fact that our thinkinIg lup ulntil appraisal team spent between two and thr-ee days in each this point had been more focused on getting the "sys- of the four areas. We met with local NGOs and indig- tem" right and identifvinsg what was worth protectill. enous communities as well as with the local authorities Althoughi we kinew that people constituted the miain thieait and church groups that interacted with them. Some meet- to the effectiveness of such1 a system. their needs hiad niot ings were chaired by PANLIPI. but most were hosted bv been in the forefront in designinig the legislation1. the local NGOs in the area. As far as the meetings went, I don't think enough information was provided in ad- ('CONuST1TIN(' THE PEOI'lE vance to the participants, so a fair portion of the time was spent explaining to themil what the project was all We realized we would need to get the local people in- about. Tlhe proposed new systemil called for active local volved to remedy the situation. One of our tasks durinig maliagemilenit and possible restrictions on resource use: appraisal was lo redraft the implemenitation guidelines. therefore. we wanted to enstire that those who were go- which woulcd spell out in detail how the legislation was ing to be affected by the project (or could affect its out- to be implemilenlted and clarify any ambiguities. We de- comile) clearly under-stood the rights and responsibilities cided to take this opportunity to consult the people about the IPAS would brilig. the new legislation. We wanted to identify any critical problems related to the IPAS design andc ask them if they Negative Feedback wer-e willin- to joini thle proposed park systemi. To do this.- I e - j The DENR officials took a lead role in explaininig the ob- we suggested that the mission be set up as ajolint consUl- j i tative appraisal between the government and the Bank. jectives and benefits of the new' legislation, whereas w'e Taive wappisreadily aeptweclb the government aildthe Bank. (the Bank staff) mainly just listened, observed, and spoke This was r-eadily accepted by' the DENR. only if there was a specific question directed to us. Then it was the people's turn to tell ItS what they thought. In Participatory NGO Enlisted Mindoro. the Mangyan leadlers along with represenitatives PANLIPI. a nationial legal services NGO. was contracted of Mangyan comMUnity organizations fromil across the is- to identify the relevant stakeholder grOUps and organize land begani ahilost imimiediately by poinltiig out serious the meeting agenda for the mission. This was a ralther llaws in the system that the expert design teain had over- 1 04 1 I I, I I 1.1 I'1' P;' 1;. HAI N'':.{\lF: 1) I"(),I vl( ''r I.; ) A u1.\ looked. For exaimnple. the Mangyan people had looked at Manila, there was no doubt in any of our minds (Bank the IPAS maps for Mildor-o and discovered that a portion and DENR staff included) that the project would have to of the park had been classified as a "strict protected zone" be redesigned to respond to the expressed needs and pri- in which vi-tually all human activity was to be banned. orities of those whose lives were going to be directly They subsequently infonned us that a number of Mangyans affected. We were now much more focused on "people's lived within this zone and dependecd on hunting, fishing. problems" and realized that the project plans, as they and gathering of forest products for their livelihood. Not stood. were not centered on people. surprisingly, they found these regulations to be unaccept- For one thing. we realized that the protected areas able and incompatible with the traditional lifestyle of their le-islation was inadequate to deal with the intel-ests and people. Like other ICCs, the Mangyans have close attach- concerns of indigenous peoples as they had been con- ments to their ancestral lands and possess customr,11-y laws veyecd to us. It was obvious that if we did not change the for regulating the use and transfer of these lands and their project to correspond with these realities, we would not natural resources. They made it clear that the recognition win the cooperation of the ICCs and their support groups. of these "'ancestral domain rights" and the actual demar- We therefore set about redrafting the implementation cation of the boundaries of this domain were precondi- guidelines based on what we had been told. Now, imple- tions ftor considering their participation in the protected mentation guidelines for any legislation can modify its areas system. impact to a greater or lesser extent, depending on how In Palanan, we discovered that livelihood concerns flexible the legislation was in the first place. The changes were the central issue for the resicdents. The town was in we made following the consultative appraisal mission the middle of the proposed national park. Most of the meni were designed to skew the implementation of the law in made their living from illegal logging, and some asked us favor of ICC rights to traditionial meanis of livelihood and quite matter-of-factly if we could cut a road through the occupancy. decentr-alized park management. and comn- virgin 'forest to facilitate their trading and give them some inuility managerial boards that gave a strong voice to in- contact with the outside world! This startling request helped digenous peoples. us to understand an important reality: if we didn't chanige Another persistent complaint we had heard from the project and place a greater emphiasis on livelihood is- ICCs in Mindoro was that the process of delineation and sues. we would not have any hope of sustaining it or get- recognition of their ancestral domains was incomplete. ting the local people to stop relying on logging as a source They were ullderstandably frustrated and wanted to know of income. Similar concerns were raised during consulta- why. Recognizing this issue as a potential obstacle to tions at the remainin1g two sites. ICC acceptance of the IPAS, we followed their sugges- tion and requested DENR to show good faith by coin- pleting its stalled delineation work prior to project imple- A Snip-r IN ()1 R ITHINKvING (O mentation. In addition. we revised the implementation These constiltations clearly demonstratedl weaknesses ;l gui delines to emphasize ancestral domain rights (includ- the IPAS manlagement plans designed by' the conisuLltanits. ing precedenice over IPAS laws in the evenit of conflict) Although we knew the plans were stronger in thieir tech- far more We also earmarked project funds to continue nical descriptionls than in their social anlatlysis, we hadni't the delinieationi work in this and other areas. realized how far removed they were f'rom human reali- ties. Because of the difficulties involved in demographii- INIERTI NG PA.RTI(CIPATIORx cally surveying certain areas. basic information on how ARRAN(;I:: iE.N1rs maniy people inhabited the region and which areas were most densely populated was often lackiing. With regard to project design, we got the message loud Now I've heaird it said many times before that con- and clear that the existing project allocated too little sultation with local stakeholders is not the same as par- money toward livelihood purposes. Froi'n the wide array ticipation. After all. we-the team of outside experts- of ideas, suggestions, and reqLiests that were put forth by still had ultimate conitrol over the decisions that were communities during the different meetings. it was ap- being made. Talking directly to the people. however, was parent that the only way to reflect community desires in certainly better than making those decisions in isolation project design was niot to specify potential livelihood from Manila or Washington, D.C. We learnecl a Lgreat deal projects in detail prior to implementation. Rather, we from these consultationis; the things people told us influ- decided to more than double the funds for such activi- enced our way' of thinking dramatically. On ouL returni to ties. develop some gener-al criteria. and design a com- 1I 05 THEi; \'WOR1,I) BANE IPAERTICIPA T'*'ION SOt'I7RJ.H4)Oli munity-based mechanism for identification and selection sessions: therefore, during subsequent meetings in other of such projects "on-the-fly." areas, workshops for tribal people were kept exclusive And that is exactly how we ended up proceeding, by to avoid the influence of other groups on their percep- tossing out many of the other activities budgeted during tions and feedback regarding the IPAS legislation. In these preparation, while increasing the range of permissible cases, the DENR, local government unit officials, the activities and enlarging the funds available from 20 per- Church, and NGOs were allowed in as "observers." cent to 50 percent of the total project budget. In short, The workshops began with a presentation by we felt that the "social fund" approach was the only prac- PANLIPI on the terms, conditions, and implications of tical way of responding to so many different needs and the IPAS law and revised implementation guidelines. priorities. This was a critical step in ensuring real par- Participants were then divided into small groups to re- ticipation by local people in the project, because it gave view the maps and documents and discuss the items that them control over financial resources and how they would affected them. PANLIPI primarily played an observer role be spent in their communities. By devolving resources in these discussions, responding only to questions of clari- to the local level and responding to the demands of the fication regarding implementation of the IPAS law. ICCs for ancestral domain rights. we were betting on tak- Through this interaction with each other and with ing much of the "heat" out of the opposition. Would in- PANLIPI, local people carefully considered the implica- serting participatory arrangements at this late stage work? tions of the legislation and weighed their options with We decided to put it to the test. the understanding that they were free to refuse member- ship in the parks system. In the process they learned what Z"F0)I,1 .()5X ING(: tTl, 'their rights and responsibilities would be under the IPAS and what tasks they would undertake as members of the Once we had translated the local input into a new set of community management boards. Once they understood participatory arrangements, we suggested that the DENR the overall framework and assessed their own means and organize a series of follow-up meetings with the same ability to participate, they collectively adopted resolu- communities. We recommended that NGOs be hired to tions concerning topics such as ancestral domain, liveli- conduct the follow-up. DENR readily agreed. hood, IPAS restrictions, resource use, management Four NGOs were sent back to the four areas we had boards, and tourism. In doing this, they were making visited. Of these, PANLIPI was sent to Mindoro-the promises in the presence of other stakeholders about the island that had voiced the most opposition to the IPAS actions they were or were not willing to undertake. during the previous consultations. All four NGOs returned with the revised implementation guidelines that had been AN U NEXPECT( OU) L'TCOM E influenced by indigenous peoples' input. They also took back the new terms of the project, which were also much The results of the follow-up meetings were that three of improved by giving real control to local people over de- the NGOs came back from the field reporting strong com- cisions that would affect them. The objective of these munity support for the revised project with no signifi- follow-up meetings was to provide an opportunity for cant problems or objections. After weighing the costs local stakeholders to review the revised arrangements, and benefits of the newly revised terms of implementa- provide feedback, and propose any further modifications. tion, the affected groups concluded that participation in They were also intended to begin the process of self- the IPAS was in their best interests. They agreed to join selection of representatives for the Protected Areas Man- the national parks system. agement Boards (PAMBs). But the events that transpired in the Mindoro work- In Mindoro, for example, follow-up meetings with shops were dramatically different. To begin with, par- the various stakeholder groups were held in a workshop ticipants rejected the basic premise of the follow-up meet- format. PANLIPI greatly emphasized the voice of the ings. This had been expressed to them by PANLIPI as ICCs because they are the most affected by the IPAS. "discussing arrangements for community representation The views of support groups such as community work- on the Protected Areas Management Boards." The par- ers, the Church, NGOs, and local government units, how- ticipants argued that they could not talk about the terms ever, were also given due consideration. In the initial of their participation in the project when the legislation workshops, the different stakeholder groups were mixed itself was not acceptable to them. By being adamant on together. It was observed, however, that in these instances, this point, they succeeded in shifting the focus of the the NGOs and local authorities tended to dominate the workshop from "representation" (which implied voice) 1 00 P'H IIPPII'IN ES: INTUA;(;AlT) E'Ro'I'IE. AlF>:Ak to "acceptability" of the IPAS program itself (which im- ownership in the early stages of project design. The les- plied an "exit" option). This question, they felt. had niot sonI of Mindoro also helped us create a better project by been adequately addressed during previous consultations. forcing Us to pay more attention to participation when The proceedings of the tribal workshops in Mindoro putting implementation arrangements into place. were dominated by objections ancd protests over the per- ceived primacy of environmental concerns over the hu- man needs of the Mangyan people as retlected by the IPAS legislation. The overwhelming opinion of the ICCs For those areas that agreed to join the parks system, the as well as the Church and NGO groups was that the re- IPAS legislation sought to institutionalize local partici- vised terms of tile project did not go ftar enough in meet- pation by decentralizing the management of protected ing the demands of the Mangyan people for self-deter- areas and giving greatev control and representation to mination and ancestral domain. The ICCs felt that tiheir local people. We built provisions for a multistakeholder indigenous land-use systems were more appropriate than PAMB in each region into the implementation guidelines. what the IPAS had to offer. The next step was for communities to select their repre- During the workshop, the ICCs also rejected mem- sentation on the managemilent board. During the follow- bership on the management board, which they felt would up consultations, the NGOs contracted by DENR began be controlled by the politicians and bureaucrats. They to work with the communities to develop a process to viewed tribal representation on such a board as a "to- select theiir representatives to sit on the board. Stakeholder ken" that could be manipulated as an instrumilent for jus- ,groups were free to choose their board representatives in tifying government programs. The local groups, there- any way they wished. The ICCs learned about the differ- fore, refused PANLIPI's invitation on behalf of the gov- ent rights and responsibilities they were commilittilng to einment to choose tribal representatives to the PAMBs in accepting boardc membership. These tasks included because they rejected the concept of the IPAS as a whole. approving mnanagement and zoning plans, setting rules Other points of contention included, the peri-it system, and licensing resource use within the park, and collect- provisions for mining resources in ancestr-al lands, and ing fees and fines. Perhaps. most important from the tourism projects that could convert tribal lands into a standpoint of the ICCs, representation on the PAMB "Mindoro zoo"! The principal message from all of this meant that they would have a say in the sort of livelihood was that the local people had been left out of the process activities to be funded by the project. Moreover, local and no changes we could make at this stage would suf- NGOs would be hired to assist them in preparing and fice. The opposition to the IPAS legislation had solidi- implementling these projects. fied. The indigenous people had reached an overwhelm- In several cases, the ICCs expressed concern that their ing consensus: "We don't want to be a national park!" power on the PAMBs would be diluted by other, poten- tially more powerful, stakeholders. They rightly predicted that pressure for represenitation from a growing number S;ETTINGs A PRECE'DE.NT L of user groups in the area would expand membership on This was the message that PANLIPI carried back to M.I- the management board from the initial limit of fifteeni nila from the ICCs of Mindoro. It was an outright re jec- memilbers. In view of this. DENR decided to establish an tion that ultimately resulted in Mindoro being dropped executive comimiittee for each PAMB. This three-mem- from the protected areas park system. In this instance, ber committee-consisting of one representative from participation had meant giving local stakeholders the the DENR. ICC, and NGO communities-would have option of saying "no" to a project because consensus and the decisionmiaking authority for the board. The new commitment to it were lacking. The long political struggle terms of this power-sharing arrangement were welcomed between the Mangyans and the government over the scope by the ICCs. of ancestral domain claims proved unresolvable within the context of the IPAS legislation: although I regretted (os,], the loss of Mindoro, I believed it was better than having the government and the Bank invest resources in a project The funds ftor all the preparation work, including the doomed to failure. I also felt that "allowing" local com- participatory components, came from a Japanese Tech- munities to opt out of a project set a good precedenlt by nical Assistance Grant. The joint appraisal meetings discouraging fluture expert project preparationl efforts and were relatively inexpensive, costing somewhere in the pointing out the benefits of building local consensus and r ange of $5,000 to $10.(000. The follow-up consulta- 1(07 THE WO()RI,) BANK P.\A'TI(1'.\'IPATN S()II(EI1U()I( tions, however, were more extensive. They totaled about If I hacd to cdo it over again, I'd start at the point at $30.000 to $40,000. Each of the NGOs was giveni ap- whicih we ended up this time around-by introducing proximately one-fourth of this aIount. With regarcd to participation as early as possible into the process. One time costs, the participatory interactioni did not delay of the benefits participation brings is that it allows ev- the project in anyway In fact, the follow-up sessions eryone to see clearly what different stakeholders are and were intended to fill In some of the tinle between ap- are not willing to commit themiiselves to. The participa- praisal and effectiveness, lest the expectations and en- tory stance that was taken during follow-up with the comn- thusiasm raised duril-g appraisal diminish by the time muniities allowed indigenous grOUpS to decide what was project implementationi began. in their best inter-ests. I think this fact. combined with the participatory hilplementationi arTangements that were _ - ~ Rf~LE('I IOadded, will go a long wav to ensuLe that this project is _t:_ ()N ['.RIEUT"'TZON one that the people living within the protected parks sys- The project went through many changes between identi- temn are williig to maintain and support. fication and approval. This evolution took thime and cer- The change in our stance over the course of preparationi tainly would have been much easier and faster if we had andc appraisal was a gradual process of getting deeper and knowvn at the beginning what we know now. We started deeper into the pro-ject andcl developing an understanding of out with an expert-desigined. technical preparation that the inextricable link between participation and project suc- then shifted to an NGO-driven consultative process duIr- cess. Once we made a concerted effort to seek out the differ- ing appraisal. From this it evolved into a hilghly partici- ent stakeholders and biing thliem into thle ecisionmakilng po- patory project in which one communllity walked away and cess. the pr(oject began to change-tor the better-in innu- the others acquired resources througIh the livelihood fund merable ways. We mlay have been slow in starting, but this and representation on the managing board. only goes to prove that it's never too late to get it right! I 08N PHILIPPINE S C'OMM lUNAL IRRIGATION PROJEC'TS Charles Gunasekara vn'as t/e Task Manz- ager ftor t/ie Philip- /pitnes Ca7intit lit n! lirioation Projects. In 1982 1 weilt on my first Banik ImiissiOI to the Philippines. where we'd been wor-king- with the National Irrigation Adiniiiistrationl (NIA). I was supervising coilpletion of several previous loans and finishling prepara- tioil oft a new loan. I arrivedl at a time when NIA was adijLstill to some miportant changes. Created to help develop greater food self-sufficiency in the Philippines. NIA began by investing miainly in large irrigation systems. But by the beginning of the 1 970s. it began to place imore emiphasis on coniniunial irrigation systemCs that WOLlkd benefit remiiote poverty-afflicted areas. In learnmiL about my' new assiglnment. I kept hearing about NIA's work withi farmicrs. Mv NIA couLnterparts toldl mie that the agency had conisciously set out to collabor-ate with farmers and to buildc on centuries of farmier-run irri Cation schemnes. To clo this. NIA was fielding communllity organizers to work hand-ill-hanILd withi the farmiers to provide training and team suppoirt building. Their goals were to increase the ability of farmers to work together. negotiate effectively withi the coveriniulenit. operate and maintain the system, and manage it flliancially. The tone at the agency was enei'getic: many people there spoke respect- fully' about the farmiers' collabor-atioll. Although NIA was a traditional engi- neering agency, the enginieers I m et told me that the participatoi-y experimenits had persualLded theml of the valuIe of working withi the farmers. Having arrived in Manila. I wantecd to get out into the field and see what was workinig and whiat wasn't. On my first ImiissioIn. I visited a comimiunity in the northi of LLIzoI. The comm1lullity organizer-I'11 call hel- Rosa-had arrived 109 T II.; WoIf l. I) 1RANK ,% ,¢ I I'I.'l''I()I N ( )I 'I; III()( )Ii there about a month before. She had been gettino to know The group found that cost recovery was an impor- the farmers, workin- with themi in the fields, participat- tant aspect of the participatory approach. As they helped ing in their social life. andc meeting with the local irriTga- pay for the systems, the farmers developed a financial tion association (IA). I could sec how she appreciated stake in the projects. But. more important. repayrent and sensed the needs of the farm itfanilies, especially of helped motivate NIA personnel to treat the farmers as the women. 1 found this attituLde of respect and caring clients and to be interested in promoting strong lAs that among the comimiunity worker-s almost everywhere I went. would be capable of repayment. For centuries in the Philippilnes, farmers have gotten By 1980 NIA had shifted away from its strictly engi- together- to build and maintain simple communial Irrigation neering approach to a sociotechnical approach. NIA in- schenmes. Rosa's comniunity was no exception. The farn- volved i-rinationi staff who were to implement the new ers already managed tleir owi canials, usiig tempora-ry damns approach to develop detailed pr-ocesses for farmers' par- made of logs aid stones to diveil water- froi a streamii nearby. ticipation. NIA ulider-took a large training program. With Rosa and one of the village elders, Tio. took nie to see one assistance fromil experienced community organizers and of the dams. Tio was about seventy years olcd. He could social science and management institutions, it trained remember long ago chancinig oin the streamii we were look- newly hiried community organizers in farmer miobilization ing at and dreaming of directing these waters to the rather and action research; it taught the enginieers how to work amidc lands Cultivated by his father and those of the other with the farmers and guide the irrigation associations in villagers. Some years later. he had been able to obtain the operations and maintenance: and it trainied farimier leaders suppori of his fi-iends andc relatives ancl built a diversion, ini meeting techliniques. leadership. and managmeniit. whicih gave them a small am11oun1t oF water. Although still ciLide. the systemn had matured to iniclude ( M NIT ( 1 M )R(; N NI '/.I'?, a main dam and canal and many small ditches, constrlucted by the far-niers of several comml1unlities and( serving about By the end ot the 1980s. NIA had almost 750 commu- 400 hectares. During the annual floods. the damil and many nity organizers. The organizers ar'e carefuilly chosen for othier- works woulcl be washecd awav. Every year. the fanmi- theil ability to relate with delicacy to the fariners and to erS would iebuild the dlanlaged stirLICUres lidl epair the maina speak the local lanLguage. Typically. they take about ten canal, contributing as many as 1(0.t)0()0 person-dlays of vol- molithis to lay the groundwork for construction of new unlary labor. The wvork was organized informally. irri-ation schemes. They work behind the scenes. encoLir- aging the farimlers to organize formally their lAs and to NtIA Rv;E1'O)NI)S take the lead. The lAs help to secure the rights-of-way. contribute to the design work. and enter into an agree- Over many years. Tio and his co-villagers also trie(d to ment with NIA. wiich covers cost issues ald definles their get ouiside help to improve their systeim. Finally. NIA respective roles in implementation and subsequent op- responded. During the 1 970s. cdrawingg on its 1 974 char- erations andl maintenance. Duingl1'T construiction, the lAs ter. which auth1o-rized it to delegate management to the contribute about I0 percent of the costs in casi or in kind. farmers and collect paymenits fromil them. NIA had been When constiuctioni is completed. the IA evaluates experimileniting with participation inl sm11all, comm11unalll ir- the work and foirmiially takes over the systemii. acceptilin rigat ion pilot projects. NIA had obtaiiedi grait funding fLIll responisibility foI the operations and maintenance and firomil the Ford FouLIndatioll to sLIpport the developimienit of repayvimenit of' NIA's chargeable cost at no interest (this pr-ocesses for fltiarmer- participation. Thi s I'lex ible fUnding excludes overhead, roads, and such). To ensurle financial enabled NIA to undertaike action research that coUld not transparency, NIA and the lAs holdl monithly reconcilia- be fulide(d througIh the UsuaLl government hudgets. tion of costs chargeable to each IA. This encoulages the A multidiscipllinary learning gr_oup composed of NIA IA to meet their tfinancial obligations. Once an IA is well officials, somiie of the newly hiredi comllullnity organiz- uLider way. the ComImlullity organizer visits only periodi- ers. and people firomii social scieice, mianagement. and callv and shifts attention to a new area. agrlicultItUral en gin eeri ng institutionis providled advice to tihe NIA .assistant adiiinlistiator- wlho managed the pilot SEPTI N l' AN [ l IGA'FION AS9o'IATIoN projects. The learniniig groLIp exanli ned the implicatiolis of NIA's experience in these pilot oper'atmionIs for dleter- Rosa had already' beeni talking withi the fariller s aboLut NIA's mininig changes in NIA's policies, procedures. and train- proposal. Durilng these meetings, the farm'ers had been able ing programils. to deal with various reservationis they had. For exatiiple. I 10( P'HII.IPPIINVI.!: COtMMUllNA\.1,Xt( IRRIATIO their concerns about accountability for village funds were munal Irrigation Development Project (CIDP) loan of allayed when they cleveloped clearly stated and understand- $121 .9 million. able procedures. including the organization of monthly CIDP I was the first foreign-assisted project to focus reconciliation meetings, the training and support NIA entirely on communal irrigation development and farmer would give to the villager designated to handle finances, participation. It became effective in late 1982. just after I and the public display of financial statements. had come on the scene. The loan was to cover 33,500 hect- Rosa invited me to a general assembly where she hoped ares, about two-thirds to be new irrigation and one-third to obtain the farmers' agreement to proceed. The villagers to be rehabilitation of existing communal systems. About agreed to NIA's proposition that, with their participation, $3.5 million of this was dedicated to institutional devel- NIA would improve and expand the inigation system and opment (farmer and staff training, community organizers that the farmers would set up a fornal IA to handle opera- and supervisors. meetings. and technical assistance). tions and maintenanice and over time pay for the construc- tion. By assumiiing these responsibilities. the IA would clearly demonstrate its commitment to the project. Over the next several months. Rosa helped the farm- CIDP I was added to my supervision responsibilities. On ers develop their local group into a more formal IA. They one of my missions. I heard that the farmers' commit- set up a three-tiered structure, with an elected president, tees in the village I had initially visited had "walked a board, and sector-level groups. The board, composed through" the NIA plan with the NIA engineers. The plan of the heads of the sector groups, determined how the laid out a new water course for the main canal and some rebuilding and maintenance responsibilities would be of the smaller canals and provided for a new dam. Dur- divided among the different sectors and how water would ing the walk through, the farmers had requested some be rotated during periods of scarcity. modifications because they knew certain landowners Althouglh the board helped with commnuniication and would resist giving rights-of-way unless they were paid coordination. each sector had its own struclure, leader- a high price. After several meetings to discuss jointly ship style. and organization. Each was responsible for various issLIes, the farmers' suggestions were incorpo- mobilizing and managing the needed labor and materi- rated into the plan and the layout was presented to the IA als. As it did for other lAs across the Philippines, NIA general assembly for further modification and approval; provided traininig to the farmers so they could manage thus, the NIA engineers and the farmers learned and in- their organization and helped the IA register as a corpo- novated together. ration with the National Securities and Exchange Coin- With Rosa's help. the IA had then secured the water mission. This meant that they' could ownI property. make riellts and obtained the rights-of-way. Given that every- contracts, collect fees, and impose sanctions. one stood to benefit from the new main canal, all but one With Rosa's help, the sector committees developed of the farmers along the route had agreed to give right- by-laws (specifying the numiiber of board memiibers, for of-way without charge. The exception was a man who instance) and divided the responsibilities for such mat- would lose a considerable number of fruit trees: the IA ters as water rights. monitoring of materials and costs. agreed to compensate him. Because the farmers had and matching of farmers with the paid irrigation con- worked out a clear plan and dealt thoroughlly with all the struction jobs. Rosa later told me that the IA had done a rights involved, the construction went smoothly and was good job of reviewing all of the rules and decisions with completed on time. the members and ensuring that both water distribution and maintenance were handled equitably. NOVE 'EIIRATION G(tN'ING 1NC RXNK SI'U'P'POR'T Six months after the irrigation system was completed. I was on another supervision mission and had the oppor- Until the early 1980s, Bank support had mainly focused tunity to visit the village again on the day management on NIA's large- and mid-sized national irrigation was officially turned over to the IA. The officers of the schemes. These had been built by NIA engineers with- IA signed documents approving the construction costs out farmer involvement. In 1981 a Bank team reviewed (which. in turn. would determine the annual amortiza- NIA's participatory' work and endorsed the agenicy's in- tion payments due) and assumed responsibility for the tention to expand participation to all local and some management of the system. The signing was followed national irrigation schemes. This led to the first Com- by a party and speeches. Rosa congratulated the farm- LIlI ITE NVORI4A) BANI I'PARTI'IPATI'*VIION SOIURCE('IIOOIK ers. saying she was confident that the success of the IA sustainiable. I also concluded that. thanlks to NIA's par- and the new experience the farmers had gained in their ticipatory process. this irrigation system now truly be- comimiittees had prepared them 'for this momilent. longed to the farmiers. By this time, the association had set up various mani- agement positions, such as operations manager and gatekeeper, and had selected a water tender and fee col- lector for each sector. The fees were to be paid in kilo- The LLIZOI village is just one example. I visited mainy grams of paddy per hectare: 130 kilograms of paddy per communities all over the Philippines. As NIA expanded hectare during the wet season and 95 kilograms per hect- the participator-y approach. it was finding much greater are for the dry season. For each sector. the water tender satisfaction among the farmers with the irrigation would deliver the bills to each farmer and. after the har- schemes, dramilatic increases in the acreage irrigated dur- vest, a fee collector would pick up the paddy fromii each ing the dry season, and increased conscientiousness ftarmer and provide him a receipt. The collector would amiong the IAs regarding pay-clown of the debt to NIA then sell the paddy and turn the revenues over to the as- and mnaintenance of the canals. Because of local funding sociation. constr-ailts, design changes. and law and order difficul- I learned that the ftarmers had already brought 250 ties. delays were the norimi for many. if not most. of NIA hectares of previously arid land under irrigation. In ad- projects (and most of the Bank's projects in the dition, thev had increased their yields from an average Philippines as well). In some cases, the lAs ran into dif- of 2 tons to about 3.5 tons per hectare. This was a very ficulties with major repairs, and NIA had to step back il. poor community and, from the new clothing worin by Nevertheless, in the participatory projects, thanks to the families at the meeting, I could see that the people had involvement of the ftarmers in the planning, maniy prob- already benefited from the big boost in their crops. lems were avoided. As a result. the delays were shorter- Shortly after the turnover event. I hear-d that the sec- and less firequent. toI groups of the IA had elected new board memilbers. New leaders had emerged during the w'ork with NIA: as Rosa had hoped. many of them wer-e elected, includilig ; I.J Il two womeni whose contributions were widely recognized. NIA's support for the far-miiers grew durinig the course of the The leadership during the operations and miainltenianlce pilot pro jects and continued during ftull-scale hilplemilenta- phase would thus be strong. tion. As an example, to stay close to the lAs. NIA estab- lished a widely dispersed network of sixty-seven provincial inigation offices, which were strengthened with Bank as- sistance. The goal of these offices was to help clevelop com- Participatory projects are not completely smooth. Four munal lAs. Among other things. they foster information years after the Luzon villagers had assumed responsibil- sharing amiong lAs. Through this visitation and peer train- ity for their inigation system. I visited Tio's comimluniity ing. the faimiei-s learned a great deal fiom each other. again. NIA had moved Rosa to another community and. NIA provides bonuses to these offices and their em- left to their own devices, the farmers had permitted the ployees based on their cost effectivenless. This encour- maini canal to become overgrown. When I sat with the farml- a-es them to treat the faarimlers as valued customers whose ers, they were pretty embarrassed. They said. "We were satisfaction is indispensable to NIA. Fromii my many vis- just going to clean the canal. This is the only one we haven't its to com munal projects, I can say that, in general, NIA got to. But our yields are as high as ever. and we have staff are respectful of the ftarmiiers' wishes. been able to keep all the new land under cultivation." Looking around the area. I could see that the irriga- (II)I, 1l tion system. although not in perfect condition, was pro- viding a steady supply of water. Farming was going well. In the late 1980s, as we conipleted supervision of CIDP The new prosperity had led someone to construct a mill. I, we began preparing the second communal loan. As we and many people had made significant improvemenits in considered how the new loan might build on the old. the size and quality of their houses. I concluded that. which had ultimately resulted in the in-igation of about although I might have preferred a higher standard. the 50.000 hectares. we hacd much to review. farmers had stabilized systeni maintenance to a nor-m with We wanted to be sure the Bank continued its long- which they were comfortable-one that was doable and teriml, programi approacih to supporting NIA and that les- I112 PI'llIPPINEI'III: COI N1 IRRAt'. I.ll(LNV'lT)ON sons learned from one operation could be built into the We have enough food for ourselves. We can really im- next one. During our preparation missions. NIA set up a prove our incomes now if we get the right kind of assis- series of meetings with selected lAs to conduct compre- tance." They wanted better weed control in their canals hensive discussions of the experiences to date. A num- and paddy lands. They wanted to diversify their crops, ber of these meetings were in the northern Luzon region. particularly in the dry season. They wanted to understand Since the time I first visited there, the number of lAs had more about fertilizers and pest management and to pro- almost doubled. cure the needed seed. fertilizers and agrochemicals. During the course of these meetings, we developed Both NIA and the farmers said they were committed an understanding of two major sets of needs. The first to meeting these needs through participatory processes. set had to do with record keeping about the projects and For these purposes. NIA devised a novel grassroots ap- their impact. The second had to do with the opportuni- proachi. For all communial irrigationi systems rehabilitated ties created by the greater availability of water. or established under CIDP I], NIA collaborated with the lAs to prepare and implement agricultural development plans. These plans cover most of the needs raised by the farmers, including cropping patterns, equitable water dis- The Bank team had been reviewing the lAs' books tribution in the case of shortages. reforestation, soil and throughout the ]980s and recognized the integrity and water conservation, nurseries, and other support services. thoroughness demonstrated by virtually all of the lAs. They also include farmer training, extension visits, dem- Although they started off with little knowledge of mod- onstration programs for crop production methodologies, ern accounting and bookkeeping, most of them could and pest management and mechanization, as well as co- show their membership what funds were coming in, and operatives and other means for bringing greater credit how they were being spent. and marketing schemes to each IA. Nevertheless, as the communal systems expanded. CIDP II was appraised and approved in 1990. It be- both the lAs and NIA needed more systematic account- came effective in January 1991. The loan is for S46.2 ing and national reporting. They also needed to improve million. Although supporting the activities just described. their tracking of water distribution, cropping, rainfall. it covers new irrigation works on about 10.000 hectares flow statistics, operations and maintenance, crop perfor- and the rehabilitation and improvement of about 15.000 mance, and agricultural incomes. hectares. CIDP II was deliberately kept small because of In CIDP II, we agreed to support the further develop- the somewhat tight fiscal situation in the country. We ment of performance monitoring and training at all levels. expect the irrigation schemes built under CIDP II to help The training programs helped the associations develop about 20,000 farm families directly. In addition, these needed skills in decisionmaking, resource mobilization, families and the many other small irrigators in the nearly conflict resolution. and performance monitoring. 3.000 NIA-assisted communal schemes, will benefit from the institution strengthening and improved agricultural support services that CIDP II supports. The improved irrigation services at the communal level Sil'l'l;l I ) and the greater availability of water have led to a higher and more varied set ol agricultural needs. During prepa- Things are going fairly smoothly in spite of financial dif- ration of CIDP II, the Bank team attended a series of ficulties that have slowed the pace of implementation. meetings organized by NIA with the f:armers around the Supervision missions about twice a year for CIDP II ap- country. These meetings dramatized the farmers' needs pear to be adequate, particularly because we make a point and desires. In some areas, the more successful lAs had each time of visiting the farming communities. already developed their own solutions, investing in thresh- By 1994 we could already see improvements. The ing floors, bulk procurement. storage facilities, and mar- Bank receives quarterly progress reports fiom NIA. and keting and providing credit to other groups of farmers. the lAs have improved the pay-down of their loan obli- This stimulated the less successful lAs to do the gations as well. We also get a comprehensive report on same-and more. Some of the farmers thought they the status of the communal schemes. Our review indi- needed to form cooperatives to get group credit, crop cates a substantial increase in average f'amily incomes. insurance, and marketing services and to build drying My frienids in the lAs tell me that their improved records floors. As one of the farmers put it, "We have the water. on water allocation and cropping are helping to ensure a I 1 3 ITHE VORIA) Ft XNI( PART\ICIPIl'ATITON SOURIOIRI{ )4hI( more equitable distribution of water ancd to ease the reso- patory systems included more tenants and small farimi- lution of disputes. ers, whereas in nonparticipatory systems the leaders To participate with NIA in the implemilentation of the tended to be wealthier. These differences indicated Agricultural Development Plans, each IA has formied an that in participatory lAs. the socioeconomic status Aoricultural Production Subcoimmittee. The subcoimnit- of the leadership was closer to that of ordinaryv mem- tees meet often, after obtaining suggestions and coim- bers than was the case for nonpar-ticipatory lAs. This plaints from the IA memiibers, to arrange water schiedLil- may have contributed to the mor-e equitable water in, review accomplishmenits to date. establish aniual distribuItion noted below. objectives tor the next stage of implemilenltationi. an(d pro- * With regard to equitable water- distribution amonc vide input into the annual work plans of the commuity memibers during times of scarcity. the participatory organizers and extension workers. systemils were more likely to (a) rotate water accord- ing to a schedule, (b) allow each grouip in turn to I,_ I n I ,I, s iiiake use of all available water for an allotted period of t'ime. and (c) employ personinlel to supervise water Farmers' participation in irrigation seems to have paid distributioni to ensure equity. off. My visits arounicl the countrv tell me that the results * Significant differences were also discovered between of a study conducted in 1985 by the Institute of Philipplie participatory and nonpalticipatory systems when it came Culture of thle Ateneo de Manila Univer-sity contilue to to the financial practices ot'associations. Up to 50 per- hold true: cent of participatory systems employed practices such as conducting annual audits of their accounts. prepar- * In participatory systems, production yields averaged ing financial statemenits, using vouchers for expendi- more than 3 tons per hectare in both the wet and dry tures and monitoring paymiients on each member's card. seasons, whereas, in nonparticipatory systems, yields Fewer- than one-fifth of nonparticipatory systems are were a little more than 2.5 tons per hectare. engaged in sucIh practices. * In the dry season, the participatory systems expanded their irrigated area by 35 percent, whereas the r il; tA N I'S hI, 1, nonparticipatory systems expanded by only 18 percent. e Farmer-s' degree of' satisfaction with the resulting The Banki has been lending to a relatively successful canals and structures also differed between partici- agenicy that was client-oriented anid supported participa- patory and nonparticipatory pro jects. In the tion. This was due, in part. to the support NIA received nonparticipatory systeims, farmers abandoned 18 ftromil the Ford Foundationl andl from other aid orgaiiiza- percent of the canals constr-ucted with NIA assistance tions. The Batik team as well as NIA benefited from the andjudged an additional 20 percenit of the new struc- experience and expertise of these organizations. Our con- tures to be defective. In contrast, in the participatory tribution over thime could be described as follows. systems. only 9 percenit of the canal s were abanclonied and 13 percent seen aIs defective. * Flevibilitv. It proved unlrealistic to try to predict rig- * One of the ways farmiers were requirecd to contribute idly the tine needed to develop the associations and to the costs of construiction was through "equity"- ensure their ability to participate. Also, targets that labor, materials, and landl. They were required to were too rigid tended to underinilie the f;arimiers' au- contribute 10 percent of the construction costs or 300 thority over the systems and. in turn, their commit- per hectare (whichever was less). The noni-partici- merit. In CIDP II, the desired flexibility was achieved patory systems fell shior-t, raising onlvy 54 per hect- by commilitting to work programs only one year at a are, wher-eas NIA's participatory systems generated time. Each year's work programn took into account 357 per hectare on average. thereby exceeding the the performanice of the precedinig year. minilmlll. This represents an immediate 60 percent * CoorclinwtinZg between NIA Ofnid1 othelr agencies. Al- recovery of costs for the institutional development though other government agencies were charged with activities i-elated to participation. providing the necessary support services, they sel- * With regaa-d to orianizational structure. in-igation doml functionied in a cooi-diniated manner-. To a great associations developed through participatory ap- extent. the Bank team provicded a liaison function. proaches were found to be more "'rooted in their For example. NIA had trouble getting the budgetary commllunlities. Organizational leadership in partici- agency to release funds appropriated for NIA. and I I 4 the lAs hacd trouble getting credits in a timiely manl- I also felt that because Our country counterparts some- ner from the Land Bank. We were able to use the times lacked comimillitineit or ability, we tended to seize Lancl Bank's good offices to facilitate timely actionl the initiative and, with the bor-ower inaclequately in- by these agencies. volved. we sometimiles made most of the clecisions and * App/ /ling appim'priate technologyv. Sonietliies traci- provicded most of the expertise. The result was that the tional engineering approaches lead to work that is people in the country were not learning much and thus not the most appropriate to the situation. So. in the tended to have a lower commitimient and to becomile mlore com01m1u.nals, we supported NIA in using the simplest clependent on the Bank. By giving the farmers control of techniques possible. For instanice. we encouraged their own systemn.s and making thei pa-tiners of NIA. the them to adopt drainage crossings. Using check gates Philippines approach appeared valuable to me in avoid- and spillways wher-e appropriate instead of siphons ing a lot of these problenis. and diversion weirs. Through many efforts such as For these reasons, we cid oui best to use the avail- these, we were able to reduce costs andi limiit the need able humilani skills an(d physical resources and to see to for higher levels of skill and supervision. Most in- it that. wherever possible. systemii design was based pri- portant, because these systems were simple. the farm- maily on NIA's approaches and standards. makilng ers could understand and manage them. chaLnes only where essential. For example, I've men- • Helping resolv'eproblenms. This was an important area tioned the simple drainage crossings. check gates. and for the Bank. For example. a private firm was dis- spillways that were used. We also helpedl NIA reduce charging effluent into one of the irrigation systems. the costs of headwor-ks by eliminiating unim1portant as- We asked the president of the tirm if something s couldl pects of the design. be done. After a lot of resistance, he finally said. Working in tle Philippines over a long period of tiie "Well. I clo have an idea. but I donl't think you will has made it possible to take a process approach to sup- accept it." As a matter of fact, we thought his idea portinig NIA. We avoided the tendency to plan thing s to was pretty clever and agreed to it. So he constructed death. Implementation was used to modify and adjust a series of ponds. rani the effltienit thl-ough them and plans based oni new developments and information. NIA reliecd on the natural anaerobic action to rend(er themil and the lAs had as much flexibility as possible to go at harmless. This woriked satisfactorily. When I went the pace mllOSt appropriate for them. Wherever we could, back a few months later, the last pon(d hacd fish andc we adopted a work plan approach to be developed each frogs and aquatic veoetationi, ad a goat was drink- yeaL- rather than ri gidly scheduliillg the work for the en- inc fiomii it. tire loan period. This meant NIA could operate "in synch' Prieserving NIA's auton,oniv. In another instance, with the dlynamics of the lAs and other events in the coun- someone wanted to turn NIA into a regular line try. I think the Philippines experience shows that sLich agency receiving imost of its reveniues from govern1- tlexibilitv is valuable for the Bank. nient cotters. This step woulcl have potentially de- As for the future, the Philippines comm11uLial i-rigla- stroyecd the linkage between NIA's services andic its tion prOgram is at anotlher cross'roads. Based on1 the reveniues, which helped keep NIA oriented towardl strength of past participatory efforts, the existing l As and meeting the farmers' neecs. I can't say the Banlk team] irrigation systems contilnue to funlctioll failly well. But single-hanidedly prevenited this niove. but I hope that institutionall support for the existing systems andl devel- our influenice helped. opulent of new system1s is at a stancistill. Because of a new local gover-n1menlt code, the author-ity for the 0)N HEFI,ECT10N comuInals had evolved tromii NIA to local government Ullits. This has taken place without full appreciation for In hindsight. I am happy that my initial instilct was to the neeed to adLIust all of the aspects of the program- support and( build on what was already working wher- such as financial authority, supervision, cost repaymiient ever possible. I had observecd in the past that when we procecCLIre. and other policies. People in both the Bank introduiced new approaches-ratlher than huildiiw oni in- ancl the Philippines are attenipting to arrange for NIA to digelnous capabilities-the pi'ocess was tedious and the have a role ii assisting the local governments. I hope results were often suboptimal or uIsatlisfctlory, this will be possible. I1I5 REPUBLIC OF YEMEN EDUCATION SECTOR ADJu,STMEINT PROGRAM[ Yogendra Saraui is the Task Managei (4 the Yemen Education Sector- Ad1iustment Pr-ogra,,, m. ecause of its rapid expansioni, the qLuality of secon(dary education in Yem1en had been deterioratin- steacdily for many years The Bank\ 1992 Education Sector Report pointed this out clearly and emphati- cally. Wheln the min1ister- of education alTived at the Bank to negotiate the Basic Education Project forYemen. we discussedl the next project In his Country. We ag-eed tllhat it shouldC t'ocus on the developimienit of human r esour-ces to m1eet the emerg- ing needs of the economiiy and shouldi target secondary and post-secondary nondegree educationl. We also agreed thalt the qLuality of secondary education was the cntcial issue and shIould be addressed in the next project. Finally, we agreedi on adoptingt a participat ory approach at this Stage ati that hvo wo I gin- 2roups. each chaired by a deputy miinister, would deal with seconidary education Co111111mmuity colleges. D) E IN ING( 'I'lE: APPR 'OAH While in Washington condcILICting our pre-niiissioni planning. we proposed througll coriesponidenice the idea of convening a national workshop of profes- sional educators and other parties to address the quality issue. The members of the workingt grOups and the minister of educationi accepted our proposal, and planning of the workislhop began. In tultiler discussiolIs, the Batik teamn offeered to facilitate the worklshop in a participatory mailier. Our fir-st decision was that Bank memlbers-staff as well as consultants- would act as facilitators rather than experts. Our objective was to pIt the plan- ning of the project. including objectives, strategies. componelnts, costs. and plans, firmil in the hands of the Yemeniis. We agreed am11on1 ouIrselves that two things would be vital foIr im11pr-oved edUcational quality in the COU1try. First, the whole systetn had to be addressed, not just a paLt of it as we had in past educa- t 1 7 TIHE; N%VOlI,) BANK l'PARV'i('II'P\''ION 41011UE'I;IMOI) tion projects. Second. those in the system had to do the 'TH 1 FIRi T \'%VORKI Hoi-' learning about what was wrong at present and how-in a Yemeni way-improvements could be made. Wheni we ari--lved in Sana'a in July 1992. we held discus- sions with the working groups that had been set Llp by the minister. Working group member-s for secondary edui- ('IIo:o(SI N4: i A ME'i'HOi)Oi)tE.( (; cationi. consisting of high Minlistry of Education officials, had concluded that Yemen needed mor-e classroomiis As a long tune trainer. I knew of a numiber of techniques .. . . , ~~~~~~~equiipiiieiit, anid textbooks to avoid overcrowdinol and to foster participation durin- the workshop. So we de- e ct l s really nothing else to improve the quality of secondarv ~~~cided that In Iily openiilX- stateilienlt, } OII woidSLI-"est thlat the tak of te ps w education. They did not see the need to hold a workshop the task of the participanits was to dievelop a planned dotf te-p'rt reso laie codnl change program to improve the qualitv of education at or to Id I I a the secondar-y and postsecondarv levels. I would also say they had not sent out any invitations or macle the logisti that the role of Bank staff wouild be to facilitate the work cal arrangements we had been expecting. . . . . . ~~~~~~~~~~~We didn't challen-te thie COIClCIUSiOII ot' the wor-kinLy of the participants using some techniques with whichi we W th * ~~~~C gJroup but insteaid engaeed the mieniibers in a discussion were familiar. But the agenda of work and the substance g t - th owrwudeo e t of just how they believed more investment in improved of work would belontT eitli-ely to the participaints. we planned my final opening remiark as an offe for the par- facilities alone would increase the quality of education. * | , a ^ ~~~~~~~~~~~In this long imeetlil-g 't becanie obvioLus to the imeiilbers ticipants to accept the proposal JUSt made or to reject it and create their own task assignment. of the secondar-y educationi working group that they ire- anid create their- own task assi-nmient.' A ally could not answer- the "quality" question or develop a comprehensive strategy without involvinig profession- ID)EN r r l YIN(G THE S '.NlTA;1>0IA)E> . E als, resear-chers, administrators, and teachers in the dia- We were able to identify the stakeholders in the education logue. The invitations were then sent, an'angemennts made, and we started work. svstem with ease. We decided that what we needed were The Community College CJIOLUP. consisting of pri-i people working on education in both the private and pub- LI I vate sector repi-esenitaitives from the Sana' a Chamilber-s of lie sectors, because the tormer is an important element of C ' ' ' . . desired postsecondary education in the country. Unf'ortunately weCo ereadNinit'ofEutonftcasdsrd pt' a broader dialoglue with employers. We agreed that the could not identify any NGOs. womeni's groups. or parents . . vod -c t m~~~~~iission would coiiduct semiiiiai-s fOI' the pr-ivate sector- associations that might be able to contribute significantly t . ^ ~~~~~~~and then explore the modality and scope of cooperation to this work on secondary education and bevond. NGOs with industry. and women's gi-oups exist, of couise. in Yemeni but nonIe deal with secondary or postsecondary education. We sent a set of objectives. a plan of actioni, anid eni- SNMALA, (iR0VPS/PI,L;NARx' Ssr;E,lto.Ns teria for the composition of the workshop as a proposal The workshop included three Of uS from the Bank and to the Yeinietlis. OUI- objectives were first to ideiltit'v pi- ti pri- about forty participants. although we had only expected ority areas and barriers to change and then to add input - ¢ .~~~~~Z thirtv. We decided to set up three workingT grouIps of about to the terms of reference of the working groups develop- thIteen particints each The workshop would have tour ing the planned change reform program. We proposed I t t sta(yes each en(iing in a prlenary sessoioin mwilici the sniall that the workshop include thirtv people, one-thir-d of t es <"l'OUDs W ould mialie r-eports. The stages woulcl handle the whom should be womeni, with a wide distribution of pro- gro ould m taske follow itiL tasks: fessionals in the educationi system. Two days of working sessions were planned. * Define the quality problem I had been working in Yemien for about five years . Deterinilie what to do about it and considerable trust had developed among all of us . Identify the barriers and decide how to overcome involved in this effort. I was pretty sure that the Yemienis them would be favorably disposed to our suggestions. They - Develop the methiodology for measuring ancl ensuring wrote back agreeing to the programn. setting the work- that quality would be produced by the actions takeni. shop date to coincide with our next ImlissioIn to Yemen (a project identificationi missioni) in July 1992. The Minis- We gave each participant three blank cards at the start try of Educationi would convene the worikshiop. chaired of each stage. The first job of each idividual was noting by the deputy minister of education. down thl-ee ImajO'r problemiis or issues he or she believed 1 18 crLicial on the cards. Next, individuals would explain what run. We therefore asked the milnister to invite school head- they wrote on the cards to the grouIp. Theni the group masters to attend a workshop in Sana'a. In certain re- prepared a consensus report for presentationl at the pleniary spects. the headmasters were really the voiceless mem- session. We Bank facilitators worked with the group, bers of the educationi system. At the bottomil of the rung. making suire all got an opportunity to contribute and help they were expected to do what the ministr-y directed. But develop a consensus. some of us had the intuition that what the local head- masters had to say might indeed be the most impor-tanit contribution to the chang-e prooram. Indeed, headmas- PR I O {lR 1'rI ZA'l O(.N- 13Y H1l), AIAAWAT.\ION cot- -1 C ters were underrepresented in the national workshop. and During the plenary reporting sessions, we recorded all little focus was given to what the local schools them- points made on large flip charts so everyone could see selves might contribute. them during the next stage. We then had the participants All told, forty headmasters joined us at the regional prioritize their conclusions by using a bidding system. workshops along with some people from the ministry Each participant had to allocate a total of 100 points to and the working groups. The participants first reviewecd the various problems or issues cleveloped by the group and discussed the output of the national workshop. that as a whole. is. the Planned Change Program, and discussed how the The workshop unleashed a tremendous amounlt of local schools could participate. They then broke inlto small energy and creativity. We were pleased and a bit suiprised groups to prepare detailed proposals. by the way the participating womeni made themselves heard and served as a real force for ideas and consensus. s sit 1lNoJE("r' The participants liked it from the start. At the first break, several told US that they had come expecting yet another Again the workshop unleashed an immense amount of Bank-run session in which they'd be lectured; instead creative energy. The headmasters (three were headmis- they were actually doing the work themselves to their tresses) had a great deal to say about what could be done surprise and delight. Anothier surprise was that the origi- well locally and with local community involvement. What nal notion that all that was needed was more schools and came out of these workshops was a decision to include a textbooks had vanished. Indeed, after the bidding, an- school-based subproject component of the project in other objective turned out to be the first priority by a which local schools could get funding for their owIn pro- large measure, that is. teacher performanice. posals to produce higher quality in education. As a prac- tical matter, relatively small amounts of money could [emipower Lup to 100 local schools to innovate and become an integral part of the national program to improve the This workshop produced the diagnosis of the quality quality of education. problem in the Yemeni education system. It also set ob- To be fi-ank, we from the Bank liked this part of the jectives that would constitute a Bank sector operation. project best. It confirimied what we had come to believe: that is, a planned change program to improve significantly' the closer you get to the people. the more practical and the quality of secondary educationl in Yemen. Seven key useful are the actions that can be taken. Although this areas were named for secondary education: teacher per- component was small. we saw it as the opening wedge formance, physical facilities. curriculum development, to bring local people in communities into the process of evaluation, school management, learning resources. fe- school development and management. male access to education, and community colleges. Com- munity college workshops would also be held in two cit- 1)DETAA IL,Fl) 1 ,AN NI N( ies outside the capitol with broad private sector partici- pation to identify the needs for mid-level personinel in Following the second round of workshops, whicih had in- the emerging modern sector of the economy. cluded the Sana'a and Aden Community Colleges as well as headmasters' workshops. the detailed work of prepara- TrH E ~FiU:O'(N1I) 'W)OI( mentation plans that flowed from and were fLully consis- weeks in our division. We had done, however, a great deal tent with what the large number of participants-almost of detailed implementation planning by this time, which 200 all told-themselves inventecl. We expect that the is unusual and will most certainly facilitate a more rapid implemilentation specifics will come as no surprise to the and easy implemenitation of the project. stakeholders, who will be ready to act swiftly and surely once the credit becomes effective. IR U:F t I 'I"i-S (4()v F';F . .N1' .> NI' ('II.ANs-{ 1' > No concrete results, of course. have yet been achieved. But if the Bank's emphasis is right about the need for Lest anyone thinks all this went perfectly, let me share a country ownership and commitment. it is present in this little about a real scare we had. When the preparation project. Also, the educational content is appropriate. Fi- was well advanced with subproject development, cost nally. the local strategy and priorities fit well with the estimates, ancl resource allocations near-ly complete. the local culture and realistic possibilities in the country. After -overiniiment chaniged. We went on the preappraisal Imlis- all, the local people clicd it. not outsicders. Indeecl, they've SiOnl just after a new governiment took over with a new decided to make organizational and structural changes educationi minister. Of couise, we feared that the new in the min1istry itself. In our judgment, these are sound minister might want to start froni scratch. We called a changes. It will be iiterestilng to see how these changes one-clay meeting. however. with his new education offi- are accepted by the affected staff and how fast and well cials andc othel-s in the system to go over the project. Af- they are introduced. I believe that i-eal institution strength- ter that one-clay session, the minister said let's go ahead ening will occuI in the ministry and at the local school as planned. Oiie important, positive lesson from this ex- level because the affected stakeholders decidecd what tlhe perience is that when a project is prepared in a participa- wanted to change and how. tory mannier- by a large network of stakeholders in the couLntrv, its clices of surviviin a peisoillel change at chances survivine a perto ( ).N 114 V .F1( 'ITI( )N the top are greatly improved. Fromii tilme to time, IIIV colleagues and I have asked our- selves if we would have done anything differently if we were to do this same project again in Yemen. Our answ'er We stailed this project witlh the identification missionl. Six- is. "No. not really." We would have liked to have more teen moniths later (about standar-d cycle time ftor an educa- local commn.11lity involvemilenit than we had, but to get that tion project in our region) we began negotiationis. The to- we would have needed more leaders within the system tal preparation cost involvecd a Japanese preparation grant with an understanding and practice of participation. Such of close to $1 millionl. BaLik staff input was about ninety leaders did not exist at the start of this project. but they do staff weeks, much fewer thani the nor-limal 1 30-15(0 staff now, and we will work with them in ftuture projects. 1 21( CHAPTER I I I PRACTICE POINTIERS IN PARTICIPATORY PLANNING AND DESCISIONMAKING In chapter I. we shared our understaniding of participatorv development. In chapter- II. we shar-ed the experiences of a few selected Task Managers who have carried out the Bank's work using, participatory approaches. In this chapter, we provide anlswers to questions Task Managers have about Using participatory planning and decisionmaking processes in Bank-supported activities. We draw largely on chapter II examples to help readers identify how their- colleaguies have uised participatory processes in their work. We also cite additional projects and World Bank activities that m-ay not be described else- whe-e in this document. ( ; T' F I N( S'I2AT,I) This section is about the first impor-tant step in starting participation: getting,C gcovernment support. In m-ost of the Souircebook examples, this was not a problem. In others, Task Managers used various means of persuasion, from initiating pilots and field ViSitS to SUStained dialogue, orientation workshops and building alliances with those who support participatory approachies. Some- times Task Managers faced outright oppositioni. In these cases, some held firmi to Bank policies supporting participation, others proceeded without par- tUcipationi. This sectioni answers the questionis of when and how you start participation. 1 2 1 TI 111VO RI.) BA.NKS PARTlICIPAT.IO1NMAH.lsNGi significant changes. For those who perceive a loss for themselves in the pro- posal, outright opposition may appear to be the only possible stance: the greater the loss, the stronger the opposition is likely to be. As we know from some- times bitter experience, once opposition mobilizes, it is difficult-if not im- possible-to resolve the matter. The Philippines Integrated Protected Areas example illustrates well the mobilization of opposition that could not be over- come in one of the intended project areas. In the other three areas. however, initial opposition gave way when participatory implementation arrangements were used to give local stakeholders decisionmaking power in a formerly "top- down" project. When all stakeholders collaborate in designing their collective future, it increases the chances of former differences being resolved and a new consen- sus emerging around issues everyone can agree on. This is probably so be- cause people who have to live and work together can often find ways to agree if given the chance. Unfortunately, people do not often get the chance to work together to determine their collective future. Development projects prepared in the external expert stance do not provide that chance. The participatory pro- cess, however, facilitates working together. So participation can be a "conflict avoidance" process to the degree that it helps stakeholders with different inter- ests explore and potentially find common interests. - Finding Common In the India Forestry example, the foresters were shooting at the local people Ground who were starting to shoot back before the participatory planning began. By focusing on common interests-how to protect the forests while ensuring eco- nomic survival for local people-the West Bengal Forestry Project eventu- ally resulted in sustainable collaborative action. Through nine months of re- peated dialogue and negotiations between the foresters and the local people, the forest dwellers agreed to take care of the shoots thrown up by Sal stumps so that they would become salable poles. When the poles were harvested, the forest dwellers got the culls, plus 25 percent of the revenues from the sale of good poles. The Sal stump growth subsequently became the main agent of reforestation, leading the foresters to proudly show off "their" forests. Despite the success stories, consensus will sometimes be unattainable and no basis will exist for future action, especially in situations with a long history of entrenched conflict and divisiveness among the parties. In such cases, the result is no action, which is probably better than action that will fall apart during implementation for want of consensus. Although this strategy may not always lead to a Bank loan, it will, we believe, lead to making those loans that have a reasonably high probability of producing what they promise, that is, being implementable and sustainable. This point applies equally to the govern- ment and the Bank. Dealing with Alternatively, when strong opposition exists to a project from one set of stake- Deadlock holders, a Task Manager may, in certain circumstances, proceed by leaving out that set of opposition stakeholders and working with the others. Employing this approach has many potential dangers, but it does happen from time to time and has worked. In the Philippines Integrated Protected Areas example. the decision to drop the entire island of Mindoro from the proposed national parks system was taken once it was clear that the local residents were unwilling to support such an initiative. Nevertheless, the project as a whole proceeded. The Task Manager felt that this outcome-however unexpected-was ultimately in the best interests of both the government and the Bank. The lack of commit- 135 1'FI E: V'( 1 I, 1) HAN N ' P T I( 'VIICI.\'lI( )N H)I 1?( I;l ment fromn the people oTf Mindoro would have made implementation difficult and sustainiability improbable. In this case. the participatory process saved the sponsors fr-om committing scarce resources to a project component that would have performed poorly. I PA RT~IC IPIATO(RY P1,1 AN N IN(. A ND[ ). ~IN~llIN Once appr-opriate stakeholder-s hiave beeni identified anid mieasures takenl to ensur-e their- inivolvemient, the niext quiestionl to aniswer is how do stakeholders englage in participatory planning and decisiont-aking? This section dlocum-enits approaches ithat sponisors anid designlers have uised to collabor-ate with other stakeholders in this process. Participatory planiniiig anid decisionmiaking shoLlid start by creatinga a mioodi for learningI rathier than plunging directly into problemi solving. The learn- ing phiase theni sets the stage for strategic anid tactical planning. Thle strategic plan- ning stage in turni generates bm-ad dir-ectionis and priorities, whlich are operationialized inito detailed imiplemientaitioni actions durting tactical planniing. What Do Participatoryv Techniques Achieve? Thie essential steps of project planningi anid replanning-setting objectives. creating, str'ategies. and formlulatling tactics-cani be carriied out in both thle exter-nal expert and participatory stances. The essential differenice between the two is that, in the exper-t stanice. untdertaking- these steps is the primiary responl- sibility of the sponsors and designers:, in the participatory stance, these steps arec undertaken collaboratively with relevanit stakeholders. Participatory techniiques (or- miethodis or appr-oaches) generate construc- tive collaborationi amionig stakehiolders wvho may not be used to workingc to- gether, ofteni comie fromi dlifferenit backgriouinds. anid miay have different values andi interests. This section documienlts approaches that designers, anld sponlsors Luse to unldertake participatory planning anld decisionmaking withi appropriate stakeholders collaboratively. To learil miore abouit lindividual techniques, please tLlrn to Appenidix 1. Creating a Learning Mood In designing- a par-ticipator-y evenit, it is r-easonable to aSSum1le that participants will arrive prepared to take actioni based on what they already k-now, or to take I 36_ n1o action because they believe that change is impossible. Participatory plan- ning and decisionmaking should start by changing this mood. Although tech- niques described may initially seem overly simple to Bank staff, Task Manag- er-s who have used them report that they have found them extremely useful. Interrupting the The Mozambique Country Implementation Review example used a "white Normal Mood card'' exercise to enable participants to get acquainted with each other and break the normal mood of extreme formialism in work relationships. Each par- ticipant was given foul blank cards and asked to write one important iilple- nmentation problemii on each card. The cards were shuffled and displayed on the floor. The participants picked Up any four cards. except their ownI. and began a discussion with another participant they did not know. As a result the partici- pants had to "engage a stranoer" to get something done, an unusual way for a business meeting to take place in that country. Interaction among people who did not norimially interact with one another broke the ice and resulted in estab- lishing openness and innforinality for the participatory wor-kshop. In the Egypt Resource Management example. it was necessary to inter- rupt the distrustful, "no-action-possible"' mood of the Bedouins toward outsid- ers. The designers achieved this through repeated sessions between themselves and Bedouill clients in whichi the clients did most of the talking and suggest- ing. A typical participatory session started withi the Bedouins drawing maps on the ground with sticks and stones. while the outsiders respectfLully watched the process. The outsiders noted what was drawn first. what was drawn dispropor- tionately large. and so on. Maps usually led to transect walks, in which the Bedouilis who had drawn the map led the outsiders in exploring spatial differ- ences in the area. The reversal of roles put Bedouins in a leadership position in which their knowledge was valued and sought after. Creating Common In the Colombia Energy example. one-third of the time il the stakeholder Purpose workshop was devoted to creating a learning mood. Although the social and power differences among the participating stakeholders were not significant in this example, the potential for conitlict amolig the competing interests in tile energy sector was great. So the facilitator designed this phase to bring forth consensus amnongg differenit stakeholders. He asked participants to envisioni aild design an ideal future for the energy sector without thinkincg about constrailnts or setting any timelilles for achieving this vision. Some participants expressed their visions orally whereas others cliose to portray theirs visually through drawings. Participants were requested by the facilitator to appreciate everyone's contribution withlout criticisill or oppositioll. It was during this stage that people began to realize that they weren't so far apart in their tlinking after all and that nearly everyone wanted the same things ftor the energy sector in the long runL. This ullity of vision succeeded in creating a new-albeit temporary-commu- nity of people with shared understanidings and goals. Motivated by the sense of a coiiiioi ll mission. tile gr'oup was tempor-arily able to foorimi an effective plan- ninge collllllluitv. Opening up New Sometlimes closed-circle brainistorfiing sessions can be preceded and improved Possibilities by exposing individuals or groups to practices of groups elsewhere. The op- portunlity for the Andhra Pradesh Forestry Department officials in the India Forestry example to visit and see ftor themselves how' forestry projects were being organized in West Bengal opened up a range of possibilities that were 1 3'7 'HIE' N':VO RIA) IBA NK PARTICIP1 'ATIO()A N O( EI: )() k not seriously considered earlier. Bank staff and their colleagues possess a great deal of cross-cultural knowledge about what people in other countries or re- gions are doing to address similar concerns. Sharing this cross-national expe- rience can open up possibilities for future action. The emphasis in the learning phase should be to expose stakeholders to a menu of options instead of limit- ing the horizon to any single way of doing things. What Does the Learning Mood Produce? When participatory techniques shift the normal mood and facilitate new. com- mon learning they succeed in the following: * Sharing information freely and broadly * Drawing on the inherent possibilities of collaboration among stakeholders * Bringing forth consensus (or making it clear that none exists) * Setting the stage for action planning and collaboration that may be able to resolve former conflicts that previously paralyzed common action. I Strategic Planning In this stage, decisions are made in pragmatic terms about the directions and priorities for action needed to change the current situation and reach the envi- sioned future. Effective strategic planning sessions are not free-for-alls or "gab fests." The use of participatory techniques during strategic planning serves to facilitate the formulation of group consensus in prioritizing objectives and inventing action possibilities for the future. Prioritizing In the Benin Health example, stakeholders made a list of all the problems they could think of related to the state of the health care system. Listing everyone's concerns produced such a lengthy list that problems had to be clus- tered under broader headings such as buildings and facilities, medicine, staff- ing and skills, and so on. The categorization of problems helped develop a common view of health problems among such disparate stakeholders as vil- lage representatives and central ministry staff. Categorization also helped the different stakeholders see more clearly who owned a particular problem and who would have to change individual and institutional behavior to fix it. In the Yemen Education example, about forty-five participants were each given three cards and asked to write down what they felt were the three biggest problems with the quality of education. During the plenary session, all these problems were noted on large flip charts. The facilitator helped narrow down the list of problems through a "bid allocation" scheme in which each participant had 100 points with which to bid. The participants were free to allocate the 100 points as they wished-to a single problem or any number of the problems that had been written on the flip-charts around the room. The problems that received the most points became the priorities for strategic and tactical planning. Inventing Action The ZOPP technique (see Appendix I) used in the Chad Education and India Possibilities Forestry examples illustrates a strategic planning approach in which a prob- lem tree is first created followed by a mirror-image objective tree. The very process of creating these diagrams, if well facilitated, can also promote infor- mation sharing and learning. In the Colombia Energy example, the second phase of the AIC technique (see Appendix I) is called the "influence" stage. Here small work groups fol- 138 PiXIVVICIVATORY PL,ANNIN(G AND) 1)DI(',IONNIA1N(N low a stylized, "looking-backward" technique to create strategies that would move the country toward an ideal situation. In this exercise, participants work back from their ideal future vision to the current realities of today, listing the key events that have to occur in terms of both personal and institutional changes along the way. These key events, in effect. represent priorities for change. In this way, it becomes clear to all participants what needs to change to reach future goals. The facilitator invites each person to share their important key cvents with other members and record them on a circle on a flip chart. Others are invited to discuss and debate the importance of these events. What happens is that the key events tend to build on one another and concentrate on a particu- lar segment on the circle rather than getting randomly dispersed. This then becomes the basis of the group's strategic plan. Tactical Planning Tactics are the detailed implementation and operational steps that permit action in the short and medium tenn. These steps have to be modified and adjusted during implementation based on information and new developments. Deviations from tactical plans will always and inevitably occur. When these occur, some degree of replanning will be required. This is the time to regather the stakeholders and replan tactics based on what was learned by all during implementation. Budgets, staffing, recruitment plans, organizational design, blueprints, other specifications for physical construction, social marketing programs, account- ing system design, capacity-building mechanisms. benchmarks for success, and so forth fall under tactical planning. These are the specific arrangements that produce action on the ground during the implementation phase. Tactical planning, our chapter 11 examples indicate, is largely the domain of experts. Although experts should be given time and space to design plans, it should be made certain that all stakeholders review and approve tactical plans. Using Government Often, the government ofticials who participate as stakeholders in participa- Expertise tory planning take on the job of tactical planning. The Benin Health example indicates that a group of governmnent officials (health experts) did the detailed tactical planning and report writing. Following this, the full body of stakehold- ers-including village representatives-reconvened to review and endorse (or modify) the plans. Using Local In the Egypt Resource Management example, the sponsors engaged a so- Expertise cial development-oriented consulting firm to help design the project. The firm was familiar with the way the Bank operates and knowledgeable about participatory planning. They worked with the joint government-Bedouin project design team to devise the tactics for implementation. Interestingly and quite appropriately, the specific tactics for environmentally sound natu- ral resource management were created by committees of people froml each local Bedouin community. Not only was doing this consistent with local cul- tural practices, but it also relied on the best available experts on Bedouin behavior-the Bedouins themselves. Using Bank In the India Watershed Development project, the Bank Task Manager helped Expertise his Indian counterparts find technical solutions to operationalize their strategic plans. Once the local stakeholders decided to use vegetative conservation meth- ods as opposed to mechanical methods, the Bank Task Manager brought the I 39 highly drought-resistant vettier grass to their attention. Not only dici it prevent erosion, it helped feed hun.gry cattle. Bank staff can provide other types of ex- pertise, including sharing their cross-niational experience about implementationi arrangements that have been used to enable poor people to ifliuenlce develop- menit decisions and resources that affect them. We have highlighted such ar- rangenients, basecd oni a review ol' Bank experience to date, in chapter IV. Using Existing In the Colombia Energy example, the tactical planninig phase was structured so Power that clear outcomes anid comillitilments would emerge. Subgr-oups were forimled around the strategic options agreed on during the preceding phases. Individuals with the real power to implemilenit recommendations headed the suboroups. Work- shop palticipants joined each subgroup depending o0l their technical compe- tence and ability to influence the outcomie. Each subgr-oup negotiated their rec- omiimencdations with every other subgroup to prepare their part of a nationwide plan. During the final session, the participants selected individuals fromil ariong the group to form a National Power Board that coordinated the different plans and drafted a report stli.lmlarizilng the tactical plan. A series of follow-up stake- holder workshops reviewed the plans. which were then preselited to the Colom- hiall Parliament. In between these workshops, participating stakeholders shared the draft clocument with their constituencies for 'feedback and approval. This resulted in wider- ownership of and commiiitimient to the tactical plans. IA1r MAL NA.;IJ N()LES Task managers new to participation ask what role they should play in an activity being planined and decided in a participatory way. Anotiler-and perhaps more straightforward-way oftasking this might be, "Isn't it true that I have no role to play in participatory processes'? Don't I just have to go along with what the in- CoLiuitry stakeholder-s want'?" The answer is a clear and resounding "No!" Just as Task Managers play multiple roles wheni working il the exterinal expert stance, tihey also play multiple r oles in the participatory stance. The chapter 11 examples indicate that Task Managers have played the role of initiating, facilitating, par- ticipatiiig sharinig expertise. observing, navigating and iuitunn. Initiating In theory, the governimcnt sponsor of an activity shoulid choose the design stance. In the ma'jority of the chapter 11 examples, however. the Task Manager decided to work itn the participatory stance. In addition, Task Manager-s often took on the job of finding allies, arranging financing. convincing skeptics in the country and the Bank. identifying and involving stakeholders, inventing techniques. anld building in-coLIntry participatory capacity. In the future, the participatory stance may be standard practice in borrowinio countr-ies as in the Philippines Irrigation example. or government sponlsoIs could always ask that the participatory stance be taken, as in the Chad Education example. But unitil this time, Task Managers wvill have to continiue to Initiate participation in manly situations. Tlle Task Managers to wholm we have spoken see this role as a welcomed and satisfying one. Facilitating Only in one instanice-the Yemen Education example-did the Task Mall- ager take oni the facilitator role. because he happenecd to be a skillecl, experi- 4 O4 PAHT R'I I I 'IATO.(NY P1ANN INt AN I) I)A(ND DEl(ANONIMAITIN(; enced trainer. In several instances, Bank staff with facilitation skills served as facilitators, while the Task Manager and other Bank staff were participant- observers. In other cases, local conIsultants or governriment staff played this role. sometimes after being specitically trained ftor it through programiis orga- nizecl by the Task Manager. In the Egypt Resource Management and Mo- rocco Women in Development examples special training was provicded to -overniment officials and others in the country to play this role with resources orgaiiized by the Task Manager. Participating The job of the facilitator is to design and carefully manage a process that en- suLres that all those involved can and do become fully engaged with the sub- stantive miatters uncler consideration. Facilitators need to remain "substance- neutial" to do their job. They have to concenitiate on processes that ensure that the "voiceless" are heard. that other- norms of collaboration are followed, that lear-nilln occurs, and that practical results are produced. Task Managers. how- ever, are not-and should not try to be-"substance-neutral." Task Managers represenit the Bank's stake in each anid every activity. They may have to take an advocacy stance from time to time-withiln the rules of the g;ame entorced by the facilitator-in keeping with the Bank's mission, policy, andc objectives. They bring expertise to the process that may not exist among the local stakeholders. By participating. rather- thani facilitating, these experts share what they know with the other stakeholders (as the other stakeholders share their expert knowledge with themil) througil the social interaction of par- ticipation. Experts cannot teach other participants all they know durinig the participatory process. Instead what they can do-and do more effectively than with writtenl reports-is open possibilities for action that may riot otherwise be imnagined by other stakeholders. Banik staff and thei- exter-nal colleagues can share with local stakeholders thei- worldwide knowled,ge about what other people are doing to handle simi- lar concerns. Sometimiies, as indlicatedl In the India Forestry example, experts may be sharin'g whalt they learined clsewhel-e in the same country. Although Banik staff halve had much experience in operating in tihe external expert stance, more and more fiirsthand experienice in supportilng participatory planniniig pro- cesses is being amassed. Simliliarly, learning and other iniforimiation is being generated about arrangements that build local capacity through participation (see Chapter IV). Bank staf'fcan share this cross-national experience with lo- cal stakeholders to open Up possibilities fo r f'uture action. Sharing Expertise Participation does not eliminate the role of experts in the field of develop- menit. It just changes the way experts comImIunLicate their expertise to the other stakelholders. It also increases their effectiveness. Local stakeholders clo not know everything. Experts of all types-engineers, social scientists, econiomiiists, sector specialists, institutional specialists, and more-need to conltr-ibute what they know. In a participatory stance, what development ex- perts have to offeer has a much better chanlce of being accepted and used than when they rely on reports and briefings to share their expertise. Chapter II examples show no signs that experts or their expertise will soon be extinct in the field of development. In fact, biases favoring expert knowledge show up in several of our examples. 141 TUIH Hi: )V OI-.) HANNF PA RTICI I PATlI4)N S(O)IRCF IB)O)I Participation allows local people to speak for themselves. After all, they are the "experts" on what they want and need. Through participation, experts rnay open up other possibilities for local people for incorporation into their own expertise. Local people are also uniquely expert on what they are willing to change. to what extent. and how. The challenge for Task Managers is to find ways to bring this local expertise into Bank-supported activities. Observing In addition to sharing expertise and helping get the balance right between tech- nical and local expertise, Task Managers also have to play an "observer" role in participatory processes. One result to look for, or "observation target," is a rather straightforward matter: "Are the technologies and methods the stakeholders in- tend to use sufficiently effective and efficient to make the project a worthwhile investment?" In other words. will the internal and economic rates of return sup- port the investment'? A related observation target is if the stakeholder's decisions are acceptable to the Bank with regar-d to its objectives and policies. A relatively new observation target-one of immense importance for poverty alleviation-is if project implementationi arrangements build local capacity so that the pooIr can sustain and build on1 the benefits of the devel- opment activity. Traditional engineering, economics, and sector expertise do not include everything needled to build local capacity. Social scientists have much to contribute in this area, as indicated in the Mexico Hydro- electric example. Other observation targets are consenisus and commliitmiient. Put simply, the conisenisus target is when a sufficient number of key stakeholders freely agree on the content, strategy. and tactics of the proposed project. This is, of course. a matter ofLjudgmllent. But observers of participatory processes are in an espe- cially good position to make well-grounded judgments of the degree and breadth of freely reached consensus. The final observation target is commitmenit. Bank staff and others tend to uLiderstand commitment as something that can only be seen clearly after the fact from what people actually have done. The participatory stance offers a different but practical interpretation of commitment. This ilterpretationi moves commitment into the domain of observable human action and enables Bank and governmiienit stalf to make assessments on the ground about the presence or absence of commitment before approving a project and beginning imple- mentationi. When in the participatory stance, Task Managers can observe "com- mitmiient" as action taken by speaking (or writing) a promise to do something in the future. Commitments can be trusted as reasonable indicators of future action when they are made under the following conditions: * People are free to make whatever commitmiients they choose. including the decision to take no new action at all. * People make their commitments publicly in the presence of other stakeholders. * People unider-stand what it will take to fulfill the commitment. * People have or believe they can get the means and competence to fullill the commitmenit. Commitmnents-including contracts and formal agreements-cannot be trusted when made under duress or in secret in the absence of full information and understanding or resources and the ability to act. 1 41 PARTlifII-APATORY PI-'IANNIN(; .\NI) A )Ni(Il-IONNI\ICIN(: Navigating Another important role that needs to be played in many but not all circum- stances is that of navigator. Many obstacles to participation currently exist in the way governments and bureaucracies-including the Bank-operate in the field of development. In almost all our Chapter II examples, Task Managers have exerted considerable effort to adapt external expert rules, principles, and practices when working in the participatory stance. In the Philippines Irrigation example, after verifying that participation was a standard practice of the National Irrigation Administration (NIA), the Task Man- ager spent most of his time helping NIA work in partnership with the central gov- ernment and the Bank. For instance. NIA had trouble getting the core budgetary agency of the central government to release funds in a timely manner. The Task Manager liaised between this agency and NIA to ensure timely disbursement of funds. The Task Manager also persuaded Bank colleagues to avoid setting specific, long-term targets for creating new irrigation associations. The Task Manager ar- gued that it was unrealistic for NIA to try to predict the time needed to create and build the capacity of new associations. Also, targets set and imposed from the outside tended to undermine the farmers' authority and control over their irrigation systems. The desired flexibility was achieved by NIA committing its work pro- gram one year at a time, depending on progress in the previous year. This change in Bank requirements permitted NIA to build on existing irrigation associations in- stead of rushing to meet predetermined targets for creating new ones. Nurturing Nurturing may sound like an especially soft and passive role for Bank Task Man- agers and others to play in the field of development, which has such pressing and urgent needs. It may also be a difficult role for Bank staff to learn how to do with ease. skill, and comfort, given their education and experience and working in a culture of power and control. Nevertheless. it may be the role that produces the greatest results. Nurturers build on existing participatory capacity and help strengthen it. The Bank's in-country counterparts ought to be the ones who are participating with their clients and the other stakeholders. After all they-not the Bank Task Managers-have the responsibility to serve the ultimate clients. While in this role, Task Managers can nurture the collaborative possibilities that arise naturally in the culture. In so doing, they should be careful to avoid snuffing out the start of poten- tially healthy and desirable possibilities for social change. This role was played by the Bank Task Manager in the Philippines Irrigation example. The Task Manager first ascertained for himself that NIA was indeed working collaboratively with the farmer-run irrigation systems. Then he helped provide a way the Bank could sup- port and strengthen NIA's existing participatory approach. 143 CHAPTEIR IV PRACTICE, POINTERS IN ENABLING THE POOR TO PARTICIPATE -7~~~~1 .... y devote a chapter of the Sourcebook to participation by just one group of stakeholders-the poor'? The reason is a practical one. Participatory methods that have been used successftully to vY v involve gover-nment officials and other relatively powerful stake- holders in development initiatives may be inappropriate or inadequate for reach- ing the poor. Many cultural, economic, and political barriers effectively prevent the poor from having any real stake in development activities. Without special efforts by the designers and sponsors of projects and without appropriate policies to adcdress and overcome these obstacles, the voices of the poor will not be hearcd and their participation will at best be token. Reaching the poor, therefore. re- quires working with them to learn about their needs, understanding how clevel- opment decisions are made in their communities, and identifying institutions andi mechanisms that can get opportunities and resources into their hands. Involving the poor in decisionmaking and getting resources to them requires strengthening their ability to act for themselves. This occur-s through investments in human capital such as education and health. investments in social capital such as local-level institutions and participatory processes. and support for commiliunity-based development efforts planied and imple- mented from the bottom up. These efforts require responsive institutionis and legal and regulatory policies that enable. not hinder, local parLicipa- tion. We recognize. however, that crafting responsive institutions and cre- 1 45 TIE Hl: VO>RTA BA\NKl PARTICIPATIO\''lN SiOt'R1'11MOK>1 ating an enabling environment facilitates the participation of all stakehold- ers, not just poor people. This chapter shares the experiences of Bank Task Managers in this respect., highlighting some of the ways in which they have worked with in-country coun- terparts to increase the poor's ability to participate in development activities. I,;ARINING FOI)Ni THil: 1P()R The first step in any effort to enable the poor to participate involves learning from them firsthand about the problems they face, how they have tackled them. and their proposals for gaining more control and influence over development initiatives. Task Managers gain an understanding of these issues in a variety of ways, including rapid participatory needs assessments as part of project de- sign. broadly based participatory poverty assessments (PPAs) in the context of country economic and sector work (ESW), or more formal, large-scale. cen- sus-type surveys. Here we focus on some of the participatory methods that have proved useful in poverty assessments and ESW and that could be equally applicable during project preparation. Learning What Poverty Means to the Poor Several methods are available to explore how the poor perceive poverty. These techniques should be used by local people (or by a team of researchers that in- cludes local men and women) who know appropriate ways to approach the topic. They should be used after researchers have spent some time in the local commu- I nities. clarifying the reason for their interest in learning about poverty there. Defining Poverty The Bank's Zambia PPA used wealth-ranking techniques to learn how local people characterize poverty. Villagers were asked to sort a stack of cards. each labeled with the name of a head of household, into piles according to the relative wealth of the households, using any criteria of wealth they wished. Wealthy house- holds were identified as those, for example, with the biggest fields or enough money to dress well and give to the poor. Those identified as poorest were com- monly female-headed households or people living by themselves. dependent on relatives or neighbors for their daily needs. Ranking exercises such as these can lead to frank group discussions on poverty-often a sensitive and difficult topic. In the Burkina Faso PPA simple "point-and-shoot" cameras were lent to various members of three representative communities, who were then asked to take pictures of what they thought constituted poverty in their communities. The cameras were handed out to men, women, and children, none of whom had ever used a camera before. The films were then developed locally and the prints shown and distributed for discussion by the community. They were sub- sequently shared with some of the country's senior policymakers. Learning about the The design of community-level. poverty-focused initiatives always requires Poor's Priorities some kind of direct consultation with the poor to learn about what they con- sider to be the development priorities in their communities. Care needs to be taken when asking about their priority needs, because people's expectations ma' be raised even though the project may not be able to fulfill them. Re- searchers need to be honest about the likelihood that the communities con- sulted will benefit from the upcoming project and about the start-up time re- quired before they will see any results. 146i ENI:..UJIN(. TH11F; P'(M(R TO'( PA.UT1 1 IPAT 1 Box 4.1. Organizing a Participatory Poverty Assessment Task Managers who have been responsible for organizing complete PPAs highlight the following steps in the process: * Selecting technical support. In practice, most Task Managers in charge of PPAs have started by locating a senior social scientist either in the Bank or outside to take responsibility for carrying the exercise through to completion. * Identifying objectives, methodology, and a research agenda. The PPAs conducted so far have varied a great deal in the methodologies used, the scope of the research. and the duration of the fieldwork, which has taken from days to months. * Identifying in-counztrv institutions and researchers. Some combination of academic researchers, nongovernmental organization (NGO) staff, and government agency staff has been involved in most PPAs. An experienced local social scientist is generally needed to oversee the exercise and make a substantial input to synthesizing the conclusions. A competent local institution is also needed to deal with the logistics of mounting a large-scale field research exercise. * Identifying sources offinding. Many PPAs have been funded from trust funds such as those provided by the Overseas Development Administration, the Dutch Poverty Trust Fund, the Swedish International Development Authority, the German Gesellschaft fur Technische Zusammenarbeit, the United Nations Children's Fund. and the Canadian Inter- national Development Agency. * Designing a training input. A significant training input may be necessary to familiarize the researchers with the participatory methods and systematic recording and reporting of fieldwork results. * Support to implementation. No matter how well designed the research activities may be, a certain amount of support and supervision is usually needed while the teams are in the field. * Aialysis andfortnulation of policy recommnendations. Task Managers stress that fieldwork results must be well docu- mented and a certain amount of analysis must be done while still in the field-something the researchers may not be used to doing. Task Managers also recommend finding social scientists experienced in policy formulation in develop- ment agencies, such as the Bank. to assist the local researchers in their analyses. Source: Andrew Norton and Tom Stephens. 1995. Participation in Poverty Assessrmzents. Participation Series, Environment Department Paper, World Bank. Washington, D.C. Formal beneficiary assessments can offer insights into what poverty means for the poor and their priorities. A beneficiary assessment (see Appendix I) is a tool to gather information to assess the value of an activity as it is perceived by its principal users. the beneficiaries or clients. Formal beneficiary assessments with systematically selected populations can take four to six months. so early preparation is needed and can cost $30,000-$50.000. In some of the communities visited in the Zambia PPA, focus group discus- sionis were held with men and women to investigate what people saw as the main issues facing their community and potential ways of resolving them. Focus groups r anked problems in order of severity and identified potential solutions actionable at the level of individuals or households, the communitv, and outside agencies. Providing Incentives for the Poor to Participate People will not participate unless they believe it is in their interest to do so. All too often participation is seen as a way of getting poor people to catTv out activities or share in their costs, when the benefits are not clear to those ex- pected to participate. When these projects fail, it is often the participatory ap- proach that is blamed. Some forestry projects. for example. have expected for- est dwellers to plant and maintain community wood lots or engage in forest reueneration even though participanits cannot be certain who will get the ben- efits when the trees mature. It is no surprise that poor people only support these projects as long as tihey are paid. Successful participatory projects, on the other hand, illustrate many incentives identified through participatory processes that support and encourage participationi at the local level. A few examples of appropriate incentives follow: 147> Clear Benefits A key tactor in the success of the Fundasal Low-Income Housing project was the incenltive to own a home. This was so attractive to the beneficiaries that they were hiohly motivated to paL-ticipate. No other incentives were required. In the India Forestry example. forest protection committee memiibers (who were local people) i reachied an agreement with the West Bengial Forestry Depart- menlt that entitled them to a share of intermiediate forest products plus 25 percent of the revenues fromil the sale of final hai-vest poles. This served as an incentive for themii to cooperate with the gover-nmenit in protecting and regeneratling the forests. The legislationi being presented to indigenous comimiuniities in the Philip- pines Integrated Protected Areas example restricted resource use and pub- lic access to toirests. Designers restructLl-ed the project to fund alternative live- lihood opportunities that would be proposed and implemented by indligenous conimunities themselves with assistance from local nongovernmental organi- zations (NGOs). It is expected that includingi fulids for alterniative livelihoods will provide an incenltive for residenits to stop logging. Indigenous comnuni- ties also insistecl on recognition of their ancestr-al domain rights and legitimization of land claims as preconiditions of participation. In the Tamil Nadu Integrated Nutritioni project, women's working groups were developed to support comImlunity nutrition workers. An impor-tanit factor in explaining the existence and strength of women's working gr'OUpS in a given comIllunity was how the villagers' perceived the value of the services offered by the comml.unity nutritionl workers. When a village did not consider the worker's services to be a prior-ity, they were not inclined to form a support gcroup aroulid her: therefore, the provision of quality services meeting the needs of the beneficiaries was the fiirst step In creating an environment conducive to Icomm1ullity palticipation. Prompt Action In the Brazil Municipalities example. the process of selecting contractors mo- and Visible Results tivated the local comimlunity of MoITo to oroanize anld collaborate with the water company. They realized that this was not just ancother- electioni-year- promilise andc their election-year skepticism was dissolved by prompt and visible action. In the Rajasthan WVatershed Development project, encouraging field results ',eneratedl considerable enthusiasimi among staff and local residenlts. Villace com- moin and plivate lands expenienced tip to tenlfold increases in todder yields in alilost all locations. These early, visible results demonistrated that the new program was producilln significant gains andc motivatecd people to participate more fully. Among the poori womeni are overrepresenite(l: therefore, in oul eff'orts to reach anid engage the pooIr, we must recognize that some issues and constiainits re- lated to participation are gender-specific and stem from the fact that men and womeni play differenit rO/es. have differenit needs, and face different constraints on a number of different levels. Because of such differences, we caninot assume that women will auto- maticallv benefit from efforts to involve poor people in project design and implementation. On the contrary, experience has macle clear that. unless spe- cific steps are taken to ensur-e that womeni participate and benefit, they usually do not. A World Banki evaluation of 121 r ural water supply projects founLd that even In a sector in which women carried the greater share oft responsibility. they benefited primnarily fromil the 17 percenit of water projects that had been specifically designed to involve theli. I 4 ENk1,;I'EillF pom?, .,s, 1s1t .P~~~^' .~~~~~~~~~~~~~~~~~~~~~~~~~~Z _ Barriers to Women's Participation Systemigc ender biases may exist in the forim of (t) customi1s, beliefs, and atti- tiides that contine women mostly to the domestic sphere. (b) womieln's eco- nomic and domiiestic workloads that impose severe tine burdens on them. and (c) laws and customiis that impede women's access to credit, productive inputs. employment. education, inftrmationi. or medical care. These differences affect meW15s and women's ability adlcl incentives to participate in economllic andi so- cial development activities. Sociocultural In seeking the participation of women in development activities, sensitivity is Constraints nee(decd on the social and cultural barriers that may inhibit women's participa- tion. In the Balochistan Province of Pakistan. the acute shortace of femiale teachers has been due, in part. to cultural constraints against girls going away to attend residential teacher training colleges. The lack of female teachers is. in turn, aln important factor in the low enr-ollmenit ( 15 percent) ol' girl's in pri- marv schools. Most parenits find it culturally unacceptable to send thei- daugh- ters to boys' schools or to have thenm taught by m1ale teacher-s brought in from the city ancd unknowin to the community. By adapting to these constrainits. the new Balochistan Primary Education Program has succeeded both in increasinio the supply of fe- male teaclhers ancd in raising girls' enr-ollimenit rates to 80-100 percent in villages with new schools. Under the this program. potential teachers are recruited from iwitlii, the village bv parenlts on the newly formed village education conimiiiittees: the program also provides mobile teacher training in the girl's village. After graduating, the teacher becomes a uovernment employee, assigned to teach in the school establishecd bv her sponsoring village education comlm1ittee. Time and Mobility In addition to cultural constraints. women's work often denies them the time to Constraints participate in meetings. As wottien's domestic responsibilities often require them1 to stay close to the homile, lack ot m1obility may also be a constraint. Various practical measures-fromn providing child-care facilities to installing standpipes that reduce time spent fetching water-can ma;ke it easier for women to attend meetingts or training sessions. In particular, the choice of tine and 1 49) IT1)1: (1x1.1 IO IA; HANI PARTFl(IC.\IPAION S()11('RCVM()z1,: place for meetings must take account of women's schedules and the availabil- ity of safe transport. In the Nigeria Women in Agriculture example. specific steps were taken to reduce the conflicts in women's schedules and guarantee regular attendance: each group meets on the same day at the same time and place; reminders about the meetings are posted at highly visible and accessible locations, and, if the scheduled day conflicts with a market day, the women are consulted in advance and an alternative time found. Consequently, women rarely face the problem of not knowing where and when the meetings are held. Legal Regulatory Legal restrictions in some countries prevent women from participating in for- Constraints mal labor markets or holding certain occupations. They may also prohibit women from entering into contracts under their own name, inheriting prop- erty, or holding legal title to land. The Honduras Agricultural Sector Adjustment Credit includes sup- port for implementing changes in the law to allow women to have title to land. Before the new law, land tenure rules and regulations made land adjudication and titling cumbersome. The law also specifically forbade women from hold- ing title to agricultural land unless they were widowed with dependent chil- dren under 16 years of age. Women relinquished even this limited title when their eldest son reached 16 years. This and other provisions not only excluded women from independent agricultural production but also prevented them from iholding the collateral necessary to obtain credit for agricultural or other pro- ductive ventures. In 1992 the law on land tenure was modified to provide wotmen with equal rights of access to land. Tranche-release conditions under I the Agriculture Sector Adjustment Credit include satisfactory implementation of the new Land Tenure Action Plan. In some cases, conditions are such that special legal or regulatory provi- sions may be needed to permit the equal participation of both men and women. In Pakistan, for example, several reforms were undertaken to facilitate girls' participation in the Balochistan Primary Education Program. Changes in the regulations governing recruitment. training, and support of feniale teach- ers were made so that women could be recruited to teach in their own village. This included lowering thie minimum age to 14 years and raising the maxi- mum age to 40 years: lowering the minimum qualification for matriculation: legalizing a mobile teacher-training program for women; and officially sanc- tioning new community-sponsored village schools and teacher posts. Without such changes, the (lemianicl for community-managed girls' schools would have far outstripped the nuLmnber- ol qualified. available women teachers. Seeking Women's Views Using Appropriate Often the first step toward determining appropriate measures for supporting Methodologies women' s participation is to obtain good informnation-about gender roles, needs, activities. access to and control over resources., existing institutions, and the constraints operating against women's participation. This can be done through gender analysis, which, if effective, elicits the views of women and often involves gender awareness training for facilitators or interviewers. Genlder analysis leads to the formulation of a gender strategy that addresses prazK Box 4.2. What Makes Community Organizations Work? Task Managers may find the following list of five common characteristics of well-functioning community groups useful whether they are planning to work with existing -roups or establish nlew organizations. The grouup addresses afelt need antd ac common inzterest. When people share a commnl(oni problem that can be addressed by group action (such as a lack of water supply, a security problem. or a degraded natural resource), they are more likely to mobilize themselves and work with support agencies to change the situation than if the problem applies to only a few members. Social cohesion tends to break down as groups grow or spread over large areas and monitoring the behavior of individuals becomes more difficult. For this reason, as groups expand. they either create subgroups or formalize regulations and delegate decisionmaking to smaller working groups. * The henefits of workintg together outwveigh the costs. Benefits may be economic (cash savings, increased production, income, and time savings), social capital formation (increased ability to collectively solve problems), increased indi- vidual capacity (knowledge and skills), psychological (sense of belonging and confidence), or political (greater ac- cess to authority, greater authority, and reduced conflict). * The grouip is embedded in the loccal social organization. Community organizations are most successful when based on e.xisting relationships and groupings or when members share a common identity such as kinship, gender. age, caste, or livelihood. * The group has the capabilitv, leadershilp. knowvledqe, an7d skills to manacge the tasks. As noted above, special attention needs to be given to ensuring groups have the necessary capacities for the tasks at hand. Those in leadership positions need to be respected and honest in their dealings. In some cases, safeguards may need to be put in place to ensure that these leaders are accountable to the group's members. * The groulp ownts and enforces its rules and regutlations. All successful groups and associations are characterized by internalized rules and regulations that are known by its members. Group members shoulcd be able to participate in determining the rules and the enforcement mechanisms. Source: Deepa Narayan. 1995. Designing Commnunirn-Based Developmnent. Participation Ser-ies, Environment Department Paper = ~~~No. 7. World Bank, Washiingtoii, D.C. I--? No. 7. World Bank.Washington.D.C. bridoint institutions that can provide links among the poor (and their comillunity orcyanizationis). their governments. and the World Bank. We tocus here on one particular soit of intermediary institution-nationally or internationally based NGOs-although we recognize that this intermediationi role mnav also be filled by diffelenlt inStitUtiOIS, SUCh aS line agencies, local gove nmiellnt units, or private fiims. NGOs as Intermediaries Strengths Many national and international NGOs serve an interimiediary fuliction whether it be channeling developimienit resources to conmiunity-based organization1s. lroviding theml with services or technical assistance, or helping to strengthen their capacity. Although NGOs vary in thei- ability aiid comimiitment to work with the poor. in many cases they have advantaoes as inter-miiediaries in reach- ing people-includinlg womeni, ethnic minlorities, and the very poor-who are not represented equitably by formal institutions. For example, NGOs may have more field presence in a given area and emplo' local people familiar with local coni(litions. They may' have better rapport with the poor and a clearer understanding of poo)r people's survival strategies and perceived needs than other kinds of interimieediaries. They may be familiar with low-cost techniques and innovations relevant to poverty alleviation. They also usually have greater tlexibility thanl the staff of official agencies. Many intemiecliary NGOs have experience In participatory project design and skills in participatory research. ComImILuInity miobilization. hicilitatioll techIIliques. ancd gtroup dynamics. Limitations Several limitations of NGOs as intermediaries have also been identified. al- thougch it is difficult to generalize about the sector as a whole. Sonie NGOs I 56 have limited financial aLid manazgemnent expertise and institutional capacity. Others work in isolation. communllicating or coordinating little with other or- ozanizations (inclUding government agencies). Many may be conJfinied to smiall- scale interventions. They may also not fully understand the broader social and( econoIm01ic COnItext In whicih tiley are working Not all kinds of activities, thiere- fore, are suited to the operational systemis of NGOs. nor do NGOs always reaclh the poorest of the poor. Intermediary Roles The followinie are some examples ot' intermediar-y roles that NGOs have played in Bank-supported projects: Identifying The Mali National Environment Action Plan is g1iving comm.1unities an op- Community Needs portunity to identify and explore enviroi-nental probleims and solutions. Be- cause of ilteir history of woriking in communities. NGOs in Mali are in a strong positioll to CarIry out assessinents of' environim1lenital conditionis in target coin- mulnities. For this reason. the government engaged a Malian consorliLl of NGOs to identify. scr-eell. subcontract, train, and supervise its member NGOs in carrying out the assessments. Giving Voice In the Philippines Integrated Protected Areas example, the objective of the to the Poor joint Bank-governmient appialisal m11issioIn was to consult the indigenous cuIl- tul-al comimlunities about the policy fra'miework that would help preserve stretches of torest in which they live and ask them if they were willing to jo;in the pro- posed protected parks system. Because of its close linkis to local communities, PANLIPI. a nationial legal services NGO. was conitracted to idenitify the rel- evant tribal groups an(d organize consultative meetincs between themli and the joint appraisal missionl. PANLIPI was also hired to conduct follow-up consul- tationis with the indioenous cultural communities. The NGO discovered that the sessions were being dominalated by local authorities andl local NGOs at the expense of indigenoLus comimlunities. To let the voice of tribal people be heard. PANLIPI decided to hold exclusive consultations ftor the tribal groups and ad- mit other parties as "observers'' only. Organizing In the Shrimp Culture Project in Bangladesh, NGO personilel andl the gov- Conmmunity Groups erinlenit inilpletilenltationl agency's extension staffteach perforimi their essential missions in cooperation with one another. The extension service has good tech- nical skills. whereas the NGO personnel concentrate on mobilizing, orgYaniz- in". and motivating f'arimiers. Each group is performing those tasks ftor which they have a comiparative advantage. and the two are coordinating their activi- ties to uood effect. Channeling Dur-iiw the Guatemala Earthquake Reconstruction project, FENACOAC. Resources an NGO tederationi of sixty-nine rural savings and loan cooperatives. chan- neled more than $3.7 million to villagers in tihe form of microeniterprise loans. Because of its extensive network of rural members. FENACOAC was able to reach large numiLbers of disper-sed comm11u1nities m11uch1 mor-e effectively than goverillnlelit or private sector banks. The federation tookl responsibility for in- forrinioig beneficiaries (in this case cooperatives) of the microeiterprise com- poneint of the project. identifying cooperatives that were eligible to receive funds. assisting them in preparing proposals. and disbursing the funds accord- 157 ingly. The recovery rate from the entrepreneur participants has been almost 100 percent. Understanding the NGO Sector The term "NGO" encompasses a broad array of different organizations, vary- ing enormously according to their purpose, philosophy, sectoral expertise, and scope of activities. In the developmenit field, NGOs range from the large chari- ties based in developed countries to community-based self-help groups in de- veloping countries: they also include research institutes, churches, professional associations, and lobby groups. Task Managers need to understand this diver- sity to identify which organizations have the appropriate abilities, skills, and orientation to fill a particUlar intermediary role. Comtnun itv- based NGOs provide the institutional framework for benefi- ciary participation and are more likely to receive project goods and services than intermiiediaries. Among the interm-ieediary NGOs with whom the Bank col- laborates, the following distinctions are important: Geographical Base National orgatziZations operate in individual countries, whereas intenlationial NGOs are typically headquartered in industrial countries and carry out opera- tions in more than one developing country. Working through locally based NGOs has the importanit advantage of contributing to the development of the local NGO sector and is usually more cost effective. When local NGO capac- ity is weak. however, international NGOs can be good intermediaries, particu- larlv when working in partnership with national NGOs. ~ In the Benin Food Security project. partnerships were encouraged between stronger, larger NGOs and weaker, newer NGOs to stimulate the transfer of =metlhodologies and technology. This project began as a pilot that involved inter- national NGOs and a few Beninlese NGOs. After two years of the pilot experi- ence, NGOs were brought together with government and donors at a woorkshop to design a new project based on the pilot phase. One of the findings at the workshop was that geographic concentration in the capital isolated many large NGOs fi-om target communities. International NGOs had the humanl and finan- cial resources to submit competitive proposals to include in project activities. They often. however. had the least recent or direct experience with potential client communities. When local NGOs lacked transport to access project areas, internationial NGOs had the necessar-y equipment and staff but lacked the local contacts. At the workshop, agreemiienit was reached to moclify the project in sev- eral ways. including creating incentives for NGOs to establish field offices in the project area. giving regional offices the authority to approve microprojects and disburse funds, and requiring international NGOs to partner with local NGOs to facilitate technology transfer and infor-miiation sharing. Primary Activities Operational NGOs are engaged primarily in designing and implementing projects. whereas the maini pulpose of advocac.v NGOs is to defencd or pro- mote a specific cause. Some NGOs engage in both sorts of activities. Advo- cacy NGOs, such as those defending the rights of indigenous peoples, may perfor-m an imporltant intermediary role in supplying informllation and facili- tatilo communllication andc consultation. PANLIPI, a legal rights NGO. helped gaini the trust of indigenous com- nunities at the appraisal stage of the Philippines Integrated Protected Ar- eas example. PANLIPI's involvemiienlt also resulted in several changes in the I 58 E NABH IANG( Ti E l'l()()i? )H 1P(A .-UV10* P..Xri. project. including increased attention to indigenous land tenure. resource ac- cess, and livelihood issues and to greater participation by indigenous commu- nities in managing protected areas. Generally, however, Bank-NGO collabora- tion on specific projects is more likely to involve operational intermediaries. Orientation Not all NGOs are effective in ensuring beneficiary participation within their and Area of own programs. At one extreme are NGOs whose orientation and competence Competence are similar to the private sector firms with whom they compete for contracts in project implementation or service delivery. Such NGOs may be efficient (and in strong demand) as senrice deliverers but are oriented to meeting the require- ments of bureaucratic funding agencies; they may be less likely to use partici- patory processes. At the other extreme are participatory NGOs that see them- selves exclusively as ena-blers and capacitv biilders and refuse to compromise their objectives or independence by collaborating in official programs. A small number of exceptionally effective NGOs combine a high level of competence in service delivery and in community capacity building. The Aga Khan Rural Development Program in Pakistan provides an example of what can be achieved by such organizations, committed to "bottom-up" planning and combin- ing strong technical expertise with effective institution building at the village level. Using infrastructure projects as the catalyst for institution building, this program reached 38.000 households and created 1 10 women's groups within four years. Accountability An organization serves the interests of those to whom it is accountable. In this respect, national- or regional-level mnemnbership NGOs. including federations of grassroots organizations or cooperatives, trade unions, peasant unions, or ethnic groups can be valuable partners in projects requiring broad participa- tion (although women and marginalized groups are not always well represented). One difficulty, however, can be that they are often more politically embroiled and subject to state regulation. The Indigenous People's Component of the Eastern Lowlands Natural Resource Management and Agricultural Development Project in Bolivia was prepared in a participatory manner by a regional Indian federation in col- laboration with a technical assistance NGO. Following a major political con- frontation, however. between the federation and the regional development cor- poration over control of the component, the component was redesigned, greatly reducing the power of the federation in project implementation. Among NGOs that are not membership based, accountability to client coin- mnunities, for example, through community contributions of cash, labor. mate- rials. or facilities, is an important indicator of an NGO's participatory effec- tiveness. Nonparticipatory NGOs may regard community members purely as beneficiaries and the fnding agenici.es as their clients. Identifying Appropriate NGOs Specific criteria-in terms of technical and operational capacity, outreach po- tential. skills in community capacity building, and knowledge of conditions in target communities-need to be matched to the specific task at hand. In general, the most effective NGOs are those that have already established participatory processes with their clients. The following list of indicators has been drawn up to guide Task Managers and their in-country counterparts to those NGOs that are likely to employ participatory practices effectively. Assessments should be based on the track record of the NGO rather than on its stated objectives. 1 5 9 TI'HI-E WVoRIA.f BANK I''IPAT'I)N S4)11(IIz:1I( Source A useful starting point for Task Managers unfamiliar with the NGO sector is of Information the data base maintained by the Bank's NGO group in the Poverty and Social Policy Unit, which containis information o0n more than 8,000 NGOs world- wide. The NGO group also maintains a library of NGO directories and sector studies fromii a large numllber of developing countries. Within borrowing coun- tries. information is frequently available from NGO utilbrella organizations, local offices of donors (for example. the United Nations Children's Fund, United Nations Development Programme. and Ford Foundation), or from the govern- ment ministry responsible for NGO liaison. Some resident missions also keep NGO directories on file. If an NGO is needed simply to provide informal advice on Bank-sup- ported operations, sufficient informliation may be obtainable from local con- tacts, such as resident donor representatives or leaders of NGO consortia. If the aoal is to identify an NGO for partnership in project design and iniplemen- tation, a more active search is required, including field visits by consultants and interviews with a sample of community leaders and members in the areas of the NGO's activities. When NGOs are themselves to screen other NGOs in operations-as is often the case with social funds-formal eligibility criteria and case-by-case institutional appraisal methods are called for. Selection Criteria The Bangladesh Second Road Rehabilitation and Maintenance project sought an NGO to share inftormllationi with affected groups. represent their interests, and consult with them to ftormulate a resettlemenit action plan. The selection process set out in the staff appraisal report considered three criteria. First, appropriate NGOs had to have a track record showing experience and ability to mediate and work with people at the grassroots level. Second. the skill Imix, field experience. availability, and mobility of staff of each NGO was factored into the selection process. Third. the selection process focused on the proposed work plan and approach put forth by each NGO for this particular project. NGO Assessments When NGOs will be involved in a wide variety of activities or when little or no information is available. it may be helpful to conduct an NGO as- sessment. The Bank has unclertaken NGO assessments on1 a national basis (in Uganda). in a specific sector (India Health and Family Welfare Sec- tor Study) and in connection with specific projects (the Nepal Rural Water Supply and Sanitation project). Drawine froni this experience, box 4.4 represents the factors that have proved useful in NGO assessments. par- Box 4.3. Indicators of Participatory Effectiveness in Intermediary NGOs * A flat management structure with decentralized authority * Organizational structures at the community level to which funding and/or other decisions are delegated * Use of iterative planning, involving consultation with local communities * Contributions of cash, labor, raw materials, or local facilities by community members and organizations. making them clients rather than beneficiaries of the NGO * Staff recruitment criteria, incentives, and training that support participation * Strong field presence outside metropolitan areas with a high proportion of staff of local origin * Community leaders and members have a positive perception of the NGO. * Turnover of client groups as they "graduate" over time and intensive field attention is transferred to new groups. Source: Thomas Carroll, Mary Schmidt, and Tony Bebbington. Intermediary NGOs and Participation. Participation Series, Environment Department Paper (forthcoming), World Bank, Washington, D.C. 1 (G() Box 4.4. Tips for NGO Assessments * The most useful NGO assessments are done on a sectoral or subsectoral basis. This allows the NGO universe to be divided functionally and geographically and permits systematic interviews and sample surveys. * When evaluating newly formed NGOs or other NGOs that are new to a specific region or sector and therefore lack a track record, focus on the individuals who lead the NGO and what they have done in the past. * Select an assessor who has a previous working relationship with government as well as NGOs to build trust. * Build participatory elements into all NGO assessments on a systematic basis. Both terms of reference and survey methodologies should include indicators of NGO quality in community development as well as technical and mana- gerial dimensions. * An NGO assessment should include information about the technologies used by NGOs to communicate with mem- bers and to network with each other. Also, the analysis should cover the constraints limiting communication in remote areas. * Whenever NGO consortia or apex organizations exist they should be given a role in NGO assessments. Nonmembers of consortia, however, should be informed of the federation's role. * Bank resident mission staff should be involved in NGO assessments and. wherever sufficient capacity exists, resident staff members should be responsible for supervising and updating NGO assessments. Source: Thomas Carroll, Mary Schmidt. and Tony Bebbington. Interm-tedliary NGOs eanid Participation. Participation Series, Environment Departnent Paper (forthcoming). World Bank, Washington. D.C. ticularly in NGO assessmenits that identify the participatory qtialities of NGOs. Obtaining Referrals il sonie cases. Bank Task Managers have approachied a consortium of NGOs for referrals on partnier-s in project design or implementation. Such federations can direct Task Managers to memiiber NGOs and in some cases select and su- pervise them. A limitation of this appiroach is that not all NGOs are repre- sented by such an apex body. This can create rivalry and isolate potentially suitable NGOs. Soliciting Proposals When many NGOs are interested and qualified. Task Managers and their gov- erinent counterparts may choose to select NGOs as they wotld consultants by soliciting proposals and selecting the best of these. A danger exists. how- ever, that this could rule out qualified organizations that have strong expertise in commliunity development but do not have skills in preparing proposals. Bridging the Gap Supporting A paradox confronlting the Task Manager is that the qualities that make NGOs Participatory par-ticipatory-and therefore attractive as intermediaries-may be inconsis- Processes tenit with many government, donor, and Bank requirements. One of the major constraints to group formation and capacity building is donor or government pressure to disburse and deliver services quickly. Unless procedures are made more flexible and both the Bank and the governiment are committed to sup- porting participatory processes, the NGO may be pressed into a service-deliv- ery rather than capacity-building role. This has happened in a numiiber of Bank-funded projects. including Liberia's Second Education project. Under this project, schools were coIn- structed rapidly and at low cost. No attention was given, however, to support- ing the intermediary NGO in building community ownership of schools and planning for maintenanice. As a result. many schools deteriorated or went un- I (; I TH-E 'VAOR1J,) BANK PARTHI lPATION SO1h'(R E13B() used. Similarly, in the Zambia Squatter Upgrading project, it was agreed in principle to pursue long-term community development goals by promoting active beneficiary participation. A stipulation was included, however, in the final agreement that, if the collective self-help approach used by the two inter- mediarv NGOs inteifered with the predetermined project schedule, contrac- tors would be employed to canry out the work. Ensuring Flexibility Task Managers have found ways to ensure that they support rather than under- mine the participatory strengths of NGO partners by introducing mechanisms that permit revisions in project priorities, greater- tlexibility in the timilg and scale of implementationi. and alternative procurement procedures. Sometimes, introducing mechanisms that allow NGOs to design and implement their own programs can also be effective. Encouraging Collaborative decisionmiaking from the outset concerning developmenit objec- Partnership tives can help resolve the tension between the short-term project objective of in Project Design the Bank or governmlenit and the long-termn community development goals of NGOs. The most successful cases of Bank-NGO collaboration have involved mutual transparency and shared decisionmaking from early in the project cycle. If NGOs are to participate in a Bank-financed project in a significant way. it is important that they have a say as early as possible in the design of the project and in defining the terms of their involvement. In examples such as the Philippines Health Development project, which aimed to reach the poorest members of society by building partnerships among the maniy health-oriented NGOs, local governments, and the Department of Health. ll1hivolvemelnt in project design was considered essential in defining effective op- erational partnerships, contributing to "quality at entry" and achieving successful implementation. Many of the NGOs were initially skeptical of involvement with the government. Giving them a stake in the decisionmaking process-in creating the tenrs of the partnerships-made it possible for NGOs to be the lead agencies at the local level and helped to overcome their skepticism. NGO Liaison Units A numiiber of Bank-supported projects have created NGO liaison units. Under the West Bengal Fourth Population project, the government of West Bengal created a voluntary agency cell (heacled by the additional director of health services), which is responisible for facilitating, supporting, and coordinating voluntary agency activities in the state. With the establishment of this cell, it is expected that the role and scope of NGOs in West Bengal family welfare pro- grams will be substantially increased. Information Sharing The Bank can also promote government-NGO relations by sponsoring meetings for dialogue and information sharing. In the Sri Lanka Health and Family Planning project, for example. joint training was provided for NGO and gov- ernment staff in Information-Educationi-Commiiunication techniques. In addi- tion, a series of annual workshops was organized to bring government and NGO personnel together to discuss ongohig strategies and implementation plans. Scaling Up Highly participatory NGOs tend to work on a small scale, experience suggests and Scaling Down that some of their programs depend on staying small and resource intensive. But in some cases NGOs have established participatory processes that they have themiiselves extended to large programs or that have proved replicable by other organizations or by government agencies on a large scale. Various ap- 1 (2 ENA BLA [N(; THE i'OO TO 'r() PAT IRC(IPATE proaches have been taken to enable successful NGO programs to be scaled up and "mainstrearned," where possible, without losing their essential participa- tory qualities and without individual NGOs having to grow to the poillt that they become hierarchical and bureaucratized. This may involve strengthening the capacity of NGOs, both through training and promoting NGO partnerships. Scaling up may also involve training government staff In participatory methods and relaxing some government regulationls. When working with gov- ernments to encourage NGO linkages, it is useful to consider that government agencies as well as the Bank may have to scale down in the sense of decentral- izing and buildinig flexibility and microvariability into their operations. This not only pushes decisionmaking down closer to the populations most affected (anid in this sense is itself more participatory) but also makes it easier to work with regional and local NGOs. The community support process in the Balochistan Primary Education Program is establishing new community schools for girls in remote rural vil- lages. The process began in 1992 with a pilot project by a small national NGO whose communlity workers went door to door-, urging parents to forn village education committees, identify a potential female teacher, and select a site for a school. The success of the pilot led to full acceptance and ownership of the pro- graim by the governmenit, which is now funding the program on a province-wide basis using International Development Association credit. Already, the NGO has succeeded in mobilizing community members to establish as maniy as 200 schools. Replicating the process on this scale and incorporating the schools and their teachers into the government system once the school has proved viable has cle- pended on the willingness of the Ministry of Education to relax a number of its regulationis, so that girls with as little as eighth grade education can qualify as teachers and receive training at home firom mobile training teams. Strengthening NGO Capacity Encouraging NGO For the Bank-financed Improved Environmental Management and Advo- Partnership cacy project in Indonesia, an international NGO teamiied up with twelve Indo- nesian NGOs to strengthen the ability of local intermediaries to address the enivironimental consequences of pesticides. The international NGO assists lo- cal counterparts in developing primary learning approaches to educate local people about environmental problems and solutions. This collaborative NGO effort is a broad initiative to develop education and training programis for farm- ers, conisumer s. and province-level regulatory officials and also serves to transfer skills and knowledge amiong NGOs. The goal of the Uttar Pradesh Sodic Land Reclamation project is to reclaim salt-affected lands usling participatory management techniques that could serve as a model for replicationi more broadly in the future. Farmers' water management groups will be organized and commilunity volunteers will be trained in technology transfer by small local NGOs. The staff of these grassroot NGOs will be trained in turn by larger interimiecliary NGOs with pre- ViOUS expeiience in participatory management. Other projects. such as the Bangladesh Participatory Forest Develop- ment pro ject. are using a similar structure in which advisory NGOs coordinate the implemenitationi activities of small locally based NGOs. These projects are coordinated at the national level by a single organization that works directly with the government to ensure compatibility with national goals and policies. 1 63 ITHl, NVOR141) BA\N1 P'_1t'1'1('1PAT'11()N SO111AWEBOOK>11 Providing Training The Task Manager of the Bangladesh Second Road Rehabilitation and Main- tenance project felt that for an NGO to act adequately as an interimiediary between beneficiaries and government ageilcies. its staff should be trained specifically in the use of the Bank's resettlement guidelines and generally in land valuation and compensation. Usually. training that builds NGO capacity is provided by a component for technical assistance within a large project or through a separate project. The Ethiopian Social and Rehabilitation Development Fund project treats proposals for trainiing as it does proposals for other microproject componients. Any community group or NGO that has an identified need for training is in- vited to submit a proposal. This fund has designed comniunity development and microproject developmenit training programs and has appointed a trainingi! and promotionl oficer. I Vi 1.\AN(<'I.I1, .N'iJai :'l l;i)irIo.\ l{ This section looks at thl-ee methods that have been useci il Bank-financed opera- tions to give the poor a more active role in managing the resources intenlded to improve their econoinic security and well-being. The first involves fiscal decen- tralizationi to give mIllicipalities and local goverinments more contiol over de- velopIllent funds and enable them in turni to stipport comilllity-level develop- menit. The second involves social funds, which are an alternative mechanism for providimlg financial assistance for locally led initiatives. These approaches pro- vide new ways to bring resources and control over them closer to the level at which thev are being used. The thi-d approach involves two-way reciprocal con- tracts, which form the basis for sustainable financial service systems. Fiscal Decentralization One of the most commilon ways to ,et resources to the local level is through munici- pal fuLids, matching grants. and community developmenlt funds that decentr-alize functiolns and molney to existing line agencies and local governmenlts. Under such au-angemilents. cential governments allocate resources to municipalities or other in- stitutions. which in turn fund many smaller projects. These subprojects are often prepared a nd contiolled by coMMunities, which contribute to cost-sharing through I 64 the donation of their labor and materials. Simple procuremilelit procedures along with democratic and transparenit project selection at the neighborhood and municipal lev- els contiibute to the success of these types of fLuniding arrangements. Through their ability to reach the neighborhood level and mobilize local resources, they remove a cnitical constraint to communLity action, the lack of financial resources. The Bank's Mexico Decentralization and Regional Development project gives municipalities control over funding many local projects by providing them with annual block grants. Such grants are made throug,h muniicipal solidarity funds, which are accounts created at the mullicipal and community levels to finanice small comimlunity projects. They are intended to channel resources to the most deprived conimunities by democratizing project planning as well as decen- tralizing- project financing. This signals a change in the destinatioll of the re- sources from the Iine agencies to the munllicipllities and involvecd elected munici- pal officials jointly with the communllities in project selection. Numliel-ous examples exist of fiscal decentralization. Not all involve local participation in decisionmaking, but most help to provide an enabling environ- ment in which such participation becomes possible. Social Funds Social funds can provide funding to local organizations such as community- based grlOupS, NGOs. and local governments In a more flexible. transparent. and rapid manner than liie ministries. They are "demanid-driven fundilng mechia- nisms. They do not identi'y projects in advance but instead respond to re- quests g,enerated by local organizations. Social fulids do not implement projects. They promote specitic activities, appraise pro jects or sLibprojects for 'funding using, strict selection criteria, superv ise implementation. and monitol- project effectiveness. Social fiunds have spread rapidly in developing countries since the Bolivia Emergency Social Fund was started in 1986; in 1994 the World Bank was supporting about thirty social funds. Autonomy Typically. social funlds are set up as autonlom11ous institutions that are transparent and have flexible fuliding, procureinenit, and( disbuisemenit piroceclures. Because they are autolloilmous they are able to avoid political interfer-ence and respond directly to local needs. In soiiCe cases, a social fuLn(d is an autonoMous covern- mental structure reporting directly to the presidenit or primiie miniister. In other cases, sucIh as the Agence D'Executioln des Travaux d'Infra;str1ctures Publiques (AGETIP) in Senegal. it is a private association contracted by the government. The Nepal Rural Water Supply and Sanitation (RWSS) project uses an altollolOLis funid (RWSS-FUND) to SuppOIt demilanid-cidiven, comIunity-based wvater and sanitation initiatives. This fLunlcl is designed to be maniaged by a board with repr-esentatives from both the governimienit and the private sector (NGOs). The boaLrd is autolloilmous andc t'ully responsible for the ftund's management. Money is providied by the Ministry of Finance throughi a siilplified, block- grant release process. In the Albania Rural Poverty Alleviation example, the RuL-al Develop- ienit Fund was created by government decree as an autonomilous agency be- cause the existinCl government strLcture lacked the ability to work at the com- munLity level in a participatory manner. To fulfill its responisibilities for imple- nienting both the pilot andc full-scale Bank-assistec project. this fund was given administiative, financial. andc techillical autonomy as well as the authority to entel into contr-acts. One of the principal functions of the fund is to support I 65 I V(1 \'<)1R1,1) HA N ii I'.\NAB1LIN(.'I HE POOR '1T PARTICIPATE approved by the fund, the contractual partner for implenmenting the project be- comes the commune (that is the corTesponding local government unit). To fulfill the employment generation objective of this component. the commune. in turn, hires local villagers to work on the project. This approach has proved successful in celivering priority infrastructure to irLral communiities. Sustainable Financial Systems The preceding section examined ways to improve the effectiveness and impact of resources flowing from the governmiient to the poor. In this section. we turn fironm one-wvayv grunl t resource flows, which characterize most of the decentrali- zation projects and social funds, to two-wav' reciprocal contracts, which are the basis for sustainable financial service systems. Task Managers migiht want to know more about how to build sustainiable fi- nancial service systems for poor men and women for two reasons. First, from the point of view of financial sector developinienit. people who have not been inte- grated into the formial financial sector because of low income. genider. ethnic iden- tity, or remote location often represent a large and potentially profitable market ftor institutions that can clevelop ways to reduce the costs and risks of serving them. From the perspective of povertv reduction, the case is even more compel- ling. For the most vulnerable of the working poor. who may not be ready to talke on debt, accessible savings can help maintain consumption over crisis periods and greatly improve economic security. Then, once some degree of economic security is attained, access to credit can help them move out of pov- erty by improving the productivity of their enterprises or creating new sources of livelihood. Participation Participationi occurs along a continuuL11. On one end are "beneficiaries." who are Continuum the recipien1ts of services and resources. More and more successful projects. how- ever, define participants as "clients" and invest in setting up timely feedback mechanisms to ensure they stay in touch with what their clients want. In these projects, "'clients" are perceived as those who buy something (for example, fi- nancial services) and must agree to pay more than a symbolic fee for it. They also ensure that a clear contiact exists with clients. which lets them know what Figure 4.1. The Participation Continuum Role of ON Participant: Level of Participation and Decision- Making: Choice of Services Risk Increase in: Responsibility Potential Return Source: Lynin Beninett. Mike Goldberg, and Pam Hunte. Group-Based Financial Sysics: Lxiploring tie Links between Pert 0rinan ee and(l Participation. Participation Series, Environimiienit Departimienit Paper (forthcoming). World Bank. Washington, D.C. 1 ; 7 THl: E'()R I I) BAN K PA IW'I' 'I( IC PAT IO.N SO( )lCU( I;mE(Oli they must do to keep the services coming. The challenge is to devolve the decisionmaking power and control over resources to participants as "investors" or even "managers" who make strategic and operational decisions about how services are designed and delivered. But it is important to remember that many people are not willing or able to take on the additional risks and increased re- sponsibilities associated with higher levels of self-maniagement. Overcoming Building an appropriate system of financial intermediation that is accessible Barriers to poor people and yet sustainable for the lending institution can be a chal- lenge. Overcoming the vulnerability imposed by continual reliance on subsi- dies (finance as charity) by establishing a market-based system (finance as business) that can operate on its own is not easy. In most cases, it is not some- thing that can be fully achieved within the time frame of one or sometimes even a series of Bank lending operations. In some borTowing countries where barr-iers are created by remoteness, poor infrastructure, a stagnant or primarily subsistence economy, illiteracy, or social factors such as caste and gender. self-sustainable financial services may not be attainable for a long time. Need What is needed to build and support sustainable financial systems with the for Intermediation poor is a combinationi of financial and social intennediation. Mechanisms must be created to bridge the gaps created by poverty, illiteracy, gender, and re- moteness. Local institutiolns must be built ancl nurtured, and skills and confi- dence of new low-income clients developed. This costs money and requires the help of intermiediaries at local levels. I Group-Based Approaches One of the most promising routes to sustainable financial intermecliation is the use of local self-help groups. Although many local variations exist, the ap- proach essentially involves identification and organization of local voluntary associationis or self-help groups amonlg disadvantaged populations. These groups are then liniked1 with for-miial financial institutions or assisted in devel- oping their own parallel. semiformal systems for financial intermediation. I~ 6S Solidarity Groups One of the most successful-and certainly the best known-group-based finan- cial service system 'for the poor is the Grameen Bank in Bangladesh. Grameen was established as a financial institution in 1983 to provide financial services to low-income niral households that had no access to formal sector programs. By 1993 Graineen Bank had served almost half of the villages in Bangladesh. lend- ing $311 million and mobilizing $218 million in savings and deposits. Its total membership is more than 1.8 million, of whom 94 percent are women. Grameen supports the formation of self-selecting- "solidarity" groups of five people. Members receive small working capital loans backed only by the joint liability of other members. This means that even though the loans are given individually, default by any member blocks access to further credit for others in the group until they either prevail on the defaulter to pay or cover the debt themselves out of joint savings or a pooled contribution. The loans are for twelve months with weekly installments. which makes accounting and repayment simple and easy for group members to understand. Members are also requi-ed to contribute to group savings and emergency funds on a regular basis. Many borrowers use the loans for petty trade, traditional agricultural processing. animal husbandry, and activities that borrowers know well. Reflecting its responsiveness to the vulnerability of its members to sea- sonal and other shocks, Grameen also lends for "consum1ption" purposes. such as medical care and food. Repayment for the program as a whole in 1993 was 96 percent. Village Credit In the Albania Rural Poverty Alleviation example. the dire economic situa- Committees tion made it imperative to inject cash into impoverished areas as quickly as possible by developing a credit delivery mechanism suitable to poor farmers. But the project designers did not stop with simply delivering the credit. They sought to buiildl a sustainable financial serm'ices svstem. The villagers rejected the solidarity group approach (based on Grameen Bank) and chose to create a village credit ftund in which the whole village is collectively responsible ftor repaymiient of individual loans. Each community elects a three-person village credit commillttee, which is responsible for selecting boriowers and ensuring that loans are repaid. Decisionmaking rests entirely at the local level and the village credit comnmittee holds open meetings to evaluate community member loani applications. Expansioni has been rapid with fifty-nine such commliittees established, more than 2.750 subloans made during the first two years of the project. and nearly 100 percenlt repayment. Advantages Group-based approaches have several advantages to the finanicial intermedi- of Group-Based ary: group liability is an effective collateral substitute. self-policing mecha- Services nismis cani increase repayinent rates and reduce lender risk. savings mobiliza- tion is often impressive and has proved an ilexpensive source of loan capital. and acdmlinistiationi and enforcemiient costs can be reduced. Group-based finail- cial systems can in h1 many situationis effectively shift some of the costs and risks from the lending institution to the group. Fromll the client's perspective. groups may offer the only affordable way of igainilng access to financial services. For landless men and womeni. group li- ability substitutes for physical or financial collateral: without it they could not obtain formal credit. The savings mobilizecd by groups are often re-lent to their memitber-s for emergenicies. conisumiiptioni. and similar purposes ftor which for- mzal instituitionls are reluctanit to lencl. With regard to capacity buildinig. group- I ,j. THi NVOKIA) IBANIK PAHTl ('II A'T'1( N S0I'HR( F IH )()KI basecd approaches can build solidarity, confidence, and financial management skills among members. Advantages For women, one of the most important aspects of a group is that it provides a for Women legitimate "social space" beyond the home and fosters a sense of solidarity that allows them to deal more freely with unfamiliar formal institutions and processes. Some evidence from Bank and other projects shows that women's groups perform better than men's groups in terms of repayment and longevity. One reason may be that in many societies women have few other financial opportunities and value them highly. Group membership may also have a per- sonal and social value beyond its economic utility. Characteristics Characteristics of strong groups include self-selection of members, literacy of at of Successful Groups least a few gr-oup members, and membership of only one genlder. Group en- forcemenit of sanctions is strongest when a system for calling on outside assis- tance (usually from the NGO) is readily available to resolve serious conflicts. Most successful systems appear to be ones in which a large proportion of the lending capital is raised from group meinbers' savings. Elements of groups that, contrary to general belief, do not appear to affect group performance include group size, leadership rotation, and the kincd or frequency of group meetings. Pitfalls of Groups Groups are not a guarantee of success. Despite potential advantages, groups may face serious managerial problems. They may be costly to set up: con-up- tion or control by powerful groups is a possibility: and minority groups or the a most disadvantaged are often excluded. Nevertheless, the resiliency and popu- -ff5 larity of many locally based, financial service organizations indicates that lo- cally managed groups can improve their financial management practices and move toward sustainability through selft-help efforts. Building Capacity of Groups It is critical to build up the human resources and local institutions needed to prepare groups to manage their own institutions or to enter into responsible business relationships with formal financial institutions. Ultimately. it is the cohesiveness and selfi-management capacity of the groups that enables them to bring down the costs of financial intermediation by reducing default through peer pressure and lowering the transaction costs banks incur in dealing with many small borrowers and savers. To achieve this eventual efficiency gain and develop sustainable financial services for the poor. however, substantial up-front investimients are needed to build the skills and systems that permit the group to take over most of the management of their own financial transactions eventually. Time-bound "in- fant industl-y" subsidies, such as building self-reliant groups through training group members in accounting skills, managenient skills, and use of manage- ment inforination systems, are also justified. Where government subsidies are not Justified, however, is in supporting the price of fitancial services with artificially low interest rates fo r the end users. (CAFTINI: RESIPONSIN'T l INT'I'ITUTIO).N Putting people first also requires changing the very ways in which govern- ment bureaucracies are accustomed to functioning. It requires different plan- 1 7 0 F:NABI.N(i THE Il'( <)R r)r PARTI'CI P( r'ATE ning procedures, institutional arranigements, and measures for resource alloca- tion. To put people's needs first, institutions must redefine responsibilities, reallocate staff resources, offer different incentives to staff, build in new mecha- nisms for learning and experimentation, and build outreach capacity by hiring new staff and retraining old. Characteristics of Responsive Institutions Delegating In the Benin Health example. the Ministry of Health gave the local health Authority management committees decisionmaking power and control over resouices. Each local health center (typically serving three to six villages) has its owIn management committee of six to eight people. Committee members are elected democratically: anyone may serve, provided that at least one member is a woman. The committee is directly involved in preparing the health center's annual budget for submission to the ministry. It is responsible for collecting and accounting for funds paid to the health center for services and drugs and also manages the procurement and inventory of drugs. Representatives of local committees serve on the board of the government's new drug procurement agency and on the government's central Health Sector Coordinating Commit- tee, giving them a voice in national policy. The success of El Salvador's Community-Managed School Program (EDUCO) depends on community involvement in public education. Each com- munity is required to provide a building as a school for its children. Parents elect school board meimbers for three-year terms. School board members, who are legally authorized to manage the schools, work with the Ministry of Education to establish annual budgets for the schools. Once the ministry transfers the agreed- on amount of money to the boards' bank accounts, the boards recruit, select, hire, pay, and manage the teachers and curricula. The boards and the teachers jointly allocate funds for teaching materials. Each local board monitors teacher perfoonnanice and, if necessary. takes the necessary steps to fire teachers for whom poor performance or absenteeism is a problem. About 25 percent of schools in El Salvador- nlow have such arrangemilents in their schools. Flexibility In the Philippines Irrigation example, it proved unrealistic to try to predict the amouLit of time needed to create local irrigation associations and ensure their full participation. It was found that preset targets tended to undermine the farmers' authority over the systems and, with it, their commitment. In view of this, the National Irrigation Adminiistiationi persuaded the Bank to avoid set- ting specific, long-term targets for constructioni. Flexibility was achieved by developing work programs one year at a time, depending on the progress of the preceding year rather than rigidly scheduling work for the entire loan period. This flexibility allowed the National Irrigationl Administration to spend more time building on existing irrigation associations instead of pressing to meet arbitrary targets for the creation of new ones. Experimenting In the Rajasthan Watershed Development project. the new challenge of imple- and Learning menietilg small, integrated watershed developmenit forced staff from different dis- ciplines to work together; the lack of prior experience even among senior offi- cials created a genieral willingness to experimenit with innovative approaches. Governmileit field staff were told to "stall with what you know, what you have resources for. and what people want." Staff were given the freedomii to do small experiments and try whatever they thought might work. An enabling policy was 1 71 THEll NV'(111.) BANK1 PAHlT1U1PAT1.\lu()N 9'()W'RC E:M;(Htl that no penalties should be given for failed experiments and successful innova- tion would be rewarded. In this way, significant progress was made in develop- ing area-specific technologies. Much of this progress came from interactilig with local people and seeking out and using their indigenous practices. In the Cameroon Rural Community Microprojects, the Milistry of Agriculture took a "learning" approach. allowing local commillttees in charge of approving loans to go slowly and learn from their mistakes in funding microprojects. The objective of the project was just as much on capacity build- ing as it was on lending for microprojects. This tlexibility and less structured pace allowed disbursements to be made slowly and allowed local people to learn valuable lessons and make adjustments to lending criter-ia as they went along. A marked improvement in the quality of microprojects and repayment rate after the first year clemonstrated that local people had indeed improved their- skills through the process of trial and error. Accountability An important factor in the success of the Benin Health example was the cre- ation of a new ooverrimeital drug procUriement agency. which exists as an autonomilous alencv responsible for procuring all druos used in the country. As this was (lone poorly and corruptly in the past, the new agency is kept responsive and accountable to local commilnities through village representa- tives that sit on its board. In the Mexico Hydroelectric example. accountability mechanisms were put into place during a reorganization of the national power company. CFE. A new, high-level Social Development Office was created that reported directly to the company inanagemilenlt. In addition, each state governmilent formed an inclependeiit cotniue (le coti erthiJon headed by the gover-nior and consistiuig of different line agencies to review an(d assist withi the resettlement plans. The National lndiani Institute was asked to provide independent field monitoring of the project, and a senior. indepenclent resettleinent adviser was appointed to the office of the company president to concluct field reviews of the project. These mechanisims served two puiposes: to channel information from the field clirectly to CFE's inanagement and to keep CFE accountable and responsive through a public monitoring and review process. In the Nepal Irrigation Sector programil. fanrmer involvement in the selection of contr-actors provided a much-needed element of transparency Hi the mobiliza- tion arid usc of the Irrigation Departmelit's financial resources. Farmer Irrigation Associationi oversight and ownershilp imlproved the qulality of construction. Multidisciplinary To undertake participatory activities in Mvlexico's Programa Integral para Approaches el Desarrollo Rural. several local multidiscipliniary teams consistilgo of so- ciolorists, economilists. planners. and various technical experts were put to- cether to udll(ler-take collaborative planning with beneficiaries. This approach empihasized the linkage between the sociological and technical sides of the planning process. In the Mexico Hydroelectric example. a new social developmenit unit wvas created at the project level to introduice participatory appr-oaches into project planning and clecisioninaking. This institutional innovation brings together a ftoul-celled resettlemenit team (planners. regionial developmenlt wor-kers. envi- ronmental specialists, and CO -Inullty organizers) with the headl enrineel- in charge of construction. This multifunctional team creates a critical bridge be- tween the technical and social sides of the project. I , NA\BI,N( 'T'H PH OOR1 'I(O PARTh IC I'P'AT Strengthening the Capacity of Government Institutions Training As part of several forestry projects in Nepal. training programs are beint con- ducted for 'forestry officials to facilitate greater communication andl coopera- tion with rural forest users. Local officials have also been trailled to watch for attempts by the wealthy to take contr-ol of forests fi-oin broadly based user gl-OLlps and to focus on genuinely elected leaders of such groups. In the India Forestry example. Forestry Department staff received trail- ing il participatory rural appraisal (see Appendix 1) and othier- participatory approaches to prepare theim to worlk in a collaborative maniler with the village- based ftorest protectioni comillittees. Providing In the Nigeria Women in Agriculture example. to attract women agents into the Appropriate extensionl service and inci-ease their time spent interacting with women farmers Incentives in the fielcl. the Women in Agzriculture program offered incentives in the form of hilpr-ovedt mobility, tranisportation, travel allowances, and higher salaries. In the Philippines Irrigation example. National Irrigation Acminiistration (NIA) employees receive bonuses when their decentralized cost centers break even or better. This means they must treat the faarimlers as valued customiers whose payLimenits ftor services are indispensable to NIA's existence. Such a system en- ables NIA agents to be responsive to the needs of thei- local clienlts. In addition. NIA's budget vvas linkecl to farnier conitributions (that is iir-ioationi service fees). wher-eas governIlllent subsidies were phased out. This structural change in the implemienting agency helped to mainistr-eamii participation by helpiln to develop a strolln service orientation. instilling clienit responsiveness an(d forcina- agency employees to place a high Valule Oil ftarimler- participation. Developinig In the Nigeria WVomen in Agriculture examnple. the Women in Agricultuire Outreach Capacity prograrm was set up within the existing state agricultural development projects. whicih wa.S a ver-y decentralized systemii. Each staite agricultural developiment project has field offices staffed by local extension agents and has contr-ol over its budget and activities. The Federal Aguricultural Coordinating Unit plays a coordiniatling role fi-om the capital. To better respond to the needs of women farmers and increase the number of womeni extensionl agents in the field, the Ministry of'AgiiciCltui-e began a large-scale administrative "switch-over" dur- ing whicih a large cadre of existing home economic agrents were redirected into the agricultural whing of the agricultur-al development projects to becomne Woniell in Agriculture field agents. Building on this existilg human capital allowed a significanit increase of field-level staff in the agricultural departmenit with no net addition to the ranks of civil service. In the Tamil Nadu Integrated Nutrition project, a cadre of community nutrition workers was created within the health outreach services of the De- partment of Social Welftare to disseminate information, raise awareness of bet- ter nutritioni practices, and encourage the formilation of women's groups to be- gill comImILinity-level action aroulid health and other issues. The focal point of project activities was 9.000 conmi1unity nutrition centers, each staffed by a local wvoman. Staffing criteria for this position required women who (o) were fi-omii the village. (b) were poorer than average but had well-niour-ished chil- dr-eni. anid (c) hacd an interest in health. Selected commullity nutrition workers were highly motivated and had good access to mothers. In choosing outreach staff for the comImlunLity nutritioni worker cadre. these qualities were giveni greater- weight than edLucation levels and qualificatiolis. I 73: 'Flrui: XVoRIAJ TAN-Ij I> 'IPIART I'I'l'TION s;(ITRruEIO)Kli In the Mexico Hydroelectric example, the national power company. CFE, did not initially possess the skills or experience to manage a participatory resettlement program. To acquire this ability, they created new social and en- vironmental units and recruited skilled personnel to run them. They also hired teams of young professionals with backgrounds in the social sciences, social work. and NGO activities and sent them out into the villages for three weeks out of every month to consult with villagers. answer questionis, and record the concerns and priorities of communities on behalf of the company. THI;: EN.A!.kBLAN; E[NIVO()NNMENT: Lf:: I'E; Laws and policies can create an enabling environment that tacilitates-or at least does not impede-peoples' participation. Although individuals, groups, and agencies play key roles in initiating a process of "bottom-up" develop- ment, change can be facilitated if rules and regulations at both the national level and pro ject level provide the freedom and incentives for people to par- ticipate in the design and implementation of development projects. To ensure effective stakeholder participation in Bank-financed projects, spon- sors and designers must examine the legal framework within which affected beneficiaries and communities operate to identify and address any constraints posed by the law. Three sorts of legal issues are important: (a) the right to infor- niation, (b) the right to organize arid enter into contractual agreements, and (c) the impact of the borrower's financial and other regulaitions on communities. I-> - Right to Information Participation is a function of information through which people come to share a development vision, make choices, and manage activities. To achieve this, information miust flow froni governments and extemnal supporters in ways that genuinely support people's informed participation. The objective of in- forimationi sharingy, therefore, is to ensure that all affected individuals or coIil- munities receive adequate information in a timely and meaningful manner. To attain this, the following questions are relevant: Obligation * Is there an obligationl on the part of the implementing unit to ensure that to Disclose stakeholders are provided with adequate ancd relevant information'. * Is such information to be provided in a meaningful manner, that is, in a form that can be readily understood by relevant stakeholder groups'? Access * Is the mechanism for providing or requesting inforimiation accessible to all to Information stakeholders'? Is it a simple mechanisimi that can be used by all'? For ex- and Legal Remedy ample, are stakeholders requirecd to fill in complicated forms'? * Are there time ancd financial constraints that may discourage people from seekiny information'? Is there a significant delay between the request for information and the provision of informration? * Are there any cultural or social constraints for accessing this information? Do barriers exist that may inhibit women or other vulnerable segments of society'? Are special measures r equired to reach potential participants who are poorly educated or illiterate'? Is the information available in local lan- guages and dialects? * Do stakelholders have any legal remedy when their right to informiation is infringed'? 1 74 ENABI,IN(G 'I'lIE PoOR 1'() 'OAR'ITI(IPATE Disseminating Bank experience suggests tilat centralized offices may have problems dissemi- Information nating intformation. In the Sardar Sarovar project, for example, information was available in an office near the dam site. But affected communities found this ineffective. It was costly, time consuminig. and difficult to access the infor- mation. In addition, women who faced mobility problems or cultural constraints to travel were virtually cut off from information. Infoorimiationi can be successfully disseminated to stakeholclers in a number of ways. In the Gambia Public Works and Employment project, a commu- nity participation program is being developed that uses newspapers. radio, talk shows, leaflets, posters, and stickers to disseminate information. The Gambia experience reveals that taking into account literacy, language, scope, timing, anid selection of themes sensitive to gender, age. and ethnicity is critical to channeling information flows to target audiences. But sometimes newspapers. radio, television, and other forms of mass communication are nlot the most effective means of reaching the general pub- lic. Information can flow vigorously through local communication systems. This includes traditionial entertainmenit such as song, dance, and community theater. The exchange of information can also be facilitated at traditional gathering places. such as village markets, religious meeting places, police stations, or marriage celebrations. If. on the other hand. these modes are ignored, such indigenous comilmunication systems can transmit messages that oppose and under-mine developmenit etforts. In South Asia, such communi- cation channels have in the past frequently carried negative rumors about the side effects of family planning methods. sometimes leading, to the outright i-ejectionl of the contraceptives being introduced. In the Ethiopian Social and Rehabilitation Development Fund project, a number of village-level workshops were held. Additionally, a number of NGOs and community facilitators who are respected by target communities were appointed and trained to disseminiate information among communities. iAn effort is being made to recruit female promoters to improve the access of women's groups. In the expanded phase. it is expected that with the use of a mobile van, more effective dissemination of' information can be achieved even in remote areas. In the Guatemala Social Investment Fund, field staff were recruited who spoke the local dialect and had a cultural background necessary to interact with the communities. Materials are also printed in the local languages. Legal Literacy The righit to inforimiation is conlnected withi the following issues of legal literacy: * Are communities legally literate and aware of their rights? * Is there a need to educate them? * What institutional arrangements are necessary'? In the Mexico Decentralization and Regional Development project, il- lustrated brochures in Spanish were designed to communicate in a simple man- ner the economic opportunities afforded by the project as well as inform po- tential participants about the their rights and obligations. Right to Organize The second issue relates to the legal status of communities and groups and their internal organization. The objectives are to (a) design effective mechanisms for 175 gloup participation. (b) ensure that legal standing of these groups is appropriate and enables them to interact effectivelv with external paities as required, and (c) ensure equitable relationships among gr'oup members and transparent processes for ilternal decisionmiaking. Importanit questions include the following: Formaliziig Groups * What are the available processes for formalizing groups so that they can participate in project-related activities'? * Are such processes complex or time consuminig and beyond the scope of small community groups? * Is such formalizationi necessary to receive public funds or enter into valid contracts'? * If there is no formal legislation or regulation. can project-specific arrange- ments be developed to achieve the same objectives? Bank experienice in this area is varied. In some cases NGOs and other groups may be reluctant or incapable of entering into a standard contractual agreemiient. In such cases, a memlorandum of understanding or conventioni signed with the government or executing agency may be more appropriate. In the India National Cataract Blindness Control project. a participating NGO that was reluctant to take on the risk of contractual liability signed a memllo- randumii of understandinig defining it as an equal partner- with the executing agency. According to specified terms, the NGO was under no formal obliga- tion and would be paid for its services on verificationi of performance. In the Philippines Irrigation example. the National Irrigation Adminis- tration persuaded the legislature to give legal recognition to the irrigation as- sociations that provided them with authority over the operation and mainte- nance of the communal systems, legal water rights, and standing as corporate bodies with the Philippine Securities and Exchange Commission-which meant they could own property, make contracts, collect fees, and impose sanctions. Ability to Receive A number of factors affect whether groups can engage in financial transac- Public Funds tions. Importanit questions in this area include the following: * Can the community group receive public funds'? * What are the requiremiients'? Are such requirements complex. time con- suming. or beyond the scope of small community groups. * Does the community group have a separate legal identity? * Can it enter into a valid contract on behalf of the members at large? The Uttar Pradesh Education project permits informal groups to receive public funds upon complianlce with certain specified conditions, including the collection of community contributions and the appointment of a headmaster. In the Zambia Social Recovery Project, however. the opening of a bank ac- count and deposit of the community contribution is considered a satisfactory requirement to receive public funds. In the Mexico Municipal Funds program. a component of the Mexico Decentralization and Regional Development project. government regula- tion permits groups to register as "solidarity committees" with the municipal- ity, thereby giving them the right to receive public fuLnds. In the Burundi Social Action project, an intermediary with legal status, selected and approved by the commliunity, is brought in to sign the contract on behalf of the community group. 1 76 ENABILIN( I'HF: P)OO-R 'TO PI-'ARTICI PIATE Internal Regulations Where formal groups have legal standing, it may be important to examine their internal regulations or by-laws. The by-laws or internal regulations of the com- munity group or entity should be developed by the group and are crucial in addressing some of these issues. Where community groups do not have the skills to identify issues and address them in the by-laws. assistance should be incorporated into project design. Appropriate questions include the following: * Are the responsibilities and obligations of the members clearly defined'? * Do the intemnal regulations ensure that sharing of resources/profits is un- dertaken in an efficient and equitable fashion? * If the project involves financial contributions by communities, is there a mechanism for ensuring that such contributions are provided in an equi- table fashion? What constitutes community contribution? Can they con- tribute cash instead of labor? * How are internal regulations drafted? How can they be amended? * Is it possible to provide sample by-laws for different categories of project- related activities? * Are records kept of such contributions to ensure that contributions are made by all beneficiaries in an equitable fashion? * Are there any justifications for excusing specific households or individuals? Representative Different kinds of questions relate to whether the groups so constituted are and Accountable representative and accountable. To determine this, Task Managers may want to Groups ask the following questions: • Is there any restriction on membership to the group? X Where the regulations are neutral, do they unintentionally have the effect of excluding women or other vulnerable sections of society? * Can such unintended impacts be mitigated through the use of internal regu- lations or by-laws? * Who makes the decisions? Is there provision for participatory decisionmaking processes'? * Are the leaders accountable to the larger group of members? * Is there a possibility of introducing some fomi of mutual monitoring or peer pressure? Impact of Borrower's Financial and Other Regulations The third issue relates to the impact of the borrower's financial and other regu- lations on the ability of communities and groups to participate effectively in the project. The objective is to ensure that any potential bottlenecks created by the borrower's regulations are addressed well in advance and that NGOs, in particular, are not adversely constrained by government regulations. Because many of these restrictions are vested in law, the ability to modify them through project design may be limited. Some legal restrictions, however, can be inter- preted in a flexible manner. Some potential issues follow: Requirements In many countries, national procurement regulations are not suitable for com- for Competitive munities and NGOs involved in participatory projects. Borrowers' reluctance Bidding to decentralize fiscal control may also affect community-related procurement and disbursement. Often thresholds for competitive bidding, that is, the value of contracts that must be procured under competitive procedures) are set so 1 7 7 TI-I N XVORIA) B-IAN K PAT IC1PI PAIN S()1 IU 1i 110(0)4K low that even small contracts require bids that impose time-consuming and bureaucratic procedures on communities. Some potential questions related to competitive bidding are: * What are the manidatory processes for competitive bidding? * Do they impede efforts by community groups to use competitive bidding? * Are the threshold levels appropriate'? Do they permit noncompetitive pro- cedures when necessary? In the Uganda Alleviation of Poverty and Social Costs of Adjustment project, any item more than $1,000 required approval by the Central Tender Board for Procurement and Disbursement. This tedious process caused seri- ous delays and limited community involvement. In the Guyana Health, Nu- trition, Water, and Sanitation project, community groups were allowed to procure their own goods through "local shopping" procedures. which required quotations from at least three qualified suppliers. This was found to be a bur- densome requirement, because it was difficult to find even a single qualified supplier in some rural areas. The traditional concept of competitive bidding may be not appropriate in cases in which community gr'oups are contracted to undertake their own works. Often commun1ity groups invest in goods to be used by their own members; experience shows that, in such cases, there are built-in incentives for commu- nity groups to use their allotted resources efficiently. The experience with the Mexico Municipal Funds program. a component of the Mexico Decentrali- zation and Regional Development project. for instance, has been that works _= implemented by the communities cost one-third to one-half less than works by traditional municipal administrators or contractors. Prior Review The issue of prior review of publicly funded contracts-imposed by national of Contracts legislation or sometimes by the Bank's procedures-has caused. in some in- stances. substantial delays and frustration during project implementation. To suit the needs for community-related procurement. requirements for prior re- view of contracts have been adapted in some projects. The Mexico Municipal Funds program does not mandate prior review of contracts with communities: instead, a sample of projects are reviewed during or after implementation. Replacing prior reviews with strict ex-post reviews is done under the assumption that no disbursement will be made on contracts that violate principles set forth in the implementation guidelines. In the Cameroon Food Security, project contracts for goods and services above $50.000 require prior review. Because the majority of the community-related procurement subprojects are below $25,000, such a threshold level avoids the need for prior review in all cases. Accounting Sometimes, participating groups, fearing that their autonomy is being threat- and Auditing ened. may not want to reveal their accounts to the government. On the other Requirements hand, accounting transparency helps to reduce abuses and the government as well as the Bank have a right to insist on transparency of accounts in a Bank- financed project. The degree of infonnation revealed by the participating group should meet the requi-ement of public scrutiny without compromising the in- dependence of the group. A practice that has worked well in this context is that the government and the Bank are allowed to examine the accounts for that 1 78 FEN AIAI N( TIiHE P(O)()R 'IT(< [PA RT' CIPAT'IF particular project but not all the NGO's accounts. In any case, the details of this should be agreed on to the mutual satisfaction of the government, NGO. and Bank at the outset of the project. Key questions in this context include the following: * Do the regulations require that the use of funds must be accounted for? If so, how, in what manner, and to whom? * Do the regulations require that use of public funds be independently au- dited? If so, who is responsible'? * If the Auditor General's Office is responsible, can this task be delegated to a private entity'? In Zambia. for example. the auditor general is required to audit the use of public ftunds. This would require the NGO or community group receiving pub- lic funds to be audited by the auditor general's office. In some cases, however, it has been possible for the auditor general to delegate hiis powers to a private accounting firm to audit groups involved in project-related activities. Processes Sometimes government procedures and processes for disbuLsemlelnt can create for Disbursements delays. Experience has shown that delays in disbursement can signitficantly (lamipen community enthusiasm. In the Colombia Integrated Rural Devel- opment project. government procedures typically took 103 days to process disbursement requests. To overcome these problems, in some projects. espe- ciallv those set up as social funds, the decree establishinig the fund exempts its operations from the procuremenlt and disbursement regulations in the country; tihus. in the Ethiopian Social and Rehabilitation Development Fund project, the fund operates under its special procur-emiient and disbursement guidelines specifically described in its operational maniual. Appropriate questions in this conitext include the following: e Are disbur-semnenit procedures for access to and utilizing funlds transparent. efficienit. and objective? * Can steps be taken to keep government agencies out of the day-to-day affairs of community groups and NGOs? Dispute Settlement Dispute settlement is an important elemenit for effective participation. A forum Mechanisms for presentation of grievances and the mechanisms foI third-party settlement procedures are imperative for sustained developmenlt. A cursory examination of the form-lal clispLIte resolution systems in most countries reveals that access to remiiedies through the formal process is generally constrainied. A large pro- portioni of poor and disadvantaged people are legally illiterate: they have inad- equate access to legal aicd and do not have the economic resources to resort to the normally complex and sophisticated legal processes to seek' remedies. Many societies, however, have traditional methods of dispute resolutioni that are based on principles of mediation and conciliation. Project designers have attempted to make use of such incligelnous methods of dispute resolution. In the India Upper Krishna Irrigation 11 and Andhra Pradesh Irrigation 11 projects. lok ad-clallbts or people's courts have been established to settle griev- ances of community grOLipS that have been adversely affected by project ac- tivities. In the Egypt Resource Management example. such indigenous meth- ods of dispute resolution have also been employed. 1 79) THE BVI) HANK P'AR'ITI(I'IATION ('OURI:(I)()ol The following questions are relevant to problems related to dispute settlement. X Are existing formal dispute resolution mechanisms accessible, or are they lengthy and costly'? * Are there any customary dispute resolution mechanisms that communi- ties can resort to? I p44) AP`PENDIX I METHODS AND Tools Development practitioners use a wide variety of different methods, tailored to different tasks and situations, to support participatory development. This Ap- pendix. set up as a reference guide, introduces the reader to ten methods that have been used in different development situations to achieve various objec- tives. These include: workshop-based and community-based methods for col- laborative decisionmaking, methods for stakeholder consultation, and meth- ods for incorporating participation and social analysis into project design. The methods are first introduced in a matrix; then each is briefly described, including background, a step-by-step description, suggested further readings, and an example. Each method is compared and contrasted with the others and their advantages and disadvantages noted to help Task Managers choose those most useful to them. A glossary of available tools, many of which are compo- nents of the methods, follows the summaries. More details on both the meth- ods and the tools can be found in the forthcoming Environment Department Paper Methods anid Tools for Social Assessment and Participation. Reading about participatory techniques will familiarize Bank staff and others with terminology and context, but learning from one's colleagues who have expe- rience with these methods and tools is also helpful. Readers can call the Environ- ment Department's Social Policy Division (ENVSP) to obtain an up-to-date list of Bank staff and consultants who are well versed in these methods and tools. Workshop-Based Methods Collaborative decisionmaking often takes place in the context of stakeholder workshops. Sometimes called "action-planning workshops:" they are used to bring stakeholders together to design development projects. The purpose of such workshops is to begin and sustain stakeholder collaboration and foster a "learning-by-doing" atmosphere. A trained facilitator guides stakeholders, who have diverse knowledge and interests, through a series of activities to build consensus. Appreciation-Influence-Control (AIC), Objectives-Oriented Project Planning (ZOPP), and TeamUp are three such methods. Community-Based Methods In many projects, Task Managers and project staff leave government centers and board rooms to undertake participatory work with local communities. Task Managers work with trained facilitators to draw on local knowledge and begin collaborative decisionmaking. In such settings, local people are the experts, whereas outsiders are facilitators of the techniques and are there to learn. The techniques energize people, tap local knowledge, and lead to clear priorities or action plans. Two such techniques (see Appendix 1), par- ticipatory rural appraisal and SARAR (an acronym based on five attributes the approach seeks to build: self-esteem, associative strength. resourceful- 181 Ti N: H L'(IRIA) BANK P\RII(II'PATION iSOTI:IlIl)OI(lh ness. action planning, and responsibility) use local ma- out in country economic and sector work to establish a terials and visual tools to bridge literacy, status, and broad framework for participation and identify priority cultural gaps. areas for social analysis. Such methods evolved to meet the need to pay systematic attention to certain issues that Methods For Stakeholder Consultation traditionally had been overlooked by development plan- Beneficiary Assessment (BA) and Systematic Client niers. The SA methodology, which is described in this Consultation (SCC) are techniques that focus on lis- Appendix, has been designed specifically to assist Bank tening and consultation among a range of stakeholder staff and reflects Bank procedures. groups. BA has been used throughout World Bank re- gions. in both projects and participatory poverty as- tsINc I-IE .rIOD) WE1 1 sessments (PPAs). SCC, which is used primarily by the Bank's Africa Region, is a set of related techniques It would be misleading to claim that any tools or meth- intended to obtain client feedback and to make devel- ods are inherently participatory or that they spontane- opment interventions more responsive to demanld. Both ously encourage ownership and innovation among stake- methods intend to serve clients better by nmaking do- holders. The participants in development planning and nties actioni-tlhe users of these methods and tools-must be nors and service providers aware of client priorities, the ones who encourage and enable participation. The tools themiiselves facilitate learninig. preparation, and cre- ative application of knowledge. They make it easier for Methods for Social Analysis Task Managers and borrowers who are committed to Social factors and social impacts, including gender is- participation to collaborate with a broad range of stake- sues, should be a central part of all development plan- holders in the selection, design, and implementation of ning and action, rather than "'add-ons" that fit awkwardly development projects. These same methods, however, with the universe of data to be considered. Social As- can also be implemented in a "top-down" manner, which sessment (SA) and Gender Analysis (GA) are methods merely pays lip service to participation. The ultimate that incorporate participation and social analysis into the responsibility for using these methods well, therefore, project design process. These methods are also carried rests with the users and facilitators. I F 2;) A1I1''1.:N1)1X : N1I: HODI-> AND 1001.- TABLE: A1.1. PARTICIPATORY METHO)DS AND TooLS Description Comments Collaborative Decisionmaking: Workshop-Based Methods Appreciationi-linfluence-Control tAIC) Strengths AIC is a workshop-based technique that encourages stakeholders to * Encourages "social learning" consider the social, political. and cultural factors along with techni- * Promotes ownership cal and economic aspects that influence a given project or policy. * Produces a visual matrix of project plan AIC helps workshop participants identify a common purpose. en- * Stakeholders establish rules of the game courages to recognize the range of stakeholders relevant to that pur- * Stakeholders establish working relationships pose, and creates an enabling forum for stakeholders to pursue that purpose collaboratively. Activities focus on building appreciation Avoiding Potential Pitfalls through listening, influence through dialogue, and control through * Completed matrices should not be considered unchangeable. action. * Workshops should be part of a plan that involves all stakeholders. Objectives-Oriented Project Planning (ZOPPI * Not all stakeholders are comfortable in workshop settings. ZOPP is a prolect planning technique that brings stakeholders to work- * Measures should be taken to give voice to less experienced shops to set priorities and plan for implementation and monitoring. The public speakers. main output of ZOPP workshops is a project planning matrix. The pur- * Choice of workshop location should be accessible to pose of ZOPP is to undertake participatory. objectives-oriented plan- local stakeholders. ning that spans the life of project or policy work, while building stake- holder team commitment and capacity with a series of workshops. TeaniUp TeamnUp builds on ZOPP but emphasizes team building. TeamnUP uses a computer software package (PC/TeamUP) that guides stake- holders through team-oriented research, project design, planning, implementation, and evaluation. It enables teams to undertake participatory, objectives-oriented planning and action, while fos- tering a "learning-by-doing" atmosphere. Collaborative Decisionmaking: Community-Based MVethods Participatory Rural Appraisal IPRA) Strengths PRA is a label given to a growing fiamily of participatory ap- * Based on interactive. often visual tools that enable proaches and methods that emphasize local knowledge and en- participation regardless of literacy level able local people to do their own appraisal. analysis, and plan- * Demystifies research and planning processes by drawing on ning. PRA uses group animation and exercises to facilitate infor- everyday experience mation sharing, analysis. and action among stakeholders. Al- * Participants feel empowered by their participation and the though originally developed for use in rural areas, PRA has been sense that their contributions are valued. employed successfully in a variety of settings. The use of PRA enables development practitioners, government officials, and lo- Avoiding Potential Pitfalls cal people to work together on context-appropriate programs. * PRA or training alone does not provide local communities with decisionmaking authority or input into project SARAR management. These features must be built into the project. This participatory approach, geared specifically to the training * Thesetechniquesgenleratepositiveeniergy.whichwillquickly of local trainers/facilitators. builds on local knowledge and subside if it is not channeled into actual tasks and programs. strengthens local capacity to assess, prioritize. plan. create orga- * Trained facilitators are necessary to guide and synthesize these stregthiis oca capcit to sses, riortiz, pln. reat. oga- exercises. nize, and evaluate. The five attributes promoted by SARAR are: self-esteem, associative strengths, resourcefulness, action plan- ning. and responsibility. SARAR's purpose is to (a) provide a multisectoral, multilevel approach to team building through train- ing. (b) encourage participants to learn from local experience rather than from external experts. and (c) empower people at the community and agency levels to initiate action. (continuedon o next page) 1 83 'I'HE NVORA1 ) BANK PAR'T'IuI'PA'rION SOURCIAMOK TABLE Al.1. (CONTINUIED) Description Comments Methods for Stakeholder Consultation Beneficiary Assessment (BA) Strengths BA is a systematic investigation of the perceptions of beneficia- * Systematic listening and consultation requires lengthier, ries and other stakeholders to ensuire that their concerns are heard repeated, and more meaningful interactions among and incorporated into project and policy formulation. BA's gen- stakeholders. eral purposes are to (a) undertake systematic listening to "give * BA and SCC are field-based, requiring project or program voice" to poor and other hard-to-reach beneficiaries, thereby high- managers or their representatives to travel to communities lighting constraints to beneficiary participation and (b) obtain and to become more aware of the realities of the field. feedback on development interventions. Avoiding Potential Pitfalls Systematic Client Consultation (SCC) * Listening and consultation alone do not lead to increased SCC refers to a group of methods used to improve communica- capacity or facilitation of client participation in tion among Bank staff, direct and indirect beneficiaries and stake- decisionmaking or action. holders of Bank-financed projects, government agencies, and ser- * The effectiveness of these techniques often rests with the vice providers so projects and policies are more demand-driven. ability of the managers and their representatives to SCC intends to (a) undertake systematic listening to clients' atti- "translate" client needs and demands into operationally tudes and preferences, (b) devise a process for continuous com- meaningful terms and activities. munication, and (c) act on the findings by incorporating client feedback into project design and procedures. Methods for Social Analysis Social Assessment (SA) Strengths SA is the systematic investigation of the social processes and * Thesemethodsprovideaprocessforbuildinginformationinto factors that affect development impacts and results. Objectives plans and plans into action. of SA are to (a) identify key stakeholders and establish the ap- * Systematic social analysis identifies what communities think propriate framework for their participation, (b) ensure that project they need and sets up ways to communicate this back to objectives and incentives for change are appropriate and accept- implementing agencies. able to beneficiaries, (c) assess social impacts and risks, and (d) * Flexible framework of GA and SA allows design to be minimize or mitigate adverse impacts. consistent with project or policy components and goals. Gender Analysis (GA) Avoiding Potential Pitfalls GA focuses on understanding and documenting the differences in * Data collection and analysis must be focused on priority gender roles, activities, needs, and opportunities in a given context. issues, rather than being general data collection exercises GA involves the disaggregation of quantitative data by gender. It that are not necessarily tied to project or policy concerns. highlights the different roles and learned behavior of men and women * Involving experienced local consultants from a variety of disci- based on gender attributes, which varv across culture, class, ethnicity, plines builds in-country capacity for actionable social analysis. income, education, and time; thus. GA does not treat women as a homogenous group nor gender attributes as immutable. 1 84 API'I'PEND)IX 1: uI F,'rH(0D)S A.NI) TO )OL* , APPRE C IATION- * Control through action. Enable the stakeholders to take responsibility for choosing a course of action I N EL ,IE Tl 1, Ifreely, based on information brought to light in work- shops. meetings, and activities. COLLABORATIVE DECISIONMAKING: WORK-SHop-BASED METHOD AIC Philosophy in Practice AIC was designed to break the patterns of "top-down" "Appreciation-Influence-Control" (AIC) is both a phi- planning by stressing the following: losophy and a modelfor action. The philosophy, anchored by the principle that power relationships are central to * The value of small, heterogeneous groups. Initially, the process of organizing, was translated into a model when stakeholders are meeting, perhaps for the first for organizing development work by William E. Smith in time. heterogeneous, small groups allow for interac- the late 1 970s and early 1 980s. AIC is a workshop-based tion and learning among people who tend not to inter- technique that encourages stakeholders to consider so- act in daily life. The objectives of these small groups cial, political, and cultural factors along with technical is to interrupt the normal mood, thus opening partici- and economic aspects that influence a given project or pants to new ideas and different perspectives. policy. AIC (a) helps workshop participants identify a * The value ofhomogenous groups. Later on, when a strat- common purpose, (b) encourages participants to recog- egy is generated for realizing the vision created during nize the range of stakeholders relevant to that purpose, the appreciation phase, the power of homogenous and (c) creates an enabling forum for stakeholders to groups of stakeholders, who share a common language, pursue that purpose collaboratively. Activitiesfocus on is harnessed for action. The objective of these groups is building appreciation through listening, influence to consolidate the expertise of like stakeholders, each through dialogue, and control through action. of whom has recently learned the perspectives of the AIC is a process that recognizes the centrality of power other stakeholders at the conference. relationships in development projects and policies. Con- * The value of symbols. Language and literacy differ- ferences that are part of the AIC process encourage stake- ences can be a stumbling block, particularly at the holders to consider social, political, and cultural factors in beginning of a conference when participants are be- addition to technical and economic factors that influence coming familiar with each other's objectives. Par- the project or policy with which they are concerned. In ticipants often begin by creating nonverbal represen- other words, AIC facilitates recognition of "the big pic- tations of their experience and understanding-draw- ture." This process has been implemented in a variety of ings and pictures-to ease communication and to sectors and settings, including local, regional, and national. elicit creative thinking. 0 The value of the written word. Agreements reached 'T'F. Al ( I-'Iioe F( ss'. during sessions are promptly written up after the first workshop to clarify and create a common understand- In the development context, AIC proceeds along the follow- ing of the elements of the plan. Seeing the groups' ing course: identifying the purpose to be served by a particu- progress in writing helps participants to understand lar plan or intervention, recognizing the range of stakehold- their individual responsibilities in context and to ers whose needs are addressed by that purpose, and, through move forward on their commitments. the AIC process, facilitating creation of a forum that empow- * The importance of a strong facilitator. The type ers stakeholders to pursue that purpose collaboratively. of listening encouraged by AIC can be stressful Through the AIC process of meetings, workshops, and for people who are used to taking immediate, de- activities (collectively referred to as the "conference" inAIC cisive action. Similarly, certain stakeholders might terms), stakeholders are encouraged to do the following: not be accustomed to voicing their opinions. A skilled facilitator is trained in navigating around * Appreciate through listening. Appreciate the realities tough spots, guiding the entire group through new and possibilities of the situation by taking a step back experiences, and stimulating open discussions and to gain perspective on the stakeholders and situation. negotiation. The facilitator is a critical catalyst for * Influence through dialogue. Explore the logical and stra- setting the AIC conference in motion and for steer- tegic options for action as well as the subjective feel- ing participants toward a conference closure that ings and values that influence selection of strategies. leads to action. 185 I H F: NVORIA.) HAN P I.AR'TI( I C''I'TION 40UIRC 'IlOI(O R:FE, EN , ( NES' Smith. William E. 1992. "Planning for the Electricity Sector in Colombia." In Marvin R. Weisbord, 1992. Discovering Commoni Ground. San Francisco: Kearns. James M. and Turid Sato. 1989. "New Practices for Bennett-Kohler Publications. pp. 171-187. Development Professionals." Developmlent, The Journial Smith. William E. 1991. The AIC Model: Concepts and of the Society for Intemnational Development. No. 4. Practice. Washington. D.C.: ODII. Box ALL. AIC Conference in Colombia Leads to Commitments and Action in the Energy Sector Key stakeholders gatheed for a thee-day AIC conference in Santa Marta, Colombia. The AIC consultant, the Task Man- ager, and a third failitator joined ministers, heads of utilities and their suppliers, mayors, congresspeople, opposition party members, interest groups, and others to design a plan to resuscitate the energy sector and to make commitments to carry out thmeplan. D.ring,the first day and ahalf oftheconference, the "appreciative" phase, participants shared informa- tion, exained ties of the energy sector, and reated group rapport that carried them ogh the conference. The AIC process encouraged, participants to envision clear outcomes, make recommendations, and make commitments that would transform their coenc plan. into actions. Amnong the outcomes of the conference were: * Collaboration between the task force and ministry to implement COMMitments * Creation of an interimi coordinating body and passa of legislation to support it Integration of the electricity and energy sectors * Further Bank, Inter-Amtecan Development Bank, and Japanese Export-Import Bank support for an effort in which Colombian counterpartshad shown their initiative to propose and commitment to meet various conditions. The cost of this three-dayAIC conference of approximately $30,000 was paid for in large part by the Colombians ($25,000). Tfhe Bank tontibuted lhe remaimng $5,00. : 186 APIPIENDI)IX 1: NIEITH10I) ANDI 1T00i)- {OBJEi,C TI YE ;-O)RIEN'rE,I) * Alternlatives. A project strategy is created by under- standing the range of means for meeting objectives. PROJE1 F CT PJLA.i1_N NtN (Zo( P P) * Assumptions. These conditions are necessary for suc- C'OALABOIIATIVE cessful transformation of problems into securecd ob- jectives. Assumptions are systematically examined and arranged in the PPM. DEC ISI[CN MAKIN G: WotI(SKHOP-BASED METHOD Participants first review the variety of means avail- able to achieve the project objective. The project plan- ZOPP, from the German term "Zielorientierte ning matrix shows activities and results as well as the Projektplanung," tranislates in English to "Objectives- conditions necessary for achieving both. These condi- Oriented Project Planning." ZOPP is a pro ject planning tions are important assumptions on which rest decisions and management method that encourages participator} about activities, location, timing, procurement, and so planning and analvsis throughout the project cYcle witll on. The information is organized along two axes that show a series of stakeholder workshop.s The techniique requires (a) why the project is being undertaken and (b) what the stokeholders to comne together in ai series of workshops project outputs are that signal success. The PPM thus to set priorities an2d plan for implementattion and inoni- systemiiatically answers the following questions: toring. 7he main output o( a ZOPP session is a project planning mnatrix, which stakeholders build together Thle * Why does the project aihm for this overall goal? purpose of ZOPP is to undertake participatory; objec- * What is the project purpose'? tives-oriented planning that spans the life (of project or * What results/outputs will the project achieve? policy work to build stakeholder team commitment and * How will the project achieve these results/outputs? calpacitv with a series of workshops. * What external factors (assumptions) are important'? ZOPP is a process that relies heavily on two particu- * How canl achievement of the objectives be measured? lar techniques-matrix building and stakeholder work- * Where are the means/sources of necessary data? shops-to encourage participatory planiniing and manage- * What will the project cost? ment of development work. ZOPP helps a project team create a project planning matrix (PPM), similar to a Logi- 1TF;RA'rl W'OR1jS.1 )P) cal Framework or LogFRAME, to provide in-depth analy- sis of project objectives, outputs, and activities. The PPM ZOPP is not a one-shot exercise; the designers of the results from stakeholder workshops that are scheduled planning method envisioned strategic planning "phases," through the life of a project to encourage brainstorming, each of which requires a workshop that focuses on a fixed strategizing, information gathering, and consensus build- goal. In the workshops, participants analyze key issues ing among stakeholders. throughout the project cycle. No set formula exists for a successful stakeholder workshop. In fact, each one is truly TI-Li.: PPM^1: PHO('ESfiN IsS-1) IRR)I)t-( ', unique because it brings together a blend of people who have never before worked as a group and who need to The PPM is central to ZOPP-based project work because create a common language to understand one another's the process of building it relies on repeated, collabora- widely divergenit concerns. As described by its creators tive stakeholder input. In the stakeholder workshops in at GTZ. five distinct ZOPP phases. which ruLn alongside which the matrix is developed systematic attention is paid the project cycle, can lead to a sound strategic project to five important issues: plan. In the traditional coniception of ZOPP, the first three * Participation analysis. Taking stock of the range of of the five phases take place during project planning. The stakeholder identities, interests, biases, expectaitiolls, theory here is that extensive, earnest efforts to plan and concerns. collaboratively prior to implementation increase the like- * Problems. Often made visually clear through a "prob- lihood of smooth implemetntation and the degree of stake- lem tree," through which key problems the project is holder ownership and readiness to work toward meant to address are identified, grouped. and priori- sustainability. tized and their causes and effects brought to light. Collaboration is not "automatically" part of the ZOPP * Objectives. In a corresponding objectives tree, the de- process. The project team, borrower, and stakeholders sired solutions are articulated, clustered and prioritized. must commit to adopting a participatory stance for the 1 8 7 'I'ILOF WOR)IA.1 BANK-1 PAICT'1'1'PAT'1\NI) AND00IS. TEANII P * Opening round. In the opening round, stakeholders discuss their expectations for the team during the TeamUP workshop and beyond. What does each C-LABRAIV DA Nstakeholder hope to accomplish in the workshop? WORKSHOP-HASEI) METHOD * Clarify representation. Stakeholders define the in- terests each represents and set out roles that each will TeamUP is a flexible, team-based method for improving play. Who will act as the team manager? Who will both the substance and process of project cycle manage- be responsible for what? ment. It was developed to expand the benefits of ZOpp * Set norms. "Rules of the game" are set out so that all and to make it more accessible for institutionwide use. team members have common expectations of how PC/TeamUP, a software package, automates the basic they can most effectively work together. How will step-by-step methodology and guides stakeholders consensus be measured? What will the protocol be through team-oriented research, project design, planning. during discussions? How will conflicts be resolved? implementation, and evaluation. * Identify client. In this first action-oriented module, TheTeamUPmethodisanorganizedprocessforbuilding stakeholders establish who will benefit most if the high performance teams. It has two dimensions, (a) task func- objectives of the project are achieved. What is the tions, which assist stakeholders in planning, decisionmaking, total range of potential beneficiaries and negatively and acting and (b) team building, which encourages stake- impacted groups? holders to collaborate as an effective work group. * Review histonry. This is a team-building and action- The TeamUP method is a series of steps or modules oriented exercise to ensure that everyone at the meet- designed to enable a group of individuals to perform es- ing has equal footing. Is this a brand new project sential management functions collaboratively. Typically, with no prior history? Are there applicable lessons the team meets for a two-and-a-half- or five-day work- from elsewhere? Have some team members worked shop. Software (PC/TeamUP) is available to facilitate the together before? process. The software accommodates input from a broad * Define mission. What is the team's mission in the range of stakeholders who stand to benefit or otherwise workshop? To prepare a project or a program? To be affected by design or implementation decisions and develop a strategy for wider client participation? adjusts as the range of stakeholders changes through the Furthermore, what is the mission of the project or planning and implementation process. program itself? Define deliveraibles and assumptions. In this mod- ule, the LogFRAME (see the glossary of tools at TEAM UP AN[I.v-) Z( )I-'I the end of this Appendix) is used to map out end TeamUP-developed in the late 1980s by the World Bank's products and necessary conditions in relationship Economic Development Institute and Team Technologies, to overall impact. What changes in behavior and Inc.-uses the basic ZOPP method and then expands it. environment will the project outcome inspire? Who TeamUP assumes that the past and future are two different will change and how? What are the assumptions on sources on which to draw when designing and implementing which these outcomes rest? Are these assumptions project-related events. ZOPP, mainly concemed with antici- biased in any way? What if these assumptions do pating and avoiding problem situations, looks to the past to not prove to be true? understand the present. TeamUP, concemed with both prob- * Ciabr sef i worke plan. Through the LogFRAME, team lems and opportunities, looks to the past and the future to members define steps to move the project from idea understand the possibilities that offer themselves to the present. to action. How will the intended deliverables become Furthermore, TeamUP adds depth to basic problem reality? In what order and with whose help? What identification and design features by encouraging teams tools and further plans are needed, and whose sup- to anticipate implementation arrangemiients and inform port is critical? the quality of their designs with these realities. * Define roles and responsibilities. This module is de- signed to prepare the team to take action beyond the TN% tE;IA* I.: B ~IsC(, Sworkshop by firming up how the work is broken down. Who will manage what aspects of fulfilling TeamUP's twelve core steps are alTanged so that earlier the objectives? Tools used in this module encourage steps help a team build identity and later steps help them people to identify specific tasks and take responsi- take action. bility for following through with those tasks. lff'9 'TIlE Hl:,L< ) HA.NK P.mIuI'A'II' N S-l( .UI 13( s( i * Define learning svstem. The team establishes a pro- plan might face. What if certain assumptions turn cess to review what they have done and how the teaml out to be untrue? What if certain unforeseen events has worked together. What have they learned from take place'? Are contingency plans possible? Finally. this experience? How will they cart-y what they have a plan for future team workshops is set out. learned into the futuire of this project or program'? Estiblish budget. Using perforniance budget planning E tools. the team reviews the work plan and systemnati- cally attaches cost to each activity in the plan. Will Cracknell. B. 1989. "'Evaluatinlg the Elfectiveness of the this project or plan be feasible? Where should the teamii Logical Framework System in Practice." Project turn to secure financing? What are the possible souIces Appraisal 4(3): 163-167. of ftunding'? Do budget estimates meet operational re- McLean. D. 1988. Logical Frainmevork ini Research Plani- quirements'? What fturther information is needed"? ninzg and(1 Evaluation. International Service of Na- * nIplement ant inmprove. The conviction and wisdom tional Agricultural Research Working Paper No. 12. of the team's plan is put to a series of tests. For ex- Washington. D.C.: ISNAR. ample. the workshop facilitator will take on the role Team Technologies, Inc. 199 1. PC/LogFraine R&D Soft- of devil's advocate to iitiodluce obstacles that the w'are eimmcd User Mtanail. Chantillv, Virginia. Box Al.3. Uganda, Private Sector Development Workshop The World Bank provided assistance to the Uganda Manufacturers' Association and the Ministry of Finance and Eco- nomic Planning to oganize a workshop, whose purpose was to (a) review survey results on 105 businesses and 265 private investors, (b) introduce a private sector development strategy to a broad constituency of private sector, government, and donor participants, (c) achieve agreement on fundamental elements, and (d) identify a private sector task force to begin preparation of a possible International Develoent Association-funded operation in this area. The workshop design, based on the TeamUP approach, used public involvement methods for involving large numbers of stakeholders in building agreements about policy, strategy, and execution. The method integrated more than seventy partici- pants in a series of small discussions designed to identify issues, surface and resolve conflicts, and build understanding and initial agreement about a proposed project design. Summary responses from participants indicated:they believed the wvorkshopdemonstrated the government's and Bank's comnnitment to a collaborative, demand-driven process. I 9f)> AiuIf-'ENmIx 1: NXI11'111(1),XNI) 'Iooi PARTICIPATORY 1] LTRA.LI 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 avail- able, and the topic and location of the work. COICLLABO[.RATIVE DEC,ISIONMIAKING: * Optimtal igniorcanice. To be efficient in terms of both COMNIMUNITY-BASED METHOI) time and money, PRA work intends to gather just enough information to make the necessary recom- Participatory rural appraisal (PRA) is a label given to a mendations and decisions. grow inlg Ja1ilv of participantorx approaschles and meth - * Triangulation. PRA works with qualitative data. To od.s that empheasize local knowscledge aInd enable local ensure that information is valid and reliable, PRA people to make their own appraisal, analysis, andplans. teams follow the rule of thumb that at least three sources must be consulted or techniques must be used PRVA uses group as7Ziz7eatioi7 and exercisves to,facilitate in- toivsigt.h sam tpc. formation sharing, analvsis, tInd actionz among stakeholcl- to ivestigate the same topics. ers. Althouigh originallv dleveloped for use in rural ar- eas, PRA has been enmploved success fullv in ai varietv of PRA TFor)L-os settings. The puirpose of PRA is to enable developmnent PRA is an exercise in comunication and transfer of knowl- practitioners. government officials, and local people to Regardless e in icatied trasfer of prowl- work together to plan context-appropriate programs. edge. Regardless of whether it is carried out as part of project Participatory rural appraisal evolved from rapid rural identification or appraisal or as part of country economic appraisal-a set of informal techniques used b develop- and sector work, the learning-by-doing and teamwork spirit ment practitioners in rural areas to collect and analyze data. of PRA requires transparent procedures. For that reason, a Rapid rural appraisal developed in the 1 970s and 1 980s in series of open meetings (an initial open meeting, final meet- response to the perceived problems of outsiders mi-issing or ilig, and follow-up meeting) generally frame the sequence miscommunicating with local people in the context of de- of PRA activities. Other tools common in PRA are: velopment work. In PRA, data collection and analysis are undertaken by local people, with outsiders facilitating rather * Semistructured interviewing than controlling. PRA is an approach for shared learning * Focus group discussions between local people and outsiders, but the tern is some- * Preerence ranking what misleading. PRA techniques are equally applicable in Mapping and modeling urban settings and are not limited to assessment only. The * Seasonal and historical diagramming. same approach can be employed at every stage of the project cycle and in country economic and sector work. KEY 'ITENETFx OF I'RA A typical PRA activity involves a team of people work- ing for two to three weeks on workshop discussions, * Pcarticipation. Local people's input into PRA activi- analyses. and fieldwork. Several organizational aspects ties is essential to its value as a research and plan- should be considered: ning method and as a means for diffusing the par- ticipatory approach to development. * Logistical arrangements should consider nearby ac- * Teamwork. To the extent that the validity of PRA data commodations. arrangements for lunch for fieldwork relies on informal interaction and brainstorming days. sufficient vehicles, portable computers, funds among those involved, it is best done by a team that to purchase refreshments for community meetings includes local people with perspective and knowl- during the PRA. and supplies such as flip chart pa- edge of the area's conditions, traditions, and social per and markers. structure and either nationals or expatriates with a * Training of team members may be required. particu- complementary mix of disciplinary backgrounds and larly if the PRA has the second objective of training experience. A well-balanced team will represent the in addition to data collection. diversity of socioeconomic, cultural. gender. and * PRA results are influenced by the length of time al- generational perspectives. lowed to conduct the exercise, scheduling and as- * Flexibilitv. PRA does not provide blueprints for its signment of report writing. and critical analysis of practitioners. The combination of techniques that is all data, conclusions, and recommendations. 191 'I' IE W Ai].i) B.AN1 PA RIT( 1'A'II ( )N i4 )1'(:lit( )( * A PRA covering relatively few topics in a small port has been established, given the relative sensitiv- area (perhaps two to four communities) should take ity of this information. between ten days and four weeks, but a PRA with a The current situation can be shown using maps and wider scope over a larger area can take several models, but subsequent seasonal and historical diagram- months. Allow five days for an introductory ming exercises can reveal changes and trends, throughout workshop if training is involved. a single year or over several years. Preference ranking is a * Reports are best written immediately after the good icebreaker at the beginning of a group interview and fieldwork period, based on notes from PRA team helps focus the discussion. Later, individual interviews can members. A preliminary report should be available follow up on the different preferences among the group within a week or so of the fieldwork, and the final members and the reasons for these differences. report should be made available to all participants and the local institutions that were involved. SEQUlN(C () 'OIT(ECINJQ1JI.. Chambers, R. 1992. Rural Appraisal: Rapid, Relaxed, and Participatory. Institute of Development Studies PRA techniques can be combined in a number of dif- Discussion Paper 311. Sussex: HELP. ferent ways, depending on the topic under investiga- International Institute for Environment and Development, tion. Some general rules of thumb, however, are use- Sustainable Agriculture Program. 1991-present. RRA ful. Mapping and modeling are good techniques to start Notes (now titled PLA Notes). United Kingdom. with because they involve several people, stimulate McCracken, Jennifer A., Jules N. Pretty, and Gordon R. much discussion and enthusiasm, provide the PRA Conway. 1988. An Introduction to Rapid Rural Ap- team with an overview of the area, and deal with non- praisalfor Agricultural Development. London: Inter- controversial information. Maps and models may lead national Institute for Environment and Development. to transect walks, perhaps accompanied by some of Theis, J. and H. Grady. 1991. Participatory Rapid Ap- the people who have constructed the map. Wealth rank- praisalfor Community Development. London: Save ing is best done later in a PRA, once a degree of rap- the Children Fund. Box A1. Naturw Resource Management in Burkina Faso Prior to appiaisal of tis environmetal management project, twenty pilot operations tested the PRA approach to deter- maine which techniques suited the project's resores topic, and location. Best practices were distilled without blueprint designs. The, result is; project based on a multitiered process in which commumnties design management plans with the help of multidisciplinar teams of technicians. This approach starts with awareness raising and trust building and proceeds to collaborative diagnosis, pom nity oniti and plan design. Local govenment agreement, implementation, and participatory monioig and evaluation follow. Centraladreon governments have come on board with this approach, endorsing adminstrative decentalization and reorganization and woing for revisions of aibiguous land tenure laws. Both of these steps encourage local solutions to loc81 problems andl wor for empowering people to manage natural resources in a sustainable way. Source: The World Bank, Agriculture:Technology and Services Division (AGRTN). October 1994. Agriculture Technology Notes. No.6. Wasgton, D.C: 1 92 API'I'PENDIXI. 1: NIETH'IHODI). ANDI) I )11, SARAR (GIENEIATI. ON OF D)ATA The nuts and bolts of SARAR are a series of carefully COLLABORATIVE DECISIONNIAKING: developed, flexible activities. The activities are designed COMMUNILTY-BASED METHOD to draw out participants' own life experiences and bring to light local perspectives, feelings, values, and socially SARAR is a participatory approach to training that builds sensitive data. This data can be extremely valuable to on local knowledge and strengthi1ens local ability to as- project managers in establishing a partnership relation- sess, prioritize, plan, create, organize. and evaluate, ship with communities; thus, it is qualitatively different SARAR's purpose is to (a) provide a multisectoral, mnlulti- from data obtainable through conventional tools such as level approach to team building through training, (b) eni- questionnaires. courage participants to learn froin local experience rather The data-generating aspect of SARAR. however, thanfron extertnal experts, and (c) emipowerpeople at the is neither its main aim nor a discreet function to be communitv and agencv levels to iniitiate action. SARAR is used for extractive research purposes. The data-gen- a philosophys and practical approach7 to adult education erating process is designed to set in motion a process that seeks to optimi e people's ability to assess, prioritize, of retlection. self-enDhancement of positive values, and plan, self-organize, take initiatives, and shoulder manage- motivation to act. Data that grows out of the group itient responsibilities. The acronym SARAR stands forfive activities becomes more meaningful when put at the attributes or abilities that are criticallv important for service of decisions that underlie a plan of action. If ach1ieving fidand committedparticipation in delvelopment: activities are treated simply as a battery of data col- self-esteenl associative strength resourcefulntess actiont lection instrtuments to support management decisions. plafnintgeaeid resposibilitreforfollow-turcoughl SARARcis their use out of context can leave people confused, a highly experiential methodology that deliberatelv dif- distrustful and frustrated. fers in style from conventional "top-down ' methods. Its central strategy is groutp process; it beginis with creating a A (-iv v1 rrl i , rO S '[H EN ( THEN relayed and coongenial atmosphere in which hierarchical Gv:( i* E Ai ii,rLribll difetrences are set aside. The concept was first developed through field-based SARAR activities fall into five categories: training of rural extension workers in Indonesia, India, and the Philippines in the early 1970s and in Latin * Investigative. Demystifying research by involving America toward the end of the decade. In the mid-1980s participants in data gathering and processing so the SARAR approach was applied to the water supply they "own" the outputs and are committed to us- and sanitation sector in East and West Africa, Nepal, In- ing them. donesia, Mexico, and Bolivia. Initially, the focus of * Creative. Promoting fresh viewpoints and imagina- SARAR was primarily on local communities and field tive new solutions. liberating expressiveness and staff. In response to emerging needs and experience, the openness to change. method has been broadened to include an institutional * Anal tic. Engaging the mind in critical assessment focus as well. SARAR has proved flexible in adapting to of problems, identifying their causes and effects, urban settings, although it was originally designed for categorizing and prioritizing them, and arriving at rural use, and it has been applied across sectors, such as sound choices. rural development, agricultural extension, health, and * Planning. Expanding the vision of what is possible: water and sanitation. It is now being adapted to wildlife developing skills in goal setting and marshaling re- conservation and utilization and HIV/AIDS-related edu- sources to achieve them; and managing, monitoring, cation. SARAR is indeed directed toward whole com- and evaluating the outputs. munities. but it has proved to be especially useful in giv- * Informnative. Accessing the required information ing special attention to populations, such as women, in an enjoyable way and using it for better whose input and needs are hard to assess with traditional decisionmaking in implementing a plan of action. development approaches. SARAR's approach to group process combines gen- Each of the activities has been developed to be ef- eration of data with strengthening of group abilities to fective in a variety of circumstances. As a package of assess needs, identify priorities, establish goals, and de- tools. they are designed to be multisensory so that they sign action plans to be implemented and monitored. affect behavior in multiple ways. The intention is to 193 '1HF; NVORI RN BANKP (AR I'CIPATION 'n)I R(EBOOIi foster creativity and involve the whole person. not just Rl.FEIE 1x cEv the intellect. Some SARAR activities. such as force field analysis. mapping, and gender and task analysis, Narayan. Deepa and Lyra Srinivasan. 1994. Participa- are similar in focus and name to components of many tory Development Tool Kit. Washington. D.C.: The methods for social assessment and participation. Some World Bank. activities. such as pocket charts, story with a gap, Narayaln. Deepa. 1993. Participatory Evaluation. World flexiflans, and three-pile sorting cards, are unique to Bank 'rechnical Paper Number 207. Washington, SARAR. D.C.: The World Bank. Srinivasan, Lyra. 1990. Tools fir Community Participa- tion. New York: PROWWESS. United Nations De- velopment Programme. Box AL.S. Stakeholders dninstitatiotal Requireients of a commulitaent Approach hi Indonesia As part of preappraisal for the Wate and Sanitation Project for Lo-Icome Couuni sixty senior government personnel from the provinces an: the capital joined t and World Bank s for a two-dy workshop. Using the SAROARapproach, brief preenta4ions were itrmix with hands-on activities; most work was done in small groups. Participants drew : their person vidions of communityo manaement on large sheets of paper and presented and discussed ithewith one another. Partiipantsth*n exani e roles dxresponslbilities that woId be required to fulfill each ision. Usinga *tat list deckions that alwter prjc require aWd live levels ofc who might address 0 thetu, p iats discussed the decisions, pocedures, and responsible actr needd to: support each vision. Finally participat expiothe4ei tn of capaity necessary at each evel for comiunity manmgement The long, often-heated dis on resulted in concurrncet the technlogy used-such aIs spring captures and improved wel"the mtre liketicipants were to r l and authorito Muni gt ps. A comon vision about skis and uid ining tesultin thedeision to rk 15 to0 pe t of r t foraacity building in comiunity mnagement f water proects am eciobr tit,sdistt dic, and provincial levels as Wl asat tlevel oftentrai'overment; Source:. Deepa Naryan. Navemkr 1995. Toward P tcyy Rrch. World Bank Wcnal Paper N. 307. Washington, D.C.: The1WorldBank 194 A P PEN 1) IX 1: E'1 I-ToH () A ND) TI 0()1.9 BENEFIC1IARY ASFES;NI ENT research to writing of the BA report, the entire BA pro- cess typically takes from four to six months. Ideally, this process is repeated in an iterative fashion throughout the METI-l0on FOR STAHEHO1A)hR life of the project. Recent BAs conducted by the Bank C ONSLTTATI()ON have cost between $50,000 and $100,000. Beneficiary assessment (BA) iivolves svstematic consuil- I[H {t L;E, o{}} BA tationz wvith project beneficiaries and othler stakeholders to help them identify anid design development activities. * Project Work. BA helps to define problems from signal anvy potential constraints to their participation, the point of view of the people who are affected andd obtain feedback on reactions to an intervention dur- by projects. Such knowledge improves project ilg implementaztion. BA is an il7vestigation of the per- preparation and the monitoring of implementation. ceptions of asystematic sanmpleof beneficiaries and other BAs can also help lay the foundation for partici- stake holders to ensure that their conicernis are heard and patory development work. With evidence that their incorporated iito project anicd policYs formulation. Thle icleas are being heard and respected. beneficiary generapurposes of a BA are to (a) unidertaike svstematic populations are more likely to participate in de- listening, which "gives voice" to poor and other velopment projects and take steps to improve their hard-to-reach beneficiaries, highlighting constraints to access to resources. BA is best used iteratively beneficiarv participation, and (b) obtain ft'edback on throughout the project cycle as a monitoring or initerventions. supervision tool for evaluations. For example, BA is a qualitative method of investigation and evalua- three BAs were used for the mid-program evalua- tion that relies primarily on three data collection techniques: tion of the Zambia Social Recovery Project to as- sess the success of the component funding * In-depth conversational interviewing a round key microprojects in education and health. The BA tihemes or topics approach has been instituted in some country work - Focus group discussions programs in Africa and South Asia as a manage- * Direct observation and participant observation (in ment tool to improve quality. which the investigator lives in the community for a * Poverty assessments. BAs provide qualitative input short time). by focusing on the human factors that affect poverty, the incentives and constraints to behavior change, Interviewing and observation can be carried out with the reactions to service delivery and institutional re- individual beneficiaries or with groups; BA work can take sponsiveness, and the importance of formal and in- place in urban or rural settings. Focus groups are com- formal safety nets. Specifically. BA work is done in monly used as a forum for interviewing a number of ben- connection with the consultative portion of a pov- eficiaries and for conducting institutional assessment erty assessment known as the participatory poverty done within a BA. assessment (PPA). When incorporated into poverty The BA approach is not meant to supplant quantita- assessments, BA helps to ensure that poverty reduc- tive surveys and other traditional methods for data gather- tion strategies take into account the experience and ing; rather it complements these methods with reliable and concerns of the poor. useful information on the sociocultural context and per- ceptions of a client population that will intorm Task Man- S EP , IN ENEFIC IAY AiS, F: s i'ENT agers and policymakers. BAs are approaches in which the participatory process can begin with systematic and con- * Familiarization. Technical specialists are selected to guide tinuous tracking of client attitudes from identification the BA project. Important problem areas are identified through preparation to implementation of a project. and reviewed using available information including in- Ordinarily, BAs are carried out by local people unl- terviews with key stakeholders such as donors, govern- der the direction of a trained team leader or social scien- ment, and local people. A guide for seniistructured inter- tist. The skill Imlix and number of staff varies according views is developed to cover key themes. to the tools used and demographic characteristics of the * Stuxdv desigtn. Target populations are identified. An beneficiary population: BAs often require an experienced appropriate representative sampling framework is focus group facilitator and participant-observer. From devised, and the issues to be explored (according to initial desk reviews of available information through field the objectives of the BA) are clearly delineated. A 195 research group and team leader should also be * Influenced policy and led to changes in project de- designated. sign through improved targeting. efficiency, and ef- • Selection anid orienitationi (of local interviewers. The re- fectiveness of programs search group helps select and train local men and women * Informed policy with otherwise unavailable and/or who are fluent in local language(s), good listeners, and new informiation skilled in recall and writing. The study team, including * Increased sustainability by providing operationally local interviewers, practices descriptive and accurate oriented feedback from the client population writing, note taking, awareness of and separation from * Gave voice to the poor by indicating what the poor preconceived notions, and data analysis. see as problems and possible solutionis * Studv. BA work commonly includes interviews, fo- * Promoted dialogue, ownership, and commitment cus group discussions, participant observation, and by involving all stakeholders in listening and institutional analysis. consultation. * Preparation of the BA re.port. The BA report includes recommendations that incorporate assessment find- ings into project design or sector work. The report should be reviewed by the interviewees to Amelga, M. 1994. A Relview of Beneficiary Assessments cross-check for accuracy. Conducted by the Bank. ENVSP Consultant Report. Washington, D.C.: The World Bank. BANK EXPIRIINC(I: %I'I'H I:. Salmen, Lawrence F. 1992. Benefieciar Assessment: Ai App,uroaclh Described. Working Paper No. 1. Techni- Between 1983-95. the BA approach has been used in cal Department. Africa Region. Washington, D.C.: forty-seven Bank-supported projects in twenty-seven The World Bank. counitries and across six sectors. A 1 993 review under- The World Bank. Africa Region, Southern Africa De- taken to assess the use of BA in Bank-supported projects partment. September 1994. Systematic Clienit Conz- found that BAs: sUltation. Mimeo. Washington. D.C. Box A1.6. Mali: Beneficiary Assessment in an Education Sector Project A BA was done in Mali as part of an education project to try to understand why parents in rural areas did not send their children to school. Attendance for girls was especially low. The BA found that the costs of transportation and feeding the child at school plus the opportunity costs of losing the children's labor at home outweighed the benefits of a poor quality education with few prospects for finding a job. These findings led to reformulation of policy to (a) reduce costs to beneficiaries by building schools in closer proximity, (b) increase attendance by designing a girl's component, and (c) train teachers to improve the relationship between parents and the school system. 196 AP'PElNDI)IX 1: M.E:TrHOI). ANI IANDTOOL. SYSTENIATIC C(LIENT SiCC IN P1?(AT1i('.:: TEN STEI'S CO Nj lS TITA,TAT( N * Laying the groundwork. Before consulting with cli- ents, staff must familiarize themselves with existing M'lETHOD FOR STAKEHOLD1ER infonnation, select information goals. and determine informiiation needs in light of the overall project. ('ONFjlTLT TIO)N sectoral, and country strategy. Who does whliat. SCC requires staff time throughout Systematic Clien-t Conisiltationi (SCC) refers to al grouip the life of the program, a local institution to carry of methods used to improve communication amlong Balk out the consultations, an advisory committee (pro- staff direct aznd intdlirect beneficiaries anld stakelioldeers gram managers, interviewers, government represen- f' Bank-financed projecis, govervnment agencies, anrd tatives. relevant civic associations, and other program service providers so projects anitd policies ar-e more de- partners). and institutional support from headquar- mnand driven. SCC endeavours to (a) uniidertake systemn- ters and the resident mission. aitic listening to clients' attituides anitd preferences. (b) * Estaiblishlinlg a budget. In preparing a budget for SCCs. devise ai process for continuous communication, anlda (c) managers must consider the number of clients (indi- act onz the findings byv incorporating client feedback inlto viduals. households, businesses, focus groups. and so prio ect design and( Procedures. on) to be surveyed; the time period covered (usually SCC has been developed in the World Bank's Africa the life of the project) and time required for prepara- Region as a means for improving the sustainable devel- tion, fieldwork. and reporting: the number and pern- opment impact of their operations in the field. This ap- odicitv of surveys (one consultation a year. three con- proach emerged from the region's quality management sultations with selected groups each year for five years. strategy. which includes strengthening stakeholder com- and so on): personnel requirements (interviewers. fa- mitment and systematic listening to beneficiaries. SCC cilitators for focus groups, and participant-observers): emphasizes continuity in the process of learning and re- training for interviewers: output (oral and written re- adjustment that is intended to make Bank-sponsored poli- ports), and dissemination of findings. cies and projects more responsive to the needs and wishes * Designing an information-tracking plan. A project in- of the countries they serve. It is a system 'for keeping a formation-tracking plan should sequence a series of finger on the pulse of client reactions in the field so that client polls at specific intervals throughout the life of Bank interventions are kept on target. even in contexts in the programn: include mechanisms for information gath- which circumstances are subject to frequent change. erilg. analysis, dissemination, responsive action, and SCC recognizes that social research incorporates many evaluation; and be adjusted as the program progresses dimensions and that the issues to be addressed detenrine (sometiies targeting highly affected segments or other which method is needed. Among the techniques used to cany selected groups within the client population). out SCC are: firm surveys. sentinel communlity surveillance. * Ilentif ing the ta1rget group. In selecting the client beneficiary assessment. and participatory rural appraisal. target group, managers must identify those decisionimiakers and officials whose assessment of THE: Fi(s( 'I HE:OFRE- the program is vital to its success; divide large client groups into smaller categories whose relation to the SCC is premised on the belief that information gathered programii can be more specifically defined: and iden- must be analyzed, acted on. and reassessecl: thus. SCC is tify clients who have current, factual information based on: about project performance. * Designing daita collection in?str-umlienits. In conisult- * Conl.su/ltation. Obtaining regular feedback from those ing with clients, field interviewers should be involved with and affected by Bank-supported trained; interview guides and questionnaires projects regarding the continuing validity of a should be pretested (questions should be as spe- project's goals and its effectiveness in meeting them. cific as possible anid be largely confined to the cli- * Actioni. Revising project designls and procedures on ents' actual experience); clients should be asked the basis of information gathered fromii clients. to rate their concerns in order of priority and pro- * Follow-up. Assessing the impact of revisions and tak- gram services in order of importance and effec- ing further action wherever necessary to make sure tiveness: and clients should assess the effective- that client concerns are being addressed. ness of any new measures taken. 1 97 TIHE NVOHRL) BANE PAulwrww.vrioN SOv R(,i ' ii()Ii * Pultting client in1formation to use. Data supplied by gram is oriented to deliver products and services with clients can be used to help define economic strate- the characteristics that clients value; establish a gies: set standarcis of program performance; adjust mechanism for adjusting the progranm in response to performance standards to accord with evolving pub- client criticisms; and use client concerns as the basis lic opinion; and direct resources and efforts to deal for benchmarks for monitoring. with issues the client community deems important. * Follovv-up. This step repeats the actions in step 1. * Disseminating results. To disseminate client feed- but this time asks clieits about the efficacy of changes back, the program must provide focused iniforimia- made to deal with issues identified during the last tion on clienit perspectives; establish comMiUnication rounid of consultationis. channels to stakeholders that will not require exces- sive staff time; and use brief, simple formats that make data easy to record and read. * Acting oni clienit inlfornation. In response to infor- The World Bank. Africa Region. Southern Africa De- mation gathered from client consultationis. manag- partment. September 1994. SYstematic Client Con- ers should establish mechanisms for relaying client sultation. Mimeo. Washington, D.C. comments to those who can affect policy changes: The World Bank. Africa Region. September 1994. A Svs- check the programii's operational systems and proce- tentatic Apprnoach to Clientt Consultation. Mimeo. dures a,ainst clients' commenits; ensuire that the pro- Washington. D.C. Box AI.7. Zambia- Outlook fron the Field In 1992 the Zambia Social Recovery Project launched a comprehensive client consultationprgram to find out what the intended beneficiaries thought of the project. main technique used was beneficiaiy assessment. Local interviewers undertok three phases of congultations with community members, service providers, and key informants, individually or in focus groups. In phase I of the SCC, beneficiaries rated local institutions that carried out welfare n-iicroprojets in the community. Jn phase 1I, beneficiaries assessed the community's role in these projects and its contribution in other social areas. In phase II1, beneficiaries considered the project's and itemiary institution's overall impact on the community and ranked community problems and priorities. The three phases of interviews provided information on commnunityV conceres and relative strengths and weaknesses of local institutions and commnittees. Specific probleims with accountability, workmanship, and loCAl government were iden- tified and managers made recommendations for actions toiaddress problems. In addition, the process enhanced local ability toundertakevsocial research. Source: The World Bank, Africa Region. September 1994. A SystematicApproach to Clienit Consultatio. Washington. D.C. . .. ... .. 1 " 8 Ai i1iI'.N Dix 1: MIETIOD()1)S AN)1 T(om, SOCIAL ASsE;ssmENT stakeholder ownership of' and action on decisions that are made. For example. where social factors are complex and social impacts or risks are significant, formal studies generally need to be carried out by consultants as part of Social Assessment (SA), a mtethod dleveloped bY Wo-rld project preparation. This does not mean that all prob- Bank staff providtes an integrated jraanework for incor- lemis can be solved in the project prepar-ation process. porating participation anlfd social analyvsis into the Bank 's Where there is considerable uncertainty due to lack of operational and anael vtical work. Beccau.se there are manY awareness, commitment, or capacity, social assessments social varia-ibls tht co(uld potelttidly afQ't ct pro n- can contribute to the design of projects that build on ex- pacts antid success, SAs must be selective and strategic perience and respond to change. anid fbc -us on issues of operational relevance. Decidinig The degree of stakeholder involvement needed also what i.ssues arte critical and how thex can be aiddlressed influences assessment design. In some cases stakehold- requites consultation with stakeholders (liltd otherfJriins ers simply provided information and no further interac- of dtac collection andt anal ysis. tion was foreseen. but often projects are improved when Gender, ethnicity, social impacts, and institutional ca- issues are jointly assessed and agreed on or beneficiaries pacity are among the social factors that need to be taken are given the responsibility for identifying problems and into account in development operations. In the past these are empowered to find solutions. Where local participa- factors have been analyzed separately with the result that tion in project design and implementation is expected. some issues received attention whereas others were over- participatory data collection and analysis can help build looked. Social assessment was developed by the Bank's trust and mutual understanding early in the project cycle. Social Policy Thematic Team to provide a comprehensive, The range of stakeholders in Bank-supported projects participatory fi-amework for deciding what issues have pri- includes those negatively or positively affected by the otity for attention and how operationally useful informa- outcome or those who can affect the outcome of a pro- tion can be gathered and used. Because this method was posed intervenltion. including the following: developed by Bank staff, the steps in SA are consistenit with Bank procedures and existing operational directives. * Government. The B3ank's most immediate client, the Social assessments are carried out in a project conI- borrower, is the government, includinig the agencies text to do the following: responsible for project implementation. Directly affected groups. These include individuals. * Identify key stakeholders and establish an appropri- families, communities, ororganizationsthat areproject ate framework for their participation in the project or policy beneficiaries. At-risk groups, such as the poor. selection, design. and implementation. landless, women, children, indigenous people, and * Ensure that project objectives and incentives for minority groups. require particular attention. change are acceptable to the range of people intendel * Indirec tly afle'cted groulps. These include others with to benefit and that gender and other social diflerences vested interests, including donors, nongovernmen- are reflected in project design. tal organiizations (NGOs). religious and community * Assess the social impact of investmiienlt projects and. organizations. and private sector firms. where adverse impacts are identified, determine how theycanh beovercomeorat least substantially mitigated. Social assessments may be carried out by a single * Develop ability at the appropriate level to enable social scientist who contacts key stakeholders and iden- participation, resolve conflict, permit service deliv- tifies and resolves issues or. where issues are more coni- ery. and carry out mitigation meaisures as require(l. plex or more systematic participation is needed, by a consultant team that carries out social assessment as part A S Se s S MIlE.N T 1) l;ES 1 (~ . .Nof project preparation. SA can take place during all phases of the project cycle, but well-planned integration of so- SAs involve consultations with stakeholders and affected cial factors in operational work begins at identification. groups and other formiis of data collection and analysis. Deciding how much wor-k is needed, what informationi CONINON IQT.:-S'll()NS IN SA is required. and how it should he obtained depends pri- marily on the significance or complexity of the issues VWhoarethestakeholders?Aretheobjectivesofttheproject and the degree of participation that is needed to gain consistent with their needs, interests, and capacities? I99 TIHE: NVORIAI) BAN PAITI('I1I'.'I'I()N SOVRJ(,10041-)l * What social and cultural factors affect the ability of * What institutional arrangements are needed for par- stakeholders to participate or benefit from the op- ticipation and project delivery? Are there adequate erations proposed? plans for building the capacity required for each? * What is the impact of the project or program on the various stakeholders, particularly on women and vulnerable groups? What are the social risks (lack of commitment or capacity and incompatibility with The World Bank. May 10. 1994. Social Assessmnent: In- existing conditions) that might affect the success of corporating Participation and SocialAnalvsis into the the project or program'? Bank's Operational WVork. Mimeo. Washington, D.C. The World Bank. 1994. Incorporating Social Assessment and Participcation into Biodiversitv Conservation Projects. Mimeo. Washington, D.C. Box AI1.8. Morcc:z Fz MedinalRehabii:tation Project This proposed project to rehabilitate the old city-called the medina-of Fez in Morocco includes components to upgrade infrastructure, open access roads, mitigate pollution from craft industries and workshops, and renovate residences and monument buildins to be consistent with the past but also to serve the present. Early in project preparation, social scientists were recruited from universities in Fez to undertake a participatory and social assessment, which began with data olen on and consulting with a wide array of sta7eholders. Government, religious and civic leaders merchants, artisans, householders, rentets, and many othr ordinary citizens contributed ideas for possible elaboration into project components, worked toward consensus on interventions and strategy, and described the social dynaicsof the city to assure a match among plans, aspirations, and local capacities. The assessment process, which lasted four months and cost approximately $140,000, included stakeholder workshops, sample surveys, infomal interviews, and focus group meetings. Three sets of workshops with :fieldwork in between produced analyses and proposals that had been widely discussed by the time the assessment was complete. The assessment pr4duced ideas that had not been considered previously. Among them are: using the sites of buildings in ruins to provide social service centers, regulating encroachment by merchants into residential areas, disaggregating reha- bilitation plans by neighborhood, allowing thosedisplaced by access road construcion to be rehoused in adjacent areas, and su rtingriaft assoiatons in the medina and upgrading craft associations either ini their present locations or, if necessary, by moving m n gros. Byi ncluding residents in the decisionmaking process, the assessment also raised local interestin ngradiAadmaintenanceofthe medina. 200 A P'I: :NIx1)I: M1 :rii0 i) AsN kN 'FTo .9 CGENDE2R ANAL,YS;L focus on immediate practical needs for food, water, shelter. health, and so on. * Strategic gender needs. These generally address is- sues of equity and empowerment of women. The fo- cus is on systemic factors that discriminate against Gender analusist ocuses on understaniding and document- women. This includes measuring the access of inig the differences in gender roles, activities, nieeds, cand women, as a group compared with men, to resources opportunities in a giveni context. Gender analsis involves and benefits, including laws and policies (such as the disaggregation of quantitative data by gender It high- owning property). Strategic gender needs are less lights the different roles and learned behavior of mien easily identified than practical gender needs, but ad- an1d women based oni getnder attribuites. These 'aix across dressing these needs can be instrumental in moving cultures, class, ethnicit, income, education, anid tiune, toward equity and empowerment. thlus, gen1der analvsis does nlot treat women as a holmio- h Intrahousehold dynvnamics. The household is a sys- genieous group or gender attributes as imimnutt-ble. tein of resource allocation. All members of a house- The concept of gender analysis arose from the need hold-men, women, and children-have different to mainstream women's interests while at the same time roles, skills, interests, needs, priorities. access, and acknowledging that women could not be treated as a control over resources. Any development interven- homogeneous group. It was realized that women's needs tion that affects one member of the household will were better understood when viewed in relation to men's positively or negatively affect all others; hence. it needs and roles and to their social. cultural. political, is important to understand these interdependent re- and economic context. Gender analysis thus takes into lationships. the rights, responsibilities, obligations. account women's roles in production, reproduction, and and patterns of interaction among household management of community and other activities. members. Changes in one may produce beneficial or detrimenital . Interlioutsehold relations. Individuals and households effects in others. belong to larger groupings (such as professional or Gender analysis is important in the formulation of religious groups or extended families) with whom country economic memoranda, country sector strategies. they are involved in labor exchanges, flows of goods, structural adjustment. country portfolio management, and other alliances for survival. It is important to poverty assessments, environlmental assessment, and in understand the social organization of these larger sector-specific project planning, monitoring, and evalu- networks and the gender differences in roles. func- ation: thus. many variants of policy and sector-specific tions, and access. gender analysis tools are available. K i1; i 1'1N R I l' CI .F:, P PtTR I)'(SFi Because gender planning is part of the overall planning Applied to development interventions, gender analysis process, the composition of the planning team, timing of helps (a) identify gender-based differences in access to data collection. tabling of issues, and integration of gen- resources to predict how different members of households. der- concerns ilnto overall objectives is critical early in groups, and societies will participate in anid be affected by policy and project formulation. planned development interventions. (b) permit planners to achieve the goals of effectiveness, efficiency. equity, . Planninig as a process. Programs that intend to be and empowerment through designinig policy reform andc gender responsive depend on flexible planning pro- supportive program strategies. and (c) develop training cesses that are interactive, adjust objectives based packages to sensitize development staff on gender issues on feedback, and enable beneficiaries to be active and training strategies for beneficiaries. participants in the planning process. * Genider diagnosis. Data collected should be orga- KEY ('CONCE;PT'; nized to highlight key gender problems, underlying causes of problems for men and women. and the re- * Prictical gen1der imeeds. These relate to womien's tra- lationship between problems and causes. ditional gender roles and responsibilities and are . Gender objectives. Objectives clarify what gender derived froImi their concrete life experiences. For ex- problems will be addressed and what the practical ample, when asked what they need. women usually and strategic goals are. It is important to negotiate 401 THF; VORLt) B.AN PivRr(I c 'ATIION S4)5IOUC1EBOON consensus on objectives at policy, managerial, and The extent to which information is collected on par- working levels. ticular issues depends on the nature of the problems be- Gender strategy Clear operational strategies, which ing addressed and the quality and depth of infornmation will be used to achieve stated objectives, must iden- already available. tify the incentives, budget, staff, training, and orga- nizational strategies to achieve stated objectives. FE R F.F; Gender moniloring and evaluation. Flexible planning requires gender monitoring and evaluation to enable ad- Feldstein, Hilary Sims and Janice Jiggins (eds.). 1994. justment to experience and to establish accountability of Tools for the Field: Metlhodologies Handbook tor commitment to achieve gender-specific priorities. Gender Analysis in Agriculture. West Hartford: Kumarian Press. GENr)ERR ANALYSIU; FRATMIEWORK Moser, Caroline 0. N. 1993. Gender Plainning aind De- velopment: Theory. Practice, and Traiining. London: Five major categories of information comprise gender Routledge. analysis: Narayan. Deepa. November. 1995. Toward Participatory Research. World Bank Technical Paper No. 307. * Needs assessment Washington, D.C.: The World Bank. * Activities profile Wakeman, Wendy. 1995. Gender Issues SourcebookJor * Resources, access, and control profile Warzter and Sanitation. UNDP-World Bank Water and * Benefits and incentives analysis Sanitation Program/PROWWESS. Washington, * Institutional constraints and opportunities. D.C.: The World Bank. fBox A1.9t AziaIy~iig G er Isses io the Worild 4nk's COUOtry Ecioc Memoranda: An Example from Uga da This povery profile i ,ustrated the relevanc of getnd in assessing poverty and stressing the importance of incorporating gender,concerns ino the formulation and desighno strAtgies or redticing poverty and promoting economic growth. The : most pressing issues with respet t0o eotle s, in relatidon to those of men are identified as the basis for -the B lis for the problems cited are (al women's lack oftchology, inputs,andf ince toy a teacutual tas, ) m e household responsibilities without labor-savn techinology, (c) ow heath aand nutional sttus, (c) low levels of literacy, and (d) laws and customs that impede women s access to credit, eduoagoto, trainmig,inxfrmaion, and medical care. In response totheseh prolems -the Ugandan go,vernet as adpted gender-responsive actions that will be undertaken as terconcte ce of mutually rein orc:g :meas Mr:. SoMrce. The W~1d l~ank 1994. Enlwncing Worn n~Partiapatfrr Ecoiw6mi DevelopIent. World Bank lPOlicy Paper. Washing- 22 A I, I'iNI) Ix 1: N E'I'H( ) I ) A N1) 10 ()OL (GL(OEFARY OF 'rOC)LSF diagrams or pictures, which minimilze language and literacy differences and encourage creative thinking. H Ilealth-seeking behavior. A culturally sensitive tool Each of the methods daescribeid abe i. a combinatiozn for generation of data about health care and of toolsf held together by a guiding principle. Dozens of health-related activities. It produces qualitative data exerc ises exist to cultivate collaborative development about the reasons behind certain practices as well as planning and action. These are thle tools with whih .so- uantifiable information about beliefs and practices. cuial sientists cfld other developent practitione rs en- This visual tool uses pictures to minimize language courage and enable stakehovlder participation. Soaie tools and literacy differences. are designed to inspire reativesolutions, others areused * Logical Frcamnework or LogFRAME. A matrix that for investigative or analvtic purposes. One tool night be illustrates a summary of project design, emphasiz- useful ter sharing or collectinig informnation, whereas ing the results that are expected when a project is another is an activity for transferring that inlormnation successfully completed. These results or outputs are into planms or actions. These brief descriptions tire in- presented in terms of objectively verifiable indica- tendled to provide the reader withi a glossary o)fterminol- tors. The Logical Framework approach to project ogy that practitioners of participatory development use planning, developed under that name by the U.S. to describ7eth?etools of their tildo. Agenicy for International Development, has been adapted for use in participatory methods such as * Access to resources. A series of participatory exer- ZOPP (in which the tool is called a project planning cises that allows development practitioners to col- matrix) and TeamUP. lect information and raises awareness amonig ben- . Mapping. A genieric term for gathering in pictorial eficiaries about the ways in which access to re- form baseline data on a variety of indicators. This is sources varies according to gender and other im- an excellent starting point for participatory work portant social variables. This user-friendly tool because it gets people involved in creating a visual draws on the everyday experience of participants output that can be used immediately to bridge verbal and is useful to men, women, trainers, project statf, communication gaps and to generate lively discus- and field-workers. sion. Maps are usetul as verification of secondary * Anal.sis of tasks. A gender analysis tool that raises source information, as training and awareness-raising community awareness about the distribution of do- tools, for comparison, and tor monitoring of change. mestic, market, and coimmunity activities according Commoni types of maps include health maps, insti- to genider and familiarizes planners with the degree tiltonail mnaps ( Veinn diagramis), and resource maps. of role flexibility that is associated with different . Needts ssessmiletit. A tool that draws out information tasks. Such infonnation and awareness is necessary about people's varied needs, raises participants' to prepare andi execute developmenit interventions that awareness of related issues, and provides a frame- will benefit both men and womell. work for prioritizing needs. This sort of tool is an * Fzocuxs group meetings. Relatively low-cost, integral part of gender analysis to develop an under- semistmuctured. small group (four to twelve partici- standing of the particular needs of both men and paints plus a facilitator) consultations used to explore women and to do comparative analysis. peoples' attitudes, feelings, or preferences, anid to . Participant observation is a fieldwork technique used build consensus. Focus group work is a compromiiise by anthropologists and sociologists to collect quali- between participant-observation, which is less coii- tative and quantitative data that leads to an in-depth trolled, lengthier, and more in-depth, and preset in- understaniding of peoples'practices, motivations, and terviews. which are not likely to attend to partici- attitudes. Participant observation entails investigat- panits' own concerns. attds iriiai bevto nal netgt tForcefield awnaclvsis. A tool siilar to one called ing the project background. studying the general char- acter-istics of a beneficiary population, and living for "Story With a Gap." which engages people to define an extended period amone beneficiaries, during and classify goals and to make sustainable plans by which interviews, observations. and analyses are re- working on thorough "before and after" scenarios. corded and discussed. Participants review the causes of problemilatic sitLia- . PFckct charts. Ilnvestigative tools that use pictures as tions, consider the factors that i nluenice the situa- stimuli to encourage people to assess and analyze a given tion, think about solutions. and create alterative situation. Through a "voting' process. participants use plans to achieve solutions. The tools are based on the chart to draw attentionl to the complex elements of a 24:3 TH NVO (RLD1 BA\Nh 'K {ll'l'\ll S(O1T1{('[,;:(O<)J; development issue in an uncomplicated way. A major tion plan. the sociocultural profile helps ensure that pro- advantage of this tool is that it can be put together with posed projects and policies are culturally and socially whatever local materials are available. appropriate and potentially sustainable. Preferenice ranking. Also called direct matrix rank- * Surv evs. A sequence of focused, predetermined ques- ing, an exercise in which people identify what they tions in a fixed order. often with predetermined, lim- do and do not value about a class of objects (for ex- ited options for responses. Surveys can add value ample, tree species or cooking fuel types). Ranking when they are used to identify development prob- allows participants to understand the reasons for lo- lems or objectives, narrow the focus or clarify the cal preferences and to see how values differ among objectives of a project or policy. plan strategies for local groups. Understanding preferences is critical implemilentation, and monitor or evaluate participa- for choosing appropriate and effective interventions. tion. Among the survey instruments used in Bank * Role 4laving. Enables people to creatively remove work are firin surveys, sentinel conimmunitv surveil- themselves from their usual roles and perspectives lance, continigent valuation, and pri orit vsurvevs. to allow them to understand choices and decisions * Tree lia gratins. Multipurpose, visual tools for nar- made by other people with other responsibilities. rowing and prioritizing problems, objectives. or de- Ranging from a simple story with only a few charac- cisions. Information is organized into a tree-like dia- ters to an elaborate street theater production, this tool gram that includes information on the main issue. can be used to acclimate a research team to a project relevant factors, and influences and outcomes of these setting, train trainers, and encourage community dis- factors. Tree diagrams are used to guide design and cussions about a particular development inteivention. evaluation systems, to uncover ancd analyze the un- • Seasonal diagramis or seasona(il calendars. Show the derlying causes of a particular problem, or to rank major changes that affect a household. conmiIlunity, and measure objectives in relation to one another. or region within a year, such as those associated with * Villaige mneetings. Meetings with many uses in par- cllimate, crops. labor availability and demand, live- ticipatory development, including information shar- stock, prices. and so on. Such diagrams highlight the ing and group consultation, consensus building, times of constrainits andc opportunity, which can be prioritization and sequencing of interventions, and critical information for planning and implementationi. collaborative monitoring and evaluation. When mul- * Secondary data review. Also called desk review, al inex- tiple tools such as resource mapping, ranking, and pensive, initial inquiry that pm-ovides necessary contex- focus groups have been used, village meetings are tual background. Sources include academic theses and important venues for launching activities, evaluat- dissertations, annual reports, archival materials, census ing progress. and gaining feedback on analysis. data, life histories, maps, project docuLiments, and so on. * Wealthi ranking. Also known as well-being ranking * Seinisiructured interviews. Also called conversational or vulnerabilitv analysis. a technique for the rapid interviews. interviews that are partially structured by collection and analysis of specific data on social a tlexible interview guide with a limited number- of stratification at the community level. This visual tool preset questions. This kind of guide ensures that the minimizes literacy and language differences of par- interview remains focusecd on the development issue ticipants as they consider factors such as ownership at hand while allowing enough conversation so that of or use rights to productive assets. life-cycle stage participants can introduce and cliscuss topics that are of memilbers of the productive unit, relationship of relevant to them. These tools are a deliberate depar- the productive unit to locally powerful people, avail- ture from survey-type interviews with lengthy, pre- ability of labor, and indebtedness. determined questioninaires. * Workshops. Strictured group meetings at which a vanl- * Socioculturadl pInfiles. Detailed descriptions of the so- ety of key stakeholder groups, whose activities or influ- cial and cultural dimensionis that in combination with ence affect a development issue or project, share knowl- technical. economic, and environmenital dimensions edge and work toward a comimoni vision. With the help serve as a basis for design and preparation of policy of a workshop facilitator, participants undertake a series and project work. Profiles include data about the type of activities designed to help them progress toward the of commilunities, demographic characteristics, economy development objective (consensus building, infomiation and livelihood, land tenure and natural resouLrce coii- sharing, prioritization of objectives. team building, and trol. social organizationi. factors affecting access to so oni). In project as well as policy work. from preplanning power and resources, conflict resolution mechanisms, to evaluation stages, stakeholder- workshops are used to and values and perceptionis. Together with a participa- initiate, establish. and sustain collaboration. 204 APPENDIX II WORKING PAPERH SUMMAR1IES The Sourcebook draws on the experience. talent, and contributions of more than 200 Bank staff and their colleagues. To produce background material for the Sourcebook, steering committees were established under the leadership of Bank participation practitioners, each of which prepared a draft paper of thirty to forty pages on participation in a specific area of the Bank's work. Members of the steering committees shared their own experience, pro- posed further contacts and sources, and provided guidance on the content of the paper, reviewing and recommending changes to successive drafts. This process provoked thought and generated a wealth of information concerning participatory development practices. The resulting papers provided material for the Sourcebook; chapter IV has also drawn on the practical information of these papers for the "how to" guide- lines for Task Managers. The papers, which are being edited and published by the Environlment Department as part of a Working Paper Series, present back- ground information and provide an in-depth treatment of each topic to supple- ment the Sourcebook. This Appendix provides summaries of twelve of the eighteen working pa- pers. Copies of all working papers are available from the Environment Depart- ment, Social Policy Division. The World Bank, Washington DC 20433 (fax: 202-522-3247). The topics covered and the authors of the eighteen working papers are as follows: Bank-Supported Activities and Operational Tasks * Countrv economfic (1l(1 sector work: Dan R. Aronson and Ellen Tynan * Povertv assessmnent: Andrew Norton and Thomas Stephens * Project planniing: Jim Kearns and Jim Edgerton * Procurement anid disbursenit: Gita Gopal and Alexandre Marc Sectors * Agricultural extension: Charles Antholt and Willem Zijp * Forest and conservation inainagemnen t: Ajit Banerjee, Gabriel Campbell. Chona Cruz. Shelton Davis, and Augusta Molnar * Irrigationi: Ruth Meinzen-Dick, Andrew Manzardo, and Richard Reidinger * 1 Vater and sanitation: Gabrielle Watson and N. Vijay Jagannathan * Educlationi: Nat J. Colletta and Gillian Perkins * Urbani Projects.: Tova Solo * Social Funds: Maiy Schmidt and Alexandre Marc * Finaince: Lynn Bennett and Michael Goldberg 05 T'H IN F VORI F ) IANH PARTICI ( I PAT IO( N S(OlR('IE14EB)tkR Cross Cutting Issues * Intermediary nongovernmental otganizations (NGOs): Toni Carroll, Mary Schmidt, and Tony Bebbington * Gender: Michael Bamberger, Mark Blackden, and * Public sector management: Malcolm Holmes and Abeba Taddese Anirudh Krishna * Local govennmenzt: David Gow, John Frankenhoif * Commulnit-based development: Deepa Narayan with Jerry Silverman and Thi Campbell * Indigenous. peoples: Shelton H. Davis and Lars T. Soeftestad 206 AI'Pl; NI)IX 1: VV)RIi N(; PAPER S ItIM5IA R I UES PARTICIPATION IN ('0ITNTRY BE.NEF 1TS ECONOMIC ANDI SECTOR WO()RIK Although the number of participatory CESW exercises is still small, experience has demonstrated that partici- Using a participatory approach in the Bank's country pation can produce important benefits that more than economic and sector work may involve extra costs as compensate for the additional costs. well as some loss of control over the timing and quality of the work. Experience suggests, however, that these The Bank-Borrower Relationship costs are more than offset by substantial benefits, includ- As a result of collaboration in CESW, communication ing improvements in the Bank-borrower relationship, between the Bank and the government can be improved speedier acceptance of recommendations both by the and a sense of partnership developed with borrowers. Bank and the borrower, and increased in-country capac- The Bank gains better knowledge of and sensitivity to ty for pohlcy research and analysis. the client's circumstances. This was an important ben- The Bank's country economic and sector work efit, for example. of the participatory approach used in (CESW) analyzes the situation of and prospects for bor- the Long-Term Perspective Study for Africa (see box rowing countres and provlides the framework for Its lend- A2. ). At the same time, greater transparency of Bank ing programs and poliyadvice.Traditonally,CESWhaswork increases the Bank's credibility within countries been under the exclusive control and ownership of the and among stakeholders. Bank. Although well regarded for its technical standards, this work has also been criticized for failing at times to take sufficient account of social and political realities or Validity of Recommendations forpresenting borrowers with policy recommendations that The substance of the work benefits from a wider and they do not fully understand or cannot implement. deeper local knowledge, resulting in recommendations In addressing such concerns, agreement is emerginig that are likely to be more valid and implementable. that CESW, like projects, benefits from the active par- Country economic and sector strategy always involves ticipation of stakeholders. In a number of diverse cases, a compromise between the best assessments of experts CESW has been undertaken in full collaboration and joilt and the social and political interests operating in the ownership with government. Often, as in the Morocco sector. When the work is done in partnership, political Women in Development Study, contributions have also and social questions can be raised, confronted, and in- been sought from experts and organizations outside gov- tegrated from the outset. ernment. In some cases, such as the Benin Transport Sec- tor Strategy and the Guinea Health Sector Review. CESW Acceptability of Recommendations has attempted to involve a broader range of stakeholder A given piece of CESW is successful only when its groups in the review process. recommendations are adopted or at least incorporated Making CESW participatory depends not just on the into the debate on policy. By building ownership and range of stakeholders consulted but on the depth of their consensus for policy formation and implementation in involvement at various stages in the process. In practice, the course of the work itself, participatory CESW leads no process is fully participatory, nevertheless. Bank prac- to speedier acceptance of recommendations by the titioners have found ways to share information and open Bank and borrower. Participation not only yields richer the development dialogue with useful results both for diagnoses of problems but also inspires and mobilizes members and for the Bank. the actors to follow through on the consensus that has been built. CO) rS' K, AN 1) It I S R S It is important to be aware of the costs of doing CESW Capacity Building Participatory CESW increases in-country capacity for in a participatory way. Often, but not always, more time subsequent analysis in the same or new areas of concern. and money is required. including additional management It treats CESW not just as a preparation for policy for- work up front, to establish a participatory process. At the mulation and investment decisions but as a development same time, changing the role of the Bank by adding other LI activity Itself, improving the capacity within member goals to that of technical excellence risks diluting the Bank's agenda and involves some loss of control over fonned policies for themselves. the schedule, methodology, and quality of the work. 207 Box A2.1. Participaon in the LoagTerm Perspective Study for Africa Sub-Saharan Africa: From Crisis to Sustainable Growth. A Long-Term Perspective Study was the last in a series of five major reports on Africa published by the World Bank in the 1980s. What distinguished this report from earlier ones was not only its broad scope and time horizon: but also the participatory process by which it was organized. More than 300 people were consulted, of whom about two-thirds were Africans, including government officials, acadeniics, development professionals, and representatives of the private sector and NGOs. The Bank's Long-Term Perspective Study (LTPS) team made visits: to fourteen African countries, durng a six-month period. During the trips, a group of LTTPS African resident advisors was identified from among former high-level officials, academics, arid development professionals. These were the major sources of background papers, country perspectives, inputs to the LTPS themes, reactions to the LTPS draft, and success stories. Through the World Bank office for liaison with the NGO cormunity, the draft LTPS was circulated to a large number of NGO representatives. Drafts were also discussed at conferences and meetings of NOCOs held outside Africa. A five-day Workshop on Regional Integration and Cooperation was held at the Bank, bringing together more than three dozen participanis from wide-ranging backgrounds including history, political science, economics, law, journalism, bank- ing, business, and public service. The LTPS chapter on regional integration and cooperation drew heavily on the issues and themes discussed at this workshop. A few months later, in December 1988, the Arusha Conference brought together African contributors to the LTPS with donors and others to obtain input on whether the draft report was on the right track, its analysis valid, and its vision consistent with the Africans' long-term perspective for Africa. Following the conference, the LTPS team revised the draft report to reflect both the consensus and disagreement expressed by participants. As a result of the participatory process and particularly the visits made to Africa by the LTPS team, the final report reflected some significant departures from earlier World Bank views. This was particularly true concerning the efficacy of adjustment lending in Africa. As participants in the process shared their views and experiences, the authors of the LTPS came to a new realization of the basic problems of African societies, the depth of the crisis, and the possibility of an alternative explanation to problems the continent faces. In short, what the LTPS team heard and saw in Africa through the participator process led it to look beyond the adjustment optimism of the mid-1980s. The final report's content and messages reflected the new tive gained through the process. As a result, the LTPS study elicited strong support from the Africans, donor, and NGO communities, and United Nations and African regional orgizations. (ONDITIONS FOR St R ' ,U(' tence in developing good contacts within and outside the government. Participatory CESW requires policymaking environments that are open to participation, enabling stakeholders to collaborate in defining the issues for analysis, gathering Yeentifor relevant stakeholders i c data, reviewing results, and deciding strategy and priori- ties, Task. Managers,mostofwhomagre thatthep the participatory CESW exercise. Community organiza- ties. Task Managers, most of whom agree that the pro- .. cess is risky, messy, and potentially conflictual, have been tions professional groups. religious leaders, and ndi- .. viduals critical to the sector. can all be partners in the creative in addressing each of these steps in a participa- tory way, adapting methods and style of participation to Bank's work: omitting early contact with them can re- circumstances. duce their willingness to cooperate. Although identifying stakeholders is typically a fairly informal process, more deliberate procedures can ensure Building the Case for Participation that a broad range of perspectives is covered and that In some cases. participation in CESW has been in re- participants are truly representative of the sectors or sponse to local conditions rather than a proactive groups for which they speak. Successful methods have choice of the Bank. In other cases, however. Bank staff included field visits to help communities create commit- have sought wider participation than the government tees of local villagers; open public meetings, often in partner expects. In these circumstances. building the several different cities and advertised in the newspaper; case for participation depends on the experience of translation of draft documents and meeting proceedings Task Managers in a given country and on their persis- into local languages; and inclusion of "opposition" non- 208 API'ENDIIX 11: WORKING PAPER SI'lIMArIE governmental organizations (NGOs). making work less and workshops: contracting local consultants or univer- comfortable in the early stages but creating the environ- sity researchers. backed up by consultation with policy ment for further collaboration. organizations. NGOs. unions, and trade associations; and, Task Managers stress that the Bank itself has an im- in sonic cases, setting up community committees and portant role to play as a participant rather than a neutral carrying out field interviews. party. The Bank teamn needs to argue its own positions as a stakeholder but from a posture of humility. Professional Avoiding Bias or at least neutral facilitators should chair workshops and Involving nlontraditional partners in sector work puts extra roulldtables so that the Bank team can plav its stakeholder - ~~~~em-phasis on having clear and tilght terms of reference role and inject issues that it thinks are important. c t'or studies. Participatory CESW teams m-ust also avoid co-opting local interest groups and maintain safeguards Eliciting Stakeholders' Contributions to ensure that potential sources of bias are recognized. Consultation should begin early and broadly before the For example, researchers can usually be counted on to issues paper fixes the work program for the CESW exer- emphasize the value of more detailed research, whereas cise. Papers commissioned from the local research com- NGOs stress greater reliance on their participation. Ex- munity. issues workshops, study panels, and open meet- pert bias-the tendency for policymakers and the public ings can all point to themes that might not otherwvise have to believe technical experts over stakeholders who are appeared and highlight cultural and political points not less articulate-is a recurring problem. The role of local normally raised in Bank discussions. In most countries. team members is crucial in ensuring that diverse opin- local consultants can make an important contribution. ions are fairly represented and in preventing a dialogue Consultative partners in setting the CESW agenda have from being hijacked by powerful or vocal parties. also included development assistance organizations. NGOs. labor unions, and private business people. The Role of the Bank Several strategies have beeni used to expand the stake- In the end, all policy choices, whether agreed on in the holder presence in data gathering and analysis, such as: study or made afterward, must clearly be the responsi- establishing a task force of local experts' convening a - , t ~~~~~~~~~bilitv of the borrower. The Bank's own policv or strat- general roundtable followed by a succession of retreats Box A2.2. Brazil: Creating Government Ownersbip The Environment and Agriculture Division of the Bank's Brazil Department recently completed a major new study of management issues int agriculture, rural development, and-rnatuai resources. From the outset, the division and Task Man- ager were commnitted to doing a report that was rich in content and broad in impact, both on the Bank's lending program and on policy discussions in Brazil. FoHowing formal issues meetings within the Bank, the issues paper was drafted in Brazil. Two sets of Brazilian inputs were crucial. First; senior Brazilian agricultural economists were members of the CESW team. Second, a broadly based panel of experts drawn from politics, government departments, foundations, and universities across the country met in a two-day workshop to finalize the issues paper. They supplied more than thirty technical background papers and met again over a rough draft of the report. A goverment technical review followed. Before the formal discussion of an early draft in the Bank, the CESW team translated the report into Portuguese and requested that the Ministry of Planning set up a cross-ministerial discussion of the draft. More than fifty officials attended, representing all the ministries involved. The workshop lasted three full days (with a half day devoted to each chapter). Most of the discussions and arguments around the table were among rministries, rather than with the Bank. The Ministry of Finance and Planning usually defended the Bank's recomnmendations against criticisms from the sectoral ministries, but the ministries generally agreed more than disagreed with the draft. By the end of the meeting, the executive secretary of the Ministry of Planning decided that he would try to adopt the same format for all CESW discussions. The intensity of the interaction, the fact that the Bank team was able to act only as a resource group, and the expressed pleasure with the format all indicate a high level of ownership of the results throughout the government. After government clearance, the CESW team disseminated the report's findings at two research seminars outside govern- ment and published parts of it in a major Brazilian economics journal. Further seminars with farm groups, NGOs, and agroindustry representatives were to be held later. 209 UIHF: NVOHIA) 13BANIK 1'.\PATICIP'AI'ON SOFiRCEB )OOH Box A2.3. Benin: Confronting the Diverse Interests of Stakeholders Both the Bank and the government of Benin supported a participatory process to prepare the country's first comprehensive transport sector strategy. Given the strength of the private sector in transportation, government ministries saw the wisdom of using participation to build commitment to the strategy. For the Bank, the goal was to build a strong foundation for future projects. After initial preparation, a national workshop was held, attended by more than 120 people. Every ministry in the sector participated (finance, planning, transport, housing, and public works), as did various representatives of public enterprises and the National Assembly. The drivers union, the truckers syndicate, and the union for the freight-handling company were also included. Theme-focused working groups met on their own and with expert consultants, at which time partici- pants began to enunciate their positions concerning possible regulatory revisions. The consultants were able to help estab- lish areas of consensus and conflict even before beginning their own special studies. Next, separate subsectoral study consultancy teams (each composed of international and local members) began their work. To ensure that their divergent findings would be aired fully rather than resolved within a single consultant's offices, the teams were led by consultants from different sources. Good coordination was needed to ensure the compatibility of find- ings as contradictions emerged. After most of the studies had been completed, the Ministry of Public Works organized a second seminar to discuss the main conclusions. This time the range of participants was even broader, including other donors and groups of stakeholders that had been identified during the studies. Three days of intense and open discussion took place from 8:00 A.M. until 10:00 P.M. Study conclusions concerning privatization and price regulation were modified in what was by this time a well- inforrned policy debate. One local consultant helped work toward consensus; in the meanwhile, a foreign consultant worked to synthesize the debate and produce the final strategy. After the government issued its draft strategy paper, a donor round table was held for a final debate involving eight ministers, members of the national assembly, donors, and consultants. The participatory process led to recommendations that were genuinely different from those the Bank and the government would have produced. Yet, the strength of the consensus in Benin has provided such momentum that the strategy conclusions have remained intact through the entire Bank review process. egy within the economy remains, of course, the Bank's advantage will lie in providing a global frame of refer- own prerogative to choose. As borrowing members gain ence on a multitude of questions. including what works stronger ability and confidence in initiating and inform- in building the capacity for transparent, participatory ing their own policy debates, the Bank's comparative analysis. * This nore is based on the paper written by Dan R. Aronson. Contributors include Michael AZefor. Malcol/n Bale. Kreszentia Duer, S Sunita Gandhi, Charlotte Jones-Carroll, Peter Landell-Mills, Karen Lashmnan, Himnelda Martinez, Bernard Peccoud, Robert Prout v. Lee Roberts, Helen Saxenian, Guilherme Sedlacek, Jerrv M. Silverman. Susan Stout, Maurizia Tovo, Tom Tsui. and Bruna Vitagliano. 21 .\11w:N1>:v 1: Wonl>XI[IN(i 1'.1)l %] ilAl.l,llES PARTICIPATION IN POVR TY allowed, the funds available. the local research capacity, and the level of government interest in discussing pov- erty issues. It has also become clear since the initial flurry of PAs in 1993 that to increase participation Task Man- The Bank's approach to country poverty assessmlents (PAs) avers need somewhat more time and resources to com- is increasingly to stress the involvement of stakeholder plete PAS groups with the aim of building in-country capacity to ad- dress the problems of the poor. The participation of gov- ernment and other institutional stakeholders in all aspects Involving Institutional Stakeholders of the work increases sensitivity to poverty issues, improves It is the institutional stakeholders. from senior govern- analytical skills, and builds allegiance to the measures pro- ment officials and a variety of actors in civil society to posed for poverty reduction. In addition, conventional sta- service providers and development workers at the com- tistical analysis is complemented by qualitative informa- munity level, who are responsible for defining poverty tion from participatory PAs (PPAs), which reveal concerns reduction policies and for translating them into programs voiced by the poor. Some early lessons for Task Managers and services. The collaboration of these groups at each have already emerged from this experience. step of the PA helps to promote consensus. ownership, and commitment to the strategic conclusions among those ATV ( )N. 1 ,1; whose support will be needed for effective implementa- tion. It also helps to build the institutional capacity for PAs are now an essential component in the Bank's country ongoing, iterative policy analysis and formulation for economic and sector work, contributing to the wider process poverty reduction. of poverty-related analysis and the formulation of all aspects So far, most institutional stakeholder involvement in of country strategy. Making PAs participatory requires more Bank PAs has been linited to government officials and time and resources but can yield important benefits. local researchers. Innovative approaches such as those Involving a range of stakeholders, including the poor used in Cameroon (see box A2.4), are needed to involve themselves. can help the following: other actors, including opinion leaders, journalists, civic or religious leaders. public interest groups, and indig- * Improve understanding of the cultural, social. eco- enous NGOs, in preparing the PA. nomic, and political dynamics that perpetuate pov- The scope for collaboration in defining the research erty in a given country agenda depends on political and institutional conditions * Ensure that strategies identified for poverty reduc- in the country concerned. Especially in the early PAs, tion reflect the real concerns voiced by the poor scope was also constrained by tight deadlines facing Task * Promote ownership of the proposed solutions by a Managers for completing the work. Close consultation variety of stakeholders and agreement between the Bank and the government * Build in-country institutional ability for ongoing analy- from the outset can reduce the risk of later misunder- sis of poverty and the design of measures to reduce it. standings and acrimony over politically sensitive issues, especially the controversial question of establishing a A distinction is made between "participation in PAs,' poverty profile and poverty line to serve as benchmarks the subject of this paper, and PPAs. The latter has come against which progress can be measured. to refer to the use of specific qualitative research tech- Drawing as widely as possible on local skills and niques to discern the perceptions and attitudes of the poor knowledge in the analytical work of the PA contributes themselves. PPAs, however, are only one component of to the quality of the conclusions. It also spreads the own- the wider PA. This paper argues that most components ership base. Analytical studies and report writing have of the PA. from defining the agenda and designing the been contracted to local researchers and/or assigned to research program through data gathering and analysis to collaborative teams of Bank and local researchers. To report writing and formulating policy prescriptions, can broaden participation, Task Managers have also used benefit from broad stakeholder participation. workshops or retreats and established in-country task forces or steering committees. MAKIA ANG( Tl'H E PA Mom ( ) i-~ i.: I~X ~ ~ ) ~ Collaboration in formulating policy prescriptions can be more difficult; most Task Managers have faced the The methods used to broaden stakeholder participation quandary of how best to reconcile the interests of senior in PAs have varied enormously, depending on the time officials and vocal stakeholders with the results of re- 211 THI; NV4)RLi) BAN K P'AR TIl 1( lIATI l N SOURC( EhTOOI search and analysis. The most PPAs in this respect have penditure by eliciting the perceptions of the poor on been those for Peru (see box A2.5) and Morocco: in each the accessibility and relevance of services case, (a) the PA was presented as supporting research * Expand analysis of factor markets by illustrating the and analysis to help the goverlnment in the policy formu- operation of constrainits on disadvantaged social lation process, (b) the government took full responsibil- groups to realizing market-based opportunities ity) for preparing the policy docLument, discussing. suc- * Contribute to policy prescription on the economic cessive drafts with Bank staff before final publication, and regulatory framework by demonstrating the im- and (c) the Bank has integrated the government s pov- pact of regulations on poor households and commu- erty strategy in the lending program of the country de- nities partment as a whole. * Support policy analysis of "social safety nets" by examininig local experience of the operation of for- Incorporating the PPA mal and informal safety net systems and the coping Incorporating the PPA ~~~~strate-ies used by the poor The participation of the poor and other groups through u y PPAs can contribute to the oerall PA by coplemen_ t- * Assess the capacities of the poor to act independenitly ing. informing, or validating the results of more conven- through community organizations (box A2.6 provides tional analysis based on household survey data and gov- an example from Kenya). ernment statistics. To date. PPAs have been designed specificalv to do th tollowill The participationi of the poor has been elicited through various data gathering and consultative mecha- * Enrich the poverty profile by illUstrating local experi- nisms. The nmain imiethodologies-beneficiary assessment ence and understanding of poverty and vulnerability and participatory rural appraisal-share many core tech- * Improve understanding of thle illlpact of pulblic ex- niques. including coniversational and seinistructured in- Box A2,4. Browd Sleba PderiPlrffpafiona in Cameroon Cameon' PA was carried oWQt COwith extensive aierooni pnd the, National Statist Office in preparing poverty profile and th for itrtion n a food insecuity issues. The PPA mwas carried out by local TNGOsand research institutes. lo bshare theresearch results and broaden pcipation in dalogue onthe poliy implications a four-day technical work- shop was sponsored by the goverment and the Bank with financial.support from sev key donors. Participants included representadtve of donoragencies and some1forty-five Cameroonians with interest inrelatesearch and civic or goven- ment activities. from the goernmnt, university, research and advocacy groups journalism and NGOs. Women partici- :pants were; funded by the United Nations C rts Fud Despite the breadth of differe: interests represented. Some important areas of agreement emerged, including the potential benefits of eingf decisionmking.0 By the end of fourdays, agreement was reached on the form the recom ons should take and consi le enthusiasm had been generatd for the final report. The workshop was followed by a one-day conference to provide wider exposure of the findings to both government and the general public. The immediate impact of this conference was to raise consciousness concerning poverty issues, gener- ate widespread public interest and concem, and put poverty reduction higher on the public policy agenda. Box A2.5. Policy Formulation in Peru In the Peru PA. the Bank team opted to hold back on defining a poverty alleviation strategy and wait until the government produced their own strategy. Two thingsX that helped this approach to work were that (a) most of the survey analysis had been done in Peru, making it easier for Peruvians to inco e the results into a policy document and (b) government officials were aware that presentation of their strategy for poverty alleviation would be key to an effective Consultative Group meeting, which was to be hosted by the Bank to Iraise funds for social programs. Bank staff worked closelyf with government staff on drafts of the strategy. The resulting government document is quite strong, setting specific goals in several areas, and should serve as a good base for measuring progress in reducing poverty in Peru. .A LI'E NI6)I 11: \V H)I..IN(, PAPEl4R St FlS NITlR.E~ Box A2.6. PPA Highlights the Potential of Women's Groups in Kenya The coping stratgies of the poor (the vast majority of whom do not have access to credit) depend on diversifying their livelihoods and on the strength of their social netwo6rs and informal groups. Because their livelihoods are so diversified, no single employment program will reach the poor. The informal groups and associations, on the other hand, engage in a wide range of economic and social welfare activities. The PPA in Kenya highlighted the untapped potential of these groups to reach the poorer segments of society. The PPA study estimated that at least 300,000 groups and associations exist in rural Kenya, including more than 23,000 registered women's groups. It found that every village had from five to seventeen different types of groups, and more than one active or defunct women's group. The following are some of the findings that emerged about these women's groups: * During discussions of coping strategies at the individual, group, and community levels, women's self-help groups were mentioned frequently in every district. They were a particularly important part of the coping strategies of fe- male-headed households. * In addition to ineome generation, group objectives frequently included welfare activities: raising cash to pay school fees, meet hospital expenses, or assist with transport costs to bring the dead back to the villages for burial. Most groups levied membership fees and monthly contributions. * Although the poor were excluded when membership fees were high, many groups targeted their activities specifically to assist the poor with food, school fees, and housing construction. * Women's groups were often formed along clan or kinship lines and often had male members.. Generally, they were supported by village men and the community at large. Based on the findings of the PPA, proposals to reach the poor by strengthening women's groups include legal registration so that groups are eligible for credit, technical and business management training of group members, and extension of microenterprise credit to groups. terviews, focus iroup niterviews. and participant obser- for qualititative data. The key challenge is to inte-rate vation. Participatory rural appraisal (see Appendix 1). the two approaches withinl the PA framework. appreciat- which focuses on analysis at the commnunity rather thanl ing the limitations of each. household level, also uses thematic mapping. wealth and Identifying and selecting field sites and participants preference ranking. institutional diagrammning. and other (a representative sample of "'the poor") is a critical issue techniques by which participants genlerate their own for the PPA. especially when societies and the commu- analyses of key elements of their livelihoods. nities within them are highly stratified. This can be ap- The choice of methods has depended in practice on proached either through participatory methods. usin- the particular experience of the Task Manager or sup- local perceptions of key groups for analysis, or through porting specialist, as well as on available resources and sampling based on household survey results. Research- the role intended for the PlA within the overall PA. ers need to be clear about which they ar-c using as results Achieving reasonable coverage for a nationtal-scale ben- may differ. eficiary assessment to investigate a ranie of issues typi- There are Qood reasons ftor selecting a broad range < cally requires at least six to nine months work and a bud- of people, firomii differenit techinical and institutionial back- get in the region of $50,000 to $100,000. Rapid appraisal. grounds. ftor the PPA research teams. Including NGO and requiring less than one month ot' fieldwork. has been used government staff as well as academics broadens owner- in five of the seventeen countries in which E'PAs have ship and enables the team to draw on wider institutionial been undertaken. experience. The more diverse the backgrounds of team Some early lessons have already emerged from this members. however, the more vital is a rigorous training experience. In defining objectives of the PPA. thie temp- input to generate a unified and coherent approach. tation exists to overload the agenda with a large number Another- lesson learned on the early PPAs is that it is of questions impor-tan1t to the PA as a whole. Most Task easy tounderestimatethetinieandskillsrequired foranalysis Managers feel in retrospect that results of the PPA wouldl and synthesis of qualitative research material. Task Manag- have been richer if the research focus had been narrower. ers should plan for some of the analysis to be carried out in The PPA can provide an imrportant new perspective on the field and also allow for inputs from experienced social the issue of poverty, complementing but not substitutillg scientists (from within or outside (he Bank). 2 L3 ITHEi WOIA BAx11 1 N1 PAR\TICll11'V1'1,TN StilUR 11C7iMO Box A2.7. Policy Impact of the Zambia PPA In the case of the Zambia PPA, the impact on the PA was clearly strong especially on the action plan. Specific elements that influenced the action plan included the stress on rural infrastructure investments (roads and water) and on urban services (mainly water supply). Other parts of the PA that drew heavily on the findings of the PPA included the poverty profile (especially for community-based identification of the ultra-poor) and the chapter dealing with coping strategies, safety nets, and targeted interventions. The Task Manager for the PA gave the following assessment of the overall impact of the Zambia PPA on policy formula- tion in Zarnbia to date: * Government has been influenced by the priorities expressed by the poor in ranking exercises in the PPA (by reinforc- ing the current emphasis on agriculture and health, stressing the importance of rural infrastructure and environment issues to the poor, and emphasizing ongoing problems with the delivery of education services). * The Ministry of Health has been using the results of the PPA and the PA extensively as a whole in policy development, for example one of the authors of the PPA has been participating in a comrnittee looking into the issue of exemption from user fees for the poor. * Observations from the PPA related to the timing of school fee payments (which coincide with the period of maximum seasonal stress for most rural communities) have contributed to ongoing work in the Ministry of Education on school fees; a new policy is in preparation that will address these issues. * The very positive feedback from communities in the PPA on the functioning of the emergency safety net during the southern Africa drought of 1992 influenced policy recommendations on ongoing provision for the vulnerable in the PA. Because the PPA is only one of the inputs influenc- of the PA. especially the action plan and national policy ing the recommendations of the PA. and because the formulation. PA document, in turn. is only one of the factors influ- EvaluationoftheZambiawnexperience(thefwrstnational- encing actual policy change, it can be difficult to mea- scale PPA to be completed) also points to some measures sure the policy impacts of specific PPAs. Nonetheless, that could have increased the value of the PPA in policy for- policy relevance should be the guiding criterion in the mulation: a stronger focus on the institutional mechanisms design of methodology and process for the PPA. Evalu- by which needs and problems could be resolved, completing ation by the country department of the impact of the the PPA earlier to allow for follow-up of the priority areas Zambia PPA. as summarized in box A2.7, has found identified, and sharpening methods to investigate local per- that the PPA strongly influenced both the conclusions ceptions on specific policy issues, such as food marketing. This note is based on the paper written b! Andrew Norton anld Tliomas Stephen.s. Contributors include Johnz Clark. Hugo Dia_, Anne Doi.e. Anin Duncan. Jorge Garcia-Mujica, John Innes, Evangeline Javier, Poll! Jones, Steen Jorgensen, Gibw a Kajubi. Saralh Keener Qaiser Khan, Adriana de Leva, Claire Lucas, Alexandre Marc, Branko Milanov ic, Deepa Nara van, Miria Pigata. Nicholas Prescott, Lawrence Salzen, LYnne Sherburne-Benz. Roger Sulli/an, Mauri_ia Tovlo, and Mark Wi?odw'ard. 1 4 AXPPENIIX II: NVORKIN(. PAP'ER SI'\1i\iMR1iE 9 PA RT '1'1 I PAT I N IN N ments are pursuing include full commercialization; devolv- AGRICIT uRT IURN, EXTE N N S I N ing control tolocal govemment units, cost sharing between extensionists and farmers; contracting service delivery to Putting responsibility in the hands of farmers to determine private firms. NGOs, and/or technicians from cooperatives agricultural extension programs can make services more and farmers' organizations; and supporting farmers' self- responsive to local conditions, more accountable, more help groups. Although Bank experience with these alter- effective and more sustainable.' To realize these benefits native approaches is still too new to permit systematic the role of the public sector has to be redefined to permit evaluation, evidence already exists of potential benefits multiple approaches that account for user diversity and to and particular issues to be confronted in implementation. develop partnerships with farmer organizations, NGOs, and the private sector for service delivery. IRATI4 )NALE ~1,By making extension more demand driven and more ac- countable to farmers, participatory approaches can help Project experience over the last twenty years has fueled to ensure that services are relevant and responsive to lo- debate concerning the role of public sector agricultural cal conditions and meet the real needs of users. extension in strategies to increase agricultural produc- When programs benefit from farmers' traditional tivity and alleviate rural poverty. The dominant approach knowledge as well as modern research, the risk of seri- in Bank-supported projects since the early 1980s-the ous mistakes is greatly reduced. Examples of what can training and visit system-has been to accelerate the happen when the value of local knowledge is not appre- adoption of new technology through intensive, regular ciated include the aggressive promotion of maize by interaction between government extension agents and se- extensionists in Ethiopia to replace the indigenous grain lected "contact" farmers to disseminate a package of key tef despite skepticism and resistance from local farm- agricultural messages. This approach has had some note- ers. Many Ethiopians suffered unnecessarily when maize worthy successes and some failures. Although the sys- proved less drought resistant and the crop failed; subse- tem is intended to incorporate feedback from farmers. quent data also showed that teff provided superior food this is not always accomplished and the role of farmers value. In Bali, after efforts in the 1970s to introduce the as receivers of instructions is often passive. Consequently, Green Revolution to rice cultivation had led to cata- the results of investment in training and visits have some- strophic pest damage, researchers learned that traditional times been disappointing and have been especially un- local husbandry techniques were more efficient. satisfactory regarding sustainability. The opportunities for promoting technologies to im- The most significant shortcomings of public agricul- prove farmer incomes are expanded through participa- tural extension in general have been (a) unresponsive- tory, farmer-centered approaches to extension, which ness to the variation in farmer needs. (b) lack of owner- encourage a holistic perspective, shifting the focus of ship by the intended beneficiaries, (c) failure to reach attention from simple production to the whole farm sys- poor and women farmers, (d) limitations in the quality tem. Farmer participation is essential, for example, in of field and technical staff. and (e) high and unsustainable introducing integrated pest management, which requires public costs. Some of these problems have been eased farmers to invest effort and resources in techniques that by modifying the training and visit system, for example, are knowledge intensive. In Indonesia (see box A2.8), by working with groups rather than individual farmers on-farm trials with substantial farmer involvement have or by increasing reliance on radio and other mass media proved the best means to ascertain and demonstrate the Agricultural specialists increasingly recognize, however, potential benefits of integrated pest management. that if extension is to meet the diverse needs of modern Participatory methods, often through NGOs. can also farming, a fundamental change of approach is called for help to make the distribution of extension services more toward educating and enabling farmers to define and solve equitable. Proactive efforts are needed to ensure that op- their own problems and determine and take some respon- portunities for participation are open to all farmers, in- sibility for the extension services they require. cluding the poor, indigenous peoples, and other Agricultural extension in many countries is being re- marginalized groups. The importance of the role played oriented to provide more demand-based and sustainable by women in agricultural production is such that the wide- services, taking account of the diversity, perceptions, spread failure so far to reach women farmers through knowledge, and resources of users. The options govern- formal extension services has major repercussions for 2 1 a 'I H; NV(WRLTD B.ANK SouRuI(IABoImN O1H( EB I( Box A2.8. tr Pest Mngm l in LndXnesa Integratedpest management nbPMs}is anapproacht copprotectionbed on the rationale that pestpopulations can be kept below economic ijy levls wiofiimal op S1o recorse tB chicalpesicidThe nu of tins is defined by agroecological, socioeconindi utal acr mcnag rt, such as crop rotations and intercrops, a incls e use of resistant varietes, b g cl, andiagnostic techniques. The Indonesia Integrated Pest Management project inndones iaillutrates boh the potntial of this approach and its dependence on atory extension. After linking pest outbreaks in 1985 and 1986 to escalig use of psticides, the government of Indonesia banned fifty- seven broad-spectrum pesticides for rice, gradually eliminated sta subsidies ontherpesticies instituted PMas the national pest control strategy for rnce. The IPM Farmer Field School was developed as: tbemodel for government extension agents and pest observers to train farmers in 1PM. The farmer field-school training approach represents a move away from conventional packet technologies in agricultural extension toward empowering farmers with knowledge and skills, using nonformal educai methods and a field-based, experiential learning process. Farmers make their own decisions about crop management based on their experience, on local field and market conditions, and: on basic IPM principles leared in famer field-training. These prnciples include weekly monitoring of pest levels, conserving the natural enemies of pess, s ng information, and coordinating control strategipes with neighboring farmers. Between 1987 and 1990 the volume of pesticides used on rice fell by more than 50 percent, whereas yields increased by about 15 percent. Farmers are testing and developing new 1 practices, including PM for other crops, withthe help of farmer trainers in their communities. NGO involvement has been encouraged to develop field school activities, new train- ing components, and farmhenetworks, resulting in awide exchange of ideas and resources andfthe spread of IPM farmer field schools from community to community. In 1993, $53 million was:comtmted by the U.S. Agency for International Development and the government of Indonesia with support fiom eWod Banik to a project to extend the use of IPM throughout the country. national output and food security as well as social jus- prepackaged messages. Agents also need training in par- tice. The Nigeria Women in Agriculture Project (see box ticipatory methocds of working with farmers. Some of A2.9) illustrates the potential of the participatory ap- these adclitional costs can be offset by reductions in the proach to bring women into the national agricultural number of staff needed, as farmers themselves take on policy debate and local project management, as well as more responsibilities, and the economies of "distance' enabling them to improve thei- own productivity. methods (using mass media and modemn informationi tech- Making farmers influential and responsible clients nology) are more fully exploited. rather than passive beneficiaries of the extension service Additional time and resources are also needed to rede- improves sustainability-both of the benefits of invest- fine and establish the institutional framework for participa- ment in new technology and of the service itself. Partici- tion. for example. to decentralize fiscal and administrative g patory methods can increase farmer ownership of the functions, to build collaborative partnerships. and to technologies promoted by extension management, espe- strengthen the capacity of NGOs and farmer organizations. cially when the methods are developed, at least in part. On the part of the Bank, additional staff time is required for by the clients themselves and are based on technologies projectpreparationandsupervisionanidri-esourcesarelneeded that they have seen to be effective. At the same time, for participatory analysis during project design. when the value of the service is clear to them, fanmers The costs of participation to farmers can be substantial. are willing to contribute to its support. reducing depen- particularly in tenns of their time. Where participatory pro- dence on public funds for meeting recurrent costs. gramiis depend on significant contributiolns of cash and/or labor fi-om fanmers, steps have to be taken to ensuLre that this does not exclude the poor from sharing in benefits. A higher level of training and skills is needed if exten- ELI.:.;IEN'I5 sion staff are to collaborate effectively with farmers, ap- plying technical knowledge to site-specific socioeco- Key consideration in promoting participation in agricul- nomic ancl agronomic conditions, rather than delivering tural extension include the following: 2 16I Ai.v'i'Nt)1x IT: % ()RKI-IN(4 P,APER SITAFNiARIE. Stakeholder Commitment key issues include: instituting incentives and mechanisms Broad consultation from the outset is needed to ensure for accountability to farmers on the part of extensionists: sufficient commitment to change on the part of all stake- identifying where legal and regulatory changes are holder groups. Extension services that are participatory needed; training staff in participatory methods; building and accountable to farmers imply some loss of control the capacity of local farmer groups: and ensuring that for government central planners (and for Bank Task local level institutions do not exclude some groups of Managers). Even if the degree of control in setting spe- farmers from participation. cific targets and scheduling plans to meet these targets may sometimes be illusory, its symbolic loss cani be Two-Wav Communication strongly resisted. Vested interests in the existing exten- In adopting a learning process approach. the function of sion bureaucracy can also present strong resistance. Farm- extension is not merely one of technology transfer but of ers themselves may be skeptical of calls to conltribute ensurina effective two-way flows of information with the time, effort, or cash if their experience of exteinsion in aimofempoweiin-fariiielstfirou hkiiowledoe-atherthan the past has been negative, issuingr technical prescriptions. Methods available for lis- The Institutional Framework tening to and establishing dialogue with farmers include There is no one institutional model for delivering par- beneficiary assessment, gender- analysis. participatory ru- ticipatory extension services. Some countries. such as ral appraisal and problem census. Joint problem solving Chile and Costa Rica (see box A2. 10), are using the pri- and decisionmaking are achieved through workshops. vate sector to carry out what was traditionally a public rouLnd tables, public hearings, and farmer organizations. sector activity; some are decentralizing ancd reorientilln Considerable potential exists for adapting the use of public sector agencies: and still others are working mass media and infornation technology to support par- through NGOs ancl farmer organizations. A multi-insti- ticipatory extension, channelinig feedback from rural com- tutional approach is common, recognizing that farmers munities to researchers and extensionists as well as pro- get information from several different sources and that viding information to farmers. Farmer participation in de- some organizations are more effective in reaching cer- signing and implementing mass media progranms improves taim categories of farmners. programii quality and enhances the learning process. Defining and facilitating operational lini . or example, under the Bank/Global Eu- spacings andc multitiered. more cliverse tree and shrub COliln1L1imtiC'. For examiiple, Lindei- the Bank/Global Enl- 'Ill11: \\ ()Itl.l) Ii.%N'J I-'.AIUII'(II'.\'lIl(ON 4Ol1'1lUl1I17)(bl{ Box A2.13. Women's Participation in Bank-Financed Forestry Projects Kenyan women participating in forest-sharing agreements. With the assistance of the international NGO CARE, the Kenya Forestry Development Project solicited the help of women in devising an agreement between the government and local users regarding distribution of agroforestry or intercrop benefits, because most of the village agroforestry lands were controlled by women. During project implementation, women were in charge of recording households that received har- vest shares and they were key actors in resolving conflicts over forest benefits. Indian women as members offorest protection commitrees. In the second West Bengal Forestry Project, the Bank worked with the state forestry agency and NGOs to pernit and encourage the recording of women as forest protection committee members. This allowed women to participate fully in decisionmaking and thereby receive a more equitable share of timber harvests. When women were given responsibilities in these committees, the project gained wider support and spread rapidly to other villages. Box A2.14. Tenure and Access to Forests in Nepal and India The Bank-financed Nepal forestry project allowed user communities to take over forest management. Forest users re- ceived certificates ensuring long-term rights to forest benefits. The only control the Nepal state forestry agency retained over forests was through approval of village forest management plans. The project, however, had to reconcile the multiple and often conflicting rights to forests by local villagers before long-term tenure could be recognized. In the Bank-financed second West Bengal Forestry Project in India, written agreements between the state and villages established ownership and user rights to forest protection committees. To maintain rights over forests, however, each committee had to provide evidence of sustainable forest use. species than are found tinder conventional even-aged training of forest service staff and local leaders, village- maniagement. Technologies defined by the community level publicity and extension, developing on the basis of local knowledge are often more effective microplanning tools and facilitating plan formulation, in terms of forest productivity and sustainability. More- improving forest marketing information networks. over, the entire community understands the management facilitating the formation of women's groups and farm rules and has an incentive to monitor and enforce them. forestry associations, and technical support to forest Local Capacity product processing, energy alternatives. or village- based conservation inventories. One of the most Most Bank and Global EnvironmIent Facility/Bank- effective tools for building local capacity is the studv financed forestry and biodiversity conservationi projects tour. enabling stakeholders to visit and question their involve a capacity-building component, often con- counterparts on projects in which participatory man- tracted to NGOs. to strencrthen mIanagement capacity at aeethsaraybe salse the community level. The role of NGOs may include This Izate is based anz the paper written bY Ajit Banzeijee, Gabriel Camipbell. Maria C. Cruz, Slhelto/a Davis, anbd Augusta Molinar. Contr-iblutors include Gloria Davis, Claudia Aldernman. B17uv an Bhatiagair Danziel Gross, Asmneen Khan, WilliaimA Magrath, Jessica Mott, Simion Rietbergen. Got, Scriz-eiber. Radhia Siagih. Jimz Smvle, and Toan Wiens. 2 2... APPE14NDIX1 11: PAPERll-'( S'.1MMAR 1'.1\1\1{1: PAZVR'rI(CIPATI0N 'I'HE ciency and standards of service are achieved when design and management of the irrigation system are transferred to IRR{IGASTIONA SE}C1TO)R farmers. System design benefits from local knowledge, and farmers have the means and incentives to minimize costs and The irrigation sector provides a rich source of experi- improve services. For example, irrigation user associations ences and lessons in user participation. Participation by can reduce labor costs by paying lower wages than govem- farmers in system design and management helps to en- ment agencies, local farmers can provide closer supervision sure the sustainability of the system, reduce the public of staff than distant agency supervisors; and breakages are expenditure burden, and improve efficiency. equity, and reduced when fanners feel a greater sense of ownership. In standards of service. Mobilizing support at all levels and Senegal (seeboxA2.15). forinstance, electricity requirements establishing the participatory process, however, involves were reduced by half. Ultimately, as a result of more timely costs; it also demands knowledge of the incentives fac- water delivery and repairs, farmers' yields are higher. In the ing each group of stakeholders and of the essential ele- Philippines (see box A2.16). dry-season rice yields increased ments in building effective user organizations. by 12 percent and farmers' net income by 50 percent. BPI:NE EFITE Public Expenditure Efforts to increase userpartciOne of the most noted effects (although this has nothing Efforts torease user ticipatio have been rred to do with farmers' motives for participation) is the re- byapo perormance in efrce equity,ncost rcvy duction in govemment staff and expenditure requirements and accountability maen lreatio systemspan- caused by farmer management and contributions of cash, aged by government agencies. Greater participation by labor. and materials. Farmer associations have proved farmers through water users associations has helped over- come many of these problems. more effective collectors of user fees than government agencies. It is not unusual for farmers to be willing to pay more than the original user rates after transfer of the System Performance system to their control. Increased collection of fees. how- The overriding reason for increasing participation in irriga- ever, does not motivate farmer participation. Participa- tion is to improve system performance. Clear gains in effi- tion must also result in direct benefits to participants. Box A2.15. Senegal: Creating Incentives for Farmer Participation Early efforts in Senegal to transfer irrigation system management to farmers by establishing village units showed little success because of unclear plans, timetables, and provisions for transfer and because of the failure to provide control or incentives for the farmers. Recognizing these problems, the 1990 Bank-assisted Irrigation IV Project required total transfer of operations and main- tenance (O&M) to farmers as a precondition for financing rehabilitation works. Getting farmers to agree to take over these systems required considerable negotiation, particularly because they perceived existing irrigation fees as too high, let alone the additional costs and responsibilities of covering full O&M. Increasing the control of farmers over irrigation services was the key factor that persuaded them to agree to assume responsibility for system management and cost recovery. Farmers demanded the right to hire their own staff, choosing agency operators only if they had performed well, and even then reducing their salaries from the full civil service package. t Following the transfer to farmers of ownership of rehabilitated operating systems with their infrastructure, agency staff would be allowed to enter the schemes only with farmers' permission. To improve farmers' management capacity, manu- als were prepared for each system; training in basic literacy as well as technical and financial skills for organizational leaders was incorporated. Farners were willing to pay at least part of the training costs. Although the long-term sustainability of the project is difficult to assess at this stage, the accomplishments to date are impressive. Before the transfer, assessed fees covered only 17 to 21 percent of maintenance and replacement costs; less than a quarter of these were actually collected. As a result, maintenance suffered, electricity often was not paid for, and system reliability was poor. After the transfer, farmers paid fees four times as high, covering full O&M and a replacement fund for capital. The benefit to the farmers was greatly improved irrigation reliability. Moreover, because they were able to monitor the pump operators and had an incentive to save on energy costs, electricity requirements were reduced by half. Savings to the government included huge reductions in agency staff costs, as farmers took over functions. 223 I'H H; XNVOR 1L) BA NK PAI- RTI CI IIATIN ON 7Ot'R('iK31()O1 I Box A246. Eieaefo h hlpie The- first'anid best dcnimdntiniepom to bul npnciaina conrtoeo r to policy ocretd the Tip e e AppL4 wA e :~~~~~ns O' i n : .h system and ,ve e,e,e to lag nain irrgaio - ytes Th Naon Iriato Aihrt ha evle fro ""an-,D.$ P,-,, 000 --,S,: -:0 0~~~~~~~~~~ O 00f WM _t :0: t.~~~~~~0f im. :e,e TeY ' t' Sustainability tcme project's colitg oa than wspeog constrUCting daptes or Buildioag irrigation systeais that aire wanted, saopportecs deliverv st.uctu-es. Once the participatory approach has and owned by use9s themiiselves provides the best assur- been established, however, it is not unusual for partici- ance of sustainability. Physwe cal and fiscal s ostaillecti pation actually to reduce the inc plefmentatio4 period. The of the irrigation system beyond the project is enhanced kinds of probletmss that typically delay the impleyienta- when operation and p aintenatice costs are met from t user tion of nonparticipatory irrigatio m projects. such as dib'fi- fees rather than hingh levels of rovermicfoent subsidy. culties in negotiatinp riohts of way or obstruction bd lanil- ers or local politicians irl an be avoided or solved throurh Bauiding irrigation systems thatarewanted,supported,deffective participatore processes. Moae equitable orianizational atTangeislents and water detiverr have bein noted wbeyn pateticiprjtoi-y approaches i)nsor oblre(mNs that typi,Callel,S are followed. A contributing factor is the socmoecotfomuri o staths of the leadership. which teonds to be closeni to that Tce success of participation ewaoyts in the irrigation sec- of the ordinary member. involving nmore tenants aid sneall tors depends on how well the project mobilizes support farmeirs than in nonparticipatory systems. acd bsNilds ef'fective farmers' organizations. Spillover Effects Mobilizing Support The transformation of water users from beneficiaries to User participation changes but does not eliminate the role partners in irrigation development canl have a widespread of government agencies in irrigation development. Build- impact as farmers become trained and organized. It can ing support from policymakers and agency staff as well as increase local ability to coordinate input supplies, foir farnmers anid other water users is essential for successful example, and to deal with other government agencies participatory projects and involves paying close attention involved in rural development, to the incentives relevant to each group. The greatest re- ceptivity to participation is often ftound in crisis situations, as was the case in Mexico (see box A2. 17). when manage- -o~r~ AND' R1~1(i ment problems or revenue drains are most apparent. Establishing user participation involves costs in mobi- In building the confidence of policymakers and se- lizing field staf'f, train1ing, and organaizine farmlers and iior agency staff, pilot projects have been used effec- carrying out socioeconomic research. These additional tively to demonstrate the capacity fOr farmer manage- costs. however. are usually offset by subseqUent savingis ment the potential improvement in system performance. ini construction costs and higher loan repaymlent rates and potential saving in governmenit expenditure and im- A bigger problem can be the additional timiie nleededi provement in cost recovery rates. Building alliances with to establish a participatory approachl and get the projectsupportive idividuals i governmet has been facilitated off the ground. especially in the absenice of existinia lo- by participatory economic and sector work, by enabling cal institutions for cooperation. Developing farmer or- Task Nalagers to spend several years working in a coun- ganizations is ofteni a slow process, silnce less is under try, and by supporting them with good social analysis 2 24 AP'PE.;NDI XI II: W(ORKItIN(i PAPER SUt NINI ARIE i Box A2.17. Mexico: Rapid Change in a Crisis Situation Mexico experienced rapid and widespread incorporation of user participation in the irrigation sector. The objective was to make the national irrigation system financially self-sufficient as well as to obtain full cost recovery over time for major works already constructed. The cornerstone of this policy was the transfer of irrigation management to water user organizations. Crisis situations in irrigation system financing and management provided the impetus for sweeping changes. By the end of the 1980s, an estimated 1.5 million of 6.1 million hectares of irrigated land went out of irrigated production because of lack of funding to complete infrastructure and for O&M. Bank management was influential in pointing out the need and direction for change; the Bank also provided a loan (cofinanced by the Inter-American Development Bank) for the Irriga- tion and Drainage Sector Project. The three pillars of this project were decentralization and transfer of irrigation districts to water user organizations, self-sufficiency in fee collection to cover full O&M costs, and efficiency in budget allocation. The transfer is done in two stages. The first gives producers, organized in water user organizations (covering 5,000 to 18,000 hectares), responsibility for O&M of large lateral canals and drains. In the second, these organizations take respon- sibility for the main irrigation and drainage canals and the machinery and equipment required for O&M through the creation of an enterprise or sociedad Farmer groups are set up as organizations, rather than less formal associations so that, under Mexican law, they can operate as legal entities and obtain loans. These organizations are meant to become financially self-sufficient through collection of water charges. Each organization hires a professional team to carry out O&M, including a manager and a group of water masters (one for approximately 3,000 hectares) and a chief of mainte- nance (all graduate engineers) as well as their support staff. To educate farmers about the changes and persuade them to support the program, Mexico relied heavily on mass media campaigns prepared by communications specialists from the United Nations Food and Agriculture Organization (FAO), along with universities and industry. These were followed by detailed training of the farmer organization staff in, among other subjects. computer applications and use of maintence machinery. Districts in the best financial condition were transferred first (after deferred maintenance was done) to ensure a successful start and build confidence. The process of transferring management to farmers already has exceeded targets. Since 1991 thirty-three irrigation dis- tricts covering 2.3 million hectares have been transferred and an additional eleven districts are in process. O&M cost recovery rates have increased from 18 to 78 percent. Project implementation rests ultimately with agency can only develop gradually. Sudden cuts in the status quo staff. Internalizing support for participation within irri- should be avoided, and the composition of staff allowed gation agencies often involves structural changes to link to change gradually. agency budgets firmly to farmer contributions instead of government allocations and to promote a more service- Building Effective Farmers Organizations oriented approach. Because agency staff typically come Teams of trained specialists acting as community orca- from en-ineering- backgrounds and are not orientcd to- f g g r n n n nizers have proved to be the most successful catalysts in ward dealing with farmers, incentives for them to sup- participatory irrigation projects. Wherever possible. ex- port farmer participation need to be backed up by train- ing- program-ns. Study tours to farmer-m-nanagred irripatisting orgailzational capacity should be built on, as il rglStdt ot igtin Nepal (see box A2. 18), for example. In cases of very hi- districts can be particularly effective, not onfly for their erarchical social structure and inequitable distribution of demonstration effect but also in raising the prestige of .. . . . .................... ^assets, it may be unrealistic to expect fully' democratic participation. exposing staff to new possibilities, and cre- local organizations. To control vested interests, the vary- ating a bond am-nong participants. iimg incentives ot ditferent categories of tarmers should The strongest opposition to farmer participation is be identified and accounted for in project design (for often encountered at the field technical level, especially examiple, in definin- water rights3. along with the result- when civil service unions are strong. When field staff r . ~~~~in- problem-s of achieviing collective actioD. perceive the proposed changes as a threat to thelr jobs ngproble ieng clective act and Appropriate incentives are needed if farmers are ac- and livelihood, these vested interests can retard or even tively to support the user associations that are essential sabotage participatory projects. Clear directives are channels for participation and to assume the additional needed from policymakers, supported by performance costs in time, materials, and fees (as experience in Paki- measures linked to bonuses and promotions, to encour- stan has deMOnstrated). The most important of these in- age greater accouLntability to the farmers. The new ethos 2 2 5 Box A2.18. Nepal: Builng on Traditional Strengths Nepal has a long tradition of direct fanrer participation and cooperation in irrigation development. About 70,000 farmer- managed irrition schemes, ranging in size from very small to thousands of hectares, account for 70-80 percent of the country's inrigation. In general these systems achieve high levels of perfornance over long periods of time without gov- ernment cost or involvement. Such systems, however, are frequently damagd by landslides and floods beyond the capa- bility of farmes to repair alone; mostcan be improved substantially with modem materials aconstruction techniques. The Bank's irrigation line of credit was designed to assist these schemes by building on the famers' traditional capability to organize and cooperate together. To participate uander the irrigation line of credit, farmers had to form legal farmer irigation associations, agree ahead of time to contribute to capital costs,,pay full O&M costs, and maintain full control and responsibility for all decisions regarding their irigation schemes. Such stringent requirements had never been at- tempted before under a Bank-supported project in Nepal. But in prtice these requirements simply formalized the farm- ers' traditional mode of irrigation development and provided an avenue for Bank assistance that would strengthen rather than destroy the traditional farmer institutions. The iffigation line of creditapproach proved highly successful, has become strongly demand driven, and isi now being expanded to government-managed projects. centives are improved irrigation services and a voice in to farmers throughout the project or sector. Building the management decisions through a user organization that is necessary organizational capacity for this turnover in- fully accountable to its members. The support of farmers volves training farmers for a variety of new functions, is most likely to be sustained and organizational capacity including basic literacy, accounting. how to hold meet- developed when they are ilvolved from the beginning in ings, how to deal with agencies with legal regulations. decisions on system desion and their organization has full possibly even computer applications, and water manage- ownership and management control of the system. It is ment and operation of equipment. essential. for example. that specialized staff be selected Fundamental to meeting all these conditions is a by and accountable to the fanner organization. even if they strong and transparent legal framework for the organiza- have been trained by government agencies. tion from the outset, providing farmers with rights and To be successful, farmer organizations must interact benefits as well as duties and responsibilities. This frame- constructively with govenmment agencies and technical work should also be flexible enough to allow farmers to experts. This relationship works best when consistent evolve their own organizational structure and to permit rules and procedures are established and supported by the organization's responsibilities to grow in line with government regulationi for the turnover of responsibility its capacity. 2263 APPE'N'I.:X1) 11: '%V()IKh1NG PAPI'ER S1 UM1M1ARIES' PARTICIPATIO0N IN TrHE WVAT'ER * User participation makes services and service provid- ANDi SiANITAT.'I(N SE('T()R ers more responsive and accountable to beneficiaries. * Cost recover-y and the sustainability of services im- The participation of users in designing and implement- proves when technology choices and services corre- ing projects and managing water and sanitation (W&S) spond with what users want and are willing to pay for. services is now being built into Bank-funded projects with * Managemiienit of services is more ei'fective when insti- the aim of increasing efficiency, equity, and cost recov- tutional airangements are tailored to local practices. ery and facilitating the extension of service coverage to poor communities.' Success depends on establishing the Demand-based approaches can also help resolve con- necessary institutional arrangemilents for participation and flicts over water resource allocation among competing sectoral project delivery. In addition, Task Managers have to spend uses. Increased participation by pimaary stakeholders. whether more time in the field. and adapt Bank procedures to sup- through consultation or through the purchase of water rights port appropriate models for financing and procurement. in regulated water markets, helps ensure that choices are an- chored in demand and not unduly influenced by contractors. consultants, and other secondary stakeholders. Most of the experience with participatoly W&S projects Prior to the last decade, the business practices of W&S so far has been gained by NGOs and, with a few notable utilities hardly ever involved consumiiers in decision- exceptionis. mostly on a small, experimental scale. Althiough making or management. More recently. with concern th.it stakeholderparticipation is well accepted in the Banik's work agencies are still failing to reach more than a billion of the in this sector and is seen as especially vital in extending poorest in developing countries. moving people center services to the poorest communities participatory W&S stage in W&S projects has become an important themile. projects are relatively new. mostly either still inder imple- Despite massive investments between 1980 and imentation or in preparation. Much is yet to be learned about 1990-the International Drinking Water Supply and Sani- ways to optimize participation in large pro ects, but a num- tation Decade-the needs of rural and ur-banl poor are her of important lessons are already emerging. still largely unmet by formial public services. whereas in many areas private vendors charge tei to a tiousaid times CN( ) ITMNS FR S C CES' the official tariff rates. Pervasive inefficiency on the part of overstaffed agencies providing subsidized urhban ser- Promoting the participation of water user-s is not equally vices has resulted in financially unsustainable services appropriate and feasible in all W&S projects. It is better that benefit only a small portion of the population. suited to the provision of feeder than trunk infrastr-uc- At the same time. competing user needs have not ture. Adverse political and institutional conditions may been well balanced; many water resouL-ce interventions- make it difficult to establish participatory processes. In large dams and irrigation projects in particular-have the poorest countries in which capacity is weak, the cost misallocated water resources and caused social ancl en- of expatriate facilitators to promote institutional inter- vironmental disruption. mediaition may also be high. To increase responsiveness to user needs, impr-ove cost The critical question is to understand what rules and recovery and serice managemenit, and incorporate finan- institutional arTangements are useful in supporting stake- cial, environmental. and social concerns into project design holder participation in the sector and undier what circum- and management, services should be based on demand. stances they are appropriate. THI; RO? 1,E OF PA'RTICIP'ATIIN Working with Governments and Sector Agencies Support from higher levels of government is essen- Participation plays a central role in meeting these chal- tial to the success of demand-driven projects. It was cru- lenges. An example from Kenya (see box A2.19) shows cial, for example, in overcoming line agency resistance how involving users in the design and management of to plans for beneficiary participation through an autono- W&S services provides a means of revealing demanid mous fund for rur-al W&S projects in Nepal. Cultivating and ensuring that services matchi what people want, are national level support ftor participation in W&S can be willing to pay for, and will strive to maintain. The ratio- tackled fromli two ends: by country economic and sector nale for user participation is summarized as follows: work, through which support is generated before projects 22 7 ITHEi NVOR1{1.) BA\NI PAR\T'''l.'ICIPATIO '%0UI,{':CI:S()()IZ Box A2.19. Community Mobilization for Sanitation in Kenya The village of Maina is an informal settlement within the boundaries of Nyahururu town in Kenya, where the Danish international Aid Agency executed a sewerage house connection project between 1988 and 1991. In the first year of the project, a trunk sewer and a few lateral sewers were constructed without any participation by the residents. The conse- quences were predictable: villagers did not understand the project motives and resisted collaborating with project teams when the plans indicated that the layout of some plots would be altered to make room for roads, storm drains, and toilet units. Villager apprehensions were based on a valid concem that engineering plans would result in large-scale alterations to existing houses and structures. A review mission by the Danish International Aid Agency in 1989 recommended that, before any further investments were made, the physical plan be revised with community participation. A site comrittee was formed, involving residents in the process of determining what the project components would be. Extension workers with government ministries and staff from a leading Kenyan NGO were selected as facilitators. The results were striking. Communities began mobilizing labor and materials for construction and also began participating in O&M of constructed facilities. By the time the project came to an end, the comnmunity groups with support from the NGO had charted a completely different course for the project and were able to engage the municipal council in a productive dialogue on where and when other infrastructural facilities such as roads, a police station, and a post office should be located within the village. are begun. or through individual participatory projects. Each of these approaches has its own drawbacks (an whose lessons change sectoral policies at the national example is described in box A2.20) and in all cases the level. When consensus or political support at the national challenge remains to persuade engineers trained in apply- level is weak, it may be easier to begin by demonstrating ing industrial country standards to consider alternative tech- the move fronm projects to policy work. Most of the de- nologies, leave theirdrawing boards, and consult with pri- inand-driven projects reviewed in this paper, however, mary stakeholders. Investment in training staff in commu- emerged from earlier sector work that laid the basis for nity participation by itself cannot remedy the situation and created interest in trying this new approach. unless career rewards are linked with success in imple- Finding agencies capable of carrying out participa- menting demand-based projects. Lower-level staff often tory projects may be difficult. Several strategies have been have more accepting attitudes toward community involve- used in cases in which the sector agency is not qualified ment and are better equipped to inter-act with poor benefi- or interested in involving primary stakeholders more ac- ciaries. Staff with experience from other agencies involved tively: (i) using multiple agencies in project implemen- in extension work can also adapt easily to an intermediary tation, (b) cultivating reformers within the larger resis- role between consumers and W&S service providers: in a tant agencies, (c) bypassing the agency by creating anew project in Brazil, for example (see box A2.21), responsi- agency or fund, and (d) designing the project to include bility for rural water has been placed with the public health < an expanded range of secondary stakeholders as partner agency with good results. organizations to prevent capture of project benefits by In Bank-funded projects in which existing sector water utility staff and contractors. agencies have had few qualified community mobiliza- Box A2.20. The Risks of a Multi-Agency Approach In a rural water project in a country in Asia, the central government did not provide adequate resources to the department of local government responsible for setting up rural water associations with community involvement. The public works department, on the other hand, received its budget allocations on schedule and went ahead procuring well-drilling materi- als before comrmunities had been consulted on what sorts of facilities they wanted and were wilin,glto pay for. In response to political pressure f provincial politicians, the public works department distributed budget allocations evenly over alI the provinces, spreading proJect investments too thinly. The project was driven by drilling companies and politicians rather than, as envisaged in the project, by the community-based rural water associations. These pitfalls could probably have been avo'ided if comimunity participation had been established before the hardware was procured. 228 : : :X . S 111:N 11)x II: -I*VoftINi I,I,'I; I S 'Ni1tI \It,L:E Box A2.21. Learning about Participation Models The PROSANEAR, a Brazil water and sanitation project for low-income conrmunities, is being implemented in several states in Brazil. Each state water company has been free to incorporate participation, using its own procedures. In practical terns, what has emerged are models of participation that differ depending on how the water company and the project design consultants worked out the "rules of the game." In the engineer-activist model, the engineering consultant was also a dedicated social activist. The rules permitted benefi- ciaries to negotiate a wide range of topics with the state water company, such as levels of service, physical layouts, sequencing between water supply and sanitation investments, prices, billing, and so on. In the participation specialist model, professional community participation facilitators work jointly with design teams led by engineers. In one variant of the model, the water company decides on engineering design in advance and allows communities to negotiate the organization of billing, assignment of operational responsibilities, and group contributions of labor. In the other variant, negotiations are restricted to assigning O&M responsibilities among the beneficiaries, user groups, and the water company. In the hygiene education model, health educators focus on a more conventional set of interventions intended to change knowledge, attitudes, and practices, rather than iteratively working out or negotiating any aspect of service provision. The assumption of this model is that there is no need to build any explicit negotiation mechanism into the choice of service level, The extent of conflict has been greatest in the participation specialist model and nil in the hygiene education model. Per capita investment costs were highest in the hygiene education model. After project construction is completed, it will be possible to evaluate the effect of each of these models on service sustainability. tion staff, specialists hired as project consultants have teams consisting of engineers and community partici- acdded up to 10 percent to total investmuenlt costs. The pation specialists. best outcome in terms of community participation. ben- eficiariy satisfaction, and per capita costs for water and Designing Stakeholder Participation sewerage resulted from having the detailed engineer- Most projects set up community councils or water user as- ing design done jointly tinder one bid by consulting sociations. through which beneficiaries can influence deci- Box A2.22. Tips for Task Managers of Water and Sanitation Projects F Financing and Procurement. Standard bulk procurement procedures are rarely appropriate for demand-driven projects. Altematives include (a) direct procurement by communities or agencies from prequalified, small construction firms and consulting engineers, using a schedule of standard materials and labor costs; (b) multiple procurement proce- dures, depending on the size of the project; and (c) geographic clustering of subprojects to allow limited packaging of specific elements. * Project Preparation. Sector work can help clear the way for participatory projects. An essential part of preparation is the time spent by Task Managers in the field. Especially at this learning stage for the Bank and borrower countries, preparation and supervision of participatory water and sanitation projects require more financial resources and staff time than conventional projects. * Supervision, Monitoring, and Evaluation. Monitoring, evaluation, and fine tuning of project design becomes an itera- tive, consultative process, involving Task Managers, sectoral counterparts, project managers, and beneficiaries. Per- sonal field visits by Task Managers are essential. Staff time for supervision in participatory water and sanitation projects has varied from twenty to forty-five weeks a year. * Mobilizing Additional Resources. Task Managers have mobilized extra funding for preparation from the Japanese Trust Fund, Japanese Grant Facility, and Project Preparation Fund. Bilaterals, the United Nations Children's Fund, regional development banks, and local and international NGOs working in the country have been useful sources of experience, information, and innovative approaches. * T7e Role of Consultants. Almost all projects involve consultants promoting participation in some capacity. The key issue is how the community participation specialist and the engineering design specialist can be encouraged to coor- dinate their efforts. One solution is to invite bids proposing both together, forcing consultants to form consortia of engineers and social activists. 229 Fl-il: BANE PAR.) 13 K l'AITICI IPATIO I N S(O)U W( CEII()0 1K sions concernin- the sort of service to be provided, play a ability, and hydrological or geographic factors. Typically. role in project implementation, and channel their contribu- however, a number of options exist: the key factor is tions of cash, labor, and materials. Long-tern community motivating the enginieering staff to be innovative in participation in O&M of systems may also be sought, al- searching these out. though this is more difficult and experience is still Imaiited. To limit the influence of local elites, effective ben- Project design niust allow time to discover workable eficiary participation also requires accountable leaders structures. Flexibility in community-level project design who make decisions on the basis of transparent rules. In allows institutional arrangemiienits to be adjusted as needed Paraguay the combination of easily understood program to match what community members feel comfortable rules and clear information about costs and benefits has with. It also permits chaniges to be proposed by benetfi- produced an effective rural sanitationi progranm for larger ciaries duriing the course of project implementation in villages. The government's sanitation agency offers the rules and procedures. managemiient structures. assignment program to any community that can set up a coinmittee of responsibilities among alternative organizations or and supply 15 percent of the investment costs. The com- firms, or the kind of service to be provided. munitv repays another 1 5 percent in cash or labor and Demand-driven projects allow beneficiary commu- materials at the time of implementationi and a further 30 nities choice over the type and level of W&S service they percenit over ten years, contributing to 60 percent cost want, based on their needs, priorities, and financial situ- recovery for capital costs. The community is expected to ations. To make informed decisions, they' must receive cover 100 percent of operational costs. The success of suLfficielnt information about options, their respective this programi in termns of cost recovery and the effective- costs, and other implications. The range of service op- niess of local organizations owes much to the clear rules tionls miay be limited by settlemenlt density, resource avail- for entry and for division of responsibilities. This n ot is based an the pap)-wr 'rilten hb Gbrie/ll/e Wbitms anti N. ViJax Jagannalthan. Conriba tors itcl/iude Bo/li,i Al/mass v. A/Aleatder E. Ba/alian, Jlanai/ B1esen, N'ie/ Ba v/le. loa/a Brirs ale, Loais C/tang, Leal Donaldsona. Mike GalFJin, Etaiu Jintiniez, Farni, Kempet: XCIvier Legarin, Abel Meia, tVicctte Pmquerm (,George Plan, Lairs Rasnuissen, Geu!fffe Read. Carla Rietveld Robe-t Roc/he, Gerhard Tselhannerl. Anthan-v cian V,'grt A/lbert Wrig'/ht. Rekha Daval. Peter Lchery. (111(l Mukahini Ka,iiaki. 23 (3 A li,N I) I x I: IWo )RI IN(; PA t' 1,lR S t T MJARH I fl-E PA 1U TI X C I P9AT I ON I N T'H F, sustainability of projects by ensuring that learning programs matclh the needs of the populations they are ser-ving. Ef'forts to make the provision of bosic education more S E,C'r OR responsive to commnunity needs have included education vouchers for families, fund transf'ers to school boards, Operations in the education sector can be greatly im- and various models of school- or community-based man- proved by increasing stakeholder participation of gov- agement. Colombia's Escuela Nueva program (see box ernment officials, education professionals, local commu- A9.23) and the Balochistan community support process nities, and the private sector.' Such participation can in- (see box A2.24) provide two examples. The involvement crease the relevance and quality of educationi. improve of parents and other community members in ownership, build consensus, help to reach remote and decisionmnakinig has, in many cases, made the curricu- disadvantaged groups, mobilize additional resources, anld luni. teaching materials, and school calendar more ap- build institutionial capacity. Participator-y operations in- propriate to local conditions and improved teacher and volve risks and costs, however, and certain preconditions student attendance rates. The result has been to boost are necessary for success. morale. reduce drop out and repeater rates. improve achievement scores, and expand enrollment demand. Nonformal education has had a relatively long his- PI)OTEN'T'IA, BENEFITS tory of student and community participation. Programs have proved more effective in ter-ms of attendance rates, ManyB ted and otheroedcai projc have learning achievements, and behavioral change when leamh- promoted the participation of stakeholders from govern-'. . . LI e rs lielp identify their ineeds, desi-n anid mianage iear-inafi inent officials and education professionals to community r h programs, and participate in developing learning materi- mem1ber-s par-ents stLudents. anid emp)loyers in desi gn and als. Not only are such programs more relevant to the knowl- im-plemientation. Such participation can contribute in a implmenttionSucpaticipati cancoedge and interests of the students, but also the participa- variety of ways to meeting the challenges facing educa- tr i e tion systems in developing countries: improving quality. Similarly, themotvaio and achieement ol . . ' ~~Slimlarly, the i-notivation and achievemneiit of stuldents promoting equitable enrollmnent. and conltr-ollilg soaring publiccosts, -in v'ocational a2nd I higher education have been enhanced wheni studenlts and commlllunity-based organizationis par- ticipate in designing and managing programs to meet their Improving the Relevance and Quality of Education needs. In these sectors. the participation of private sector In a sector in which demanid is often poorly understood, a employers has been particularly important for improv- fundamental rationale for increased stakeholder participa- ing technical standards and linking training to real em- tion is to improve the relevance, effectiveniess, anid ployment opportunities. Box A2.23. Student and Co(nunity Partcipation in C.lombla . Colombia's Escuela Nueva program was created in the mnid- 1970s to overcome curriculum, training, and administrative deficiencies in multigrade rural schools. The program incorporates a number of innovaive components, including partici- pation of students in school government and community participation in designing and supporting the school curriculum. In each learning task, self-instruction books guide students to identify examples, cultural elements from their own experi- ence, and local materials to be accumulated in the learning centers. Teachers are encouraged to organize meetings with parents and discuss the material prepaird by the students. Children also participate in health, sanitation, and nutrition activities. In this way, the school gradually becomes a resource center for teachers, for agencies operating in other sectors, and eventually for the community itself. In addition, Escuela Nueva child&en are introduced to civic and democratic life through student councils. Students orga- nize into committees to take care of discipline, cleaning, maintenance, sports, school garden, newspaper, and library. They also cooperate in the instructional process by helping so.wer students. This is seen as an essential part of the curriculum as it creates linkages between tie school and the community. Evaluation of the program, which has expanded rapidly to some 20,000 schools, suggests that educational achievement and civic behavior compare fiavoraibly with the output of traditional schools at similar costs per pupil. 231 THI-: NVO)II.A) HANK PIAITI(IPAI'AIfON SO-II (I:IsO(H Box A2.24. Mobilizing Communit Support to Primary Schools in Pakistan The community support program in pnmary education in Balochistan, a province in Pakistan, provides a remarkable example of what can be achieved in adverse conditions tlhrough participatory methods. Beginning with a pilot project in 1992, the community support progrm has already succeeded in establishing 198 new community girls schools in remote rural villages that had no government school and no tradition of parental involvement in schools. Enrollment of girls is 100 percent in many of these villages with high attendance rates. To begin the participatory process, community workers went door to door, urging parents to form an association. In each of the villages, education committees have been created that are responsible for selecting a site for the school, identifying potential teachers, and monitoring teacher attendance and student enrollment. A local girl, educated at least to the eighth grade, has been identified and trained as teacher for each school. After she demonstrates her commitment by teaching for three months on a voluntary basis, mobile teacher-training teams are sent to her home village to provide intensive three-month pedagogical training. This home training is needed because of cultural barriers that prevent girls from traveling far. Following the training, the teacher becomes a government employee: govern- ment rules, which normally require teachers to have matriculated, have been stretched to accommodate the program. The pilot project resulted from the initiative of a Pakistani consultant. The Bank Task Manager, with whom she discussed her plans, recognized the potential of this approach and was able to organize U.S. Agency for International Development funding for the pilot. The consultant subsequently1formed a: small NGO to qualify for funding from other sources, which now include local and international NGOs, USAID, the United Nations Children's Fund, and the government of Balochistan through a World Bank loan, At the project preparation stage, when the pilot was tried, there was no way of knowing if the approach would work or not. The success of the pilot led to full acceptance and ownership of the program by the government, and the government itself is now funding the program on a province-wide basis using International Development Association credit. Because of the experimental nature of the project, World Bank support to the program has only been possible through the new lending approach, which supports the entire primary education program rather than selected components. Building Ownership and Consensus relevant information and views from many sections of In a sector as socially, politically, and culturally sensi- society. Techniques for facilitating dialogue among tive as education. stakeholder involvemenit in policy dia- stakeholders in policy or project design have included logue helps to define the values oil which policy is based focus groups. workshops. conferences. and, as in and to develop consensus between competing interest Botswana. innovative use of video technology. The groups. It also helps to ensure that proposed changes have Phil ippines (see box A2.25) is one of several coun- the understanding and suppoilt of all the groups on whom tries in which Economic Development Institute work- successful implementation will depend. shops have been the catalyst for participatory educa- In some cases in which major policv reform has tion sector work. Uj been envisaged. education commissions have elicited Box A2.25. Building Borrower Commitment in the Philippines The participatory process used in education sector work in the Philippines is reported to have called for much more time and patience on the part of Bank staff than would have been the case with a more traditional Bank approach, but it is hoped it will pay off in terms of government commitment. This work started with an Economic Development Institute workshop, focusing attention on the characteristics of effec- tive schools, how schools improve, why schools were not working well, and what the priorities of reform should be. This was followed by another national seminar on the same subject. Broad stakeholder involvement was promoted through a participatory workshop for project design (the ZOPP methodology) that included forty people from each broad geo- graphic zone. From these participants and other stakeholders, a team was selected to draft a national implementation plan. Having secured ownership in the sector, the exercise is now being extended to the central agencies in which the decision to borrow or not ultimately lies. 23 2 API'ir;.N1x IT: NVO(RKING P-'APER-t [1 SUNINAIE\- Reaching Disadvantaged Groups or voluntary contributions is motivated by their having a Participatory methods have often been successful where voice in such decisions and confidence in the value to formal education systems have proved least effective in them of the school or program. serving the needs of girls (see box A2.24), remote com- munities, and marginalized groups. Participatory social Building Institutional Capacity research. as used in The Gambia to investigate the rea- As in other sectors, participation by stakeholders in de- sons for low attendance of girls in primary schools (see signing and managing programs in the education sector box A2.26), can help identify the policy measures needed can also yield substantial long-term benefits beyond the to counteract the bias against disadvantaged groups. Ex- individual project by strengthening the institutional ca- pertise in bringing educational opportuniities to the poor- pacity for sustained development. The process of par- est communities and in promoting the education of ticipationempowersindividualsandenhancestheirabil- women is found in NGOs that have experience in work- ity to contribute to the wider development process as new ing with community-based organizations and the neces- skills are learned and new norms adopted. Although these sary flexibility to adopt participatory methods. external benefits are difficult to measure, they can be in- ferred from many of the project reviews. Mobilizing Resources The experience of participation through cost sharing in COT N HI ; education has been mixed. Efforts to generate commu- nitv contributions of cash, materials. or labor to school Evidence in the education sector suggests that higher construction, for example, have tended to be most suc- initial costs may be incurred in participatory projects to cessful in remote areas where the influence of central carry out the necessary social research and community government bureaucracy is weak. They have been least work and to disseminate information or organize work- successful when communities have not participated in shops. Furthermore. project costs may be understated decisions concerning location, design. construction, wheni the opportunity cost of voluntary time and effort is school management. or education priorities. The support high. These additional costs, however. are generally off- of parents and otheir community members through fees set by subsequent gains in efficiency. Box A2.26. Participatory Research in The Gambia Uncovers Reasons for Low Enrollment and High Dropout An innovative approach was used in this survey to gain better understanding of the reasons for low enrollment and high dropout rates of girls in primary education in the Gambia. In addition to conventional survey methods (including question- naires in schools, teacher interviews, and parent focus interviews), the techniques of participatory rural appraisal (PRA) were adapted to education to counteract the bias against disadvantaged groups and provide a voice to people who are not usually heard. Thirteen local researchers, including statisticians, Ministry of Education staff, and teenage girls (to interview their peers) were trained in PRA methods. After trials in three villages, the team carried out a series of projects in seven villages and seven urban schools. Focus group discussions were held, at which community members were asked to explain their problems and how education related to those problems. Villagers constructed matrices of community and educational problems, drew seasonal diagrams on income and expenditure, constructed social-educational "maps" of the village., identified households with girls of school age, and provided a wealth of socioeconomic information. One of the most startling results was the discovery that one-quarter of all the school-age girls (those who were pregnant, married, or about to be married) had remained "hidden" from enrollment statistics. because they had not been counted by villagers in the initial census. Costs to parents, including indirect costs and the coincidence of school fee payments with the season of lowest income, were seen as the biggest problems associated with education. As a result of this research, various measures have been introduced, including a change in the timing of fee payments. The work was followed up by a second project, working with two rural communities to examine practical, community- based solutions to the problems identified in the first project and to assess available community resources for implement- ing such solutions. Options deemed by the community to have the highest chance of success were included in a commu- nity action plan. Women in one of the villages, for example, decided to start a conmnunal farm and devote half the income from sales of farm produce toward school costs for girls. 233 IHEi F*%'( )R,lI) B A NKI. IPA''RT( ICPAT I()N S( 1CI MO(K'F HE)( There is some risk that the allocation of costs may be weak political will, support for participatory approaches inequitable or place an excessive burden on the pooI in has been generated by sustaining dialogue and demon- participatory projects in which substantial community strating potential benefits through pilot projects. contributions are sought. For example, even the contribu- Institutional conditions may make participation more tion of labor in school construction has been founld to be or less difficult to achieve. whereas simple scarcity of beyond the means of some of the poorest communities. management and communicationi skills may be the main Estimating the ability and willingness of communities or constraint to increasinig participation in some of the poor- individuals to share in costs needs to be approached on a est countries. It is often necessary. therefore. to build an case-by-case basis in the context of equity objectives. education or training component into a participatory Difficulties that have been encountered in participa- project in any sector to overcome skill shortages. Infor- tory projects include delays in implementation and depen- mation sharing and dialogue are also important to suc- dence on charismatic project leaders. The risk of abuse by cess: in demand-driven education projects, communities individuals, local elites, or interest groups also has to be must have access to the best possible information on tech- borne in mind, as does the potential for misuse of funds. nical options. costs, benefits, and opportunities. Commitment to a process of dialogue among groups Because of the need to respond flexibly to develop- of stakeholders involves its own risks. which must all be ments as the project evolves, making education projects taken into account: the timing and possibility of reachinc participatoty calls for additional skills and greater toler- consensus are uncertain; political conflicts are liable to be ance of uncertainity on the part of the Task Manager: it exposed; and the risk exists of generating social unrest by also puts a greater onus on the quality of project prepara- raising unrealistic expectations among parlicipants. tion. clarification of objectives, and project supervision. These costs and difficulties notwithstandcing. the risks Task Managers who are promoting participation in of expensive failure in participatory projects are judged education projects say that success depends on attention smaller than in a typical, "top-down" education project, to the t'ollowinig critical elements: in which lack of sustainability may not be recognized until after significant investment is complete. * Early stakeholder analysis and involvemiient * Ilnfonmiatioii sharinc and dialogue among stakeholders o Flexibility in the funding. timing, and scale of Conditions for Success projects The most important preconditions for success in partici- * Institution strengthening patory projects are political will on the part of central - Appropriate systems of monitoring and evaluation, government and commitment by key actors. In cases of and mechanisms for ensuring accountability. This note is baxsed on the paper wriften ' b\ Not J. Colleita and Gillion7 Per-kin.s. Contributors include Sarbuni Chakrabortv. Mae Chi Chiang, Francoise Delannoi' lVtV-d Henei'eld, Eileen Kane. Samiuel Lieberinant, Paud Murphy, Makha Hdlau, Robert ProutY. Alc sone Saliba, Lawrence Salmien, Yogeied,-i Saranl, and Don Winkler 234 APPIl:;NDX 11: WORIuN; PAP'ERI1 St'M'IAIHlT: PARTICIPATIO0N IN SOC( AI, erating commitmenlt to sustaining project activities and benefits beyond the life of the fund. FUNDSr)F; Increasingly, beneficiary participation is also sought as an end for two prirnary reasons. First, when coinmu- The newest Bank-supported social funds are designed nities are given the responsibility and ability to identify, explicitly to increase the participation of beneficiaries in implement, anid supervise microprojects, they are better identifying and managing microprojects with the aim of prepared to involve themselves in future development making project activities more relevant and sustainable.' activities. Second. social funds can serve as models for Features that support participation are built into the de- participatory processes, demonstrating to governments sigin of the funds' managemenit structure and the andother intermediariesthefeasibilityandutilityofpar- microproject cycle. Additional time, imiatiatenient, and ticipatory approaches. training resources are needed to assess and build the nec- essary capacity of local organizations; special measures may be called for to enable the most marginalized groups C ''r to participate. Promoting participation in social funds involves costs as Social funds have spread rapidly in developing coun- well as benefits. Building the ability of beneficiaries to tries since the well-known Bolivia Emiiergenicy Social 'bil't'esthroughouttheiicroprojectcycle Fund was launched in 1987. The first large-scale funds asuicrespoilsi I I Ls cani increase mianagemient anid trainingy costs as miore staff were designed as temporary institutions to mitigate tile and euipment are _eeded to reach beneficiaries and to adverse impact of' structural ad justment by creatin em- build organizationial capacity. Some of these expenses ployment and delivering emergency social programs. As can be absorbecd by the iicroproject. but it is likely that objectives have evolved over tlme, funLds are now also some will have to be covered by the social fund. used more generally to support developmenit in the so- In addition, social fund managers face two potential cial sectors and poverty reduction at the local level. contlicts: (a) the conflict between the need for rapid Social funds are typically set up as autonolmlOuIs ill- microprloject imitplemoentation and the time required for StitUtiOnS to provide funding to local organizations (coin- conisultation and capacity building and (b) because de- munity-based organizations. NGOs. or local overn- miand is expressed first by communities with the skills ments) in a more rapid. flexible, and tranisparent imaiinner niecessary to prepare proposals and gain access to the than line ministries. rhe funds do nlot themilselves iden- funid, the demand-driven niature of social funds may have tify or implement microprojects; instead, they respond to be suIpplemilented by special measures to enable the to requests generated by local groups. appraise projects poorest and most iarginalized among intended benefi- fi-or funding. supervise implementation of projects. and ciaries to participate. monitor their effectiveness. Because the implications of these trade-offs are so Because most social funds have beenl temilporary an(d importalt, fund desiginers must clarify and integrate pri- because they have not provided for recurrenit costs, funid orilies from the outset managers have often faced dif'ficulties in sustaining large number-s of dispersed microprojects. Strategies to involve to beneficiaries in cost sharing were developed initially in IIT1I,DIN(G PAI.TI(II'AT'iION INNr() F'NI) response to these difficulties. Currenitly the World Bank I)I':(I:N is funding about thirty projects to suppolt social funds; theInewest of these. i In promoting participationi in social funds, Task Managers hey Fndwes an these, Ethiang Social R and Rion must consider how to involve all stakeholders, how par- ery~~~~~~ ~ FudadteEhoinSoiladRhbltl ticipatoi-y elemenits of temiporai-y funids will be ultinmately Development Fund, are designed explicitly to Increase tiiaoyemnsofeprryudswlbeliaey Develoiiien Fund are esigiid expicitl to icreas transferred to oovernment niinistries, how to enhance parl beneficiary participation inl microproject identification t e to goemmenthe misr,owo enhancle and maniagement as well as costs. ticipation at every stage of the microproject cycle and how to evaluate implementing and community organizations. 13 ii; N i.; F'lt T SStakeholder Groups The involvemiienit of beneficiaries in consultationi, cost The participation of all stakeholder groups in social fund sharing, and decisionmaking can improve the outcomes design-central and sectoral ministries, the NGO comn- of Bank-supported social funds by ensuring that the muniity. municipalities and local Coverinimients, as well as microproject is relevant to beneficiary needs and by gen- comml1un_ity-based organizations and beneficiaries1l:'I.;N II: NV4()K1{[N(; PAPE'IR S;Ii MMAi-RiES- Box A2.32. Addressing Gender Issues in Poverty Assessments Poverty assessments, through quantitative survey methods as well as qualitative methods used in the participatory poverty assessment component, can provide important information on gender differences in labor force participation, coping mechanisms, and how men and women perceive poverty and ways to reduce it. Some of the most recent poverty assess- ments have been designed explicitly to generate gender-specific data on a wide range of questions. In the participatory poverty assessment in Cameroon, 50 percent of the interviewers and 50 percent of those interviewed were women. The resulting information was fully integrated in the subsequent analysis and recommendations with strong policy implications. For example, women in Cameroon were found to be shouldering most of the burden of producing and marketing food. One of the specific actions proposed for improving food security was to target small-scale women farmers with a "productivity package" of critical agricultural inputs. The poverty assessment confirmed the heavy workload of women. As a result, urgent action was recommended to give women access to transport and time- and labor-saving tech- nology to allow them the opportunity to develop their own skills and participate in community projects. The Zambia poverty assessment also focused on collecting sex-disaggregated data related to the division of labor and the implications of time constraints on female labor. Most poor households in rural Zambia were found to be headed by men, using traditional technologies and practicing gender-specific labor allocation, which put extreme pressure on women s time, especially in the peak months of planting and harvesting. In modeling rural household behavior, the study estimated that the value of crop production per household member more than doubled when labor was allocated on a gender-neutral basis. Appropriate measures vary depending on the particu- activities into mainstream programs can occur once the lar social and political context. the exact nature of the environment for their participation has been created. constraints operating against women, and the kind of In some cases, the representation of women has been activity in which their participation is sought. Constrainlts ensured by making it mandatory. Under the Yemen Edu- affecting women more than men may include any com- cation Sector Adjustment Program, for example, it was bination of legal or cultural obstacles. time constraints, specified that at least one-third of the workshop partici- lack of access to information, illiteracy, lack of trans- pants should be women. Similarly. in the Benin Health port, or lack of access to finance. The followincg are some Services Project, it was stipulated that each village health examples of the approaches taken to facilitate women's committee must include at least one mother. participation in recent Bank-supported projects. Working through separate. women-only groups is When the obstacles to women's participation are se- often the preferred option: depending on cultural condi- vere, a case can be made for targeting women's needs and tions, few alternatives may exist. In the Phalombe Rural designing-projectsexclusivelyforwonienasintheWomen Development Project in Malawi. women opted for their in Agriculture Project in Nigeria and the Women in De- own women-only farmers' groups instead of niixed sex velopment Project in The Gambia. Integration of women's groups. They felt freer to discuss and develop their ideas Box A2.33. Gender Awareness in Project Design In designing the Togo Urban Development Project, gender awareness was explicitly incorporated in the participatory process. Initial studies revealed that women had almost exclusive responsibility at the household level for maintaining a sanitary environment, providing water, managing waste, and promoting family health. They also found that knowledge of the links among health, clean water, and hygiene was extremely limited. During the preappraisal rmission. the first two meetings with community elders, held in the chief's compound, included no women, so the Bank team suggested holding a separate meeting at which the women could articulate their priorities and concerns. The following day the chief's wife chaired a meeting attended by about fifty women from the community. The same questions were asked of them as of the men: a local consultant served as translator and intermediary. Their main concems, which differed from those of the men, were: men's unemployment; the need for market upgrading, including standpipes, latrines, and central play space for children; access to drinking water; access to finance and credit; and training in management, hygiene, health, and literacy. The women's agenda was fully incorporated in the final project design, which included employment generation through labor-intensive public works and a training program in environmental management geared to the needs of a largely illiterate and mostly female population. 24 1 TIH-:E E O)RI I) BANKI P.ART'l 1( ii 'Al' 111.N' S()I 'I( F:l;Ltio 1 with extension workers. Also, having better repayment participating in decisionmaking by illiteracy orrelative lack rates than men, they preferred to obtain credit in women- of education. This may involve. for example, targeting only clubs. In the Matruh Resource Management Project women in promotional campaigns, training project staff in Egypt. when no womnen showed up at the public PRA in gender awareness, hiring female community workers. sessions, parallel women-only sessions were held to en- ensuring that meetings are conducted in the local dialect, sure that the project design reflected women's as well as or finding creative ways (akin to the techniques used in men's views. participatory rural appraisal) for illiterate women to take Whether women meet with men or on their own, their responsibility for project monitoring and evaluation. workload often makes it more difficult for them to attend For instance, after the initial promotional campaign meetings. As their domestic responsibilities often requir-e for the pilot phase of the Ethiopian Social and Rehabili- them to stay close to home. lack of mobility and shortage tation Development Fund project, it was learned that of time may be constraints. Various practical measures, womeni were not submitting proposals. In the next phase, from providing child care facilities to installing standpipes therefore, promotional activities are targeting more that reduce the time spent in fetching water. can make it women's groups, community organizers are being sensi- easier for women to attend meetings or training sessions. tized to the important role played by women, and more In particular. the choice of time and place for meetings women are being hired as community organizers. A par- milust take account of women's schedules (see box A2.34) ticularly successful technique for disseminating informa- and the availability of safe transport. tion in the Gambia Women in Development Project has Similarly, special measures may be needed to ensure been to train women in operating video cameras and in that women have equal access to project information and other methods of documenting their activities to share are not prevented from communicating their concems or and exchange information with other women. Box A2.34. Enabling Women to Attend Meetings In the Nigeria Women in Agriculture Project, specific steps were taken to reduce the conflicts in women's schedules and facilitate regular attendance at meetings. Each group meets on the same day at the same time and place, reminders about the meetings are posted at highly visible and accessible locations, and, if the scheduled day conflicts with a market day, the women are consulted in advance and an alternative time agreed on. Consequently, women rarely face the problem of not knowing where and when the meetings are held. The meeting site is selected after the Women in Agriculture agent has introduced herself and the purpose of her visit to the village head. She, in turn, informs household heads who then give their permission for wives to attend meetings. This flote is based on the paper written by Michael Bam?ibe,er, Mark Blackden, and Abeba Taddese. Contributors include Jerri Dell, LyVnn Bennett, aind EliZabeth Morris-Hia.hes. 2 42 A\1,1,[,:.N1)15: ]I: \\<111';1.l1:{S'INAA15.R1IE.1 PAR 'rI ( 'IPATION A NI) (a) identifying an organization that is willing to collabo- rate and whose capacity and orientation match the spe- IN TE 14:R11EDL;ARV NGX( )F; cific task at hand and then (b) ensuring that the influence of the Bank is to support rather than undermine the par- NGOs can be effective intermediaries in Bank-funded ticipatory character and capacity of the NGO. projects that depend on participation and capacity build- ing at the community level. Successful collaboration de- pends on identifying an organization with appropriate ID)ENTIFYiF1N(i 1PARTICIPATU)MV EN( )9 characteristics and involving its staff in decisionmaking The term "NGO" encompasses a broad array of different from as early as possible in the project cycle. Steps must organizations, varying enormously according to their be taken to prevent Banlk or -overnnment requlirements b t e purpose, philosophy, sectoral expertise, and scope of ac- from undermining the participatory orientationi of the tivities Adistinction ismadebetweenoperationalNGOs, NGO and, where necessary, to strengthen NGO capac- which are engaged prmanly i designing and* ity, encourage cooperation amsong NGOs. and support ing projects, and advocacy NGOs, whose main purpose communication between NGOs and government, is to defend or promote a specific cause. Some NGOs engage in both types of activity. Advocacy NGOs, such 'll lih; IN iR DA: H0 al H l - V I{ )1 . as those defending the rights of indigenous peoples. may perform an important intermediary role in supplying in- As Bank-lending operations increasingly emphasize pov- formiiation and facilitating communication and consulta- erty reduction, investment in human resources, and en- tion. Generally. however, Bank-NGO collaboration on vironmental management, more and more Bank-sup- specific projects is more likely to involve operational ported projects depend on participation anld capacity intermediaries. building at the community level. Participatory commu- NGOs vary greatly in the extent to which they en- nity-based development depends in turn on intermediary sure beneficiary participation within their own programs. organizations with the specialized skills anid experience At one extreme are NGOs whose orientation and com- to provide links between community-level institutions petence are verv similar to the private sector firms with on the one hand and national institutions and the Bank whom they compete for contracts in project implemen- on the other. The intermediary functionis include facili- tation or service delivery. Such NGOs may be efficient tating communication between project beneficiaries and (and in strong demand) as service deliverers but are orn- government; helping to identify and voice community ented to meeting the requirements of bureaucratic fund- needs: supporting participation and group formation: ing agencies and are unlikely to use participatory pro- training and building the capacity of community groups: cesses. At the other extreme are participatory NGOs that and channeling resources to the community level. see themselves exclusively as enablers and capacity build- This bridging role may be filled in different ways, ers and refuse to compromise their objectives or inde- dependingL on institutional circumstances and the nature pendence by collaborating in official programs. A mi- of the particular project. Line agencies or local govern- nority of exceptionally effective NGOs combine a high ment units may be restructured and reoriented to fill the level of competence in service delivery and in commu- role of community facilitators. Alternatively, the needed nitv capacity building. The Aga Khan Rural Develop- services may be contracted out to the private sector, mul- ment Program in Pakistan provides an example of what tilateral or bilateral agencies, NGOs, or a combination can be achieved by such organizations, committed to of these. Often. the strongest grassroot links. most ca- "bottom-up" planning and combining strong technical pable and dedicated community workers, and greatest expertise with effective institution building at the village experience in reaching disadvantaged groups through level. Using infrastructure projects as the catalyst for in- innovative participatory methods are found in NGOs. stitution building, this program reached 38.000 house- Not all NGOs are participatory and not all Bank- holds and created 110 women's groups within four Years. NGO collaboration has been with the purpose of pro- An organization serves the interests of those to whom moting participation. Until recently, the Bank looked to it is accountable. In this respect, national- or regional- NGOs primarily for capability in service delivery. In ap- level membership NGOs, including federations of proximately two-thirds of projects approvecd in recent grassroot organizations or cooperatives, trade unions, years, however, the promotion of beneficiary participa- peasant unions, or ethnic groups can be valuable part- tion was cited as the main rationale for seeking NGO ners in projects requiring broad participation (although involvement. For the Task Manager, the key issues are 243 ITHE NVO\(R)IA) BA.NIC PA IRTICIPATIOI IN S'01 it -VHF Mli¢f women and marginalized groups are not always well rep- is donor or government pressure to disburse and deliver resented). One difficulty. however, can be that they are services quickly. Unless procedures are made more flex- often more politically embroiled and subject to state regu- ible and both the Bank and the government are commit- lation. Among NGOs that are not membership based, ted to supporting participatory processes. the NGO is accountability to client communities. for example. pressed into a service delivery rather than capacity-build- through community contributions of cash. labor, materi- ing role. This has happened in a number of Bank-funded als, or facilities, is an important indicator of an projects, including Liberia's Second Education Project. organization's participatory effectiveness. Nonparticipa- Under this project, schools were constructed rapidly and tory NGOs tend to regard community members purely at low cost. No attention was given, however, to support- as beneficiaries and the funding agencies as their clients. ing the intermediary NGO in building community own- Specific criteria for selecting an NGO in terms of tech- ership of schools, and planning for maintenance. As a nical and operational capacity, outreach potential. skills result, many schools deteriorated and some went unlsed. in community capacity building. and knowledge of condi- Similarly, in the Zambia Squatter Upgrading Project, it tions in target communities need to be matched to the spe- was agreed in principle to pursue long-term community cific task at hand. Guidelines for assessilg the participa- development goals by promoting active beneficiary par- tory effectiveness of an NGO are summarized in box A2.35. ticipation. A stipulation was included, however. in the Assessment should be based on the NGO's proven track final agreement that, if the collective self-help approach record as well as its stated objectives. Paper credentials to be used by the two intermediary NGOs interfered with and financial or organizational strength are often less im- the predetermined project schedule, then contractors portant than dedication, commitment, and enthusiasm. would be employed to carry out the work. Creative Task Managers have found ways to ensure that they support r ather than undermine the participatory ( ) I'ERAu I( )NA I, ('Ii Al .I. \E N(:, strengths of NGO partners by introducing mechanisms Several operational challenges face Task Managers in that permit revisions in project priorities, greater flex- working with NGOs in the participatory process, includ- ibility in the timing and scale of implementation, and ing supporting the participatory orientation of NGOs, alternative procurement procedures, or that allow NGOs permitting flexibility in the scale and timing of imple- to design and implement their own programs. mentation, enhancing NGO capacity, and strengthening Consultation from the outset concerning development NGO-government linkages. objectives can help resolve the tension between the short- term project focus of the Bank or govemment and the long- Supporting the Participatory. Processtermn community development goals of NGOs. The most SupparadortiongeroticipatoryTask Panagero s that the quali-successful cases of Bank-NGO collaboration have involved ties that make NGOs participatory and therefore attrac- -nmutual transparenicy and shared decisionmaking from early tiveas thatermakediN s partincimpatory e andtherefe mata- in the project cycle. If NGOs are to participate in a Bank- trnmente donorm and Bank irqin ements. One of the ma- financed project in a significant way, It is important that they have a say as early as possible in the design of the jorn constraints to group formation and capacity building project and in defining the tenns of their involvement. Box A2.35. Indicators of Participatory Effectiveness in Intermediary NGOs * A flat management structure with decentralized authority * Organizational structures at the community level to which funding and/or other decisions are delegated * Use of iterative planning, involving consultation with local communities * Contributions of cash, labor, raw materials, or local facilities by community members and organizations, making them clients rather than beneficiaries of the NGO * Staff recruitment criteria, incentives, and training that support participation * Strong field presence outside metropolitan areas with high proportion of staff of local origin * Community leaders and members have a positive perception of the NGO * Turnover of client groups as they "graduate" over time and intensive field attention transferred to new groups 244 APPE'i.NDIXl) II: PAPERIIhIi '.) SINNAI S'S5.14E, The Question of Scale the scope and demands of the project. Although it is Highly participatory NGOs tend to work on a very small difficult to generalize for the sector as a whole, com- scale, some of their programs depend on staying small mon areas of weakness in NGOs are limited financial and resource-intensive. In other cases. NGOs have es- and management expertise. limited number of staff with tablished participatory processes that they have them- training and experience in community mobilization, lack selves extended to large programs or that have proved of technical capacity. limited coverage in terms of scale replicable by other organizations or government agen- or area, concentration in urban centers, lack of commu- cies on a large scale. Various approaches have been used nication or coordination with other organizations (in- to enable successful NGO programs to be scaled up and cluding government agencies), and limited understand- "mainstreamed," where possible, without losing their ing of the broader social and economic context in which essential participatory qualities and without individual they are working. Because institutional gaps can be dif- NGOs having to grow to the point that they become hier- ficult to foresee, it is important to build flexibility into archical and bureaucratized. This may involve strength- the provision of training. ening the capacity of NGOs, both through training and As the examples in box A2.37 demonstrate, facili- through promoting NGO partnerships among NGOs. tating cooperation and partnerships among NGOs can Scaling up may also involve training government staff be a highly effective means of organizing training, as in participatory methods and relaxing some government well as enabling small organizations to contribute to large- regulations. When working with governments to encour- scale projects and developing the capacity of the local age NGO linkages, it is useful to consider that govern- NGO sector as a whole. ment agencies, as well as the Bank, may have to scale down in the sense of decentralizing and building flex- Strengthening NGO-Government Linkages ibility and microvariability into their operations. This not Relationships between government and NGOs vary only pushes decisionmaking down closer to the popula- oreatly between countries (and between NGOs) on the tions most affected (and is in this sense itself more par- basis of histor-ical, political, and ideological differences. ticipatory) but also makes it easier to work with regional Simple lack of communication, however, is otten re- and local NGOs. The community support process under sponsible for mistrust anid misunderstanding about the the Balochistan Primary Education Program (see box other's objectives, concerns, and constraints. The Bank A2.36) illustrates how flexibility on the part of governi- can help to promote state-NGO communication by spon- nent can allow an innovative pilot project by a small soring joint training. workshops, and conferences in NGO to be expanded successfully and linked into gov- advanc of trai sl and cular,nby in ernment programs. ~~~~~~advance of project appi-alsal and, In particular, by in- einment programs. cluding both governmenlt and NGOs as stakeholders in project design. Enhancing NGO Capacity A number of Bank-supported projects (the West Ben- Training of NGO staff is often needed to ensure that gal Population Project, for example) have also led to the the institutional capacity of an NGO partner matches creation of NGO liaison units in government. Box A2.36. Mainstreaming a Successful Participatory Process The Community Support Process, included in the Balochistan Primary Education Program, is establishing new commu- nity girls' schools in remote rural villages. The process began in 1992 with a pilot project by a small national NGO whose community workers went door to door, urging parents to form viLlage education committees, identify a potential female teacher, and select a site for a school. The success of the pilot led to full acceptance and ownership of the program by the government, which is now funding the prograrn on a province-wide basis using International Development Association credit. Because of the experimental nature of the project, Bank support has only been possible through the new lending approach that supports the entire primary education program rather than selected components. So far, the NGO has succeeded in mobilizing community members to establish 200 schools. Replicating the process on this scale and incorporating the schools and their teachers into the government system once the school has proved viable has depended on the willingness of the Ministry of Education to relax a number of its regulations, so that girls with as little as an eighth-grade education can qualify as teachers and can receive training at home by mobile training teams. 24 5 'rnu;t Nvoml.r) B.ANK I'.XlV''l('IPATIOl¢N S0JT"l('U;t;()()1 Box A2.37. Encouraging NGO Partnershilps in the Benin Food Security Prject, partnerships were encouraged between stronger, larger NGOs and weaker, newer NGOs to stimla e trafeT of methodologies and technology. This projectbegan as a pilot, which involved interna- tional NGOs and a few Beninese NW&s. Ater two years of the pilot experience, NGOs were brought together with government aid donors at a workshop to design a new project based on the pilot phase. One of.the findings at the work- shop was that geographic concentration in the capital isolated many large NGOs from target communities. International NGOs had the inuna and financial resources to submit competitive proposals to be included in project activities; they often, however, had tie least recent or direct experience with potential client communities. Where local NGOs lacked transport to access project areas, interuational NGOs had the necessary equipment and staff but lacked the local contacts. At the workshop, conensus was reached to odify theprojet in sevel ways,: including creatig, incentives for NGOs to establish field offices in theprOject area, giving regional offices the authoity to approve mierprojects and disburse funds, and requiring intrnational NGOs to partner local NGOs to facilitate technology transfer and information sharing. For the Bank-finainced Improved Environmental Management and Advocacy Project in Indonesia, an international NOO teamed up with twelve Indonesian NYGOs to strengthen the ability of local intermediaries to address the environmental consequences of pesticides. The international NG6 assists local counterparts in developing primary learning approaches to educatelocal people about environmental problems and solutions. This collaborative NGO effort is a broad initiative to develop education and trprograms for farmers, consumers, and provincelevel regulatory officials. It also serves to transfer skills and knowledgeamong NGOs. The goal of the Uttar Pradesh Sodic Lad Reclamation Project is to reclaim salt-affected lands using paricipatory man- agement techniques that could serve as a model to be replicated more broadly in the future. Farmers' water management groups will beor ized and community volunteers will be trained in technology transfer byismall local NGOs. The staff of fthese grassroots NOs will be trained i turn by larger intermediary NGOs with previous experience in participatory management. Other projects, such as the Participatory Forest Development Project for Bangladesh, are using a similar structure in whiich advisory NGOs coordinate the im plple activities of small, locally based NGOs. These projects are coordi- nated at the national level by a single organizationf that works dectly with the government to ensure compatibility with national go*ls nd policies. 'Tlhis n70te is btised 01o the pape r v iritten by Thomtias Carroll, Maryl Schmidt. and Ton! Bebbington. Contributors include John Delion, Christopher Gibbs, John Haill. JAflet Koch. Xavier Legriin. Pllilip) Moell/e; Gallu.s Mukami, StanleY Schevei; Susan Stou1t. ainid Thomas Vienis. 2 4 6 API'IENDIX I 1: VOHRIN(i P'AP'ER S'I'.INIM\RIE'- D)rE;s NTN(' COMNIAM11UNITY-BAsErD at the outset in building capacity at the local level. These costs, however, are significant only when community-level D};\ F,(OrAIE:NTr organizations have been so eroded that substantial time and resources have to be devoted to capacity building. Even When properly designed. community-based programiis can wheni initial costs are high, they are more than offset by be highly effective in nmanaging natural resources, pro- subsequent gains. viding basic infrastructure or ensuring primary social Evidence increasingly indicates that, when? tihe insti- services. Participation in community-based development tutional framnevork- is rig/It, participatory community- depends on reversing control and accountability from based programs actually cost less (see box A2.38) and are central authorities to community organizations. Success- quicker to implement. In Bank-funded projects, the typi- ful design requires tapping into local needs, unlderstand- cal patternl lhas been a slow build-up period, when time is ing and building on the strengths of existing inistitutions, invested in community organization and setting the mles and defininig the changes needed in intermediary imple- for interaction, followed by speedy disbursements. mentinig agencies to support community action. Once the participatory process is established, the ben- efits of community-based development include increased ('O)Si" S ) S BENEFI'I' efficiency and cost effectiveness. Furthermiiore, when the success of projects depends heavily on1 changes in behav- Two persistent myths exist about community-based pro- ior at the community level, promoting participation in com- grams: that they cost more than conventional programs munity-based programs may be the only means of meet- and that they take longer. Additional costs may be incurred ing objectives. The examples in box A2.39 indicate the Box A2.38. Does Participatory Community-Based Development Cost More? In Pakistan's Orangi Pilot Project, which prqvided sewerage facilities to nearly I million people in a poor area of Karachi, costs were one-eighth of conventional sewerage provided by city authorities. This was due to changes in technical design and the elimination of payoffs to intermediaries. In Brazil's water and sanitation project for low-income communities (PROSENEAR), a ceiling of $120 per capita has been imposed on sanitation expenditures. Within this cost limit, engineers and community development experts are en- couraged to work with communities to devise the most appropriate solutions. Through this process, projects have been designed for as little as $50 per capita. Box A2.39. Community Participation Yields Significant Results In Gujarat, India, during the 1980s, an average of 18,000 forest offenses were recorded annually: 10,000 cases of timber theft, 2,000 illegal grazing, 700 fires, and 5,300 other offenses. Twenty forestry officials were killed in confrontations with comnmu- nities and offenders; assaults on forestry officials were frequent. In response, an experiment in joint management with com- murnities was begun by the conservator. This included community meetings, widely publicized creation of forest protection committees, and profit sharing of 25 percent of timber returns with local groups. As a result, conflicts between officiais and community groups diminished, community groups assumed responsibility for patrolling forests, and productivity of land and returns to villages increased sharply. In one year, one village of eighty-eight households harvested and sold 12 tons of firewood, 50 tons of fodder, and other forest products, while also planting and protecting teak and bamboo trees. In CMte d'lvoire, a national rural water supply program established community water groups that managed maintenance of 131500 water points and reduced breakdown rates from 50 percent to 11 percent at one-third the cost. The shift to commu- nity-level maintenance was managed by taking away the responsibility for rural water supply from the sector agency, supporting private sector involvement in spare parts distribution, retraining technicians, and signing contracts with village groups and the water directorate. The results were sustained in those villages that had high demand for the rehabilitated water point and in which well-functioning community organizations already existed. In Tamil Nadu, India, a community-based nutrition outreach program in 9,000 villages resulted in a one-third decline in severe malnutrition. A group of twenty women interested in health issues was hired in each village as part-time commu- nity workers accountable to the community. The women's groups, formed initially to "spread the word," subsequently branched off and started food production activities on their own. Earlier programs focusing only on the creation of health infrastructure were unable to make any difference in the nutritional status of children. 24 7 potential benefits of a community-based approach in three force its own rules and regulations. Whether strengthen- broad areas-managing natural resources, providing ba- ing or modifying existing organizations or establishing sic infrastructure, and ensurilg primary social services. new ones, steps need to be taken to ensure that these con- ditions are in place. What may seem an obvious point but is often ne- (ON I\)I'fi'I{)N'! FOR: siU('('.I: glected is that a group functions only because it is ad- From time immemorial, commlLIUnities have organized dressing a felt need of its mtiembers. A fundamental de- themselves to take care of collective and individual needs. sign flaw in a natural resource management project in Why then have so many attempts at getting people to the Philippines, for example, was the assumption that participate and take responsibility for community-based upland farm-lers were interested il forest management. In development failed in the last fifty years'? Experience contrast, the need to solve what is perceived as an urgent provides some clear lessons abouLt what works and what problem may bring different class and power groups to- does not work in community-based development. Pronii- gether. In South India, for example, the entire village nent among the failures have been attempts to achieve manages community-based irrigation systems and has results on a wide scale through the infusion of external developed a monitoring system to discourage water theft. management, funds, and technology, controlled from dis- Groups continue to functioni as long as the benefits of tant places. A fundamiiental prerequisite of successful participation to their members continue to outweigh the participatory programs at the communlity level is the re- costs (see box A2.40): hence. project design must be versalo acontrol andaccountabilitt froml central authori- based on knowledge of community demand and must ties to the community level. ensure that incentives for participation are in place. Experience also points to a series of common ele- In any communlity, inherited networks of organized ments in the design of successful programs. The first in- reciprocity and solidarity form the basis for individual trust gredients are knowledge and understanding of local needs and cooperation. New community-based programs need and of the existing network of social interaction at the to use and build on this existing stock of social capital household, group, and community levels. This knowl- and, wherever possible, to work through existing organi- edge provides the basis for defininig the changes needed. atitos. In Nepal, for example. when government policy both in existing local organizationis and in external agen- prescribed the creation of farmers associations, assistant cies. to meet specified objectives. overseers found many informal groups of farmers orga- nized arounld irrigation systems. Rather than creating new organizations, these existino groups were encouraged to Changes at the Community Level .'t . If a community group is to function successfully, several register themselves as official farmers associations. Sometimes, notably when existing social organiza- criteria must be met: the group must address a felt need and a common interes.thebnefitsoini tion is highly inequitable. creating new groups is the onlv anid a commnnoil mterest, the beniefits to individuals of' I .. . . . m~~~~~~~~i-eans of promotmol the participation of disadvantaged participating in the group must outweigh the costs, the m o people. Many successful projects that specifically tarfet group should be embedded in the existling social organi- e e n t zation; it must have the capacity. leadership, knowledge such as the Grme Bank the Self l Womns ^ '. . ~~~~~~~ ' t ~~~' such as the Gramieen Baink the Self-Employed Womien's and skills to manage the task, and it must own and en- Association of India, and women's farmer groups in Ni- :; g Box A2.40. The Benefits Must Outweigh the Costs In the Philippines, farmers actualy negotiated an increase in their irrigation fees because they had worked out a formula with the irrigation agency through which they would benefit from imposing and managing the collection of higher fees. If the group does not undertake new tasks as old ones are accomplished, there is no new benefit flow and the costs begin to outweigh benefits. In Indonesia. water user groups that took on new tasks and provided additional benefits (such as individual household toilets and food security) continued to thrive, whereas others that did not functioned at a low level or not at all. In Pakistan, 14,000 water user associations were hurriedly created to become active in water course improvements. When construction was completed, however, the associations did not move on to broader irrigation management tasks because they saw neither a purpose nor a benefit to continued existence. Instead, they reverted back to the traditional warabandi system, which was already well established and hence involved lower transaction costs. 2948 AP'PENDIXI 11: \'(bO IN( PI'. Pi SUNNIIAS IEI:S Box A2.41. Checklist of Steps in Designing Large-Scale Projects * Clarify and prioritize objectives. Link objectives to outputs. * Identify the key stakeholders at the community and agency levels. Assess their capacity and interests. * Assess (do not assume) demand, bearing in mind that demand is influenced by the confidence people have in the service provider. * Establish eligibility criteria for community groups, so that communities can select themselves for projects, rather than projects selecting communities. * Structure subsidies that do not distort demand. * Restructure fund release to support demand. * Learn by doing, adjusting plans annually on the basis of experience. * Invest in strengthening social organization to increase local participation in decisionmaking. * Institute participatory monitoring and evaluation with feedback loops. * Redefine procurement rules to support community-level procurement where appropriate. geria and the Gambia. These new organizations are the for performance are easier to institute when agencies are creation of their members, drawing as much as possible required to be financially viable, have autonomy to man- on what is already in place. Attempts to speed up a com- age themselves, and have control over hiring and firing munity development process by circumventing existing of staff. institutions and investing in new externally designed or- An alternative to restructuring existing agencies is ganizations have frequently failed in their aims. They also to contract out the needed sertvices to NGOs (as in rural carry the danger of undermining existing institutions, water supply in Kenya), the private sector (in agriculture diminishing the ability of community members to coop- in Malaysia), other government agencies (public health erate and organize effectively for other purposes. workers for a water and sanitation project in Brazil). or Animportantreasontforbuildingonindigenousprin- multilateral or bilateral agencies (the United Nations ciples of organization is that, to be effective, a group must Children's Fund in low-income housing in Guatemala). own and enforce its own rules definiinsg membership cri- In Mexico, the national water authority has an in-house teria: the allocation of responsibilities, contributions. and group of senior social scientists and communication spe- benefits; and the mechanisms for ensuring accountabil- cialists who design the strategy for community outreach, ity and resolving conflicts. If these rules are dictated from applied research, and communications. This is then sub- outside, people do not feel obliged to follow them. fi-ee contracted to the private sector. riding becomes common, conflicts escalate, ancd the group The choice of outreach approach needs to match the becomes ineffective (see box A2.40). goals of the program. The extensionl approach, in which Depending on the tasks the group is designed to the field agent acts primarily as a channel of information manage and the existing capacity of the group, invest- and inputs and remains accountable to the agency rather menit in training may be needed over a period of several than the community group, is not appropriate when the M years to build the necessary management and technical objective is community initiative and responsibility for skills. Groups have failed because too much was expected management. When the success of a program hinges on of them too soon without supportive training, participation through strong local groups, an empower- ment approach is called for in which the field agent is a X community organizer acting in liaison with technical Changes in Implementing Agencies y- Designing an appropriate outreach strategy to support aggencies. It may be essential to introduce female agents the community development process often involves dif- to ensure the participation of womweno ficult c'hanges in the structure and orienitaition of the The role of the agency and its relationship with com- implementing agencies. The technical personnel in engi- mLnity groups needs to be supported by appropriate neering agencies are commonly reluctant anid ineffec- "catnges in legislation. Key issues include the mandate tive community organizers. Merely adding more coin- of agencies, funding mechanisms, accountability systems, munity workers makes no difference unless the overall the registration requirements and legal status of commu- incentive environment rewards staff for responisiveniess niity groups, and use and tenure rights over assets (par- to clients and support to communiity workers. Incentives ticularly over natural resources). Many rules and regula- tions may also need to be changed-froirm the required 24 9 THE 'WO)R,IA) BAN, PARTi C IPIi I 'AT14).N S()OI I( lIj)OIM Box A2.42. Shared Control and Benefits: CAMPFIRE in Zimbabwe The incentive for Zimbabwe to protect its wildlife resources is high. Wildlife activities such as safari hunting, game cropping, tourism, and live animal sales contribute moTe than $250 million annually to Zimbabwe's national economy. Most wildlife, however, is outside parks on tribal or communally owned land. The Department of National Parks and Wildlife Management has recognized that wildlife resources will only be conserved if private and communal landowners derive economic benefit from protection of the resource and are given responsibility for conserYation and management. The returm of benefits to local communities from wildlife resources is the basis of Zimbabwe's Communal Areas Manage- ment Programme for Indigenous Resources (CAMPFIRE). Using the CAMPFIRE approach and philosophy, the Chikwarakwara community of approximatey 150 households in the remote Beirbridge area of Zimbabwe has taken over proprietorial management authority for wildlife resources from the district council. After a series of negotiations focusing on community membership, household definition, and revenue- sharing procedures, the council devolved management responsibilities and access to revenues derived from safari-hunting activities to the community. The benefits accrued to the community as a result of this responsibility have included a new school, a new grinding mill, and a Z$200 cash payment to each household. The council has benefited through an 11.7 percent levy, and the central government has benefited through an increase in taxable revenues. The CAMPFIRE approach has not worked when communities have not been involved in rule formulation or when sharing of benefits with communities is minimal. In Nyaminyamni District in the Zambezi Valley, for example, inequities exist in the distribution of benefits and in the management responsibilities among the district council, ward, and villages. The basic issue of whether the Nyaminyami Wildlife Trust, which was created by the district council to develop institutional capacity for wildlife management, should be an income earner at the district level or a grassroom wildlife management program has yet to be resolved. qualifications for community workers, teachers, or health vested interests and needs strotng political support to educators, for example. to procurement rules. see it through. Many Bank-supported projects that lmplementing the institutional and legislative implement institutional reform are led by reform- changes necessary to support large community-based minded senior civil servants with access to the country's programs inevitably meets resistance from powerful top political leaders. This note is ba.seul oi the paper written h7\ Deep)a Nara van. Contributors inClude Maria C. CrUO, Jean Delion. Jim Edgerton. Steven H-olt..man. Pierre Laailell Mills, Kathrx n McPhail, Lant Ptrits hett. aid Julie Vila,,ria. 2 50 AP'P'E:NDIIX II: NV0RII1N(; PxpI.:it Ht'INI1\Ii:- IPARTIC(IPATION A~NDn priorities for the development or use of their lands and other resources and to exercise control over their own economic, social, and cultural development. At the same time, from a practical point of view, a The characteristics of indigenous groups make participa- participatory approach to indigenous development is a tory approaches especially critical to safeguarding their imieans of improving the quality of projects. In commu- interests in the development process. Such approaches. nities whose institutions, leadership patterns, and recognizing the right of indigenous peoples to participate lifestyles are not well understood by outsiders, partici- actively in planning their own futures, are supported by pation can ensure that projects and services are relevant major donors and international organizations, including to perceived needs and sustainable through indigenous the World Bank, but have proved difficult to imiiplement. institutions. To be effective. programs must be under- They call for changes in attitudes, policies, and legislation taken in partnership with indigenous peoples, rather than to address the key issues: recognizin, rights to land and planned for them or carried out among them. natural resources, ensuring culturally appropriate proce- dures for consultation and communication, and building on the strengths of traditional lifestyles and institutions. KEI:Y EL',E.ENTrS IN A PARTW('IPATORN- ViY SU1'PPORT I'PARTIC'IPATION? Although the need for a participatory approach is now widely accepted by international development agencies. Indigenous or tribal people, numbering at least 250 mil- i s ~~~~ l~t is difficult to iniplement. Obstacles include existing lion throughout 70 different countries, have often been nd onthlosngedoftcss y national polcy and legislative frameworks, widespread on the losing end of the development process. In many prejudices. a tendency on the part of outside NGOs to cases, their resources have been exploited for the benefit control rather than facilitate, and a lack of development of other groups in society: in many countries they are the planin and manag ills on t part of digeno plannmng and manageiment skills on the part of indi-enous poorest of the poor. Often they experience political anid economic discrimination and are perceived as backward peoples themselves. or primitive. In Bank-supported operations. the challenge is typi- or primitive. cally confronted in two contexts. The first is in manda- Even when development policies and programs have tory environmental assessments or indigenous peoples' been designed specifically to improve the welfare of in- development plans, intended to identify and mitigate digenous peoples, the approach has usually been pater- potentially adverse effects of Bank-supported projects nalistic, seeking their cultural assimilation and ignoring on the livelihoods of indigenous peoples. The second is the strenaths of indiaenous institutions and knowledge In a new eeneration of Bank-funded projects i which (mcldlnelllromelta knwede inl a turn geeainocan-uddpojcsi hc (iicluding environmental knowledge). This, in turn, cal indigenous peoples are the primary beneficiaries. Criti- cotrbute to worsening, poverty, soca 'a] gnlzto contribute to worsening poverty, social -narginalization, cal issues for the Task Manager on these new projects and ethnic resistance. are outlined here: The characteristics that distinguish indigenous peoples include their strong attachment to the land: dependence on renewable natural resources. subsistence practices, dis- The Legal and Policy Framework tinct languages, and cultures: historical identities as dis- Government willingness to devolve some degree of au- tinct peoples: and. often, mistrust of outsiders. For devel- tonomy in decisionmaking to indigenous communi- opment institutions and planners, the challenge is how to ties is a precondition of successful projects. Judgments incorporate such diversity of culture, language, ecologi- must then be made on the need for legislative or policy cal adaptation, and history into development planining. reforms to support such participation in the Cultural barriers make it especially difficult for the out- decisionmaking process. Many of the line agencies or sider to communicate with indigenous groups. understand ministries responsible for relationships with indig- theirinstitutionsordiscerntheir needs. enous people are weak. They lack professionally In these circumstances. the participation of indig- trained staff and often take a paternalistic approach. enous people in planning and managing their own devel- In these cases. reforms are needed before a participa- opment is a means of safeguarding their interests in the tory project can succeed. Local and regional elites may development process. The past decade has seen growing also impede authentic indigenous participation, even recognition of the rights of indigenous peoples. supported where an adequate legislative and policy framework by international legal instruments, to decide their own exists (see box A2.43). 231 'I HF; BA#1{.} 3\N1 PAH\T 1s( 11'PAT1MN St'l('l':lS3()()is Box A2.43. The Politics of Indigenous Participation Projects that incorporate indigenous consultation and participation need to take into account ongoing and complex politi- cal situations. Without a good understanding of these dynamics, even the most well-designed projects can lead to unfore- seen turmoil and frustration. An example is the Indigenous Peoples Component of the Bank-funded Eastern Lowlands Natural Resource Management and AgIcultural Development Project in Bolivia. The purpose of the Indigenous Peoples Component is to provide land tenure security and other services to several Ayoreo and Chiquitano Indian communities in the Eastern Lowlands. Originally prepared in ;a highly participatory manner by a regional Indian federation in collaboration with a non-Indian technical assistance NOO, the component encountered po- litical obstacles when implementation was due to begin. The precipitating event for these problems was a protest march by the Indian federation, calling for more indigenous control over forest resources. This soon escalated into a major confrontation between the federation and the regional development corporation (the project implementing agency) over who should have control of the component. The Bank found itself in the unenviable position of trying to negotiate differences between the two bodies, many of which predated the protest march. Unable to find a solution after long meetings, the Bank accepted the redesign of the component, which regrettably reduced the poweT of the indigenous federation and put more power into the hands of an implementing unit within the regional corporation. Colombia is one of the countries to have set an ex- for recognizing and regularizing customary land rights. ample in establishing a legal and policy framework that The Bank has also had experience, for example. in supports indigenous participation. Although Colombia the Philippines and Brazil, in improving the institutional maintains a special office within the ministry that deals capacity of the government agencies responsible for the with indigenous matters, the country's constitution recog- titling of indigenous lands. This experience has demon- nizes the rights of indigenous communities to control their strated the benefits to be gained from indigenous partici- lands and natural resources and their internal political af- pation in physical mapping and land demarcation. fairs. Each recognized indigenous community has its own council with the power to decide on the use of the counci I ~~~~~~~~Culturally Appropriate Communication community's land and resources, resolve intemnal disputes. In designing consultation and communication procedures and negotiate health, education, and other programs with - S ~~~~~~~~~~~with indlgenous peoples, several special aspects need to regional development corporations and the national gov- be taken nto account: their distinct languages, their tra- erminent. Recent Colombian legislation also provides for dg ditional means of transni'tt'Ing knowledge and values, and the direct transfer of government resources to these coul- their mistrust of outsiders. 'ils for proects that they design and execute. cil - proet The language issue is central. because few indigenous people, especially women or elders, speak the national Rights to Land and Natural Resources language fluently; hence, consultations need to be held Despite some recent progress. legal recognition of the in the vernacular language with the help of skilled inter- customary rights of indigenous peoples to their ances- preters. Development strategies for indigenous education tral lands is often lacking: many development programs (see box A2.44) also need to take into account the tradi- gi have to deal with the question of indigenous land tenure tional importance of legends. folk tales, and proverbs for security and natural resource rights. the oral transmission of knowledge and culture. Modern Bank legal staff and lawyers within client countries schooling of indigenous children has proved more effec- can help Task Managers through the complexities of na- tive when it includes instruction in both vernacular and tional land, resource, and environimental legislation as it national languages and when it is bicultural or relates to indigenous peoples. In the Laos Forest Man- multicultural in content. agement and Conservation Project, for example, one of Effective communication depends heavily on the el- the Bank's lawyers reviewed national forestry and land ement of trust. Through historical experience, indigenous legislation relating to the customary rights of ethnic mi- people have learned to be cautious of "benevolent" out- norities in upland villages. This review provided the Bank siders, be they missionaries, government officials, teach- with the necessary information to raise the subject with ers, or anthropologists. Those individuals or organiza- the government and to include provisions in the project tions that have been able to gain their trust have usually z .)2 APPIE'.NDI)XI 11: WOi RKtNG I'rI.:IE S UMIMARIES Box A2.44. Community Participation in Bilingual Education Although ethnic Vietnamese constitute the bulk of Viet Nam's population, there are fifty-three ethnic mninorities living mostly in the mountain areas. The Bank-funded Primary Education Project contains a special Ethnic Miniorities Education Compo- nent, which will finance a comprehensive package of educational inputs to minority children. This package, premised on the importance of the vernacular language and of comniunity participation, consists of policy measures, pedagogical activities, provision of physical facilities, and institution building. To implement the component, existing province- and local-level committees will be involved in teacher training, textbook production, and maintenance of local schools. Similarly, in the Second Primary Education Project in Mexico, the use of bilingual school teachers and pedagogical materials in the vernacular languages is combined with a strong element of community participation. Such participation is linked to the country's overall poverty alleviation program and includes the involvement of community committees, mu- nicipal education councils, parents associations, and school councils. done so through long years of contact, learning, and re- deal with specific development tasks. In the Matruh Natu- spect for their languages and cultures. If such individu- ral Resource Management Project, for example, among als or organizations can be brought into the project prepa- the Bedouin of Western Egypt, using the bavt-the ration process, a much better chance exists for introduc- Bedouin local lineage group-as the basis for project ac- ing culturally acceptable mechanisms for consultation tivities has inspired the confidence of the Bedouin popu- and participation. lation, including Bedouin women. As a result, it has avoided many of the pitfalls of earlier projects that at- Building on Traditional Strengths tempted to introduce Western-style cooperatives. The traditional lifestyles of indigenous peoples involve Social assessments in which community members subsistence strategies that use locally available natural participate as partners rather than mere informants are resources to satisfy their basic needs, while maintaining used to improve understanding of the indigenous social a balance with their environment, Many unfortunate ex- structure and institutions on which to base development amples of programs for indigenous development exist strategies and to assist the communities in determining that have undermined these traditional subsistence strat- how best to adapt their institutions to new purposes. So- egies without providing socially and ecologically viable cial assessment techniques can also reveal the existence alternatives The most successful programs with india- of conflicts with implications for participation, for ex- enous peoples, such as the West Bengal Joint Forestry ample, between traditional and modern institutions or Management Program (see box A2.45). are those that sources of authority take traditional environmental knowledge and livelihood As in any other social groups, strengthening the ca- systems as the given basis on which to build new knowl- pacities of indigenous peoples (see box A2.46) to evalu- edge, technologies, and economic activities. ate options and implement their own development pro- Simlilarly, the most successful projects ar-e building gramiis requires training in basic skills and technical as- on existing institutions, instead of creating new ones to sistance in areas such as management, topography, for Box A2.45. Tribal Women and Forestry The West Bengal Joint Forestry Management Program is considered to be a model of participatory forest management. One of its most important aspects is the way in which tribal women, their traditional environmental knowledge, and their livelihood strategies have been incorporated into the program. In most areas, the recognition of the rights of tribal women to collect and market leaves of Sal and Kendu trees has been the major incentive that has led to the program's economic and institutional success. In the village of Pukuria, women gather the leaves for six months of each year for the purpose of making plates, some 700,000 of which are exported monthly by the village. Minor forest products represent the primary occupation and most important source of income for Pukuria's tribal wormen. Given the low investment costs for reestablishing Sal forest productivity, combined with the benefits of protecting the upper ridge tracts where forests are located, this system seems to have consider- able potential for increasing employment and income-earning opportunities, while reducing soil erosion levels. 253 ITHE' WO )R I ) AI".NU I' PARTX'II I C'A'IPAION .SolRC EI( M013 i )OJi Box A2.46. In ei in cpacity Strengthening:: Promoting training and strengthening capacity may be one Of he best investments for the economic development of indigenous communities. The Bank's Lain American and Caribbean Region's Environment Unit (LATEN), for example, has launched a program to assist Wingenous ,orgazations in the following activities: defiing their own lopment strategies and proposals; strengthening their institutional structures in areas such as personnel management, training pro- grams, budgeting, and finance; and improving their negotiating skills to finance their own development proposals. The program, is financed through grants to goverament agencies and/or indigenous organizations from the Bank's Institu- tional Development Fund; thus far, programs hive been designed or are under preparation in ten countries. Each training program contains a consulting seinXar, a series ofwokshops, a monitoring and evaluation system, and an evaluation serninar. Many of the seminars take place in the regions in which indigenous peole live; all of them focus on indigenous values, cultures, and philosophes, as well as modem management and development planning skills. estry. agriculture. marketing. and community health care. where the Bank promoted large investments in increas- It also, however. involves promoting and strengthening ing the staff and infrastructure of the National Indian traditional systems, for example. of natural resource Foundation. the impact was minimal in such important management and medicine. Some of the best experiences areas as natural resource protection, indigenous health, with capacity strengthening have come from exchanges and commiiunity economic development. among indigenous peoples themselves. For example, in In more recent projects. therefore, the goal is for Latin American countries, NGOs have facilitated work- funds to be controlled and managed by indigenous shops in which indigenous peoples from different tribes people themselves, preceded by the necessary capac- and linguistic groups exchange experiences about land ity building. Group-based lending schemes, in which protection, mapping, and natural resource management. groups rather than individuals are responsible for pro- tection against default in repayments, have proved Direct Funding adaptable to the finance needs of poor indigenous Many of the first-generation Bank-supported projects populations, as the principle of joint liability is often with indigenous peoples allocated funds to the national an important element in traditional systems of social government agencies responsible for indigenous devel- control These lending schemes increase the self-con opment. The typical result was expansion of the govern- fidence of their members and demonstrate the ability ment agency concerned without much direct benefit to of indigenous populations to participate in the devel- the indigenous communities. In Brazil, for example, opnient process. ' This note is based on the paper written by Sheltonr H. Davis and Lars T Soeftestad. Resource people in the Bank include Dan Ar(onson, Michael Cernea, Gloria Davis. Concepcion Del Castillo. Charles di Leva, Cvprian Fisiv, Man, Lisbeth Gonzalez, Scott Guggenheim. Kristine Ivarsdotter. Alf Jerve, Hemanta Mishra. Albert Ninio, Hart-v Patrinos. William Pairtridge, Stanz Peabody, Ellen Schaengold. and 0 C Jorge Uquillas. 254 INIDEX A Africa 4, 18, 23. 37. 40, 63. 89. 182. 193, 195-198. 207, 208. 214, 217. 220 Beninl xiv. xv. 6, 13. 23-28. 91, 123, 129, 130, 133, 138, 139, 155, 158, 171, 172, 207,210,241,246 Botswana 232 Burkina Faso 146, 192 Burundi 176 Cameroon 151, 172. 178, '- 11.212,241 Chad 5. 13. 15, 35-38. 122, 123. 131, 133. 138, 140 Cote d'Ivoire 247 Ethiopia 155. 164, 175. 179, 215. 235, 236, 242 Gambia, The 151. 175, 233. 235. 236, 241. 242, 249 Guinea 207 Kenya 212,213.22(0.222.227,228.240.249 Liberia 161, 244 Mali 157. 196 Morocco 13. 14, 75-81, 123. 124, 127. 132, 141. 151,200. 207, 212, 239. 240 Mozambique 13, IS, 83-88. 137 Nigeria xiv, 13.89-94,131.134,150. 151, 173.216, 217, 241.242, 248 Senegal 153. 165, 220. 223 Togo 133. 240, 241 Uganda ix, 160. 178, 190. 202 21. 240 Zambia 146. 147, 162. 166, 176. 179, 195, 198. 214, 221. 236, 237. 241, 244 Zimbabwe xiv, 220. 221, 250 Aga Khan Rural Development Program. Pakistan 159. 243 Agricultural development project xiv, 89-94, 159, 173, 252 Agriculture xv. 89-94. 131. 134. 15(). ISI. 173, 209. 214-218, 225 242 AIC (Appreciation-inifluence-contiol) xiv, 7. 13. 14, 40-45, 138. 182-16. Albania xv. 13, 17-21. 124, 165. 166. 169, 236 Rural Development Project 20 Rural Poveily Alleviation Pilot Project 17-'- I 1124 166, 167. 169 Andhra Pradesh Forestry Project. India 53-59 Appraisal 13, 15. 20. 25. 59, 62, 101-105. 107, 124. 126, 157. 158, 160. 236, 238. 245, Armenia Social Inmestment Funld Project 236 Asia 61, 10 2. 175, 195.228 Bangladesh IX. 157. 160. 163. 164, 169 221, 239. 246 India xiv. 13. 15. 53-59. 69. 123. 132-135. 137-141. 148. 159, 160, 172. 173. 176. 179.193.221.22'-.247.948,252,254 Indonesia 163. 193. 194. 215. 216, 218, 221. 246, 248 Japan 48. 62, 64. 65. 98. 101. 107. 178. 229 Laos People's DemocCratic Republic xv, 1 3, 15, 61-66. 122. 252 Malaysia 249 Nepal 153. 154. 16). 165. 172. 173. 193. 22-1. 222.225, 2-26.22-7, 248 Pakistan xiv. xv. 13. 15,95-1().123, 149. 15), 159.225, 32 243. 247.248 Philippines xiv, xv, 13. 103-108. 109-115. 126. 130, 132, 133. 135. 140, 143. 148. 155. 17. 58, 162, 17l1 173.176,188,193.221.223.224,232.248.252 Sri Lanka 128. 162 Viet Nami 2s3 2 5.5 B D Decisionmaking- 2. 8, 11. 15, 19, 27. 70-73, 81. 84, 87. 90, 93, 99- Balochistan Primary Education Project, Pakistan 15O, 153, 163.245 101, 107. 108, 113. 121. 122, 129, 130. 133, 135-137, 145, 154, Bangladesh 18, 157. 160, 163. 164, 169.221,239,246 156. 163, 165. 168, 169. 171, 172. 176. 184,200.212,218.221, Participatory Forest Development Project 163 222, 231, 235 242-245. 249. 251 Secod6Ro4 dRehabilitationaiidMaiiitenalceProJect 160) Collaborative decisionmakinig 91, 104, 134, 181-185, 187, 164 189. 191, 193. Shrimp Culttire Project 157 Participatory decisionmaking 111 124. 177, 217. Belgium 62. 65 Shared decisionmakinp 152l 162 244 Beneficiary assessment xiv. 4. 28, 147, 154. 166. 182, 184, 195- Dietl ffeted takehold 13 126 , 13(; 324 198X. 2 12. 213, 21 8, 237-238 Directly affected sk roup 103, 126 132,199 Benin xiv. xv, 6. 13. 23-28, 91. 123, 129, 130, 133, 138. 139, 155. Direcly aft gru 103. 126 132. 199 158, 171, 172, 207, 210. 241, 246 Disburseme9t 19, 21. 29, 85. 86. 88. 102. 124, 143. 165. 166, 172. Food Security Project 158I 246 177-179. 205. 237. 247 Health Services Developmnent Project 6, 23-28. 1 3, 129. 130. 133. 138. 139, 155. 171, 172.241 E Bhairawa Lumbini Groundwater 11 Project. Nepal 154 Economic and sector work (ESW) xiv, 10, 13. 75. 78, 83. 84. 146. Biodiversity 13, 103. 104. 126. 128, 200. 2919-222 12, 191.205,207-209.211, 224. 227, 239 Bolivia 159, 165, 193. 235, 240, 242. 252 19 Si 2 vte Fund 154 Emergency Scial Fund 65 935 236Ectiador Social investmnent Fund 154 Enmergency Social Flid 165, 235. 236 Education 13. 14. 35-38. 62. 64-66, 76, 78. 117- 120, 122, 123. 126. Borrower 6.19,71,95, 1 15. 124.127, 169, 170.174. 177.182, 187, 131. 133, 138. 140. 149. 150, 153, 161-163. 171. 176. 193. 195, 188, 199, 207. 209, 229 196, 205. 214 216, 229 231-246, 2_52. 253 Botswana 232 Education SectorAdjustnient Program.Yemiieni 13. 14. 117- Brazil xiv, 13. 29-33,5, 2 124 127, 12'7 , 13(0. 148. 151, 209, 120. 126. 138. 141, 241 228,229.247,249,252.254 Education V Project. Chad 5. 35-38, 122. 123. 131, 133, Municipalities and Low-Incomile Sanitation Project 29-33. 139 141 122, 124, 125, 127. 129, 130. 148. 151 Effectiveniess IS. 25. 29, 31. SI, 65. 77, 90, 94, 104. 108. 112, 124. Water aid Sanitation Project for Low-Iincome Comiilluni- 141, 159 160, 165. 167. 184, 190. 196, 197,201,230 231,_35 ties Project (PROSANEAR) 194, 229, 247 238. 244, 247 Burkina Faso 146, 192 Egypt 13. 14. 47-51, 124, 127, 129, 131-133, 137. 139. 141, 153. Burundi Social Action Project 176 179. 242. 253 Matruh Resource Managemenit Project 47-SI. 124, 127, 129. 131-133. 137, 139. 141, 153, 171. 179, 242 El Salvador 171. 739 240 Cameroon 151. 172. 178. 211, 212. 241 Electricitv. See eneirgv poverty assessmentl 212 Empowermenit 35. 51, 15f). 201, 249 Food Security Project 178 Enabliig environment 2, 72. 145. 165. 174 Caribbean 62, 254 Energy xiv, 13. 31. 39-45, 6773. 78-80. 83, 91. 94. 96, 97, 101, 103. Haiti 220 119 120, 133. 137. 138. 140. 183. 186, 222, 223 Chad E 5, 13, 5i, 35-3. 122. 123, 131. 133. 13823,4(1 Electricity Sector Reform Project, Colombia 39-45 Education V Project 5, 35-38, 122. 123. 131. 133. 138. Hvdroelectric Project, Mexico 13. 67-73. 125. 134, 142, 140 - Chile xiv214() 172. 173, 174 Chile xiv .217 Envir-onmienital assessimient 201 251 Colombia 13 14 39 45. 3 3 137. 138, 140. 154. 179, 186 231- Environnmenital management 133. 163. 19_- 241 243- 246 Communiuiiity Child Catre anid Nultr'ition Project 154 Ethiopia 215 Emlecticit SChild Reforiand Pr io Prqject 3945 1334 137. 138Social and Rehabilitation Development Fund 155, 164, Electricity Sector Reform Project 39-45. 133. 137. 13, 175. 180. 235. 236. 242 140 Evaluation 19. 20, 26. 27. 28 39, 43. 49. 72, 79. 86. 87. 97, 119, Integrated Rural Developmen)t Project 179 148. 183, 189 19() 192, 194. 195, 197. 201, 202, 204, 214, 215. Communal Areas Management Programmi1e tor Indigenious Resources 9, 231 234. 238. 239. 42, 249. 254 Project (CAMPFIRE), Zimbabwe xiv. 250 Expelt leariiig 5 Communial Irrigation Developmenit Project. Philippines xiv, 109- Ext learnin 5 Extension v, 14. 50. 55. 73. 89-94. 113. 114, 131. 134, 152. 155. 115, 141, 143. 155, 171, 173, 176 157. 173. 193. 205.213 215-218,222.227,228.240 242,249 Community Child Care and Nutrition Project. Colombiia 154 Community-based development 145, 156. 206. 243, 247. 248 Community-based method 182, 191-194 F Consultation 4, 11, 68-72, 103-107, 146. 157-160, 182. 184, 195- Fez Medina Rehabilitation Project Morocco 200 199, 203. 204, 209. 217. 221. 235. 244. 251, 253 Financial intermediation 164. 168-17( Contingent valuation 204 Focus group 27.80).81. 147. 191 195-198, 2000, 2)3.204, 213, 232, Conversational interview 195. 204. 237 233. 237 Costa Rica 217. 221 Coste dRIica 247.1 Food Security Project. Benin 158, 246 Co5te d'lvoire 247 FONCODES. Peru xiv, 154 Country implementation review xiv 1(), 83-88. 137 Force field analysis 194, 203 2 51 i Forest and conservation management 219 92,,93,95,98.110.125,126.145,147.150,152,153.156,164- Forestry 13. 15, 53-59, 104, 123, 126, 133, 135.138.139.141,147, 171. 173, 192, 198 218. 224, 226,235 236 238-240. 243, 247, 148, 173, 219-222, 240. 247, 252, 253 249.251,253 Fundasal Low-Income Housing Project, 148 Institutional capacity 56. 64. 69. 95, 96, 157, 199, 250 Institutionial map 203 cA Integrated Protected Areas Project (IPAS), Philippines xv, 103-108 G Intermediaries 13. 15, 122, 126, 129-130. 153. 156-164, 166, 168, Gambia The 151. 175, 233. 235, 236. 241, 242. 249 169. 176. 177, 198, 206. 221, 228, 235. 237. 238, 241, 243-244, Public Works and Employment Project 175 246.247 Women in Development Project 151.241,242 Irrigation xiv. xv, 13. 15, 30, 68. 71, 109-115, 11 , 122. 123, 141, Gender xiv. 89. 93. 148-151. 182. 201 -203, 218, 221. 239-242 143, 153-155. 17 1-173. 176, 179. 205. 223-227, 248 Gendler analysis xiv, I 82, 184. 2( 1 -203. 218 X,2213239 Andhra Pradesh Irrigation If Project, India 179 Government support for participation 62, 121-123. 236 Cornmunal Irrigation Development Project, Philippines Grants 43,48,62.64.65.96-98.101, 107.11O, 178.221,229 xiv. 109-115, 141. 143, 155. 171, 173. 176 Group-based len(ling 254 Irrigation IV Project, Senegal 223 GTZ xiii. xiv, 77, 78, 188 Guatemala xiv, 157.175, 236. 238. 249 Earthquake Reconstruction Project 157 j Social Investment Fund 175 Japan Guinea 207 Japanese Grant Facility 48, 98, 101, 229 Guyana 178, 236 Japanese Special Fund for Policy and Human Resources Development 62, 64, 65 H JapaneseTechnicalAssistinceGranit 107 Japanese Trust Fund 229 Haiti 220 Jordan 218 Health 6. 13. 14. 23-28, 61-66. 122, 123, 126. 129, 130. 133. 138, 139.155.160,162,171,172,178.203, 247 Health Services Development Project. Benin 6. 23-28, 123. 129. K 130.133.138,139.155,171.172,241 Karachi Urban Trainsport Project. Pakistan 101 Health System Reform and Malaria Control Project, Laos Kenya 212.213,2l20 222, 227. 228, 240. 249 61-66. 122. 126 Honduras 150, 218 236, 239 Agricultural SectorAdjustment Credit 150). 239 Hydroelectric Project. Mexico 13. 67-73, 125. 134. 142, 172-174 Laos People's Democratic Republic xv, 13, 15. 61-66. 122,252 Lao Health System Reform and Malaria Control Project i 61-66, 122, 126 Latin Americat 61, 193. 217, 254 Identification 23. 38. 39, 48. 49, 51. 55.621, 9, 93. 101, 106. 109. Bolivia 159. 165, 193. 235, 240. 242, 252 119,122.123.166.169,189.191.195.199.214,217. 235 Brazil xiv. 13. 29-33, 122. 124, 125. 127. 129, 130. 148. Implementation 4, 1), 13. 25. 44,4.5,5(). 51. 64. 66. 70. 84-88. 93. 151.209. 228.229.247,249.152,254 99, 104-108. 110-115. 119. 120. 127. 132. 135-137. 139. 140. Chile xiv, 217 142,147, 153, 166, 174, 178, 189, 211. 225, 232. 234, 235. 2'37, Colombia 13. 14, 39-45.48. 133. 137, 138, 140. 154, 179, 246 186. 231. 1 952 Incentives 14. 47. 69. 72'.93, 147-149, 158. 160. 171, 173. 174. Costa Rica 217, 221 178. 184. 195, 199, 202, 218-"1I 123-225. 238-240. 244. 246. Ecuador 154 248. 249 El Salvador 171. 239, 240 In(lia xiv. 13. 15, 53-59, 69, 123, 132-135, 137-141, 148. 160. 172, Guatemala xiv, 157, 175, 236, 238, 249 173,176 .179.193,221.222. 247 248, 152. 154 Gu)yana 178. 236 Andhra Pradesh Forestry Project 53-59. i '23 13, 135. 137. Honduras 15), 218 X236. 239 138,141 148,173 Mexico xiv. 13. 14. 67-76, 13, 125, 134, 142, 165, 172- Andhir-a Pradesh Irrigationi 11 ProJect 179 174. 175-178, 193. X1. 224.225.236. 237. 249, 253 Health and( Famlily Welfare Sector Study 134 Nicaragua 153 National Cataract Blindness Contiol Project 176 Peru 154, 2I2, 218 Rajasthan Watershed Development Project 139, 148. 171 Leveling 129.133 Tamil Nadu Integrated Nutrition Project. India 148, 155, 173 Liberia Second Educationi Pro ject 161, 244 Upper Krishna lIrigation II Project 179 Listeninii 4. 11. 37. 69, 91. 155. 182-185. 195-197. 218 Uttar Pradeshi Education Project 1 76 LogFRAME S.ec LoOgcaI ftamework Uttar Pradesh Sodic Land Reclamation Project 163. 246 Logical frainework xv. 37, i 87, 189. 191), 213 Indirectly affected stakeholder 13 indirectly affected group 6. 1 26. 1 9 Indonesia 163. 193. 194. 215. 216. 218, 221. 246. 248 Industr-ial Efficiency and Pollution Colntrol Project. Philippines 188 Malaysin 249 Institutions xii. 7. 8. 11, 19. 48, 49. 56, 61. 67. 72, 73. 76. 77. 81, Maili 157. 196 25 7 ITHE WVORIAI) 1tANK PAIT'I iP('tI'VIION 91)IIR(ItI i)) National Environimilent Action Plan 157 Karachi Urban Transport Project 101 Mapping 49. 79, 80, 152. 191, 192. 194. 203. 204. 213. 252, 254 Orangi Pilot Project 247 Matrix ranking 49. 80. 204 Privatization of Groundwater Development Project 123 Matruh Resource Management Project. Egypt 47-51, 124.1 27.1 29, Sindh Special Development Project (SSDP) xv. 95-102 131-133. 137, 139. 141. 153. 179 Participant observation 195. 196, 203. 213. 237 Mexico xiv, 13. 14. 67-76 1-3, 125, 134. 142' 165. 172-174. 176- Participant-observer 101. 141. 197 178 193. 221, 224. 225, 236. 237, 249. 253 Participaitioni analysis 56, 187 Hydr oelectr-ic Project 13. 67-73. 125.134. 142. 172-174 Participation conitinuum 167 Mexico Municipal Funds Project 176-178 Participatory planning 2. 5, 14. 27.36,37, 68. 93. 121. 122. 124. Middle East 61 125, 131 133, 135. 136,139.141.187.188 Egypt 13, 14.47-49,50(,51 14. 127. 129. 131-133, 137. Participatory povertv assessment xv. 146, 147. 151, 152. 182, 195. 139,141.153,179.242 253 211-214. 241 Jordan 218 in Burkina Faso 146 Yemen. Republic of 13. 14, 117-120. 1'26 138 140. 241 in Cameroon 151 Monitoring 19. 20. 27. 49. 50, 5 1. 69. 73. 85, 92. 93. 99. 1 1 1. I 1 3. in Kenya 147. 2 13 114. 153. 156. 172, 177, 183. 187. 192. 193, 195. 198. 201-204. in Zambia 146, 147, 214 2-16. 229. '32. 234. 236. 238, 240( 242'. 248. 249, 254 Participaitory rural appraisal xv. 13, 14. 58. 59.76-81. 151. 166. Morocco 13. 14.75-81, 123. 124 1'27 13'2- 141. 151, 200'. 207. 173. 182. 183. 191-192. 197, 212. 213,218.233, 236. 240. 242 212, 239. 240 Peru 154. 'I12. 218 Womileni in Development Project 75-81. I 23 12 7. 132, 141. National Fund for Social Compenisationi and Development 151. 207, 239. 240 xiv. 154 Mozambique 13. 15. 83-88. 137 Philippines xiv. xv. 13. 103-108. 109-115. 118. 126. 130. 132. 133, Country implemilenitationi review 83-88. 137 135.140. 143.148.155,157.158.162.171.173.176,188.193. Municipalities and Low-Ilncome Sanitation Project. Brazil 29-33, 122. 222 I . "3. 224. 232'. 248. 252 124, 12 5,127. 129 130. 148. 151 Health Developmenit Project 162 It1dtlstrial Efficiency and Pollution Control Project 1 88 Integrated Protected Areas Systenm (IPAS) Project 103-108. 126.130.,132.133.135.148.157.158 National Environ menit Action Plan ( NEAP) 1 28. 157 Communnnal I1rr igation Development Projects xiv. 109-115. in Mali 157 140.143,155.171.173.176 in Sri Lanka 1 28 Pilot project 10. Is 17-'2 1. 25.31.33.54.59.65. 77. 78. 90. 94. Natural r esource management 48. 50. 139. 159.192. 248. 252-254 1 10 112 121. 124. 158. 163 165. 192, 217. 224. 232' 234. 236. Needs assessmiienit 146. 202. 203 242. 245-247 Negotiations 14. 25. 31. 50, 59. 65. 68. 71. 87.100. 119,125 ,130. Pocket chart 194. 203 134.135,229 250 Poverty xv. xi. . 2.4.6-8. 14 15, 17-21 48. 50. 61. 63. 67. 68. 70. Nepal 153.154.160. 165, 172. 173 193. 221 222, 225227, 248 72 109, 124, 126. 131. 142 145-180, 18 195. 196, 199.201.202. Bhaliiraa Lumilbini Groundwater 11 Project 154 205. 21 1-22. 227. 233-235, 237. 240, 241. 243. 248, 251. 253 Irrigation Sector Project 153. 172 Poverty assessment xv. 4, 146. 147. 151. 195. 201. 205. 211. 21 2, Rural Water Supply and Sanitation Project 160. 165 214. 239-'4 1 NGO 19. 57. 58. 93. 1 00. I102. 103-108. l26- 1 8, 130. 131. 133. in Camier0oon1 241 134. 151. 155-164. 166. 175-177, 179. 206. 208. 209. ' I 2_ 13. in Kenva 240 216. 218 1 1, 227, 233, 240, 243-245, 249, 251. 254 in Peru 21I Sardar Sarovar- 175 in Zambia 241 Nicaragua 153 Preappraisal 24.58.59.62.64. 120. 133. 194.241 Nigeria xiv. 13.89-94. 131. 134. ISO. 151. 173. 2 16 '217. 241. 242. 248 Prefer-enlce rankinii 191. 192. 204 213 Women in Agricultu.re Project xv. 89-94. 13 1. 134. 15. Preparation 10. 13-15 20n 26.. 36. 40. 48. 50. 5 1. 55-59. 62-66. 151.173.174,216.217.241.242 98. 104. 1)8. 113. 119, 120. 22 124. 129. 131. 146. 147. 153. 195.199. 204. 207.218. 23 1,234, 253 Primiarv EdCucatio n Project. Viet Nam 253 PiPrivaite Sector Developmenit Workshop. Ugaida 190 Objectives tree 138 Problemil cenIsus 218 Objectives-oriented project planning (ZOPP) xv. 7. 1 3. 36. 182. 1 83. Problemii tree 37. 56-58. 138. 1 87 187-188 ProcuLreeniet 14. 21. 26. 32. 68, 85. 86. 87. 113. 155, 162. 165. 166. Opposition to participation 6. 40. 73. 85. 87. 1(6. 1)7. 12I. 125. 171. 172. 177-179. 187. 205. _ .22_7. 229.244, 249.250 127. 129 133-137. 186. 208. 225 Project planning matr-ix xv. 183. 187. 188. 203 Protected areas xv. 103-108. 126. 130. 132_ 133. 135, 148. 157. 158. 159, 219 22"1 Inteerated Protected Areas System (IPAS) Project. Philip- Pakistan xiv. xv. 13. Is. 95-102. 123. 149, 150. 159. 22_5. 32. 243. pines 103-108. 126. 130. 132. 133. 135, 148. 157. 158 247 248 PROSANEAR (Water and Sanitation Project for Low-Income Coni- Ag:a Khan Rural Developmenit Progeramn 159' 243 miuinities Project). Brazil 194. 229, 247 Balochistan Primilar-y Education Project 1 153. I s * 63. 245 258 I NDEX R 1T Rajasthan Watershed Development Project, India 139. 148, 171 Uganda ix. 160. 178. 190, 202. 221, 240 Resource management 47-49, 51. 124, 127, 129, 131-133, 137. 139. Alleviation of Poverty and Social Costs of Adjustment 141, 153. 179, 242 Project 178 Resource map 203, 204 Private Sector Development Workshop 190 Role playing 41, 204 Uttar Pradesh Education Project, India 176 Rural Development Project, Albania 20 Uttar Pradesh Sodic Land Reclamation Project. India 163. 246 Rural Poverty Alleviation Pilot Project, Albania 17-21. 124. 165, 166, 169 v s Venn diagram 203 Viet Nam Primary Education Project 253 Sanitation xv, 25 29-31. 33, 96, 98, 122. 124. 160. 165. 178, 193. Village meeting 204 194. 202. 205. 227-231. 247. 249 Voiceless 90, 119. 126, 127. 129. 132, 133. 141 SARAR xv. 182. 183. 193-194 Sardar Sarovar 175 xv Seasonal calendar 49, 204 Seasonal diagram 204, 233 Water xv, 13. 15. 27. 29, 30-33. 35, 48-50, 68. 71. 78. 79, 83, 96-98. Secondary data review 204 110-1 14, 122-124. 127. 129, 130, 133. 148, 149, 151, 154-156. Senegal 153, 165. 220. 223 160. 163. 165, 176, 178. 193, 194, 201. 202. 205, 214. 223-229, Small Rural Operations Project 153 239-242, 246-249 Sentinel community surveillance 197, 204 Water and sanitation xv. 27. 29, 30. 98. 122. 124, 151, 165. 193. Shrimp Culture Project. Bangladesh 157 194. 202, 205. 227-230, 247. 249 Sindh Special Development Project (SSDP), Pakistan xv. 95-102 Water and Sanitation Project for Low-Income Communities Project Social Action Project. Burundi 176 (PROSANEAR). Brazil 194. 229, '-47 Social and historical profile 49 Wealth ranking 192.204 Social assessment xv. 128. 181, 182. 184, 194. 199, 200, 239. 253 West Bengal. India Social fund 106, 124. 154, 160. 164-167, 179. 205. 235-238 Forestry Project 54. 55. 135, 222 Social Investment Fund. Ecuador 154 Fourth Population Project 162 Social and Rehabilitation Development Fund. Ethiopia 155, 164, 175. Joint Forestry Management Program 253 179, 235. 236, 242 Population Project 245 Sociocultiiral profile 204 White card exercise 86. 87. 137 SriLanka 128.162 Women 7. 13. 14. 15. 26-28, 32. 36. 50, 71. 123. 127. 131-134. 141. Health and Family Planning Project 162 148-152, 155. 159. 166. 170. 173-175. 177. 184. 201-202. 212, National Environment Action Plan 128 213. 215-217. 221-233, 236-249, 253 Staff appraisal report 65. 160 Women in Development Project. Morocco 75-81. 123. 127. Stakeholder consultation 181, 182. 184. 195. 197 132. 141. 151. 207. 239. 240 Stakeholder workshop 77. 137. 140. 181, 187. 188. 200. 204. 218. 221 Women in Agriculture Project, Nigeria xv. 89-94.131. 134. Story With a Gap 194. 203 150. 151, 173. 216. 217.242 Strategic planning 44. 136, 138. 187 Workshop-based method 181-183. 185-190 Supervision 20. 66. 71-72. 92. 99. 111-115. 118. 147. 155. 195. 216. 223. 229. 234. 237 Suivey 20. 27. 64, 65. 78, 93. 94, 105. 146. 15 1. 161. 190.195. 197. X 200. 204, 212. 213. 233, 239-241 Yemen 13. 14, Systematic client consultation (SCC) xv. 4. I2. 184. 196-198 Education SectorAdjustment Program 117-120. 126. 138. 141, 241 T Tactical planninig 91. 136, 138. 139. 140 Z Tamil Nadu Integrated Nutrition Project. India 148. 155. 173 Zambia 146. 147. 162. 166. 176. 179. 195. 198. 214. 221. 236, 237, TeamUP 183. 190-191 241. 44 Togo Urban Development 133, 240. 241 Social Recovery Fund 166. 176. 195, 198. 237 Trainino 14, 20, 35. 37. 50. 58. 59. 64-66, 73. 77-79. 86. 92, 109. Squatter Upgrading Project 162. 244 110-1 13, 12-. 141. 147. 150. 151. 155. 160. 162-164. 173. 183. Zimbabwe xiv. 220, 221. 250 184. 191. 193. 194. 201. 202. 213. 215-218. 222. 223. 225. 226. ZOPP (Objectives-oriented project planning) xv. 7. 13. 15, 36, 38. 228. 231-234. 235. 236. 238. 239, 243-246. 249. 254 56-59. 138. 182. 183. 187-189. 203. 232' Tranisect walk 49. 133. 137. 192 Tree diagram 204 Trust fund 44. 55. 62. 147, 221. 229 259 A partner in strengthening economies and expandingB markets toI improe the quality of life for people everywhere, espcialy hepoorest HeadQU8respedallOfficeTokyo office -818 H Street.W. 66 Ewopean office Kokusal Building Headquartets 66k avenue d'lenae tI Marunouchi 3-chome | in818gH StreetDC 20433, U.S.A. 75116 Paris, France Chig MyodarkufTokyo 3hJme Wasehi go n,e D..202) 47713 4U S A Telephone: I1) 40.69.30.00 neyo :k Toky 3 14-00, a fl Facsimilne: (202) 477-1234 Facsimile- 1,40.69.30.66 Telepho: (33214-3657 Telex: MC0164145WORLDBANK Telex: 640651 Telex: 26838 MCI 248423 WORLDBANK Cable:AddTess: INTBAFRAD WASHINGTONDC world Wide Web: httpJ/www.worldbankIorT - E-rnail: books@worldbank.org l U-- 4 \ l r; '. ,._ ., g t __ __,~~~~~~~~~~~~F F.- -f-- . 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