WORLD BANK DISCUSSION PAPER NO. 333 (*matP -333 Work in progress for public discussion D czQ vy bo& Iq q. Participation in Practice The Exsnper-ielee of tile 11 I-Id Ban/k and Other Sw,ke/,o/de,:, If~~i .Iu,,,I/,' d ied br C, Recent World Bank Discussion Papers No. 264 Schooling and Cognitive Achievements of Children in Morocco: Can the Government Improve Outcomes? Shahidur R. Khandker, Victor Lavy, and Deon Filmer No. 265 World BankAFinanced Projects with Community Participation: Procurement and Disbursement Issues. Gita Copal and Alexandre Marc No. 266 Seed Systems in Sub-Saharan Africa: Issues and Options. V. Venkatesan No. 267 Trade Policy Reform in Developing Countries since 1985: A Review of the Evidence. Judith M. Dean, Seema Desai, and James Riedel No. 268 Farm Restructuring and Land Tenure in Reforming Socialist Economies: A Comparative Analysis of Eastern and Central Europe. Euroconsult and Centre for World Food Studies No. 269 The Evolution of the World Bank's Railway Lending. Alice Galenson and Louis S. Thompson No. 270 Land Reform and Farm Restructuring in Ukraine. Zvi Lerman, Karen Brooks, and Csaba Csaki No. 271 Small Enterprises Adjusting to Liberalization in Five African Countries. Ron Parker, Randall Riopelle, and William F. Steel No. 272 Adolescent Health: Reassessing the Passage to Adulthood. Judith Senderowitz No. 273 Measurement of Welfare Changes Caused by Large Price Shifts: An Issue in the Power Sector. Robert Bacon No. 274 Social Action Programs and Social Funds: A Review of Design and Implementation in Sub-Saharan Africa. Alexandre Marc, Carol Graham, Mark Schacter, and Mary Schmidt No. 275 Investing in Young Children. Mary Eming Young No. 276 Managing Primary Health Care: Implications of the Health Transition. Richard Heaver No. 277 Energy Demand in Five Major Asian Developing Countries: Structhre and Prospects. Masayasu Ishiguro and Takamasa Akiyama No. 278 Preshipment Inspection Services. Patrick Low No. 279 Restructuring Banks and Enterprises: Recent Lessonsfrorm Transition Countries. Michael S. Borish,Millard F. Long, and Michel Noel No. 280 Agriculture, Poverty, and Policy Reform in Sub-Saharan Africa. Kevin M. Cleaver and W. Graeme Donovan No. 281 The Diffusion of Information Technology: Experience of Industrial Countries and Lessonsfor Developing Countries. Nagy Hanna, Ken Guy, and'Erik Arnold No. 282 Trade Laws and Institutions: Good Practices and the World Trade Organization. Bernard M. Hoekman No. 283 Meeting the Challenge of Chinese Enterprise Reform. Harry G. Broadman No. 284 Desert Locust Management: A Timefor Change. Steen R. Joffe No. 285 Sharing the Wealth: Privatization through Broad-based Ownership Strategies. Stuart W. Bell No. 286 Credit Policies and the Industrialization of Korea. Yoon Je Cho and Joon-Kyung Kim No. 287 East Asia's Environment: Principles and Prioritiesfor Action. Jeffrey S. Hamnmer and Sudhir Shetty No. 288 Africa's Experience with Structural Adjustment: Proceedings of the Harare Seminar, May 23-24, 1994. Edited by Kapil Kapoor No. 289 Rethinking Research on Land Degradation in Developing Countrie.s. Yvan Biot, Piers Macleod Blaikie, Cecile Jackson, and Richard Palmer-Jones No. 290 Decentralizing Infrastructure: Advantages and Limitations. Edited by Antonio Estache No. 291 Transforming Payment Systems: Meeting the Needs of Emerging Market Economies. Setsuya Sato and David Burras Humphrey No. 292 Regulated Deregulation of the Financial System in Korea. Ismail Dalla and Deena Khatkhate No. 293 Design Issues in Rural Finance. Orlando J. Sacay and Bikki K. Randhawa No. 294 Financing Health Services Through User Fees and Insurance: Case Studiesfrom Sub-Saharan Africa. R. Paul Shaw and Martha Ainsworth No. 295 The Participation of Nongovernmental Organizations in Poverty Alleviation: The Case Study of the Honduras Social In- vestment Fund Project. Anna Kathryn Vandever Webb, Kye Woo Lee, and Anna Maria Sant'Anna No. 296 Reforming the Energy Sector in Transition Economies: Selected Experience and Lessons. Dale Gray No. 297 Assessing Sector Institutions: Lessons of Experiencefrom Zambia'.s Education Sector. Rogerio F. Pinto and Angelous J. Mrope No. 298 Uganda's AIDS Crisis: Its Implicationsfor Development. Jill Armstrong (Continued on the inside back cover) WORLD BANK DISCUSSION PAPER NO. 333 Participation in Practice The Experience of the World Bank and Other Stakeholders Edited by Jenn fer Rietbergen-McCracken The World Bank Washington, D. C. Copyright C 1996 The International Bank for Reconstruction and Development/THE WORLD BANK 1818 H Street, N.W. Washington, D.C. 20433, U.S.A. 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For a copy of Update describing new publications, contact the Distribution Unit, Office of the Publisher, The World Bank, 1818 H Street, N.W., Washington, D.C. 20433, U.S.A., or Publications, The World Bank, 66, avenue d'Iena, 75116 Paris, France. A catalog and ordering information are also available on the Internet at http: / /www.worldbank.org. Cover photograph: Pakistanis planting tree at village site. Photograph by Curt Carnemark, World Bank. ISSN: 0259-210X Jennifer Rietbergen-McCracken is a consultant to the World Bank's Poverty and Social Policy Department. Library of Congress Cataloging-in-Publication Data Participation in practice : the experience of the World Bank and other stakeholders / edited by Jennifer Rietbergen-McCracken. p. cm. - (World Bank discussion papers, ISSN 0259-210X 333) Includes bibliographical references. ISBN 0-8213-3684-3 1. World Bank. 2. Economic development projects-Citizen participation-Case studies. I. Rietbergen-McCracken, Jennifer, 1962- II. World Bank. III. Series. HG3881.5.W57P363 1996 332.1'532-dc2O 96-22256 CIP CONTENTS FOREWORD Ishrat Husain ................................................ v ABSTRACT Jenn if er Ri etberge n-McCracken ............................................................. vii ACKNOWLEDGMENTS Jennifer Rietbergen-McCracken ............................................................. ix ACRONYMS AND ABBREVIATIONS .......................................................... xi 2 INTRODUCTION AND OVERVIEW Jennifer Rietbergen-McCracken ..............................................................1 PART L EMPIRICAL STUDIES ON PARTICIPATION .w The Contribution of People's Participation: Evidence from 121 Rural Water Supply Projects Deepa Narayan ......................................................... 11 a Does Participation Cost the World Bank More? Emerging Evidence Jesko Hentschel ...................................................... 15 - Popular Participation and the World Bank: Lessons from Forty-Eight Case Studies Mary Schmidt ............................................................. 21 PART II. PARTICIPATION AND THE PUBLIC SECTOR a Public Sector Management and Participation: Institutional Support for Sustainable Development Malcolm Holmes and Anirudh Krishna ......................................................... 29 6 Strengthening Public Accountability through Participation Samuel Paul ...................................................... 37 '7 The State, Popular Participation, and the Voluntary Sector John D. Clark ............................................................. 43 PART m. CASE STUDIES AFRICA a Assessment of Beneficiary Participation in Health Program Management: Case Study of Benin and Guinea Michael Azefor and Marilou Bradley ............................................................. 51 iii CONWENlS a Institutional Issues in Participatory Development in Burkina Faso Della E. McMillan, Sylvestre Bangre, Fernand Sanou, Michel Sombie, Andre Roch Compaore, Abdou Salam Drabo ............. ........................ 57 so Stakeholder Participation in the Design of a Structural Adjustment Program: Case Study of Ghana P. V. Obeng ............................................................. 63 ASIA x2 Community Management in Rural Water Supply in Indonesia Karen H. Smith ............................................................. 69 -.m Community Participation in Waste Management in the Kathmandu Valley, Nepal Stephen Stern ............................................................. 73 2a Farmers' Participation in National Irrigation Systems in the Philippines NIACONSULT ............................................................. 79 LATIN AMERICA xs Popular Participation in Brazil: Northeast Rural Development Program Conrad Kottak, Alberto Costa, Rosane Prado ......................................................... 83 za Ecuador: Campesino Participation in the National Rural Development Program 7homas Carroll ............................................................. 89 16 Participation in the Resettlement Operations of the Zimapan Hydroelectric Project, Mexico Maria Clara Mejia and Salamon Namhad ............................................................. 93 iv Foreword This volume is a ummary of a select number through current efforts to mainstream partici- of studies produced during a four-year learning pation in the Bank's operational work process at the World Bank on participation. An earlier set of studies was published following the By drawing on World Bank-financed pro- 1992 World Bank Workshop on Participatory jects and evidence from outside the context of Development. The initial studies are included in World Bank work the authors seek to answer Discussion Paper 183 Participatory Develop- important questions, such as, what are the costs, ment and the World Bank: Potential Directions benefits, and limitations of participatory ap- for Change, 1992. proaches? This volume highlights such findings and focuses on three major categories: (a) At a subsequent workshop, held at the empirical studies on participation, (b) partici- World Bank in May 1994, approximately forty pation and the public sector, and (c) country case studies were produced, including those sum- studies on participation. narized in this book- These studies are a major output of the four-year Bankwide learning pro- I hope that you will take time to read these cess on participatory development, which was studies, and that they will stimulate participation led by Aubrey Williams of the Poverty and Social practitioners, economists, noneconomic social Policy Department. Leaming about participation scienis, and all readers interested in development continues, and this awareness is being deepened issues to pursue some of these issues further. Ishrat Husain Director Poverty and Social Policy Department World Bank v Abstract This collection of papers on different aspects process investigated the experience of the World and examples of participatory development repre- Bank and other agencies in supporting participa- sents some of the many outputs from a recent tion. The concept of participation is defined Bankwide learning process on participatory as "a process through which stakeholders development. Undertaken from 1991-1994 with influence and share control over develop- generous assistance from the Swedish Interna- ment initiatives, decisions, and resources that tional Development Authority (SIDA), this learning affect them." vii Acknowledgments The editor wishes to acknowledge the ori- Goswami, Sarwar Lateef, Richard Poliard, and ginal work of the authors of the individual Bill Partridge. Many other Bank staff kindly papers that are summrized in this Discussion provided comments on the draft papers. Paper. These contributors are, in alphabetical order, Michael Azefor, Maiilou Bradley, Thomas This collection of papers represents a col- Caroll; John D. Clark; Andre Compaore; Abdou laborative effort, involving a large number of Drabo; Jesko Hetschel; Malcolm Holmes; Conrad different institutions and individuals; without Kottal; Anirudh Krishna; Maria Clara Mejia; their openness and willingness to participate, Delia McMillan; Deepa Narayan; NIACONSULT this volume would not have been possible. (research team included Benjamin Bagadion and Ted I. Ehera with the assistance of Efren Richard M Crum provided editorial assistance Rabacal and Aquilina Mandoza); P. V. Obeng; by thoroughly reviewing the draft manuscript. Samuel Paul; Fernand Sanou; Mary Schmidt; Editorial assistance and desktop publishing Karen Smith; Michel Sombie; Stephen Stem; were provided by Ivy-Maria Tompkins, whose and Sylvestre Ouedraogo. skills and patience are most appreciated. Aubrey Williams played a key role in coor- dinating the studies, and other Bank staff gave Finally, the generous support of the Swedish generously of their time to help oversee pro- International Development Authority (SIDA) duction of the individual papers. They include throughout the World Bank participation learn- Bhuvan Bhatnagar, Cynthia Cook, Surajit ing process is acknowledged with thanks. ix Acronyms and Abbreviations CBO Community-Based Organizations CDR Committee for the Defense of the Revolution CFE Mexican Federal Electricity Commission CIDP Communal Irrigation Development Project co Community Organizers ERP Economic Recovery Program ESW Economic and Sector Work FODECO Community Development Fund FONCODES Peru Social Investment and Compensation Fund FUMAC Municipal Fund to Support Rural Communities GTZ German Agency for Technical Cooperation IOSP Irrigation Operation Support Project iwsw Ministry of Social Welfare NGO Nongovernmental Organization NU National Irrigation Administration NIACONSULT National Irrigation Administration Consultancy NJSIP National Irrigation Systems Improvement Project NRDP Northeast Rural Development Program 0 & M Operations & Maintenance PAC Small Community-Based Projects within NRDP PAMSCAD Program of Action to Mitigate the Social Cost of Adjustment PNDC Provisional National Defense Council PRONADER National Rural Development Program PSM Public Sector Management ME]P Metropolitan Environmental Improvement Program UIEMC Urban Environmental Management Committee SAC Structural Adjustment Credit SAP Structural Adjustment Program SIDA Swedish International Development Authority SWM-RMC Solid Waste Management and Resource Mobilization Center TUC Trades Union Congress ZOPP Objectives-Oriented Project Planning xi Introduction and Overview Jennifer Rietbergen-McCracken Background * How can the World Bank support participa- tory approaches in client countries and in This collection of papers on different aspects Bank-financed projects? and examples of participatory development repre- It is these questions that are addressed here. sents some of the many outputs from a recent Their discussion draws on the combined findings Bankwide learning process on participatory devel- from the studies selected for this volume. The opment. This learning process was undertaken papers are presented in summarized and edited from 1991 to 1994 with generous assistance from form. Many of the studies took place more than the Swedish International Development Authority two years ago, so substantial changes and new (SIDA). The process investigated the experience of learning have occurred in some cases. It was not the World Bank and other agencies in supporting possible to reflect these recent changes in the paricipation. The concept of participation is summaries. Finally, the choice of case studies for this collection was made with a view to illustrating defined as "a process through which stakeholders the lessons learned on the above questions; it was influence and share control over development ini- not based on whether the cases represented good tiatives, decisions, and resources that affect them." practice examples of participatory initiatives. Forty-five studies were commissioned to in- Following this introduction, the papers are vestigate participation-related issues and draw organized in three sections: lessons from participatory projects financed by the Part.. Emircal Sdes on Partcipation exaine World Bank. Answers were sought to many ques- World Bank experence and covers a tions, including the following: large number of projects. * What does it cost the World Bank to support Parti Partcpation and the Public Sector prvies participation in Bank-supported operations? ideas on how the public sector can betr * What are the benefits of participation? ourage participation and how, in tun, participatory approaches can enhance the * What factors enhance participation and what performance of the public sector. factors limit its successful implementation in Bank-supported operations? Part ll. Case Studes on Participation fimn Afiica, Asia, and Latin America focuses on indi- * How can a government encourage participation, vidual project-level interventions where the and how does a government's relation with NGOs World Bank has played a role in sup- impact on participation? porting participatory approaches. 2 Participation in Practice For readers wishing to learn more about the information-sharing and consultation-to more participatory development learning process and its intensive participatory mechanisms, such as col- outputs, three other publications are recommended. laboration in implementation and decisionmaking. Bhatnagar and Williams (1992)1 present the pre- Thus, defining a project as "participatory" or "non- liminary findings from the learniing process and . . a include the participation-related experiences of a partic eidnv an arbitrary jdmenr. This number of other development agencies. A publication problem is evident when trying to cmpare these of the Operations Policy Department, The World two categories of projects. For example, Jesko Bank and Participation (1994),2 represents the Hentschel in his investigation of participation-related culmination of the learning process. It includes the costs, attempted to compare participatory and non- main lessons learned, as well as a Bankwide participatory Bank-financed projects by (a) asking Action Plan on how to improve the Bank's work in Task Managers of participatory projects to rate the participation. Finally, the World Bank Participation costs of these operations against the likely costs of Sourcebook (1996),3 produced by the Environment hypotetical nonparticipatory ones with similar Department's Social Policy Division, provides case characteristics (e.g., sector, size); and (b) statisti- studies of participatory Bank-supported operations ' ' t and practical guidance on how to incorporate cally analyzing the costs of a set of operations participatory approaches and methods into identified as participatory versus a larger control of Bank-assisted activities. group assumed to include a lower proportion of participatory projects. Both these methods leave the Lessons Learned definition of"nonparticipatory" open to interpretation. Costs and Benefits of Participation Deepa Narayan's study of participation bene- One of the central questions addressed in the fits in rural water supply projects relied on two learning process concerned the costs and benefits coders rating projects on a number of variables, associated with participatory development approaches. including the extent of beneficiary participation. while individual case studies yielded some insights on Again, even with safeguards in place to ensure this question, several empirical studies also examined consistency between the two coders, these par- this issue. A common difficulty faced by investigators ticipation ratings were subjective. of this cost-benefit question has been the considerable metodological problems involved in producing mean- Quantifying costs. Hentschel's study examined ingful measurements. The following three problms only participation costs incurred by the World illustrate the difficulties involved. Bank, excluding any costs to the borrowing Defining projects as "participatory" or "nonpar- governments or other stakeholders. Even with this ticipatory." Bank-financed operations can range focus, measuring costs proved problematic. Par- from minimal levels of participation (which some ticipation-related costs in Bank-financed opera- do not consider to be participation at all)-such as tions are more than just the sum of the costs of special events, such as workshops or consultations, 1 Bhuvan Bhatnagar and Aubrey Williams, 1992. or the costs of including participation experts on Participatory Development and the World Bank: mission teams. But these are the kind of costs that Potential Directions for Change, World Bank Dis- can be identified and measured. In contrast are the cussion Paper No. 183, Washington, D.C. less obvious costs, such as staff time spent C 2 Operation Policy Department (OPR), 1994. The World Bank and Participation, The World Bank, convincing skeptical governments to adopt a Washington, D.C. participatory approach, in meeting with local Environmentally Sustainable Development Depart- ment (ESD), 1996. The World Bank Participation orgaizatilons, strengthenisg thelr capacity, and Sourcebook, Washington, D.C. building links between stakeholders at different Introduction and Overview 3 levels. Measurements based only on discrete events participatory projects were actually quicker to or consultant costs are therefore likely to under- disburse, due to increased stakeholder com- estimate the true costs involved. mitment and better project performance. Measuring Bank staff and consultant time Narayan's research reveals the following: associated with participatory activities is further complicated by another fact: namely, time account- * Beneficiary participation is the single most ing procedures are often done in a way to mask important factor in determining overall quali- costs of an expensive operation by transferring somne ty of project implementation. of the time spent on it to other, lower cost projects. * To be effective, beneficiary participation needs Revealing benefits. The benefits of participation to be incorporated in all stages of the project are even more difficult to identify than the costs, cycle, not injected after the main decisions on and are often impossible to quantify. This problem local-level project activities have been taken is most evident when examining ongoing projects, by other stakeholders. especially those still in the early stages of imple- * Beneficiary participation was not found to be mentation; participation-related benefits may not be seen until several years of implementation have a significant factor in determining the quality viede evdece n,for example, the quality and of macro-project design; the involvement of yielded evidence on, thexplect aity And other stakeholders and institutional and tech- likely sustainability of the project activities. And, nical factors are the more important de- because many of the Bank-supported participatory termining factors. projects were at an early stage of implementation when the case studies were conducted, the findings on the benefits of participation are tentative. Mary Schmidt's evidence, drawn from forty-eight Narayan's study included the results of many Bank-supported projects and more anecdotal in projects funded by other agencies that had longer nature, shows the following: experiences with participation. Also, the study * The participation costs incurred by beneficia- included only completed projects, so Narayan could ries and borrowers can be considerable and examine te benefit question more fuly. can severely hamper the successful implemen- tation of the participatory initiative, if not D espite the above-mentioned problems in inea- adequately addressed. suring the costs and benefits or participation, sev- eral clear indications emerge from the empirical * There are clear examnples ofparticipation in Bank- research. Hentschel's evidence shows the following: financed operations leading to increased project effectiveness, increased efficiency, strengtiened . . . ~~~~~~~~~capacity of community-level groups, and em- • Participatory projects cost the World Bank 10 percent to 15 percent more, on average, than powerment of beneficiaries. nonparticipatory projects in terms of staff time spent during preparation and appraisal. Critical Factors Affecting Participation * Participatory projects require more staff time The empirical studies of Narayan and Schmidt during the early stages of supervision, to help identify a number of factors that have either enhanced establish the participatory processes. or hindered the success of participatory initiatives. * Overall, the elapsed time, from identification Their findings are echoed in a number of the individ- to the start of disbursements, was not signifi- ual case studies where one or more of these fictors cantly longer for participatory projects conpared has proved influential. The following are some of to nonparticipatory ones. In some cases, the the factors that have limited participation. 4 Participation in Practice Lack of government commitment to adopting a set in as some of the traditional roles of the Central participatory approach. In several of the projects Ministry staff were being transferred to local-level studied, the proposed participatory approach met staff and community health management com- with resistance from government officials involved, mittees. This resistance revealed itself in the and in a few cases tbis problem mnaiied unresolved nonimplementation of the planned training of these and limited the success of the implementation of community-level committees, and it significantly the approach. In the case of the Ecuador National limited the capacity of these committees to perform Rural Development Project, Thomas Carroll de- their community outreach functions. scribes how the government's initial interest in using a participatory approach was based on Lack of incentives and skills among project staff seeking financial and labor contributions from to encourage them to adopt a participatory beneficiaries, rather than on achieving more approach. Clearly, if project staff are not provided meaningful participation. Furthermore, commit- with the necessary skills and incentives to work in ment of government officials within the implemen- a participatory way with local communities, their ting agency was weak because this agency had had willingness and ability to do so will be severely little part in the preparation work and had little hampered. Examining examples of community experience with participatory approaches. When management of rural water supply in Indonesia, elections brought about a change of leadership in Smith contrasts the position of government and this agency during implementation, those high-ranking NGO fieldworkers. While NGO staff can work in a officials who had been supportive of the partici- flexible, responsive manner, and are better trained patory approach were replaced by a succession of in facilitating community action, government staff more traditionally minded ministers. are often less qualified and need to cover more communities. Thus, they have less opportunity to Even when central government staff are develop participatory fonrs of working; their committed to a participatory approach, there may decisions therefore tend to be taken in a more top- not be the same commitment at the local level. down manner, involving only the village leader or a Conrad Kottak et al, studying the Northeast Rural small group of the elite members of the community. Development Program in Brazil, where state-level Furthermore, the standard government system for commitment to the participatory approach was planning, transferring, and accounting for funds high, cite one example of a municipal-level politi- means that government personnel do not have the cian; he had gotten rich as a middleman and felt time, authority, or resources to modify the program threatened by the formation of a local association to suit the changing needs of the community. whose goal was to regulate the sale of local products at the expense of middlemen. In response, Limited capacity of local-level organizations and the politician tried to stir up trouble for the inisufficient investment in community capacity association by accusing its members of having building. Weak financial and managerial capacity communist objectives. of local-level organizations and a lack of attention to capacity building of these organizations have Unwillingness of project officials to give up limited several of the participatory projects control over project activities and decisions. studied. Kottak et al list seven problems commonly Linked to the above factor, the commitment of facing community associations and cooperatives in project-level officials may be limited by their Brazil, including precarious financial support and resistance to having to share control with a lack of participation among group members. In beneficiaries and other stakeholders. For example, the participatory programs of the Philippines the participation of beneficiaries in the manage- National Irrigation Systems (as reported by ment of health programs in Benin and Guinea (as NIACONSULT), capacity building of farmer-run described by Azefor and Bradley) was accom- irrigation associations involved passing on to them panied by decentralization of decisionmaking the responsibility for operations and maintenance within the Ministry of Health. However, resistance (O&M) and user-fee collection. This approach was Introduction and Overview 5 directly undermined by the establishment of targets A more serious level of mistrust and suspicion for the government irrigation agency. Limits were between government and local people was found in set on the O&M expenses the government should the Zimapan Hydroelectric Project in Mexico, incur and the amount of user fees it should collect reported by Maria Mejia et al. Prior to this project, each year. The government was involved because the implementing agency, Mexican Federal Elec- these targets could not be met when these respon- tricity Commission (CFE), had been accustomed to sibilities were shared with or handed over alto- working in a nonparticipatory manner, with no gether to farmers. involvement of the people who had to be resettled as a consequence of the hydroelectric schemes. Participation started too late. If participation is Indeed, CFE officials viewed strikes, protests, and not built in to the original project design, with other forms of resistance by the affected people as input from key stakeholders, it will be more a necessary cost of doing business. It took difficult to try and inject a participatory approach intensive negotiations and insistence by Bank staff later in the project cycle. This outcome was the to reorient the approach of CFE to build more case in the First Urban Project in Burkina Faso, as positive relations with the affected people. described by Della McMillan et al. In this case, project planners were so convinced of the model Conversely, those factors that have proved im- they had developed in an earlier pilot and were in such a hurry to launch the new project quickly that portant contributors to the success of participatory they did not involve the beneficiaries in the project initiatives, according to Narayan's study and preparation. The effects were very evident. The backed up by evidence from the case studies, planners soon became embroiled in a series of mis- include the following: understandings and disputes with the beneficiaries and other stakeholders. The result was long delays * A relatively autonomous implementation agen- and technological changes that dramatically in- cy not hindered by the need to coordinate with creased the total costs of the project. a large number of other agencies Mistrust between government and local-level stakeholders. In many instances, the relationship The importance of this factor is often most between beneficiaries, NGOs, and government (and obvious when it is absent. One of the key problems in somne cases, the World Bank) has been, at least cited by Carroll in the Ecuador National Rural initially, based on mistrust and suspicion. If Development Program was the division of imple- adequate time and effort is not invested in resolv- ing these problems and differences of opinion, the endatio res itiesdetween two Mns participation of all stakeholders will be severely and six semi-independent agencies. Each was limited. Stephen Stern reports that in the early responsible for one or more of the eleven compo- stages of a waste management program in Nepal, nents of complex project. With poor coordination there was a high level of mistrust among com- between these agencies, and little decentralization munities in the ability and commitment of gov- of their responsibilities, the project encountered emnment to implement a functional waste man- considerable difficulties in making the planned agement system. The mistrust was based on participatory approach a reality. And McMillan et previous failures experienced by communities. To al report that the ability of community organiza- overcome this mistrust, project staff delayed a . planned baseline survey of sanitation problems. tioseresponsBility Fo man locvel Instead they worked with community groups to health services in lBurkina Faso was reduced by organize several cleanup activities to demonstrate Ministry of Finance laws that necessitated central immediate results. management of all financial receipts. 6 Participation in Practice * A client-oriented implementation agency beneficiary groups, a great range of approaches have been found, from those dominated by one Interestingly, one of the best examples of a leader, to those where all members are given the client-oriented implementation agency, in the cases opportunity to participate in decisiomnaking. In the studied, comes from a case where the agency had Brazil Northeast Rural Development Program, evolved a participatory approach prior to any Conrad Kottak reports that the project has more chance of success where local organizations are quolvemestion the Natioald Brriganion Adm natinc already active and are operating in a participatory question, the National Irrigation Adunistration manner. A common weakness of the community (NIA) of the Philippines, had developed its farmer- organizations in the area is a lack of involvement oriented approach over a period of fifteen to of women, even though most association leaders twenty years, from an initial top-down "extension- feel that women are more committed to these based" approach. By the time World Bank support organizations (and devote more time to partici- was made available to NIA, its staff were already pating) than men. In the Philippines, the farmer- dedicated to working in a participatory way with run irrigation associations were provided with farmers and farmer organizations. extensive training and given legal status by registering them with the government; these steps Commitment on the part of beneficiaries, as enabled the men to do business with government @ (ommitment on the part of andeotherrbod,es. expressed by a demand for the project's andsothrbodies. goods or services prior to implementation. Participation and the Public Sector Where a project seeks to address a priority Three papers in this volume address the role need, and is clearly felt by beneficiaries to be able of the public sector in supporting participatory to improve their situation, the prospects of achieving approaches, and in turn the studies show how participation by these beneficiaries will be greater participatory approaches can improve the perfor- than they would otherwise be. This commitment mance of the public sector. As Malcolm Holmes may be expressed by the beneficiaries initiating and Anirudh Krishna state, even in many countries action to increase their involvement. So it was in as the public sector faces financial problems and the Philippines case where farmers began to has limited capacity to reach the local level, request NIA to negotiate with them about the government still plays a key role in shaping the possible transfer of O&M responsibilities to environment within which local-level development farmer-run irrigation associations. In other cases, initiatives take place. Whether they are carried out commitment may be measured in terms of a by communities, NGOs, the private sector, or willingness to contribute financially to the project public agencies doesn't matter. They define the activities. In the case of the waste management necessary components of an "enabling environ- program in Nepal, Stern reports that once ment" that makes it possible for the public sector communities saw the benefits of community- to support the participation of other stakeholders. managed systems, 80 percent of the beneficiaries Such participation includes (a) full access to expressed a willingness to pay service charges to information on policy issues and development continue these activities. plans, (b) freedom of association to permit the discussion of issues by all interested groups, and * Well-functioning beneficiary organizations,ygp (c) regular meetings where elected officials can with internal structures and procedures receive feedback from local-level stakeholders. favoring participation by all members John Clark focuses on the particular aspects of an Participatory approaches rely not only on enabling environment that can encourage NGO positive relations between stakeholder groups, but participation. He lists these as (a) regulations, also on participatory modes of operation within laws, and bureaucratic procedures that encourage organized stakeholder groups. In the case of rather than hamper NGO activity, (b) coordination Introduction and Overview 7 with NGOs on particular programs, (c) involve- institutionalize participatory approaches within the ment of NGOs in fostering public debate ard work of the public sector. helping formulate policy, and (d) the means to make available appropriate mechanisms for fund- The Role of the World Bank in Supporting ing NGOs and their prograrns. Participation At the same time, as Holmes and Krishna point Many project case studies illustrate the dif- out, the use of participatory approaches can help ferent roles the World Bank has played in the use broaden the consensus for reform of the institu- of participatory approaches by borrowing gov- tional framework, therefore facilitating the devel- ernments. The Bank's level of influence has ranged opment of an enabling environment, Samuel Paul from (a) taking a back seat in a govenment-led details numerous practical ways in which partici- initiative; (b) building on previous or existing patory approaches can help strengthen one impor- initiatives undertaken by the borrowing govem- tant aspect of an enabling environment-namely, ment or other agencies; to (c) actively pursuing and the accountability of public sector agencies. Some insisting on the use of participatory approaches. of the examples he quotes, where macro-level An example of each of these roles follows. participation mechanisms have been used success- fully for this purpose, include (a) the consultations The participatory approach adopted in the with a wide range of stakeholders (industrialists, discussions on the first Structural Adjustment labor leaders, academics, agriculturists, and other Program (SAP) in Ghana was a Ghanaian initia- groups) by Indian Finance Ministry officials in the tive; it was the idea of the then-Chairman of the budget-making process; and (b) the establishment Commuttee of Secretaries (equivalent to Prime of a Division of Public Feedback within the Minister). This high-ranking official, P.V. Obeng gove tof Singapore to receive systematic (author of the case study), arranged a week-long govedbackranme int ite 'mterest groups to meet senior series of workshops with a range of stakeholders. feckand inviteaints oupsrto tose They included key economic ministers and civil officials in public hearings on particular topics. servants, trade union and private sector represen- Similar approaches have been used at the micro- tatives, and representatives of the public. These level; they include (a) a users survey conducted in stakeholders discussed the different components of Bangalore to receive and report on residents' the SAP with a World Bank mission team. In this perceptions of the performance of the city's public approach, the World Bank mission team had to utilities, and (b) the establishment of a system in modify their usual approach to negotiation and include many more stakeholder groups tha would Indonesia where water-user groups are responsible inld aymrstehdrgoushnwud Indoesiawhee waer-ser rous ar reponsble normallv, be involved. The Resident Mission played for collecting user fees on behalf of the farmers n b . T an important role in helping coordinate the aap- workshops and in ensuring follow-up after the proach has motivated user groups to be more vocal mission team left. aid demanding in their dealings with the government authorities concerned. Such efforts have resulted in Several cases in Burkina Faso illustrate how a more responsive, accountable system overall. World Bank support has built on existing or pre- vious initiatives. For example, in the health sector, Holmes and Krishna call for more attention to international NGOs were responsible for the initial such institutional refonn issues as part of develop- rural community health prograrns in the country, ment assistance. They cite many cases where the and the World Bank then helped develop the NGO World Bank has begun to experiment with initia- models on a large scale. Similarly in the urban de- tives at both the project and policy level to help velopnient sector, a number of participatory initiatives 8 Participation in Practice funded by UNDP and the Dutch government have As stated above, NIA had evolved a successful been expanded with World Bank assistance. participatory approach to irrigation development The World Bank played a much more pro- prior to receiving World Bank assistance. The case active role in the Zimapan hydroelectric project in study highlights a number of ways in which the Mexico. Here the Bank staff involved in the World Bank support had a positive influence (for preparation missions faced difficult negotiations example, by giving credibility to the farmer- and had to be insistent with the government imple- oriented work of NIA and encouraging further menting agency officials, who had been used to assistance from other donors), but evaluates the undertaking resettlement work in a top-down, non- overall impact of the World Bank's involvement as participatory manner. Finally, legal agreements negative. This unfortunate situation arose partly were signed with the agency, including required because the World Bank loans supported only changes in its overall structure and social policy to sorue the Wof Ba's lishsupartedaory allow for adequate community participation. The someofthefeatesofNIAsestablishedparticipatory World Bank staff involved in the project continued program, and so the careful sequencing and links to promote a participatory approach by organizing between all the features of this tried-and-tested special meetings with the different stakeholder program were lost. groups, meeting with the affected communities during missions, and intensively supervising the One important omission, rectified in subsequent resettiement process. Throughout the process the loan operations, was support for the community Bank staff provided suggestions and solutions. organizers. The early World Bank loans provided Finally, it should be pointed out that World only for their training, not for their salaries or per Bank involvement has sometimes had a negative diems. Thus, the catalytic functions of these local- inpact on participatory initiatives in client countries. level facilitators were greatly undermined and the An adverse result is often due to a country's insti- tutional requirements and procedures that create pisjent of argetsufor thepeore of Nsa conditions unconducive to the operation of partici- lishment of targets for the performance of NIA patory mechanisms. This was the case, for example, directly undermined the efforts of this agency to in support given to the National Irrigation Ad- hand over responsibilities for part of its work to ministration (NIA) in the Philippines. the farmer-run irrigation associations. Part I. Empirical Studies on Participation The Contribution of People's Participation: Evidence from 121 Rural Water Supply Projects Deepa Narayan' Introduction of rural water as a common property resource. A number of sociological studies related to the proj- Much has been written about the importance ects were also reviewed. Additionally, the twenty of people's participation in achieving sustainable most "effective" projects were analyzed for their developnent and community empowerment. But there key design features. is a lack of quantitative evidence to answer these hree basic questions: Does beneficiary participation Contribution of Beneficiary Participation in decisionmaking contribute substantially to pro- ject effectiveness? What beneficiary and agency For the purpose of the study, beneficiary par- charactistics foster beneficiary participation? How ticipation was defined as a voluntary process used can participation be encouraged through policy and by people, including the disadvantaged, to influ- project design? ence or control the project decisions that affect them. Only 21 percent of the projects scored high To answer these questions, an in-depth study in overall beneficiary participation (involving both was undertaken. The study was based on evalua- men and women) and 17 percent scored high in tion reports of 121 completed rural water projects women's participation. Twelve measures were in 49 Asian, African and Latin American coun- used to quantify the levels of participation across tries, supported by 18 international agencies. The different stages of the project cycle and the gender projects included both large and small-scale opera- dimensions. To move beyond correlations (associa- tions; they use a range of technologies from simple tions) to causality, multivariate regression analysis spring captures to multicommunity pipe systems was used to test the collective action framework. with pumping stations. Almost half the projects included some sanitation and primary health- The results establish that beneficiary partici- care activities. pation was a significant contributor to overall project effectiveness, even after controlling for The results are based on quantitative and sys- eighteen different direct and indirect determinants tematic qualitative analyses of data across projects of outcomes. Beneficiary participation also contri- and within the lifetime of individual projects, buted significantly to the proportion of water sometimes a decade or more. The quantitative data systems in good condition, overall economic bene- are based on content analysis of each report on 149 fits, percentage of target population reached, and variables by two independent coders. From the environmental benefits. Beneficiary participation preliminary analyses, a model was developed to also contributed to achieving equality of access to apply the collective action paradigm to management facilities, although to a lesser degree. The only 1 This is a sunmary of the original paper by the author. 12 Participation in Practice other significant factor was the availability of * Beneficiary participation was the single most spare parts and repair technicians. However as important factor in determining overall qual- project experiences attest, without beneficiary ity of implementation. interest, sustainability is not achieved even when spare parts and repair technicians are available. * Whether water projects are conceptualized as These factors make a difference only when there is consisting of subprojects or not, they are community interest and demand for these services, implemented as such. Thus, a large project Conversely, it is equally true that participation can consist of 1,000 water systems designed cannot correct for all problems, including lack of in 1,000 communities. At this subproject spare parts. level, the single most important factor in determining success was community involve- The analysis reveals that beneficiary participation ment in decisionmaking. was the single most important factor contributing * The impact of overall beneficiary participa- to individual and community empowerment. It also tion throughout the project cycle was greater resulted in community members acquiring new than participation during any single stage. water-related and organizational skills. Finally, it strengthened community organizations th~at went * To be effective, beneficiary participation should strngthenedertakeotherdevloranizactions. thatwebe viewed as an organic, evolving process on to undertake other development activities.rahrtnsoeigtobijcedtltr rather than something to be injected at later Tracing Causal Paths stages. Using the wrong approach explains the poor results of the "handing over" strat- egy employed by many public sector agen- It was hypothesized that beneficiary participationcisThydiganbulsstmwtot affects final outcomes by affecting the quality of beney cosion or involvementhand outcomes at each of the different stages of a .. project cycle: macroproject design, implementa- then expect communities to be responsible for tion, construction, and maintenance. A series of operation and maintenance. multivariate regression analyses resulted in the In-depth Qualitative Analysis following three major findings: e Beneficiary participation was not a significant Statistics tell only part of the story. To under- factor in detennining the quality of macro- stand further how participation worked in practice project design. and to look at agency factors not coded, individual projects were analyzed in depth. The following * Key factors affecting design quality were (a) four findings are worth highlighting: paying attention to make sure that spare parts * The forms of effective participation varied and technicians were available, and (b) minimiz- tremendously, ranging from representational ing complexity of project design, as measured to domination by leaders and elites, from by the number of different organizations and direct involvement in construction to supervi- activities that had to be coordinated. The sion of hired contractors, and from direct direct involvement of large numbers of bene- involvement in operations and maintenance diec inovmn oflrenmeso.ee (O&M) to contracting out O&M to private ficiaries in determining overall project design agencies. did not appear to be critical. Stakeholder involvement, indirect methods of involvement * Effective participation did not result when through social analysis and consultation, and agencies retained control over implementation incorporating experience of other projects details (i.e., the what, when, how, and where may be more exportant to designohg beneficc- of participation). When there are no incen- tives for beneficiaries to participate and when ary responsive projects. all major decisions have already been made The Contribution of People 's Participaiton 13 by agencies, participation does not occur on a When beneficiaries made a commitment prior large scale. to project implementation, this commitment trans- , .Aiile NGIs'projecsrepresente percent lated into their involvement in project activities, * While NGOs' projects represented 15 percent icuigivsmn ncptladrcretcss of the total samnple, they made up half of the includme mvestment in capital and recurrent costs. success sample (the twenty most effective Although methods varied, successful projects prjccs). same (thee twenty prostjefectsover 9 employed some process of community self-selec- projects). Of these twenty proJeCts, over 90 tion, based on resource mobilization and comple- rew ieg tion of a series of tasks prior to including the eminent agencies other ta public engineer- community in the project. However, when agencies ing departments. Communities trusted locally assumed demand based on water scarcity or water based organizations the most, followed by quality or other "objective cnteria," projects floundered. local development workers, intermediary NGOs, and local government agencies. The forms of beneficiary organization varied * Physical infrastructure and related technolo- even within communities, but they were character- gical issues have been addressed more ef- ized by internalized and membership-enforced rles fectively than issues relating to the social and regulations. All successful groups not only had organization necessary to manage the physi- rules that they enforced but also had special rules cal works, such as identification of the key allowing access by the poorest and most destitute actors, their social organization and leader- people based on some labor exchanges. Successful ship, and their interest and capacity to man- groups were either newly created, incorporating age physical infrastructure. traditional principles of organization, or were built on indigenous organizations. This outcome maxi- Factors Determining Beneficiary Participation mized operation of trust, loyalty, and reciprocity- all necessary to keep transactional costs low for The problem with modeling participation is both beneficiaries and agencies. that participatory processes are nonlinear and cyclical. The process interacts with intermediate The two most important agency characteristics outcomes and in tum influences the process. For were (a) the relative autonomy of the agency, and programs and policymakers wanting to induce (b) its degree of client orientation. It is important participation, it is helpful to identify the critical to assign responsibility to a relatively autonomous elements of the participation process, as well as agency that is able to pursue its mission without determinants of the eventual participation levels of the need to coordinate with a host of other agen- beneficiaries. These relationships were also analyzed cies. Also the following three client-orientation through multivariate regression analysis. strategies emerged as especially important: The intermediate participation elements most * making beneficiary participation a goal to be highly correlated with overall levels of beneficiary monitored and evaluated, and rewarding staff, participation were local ownership and control; user investment in capital costs, agency responsive- * utilizing local knowledge through social analysis ness to feedback, and how much users paid in design and implementation; and attention to (i.e., learned from) agency workers. * investing in capacity building of local people, Beneficiary participation is determined by char- including providing information to help peo- acteristics of both the beneficiaries and the agency ple make choices and allowing time for com- or project. The analysis found that the two key munities to organize themselves. beneficiary characteristics determining participation wer (a) commitment prior to constuctio or "demand," The in-depth qualitative analysis revealed that and (b) the degree of organization of beneficiaries. the three most common problems experienced in 14 Participation in Practice projects, even among agencies seeking to elicit involvement was specifically targeted and resources participation, were invested, participation did not happen. * an unwillingness to give up control over Inducing Participation implementation details; * a lack of incentives for staff to support Beneficiary participation is a strong contributor client orientation through new institutional to rural water project effectiveness and maintenance, arrangements; and as well as to individual, organizational, and coninun- ity empowerment. The main lessons emerging from * an unwillingness to invest resources in com- this extensive project review are that creating sustain- munity capacity building. able rural water services requires new institutional arrangements to ensure that Gender Issues * beneficiary demand and client orientation are the main criteria guiding policy reform, proj- Only 17 percent of the projects achieved hlgh ect design, and institutional incentives; levels of women's involvement. While the measures of women's participation and overall participation * creation of social organization to manage and were correlated, achieving high levels of bene- sustain the physical infrastructure is central ficiary participation did not necessarily result in to the strategy; high levels of women's participation. The main * the forms, intensity, and details of participa- reason behind this outcome was the fact that tion are not standardized but allowed to vary determinants of women's participation were different depending on the objectives and the local from those of overall beneficiary participation. context; and Women in rural areas face many constraints to * local participation and sustainability of services participating in development projects; unless women's are the key evaluation criteria. Does Participation Cost the World Bank More? Emerging Evidence Jesko Hentschel ' Introduction country to be more capable of defining a program with less input from Bank staff. Similarly, with According to advocates of participation, there consensus reached in the preparation phase of a are distinct advantages to involving beneficiaries project, potential problems can be resolved upstreamn, and stakeholders in the preparation and implemen- and less supervision effort by Bank staff may be tation of investment projects supported by the required to ensure satisfactory project performance. World Bank. Participation increases the project benefits by improving project performance, by The purpose of this paper is to examine (a) the enhancing project sustainability, and by developing kinds of costs incurred by the Bank in partici- the skills of stakeholders. These benefits have to be patory project preparation and supervision, and (b) weighed against potential costs of participation to the significance of such incremental participation- the beneficiaries and to the borrower. At the same related costs. time, costs and benefits also arise for the creditor, the World Bank. Potential benefits to the World The interpretation of costs depends on the Bank include an intensified Bank-country dialogue Bank's overall institutional objective. This study with improved Bank-borrower relations, easier analyzed costs in terns of the incremental amount follow-up projects, and integration of otherwise of resources invested in the preparation, appraisal, skeptical national and international groups in the negotiation, and supervision of participatory pro- development effort. jects when compared to nonparticipatory projects. This interpretation is appropriate if the World Arguments can be made that participation in- Bank represents an institution that minimizes its creases or decreases the cost for the Bank to own resource costs for a given lending volume, prepare and supervise a given lending volume. regardless of project quality. However, if the Costs of participation will mount for the Bank if institutional objective of the Bank is to finance specialists are brought on board, if more time is sustainable, high-quality investment projects, then needed for in-country dialogue, or if the super- it would seek to minimize its own costs for a vision intensity increases due to the integration of certain lending volume given a certain project beneficiaries and stakeholders into the decision- quality and sustainabili)y. If participatory methods making process of project implementation. The ensure an improvement in these characteristics, reverse argument can be made as well, however. their costs would then have to be compared to The involvement of affected groups and other alternative means of achieving the same project stakeholders during project planning can lead to a quality. Participatory approaches might increase more self-propeiled process that enables the brwng direct costs only when measured against a certain ' This is a smnary of the original paper by this author. 16 Participation in Practice lending volume. But they can turn out to be the Second, standard statistics were computed for least-cost solution when putting project quality and a larger group of participatory projects and comn- sustainable development first. pared to a Bankwide control group of projects. The forty-two participatory projects chosen for this Methodology comparison were mostly in the agriculture sector, but they also included lending for population and A two-pronged approach was taken to assess health, infrastructure and energy, and a Structural the direct, static costs of participatory methods for Adjustment Operation. The control group consisted the Bank. First, interviews with Bank staff of of active or completed Bank-supported operations twenty-one participatory projects were evaluated in a similar set of sectors and countries. It was based on what staff considered the incremental impossible to assess the level of participation, but costs of participation. All the projects selected it is likely that the proportion of participatory included participation by beneficiaries or other projects in the control group was very small. stakeholders in decisionmaking during project implementation. Seventeen of the projects were The following three questions were posed in active lending operations, while four were not yet this comparative analysis: implemented at the time of analysis. Staff were asked to compare the overall costs of preparation * How do average staff weeks financed out of and supervision of the participatory project to a the normal salary budget ofthe Bank (excluding hypothetical nonparticipatory project employing a Trust Funds) compare between the group of conventional top-down planning approach. The participatory projects and the control group? interviews were guided by a standard question- naire, including the following questions: * How do the two groups compare on the use of * What kind of cost categories (salary budget Trust Funds and grants? versus travel budget) were affected by par- ticipation? * Is the elapsed time between different stages in * Were participation specialists included in the the project cycle similar between the two groups? team and how many staff weeks did they contribute? A word of caution is necessary here. "Outliers" '(i.e., operations that for a variety of reasons require team members affected by the parti,ipatory extremely high or low input from staff) can strong- nature of the project (distinguishing between ly influence the computations for the participatory work in the field and at headquarters)? projects. It is further questionable whether "average" Bank project statistics carry a meaning for com- * Did delays occur during project preparation parison purposes, since every investment operation stahor ldemention beneficiarylarti tionke . is unique in respect to its objective, stakeholders, and policy enviromnent. Third, charging staff and * Was the work pressure on staff affected? consultants' time against a particular project-as done in the Bank's Management Information Sys- These interviews dealt onlybwith thec ost impli- tem (from which the data for this comparative eations for the Bank's budget, excluding any grants study were obtained)-is not always done in a or trust funds used to finance consultants or precise way. It is common knowledge that high- workshops. They also excluded any costs arising cseratios commes cowledge by hi- for the borrowing country (e.g., under a Project cost operations are sometimes covered up by "di- Preparation Fund or by incurring expenses under versifying" staff time (i.e., by charging staff and an ongoing project). consultants' time against other, lower-cost projects). Does Participation Cost the World Bank More? 17 Incremental Costs in the Twenty-One methodology on the time in the field was Participatory Projects negligible. Six of the projects did require a higher staff-week input in the field, which In addressing the above-mentioned questions, could be linked to the participatory process. this part of the study looked at the folJowing two Several contributing factors were mentioned phases of the proesct cycle: (a) from lending develop- by the staff, including extra time required to ment to Board presentation, and (b) duing supervision. convince central or local government counter- From Lending Development to Board parts to buy into a nontraditional project Presentation approach (as in the El Salvador Sites and Services Project, where a nongovernmental * Cost categories. Increased salary expenses organization implemented a low-income housing for staff and consultants-due to increased project, or as in the Egypt Matruh Resource staff weeks spent at this stage of the project- Management Project) additional time required emerged as the major incremental cost com- to build mechanisms of cooperation and ponent associated with participatory pro- dialogue between different stakeholder groups jects. Other categories, such as outlays for during project preparation. workshops or surveys were not so significant. Work at headquarters of nonspecialist staff The travel budget was not affected in nineteen Overall, staff did not judge participation to of the cases because Task Managers did not affect the amount of staff weeks necessary to schedule additional missions. prepare a project at headquarters. According • Inclusion of participation experts. Salary to the staff, sixteen of the projects were not increases were mainly caused by inclusion of affected in this respect, two required more participation specialists, but these increases staff weeks, and three required fewer staff were modest. Fifteen of the projects relied on weeks until Board presentation. such specialists as sociologists, anthropolo- . Delays in preparation due to participation. gists, or community experts to facilitate the In all but one project, participation did not participatory process in the field. The special- cause delays from the time the project was ists usually added less than 10 percent to the identified to its presentation to the Board. total amount of staff weeks used during this stage of the project. * Work pressure. Interviews revealed that the _. Fieldwork of nonspecialiststaff . Pazticipa- work pressure on project staff increased due tion did not infouence the numberas staff to the participatory approach. Specifically, tion~~~~~ ~ ~ di.o nlec h ubro tf fieldwork was judged to be more intense because weeks project staff (other than the participa- Bank s had to re more atos whu tion specialists) required in the field in the Bank staff had to respond to more actors who majonty of participatory projects examined. . . However, participatio did change themore, participation made the preparation Hoee, patcpto di chng th dynm process less predictable, and staff felt that ics of project development. In a number of the projects studied (including the Chad Educa- their work programs needed to be designed in tion V Project and the Yemnen Education a more flexible way to reflect the special Sector Project) the participatory approach nature of the participatory process. involved a more intensive dialogue between Ses the Bank and the borrower during project Juperv:szon preparation, including national and regional workshops. These workshops led to greater Supervision had started for seventeen of the local ownership of the project, which facili- twenty-one projects when the interviews were tated the work of subsequent Bank missions. conducted. For these projects, the same questions Thus, the overall impact of the participatory were addressed for this stage of the project cycle. 18 Participaon in Practice * Cost categories. The salary outlays for staff the participatory nature of the projects. In and consultants emerged again as the cost only two cases did the supervision effort category most influenced by participation. decrease. The higher supervision effort in Financing of roundtables or conferences during headquarters is partly due to the close work- implementation was borne by the borrower. ing relations developed between the stake- Expenses from the travel budget were larger holders and the Bank's project team during during supervision than during the earlier preparation, which follow through into super- phase of the projects. Supervision Task Man- vision. However, a number of Task Managers agers for five of the seventeen projects un- stated that they expect a different supervision derway stated that additional missions were profile than that of nonparticipatory proj- necessary; they also found that the higher ects-higher at the beginning of the imple- supervision effort could not be combined with mentation phase (which is where most of the other travel plans. projects sampled were at) to support the start- * Participation specialists. Seven of the projects up of beneficiary and stakeholder participation, employed participation specialists as part of the but considerably lower in later stages of the Bank supervision team in the field, and four project cycle as less controversies arise due to cases further included these kinds of specialists the nature of the participatory process. in headquarters-based supervision work. How- * Delays in disbursement because of participation ever, the reliance on experts played a less sig- Staff stressed that they did not encounter nificant role during project supervision than it delays in disbursement linked to participation. had done during preparation. Participation spe- In a few cases the opposite occurred (i.e., cialists accounted for an average of about 10 disbursements were faster than expected be- percent of the total supervision staff weeks in the cause of the good project performance). field and at headquarters. Comparison of Forty-Two Participatory * Fieldwork of nonspecialist staff No clear Projects with a Control Group trend was observed as to how participation influenced the number of supervision staff The following results of this statistical com- weeks per year in the field. Of the seventeen parison are grouped around three queries: projects, three were considered to require less supervision (by about 10 percent of total * Staff weeks financed by the Bank's budget. yearly average) compared to nonparticipatory Computations of the average number of staff projects; six required longer supervision (about weeks spent in preparation, appraisal, and 20 percent more on average); and eight negotiation confirm the information obtained showed no impact on supervision time. On in the interviews: participation increases staff average, staff spent one-third of their super- weeks by about 10 percent to 15 percent. vision time in the field facilitating participa- According to the estirnates presented in Table tion by, for exanple, preparing stakeholder 1, the projects included in the Bankwide workshops; conmmunity visits; and dialogues control group required around 12 percent less with NGOs, beneficiary associations, and dif- work input in preparation than the participa- ferent levels of government. tory project group. While the same trend can be observed for appraisal staff weeks * Work at headquarters of nonspecialist staff (difference of 15 percent), negotiation timne The participatory projects were more super- does not appear to be affected by the partici- vision-intensive at headquarters than nonpar- patory nature of the projects. Because of a ticipatory projects. In nine cases, staff men- high variation of observed values, the stan- tioned that an average of 25 percent more dard deviations of the computed averages are staff weeks were necessary per year due to very high. The average yearly supervision Does Participation Cost the World BankMore? 19 effort was also higher for participatory proj- staff weeks during preparation from Trust ects. As seen in Table 1, the control group Funds and government grants. required only about two-thirds the number of supervision staff weeks as those used in the * Elapsed ime. The elapsed time during negota- participatory project group. This ratio is in tion, signing, and effectiveness was not mark- line with answers from Bank staff in the edly different between the two groups. The interviews, to the effect that supervision participatory projects required only 7 percent requires more staff weeks especially in the more time from identification to signing than early stages of project supervision. However, those projects in the control group. The argu- as front-loading of the supervision effort ment that participatory projects take longer until occurs, as mentioned by several Task Manag- disbursements start cannot be supported by ers, then the figures in Table 1 overestimate thesc results. the average yearly supervision intensity of the participatory projects. Remaining Questions * Staff weeks financed by extrabudgelary funds. Several open questions remain. First, thc On average, the group of participatory proj- supervision effort of participatory projects needs ects relied more heavily on extrabudgetary to be further monitored to assess whether it does Table 1. Staff weeks spent on participatory projects versus control group projects Participatory projects Bankwide control group Observationsa Staff weeksb Observationsa Staff weeksb Preparation 42 88.5 1,013 77.6 (42.9) (55.7) Appraisal 37 42.7 881 36.2 (24.8) _ _ (24.5) Negotiation 37 13.5 885 13.0 (11.8) j (11.3) Supervision per year 97 27.0 2,291 17.0 ____________________ _______________ (20.5) (14.8) a Variation of observation number is due to incompleteness ofMIS data. b Standard deviation of means are given in brackets below the estimates. sources than the control group, and grants decrease over the implementation phase, as sug- were especially used during the preparation gested by several staff in the interviews. Because phase. Interestingly, while the share of proj- only relatively recent participatory projects were ects in each group that tapped extrabudgetary included in the study sanple, it was not possible to finance sources was roughly the same (about make this evaluation. Second, more research is 25 percent in each case), the intensity of its needed on how the learning process within the use was very different. Several participatory Bank and the borrowing countries influences the projects financed up to 50 percent of total costs incurred. As staff learn to apply participatorv 20 Participation in Practice techniques and the benefits of participation become Independent of whether project quality is defined as visible in the borrowing countries, preparation and poverty alleviation or development sustainability, if supervision costs can be expected to decline over time. participation is a means to achieve this goal, it might And third, assessment ofthe costs of participaticn needs well tum out to represent the least-cost operatng to be conducted with consideration of project quality. solution for the World Bank. Popular Participation and the World Bank: Lessons From Forty-Eight Case Studies Mary Schmidt' Introduction participation, these were most commonly concemed with cost-sharing, project efficiency, and project This paper is based on a study of forty-eight effectiveness rather than with building the capacity Bank-supported projects and Economic and Sector of beneficiaries or empowering them to initiate Work (ESW) activities, all considered participatory. their own activities. In only one of the non-Social The study was conducted in 1993, using infiorma- Fund projects was empowerment an explicit uon from Bank documents and interviews with objective, and only because it was central to the Task Managers and other Bank staff The objective work of the NGO that initiated and executed the was to identify recurring obstacles to participation project. Among the Social Funds, the Social and actions taken by Bank staff to overcome Investment and Cmpeation Funded (FONCODES) difficulties. This paper summarie the study's project in Peru stated that one of its objectives was findings and provides some information on the the empowerment of beneficiaries and strengthen- costs and impact of participation. ing of associations, organizations, and institutions at the grassroots level. The most common unit For the purposes of this study, popular par- thrugh which beneficiaries participated in a project ticipation was defined as "a process by which was the local organization, such as a farmers irriga- people, especially disadvantaged people, influence tion group or a neighborhood organization. Other policy formulation and control design alternatives, local-level stakeholders included church officials, investment choices, management and monitoring of missionaries, extension workers, community develop- development interventions in their communities." ment workers, district and local authorities. "Popular" refers to not only the poorest of the poor, but anyone who is disadvantaged in terms of Common Obstacles to Participation wealth, education, ethnic group, or gender. In discussions with Bank staff, the following five General Profile of the Cases major obstacles to achieving eaningful participation were cited: The forty-eight cases studied include twenty- eight Social Funds, fifteen other projects, and five Tentative Government Commitment ESW activities. The type of beneficiary participation in these cases was most commonly at the level of Problems arose when govemment officials were information sharing and consultation, rather than keen to maintain the status quo with regard to roles shared decisionnmaking or action-initiating by bene- and power relationships, and were not convinced ficiaries. With regard to the stated objectives of about the advantages of adopting a more participatory This is a snmmary of the original paper by this author. 22 Participation in Practice approach. Where government commitment existed, beneficianes, (c) empathy toward the disadvantage it often rested with just one or two individuals, and (d) an ability to speak the language of the poor, and therefore depended on these individuals remaining (e) technical, organizational, and social skills to listen in influential positions. Task managers attempted and respond to beneficiaries. Of course, adequate to foster governnent commitment by (a) including managerial and administrative support, including senior representatives of government in the design supervision, equipment, transport, and logistical of the participatory processes; (b) enabling govem- systems, were also essential to enable these staff to ment staff to perform the participatory work, thereby fulfill their roles. reducing suspicion and dmostratn participatory approaches; (c) and spotlighting a participatory pro- In the participatory projects studied, these staff grm within a top-down ministerial prowgamto promote tended to be recruited directly from the beneficiary government ownership. group, and in some cases existing local-level develop- ment workers were incorporated into the community- Social Funds posed a particular problem for level activities. For instance, the Tanil Nadu Integrated government ownership because they were accorded Nutrition Project worked through community nutri- special status with financial, administrative, and tion workers from an existing government program to political autonomy, thus bypassing ministerial agen- provide health and nutrition information to poor cies. When a government was reluctant or opposed women. These workers were women recruited from to sharing or handing over responsibility and the villages who were poorer than average but who power, Task Managers pursued a variety of op had well-nourished children. bons, including: (a) forming alliances with cham- pions of participation in government; (b) identifying Several projects provided training of staff in participatory-oriented alternative executing agencies, participatory approaches to enable them to be more such as NGOs that were trusted by beneficiaries responsive to the beneficiaries. In the initial phase and government alike; and (c) persuading govern- of Albania's Poverty Alleviation Project, for instance, ment to become involved by creating joint respon- it was evident that the works did not always reflect sibility between government and NGOs. villagers' priorities. To address this problem, infra- structure field inspectors were to be trained in Task managers of ESW activities, such as participatory development methods. Beneficiary Assessments and Participatory Poverty Assessments, sought government ownership by (a) Limited Capacity of Local Level Organizations briefing ministry officials on the purpose and methodology of the study and explaining the type Popular participation in the Bank-supported and value of the information to be collected; (b) projects studied was at the level of beneficiary groups, including officials in the sample selection process; such as parmts' associations, woxnen's groups, finmns' (c) sharing interim and final reports with officials; organizations, and residents' organizations. Some of (d) using capable civil servants to perform participa- the weaknesses of community-level groups were tory research, and (e) taking officials to the field to highlighted in the beneficiary assessments undertaken observe participatory activities firsthand. within Zambia's Social Recovery Program and Peru's FONCODES program. The factors that limited the Weaknesses of Project Staff participation of these groups included (a) their limited administraive and technical capacities; (b) leaders whh The limiting factors for the effectiveness of dominant personalities monopolizing decisionraking; field-level project staff and extension workers in and (c) poor communication about the purpose and the cases studied included their attitudes and skills obligations of the groups' participation. Oter pro- in relation to participatory approaches. The required jects sought to evaluate the ability of community attnbutes of these workers included (a) a service organizations to represent intended beneficianes, orinatation, (b) an open, collegial management style before approving subproject activities. In Mexico's that builds confidence and instills trust amnong Indigenous Fund project, there was even an example Popular Participation and the World Bank 23 of beneficiaries initiating their own capacity that their contributions, whether in labor, building-some community leadership councils capital, feedback, or decisionmaking were un- that had experienced poor quality technical assist- necessary or irrelevant. ance from the project or other government agencies began to use membership funds to contract other (d) Pressures for rapid disbursement or quick re- services to improve their capacity to generate sults that did not allow for beneficiaries to be subproject proposals. consulted or mobilized. In general though, assessments of community- Strategies to avoid these problems included based groups were absent from the projects studied, establishing a cadre of community organizers to and little information was gathered to help design increase field presence, informing communities appropriate capacity building efforts. Social Funds about the project, and providing assistance for appeared to have a better record-seven of the beneficiaries to mobilize themselves and prioritize twenty-eight Social Funds used or will use bene- their needs. Another approach used was to train ficiary assessments, and eleven will provide some staff in participatory approaches, emphasizing the capacity building assistance for beneficiary and importance of allowing beneficiaries to prioritize intermediary organizations. their needs rather than imposing priorities on them. Participation Started too Late Absence of Voice Although project documents set out requirements The disadvantaged rarely have opportunities to and procedures for beneficiary mobilization and voice their demands or give their input in develop- participation throughout the project cycle, many ment decisionmaking. This problem is heightened factors inhibited this commitment from being when there is suspicion or hostility between local carried through. These factors included the following: communities and government, making it all the more difficult for government to obtain genuine (a) Bank support being given for rehabilitating community-level feedback from the disadvantaged. existing infrastructure that had been imposed Projects attempted to give voice to the disadvan- on villagers without their input in the design taged by providing a suitable environment to bring process. Thus, when the government attempted together community representatives and government to hand over operations and maintenance respon- officials. For instance the Fifth Education Project sibility to beneficiary organizations, these groups in Chad employed the ZOPP methodology during were reluctant to assume duties because the infra- project preparation, with the usual requirement of structure did not respond to felt needs. this methodology that participants agree to engage in dialogue in an environment free of hierarchy. (b) A perception among the beneficiaries-after a Thus the needs and interests of government minis- long history of donor investments where bene- ters were considered of no greater importance than ficiaries had played a passive role-that loans those of the intended beneficiaries. Another strat- from the government were gifts and need not egy, used in the preparation of the Philippines be repaid. Alternatively, a perception that the Integrated Areas Systems Project, was to contract facilities built belonged to the government and a local NGO, trusted by both the government and it was not the responsibility of the local people indigenous groups. The role of the NGO was to to maintain them. arrange discussion sessions where the local people (c) Constructing the physical structures before form- could speak freely. ing and strengthening the beneficiary organi- Costs zations required by the project for community of Participation participation. Thus beneficiaries felt that the The costs and benefits of participation are works would be completed without them, and often difficult to quantify and may not be evident 24 Participation in Practice until after project completion. The study did not was skepticism among beneficiaries about the attempt a systematic analysis of costs and benefits ability of ministries to deliver essential recurrent of participation, but the following observations are costs. For instance, beneficiaries were reluctant to worth mentioning. give money or labor to health centers they doubted would have any drugs once built. Costs to Beneficiaries Im pact of Participation The costs that limited beneficiaries' ability to participate were more often time constraints rather The forty-eight cases studied showed strong than financial limitations. In the case of the Sri links between the use of participatory approaches Lanka Irrigation Rehabilitation Project, for ex- and the achievement of a number of development ample, a member of a farmers' organization who objectives. The followig are some examples, dmo- served as representative to the district canal organization was forced to rent out his land strating the range of benefits of participation. because he found it impossible to perform all the tasks of both producer and farmer representative. Increased Effectiveness Unable to maintain his livelihood, he eventually resigned his leadership position and left the In The Gambia, the use of traditional women's farmers' organization altogether. groups and simple training for traditional birth attendants to help in the identification and referral Sensitivity to these time and financial constraints ofhg-ikpencesrutdina"emdu" of high-risk pregnancies resulted in a ' tremendous" of beneficiaries, especially of women, proved to be an important factor in successful participatory increase in the number of referrals, according to activities. For example, in Albania's Rural Develop- the Task Manager. ment Fund, elected villagers who sat on Village Credit Committees and processed loans were ini- Increased Efficiency tially volunteers. Recently, the time demands on representatives were recognized, and some remu- In Nicaragua's Municipal Development Project, neration for their expenses was provided. the high quality of completed works in barrio upgrading was due in part "to the active participation Costs to Government of the direct beneficiaries in overseeing the opera- Some participator prograz.s requireduth tion," according to the Project Completion Report. Some participatory programs required the Beneficiary participation had a large impact on the establishment of a new cadre of field-level workers or training and reorientation of existing staff. The rate of return, which was 50 percent more than costs involved were sometimes difficult for govern- appraised; the planned five-year project was com- ment to bear, especially when under budgetary pleted in three and a half years. constraints with pressure from donors to cut civil service positions. In response to this problem, some When village-level water committees were governments sought additional staff support from given responsibility for water pump maintenance in other international agencies, or made use of local- a rural water supply project in Cote d'Ivoire, the level staff working in other parts of government. annual maintenance costs were reduced to less ta Another heavy financial burden on government half those incurred during the previous centralized was the recurring costs associated with new or system, and breakdown rates of hand pumps rehabilitated infrastructure provided by the project. maintained by water committees were 11 percent, Indeed, one of the factors that constrained greater compared with a 50 percent breakdown rate for participation in Zambia's Social Recovery Fund other water points. Popular Participation and the World Bank 25 Capacity Bulking of Community-Level Groups Empowerment of Beneficiaries InTamlNadu's IntegratedNutibonProject,somne In El Salvador's Sites and Services Project, women's groups formed food processing operations comnmunity parficipation in housing led to enpower- as part of the project went on to become women's ment of residents, as demnstatd by ther demands cooperatives and societies producing and selling food, directed at government agencies responsible for drawing on their increased organizational capacities. providing services. Part II. Participation and the Public Sector Public Sector Management and Participation: Institutional Support for Sustainable Development Malcolm Holmes and Anirudh Krishna' Introduction relates not only to project-level participation but also to participation in policies and programs. The public sector plays an essential inter- Appropriate participation at all these levels raises mediation role between the state and civil society. the overall quality of decisionmaking. This paper Even as the size and scope of its activities are therefore examines the links between PSM and reduced in the wake of financial crises in many participation at the level of policies, programs, and countries, and even as NGOs are expanding in all projects. Efforts to support increased participation parts of the developing world, the public sector and better quality PSM share a concern for will continue to have a major influence on develop- sustainability and institutional development (ID), ment in the future. Whether or not it incurs the and in this respect addressing these two issues can bulk of expenditure on development, the public be a mutually reinforcing process. What follows is sector will influence the activities or other players the need to (a) work with govermnents to assist tlrough regulation, direction, oversight, and possible them to follow a more participatory approach to support. It will thus play a critical role in shaping policy development and service delivery, (b) clarify the environment for development initiatives, the nature of participation at the various points in whether by conmnunities, NGOs, the private sector, the policy cycle, and (c) recognize that the nature or public agencies. and scope of participation will vary depending on the decision to be made. Public Sector Management (PSM) refers to the capacity of the public sector to perforn its functions. PSM-Participation Links at Different Levels PSM comprises the structures and agencies, processes and organizational links, individuals and incentive A main theme of this paper is that the content, structures, culture and orientation used by the nature, and intensity of participation depends public sector to perfonn its tasks. The quality of criticaDly on its institutional environment. An enabling PSM is measured by the quality of its products, environment needs to be developed through suitably namely policy development (and the effective structured interactions between internal stakehols communication of these policies to decisionmakers) (i.e., those located within the organs of PSM, and implementation (ranging from enforcement including central government and implementing of the law and regulations to infrastructure and agencies; ministers, and civil servants) and service provision). external stakeholders (those who in theory own the public sector but are on the outside, including The quality of PSM will influence, and will be beneficiaries and the persons adversely affected, influenced by, the quality of participation. Participation and the organizations that represent them). Thus, ' This is a summay of the onginal paper by these authors. 30 Participation in Practice an enabling insjitutional evironeit is an important Appropriate institutional development (ID) requirement for paricpatory development. At the therefore has the goal of improving the structures, same time, participation, through broadening the systems, and processes of the public sector (i.e., consensus fbr reform of the institutional framework; improving PSM) that allow it to provide these can itself facilitate the development of such an conditions for enabling citizen participation. Partici- environment. Participation can therefore contribute pation is not seen here as a one-off activity con- to an enabling institutional environment (improving nected with a particular intervention. Rather it is a both the effbctivemess and efficiency of government. process that can occur at different decisionmaking Participation itself is affected by the depth of the points in the development process, from policy environment. For this reason, attempts to facilitate formulation to sector plans to programs and participation without including government will projects. It is this "policy cycle" that makes up the have limited consequences. work of the public sector, and institutional de- velopment efforts will need to be made at each An enabling institutional environment is an level in this cycle to ensure that some degree of enviromnent where appropriate "rules of the game" participation can occur and the right decisions are are in operation. These rules of the game, or being made (i.e., to ensure sound PSM). Note that "institutions" as Ostrom calls them, include "the participation at any one level potentially affects the set of working rules that are used to determine who environment for participation at other levels. For is eligible to make decisions in some arena, what instance, participation at the project level can be actions are allowed or constrained, what aggre- helpful in identifying institutional constraints and, gation rules will be used, what procedures must be in some cases, suggesting workable solutions that followed, what information must or must not be can be used to encourage participation at higher provided, what payoffs will be assigned to individuals levels in the policy cycle. Similarly, participation dependent on their actions."2 It is these insti- at higher levels can be useful for influencing the tutional rules of the game that influence how environment for participation at the grassroots level. different stakeholders perceive the opportunities open to them for participation and the payoffs that In determining the appropriate forms of partici- may be expected. The conditions necessary for pation at the different levels of the policy cycle, the stakeholders to have adequate opportunity to following questions need to be asked at each level: participate include Who are the relevant stakeholders at this decision * full access to information on policy issues and point? What are the relative roles of each stake- holder? What type of ID is conducive to stake- development plans, holder participation and sound PSM? How can this * freedoxn of association to permit the discussion ID be achieved in practice? The following sections of issues by all interested groups within the address these issues. community, and Relevant Stakeholders and Their Relative Roles * regular meetings where elected officials or the represeatives of official agencies can receive In general terms, participation in the public and respond to the views of the community sector is concerned with the roles played by and be held accountable for the actions taken I and e on the community's behalf.' intemal and external stakeholders and with the way control over public programs is shared among them. In one extreme, a concern for participation 2 E. Ostrom, 1992. Governing the Commtons: The requires that beneficiaries be given control over the Evolution of Institutions for Collective Action, largest part of decisionmaking. In another extreme, Cambridge, UK concern for participation involves decisionnaking 3Robin Sharp, 1992. "Organizing for Change," Johan by a small group of "insiders," with little con- Holmberg (ed), Making Developnent Sustaiale: Rede- sultation of stakeholders and poor communication fining Insitutions, Policy and Economics, lIED, U.K. of the rationale for any decision. Public Sector Management and Participation 31 While there is a justifiable reaction to such an part in the activities of the public sector, (b) their "expert mode" of development, which has offered capacity to make a meaningful contribution, and (c) beneficiaries only a marginal role in project plan- the extent to which the institutional setting is con- ning and implementation, it is dangerous to let the ducive to their participation. This third issue will pendulum swixg too far the other vvay. No developxmet be addressed in the following section. But first the appropriate roles of internal and extenal stakeholders knworkersshouldfool the msrealvrests intor tk they need to be considered under different conditions. know the people's real interests better than the people themselves. However, people often have an Relative to any decision, the roles of intenal incomplete picture of their best interests. And the and external stakeholders will depend on the nature choices they do perceive may be as easily subject of the decision to be made. Where public and private to political manipulation as those of the develop- interests coincide (as in increasing agriculural pro- ment workers. And, while it would be wrong to duction), the public can participate more intenively at assume that technical expertise is the exclusive the project design and implementation phase by preserve of internal stakeholders (it is increasingly sharing in, and even taking over, decisionaking. being appreciated that appropriate technological Where public and private interests are potentially solutions require integrating local knowledge with or actually opposed to each other (as in controlling modem science), it would also be wrong to infer rapid groundwater depletion by tubewell users), that participation is equivalent to internal stakeholders there may be no common ground for shared renunciating any role in decisiomnaking. decisionmaking. Under these circumstances, the An important role is played by public sector responsibility rests with the public sector to uphold service providers at the field level; they are at the the public interest while ensuring that people with interface between beneficiaries and the public sector. conflicting private interests (e.g., the tubeweli users) These fieldworkers provide technical expertise and in are fully consulted and informed about their final many cases assist in institution-building at the local decision. Leadership is about knowing who and level. Tlheir work includes mobilizing, reestablishing, when to consult, including when to hand over or strengthening community organizations to enable decisionmaking authority and responsibility. It is them to participate actively. These local-level develop- also about knowing when it is time to take deci- ment agents have to be motivated and equipped to sive, albeit unpopular, action. perform the agency tasks that promote beneficiary participation. Within the agency, appropriate systems There are other areas of public decisionmaking and processes need to be developed and these changes where the intensity of external stakeholder partici- need to be endorsed and supported by the center. The pation will be limited by, for example, the need for partcipation of stakeholders who are intemal to the technical rigor, interregional coordination and inter- public sector-ministers, senior civil servants, service sectoral balance (for example, in macro-economic or providers-is equally important for sound PSM and monetary policy); the need for sensitivity to rent- enabling participation by external stakeholders. Experi- seeking behavior (exchange rate adjustments, or ence shows that civil servants who are empowered are regulation); and the need for judicial impartality. In more likely to have the motivation and authority to these cases, while decisionmaking must remain the empower those they serve. responsibility of the public sector, there is a need A number of factors influence the intensity of to ensure that the voice of extemal stakeholders participation that different stakeholder groups bring to (the public) is heard and that they are kept in- public sector decisionmaking. Such factors include formed. This too is the responsibility of the public (a) the willingness of the stakeholder group to take sector decisionmakers. 32 Participation in Practice Fostering an Enabling Environment by the community. It also stems from the aware- ness that service providers require the authority to Both participation and sound PSM require the respond flexibly to the variations posed by local development of an appropriate institutional setting. knowledge and circumstances. Thus, authority needs Getting institutions right means paying attention to to be decentralized so that day-to-day impimentation both the formal and informal rules and to their will be the prime responsibility of service providers enforcement. Changing the rules of the game will and beneficiary groups. However, given its com- only make a difference if all players play by the parative advantage, the center will continue to be new rules. Attention needs to be paid to four main responsible for coordination, long-term policy formu- institutional issues that can affect rules of the game lation, installing appropriate systems and processes, and the incentives faced by stakeholders: They are and providing the right set of incentives. (a) information and communication, (b) participa- tion in management, (c) accountability, and (d) The capacity of beneficiaries to participate in trust, predictability, and reliability. management relies on them having voice, which can be strengthened if they contribute a share of Information and Communication the costs. When they make a contribution in cash, kind, or labor, beneficiaries can express their In addition to facilitating communication and preferences for particular projects and activities. information-sharing between the public sector and Most successful participatory projects have relied beneficiaries an the public atlarge,itisalso on cost sharing or user charging to cultivate a bneicirarttoiesandprte ponubnicatin lar, intesals basis for a beneficiary's voice. While civil servants important to improve communication among internal fel thtpyn 'utmrsdsre ohv stakeholders. One of the central benefits of a participatory process is that it improves the flow of greater say, beneficiaries were more willing to exercise voice when they felt they had a right to information upward to senior management. This . .. 4 flow enables managers to tap into the knowledge take part in decisionmaking. and experience of their subordinates, who are often Accountability able to perceive client concerns because they are closer to the organization's clients. These staff are While communication and shared decision- also in a better position to identify dysfunctional makin relate to assisting and allowing stakeholder organizational policies and procedures. However, participation, accountability is concered with these kinds of mternal lmks tend to be weak, making a stakeholder group behave in a manner usually for political reasons. For example, com- acceptable to all other stakeholders. Conmmunity munication between ministers and civil servants is participation is commonly understood to make the often poor or based on hostility; thus, the need for public sector more accountable. Since participation interagency coordination is often superseded by the involves sharing authority over public programs imperative of emnpire building. and public funds, it requires that the same principle of accountability apply to all the other partners. Participation in Management Beneficiaries and service providers need to be accountable for the decisions they are authorized to In assessing the optimal level for decision- make, and when programs are implemented in making, and the types of actors who need to be partnership with NGOs, the latter will have to involved, it seems sensible to ensure that decisions disclose more information than they normally do to are made where all the relevant information is available. It also makes sense to involve all those actors who command a relevant stake in the This proposition has been empirically tested among outcome of the decision. The current emphasis on beneficiaries of irrigation projects in Indonesia. See decentralization is a result of the growing recog- Samuel Paul, 1994. "Does Voice Matter? For Public Accountability, Yes," World Bank, Policy Research nition that much of the relevant information is held Working Paper 1388. Public Sector Management and Participation 33 government and the public about partnership acti- financing, there is increasing concern for institutional vities and publicly funded expenditures. constraints and PSM issues. Donor assistance under- taken in the absence of a long-term strategic fraiewok Trust, Predictability, and Reliability has been seen to weaken the borrower country's It is argued that clear legal contracts enable the institutional capacity rather than strengthen it. different partners to share responsibilities in a way mutually agreeable and legally enforceable. This This concern is evident in some areas of Bank logic helps convince beneficiaries that contributing work. Most notably, a new approach is being taken time or money will be worthwhile. More generally, in the Southem Africa Department. This approach beneficiary trust needs to be built or restored seeks to coordinate the activities of donor agencies before they will be willing to invest their time and to support separate components of integrated sector- resources in participating. This trust depends in based investment strategies that have been drawn part on the regularity of taking development up by the borrower countries themselves. The ob- initiatives of the public sector to their logical jective behind this approach is to assist the conclusion. In many developing countries, the rural development of the country's institutional capacity poor have seen too many examples of public for long-term planning and coordinated implemen- projects that were launched amid great expecta- tation. It is important that this process not stop at tions, only to stall in midcourse by lack of funds or the sector level, and it is also important that the a change in priorities. Before they commit themselves process be a stepping stone to reforming govern- to participate, beneficiaries need to be convinced that ment systems and processes. Though only indirectly the project as started will be completed, funds will be connected to beneficiary participation in the short provided in the manner agreed, and no changes of term, such initiatives will facilitate building up an direction or pace will be made without prior consul- enabling environment that can support more tation. These expectations require predictability and meaningful participation. budgetary discipline based on sound public expendi- ture management with a strategic focus and a Besides being vigilant about the institutional reasonably long time horizon. consequences of its diverse lending instruments, Interventions to ensure that improvements are the Bank can also play a more active role in ID made in each of these four areas can be made through influencing the process for institutional directly by targeting institutional structures, systems reform. Rather than performing a design function, and processes from above, or indirectly by identi- the Bank can play a more facilitatory role. Recent fying constraints with the help of project-level examples of the Bank in this role include discus- experiences. Both these approaches are described sions on Structural Adjustment Lending (SAL) in in the following sections. Clearly, either type of sl intervention is most successful when it is supported Ghan Eorts bought Tohe a range on- by the other. Ghana. Efforts brought together a range of in- country stakeholders, with the Bank primarily in a Intervening Directly to Achieve Institutional listening mode. In contrast to the earlier style of Reform such operations, where consultations were usually limited to ministers and top officials in the ministry D nating of finance and the concerned sector ministry, these in institutional reform has not been a major part of donor activities in the past. Donor agencies have new initiatives have widened the range of stake- historically favored special conditions for project holders involved. More work remains to be done. operations that, in effect, insulate the project from This participation needs to be made even more broad- systemwide influences. However, recent trends based and instiltuional as a regular activity within the indicate that as donors are moving away from a government, beyond the particular workshops and purely technoeconomic understanding of project meetings organized around the SAL discussions. 34 Participation in Prachce As well as institutionalizing the participatory demonstrating successful methods and programs.5 process at this higher level of the policy cycle, there is Such projects aim to support institutional learning also a need to support enabling institutional arrange- and achieve a lasting impact on the country's ments at all other decision points. This effort will policies. This approach will therefore require that require assessing the institutional constraints at each the issue of government systems and processes be of these points and then initiating suitable reform. tackled. Recent examples of Bank-supported projects Institutional assessments of this sort could be that have attempted to adopt this approach of undertaken in a participatory manner, bringing a wide hypotheses testing, piloting, and mainstreaming of range of stakeholders to the discussions. Such institutional learning include the Village-level participatory institutional assessments could be con- Travel and Transport Program in Tanzania and the ducted on lines similar to the participatory poverty Kenya Arid Lands project. A similar promising assessments, beneficiary assessments and social assess- area of Bank work is the Social Fund projects. ments that are already part of the Bank's participation They offer scope for assessing the institutional rubric. Also these assessments could be conducted dimensions of a plurality of organizational arrange- before, during, and after the period of any project. ments. Since Social Fund projects introduce new organizational arrangements, they provide the Project-Level Interventions for Institutional freedom to test alternative institutional hypotheses. Reform The successful ones can be expanded to other regions of the country or to other agencies and Clearly, project operations are limited by the higher levels of the public sector. institutional environment, yet by demonstrating the viability of alternative institutional arrangements, Conclusions projects themselves can contribute to improving this environment. Perceived in this way, project- By engaging a wide range of stakeholders, the level participation has the role of testing and pool of resources available to support decision- developing institutional hypotheses that can be making is enlarged, ownership is generated, capacity scaled up to make a significant difference to the and learning are enhanced, and the quality of public management of development efforts. Among performance is improved. Traditional Bank ap- recent Bank cases, arguably the best example of proaches in this area have been limited by focusing governmentwide institutional reform being driven on a small group of stakeholders within government, "bottom-up" by a traditional sector specific project is usually ministries of finance, sector ministries, and the Sindh Special Development Project in Pakistan. line agencies. More recent initiatives have been In the first Sindh project, a process of internal successful in engagng internal and external stake- participation was installed to open up discussions. holders at several levels. Discussion of these issues It was hoped that participation would help identify leads to the following four main conclusions: the dysfunctionalities in the system and offer recommendations for institutional reform. The * Participation has an important role to play in second Sindh project is supporting the extension of facilitating sound PSM. The impact of citizen this participatory process at the level of an entire participation, and even the desire of citizens to provincial govemrnent. It is helping to set a participate with the public sector, depends on the franework that facilitates participatory assessments health and effectiveness of the public sector. of the need for institutional and operational reform. Participation is not the normal way of doing There are other developments that indicate the business in most developing (and mnany devekped) potential scope of indirect, project-level interven- countries. The attractiveness of participation tions for institutional reform. These include the new concept of projects currently under discussion 5Robert Picciotto and Rachel Weaving, 1994. "A New in the Bank. This new strategy would replace the Project Cycle for the World Bank," Finance and traditional project cycle of leaming, piloting, and Development. Public Sector Management and Participation 35 increases when institutional mechanisms are in are empowered will have greater motivation place that improve the willingess and capacity and authority to empower those they serve. of different stakeholder groups to participate. The likelihood of effective public participa- * The sustainability of stakeholder participa- tion is considerably enhanced by systems that tion depends on the ability of outside agencies provide for internal participation within the to help build institutional links among all ranks of the public sector. Civil servants who relevant stakeholders. 0 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Strengthening Public Accountability through Participation Samuel Paul' Introduction the participation of the people. This is a timely exer- cise in view of the overload on the traditional system One of the challenges facing developing country of accountability; in many countries an awareness governments today is how to find ways to enhance is growing that the "voice" of the people should their public accountability. Accountability means inform and influence the decisions, actions, and holding individuals and organizations responsible accountability of government.3 In a democratic for perfornance measured as objectively as pos- society, elections are a manifestation of voice. At sible. The concept of public accountability applies another level, voice is the phenomenon of the equally well to all levels of government and to public seeking better accountability and performance public enterprises and other agencies that deliver from government agencies through such actions as public services to citizens. A popular response has participation in user groups. Voice may be con- been to downsize the public sector and thus to trasted with "exit," which occurs when the public reduce the magnitude of the problem of weak expresses its dissatisfaction with a given service accountability. This fix can only be a partial provider by seeking an alternative provider of the remedy, however, because many public services same good or service. Exit is an option that the and regulatory functions still remain the respon- public can use when a competitive market for sibility of governments. When only govenmment services exists. In many areas of public endeavor, can provide or regulate public service, public the exit option is not available.4 Hence the impor- officials tend to behave like monopolists. In many tance of voice. This paper outlines the rationale for poor countries, citizens do not have the power, the use of voice and participation. It also proposes knowledge, and incentives to demand better services participative specific mechanisms that can aid public and public accountability. The problem is com- accountability at the macro and the micro levels. pounded by the fact that the measurement and quantification of the benefits and adequacy of The Role of Participation in Accountability services are often difficult. All these are reasons why the performance and accountability of the How can participation augment public account- public sector remain weak in the developing world.2 ability? First, public services (indeed all functions of government) are meant to benefit the people. The purpose of this paper is to explore ways Appropriate ways of focusing on the people and and means to strengthen public accountability thirugh involving them-whether by design, delivery, or T This is asummaly of the original paperbythis author. 3 J.G. Jabbra and O.P. Dwivedi (eds.), 1989. Public 2 For a fuller discussion of this subject, see Samuel Service Accountability: A Comparative Perspective, Paul, 1992. "Accountability in Public Services: Kumarian Press, Hartford, Connecticut. Exit, Voice and Control," World Development; G. Roth, 1987. Private Provision of Public Services World Bank, Governance and Development, in Developing Countries, Oxford University Press, Washington D.C. New York. 38 Participation in Practice assessment of services or other functions- can add a Macro-Level Mechanisms new dimension to public accountability. This approach implies a subtle shift in the way government agencies Audit and Legislative Reviews: Public view the users of their services-as customers to be Dissemination served rather than as beneficianes or objects of develop- ment. When this view of the people as customers An open discussion and wide sharing of the leads to their participation in some form or another, findings of the reports of the auditor general and they emerge as a group whose voice counts within the legislative committees are important ways to edu- public accountability system. cate the public about public accountability mecha- nisms. This approach is easier to do in a democratic Second, a participative approach to the design setting. In authoritarian regimes with nonexistent and delivery of public services could lead to a or nominal legislatures, this avenue may not even more deffeciveryof andliseff viientse ofuthe levestme exist. Under such conditions, the media (if free) more effective and efficient use of the investments cnhl yhglgtn ui eot n te can help by highlighting audit reports and other of public agencies. There are many reasons for low reviews including those by international agencies levels of use and the inefficiencies of the public such as the World Bank. The objective here is to investments in developing countries. One factor inform and educate the citizens so they understand, highlighted by many observers is the lack of public discuss, and internalize accountability-related is- accountability. The incentive to remain accountable is sues over time, even if they cannot do much about absent when a key set of players-namely, the them at present. public- is not on the scene to exert pressure. Participation in Budgetary Policymaking Third, public participation may induce govern- Budget making is a time when people in ments to move away from traditional ways to authority should talk with major stakeholders and Improve accountability. Governments can be influ- professional experts outside of government. The enced to give up their preoccupation with inputs government will benefit from new and useful ideas and im o lnand will be better able to detect the problems that lie ahead. It will also gain a certain measure of concern for the inputs and outcomes of their public goodwill and understanding as a result of policies and programs. Users of public policies and the open process. Before the budget presentation in services are always concerned about the results India, the finance minister and his colleagues meet and efficiency of government action, and their with industrialists, labor leaders, academics, voice can cause service providers to pay more agriculturists, and other groups to listen to their views on the subject. The media covered the attention to these matters. discussion for the benefit of the public. The process of budget making is still cloaked in Selected approaches and mechanisms of public secrecy. Nevertheless, the exchange of views and accountability at the macro and micro levels are the openness of the discussion could contribute to highlighted below. Well4mown traditional nhninsl greater macro-level accountability in a large and of accountability will not be discussed; the focus here diverse country is on the newer and potentially more useful participa- Public Feedback on Policies tory mechanisms. While recognizing the importance of country-specific historical and cultural faictors in A government can generate useful information determining the effectiveness of these mechanisms, no on how well its policies are faring by gathering attnept is made here to adapt them to country contexts. systematic public feedback. This strategy probably Strengthening Public Accountability through Participation 39 will work better in smaller countries where organiz- and consumer protection.5 Legislation can also help ing such feedback is easier. A case in point is ensure consumer protection and freedon of informa- Singapore where the government has set up a tion by allowing citizens to challenge abuses and Division of Public Feedback. It was established unfir practices of publc agencies i courts. Con- after the ruling political party faced some reversals umer proction ofpby mterpreted tourtslCon- in an election a few years ago. This division gath sumer protection, normally intcepreted to apply oly systematic feedback on a variety of national policies na goods and services, has been appli dt and invites the interest groups concerned to public many public services in India. Consumer courts in hearings with ministers and senior officials present. different states and districts have given verdicts This style of ground-level deliberations with citi- against government agencies. The effect of these cases zens and interest groups on policies is a feature of has been to create more openness in the system. It has several East Asian governments. They have evolved also put these agencies on notice that their behavior an intriguing combination of national political and practices can be challenged in court by the regimes that seem relatively nonparticipatory and ordinary citizen. local and functional deliberation mechanisms that are highly participatory. Autonomy for Public Service Agencies Provision for External Review The mechanisms and approaches dLscussed above are unlikely to produce the desired impact on Pbthrough accountability when public agencies do not have a legal provision at the national level. It requires sufficient autonomny or internal incentives. In recent the review of major programs and agencies by high years, important reforms in this area have taken level panels that include qualified persons from place in the United Kingdom, Australia, and New outside the government. Their reports should be Zealand. These governments have converted their widely disseminated. Universities in the West have departments and bureaus responsible for various committees of visitors that perform this role. Some public services into autonomous "executive agencies" years back, the government of Indonesia appointed bound by performance agreements. The chief exe- a blue ribbon commission that included foreign cutives of these agencies, often selected from the aexpertsto revibbon h commission itha included fore private sector, are given limited terms, and their expertsto review thewor oreappointments depend on achieving measurable ity. Steps to improve accountability are likely to be outcomes. Nearly 50 percent of the staff of the taken when a public agency knows that an indepen- U.K. civil service are now working in executive dent and open assessment of its working will agencies. In the city government of Sunnyvale, occur. Such reviews should pay special attention to California, where performance agreemnents have been aspects of service, such as customer satisfaction, in vogue for some years, city managers can get up to quality, and standards. 10 percent in bonuses if their agencies exceed performance targets. The feasibility of this powerful approach is yet to be tested in a major way in Legal Provision for Norms of Service developing countries. Reforms of this type can be slowed down by many barriers, including attitudinal, Legislation can strengthen public accountability political, technical, and manpower-related factors. by requiring agencies to announce and enforce ser- vice norms and standards. A recent comparative study of the legislation on electricity in the United 'Se Coopers and Lybrand in collaborabon with th Tata Kingdom, United States, and India concluded that Energy Institute, New Delhi, 1993. "Power Sector the latter's focus was on supply and investment while Regulation in India, U.K. and the U.S.A," (Paper prepared for the Conference on Power Sector Reform the others had stressed service quality, standards, held in Jaipur, India). 40 Participation in Practice Micro-Level Mechanisms satisfaction to improve their services. The recent Gore Report on Reinventing Government 8 recom- Project-levelAccountability Mechanisms mended that a directive be issued requiring all federal agencies that deliver public services to Participation of the relevant stakeholders create customer service programs to identify and (staff, users, citizens) in the preparation, design, survey customers for a better understanding of implementation, and evaluation of projects can their needs. No initiative of this kind is known to help improve public accountability and inform the be under way in any developing country. public about the projects. Participatory rural ap- praisal can be used to help incorporate people's Performance Plans and Agreements views and ideas into the project preparation and design stage. It can also generate feedback during Another way to strengthen accountability is by implementation and monitoring for midterm cor- requiring the public agencies and enterprises rections. Projects with a strong local focus and responsible for major investments and services to with fairly well-defined target groups or affected prepare annual performance plans that specify groups are more likely to benefit from these forms their goals and standards for service delivery, as of participation. In both the Philippines and proposed in the Gore Report. When performance Mexico, ports projects have benefited from the plans and agreements are made known to the involvement of user groups.6 People's participation public, it gives more power to user and citizen in large national projects tends to be organized by groups to demand greater accountability from the NGOs and led by special coalitions and expert service providers. In some developing countries, groups. The Narnada dam project is a good exam- governments have begun to negotiate performance ple of this approach. agreements with certain commercial public enterprises that can easily be assigned performance User Surveys as an Aid to Accountability indicators. A major problem is that these bodies are not vested with genuine autonomy. This was User surveys can be conducted by public reported to be one of the reasons why the agencies, citizen groups, or NGOs to assess performance contracts adopted by some of the customer satisfaction. A recent example of an public utilities in Sub-Saharan African countries effort to apply this approach independently is a failed to deliver the expected results. study in India that produced "A Report Card on Bangalore's Public Services." This study asked a User Charges and Participation random sample of more than 800 households to evaluate various dimensions of the public services User charges are usually viewed as a device in the city. It used the feedback to grade the for cost recovery and deficit reduction, but they agencies involved.7 Its impact on the public can also encourage individuals and user groups to agencies covered and on accountability has yet to demand better performance and accountability be assessed. The short-term impact of the study from the public agencies involved. If the findings on public awareness building through the government forces an agency to raise a large part local media has been positive. Some of the public of its revenues through user fees or links its utilities in the United States (notably power and autonomy to such earnings, it will induce the telecom utilities) have used public surveys of agency to earn more from this source and to be more responsive to its customers. In the irrigation 6 Arturo Israel, 1992. Issues in Infrastructure Man- sector in both Indonesia and the Philippines, user agement in the 1990s, World Bank Discussion Paper fees have had precisely this type of impact. Water No. 171, Washington, D.C. user groups in Indonesia that collect and pay 7Samuel Paul, 1993. "Bangalore's Public Services: A irrigation service fees to the government on behalf Report Card" The Economic and Political Weekly, December 25, 1993. 8 Published by the US Government in 1993. Strengthening Public Accountability through Participation 41 of farmers have become more vocal and demandng government and its agencies to suppress and distort in their dealings with the irrigation and district facts.9 Public hearings are standard practice for authorities. The latter in turn have become more regulatory agmcies in developed countries, while they responsive in terms of service delivery. To illustrate, are the exception to the rule in developing countries. district officials are now epowered to use service fee income to undertake the maintenance of canals, a task Information as an Aid to Accountability that earlier required tnsumi approvals from above. The importance of this source of revenue has The success of almost all the approaches and forced the irrigation and public works agencies to mechanisms discussed in this paper depends on listen to farmers, formulate service agre s, and how well informed citizens and users of services respond to their needs better than before. are. Regulatory comnissions, the consumer move- Public Hearings nment, and laws, such as the Freedom of Information Act, have made access to information a major feature Public hearings on important issues, grievances, of society in the more developed countries in the past and plans allow organized groups, as well as few decades. Much less is known about public individual citizens, to express their views and benefit services, development projects, and program interven- from the exchange of ideas and infomation. The tions in developing countries. Yet, all these subjects openness of such meetings make it difficult for are of concem to large segments of the population. 9 For further details and examples, see Sainuel Paul, 1991. Strengthening Public Accountability: A Con- ceptual Framework, World Bank Discussion Paper No. 136, Washington D.C. 7 The State, Popular Participation, and the Voluntary Sector John D. Clark' Introduction Many NGOs concentrate on operating their own projects. They run parallel to public sector programs Addressing the social dimensions of development and with little influence on government policies or is a huge challenge for governments. In their efforts t practices. But elsewhere the voluntary sector is iSeaduce poverty, fredre governdents. Tno r eff ores ad sizable and interacts closely with the public and reduce poverty, redress gender or ethnic biases, and private sector, achieving a significant multiplier inolve the poor and their communities in development effect.3 Such "scaling-up" has been the subject of decisionmaking and resource allocation, governments considerable study in recent years.4 The voluntary commonly find their nonmal macroinstruments made- sector can influence mainstream development by5 quate. Economic policy, the provision of services and infrastructure, regulations, and market mechanisms * encouraging official aid agencies and govern- are rarely targeted toward vulnerable groups. Clearly, ment ministries to adopt successful approaches participatory development approaches are required, developed within the voluntary sector, involving complementary actions by governments and nongovernmental organizations (NGOs). This paper examines the contribution that NGOs Relations Between North and South in the NGO can make to participatory developmnent and the Sector," World Development 15 (Supplement): 57- conditions under which they can best work with 68; A. Ferandez, "NGOs in South Asia: People's Participation and Partnership," World Development governments to reach the poor and achieve partici- 15 (Supplement): 39-50; E. Garilao, "Indigenous patory, socially sensitive development. NGOs as Strategic Institutions: Managing the Relation- ship with Government and Resource Agencies," NGOs and Participatory Development World Development 15 (Supplement): 113-120. 3 A. Fowler, 1992. "NGOs as Agents of Democratiza- Nongovernmental organizations may provide tion: An African Perspective," mimeo (draft), instruments that, whether invited or not by govern- University of Sussex, Institute of Development Studies, ments, emphasize the participation of the poor. 1992; M. Bratton, 1988. "The Politics of Government: Many argue that NGOs may be best placed for the NGO Relations in Africa," mimeo, UK; M. Bratton, tasks of fostering popular participation, which 1990. "NGOs in Africa: Can They Infuence Public include articulating the needs of the weak, working Policy?," Development and Change: 21. ' . ~A.NGOC (Lok Niti), 1988. "NGOs and International in remote areas, changing attitudes and practices of Develop C rtio,"N J na fthematian loca oficW, an nuunrg th prducave apaity Development Cooperation," Journal of the Asian local officials, and nurtuing the productive capaclty NGO Coalition, vol. 5, no. 4, Manila; D. Hulme and ofthemost vulnerablegroups,suchasthedisabled M. Edwards (eds.), 1992. Making a Difference? or the landless.2 NGOs and Development in a Changing World, Earthscan Publications, London. 2This is a sunnary of the original paper by the author. 5 J. Clark, 1991. Democratizing Development: The 2 OECD, 1988. Voluntary Aid for Development: The Role of Voluntary Organizations, Kumarian Press, Role of NGOs, Paris; C. Elliott, "Some Aspects of West Hartford, USA. 44 Participation in Practice * educating and sensitizing the public to their less concerned about such national-level niceties as rights and entitlements under state programs, they are about local governance, which affects them more directly. What is more important to * attuning official programs to public needs them is whether local officials are passing on through atieng as a conduit for publicopinion benefits to which they are entitled, or how to and local experience, handle the repression of their efforts to form a * fostering operational collaboration with of- peasants' union, or about securing a say in a near- ficial bodies, by infrastructure project that will adversely affect their lives but about which they can find out very * influencing local development policies of na- little information. tional and international institutions, and Participatory development in the context of a * helping government and donors liishion a more . ry effective development strategy trough shngth- demand-side approach, as practiced by an increas- .g .stos staff t. andmmpingly influential school of NGOs, becomes a local- eninageminstitutios, stpaffitrainingyand.pron level complement to good governance. Such NGOs help citizens find out about activities of the govern- Moving beyond the development supply-side-- ment and others that might affect them; they use (where "experts" supply what they think citizens advocacy and political influence to hold local nd tod d-sideactivities(wheredevelopment officials accountable for activities (or inactivity) ned). deadsd aciite (wher development.... that are damaging to the poor; they help com- organizations listen and respond to citizens' assess- mtia mie .an f oorm ctie hoexpress ment of their needs and priorities)-requires that tirsconcerns, and guar againsto express NGOs develop new skills, partnerships, and ways of their concems, and help guard against reprisals; working. They need to help communities articulate they construct fora where officials can consult their concerns and preferences, to maneuver imto a local peple about development pla and listen to negotiating position with official bodces, and t m altematives presented by the people; and they help thap oa sw .fiiage" ensure that individuals disadvantaged by govern- tchmmnicaliope rationa skills wit nformin . ment decisions receive just compensation, negotiated communication, advocacy, and networking SKIllS, wtthafeedpris The literature describing this evolution sees NGOs tht afe pares. emerging as important agents of the civil society.6 Potential Contribution of NGOs to It is now widely advocated by Western official Participatory Development aid agencies that effective development requires not only appropriate macroeconomic policy but also a NGOs have become important actors in develop- healthy political environment-termed "good gover- ment assistance for various reasons, including (a) nance." The critical elements of the latter are de- their scale; representing some 12 percent of total scribed as transparency, accountability, freedom of ' . . e speech and association, greater participation dn political decisionmaking, and due process.7 How- poor people, especially in inaccessible areas; (c) ever these elements, firmly installed in the capital their capacity for innovation and experimentation, city, do not necessarily filter through to changed which are difficult for official agencies;8 (d) their circumstances for poorer members of society, representivity, often having close links with poor particularly in remoter areas. The poor are normally communities, and (e) their skills of participation. Moreover, their resources are largely additional, 6 R. Tandon, 1992. NGOs and Civil Society, Institute for Development Research, Boston, USA; Clark, 8 J. Tendler, 1982. Turning Private Voluntay Organi- 1991. op cit; Hulme and Edwards, 1992, op cit. zations into Development Agencies: Questions for 7 S. K. Lateef, 1992. Governance and Development, Evaluation, Program Evaluation Discussion Paper no. World Bank, Washington, D.C. 12, USAID, Washington, D.C. The State, Popular Participation, and the Voluntary Sector 45 and they not only "fill in the gaps" but serve as a and are seeking closer collaboration with govern- response to failures in the public and private sectors.9 ments.'° By so doing, they believe, they will be better able to contribute to participatory development as How much NGO potential is realized depends on described above, and they will be able to expose many factors, including the tradition for voluntary the government to a grassroots perspective that activity, levels of tertiary education (indigenous NGOs might otherwise be neglected. However, there are usually founded and led by those educated in might be increased risk of corruption, reduced universities, particularly in Northern Europe or independence, and financial dependency. North America), and the interests of donors and Northern NGOs in funding development activities World Bank experience drawn from a survey in the country in question. A paramount factor is of twenty-five Bank-financed projects indicates a the nature of the relationship between the NGO strong correlation between project success and the sector and the state. Government policies, practices, participation of grassroots organizations." More and even attitudes can have a pivotal influence on recentlv the Bank is deriving important insights the capacity of NGOs to operate and grow. from the public consultations included in Environ- NGOs also face their own set of limitations, mental Assessments in which NGOs often play a aNd Oasfc theyayno ive tow seth f c nlaitmadtions major role. Such consultations are effective where and they may not live up to the claiins made in all parties are preared to be objective and lear much of the literature on the NGO sector. Their pll each prepare to use selearn . ~~~~~from each other. Where NGOs use selective projects may not be as effective or well targeted as claimed; the stated levels of popular participation reporting or distortion to heighten criticism of the may not be realized; the professional skills of their gerent, ortwhee the gonme iseno staff may be wanting; they may have weak account- receptive to outside advice, consultations are likely ability to the grassroots; and they may have weak to be no more than confrontations. management and poorly developed strategic planning. However, even where there has been a largely Influence of NGO-State Relationship on adversarial relationship, consultation can be a sur- Participatory Development prisingly productive process. It can even reduce As stated above, the relationship between the tensions. The Environmental Congress-a network of state and NGOs is an important determinant of the NGOs in Sri Lanka-initially adopted a fairly con- feasibility and success of participatory develop- frontational style with respect to the government. On ment approaches. Where the relationship is strained, one issue the government proved receptive to their or outright hostile, neither government nor NGOs concerns and dropped plans for a major project. After can fulfill their potential roles to support participation. this, the NGOs developed a more constructive dia- Ideal NGO-state relations are rare. The mutual logue with the authorities. The government, in tun, distrust and jealousy appears to be deep-rooted. invited five NGO representatives on to the National The government fears that NGOs erode their political Environmental Council, which reports to the Prine power or even threaten national security (Fowler, Minister on the environmental ramifications of all 1992). And NGOs mistrust the motivation of the major development projects. government and its officials. Though controversial and risky, many of the 10 A Fernandez, op cit; R Tandoi, 1991. NGO Government more strategic NGOs are overcomnug their inhibitions Relations: A Source of Dfe or a Kiss of Death, Society for Participatory Research in Asia, New Delhi; ANGOC, 1988, op cit; E. Garilao, 1987, op cit; Aga Khan 9 L. M. Salamon and H. K. Anheier, "Towards an Foundation, 1988. The Enabling Environment, report of Understanding of the International Non Profit Sec- Nairobi conference, London, Aga Khan Foundation. tor," project outline, Johns Hopkins University M. Cernea, 1988. NGOs and Local Development, Institute for Policy Studies, Baltimore, USA, 1991. World Bank, Washington, D.C 46 Participation in Practice By offering or withholding support, official aid Nevertheless, such requirements should guard agencies can have a major impact on the NGO sector. against corruption and other malpractices within In this way, and through their project and policy the sector and to foster sound management dis- dialogue with governments, official aid agencies are cipline. Restrictive laws and procedures designed able to influence the state-NGO relationship and to for the political control of NGOs hamper legitimate enhance the political will necessary for constructive NGO activity and should be eliminated. Fiscal engagement. Some governments are realizing, par- policies should be transparent and even-handed, ticularly in the context of their concern for parti- and they should provide incentives for legitimate cipatory development and good governance, that NGO activities (conforming with state development supporting the growth of a healthy NGO sector is an priorities). Tax concessions may be used to encourage important contribution to development. indigenous philanthropy and income-generating activities of NGOs. And legitimate NGOs should Policy Instruments for Supporting NGOs be able to receive foreign funds and donated goods and Participation without bureaucratic delays. There should be no arbitrariness, bias, or 'rent-seeking" in the award- Governments can use a range of different mecha- ing of these privileges. nisms to create an enabling environment to support NGOs and their work in participatory approaches.'2 Operational Collaboration and Coordination These mechanisms can be noninterventionist, active encouragement, or partnership. Governments may afford NGOs opportunities to collaborate with them in state programs. Allowing Good Governance NGOs to retain their own agenda and remain account- able to their traditional constituency, can present a Govemments are able to use social and political win-win situation, especially in the promotion of policies to encourage a healthy civil society and participatory development approaches. In particular, public accountability of state institutions in ways that valuable roles that NGOs might play within govem- promote participatory development and foster a ment progms include articulation of beneficiaries' strong NGO sector. Such policies would help the gov- needs to project authorities, providing information emiment become better attuned to popular concems about the scheme to communities, organizing comn- and improve its efficiency. Of particular relevance a munities to take advantage of the scheme's benefits, issues of plurality (rights of association, rights to orga- delivering services to less accessible populations, or nize interest groups) and information (public access to serving as intermediaries to other NGOs." infomiation about development programs). Govem- ments might reduce implementation problems and Ideally, government should foster but not enhance public support for their programs by easing dominate coordination. Having NGO units in the access to information and allowing affected com- most relevant line ministries or organizing NGO munities the opportunity to voice their concems. NGOs consultative committees enables the government to can play an important role as interlocutors and facili- plan its program in full knowledge of the activities tators of public consultations, and they can catalyze of others. It enables NGOs to do likewise and to public debate and contribute to improving govemance. plan their programs more strategically. Sensitive coordination does not amount to controlling NGOs, Regulations and Fiscal Legislation but it encourages NGOs to avoid duplication, attend to geographic or sectoral gaps, eliminate Regulations and reporting requirements should religious or ethnic bias, and avoid activities that be designed to help, not hinder, NGO growth. contradict state programs or are unrealistic. 12 D. L. Brown, 1990. "Policy Impacts on the NGO 13 L. Salmen and P. Eaves, "World Bank Work with Sector," mimeo paper for EXTIE, World Bank, NGOs," Country Economics Department, WPS Washington, D.C. 305, World Bank, Washington, D.C., 1989. The State, Popular Participation, and the Voluntary Sector 47 Policy Debate and Formulation has been an influential member of the Central Government's commission on bonded labor. Governments can involve NGOs in fostering public debate and helping formulate policy in many Government Funding ways. First, they can provide information to NGOs Governents may provide funds, contracts, for dissemination to their constituencies. Second, and training opportunities to NGOs to give them governments can offer a role to NGOs in public special encouragement for priority activities and consultations. For example, NGOs are often invited to for operating in priority areas. Care is needed to ensure that affected parties are represented within avoid undermining NGOs' autonomy and indepen- planning inquiries and environmental assessments. dence. It is necessary for the government to reach Tlurd. govemment mayvttbroad agreement with leading NGOs and NGO Third, governments may invite NGO leaders to umbrella organizations on such priorities. For this serve on official commissions and other official reason it is important that NGO leaders are consulted bodies. For example, the Indian NGO, DISHA, on such schemes and involved in funding decisions. Part III. Case Studies Assessment of Beneficiary Participation in Health Program Management: Case Study of Benin and Guinea Michael Azefor and Marilou Bradley' Background in three different regions. The survey results were discussed in a two-day feedback workshop in each This paper sunnarizes the results of a compara- country. Representatives of interviewed beneficiary tive study undertaken to assess the effectiveness of groups evaluated the findings and helped develop beneficiary participation strategies used in the design possible solutions to address the problemns identified. and irnplementation of Bank-funded health projects in Guinea and Benin. The surveys in both countries were Beneficiary Participation in the Two Projects conducted simultaneously over a three-week period. They involved interviews with individual community The Bank-funded projects in Benin and Guinea memnbers, focus group discussions with local health seek to improve the quality, coverage and delivery management conunittees (LHMCs), and questionnaire system of basic health-care, especially to vulnerable urveys of health facility staff, regional health officials, groups. The goal is also to strengthen governments' and central Ministry of Health officials involved in capacity to respond rapidly and effectively to the project design and who are responsible for irnplemen- populations' primary health-care and fanily planning tation and evaluation. The following issues were among needs. The two projects have involved beneficianes in the areas investigated: (a) beneficiaries' perceptions of the management of the key components of health danges in the quality ofcare; (b) beneficiaries' attitudes promotion, family planning, essential drugs, and cost- vis-a-vis health-care staff (e.g., level of competence recovery programs. and reliability-how, when, and in what areas do health staff at the district and regional levels interact with the In Guinea, the participation process began population); (c) the accessibility and affordability of during project identification when the findings of a health services (do health-care programs respond to World Bank population, health, and nutrition review beneficiaries' needs); (d) pereeptions of changes and were discussed with governnent officials, field staff, improvements in beneficiaries' health status and and representatives of beneficiary populations. The quality of life; and (e) beneficiaries' perceptions of approach was designed to get some consensus at their roles in LHMCs (is there a sense of ownership). different levels on what was wrong with Guinea's health-care system and to identify priority reform In each country a local sociologist consultant measures needed to improve the quality and coverage was hired by the World Bank as survey director to of health-care. In Benin, the participation process was work with local field interviewers. In Guinea the instituted midway through project preparation, after a survey sample was 380 people, drawn from five new Task Manager promoted the strategy. First, prefectures from a single administrative region. In during the preparation phase of both projects, a series Benin the survey covered 380 people in four districts of workshops were held in selected communities 1 This is a summnay of the original paper by these authors. 52 Participation in Practice with community members, village elders, women's help, and who are better equipped to rvgularly monitor groups, and youths to diagnose the problems that the impact of programs. The surveys also identified exist within the health sector. Some of the problems the involvement of women in local health managmt identified included the unavailability of drugs and committees at the distnct and community levels as a other health inputs, poor health infiastructure, and strong factor in building community support and raising lack of health-care staff. Second, similar workshops women's status as community leaders. were organized to seek consensus on how the problems should be addressed and to enlist the The surveys also highlighted common problems commitment of beneficiary groups for future imple- hindering beneficiary participation in health program mentation responsibilities. Third, beneficiaries elected management. First, political commitment at the Cen- four or five members of their communities to serve as tral Ministry level needed reinforcing because of the members of specific health centers. These community turnover of politically appointed and technical staff in members represent specific interest areas, including both countries. Awareness of the roles of the LHMCs financial management and women's interests. During needs to be heightened through retraining and project implementation, the responsibilities of these implementing internal regulations that govern their committees include (a) building community aware- operations. In some cases there is a lack of mo- ness of good health practices, (b) managing the cost tivation and the LHMCs are poorly organized, recovery and essential drug programn at the health inefficiently managed, and inadequately informed. center level, (c) participating in the preparation of operating budgets, (d) serving as the community Members of these committees need to be better representative and primary intermediary between the educated on how to promote health center activities population and health staff and health authorities, and other than cost recovery and cleaning of the premises. (e) instituting community contributions to the care and The information gathered from the two surveys indi- maintenance of the health facility. In Guinea, govem- cates that these community leaders are not effective in ing boards of district hospitals were also created. disseminating health messages in their communities. At project effectiveness, project launch worshops In Guinea, community paricipauon at the district were held to consolidate participatory mechanisms hospital level was seen to be weak, because the that had been developed during preparation. Also, goveming boards had not yet become active. This health staff and beneficiary participants were helped situation is likely to change as the hospitals become to intemalize their own responsibilities for ensuring rehabilitated and fully operational, and as internal efficient implementation. During these workshops, management practices are implemented. later transformed into annual programming exercises, the objectives and strategies adopted during project Comparative Analysis preparation are reviewed to ensure adherence to them during implementation. These workshops also serve Comparisons between the survey results in as vehicles for educating all parties about the project's Guinea and Benin are described with regard to (a) financing plan, including the role of cost recovery, the quality of communication between the benefi- ciaries, the LHMCs and the health center staff; and Summary of Survey Findings (b) the level of participation of the beneficiaries in Surey findings in both oounrdies shoved a highe the health center activities. level of community understanding of services offered in the health centers than before; satisfaction with the Communication Between Beneficiaries, LHMCs, decrease in the cost of drugs and the greater avail- and Health Center Staff ability of generic drugs in health centers; appreciation of local autonomy over management of cost recovery The survey in each country set out to assess funds; and recognition of better performance by health how much the public was being informed about the staff who increasingly rely on the community for health services and activities provided at each facility. Assessment of Beneficiary Participation in Health Program Management 53 In Guirxa, fte suvey established that the population Level of Beneficiary Participation in Health was inadequately infofmed of these aspects. The Center Activities reasons given included a lack of motivation among staff and LHMC members, as well as a lack of health The surveys in both countnes showed that bene- education sessions at the health center. On the part of ficiary participation in the areas of family plannin, health center staff, their -lack of motivation was primary healthcare, and environmental sanitation was related to low wages; on the part of the LHMC built into project design but was quite limited in members, they had not received the training in social practice. In Guinea, the community and the LHMCs communication that had been scheduled to ensure tend to be margial when it comes to discussing and beneficiary apaton Respondents questioned about seeking solutions. Tlis weamkness was the case when it outreach activities by health staff indicated that these came to civil works related to the rehabilitation of wer lazgy limited to vaccination. Issues about health health centers and hospitals. In Benin, this issue was education, family planning, nutrition, environmental not as serious because major physical rehabilitation sanitation, and quality of water supply were not often work had not started at the time of the survey. discussed with those people attending vaccination or However, communities were already active in the antenatal sessions at the health centers. Members of maintenance and cleaning of the existing facilities. LHMCs played little or no role in health education, This effort represents a major departure from the and their community education activities tended to be neglect of these facilities prior to launching the focused exclusively on cost recovery efforts. Discus- project, and it shows a new perception of com- sions on these weaknesses at the feedback seminar munity responsibility in matters of health care. attributed the problem to the high level of illiteracy and to the small representation of women and youth in Involvement of beneficiaries in project preparation the LHMCs. Greater representation of these two helped to improve their knowledge of simple morbidity groups was rcommended as a way to improve the causes, enabling them to link malnutrition more easily role and effectiveness of LHMCs in health promotion. to poor and unhygienic feeding practices rather than to supernatural causes. This knowledge is further In contrast, the survey results from Benin re- reflected in the number of people who indicated that vealed a higher level of understanding among the they seek care at health facilities more often than before the project launch. The results of the study also population about the services provided by loal indicate that health center staff now interact more health centers. The Benin survey showed that 98 per- with the communities than before. In Guinea, 85 cent of the 384 interviewees had a clear knowledge percent of the field staff interviewed said that bene- of what services were available to the public. The ficiary participation in program management had reasons for this increased awareness included more helped to improve their work. Nevertheless, more than frequent visits by members of the public to health half of the staff called for more in-service training in centers; it seemed to have little to do with the the new strategy; they wanted staff who did not participate in the preparation of the project to have a qualiy ofcommnity ducaion ampains b the chance to Improve their understandfing of the program. staff or LHMCs. As in Guinea, LHMCs had con- centrated their work thus far on cost recovery The two projects clearly demonstrate the need activities. Little attention had been given attention for a carefully planned and executed training program to other areas. This practice was evidenced by the for health staff and local management committee fact that less than a third of individuals interviewed members to ensure beneficiary participation. Providing were aware of the details of agreements signed the resources for such training is not enough. beween the LHMC and the Ministry of Health-the Initial training sessions on social communication must be followed by repeat courses and additional agreements that had committed beneficiary communi-training in many areas, including sociocultural ties to maintaining the health facility premises. constraints to better health status. The case of Guinea 54 Participation in Practice also highlights the need to focus on the involvement of invest time in participating in mtrnaging women in management committee work. Such em- health programs because they receive better phasis would help ensure a legislative or adminis- health services. For example the provision of trative requirement that the composition of a new low-cost drugs encourages beneficiaries to committee maintain a gender balance. use the available health services and partici- pate in their management. The study found that Central Ministry officials were actively involved in the development of the cost a Weak dissemination of information is a key recovery and beneficiary participation strategies. impediment to executing program activities They designed and conducted the training of field effectively. Participation is a function of in- staff and LHMC members. They reported that the fonnation. In both countries, infonnation is strategy for involving beneficiaries in program man- inadequately disseminated at all levels. Informa- agement and in cost recovery had strengthened the tion on priority programs, such as family management capacity of the Ministry of Health; better planning, is not properly disseminated, par- intra- and interministerial coordination mechanisms ticularly to those who are to take part in had been established. This outcome had contributed to building community awareness, (i.e., health greater integration of the different health programs. staff and local management cornmittees). Poor dissemination of information impedes the The strategy for involving beneficiaries in program delivery and quality of services and results in managem in the health sector is perceived by weak understanding and internalization of bm;ficiaries as a national strategy that has been program goals and objectives. gcneralized nationwide in Guinea and Benin. Ikwevr, as decisionmaking is decealized, and the traditional * Beneficiaries cannot effectively particpate if roles of the Ministry of Health begin to change, there their roles and responsibilifies are not clearly is resistance to fiurber decentalization. This resistance defined and understood. In the absence of a was identified in this study through the nonimple- clearly defined mandate, the work of the hospital ntation of trainig needed to strengthen the roles of governing boards in Guinea was virtally im- LHMCs. However, regional, district, and community possible to cany out. In addition, these boards level staff indicated that greater decentralization were neither trained nor given appropriate guid- would furter improve the effectiveness of the system. ance. These shortcomings resulted in ineffective performance in managing health programs and Lessons Learned limited motivation and participation. The main lessons that emerged from this study Lack of training is an impediment to building regarding beneficiary participation can be sumnma- local capacityfor program management and to rized as follows: encouraging beneficiary partcipation. In both Beneficiarypartfcipation has improvedproject countries, effective performance was reduced implementahon and health service delivery, because the provision of traing to beneficiaries This improvement is particularly true for the was inadequate. For example, local management cost recovery and essental drugs progrms, as committees, whose majority of members were well as the maineance of health infrastructure. illiterate, were provided with only initial training Establishing dialogue between the population when they assumed their positions. No addi- and health staff has helped the staff understand tional training followed, despite turnovers and their responsibilities toward the communities the wide range of activities they were expected and the needs of the communities. In turn, their to participate, such as management of cost ability to deliver services has been improved. recovery and essential drugs proams, building This benefit has also incrsed the confidence of community awareness on good healt practices, the beneficiaries in the health staff Beneficiaries and participation in the preparation of operating Assessment of Beneficiary Participation in Health Program Management 55 budgets for the he-alth facilities. Since the and budget preparation. Also, field supervision of local management committees' functions did health facilities is sporadic, and often those who are not match, their effectiveness was limited. directly responsible do not participate or are not provided with any feedback. To strengthen interven- Mnaemdoen functraio d.s a decisionan tions in managing health programs, local manage- nreemdtobe decentralzed.vCritical andenon ment committees need to participate in supervision are made from the top level and are not aP- missions, and effective and transparent control propriately disseminated to those who need to mechanisms need to be established, particularly in know. This is a major limitation on effective maagmg cost recovery and essential drugs programs. work performance and timely implementation. Finally, beneficiary participation must be seen as Little autonomy is given at the regional and pre- an integral part of the decentralization of sector man- fectoral levels for the making of decisions related to the agemnent. This works best where the strategy is seen staffing of health ficilities, management of resources, as a national rather than a project-specific strategy. Institutional Issues in Participatory Development in Burkina Faso Della E. McMillan, Sylvestre Bangre Ouedraogo, Fernand Sanou, Michel Sombie, Andre Rock ConWaore, Abdou Salam Drabo' Background people. The study examined participation in three sectors: agriculture and natural resource management, Since Indepdence, Burkina Faso has consistently health, and urban development. It also looked at ranked among the poorest and least developed coutxes the country's historical and cultural background m the world. The country is landlocked with poor soil, and a number of cross-cutting issues. irregular rainfall, and few miral deposits. In Political History years there have been nine different political regimes, many of them coming into power following coups. An historic analysis of Burkina Faso shows that Despite tiese problems, Burkma Faso has not experi- the concept of participation was fundamental to the enced the severe balance of payments, debt, and organization of production in each of Burkn's tradi- financial problems suffered by most Afncan countries luon societies. Nevertheless, there were iportant dunng the past two decades. In fact, over the last ten differe. In traditonal luerarcluc societies, hke the years the country has made significant progress in the Mossi (who make up about 50 percent of the popu- fields of education, health, agriculture, environment, Lion), where soci stu is heavily influenced by and urban infrastructure. bii* the pnmary mnbvation is to fulfill family obliga- tion to a political superior or provide mutual aid to a A number of factors have contributed to this social ally. In contrast, within the noncentralized success, including the government's support for inno- societies that have little tradition of inherited status, vative p v development models. Aldxx each the individual is highly motivated to participate in regime has conceptualized the objectives and stae- group labor as an avenue for self-promotion. These gies for achieving economic and political development two widely varying cultural models have influenced in different ways, each has consistently supported the different responses of the Burkinabe groups to participation at a grassroots level. Interest in this outside interventions. strong tradition of participation led to this study of the role of participation in Burkina Faso's development. In addition to the cultural differences, each The objectives of the study were to (a) examine the successive national political regime has defined ways that high-level commitments to a participatory development and the role of local participation in approach were translated into grassroots interven- achieving that development in different ways. tions; (b) look at the ways these interventions led to During the time of President Yameogo (1960-66), revisions in project designs, program policies and the concept of local participation in development national laws; and (c) focus on how insttutional was perceived as a criticalpolitcal means of mobilizing mechanisms were used to pass partacipatory messages support for national unity. Yameogo also considered upward and downward from the policymakers to the recourse to the traditional political system, including I This is a sunmmay of the original paper by these authors. 58 Participation in Practice the administrative powers of provincial and canton (CDRs)-to mobilize support for the regime's package chiefs, to be a handicap to his efforts to mobilize of radical policy changes. At its base were village the country in pursuit of national development. So and urban neighborhood CDRs, which were linked he attempted to replace this traditional institutional to a hierarchy of provincial and national CDRs. structure by creating a single national political party. This total mobilization of people was meant to "purify" the country from some of the corrupt Yameogo's regime was followed by a fairly tran- influences that had plagued earlier regimes. Com- quil thirteen-year period (1966-80) under General munication continued to be top-down, but through Sangoule Lamizana. During this time, the country the CDRs instead of the traditional chiefs. experimented with various participatory models. Under Lamizana, the traditional chiefs' roles were reinstated The new government continued the previous and the labor unions emerged as representatives of a regime's emphasis on rural development. At the small but increasingly vocal middle class of salaried same time, however, it emphasized the use of local workers and civil servants. In contrast to Yameogo's participation to expand the social sectors. Commando emphasis on political change, Lamizana emphasized campaigns were started to build health facilities the role of local participation in economic development. and schools. Between 1981 and 1986, more than This commitment was translated into the following 4,000 village health posts were built and school three important sets of policies: (a) a series of laws attendance rose from 24 percent to 32 percent. and decentralized state institutions, the Regional This rapid expansion, however, quickly outstripped Development Organizations, to reinforce the capacity the capacity of the government and local populat- of the local cooperative and precooperative groupe- ions to maintain the programs. More than 600 of ments to rnobilize local participation in crop and live- the newly constructed schools never received stock developnment; (b) new state institutions to increase teachers; within six months the majority of the national participation in business and industry; and newly created health posts ran out of medications (c) austerity measures to decrease government expen- and were abandoned. diture by reducing civil servant benefits and salaries. After 1987, the governmnt reduced and eventually Another critical turning point was the 1968-73 suppressed the political role of the CDR. This step drought; it precipitated a dramatic increase in bilateral did not, however, slow the continual development and multlateral development aid. The same period of innovative models of participation. Instead, the coincided with a rapid expansion of international NGOs successful commando campaigns were perceived who were attracted by Burkina Faso's democratic as having validated what was already a long- environment and supportive legislation. Of the forty- established cultural model of participation. The five NGOs that came in this period, thirty came result has been a new generation of postrevolutionary originally to provide drought aid. In almost every models for participation that are built on lessons case, the NGOs quickly transformed themselves into learned from previous generations. Simultaneously, development institutions, and in 1975 they created their the government has implemented a wide variety of own Permanent Secretary for Nongovernmental Orga- national laws and decrees to support the type of nizations to coordinate and hannonize their activities. fiscal and administrative decentralization necessary to sustain participatory approaches. The economic policies adopted by the Revolu- tionary gvemme, whichtookpower in 1983, were de- Sector Analyses signed to correct the macroeconomic trade imbalances that were exacerbated by the drought and a series of Despite the strong governmental emphasis on economic shocks in the late 1970s. What distin- local participation, sector analyses show the degree guished this regime was its commitment to a total model to which these initiatives have been translated into of participation, bod politically and economically. This actual institutions, and interventions varies widely model included the creation of a new institutional struc- both by sector and within individual sectors at tur- Committees for the Defense of the Revolution different times. Moreover, the process has been Institutional Issues in Participatory Development in Burkina Faso 59 influenced by a variety of local, national, and inter- the colonial period and the first twenty years of national factors. independence. This passive participation was in sharp contrast to the approach taken by traditional Agriculture and Natural Resource healers. The primary reason for the persistent top- Management down focus in Burkina's formal health sector was the crisis conditions of the country's health (epidemics, high infant mortality, droughts and resulting malnu- As early as 1931, the colonial government trition, and difficulties in obtaininlg phanmaceuticals). realized that to be effective, agricultural policies Also, and ceffgovermenti hdoneiter thefinancal needed to involve the local population in the Also, the central govemrcent bad neither the fincil implementation of its crop development policies, nor personnel resources to sustain a more ho-i- This realization led to early development of the zontal system of decentalzed rurl health services. concept of the cooperative and precooperative Into tis health -care vacuum came the first iflux groupements. Since Burkinabe independence, the of international NGOs for drought relief Staring in groupement concept has been reinforced by a long 1979, the NGOs created some of the first models for succession of laws and changes in the national rural community health. The World Bank supported extension service. The World Bank strengthened the development of these models through the first the groupement concept through a series of regional health service development project. The implementa- development projects to promote commercial cotton tion of this new decentralized system was accelerated production inthe 1970s and 1980s. The success of by two mass mobilization campaigns: oneto construct these projects helped make cotton the main engine village health posts, and one to increase the vaccina- for national economic growth in the 1980s. tion rate. These commando campaigns had an im- mediate and dramatic effect on health standards and Unfortunately, there was no similar econowuc in- infrastructure. Neither, however, were sustainable, in centive to develop local participation in natual resource large part because the beneficiaries were not able to management. By 1980, the high productivity of the fully participate in the management of the health-care southwest cotton boom area was being threatened by a facilities. Even in cases where the beneficiary organi- host of unintended environmental consequences. More zations, NGOs, or Ministry of Health did succeed in over, it was increasingly clear that the conventional establishing a system of autonomous management, the extension models for promoting popular participatiotn actions of these systems were reduced by the Ministry could not reverse the process. To confront this issue, of Finance laws. These laws necessitated the central the Burkinabe government embraced a new model of management of all financial receipts coming into the participation; it linked short4erm incentives, such as clinics, phannacies, and hospitals. The high levels of the casnsctio of basic infl'astructure, to a cmuinity's rural illiteracy further decreased the efficacy of the pledge to adopt sustainable natural resource manage- rural health committees. Aided by the World Bank, ment. The institutional mechanisms for coordinating the Burkinabe government has recently enacted this support were the village land management com- new legislation that permits decentralized health mitees, created as part of the new National Program management and accounting. for Village Land Management, which started in 1986. This is a process that the World Bank is supporting Urban Development this process through its current National Environment Management Project and the Agricultural Support The inability to develop agriculture in the Services Project. lower potential, plateau zones, combined with the drought, resulted in a dramatic increase in Health immigration to Burkina Faso's urban areas. By 1985, 11 percent of the country's population was Within the health sector, Burkina Faso's rural living in the urban areas, primarily in the two population participated as passive beneficiaries of largest cities. Most of the settlers moved into disease vaccination and diagnostic services during squatter zones on the outskirts of the major cities, 60 Participation in Practice where living standards were poor because of the lack units that had been anticipated for upgrading the of land parcels and infrastructure. Early attempts to sites and services of the project. improve living conditions in the squatter zones tended to benefit only the wealthier residents and those The Dutch-sponsored Progressive Development people who could claim large areas of land through Model (MAP) benefited from the lessons learned traditional land rights. through these two earlier projects. Building on the MAP experience, the government then embarked In 1974, working with the UNDP Habitat Project, on a commando subdivision operation to register the government tested a radically new pilot program the squatter areas outside Ouagadougou and Bobo- for eliciting high levels of participation in squatter Dioulasso. The results were dramatic. In two years upgrading and site and service development. House- the government distributed three times more land holds were given urban occupancy permits as a parcels than in the preceding twenty-three years. guarantee of tenure, and both low- and middle-income By 1990, the combination of the First Urban beneficiaries were expected to contribute- financially Project, the MAP program and the commando sub- by paying a portion of the development costs and division campaign had increased the amount of joining a neighborhood savings and loan cooperative; zoned land from 28.6 percent of the total land area and physically by volunteering their labor to construct of Ouagadougou to 72.9 percent. Subsequent Bank- basic infrastructure. Working thrvughthe neighborhood supported projects have built on these experiences. chief, project planners conducted a series of socio- economic studies to better understand the population, Lessons Learned its goals and needs. The same institutional mechanism was used to organize large meetings to exchange ideas Based on Burkina Faso's experience with partici- about the project design and to keep the population patory approaches, this study concludes that project informed about the evolution of the work once planners need to developnent started. These activities were reinforced by special training sessions for beneficiaries, as * define the different forms of participation and the well as government technical staff. objectives in clear, operational terms and whenever possible, seek a complete model of participation; In 1976 the government proposed a massive tenfold expansion of the Habitat Project model for * use operational research (pilot projects) to squatter upgrades through the First Urban Project, test a particular model of participation before supported by the World Bank. Convinced of the extending it on a larger scale; validity of the Habitat model, and in a hurry to * conceptualize participatory projects within launch the projec in a tirnely fashion, project planners the wider national socioeconomic context to did not emphasize the need to involve the bene- ensure sustainability; ficiaries in the conceptualization of the project. There do not appear to have been any detailed * allow a longer-than-average planning phase to baseline socia or economic studies nor did planning organize the local populations and to avoid documents emphasize the role of public information costly downstream delays and renegotiations sessions. Ihe initial institutional mechanism for com- of the project design; munication was through the chiefs and then, after 1983, through the CDR. Almost immediately the * guard agaist the tendency to implement well- planners became embroiled in a series of misunder- meaning participatory projects as top-down standigs and disputes with the beneficianes and other programs with little beneficiary input into stakeholders. This conflict resulted in long delays and their design; technological changes that dramatically increased the * establish legal documents and coodinatig bodies total costs of the project. In spite of these problems, to clarify the roles of international and national the project surpassed by 25 percent the number of NGOs in facilitating participatory approaches; Institutional Issues in Participatory Development in Burkina Faso 61 * exercise some degree of regulation to ensure literacy programs to equip beneficiaries with that a broad range of social and income groups the necessary skldls to contribute to and benefit benefit from participatory approaches; from collective activities. * identify and include conditions for long-term manageentan maneac fro the Perhaps the most important lesson learned firom ginning of the project; and the Burkinabe experience is that participatory devel- ghming of the project; and opment demands a global, multisectoral approach * reinforce participatory approaches with basic that involves all ministries. Stakeholder Participation in the Design of a Structural Adjustment Program: Case Study of Ghana P. V. Obeng ' Background not they held government positions. This was the preferred style of the leadership of the revolution, At the initiative of the author, discussions during and it was in this way that discussions were held the appraisal stage of the first Structural Adjustment on the national economic crisis and on how to Program (SAP) in Ghana were opened up beyond the attain economic recovery. Ministy of Finance and menbers of the SAP negotiat- ing team. The discussions included key economic Then, as the structure of the government shifted ministers and civil servants, trade union and private fiom this informal, inclusive arrangement to a more sector representatives, the umbrella organization of organized system of decisionmaking, many people local-level committees for the Defense of the Revolu- lost their direct influence on governmental decision- tion, and selected memnbers of the press. P.V. Obeng maki including decisions on the preferred path to arranged a week-long series of workshops with these economic recovery. At the same time, once implemen- stakeholders and ensured that criticisms and disagree- tation of the Economic Recovery Program (ERP) got mcnts were raised rather than swept under the carpet. under way, modifications had to be made to take into At the end of the week broad consensus had been account realities on the ground, but the managers of built in the government, and feelings of suspicion the ERP were accused of having revised the prelini- about the Bank had been softened considerably. The nary version of the program (which had been designed following is Obeng's account of the participatory in the inclusive manner) to suit their own political- process and its longer term impacts. The paper's economic persuasions, making them "revisionists" to question and answer fonnat is based on questions put the revolutionary process. This generated a good deal to Obeng by Sarwar Lateef, the Task Manager of this of confusion and antagonism, and it was a painful first Structural Adjustment Credit (SAC) in Ghana. and disruptive process of negotiations to get the various branches of the revolutionary structure What factors caused you to open up the back on board the ERP, including the PNDC, design process? Trades Union Congress (TUC), and the Civil Servants Association. Even with this effort, there During the early stages (1992-1993) of the was still a heavy cost to the revolutionary process, Provisional National Defense Council (PNDC), the because the rift left scars of mistrust and division. umbrella organization of local-level committees for the Defense of the Revolution, the administration From then on, the PNDC was determined not was characterized by an informal total involvement to repeat this experience, and practical ways were system of decisionmaking where all kinds of people devised for formalizing one of the most important had a say in the way things were done, whether or principles of the revolutionary process-involvement i This is a summary of the original paper by this author. 64 Participation in Practice of all parties in the decisionmaking process. The With the benefit of hindsight, did the semi- implementation of the ERP and subsequently the nars achieve their purpose? What were the SAP, was done in strict compliance with these costs and benefits of this exercise? principles. Our commitment to total involvement grew as we saw the immense educational potential The seminars were successful in that the in the process, which helped to motivate both those participants expressed their views freely, difficult directly and indirectly involved in government issues were argued through, and at the end of the decisions. This was particularly important since day general agreements were reached. In addition, many of those who had been given responsibility those people who were involved in implementing for implementation and policy work had little or no the SAP policies were able to gain a better under- experience in these fields. standing about the program by attending the meetings, and those participants who were in- Could you describe, from your own per- directly involved in the program were very sup- spective, the "seminars" held to open up the portive of the conclusions reached in the seminars, SAP design process? and also benefited from the leaming experience too. As for the costs of the exercise, I think there The structure adopted for the SAP seminars were four: (a) delays due to a lack of coordination was a simple one. The first round of discussions on at the sectoral level and at the level of the SAP the Structural Adjustment Package, involved an Secretariat; (b) the tendency for "right wing" and Economic Management Team (essentially a subset "left wing" sentiments to turn discussion of the of the SAP team) and focused on ensuring that the issues into ideological debates, causing delays, and general nature of the package and the important reducing concentration and patience on all sides; sectoral elements were broadly consistent with eco- (c) political and technical personnel were taken nomic policy. This team included the chairman of away from their desks and their regular assignments Committee of PNDC Secretaries, Secretary of Fi- for a considerable length of time; and (d) the need nance, and some selected secretaries in key sector to acquire logistics for the seminar, at a time when ministries, as well as others selected for their these were in short supply, tended to give the contribution to the technical analysis, even though impression that the process was wasteful or involved they did not hold specific sector portfolios. misapplication of resources. Once this preliminary vetting had been done The oenefits of the process included the following for a number of sectoral elements of the program, (a) issues of coordination of policies, strategies, and the full SAP team convened to discuss these parts monitoring were identified much earlier and could be of the program in detail. These larger meetings handled before they became real bottlenecks; (b) the covered such topics as the policy content of these economic decisions to be made on the SAP benefited components, the implementation strategies and from the political and technical analyses in the methodologies, measurable targets to be reached, meetings and bridged the ideological divide, to some and the appropriate form of performance reporting extent, early on; (c) the educational and awareness to the SAP Secretariat. raising aspects of the seminars could not have been achieved in any other way, considering the background Every person invited to make a presentation at of those people in key positions at the time; (d) the SAP team meetings was entitled to join in discus- scarce logistics acquired for the SAP Secretariat then sions, even if the topic did not relate to his or her became useful for the agencies implementing the SAP; portfolio. The decisions of the SAP team on the issues and (e) as a people, we achieved a sense of ownership of the economic program, a greater acceptance of the consequences of the program, and a stronger commit- final, since there had been exhaustive, representative ment to implement it. The inclusion of the private and open discussions of these issues. sector, unions, and other interested groups greatly Stakeholder Participation in the Design of a Structural Adjustment Program 65 fostered understanding and made people more ready problems and the steps needed to reverse these to see results. problems, spared the World Bank and the IMF from having to tell us the bad news. We identified lack of Did this exercise have any impact beyond financial discipline and management weaknsses as the first SAP? part of our problem and proceeded to impose stricter operational conditions on the goverment, its agecies, The consensus building and rtciatry pcess, and the population. The perception that the World from my point of view, had a far-reaching impact on Bank and the IMF impose hard and impossible the reform program in the sense that it opened up a conditionalities before granting assistance was thus genuine dialogue on hitherto sensitive and etonal minimized. This enabled the World Bank and the IMF issues, such as the devaluation of the cedi, trade to play the advisory role that is expected of them in a liberalization, and the allocation of scarce foreign relatively calmer atmosphere. Likewise, exposing the exchange resources- topics that were among the Bank staff to people other than those with economic most central in the ERP, the subsequent SAP, and backgrounds enabled them to see the realities that beyond. Indeed, once these critical matters had been policy reformers face and helped both sides to fashion thoroughly thrashed out and accepted by the vanous more implementable strategies. groups, it was easy to forge ahead with the second and third structural adjustment credit, which sup- What follow-up steps were taken to maintain ported programs with similar objectives. the momentum generated by this consultative process? Did the process change perceptions about the government's approach to economic reform? The most important follow-up step taken was to use the samne consultative process to identify The adoption of the participatory approach in the what else had to be done to consolidate the benefits SAP design certainly changed public perception abOut of the SAP. For example, one discussion examined the government's approach to economic reform. The the fate of the vulnerable groups under the SAP involvement of social and economic stakeholders in . . . th prcs ,nrdue ,ore, and developing interventions within the Program of reform process and presented the government a Action to Mitigate the Social Cost of Adjustment democratic-minded; even in the difficult and sensitive (PAMSCAD) framework to reduce some of the area of economic decisionmaking. It also changed the short-term impacts of the SAP policies. We also perception that the govemment was a mere conduit institutionalized the consultative approach beyond for transmitting predetermined, stereotyped reform the central SAP management level to some sectoral packages designed in the dark rooms of the World levels, and subsequent structural adjustnent programs Bank and the IMF with the sole purpose of inflicting were subjected to the same cross-sectoral scrutiny, avoidable pain on the population. The govenment using the momentum generated by the original was effectively perceived to be managng a reform program for the country with the active mvolvement of appropriate representatives of the people who are to endure the pains of its implementation and enjoy What benefits were gained from the con- the benefits of its success. sultative process of the first SAP? Did the experience change perceptions about Because all SAP-related agreements went through the role of the World Bank? the consultative process and were negotiated in a comprehensive manner, it was easy to arrange post- The fact that the government went to both the negotiation approvals. In fact, in many cases, since all IMF and the World Bank with a program based on the key people had participated in the process and pre- our own analysis of the causes of our economic negotiation approvals had been obtaine the chairman 66 Participation in Practice of the Conmnittee of Secretaries was able to grant the Ministry of Finance and Economic Planiing. administrative approvals under the authority of the Under the commitmt of the Resident Representative PNDC (then the ultimate Executive Body) so credit at the time, Mr. Choi, the Resident Mission gave a lot papers could be sent to the World Bank and IMF for of behind-the-scenes support and helped to get the consideration while our own internal processes got SAP implementing agencies on board. The mission's under way. In this way, we saved a lot of time. main role in progress-chasing of the SAP meeting a- genda also helped to get work going according to plan. Another benefit has been the fact that now we do not feel nervous about multisectoral programs or projects, since we have rehearsed and mastered How did you chose the invitees to the semi- the methodology for conceptualization, design, ap- nars? How representative were the invited praisal, negotiation, implementation, and nmnitoring groups of opinions critical of the govern- of such projects. We have benefited tremendously ment or the reform process? from that approach. It is also worth mentioning that World Bank appraisal missions that took place The government selected invitees on the basis during SAP meetings benefited from the compre- of the following two main considerations: hensive discussion forum, and much of the policy negotiations took place in Ghana, rather than, as is (a) economic stakeholders-including representa- usually the case, Washington. Only a small negotiating tives of the Ghana Association of Industry; team had to go to Washington for the final negotia- Employers Association, and the Chambers of tion, thus saving costs. Commerce; and What were the special factors, in your view, (b) social stakeholders-including representatives that made a positive outcome possible? of the masses (Committees for the Defense of the Revolution), Trade Union Congress, Ghana s Te key elements that made the consultations National Association of Teachers, and the Civil successful were the following: Servants Association. (a) The political campaign launched by the head of state at the time, that we as Ghanaians are Other stakeholders were brought in for the sec- all part of the problems and should also be toral discussions, including loggers, millers, farmers' part of the solutions. This campaign required representatives, nurses association, and so on. These the involvement of all active political and stakeholder groups included both progovernment and social partners in the search for solutions to antigovernment elements, and indeed there were both our national economic difficulties. The response left-wing and right-wing elements in the political base was encouraging as many groups came forward of the government. There was therefore no lack of freely to make inputs. ideological diversity among those involved in the process, even though the political system at the (b) The meetings were open and frank and opposing time was not divided into government groups and views were tolerated without bitterness or intimi- fornnal opposition groups. dation. This encouraged attendance and active involvement of the people. We need to admit that NGOs were not drawn into the early discussions. Considering the subject matters (c) Conclusions reached at these sessions were dealt with at that stage, their presence may not have adhered to, and people felt that they were part been very relevant. NGOs were brought on board of the decisionmaking process, so their interest later, when national development activities started to was sustained. focus seriously on social sector issues, and in particular when developing the PAMSCAD program that tar- The World Bank Resident Mission in Ghana geted vulnerable communities and people-areas that played a very important coordinating role alongside usually attract NGO attention and involvement. Stakeholder Participation in the Design of a Structural Adjustment Program 67 What special skills do Bank staff need to may be lost, but in the end deep-seated prejudices facilitate participatory processes in adjust- will be dissolved and the relationship between the ment operations? Bank and the country partner will be closer and more honest. A participatory approach to developing and un- planening a Structural Adjustment Program wil not What lessons can be drawn from the Ghana usually require any special additional technical skills, experience for other countries in relation to except if we consider flexibility to adopt new opera- stakeholder involvement in the design and tional attitudes as an additional skill. Bank staff will implementation of adjustment programs? bave to be comfortable with disacussig and defending time-tested economic strategies in an environment There is no doubt that the lessons of the Ghana where not everyone is learned in economics, where experience will be useful to other countries. People local snstivities are perhaps eve based on prejudices. may speak different languages and belong to different Bank staff will have to learn to tolerate discussions geographical zones but participation, as it relates to that will even attempt to prove that their economic human nature, is the same for all peoples. This is models are destined to fail and that other models, what democracy is all about and that is why a which have failed elsewhere, will be successful. This democratic approach to decisionmaking recognizes approach will make mission periods long and patience the value of different ideas and opinions. Community Management in Rural Water Supply in Indonesia Karen H. Smith' Background aspire to help communities resolve their household water supply problems in self-reliant and self-sustain- This study of community management in rural able ways. Dian Desa, the Indonesian organization, household water supply in Indonesia was carried out is particularly well known for its interest in village in 1993. It focused on the work of two NGOs: one technology (particularly rain water storage tanks) Indonesian-Dian Desa-and one international- and its skill in helping communities mobilize to CARE. The objective was to identify factors that facili- address their water problems. CARE, through the tated or hindered a community management approach years, has been involved in integrated development in designing, installing, and maintaining household programs and has been deeply concerned with water systems. This paper summarizes the findings capacity building and group formation for com- of the study and draws some lessons regarding the munity management of water supply. work of both NGOs and government in this area. Characteristics of Water Supply Since 1969, under a succession of national five- Systems Visited year development plans, Indonesia has made dramnatic progress in the economic sphere, and in social sectors. The majority of systems visited in the study Nonetheless, development has had an uneven impact, used gravity feed. Some of the systems consisted of and in the second twenty-five years of planned a simple straight carry from a well-covered source national development special priority is to be given to to a limited number of houses, while others had poverty alleviation, human development, and the complex branching. Some of the older project sites development of the eastem provinces of Indonesia, in Sumbawa and Sulawesi had hand pumps. which lag behind national averages. Supply of clean water remains a high priority in the national develop- Conditions Affecting Community Management ment plans of both central and local government. Funding Profile of the Two NGOs The systems visited were funded in different ways: 100 percent funded with outside grants; 100 Two of the preeminent NGOs working in the percent community financed; government financed water sector in Indonesia are Dian Desa and CARE but conmunity managed; or part government funded, International Indonesia. They have had notable part NGO funded. The conditions for community successes in various parts of the country, particularly management seemed most favorable where (a) the in more diffiualt, less accessible areas which the community groups had been directly involved in government has found hard to serve. Both of these raising or managing funds for construction, and organizations operate under similar philosophy; both where (b) the groups felt they had the required l This is a summary of the original paper by this author. 70 Participation in Practice technical knowledge and skill to understand and Shared Need modify their system. In general, fieldworkers felt that user groups A recent development in funding nwchmisi is are easier to organize when people are using a pipe the Comnmunity-Financing (CSF) approac adopwd system which meets a shared need. The continuous work of cleaning pipes, checking joints, and clean- by CARE, largely m East Java. The underlying prenterseviurqiedbsasmleppesse of CSF is . th moeacmuiycnrbts ig the reservoir required by a simple pipe system of CSF IS that the more a community contnbutes financialy to the construction of a water supply or keeps the user group active. However, water-user saitation sy stem t he greateruc t hei sens of muchr more difiul to manan saltation system, thegreatertheirsenseofCownersFp groups among families using hand pumps are and commitment to maitenance. In CSF projects, no seed money or grants are provided by CARE or the Age of Group government. Instead, field officers assist communities to develop ways to finance their own system using Approximately half of the locations visited still internal resources (such as construction materials, had functioning user groups, holding regular meetings land, or cash collected from individual households) with organized work schedules and collection of dues. and credit from a local bank, where necessary. To This practice was strongest in the newer groups, strengthen community planning and management which had bem more involved in substantive decisiom- capability, five training events are held in each village making about their system and had received manage- during project preparation. Topics include the role and ment training. In older groups, where their activities formation of a village Water Supply and Sanitation were limited to the provision of water, the leaders Mangement Committee, rules and regulations, operation sometimes seemed more like benevolent despots. and maintenance, source protection, and fee collection. Much less was heard of group decisionmaking or changes in the system other than those the leader Although its experience is limited, CSF holds himself thought good for the group. much merit and calls for further study. CSF has Development of Leadership proven successful in enabling commuunity groups to manage their water supply, and, in some cases, to Both NGOs have found that development of take on other activities not related to water. For the managerial level of user groups should take instance, one water-user group in Java became so place slowly. Field staff and community members a ac their agree that the present procedures used work well. adep atfinacia esimats wileconsrucingDuring project preparation and inital construction water supply system that they formed their own work, aoct tis frd ofithe inten work, a committee IS formed of the intended construction team. Putting in bids for small construc- beneficiaries who are interested in volunteering tion contracts in their village, they shut out outside their time. During this period leadership has time contractors. They keep their profit margin low and to emerge. By the time the water supply system is reinvest soeearnings in their user group's water fund. in place a permanent management board can be elected from among group members. While there is Critical Size of Group often much continuity in leadership, there have also been some changes; this approach leaves the door open to change if group members want it. In areas where hand pumps were originally installed for group use and maintenance, as more Participation of Women and more families get individual pumps, the number In the water systems visited, there was a of people served by the group pump diminishes, traditional gender division of labor. The women These small groups voiced a concern that they used the water, and the men were dominant in the would not be able to afford a replacement pump management of the water-user groups. If there when the time came. were any women in the management boards they Community Management in Rural Water Supply in Indonesia 71 tended to be more in supportive roles than leadership visits or conduct the community training events, as positions. In most cases, women had not been NGO workers can. Neither can they respond as trained in repair or maintenance work, though they quickly or flexibly to community needs, as their were usually the ones who were first aware of NGO counterparts can. minor problems and often knew what repairs were needed. Some women interviewed at a standpipe Both community members and government officials commented about the slow response of the manage- mentioned two distinctions between NGOs and the ment board (most of whom were men): " They talk government programs in relation to participation. too much and are too slow to take care of the In contrast to the government programs, the NGO repairs we want." programs involved community members in dialogue and decisionmaking as well as implementation. And, A notable exception to this pattern was evident the NGO workers were noticeably different from in a village in Flores, where there had been heavy government fieldworkers in the nature, style, and out-migration of men in search of work, and the timing of their facilitation work and in their advice, village (including the water users group) was left criticism, and encouragement of community members. largely in the hands of the women. These women had earned the respect of the fieldworkers by doing The primary obstacle for government programs much of the carrying and hauling of sand, cement, to be more participatory is the standard government and other supplies to the spring capture when the system for planning, transferring, and accounting water system was put into place. In that situation, for funds. Government personnel do not have the had the outside facilitator or the community waited time, authority, or resources to make changes to until more men were present, the system might the overall design plans or to available resources. never have been built. Worse still, a delay in the government system often means waiting a year for the next fiscal year. All Limitations of Government Programs these factors mitigate against government staff being able to take time to facilitate local decision- In principle, the community-based approaches making and confidence building. They also result used by the two NGOs and the government are in a slow process (typically eighteen to twenty-four similar. The government follows a bottom-up plan- months from the initial request from the village to ning process whereby village development councils actual construction of the water system). In contrast identify and prioritize community needs, develop NGO programs, may be lengthier in the initial stages, action plans, and specify resource requirements. but the overall time required is substantially shorter. These plans are then progressively consolidated and passed up through a series of planning and budgetng One other area wvhere NGO programs have proved meetings to the central level. If approved, funds are more successful is in working in "difficult areas," usually made available fifteen months after sub- (i.e., with more remote communities, communities mission by the village development council. that previously had shown little initiative, or com- munities who were less cooperative). These types In practice, however, the government programs of communities generally require more lengthy and lack sufficient, well-qualified fieldworkers to facilitate personal interaction with the fieldworkers. the needs of the identification and planning process. As a result, decisions are often made in a nonpartici- Positive Role of Government patory manner and represent the interests of the village leader or a small group of power holders. Despite the above limitations of government programs, there are several ways in which government With these field staff shortages, government can support a community-based approach to water fieldworkers usually have to cover many more supply. First, government funds can be used to communities than the field officers of either CARE give comrnunities more control over the work. In or Dian Desa. Thus, they cannot make the frequent one district in South Sulawesi, for example, the 72 Participation in Practice planning board had made the village level cofmittee to appropriate resources. Their understanding of gov- "prcectmanager,"to supevise the contractor working emment regulations, special programs (e.g., for poor mn the water system construction. The reults were communities, and for village infrastructure) can good. The planning board was exping to earmark attract additional resources. They can devise reporting additional finds to use in the same way m the fiture. and accounting systems that are easy enough for village committees to handle while complying with Local government has a particularly Important ag's'~' role to play in community-based approaches. Their government requits. Finally, the association of creative use of resources can speed up the provision distnct level government (particularly the district head of supplies to villages that are ready to maintain and the district planning board) with community and improve their water systems. Their advocacy management programs, fieldworkers, and supervisors at the provincial level can increase their own access can ease entry into new subdistricts and villages. Community Participation in Waste Management in the Kathmandu Valley, Nepal Stephen Stern' Background Since the end of durct GTZ support, the SWM- RMC and municipalities have failed to sort out their There is a serious and growing problem of responsibilities and with the waste problem becoming poor sanitation management in the Kathmandu increasingly evident to both local people and econo- Valley of Nepal. Uncollected waste lies scattered mically crucial tourists, public concern has led inside communities and along footpaths. In the businesses, communities, and NGOs to put pressure absence of adequate dumpsites or landfills, municipal on government and to take action themselves. governments often sweep garbage into roadside The World Bank's Metropolitan Environmental drains. The Department of Water and Sewerage Improvement Program (MEIP) has been operating may then move the garbage back onto the road, in the Kadumandu Valley since late 1993 to support which the Department of Roads will then gather the coordination of environmental activities. Working into mounds beside the road to dry and disperse. with the national government-led interagency What doesn't sit and rot on roads or in community Urban Environmental Management Committee open spaces finds its way into the holy rivers or (UEMC), MEIP carries out a program of activities at ponds of the valley-a major source of clogging, the strategic (policy and investment) and communty flooding, and disease. (demonstration project and awareness) levels. With support from the SIDA participation The valley has seen a rapid growth of its urban fdth MEp prom tae A o artproj area; tis pral ha ovrwhlme thetraitinal fund, the MEIP program started a one-year project areas; this sprawl has overwhelmed the traditional to test a participatory action planning approach to Guthi (trust) system of using land revenues to waste management in three wards of Kathmandu. finance community welfare and ritual activities. A The objective was to test processes through which 1980s GTZ-funded solid waste management project communities would express their developmental made sone progress in establishing a garbage collec- and environmental needs, develop community- tion system and set up a national Solid Waste based environmental action plans, and take part in Management and Resource Mobilization Center (SWM- the Bank's project formulation and implementa- RMC). But these activities further undermined tra- tion. The three wards selected for this project were one with (a) a largely Tibetan refugee population dsional systems; they replaced household rpasments and significant environmental problems associated sweeper castes with unclearly delineated responsi- with their carpet factories; (b) a large market area, bilities for collection, bansfer, and disposal of wastes whose surroundings had become urbanized in the by SWM-RMC and municipalities. last decade with a large floating population seeking I This is a sunray of the original paper by this author. 74 Participation in Practice daily wage labor, and (c) another ward that included a place. The communities resisted the project team's wealthy residential district and a densely populated suggestion of starting with a baseline survey of Bazaar with a large population of low income environmental conditions and practices. The com- residents. All three wards faced multiple problems munities argued instead for an early demonstration from lack of waste collection and management. of useful actions by ward, municipality, and govern- ment to overcome the mistrust that had been Building Consensus and Confidence among generated by previous government and externally the Partners assisted waste management efforts. The project team-consisting of a community Some community members urged government to development specialist from the NGO sector, a get new contributions from donors, as they had from sanitaLy engmeer, and three women social scientists- GTZ. Others argued that elimination of traditional began by approaching the ward chairpersons to seek service charges and dependence on donors had been a their cooperation for a communitybased project. mistake. These discussions brought rough agreement Officials in the three wards vigorously described their that ward-level action should be taken, based on constraints to waste management, stemming from community participation in decisionmaking, imple- lack of municipal disposal sites and equipment mentation, and monitoring. failures. After protracted discussions with the MEIP team, ward officers decided that, even though muni- The project team then facilitated a further cipal action would not be immndiately forthcoming, round of meetings, focusing on the capacity and much could be done at the ward level to improve local commitment of the various partners (central and waste management, and for that, community involve- municipal government, ward officials, CBOs, and ment was essential. communities) and on the history of nistrust between them. Subsequent meetings were set up The leaders of two wards identified Community- where these different partners laid out the major Based Organizations (CBOs) who had taken some problems of waste management in the valley. waste management initiatives in the past to become These problems included the practice of throwing partners in working with the wider community. waste in streets and drains; open burning of The third ward was characterized by problems of garbage; inaccessible unpaved roads prone to political differences between the ward officials, the clogging and flooding; indiscriminate waste disposal municipality and relevant CBOs; thus, a partnership by factories, markets, vendors, and restaurants; lack approach was prohibited. Ultimately, the project of organized dumpsites, physical facilities, and equip- team found an influential temple social worker in ment; and irregular municipal and ward services. the ward who was able to identify community members who could discuss waste management At this stage, it was felt premature to mention with ward officials. The ward in tum mobilized commit- the role of the World Bank and SIDA, because tees of commnunity members from the Bazaar section, such disclosure may have raised expectations and including a newly formed women's organization. reinforced any patterns of dependency. A World Bank staff member, on making an early visit to the With initial partners identified, the project project sites, was identified only as a free-lance team facilitated meetings among CBOs, community urban development specialist. members, and ward officials to discuss the project. In these first meetings, community members and The wards then initiated the formation of CBOs blasted ward, municipality, and government working committees, based on the established CBOs for the dysfunctional solid waste management and the newly formed groups, to be focal points of system. Ward members countered with criticisms community involvement. It was decided that some of community disregard for proper disposal of street and open space cleaning would not only wastes and lack of participation in the limited make visible impact on the waste problem, but waste collection and street cleaning that did take would also sensitize the communities about the Community Participation in Waste Management in the Kathmandu Valley, Nepal 75 need for their broader involvement. These cleanup ac- in each community, and a scavenger subdealer was tivities included dooro-Udoor colectiom ofwaste, a spe- identified in one of the wards. Composting organic cial cleanup on Lord Buddha's birdlay, and addtional wastes was keenly supported, but lack of available community-provided incentives to street sweepers. land was a limitation. The CBOs in the third ward agreed to campaign for caposing in private yards The working committees were now open to the as part of a "greening the locality"effort. project team's argument that without reliable base- line data on the current waste situation, it would be The ward conmitee gave functional authori- impossible to develop a practical and cooperative zation to each of the partner CBOs to operate solid approach to waste mnanagement. The team and waste managemert programs in their commnunities. committees prepared questionnaires on the critical They also obtained municipal approval for CBOs to information required, and volunteers were recruited collect fees and generate incomes from wastes. Ward from the communities and given day-long training budget was set aside in each of the communities as on how to conduct the survey. a contribution to the project. Service chaqes for CBO-led waste collection were discussed, and the Survey and Action Planning Workshops potential generation of income from recyclables was identified as a means for financing ward-level waste The surveys included consultations with house- management in the long term. holds, restaurants, factories and organizations, as well as nmasuremts of waste characteristics and waste Katmandu municipality (although rergnizing management practices, over a four-day period. Across its sanitation department and without a permanent the wards it was found that up to 85 percent of dumpsite in the valley) offered to use its waste the waste was either recyclable or compostable; transfer equipment to assist in taking ward wastes nevertheless, as much as half or more of the wastes to temporary sites. It emphasized, however, that had been indiscriminately dumped. Households some delays were inevitable due to the lack of space accounted for 45 percent of the waste, businesses and because ofthe environmental hazards of dumping. 52 percent, and organizations 3 percent. The volun- teers who conducted the surveys became a new cadre Local-Level Actions of residents to work with the CBOs and ward on project implementation. They also created a new In order to better prepare communities for their focus of community pressure to keep the project role in local-level waste management, a training moving forward. program was set up by the project team. A team of trainers with experience in community work and A series of ward level workshops was held to technology transfer first trained the CBOs as com- disseminate the baseline information and formulate munity trainers. Then they advised as the CBOs action plans. The workshops took up the questions trained their communities in compost making and of responsibilities of ward and CBOs; feasibility of use; waste separation; and production of products composting at the ward level; the sorting and sale from recycled paper. In addition, women-led CBOs of recyclables to dealers; issues beyond the scope (who play leading roles in two of the wards) were of ward-level action; how to approach municipali- given week-long training in organizational manage- ties and Ministry of Local Development; required ment, accounting and bookkeeping, fund raising, equipment and fund mobilization; and community networking, and conflict resolution. response to the initial activities undertaken. In each of the wards, tripartite agreements were A waste collection plan was drawn up by each drawn up between the ward, the CBOs, and MEIP. ward. Tricycles and pushcarts were identified as a They set down the financial contribution of each more cost-effective and nonpolluting alternative to ward during the project year and the financial tractor or truck collection of waste. There was also expectations from the wards and the CBOs after agreement to take up collection and sale of recyclables external support ended. The agreements were widely 76 Participation in Practice disseminated in the communities. At the same time, and recyclables sold increased sharply, although project information and decisions were refined and the absolute amounts were still a small proportion communicatthrough small group and mass meetings, of the total compostables and recyclables in the houseto-house visits, and public information boards. commnunities. However, even these marginal increases led to a significant decrease (between 10 percent to The specific activities set in place in each ward 30 percent) in the volume of residual waste needing included provision of disposal containers for shops disposal. To properly dispose of the residuals now and public areas; restrictions on dumping; door-to- being collected at the ward level, the next steps door collections with MEIP-provided tricycles and indicated were an additional reduction in the volume handcarts; sale of buckets for organic and nonorganic of residual wastes by further development of recycling wastes to households; sale of recyclables to scavenger and composting activities and a strngteing of the dealers; a dmonstration conmmunity compostng plot; institutional capacity of ward, municipality, and conversion of a dumpsite into a community park national government. and garden; and establishment of a revolving fund to pay sweepers and maintain equipment. Lessons Learned The impact of the action programs were assessed The following lessons about achievements and through surveys of the ward officers and CBOs. Th obstacles to sustainability can be drawn from this assessment also drew on community focus group participation project: discussions and quantitative measurement of waste and Comparison with the baseline survey. The ward y The ward and CBO relationslup was the crucial officers surveyed found their CBO counterparts to be builiing blockfor wide comunity inrvohement. effective and innovative, to have increased public awareness and pressure on the wards, and to have Poor relatons between eected officials and infornal made ward work easier through CBO supervision of community leaders in Asian urban neighborhoods is the projects. Wards expressed a strong desire to nmitlati often a stumbling block to community-development the CBO and ward relationship and to deepen the efforts. In this project, a strong emphasis was placed involvement of other waste management partners. on bringing together community activists, CBO leaders, 'MeC scited improved relationships with and ward officials, and pooling their experience in the CBOs ted ion with waste management and community organization. Stnuc- the ward and their satisfaction with the regular ,tue failitation turned their estrangement andi conflict waste collection practices that had grown from into mutualrecognition of problems and potentials. extensive discussions and community participation. The CBOs felt that the unpaid volunteer nature of their mnembers' involvement was a potental constraint "blupraint, entong cnity ofeersina on ~ usanbit. "blueprint, '"led to strong commuwuiCy ownership. On sustainablity. The conmunity focus groups were appreciative The project team put on the table their vision of area cleanups, regular waste collection, and the of a learning process that began with baseline start made on composting and paper-sorting activities. surveys of the waste and sanitation conditions. In There was strong support for continued CBO the face of strong "not another donor-funded study" leadership in these areas. More than 80 percent response frorn ward, CBOs, and community alike, the expressed willingness to pay service charges to see team instead assisted the working committees to the activities continued. implement test cleanup activities. These good faith project works jump-started community interest in The quantitative waste measurements found the project and the survey work then became a key that up to 90 percent or more of the waste that had manifestation of community belief in the project been indiscriminately dumped in the communities and a vehicle for increasing communitywide partici- was now collected. The amnount of waste composted pation in the activities. Community Participation in Waste Management in the Kathmandu Valley, Nepal 77 Project-developed, cost-sharing mechanisms the lack of services) with ward officials (overwhelmed are crucialfor sustainabiliy. by the lack of support and resources to deliver ser- vices). While these partnerships were able to achieve During the year of project operations, the significant results, further action was severely limited World Bank and SIDA participation fund was by the tenuousness of project links to municipal and matched by ward and community-generated funds national government actions. In particular, more Sources of these ward-level funds included ward progress on recycling and composting-as well as waste management budgets; service charges for actions to address concerns about paving, drainage, CBO-organized waste collection from households, and sanitation- will require more technical and finan- shops, and organizations; and community-specific cial resources than are available at the ward and project vehicle tariffs, fees for waste containers, revolving level; it will also require strong municipal commitment. funds to pay sweepers, membership fees from "greening the locality" efforts, and proceeds from the sale of recyclables. * Facilitation of local institution building is an importantfocusfor donor and localpartnershups. An analysis of the financial commitment to the The presence of MEIP-and its links to the project shows that MEIP (through the World Bank- World Bank, goverment agencies, and the NGO SIDA find) contributed US$14,300 for equipmen sector--was crucial in facilitating these com- materials, meeting, survey, and training costs. The m p t CBOs and wards generated US$25,700 for equipmnnt, mumty parictpation tests, even while larger poldcy materials, and paid sweeper labor. The costs in salary a cmunt poets h eprided a demonst for the MEIP project team were US$15,400 paid by thatw pect tove repiced instw on the World Bank-SIDA fund. A conservative estimate Of the value of community volunteer and CBO labor supported investment projects in Nepal. However, (at US$60 per month) is US$5,760. Thus, the total these projects have been delayed or postponed. (atEUS$60 saews4permo eth)nis US$5,76n the o ttota b Momentum for further action is still being main- Mward sar wasmuniti percent.andhecotr tained at the ward level, but MEIP's facilitation and support must not be regarded as a substitute Commitments of resources have been made by for municipal and governent action. ward officers to carry the project beyond the time of external fiuding. The collection of service charges As an approach to the provision of sustainable and the selling of properly sorted wastes under rural household water supply community management CBO leadership are the foundations of long-term holds much merit. Nevertheless, it is no more "fad cost recovery and sustainability of these ward- proof " in its results than other approaches. If rea- level waste management schemes. sonably and consistently applied, however, it holds great potential for effective, efficient, and sustainable * Bottom-up community initiatives must ulti- improvements in rural household water supply. At the mately link with decisions on systemwide same time, evidence exists that thls approach provides waste management. an opportunity for community and individual empow- The project's essential ward level partnerships were erment through new skills of management problemn forged by linking community members (frustrated by solving that promote self-reliance and self-respect. 32: Farmers' Participation in National Irrigation Systems in the Philippines NIACONSULLT Background hectares with some thirty or more farmers; (b) the secondary level, which delivers water to the tum- In the Philippines the irrigation development outs; and (c) the primary level, consisting of the program of the government is planned and imple- facilities for drawing water from the source and the mented by the National Irrigation Administration main canals that feed water to the secondary level. (NIA), a semiautonomous govemment agency estab- When the govemment built the first national irriga- lished in 1964. NIA plans, constructs, and manages tion system, it established a policy that the construction the national irrigation systems of the govemment and management of the tertiary level is the responsi- and collects irrigation service fees from the farmers bility of farmers and the secondary and primary levels served by these systems. NIA also works with are the responsibility of the governnent. farmers to plan, construct, and improve communal irrigation systems owned (or to be owned) by Farmer participation in NIA national systems fanners' groups. In general, national systems are can be considered both a means and an end. It is a larger than 1,000 hectares in service area, while means for improving relations with farmers and communal systems are smaller. NIA has always achieving financial viability for NIA through im- considered irrigation associations (LAs) essential in proved collection of irrigation fees and lower both national and communal systems because of operation and maintenance (O&M) costs. It is also the complex and interrelated tasks involved in an end in itself, because participation has strengtheed irrigation system management-including water farmers' leadership and organizational capacity and distribution, system maintenance, conflict manage- given them experience in group planning, decision- ment, and resource mobilization. Over time this em- making, and implementation of irrigation system phasis led to various forms of farmer participation O&M activities. Thus farmers contribute to the in irrigation development. This paper analyzes the national policy of people's empowerment. "what," "why," and "how" of farmers' participation in the national systems, examines the role of the In the first fifteen years of its existence, NLA World Bank, and discusses the lessons learned. used agricultural extension methods to organize farmers into groups for channeling credit and Management of an irrigation system involves agricultural inputs. Under this approach, farmers at least the following three levels: (a) the tertiary were organized after construction of irrigation level of turnout service area, covering up to fifty facilities had been completed. It was thought that This is a summary of the original paper by Benjamin Bagadion and Ted I. Ehera with the assistance of Efren Rabacal, Aquilina Mandoza and other memnbers of the NIACONSULT research team. 80 Participation in Practice the provision of credit and agricultural inputs The farmers discussed and agreed with engineers on would be sufficient incentive for farmers to orga- the locations of turnouts and farm ditches, and then, nize themselves to construct and maintain farm as a way of developing cooperation and decision- ditches and manage water equitably. This was essen- making within the groups, each group was awarded a tially a 'top-down"approach to motivating farmers to construction contract for those canals that could be organize. Meetings were held with farmers at the built manually. As construction progressed, the COs tunout levels, and information sharing and consul- helped the small groups organize into three zone tation procedures were used. There were considerable associations. In this form, the farmers could better problens with this approach. The organized groups negotiate with NIA about how the O&M responsibi'i- tended to break down because the incentives to ties were to be shared. They could also decide better organize were insufficient. The groups were not how the irrigation fees collected could be shared able to sustain any responsibility for maintaining between NIA and the associations. the irrigation systems. Also, as the annual fee collection was only about 30 percent of annual In mid-1982 the three zone associations invited billings, this income could not cover the O&M NMA top management for negotiations on a proposal costs of the systems. At the same time, farmers felt prepared by the associations to take over O&M in irrigation was the responsibility of the government, the service areas of their organizations. Nothing and they did not need to participate in this public like this had happened before in the history of the work, just as they did not need to participate in national systems. Previously, NIA had been exhorting constructing roads, bridges, or schools. farmers, through various "top-down" methods, to have them assume O&M responsibilities at the Later, when this "extension-based" approach tertiary level. Now it was the reverse. Farmers was seen to have limited success, NIA tried a new were initiating action to take responsibility not only approach that had been tested successfully two years at the turnout level but at the secondary level too. before in communal irrigation projects. In this In response, the NIA Assistant Administrator for "conmuunals-based" approach, farmers were organized Operations went to the project site. Negotiations before the construction of irrigation facilities, and the lasted for two days. The final agreement was that planning and construction activities were used to NIA would be responsible for the diversion dam mobilize the farmers and develop leadership. and the first 1.5 kilometers of the main canal. The three associations were responsible for the rest of Sharing Responsibility with Farmers the main canal and the irrigation facilities in each of their areas. A system of irrigation fees sharing In Decenber 1980, NIA top management applied was also agreed upon-each association would the cornmunals-based approach to organizing farmers collect the fees under NIA supervision. The first 50 in the Buhi-Lalo Irrigation Project, a national system percent of the fees to be collected each season to be improved and expanded from 1,000 to 3,000 would be split 35:65 between the association and hectares. Community organizers (CO) were recruited NIA. Any additional fees collected would be split to organize famners to take responsibility for O&M of 65:35. NA also provided the associations with train- the irrigation system-not only at the tertiary level ing in system management and financial management. but also the secondary level, as authorized in NMA's amended charter. The COs modified the participatory With the successful application of the partici- approach of the conmnunal systems. They lived in the patory approach in the Buhi-Lalo project, NIA villages, mixed with the fanners, and startd mobilizing decided in 1982 to follow this approach in the farmers into small groups based on turnout service preexisting Bank-financed National Irrigation Systems areas. In this work, the COs contacted farmers Improvement Project 1 and 2 (NISIP). A central individually to spot potential leaders and identify group of staff committed to development of par- irigation problems and issues around which to ticipatory procedures was established in NIA to mobiie the farmers. Each of the smafl groups spearhead an Irrigation Community Organizing became a construction unit with a group leader. Program and additional COs and supervising staff Farmers'Participation in National Irrigation Systems in the Philippines 81 were recruited and trained. The irrigation super- support NIA, the Bank had no role in the initial intendents and their technical staff were also trained in development of participatory approaches in the how to respond appropriately to fanmer participation. communal and national systems. Rather, some of During the expansion of the participatory approach in the irrigation projects supported by the Bank in the the national systems, NIA also developed a process Philippines included NIA's participatory approach, for training farmers as fanmer irrgation orgniizers namely the Communal Irrigation Development Proj- (FIOs). Their goal was to encourage farmers to ects 1 and 2 (CIDP) and the Irrigation Operation organize and participate in the improvement of their Support Projects 1 and 2 (IOSP), as well as the earlier irrigation systems. The irrigation associations thus NISIP projects. The participatory component (i.e., fomied were governed by the farmers, who decided on irrigation association development component to the constitution, rules and regulations of these associa- support farner participation activities) supported by tions. The associations were also given legal status; the Bank loans has typically been 5 percent of the they were registered with the government and allowed total Bank loan to the project as a whole. to do business with the government and other bodies. World Bank support for these participatory The transfer of the participatory approach of the components has produced both positive and negative communal systems to the national systems was by no impacts. On the one hand, the Bank's support for means immediate or complete. Some seven to nine finner participation activities in the communal systems months of farner orgauizing and preparation were increased the credibility of this participatory approach required to ensure well-functioning groups and in the eyes of other outside institutions. One of these successful NMA-fanner negotiations on shared O&M observers, the Asian Development Bank, later added responsibility. Training had to be provided to NIA its support for the participatory approach in its loans. technical staff, COs, and farmers. This was a lengthy Similarly, the Bank's inclusion of irrigation associa- and costly process with no financial resources tion development component in the design of IOSP 1 available. Transfer of O&M responsibility vaned made possible the grant from USAID for the from (a) farmers being responsible for canal mainte- nationwide expansion of the participatory program in nance and water distribution only; to (b) farmers the national systems. being responsible for water distribution and collection of irrigation fees; to (c) full transfer of responsibility On the other hand, the IA support in CIDP 1 for O&M to farmers. and IOSP 1 turned out to be less than helpful operationally. While NIA's participatory programs One problem that hampered the expansion of the had involved careful sequencing of a set of participatory approach was that in some instances, interconnected activities, (including recruitment and handing over responsibility for O&M to famners training of COs; organization of LAs and consulta- displaced ditchtenders and water masters. In these tions and agreements with lAs prior to construc- cases, NIA tried to transfer or retire these individuals, tion; training of lAs at various points in the but this was not always possible. In 1985, the development process and their registration; and Assistant Adminstrator, who initiated the partici- turnover of O&M responsibilities to organized lAs patory approach in the national systems, retired. The through negotiated NIA-IA contract), the IA interest of NIA top management in this program components of CIDP 1 and IOSP 1 supported only decreased, and the policy changed to one of shanng some of these features. An important omission was responsibility of O&M with farmers only after the lack of specific provisions for the salaries and ditchtenders had retired. per diems of the COs (the projects supported only their training). As these community organizers Role of the World Bank played a key critical role in promoting farmer participation in the planning and construction of The World Bank has played a leading investment subprojects, this lack of provision for their salaries role in the Philippines' irrigation sector. However, contributed to the low implementation rate of while the Bank provides loans to the government to subprojects. This in turn was a contributing factor 82 Participation in Practice in the low level of success for the overall project requiring participation, and (b) an unwavering com- and almost half of the Bank loan had to be mnitment by the highest management level to the canceled and the project closing dates extended implemnentation of these policies. These standards are three times. The CO salary problem was rectified necessary because introducing farmers' participation in CIDP 2 where salaries, per diem and supplies of requires change, and change is always resisted by COs and their supervisors were covered. those who fear it will make work more difficult, or who feel that they know best what is good for the Another problem arose from the emphasis, in farmer, or who are content with routine and not IOSP 1, on targeted increases both in the annual receptive to change. In NIA this change had to be funding levels of O&M expenses NIA had to incur supported by the NIA Administrator. Pressure exerted and the total amount of irrigation service fees it by fnrmers on an agency whose leadership is indif- was to collect annually. Consequently, it under- ferent has often been counterproductive. mined NIA's earlier concepts of not only the turning over of responsibilities to organizcd lAs and the Promnoting fiamer participation requires continuous sharing of fees (so-called Stage n1 contracts) but also motivation of irrigation agency personnel. For this the complete turnover of irrigation systems to IAs requirement, each national systemn and each provincial (Stage Im contracts). As the project targets could and regional office of NIA was given responsibility not be met with Stage II and Stage III programs for the financial viability of the system or office. which assumed that NIA would reduce both its Financial viability was made a primary measure of income and expenditures by delegating greater p a with commensurate rewards. This stategy authority to the lAs, the Stage II contracts were generated strong motivation for NIA personnel to split into separate canal cleaning and fee collection continuously promote farmer participation and to contracts, and Stage III contracts were deliberately lower O&M costs and increase fee collection. discouraged. Thus, the Bank-financed IOSP I project has weakened NIA's earlier participatory For the World Bank, the same incentives and programs and reduced farmer's participation from policies must be in place to encourage staff to adopt broader O&M managerial experience to more participatory approaches. While staff performance is narrowly defined tasks. measured by the number of loans approved rather tman the success of the projects, and while there is no lessons Learned clear mandate and policy statement on participation from the Board, there will be resistance by some Bank The NIA experience in farmer participation has staff to the adoption of participatory approaches. proven to be beneficial for the farrers and the NIA. In fact, irrigation systems where farmers are respon- Still, the experience of the Bank in supporting sible for O&M perform better in size of dry season NIA's participatory programs demonstrates its benefited area and amount of irrigation fees collected. capacity to support farmers' participation under They also had lower O&M costs per hectare. favorable conditions-in this case, where the imple- menting agency (NIA) had had years of experience Two basic requirements for fostering farmer par- in planning and implementing participatory pro- ticipation are (a) the development of an effective policy grams even before Bank support. Popular Participation in Brazil: Northeast Rural Development Program Conrad Kottak, Alberto Costa, Rosane Prado' Background water supply, exceeded targets; others were delayed. At midterm only 25 percent of total costs had been Development assistance for the rural poor of expended, rather than 58 percent as expected. From the Brazilian Northeast has been a focus of World a design viewpoint, the program was thought to be Bank lending since the mid-1970s. The latest performing poorly because it lacked sufficient em- generation of projects began in 1986, but results phasis on beneficiary participation. Implementation were disappointing due in part to the absence of problems included erratic counterpart funding and local community participation. After a midterm top-down project administration by a technical staff review highlighted these problems, the program that beneficiaries perceived as ineffective and remote. was reformulated to emphasize beneficiary partici- pation in identification, preparation, and implemen- The reformulated NRDP attempts to resolve tation of projects. The reformulated Northeast these problems by reallocating loan funds to three Rural Development Program (NRDP) began in tesof activites. First is tea FMAC pilot program- 1993. It comprises rural development lending that typesal FundtoSt RuraCo ties --- taretsthusadsof ura fmilesin ten states in Municipal Fund to Support Rural Communities - targets thousands of rural families as i odeled after the Mexican Solidaridad experience; the Brazilian Northeast. The original NRDP was it is being implemented in selected municipalities in created by the Brazilian goverment mi 1985 with each state. FUMAC mandates the formation of Bank assistance to (a) augment agricultural pro- municipal councils to elicit, evaluate, and recommend duction, (b) increase employment for low-income d o s families, and (c) promote water resource development community-based development projects to state to reduce small farmer vulnerability to drought. tfical units. FUMAC also explores altepative The NRDP originally had five components imple- fiscal mechanisms as a means of increaing popu- mented by state-level technical units linked to state lar participation in development planning. The Planning or Agricuural Secretariats. The components second type of activity is PAC projects. They were (a) water resources development, including consist of small community grants for a range of irrigation; (b) agricultural research and rural ex- productive, infrastructural and social projects. tension; (c) agricultural credit for crop and livestock They are planned and implemented by beneficiary investments; (d) marketing services and training; and organizations, and they require local cost sharirng. (e) support to small rural communities for beneficiary The third component, subprojects, includes a few group mobilization and small-scale community- larger scale investments; they involved small managedproductiveandinfiatructulinvestments. farmers from several communities, and they are managed by apex beneficiary organizations. ThiS By 1991, the NRDP program lagged, with uneven activity is a residual component from the earlier implementation. Some components, such as rural project format. It includes only those subprojects 1 This is a summary of the original paper by these authors. 84 Participation in Practice where preparation is well advanced or where Northeast Brazil. The study aimed at identifying implementation has started. As the reformulated factors that foster or impede successful participatory NRDP has been implemented, the number of sub- developnent in this part of Brazil. A baseline survey projects in the pipeline has been significantly of twenty-four municipalities and commnunities within reduced because the technical units have concluded the project area was conducted in 1993 and a subse- that PAC and FUMAC are better ways of allocating quent detailed study of eleven municipalities was project funds. completed in early 1994. These eleven case studies used a range of social research methods, including States are to supply 40 percent of counterpart participant observation and survey techniques. Each financing, including 10 percent to 20 percent from case study included meetings and semistructured benefiting farmers. For the FUMAC program, muni- interviews with key officials and participants. The cipalities will also share some of the costs. Under the study included 120 interviews with association presi- new terms of the program, beneficiary groups may dents and local leaders, and 440 structured interviews select from a menu of investment options, using funds with community members. A wide range of kcal giups provided by the program to contract services and werevi vsited, including associations, cooperatives, labor technical assistance. They may choose from state unions, youth groups, and mothers' clubs. The eleven agencies, nongovernmental organizations, and private sites included municipalities where PAC or FUMAC firms, and they can terminate agreements with groups components of the program were planned, as well as or agencies that do not perform. municipalities where subprojects had already started. Although the Bank took the initiative in pro- Main Findings of the Study posing the program's reorientation, the Brazilian government and the concemed states agreed strongly The following lessons emerged from the study; that the NRDP needed refomiulation. Given Brazil's the lessons concem the nature and sociopolitical fiscal difficulties and macroeconomic instability, the context of participatory development in Northeast borrower even considered canceling the program Brazil, and the World Bank's role in supporting unless a more cost-effective approach to poverty participatory approaches in this area of the country. alleviation could be found. The Bank discussed the reformulated approach with the Brazilian counter- Politics and Elites parts, and the govemment welcomed its participatory features because they seemed to fit with a growing Recurrent scandals about corruption have fueled national sentiment for transparency, accountability, massive distrust of politics in Brazil. The citizens decentralization, and giving power and control to the have generalized their suspicion to the entire class of people. This sentiment grew with the demilitarization politicians and they have adopted the view that power of the Brazilian government in the mid-1980s. corrupts. This view almost always emerged in discus- Reaction to the NRDP reformulation was so favorable sions about community associations. Informants con- that the financially weak Northeastem state govern- sistently singled out political manipulation as the main ments agreed to share the costs; they sacrificed other problem confronting associations and cooperatives. projects and programs to accommodate this program According to the association presidents interviewed, in their budgets. The revised program, and especially politics now revolve around the issue of associations. the FUMAC cmponent, had a promising start in most They feared that projects would be manipulated for states. Initial difficulties were fewer than expected and the political ends of various interest groups. states and municipalities proved willing to make Northeastem towns are typically split into (at least) corrections. There is a high probability that FUMAC two factions, one in power and the other out. Thus, will succeed and eventually dominate the program. rivals suspect and accuse each other of using associations for personal political ends, such as This paper reports on a study of popular par- obtaining benefits in exchange for votes or using ticipation in the reformulated NRDP and other new organizational opportunities to challenge recent participatory development experiences in existing authority. Popular Participation in Brazil 85 On the one hand, politicians can and do use their rights. They see these organizations as a associations for their own polihcal goals. Politicians means of mobilization, not necessarily for self- may portray thimselves as the benefactors of an management. They recognize that poverty prevents association, attempting to convert its membership these communities from ending their dependence into a network of personal supporters and repro- on external support or exempting the state or elites ducing clientship patterns of the past. The creation from their responsibilities. In this way, the success of an association can be considered a favor, and it criteria for associations that community leaders is common to hear that a politician helped found an strive for work in opposition to the intended political association or assisted with its papers or legal manfipulation of the associations by traditional elites. work. On the other hand, although most of them do not bring it up, many leaders of community as- The Local Level sociations are planning political careers of their own. Some of these leaders have been coopted by Participatory projects are implemented at the traditional politicians, either as ward captains or as local level. Here they involve local politicians eventual candidates for some office. The prevalent whose political interests and arena of action they opinion is that association leaders are seeking to often interfere. This means that high-level political win the support of their members for future political support for a participatory approach is not enough. gain. It is not the rule, but association presidents Officials at a lower level may support a project who eventually pursue political careers may end up because they think they can get something from it, following the example of traditional politicians, or they may oppose it because they think it may attempting to convert their association into an harm their interests. Sometimes local opposition is electoral base. extreme. One municipal boss who vigorously opposes participatory projects got rich as a middleman; he felt The ris oftecmupe soiainan rsonaill threatened by the formation of a local important political actor has produced two dstct pe y y reactions; they depend on the position that each associton whose goal was to regulate the sale of poecal group has occupied on the poitical order- local products at the expense of the middlemen. He poitca gru ha ocupe ine the politicale ordercato; hnhta old or new elites. The newly emerging elites regard tred to ifiltrate th associton; when ta was asso.muons as the best .mm they have of reduc' unsuccessful, he accused the association of being associations as the bestmeanstheig linked to the leftist Workers' Party, hoping to stir the power of btaditionally dominant groups. For these u state-level oposition and reduce the flow of new elites, the development of civic consciousness up stathe ppojet.os invoked a cowuof .. . . .... . . ~~resources to the projec. The boss invoked a communist and the idea of citizenship as active participation .m threat at the state level. He claimed that the reform community affairs are keys to chaning the political nm marketing was a mere precursor to the real goal system. The growth and success of onunuity asso- of agrarian reform, including land redistribution. catbons rely on the support of these new elites. And, while the traditional elites are widely regarded as the main opponents of social change, with th m t Using Existing Social Organization lose from increased civic consciousness and organized Cross-culturally, it has been found that local popular participation, some of these traditional elites gross-tend it effe en based on or support the associative model for the wrong reasons groups tend to be most effective when based on or They use it as a means of eschewing responsibility for clearly related to traditional social organization. De- solving the social and economic problems ofethose spite Northeastem Brazil's long and predominant they have dominated and exploited, history of vertical social ties based on stratification, patemalism, dependency and cientship, some areas Alongside these reactions by the elite groups also contain traditional forms of collective organi- are the expectations of the more enlightened local zation and mobilization. The traditional collective leaders that community organizations and local forms of the Brazilian northeast include mutirdo leadership will raise people's awareness of their (work groups formed, for example to repair a rights and will mobilize the community to claim bridge or for mutual aid at harvest time), peasant 86 Participation in Practice leagues, labor movements and cooperatives. Par- (d) a lack of renewal of the leadership structure, ticipatory development projects are helping to revive which saps the energy of association presidents; this collectivist tradition, which is popular and (e) in some cases, use of the association to launch antielite. Participatory projects seem most likely to m leader's of theer; succeed in communities that have previously been organized and whose local people are aware of (f) in many cases, control of associations by tradi- their obligations toward associations. Without some tional politicians who use associations to advance organizational base in the community, projects are their personal interests; and unlikely to succeed, and without financial support for (g) centaization of decisionmaking and the existence projects, associations will not grow. of nondemocratic practices within the associaton. Government and NGOs Besides actual, suspected, or feared political manipulation, the two problems that leaders of In Brazil, NGOs have played an important role community associations most often mentioned were in pressuring the government to adopt participatory (a) precarious financial support for the association, development approaches. But some NGOs have and (b) members' lack of participation, commitment, contributed to a confrontational atmosphere; thus and loyalty to the group. The leaders view these two they have created obstacles to their own effective problems as correlated, mutually reinforcing, and the participation in development activities. Still, plenty cause of many other problems. A belief shared by of examples were found of effective NGO-gov- association presidents and rural extension workers is emnment collaboration. NGOs were found to be that the low level of participation reflects a general most effective when they did not resist working lack of interest, which derives from a kind of social with the state and when they accepted working in a apathy that is seen as characterizing the collective limited area, with limited pragmatic goals. Less personality of Northeast Brazilians. Most of the successful NGOs have mainly idealistic long-range people interviewed defined the small rural producer, goals, such as raising civic consciousness as a artisan or fisherman/woman as trained by centuries means to change the political system. The most of domination to receive and owe all his or her effective NGOs usually share such idealistic goals, needs to a patron in a superior position. Associative but they are more practical and work-oriented, life is seen as a possible cure for this character undertaking capacity building and fund-raising to trait, by promoting a revolution in the habits, develop their own projects. customs, and psychology of the people. Formation and Maintenance of Local However, associations seem to face problems Organizations of low participation because of the prevailing idea that associations exist to bring specific benefits to Community associations and cooperatives in the community and to obtain the financing for the Brazilian Northeast face a series of common these benefits. In other words, people are moti- problems, including vated by the promise or possibility of immediate advantage, rather than the idea of the community (a) lack of funds to maintain self-sufficiency; as a basic social unit. Once they have obtained all they can for the moment, their interest fades and (b) lack of capacity, including technical and ac- the association weakens. This motivation creates counting skills that creates a dependence on another problem, the need for capacity building. external funding and support agencies; Most communities do not have the capacity to prepare, implement, and maintain the projects they (c) a low rate of participation and lack of aware- need. External technical assistance is unavoidable, ness among members of the association's nature and often the relation between an external entity and objectives; and the local association moves beyond support and Popular Participation in Brazil 87 becomes one of dependency. Sometimes the techni- leaders. When association leaders were asked cians and experts voluntarily assume positions of pow- about female participation, most supported it be- er and authority, but ofen they are endowed with these cause they considered that women have more time, responsibilities by the community they are serving. And show more interest, have better knowledge of local so, instead of encouraging feelings of self-reliance life, can follow through with specific tasks, and among the association members, capacity building above all, have a better understanding of the signi- can recreate relations of vertical dependency between ficance of associations. the association and the external support organizations. Many women do attend association meetings, A final point on the formation and maintenance usually because of the absence of their husbands. of local organizations is that successful associa- When this absence is temporary, the wife goes in tions rarely include the landless. They are associations the husband's place and represents him. Sometimes of small rural producers who have some control title to land is a prerequisite for participation, and over land, because they live either in resettlement land is more likely to be registered in a man's areas (where settlers often lack actual land titles) name than a woman's. Widows do inherit land or elsewhere (where the state has granted them titles, and when a husband is absent for an ex- secure access to land). Interestingly, associations tended period, the wife often becomes an active are generally strong in resettlement areas, because member in her own right. In some places, a crisis the farmers have already organized in the struggle in local production has led men to emigrate to to obtain land. Small producers with control over cities in search of employment. The wives of such land are relatively free of the coronelismo system emigrants are known as "widows of living hus- of bosses, they have a means of independent exis- bands," and their participation in associations can tence. People who rely on a coronel have less need be strong and effective. for associations, because the bosses, they think, look after their interests. The participation of young people in pro- ductive associations is very low. According to the Participation by Women and Young People leaders interviewed, young people are most likely to leave the community because of the severe T1he importance of rural women's work in the 1993-94 drought and the lack of land and jobs. Brazilian northeast is well documented, and in recent Many leaders also mentioned a general lack of years some NGOs, government agencies, and the interest among youths in serious community mat- Roman Catholic church have begun to target pro- ters, saying that soccer draws youths away from grams toward rural women. Still, the leaders and association activities. Despite these views, youths members of production-oriented associations tend to do not appear adverse to participation in group be men. Greater female participation was found in activities. In fact, two associations in one com- associations in fishing communities than in agri- munity had been formed by young people. The cultural communities. This trend may be due to the associations originally formed to organize carnival fact that fishermen spend much of their time at sea; celebrations; subsequently they were expanded to thus they minimize land-based activities and tend assume multiple functions. to have a lack of interest in community affairs. Therefore, men tend to delegate land-based collec- Funding Mechanisms tive activity to women. In general, women seem to perform better than men in multipurpose associa- When asked about which kind of funding tions. People commented that women have more of mechanisms they prefer, association presidents an associative mentality than do men. Certainly, drew a distinction between the optimal mechanisms the church seems to have an easier time organizing now (during a severe drought) and those that women (who tend to be more devout Roman Catho- would work best under better conditions. Grants lics than men), often in opposition to local political they said were best now, given the crisis in 88 Participation in Practice economic production-people have little money to including greater civic consciousness, group sustain- make repayments. But for less troubled timnes, grants ability, increased production, better diets, and in- pose problems. They felt that recipients can be- comes. However it must be recogized that as long as come addicted to charity, so they don't work hard the drought continues it will be difficult for people or take the project seriously. Ideally, these leaders to recognize improvement, and the different factors said, it is better to require some kind of repayment, that will contribute to a subsequent improvement in either in the form of labor, products or money. living conditions will be difficult to separate. Costs and Benefits of Popular Participation Lessons Learned The study examined some of the risks involved in The World Bank's Role in Promoting ecouraging community participation in the Brazilian Participation Northeast. As already mentioned, this part of the country is a society with centuries-old traditions of The study findings point to the importance of domination, clientship, and paternalism. Here sub- Bank staff being in the field to monitor the ordinates are accustomed to obtaining benefits as problems and limitations of the program. One favors from elite patrons. The elites, in turn, are reason why a strong and constant Bank field accustomed to distnbuting favors and benefiting fro presence is required in Northeaste Brazil is: the their distribution. To encourage popular participation is therefore to undermine this political system of mstitutions and agencies responsible for imple- interpersonal relationships based on loyalty and menting the programs lack legitimacy with the honor, as well as submission and violence. Such target population, given the perception of government nondemocratic traditions are on the wane throughout corruption. The association presidents interviewed the world, but this regional tradition is so strong that during the study wanted intensive supervision by the there are risks in opposing it. And, since this tradition Bank. They wanted Bank staff to keep government is so strong, supporting community associations may officials from neglecting or subverting the rules of the in fact risk reproducing the creation of new chiefs, project and to help make beneficiaries feel more re- godfathers, and bosses as leaders of the associa- tions. Leadership to promote democratic action and sponsible for implementation. con-sciousness may be reinterpreted as a favor by The study findings also suggest that the both leaders and followers. NGO leaders who strive to enhance the idea of citizenship and who oppose Bank may best support participation when it can traditional politicians may end up becoming pa- "buy into a good thing," not necessarily create it. trons and godfathers themselves. The reformulated NRDP is most likely to succeed where active local organizations already exist and The benefits of participatory development can where there is a favorable political climate for be evaluated over time. Various criteria can be used, participatory development. Ecuador: Campesino Participation in the National Rural Development Program Thomas Carroll' Background Many of the team members were experienced in rural development. Some had previous work The National Rural Development Program experience in rural NGOs. Social scientists were (PRONADER) in Ecuador is a large integrated included on the team. This composition helped in rural development (IRD) project. It costs a total of devising a participatory approach for the project; it US$112.7 million, of which the World Bank is is worth noting that the participatory elements contributing US$84 million. PRONADER is the were not pushed by the social scientists; rather latest in a series of externally funded IRD projects they were proposed or readily accepted by the in Ecuador. Its design reflects an attempt to learn Ecuadorean agronomists and engineers. In the from the lessons of previous IRD experiences by design of the project the preparation team held incorporating the following participation-enhancing extensive consultations with beneficiary groups features: the use of consultative processes, a decen- and other stakeholders. These meetings explored the tralized execution, the involvement of NGOs and preferred infrastructure and production investments in firmer organizations, and greater flexibility. Indeed, different zones. one stated objective of PRONADER is to promote intensive participation of beneficiaries at all levels. However, the preparation of the project was At the same time, however, the project is a not without problems. While the Bank Task Manager complex one. It is made up of eleven different was supportive of a participatory design, some of components (the three largest being for irrigation, the Bank consultants in the preproject missions feeder roads, and on-farm credit) and implemented were not supportive. A number of the consultants by two different ministries and six semi-independent seemed to have been unfamiliar with the country agencies. PRONADER operates in twelve zones of and with local realities and were insensitive to the country and will benefit 23,000 families. This social and equity concerns and beneficiary parti- paper examines some of the difficulties in applying cipation. They concerned themselves more with participatory mechanisms in such a project. The technical and financial matters. paper also highlights the project's success in mak- ing its participation objectives operational. The design team felt that too little time was set aside for project preparation, and that the pressure Participation in Project Preparation of lending deadlines limited their ability to explore more innovative approaches to project formulation. PRONADER was prepared in a collaborative The Task Manager, for his part, felt that with more way by a team of professionals from within Ecua- time and perhaps more carefully selected staff and dor and from other Latin American countries. consultants, the proposed participatory principles 1 This is a summaly of the orginal paper by this author. 90 Participation in Practice could have been more fully translated into practical insufficient understanding of the nature and value participatory mechanisms. The extra costs, he felt, of participation. These teams applied their own would have been justified by the improved results. interpretations of the planned participatory activities He also felt that if there had been less pressure to listed above; this practice led to much weaker forns move quickly, the Bank team would have had a of participation than those originally envisaged. better chance of convincing the government to give beneficiaries more responsibility in the project. As For example, there is only token participation it was, the government's main interest in participation in the productive components of the project. To seemed to be to (a) obtain beneficiary contributions begin with, there was no real participatory assess- for the infrastructure works, and (b) count on local ment, even though this methodology is well known organizations for serving as counterparts in the in Ecuador. Token participation has led in many provision of credit and irrigation services, rather instances to situations where project activities do than giving them more meaningful responsibility not correspond to the expressed priorities of the for the project components. There was also sus- intended beneficiaries; project staff are seen by picion among the government toward second-level communities as selling what the project can supply, campesino organizations (seen as being influenced rather than talking with the local people and by left-wing politics) and NGOs (seen as opponents finding out what their needs are. No doubt this is of official policies). Indeed, the role of NGOs was due in part to the pressure that project staff are never properly defined. It is unclear whether this under to show progress in predetermined direc- weakness was due to insufficient collaboration with tions. The problems resulting from this mismatch the most experienced rural NGOs in Ecuador or to the of supplv and demand include the fact that some reluctance of NGOs to become involved with the project components are undertaken with no proper government and the Bank. It appears that many of coordination or sequencing. these shortcomings and feelings of mutual distrust could have been overcome if there had been more time Another weakness in the participatory aspects of for stakeholder meetings and joint-planning exercises. the project stems from the tendency of implementa- tion team members to create different beneficiary Participation in Project Implementation groups to manage different component activities. This scheme can cause jealousies and tensions As designed, project implementation was intended within communities when these groups become the to include a number of different participatory ele- exclusive beneficiaries of project resources at the ments, among them the following: (a) a participatory expense of other members of the community. assessment of farmer needs in key productive techno- logies and inputs to generate technology in response to For its part, the Bank imposed its own limita- real demand, (b) the use of farmer volunteers as tions on the implementation of participatory mecha- community promoters in technology diffusion, (c) the n The Bank set redetermined numercal and orgamzation of water-user associations to assume msms te Bank s predetersmed roal or some operational responsibility in the irrigation com- physical targets (such as kilometers of road built or ponent, (d) the establishment of a demand-driven number of training sessions held) without consid- community development fund (FODECO) to finance eration of process or quality indicators. Procurement small production and agroprocessing ventures, and (e) regulations, both of the Bank and the government, the representation of farmer organizations and NGOs seriously limit the participation of beneficiary mem- at various levels of the project. bership groups and prohibit them from managing the The realities of participation in the project turned local construction activities; even small payments for out to be quite different. It seems that the local imple- communal public works cannot be made because of mentation teams (composed of professionals from lack of legal recognition of the community group, or each of the implementing agencies), established in because of restrictions on advances of cash transfers each zone where the project was operating, had and competitive bidding requirements. Ecuador: Campesino Participatoin in the National Rural Development Program 91 More fundamental problems became evident addressed in several components. One third of the during implementation. The official implementing 4,600 land titles authorized in the project are for women. agency, the Ministry of Social Welfare (MSW) (which had had little part in the preparation work) One encouraging trend for the project is the did not have much ownership of the project, and it changing face of second-level campesino associa- had little experience of either participatory approaches tions- potentially important intermediaries for fanner or production-related programs. The implementation participation. Formerly characterized as political ad- had to be distributed among a series of central vocacy groups and often dominated by self-serving agencies. These agencies had poor coordination leaders with little management and financial capacity, between themselves and little or no decentralization some of these federations are now successfully taking to local government or local councils, which could on marketing or agro-processing operations within the have been more accountable and conducive to local project. Some have become solid farmer-owned and participation. Furthermore, a change of govem- managed businesses. This outcome has been achieved ment part way through the project brought a through a long intensive process of capacity build- change of leadership to MSW. The high-level ing, often spearheaded by NGOs. supporters of the rural development approach of the project were replaced by a succession of more Leadership of the project is also looking traditionally welfare-oriented ministers. These institu- promising. In mid-1994, a well-qualified technical tional problems have occupied supervision missions director was appointed. He is determined to correct and, during the first two years of the project, the overall institutional problems mentioned above dominated Bank-government dialogue to the exclusion and is also seriously interested in participatory of participatory issues. issues to achieve sustainability. Also, project staff seem to have good relations with communities, Partisan political interests also proved damaging. more so when they come from the same region in One obvious example was a senior MSW official in which they work. the previous adinistration. Without much attention to genuine demand or careful appraisal, he personally Lessons Learned authorized some 100 FODECO subprojects to boost his own electoral popularity in the short term. This study of the project's preparatory stages has yielded the following two main lessons with Some Significant Successes regard to the importance of clearly establishing a participatory approach from the outset. In spite of the unfavorable political and adminis- trative environment for participation, a number of First, reliance on a high-quality design team, the zonal offices are managing to follow the par- even if it includes nationals of the country, is ticipatory approaches devised for the project. In insufficient to assure government ownership and eleven of the twelve zones, local production corn- commitment. Because a change of regime, as mittees have been set up with farmer participatym. In all happened during this project, brings with it the risks the zones farner extension workers are being used of a shift away from a participatory orientation and to determine locally appropriate technological options. removal of key supportive officials, it seems wise to NGOs have been employed to organize training anchor the project at a more local level with true courses for irrigation groups, and study trips to decentralizing of responsibility to accountable bodies. Colombia have been organized for project staff to observe how irrigation and road maintenance can be Second, where the agencies responsible for the successfully managed by beneficiaries. FODECO has project have an incomplete understanding of par- implemented 150 small productive group projects; ticipatory problems, more time needs to be set all include training in cooperative management. aside for preparation. Also more time is needed to One-hird of these projects were awarded to women's allow a more intensive dialogue between the Bank groups. Indeed, gender issues seem to have been well and various stakeholders, and more time is needed 92 Participation in Practice to agree on the necessary obligations of each group. land reform issues. However, this practice is During project preparation, the key institutional chang-ing as many of these associations shift from mechanisms for consultation, information sharing, political to economic issues, and as they become and devolution of responsibility need to be clearly more sound financially and hence more accountable spelled out, even if in practice these mechanisms and attractive to their membership. One important may not always operate as intended. lesson remains: investments in institution building and initial financing of these organizations can be The implementation of the project has revealed highly cost effective, and if these organizations are some of the key requirements that help promote a more to be built from scratch a considerable investment participatory approach. These include the following: of time is required-longer than the normal Bank project period. However, projects can use organi- * Willingness of the government implementing zations built up by previous efforts and can build agency to share and transfer managerial autho- new ones with which subsequent projects can work. rity to beneficiary groups or their representa- tives. Where this kind of attitude is not part of Indicators of Participation official culture or is not encouraged by the staff incentive structure, there needs to be a T t sudyig participation i the PRONADER continuous process of motivation and learming p for all levels of agency staff. In this regard, project devised a set of five indicators to measure participatory training needs to be an integral the intensity of beneficiary participation in project part of the project design; preferably it should activities. The participation indicators relate to be delivered by a group independent of the whether beneficiaries, either individually or in groups, politics of the implement'n agencies. ptoti menting agencies. (a) receive and share information, express pre- * Time to develop a mutual learming process ferences, and make their demands known; between the different stakeholders, especially ... . in situations of wide social differences take tatv es, make proposals ontbute re- where there has been little expenence of negotiation between stakeholders. (c) benefit from being trained in a learning and acting * Assistance and training of campesino repre- mode, take decisions related to the project; sentatives to help them understand their role (d) share implementation responsibilities, progress and responsibilities, toward self-management; and * Flexibility for making changes in participa- (e) assune responsibility for the finctioning, opera- tory mechanisms as experience accumulates. tion, and maintenance of installations and services. Finally, the study of the PRONADER experience has shown the value of working with second-level Using these indicators and a scale of 1 to 3, the peasant associations, which in Ecuador function team scored the level of participation achieved by like cooperative enterprises. These associations are each subproject. The results were poor (no sub- often weaak in management and financial capacity, project scored more than two), though the most but they can, with some capacity building and promising sectors for improved participation are learning-by-doing, take some responsibility for recur- irrigation, agro-industry, and marketing, where con- rent services, such as extension and marketng; thus siderable self-management experience exists. One they can enhance beneficiary participation and sustain- of the recommendations of the study is to use such ability. The fact that PRONADER has made little use indicators to (a) monitor the progression in partici- of these organizations may be due in part to their pation, (b) feed into the dialogue between the Bank reputation as political bodies with strong advocacy and the government, and (c) help make timely positions vis-a-vis the government, especially on adjustments when necessary. Participation in the Resettlement Operations of the Zimapan Hydroelectric Project, Mexico Maria Clara Mejia and Salamon Namhad' Background the river, which divides the states of Hidalgo and Queretaro. The settlements were part of ejidos, This paper focuses on the lessons learned Mexico's communal land holdings created by about people's participation in the involuntary presidential decree after the revolution, when the resettlement component of the Zimapan Hydroelectric large haciendas were handed back to the peasants. Project, financed by the World Bank. At the time The bulk of these lands, on both sides of the river, of the project (the loan was approved in 1989) consist of massive rock formations and poor soils. neither the borrower, the Mexican Federal Electricity Only a minority of families had access to fertile Commnission (CFE), nor the people who had to be valley bottom lands, irrigated by diversion channels resettled had much experience with participatory from the rivers. Many of the men had to migrate in development strategies. Most of the participants search of wage labor. were accustomed to "top-down" development. The Bank insisted on a participatory approach to resettle- In Hidalgo, about thirty-eight families had to ment planning and implementation. In reality the be resettled, from three different ejidos. They are success of the participatory aspects of the project Otomi indigenous people who subsist by rearing varied considerably between different affected com- livestock and cultivating maize, fruit trees, cactus, munities. This paper looks at some of the contrasting and other products. These people are less inclined experiences of different settlements. to migrate. In Queretaro, about 480 families had to be resettled from three different settlements of a The project consisted of a 200-meter-high concrete single ejido, Vista Hermosa. Here some affected dam, about 250 kilometers north of Mexico City. people had rich orchards and corn fields and The dam had an associated power house, tunnel, migrated less, but many were migrant workers and and substation to generate electricity. The project over the years many female-headed households was built by the CFE at a cost of US$418 million, were created when husbands failed to return. of which the Bank financed US$125 million. The dam creates a 23,000-hectare reservoir on the At first glance, forced resettlement might be Moctezuma River in a dry mountain region. This the last place one would expect to find an example area is extremely poor except for a few mining of successful people's participation. Yet, there is enterprises and orchards on the scarce alluvial soils no way (short of police action) to mobilize and of the steep canyons. About 10 percent of the relocate a community other than to organize their inundated land was farmed by about 3,500 people, participation in their own resettlement. This was a more than 2,000 of whom had to be resettled. The lesson that was leamed over time by CFE, and affected settlements were located on both banks of certainly the early stages of the project, prior to This is a simuaiy of the original paper by these authors. 94 Participation in Practice Bank support, were conducted without local com- Strikes, protests, and other forms of resistance by munities being consulted or even informed. the affected people were viewed as a necessary cost of doing this kind of business. And CFE is a Participation in Resettlement powerful central government institution that enjoys Resettlement changes everything. Whether the ample resources-human, financial and political- involuntary displacement is due to construction of to draw on to confront and manage almost any highways, airports, dams, or other infra-structure, obstacle that presents itself. the impacts are potentially enormous. Economic production systems are dismantled as falns, orchards, The affected people were seen by the CFE only wells, and houses are expropriated. Social systems are as beneficiaries, who were going to get new and disrupted as communities fission and social support better housing and infrastructure in exchange for for the most vulnerable breaks down. World Bank structures lost; they were not seen as people who policy on resettlement is therefore oriented toward were about to suffer a dramatic and potentially reconstruction of the social and economic production debilitating forced change. The arrival of the systems of the displaced people in their new location. hydroelectric project in the region created uncer- In a phrase, all resettlement operations must, at a ty and doubt i the con at the minimumn, reestablish prior systems of economic and tainty and doubt in the community about the social production and, if possible, improve them. promised benefits of the project. The community was skeptical of such promises, and based on prior Any plan for resettlement and the participation experience, expected corruption and arbitrariness of people in it can never fully anticipate all future social consequences. During implementation, there- from goverment officials. fore, resettlement operations require greater attention and support than practically any other component The CFE and the communities mistrusted one of the project; no matter how complete and detailed another from the beginning and had conflicting the resettlement plan, it must be continuously objectives and methods. In the face of initial sus- adjusted and refined to meet unanticipated events picion and distrust, the only viable option per- and emerging social realities. One of the critical ceived at first by CFE was to impose vertical lessons from this project is that people respond decisionaking, trying to the cost of differently to the opportunity presented by partici- minime pation as well as the threat of resettlement. Some resettlement and deliver the promised benefits. learn very quickly how to maximize benefits flow- ing from the situation, while others have less During preparation of the loan, the Bank team opportunity to do so. was operating with instructions on the preparation of resettlement components (namely the Bank's The Major Stakeholders: CFE, the Affected Operational Directive on Resettlement). It clearly People, and the World Bank called for direct participation of the affected people This paper focuses on the three main stakeholder in the planning process. The Bank tewm had to be groups: the project owner, CFE; the affected people; insistent through the course of difficult negotia- and the financing agency, the World Bank. tions to induce the CFE to adopt the changes needed to reach a resettlement with adequate community CFE experience with involuntary resettlement participation. To make the participatory process in previous hydroelectric projects did not require viable, the CFE had to change its internal organiza- any systematic participation of the affected people tional structure and its social policies. At first, CFE to achieve CFE's primary objective: removal of demonstrated a deep resistance to these changes, but people to permit construction of the civil works. the legal agreements signed with the Bank to Indeed, a top-down approach to resettlement plan- finance the project included changes in the overall ning and implementation was not seen as negative. structure and social policy of the company. Participation in the Resettlement Operation of the Zimapan Hydroelectric Project, Mexico 95 So in 1989 a Social Development Office was construction workers or the government engineers. created within the CFE. This office reported directly Because the ejidos were not affected by the initial to the Director General. The office had responsi- civil works, negotiations here began late in the bility to carry out studies and actions necessary construction process. The Social Development to mitigate the social unpacts caused by involuntary Office negotiated with individual families and displacement, and it had the authority to design small groups of families, as well as with the ejidos and implement the resettlement program. as a whole. Decisions were taken in small groups of affected people, and final agreements were For their part, the communities also experienced reached with each family, individually. The affect- significant changes in their internal organization as ed people of Hidalgo were employed as con- they prepared to defend themselves against per- struction workers in building their new locations, ceived threats from CFE and to participate in and they began cultivating their new lands before building their future. they lost their old plots, before even their new towns were completed. People moved without In summr-y, all three stakeholder groups irnolved major problems and expressed their satisfaction in this complex interaction were transformed by the with the new situation. The ejido leaders who necessity to negotiate: the CFE had to adopt certain negotiated this relocation now lead the develop- institutional changes to create the capacity to handle ment of the new settlements. the participatory process; the affected people had to adapt their traditional decisionmaking mechanisms to In Queetaro state, the affected population belonged enable them to participate directly; and the Bank to a single ejido, and the outrnigration for work had teams, from preparation to supemsion, had to learn meant that many men fro. the community were in to hsten carefully and assist the borrower and the contact with the 'butside world" in the region and the affected people in designing mechanisms to negotiate country as a whole. All the houses in the center of the conflicts and their solutions. Vista Hermosa ejido were lost, and all irrigated lands available to the ejido members were inundated. The Different Project Impacts in Different ejido and the new resettlement town being constructed Communities were within a few minutes of the dam construction zone. Significant cultural impacts stemmed from the The Zimapan project had very different arrival of contractors and work brigades for the processes and impacts in the two states where it is power plant. located. In the communities belonging to the Vista Hermosa ejido in Queretaro State, the process of The negotiations by CFE began earlier in this negotiation was complicated, full of tension, and state, because the impacts of the project were felt with results that even now cannot be considered much earlier here ta in Hidalgo. The negotiating satisfactory. By contrast, the negotiations with the team from the Social Development Office lived communities in Hidalgo state were smoother, more tearom the Social Devement Ofie ived harmonious, and yielded satisfactory results with nearby the ejido, and team members were in daily regard to the renewal of productive activities and contact with the community members. Decisions the improvement of the quality of life of the were made in large ejido assemblies. This forum affected families. inhibited the expression of individual opinions and the voice of women and those whose views differed In Hidalgo, the Otomi population was living in from those of the ejido leaders. Finally, successive small, scattered, and isolated settlements. Only delays and broken promises by CFE in the early small parts of the three different ejidos were stagys led to pion and bt CFEom the eal affected and sometimes only lands were affected, stages led to suspicion and doubt among the local not houses. In addition, the affected areas were far people. The decisionmaking process eventually from the project's civil works construction, and narrowed to include only ejido leaders and Social therefore they had little day-to-day contact with the Development Office officials. 96 Participation in Practice The participation of Vista Hermosa community private businesses in the new settlement. The head members in the project included employment as of the ejido who led negotiations during the early construction workers and transporters of materials to years was killed in 1991, and a new group of the project site. The ejido also received rent from the leaders took control of the community, its new- use of ejidal lands and payment for extraction of found financial resources, and the negotiations construction materials (gravel, sand, and rock) by with CFE. The community now only has very poor CFE. A good deal of internal conflict in the corn- seasonal lands and does not have the economic munity cropped up over the influx of indemnification production activities in place to replace lost income. and compensation money from CFE and the use of The sustainability of the new services provided by these new resources. A Committee for ndemnifi- sone community members is uncertain, given the low cation was formed and was able to negotiate larger purchasing capacity of the majority of residents. The payments for houses, fences, and other structures lost future of the ejido community is uncertain. to the reservoir. A Committee for Housing Super- vision was also formed. It was responsible for Lessons Larned overseeing construction of the new settlement. This committee made significant changes to the original design of houses and the number and type of public her preset andi negion procin buildings consbucted. The livelihoods of the cnunty Queretaro provides a wealth of lessons on partici- underwent a rapid change, from rural livelihood and patory approaches, the reasons for the different customs to more urban, modem lifestyles. At the impacts in the two different states, and the role of the height of the conflicts between Vista Hermosa World Bank in minimizing negative impacts and members and CFE, the community organized work encouraging participation. stoppages, protests, and closure of access roads. Supervision missions by the World Bank were denied The main factors that seem to have impeded a permission to visit the affected communities. more participatory process in Queretaro include (a) When the people moved into the new town, the cornmunity not being involved in the early stages about one month prior to reservoir filling, they of the planning process; (b) the authoritarian and top- expressed satisfaction with the new housing (despite down approach by CFE at the start of negotiations, problems with the drinking water supply and with no clear information given to the community; (c) buildings still unfinished). But they refused to centralized decisionmaking processes by ejido leaders; accept the replacement irrigated lands prepared for (d) delays and unfulfilled promises by CFE throughout; them and insisted on a cash payment instead. This (e) isufficient socioeconomic sudies durng the reset- decision was based on a growing realization among let planning process; (f the new Land Law commumty members (but not by CFE) that their r ' s community was too socially fragmented and passed by the Mexican Goverment, allowing the sale politically splintered to operate the land as a of ejido lands (coming at a time when participation collective ranch. The CFE technicians argued that was breaking down) that provided the affected people a collective ranch was the more economically and the CFE a way out of the impasse; (g) a lack of efficient option, but the ejido members wanted independent professional and technical advisers for individual family plots; however the new irrigation the affected community; (h) the (still unsolved) mur- system, unlike their old one, was only viable if der of the ejido head, which exacerbated the internal operated under cooperative management by all factional conflicts and mtroduced an element of fear families. Nevertheless, the cash equivalents were ito the interaction of communty members; (i) the paid, and the money was mostly invested in con- ' ' '' sumption and in trucks and other equipment; very influence and personal economic interests of some little of it was used to buy farmland. Many community leaders, who had substantial control of the families lost their principal economic activity, financial rources and who acted as legal representa- while others accumulated enough capital to start tives before CFE; 0) a decisionmaking process that Participation in the Resettlement Operation of the Zimapan Hydroelectric Project, Mexico 97 prevented women's participation; (k) the paternal- (a) A social analysis, undertaken during the prepa- istic attitude of CFE when it heard community ration phase of project planning, could have requests; and (1) use of a single resettlement strategy assisted in designing participatory and con- in a conumunity that was composed of distinct seg- sultative mechanisms more suited to the social ments with very different needs and capabilities. organization of the affected communities. (b) A social analysis could have revealed the The affected people organized themselves into factional nature of the community. It could a top-down, hierarchical decisionmaking structure also have enabled the borrower and the Bank in response to a similar approach taken by CFE. to better predict the fissioning of the community The community leaders developed authoritarian and to better plan for its management and control. and vertical methods for negotiation and control. There were no mechanisms for conflict resolution, (c) A number of different participation strategies, except by majority vote and, in some cases, undertaken by the government to clarify the intimidation and fear. The new leaders, following "rules of the game," could have helped address the murder of the ejido head, acquired despotic and the different needs and views of the different centralized attitudes in response to the traditionally subgroups in the community (such as those of similar approach of CFE. This behavior was evident farmers versus those of wage laborers). during the early negotiations. In other words, the affected people organized themselves to interact (d) The different responses in the two different with CFE on its own terms. states- Hidalgo and Queretaro- stemmed from the different dynamics of the two populations. In However, despite the difficulties and mn~istakes F-bdalgo, the stability of the larger unaffected made asides during the . p community helped provide an anchor during madeoby allec naegotiion, .partsci rough times. The Otomi social structure is patory process did xrutigate the social impacts caused close knit, relatively independent of outside by involuntary displacement and resettlement. The society, and govered by traditions of consensus. growth of strong negotiating skills in the affected There was no toffent of money to disrupt the community and the willingness of CFE to negotiate families. These factors helped smooth a poten- successfully lessened tensions and avoided major tialy difficult process of negotiation. In Queretaro, conflict. The situation never eroded into violent all the filies of Vista Hermosa were affected, confrontation, which previous hydroelectric pro- so there were few places to tur for support jects in Mexico had recently expenenced. during times of stress. Many ejido members were cosmopolitan; they had spent years as The World Bank was able to foster the participa- wage laborers in the United States, and they tory process throughout the planning and implemen- aspired to urban lifestyles rather than main- tation period by (a) prompting institutional changes in taining the traditional peasant values and the CFE based on legal agreements for financing and customs. The influx of comparatively vast sums on the Bank's resettlement policy, (b) promoting of money exacerbated the internal division. participatory events and contracing social specialists, Normally tedious leadership roles in the ejido (c) supporting and encouraging the community to hierarchy were converted into positions of participate in meetings with them during missions, great potential wealth and power. The ambi- and (d) intensively supervising the resettlement tious new leaders learned quickly how to process and providing suggestions and solutions. exploit the situation, increasing their claims and demands. The CFE inadvertently fed these The following four main lessons stem from the ambitions by agreeing to more and more participation of the affected people and suggest how investments and cash outlays, thus fanning the their participation could have been strengthened: flames of leadership. 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(021 341-3235 Tel (228) 212940 PO B 19502 Jersaleem Fan 12201217492 Tel (21 271219 Recent World Bank Discussion Papers (continued) No. 299 Towards a Payments System Lawfor Developing and Transition Economies. Raj Bhala No. 300 Africa Can Compete! Export Opportunities and Challengesfor Garments and Home Products in the European Market. Tyler Biggs, Margaret Miller, Caroline Otto, and Gerald Tyler No. 301 Review and Outlookfor the World Oil Market. Shane S. Streifel No. 302 The Broad Sector Approach to Investment Lending: Sector Investment Programs. Peter Harrold and Associates No. 303 Institutional Adjustment and Adjusting to Institutions. Robert Klitgaard No. 304 Putting Institutional Economics to Work: From Participation to Governance. Robert Picciotto No. 305 Pakistan's Public Agricultural Enterprises: Inefficiencies, Market Distortions, and Proposals for Reform. Rashid Faruqee, Ridwan Ali, and Yusuf Choudhry No. 306 Grameen Bank: Performance and Stability. Shahidur R. Khandker, Baqui Khalily, and Zahed Khan No. 307 The Uruguay Round and the Developing Economies. Edited by Will Martin and L. Alan Winters No. 308 Bank Governance Contracts: Establishing Goals and Accountability in Bank Restructuring. Richard P. Roulier No. 309 Public and Private Secondary Education in Developing Countries: A Comparative Study. Emmanuel Jimenez and Marlaine E. Lockheed with contributions by Donald Cox, Eduardo Luna, Vicente Paqueo, M. L. de Vera, and Nongnuch Wattanawaha No. 310 Practical Lessonsfor Africafrom East Asia in Industrial and Trade Policies. Peter Harrold, Malathi Jayawickrama, and Deepak Bhattasali No. 311 The Impact of the Uruguay Round on Africa. Peter Harrold No. 312 Procurement and Disbursement Manualfor Projects with Community Participation. Gita Gopal No. 313 Harnessing Informationfor Development: A Proposalfor a World Bank Group Strategy. Eduardo Talero and Philip Gaudette No. 314 Colombia's Pension Reform: Fiscal and Macroeconomic Effects. Klaus Schmidt-Hebbel No. 315 Land Quality Indicators. Christian Pieri, Julian Dumanski, Ann Hamblin, and Anthony Young No. 316 Sustainability of a Government Targeted Credit Program: Evidencefrom Bangladesh. Shahidur R. Khandker, Zahed Khan, and Baqui Khalily No. 317 Selected Social Safety Net Programs in the Philippines: Targeting, Cost-Effectiveness, and Optionsfor Reform. Kalanidhi Subbarao, Akhter U. Ahmed, and Tesfaye Teklu No. 318 Private Sector Development During Transition: The Visegrad Countries. Michael S. Borish and Michel Noel No. 319 Education Achievements and School Efficiency in Rural Bangladesh. Shahidur R. Khandker No. 320 Household and Intrahousehold Impacts of the Grameen Bank and Similar Targeted Credit Programs in Bangladesh. Mark M. Pitt and Shahidur R. Khandker No. 321 Clearance and Settlement Systemsfor Securities: Critical Design Choices in Emerging Market Economies. Jeff Stehm. No. 322 Selecting Development Projectsfor the World Bank. Jean Baneth No. 323 Evaluating Public Spending: A Frameworkfor Public Expenditure Reviews. Sanjay Pradhan No. 324 The Bangladesh Rural Advancement Committee's Credit Programs: Performance and Sustainability. Shahidur R. Khandker and Baqui Khalily No. 325 Institutional and Entrepreneurial Leadership in the Brazilian Science and Technology Sector: Setting a New Agenda . Edited by Lauritz Holm-Nielsen, Michael Crawford, and Alcyone Saliba No. 326 The East Asian Miracle and Information Technology: Strategic Management of Technological Learning. Nagy Hanna, Sandor Boyson, and Shakuntala Gunaratne No. 327 Agricultural Reform in Russia: A Viewvfrom the Farm Level. Karen Brooks, Elmira Krylatykh, Zvi Lerman, Alek- sandr Petrikov, and Vasilii Uzun No. 328 Insuring Sovereign Debt Against Default. David F. Babbel No. 329 Managing Transboundary Stocks of Small Pelagic Fish: Problems and Options. Max Aguero and Exequiel Gonzalez No. 330 China: Issues and Options in Greenhouse Gas Emissions Control. Edited by Todd M. Johnson, Junfeng Li, Zhongxiao Jiang, and Robert P. Taylor No. 331 Case Studies in War-to-Peace Transition: The Demobilization and Reinitegration of Ex-Combatants in Ethiopia, Namibia, and Uganda. Nat J. Colletta, Markus Kostner, Ingo Wiederhofer, with the assistance of Emilio Mondo, Taimi Sitari, and Tadesse A. Woldu No. 332 Power Supply in Developing Countries: Will Reform Work? Edited by John E. Besant-Jones THE WORLD BANK A partner in strengthening economies and expanding markets to improve the quality of life for people everywhere, especially the poorest HEADQUARTERS I81 t I Street, N.W. 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