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Essentials of Participatory Approach
Naoto NODA
Hitonomori Co. Ltd.

Objective of this module
The use of the word ‘participation’ is chaotic. The objective of this module is to rethink the meaningof ‘participation’, to distinguish so-called ‘participatory development’ in each case, and to acquireCoHi pyt
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ithe basic knowledge and skills for planning workable participatory approach in particular cases.

History of Participatory Approaches
Non-participatory Approaches

In the field of community development, ‘participatory approach’ has become a common sense.
However,itsmeaningis

notclearlyunderstoodbysomepeople.

Understanding

non-participatory approaches may help to understand the meaning of participation.
First of all, economic cooperation at national levels and for large-scale development projects isusually non-participatory. This type of development aims to catching up the economic levels ofdeveloped countries under the control of national governments. Priority is given to thedevelopment of national economy in macro sense. At the micro level, development assistance has
not been so participatory. Western lifestyles and values had often been considered as goals. The
characteristics of this type of development are didacticism and paternalism. Also, technicalcooperation, such as ‘green revolution’, is controlled by experts. Even if the target is poor people,
this type of development is not participatory.

There are many more non-participatory modes of development and these types have some common
characteristics in their thoughts.
(1)

Goals should be set by outsiders.

(2)

Assuming that people are not capable to determine.

(3)

Outsiders know the best solution.

(4)

People are passive objects that only accept what they are told by outsiders.

(5)

Development should be propelled by outside forces (such as economic assistance).

These are typical characteristics of non-participatory approaches. Then, if we think opposites, thenwe may get the characteristics of participatory approaches.
Emergence of participatory approaches
As many people are quite aware, development works led by outsiders at both macro and microlevels have not gone well. Especially the poors and other disadvantaged groups have notreceived any benefits but even got worse in some cases. These kind of unexpected results haveslowly recognized by development organizations and development workers. Following sentences
describe the brief history of participatory approaches. In reality, there have been many ways.
Each organizations and individuals have reached to participatory approaches in different ways
and at different speeds.
In 1970s, many development agencies had introduced detailed surveys and analysis of target areas

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Rather than applying the simplistic assumption of social evolution theory, they had started tosearch problems, needs, social structures and surroundings of communities. In early stages,
large-scale socio-economic surveys and long-term participatory observations by anthropologists
were very common methods of researches. Agronomists had also conducted field surveys such as
Farming Systems Research. In late 1970s, more cheap, practical and rapid survey methods suchas Rapid Rural Appraisal (RRA) were developed and adopted by many NGOs. By 1985, RRA had
spread widely in the world and Thailand had become the RRA center.

However, RRA had still been used by outsiders. It was a tool for outsiders to investigate, diagnoseand make plans. This means that it was still outsiders who prepare the plans. People wereexpected to participate in the ready-made programs. People were still passive entity andconsidered incapable to analyze and make plans for their development.

The first to change from this situation was NGOs. Some NGOs working at local levels in someSouth Asian and African countries had gradually become aware of the capability of people
themselves. In many cases, people have shown deep understanding of RRA tools and started
their own analysis. This finding clearly indicated that not only the development experts but also
people themselves could do many things. The real shift was realized when some experts stepped
aside and let people do it. People have conducted the whole process of analysis, planning andpractices by themselves. This clearly indicated that the experts holding all power had hindered
the people’s capability.
Then in late 1980s, Participatory Rural Appraisal (PRA) has emerged. In PRA practices, it is people
who analyze, make decision and act. Outsiders only make opportunities to do so, provide
analytical tools and assist technical improvement. Thus, the outsider’s role is to facilitate theprocess. Therefore, development workers in PRA process is usually called “facilitators”.

In 1990s PRA has become a well-organized development approach and has been adopted worldwide.
On the other hand, there have been many cases in which RRA type surveys were wrongly named
PRA. Since PRA is not only an appraisal method, Participatory Learning and Action (PLA) has
been used to replace the misleading name of PRA.
Below are the some assumptions that support the idea of participatory approach. These are exactly
the contraries to those of previous outsider-led development approach. This shift in underlying
assumptions is known as a ‘paradigm shift’. This shift is a must to introduce a participatoryapproach.
People have their own goals.

(2)

People have capacity to make decision.

(3)

People can decide what the best is for them.

(4)
(5)

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i(1)

People are the subject.

Releasing people’s potential makes the development.

Of course, these words are too few to explain “what is participation”, though there are someessences here.

It should also be noted that there have been many more participatory approaches other thanPRA/PLA. Why PRA/PLA has become so popular is probably due to the organizations (i.e.,International Development Study in Sussex University) that collected experiences and released
information on this issue. Other movements in parallel should have been many. For example,
Paulo Freire’s ‘conscientization’ (Freire, 1970) has influenced the formation of PRA approach.
Many participatory approaches may have no particular names. One of such approaches is theRural Welfare Improvement Program conducted in Japan just after the World War 2.

Why do we promote participatory approaches?
Because it works

It’s not for stressing ideal situation. We promote participation because it practically works well.
Criticisms on participatory approach

Most of them are generalizing some particular cases of failure. So be careful!

To realize participation is easy!
Once participatory approach woks, people take action by themselves with their own resources,
so there is no need for outsiders to work hard.
Outsiders take action only to enable people to use their capacity.
For example, outsiders should stress some essential ideas, for example, ‘they can do it’, ‘equal
opportunity’ and ‘hand over the stick’ and find a way to realize them according to the particularsituation.

Why participatory approaches considered difficult?
Stressing a plan
Outsiders tend to insist the importance of the established plan and its realization. The mostimportant things for the people, however, is the process of learning through doing something.
Difference of objectives

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iTo achieve project objective becomes the objective of the outsiders. For the people, it is only aland stone in their lives.
Choosing representatives

When some representatives are selected, outsiders tend to have misunderstandings: those
representatives truly represent people’s situation and opinions, and people are participating
through their representatives. Equal opportunity is a must essential and the functionality ofrepresentatives is usually a myth (or a hidden hypothesis).
Not handing over the stickOutsiders can not wait for people and decide/do things by themselves.
Difference in timeframe

Outsiders ‘participate’ during the period of a project or their assignment. So outsiders expectthat the things might happen when they are there. However, for the people, it is not necessary
to realize things when a particular outsider is with them.

Generally people have longer time axis and outsiders have shorter ones. But the outsiders often
think that they can think in a longer term.

Definition of participation
Who participates to what?
It’s not the participation to a project/program organized or planned by outsiders.

What kinds of definition are used?
For example, according to Arnstein (1969), there are eight categories or steps of participation.
There are many ways to classify participation but important thing is a reality that ‘the word
participation is used with many meanings attached. Since no one has the authority to decide(there are no ISO standard for participation), no one can say ‘this is wrong’ or ‘this is right’.

Lower degree of participation
Manipulation

Therapy

Informing← → higher degree of participation

Consultation

Placation

Partnership

Delegated

CitizenPowerControl

To find the real meaning o f ‘participation’ in a particular context
The use of the word ‘participation’ has no standard. So, replacing it with another word often
reveal the real meaning of ‘participation’ in the particular context. It varies from nearly aforced labor to a complete autonomy.

Participatory toolsWhat are the tools?
Tools are methodologies to be used to get immediate results or responses. The reasons why tools

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iare used vary from controlling people to realizing self-control. Participatory tools are tools withthat people can express their views or are used by people themselves.
Meaning of participation in a participatory toolA tool only has a very limited focus and the participation in using a tool only means‘attendance’.

Ideals of participation
Essentials of participation: not tools

If a participation in a visual form is sought, the real essence of participation can easily be lost.
Participation is ‘self-control’ or ‘self-realization’. Everyone wants to decide by his/her self and,once it is realized, they can continue and go ahead.
Conditions to participate in development

It is not an attendance in workshops or works expected by outsiders. It is the realization of asituation that people can seek their well-being in their own timeframe according to theirreality.

RealityWhat is ‘reality’?

Reality is the recognition of a particular person, that is based on his/her own value system andexperience. The reality of a person is different from the realities of others. It is wrong to ask‘whose reality is right’.
Whose reality counts?
No one can change his/her reality immediately. Development is a place where people withdifferent realities meet. So, whose reality should count? Or whose reality should be given withhigher priority?

Misunderstanding participatory project

Success/failure of a project is different from success/failure of participation
A project can fail because people are fully participate. If people can decide themselves, they
may decide not to do things as expected by outsiders. In this case, the objective of the project ishardly be achieved but, at the same time, the empowerment of the people may have beenachieved.

A truly participatory project can exist?
If the participation comes before the project, it is possible. But not other way round.

Who decides the project objectives?
People should not be given with authorities to decide the objectives of an outsider-led project. Insuch case, the achievement of project objectives can be done only by controlling other people.

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iAlso it should be avoided that outsiders decide what should be achieved by the people.

Participatory Resource Management

Resource-centered approach vs. People-centered approach

Outsiders, especially trained professionals, often aim at the sustainable management of certain
resources such as forests. They think people’s participation is a mean to achieve their goal: thesustainable management of a resource. However, this goal is usually totally different from thepeople’s view points. People usually think that the sustainable management of a resource is a mean
to sustain their livelihood.

What are the necessary conditions to manage a communally owned resource sustainably


Rules

There must be a rule enforced to all users of a resource.
Exclusion

There must be clearly defined users. This means the exclusion of non-users.
Enforcement

There must be a mechanism to enforce rules and exclude non-users physically.
Is this still a participatory approach?
What do you think?

Non-negotiable principles of participatory approachBelieving they can do!
Believing that they can do, we can hand over the stick. Prerequisite!



Equal opportunities
Not merely a rhetoric. Realizing it and being felt by people is very important. Think how we canrealize it in particular situations.

Increasing chances
More the choices and means to depend, more the chances of development and survival. Think
what we can provide and how.

Roles of outsiders in participatory development
Always remember the essence of participation“People have ability to decide themselves and realize things”. “The best thing is that people
decide themselves”. It’s not participation to something designed and controlled by outsiders.

How people view the outsiders?

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iThe existence of outsiders is opportunities for the people. Knowledge, budget and otherdevelopment options brought by the outsiders are good resources for the people.
What outsiders can do?

Only the provision of opportunities and alternative choices. In the case of PRA/PLA, they areoften workshops in which people can review themselves together. In the case of PRODEFIModel, they are knowledge learnt in training and the chances to learn itself.
What outsiders do not do in successful participatory approaches

Outsiders do not decide what the people should do. Let’s compare the Grameen Bank, PRA andPRODEFI Model.

Outline of the PRODEFI ModelWhat is PRODEFI Model

PRODEFI Model is an approach that provides intensive training for the people at first step,and then, considers further assistance only after positive movements among the people areobserved as the results of the training.
Entrance is training

Provides training on the issues selected by the people. Training is based on the five principles ofthe PRODEFI Model.
Action and reaction
Outsiders decide what should be done as further assistance only after observing the reaction ofthe people after the training. There is neither prior decision nor expectation.

Five principles of PRODEFI Model
PRODEFI Model trainings are held locally, by utilizing locally available resources (both humanand materials), meeting local needs, not selecting participants and targeting the majority of thepeople.
‘Held locally’ gives all community people with opportunity to participate. Even mothers withsmall babies can join.
Utilizing locally available resources makes the cost low and utilizes otherwise underutilized
local human resources. Mutual reactions between community members and human resources
can also be expected.
Meeting local needs attracts community members and enhances mutual trust between local
people and outsiders.
By not selecting participants, everyone acknowledges that there are equal opportunities foreveryone.

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By targeting the majority of the people, information can be shared by many people at once, sothat the shift to the next action will be quicker. Also simultaneous practices by many people arevery visible from aroundHypothesis in PRODEFI ModelPeople can make better decision in a good number of opportunities are given. If many people
are involved, there would not be isolation of certain people. Outsiders cannot choose the best‘model farmers’. Once majority of the people have learnt same techniques, many people would
start the practice at one and the erosion of knowledge among the participants could be slow.
Once many people start practice, residents of nearby villages also could observe it well.
Difference between PRA/PLA and PRODEFI ModelIn PRODEFI Model, introductory part (i.e. trainings) is planned by outsiders. At this stage,people do not participate in the decision making. Contrary in PRA/PLA, outsiders only decide
the target communities and do not have any plan. People decide everything from the beginning.

Participatory development in top-down styles


Who decides in PRODEFI Model?

Outsiders only are decision makers at the initial stage.
Is the Grameen Bank a participatory approach?
Outside experts of finance make the system and the rules.

What people decide?
In the case of PRODEFI Model and the micro-finance, people decide everything after receiving
the resources provided by the outsiders.

Comparison of good approaches

Whatoutsidersprovide?

PRA/PLA

Grameen BankPRODEFI Model

Opportunities to learn

Minimum capital

Knowledge/techniques

themselves

inand opportunity toworkshops and otherlearn

eventsWhat outsiders decide?

Facilitators and target

System of lending

Training courses

What people should do

What people should docommunities
What outsiders do not

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idecide?