Godden, N. &amp; Muli, C. (2013). ‘Peer review: an emerging research method in international development, Development Bulletin, No. 75, pp.92-97

Chrisanta  Muli

University. It is an occasional publication available in hard copy and for free download online. It includes commissioned and submitted papers. Each issue focuses on a specific topical development theme providing a multi-disciplinary perspective on a diverse range of opinions and experiences. While academic in focus, the Bulletin is accessible to a wide range of people. Papers are short and concise, with a word limit of 3000. It includes papers and case studies from both academics and non academics, with a special focus on those engaged in development practice in developing countries. Overall, the Bulletin contents are of particular value to development agencies, those working in the field, governments and non-government organisations, teachers and students of development.

Challenges for participatory development in contemporary development practice DEVELOPMENT BULLETIN No.75 August 2013 Editor: Pamela Thomas Features Participation – voices from the past Can the very poor be reached? Contemporary challenges to participation Research, monitoring and evaluation Issues in inequality: gender and disability Innovative methods for participation Communicating for participatory development The Development Studies Network The Network provides information and discussion on social, economic and environmental development issues through its journal Development Bulletin. It is in regular contact with development-related academic courses and organisations, government and non-government development organisation and community-based development groups. The Network is located within the Resources and Environmental Development Program, in the Coombs Building of the Australian National University. The Development Bulletin Development Bulletin has for 25 years been the journal of the Development Studies Network based at the Australian National University. It is an occasional publication available in hard copy and for free download online. It includes commissioned and submitted papers. Each issue focuses on a specific topical development theme providing a multi-disciplinary perspective on a diverse range of opinions and experiences. While academic in focus, the Bulletin is accessible to a wide range of people. Papers are short and concise, with a word limit of 3000. It includes papers and case studies from both academics and non academics, with a special focus on those engaged in development practice in developing countries. Overall, the Bulletin contents are of particular value to development agencies, those working in the field, governments and non-government organisations, teachers and students of development. The 75 issues available on line provide a valuable history of social and economic development and development studies. Free download The Development Bulletin is available on line for free download and can be copied and used as long as the source is acknowledged. http:crawford.anu.edu.au/rmap/devnet/dev-bulletin.php or google Development Bulletin Managing Editor Dr Pamela Thomas Correspondence Development Bulletin Resources, Environment and Development Crawford School of Public Policy Australian National University Canberra ACT 0200 T: 61 2 61258257 F: 61 2 61269785 E: Pamela.thomas@anu.edu.au ISSN 1035-1132 The Development Studies Network Development Bulletin ISSUE 75 August 2013 Challenges for participatory development in contemporary development practice Papers and case studies include many of those presented at the international conference “The challenges for participatory development in contemporary development practice” held under the auspices of the ACFID- Universities Linkages Network at the Australian National University, 28-29 November 2012. ISSN 1035-1132 The Development Studies Network Australian National University ACFID-Universities Linkages Network Foreword Preface Patrick Kilby 1 Participation for development: A good time to be alive Robert Chambers 2 Features Introduction: Challenges for participatory development in contemporary development practice Pamela Thomas 4 At the limits of participation: ‘Most at risk’ populations and HIV programs Cath Conn, Kristel Modderman and Shoba Nayar 10 Contents Bureaucratic reform for participatory development: Bureaucracy and community in implementing the National Program for Community Empowerment Urban in Surabaya, Indonesia Sulikah Asmorowati 14 Midnight in Paris? Case studies of participation in the new post-Paris world Mark McPeak, Ricardo Gomez and Solin Chan 18 Perspectives on participation and partnerships: Participatory planning and practice in Vanuatu Pamela Thomas 21 Capacity building with LeGGo: Expanding participation in Nepal Brad Watson and Mark Webster 26 Opportunities and challenges of participation in transitional justice in Nepal Yvette Selim 31 Using a community development approach for Aboriginal development in Central Australia Janet Hunt and Danielle Campbell 35 The implementation of the capabilities approach in Cape York: Can paternalism be a pre-condition for participation? Elizabeth Watt 39 Participatory gender monitoring: Sharing learning from Plan’s WASH program Lee Leong and Deborah Elkington 43 Insignificant inclusion and tokenistic participation of women in development: A case study from Pakistan Sumera Jabeen 47 Indigenous African communication systems and participatory development in rural Africa: The case of a Nigerian village nnaEmeka Meribe 51 Fostering social change through participatory video: A conceptual framework Tamara Plush 55 Achieving participatory development communication through 3D model building in Timor-Leste Lauren Leigh Hinthorne 59 The power of pictures: Using photovoice to investigate the lived experience of people with disability in Timor-Leste Jane Shamrock 63 August 2013 i People with disabilities and civic engagement in policy making in Malawi Jonathan Makuwira 66 Practicing inclusion? Participatory approaches to researching road usage by people with disabilities in Papua New Guinea Kathryn James, Carolyn Whitzman and Ipul Powaseu 71 Misdirected good intentions: Volunteering and the impact on participation Jenni Graves Shifting from capacity building towards valuing existing capacities of local organisations in Cameroon Eric NgangNdehMboumiena 80 Participation towards building sustainability in delivering services for the urban poor in Sri Lanka KIH Sanjeewanie and HMU Chularatne 85 Assessing the contribution of participatory approaches to sustainable impacts of agricultural research for development in the Northwest Highlands of Vietnam Huu Nhuan Nguyen, Oleg Nicetic, Lauren Hinthorne and Elske van de Fliert 89 Peer review: An emerging research method in international development Naomi Godden and Chrisanta Muli 92 Ideal versus actual: A comparative study of the application and results of world Vision’s external stakeholder assessment methodology Katie Chalk 98 Levels of NGO cooperation and their empirical importance Malcolm Brown 102 Narrowing the gap between grassroots rhetoric and top down practice in community development John Donnelly 106 Case studies An assessment of empowerment through highly participatory asset-based community development in Myanmar Anthony Ware 110 Mapping accountability processes in Cambodia Adam McBeth and Ruth Bottomley 115 Barriers to child participation in Timor-Leste Fiona Liongue, Fatima Soares and Georgia Noy 119 Participatory development: Community-based initiatives towards community ownership in Cambodia Thay Bone 123 KISS my aid: A journey in search of simplicity Christopher Chevalier 125 ii Development Bulletin 75 Preface This issue of Development Bulletin includes some of the 86 papers presented at the Australian Council for International Development (ACFID)/Universities Linkages Conference held at the Australian National University on November 28–29, 2012. The theme of the conference was ‘Challenges for Participatory Development in Contemporary Development Practice’. It was the third conference organised by the ACFID/Universities Network — a partnership between ACFID’s NGO members and Australian universities. The Network is co-hosted by ACFID and the Institute of Forewords Human Security at La Trobe University. The Network grew out of a collective desire to widen debate on international development and to strengthen collaboration and research between academics and the members of ACFID. It provides a platform to develop partnerships within and between these two sectors and in turn, strengthen their collective impact against poverty and injustice. In particular, the Network focuses its work on harnessing quality research as essential for good international development practice. This means ensuring the best possible outcomes for those who are the beneficiaries and partners in this development work. The primary aims of the Network are to:  initiate stronger relations between ACFID members and individual academics with an interest in development, as well as with their departments/research centres;  provide a better understanding of the potential entry points and areas of collaborations between NGOs and academia; and  extend the existing network of universities linked to ACFID to foster future collaboration as well as information sharing of development related research. The theme of the conference was chosen because among donors, researchers and development practitioners participatory development tends to be taken for granted and its methods and benefits are largely unquestioned. Participatory development involves including people who are affected by development processes as planners and implementers and became very popular in the 1980s and 1990s as a response to globalisation and neoliberal development policies. Participatory development is inspired by the work of Robert Chambers who saw it as a way of overcoming the shortcomings of top down development and the limitations of expert research and planning. Participatory development’s catch cry might be ‘ordinary people know best’. It has, however, been criticised for being tokenistic and unable to address the issues of top down development and, more recently, results-based planning and inclusion. This conference explored these issues from both academic and practitioner perspectives. The keynote speakers at the conference included Professor Robert Chambers, a Fellow of the Institute of Development Studies at the University of Sussex; Professor Gita Sen, of the Indian Institute of Management in Bangalore, India, and Adjunct Professor of Global Health and Population at the Harvard School of Public Health; Emele Duituturaga, CEO of the Fiji Ministry for Women, Social Welfare and Poverty Alleviation and Head of the Pacific Women’s Resource Bureau for the Secretariat of the Pacific Community; Dr Alan Fowler , Emeritus Professor at the International Institute of Social Studies in the Hague and for more than 30 years an advisor to, and writer on, civil society organisations involved with international development. Recordings of the key note addresses can be found on: http://archanth.anu.edu.au/events/development-studies-conference Patrick Kilby The Australian National University August 2013 1 Participation for development: A good time to be alive Robert Chambers To be engaged with participation for development, why is power and relationships, but these are contradicted this a good time to be alive? There are so many negative especially in aid, by top down, standardised demands and trends in our world — in climate change, rising inequality, the mindset that goes with ‘delivery’ — a prominent word abuses of globalisation, the glorification of greed and so in AusAID and other aid literature. much else. But for participation for development, I believe The Paris Declaration on aid effectiveness repeatedly the glass is not half empty but half full and filling, because talks of partners and partnership, which added together there are so many realities and potentials for making a are used more in the Declaration than any other word or difference for the better. word root. My count is 96 times. Monitor, measure, assess, But first, let us clear up what we mean by particip- performance and results are very common, but poor, ation, participatory and development. Participation in vulnerable, marginalised, people and power are not to development-speak is used to cover a multitude of be found. The 1990s were a time when people and practices, some inspiring and good, and some depressingly participatory approaches were being mainstreamed. But in bad. I shall not define it but simply say that participation the 2000s, the pendulum has swung back to ‘things’ and has implications for power relations, personal interactions, pre-set planning, and continues to swing in that direction. and attitudes and behaviours and that participatory can So why is this a good time to be alive as a development apply to almost all social contexts and processes, not least professional? in organisations, education, research, communities and the The fourth trend, the quiet revolution of proliferating family. For its part, development can be taken to mean participatory methods (PM) is one reason. We now have good change, raising questions of power and relationships an extraordinary variety of PMs. The approaches of the concerning who says what is good and who identifies what 1990s — PRA, Appreciative Inquiry, Reflect and many change matters — whether ‘we’ professionals do, or others — survive but increasingly practitioners adapt and whether it is ‘they’ — those who are poor, marginalised, improvise their own ways of research and participation to vulnerable and excluded. meet their particular contexts and needs. ICTs, most In our contemporary context, four major trends are notably mobile phones, but also Geographic Information both significant for participation for development and easy Systems (GIS) and other technologies, have added to the to overlook or underestimate. ever richer range of PMs that can be combined with others. First, change accelerates for poor and marginalised people. They include changes in the conditions they Three Rs are relevant here — reversals, reflexivity experience, and changes in their awareness, aspirations and realism. and priorities. The revolution of the mobile phone in the Reversals: There is now vast scope to reverse adverse past decade is one spectacular dimension of change, but trends. Reality checks, pioneered in Bangladesh and used more broadly there has been rapid social change, including by AusAID for learning about basic education in changes in gender relations. In consequence, the challenge Indonesia, are one. Researchers live with families in for development professionals to keep in touch and up to representative communities for five or six days and nights date is now greater than ever. and then come together to compare experiences and Second, development professionals are increasingly learning, revealing very rapid social change that those in isolated from poor people. This applies especially to senior capital cities are often unaware of. Participatory statistics people in governments, aid agencies and NGOs. Many are are another method with huge potential for win-win caught in the ‘capital trap’ — capital cities in which they situations. Outside professionals or local people facilitate are imprisoned, held tight by meetings, visitors, internet the generation of up-to-date statistics about qualitative and the digital tyranny of email, skype, webinars and the changes, and those whose participatory analysis generates like. Field visits outside the capital have become more them, themselves learn and change as a result. Behaviour, difficult to find time for and rarer. And when donor staff attitudes and facilitation are more and more recognised for from OECD country headquarters say they are visiting ‘the their primacy as drivers for change in almost all contexts. field’ they often mean the capital city of the recipient Reflexivity: Becoming aware of and offsetting the biases country. and frames of one’s mindset and beliefs is a key way Third, tensions have become more intense between forward, with each discipline looking at itself in a mirror. the Newtonian paradigm of things, design, planning and Good professionalism recognises the need of introspection predictability (the domain of the left hemisphere of the in order to do better development. It will be a great day brain) and the complexity paradigm of people, particip- when this is integral to all university courses. ation, processes, emergence and unpredictability (the Realism: Realism is key. It demands being in touch with, domain of the right hemisphere). The buzzwords and up to date with, rapidly and unpredictably changing empowerment, participation, partnership, ownership, grass roots realities. It requires recognising and rewarding transparency and accountability all imply changes in those who learn from what works and what does not, 2 Development Bulletin 75 acknowledging failure and learning and changing fast. It changes come from many small actions of many, many means being constantly alert to learning from new insights, people. Before Palestine was recognised as a country by like those outlined in Listening for a Change (Slim and the UN, 1.8 million people had signed a petition on Thompson 1993) which included the experiences and AVAAZ, each taking perhaps less than five minutes to do opinions of 6000 recipients of aid in 20 different countries. so. As Time to Listen concludes: From these voices we hear strong appeals for smarter aid and not too much of it too fast. We learn how bad the effects Every moment of business as usual is a lost moment for are of ‘proceduralisation’ with its logframes, lists, matrices making a change (op.cit). and templates which close off any spontaneous and And Ghandi’s much quoted ‘We must become the change respectful interaction that recipients want. we wish to see in the world’ is as pertinent today as it ever The primacy of the personal and personal relations was. comes across very powerfully. Recipients would like their So across a wide front we have more, and new, donors to have direct relationships with them. Time to challenges and opportunities in participation for develop- listen reports that: ment and through its wide interpretation and implications. Every story of effective aid told by aid recipients In our globalised world, and with all the innovations to included a description of particular staff who worked in hand, we have scope as never before to make a difference. ways that developed respect and trust with aid recipients Creativity, fulfilment and fun are there waiting for (Anderson, Brown and Jean 2012). expression and experience. The implication is that more effective assistance requires more donor staff, closer to the ground, with References continuity, and continuous mutual learning of recipients Anderson MB, D Brown and B Jean, 2012, Time to Listen, CDA and donors together. This reinforces a situation much Collaborative Learning Projects, Cambridge, Mass. wider than aid. That is, each one of us can make a Slim, H and P Thomson, 1993, ‘Listening for a change’, Panos difference, and on a daily and hourly basis. Many big Oral Testimony Programme Report, Panos, London. August 2013 3 Introduction: Challenges for participatory development in contemporary development practice Pamela Thomas, The Australian National University Accumulating knowledge: Voices from the past This issue of Development Bulletin considers the key factors that influence participatory development processes and practices in the changing contexts of the 21st century. Our understanding of participatory development is based on accumulated research, practical experience and the body of knowledge available. As these papers show many of the challenges are not new. It is over 40 years since non-government organisations and academics, often Features geographers or anthropologists, working within communities in developing countries, recognised that development assistance and planned change could be a two-edged sword. In the early 1970s there was already awareness that linear approaches to social and economic development had limited long-term success and that the negative, unintended consequences sometimes outweighed the benefits. At the time, Australasian government aid agencies had small budgets, were poorly organised, with limited professionalism and limited sources of reliable development- related information.1 A large proportion of government aid was in the form of bilateral budgetary support while social development was commonly the business of largely self-funded NGOs and volunteers. There was no process or framework available in Australasia to pull together into a coherent cross disciplinary study of development, the many diverse strands and sources of development-related information. There was, however, considerable individual knowledge and experience in addition to the Latin American literature, including Freire’s 1972 Pedagogy of the Oppressed. In Australia, in the late 1960s and early 1970s, the ANU’s then world renowned Research School of Pacific Studies was at the forefront of in-depth primary research into social, economic and political change in Pacific Island countries — a time when Pacific Island nations were becoming or had just become politically independent. Geographer, Harold Brookfield’s landmark book, Interdependent Development, published in 1975, provided a multidisciplinary, in-depth understanding of development assistance and development processes at that time and in that context. Although its focus was rural development including the impact of changing land use and farming practices, it remains as pertinent to broader development today as it was then.2 It was Robert Chamber’s 1983 study, Rural Development: Putting the last first, that reinforced the need to focus on the very poor. Discussion at the time covered the relative merits of top-down and bottom-up approaches, the value of involving the ‘grass roots’, how to encourage community participation, the need for more flexible approaches among donors, and the active inclusion of recipients in their own development activities. Establishing development studies The need for an organised approach to the study of development in Australia and New Zealand led to the establishment, in 1982, of the Development Studies Centre (DSC) at ANU. It brought together geographers, economists, anthropologists and environmentalists to study development processes and provide post graduate courses in development studies. Macquarie University, La Trobe, Flinders, Deakin and Curtin universities were among those who also established development hubs, usually in association with Departments of Geography. At ANU, the DSC grew into the National Centre for Development Studies led by the indomitable Helen Hughes and development studies became an accepted and important area of study supported by what was then the Australian Development Assistance Bureau who 4 Development Bulletin 75 benefitted from the multi-disciplinary analyses of the The contemporary challenges of participatory research being undertaken. development By the late 1980s there was a body of literature on The following papers cover a wide range of challenges and participatory development, focusing on involving local solutions to encouraging effective participatory develop- people and engaging and empowering the poor to take ment, from the need for bureaucratic reform in donor control of their own development. Manuals, such as agencies and recipient governments — including the need Werner and Bower’s Helping Health Workers Learn for additional staff and time to build relationships and (1982), based on 15 years of extensive work with village encourage participation — to the need for specialised communities, outlines in simple language and illustrations facilitation skills to ensure among other things, that the how to empower and involve the poor in improving their participation of women is not tokenistic, supporting men health. Its approaches are still relevant to the current rather than women. The major themes covered here are the context. Schramm and Lerner’s (1976) Communication role of the administrative structures of development and Change: The last ten years and the next considers the assistance; participatory governance; gender; communi- important role of communication in involving the poor in cation and access to information; reaching and involving development — again as relevant today as it was in 1976. the very poor; monitoring and evaluation; and indigenous In 1987, the University of Papua New Guinea’s Waigani participation. Seminar focused on the ethics of development and the need to ensure that Pacific Island people were supported to be self-reliant and that their cultural identity was Administrative structures and reaching the maintained and their languages and culture respected in all very poor aspects of development assistance.3 These key points from A common theme throughout the journal is the need for a the conference papers remain relevant today. new approach to ‘doing development’. While more donors By the 1990s, there was wide recognition among are embracing participatory approaches, the administrative NGOs and some of academia that the basis of successful structures and staff skills of both donor and recipient development was strengthening peoples’ capacity to organisations remain appropriate to top-down, linear determine their own priorities and to organise themselves processes that are seldom conducive to participatory to act on these. It was accepted that development was a development. Discussing an Indonesian poverty reduction constant social process of growth and enrichment, not a program, Asmorowati illustrates the difficulties of question of reaching a particular set of goals and object- changing the bureaucratic culture to allow a devolution of ives within a set time frame. The key challenges to power to communities. Her research also revealed that participatory development were considered to be those ‘increasingly powerful communities are often dominated embedded within government donor requirements, by the elite who create barriers against the community including project design processes, and projects that set gaining access to participatory development’. She con- demands which related more to development agencies than cludes that while bureaucracy is often seen as a rational to the development of people.4 Linear, time-bound projects tool for administering poverty reduction programs, central- were seldom catalysts for development but often ends in ised governance processes need to be reformed if themselves. As aid budgets grew, so did the demands for government is to interface effectively with communities. accountability and cost effectiveness making it increase- The 2005 Paris Declaration calls for donors to base their ingly difficult for smaller NGOs and those heavily reliant support on partner countries’ development strategies, on government funding. institutions and procedures thus requiring changes in the Today there is some agreement that smaller scale ways in which aid organisations operate. McPeak, Gomez projects with meaningful partnerships between donors and and Chan review the difficulties faced by NGOs in moving recipients are likely to be more effective than large aside to let local communities or governments take control projects that are designed in urban offices with little direct and outline the different skill sets needed for NGO field link or input with those at community level. However, staff and management including new knowledge of there remains less agreement about what exactly recipient government systems. They call for NGO and participation is and how it can be achieved. Principles other donor staff to master recipient government legis- thought to be important are information sharing, full lation and planning so they can enable inclusive, consultation, recipients involved in the processes of democratic governance at local levels. They recommend decision-making, project design and implementation and that NGO workers adapt the participatory tools that recipients themselves initiating action. Despite the large worked well pre-Paris to the current context—that is, to volume of information, the extensive experience, and help governments fulfil their legal obligations towards all, lessons ‘learned’, putting principles into action remains especially those most excluded. difficult. As this issue of Development Bulletin illustrates, The need for change also applies to government the challenges are long standing and for all our agencies. As Thomas shows, participation takes time, accumulated knowledge, inclusion of the poorest and most additional resources, and additional skills. It also requires marginalised groups in society remains elusive. This a change of donor and recipient administrative culture. In journal offers some positive approaches but also includes the example of a successful participatory AusAID-funded examples of projects where the context appears to demand civil society project in Vanuatu, where the donor is an a top-down approach. active partner, AusAID’s participation was much more August 2013 5 costly in terms of time and staff than had been realised. In areas of power imbalance, such as gender sensitivity, today’s heightened concern for short term cost effective- cultural awareness and community relations. ness and/or value for money, participatory approaches which take time could be considered cost-ineffective. Donor agencies and recipients need to recognise that Using local expertise and capacity building building trust and enabling partnerships requires new skills Identifying and using local knowledge and skills is and time. These are attributes that as yet, most donors and increasingly recognised as vital first steps to successful recipient organisations do not have. participatory development. Watson and Webster outline the importance of improving the capacity of communities, Using examples from Cambodia, Brown shows that marginalised groups and government agencies before, or at the culture of cooperation among NGOs at national and the same time that administrative, judicial and fiscal micro levels can influence development effectiveness. powers are devolved to locally elected bodies. Their Cooperation at national level, he maintains, is valuable and example from Nepal, illustrates the importance of identify- facilitates engagement with political society, but given the ing local knowledge and skills and then developing bureaucratic nature of the cooperation, can have negative appropriate training programs. In Cameroon, there is consequences for the autonomy of civil society from growing recognition among NGOs of the value of utilising government. At provincial and local levels the autonomy local knowledge and skills in implementing development of civil society is enhanced by NGO cooperation as projects. Mboumiena reports on research undertaken by interpersonal trust is observable and the damaging effects the civil society network organisation in the Cameroon of trust breaking down are equally visible and can be (NWADO) into innovative, indigenous approaches to remedied. In conclusion, Brown maintains that as NGOs disseminating development knowledge and building depend on social capital, it is necessary for them to build capacity among individuals, institutions and beneficiaries. trust, networks and cooperation with other NGOs. Their research identified ‘an amazing level of knowledge and expertise available locally’ that was previously not Research, monitoring and evaluation recognised. Chalk considers the role of participatory evaluation within The benefits of empowering communities to use their World Vision’s program capability review, which was existing knowledge, skills and social assets is also designed to help World Vision offices evaluate their discussed by Ware who uses an example of an asset-based organisational contribution to objectives shared with community development approach in Myanmar. This partner communities. As there was nothing in place for the approach seeks to empower communities to draw on organisation to measure outcomes against external tangible and social community assets to manage their own expectations, the methodology allowed communities and development. It focuses on an appreciation and utilisation external partners to set the benchmarks. The approach was of pre-existing community strengths, assets and com- qualitative and created space for discussion, where munication systems as the primary resources for develop- variations were valued rather than homongenised, and ment, together with reliance on community leadership, where bias, hearsay and misconceptions were all relevant. social networks and advocacy to bring about substantial Nguyen, Nicetic, Hinthorne and van de Fliert’s report change. Ware explains that the project makes very little examines the value of participatory communication finance available to village development committees but approaches adopted in agricultural research projects in the redirects community attention back to tangible and social Northwest Highlands of Vietnam as an attempt to better community assets. Outside workers act as facilitators link research with development. They observed that the rather than channels for financial assistance. Ware says contribution of a participatory approach to agricultural that even in the very difficult socio-political context of research was problematic in terms of method and Myanmar the ABDC programs have been surprisingly objectives. In particular, agricultural research is short term effective. while research for development takes time. Evaluation of Sanjeewanti and Chularatne discussing their Sri agricultural research projects are carried out at the end of a Lankan experience focus on an appreciation and utilisation research project without consideration for longer term of existing community strengths and assets as the primary impact. A further problem was that many research projects resources for development, together with reliance on pay more attention to the interests of researchers and community leadership, social networks and advocacy to donor agencies than to communities. The result is an bring about substantial change intense focus on economic impacts that ignores livelihood The impact of using local expertise and empowering resources such as human, social and natural capital. communities to undertake their own development and Participatory action research is becoming more widely to demand accountability from government can how used and engages innovative research methods including ever depend on the political context as McBeth and peer review. However, Godden and Mull consider that peer Bottomley’s review of Oxfam Australia’s 30 year review is significantly under-utilised and provide a peer integrated community development program in Cambodia review model as a participatory action research tool. Their shows. The program sought to provide communities with experience of using this tool when reviewing Oxfam’s skills to organise their own development activities and to water, sanitation and health project found that through peer engage with government when their livelihoods were review, reviewers and hosts can objectively analyse critical threatened by government plans. While communities were 6 Development Bulletin 75 able to engage effectively in their own development appraisal activities is used in the community meeting activities, there was little evidence of their capacity to setting. They are based on four major principles: focus on influence government, or even obtain meaningful ways of working that enable women, girls, men and boys information about imminent major projects that threatened to be actively involved in improving their water, sanitation their way of life. When seeking accountability, com- and hygiene situation; using decision-making processes munities faced tremendous odds given the intensely that enable women’s and men’s active involvement in the corrupt and intimidatory context of Cambodia. project and activities; observing and understanding the Graves gives examples of what can go wrong when value of the work, skills and concerns of women and men volunteers drive project priorities rather than leaving this in relation to water, sanitation and hygiene; and providing responsibility to local organisations. While volunteers space and support for women and men to experience and often have strong technical skills they can sometimes lack share new roles and responsibilities. As Leong and awareness of national policies and systems as well as the Elkington point out this process is gender neutral but is language skills. Graves found that too often, the technical powerful in that it highlights diverse views on gender roles skills of local qualified staff were overlooked and within a community. undermined volunteer-initiated and run workshops and Including children in development is discussed by relegated qualified local staff to logistical roles. In Liongue, Soares and Noy who show that two Save the conclusion, Graves says that volunteers can and do make Children projects in Timor-Leste — the Children’s Club positive contributions to development but undirected or and Race for Survival — have made small individual misdirected good intentions can risk impeding national changes at the local community level, giving children counterpart capacity to take on leadership roles or direct opportunities and confidence to articulate health and development processes. nutrition issues and providing greater awareness among Involving communities in efforts aimed at improving parents that children can usefully take part in decisions their quality of life have had some criticism, including that that involve them. it is a way to get community approval for an already The most marginalised and poorest people within decided project and that within a community there are society are those with disabilities. They are also the most existing power blocs which effectively silence the very discriminated against and the least likely to participate in poor and marginalised. These challenges remain prob- development decisions or to benefit from them. As the lematic as do the issues of gender and the question: who papers show, people with disability seldom have access to benefits most from participatory development programs? education, health care, employment or decision making and are often subject to severe abuse. In their research into the impact of road development in Papua New Guinea on Issues of inequality: Gender and disability people with disability, James, Whitzman and Powaseu Several papers show that the practice of participatory undertook research into the extent to which people with development becomes complicated when marginalised disability were consulted or involved in road infrastructure groups such as women, young people and people with decisions. Their research, employing participatory con- disability are encouraged to take part in development sultation tools, used people with disability as data collectors. processes without addressing the structural factors which The research demonstrated that it was possible and desirable contribute to their continued disempowerment. In a case to meaningfully involve and partner with people with study from Pakistan, Jabeen outlines the unintended disability when conducting research, and that it resulted in outcomes of a program widely known for its participatory better outcomes by providing an increased understanding of and holistic approach to poverty alleviation. The 11 Rural those with disabilities and advocacy for their inclusion. Support Programs provided microfinance and targeted On the other hand, Makuwira’s analysis of Malawi’s women. While nearly 40 per cent of the borrowers and move towards disability-inclusive development and members of community organisations were women the poverty reduction discusses the complete lack of inclusion program did not contribute to their empowerment but of people with disability in an international study of maintained and supported gender inequality. It did not people with disability in poverty reduction policies. The address the underlying cultural attitudes or the discrim- study was conceived by and dominated by international inatory behaviour of men in the community. As has been donors, who from Makuwira’s experience, were not found elsewhere, the finance that women obtained was consultative and excluded discussion with civil society and used by their husbands but the women remained res- disabled peoples’ organisations marginalising further an ponsible for repaying the loans. While the Pakistan context already marginalised group. may have exacerbated the situation, similar situations are Looking at participatory development from a health true of other societies. Regular gender monitoring is perspective, Conn, Modderman and Nayar agree that recommended as one attempt to address the situation. ‘most at risk’ populations typically are not included in A participatory gender monitoring framework participatory health where community development or developed by Plan International’s water, sanitation and program consultation approaches are tokenistic at best, hygiene program provides an explicit focus on changes in involving limited investment of time and resources — this gender relations in the program. As gender relations are means that control over decisions rest in the hands of the integral to the effectiveness of these programs a gender funder. On a more positive note they found that a mixed monitoring tool comprising a series of participatory rural model of participation in health can have positive impacts August 2013 7 on ‘most at risk’ populations. Their research provided and used a number of development-related terms that were three major lessons: allowing greater time is an important not understood. investment helping participants to fully understand the As communication technology becomes more readily health issue; using different engagement options including available, participatory video can now be used for meetings, field visits, drawing, drama, photo-voice and use development purposes. Plush provides a conceptual of oral traditions and offering a range of possibilities for framework for using video as a participatory development ‘most at risk’ populations opens doors to participation; it is tool as the visual nature of video, together with its capacity necessary to share power between organisations, pro- to capture the voices of people from marginalised groups, fessionals and those deemed to be ‘most at risk’. has considerable potential to educate, persuade and advocate in ways that can bring positive change. Innovative methods and communication for ‘Participatory video’ she says ‘needs to go beyond community members telling their stories for a mainly participatory development external audience to one that addresses power issues Communication for development forms an important through more inclusive participation to address embedded component of this issue of Development Bulletin and social and economic inequities’. Participatory video is includes several innovative approaches to using modern based on the participatory action research framework and technology. There is also discussion of the value of enables people to empower themselves through con- traditional communication systems. nnaEmeka Meribe struction of their own knowledge. discusses the right and wrong types of communication for Photovoice is another communication method using development using the example of indigenous African pictures to assist research. In Shamrock’s example, communication systems (IACS) in a village participatory Photovoice is used to research lived experience of people development program in a Nigeria. Information is with disability in Timor Leste. Shamrock explains that important, she says, but so is the communication channel Photovoice is a form of qualitative research that combines through which it is provided. In rural African villages, documentary photography with storytelling. Individuals, information using traditional communication systems is often excluded from decision-making processes, are able crucial for participation. ‘IACS are a manifestation of the to present their views and talk about their lives, concerns culture — they speak the people’s language and people and communities. It combines two theories: feminist over the years have relied on them for everyday theory which describes power imbalances and inequality interactions.’ Meribe maintains that in rural Africa, the and participatory methods of research which call for action bulk of people get their information from a hierarchy of identified by participants. village leaders, or chiefs, village ward heads and town criers and that it is counter-productive to use other Hinthorne shows that serious play can create communication channels or media. IACS are a complex opportunities for knowledge exchange about complex network of communication systems which operate at issue. The use of Lego tiles to build models encourages different levels in African society. They go beyond com- participants to think abstractly about complex problems. munication or the message to include the communication source. Source-related characteristics are authoritative and Aboriginal development credible whereas media messages are transactional and Discussing the establishment of a Community Develop- integrative. ‘While IACS reaches everyone, literate and ment Unit (CDU) in Central Australia, Hunt and Campbell non-literate, mass communication influences only the outline the latest findings of five major projects being education and usually urban’, she says. undertaken with traditional land owners and Aboriginal Language is a critical factor in participatory develop- community members. The unit was established to find ment. This is particularly the case in countries like those in new approaches to generating benefits that arise from Melanesia where there can be over 150 different languages. Aboriginal land being used for mining. Numerous Selim considers the role of language in a participatory challenges include the relative shortage of key community program in transitional justice in Nepal. As transitional leaders, the endless consultation with rafts of government justice was a foreign mechanism the project used language and non government agencies, entrenched community- for which there was no translation in Nepalese. Terms such wide divisions, and the difficulty that outsiders do not as ‘reconciliation’ and ‘forgiveness’ were confused and at grasp the differences in world view in the communities in times appropriated for political agendas. ‘Reconciliation’ which they work. For example, Aboriginal landowners was sometimes translated as ‘friendship’ and politicians prioritise expenditure on cultural and social initiatives spoke of reconciliation when they referred to settlement or while government policies emphasise economic priorities even amnesty … in a country where there are over 100 including enterprise development and employment, languages there are serious challenges, exacerbated by the English language, numeracy and literacy. There is a meetings and surveys being conducted in Nepali or English, disjuncture between the approach of the Central Land which limits or excludes those not fluent in these languages. Council in its support of Aboriginal aspirations to live well Thomas found the same problem in Vanuatu where there are in two worlds and in the approach of other service over 100 vernaculars in addition to Bislama, French and providers. The resulting impasse frustrates attempts to English, and where project meetings were held in English generate any sort of development — whether it reflects 8 Development Bulletin 75 Aboriginal priorities or not. Against these challenges the passionate about people and their lives; build quality CDU is making some progress. relationships with counterparts; treat them like colleagues Watt takes to task the ideals of participatory develop- not workers; get out of the office and into the field and ment and the notion of rational, informed citizens making KEEP IT SIMPLE. reflexive choices about their lives and others. Using the capabilities approach to participatory development in Cape Notes York, Northern Australia, she shows that cultivating a 1 See Bob Dunn, former Director General, ADAB (now democratic ideal can lead to peculiarly illiberal liberalism, AusAID), Retrospective on Australian Aid, Development particularly when it encounters people who are not Studies Network, 1994 embracing educational opportunities available to them. Watt 2 Interdependent Development was preceded by Brookfield’s maintains there is some justification for top-down change. Pacific in Transition, 1973 which discussed the drivers of Finally, Chevalier reminds us of both the basics of change. participation and of the lessons we either never learned or 3 See Susan Stratigos and Philip Hughes, 1987, The Ethics of never made time to put into practice. These are: listen to Development: The Pacific in the 21st century, UPNG Press. people; focus on value for people rather than value for 4 Oxfam, 1995, The Oxfam Handbook of Development and money; have genuine conversations and discussions; be Relief, Vol.1, Oxfam UK. August 2013 9 At the limits of participation: ‘Most at risk’ populations and HIV programs Cath Conn, Kristel Modderman and Shoba Nayar, Community Health Development, School of Public Health and Psychosocial Studies, AUT University, Auckland Introduction micro-enterprises (Diallo et al. 1998). Another example is in Community participation is regarded as essential to the the Shan State, Myanmar, where community participation, development and delivery of appropriate and acceptable in the form of themed focus groups, was used to mobilise health programs (Rifkin 1996). Ideas about participation in resources and assess needs in a maternal health project development practice are based on respect for people’s (Soe et al. 2012). Such initiatives may provide useful knowledge and local action by communities (Cornwall lessons to guide HIV program development. 2003; de Koning and Martin 1996; Rifkin and Pridmore HIV, as a key issue in development, has been the 2001). Participation is also viewed as a means to empower subject of much debate (McNally 2000). Today some 35 communities through education and action (de Koning and million people are living with HIV/AIDS, and although Martin 1996); with communities and experts learning the trend in prevalence rates is downwards due to together as partners (Arnstein 1969; Chambers 1983; improvements in treatment and prevention, there is still Cornwall and Jewkes 1995; Freire 1972). Development much to be done (UNAIDS 2012). Concern for HIV in practitioners have been influential in introducing particip- development has tended to be limited to the economic ation practices which access community voices, and relate impact of the epidemic rather than as a broader develop- their knowledge and opinion to programs (Chambers ment problem. Yet there is consensus that HIV, given the 1994; Reason and Bradbury 2006). Furthermore, there is scale and scope of the problem globally, ‘affects virtually much evidence that communities benefit from partici- all aspects of human development’ (Moodie 2000:8) and pation by developing greater self-esteem and confidence as such, claims considerable attention in the aid agenda. (Wallerstein 1992, 1999). This can provide fruitful ground Since the identification of the HIV virus in the 1980s for addressing health needs in an effective and long term prevention has been the main measure adopted with an way, given that health problems reside within families and important role for community in disseminating prevention communities. As such, these ideas of community partici- messages. However, the nature of HIV as a sexually pation more broadly have shaped participation in health transmitted disease has resulted in stigma and silence programs (Attree et al. 2001; Laverack 2006). around many issues; creating a challenge for prevention Despite the positive discourse, methods for intro- and community participation in HIV programs. This has ducing participation into a health context are poorly led to mainly pro-abstinence messages. In the last decade, understood; do not fit within the dominant biomedical selective anti-retroviral treatment of people living with paradigm (which is expert-driven); and there is typically a HIV (especially pregnant women) has become widespread lack of commitment by health policymakers to provide in the developing world. However, there is limited access resources and create a space for communities to have a say to drugs with a major challenge to upscale treatment and in program development (Emmel and Conn 2004). care programs (UNAIDS 2011). The prevention agenda is Debates and criticism of participatory health have centred therefore still of vital importance and needs to move away on a lack of adherence to the goal of partnership with from pro-abstinence strategies, which are antithetical to communities, with accusations of tokenism. There is a condom use and contribute to stigma and silence (Cohen concern for a lack of theoretical transparency and a 2008). Ultimately the ideal for HIV activists is to reluctance to be critical of dominant discourse and practice normalise and integrate HIV treatment and preventive (Cooke and Kothari 2001; Kesby 2005). Evidence is programs as part of wider changes in attitudes towards perceived as the basis for expert decision making, sexual rights (UNAIDS 2011). although, in reality, evidence only ever forms some basis Today, a major focus of the strategies described above for decisions, with other factors such as historical norms is on addressing the needs of ‘most at risk populations’. and politics playing a major role. Expert led HIV programs These populations include youth, sex workers, migrants, are a good example of this. Also, there is criticism of an men who have sex with men and the whole population in over-emphasis on the ‘whole’ community, to the neglect of high prevalence areas. Yet, such populations are typically the needs and views of vulnerable or silenced groups difficult to reach; they may be stigmatised and excluded (Rifkin 1996); take for example, ‘most at risk’ young from established communities; and they may be margin- women discussed in this paper. alised and voiceless within their environment (Boesten and Yet, in the face of these challenges, developing Poku 2009). This can pose a particular challenge in countries have been the site of innovative participatory meeting their needs as well as create barriers to their health; for example, a community controlled nutrition participation in HIV programs. This paper considers the strategy in Senegal involving unemployed people operating participation of ‘most at risk’ populations in HIV programs 10 Development Bulletin 75 using a ‘best practice’ framework of formal and informal more talking time, and were more confident to participate mechanisms for participation in health, drawing on studies in class. Girls and young women were noted to refrain from Uganda and Thailand. from verbal exchange in class. In the case of young sex workers in Thailand, they are ‘Most at risk’ populations, participation and at greater risk of HIV due to their youth, risk of sexual HIV programs violence and access. Young sex workers typically have a low level of education and have poor communication Two studies, exploring HIV programs for ‘most at risk’ skills, making it harder to negotiate condom use, and groups in Uganda and Thailand, are used to consider further, have been found to have little access to condoms issues of participation in health. The first study, conducted due to financial constraints, which is why a number of by the primary author (Conn and Waite 2010), in partner- them enter into sex work in the first instance (Moraros et ship with an NGO Straight Talk Foundation Uganda, al. 2012). Those who are exposed to sexual violence lack explored the voices of young women of Busoga in Eastern opportunity to prevent HIV and experience higher risk Uganda in relation to HIV prevention programs in schools. (Decker et al. 2010). The second study, (by the second author), investigates issues of young sex workers participating in HIV programs A review of the literature found little involvement of in Thailand. young women sex workers in Thailand in policies and programs (Cameron 2007; UNAIDS 2000). A recent study, In both countries there has been considerable success involving focus group discussions with young women sex in tackling HIV to date (Moodie 2000). Despite con- workers and NGO key informants in Bangkok, reflected siderable differences in socioeconomic context between this finding (Modderman 2013 forthcoming). At the Uganda and Thailand, there are similarities of approach provider level, those working with sex workers are invited with strong political support and open media campaigns to participate in advisory boards that are used to inform targeting HIV education and prevention (Low-Beer and HIV policy and program development. Their participation Stoneburner 2004). Now ‘most at risk’ populations are a is however largely tokenistic: priority for policymakers. The Ugandan study showed that the challenges faced Even though they include sex workers in the group, the by young women of Busoga are defined by sociocultural power pretty much lies on the authorities and not on the norms of being female and young. Young women partici- sex workers. pants aged 15–19 years describe, through the means of They only want to include sex workers to make it look drawing, drama and story writing, the complex historical, good. social and cultural norms of young womanhood; such as Despite this lack of participation, the sex worker partici- staying at home, early pregnancy and arranged marriage, pants were interested in increased participation and felt it and submissive behaviour customs. Whilst these norms are was an important mechanism for preventing HIV. acknowledged and accorded some respect, they are also portrayed as limiting young womens’ voices. One It would be good for young sex workers to participate prominent representation was that of the cultural practice especially when it comes to sex education. They may get of kneeling to elders. Young women depict the custom of education in schools but it’s not in-depth enough, it’s not kneeling as a potent symbol of respect for elders: detailed enough. I’m not studying anymore but I have had basic education and I feel like I haven’t received In Busoga region a girl is supposed to kneel down on her enough information on STI or HIV in school. In legs whenever she is to greet someone. Because when Thailand, from my experience, sex education is mainly kneel(ing) you respect your parents while God adds you how to prevent pregnancy but not so much on STIs. some days to be alive. But they also represent it as a symbol of female subordi- A mixed model of participation in health for nation and lack of voice. As such it is also a focus of ‘most at risk’ populations young womens’ resistance, as they attempt to speak out on Despite a positive consensus amongst scholars and their own behalf: practitioners around the benefits of participation in health and many examples of successful small scale participatory One day as I was going to school I saw a girl in Busoga health initiatives, governments neglect participation in region. She met her father on the way but instead of large scale and long term programs. Typically programs kneeling down to greet her father she just stand … But are designed and delivered using top down, professionally her father told her this is the warning. Next time I will driven approaches (Rifkin and Pridmore 2001). Where slap you. And also on her way home she met her teacher who teaches social studies and also she did the same mechanisms for participation in health do exist, these thing. She greet her teacher while stand. Her teacher told mechanisms can be formal or informal, short or long term. her not to do that again. That was the last I saw of her. Often such mechanisms assume that communities are homogeneous and harmonious and they tend to reflect the So sociocultural norms both limit young womens’ views of a section of the community, such as, adults, tax access to school and underpin their behaviours in school, payers, the wealthy, professional classes, men, and in limiting participation in relation to young men and adult general, the elite. As such, they rarely take into teachers. Kakuru (2006) in her study of Ugandan consideration the voices of marginal or ‘most at risk’ education and gender, noted that male pupils are allocated populations. August 2013 11 In this section, issues of participation in HIV formal and high level nature. Yet it could be argued that, programs by ‘most at risk’ populations are explored using given the statutory and long term nature of such a framework of four different mechanisms of participation structures, it would be appropriate to have ‘most at risk’ (adapted from NHS 2002), designed to work concurrently representation so as to give a greater and more established voice to these groups (NHS 2002; Percy-Smith 2006). in the health sector. Such a framework is valuable for exploring the issues of participation described above because it reflects the reality of health sector Participation, ‘most at risk’ populations and environments: HIV: ways forward 1. Participation of users in a health program: User groups, Typically ‘most at risk’ populations are not included in the often represented by single issue NGOs, build partner- different forms of participatory health. Where they may be ships with programs and powerful allies at local and included, for example, in informal, short term initiatives, national levels. An example of this in HIV participation invariably using community development or program con- is that of the Treatment Action Campaign (TAC) in sultation approaches, these are tokenistic at best, involving South Africa. This NGO was founded by a group of HIV limited investment of time and resources. Reasons for this positive young adult women. TAC has been extremely include a belief in expert driven paradigms, which ensure effective and influential in establishing an activist lobby by, and for, young women (Campbell et al. 2010). control over decision making by funder or policymakers However, this model is limited in relation to ‘most at hands. risk’ populations as illustrated in the Uganda and We propose that a combination of the four mech- Thailand contexts. In the case of TAC, young women as anisms for participation in health programs, used adults were better able to take a lead and access support. concurrently, provides a best practice model. A more Furthermore, they did not face the same emphasis on explicit and thought through involvement of ‘most at risk’ submissive behaviour as a socio cultural norm as seen in the Ugandan example above. In the case of sex workers groups in a range of mechanisms would give wider scope in the Thai context, they suffer from norms of sub- for involvement, both short and long term, and in both mission and association with a stigmatising disease and formal and informal mechanisms. To achieve participation illegal work. Creating a safe space for such groups to the following steps are recommended: have a say is no easy task, and requires change to the social environment which promotes marginalisation 1. Invest in time to develop relationships with those from (ibid). ‘most at risk’ populations to build trust and ensure that they will benefit from the interaction. Greater time 2. The informed views of citizens, juries, panels, focus investment will further ensure that participants have a groups: Here communities are consulted in relation to a deep understanding of the issue being presented. specific health program. Consultation is widely used by 2. Utilise a range of alternate strategies such as formal, donors or governments as it ensures that they maintain statutory and long term strategies as well as the more control of the process of participation. For this model to informal and short term options to serve as avenues of be successful, it requires non-coercive participation, an engagement. For example, engagement may involve understanding of the issue being presented, and the ‘boardroom’ style meetings or it may take the form of expectations of the engagement (Mubyazi et al. 2007). ‘field visits’, attending social or community gatherings Unfortunately, too often consultation is a token effort and using alternative methods of engagement such as towards the principles of participation in health and as drawing, drama or photo-voice to get diverse such may have limited effect. It does not genuinely elicit perspectives as opposed to traditional oral discussions. what people think or empower and mobilise commu- Offering a range of possibilities for ‘most at risk’ nities to take ownership or actions relating to a program. populations will serve to open doors to participation in Further, it is unlikely to differentiate between different HIV programs. groups in a society such as those who are ‘most at risk’. 3. Sharing of power between organisations, professionals 3. Community development: This is defined by being bottom and those deemed to be ‘most at risk’ populations. Often up, community controlled, and inter-sectoral (Attree et al. organisations and professionals are seen as having the 2011). In reality health programs tend to be top down, power to make changes, whereas the power to enact and professionally controlled (with a major role played by sustain change lies with those at the heart of the funders) and health sector specific. Even if there is a experience. Thus sharing of power requires will and genuine space for community voices, ‘most at risk’ dedication to explicitly engage marginalised com- populations usually have limited voice given that they may munities and support the emergence of leaders who can be stigmatised and powerless within the community. help to give a voice to the ‘most at risk’. Instead community development is driven by ‘community leaders’ who are less likely to represent the interests of A number of innovative community participation such groups. practices are unfolding, yet there is need for a continuing 4. Local participation in accountability, scrutiny and and strong participation agenda with regards to HIV regulation of health: This concerns statutory and long programs. The challenge is to upscale treatment and care term representation and as such it can give the programs (UNAIDS 2011); shift the prevention agenda community a powerful voice in health. Examples of this in practice are statutory community councils or lay from pro or abstinence-only strategies to support condom representation on local health boards and programs. This use (Campbell and Cornish 2010; Cohen 2008; WHO model of participation is least likely to have repre- 2004); and normalise and integrate HIV into health, as part sentation from ‘most at risk’ populations; given its of wider changes in attitudes towards sexual rights 12 Development Bulletin 75 (Campbell and Cornish 2010). Participatory health can Portfolio Programme Report 21, accessed 21 April 2013, support these efforts by ensuring that they are appropriate http://scotens.org/sen/resources/dyspraxia.pdf. and acceptable to ‘most at risk’ groups, and that they Freire P 1972, Pedagogy of the Oppressed, Sheed and Ward, support a process of empowerment for these groups so that London, UK. they have greater choices. 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August 2013 13 Bureaucratic reform for participatory development: Bureaucracy and community in implementing the National Program for Community Empowerment Urban in Surabaya, Indonesia Sulikah Asmorowati The University of Melbourne and Airlangga University, Indonesia Introduction This research finds that even after over a decade of This paper concerns the relationship between bureaucratic reform in Indonesia, rather than citizen oriented culture, it reform and participatory development. It examines whether is bureaucratic culture that is more prevalent in PNPM- bureaucracy is becoming more citizen/community 1 focused Urban bureaucracy in Surabaya. This has affected the by exploring the implementation of the National Program interface between bureaucracy and community in the for Community Empowerment Urban (PNPM-Urban) in program and the overall successful implementation of the Surabaya, Indonesia. PNPM-Urban is the first nationwide program. poverty reduction program for urban areas in Indonesia. Together with PNPM-rural, it signals the shift away from Bureaucratic reform in Indonesia centralised governance processes towards participatory Efforts to reform the bureaucracy began in January 2001, development. The paper critically examines the extent to with the implementation of decentralisation known locally which the reforms have resulted in more benefits for the as otonomi daerah, literally regional autonomy. Together community by analysing the interface between bureaucracy with decentralisation, the adoption and further advancement and community in the community driven PNPM-Urban. of good governance in Indonesia has provided avenues for Bureaucracy is understood as a rational tool for further bureaucratic reform at both central and local executing the Indonesian government’s commitment government levels. All bureaucracy including that at local towards poverty reduction. At local government level it is government level has been forced to follow the principles responsible for achieving the PNPM-Urban objectives. It is of transparency, accountability, participation and rule of assessed on the basis of its effectiveness and efficiency in law. achieving predetermined results. This includes local Yet, with slow decision-making processes, organisa- government staff/bureaucrats involvement in PNPM-Urban tional inertia and limited collaboration and cooperation implementtation in Surabaya at the city, sub-district and between the bureaucracy and community any reform urban village level. strategies are fraught with problems. In defining community, Cohen (1985) has two related ideas: that the members of a group have something in common that distinguishes them from the members of other PNPM-Urban: Principles and mechanism putative groups in a significant way. Community thus PNPM-Urban is one of the largest urban poverty implies simultaneously both similarity and difference. reduction programs in Indonesia. Previously known as the Within contemporary development, community, as a unit, is Urban Poverty Project its overall objective is to ensure that the typical site for participatory projects or community the urban poor in the program locations benefit from development (Meade and Shaw 2007). In PNPM-Urban, improved socioeconomic and local governance conditions. the target area, a kelurahan (urban village), is regarded as It involves community participation and empowerment, one community. competition for funds, and transparent decision making. This research is greatly influenced by Claver et al’s The overall coordination of the program is the response- (1997) model of bureaucratic culture which is characterised bility of the Directorate General of Human Settlement of by hierarchical structure, task division, formal rules/ the Ministry of Public Works. A national management regulation, reluctance to change, authoritarian manage- consultant assists with program management, organisation, ment style, and limited scope for initiatives and innovations reporting, procurement and training, and the hiring of as opposed to citizen oriented culture characterised by a community facilitators led by a city coordinator (DGHS focus on serving citizens, quality service, shared values, 2008). frequent contact with citizens and advancement of citizen From the beginning, the existing local administrations roles. (city, sub-district, and urban village government) have been This research incorporates interface analysis, which involved in program implementation. The program argues that interfaces typically occur at points where identifies a kelurahan (urban village), as the target area. different and often conflicting, lived experiences or social The target kelurahan community is then invited to form a fields intersect (Long 1999).2 The methodology was based voluntary and democratically structured organisation, on semi-structured interviews, observations, and document known as badan keswadayaan masyarakat (BKM or com- analysis. Fieldwork was conducted in February to July munity organisation) and kelompok swadaya masyarakat 2009 and included interviews with 40 informants. (KSM or community group). 14 Development Bulletin 75 The project transfers a block grant to a targeted responsibilities. This research clearly reflects this tendency kelurahan. The amount varies according to its population for conflict. with a range of Rp. 150million-Rp. 350million — a Lessons learned from the previous UPP notes that relatively large amount in the Indonesia context. Once a bypassing local governments does little to foster a pro- BKM is formed, KSMs are required to submit proposals ductive or sustainable relationship with communities. This including development plans, prepared through four to six has given more space for bureaucracy to get more involved month participatory processes. The grants can be used for in the program. Bureaucratic culture rather than citizen- an ‘open menu’, such as for infrastructural, social, and oriented culture is more prevalent in PNPM bureaucracy in economic activities, which the community believes to be a Surabay3 and how the bureaucracy is involved in the development priority (DGHS 2008). program poses challenges for the program and its interface with community. This is worsened by a shocked commun- The implementation of PNPM-Urban in ity that is not ready to take more power and responsibility. Surabaya As informants in this research maintain, the first challenge for the successful implementation of PNPM- The initial implementation of PNPM-Urban in Surabaya Urban in Surabaya is the bureaucracy. As the most recent (2007–09) was controversial, following the City Govern- community driven development initiative, PNPM-Urban is ment’s unwillingness to provide co-shared funding for the eager to promote a paradigm shift from bureaucracy as program. The initial implementation was marked by a claim implementer to bureaucracy as facilitator. Yet, as this that the City Government of Surabaya refused to implement research finds, this shift has not been achieved and this is the program resulting in PNPM-Urban being not fully mostly due to the existing bureaucratic culture. Strict implemented in 2008 and 2009. hierarchy, adherence to law, and Tupoksi4, as well as Early 2009, the Surabaya Government initiated a orientation towards obeying commands and orders have led solution that instead of providing fresh funds for co-shared the bureaucracy to impede the successful implementation funding it would contribute to PNPM-Urban with matching and sustainability of the project. This unfortunately has programs (a largely top down approach). But, the central further affected the way the bureaucracy interfaces with the Government refused the matching program. This resulted in community. delayed implementation while the bureaucracy was waiting for instruction from their heads/their mayor as to how they should be involved in the program. Bureaucracy and community interface: An After several discussions and negotiations among the uneasy relationship program stakeholders in 2010 the City Government finally In the interface analysis, the notion of interface tends to agreed to provide co-shared funding for implementation. express the image of some kind of two-sided articulation or Since then PNPM-Urban has been implemented fully in face to face confrontation (Long 1999:1) with interfaces Surabaya with local government and bureaucratic support. typically occurring at points where different and often conflicting, lived experience or social fields intersect. It happens in social situations in which ‘interactions become Bureaucracy and reform: Key ingredients for oriented around problems of bridging, accommodating, development? segregating or contesting social, evaluative and cognitive As the instrument and/or institution of the state and/or standpoints’. In this context, interface analysis is most government, the overall mandate of bureaucracy is to relevant for understanding cultural diversity, social translate government policies and programs into actions. In difference, and conflict inherent in processes of develop- the context of development, as Turner and Hulme (1997) ment intervention. More importantly, it enables an analysis explain, although often blamed for poor developmental of critical junctures involving differences of normative performance, bureaucracy remains an essential and vitally value and social interest. This involves not only under- important instrument of development. Importantly the focus standing the struggles and power differentials occur on community as subjects instead of objects of develop- between the parties involved, but also an attempt to reveal ment and more broadened governance, demands a different the dynamics of cultural accommodation that makes it role for bureaucracy requiring it to shift towards more possible for the various worldviews to interact (loc.cit democratic governance and citizen participation (Cope 1999; Roberts 2001). 1997; Claver et al 1999; Hirschmann 1999; Harwood 2004). In this sense, bureaucracy, which previously was the Inherent conflicts dominant actor, has been forced to act more as facilitator Apart from the problem of co-shared funding PNPM-Urban and/or enabling actor in the ‘new’ development, creating implementation in Surabaya has also been marked by more spaces for many other stakeholders, especially conflicts between bureaucracy and community. As findings community, to be actively involved in development in this research reveal, in many areas, community organis- activities. Unfortunately, this shift is susceptible to ations that sought to be developed to foster community self- conflicts, especially if the bureaucracy, used to the privilege help development (the BKMs) could not work in synergy of being the only responsible and dominant actor, is not with kelurahan governments. As the program has been ready to release some of its power and domination. On implemented and sustained in the community, the BKMs other hand, community is often not ready to carry the new which are mostly dominated by the elite community August 2013 15 members, have become exclusive institutions, with achieve, it is bureaucratic culture, which is more prevalent members who feel that their institutions are independent in PNPM-Urban in Surabaya. Within the PNPM-Urban from the government and thus refused to be monitored by bureaucracy, from controller and implementer of dev- the bureaucracy. elopment to facilitator, participatory development has not This exclusiveness and the large size of PNPM-Urban been attained. This has affected the interface between grants (from Rp.150million to Rp.350million) 5 managed in bureaucracy and community and overall, the successful BKMs have further led to misuse of funds by BKM implementation of the program. Findings also reveal how members. Rarely involved in the disbursement of PNPM- the increasingly powerful elite communities may exclude Urban grants, or in program monitoring and evaluation, a bureaucracy in the program implementation creating bar- number of bureaucrats, including the head and staffs in the riers for community access to participatory development. city planning body and the local community empowerment Finally, this research has revealed the complexities of body, the PNPM-Urban executing agency in Surabaya had participatory development without the support of enabling been called as witnesses by the police to several cases bureaucracy. More initiatives for bureaucratic reforms are involving misuse of PNPM funds. This has created trauma highly recommended, and should start not only within the among Surabaya bureaucracies in relations with BKMs and bureaucracy but also at grass-roots level within the PNPM-Urban in general. community. Cultural diversity/social difference Notes The presumed antithetical characters of the bureaucracy 1 Though often used interchangeably, the terms community and community can potentially threaten the interface and and citizen do not necessarily conflate as being the same. further collaboration/partnership between bureaucracy and Within development discourse the notion of community is community. On the one hand bureaucracy emphasises more prominent, while within state or public administration expertise, pragmatic, highly focused relationships, imper- discourse the notion of citizen is more prominent. While sonality, and rules, while on the other hand community citizens are undoubtedly should be the ends of all public emphasis on open, diffuse, effective relationship and sector, state or bureaucracy’s orientation, citizens certainly informality (Litwak et al 1970; Litwak and Meyer 1966: hold self-interests. In this context, citizens have Mott 1973). responsibilities to look beyond themselves but take on the challenge of being part of community (Harwood 2004). Following the City Government’s unwillingness to 2 Please see Claver et al (1997) for detail discussion on the provide co-shared funding for the implementation of model of bureaucratic culture and citizen oriented culture and PNPM-Urban in Surabaya and the delay in implementation, Long (1997) and Roberts (2001) for more detail discussion the bureaucracy chose to stop all its involvement in the on interface analysis. program and merely waited for orders. Moreover, one of 3 For more detailed discussion on bureaucratic culture and the reasons for the City Government not to provide co- citizen oriented culture in PNPM Urban in Surabaya, see shared funding for PNPM-Urban is it is of the opinion that Asmorowati (2010). there is no legal framework for the funding. This once 4 In Indonesia all bureaucracy tasks and activities have been again confirms that most of the time bureaucratic conduct is outlined in a ‘Tupoksi’, standing for Tugas, Pokok dan Fungsi determined by the rule of law, a typical characteristic of or Main Tasks and Functions. Tupoksi is a legal document, bureaucratic organisation. which comes in the form of laws, regulations, or policy document with main purpose to outline the main tasks and PNPM-Urban has put emphasis on collaboration and functions of each public positions/organisation. It thus partnership between bureaucracy and community. Yet, rather determines the authority and organisational mandate of each than collaboration/partnerships, there is an uneasy government employee, including bureaucracy. relationship. The fear of losing its predominant roles and 5 Current exchange is approximately Rp. 10.000/ AUD, so the power, for example, has led PNPM-Urban bureaucracy in amount is equivalent to AUD 10.000–35.000), which can be Surabaya to hesitate to get more involved in the program. considered huge for (poor) Indonesian community. The increasingly powerful target community is one of the factors that drives this hesitancy. More interestingly, this References research also finds the tendency that once community is Asmorowati S 2010, ‘Bureaucratic culture or citizen oriented given ‘the space’ or holds power, they can exclude bureau- culture? Bureaucracy, community and reform in the National cracy, implementing the project without the facilities or Program for Community Empowerment in Surabaya, supports and control of bureaucracy. This is confirmed by Indonesia’ in E Morrell and M D Barr (eds). some bureaucracy informants, who were rarely consulted in ——2010, ‘Crises and opportunities’, Proceedings of the 18th the implementation of the program in the community. Biennial Conference of the ASAA, 2010, Adelaide, Australia. Unfortunately, the increasingly powerful community is often Canberra. dominated by the elite who create barriers against the Cohen AP 1985, The Symbolic Construction of Community, community gaining access to participatory development. Chichester Ellis Horwood. Cope GH 1997, ‘Bureaucratic reform and issues of political responsiveness’, Journal of Public Administration Research Conclusion and Theory, J-PART 7 (3), 461–471. This paper confirms that rather than putting emphasis on Directorate General of Human Settlement, (DGHS) (Dirjen Cipta citizen-oriented culture, as bureaucratic reform aims to Karya, Kementrian Pekerjaan Umum), 2008, Pedoman 16 Development Bulletin 75 Umum PNPM Mandiri Perkotaan (General Guideline of Meade and Shaw M 2007, ‘Community development and the arts: PNPM-Urban, Dirjen Cipta Karya, Jakarta. reviving the democratic imagination’, Community Harwood RC 2004, ‘Finding the right path: Public agencies and Development Journal 42, 413–421. civic engagement’, National Civic Review, Trend in Civic Mott PE 1973, ‘Bureaucracy and Community Planning’ Engagement, Winter Edition, 74–76. Sociological Inquiry 43, 311–323. Hirschmann D 1999, ‘Development management versus Third Olsen JP 2006, ‘Maybe it’s time to rediscover bureaucracy’, World bureaucracies: A brief history of conflicting interests’, Journal of Public Administration Research and Theory 16, Development and Change 30 (2), 287–305. 1–24. Litwak E & HJ Meyer 1966, ‘A balanced theory of coordination Roberts BR 2001, ‘The new social policies in Latin America and between bureaucratic organizations and community primary the development of citizenship: An interface perspective’, groups’, Administrative Science Quarterly 11, 31–58. Agency, Knowledge and Power: New directions, Litwak et al. 1970, ‘Community participation in bureaucratic Wageningen. organisations — Principles and strategies’, Interchange 1, Turner and Hulme D 1997, Governance, Administration And 44–60. Development: Making the State work, Houndmills, Long N 1999, ‘The multiple optic of interface analysis’, Basingstoke, Macmillan Press Ltd. Background Paper on Interface Analysis, UNESCO. Weber M 1947, The Theory of Social and Economic Long N 1999, ‘The multiple optic of interface analysis’, Organization, London, The Free Press. Background Paper on Interface Analysis, UNESCO. August 2013 17 Midnight in Paris? Case studies of participation in the new post-Paris world Mark McPeak, Child Fund Australia, Ricardo Gomez, Development and Human Rights consultant, Columbia and Solin Chan, ChildFund Cambodia Introduction The other players, citizens living in poverty, have the Gil Pender seems suited to different times. Played by right to development and to active participation in their Owen Wilson in Woody Allen’s film ‘Midnight in Paris,’ own societies according to international agreement and Gil is magically transported each night back to Paris of the legislation across the world. But the third team, INGO 1920s, where he feels most at home — rubbing shoulders staff, often behaves like Gil Pender, dreaming of a with Ernest Hemingway and Gertrude Stein is much more previous world, confusing matters by remaining on the exciting and meaningful than living in drab, superficial field — assuming duty-bearer responsibilities, weakening 2010. the power of citizens. Gil’s fiancée Ines describes him as one of those A third modality is explored through case studies included in this paper. As developing country governments people who live in the past. People who think that their build their capacity to fulfill rights, leading even where lives would be happier, if they lived in an earlier time. they might not initially be financially capable, and as (excluded) citizens become active in claiming their rights, Her pedantic former college flame pontificates that the following case studies illustrate how INGOs are finding ways to play catalytic roles supporting both the name for this fallacy is called ‘golden age thinking’... ‘teams’, instead of invading the football pitch. the erroneous notion that a different time period is better than the one one’s living in. It’s a flaw in the romantic imagination of those people who find it difficult to cope Case study — Guatemala with the present. In 2004, Plan International celebrated 25 years working in rural communities in Guatemala. Alongside the celeb- Like Gil Pender, many of us working in international rations, country office senior management decided to use NGOs (INGOs) share Gil Pender’s nostalgia for the past, a this milestone to assess program results. They decided to past when we cut our teeth on participatory methodologies review sectors that had seen substantial investment over and implemented community development projects. this period. Evaluations of work in water and sanitation, But since the Paris Declaration of 2005, times have education, and health were carried out by independent, changed. Now, partner countries are to exercise effective specialised local NGOs. leadership over their development policies and strategies, Results were revealing. For example, an assessment of and co-ordinate development actions. Donors are to base water quality in 447 rural communities found that 97 per their overall support on partner countries’ development cent were accessing unsafe water. Evaluations of basic strategies, institutions and procedures. health and primary education programs revealed similar What is the role for INGO staff in this post-Paris outcomes: initial positive results had faded over the years. world? Three modalities can be seen. Firstly, there are At the same time, when people in the Mayan com- situations in which our organisations will still directly munities where Plan was working were asked who was implement projects, particularly in contexts of poor responsible for realising their rights, the great majority governance or in emergencies. Here, the full range of named NGOs. This was a surprising finding, given recent participatory methodologies we grew up using will be peace accords that had led to a recommitment by indispensible to achieving just and enduring outcomes. government to support these poor communities. In other situations, we will work to achieve positive Reflection on these results led to deep change for Plan change in partnership with local government or civil in Guatemala, a shift in approach based on addressing society, or with both. In fact, that is how most INGOs child poverty as a human rights issue. As seen by Plan’s work today and in this mode we continue to practice the country office senior management at the time, this shift participatory methods that worked before. would place active citizenship and government’s con- Increasingly, however, in the post-Paris world, this stitutional obligations at the center of program design and second mode of operation is the equivalent of fielding implementation. three teams on a football field: one team is out of place Fortunately, Guatemala’s constitution includes a solid and the game is confused. One team of players on this legal framework and establishes the required institutional metaphorical field, developing country governments, is foundation for such an approach — embracing free access building stronger institutions and (according to the Paris to basic health services and primary education, in addition Declaration) should be held accountable for development to a set of rights to survival, development, participation, results as duty bearers. and protection. 18 Development Bulletin 75 Over the next few years, as a result, Plan stepped citizens. Active citizenship was a concept that applied to aside, moving into a fundamentally different role all constituencies, starting with Plan staff. (Gneiting et al 2009). In part because a devastating civil conflict had just ended, a non-confrontational approach was Implementing programmatic changes adopted, bringing citizens and government together in Programmatic changes were implemented gradually at common cause. community level. Commitments made for ongoing projects Guatemala’s constitution was discussed in the — including direct assistance — were honored. Programs communities where Plan was working, emphasising the where state institutions were slow to reach communities, fundamental power of citizens, alongside their responsibility due to lack of resources or political will, were implemented to be actively involved supporting and monitoring state by Plan, but agreement was reached with these institutions institutions. Parallel discussions were held with government to ensure that they approved, and led, all activities. This officials, focused on their constitutional responsibilities and cleared the way for state institutions to ultimately take over. their duty to provide the services mandated by law. The driving force underlying the shift was that the Plan gradually began a shift from supporting com- commitments made in Guatemala’s constitution must be munity managed projects to supporting, technically and made real to all citizens. Those citizens gradually began to financially, state institutions responsible for fulfilling child advocate for themselves, with Plan’s support, encouraging rights. state action. An unexpected result of this process was that Plan Key challenges staff morale improved dramatically and measurably. Another important internal obstacle was that the old Implementing staff changes way of working had enhanced the power of NGO staff. In retrospect, the greatest challenge faced in this change They decided what projects were implemented, and where. was internal. Shifting Plan staff’s views required time and Plan’s new approach shifted this power back to citizens significant attention from senior management. Every and the state, where it belonged. aspect of the strategy needed to be discussed, tested and accepted by staff, because the success or failure of the new Strengthening local capacity strategy depended on them. An external review of Plan Guatemala’s approach was Staff readily accepted that the evaluations that were carried out (Bruno-van Vijfeijken et al 2009). Plan’s focus carried out in 2004 indicated an overwhelming need for on strengthening the capacities of citizens and government, change; they could see that the organisation could not and emphasis on the practical exercise of rights instead of continue as before, that community members were too human rights education, was seen as appropriate for the dependent and passive. They recognised that government social and political context in Guatemala. The approach of should, and could, be more accountable. increasing government services to rural and excluded But there were still major internal obstacles. Firstly, populations was seen as sensible. It was noted that the most since Plan had worked in Guatemala for so long, most significant change for Plan was the redefinition of its staff had been with the agency for at least a decade. They relations with communities and a greater engagement with had been recruited to manage community projects, and government institutions on a municipal and national level. It they had been trained to implement them based on a set of was clearly shown that Plan staff had a coherent vision of guidelines defined by headquarters. The change meant that the new approach and a high level of affirmation of the new they needed new skills. strategy. Staff needed to learn to work with line ministries to Finally, the evaluation pointed to evidence of greater build government capabilities to realise rights, aiming to agency and empowerment of communities and more ensure that the ministries assume management of all sustainable impact because the government was slowly rights-related programs. Finally, staff needed to learn how assuming its responsibility for the provision of services. to support communities’ understanding of rights, pro- moting their ability to take collective action to claim rights Case study — Cambodia through active citizenship. In effect, moving away from a After the general election organised by the United Nations project based relationship with communities. in 1993, Cambodia’s National Assembly was directly This shift took time. The new strategy was revised, elected by citizens for the first time since the Khmer- reshaped and approved via multiple discussions involving Rouge era, for a term of five years. A process of all staff over a year. Country office leadership realised that decentralisation and deconcentration of government was the first ‘community’ in this shift was Plan staff them- introduced at commune level in 2002 and, in 2009, district selves, having to change before leading others through the and provincial councils were indirectly elected by transformation process. commune councilors. Throughout that year, during which rights-based By law, each level of sub-national government is concepts and actions were checked and compared with the required to formulate development plans for its five year realities in local communities, staff were challenged to mandate, using a participatory approach involving at least practice these ideas in their own lives, as Guatemalan 60 per cent of households in each constituency. August 2013 19 ChildFund Australia has been working in Cambodia Conclusions and recommendations since 2007, beginning in Svay Rieng province. In 2010, These case studies describe how INGOs are beginning to Mr Uy Than, then district governor of Svay Chrum, Svay adapt to the new, post-Paris reality. Staff are learning new Rieng province, asked ChildFund to help facilitate the skills and roles: firstly, they are mastering national development of the district’s five year development plan. legislation and planning, so that they can enable inclusive, Taking note of the experience of Plan in Guatemala democratic governance at local levels. Both case studies outlined above, and noting the requirement related to included in this paper report experiences in this area, broad participation, ChildFund Cambodia responded to Mr showing that staff are gaining fluency in the legal and Than’s request in two ways. Firstly, ChildFund designed a programmatic framework for the realisation of human rights project aimed at helping the district council understand in their context. This is enabling them to bridge specific their role and responsibilities related to development needs national commitments to particular human rights with the in the area. At the same time, ChildFund supported the situations of excluded people. district council to develop and implement their five year INGO staff are learning how to mobilise excluded plan according to national standards. Finally, the agency populations. Ironically, in our rush to embrace results- worked to help mobilise local citizens, particularly youth, based management, logical frameworks, and linear models to participate in, and influence, the process. of human development (McPeak forthcoming), we have Extensive practical training was given to the district lost an entire generation of staff who came from activist 1 council planning team, and to citizens, by an external backgrounds. The case studies included in this paper consultant who is an advisor to the National Committee describe efforts made to begin to recover these skills — for Democratic Development. As a result, the district applying participatory methods in a new context. planning team conducted orientations with all stake- In the film ‘Midnight in Paris,’ Gil Pender comes to holders, including commune councils, on the planning realise that we should make the most of the times we live process. The planning team then organised community in, and not focus our energies on past realities. Near the consultations with villagers to identify their needs, end of the film he explains to Adriana, who he has met in consulting separately with children and youth. All data 1920s Paris, that he collected from different stakeholders were consolidated was trying to escape (his) present the same way you’re and a plan was drafted at the district. trying to escape yours, to a golden age. And he has an This draft plan was reviewed openly with stake- insight, ‘a minor one,’ that ‘I have to, you know, get rid holders, including youth and NGOs, and revised of my illusions … that I’d be happier in the past is probably one of them’. accordingly for district council approval before present- ation to provincial authorities for approval. Finally, the Likewise, INGO workers need to adapt the tools that plan was printed with support from ChildFund and worked well pre-Paris, such as participatory metho- disseminated to all stakeholders for their use. dologies, to our times. That means that in many, perhaps Svay Chrum’s five year development plan was the most, contexts, our role now is to help governments fulfill first to be approved among Cambodia’s 186 districts. their legal obligations towards all, especially those most excluded; and to help people (especially those most Having a plan is only the first step of a long journey. excluded) participate as active citizens. At a recent workshop to reflect on experience with this effort thus far (Rasmussen 2012), ChildFund Cambodia reconfirmed its journey on this path. A key priority Note 1 Another similar effort is underway in Uganda, supported by emerging from the reflection workshop was a commitment to expanding staff knowledge, awareness, and rededication ChildFund Australia; other agencies are exploring similar shifts. to this effort, in part by agreeing to pilot direct funding of a project identified in the five year development plan. References ChildFund staff roles will change in fundamental Bruno-van Vijfeijken T, U Gneiting, HP Schmitz and O Valle 2009, Rights-Based Approach to Development: Learning ways. Firstly, they will learn to play an advisory role to from Plan Guatemala, accessed 10 September 2012, support government decentralisation, mastering relevant http://www.maxwell.syr.edu/uploadedFiles/moynihan/tngo/P government systems, strategies and policies. They will LAN_guatemala_strategy_evaluation.pdf. need to master Cambodia’s constitution, government Gneiting U, T Bruno-Van Vijfeijken, HP Schmitz and R Gomez conventions and treaties, and laws related to human rights, 2009, ‘Setting higher goals: Rights and development, trade- especially child rights. And they will learn to establish offs and challenges in implementing a Rights-Based strategic collaboration with government to reinforce Approach to development’, in Monday Developments, decentralised planning, by identifying the right govern- December 2009, 19–20. ment counterparts and partners to work with and support McPeak M forthcoming, A Trojan horse? International development (to build their capacity and to encourage their ownership agencies embrace business practices and mental models, paper of their obligations). Secondly, staff will learn to promote presented at the Reconceptualising Development conference at Deakin University, to be published by Palgrave Press. active citizens, and, finally, ChildFund staff will learn Rasmussen, K 2012, The Rights Realisation Approach: Community advocacy skills in order to influence and promote voices reflection workshop, internal ChildFund Cambodia deconcentration, decentralisation, accountability, and document, available upon request. transparency. 20 Development Bulletin 75 Perspectives on participation and partnerships: Participatory planning and practice in Vanuatu Pamela Thomas,* The Australian National University Background organizations … no credible service delivery strategy can afford to ignore them (Cox M et al. 2007:69–70). With 35 years hindsight, the current study and practice of participatory development in the Pacific seems to offer AusAID Vanuatu was aware that the churches in little that is new. The benefits and the challenges, the Vanuatu, as in most Pacific Island countries, have well lessons, largely unlearned, have been known for many established village congregations as well as extensively years. However, with the recent recognition of the linked networks at local, national and international levels important role of religious or faith-based organisations in which are recognised as important building blocks for development (Clarke 2011:3) and AusAID’s formal participatory development. Van Heck (2003:2) illustrates recognition of the practical value of working in partnership the importance of common religious and/or ideological with civil society, including the Pacific churches, the belief systems in providing the motivation for improving situation is beginning to change. service delivery and engaging in poverty alleviation and Australia’s Independent Review of Aid Effectiveness Thomas (2010) has shown the strong influence of church- and AusAID’s response to it, An Effective Aid Program for based communities on maternal and child health. In the Australia, discuss the need for new approaches to aid Pacific, as in some other developing countries, it is the delivery including through partnerships with civil society. churches, not the state, that provide the bulk of health and The main benefits of this are seen as ‘civil society’s education services (Clarke 2011:2) and in some Pacific networks, perspectives and resources that the Australian Island countries, including Vanuatu, have done so for over government does not have’ (Commonwealth of Australia, 100 years. In Vanuatu, it is the churches together with the 2011:180) and … traditional governance systems, that today provide conflict resolution and the moral authority that underlies law and their presence on the ground … their connections with order in more remote communities (Thomas 2005:3).1 local communities, their ability to engage on policy issues and deliver assistance directly to those who need it The Vanuatu church partnership approach was also most (AusAID 2011:55). influenced by the 2009 Port Moresby Declaration (AusAID 2009) which calls for mutual accountability, AusAID recognises that engagement in community shared priorities, country-driven approaches, working with partnerships can be risky and may require skills within partners’ systems, and mutual trust. Using these guide- AusAID that go beyond traditional development areas … lines, this study considers how the following factors have AusAID would influenced relationships between program partners and the opportunities for community participation, mutual … need to adjust to engagement with a range of partners accountability and trust, collaboration, shared priorities, including NGOs and community groups … greater resourcing will be needed in partnership areas including and improved development opportunities: dedicated senior management (op.cit:182).  the composition of the partnership and level of partner involvement; Introduction  the cultural context and partner expectations of what This case study reviews the partnerships and opportunities constitutes partnership; and for community participation in AusAID Vanuatu’s  the structure of the program and the processes in place Churches Partnership Program (CPP). In particular, it for participating in program research, design, planning considers different perspectives of partnership and and monitoring. AusAID’s capacity to engage effectively as a partner in the program. The study is based on a review of the Vanuatu Background to the Vanuatu CPP CPP undertaken in 2011–12. The Vanuatu CPP provides an innovative, small scale and In a country where government has little influence or relatively risky approach to development assistance. It is reach outside the urban areas, AusAID’s decision to unusual in that it does not have a managing contractor, the establish a partnership with the churches was pragmatic design has no logframe or pre-determined, long term and influenced to some extent by an existing program in objectives or activities but allows the flexibility to take Papua New Guinea and the findings of the 2007 ‘Drivers advantage of existing and emerging opportunities. It also of change’ analysis of Vanuatu’s socio-political and takes advantage of a population that is 95 per cent actively economic context which recommended that: Christian (Government of Vanuatu 2009:8). … a coherent approach to service delivery will need to The budget of the CPP was $A4 million over three draw on non-state actors already present at local level, years. Its purpose, as outlined in the program design including churches, chiefs and community-based document, is for: * In collaboration with Anna Naupa, David Momcilovic and Obed Timakata, AusAID Vanuatu August 2013 21 The Vanuatu Christian Council and Churches in Vanuatu Table 1: The churches in the Church Partnership to individually and collectively play an increasingly Program, Vanuatu recognised and effective role in improving governance and service delivery at national and local levels. Percentage of Approx number Church Christian of members The major program focus is on rural communities who population comprise approximately 74 per cent of the total Vanuatu Presbyterian 70,000 33.0 population (Government of Vanuatu 2009:5), few of whom Anglican (Church of 25,000 13.4 have regular contact with the state or state services and Melanesia) most of whom are poor. Seventh Day Adventist 20,000 10.8 Church of Christ 8,000 3.9 Composition of the partnership Assemblies of God 7,000 3.5 Apostolic Church 5,000 2.3 The Vanuatu partners The Church partnership comprises 14 different organis- Source: Compiled from Vanuatu Churches Partnership ations: six Vanuatu churches,2 the five Australian NGO Program Baseline Report 2008:6 church partners (ANGOs)3 who support and oversee management of church involvement in the program; the The CPP organisational structure Vanuatu Christian Council (VCC) — the churches’ The CPP is organisationally complex with different umbrella group; the Government of Vanuatu (GoV) and funding arrangements between the ANGOs, their Vanuatu AusAID. The churches in the program represent 67 per church partners and the VCC. This framework allows for cent of the country’s Christian population. the diverse church structures, capacities, hierarchies and ways of operating and recognises the benefits of leaving AusAID Vanuatu direct engagement with AusAID to the Australian church The AusAID program partners include a ni-Vanuatu staff NGOs. However, it meant a large amount of paper work member from a well known and respected family pro- for church partners and for AusAID. To function well, it viding in-depth understanding of Vanuatu, and two other also needed excellent organisation, communication and officers who also oversaw a number of other programs. collaboration and more importantly, initial clarification on exactly how the partnership was to function and what was The Government of Vanuatu to be incorporated within the different management roles. On paper, the GoV is a program partner. In practice it was This was initially overlooked. sporadically involved in the initial discussions but, with The administrative structure of the CPP includes a the exception of the GoV Department of Women’s Affairs, small Governing Council which provides oversight of the who occasionally attended meetings, there was no govern- program. The key decision making group, the Partnership ment involvement. This was unexpected as the churches Group, comprises representatives of all partner organis- play an important role in supporting the delivery of health, ations. Each ANGO manages the administration of its education and conflict resolution services. church partner including overseeing the contracts, budgets and the relationship with AusAID. The Vanuatu churches The Australian partners are individually responsible for their own program The Australian NGO partners are the development arms of development, strategies, activity plans, budgets, financial Australian churches which in the past provided mission management, implementation and evaluation, calling on support to their churches in Vanuatu. In the case of the assistance from their ANGO when necessary. Training in Presbyterian, Anglican and Seventh Day Adventist research, evaluation, budgeting and financial management, churches the relationship between Vanuatu and Australia including MYOB, was provided to the different church has been both strong and very long standing with a high administrators. level of mutual trust developed over 90 to 100 years. The complexities of the partnership, including the The partner experience and expectations large number of partners and marked differences in church The external review of the program found that the capacity, administration, size and location would not seem partnership, while overly complex and the meetings an auspicious start. It could be anticipated that this frequent, long and expensive, was effective in providing diversity, the different island locations of the church a consolidated and collaborative approach to key headquarters (Espiritu Santo and Efate) the five Australian development issues and very unexpectedly, in promoting based ANGOs (Sydney and Melbourne) and the resulting friendship, collaboration and trust between the different difficulties in communication would make a working churches. Prior to the program, church leaders report they partnership difficult not only psychologically but also never had discussions with the other churches and were physically and linguistically as in Vanuatu there are over suspicious of one another. By November 2011, churches 100 local languages and a marked division between were sharing program strategies and implementing col- English and French speakers. In fact, this diversity laborative development activities and training workshops. supported the establishment of strong collaboration. The reasons they gave for this included the regular and 22 Development Bulletin 75 open discussions made possible by the partnership greater availability of AusAID staff to help and explain activities, the flexibility of the program and the oppor- development problems, and provide more hands on, tunity provided for representatives of the churches to come practical support. The limitations to AusAID ‘partnership’ together — often for the first time — to share information, were not explained. to participate and to build trust. The collaboration and The GoV was conspicuous by its on-going lack of shared activities were an unexpected achievement in the participation in the program — a situation mirrored in two short years the program had been in operation. other AusAID-supported civil society programs including Although internationally there has been engagement those with Kastom Governance, Wan Smolbag and the in participatory development through civil society organis- Women’s Crisis Centre. Among the negative impacts of ations for many years, and most of the challenges and this for the CPP were the Ministry of Education com- achievements of partnerships are known, there has been plaining of AusAID financial support for education going limited recognition that partnerships and participation may directly to the churches without involving them and a GoV mean different things in different cultures and that this ban on the VCC holding public demonstrations following influences partnership expectations and dynamics. In a small, peaceful VCC-organised demonstration in Port addition, there remains limited recognition that donor Vila asking that the Government of Vanuatu provide the conventions regarding program design, monitoring and public with information on why they were considering evaluation are seldom conducive to effective partnerships accession to the World Trade Organisation and what the with civil society organisations but frequently isolate them likely impact of this would be.5 Had there been govern- from participation in planning or monitoring (Thomas ment participation in the program it is unlikely that these 2002:65–70). misunderstandings would have occurred. In the CPP, the church partners understood and expected inequality among partners — this was considered Participation and the process of program the cultural norm. An equitable alliance between AusAID design and the churches was considered impossible as inequality was inherent in economic and political control. Churches The CPP provides a rare and valuable model of saw their relationship with their ANGO partner as a participation in program design. The design is innovative mother/ daughter relationship and more recently as a big and unlike any of the many designs I have seen. The usual sister/little sister one.4 They were relationships of long- design process and structure are not conducive to standing trust. For the two small churches that did not partnership or participation. They are frequently under- previously have a long standing relationship with their taken by a consultant with limited or no contact with those ANGO, this was an unequal and initially difficult partner- who will be actively involved in the project or those ship where trust and friendship took time to develop. expected to benefit from it; designs are linear and built around a logframe; most local people involved in their However, the way the partnership functioned between implementation have no knowledge of the design as it is the churches was considered by ni-Vanuatu to be in line often considered commercial in confidence. It is still with their shared religious commitment — ‘sharing, typical for big programs to be managed by commercial willingness to assist one another, trust and opportunity to consulting companies who hire advisers, researchers and participate openly in discussion’ even when there were administrators allowing no opportunity for true partnership minor difficulties for some partners. For example, the with local organisations or governments (Thomas 2002: relationship between the smaller churches and their ANGO 65–71). The CPP is at the opposite end of the development could sometimes be uneasy, most particularly over group design spectrum in terms of process, participation, decision making — ‘they want things done too quickly’ partnership and design structure. and ‘in the Australian way’ rather than the slower and more collaborative Vanuatu practice of discussion and The situation analysis reaching towards consensus. Vanuatu representatives considered it a lack of partnership when the bulk of Prior to the decision to go ahead with a Vanuatu CPP discussion in the Partnership Group meetings was in program design, AusAID supported extensive consultation English. Neither English, nor the language of develop- between the churches and GoV. It sought a unique Vanuatu ment, were always understood, resulting in decisions made perspective on the role of the churches in governance and in the Partnership Group meetings sometimes being service delivery through a participatory review of each revoked after informal group discussions in Bislama — the participating church. Following training in hands-on widely spoken Vanuatu pidgin. In response to this, empirical research and analysis, church members con- AusAID initiated additional training in ‘development ducted research among their urban and rural leaders, processes’ and following partnership negotiations, agreed women, members of the community, young people, village to meetings being held largely in Bislama. chiefs and other traditional leaders seeking opinions on AusAID, while recognised as the key partner, was not development issues, the role and effectiveness of the what the ni-Vanuatu church representatives considered a church, and its role in service delivery. As several of those ‘true partner’. The problem had little to do with AusAID involved recalled: as a donor or the individuals involved, but lack of AusAID When all reports were complete, all church leaders and staff and staff time to participate fully. The churches representatives came together to analyse and discuss … expected their greater involvement and openness as well as It was a huge learning curve, with churches learning August 2013 23 about themselves, answering questions they had never ships between the churches. Training for church staff in been asked before … Each church talked about what computing, planning and budgeting had improved admin- they learned about themselves and then talked to other istrative systems; in collaboration with the Department of churches — their structure, what was their capacity, who Education training was being provided for rural primary had capacity, what organisational capacity was there and school teachers in teaching literacy in the vernacular; what needed to be developed … We thought about the role of the churches in Vanuatu society … and what was government approved training courses had started for the role of government and what was the churches’ role community nurses in rural villages and hands on training in government and governance … We discussed the mix for community leaders in monitoring and evaluation were of social and political structures. What was the churches’ being held on three outer islands. Program support for role in politics and what was its political structure. (Pers. improved communication between women’s church Comm. amalgamation of multiple participant comments, groups had led to joint church involvement in the November 14 2011). campaign ‘Say No to Violence Against Women’. The resulting document — the Vanuatu Churches Overall, the CPP showed great promise for making a Partnership Program Baseline Report — is a detailed real difference — delivering real results. But, it created analysis of each churches’ capacity, structure, involvement considerable difficulties for AusAID in terms of expecta- in service delivery, church leaders’ opinions and what their tions, time required for partners and managing the contracts. congregations feel they need. It provided the building In the words of the AusAID Vanuatu partners, ‘AusAID has block for the future program partnership. faced tensions between being both partner and donor and the power imbalance that this creates … the current grant Participatory design agreements foster a donor-recipient relationship rather than The program designer/facilitator worked with represent- true partnership … the kind of relationship that AusAID tatives of the ANGOs and churches starting from the would like to engage in in future would be for: churches’ goals, objectives and capacity and, together with 1. partners to view AusAID as a partner in development them, considered how the design might look. It was seen with whom priorities can be negotiated, rather than by partners to be a collaborative effort and churches saw simply tolerated and to share the risks; their ideas incorporated. There was a deliberate attempt to 2. partners to be prepared to admit to the funding partner make the design document simple and straight forward so when problems/issues arise; and people could make sense of it. 3. to embrace opportunities to proactively address In the words of the designer: challenges together rather than awaiting the advice of one, more dominant, partner. The document is about what people agreed. We protected their integrity and worked within their This kind of partnership is to some extent already capacities. There were lots of ideas, but we wanted to occurring with the bigger churches, but it is unlikely to be focus on what was practical and participatory, but it was fully successful without AusAID itself recognising that a a struggle to get AusAID to accept it, so we had to build trusting partnership takes considerably more time than on what we knew AusAID could live with and yet use a they are currently able to provide. It needs time to process that people were comfortable with. We needed negotiate priorities in a culturally acceptable way; the time to take the risk and go with the group and what the necessary for encouraging partners to discuss problems churches wanted (Pers. Comm. Paul Nichols AusAID, and the time to listen to the problems; and the time and November 12 2012). available personnel to help partners proactively address The experience pointed to the importance of having challenges. The onus here is on the donor and to a lesser designers with cultural understanding, local knowledge extent on the ANGOs, not the other partners. Above all, and facilitation experience which could also help the CPP needs time to settle in and explore the new overcome a situation where not all partners had sufficient opportunities the partnership offers. or equal information to participate fully. This was time consuming. The other vital factor in the CPP was a Measuring up to the Port Moresby Declaration designer with in-depth knowledge of AusAID, its program design requirements and understanding of the extent to In terms of the Port Moresby Declaration the CPP to a which the design could be negotiated within the large extent has provided mutual accountability, has shared organisation. The capacity to broker an innovative design priorities and values, and its activities are country, and that was acceptable to all partners was critical to the often rurally, driven. It works within well-established establishment of the program. partner systems and, after two years, there is a reasonable degree of mutual trust. In addition to the Port Moresby Declaration, the CPP directly supports the rural poor. The review outcome But, the future of the CPP is uncertain. Although the program had only been operating for two It may be timely for AusAID to reconsider its years, the 2011 review found that it was beginning to response to the Independent review of aid effectiveness. expand and improve education and health services, school and health service water supplies, church administrative We will work with democratic and political structures to and financial capacity and to create development partner- support more inclusive and transparent decision-making 24 Development Bulletin 75 and involvement by poor people. In doing so, we will 3 Anglican Board of Mission, Baptist World Aid, Adventist engage with and support civil society groups ... we will Development and Relief Agency, Uniting World and Act for build enduring ties with future leaders to help them Peace (National Council of Churches Australia). develop solutions to development challenges, and we 4 As expressed by Pastor Kalsakau, CEO, Presbyterian will support local leaders (AusAID 2011:38). Church, Port Vila, 24 November, 2011. As Clarke (2011:3) has pointed out, it is probably 5 See Vanuatu Daily Post, Monday November 21 2011:2 instructive to consider that religion or religious organis- ‘VCC wants to break deadlock over WTO’. ations should not just be seen as a means to support donor- initiated development. References Anderson J 2012, State Society and Governance in Melanesia Lessons learned Discussion Paper 7. While I am loathe to suggest lessons learned as they never AusAID, Commonwealth of Australia 2011, An Effective Aid seem to be, the Vanuatu CPP is illustrative of a new way of Program for Australia: Making a real difference — delivering doing development business and perhaps the lessons might real results, Commonwealth of Australia, Canberra. be useful. The program is a genuine effort to allow AusAID 2009, ‘The Port Moresby Declaration of Australia’s flexibility, to take advantage of emerging opportunities and Partnerships for Development in the Pacific’, to encourage real participation in design, partnership and Commonwealth of Australia, Canberra. collaboration. In my opinion it was a risk well worth taking. Clarke M 2011, Development and Religion: Theology and Given time to build the partnership, trust and knowledge, it practice, Edward Elgar, UK. could be an example of effective development practice that Clarke M and J Donnelly 2009, ‘Learning from the Missionaries: actually reaches the isolated and the poor. Lessons for secular development practitioners’, paper presented at Edinburgh 2010 Commission VII Forum, The lessons learned from the CPP are: Edinburgh 11–12 June. 1. Partnerships require a departure from the ‘business as Commonwealth of Australia 2011, Independent Review of Aid usual’ approach to traditional program management. As Effectiveness, Canberra. key partners, donors need to invest in allocating the Cox M et al. 2007, The Unfinished State: Drivers of change in appropriate level of human and financial resources Vanuatu, AusAID, Canberra. towards its partnerships. Government of Vanuatu 2009, Vanuatu National Census of 2. Some difficulties can be avoided if partners are Population and Housing, Port Vila. proficient in the same language and reside, at least in the James R 2009, ‘What is distinctive about FBOs?’ Praxis paper same country, if not the same island. 22, Oxford INTRAC, in M Clarke (ed.), Development and 3. Partnerships are likely to be more effective if the partner Religion: Theology and practice, 2011. organisations share values and concerns. Marshall Katherine 2011, ‘Foreword: Religion and develop 4. Building trust and mutual accountability and true ment — towards authentic mutual understanding and partnership between diverse organisations takes time. creative partnerships’ in M Clarke, Development and 5. The roles and relationships of participating organisations Religion: Theology and practice, Edward Elgar, and the structure and operation of the partnership need to Cheltenham, UK. be agreed at the outset. Thomas P 2002, ‘Development Project design: Towards better 6. Partner engagement in initial research and program practice’, Contesting Better Development: Pathways to design encourages ownership, responsibility as well as better practice, Institute of Development Studies, Massey partnership. University, Palmerston North. 7. To achieve donor acceptance of an innovative design Thomas P 2005, ‘Religious affiliation and health: The case of requires in-depth knowledge of the donor’s design immunisation in Vanuatu’, paper presented at the international requirements and an ability to broker acceptance. conference ‘Civil society, religion and global governance’, 1–2 September 2005, Australian National University. Individuals and individual relationships can impact on Thomas P 2010, ‘Community fragmentation and unsustainable outcomes. As inter-relationships can seldom be foreseen development: Maternal child health in rural Vanuatu’, paper any partnership is an informed gamble. The CPP was one presented at the NZ DEVNET conference ‘Making worth taking. Development Sustainable’, 1–3 December 2010, Massey University, Palmerston North. Van Heck B 2003, ‘Participatory development: Guidelines Notes 1 on beneficiary participation in agricultural and rural Also see James 2009:7 and Clarke 2011 for role of religious development’, prepared for the Food and Agriculture organisations in resolving conflict, promoting peaceful co- Organisation of the United Nations, Rome, September 2003. existence. 2 Vanuatu Church Partnership Program 2008, ‘CPP Baseline Report’. The Anglican Church of Melanesia, the Apostolic Church, Vanuatu Daily Post 2011, Monday November 21, p2 ‘VCC Assemblies of God, Church of Christ Conference, the wants to break deadlock over WTO’, Port Vila. Presbyterian and Seventh Day Adventist churches. August 2013 25 Capacity building with LeGGo: Expanding participation in Nepal Brad Watson, Avondale College of Higher Education and Mark Webster, Adventist Development and Relief Agency Introduction courage to demand or seek access to services … In 1999 the government of Nepal passed the Local Self- (Subramaniam 2003:1) or to initiate community-led Governance Act (LSGA) to devolve administrative, improvements. judicial and fiscal powers to locally elected bodies. In this Capacity building context, improving the capacities of communities and Baser and Morgan (2008) note that capacity is essentially marginalised groups to participate in local governance and about the ability to do something effectively and to sustain development activities remains a key priority for inter- improvement over time. They argue that people function national donors and the Nepalese government. Mindful of within a range of complex human systems and often suffer Baser and Morgan’s (2008) five core capabilities, this from both low levels of capability and system blindness. In paper reviews an ambitious attempt by the Adventist this context the challenge for external interveners is Development and Relief Agency (ADRA) in Kavre arguably one of making systems visible and encouraging District to enhance local capacity through a two year the emergence and growth of capabilities on a micro level Leadership and Good Governance Project. The central to engage with and function within those systems. For question explored is whether a combination of government example, in Nepal this might involve: training leaders of staff training, community mobilisation and active com- women’s cooperatives in leadership and management; munity leadership in 60 micro projects has resulted in raising awareness of legal and political rights; and increased capacity of CBOs or communities as actors in a facilitating engagement with local government and funding participatory development process. partners. Baser and Morgan (2008:26–32) define capability ‘... as Background the collective skill or aptitude of an organisation or system Development in Nepal is challenged by a number of factors to carry out a particular function or process ...’ and identify including difficult terrain and geographic remoteness, lack five core capabilities: the capability to commit; the of institutional capacity, an unresponsive political climate, capability to carry out technical, service delivery and growing divide between rich and poor, declining returns in logistical tasks; the capacity to relate and attract resources the agricultural sector, underinvestment in human capital, and support; the core capability to adapt and self-renew; and caste discrimination and the ongoing legacy of civil war and finally, the capability to balance diversity and coherence, political instability. While recognising Nepal’s progress in building networks while managing paradox and tension. To improving overall human well-being, it is noteworthy that, some extent all of these capabilities are required by ‘many groups still appear to have been left out of the community based organisations (CBOs) in Nepal and while development process’. (Wagle 2011:7). governments would normally assist with such capability development, the reality is that international non- Despite these challenges, with the support of inter- governmental NGOs (INGOs) often play a key role. national aid agencies, successive governments in Nepal have sought to increase participation in development and In Nepal, capacity limitations and system blindness improve access to services through programs aimed are very real issues. Local stakeholders and grassroots towards the decentralisation of governance and service organisations often have constrained capacity, low provision. In 1999 Nepal passed the Local Self confidence, minimal awareness of local governance Governance Act (LSGA) which devolved administrative, processes and lack of experience in accessing funding judicial and fiscal powers to locally elected bodies. In sources. An assessment conducted by ADRA Nepal theory the Act provides for better representation of identified low capacities and lack of management know- disadvantaged groups in local governance and greater ledge among government officials, as well as low civil participation in development processes. society participation amongst a number of factors limiting the effectiveness of governance strategies for promoting Innovations such as the Local Governance and participation and empowerment (ADRA, 2008). In the Community Development Programme (LGCDP), run words of one Nepali cooperative member interviewed in jointly by the Ministry of Local Development and United 2012 ‘We don’t know how to approach the government’. To Nations agencies, seek to institutionalise systems and complicate matters, local government is often unaccustomed mechanisms for decentralised and inclusive local to working closely and collaboratively with community governance (Scanteam et. al 2009). Provisioning District based organisations (CBOs), including cooperatives. Development Offices with funding for community led development initiatives is part of this process. However, as is the case in India, building the capacity of local LeGGo project stakeholders and community-based organisations is Mindful of the need to develop the capacity of CBOs and essential in regards to their … dignity, confidence, and local government in Nepal to work together towards local 26 Development Bulletin 75 development objectives, The Adventist Development and development in which communities have ‘direct control Relief Agency (ADRA) in Nepal began to explore new over key project decisions, including management of programming methodologies during 2006. Building on investment funds’ (Mansuri and Rao 2004:2). these early experiences, the Leadership and Good Governance Project (LeGGo) was implemented by between January 2009 and December 2010 in partnership Research methodology with local government — the District Women’s Develop- A post-project evaluation of LeGGo was carried out in ment Office (DWDO), CBOs and communities in 10 June 2012, approximately one year after project activities Village Development Committees (VDCs) in Kavre ceased for the majority of challenge projects in Kavre District. Small-scale monitoring and follow-up activities District. The research was qualitative and is best described for some communities extended into late 2011. as mixed-method, utilising a combination of focus group The first component of the LeGGo project focused on interviews and participatory, visual evaluation tools. For improvement of leadership capacities and management example, participants rated their satisfaction on key skills at the District Government level. ADRA sought to outcomes by placing sticky notes beside a range of enable officials in Kavre District, ‘to effectively utilize local expressive faces and then moved the sticky notes after resources, efficiently manage new development projects, discussion and dialogue. adequately identify local needs, and provide higher quality The research team analysed ADRA’s LeGGo project services to local communities’ (ADRA 2008:3). To do so records to identify four categories of Challenge Project ADRA Nepal provided a series of leadership and manage- that had been proposed by target communities — Water ment capacity building workshops for district officials. and Health 21/60, Roads and Buildings 16/60, Livelihoods The second component of the LeGGo project targeted Development 14/60 and Organisation Strengthening 9/60. CBOs for leadership and management capabilities Maintaining a proportional balance, a total of 16 challenge training. ADRA sought to, ‘enable them to more projects were randomly selected for evaluation. effectively design and implement projects related to During the course of the research each of the selected health, education, agriculture, literacy, income generation, project sites was visited and inspected by a team natural resource management, human rights, and other consisting of the lead researchers, ADRA Nepal staff and activities’ (ADRA Nepal, 2008:3). ADRA selected and research assistants including local translators. The trained 30 master trainers (MTs) who, using their new evaluation team met with key stakeholders (over 300) skills and knowledge, were empowered to train a ‘total of including ADRA staff, district government officials, 300 womens’ and farmers’ group members’ as local community facilitators, and community members who facilitators. were involved in, or aware of the challenge projects. Facilitators came from a selection of communities Informed consent was obtained in all cases through a identified jointly by local government and ADRA staff group information, question and consent process. The based on the following criteria: poor and marginalised majority of people involved were community members (generally assessed by ethnicity, caste or geographic and facilitators. isolation); communities willing to participate; communities Focus group discussions, incorporating a par- with existing CBOs (either womens’ or farmers’ ticipatory, visual capacity change ranking matrix, were cooperatives); communities accessible by public transport used to assess the perceptions of the primary stakeholders up to one full day’s travel (ADRA 2008:3). To provide relating to changes in the community and reinforcement of community groups with tangible skills, 60 Challenge three capabilities resulting from the implementation of Projects were identified by facilitators and CBOs, approved Challenge Projects. These were the attainment of by ADRA staff then provided with a very small amount seed leadership and planning skills, enhanced ability to elicit funding (12,000 Nepali Rupees or UD$130). With coaching community cooperation, and enhanced ability to mobilise and training provided by ADRA and the Master Trainers, resources. Data was disaggregated by gender to enable Challenge Projects were often undertaken with additional analysis of any patterns in the responses of men and contributions and support from the government Village women involved in LeGGo. Development Committees (VDCs) and District Develop- ment Committees (DDCs) and/or community fundraising Case studies efforts. The intent of the project was that beneficiaries and Chamunda Devi Village — Ugrachandi Nala VDC — CBOs would gain and retain the capacity to independently Kavre District identify local development needs, form action groups, The Nala Bridge Challenge Project is significant in that design interventions, obtain funding and manage the the small amount of seed funding -12,000 Nepali Rupees project itself. An implicit objective of these initiatives was (NR) — for the initial challenge project and training reducing system blindness in CBOs and improved sessions resulted in a series of community led projects confidence to work with local government to apply for spearheaded by a women’s cooperative that successfully funds for community led development projects. In this raised more than three million NR. Although the challenge sense the micro-projects are best seen as a vehicle for project did not result in large amounts of funding from the participatory development or community driven Village Development Committee or District Development August 2013 27 Office (just 25,000 NR), the funds mobilised within the confidence acquired during the challenge project had community were impressive and appropriate given the atrophied after LeGGo ended. wealth evident in the community and the size of the The limited transfer of skills and capacity was evident cooperative. in concerns expressed by female leaders. Despite With the cooperation of men, this women-initiated participation in training and the subsequent completion of project was able to construct a bridge, widen a village a Challenge Project, cooperative leaders insisted that they road, divert a creek, make a retaining wall, level a did not know how to plan a much needed additional water volleyball court, begin refurbishment of a temple and project, how to budget it or approach the government or construct a cremation area, significantly expanding on the NGOs for help. Community members were critical of their objectives of the original Challenge Project. Members of own abilities to initiate change, stating that, ‘Water is a big the women’s cooperative were asked to rate the success of problem here. We have to walk far. We don’t know how to the project out of a score of ten. They unanimously rated it go to get help from VDC or DDO’. 10 out of 10 stating that ‘the amount of funding was small Although they were moderately pleased with the but ADRA showed us the way’. When asked why the humble building they had constructed, the community project was successful the research team was informed that scored the project very low in terms of their satisfaction ‘the project was the number one priority of the community’ with the level of change in their capacity across all three of and despite some initial challenges ‘men and women the capacity domains studied. In particular leadership and worked well together’. planning skills were scored very low with a strong degree The community scored the project highly in terms of of consensus among the participants. Community co- their satisfaction with the level of change in their capacity operation and resource mobilisation were scored slightly across all three of the capacity domains studied. In higher as participants agreed that there had been cooperation particular leadership and planning skills as well as within the community and resource mobilisation from local resource mobilisation were scored very highly with a government to support the building construction, however, strong degree of consensus among the participants. overall participants l demonstrated a low level of confidence Community cooperation was scored lower and with less in their ability to retain new capacity. consensus due to some early challenges that had to be The research team identified several factors they overcome at the start of the project, but participants believe contributed to the lower levels of success emphasised that the end outcome had been very positive. experienced by this community. Critically, the leadership The research team identified several factors that they group involved in the project was largely illiterate which believe contributed to the success experienced by this inhibited some of their engagement in the project training. community. Firstly, the women’s cooperative was a More importantly, however, illiteracy coupled with a lack relatively mature organisation and had an established of confidence related to marginalisation and discrimination relationship with ADRA Nepal. Existing capacity was at a experienced by Dalits in Nepal, contributed to an inability level that was able to maximise the training and support to replicate the challenge project process without external provided by the LeGGo initiatives so that the project support and facilitation. Significantly, this community served as a catalyst for community led, participatory began with very low levels of pre-existing capacity and development. Secondly, the challenge project selected was community mobilisation, and was less able to leverage one which benefited the whole community and enabled existing capacity for ongoing community development. widespread ownership (including support from men despite the project being initiated by a group of women). Furthermore it was closely linked to important community Observations and learning priorities with clear economic, cultural, religious and Reduced system blindness safety benefits. Eleven out of the 16 community groups included in the assessment accessed external funds (ranging from 4,750 to Narayansthan Dalit Village — Hokse VDC — Kavre 50,000 NR) from local government or other non- District community sources for their initial Challenge Project or The Challenge Project selected by the community in for subsequent, independently organised projects. Six of Narayansthan consisted of a clay brick community the community groups attained government funds for building. The project is significant for its apparently low additional post-Challenge Projects (ranging from 17,000 to level of success and an insightful discussion among 450,000 NR) despite five of them being unsuccessful in beneficiaries in which some community members demon- obtaining funds for their initial challenge project. In one strated reluctance to critisize the project for fear that this case a 12,000 NR challenge project to build a shoe storage would result in reduced future support. For example, one facility in a local temple was not matched with any participant said ‘If we give low score ADRA will not help government funding but the skills built in the community in future’. Once this fear had been addressed, it became enabled them to plan and implement several successive apparent that although 50,000NR was successfully projects with funding in excess of 1.2 million NR. Success obtained from local government for construction their in accessing government funds was higher in more community building, and the project was completed using established cooperatives and groups with higher levels of scarce village labour and resources, the skills and literacy. 28 Development Bulletin 75 Improved community mobilisation and cooperation Conclusion Fourteen of the 16 communities involved in this study Capacity building by ADRA to enhance the participation demonstrated relatively high degrees of community of vulnerable and marginalised communities at the micro- mobilisation to plan and implement challenge projects as level in Nepal’s Kavre District was most successful where well as additional follow-up projects in a number of cases, some form of existing capacity existed and where there despite frequently expressed concerns that the financial was a cohesive group of stakeholders who agreed on a incentive offered by ADRA Nepal was far too small. Only priority. Such groups were capable of mobilising significant two of the 16 failed to raise any funds within the community and government support for their own community. While it was difficult to estimate labour, cash development projects, despite very small amounts of seed and local materials contributions, the research team found funding. that community estimates of their contributions ranged Micro-level capacity building was least evident where from 3,000 to 1.5 million NR. After removing those two smaller groups within a community, with vested interests, communities which raised nothing, and one community allocated resources for self-gain. Where such dynamics which raised a relatively large amount, the average per were present the inclusion of less powerful groups within community was 32,000 NR (approximately 435USD). the community was hampered, resulting in reduced spread Women’s cooperatives involved in LeGGo and the of leadership and management skills, and limited com- implementation of community challenge projects also munity cooperation. Projects such as LeGGo can also reported significant gains in membership. Challenge inadvertently result in the formation of temporary groups projects that served genuine community-wide needs rather which lapse, and lose capabilities once the project is than just the needs of a small group within the community complete, unless identifiable risk factors associated with generally showed higher levels of success in terms of this are managed. Although not included in the two case triggering increased (and ongoing) cooperation between studies presented above, an example is that of a small larger numbers of people and groups within the group of women who banded together to access a grant community. and subsequently spent the money on wool for a knitting business that benefited only themselves. Leadership and management in the community It is evident that the development of sustained The development and maintenance of leadership and management and leadership capacity in recently formed, management skills was more difficult to ascertain among or highly disadvantaged, community groups, such as a community participants. Only one project site provided Dalit cooperative, requires ongoing support beyond a copies of project documentation, timelines, budgets and single training and Challenge Project cycle. Based on written agreements. While the trainings provided were recommendations that ongoing support be provided for appreciated, it was clear that in some instances newly community groups with emerging levels of capability, a acquired knowledge was not transmitted to other potential follow-on project is using a modified and longer term beneficiaries. In the words of one disgruntled villager, ‘I approach involving a graduation process for communities was totally left out of the training. I know nothing about with evidently high levels of capacity. It may be that low what has happened’. In cases where existing capacity was capacity community groups would benefit from several relatively low it appeared that the single cycle of training concurrent Challenge Projects with proportionally and challenge project implementation provided for in the reduced, or perhaps even increased, levels of INGO LeGGo timeframe was inadequate to facilitate a sustained funding over time. transfer of leadership and management capacity to people from marginalised and disadvantaged groups. Nepal faces ongoing challenges related to inclusion and equitable distribution of the benefits of development. Leadership and management in local government Commitment to continued devolution of power and funding to local government remains a key platform of The long term benefit of training local government staff as Nepal’s development strategies. In this context, ADRA’s facilitators or MTs appears to have been limited due to the LeGGo project provides a useful methodology for high transfer rates of government staff in Kavre District. improving capacity on a micro-scale for a stronger civil Of approximately 25 government staff trained and directly engaged in LeGGo, only three remained in the area one society and greater inclusion of marginalised groups in year after the project had concluded. Comments from local, participatory development processes. Empowerment government officials who met with the research team and capacity development at a micro-scale is possible and indicated that capacity building provided to government can be catalysed by local NGO staff while respecting the staff was appreciated however, the number of staff trained tenets of community-driven development as enunciated by was inadequate. Other comments also suggested that the Mansuri and Rao (2004). In the words of one loosely LeGGo approach was not fully understood or supported by quoted water committee representative, ‘Before ADRA all government staff and the majority of staff wanted came we were not even thinking about this. Now 21 greater incentives provided to spend time in the field as households are benefiting. We are satisfied.’ The ongoing MTs. Just one of the government staff indicated that he challenge is to sustain such change over time, especially in was still regularly using the skills learned through communities and CBOs where pre-existing capacity is engagement with LeGGo. very low. August 2013 29 The authors wish to thank the ADRA Nepal staff who made Mansuri, G and V Rao 2004, Community-based and driven this research possible, the Avondale College of Higher development: A critical review, The World Bank Research Education students who assisted so ably, and the many Observer 19:1. community members who graciously shared their valuable Scanteam, UM, HP Acharya and NT Shrestha 2009, End time, experiences and suggestions. Evaluation of the Decentralised Local Governance Support Programme (DLGSP) in Nepal: End evaluation. Norwegian Agency for Development Cooperation: Oslo, Norway References http://www.norad.no/en/tools-and-publications/publications/ ADRA, 2008, Leadership and Good Governance Project publication?key=139861. Proposal, Adventist Development and Relief Agency Nepal. Subramaniam, M 2003, Capacity building and change: Women Unpublished internal document. and development in India. Women’s Studies Quarterly, Fall Baser, H and P Morgan 2008, ‘Capacity, change and 2003, 31, Research Library, 192. performance: Study report’. European Centre for Wagle, UD 2011, A Country Analysis With a Human Face. Development Policy Management Discussion Paper No 59B United Nations Country Team in Nepal. Available at available http://siteresources.worldbank.org/INTCDRC/ http://reliefweb.int/sites/reliefweb.int/files/resources/2012– Resources/CapacityChangePerformanceReport.pdf. 05–25–country-analysis-2011%20.pdf. 30 Development Bulletin 75 Opportunities and challenges of participation in transitional justice in Nepal Yvette Selim, University of New South Wales Transitional justice, which encompasses the processes and necessarily representative, individuals or groups (Cornwall institutions employed to address widespread human rights 2003; Cornwall and Jewkes 1995). Even if we address the abuses after conflict, has developed in relative isolation issue of who participates or who gains and ask the broader from development discourse. 1However, in recent years, a questions of who participates, who does not, who benefits growing number of academics, practitioners and policy and who loses (Chambers 1994), the difficulty remains of makers have advocated for the adaptation of participatory how to translate these voices into a means of influencing methods from development studies to transitional justice policy and on to relevant policy agendas that are (see for example, Lundy and McGovern 2008; McEvoy vulnerable to political and other considerations. and McGregor 2008; Robins 2011). Generally, openness to A key critique of transitional justice is that it is participatory methods has coincided with criticisms of the externally formulated and implemented and deprives local dominant transitional justice agenda which is deemed to be communities of agency. Madlingozi (2010:12) contends an overly legalistic, ‘one-size-fits-all’ top down imported that the dominant transitional justice agenda, frames locals blueprint which focuses on state-centric measures, pro- as either victims to be rescued or perpetrators to be cesses and institutions. These criticisms of transitional prosecuted rendering ‘them incapable or morally unworthy justice open up space for integration of participatory of positive contributions to peace building’. To address methods to enable inclusion. Thus, analysis of the use of these concerns, there has been growing momentum by participation in transitional justice is necessary. practitioners, academics and policy makers to take heed of This paper critically analyses participation in the literature, knowledge and experience derived from transitional justice and argues that a long term, deliberate development and participatory theory and practice (Lundy and considered approach that is sensitive to differences, and McGovern 2008). However, to date, participatory context and political interests is required. Using Nepal as a approaches have been utilised to a limited extent in case study this paper highlights the opportunities and transitional justice processes, and frequently after the challenges of implementing such approaches in practice. 2 transitional justice process had begun or had been completed.3 Too often the practical complexities of scale, time frames, funding and security trump meaningful and Brief overview of participation and authentic participation. In light of the outline of partici- development pation provided above, both in general and in relation to Participatory approaches emphasise the input of local transitional justice, the following section provides a brief people in various stages of policy making and program outline of the People’s War in Nepal and examines how implementation (Cornwall and Jewkes 1995; Gaventa and participation has been carried out in the transitional justice Cornwall 2006). When local people participate, they are process in Nepal. regarded as agents of change with the ability to transform power and social relations through their own praxis Participation in transitional justice in Nepal (Cornwall and Jewkes 1995; Gaventa and Cornwall 2006; On 4 February 1996, the Maoists proclaimed a ‘People’s Rahman 1993). Through participatory approaches, the War’ which resulted in an estimated 16,000 deaths over a transfer of knowledge is not just from researchers/ decade. The Maoists aimed to abolish the monarchy, practitioners to the locals but also from locals to the establish a people’s republic committed to the principles of researchers/practitioners and between locals (Chambers gender and caste equality, set up a constituent assembly to 1994). This overcomes what is deemed to be ‘legitimate’ draft a new constitution and to provide services for poor knowledge being solely derived from privileged experts rural areas. The conflict impacted the majority of the that has the effect of obscuring and under-privileging other country with only two of 75 districts not reporting forms of knowing and voices of knowers (Gaventa and casualties (Tiwari 2007). The conflict concluded with the Cornwall 2006). Yet, it is not only important to consider signing to the Comprehensive Peace Agreement on 21 who are invited to speak and who are excluded, but the November 2006 between the Maoists and the Seven Party extent to which people choose to participate and also who Alliance. By 2008, ground-breaking achievements had chooses not to participate, which can also be conceived of been gained with the official abolition of the monarchy, as acts and varying degrees of power (Cornwall 2003). the elections for the Constituent Assembly and the While the allure of romanticising the local is hard to declaration of Nepal as a federal democratic republic; resist, these new spaces are not immune from existing major objectives of the Maoist insurgency. power relations and can in fact reproduce and further entrench unequal power relations (Cornwall 2002). The Transitional justice process in Nepal process can also provide a distorted view of people’s As part of the Comprehensive Peace Agreement (CPA) aspirations and privileged voices of particular, but not both sides agreed to provide details of those who August 2013 31 disappeared or were killed during the conflict, including (OHCHR) and the International Organisation for informing family members about it, within 60 days of Migration (IOM) conducted strategic meetings and signing the CPA (CPA 5.2.3). Other provisions include a consultations where ‘internationally established principles National Peace Rehabilitation Commission (CPA 5.2.4), a and best practices of reparations were shared and victims guarantee not to encourage impunity and the right to relief were invited to share their expectations of the reparations for families of those who disappeared and torture victims policy being developed’ (IOM 2011). In 2010, ICTJ’s (CPA 7.1.3). In particular, the CPA prescribed that a Truth study assessed conflict victim’s experiences with the and Reconciliation Commission to probe ‘those involved Interim Relief Program (ICTJ 2011). It found that the in serious violation of human rights and crime against voices of victims helped to identify the gaps and additional humanity in course of the armed conflict and develop an elements are required to implement a reparations policy atmosphere for reconciliation in the society’ (CPA 5.2.5). (MoPR 2010). The Interim Constitution provided for the establishment of Fourth, participation in projects by individual a Commission of Inquiry into enforced disappearances researchers. Simon Robins’ participatory ethnography of (COD).4 family associations of disappeared victims found that Almost six years since the signing of the CPA, little victims’ needs were primarily to know the truth about their progress has been made on the transitional justice front. In loved one who had disappeared and for basic economic fact, it has been alleged that the TRC and COD are means support; and, while the respondents were in favour of to avoid accountability and that the interim relief payments justice, this was of relatively lower priority (Robins 2011). are being used to quell calls for prosecutions and A subsequent study found the participants’ priorities were establishment of the TRC and the COD. As will be seen (in decreasing order) livelihood, truth about the missing below, participation in this process has been limited. person and retributive justice. Families also reported that family associations were a source of information and Participatory attempts in Nepal advice about the transitional justice process and services Attempts at participation fall under four main themes. available (Robins and Bhandari 2012). First, participation in relation to the key transitional justice institutions. In 2007, the International Centre for The challenges of participation in Nepal’s Transitional Justice (an INGO) and Advocacy Forum (a transitional justice national human rights NGO) undertook a quantitative and I will discuss four primary problems with the way qualitative study entitled ‘Nepali Voices: Perceptions of participation has taken place in transitional justice in Truth, Justice, Reconciliation, Reparations and the Nepal: (1) the role of external actors; (2) hearing authentic Transition in Nepal’. This was the first study of its kind in victims’ voices (3) language: finding the ‘right’ words; (4) Nepal. The study was intended ‘to bring victims’ voices to creating safe spaces. the forefront of the national debate’ and to ensure that ‘transitional-justice mechanisms involve stakeholders, 1. The role of external actors especially victims and their families’ (Advocacy Forum and ICTJ 2008:10–11). Most of the victims surveyed Given that the transitional justice mechanisms were first incorporated in to the CPA, the first issue in relation to stated that their most urgent concerns and needs were of an participation is the process and the means by which economic and social nature. These findings sit in contrast transitional justice commenced in Nepal. An ICTJ report to the push for legal accountability by Advocacy Forum alludes to the impact of Hannes Siebert, a South African and other human rights organisations. consultant contracted by USAID as part of the US’s Nepal In response to intense lobbying from civil society and Transition to Peace Project and who was instrumental in victims groups, the newly established Ministry of Peace and the adoption of the South African Truth and Reconciliation Reconstruction (MoPR) conducted consultations for victims Commission model and yet prior to his involvement there and civil society to examine the draft TRC and COD bills. was limited discussion on the adoption of a truth While some of the suggestions were incorporated into the commission (Farasat and Hayner 2009). Not only is the draft bills, the bills retained controversial provisions which importation of a foreign model problematic, a prime civil society, the international community and victims’ participatory opportunity to ask the threshold question groups were opposed to (see above). about whether or not transitional justice should be Second, participation in studies on women. In 2010, pursued, when and how, was missed. Advocacy Forum and ICTJ published a pilot qualitative study on women. The report states that: ‘The process 2. Hearing authentic victims’ voices listened to the voices of women, and sought to document To date, most human rights work is done by specialists their experiences and opinions on how the conflict affected speaking for and about victims which has the potential to their lives, how they coped with the situation at the time further perpetuate victims’ marginality and disem- and after the conflict ended and to identify their present powerment rather than ensuring these victims act needs and demands’ (Advocacy Forum and ICTJ 2010:11– themselves (Robins 2011; Robins and Bhandari 2012). It is 12). here that victims’ groups have much potential to offer. In Third, participation in relation to reparations. The Nepal, some victims’ groups represent victims of both Office of the High Commissioner for Human Rights sides (the Maoist rebels and the State) while others focus 32 Development Bulletin 75 on certain types of victims (for example, women or without sapping their momentum and making them prone families of the disappeared). Some victims’ groups have to ‘projectisation’. the institutional backing of specific organisations (e.g., ICRC, OHCHR, the Informal Sector Service Centre or 3. Language: finding the ‘right’ words INSEC, Advocacy Forum, Amnesty Nepal). These In Nepal, terms such as ‘reconciliation’ and ‘forgiveness’ supporting organisations have arguably helped to make have been confused and at times appropriated for political these victims’ groups more visible and have given them agendas. A transitional justice practitioner at an inter- greater recognition, particularly by the government, and national organisation cited a time when ‘reconciliation’ provided varying degrees of financial and technical was translated to ‘friendship’ and spoke about idea of support. Victims’ associations are generally more producing a Nepali Transitional Justice Glossary. Also, accessible than trying to identify individual victims politicians frequently speak about the ‘reconciliation’ unattached to organisations. Thus, over time, these when it seems they are referring to ‘settlement’ or even associations have been invited to various meetings and ‘amnesty’. In a country where there are over 100 workshops in Kathmandu and regional headquarters. languages, the choice of language is also significant. Most While victims’ groups have much to offer, they are not meetings and surveys are conducted in Nepali or English, without challenges. There is a danger that by inducing which limits (or even excludes) the extent to which people victims’ groups to be formed, rather than being created not fluent in these languages can participate. Participatory organically groups that are the most organised and attempts can be circumscribed by the language used and accessible will be privileged and heard at the expense of who chooses and defines these key terms, however, this less accessible (or uninvolved) victims. The extent to challenge can be minimised if there is greater attention which victims are aware of these groups and/or participate provided to the meanings the participants prescribe (rather in them is also worth asking (see Robins and Bhandari than the facilitators or the program designers and 2012). Although one human rights activist reported that sponsors). they encouraged uninvited victims (who were not part of victims’ groups) to also attend consultations. This shows 4. Safe spaces the challenges of selecting various individuals or groups as Many of the consultations conducted appear to have made representative of the voices of victims. With funding and varying attempts to ensure that the participants were institutional support provided to some of these victims representative of different types of victims and geo- groups there is also the danger that victims’ groups will be graphically representative. However, an issue that was pitted against each other. perhaps not adequately addressed was how safe people felt It is unclear the extent to which these groups consult expressing their voices in these spaces. Frequently, victims, with their members and the scope of their representation. perpetrators and political and army personnel were in the Some self-designated victims’ group leaders may not same space which poses problems given the high level of necessarily (re)present the views of their members, those mental health issues that have gone unaddressed in Nepal for whom they purport to speak. Obstacles to inclusive and the lack of reconciliation activities. participation of minority groups are exacerbated as many of these groups have had fewer education and professional Conclusion opportunities. What happens if victims within these groups It is evident that calls for bottom up victim-centric have divergent or conflicting voices? There is a danger in transitional justice processes are growing and much can be that different voices both within and between victims’ learned from participation and development discourse. groups are hushed to ensure that at least some voices are Giving victims the space to be heard not only ensures that heard. Several victims’ groups have spoken about the need transitional justice process addresses their needs but it ‘can to present a united front in order to have their voices heard also address the larger agenda of ensuring that the most by the government and donors. There is also the danger of marginalised voices are heard in that transition.’ (Robins framing policy narratives on transitional justice as being and Bhandari 2012:14). Victims’ groups are a key avenue about victims as a homogenised group. This is particularly through which to ensure participation and they can provide the case when victims’ groups are comprised of different a means to mobilise victims and their voices but ultimately categories of victims and different voices within these these victims’ groups have their own limitations. Par- groups can become conflated, and submerged within the ticipation offers the potential for transitional justice generic category of the victims. processes not to be functionally divorced from local The source of institutional and financial support communities but care must be taken to ensure that the provided to these victims’ groups should also be bottom up/local priorities are not overridden by pre- considered as they can shape participatory outcomes. determined top down agendas and transitional justice According to a human rights advocate, you can predict packages. what a victims’ group will ask for based on the position of the organisation that supports them. Thus, there is a need Notes to find avenues through which these organisations can 1 One area of inquiry has been the relationship between independently pursue their goals while being provided transitional justice and development with socio-economic with adequate technical, financial and institutional support rights or distributive justice. See Selim, Yvette (2012), August 2013 33 ‘Transitions: creating space to address injustice after conflict Cornwall, Andrea 2002, ‘Locating Citizen Participation’, IDS or political turmoil’, http://www.opendemocracy.net/ Bulletin 33 (33) 49–58. opensecurity/yvette-selim/transitions-creating-space-to- Cornwall, Andrea 2003, ‘Whose Voices? Whose Choices? address-injustice-after-conflict-or-politica%3E and Waldorf, Reflections on gender and participatory development’, Lars (2012), ‘Anticipating the Past: Transitional Justice and World Development 31 (8) 1325–1342. Socio-Economic Wrongs’, Social & Legal Studies 21: 171– 186. Cornwall, Andrea and Rachel Jewkes 1995, ‘What is 2 participatory research?’, Social Science & Medicine 41 (12) To date, there have not been comprehensive consultations 1667–1676. conducted in Nepal. Efforts to acquire documentation about consultations were quite difficult. In particular, it was Farasat, Warisha and Priscilla Hayner 2009, ‘Negotiating Peace difficult to determine how participants were selected, the in Nepal: Implications for justice’, Institute for method of invitation and degree of representation and how Peacebuilding/ International Centre for Transitional Justice, the input from these consultations was fed back and to accessed 5 March 2013, http://ictj.org/sites/default/files/ whom. Accordingly, this article relies heavily upon semi- ICTJ-IFP-Nepal-Negotiating-Peace-2009-English.pdf. structured interviews with key stakeholders (including Gaventa, John and Andrea Cornwall 2006, ‘Challenging the victims, and individuals/organisations involved in the Boundaries of the Possible: Participation, knowledge and consultation processes and studies) and publically available power’, IDS Bulletin 37 (6) 122–128. information. This article provides a snapshot of some of the studies on various issues (e.g. women, relief and draft ICTJ 2011, ‘From Relief to Reparations: Listening to the voices legislation). This is offered only as a starting point for of victims’, accessed 5 March 2013, determining what participatory work has been done in http://www.ictj.org/sites/ default/files/ICTJ-NPL-Relief-to- Nepal. While care has been taken to ensure that details Reparations-Report-2011-English.pdf%3E. contained are correct, owing to the exploratory nature of IOM (International Organisation for Migration) 2011, ‘United sourcing information, further research is required. Nations Peace Fund for Nepal (UNPFN) Project Status 3 The most popular approach has been the use of public Update for the period of April‐June 2011’, accessed opinion surveys. National Human Rights Commissions (e.g. 5 March 2013, http://www.nepal.iom.int/images/stories/ the Afghanistan Independent Human Rights Commission) Quarterly_update_April-June_2011.pdf%3E. have played a role in these consultations but often these Lundy, Patricia and Mark McGovern 2008, ‘Whose Justice? surveys have been conducted by (I)NGOs (e.g. the Rethinking transitional jusice from the bottom up’, Journal International Center for Transitional Justice) or academic of Law and Society 35 (2) 265–292. institutions. OHCHR has also provided expertise and Madlingozi, Tshepo 2010, ‘On Transitional Justice Entrepreneurs material support to Governments, National Human Rights and the Production of Victims’, Journal of Human Rights Commissions and civil society. For example, the Berkeley- Practice 2 (2) 208–228. Tulane Initiative for Vulnerable Populations, Human Rights McEvoy, Kieran and Lorna McGregor 2008, Transitional Justice Center at the University of California Berkeley has done from Below: Grassroots activism and the struggle for several qualitative and quantitative studies in a number of change, Hart Publishing, Oxford, 1–14. post-conflict countries seeking to provide ‘evidence-based MoPR (Ministy of Peace and Reconstruction) 2010, ‘The transitional justice’. Challenges and Success of the Interim Relief Program and 4 On the basis of provisions contained in the CPA and Interim Future Reparations Policy in Nepal’, Kathmandu. Constitution, and following the Supreme Court’s June 2007 Rahman, Muhummad Anisur 1993, People’s Self-Development: directive order, the newly established Ministry of Peace and Perspectives on particpatory action research, Zed Books, Reconstruction draft bills for the establishment of a TRC London. and the COD were made public in July 2007 and November Robins, Simon 2011, ‘Towards Victim-Centred Transitional 2008, respectively. Justice: Understanding the needs of families of the disappeared in postconflict Nepal’, International Journal of Transitional Justice 5, 75–98. References Robins, Simon and Ram Kumar Bhandari 2012, ‘From Victims Advocacy Forum and ICTJ (International Centre for Transitional to Actors: Mobilising victims to drive transitional Justice) 2008, ‘Nepali Voices: Perceptions of truth, justice, justice process’, accessed 5 March 2013, reconciliation, reparations and the transition in Nepal’, http://nefad.files.wordpress.com/2012/06/nefad_from- accessed 5 March 2013, http://ictj.org/sites/default/files/ victims-to-actors-summary-and-plan-of-action-eng.pdf%3E. ICTJ-Nepal-Voices-Reconciliation-2008-English.pdf. Selim, Yvette 2012, ‘Transitions: Creating space to address Advocacy Forum and ICTJ 2010, ‘Across Gendered Lines: The injustice after conflict or political turmoil’, accessed impact of Nepal’s conflict on women’, accessed 5 March 5 March 2013, http://www.opendemocracy.net/ 2013, http://ictj.org/sites/default/files/ICTJ-Nepal-Across- opensecurity/yvette-selim/transitions-creating-space-to- Lines-2010-English.pdf%3E. address-injustice-after-conflict-or-politica%3E. Chambers, Robert 1994, ‘Participatory Rural Appraisal (PRA): Tiwari, Bishwa Nath 2007, ‘An Assessment of the Causes of the Challenges, Potentials and paradigm’, World Development Conflict in Nepal’ Second Annual Himalayan Policy 22 (10) 1437–54. Research Conference Nepal Study Centre, Madison. 34 Development Bulletin 75 Using a community development approach for Aboriginal development in Central Australia Janet Hunt, Australian National University and Danielle Campbell, Central Land Council Introduction  to build an evidence base for the CLC’s community development approach and its contribution to increasing Research on agreements between Aboriginal people and Aboriginal capabilities; and extractive industries suggests that equitable benefits from such activity on Aboriginal land are rare. In Central  to share lessons learned with other government and non- government agencies. Australia the Central Land Council (CLC) has developed a new approach to generating benefits from land use agree- ments by establishing a Community Development Unit The community development program (CDU) and encouraging Aboriginal traditional owners to approach apply some of the income from land use agreements with Internationally accepted community development prin- mining companies and similar parties to community ciples including empowerment, community participation, development activities to assist them to ‘live well in two capacity building and good governance underpin the CLC worlds’. The paper discusses the strengths based com- approach. Staff facilitate participatory planning with local munity development approach that the CLC is using and people to identify their priority issues and develop outlines the latest findings from independent monitoring of appropriate solutions. The resulting projects, once given five of the major community development projects the unit final approval by the relevant group, are implemented is undertaking with traditional owners and Aboriginal largely with landowners’ own money (CLC 2009a, b). In community members. this way, the CLC’s community development program is inherently strengths-based. It starts with Aboriginal people Background defining the issues they want to address; it uses their own financial resources; it draws on their local knowledge and The CLC is a Commonwealth statutory authority operating involvement to design appropriate solutions; it utilises under the Aboriginal Land Rights Act (Northern Territory) Aboriginal decision making bodies and enhances these local 1976 and the Native Title Act 1993. It represents some governance structures to oversee project implementation. It 24,000 Aboriginal people speaking 15 different languages also draws as far as possible on local resources, infra- and living in very small communities across 771,747 structure, facilities and networks of support. The program square kilometres of the southern part of the Northern recognises that people understand their local context and Territory (NT). Its Council comprises 90 elected what is likely to work. Respecting local knowledge requires Aboriginal members all of whom are traditional owners of accepting that Aboriginal people will value some things in the land under its jurisdiction. In 2005, building on 30 their cultural and social life which are different to Western years of operating successfully in Central Australia, the values (Campbell and Hunt, forthcoming). This acceptance CLC established a dedicated CDU to develop a program to is essential in effective cross-cultural collaboration. This support land owners to utilise some of their money strengths-based approach is extremely important in the through community development processes. This included Aboriginal Australian context where a deficit model informs developing an organisational community development most policy and program design. framework (CLC 2009a), and implementing and evalu- Currently the community development program ating community development processes with interested includes six major regional projects, each with numerous landowning groups. The long term goal of the CLC’ s sub-projects: community development program is that Aboriginal people will be able to achieve their dual objectives of: 1. Warlpiri Education and Training Trust (WETT) Project. This has sub-projects relating to early childhood  maintaining Aboriginal identity, language, culture and development, youth and media, language and culture, connection to country; and secondary school support and adult learning centres.  strengthening their capacity to participate in mainstream 2. Uluru-Kata Tjuta Rent Money Community Development Australia and in the modern economy by improving Project (URM), which includes outstation infrastructure health, education and employment outcomes. upgrades, regional projects and specific projects in the The program’s objectives are: Mutitjulu community close to Uluru. 3. Granites Mine Affected Area Aboriginal Corporation  to maximise opportunities for Aboriginal engagement, (GMAAAC) Project which involves nine communities ownership and control, particularly in relation to the each with their own GMAAAC Committees. Projects are management of resources that belong to them; diverse but often relate to sports, youth, aged services  to generate service outcomes that benefit Aboriginal and other social needs. people and are valued by them, including social, cultural 4. Tanami Dialysis Support Service Project, now servicing and economic outcomes; 27 patients who receive dialysis services close to home. August 2013 35 5. Northern Territory Parks Rent Money Community monitoring reports for 2009 (CLC 2010), 2010 and 2011 Development Project, which is utilising rental income (Kelly 2011, 2012) indicate that, while still in its early from 16 Parks for community development initiatives. stages, the CLC community development program is 6. Community Lease Money Project, still in the early stages making steady progress on each of its four key objectives. of design, this major new regional project initiated in 2012 The purpose of the monitoring is to provide Aboriginal will involve 24 communities which have chosen to direct people with information about project outcomes, enabling substantial rent money to community benefit projects. them to learn from their experience, undertake more informed management of their resources and improve the These six projects each have distinctly different projects. It also provides accountability to landowners for management arrangements, decision-making models and the expenditure of their money. Monitoring also assists management processes, but common to all are the CLC staff to learn, it enables sharing of the results and the principles of Aboriginal decision-making, and a focus on processes of their work with other organisations, and it is outcomes sought by Aboriginal people, using significant building an evidence base for CLC advocacy of this amounts of their own money. 1 In all cases, sub-projects are approach to other agencies in Central Australia. implemented by local organisations with oversight by the CLC and the relevant Aboriginal governance group. In 2011 the process included monitoring of individual projects and sub-projects through analysis of reports from The role of CDU in facilitating local governance, those projects, independent interviews with community which is both culturally appropriate and robust in terms members and service providers within the relevant of corporate governance requirements, is a critical aspect communities, and reporting by CDU staff. The findings of the approach. CDU staff focus on working with strong, indicate that the CLC is successfully engaging Aboriginal capable, local Aboriginal leaders who are committed people in planning, implementing and evaluating init- to improving their communities and developing the iatives that are beginning to achieve Aboriginal develop- capacity of local governance structures. This requires time ment objectives. and involves helping people develop the necessary skills to run their organisations and committees. For example, the In relation to the objective of maximising oppor- GMAAAC project involves working with nine community tunities for Aboriginal engagement, ownership and control, committees across the Tanami Desert in an annual process the most recent findings indicate ‘considerable ongoing of setting priorities, developing projects, allocating achievement’ (Kelly 2012:8), particularly in the two large funding for implementation and reporting on outcomes. regional projects which have been operating the longest, WETT and URM. In the 2010 monitoring report, Kelly The CLC’s participatory approach contrasts strongly (2011) noted that in these two projects there was evidence with Aboriginal experiences of the broader operating of improving decision making, including a capacity to environment, which is extremely disabling. In Central obtain and consider all relevant information prior to mak- Australia Aboriginal people are routinely marginalised and ing a decision. The most recent report also noted that there disempowered. In particular, the 2007 Northern Territory has been considerable improvement in the sense of owner- Emergency Response (NTER) saw the Australian Govern- ship and control in GMAAAC projects over the last two ment abruptly take much greater control over many years, which is also encouraging. Governance capacity of aspects of Aboriginal people’s lives and communities, local GMAAAC committees is noticeably strengthening: including their town lands and the income of everyone in receipt of any type of government payment.2 The myriad We are getting new ideas from people; having a vote — changes created an environment of confusion and mistrust, learning and participating with each other. Everyone further disempowering and marginalising Aboriginal respects each other; it works well. Men talk with men, people (CLC 2008, Commonwealth of Australia 2008). women with women. Then we get together and talk in The 2008 dissolution of many small local community big group. No problems. councils, which were replaced with just three shires Committee is working better this year — we are sharing responsible for vast tracts of Central Australia, combined stories — what we need for the future. What actions are with major changes to the Community Development happening now (GMAAAC Committee members, Mt Employment Program (CDEP) since 2007, have also Allan) (Kelly 2012:24). reduced people’s sense of control over local government There are also reports in the monitoring of committee services and related programs. Taken together, these and members requesting services to provide itemised accounts other policy changes in the areas of urban development3 (e.g. for bus repairs) to ensure greater accountability, and bilingual education4 have created significant chal- requiring conflicts of interest to be declared, reforming lenges for community development approaches that seek how they allocate funds, and generally strengthening their to increase Aboriginal control. governance procedures. All of these indicate the develop- ment of greater governance capacity. The monitoring and evaluation program In the NT Parks Project, which began much more In 2009, with very limited resources, CLC developed a recently and is constrained by a lack of operational monitoring plan and began annual monitoring of the funding, while people are focused on control of their community development program, drawing on the resources, at this point they ‘did not identify that the expertise of an independent expert in monitoring and community development process had maximised this evaluating community development. Three annual control for them’.5 36 Development Bulletin 75 However, across the community development However, there were some issues which could affect program the external environment is perceived to be the value of the benefits from these projects. Some of disempowering. Overall the monitoring report found that: these are internal to Aboriginal communities, ‘such as intercommunity fighting or sorry business’, while some People are able to identify the greater control they have can result from the actions or often inactions of other over resources in CDU-facilitated processes. On the organisations which leave ‘communities feeling frustrated other hand, people feel disempowered by some other and stressed by the lack of services’ (Kelly 2012:10). processes, and this sense of disempowerment in turn undermines and conflicts with their experience of the A related challenge is that in Central Australia, key CLC’s community development approach (Kelly community leaders and influential decision makers are few 2012:8). in number with a multitude of competing demands. Consultation by a raft of government and non government Turning to whether people identified and valued agencies operating in the region is seemingly constant. In service outcomes, the 2011 report makes clear that they many places there is also a limited sense of ‘community’ could identify benefits, and how these were of value to beyond one’s close kin and thus little priority is accorded them, particularly in the three large longer-running ‘community’ projects with their planning meetings and projects, WETT, URM and GMAAAC. 6 related activities. In more extreme instances, there is For example one GMAAAC local committee member entrenched conflict and community-wide division. The observed: challenge is to work in such conflict-ridden situations in ways which ‘do no harm’ (Anderson 1999) and prevent The GMAAAC Project is making a big difference to projects exacerbating conflicts. A scarcity of appropriately community and improving our livelihood. Like we put skilled local conflict mediators can delay progress, but in money aside for grass on the oval, to make a better life. We also put money aside for a swimming pool. All good at least one case, we have witnessed an easing of conflict things that GMAAAC is doing, making a big difference within a community following the success of a community to people’s lives. Really helping out. Otherwise, it if development project. weren’t for GMAAAC funding different projects and Another issue relates to the value outsiders place on positions, who would we go to? (Kelly 2012:17). particular cultural and family-related activities. This issue was raised in 2010, and was less pronounced in the latest A staff member of an organisation in the same monitoring, but indicates that some external stakeholders community commented: ‘do not grasp the differences in world view that operate in GMAAAC projects have made a difference. We have the communities in which they work’(Kelly 2012:10) and projects here that are great, like funding for Art Centre the importance of maintaining cultural practices to enables younger guys to learn skills, making furniture. Aboriginal people. The experience of the CDU is that The set-up is to be commended. Same towards Wulaign landowners often prioritise expenditure on cultural and projects — they administer outstations, do roads and social initiatives. Government policies emphasise eco- upgrading of tracks. They enable guys to go out bush. nomic priorities including enterprise development and Some go out everyday hunting. WYDAC7 program does employment, English language, numeracy and literacy. a great job. GMAAAC doing a great job. People are Thus, there is a disjuncture between the approach of the looking after things from GMAAAC a lot more — more CLC in its support of Aboriginal aspirations to ‘live well respect and accountability for things. They didn’t look in two worlds’ and the approach of other service providers. after things so well before (Kelly 2012:17). The resulting impasse frustrates attempts to generate any In the 2010 monitoring report the same sense of sort of development — whether it reflects Aboriginal or benefit was identified in the WETT project by a other priorities. It is not that priorities (rather than policies) community member: are necessarily so different — Aboriginal people seek education for their children, and opportunities for adult WETT services are really benefiting the community, education and employment; they seek better health; they kids and elders and with jobs. It does really help are generating income from arts and crafts and building everyone. They are using WETT money in a really good small scale economic activities — but, on their own terms. way, like Mt Theo8 is doing a really good job of what’s Government policies very often appear to frustrate rather been asked of them (Kelly 2011:36). than support Aboriginal development. Within the URM Project, community members at The monitoring report also notes that ‘monitoring is Mutitjulu were able to identify real benefits for the com- now becoming an established part of the project manage- munity, a community which has been through some ment system’ (Kelly 2012:10). Work with partners to difficult times in recent years: improve the quality of their reports is starting to show results, although for some partners, such as local govern- The Rec Hall has been a really good thing for the ment Shires, reporting is ‘meagre and/or non-existent’, community. It’s giving kids interesting things to do, so making CLC monitoring of projects they manage difficult. they don’t get bored. Two challenges for the future will be: Mutitjulu has been a good place this year ... Rec Hall is i. to increase the involvement of Aboriginal communities good, making it good for the kids (Kelly 2012:39). themselves in framing the questions they would like to August 2013 37 see the monitoring processes answer and in the collection these initiatives into the school curriculum as Warlpiri and analysis of data, and people wish. 5 Some TOs around certain National Parks were unhappy at ii. to develop a better understanding of how ‘the community the initial decision made by the CLC Council that rent development approach supports and intersects with the money from the parks must be used for community capacity development of Aboriginal people’ (Kelly development purposes, and this may also be shaping some 2012:11), particularly to know which capacities attitudes to the CD program. Aboriginal people want developed, and the value they place on these capacities. Targeted independent evaluation 6 The 2010 report reported a similar appreciation of benefit in of some of the larger sub-projects which focus on impacts the Tanami dialysis project; in the NT Parks project there are also recommended for the future. were mixed views, hardly surprising as no projects had been implemented at the time of the monitoring. 7 WYDAC is the Warlpiri Youth Development Aboriginal Conclusion Corporation which runs a youth and media program funded The CLC’s efforts to undertake participatory development by WETT. with Aboriginal communities of Central Australia is 8 Mt Theo is another name for WYDAC. showing clear signs of success in empowering Aboriginal people to take control, make decisions, build their References governance capacity and deliver social, economic and Anderson, MB 1999, Do No Harm: How aid can support peace cultural benefits which people value. However, the or war, Lynne Rienner, London. challenge of the surrounding policy and governance Campbell, D and J Hunt forthcoming, ‘Achieving broader environment which is antithetical to these endeavours benefits from Indigenous land use agreements: Community remains. The CLC is now beginning to advocate for this development in Central Australia, Community Development community development approach to be used more widely Journal. by other actors in Central Australia, but at present the Central Land Council 2008, ‘Reviewing the Northern Territory policy frameworks, skills and attitudes of other service emergency response: Perspectives from six communities’, providers are not supportive of this and threaten to accessed 19 May 2010, www.clc.org.au/Media/ undermine the very gains which have been made to date. issues/intervention/CLC_REPORTweb.pdf. Central Land Council 2009a, ‘The Central Land Council Notes community development framework’, accessed 19 May 2010, www.clc.org.au/Media/papers/ 1 In 2011 the CLC CDU undertook planning in many remote CLC%20CD%20framework%20Sept%202009%20_2_.pdf. locations across the then five regional projects which saw over $7 million approved for 105 sub-projects. Central Land Council 2009b, ‘Community development in Central Australia [includes the ETT DVD]’, accessed 19 2 This policy has been subsequently amended but remains May 2010, www.clc.org.au/Media/ controversial. publications/community%20development/FINAL_2009_CL 3 Since 2008 the Federal Government has identified 15 C_CD_newsletter.pdf. ‘priority towns’ for enhanced infrastructure support and Central Land Council, Community Development Unit 2010, service provision, with only three of these in the CLC ‘Monitoring Report June 09–January 10’, unpublished region. In 2009, the NT Government followed this and report, Central Land Council, Alice Springs. added five more ‘growth towns’ in the CLC region. This has Commonwealth of Australia 2008, ‘The Northern Territory made it difficult to leverage complementary government emergency response: Report of the NTER Review Board, funding in locations not so designated and has encouraged Canberra’, accessed 19 May 2010, landowner groups to focus their resources on places not www.nterreview.gov.au/docs/report_nter_review.PDF. designated as priority or growth towns by the governments. Kelly, L 2011, ‘2010 Report on the Central Land Council 4 In 2008 the Northern Territory Government withdrew community development program’, Central Land Council, support for bilingual education in primary schools and Alice Springs, Australia. instead prioritised English language teaching. The WETT Kelly, L 2012, ‘2011 Report on the Central Land Council project has funded various Warlpiri language-based community development program’, Central Land Council, initiatives which were consistent with previous government Alice Springs, Australia. policy. It is now difficult to get schools to factor 38 Development Bulletin 75 The implementation of the capabilities approach in Cape York: can paternalism be a pre-condition for participation? Elizabeth Watt, The Australian National University Introduction Pearson claimed that the loss of jobs in the pastoral The turn of the 21st century is seen by many to mark a industry and the introduction of alcohol and welfare paradigm shift in Indigenous affairs. In response to ‘crisis’ benefits left the Indigenous people of Cape York with conditions in remote Aboriginal communities, the spare time, access to recreational drugs, and unconditional orientation of the self-determination era was called into funds from an impersonal source (Pearson 2000a). This question. Across the country, policy makers adopted ‘toxic cocktail’ undermined pre-existing Aboriginal approaches previously deemed unacceptably paternalistic. authority structures, which were based on responsibility and reciprocity (Pearson 2000b). Resilient communities Sutton (2009) described this shift as the ‘end of the were subsequently transformed into dysfunctional liberal consensus’, however the theoretical foundations of townships, ridden with alcoholism, violence, ignorance the new paradigms are unclear. Politicians have obscured and apathy. this issue by claiming evidence-based approaches now replace ideological ones, ignoring the reality that evidence Our Right to Take Responsibility shared some of the is only a tool to help policies achieve their philosophical diagnoses and policy prescriptions of so-called Third Way ends (Sanders 2009). The policy makers who have gone theories. Proponents of this philosophy positioned them- the furthest to clarify their normative orientation are the selves within the social democratic tradition, but argued architects of the Cape York Welfare Reform Trial that large bureaucratic welfare states have had a pacifying (CYWRT). effect on their citizenry. Like other Third Way thinkers, The CYWRT is a social experiment designed by Pearson called for the decentralisation of service delivery Aboriginal intellectual Noel Pearson and his Cape York to local stakeholders, who could use their moral authority Institute Policy of Leadership (CYI), and is being to encourage and enable people to take personal implemented by Cape York Partnerships (CYP) and the responsibility. Queensland and Federal Governments. The trial, which The most innovative aspect of Pearson’s work was the has been in place since 2008 in the remote Aboriginal way in which he used Aboriginal tradition as the basis of communities of Aurukun, Coen, Hope Vale and Mossman this critique of the welfare state. By stating ‘my elders did Gorge, contains a range of housing, education, health and not need the Third Way to tell them about the importance financial management programs. The cornerstone of the of our young taking responsibility’, he justified his agenda scheme, and the most controversial aspect of the CYWRT, as a revival of distinctly Aboriginal authority, rather than a is the Family Responsibilities Commission: a statutory replacement of Aboriginal social norms by outsiders body established in each of the communities made up of (Pearson 1999).This can be seen as both an attempt to local commissioners and one ex-magistrate, who have the ‘Indigenise’ his proposals and a reflection of Pearson’s unprecedented power to quarantine welfare payments experience of growing up in Hope Vale. based on reports from government agencies. The modern town of Hope Vale on the South East of Since 2005, Pearson and the CYI have framed the Cape York grew out of the Cape Bedford Lutheran mission CYWRT using the capabilities approach to development. which Pearson described as ‘one of the most successful This interdisciplinary development paradigm, first articu- missions to black people in Australia, at least in terms of lated by Amartya Sen, has been widely adopted as an converts’ (Pearson 1989:65). He was able to locate alternative to GDP based models of development. This ‘positive social norms’ — such as concern for formal paper speculates as to why the policy makers in Cape York education and labour market employment, the upkeep of appealed to the capabilities approach to rationalise their public and privates spaces, health-consciousness and reform, and examines how they have used it to justify sobriety — in recent Aboriginal history, because the paternalism as an apparent precondition to participation in community leaders in Hope Vale’s past held and upheld development. these values (Gibson and Pearson 1989). As Pearson was aware, however, the governance Pearson’s original proposals arrangements and values that prevailed in Hope Vale past The origins of the CYWRT lie in the work of Pearson. In were not universal to the socially and historically disparate his treatise, Our Right to Take Responsibility (2001), the Aboriginal communities of Cape York (ibid.). Indeed, in land rights lawyer from Hope Vale offered a revisionist his 2001 critique of Our Right to Take Responsibility, Martin history of Cape York. Rather than identifying colonisation (2002:324) — an anthropologist with extensive experience in as the start of Indigenous peoples social problems, as most Aurukun on the West Cape — noted that many features sympathetic Australians and Aboriginal activists were Pearson identified as recently developed ‘dysfunctions’ were inclined to, Pearson (2007:26) posited events in 1970s led deeply embedded and meaningful social practices that have to a ‘descent into hell’. origins within the Aboriginal domain. August 2013 39 Martin also noted that, as traditionally oriented considered a liberal theory, in the sense that it respects Aboriginal communities like Aurukun are ‘essentially differing concepts of the good life (including the right to acephalous’ and internally divided, there are no clear self-harm), or whether its implementation leads to centres of authority to be revived (Martin 2002:321). For perfectionist and paternalistic public policies. these reasons, he claimed ‘active intervention’ would be Pearson’s use of the capabilities approach played required to produce the kind of social change Pearson directly into these debates. In an opinion piece in The envisaged (loc.cit.). Observations from the design and Australian entitled ‘Choice is not enough’, he offered the implementation of the CYWRT seem to support this following interpretation: assertion. Sen’s starting point is the powerful liberal premise of Former CYP employee Phillip Martin (2008:37) individual choice. Ultimately it is individuals who will claimed the goals of the community engagement phase, determine the kind of life they value. But in order for conducted prior to the CYWRT proposals being put to the individuals to have choices, Sen argues, they must have Queensland Government in 2007, were largely to convince capabilities. Health and education are the most basic local stakeholders of the merits of pre-conceived policies capabilities, but political freedom and economic freedom rather than to inform the policies themselves. In a recent are also essential capabilities. Without capabilities, review of the FRC in Aurukun, Le Marseny described the choice can be a hollow conceit (Pearson 2007a). commission as a form of ‘externally supported leadership’, By arguing that there is a capabilities deficit in Cape York, not a ‘purely community grown and owned governance Pearson positioned the CYWRT as a freedom-enhancing system’ (Le Marseny 2012:25). Le Marseny argues that scheme; one that will enable Aboriginal people to this arrangement has contributed to the FRC’s success, as determine the kind of life they value: it has made it less vulnerable to ‘internal family, clan, and community pressure and the factionalising common to Indigenous children will be able to choose their own life Indigenous communities’ (loc.cit). path only after they have received the best education and This suggests that while the FRC employs particip- have been protected from ill health and neglect (ibid). atory means, by entrusting the local commissioners with Many undoubtedly agree with Pearson’s characterisation the task of social change, its ends are largely pre- of health and education as essential or basic capabilities. determined. It is therefore difficult to see Pearson’s aims However, in describing them as such, he overlooks an as purely the restoration of Indigenous authority and important feature of Sen’s capabilities approach. While responsibility. It is this tension in Our Right to Take Sen (1988:18) claims that capabilities are an important Responsibility, this paper suggests, that prompted the CYI space for evaluation, he deliberately avoids articulating a to look for a broader justification as they moved to list of essential or basic capabilities. In this way, he hopes institutionalise and implement the CYWRT. to make room within his theory for human agency and The following section introduces and explains their diversity. new framework, captured by the organisation’s mission Due to the intentionally incomplete nature of Sen’s statement: approach, it is described as the thin or technical view of The people of Cape York Peninsula will have the capabilities. As outlined above, Pearson’s use of the capabilities to choose lives they have reason to value capabilities approach to justify interventions into (Pearson 2005a:4). Aboriginal community life is not consistent with the thin view. However, for reasons that I will now explain, it can be argued that the Sen’s thin view is itself inconsistent. The capabilities approach in Cape York In his 1979 Tanner Lecture, ‘Equality of what?’, Sen (1979) first articulated the two key concepts of what Applying the Human Development Index would come to be known as the capabilities approach to The first inconsistency in Sen’s thin approach relates to his development: functionings and capabilities. The term involvement in creating the UNDP’s Human Development functioning denotes an individual’s ‘beings’ (for example, Index (HDI). Sen, along with economist Mahbub Haq, being literate) and ‘doings’ (for example, reading a book). created this composite measure of wellbeing for the United Capabilities refer to the positive freedom, or real Nations as an alternative to GDP-based country opportunities, a person has to function in different ways comparisons. Following Sen’s approach, the UNDP and their ‘ability to do valuable acts or reach valuable describe human development as the ‘process of widening states of being’ (Sen 1993:30). people’s choices’ (UNDP 1990:9). As Deneluin (2002:497) Sen attempts to reconcile the welfarist emphasis on points out however, by comparing countries based on a set equality with the liberal emphasis on freedom by calling criteria — literacy, longevity, good health, and economic for development schemes to focus on equalising growth — the HDI preferences certain choices above others. capabilities rather than functionings or resources. As noted In 2001, Australia was ranked fourth of the 187 in the introduction, he has been successful in influencing countries in the HDI. For the same period, however, policy makers, particularly since the 1990s. Yet an Cooke et al. estimated that the Aboriginal population unresolved debate exists among development theorists would be ranked around 104th (Cooke et al. 2007:10). The about whether the capabilities approach can actually be Northern Territory population taken on its own was lower 40 Development Bulletin 75 still, being ranking around 145th, close to Bangladesh and  play; and Sudan (Biddle and Yap 2010). The application of the HDI  control over one’s environment (both material and therefore strongly supports Pearson’s idea that there is a social). capabilities deficit in remote Aboriginal communities. Nussbaum’s list is intentionally vague, as she believes that these central capabilities need to be adapted to The dilemma of adaptive preferences specific contexts. However, unlike Sen, she claims that The second critique of the thin view relates to Sen’s appeal certain capabilities, particularly health and bodily integrity, to the idea of adaptive preferences. Commonly known as are so important for the development of other capabilities sour grapes, the adaptive preference theory presumes that that they can be considered ‘legitimate areas of inter- the downtrodden often adjust their expectations in light of ference with choice up to a point’ (Nussbaum 2001:95). adverse conditions. Sen uses the example of women in While it is Sen who Pearson cites in his opinion rural India who report good health, even when they are pieces, his idea of ‘basic capabilities’ is more compatible very ill. He claims that this subjective assessment reflects with the work of Nussbaum. As this paper has illustrated, the fact that these women have grown accustomed to ill however, there are features of Sen’s work that implicitly health and to putting their families’ welfare before their support Pearson’s more paternalistic approach. In light of own, and thus their desires have been distorted (Sen this observation, we can agree with Deneulin (2002), that 1990:126). Nussbaum’s thick version of the capabilities approach is a Sen employs the theory of adaptive preferences in his more honest alternative. critique of utilitarianism, which aims to maximise wellbeing by satisfying people’s desires. To remedy this Conclusion situation, he argues that education and the cultivation of Despite their definition of choice and freedom frequently critical reasoning is necessary before these women can deployed by Sen and the UNDP, this paper has demon- choose lives they have reason to value. Critiques of Sen’s strated that the capabilities and human development can be approach point out that, even though he posits non- used to justify interventionist and paternalistic policies. paternalism and values pluralism, this analysis of adaptive Put another way, it is inconsistent with the ideals of preferences opens the way for restricting people’s choices participatory development where schemes are fully particularly when that choice is not to seize educational informed by the stakeholder’s values and desires. It could opportunities (Deneulin 2002). be argued, however, that the capabilities and human This paternalistic potential can be illustrated in the development approach is still oriented towards producing context of discrete communities. Despite their low position a type of participation; albeit a different one from that on the HDI, Biddle (2011:8) suggests that people in enshrined in the participatory paradigm. remote communities are less likely to report ill health or As outlined in this paper, the notion of participation feelings of unsafety than Aboriginal people living in urban embedded in the capabilities approach is that of a rational, areas. Applying the theory of adaptive preferences, it could informed citizen making reflexives choices about their be argued that poor health and violence have been lives and others. It is an ideal that lies behind Sen’s normalised in discrete Indigenous communities and thus description of education one of the ‘basic conditions of the resident’s self-assessment and preferences have been participatory development’. However, as is clearly illus- distorted. This explanation could be used to justify the trated in the implementation of the CYWRT, cultivating interventions such as the CYWRT, which uses coercive this democratic ideal can led to what Baumeister measures to increase school attendance. (2006:145) describes as a ‘peculiarly illiberal liberalism’; particularly when it encounters people who are not Nussbaum’s ‘thick’ alternative embracing educational opportunities available to them. Due to these tensions in the thin approach, American Whether or not we accept these justifications for top political philosopher Nussbaum has offered a ‘thick’ down social change it is important to fully appreciate the version of the capabilities approach. Nussbaum (2011:33) theoretical foundations of projects like the CYWRT. For offers a list of ten central capabilities, which she claims are there is a certain truth to Pearson’s statement that essential for people to pursue a ‘dignified and minimally paternalism has become one of the ‘hot buttons that stifles flourishing life’. Her list includes: thought’, as commentators ‘feel no need to examine facts or try to understand the rationale and the intentions of the  life; policy so branded.’  bodily health;  bodily integrity; References  development and expression of senses; Baumeister, A 2006, ‘Gender equality and cultural difference,  imagination and thought, emotional health; how thin is Nussbaum’s Universalism’ in Bruce Haddock, Peri Roberts and Peter Sutch (eds), Principles and Political  practical reason; Order, The Challenge of Diversity, Routledge.  affiliation (both personal and political); Biddle, N 2011, ‘Measure of Indigenous wellbeing and their  relationships with other species and the world of nature; determinations across the lifecourse’, lecture 13, August 2013 41 ‘Summaries and Conclusion’, Centre for Aboriginal Guugu Yimidhirr, History: Hope Vale Lutheran Mission Economic Policy Research, Canberra. 1900–1950, Honours Thesis, Department of History, Faculty Biddle, N and M Yap 2010, ‘Gender gaps in Indigenous of Arts, The University of Sydney. socioeconomic outcomes: ‘Australian regional comparisons Pearson, N 1999, ‘Discrimination is unacceptable’, The and international possibilities’, The International Australian, Sydney, August 31. 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Gibson, M and N Pearson 1989, ‘People of the North: Pearson, N 2007a, ‘Choice is not enough’, The Australian, Anthropology and tradition’, in Up from the Mission: Sydney, April 28. Selected writings, Black Inc, Melbourne. Pearson, N, 2007, ‘White guilt, victimhood and the quest for a Le Marseny, S 2012, ‘The family responsibilities commission: radical centre’, Griffith Review 16 (11) 58. Building indigenous leadership and laying the foundation for social change in Aurukun’, Indigenous Law Bulletin 8 (1) 23– Sanders, W 2009, Ideology, Evidence and Competing Principles: 26. From Brough to Rudd via Pearson and the NTER, Centre for Aboriginal Economic Policy Research, Discussion Paper Martin, D 2002, ‘Reforming the welfare system in remote 289, 307–331. Aboriginal communities: An assessment of Noel Pearson’s proposals’, in T Eardley and B Bradbury (eds), Competing Sen, A 1979 Equality of What? The Tanner Lecture on Human Visions, refereed proceedings of the 2001 National Social Values, Standford University. Policy Conference, SPRC Report 1/02, Social Policy Sen, A 1988, ‘The concept of development’, in J Behram and TN Research Centre, University of New South Wales, Sydney, Strinivasan (eds) Handbooks of Development Economics, 317–325. Elsevier, North-Holland, 1, 3–23. Martin, P 2008, ‘Whose right to take responsibility’, Arena Sen, A 1990, Gender and cooperative conflicts, in I Tinker (ed.), Magazine 95. Persistent Inequalities, Oxford University Press, Oxford. Nussbaum, M 2001, Women and Development: The capabilities Sen, A 1993, ‘Capability and wellbeing’, in M Nussbaum and approach, Cambridge University Press, Cambridge. A Sen (eds), The Quality of Life, Clarendon Press, Oxford, Nussbaum, M 2007, ‘Human rights and human capabilities’, 30–53. Harvard Human Rights Journal 20, 21–24. 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Pearson, N 1989, Ngamu-Ngaadyarr, Muuri-Bunggaga and UNDP 1990, Human Development Report, United Nations Midha Mini in Guugu, Dingoes, Sheep and Mr. Muni in Development Program, New York. 42 Development Bulletin 75 Participatory gender monitoring: Sharing learning from Plan’s WASH program Lee Leong, WASH and Deborah Elkington, Plan International Australia Background Cornwall’s insight that PRA methodologies should be Plan International Australia’s experience in water, gender responsive. sanitation and hygiene initiatives (WASH) show that as gender relations are integral to the effectiveness of WASH Table 1: Principles that underpin the gender and programs (Leong 2012:2) the promotion of gender WASH monitoring tool equality demands significant attention in every WASH Principle Description intervention. This includes ensuring an explicit focus on monitoring the changes in gender relations in all Principle 1: Focus on ways of working that enable Facilitate women, men, girls and boys to be monitoring and evaluation. articipation and actively involved in improving their The literature suggests that measuring change in inclusion water, sanitation and hygiene situation. gender relations presents ongoing challenges. In their recent critical overview of current monitoring and Principle 2: Use decision-making processes that enable women’s and men’s active evaluation frameworks and approaches, Batliwala and Focus on how involvement, within the project and Pittman (2010:9) noted that very few monitoring and decisions are made activities. evaluation frameworks are structured to understand Principle 3: See, understand and value the different change in gender relations. Plan International Australia See and value work, skills and concerns of women and (Plan Australia), in collaboration with Plan Vietnam has differences men related to water, sanitation and recently piloted a participatory gender and WASH hygiene. monitoring tool in order to further develop Plan’s own practice and capability in monitoring changes in gender Principle 4: Provide space and support for women and men to experience and share new relations in WASH programs. As a participatory tool, the Create opportunities roles and responsibilities. gender and WASH monitoring tool (GWMT) aims to support the engagement of women and men in WASH Source: Halcrow et al 2010 communities to explore gender relations at household and community levels in the context of WASH, identify areas for change or improvement, and then monitor changes in Development of the tool gender relations over time. At the time of the development of the GWMT tool, Plan This paper provides a descriptive overview of the tool Australia was providing support to a large WASH program and its development and identifies some of the key implemented over a four and a half year period by Plan insights, challenges and opportunities that emerge from Vietnam, with funding support from AusAID. The project Plan’s piloting of the tool. goals specified both health and gender equality outcomes. Discussions between Plan Australia and Plan Vietnam staff about project monitoring identified gaps with respect to The gender and WASH monitoring tool measuring progress towards gender equality. These gaps The GWMT comprises a series of participatory rural were identified as a lack of attention to both women’s appraisal (PRA) activities used in a community meeting practical needs and strategic interests in project monitoring: setting. These activities were developed for and with Practical needs refer to immediate needs of women, Plan’s WASH program in Vietnam. The objective was to girls, men and boys for survival which do not challenge enable local Plan staff and Government partners to explore existing culture, tradition, the gender divisions of labour, and monitor gender relations with women and men in legal inequalities or any other aspect of female’s lower WASH communities, in a facilitated community workshop status or power. Strategic interests focus on advancing structure. The PRA tool builds on four key principles of a equality between males and females by transforming WASH Resource Guide developed by the International gender relations in some way, by challenging female’s Women’s Development Agency (IWDA) and the Institute disadvantaged position or lower status or by focusing of Sustainable Futures (Halcrow et al 2010) as outlined in on/challenging men’s/boys’ roles, responsibilities or expectations (Hunt 2011:22). Table 1. Cornwall (2003:1332) reminds us that as a metho- We found that while our existing WASH project dology, PRA is generally gender neutral but can be a monitoring in Vietnam was able to identify and monitor a powerful approach that highlights diverse views within a range of practical WASH changes for women and men in community, reframing current engagements and offering households and communities throughout the project new opportunities. It is our position that rather than having implementation period, the existing monitoring approach a neutral effect, gender-neutral approaches often tend to was not sufficient to monitor changes in gender relations. reinforce gender inequality. Hence, we would agree with Discussions with other WASH development actors in August 2013 43 Vietnam highlighted that other organisations were There were some key catalysts that enabled the experiencing similar challenges. development of the tool. These included support from In developing the GWMT Plan Vietnam and Plan AusAID for a twelve month follow-on phase of the WASH Australia sought to address the gaps in Plan Vietnam’s project to be focused on evaluation and good practices, own monitoring, with a view to sharing the tool and known as the Learning and Sustainability Project (LSP). lessons with Plan globally, and with other actors, pending The LSP provided an opportunity for the identified gaps in its successful development and piloting. The initial tool Plan’s gender monitoring to be addressed through the was developed with external consultants and has been development of the GWMT. revised by Plan Australia staff working with local Plan Vietnam staff and counterparts over two successive pilots. Steps within the GWMT It is important to note that the GWMT is not designed or Table 2 outlines the seven steps of the tool which are intended to be a stand-alone tool for gender monitoring in grounded within the four gender principles outlined in WASH. Rather, it should be seen as one tool that can Table 1. In addition, a preparatory workshop and contribute to an intervention’s overall approach to debriefing session for project implementers are considered monitoring changes in gender relations. essential stages that support the GWMT. Table 2: Steps of the gender and WASH monitoring tool Step Format Purpose 1. Introduction Plenary  To explain meeting purposes and process  To establish the ground ‘rules’ of the meeting  To ‘warm up’ the community meeting 2. Women’s and  To learn about women’s and men’s participation in WASH activities men’s work in (household and community level) household and  To learn about new opportunities WASH program has provided for women community WASH and men of different ages Small groups (divided by  To identify how women and men are represented in leadership bodies in the gender and age) community 3. Women’s and  To identify how women and men of different ages are involved in household men’s role in decision making on WASH activities household decision  To learn how different household members view their own influence and the making on WASH influence of others within their household 4. Gender-  To make ‘visible’ divisions of labour and decision making across the different disaggregated Two gender groups age groups in households and the community discussion (women sub-groups,  To promote discussion about division of labour and decision making roles 5. Desired changes for men sub-groups)  To identify the future vision of different community members around the 4 women and men indicators. 6. Sharing results and Plenary  To make ‘visible’ women’s and men’s work, decision making, participation and closing leadership activities in household and community WASH  May encourage increased respect for women’s and men’s work (within the different age groups), and a more equitable distribution of work burdens and influence over household decision making  Sharing desired changes of women and men around the 4 indicators  To close the monitoring activity  To affirm joint community aspirations 7. Assessment and Facilitators’ meeting  To analysis and document the status of the communities (and any changes) documentation of regarding gender relations against the 4 indicators results  For the facilitation team to debrief  To provide recommendations from the monitoring process as to how project activities could be improved to promote better outcomes for women and men in the community The GWMT is designed to generate data relevant to the four key indicators regarding the changes in gender relations:  Indicator 1: Level of shared WASH workload in the household  Indicator 2: Level of participation in WASH activities in the community  Indicator 3: Level of shared WASH decision making in the household  Indicator 4: Level of women’s leadership in the community for WASH 44 Development Bulletin 75 The GWMT is also designed to create opportunities community trials were undertaken in a further 10 com- for women and men to explore and share their perspectives munities, with approximately 36 people per community. on gender relations at the household and community level Whilst the first trial showed promising signs, a through the WASH lens. It is anticipated that the tool be number of areas needing improvements were identified. used every six to 12 months with data developed at the The facilitation skills of staff and Government facilitators first community workshop providing the baseline infor- varied and as such, additional practice using the tool prior mation. This includes identifying and agreeing men’s and to the field trials and/or training in facilitation would have women’s shared aspirations for greater gender equality in been beneficial. In addition, it was agreed the GWMT WASH activities and decision making at the household facilitators’ notes need to provide more detailed and and community level. specific guidance and questions for facilitators to ensure that questions were consistent and to provide guidance/ Trialling the tool and insights prompts for discussion. In the second trial, the ToT approach allowed more time for facilitators to practice the In the initial development of the tool a number of GWMT in the workshop prior to trialling the tool in important local contextual considerations were taken into communities. Those facilitators who were more confident account through discussion with Plan Vietnam and were able to be identified and matched with those who Government partners. This included ensuring there is an needed additional support during the field trial. equal number of women and men participants across six appropriately defined age groups giving a total of 36 An important revision made to the tool after the first participants for each community meeting. For example: trial was the development and introduction of photo cards depicting WASH activities at household and community 6 young women (aged 15–18) levels. Literacy rates in Plan Vietnam working areas are 6 young men (aged 15–18) variable and the photos were introduced in order to 6 middle aged women (aged 19–40) address barriers to participation based on literacy. For example, in the initial design of the tool some of the key 6 middle aged men (aged 19–40) PRA activities involved writing down WASH activities on 6 older women (aged 40+) cards and referring back to these to identify the different 6 older men (aged 40+) WASH activities undertaken by men and women. The photo cards are also designed to reflect positive WASH The GWMT requires six facilitators and six note takers, images of ethnic men and women, and to challenge gender each working with a different aged sub-group. Only stereotypes, by depicting both men and women in all age female facilitators worked with the women sub-groups, groups undertaking the full range of WASH activities (see and only male facilitators worked with the men sub- Table 3). groups. The GWMT utilises activities of a ‘typical’ nuclear Table 3: Example from the photo card set of ethnic six-person household (comprising older woman and man, females and males undertaking positive WASH middle-aged woman and man and young girl and boy). actions However, it is recognised that not all participants will be Positive Female’s photo Male’s photo living in this ‘typical’ household structure, for example, WASH action card set card set female-headed households. How the tool and/or its implementation at the local level can be adapted to accom- Hand washing Two photos of a small Small boy washing with soap and girl washing hands hands with soap modate diversity and ongoing changes in Vietnamese clean water with soap under water under running society , including in household structure, was highlighted tank tap with running water from water as an issue for further exploration in the ongoing water. Close up of tank tap. Close up development of the tool in the trials. hands being rinsed. of hands with soap. Collecting Young woman Young man pulling The GWMT in action water crouching by water up a bucket of tank filling a red water from a well — Plan Australia and Plan Vietnam have undertaken two plastic bucket with the well has high promising trials of the GWMT within ethnically diverse water from tank tap. surrounds. communities of central Vietnam, utilising a train the trainer (ToT) approach. Covering a lid Old woman covering A young man on a toilet hole in ground toilet beside hole in the The first trial in 2011 involved a two day preparatory with a wooden lid. ground toilet with training workshop with WASH staff and Government wooden toilet partners (as the facilitators of the GWMT) to explore the cover. principles that underpin the GWMT and to run through the steps of the tool. The trial was then conducted in six The first trial included children (under 15 years of communities with approximately 50 people attending at age) as participants. However, the trial illustrated that the each community meeting, including children. A debriefing tool was more appropriate for older young people and workshop was then held with the facilitators. The second adults. It was concluded that a different process was trial included three days preparatory training and required to engage younger children in discussions about August 2013 45 the roles of women and men and boys and girls in WASH exploring opportunities within its WASH program to build activities and decision making. ongoing support for improving gender monitoring facili- The PRA activities within the GWMT are designed to tation skills for WASH monitoring staff. This includes serve as enablers to encourage discussions and reflections. exploring opportunities for incorporating the GWMT However, there were some activities within the tool that within the existing community-led total sanitation (CLTS) proved complicated, and the focus became more on the ‘triggering’ training and follow up support. activity process itself, rather than generating the intended The development of GWMT is at a nascent stage and discussion. These tools were simplified in the second trial. the tool will continue to be refined and adapted as Plan Vietnam and Government partners learn more about its application in different local ethnic communities’ contexts. Strengths and enablers From the perspective of participatory development, Institutional support is vital to invest and nurture explicit while the tool to this point has demonstrated the potential commitments made to improving gender equality within to engage women and men in local communities in an organisation’s practice. There has been a positive dialogue about gender relations through a facilitated response to the GWMT from WASH staff and Government process with Plan staff and Government partners in partners. Based on the positive indications of the two Vietnam, the most recent trial identified an interest in trials, Plan Vietnam plans to incrementally roll out the taking women and men’s participation to a different level. application of the GWMT within its entire WASH In particular, there is interest in exploring opportunities for program. This began in 2012. Plan staff with gender supporting local communities in the use, and or adaptation expertise provided critical support, facilitation and of the tool for their own purposes. dedicated time to support the trials, particularly with respect to the ToT workshops and debriefing processes. Government counterparts at the community level had a References genuine willingness to learn and a strong interest in Batliwala, Srilatha and Alexandra Pittman 2010, ‘Capturing improving their practice. The GWMT also represented an change in women’s realities: A critical overview of current opportunity for Government staff to enhance their broader monitoring and evaluation frameworks and approaches’, roles in Government. For example, for the Vietnam AWID. www.awid.org/About-AWID/AWID-News/ Women’s Union, improving gender outcomes at the Capturing-Change-in-Women-s-Realities, accessed March 2013. community level aligns with their core work. Cornwall, Andrea 2001, ‘Making a difference? Gender and The tool does not require facilitators to be gender participatory development’, IDS Discussion Paper 378, 11– specialists. The ToT approach enables facilitators to gain 39, www.ids.ac.uk/files/Dp378.pdf. accessed March 2013. increased awareness and knowledge about gender equality ——2003, ‘Whose voices? Whose choices? Reflections on through exploring the principles and practicing the steps of gender and participatory fevelopment’, World Development the GWMT with support from trainers with gender 31 (8) 1325–1342. expertise. The tool has provided an important opportunity Halcrow, GC Rowland, J Willetts, J Crawford and N Carrard 2010, for demystifying gender monitoring for WASH imple- Resource Guide: Working effectively with women and men in menting staff. water, sanitation and hygiene programs, International Women’s Development Agency and Institute of Sustainable The development and application of the GWMT has Futures, University of Technology Sydney, Australia. provided healthy input into ongoing organisational dis- Hunt, J 2011, ‘What is gender analysis, CCCD Plan in Australia cussions of contemporary approaches to M&E. There is Gender Workshop’, workshop notes, 1–26. also a keen interest amongst WASH staff within Plan’s Kanji, Nazneen 2004, ‘Reflections on gender and participatory Asia region to learn more and potentially adapt the development’, Participatory Learning and Action: Critical GWMT within different contexts. reflections, future action, IIED 50, 53–62. Leong, L 2012, ‘Working towards gender responsive water, sanitation and hygiene at the organisational level’, in Conclusions and looking forward Towards Inclusive WASH Sharing evidence and experience The key lessons and challenges that emerged after the two from the field, WaterAid Australia, Melbourne. trials have implications for the refinement and application World Bank 2010, ‘Gender in water and sanitation’. Water and of the GWMT, and for Plan’s WASH program more Sanitation Working Paper 59334, 1–39. www-wds.worldbank.org/external/default/ broadly. The quality and depth of discussions within the WDSContentServer/WDSP/IB/2011/02/02/000356161_201 GWMT activities largely rests on the ability of individual 10202022615/Rendered/PDF/593340WP0WSP1g10Box358 facilitators to have good facilitation skills. Plan Vietnam is 367B01PUBLIC1.pdf, accessed March 2013. 46 Development Bulletin 75 Insignificant inclusion and tokenistic participation of women in development: A case study from Pakistan Sumera Jabeen, The University of Melbourne Introduction family of their influence. In most cases, women had very Participation in development interventions is often debated limited knowledge of the program. Male leaders managed in terms of who participates, to what extent and whose the COs, including the records, and women signed the priorities are served. The idea of participation becomes registers. The president of a women’s CO and a member of more complicated when marginalised groups, such as a village organisation pointed out: women, are encouraged to take part in development They needed an educated woman to look after the processes without addressing structural factors which (women’s) CO business. No woman was ready to take could contribute to women’s subordination and disem- the responsibility. The staff asked me to be the leader. I powerment and without considering the personal beliefs of told them that I am illiterate. They said, Kabeer (her both participants and the implementation staff. This case husband) would take care of everything and I should not study shows that when these factors are ignored women’s be worried. I thus became the president of my CO. involvement can be tokenistic and can contribute to maintaining gender inequality. This CO, now into its eleventh year of operation is still being managed by her husband. Similarly, in another The study outlines the results of research carried out village, women’s restricted mobility was provided as the to assess the unintended outcomes of a program widely reason for a man being the manager for the last 10 years known for its participatory and holistic approach towards though women now go to bank and offices of other micro- poverty alleviation. The program is one of 11 Rural finance providers in the area to obtain loans. Not sur- Support Programs in Pakistan that employ a similar prisingly, most of the women ‘office bearers’ were not able approach to the principles of social organisation of rural to distinguish between the VO and a CO at these locations. poor through three grassroots institutions providing capacity building, capital formation through savings and In contrast, in more urbanised and industrialised provision of microcredit, and linkages development for districts such as Lahore and Sialkot (Cheema et al. 2008) better service delivery (Ahmed et al. 2008). Nearly 40 per women from slightly better-off families (though not the cent of program borrowers and members of the community wealthiest and largely teachers, health workers or organisations (COs) are women (RSPN 2012). Their beauticians) were managing the COs. They maintained the participation is encouraged by involving female staff and records and ran the microcredit component quite suc- providing easy access to loans and training. cessfully. Nevertheless, they were never consulted or involved in the development initiatives of the VO such as For this research, six village-based case studies were village infrastructure improvement, liaison with elected undertaken in different areas of Punjab with a maximum representatives or government line departments, as these variation in context, yet having similar features with activities are traditionally undertaken by men. regard to program implementation. Interviews were under- taken with a variety of respondents including program A worse situation was ‘symbolic membership’, where participants, non-participating community members, women were registered with the CO by the male family dropouts and program personnel. members to obtain loans or by leaders of the VO to increase household coverage at the demand of the organisation. In such cases, women were not even aware Findings of the name of the CO, or of other members or initiatives The study revealed that in the villages studied, although the village organisation had undertaken with program the program targets women, it was not contributing to their support. Their knowledge about the program was limited to empowerment. It found that women’s involvement, in microcredit and at times, even that was incomplete or most cases, ranged from symbolic membership to incorrect. Nevertheless, all these women were required to tokenistic participation where women were merely attend meetings to obtain loans, deposit savings and go to conduits for benefitting men and considered by the the bank to get loan money, resulting in an increased burden implementers as ‘safe clients’. At all study sites, separate on their time. The use of loans, and women’s responsibility COs had been formed for men and women while a few had with regard to repayment, varied among different segments mixed membership. Officially, women leaders managed within a community. their organisations, with few exceptions. However, Women from farming families, even with very small women’s contribution as leaders varied significantly in landholding, had not considered any economic activities different areas. At two sites located in districts with poor for themselves but stuck to traditional reproductive roles socioeconomic indicators, the leadership and management and/or assisted men on their own farm. They had joined of the village organisations (VOs) was completely male the program to obtain loans, mainly used for agricultural dominated. Women leaders were usually a spouse, inputs, consumption smoothing in lean periods or for other daughter or a close relative of the male leaders or from a non-productive purposes. These six monthly or annual August 2013 47 loans were paid on harvest with the women’s role in the factors determining the extent and consequences of transaction no more than a conduit. When the loan was women’s participation in the program. used to rear livestock, it ‘belonged to the family’ and women had very limited, if any, control over the asset. In Program design and policies most farming families, men had taken responsibility for In the rhetoric, the program encourages women’s partici- repayment of loans, but it was the women who faced pation and claims to be contributing to their empowerment threats and pressure when there was a delay in repayment with the assumption that this will happen by virtue of caused by a crop damage or death of livestock. In case of membership of a group or by access to microfinance. An delay in payment, women were forced to pay from their additional assumption seems to be the equal capacity of own income, engage in additional work if available, or men and women to benefit from the program activities. In borrow from relatives. so doing, the program does not take into account local In comparison, women from landless farming families gender-related norms, nor does it consider the oppor- or non-farming castes engaged in paid farm labour tunities available to men and women in the local context. independently, such as cotton picking and/or assisting As a result, patterns of inequality and exclusion are not male family members. At a few locations, they also earned only maintained but reinforced. For example, while the money by soccer ball stitching, carpet weaving, running a number of women participants is significant, they are small shop or working as domestic help. Despite engage- restricted to the activities least threatening to men or ment in active economic activity, women seldom obtained ultimately serving men’s purposes. Although, the organis- a loan to start an independent income generation activity. ation had made it mandatory to have women represented Loans were taken with the knowledge of the male family in the VO, as Cleaver (1999:603) argues, head and at times, against women’s will. Such loans were used for investment in an ongoing enterprise of the male the mere setting-up of formal organizations and the family member, or to meet an emergency need, and were specification of their membership does not necessarily overcome exclusion, subordination or vulnerability. generally repaid from existing income. The situation was more complicated where several With no procedures in place to ensure that particip- micro finance institutes were working in the area and people ation is meaningful, women go to meetings whenever had taken multiple loans for household consumption. In called, particularly during officials’ visits. Traditional extreme cases, women had started working in factories to decision making patterns remain intact, women’s repay the loans. Nevertheless, this additional responsibility attendance just corroborates development priorities of had not spared them from their traditional roles. While men. The program design does not incorporate mech- livestock was the first resort, other belongings such as anisms to challenge or attempt to alter stereotypical roles. furniture or jewellery given by a woman’s parents as gifts Rather, program activities help strengthening the structural were the main assets sold to repay a loan. Pressure to factors shaping and maintaining these conditions and thus repay and fear of social humiliation were reported by women’s participation remain tokenistic. As a male women as the major stressors that, in some cases, had community member commented: affected their health and increased household tension. What will they [women] do? They don’t have any skills While savings could have been an asset for women to and there are not many opportunities. People here don’t fall back on, in reality, they were not saving with the CO like their women to go outside to work. What they can and maintained only the amount required as a precondition do is take loans and give to their husbands. to obtain a loan. Limited access to savings when needed, no profit and having no money to contribute were the In addition, the focus of the group meetings remains reasons provided by women for not saving with the CO. credit transaction. As Kabeer (1994) has pointed out, Membership in the group had not increased social membership, without providing any alternative way of capital through group solidarity (Todd 1996). Rather, at thinking or a dialogue, could not form a ‘collective times, existing social relations were spoiled and already identity’ which could guide actions pertaining to women’s limited networks were strained due to program related benefit. The program does not initiate dialogue with men frictions such as peer pressure to repay. Relatives either and therefore, they cannot be expected to think remained the source of support for women in difficult unconventionally and involve women in non-traditional times, not the CO. domains. It is evident that program participation was not The program naively assumed that in regard to benefitting women, rather it has increased their burden and microfinance women would do ‘something’ to enhance in some cases they had become worse off. Various factors their income and that increased individual economic contribute to such outcomes. empowerment would result in political and social empowerment (Mayoux 2002). In reality, neither the loan products were in line with women’s needs nor were any Contributing factors measures taken to address their aspirations. For example, Program design and policies, the attitude of the in a number of cases, women wanted to engage in income implementation staff towards gender issues and personal generation activity while staying in the village. However, beliefs of the participants were identified as the main with their existing, limited exposure, they could not think 48 Development Bulletin 75 of anything except stitching clothes. While women This indicates that the staff did not realise that they were wanted the program to guide them how they could conforming to a practice that favoured men. For example, enhance their income, ironically, the opportunities not objecting to men using loans taken in a woman’s name provided were mainly learning stereotypical skills such at the same time going against the traditional male domain as stitching and dyeing which had almost no market in of borrowing money. their neighbourhoods. Gender roles and power relations within the house- In a nutshell, interventions that encourage women’s hold seem unproblematic to staff. While explaining why participation without putting mechanisms in place to not one woman in the village used a loan herself for an address social and cultural constraints and extending loans income generation activity, a female staff commented: to women considering them secure clients, is just taking advantage of their vulnerability. Markedly, such token ...mainly people here are farmers. Men and women work participation is unlikely to bring any real change in at fields. If husband is irrigating fields, the wife would cut the fodder. They work equally in wheat harvest ... women’s situation (Mayoux 1995). Therefore, the program Therefore, they spend loans on farm and work together. design needs to be altered to incorporate measures that ensure benefits to women. Also, they might be strengthening the status quo without realising its longer term implications for the Beliefs of the implementation staff poorest women. For instance, a field staff responded to my Although it can be argued that if the program design does query of why all women leaders in the village were from not include explicit measures to empower women, the better-off families as: implementation staff cannot be held responsible for out- comes such as those discussed above. Nevertheless, staff …when people from better-off families lead, they can understanding of gender issues and of the politics of call these very poor. They can ask them to come under all circumstances. They can call them when the participation can significantly enhance meaningful organisation staff visit or the district manager is coming. participation. They can tell them we have to do this or that. Being part of the same patriarchal society and without any training in addressing gender issues, staff members Therefore, it requires a practical commitment on the themselves strengthened the stereotypical gender roles. part of the organisation to ensure that the field staff have a Instead of making efforts to build women’s capacity to clear understanding of gender issues. Policies need to be in take leadership positions and to act like leaders, staff place that will give field staff confidence to spend their continued to rely on men in the community. No effort was time and effort in making women’s participation mean- made to enable women to assume CO positions. In ingful. Otherwise, they are justified in saying: situations where women were managing COs, staff had their own ideas of gender roles and excluded women from We have to prepare credit cases, receive recovery, update the register and other records in this short time. certain activities considering them ‘unable’ to perform or How many COs can we attend? With how many COs that the activity was not in ‘their domain’. As a male staff can we have a dialogue? It is just touch and go. member asserted: Personal beliefs of participants Usually where we work with women, we work with men as well. The situation analysis is done with men only as The participants themselves could be instrumental in women do not have that much knowledge. maintaining gender inequality. It is highly likely that an intervention denying any effort to provide an alternative This becomes increasingly problematic with regard to view to its participants may strengthen the current belief village level initiatives. No effort had ever been made by system. Like other patriarchal rural societies, men and the staff to involve women in analytical activities, nor was women in these villages of Punjab believed men to be any dialogue ever initiated with male or female com- bread winners and decision makers. Traditional gender munity members with regard to gender roles. Though the roles and norms in the minds of the program participants program strategy does not bar women’s participation in remain the same even after years of membership. Both any activity, conformity to stereotypical roles was the men and women generally remain within the boundaries of easiest option for the staff and thus women’s participation their prescribed roles. For instance, members of ‘women was confined to access to microcredit only. A male staff only’ village organisations believed: defended the tokenistic participation of women in microcredit by saying: Women should stay at home. They should not be going everywhere. It is men who should go and talk to others. …women here are not used to being involved in financial matters. Finances are men’s domain and they Men too, believed in certain gender roles and see are decision makers in that regard. women’s involvement in the program as insignificant. A male community member said: The female staff member of the same team admitted: Who listens to them? It is men’s work to do things at the We are answerable for women borrowers. Therefore, we village level. They give loans and take back. It is have to sit there and pressurise women to pay. between women. No one bothers about them. August 2013 49 No explicit debate or discussion ever took place development interventions, is stressed. Without a careful within the community with regard to stereotypical gender analysis of gender roles, norms and culture of an area and roles and the belief system was not being challenged. A a review of the economic opportunities available to both leader of a ‘women only’ VO, proclaimed after four years men and women and without challenging the existing of participation: stereotypical beliefs, women’s participation will remain tokenistic. There is no forum at the village level to solve the collective problems of the village. Women cannot do anything from the VO’s platform as the decision makers References are the men here. Ahmed, ZU, C Euler, SG Khattak, JF Morton and M Tariq 2008, Assessing the Impact of Community Driven Development: Rather, program activities, intended entirely for a Twenty six years of Pakistan’s rural support programmes, a different objective could be perceived differently by third party evaluation, HTSPE Limited, Islamabad. women participants. For example a member commented: Cheema, A, L Khalid and M Patnam 2008, ‘The Geography of ...They give loans to women only. Maybe because Baji Poverty: Evidence from the Punjab’, The Lahore Journal of M, R and other women can hold women accountable but Economics, September 2008 (Special Edition), 163–188. not to men. Cleaver, F 1999, ‘Paradox of participation: Questioning participatory approaches to development’, Journal of Therefore, women might participate but this would International Development, 11, 597–612. remain tokenistic unless the program design incorporated Kabeer, N 1994, Reversed Realities: Gender hierarchies in strategies to alter stereotypical personal beliefs of the development thought, Verso, London. participants. Otherwise, it is highly likely that the program Mayoux, L 1995, ‘Beyond naivety: Women, gender inequality may contribute to further marginalisation and exploitation and participatory development’, Development and Change of women. 26 (2) 235–258. Mayoux, L 2002, ‘Microfinance and women’s empowerment: Rethinking “best practice”’, Development Bulletin 57, 76– Conclusion 80. Although many findings of this study have been found Sanyal, P 2009, ‘From credit to collective action: The role of elsewhere during the course of research on women’s microfinance in promoting women’s social capital and participation in the development process this paper normative influence’, American Sociological Review 74, highlights the lack of realisation on the part of program 529–550. planners and implementers that they can contribute to Sinha, F 2006, Self-Help Groups in India: A study of the lights maintaining gender inequality through women’s involve- and shades, EDA Rural Systems Private Ltd. and Andhra ment in a development intervention. The need for cautious Pradesh Mahila Abhivruddhi Society, Gurgaon. efforts to not strengthen the structures that marginalise the Todd, H 1996, Women at the Center: Grameen bank borrowers already disadvantaged while planning and implementing after one decade, University Press Limited. 50 Development Bulletin 75 Indigenous African communication systems and participatory development in rural Africa: The case of a Nigerian village nnaEmeka Meribe, La Trobe University Introduction achieve equality by empowering ordinary people, it is Communication is a very important component of doubtful how this can be achieved in a jiffy without development (MacBride et al 1980; Akpan 2012). Through generating conflict — especially as established power blocs dialogue, development facilitators and communities work in the communities will feel threatened (Sparks 2007). together on projects that will improve the latter’s living conditions. But taking communication for granted can Indigenous African communication systems frustrate development programs. It is necessary to ensure and rural development that communities are informed about the objectives of Information is crucial for participation in development development initiatives, as there have been instances programmes. Adequate information, Aboyade (1987) where communities have rejected well thought-out notes, will not only make for a better understanding and projects due to ignorance of government’s or development appreciation of the relevance of new programs to people’s agency’s intentions. In other words, poor communication everyday living conditions, but will also encourage a can affect grassroot support for and acceptance of closer link between the initiators and beneficiaries of development projects. development efforts (cited in Mboho 1990:235). However, This study examines the role of Indigenous African poor knowledge of the communication system of an area communication systems (IACS) in participatory or people- can lead to a mismatch between media and audience, an oriented development in Nigeria’s rural areas. In doing so, avoidable situation which can frustrate a meaningful it looks at the World Bank assisted Local Empowerment development initiative. In rural Africa, for instance, where and Environmental Management Project (LEEMP) the bulk of the people get their information from the program at Umunahihie village in the Ihitte-Uboma local IACS, it will be counter-productive to utilise any other government area of Imo State. communication channels or media to mobilise people to participate in development programmes. Participatory development IACS, also called traditional communication (Wilson The optimism that followed the development initiatives of 1990; Ikpe 2012), are crucial in rural mobilisation because the 1950s and 1960s and the consequent widespread of their centrality to the everyday life of rural people in cynicism generated by their subsequent failure, ‘led in the Africa. They are a complex system of communication 1970s to a broadened and more contextually relevant re- which pervades all aspects of rural life in Africa (Ikpe 2012:73). They are complex in the sense that they are not thinking of the development process’ (Soola 1988:18). only one system but a network of communication systems Prior to this time, people were not the focus of develop- which operate at various levels of African society (Wilson ment (Dare 1993; Soola 1988) and local contextual 1990). These communication systems met the com- realities were ignored by the so-called development munication needs Africans of yore effectively and are still experts. This development approach, popularly referred to meeting the communication needs of people in rural and as the ‘dominant paradigm’ was also criticised for its top semi-urban areas in Africa despite the attractions of the down, one way approach and its propensity for looking modern mass media. IACS are ‘identifiable ways of down on local communities. Hence Sparks (2007:53) sharing ideas, meanings, opinions, and facts of all kinds points out that the starting point of this approach is: ‘we between and among Africans’ (Nwabueze 2006:236). They know it, they need to know’. include music and musical instruments, objects, colour Consequently, alternative paradigms began to emerge, schemes, chants, cryptic writings, symbols, folk theatre, including the participatory paradigm, a bottom up forums and institutions. Due to the multicultural nature of approach, which sees development as a process initiated Africa, there is no uniformly agreed taxonomy of IACS through the people for the people. Here, communities are but researchers in the field are in agreement that they are seen as stakeholders rather than beneficiaries. Ordinary credible, authoritative and non-alienating, and derive people are seen ‘as key agents in the process and develop- meaning and relevance within a defined cultural and ment initiatives usually focus on their aspirations and linguistic context (Ojebode 2002). strengths’ (Servaes 1999: 93). The goal of this paradigm, While IACS carry everybody along, both literate and therefore, is to involve communities in any effort aimed at illiterate, the modern means of mass communication tend improving their quality of life. to influence only the educated (Popoola 2004). However, But the paradigm has also had its fair share of criticism. IACS go beyond communication or message to include the For instance, it has been dubbed ‘the new tyranny’ (Cooke communication source. Hence Wilson (1997:98) notes that and Kothari 2001) and described as a smart means of they include all social conventions and practices whose getting grassroots approval for an already decided project chief concerns may not necessarily be with com- (Hilyard et al 2001). Given that the paradigm seeks to munication. He categorises them into two: source related August 2013 51 and message oriented, pointing out that the source related people (based on projected figures of the 1991 National characteristics are authoritative and credible whereas the population census). Predominantly farmers, there are also message related characteristics are transactional, inte- traders, artisans, and civil servants (both serving and grative, non-alienating and definitive. retired) in the village. Lack of potable water has been the Several empirical studies have also underscored the village’s major problem over the years as its only source of importance of IACS in rural development. Bame (2005) drinking water, a stream, is easily contaminated. shows how Indigenous entertainment, an integral com- ponent of IACS, forms are more successful than the mass Findings and discussion media in family planning education in rural areas in Ghana The study revealed that IACS are part of the manifest- while Bourgault (2005) reveals how ritual and theatre tations of the culture of the people of Umunahihie village. engender community participation in Liberia. Similarly, They ‘speak’ the people’s language and the people have William and Udo (2012) have chronicled how IACS have over the years relied on them for their everyday been effectively utilised to resolve a 100 year old conflict interactions. This is thus what makes the IACS distinct. between two villages in Nigeria. A component of IACS which the study found central Udoakah (1996), however, contends that IACS can to the success of rural mobilisation is the traditional only perform limited functions. For instance, he argues institution. In fact, almost all the respondents attested that that that the literacy level of the town crier is usually low rural mobilisation usually start with the traditional and as such leads to distortions in messages he passes institutions. They pointed out that without the Eze (the across to the people. He insists that these disadvantages king/ruler) of a community and the kindred heads it would place the modern mass media ahead of IACS as media for be very difficult to mobilise rural people. The diffusion communication of development to rural people in process of IACS starts with him. He gives orders to the contemporary Nigeria. kindred heads who in turn gives orders to the family Indeed, a larger percentage of the Nigerian population heads. Explaining the process, the ruler of Umunahihie live in rural areas (UN 2010; IFAD 2012) where IACS community noted that if there was a decision that the Eze dominate the communication milieu. Rural areas are wanted the community to take, he would first call his usually characterised by poverty, lack of infrastructure, cabinet members (ward heads) to a meeting. The ward high level of illiteracy, lack of good healthcare facilities, heads would then either meet with the kindred heads who dilapidated school buildings, aging population and would in turn meet with their family members or they subsistence farming, among other things (Umanah 1992; (ward heads) would instruct the town criers in their Udoakah 1998; Anele 2012). The poverty level in rural various wards to convoke a general meeting. Decisions areas particularly limits access to the mass media. Brieger taken at each village meeting would then be aggregated (1990) notes that the cost of dry cell batteries required to at another meeting of the Eze’s cabinet. The village power a portable radio set in the absence of electricity ruler noted that the water project followed the same could feed a family of four for one day, hence many rural pattern: households Western Nigeria do not own a radio set. Besides, much of the modern mass communication media For this water borehole, I always meet with the ward in Africa has been used as megaphones by political leaders heads in my house before we call for a general meeting at and their parties and do not necessarily promote develop- Ukwu Okwe1. The town crier2 usually informs the whole village on the eve of the meeting. This is done so that a ment (Boafo 1985; Oso 1993). The foregoing suggests that good number of people will attend the meetings. It is when mobilising rural people for development will require the people attend these meetings that they become part of use of cheap, accessible and non-alienating media — decisions we take and will not feel short–changed by us. characteristics which IACS possess. The importance of traditional rulers to rural mobilisation is understandable given that they are the Local Empowerment and Environmental custodians of the people’s culture. Their houses are sites of Management Projects (LEEMP) power within villages, and their orders are usually carried LEEMP was considered for this study because of its out to the letter. But the concentration of power in the participatory approach to development. The scheme is a traditional authorities also poses the danger of misuse of five-year partnership between the World Bank and the power. Corrupt traditional overlords can manipulate IACS Federal Government of Nigeria designed to combat to their advantage. For instance, since development poverty through community empowerment and sustainable agencies visit them before commencement of projects; and effective management of the environment. Information chances are that the traditional overlords could frustrate on LEEMP’s website says it ’puts ordinary rural people in development projects that would bring more benefits to the the driving seat when it comes to spending public money people and less to them (traditional rulers). This may be for local development’. why West and Fair (1993) argue that there is the possibility A LEEMP-assisted scheme at Umunahihie village in that village elites can manipulate IACS. Ihitte Uboma Council in Imo State, Nigeria is the focus of LEEMP appreciated the importance of IACS in rural the case study. Umunahihie, which is one of the mobilisation; hence it adopted this culture-based develop- participating villages chosen in the first phase (2004–09) ment communication strategy. A LEEMP official insisted of the scheme, has an estimated population of over 5,000 that the success of any rural mobilisation effort could be 52 Development Bulletin 75 determined by the level of involvement of the traditional was a major problem for the village and the water borehole institutions. He said that in the Umunahihie water project, was the people’s solution. Members of a Community LEEMP only sensitised the traditional authorities and left Project Management Committee (CPMC) were elected by the mobilisation to them. LEEMP’s approach is clearly a the general assembly of the village under the supervision deference to the warning by Mushengyezi (2003:107) that of LEEMP and the members were ordinary people who did ‘extrapolating communication models of the West and not seem to wield power in the village. This showed strong applying them wholesale to African environments that are community participation in the project and also addressed quite unique’ would only be a wasted effort as ‘such the Hilyard et al (2001) contention that the approach is a communication strategies often do not impact on the rural smart way of getting bottom up approval for already masses for which they are meant because they are not decided projects. “contextualized” to the local settings, cultural dialectics However the water project did not totally clarify the and worldview of the people’. ambiguities inherent in the participatory approach. For However, the importance of the town crier in example, LEEMP’s electoral guideline states that only mobilisation efforts in Umunahihie village reveals the ‘ordinary’ people are elected into the CPMC. But, is centrality of that office in contemporary rural Nigeria. The electing ‘neutral’ people into the CPMC not tantamount to town crier is the information conduit for the community creating a new power block? The attempt to change the leadership. The rural people rely on him for information balance of power in the village, as Thomas (1995), argues, about events and decisions taken at cabinet meetings. The may result in a violent power struggle (cited in Sparks accuracy of his message may depend on his level of 2007). LEEMP also supervised the project selection understanding of issues at stake. However, since the exercise and the election of CPMC members (and was also authorities in rural communities rarely make use of the monitoring the water project in conjunction with the mass media, there is no doubt that even the most CPMC), thus showing a tilt towards the ‘we know better ‘cosmopolitan’ rural dwellers need IACS to be abreast than you’ approach of the dominant paradigm. This affirms with daily occurrences in the village. Sparks’ (2007) and Waisbord’s (2005) scepticism over the practicability of the participatory paradigm without a As findings showed, IACS were effectively used in retention of elements of the dominant paradigm. mobilising Umunahihie people toward the completion of their water project. The findings, in part contradict Udoakah’s (1996) claim that traditional media cannot meet Conclusion the information needs of contemporary Nigerian rural This study has shown that the promoters of IACS have a dwellers. While the results partially invalidate Udoakah’s point to prove. The small populations of clustered villages, argument, they also confirm to an extent his observation poverty and low literacy levels are critical issues, which that the IACS, despite their uniqueness, need refinement to make the use of mass communication in such settings eliminate distortions. difficult. Besides, the traditional nature of most African Communities participating in LEEMP’s programmes rural communities, relying on age-long traditional modes tend to have a relatively high level of freedom in the of engagement and communication, limited, to a large selection and management of projects, at least going by the extent, the effectiveness of the modern mass media in rural case of Umunahihie’s water project. From interviews with mobilisation. The findings revealed that neglecting IACS LEEMP’s officials, notes taken from the organisation’s in mobilisation for rural development in Nigeria is a recipe documents and interviews with some indigenes of for failure. Strict adherence to the stipulations of the Umunahihie village, it could be said that LEEMP neither participatory paradigm of development has also been chose nor imposed projects on communities. shown to be almost impossible without borrowing from According to LEEMP’s desk officer at Ihitte Uboma the much criticised dominant paradigm. council, the agency ensured that every section of the community was represented during sessions when the Notes project to be carried out was chosen. He informed, too, 1 Ukwu Okwe is the village square where elders meet to that at the same meeting, election of the members of the discuss matters of importance. Community Project Management Committee (CPMC) also 2 The town crier is the village announcer; the publicity took place. According to him, secretary who goes round the village to inform the people We believe in social inclusiveness. If we went to a about a meeting in the traditional rulers palace or village community and we didn’t see the women, the elders or square, and in other cases inform the people about decisions the youths, voting wouldn’t take place. We would taken at important meetings. postpone it till another day when they would all be represented. That is the process and that was how the water project was chosen by this village. References Akpan, U 2012, ‘Poverty, community dialogue and participatory Considering that the goal of the participatory development in Nigeria’, in M Mboho and H Bata (eds), approach is grassroots participation in the decision-making The Companion to Communication and Development Issues, process and grassroots’ control over their commonwealth, University of Uyo, 207–218. the LEEMP project in Umunahihie village shows that the Anele, D 2012, ‘A brief note on rural condition of rural areas in approach is practicable. At least, the lack of potable water Nigeria’, Sunday Vanguard, 29 January, accessed 23 August August 2013 53 2012, http://www.vanguardngr.com/2012/01/a-brief-note- Nwabueze, C 2006, ‘Influence of political culture on African on-the-condition-of-rural-areas-in-Nigeria/. communication Systems’, in I Nwosu and I Nsude (eds), Bame, K 2005, ‘Use of indigenous entertainment forms in develop- Trado-modern Communication Systems-interfaces and ment communication in Africa’ in: K Ansu-Kyeremeh (ed.), Dimensions, Immaculate Publications, Enugu, 233–143. Indigenous Communication in Africa: Concept, application and Ojebode, A 2002, Radio Utilisation of Indigenous Media for prospects, Ghana Universities Press, Accra, 103–130. 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Brieger, W 1990, ‘Mass media and health communication in Soola, E 1988, ‘Agricultural communication and the African rural Nigeria’, Health Policy and Planning 5 (1) 77–81. non-literate farmer: The Nigerian experience’, Africa Media Cooke, B and U Kothari 2001, ‘The case for participation as Review 2, 3, 75–91. tyranny’, in B Cooke and U Kothari (eds), Participation: Sparks, C 2007, Globalisation, Development and the Mass The new tyranny, Zed Books, London, 1–15. Media, Sage, London. Dare, O 1993, ‘The role of Nigerian mass media in national Udoakah, N 1998, Development Communication, Stirling- development and Transformation’, in E Akeredolu-Ale Horden Publishers, Uyo. (ed.), Mass Media and Rural Development in Nigeria, Spectrum, Ibadan, 143–151. Udoakah, N 1996, ‘Nigeria’s early communication media: How Hilyard, N, H Pandurang, P Wolvekampand and R Somasekhare relevant in the information society and democracy?’, in 2001, ‘Pluralism, participation and power: Joint forest Journal of Humanities 5, 135–143. management in India’, in B Cooke and U Kothari (eds), Umanah, A 1992, ‘Community newspapers as an instrument of Participation: The new tyranny, Zed Books, London, 57–71. rural development’, in, E Akeredolu Ale (ed.), Mass Media Ikpe, EH 2012, ‘Utilising traditional communication for conflict and Rural Development in Nigeria, Spectrum, Ibadan, 163– management in post-amnesty era of the Niger Delta Region 171. of Nigeria’, in M Mboho and H Batta (eds) The Companion United Nations 2010, ‘Nigeria’, accessed 23 September, 2012, to Communication and Development Issues, University of http://data.un.org/Country Profile.aspx?crName Uyo, 69–84. =NIGERIA#Social International Fund for Agricultural Development 2012, ‘Enabling West, H and J Fair 1993, ‘Development communication and poor rural people to overcome poverty in Nigeria’, accessed popular resistance in Africa: An examination of the struggle 23 September, 2012, http://www.ifad.org/operations/ over tradition and modernity through Media’, African projects/regions/pa/factsheets/ng.pdf. Studies Review 36 (1) 91–114. Mboho, M 1990, ‘Communication in rural development’, in William, N and JE Udo 2012, ‘Trado-media and the resolution E Apkan (ed.), Communication Arts: Principles, of the Mbiakong and Ifiayong Usuk conflict’, in M Mboho applications and practices, Uyo, Modern Business Press, and H Batta (eds), The Companion to Communication 232–244. and Development Issues, University of Uyo, MacBride, S et al 1980, Many Voices, One World. New York, 170–185. UNESCO, accessed 19 February 2013, Wilson, D 1997, Communication and Social Action, Footstep http://www.scribd.com/doc/52132938/Many-Voices-One- Publications, Port Harcourt. World-The-MacBride-Report-1980. Wilson, D 1990, ‘Traditional communication media systems’, Mushengyezi, A 2003, ‘Rethinking indigenous media: rituals, in E Apkan (ed.), Communication Arts: Principles, “talking” drums and orality as forms of public in Uganda,’ applications and practices, Modern Business Press, Uyo, Journal of African Cultural Studies 16 (1) 107–117. 280–287. 54 Development Bulletin 75 Fostering social change through participatory video: A conceptual framework Tamara Plush, The University of Queensland* While development projects themselves often subscribe to — knowledge, consciousness, and action — provide a tested theories and methodologies, participatory video is strong foundation for building rigour into the design and often brought into these initiatives without the same rigour implementation of participatory video projects for social in design and implementation. This is especially true as change. cameras become more accessible and affordable in The participatory action research (PAR) framework developing countries. To strengthen the use of participatory shares many similarities with participatory video in that its video for social change — and to build a stronger role is ‘to enable people to empower themselves through understanding of how participatory video can be used as a the construction of their own knowledge, in a process of development tool — this paper offers a conceptual frame- action and reflection, or “conscientisation” to use Freire’s work for using participatory video based on participatory term’ (ibid:179). Within the PAR framework, Gaventa and action research (PAR) theory. The framework highlights the Cornwall (ibid) define ‘knowledge as a resource which value of generating grassroots knowledge to raise awareness affects decisions; action which looks at who is involved in to help shift decision making power; the importance of the production of such knowledge; and consciousness building local capacity and ongoing support for community which looks at how the production of knowledge changes members and stakeholders to act on this knowledge; and the the awareness or worldview of those involved’. Building need for people-centred advocacy as a vital component that on the PAR framework, I therefore offer a conceptual can ultimately lead to social transformation. This paper will framework for participatory video containing three similar also include the process and lessons learned in applying one elements (see Figure 2): element of the framework in Kenya within a development program related to climate change.1 Figure 2: Framework for Participatory Video The conceptual framework With its visual nature and ability to capture the voices of people from marginalised groups, participatory video holds the potential to educate, persuade, and advocate in ways that can bring positive change. To do so, partici- patory video projects designed explicitly for social change need to go beyond a process of community members telling their stories through video mainly for an external audience, to one that addresses power issues through ‘more inclusive participation in order to address embedded social and economic inequities’ (Gaventa and Cornwall 2008:172). A process of transforming power relations is core to Gaventa and Cornwall’s participatory action  Awareness and knowledge: Using participatory video as research framework (see Figure 1. Thus, its three elements a means to raise awareness to help build knowledge as power. Fostering such power can help shift inequities Figure 1: Gaventa and Cornwall Framework for PAR that hinder decision making action; (Gaventa & Cornwall, 2008, p. 172).  Capacity for action: Building on the strengths of local actors in using participatory video with communities to ensure that knowledge not often heard in wider dialogue can be generated in a participatory manner and shared both during the participatory video workshop and through its long term use; and  People-centred advocacy: Using participatory video as a strategic process to communicate the knowledge generated by communities to influence decision makers at local, national, and global levels. Awareness and knowledge: Digital photo storytelling in Kenya2 Gaventa and Cornwall (2006:122) argue that ‘perhaps as much as any other resource, knowledge as power deter- * In collaboration with Care International. August 2013 55 mines definitions of what is conceived as important, as discussed ethics of working within a CARE program. possible, for and by whom’. When used as a community- They also learned how to facilitate the following steps: led, knowledge gathering tool in the context of a development project, participatory video can help the  decide story topic; participants to identify key topics and to explain them as  use mind mapping to develop proposed story lines, using their own issues to be addressed. This idea of building drawings to help people who cannot read; ‘agency in the process of knowledge production’ is one of  select the most compelling story line from the mind the first steps to citizen action (ibid.). mapping exercise; The participatory video process can thus be used for  transfer the information from the mind map to a community-led knowledge generation to help amplify and visualisation script (a story outline that lists supporting strengthen the voices of the people involved in making the visuals for each narrated section); videos. In Kenya, CARE International applied this element  develop the outline into a script with facilitator support; of the framework through a digital storytelling process  record the narration in the local language; whereby community members developed videos explain-  work with the community to take the photos they want ing which effects of climate change in the region affect for their stories; and them the most, and how they are coping.  edit and show the videos to the village. The program that incorporated participatory video — through the Adaptation Learning Programme (ALP) for Five day community digital storytelling workshop Africa implemented by CARE — is located in Nanighi In the workshop, three separate groups of women, young community, Garissa district, north-eastern Kenya. Nanighi men, and older men discussed the effects of climate is an agro-pastoral area with the majority of people change previously identified in the Nanighi community to generating income from crops and livestock. Approx- decide which one affected them most. The women chose imately 10 per cent of its nearly 4,000 residents are human and livestock diseases; the older men chose nomadic pastoralists whose livelihoods are threatened by degradation of pasture and range land; and the young men increasing drought frequency, a decrease in rainfall chose livestock deaths. Within each topic, the newly intensity and distribution, and floods. trained journalists and ALP staff led the community The purpose of developing the photo story videos was members through the digital storytelling steps. On the to raise awareness about the effects of climate change on third day the teams met in Nanighi to photograph the story women, young men and older men in the community to scenes, as directed by the community members. Using highlight differential vulnerability; to understand and their script, the journalists and ALP staff edited the photos monitor change over time; and to advocate with local and and narration into animated videos to show in the national adaptation policy makers and practitioners. The community. They used easy to learn, free editing software videos are integral to the ALP’s process of working with selected to avoid ongoing licence fees so the process communities in setting adaptation priorities, and as part of would be replicable. The journalists and ALP staff then its participatory monitoring and evaluation strategy. returned to the Nanighi village on the fifth day to show the videos to community leaders and the storytellers. For this project, staff wanted to ensure that the process was scalable, replicable, and respectful of community In this case, the video showing process supported members’ time. We thus designed a photo storytelling ongoing women’s empowerment efforts by the ALP team video process to uniquely fit into the ALP context. The who are working to ensure community adaptation process included pre-workshop knowledge gathering, a strategies in the Nanighi community are inclusive of two day train the trainer workshop, and a five day women’s concerns. Because the Muslim, agro-pastoralist community digital storytelling workshop. women have never worked with or welcomed media before, they had fears about sharing their videos in the Pre-workshop knowledge gathering community as they usually do not talk in group meetings with men. The facilitators thus agreed to show the videos Prior to the participatory video workshop, ALP staff worked only to the women who made them. However, after with a large group of Nanighi community members to watching the men’s videos in a group setting, male identify and prioritise how they are vulnerable to the effects community leaders expressed the importance of also of a changing climate, people’s coping mechanisms, and seeing the women’s film since they are part of the proposed adaptation strategies. The community members community. The women agreed, and the men responded selected nine workshop participants to share this positively. Makay Barrow Shuriye, who is featured in the information through digital storytelling videos. video, said, ‘the elders talking here have appreciated what we have done. This has given us more confidence because Train the trainer workshop no one is criticising. This is important because sharing During a two day workshop, local journalists and ALP information with the local community makes people staff learned how to facilitate a digital storytelling understand more about the activities of women in our workshop within the context of the ALP. They reviewed community.’ After the presentation and discussion, the CARE’s climate change adaptation work, learned how to women decided that not only could their husbands and use a participatory scriptwriting process, refreshed their fellow community members watch their videos in future photography skills, learned the required software, and screenings, but that they wanted their story told widely. 56 Development Bulletin 75 As this case study highlights, participatory video has strengthening peoples’ capacity for action. For example, the potential to support an empowering process that Gumucio-Dagron (2006:983) points out that technology VeneKlasen and Miller (2007:45) describe though the should be ‘adequate for the needs of the communities, not concepts of power within, power to and power with. The in terms of technical standards alone, but in terms of power within builds a person’s sense of self-worth and utilization, learning and adoption’. In the Kenya case self-knowledge. This supports a tradition of ‘grassroots study, for example, appropriate technology choice was efforts that use individual storytelling and reflection to integral to the design of the participatory video so it could help people affirm personal worth and recognize their be easily replicable and sustainable. The process thus used power to and power with’. The power to is the emergence photography cameras and laptops CARE already owned, of ‘the unique potential of every person to shape his or her as well as easy-to-learn software available for free down- life and world,’ and is especially important for collective load. For the process to be more replicable, still action, or power with, that can help ‘promote equitable photography was chosen as the main visual medium to relations’. This empowerment process can be especially reduce the learning curve in building simple videos using valuable for marginalised groups who are often shut out of photos, narration, and music. The Kenya Participating policy debates and decisions that affect their lives. Video Project also built on the photography, audio editing, However, it is important to reinforce that the short process and storytelling skills of local journalists so they can work of community digital storytelling described here is not with CARE and the community for future stories. empowering in isolation, but can support such efforts when embedded in a longer term project inclusive of such People-centered advocacy4 aims. The learning process using visuals could be strengthened by a longer cyclical process of dialogue and Samuel (2002:9) explains that people-centered advocacy community review using photographs taken over time ‘enables and empowers marginalized people to speak for themselves,’ which is a vital first step in having their prior to making the final video product. specific needs met. He argues that ‘people-centered advocacy encompasses a rights-based approach to social Capacity for action3 change and transformation’ by promoting the belief that In this section of the conceptual framework, capacity for ‘people are not passive beneficiaries or charity seekers of action focuses on sustainable use of participatory video. It the state or government’ but citizens with the ‘right to encompasses drawing upon and raising the skills of local demand that the state ensures equitable social change and actors to become participatory video facilitators who can distributive justice’. This extends to the right of particip- use participatory video for social change in the communities ation, which is at the core of participatory video work. and countries where they live. Because participatory video Thus, the participatory video process must strengthen learning workshops are often led by participatory video the agency of the people creating the videos by helping practitioners on short term contracts, capacity for action them to challenge and overcome inequities in decision focuses on ensuring long term use of the tool and resulting making due to social status, gender roles, literacy, cultural videos after the initial workshop through a train-the-trainer traditions, or age. Participatory video alone cannot achieve approach, and through incorporation of participatory video these goals. The participatory video process and use of the within a larger development project. final videos must be embedded into larger development projects and processes that incorporate empowering Fostering capacity for action through the participatory initiatives for community-led advocacy. Towards these video process thus requires more than a skills based video efforts, I agree with Chapman (2005:15) who quotes workshop and community screening of the final video. It Samuel in her description of what is necessary for promotes a long term vision from the start, integrating the effective engagement in policy: participatory video process into development project proposals in both design and budget, incorporating a train If human rights are to have real meaning, they must be the trainer model for participatory video facilitation, and linked to public participation. And participation must be including funds and strategies for ongoing awareness preceded by empowerment of the people. A sense of raising and advocacy activities. empowerment requires a sense of dignity, self-worth and the ability to ask questions ... A process of political Capacity for action thus recognises that researching and empowerment and a sense of rights empower citizens to making participatory videos is both a process and medium participate in the public sphere. for people to raise their own awareness as well as the awareness of local to global audiences. This supports the The ideal action for using participatory video for argument of Gaventa and Cornwall (2006:122) that ‘through social change is for community members themselves to access to knowledge and participation in its production, use show the videos and be part of discussions that drive and dissemination, actors can affect the boundaries and decision making. Due to the digital nature of the final indeed the conceptualization of the possible’. videos, they can be disseminated relatively easily at the For example, while it is easy to improve the resource global level through media such as CD, flash drives, and capabilities of people trained in participatory video by the internet. Local sharing that can support an empowering providing video or photography equipment, a more process, however, requires much more planning and effort difficult task is strengthening human capacities. This, (for example, showing in areas without electricity, selecting appropriate technology is a vital component in incorporating into local government meetings, etc.). If August 2013 57 social change is the participatory video project driver 2 Kenya Digital Photo Storytelling videos available at within the project, it is imperative that local use is www.careclimatechange.org/videos/africaalp. prioritised and alternatives included in funding (such as 3 Full article in ‘The Participatory Video Handbook’ inclusive also printing the photo stories for more localised use in of a case study with Plan Vietnam illustrating this element areas without electricity, so those who made the films can of the framework. share their stories for on-going dialogue, learning and 4 Full article in ‘The Participatory Video Handbook’ inclusive influence at the local level). of a case study with Children in a Changing Climate and ActionAid Nepal illustrating this element of the framework. Conclusion As participatory video practitioners working in develop- References ment, I believe we must continuously be asking ourselves: Chapman, J 2005, ‘Rights-Based Development: The challenge of ‘Who are we doing participatory video for, and why?’ to Change and Power’, Report for Conference: Winners and help ensure the use of participatory video reflects the losers from Rights-based approaches to development, integrity and vision of the projects in which they are Institute for Development Policy and Management, Global Poverty Research Group, University of Manchester, UK. embedded. Designing and implementing a participatory video project in a manner that generates awareness and Gaventa, J and A Cornwall 2006, ‘Challenging the Boundaries of the Possible: Participation, knowledge and power’, IDS knowledge, builds capacity for action, and advocates from Bulletin 37, 122–128. the bottom up requires — from the start — a realistic Gaventa, J and A Cornwall 2008, ‘Power and knowledge’, in vision of how this process can foster long term social P Reason and H Bradbury (eds), The SAGE Handbook of change. By understanding how a conceptual framework Action Research, Sage Publications, London. for participatory video can support social change, Gumucio-Dagron, A 2006, ‘Take five: A handful of essentials for participatory video projects can be better designed to help ICTs in development,’in A Gumucio-Dagron and T Tufte achieve long-term development goals with the same rigour (eds), Communication for Social Change Anthology: as the projects the videos support. This helps ensure that Historical and contemporary readings, Communication for future participatory video projects ultimately do what we Social Change Consortium, South Orange, NJ, USA. are all striving to do. That is, to benefit the people we Samuel, J 2002, ‘What is people-centred advocacy?’ work with in using video to foster social change. Participatory Learning in Action, Advocacy and citizen participation 43, 9–12, International Institute for Environment and Development, London, UK. Notes VeneKlasen, L and V Miller 2007, A New Weave of Power, 1 Full article in ‘The Participatory Video Handbook’ inclusive People, and Politics: The action guide for advocacy and of case studies from Vietnam and Nepal. citizen participation, Practical Action Pub, Bourton-on- Dunsmore, Warwickshire, UK. 58 Development Bulletin 75 Achieving participatory development communication through 3D model building in Timor-Leste Lauren Leigh Hinthorne, Centre for Communication and Social Change, The University of Queensland Participatory development is now widely accepted in imbalance characteristic of development work. It is not, principle. In practice, however, institutional obstacles, however, inescapable. resource constraints and perceived capacity weaknesses A growing body of literature demonstrates that serious conspire to undermine genuine community participation in play can create opportunities for knowledge exchange about project design, implementation and evaluation. The complex issues while eschewing — or even upending — question is no longer whether communities should partic- conventional power relations (Andersen 2009, Gauntlett ipate in development initiatives but how. In this paper I 2007, Statler et al. 2011). Briefly, serious play, distinct from draw on recent exploratory research in Timor-Leste to general play, is a goal-oriented activity that provides discuss the potential of structured 3D model building as a structured space for reflection and critical analysis. It tool for promoting substantive community engagement in corresponds strongly with Freire’s idea of ‘conscientis- development projects. ation’: an act of critical reflection through experiential learning and dialogue (Thomas 1994:51). Crucially for the Participatory development communication pursuit of PDC, serious play invokes conscious reflection on the activity itself in a way that directly connects the through serious play play space to real life issues and concerns. The 3D model Limited uptake of development initiatives has recently building technique, discussed at some length below, offers been linked to over-reliance on ‘expert’ knowledge and just one example of how serious play might be harnessed inadequate appreciation of local development priorities to achieve PDC objectives. (see Smucker et al. 2007:387, Tufte and Mefalopulos 2009:18). Meanwhile, increasing emphasis on the need for local participation in development projects has generated 3D model building in Timor-Leste new interest in how development researchers and The remainder of this paper will examine an exploratory practitioners alike can better engage the communities in study on the potential of 3D model building as process for which they work. Participatory development communi- structuring grounded dialogue in a development context. cation (PDC) offers one approach to enhancing stake- This research was conducted alongside the Australian holder engagement at all stages of the project cycle. Centre for International Agricultural Research (ACIAR) Contrasting this approach with conventional development funded project ‘Enhancing smallholder cattle production in models, advocates of PDC contend that sustainable East Timor’ during the initial site selection and needs development results not from hierarchical, top-down data assessment phase of this initiative. Research participants extraction or transmission of knowledge, but rather included members of the local research team as well as horizontal processes of knowledge exchange (see Figueroa community leaders and farmers in one village under et al. 2002, Mefalopulos 2008, Quarry and Ramírez 2009). consideration as a possible site for project implementation. While few would contest the objectives of PDC The 3D model building process piloted in Timor-Leste outright, the nexus between principles and practice is was significantly informed by the LEGO® SERIOUS considerably more disputed. Insufficient skills and PLAY® methodology. Originally developed in 1998 to resources to maintain substantive community engagement help overcome stagnation within the Lego Group itself, over a protracted period is certainly part of the problem. LEGO SERIOUS PLAY consists of a progressive PDC does not come cheap. However, commonly relied on sequence of model building exercises that encourage methods of communication must also be interrogated. For participants to think abstractly about complex problems instance, the literature on PDC emphasises the importance using the iconic, plastic Lego bricks (Roos et al. 2004). of dialogue — of co-determining the content and After each building challenge, participants share the story parameters of a conversation in situ (Bessette 2004, or meaning of their model with others sitting around the Hamelink 2002). By contrast, survey, interview and focus table, creating opportunities for self-expression and group questions contain de facto terms of reference that cooperative learning. In other words, this distinctive inevitably open up particular avenues of discussion while approach to communication is purposefully designed to (a) closing off others. Similarly, the standardised language allow time and space for individual reflection, and (b) (dare I say jargon) commonly used to discuss highly provide opportunities for all participants to express their complex development challenges is hardly conducive to thoughts on an equal footing. identifying fundamental differences between how develop- The immediate objective of adapting LEGO ment ‘experts’ and local communities perceive, explain, SERIOUS PLAY for use in a rural development context and rationalise particular behaviours or outcomes. was to design a research communication framework that Prescriptive language is a common condition of the power would empower participants to express their experiences August 2013 59 and aspirations in their own terms. Research in Timor- prescriptively. Instead, they were encouraged to respond to Leste started from the premise that different project broad challenges such as, ‘build a model representing stakeholders (i.e. the local research team, community current cattle farming practices’ or ‘build a model of what leaders, livestock farmers) hold discrete types of expertise. you hope to achieve in the future’. The open endedness of In other words, it anticipated that knowledge about the challenges allowed participants to respond in very persistent obstacles to rural farmers’ achieving a more different ways indicative of their own experience and point sustainable livelihood would be varied and dispersed. The of view. research design also recognised that many people — For instance, the challenges identified with current particularly those with low literacy skills or minimal livestock management practices varied considerably formal education — may not be readily able to articulate between stakeholder groups. The university researchers this expertise. The sequence of 3D model building pointed to lack of market access and ‘traditional culture’ as challenges purposefully designed for this research were considerable obstacles, while field researchers from the intended to create a context in which participants could Ministry of Agriculture were more concerned about animal analyse — and effectively communicate to others — how health. Community leaders, meanwhile, discussed local they understand their own lived experience, aspirations capacity weakness and lack of basic infrastructure. and local development challenges. Farmers, like the field researchers, identified food and Exploratory fieldwork using 3D model building as a water shortages as major challenges to livestock manage- situation analysis tool was conducted in Timor-Leste from ment; however, they often situated these challenges within 4–12 September 2012. Members of the local research team a particular social context. From the farmers’ perspective, affiliated with the national university and the Ministry of the problem of inadequate food and water supplies for Agriculture participated in separate model building their animals is not only an issue of scarcity but also the sessions held in Dili. Two additional sessions were management of complex social relationships. conducted with community leaders and farmers in one Another advantage of the 3D model building process rural village in Liquiça district. Each session lasted discussed here was that it afforded participants time to work approximately three and a half hours and included warm through their responses before they were asked to speak. up exercises (intended to familiarise participants with Quiet periods of individual model building and an the bricks) as well as topical building challenges designed opportunity for each participant to explain what he or she to provoke discussion about livestock management had built always preceded group discussion. Not only did practices. this process largely prevent one or two individuals from There is not space here to discuss the sequence of dominating the conversation, the physical presence of the building challenges at length; this process is described in model ensured that each participant had something to talk richer detail elsewhere.1 Briefly, the topical building about. The model also served as a prop that could be used to challenges used with each group of participants followed a demonstrate complex relationships or nuanced information similar pattern, although the exact wording differed that participants struggled to express in words alone. slightly in accordance with each group’s defined role. Interestingly, preliminary feedback from the farmers First, participants were asked to build a model represent- indicates that they found this technique more meaningful ing their own role or context with regard to the ACIAR than the traditional participatory situation analysis project, either as a researcher, community leader or farmer. activities that they had taken part in the previous day. Next, they built a model or models identifying challenges When asked whether they liked building and discussing associated with current livestock management practice. the models, the response was unequivocally positive. Participants then built models to represent what a more Several farmers said that the models made it easier to desirable situation might look like. Time permitting, some understand their problems, describing the other situation groups were also asked to build an additional model analysis activities as ‘only theory’. From a researcher to identify the resources they would need in order to perspective, the kinaesthetic activity of making something achieve the situation they had already identified as concrete also appeared to help the farmers imagine and desirable. visualise how things might be different, something they had previously struggled with. Some initial findings The process was not only popular with the farmers, The findings that can be drawn from such a small, however. The field researchers completed the 3D model exploratory study are somewhat limited. Even so, the results building challenges before setting off to conduct a of this research indicate that 3D model building has situation analysis with farmers, and said that they found it considerable potential as a method for achieving the sort of useful for recognising their own preconceptions. One field meaningful, substantive engagement envisioned by PDC. researcher pointed out that he would now be alert to these The primary objective of this project was to design a expectations when he goes out to the field, rather than research communication framework that would empower taking them for granted. Another field researcher com- participants to express their experiences and aspirations in mented that visualising a situation through the models their own terms. One clear strength of the 3D model ‘helped to unravel the problems’. Without jumping to the building process employed here was that participants were conclusion that this particular technique is always never asked direct questions that could be interpreted appropriate, the initial participant feedback suggests that 60 Development Bulletin 75 3D model building could be a beneficial communication model. During discussion, participants invariably point to tool in some contexts. or manipulate their models to emphasise particular locales of meaning. Data collection, therefore, entails not only audio recording and intense note taking of what Potential and limitations of 3D model participants are saying, but also careful photographic building documentation of the models themselves. The task of Knowledge is both constructed and partial. Likewise, the rigorously linking the textual, audio and visual evidence is methods that we use to conduct research are complicit in also challenging, and something that I am still struggling the data — and knowledge — that we produce. This is as to perfect. However, cutting corners here would largely true of research conducted according to the principles of defeat the purpose of the exercise. While 3D model PDC as it is of research conducted in any other way. The building did seem to have some intrinsic value to the difference, however, lies in the nature of the partiality. participants in that it helped them to better understand Whose views are given preference? Why? How? their own realities, PDC implies that this knowledge gets In designing the 3D model building process described communicated up the project ladder. Onward com- above, I attempted to privilege the knowledge, experience munication requires full and reliable documentation. and understanding of a select group of project stake- Finally, the bricks themselves represent an ethical holders. The results of this admittedly limited exploratory problem that turned out not to be a problem at all. Before study exceeded even my own expectations. While conducting field research, it had been widely suggested participants from different stakeholder groups often that some participants might take offence at being asked identified similar problems and possible solutions, the ‘to play with toys’. Several colleagues also noted that the ways in which they described and contextualised these mini figures are yellow skinned, and suggested that they issues varied considerably. This raises the prospect that might not be appropriate in places where people have how development initiatives are implemented might, in darker skin tones. Acutely aware of these criticisms, I this instance at least, be as important as the solution itself. landed in Dili hypersensitive to the possible cultural Moreover, participants sometimes raised issues that I overtones of the bricks. If necessary, I was prepared to might not have thought to ask about directly. My own locally source whatever modelling materials I could find.2 knowledge of livestock management practices is quite None of the participants in this research took issue with limited. However, one strength of this approach was that I the bricks; indeed, most seemed to thoroughly enjoy did not need to be an expert myself in order to successfully themselves. In this particular context at least, the prompt participants to share their own expertise. ‘ethnicity’ of the yellow mini figures proved similarly Applying this method in the field also exposed several inconsequential. However, these concerns cannot be weaknesses. First, 3D model building takes time. This written-off entirely and remain valid when taking Lego point cannot be overemphasised. The process that I bricks into new contexts and communities. developed was almost equal parts reflective, individual building and active conversation. After factoring in about Conclusion forty minutes for warm up exercises, a three and a half hour session allowed for approximately 75-90 minutes of This exploratory study in Timor-Leste has gone some way discussion. With three out of the four groups (ranging in toward confirming my suspicion that 3D model building size from four to eight participants) I could have easily has considerable potential for achieving PDC in a rural used another two hours. The fourth group (university development context. Much work remains to be done, researchers) only had two participants, so each individual however, and this method will not be suitable to all could claim a larger share of the 90 minute discussion. projects. Development researchers and the communities Standard applications of LEGO SERIOUS PLAY take a they work with are often time poor and the temptation to minimum of four hours and can last for up to two full cut back on the amount of time allocated to development days. It is not difficult to imagine how a larger investment research activities can be strong. With further research of time than was available for this study could produce using this 3D model building method, I hope to greater returns in terms of data. None of the participants demonstrate more clearly than I am able to here that the who took part in this research had prior experience with quality of PDC achievable using this technique warrants Lego bricks and all of them initially struggled to work out the investment of further time. how the pieces fit together, highlighting the importance of allowing plenty of time for warm up exercises. However, Notes they soon caught on — the farmers more quickly, perhaps, 1 I have written a short booklet that provides additional than the researchers. By the end of each session partic- information about the 3D model building process developed ipants had started to untangle highly complex realities. and piloted for this research. Colour photographs of typical What insights were missed by stopping prematurely, we models built by participants are included alongside will never know. discussion of the research findings. If you would like a copy of the booklet, please contact me at l.hinthorne@uq.edu.au. Second, documentation and data collection proved 2 For a thorough discussion of the advantages of using Lego particularly tricky. The 3D model building method bricks over other modeling mediums, see Said, Roos and described above is not like a typical interview in any Statler (2001:11). number of ways, not least because of the existence of the August 2013 61 References Quarry, W and R Ramírez 2009, Communication for Another Bessette, G 2004, Involving the Community: A guide Development, Zed Books, London. to participatory development communication, The Roos, J, B Victor and M Statler 2004, ‘Playing Seriously with International Development Research Centre, Strategy’, Long Range Planning 37, 549–568. Ottawa. Said, R, J Roos and M Statler 2001, Lego Speaks, Working paper Figueroa, ME, DL Kincaid, M Rani and G Lewis 2002, No. 20, Lausanne: Imagination Lab Foundation. Communication for Social Change: An integrated model for Smucker, TA, DJ Campbell, JM Olson and EE Wangui 2007, measuring the process and its outcomes, Communication ‘Contemporary challenges of participatory field research for for Social Change Working Paper Series: No. 1, The land use change analyses: Examples from Kenya’, Field Rockefeller Foundation and Johns Hopkins University Methods 19 (4) 384–406. Center for Communication Programs, accessed 24 January Statler, M, L Heracleous and CD Jacobs 2011, ‘Serious play as a 2012 http://www.communicationforsocialchange.org/ practice of paradox’, Journal of Applied Behavioural pdf/socialchange.pdf. Science 47 (2) 236–256. Gauntlett, D 2007, Creative Explorations: New approaches to Thomas, P 1994, ‘Participatory Development Communication: identities and audiences, Routledge, London. Philosophical premises’, in SA White with K Sadanandan Hamelink, CJ 2002, ‘Social development, information and Nair and J Ashcroft (eds), Participatory Communication: knowledge: Whatever happened to communication?’ Working for change and development, 49–59, Sage, Development 45 (4) 5–9. Thousand Oaks. Mefalopulos, P 2008, Development Communication Sourcebook: Tufte, T and P Mefalopulos 2009, Participatory Communication: Broadening the boundaries of communication, The World A practical guide, World Bank Working Paper No. 170, The Bank, Washington D.C. World Bank, Washington D.C. 62 Development Bulletin 75 The power of pictures: Using Photovoice to investigate the lived experience of people with disability in Timor-Leste Jane Shamrock, University of the Sunshine Coast Introduction  Infrastructure is still being put in place in Timor-Leste. Roads are often in poor condition and may be closed This report describes the processes of using Photovoice during the rainy season making travel difficult for all within the researcher’s broader study of the lived Timorese and especially difficult for people with experience of disability in Timor-Leste. Some background disability. to the study is provided and Photovoice is explained as a  Poverty is one of the burdens of disability worldwide method within qualitative research. The participants are and Timor-Leste is still one of the poorest countries in briefly described and the complex roles of the interpreters the world. are outlined. The experiences of the interviews and camera training are presented and observations and comments are provided to help inform those interested in making use The site of the pilot study — Oecusse enclave of a visual method of data collection, such as Photovoice. Oecusse is one of the thirteen districts of Timor-Leste. It is Photovoice in this pilot study proved to be relatively unique in that it is situated on the northern coast of the easy and effective as a data gathering tool and this report island of Timor, surrounded by Indonesian West Timor. describes the experiences of the researcher while using the Because of this isolation, Oecusse experienced extended method. violence after peace was restored in the rest of the country following the referendum of 1999. Oecusse is lagging behind the rest of Timor-Leste in The experience of disability in Timor-Leste the development of infrastructure. Roads are mostly in a Timor-Leste has made progress in the provision of support very bad state, and many of the thatched-roofed houses are and services for people with disability. However in also in poor condition. Oecusse can be reached most practice, life for people with disability continues to be cheaply by the twice weekly ferry from Dili, although difficult. Most people with disability are poor in Timor- there is no jetty. There is a light aircraft owned by MAF Leste where family and community ties are strong (Mission Aviation Fellowship) which is frequently and attitudes are based on long standing hierarchical chartered for medical missions. Land access is also possible values. by road through West Timor, although immigration Popular belief is that people with disability are requirements make this 80 km overland trip quite difficult. dependent: for example a person with a spinal cord injury The isolation, recent history, poorly developed infra- may return home from hospital or rehabilitation in a structure and poverty affect people’s daily lives and wheelchair. Her family will probably expect that she is subsequently affected the results of the research project. now unable to contribute in any way to home making or income earning activities. If she is fortunate, a local disability support field worker may encourage her to take a The pilot study more independent approach and may reassure her family. A pilot study for ‘lived experience of people with disability If she lives in Dili she may, for example, hear about and in Timor-Leste’ was carried out in Oecusse enclave in want to join the wheelchair basketball group, and she may Timor-Leste in August/September 2012. The researcher was eventually be able to get a loan to start a small kiosk. If sponsored by the Leprosy Mission Timor-Leste (TLMTL) she lives in a remote district she may have fewer options. based in Dili. Oecusse enclave was chosen as it was well In practice, the influences on the quality of life of serviced by experienced TLMTL fieldworkers. people with disability in Timor-Leste may come from: The visual data from Photovoice was triangulated with key informant interviews and a community audit. A  Traditional explanations, for example the belief that a meta-synthesis of academic articles written about the lived deceased family member has been displeased. This may experiences of disability in countries in East and Southeast be put forward as the explanation for a child born with a Asia was carried out prior to the pilot project which helped disability or becoming disabled in early childhood. Families may consult a local healer and be advised to inform the pilot study. carry out traditional practices such as sacrificing an animal, and/or families may develop a fatalistic approach An overview of Photovoice to the limitations of a disabled family member. Photovoice is a form of qualitative research that combines  The charity model of disability can still influence some organisations providing support to people with disability documentary photography with storytelling. Individuals in Timor-Leste. In this approach people with disability often excluded from decision making processes are able to are seen as helpless recipients of ‘charity’ from a ‘caring’ present their views and give voice about their lives, their society, rather than individuals with rights and interest in concerns and their communities (Wang, Burris and Xiang directing their own lives. 1996). August 2013 63 The Photovoice approach combines two particular 50 years of age. All the participants were members of poor theories: (1) feminist theory which describes power families and had little or no education. imbalances and gender inequality in particular, and (2) participatory methods of research, which call for action which has been identified by the participants i.e., the The interview process Photovoice participants. Photovoice was developed in The interviews were carried out with the help of the two rural China by researchers from North America working in TLMTL field staff. One staff member translated from the field of public health, carrying out asset mapping and English to Tetun and the second interpreter translated from needs assessments with women farmers (Wang and Burris Tetun to Bikeno. The conversations frequently appeared to 1997). Since that time Photovoice has been used widely in be sprinkled with Indonesian words mixed with the com- the fields of education, public health, mental health, bination of Tetun and Bikeno. Some participants seemed to understanding racism, in Latin America, Australia, Asia, need longer explanations in Bikeno when concepts were Europe and North America. new or difficult to grasp. Notes were taken at each of the initial visits and were later transcribed. During the third Benefits of Photovoice include: and final visit, small recorders were used and notes were  the ease in which photographs can be taken and viewed; taken, as the participants reviewed and explained their  literacy is not a requirement for photography; and photographs.  the photographs are excellent prompts on which the The study consisted of three sequential interviews: researcher can base her enquiries. firstly an initial interview where the project and the research were explained, the participants decided whether to Some difficulties have been noted when using Photovoice: participate in the study and initial data was gathered. This  There may be pressure by friends and family to be in the interview lasted about an hour. Three of the four interviews photographs or to influence the photographer in some involved the subject together with a group of family and other ways. Wang and Burris (1997) noted this risk in neighbours watching and joining in the discussion. their initial description of Photovoice. A second interview was carried out one or two days  The photographers should be aware of the need for later, where the digital camera was explained and trialled. informed consent when taking photographs of others. Initially there was an expectation that the participants This may be difficult to explain through translators. would learn about the cameras in a group setting, however this turned out to be too difficult as transport was limited Photovoice: Method and distances were great. The participants generally The researcher worked with two TLMTL field workers appeared excited and interested in the cameras and who acted as cultural mentors and interpreters. The field enjoyed taking practice shots of the people around them. workers selected possible participants for the research An explanation was given about the need to be careful to based on whether these people had the potential to enjoy take pictures only of people who wanted to be photo- interacting with a foreigner. This personal attribute was graphed, and we gave basic instructions on care of the important as people with disability in remote Timor-Leste camera. Each photographer was given a small lanyard so are reportedly shy and reluctant, or their families are the camera could safely hang around his or her neck. reluctant for them to interact with outsiders. The third interview was held five or six days later. All Three visits were planned for each participant. Both the photographs taken by the participants were displayed interpreters attended each interview and at the end of each on the researcher’s laptop computer and reviewed and visit there was time for debriefing. Because of difficulties explained to the researcher, with the help of the interpreters. finding a printer in Oecusse all photographs were viewed Some of the photographs were clearly taken by the person on the screen of a laptop computer and each photograph with disability and other photographs were taken by was discussed with the photographer. another person to highlight a particular activity, such as cooking, or weaving. During this interview the photo- graphers were asked if they would like to display their The participants photographs in an exhibition in Dili. All declined this The pilot study consisted firstly of interviews with six option. people with disability and their families in Oecusse A t the end of the final interview the participants were district. Four of these people subsequently took digital invited to select particular photographs they would like cameras for four to five days and took photographs. printed. These were eventually printed in Dili and returned Of the four people who finally took cameras and to the participants by the interpreters. participated in the pilot study, two of these individuals had relatively recently acquired their disability- both had fallen Observations from the study from coconut trees and were wheelchair users with paraplegia. The other two participants had longer term The use of photography with this group of people was disabilities probably resulting from polio, both had severe surprisingly successful and informative. There were also mobility problems. There were two male and two female some ambiguities and limitations described below. participants, their ages ranged from 29 to approximately The method was successful in that: 64 Development Bulletin 75  The little digital cameras were easy to use. They sparked Alola Foundation had supplied materials for a small initial excitement relating to handling when taking income generation project where a group of women were pictures. There were no problems, no cameras were weaving traditional cloth for sale.) damaged and there were very few unclear shots. Three of the participants took more than 150 photographs over five days; the fourth subject took 19 photos. In conclusion  Some of the photographs were surprisingly candid, for Photovoice provided fascinating glimpses into the lives of example, shots of two individuals bathing – these were four individuals in Timor-Leste, the cameras were easy to taken by a family member. use and the photographers appeared to enjoy the process.  It was subsequently possible to have an understanding of Some problems arose due to the remoteness of the some detail of each individual’s life during the course of research site and the distances needed to travel to visit the a day and night, which is not usually available to a participants. There were difficulties related to cultural visiting interviewer. differences and the need for two interpreters described above. The researcher was also constrained by lack of time The complications and ambiguities included: and resources limiting the way that Photovoice was  The need for two translators which made these inter- eventually used. views long and complex and it was not always clear The researcher found that Photovoice has significant whether the translation accurately captured the subject’s potential to clarify the realities of the lives of people with message. disability. Learnings from the pilot study will inform  It was not clear why the photographers were not changes to the next stage of the research. interested in having their photographs exhibited. In the past the researcher has encountered people from Oecusse who were afraid that their personal information would be References sold to a third party (Shamrock 2009), a similar fear may Shamrock, HJ 2009, ‘Evaluation of a pilot community based have led to this response during this pilot study. rehabilitation training programme in East Timor East  When taking photographs, others may have insisted on Timor’, downloaded 28 October 2012 from Asia Pacific being photographed, for example there are three Disability Rehabilitation Journal, http://www.dinf.ne.jp/ photographs of a subject being embraced by two young doc/english/asia/resource/apdrj/vol20_2/03_originalartcles1. women. The participants’ explanation, via two translators, html. was that the girls wanted the researcher to see that they Wang, CC, MA Burrisand YP Xiang 1996, ‘Chinese village were his friends. women as visual anthropologists: A participatory approach  There appeared to be expectations from participating in to reaching policymakers’, Social Science and Medicine 42, the study that the researcher had not foreseen. For 1391–1400. example, one woman thought that the researcher would Wang, CC and MA Burris1997, ‘Photovoice: concepts report back to the Alola Foundation about the weaving methodology and use for participatory needs assessment’, project that the subject had photographed at length. (The Health Education and Behavior 24, 369–387. August 2013 65 People with disabilities and civic engagement in policy making in Malawi Jonathan Makuwira, RMIT University Introduction Disability and development in Malawi This paper critically analyses Malawi’s effort towards Malawi is among the least developed countries in the disability-inclusive development, in particular, in ensuring world. The ascendancy of disability and poverty issues in civic engagement of people with disability in policy Malawi has given impetus to further analysis of the debates that are oriented towards Poverty Reduction situation. In Malawi, like other developing countries in Strategy Papers (PRSPs). It also analyses the policy Africa, disability and poverty issues continue to escalate Equalization of Opportunities for People with Disabilities amid intertwined challenges in the social and economic and the manner in which it accommodates development sectors of development. According to the findings of two concerns of people with disability in the country. In doing surveys conducted in 2003 and 2004 (see Mcheka n.d.; so it identifies issues of critical concern to people with Leob and Eide 2004), 4.2 per cent of Malawi’s population disability in Malawi and further highlight the challenges of roughly 14 million people are people with disability as and opportunities. opposed to 2.9 per cent in 1983. Alarmingly, the surveys Citizen engagement in policy making has become a further revealed that 35 per cent of the children with fundamental process in any democratic society. While disability never attended school. However, lack of reliable various scholars have made significant inroads in high- data on disability issues in Malawi has compromised not lighting the importance of civic engagement through only the extent to which disability-inclusive development active participation in the decision making processes, in can be mainstreamed in Poverty Reduction Strategy Papers practice, challenges remain. People with disability which, but also in national development plans like the Malawi according to the UN, numbers one billion people world- Growth and Development Strategy (MGDS). Despite this, wide, have always been, and continue to be, marginalised in there have been attempts to understand the living civic engagement. In Malawi, while there is a Ministry conditions of people with disability in Malawi which, so responsible for people with disability, they continue to far, reveal that: experience marginalisation. This paper highlights the challenges of participation by people with disability in  the percentage of people with disability who have never been to school is twice that of the general population; Malawi and suggests practical ways in which to enhance advocacy that may engender greater inclusion in civic  unemployment of people with disability far outweighs engagement. the share of the normal population; The plight of people living below the poverty line has  women with disability are more disadvantaged than men; become, and continues to be, an issue of major concern worldwide. It is particularly challenging for people with  only five per cent of people with disability who need disability (Yeo and Moore 2003; Ingstad and Eide 2011). occupational training or welfare services do in fact receive these services or training; and While the Millennium Development Goals (MDGs) gave a glimmer of hope in 2000, the absence of people with  only 25 per cent of people with disability have access to disability in any of the goals and targets has since been a medical treatment, technical aids, counselling, or point of contention in policy debates. Almost 12 years education (Leob and Eide 2004; Wazikili et al. 2011). since the MDGs Declaration, countries have differed in their responses to the call for inclusion of people with This evidence confirms not only the degree of disability in policy debate and, more importantly, in prejudice and discrimination but also the structural development. The initiative by the African Union, through violence against people with disability in Malawi. the support of the United Nations, to declare the period 1999–2009, ‘African Decade of Disabled Persons’, has Disability People’s Organisations and done little to put disability-inclusive development into the politics in Malawi dominant policy discourses, let alone, into national development plans. However, some countries have made The disability sector in Malawi has a long history. Hauya some strides to be as inclusive; although a great deal needs and Makuwira (1996) observe that until the 1950s, there to be done to satisfactorily engender civic engagement. was hardly any organised effort to attend to people with Malawi is among the countries in Southern Africa that disability except in an ad hoc and sporadic manner. While established the Ministry of People With Disabilities in there were efforts to respond to issues of disability, it was 1998 which was renamed Ministry of Social Development in the early 1950s when some faith-based organisations, and People with Disabilities in 2004. While this is a mile- especially the Church of Scotland and The African stone in a bid to respond to the challenges encountered by Evangelical Fellowship, first established a residential people with disability, civic engagement among people school for the blind in two places in Malawi. These were with disability in Malawi remains problematic. later followed by the establishment of the Montfort 66 Development Bulletin 75 Education Centre for the Blind in 1950 and the Deaf in  advocating for and monitoring the equalisation of 1971 (ibid). In the same year, Malawi passed the opportunities for people with disability as stipulated in Handicapped Act which also facilitated the establishment the United Nation’s Standard Rules; and of the Malawi Council for the Handicapped (MACOHA),  coordination and strengthening the capacity of affiliated a statutory organisation under the then Ministry of DPOs (FEDOMA 2006). Community Services. The Handicapped Persons Act dictates all matters concerning the wellbeing, education, Since its establishment, FEDOMA now has eight training, employment and rehabilitation of peoples with affiliate organisations as shown in Table 1 below. disability in Malawi. In 1984, Cheshire Homes, a British- based charitable organisation was established in Malawi Table 1: FEDOMA membership organizations under the Trustees Incorporation Act of the Laws of Malawi, to provide care and rehabilitation services to Member Year Major objective/ Number of organisation formed focus members children and young people with multiple disabilities from birth to 18 years old. Malawi Union of 1984 Cater for the 1,762 the Blind needs of the Upon recommendations from the International Labour visually impaired Organisation, clause 168 paragraph 38, the Malawi Malawi Disability 1998 Promote sporting 562 government and MACOHA moved swiftly and facilitated Sports Association activities for the formation of the first disability NGO called Disabled people with Persons Association in Malawi (DIPAM) on 20 March disability 1990. The main focus of the association was to enhance Disabled Women 1996 Women’s social, 300 meaningful and equal opportunities for the disabled in Development political and persons in all aspects of life in society (MACOHA 1990). economic empowerment The role played by DIPAM in the lead up to multiparty political dispensation in Malawi not only helped to put Association of the 1999 Enhancing 1,000 Physically participation and disability issues on the government’s development agenda Disabled self-reliance of but it also acted as a catalyst in the formation of other people with organisations with similar goals. disability in social The change from single part political system during life and development Dr Hastings Kamuzu Banda to multiparty politics in Malawi in 1994 paved the way to the growth of NGOs in The Albino 1995 Inclusion and Data not Association of promotion of available Malawi. While NGOs in social service provision enjoyed Malawi albinos’ interests the support of the government, those in advocacy, in social issues particularly those whose focus was human rights, had a Parents of 2005 Promote the 3,214 rough ride under the leadership of Dr Hastings Kamuzu Disabled Children interests and Banda (Rogge 1997; Makuwira 2006). However, the new Association in voice on the era of political pluralism under President Bakili Muluzi Malawi rights of children (1994-2004) and Dr Bingu WaMutharika (2004–2012), with disability ushered in an enabling environment for the operations of Malawi National 1990 Cater for the 2,396 NGOs. Poverty alleviation was a priority on the govern- Association of the needs of the ment’s development agenda. Discourses of inclusion of Deaf hearing impaired disability issues in policy documents surfaced. For Disabled Widows Data not Enhance the Data not example, the Ministry of Education’s ‘Education Policy and Orphans available voices of widows available Organisation in and orphans in and Investment Framework 1999-2009, on Special Needs Malawi social and Education clearly states: ‘Government will work in close development collaboration with the private and non-governmental issues in Malawi sectors through support to the National Association of the Disabled’ (GoM 1998:19). The intersection between Source: Makuwira and Kamanga 2011:6. disability and poverty was further acknowledged in the Malawi Poverty Reduction Strategy Papers under Pillar 3 The issues DPOs in Malawi pursue gravitate around — ‘Improving the Quality of Life of the Most Vulnerable’ equity’, ‘equality’ and ‘wellbeing’. While these are not (MEJN 2004:30). ‘stand-alone’ issues, they are however central to human The most significant change in the history of disability rights conventions. Equity, according to Jones (2009: iv), movement in Malawi was the formation of The Federation ‘comes from the idea of moral equality, that people should of Disability Organisations in Malawi (FEDOMA), as an be treated as equals’. Similarly, equality is about equal umbrella organisation of Disabled People’s Organisations treatment of those presumed to be equal. Equity recognises (DPOs). FEDOMA’s formation was to provide a unified pre-existing disadvantages, and therefore the focus is on voice through: correcting those, and achieving equality of outcomes. Equal life chances; concerns for people’s needs; and  promotion and advocacy for the rights of people with meritocracy, are some of the elements fundamental to disability; achieving equity. Wellbeing, on the other hand, is a August 2013 67 concept that is extremely hard to define, as how the Strategy (MEGS) and Malawi Growth and Development concept is understood is context-specific. White (2010) Strategy (MGDS1). Currently, the Malawi Growth and sums up the meaning through various qualities attached to Development Strategy 2 is the overarching strategy for it. According to White, there are three dimensions which Malawi’s development vision and serves as a reference are critical to the wellbeing debate. First is the material document not only for policy makers in government but aspect which is concerned with practical welfare and also in the private sector, civil society organisations, standard of living. The second is the social aspect which donors and other stakeholders (including the general concerns social relations and access to social goods. public) on socio economic growth and development Lastly, but not least in importance is the human aspect, priorities. which is concerned with human capabilities, attitudes to It is the processes leading to the development of these life and personal relationships (White 2010:7). It is on the documents that merit some attention to highlight limitation bases of these three interrelated issues that DPOs in in civic participation by people with disability in Malawi. Malawi have seized upon the prevailing social, political and A comprehensive study on ‘Social Inclusion of People economic environment to advance the voices and with Disabilities in Poverty Reduction Policies and aspirations of people with disability by forming associations Instruments’ (see Wazikili et al. 2011) affirms some of the and networks whose common themes are underpinned by concerns raised in the Equalization of Opportunities equal rights and equalisation of opportunities. Policy. The study observes how the process of PRSPs was:  conceived and dominated by international donors, Civic engagement and equalisation of especially the IMF and the World Bank; opportunities  initially not consultative as most of civil society Civic engagement is a difficult concep to define. However, organisations and DPOs were excluded; and in its basic premise, civic engagement is understood to  government-dominated, that is, the organisational mean community service; collective action; political structure had very little presence of CSOs and/or DPOs. involvement; and social change (Diller 2001; Adler and Goggin 2005). It is the last two to which this paper makes Further findings of the study conclude that the reference. People with disability in Malawi are, by and Thematic Working Groups (TWGs) responsible for large, fairly engaged in community service through drafting PRSPs had no representatives from DPOs. While collective action. However, the challenges they encounter the development of the first MGDS had reasonably wider are very political in nature, hence the emphasis of this consultation, the final output lacked clear policy and paper on political involvement and social change. Social direction about disability-inclusive development. The change is a complex process; so too is development which paper makes this point clear: is not only complex but political (Makuwira 2011). Therefore, any mention of Equalisation of Opportunities A common theme in our discussion with key means not only engaging in a political process in order to stakeholders was that people with disabilities and DPOs, change power structures in favour of the vulnerable, but it including some statutory organisations such as Malawi also a social process that must acknowledge the Council for the Handicapped, were significantly complexity and dynamics between politics, society, and marginalised in the formation of Malawi’s initial PRSPs resource transfer and the role of the agency in the process. and the subsequent MGDS paper…Disability seemed to have been included at the last minute, and its presence in The preamble to the Malawi Policy on Equalisation of the document reflects the ‘charity model’, characterised Opportunities for Persons with Disabilities acknowledges by a provision of handouts; thus failing to meet the the fact that people with disability in Malawi are among aspirations of people with disabilities in Malawi the poorest of the poor (Braathen and Kvan 2008). (Wazikili et al. 2011:22). Furthermore, the policy’s emphasis on ‘inclusion’ and ‘creating an enabling environment’ is an acknowledgment The parallel between the mainstreaming of disability of the presence of both systematic and cultural stigma- issues in the MGDS and the lack of clarity in the current tisation and marginalisation of people with disability in Malawi National Policy on Equalisation of Opportunities Malawi. Chapter 1 of the policy clearly states: ‘Persons for Persons with Disabilities is a matter of critical concern. with disabilities in Malawi…face numerous challenges While creating an enabling environment has become a that result in their exclusion from the mainstream society. buzzword in the policy formulation arena, one would think Many make their way through life … abandoned … that creating an enabling environment for people with neglected and vulnerable’ (Government of Malawi n.d.:1). disability in a policy context has elements of creating a Systematic marginalisation is further authenticated by the stronger economic base, access to information, develop- statement: ‘This means that there must be integration of ment of positive attitudes, and a stable environment of disability issues in all government development strategies, equality. The absence of political will, accompanied by planning and programmes.’ (ibid:1). inadequate resource allocation and supportive legal and Over the past two decades Malawi has implemented a administrative frameworks, is indicative of systematic number of national development policies which, so far, marginalisation institutionalised in structures and systems have included Vision 20:20; Malawi Poverty Reduction that are supposed to be supportive of people with disability Strategy Paper (MPRSP), Malawi Economic Growth in Malawi. It is therefore not surprising that the Malawi 68 Development Bulletin 75 National Policy on Equalisation of Opportunities for awareness of disability issues among DPOs and their Persons with Disabilities has, up to now, not been enacted constituencies is an asset which can be utilised to advance into law (policy passed in 2005). issues of prime importance for people with disability in Malawi. However, civic engagement among people with disability in Malawi will require simultaneous top down Challenges and opportunities of civic and bottom up approaches. From the top I envisage a participation government that will translate its commitment to main- The current social and political environment prevailing in streaming disability issues in the development agenda by Malawi since the introduction of multiparty politics in constant monitoring of its mandate and the performance of 1994 offers more opportunities. This is not to ignore that various institutions/ministries. From below, it is about challenges will always be there. In the first instance, the ‘rights’ and not ‘fights’. It is about having an open minded increase in number of civil society networks established society willing to accommodate or engage policy makers since 1994 is a good starting point to muster support for in a non-confrontational manner and demand its rightful advocating for more civic participation in the policy place in the development agenda. debates both at the macro and micro levels. Makuwira (2011) warns that while it is useful in having networks that coalesce around issues of common interest, attempts References should be made to guard against competition that can Adler, RP and J Goggin 2005, ‘What do we mean by “civic potentially erupt among such entities. However, Yeo engagement”?’ Journal of Transformative Education 3 (3), (2005) advises that to achieve social change requires 236–253. building strong horizontal alliances with a wider Braathen, SH and MH Kvan 2008, ‘“Can anything good come movement. This, obviously, calls for taking advantage of out of this mouth?” Female experiences of disability in Malawi’, Disability and Society 23 (5), 451–474. other existing sectoral networks besides those in the DPO fraternity. Diller, EC 2001, Citizens in Service: The challenge of delivering civic engagement training to national service programs, Another major challenge is society. Hurst and Albert Corporation for National and Community Service, (2006:26) point out that the poverty and powerlessness Washington DC. experienced by people with disability are less to do with FEDOMA (Federation of Disability Organisations in Malawi) biology; rather they are very much to do with society. As 2006, National Policy on Equalisation of Opportunities for aptly articulated in this paper, marginalisation, stigmatis- Person with Disabilities, accessed 1 June 2013, ation and discrimination are resultant effects of how http://www.fedomamw.net/downloads/draft-national- society perceives people with disability. Raising awareness policy.pdf about disability-inclusive development is a challenge that FEDOMA 2007, Constitution of Federation of Disability requires a focus on human behavior. Not an easy thing to Organisations in Malawi, accessed 1 June 2013, do however. Awareness raising is a kind of education. It is www.fedoma.net/downloads/FEDOMA- an education that targets attitudes and mindset. This is a CONSTITUTION.pdf. role that well coordinated DPOs can do with the support of Government of Malawi 1998, An Education Policy and other organisations and, indeed, the government. If, for Investment Framework (PIF) for Education in Malawi, example, disability policy awareness initiatives are 1999–2009, Lilongwe, Malawi. initiated at a community level, the chances are that Hauya, RJ and JJ Makuwira 1996, Basic Education in Malawi: knowledge about disability and development may Objectives, problems and perspectives, Dzuka Publishing Company Limited, Blantyre. increase, paving the way to more coordinated efforts between communities and local government as well as Hurst, R and B Albert 2000, ‘The social model of disability, human rights and international cooperation’, B Albert (ed.), other public institutions. This requires high level In or Out of the Mainstream, Lessons from research on facilitative skills by stakeholders concerned in engaging in disability and development cooperation, The Disability awareness campaigns such as human rights NGOs, Press, Leeds. churches, and donor agencies. Ingstad, B and AH Eide 2011, ‘Disability and poverty: A Global challenge’, AH Eide and B Ingstad (eds), Disability and Conclusion Poverty: A global challenge, The Policy Press, Bristol. Jones, H 2009, Equity in Development: Why it is important and In order to have vibrant DPOs that can engage actively in how to achieve it, ODI Working Paper 311, accessed 15 matters of concern, requires clarity about how DPOs and December 2009, government can work together. A lot can be achieved if www.odi.org.uk/resources/download/3480.pdf mainstreaming of disability issues is espoused by non- Leob, ME and AH Eide (eds) 2004, Living Conditions Among DPOs. The complexity of this debate squarely rests on our People with Activity Limitations in Malawi: A national understanding of the interconnections between poverty, representative study, SINTEF, Oslo. culture and disability and how these factors dictate the Makuwira, JJ 2006, ‘The role of civil society in peacebuilding in kind of policy instruments to effectively respond to fragile democracies: The case of Malawi’, Global poverty reduction among people with disability. As I have Development Studies, Winter 2005–Spring 2006, 250–267. argued in the preceding sections, there are plenty of Makuwira, JJ 2011, ‘Civil Society Organizations (CSOs) and the opportunities despite the challenges. The level of changing nature of African politics: The Case of the CSO– August 2013 69 Government Relationship in Malawi’, Journal of Asian and Rogge, T 1997, A Brief Overview of the NGO Sector in Malawi: African Studies 46(6), 615–628. Options for CIDA programming, Blantyre, Malawi. Makuwira, JJ and G Kamanga 2011, Enabling or disabling? Wazikili, M, T Chataika, G Mji, AK Dube and M MacLachlan People with disabilities and the policy context in Malawi, 2011, ‘Social inclusion of people with disabilities in poverty unpublished paper. reduction policies and instruments: Initial impressions from MACOHA (Malawi Council for the Handicapped) 1990, Malawi and Uganda’, AH Eide and B Ingstad (eds), Community-based Rehabilitation Programme for the Disability and Poverty: A global challenge, The Policy Disabled Persons in Malawi, MACOHA, Blantyre. Press, Bristol. MEJN (Malawi Economic Justice Network) 2004, ‘Civil society White, SC 2010, ‘Analysing wellbeing: A framework for develop- manifesto: Promoting participatory economic governance in ment practice’, Development in Practice 20, (2) 158–172. Malawi’, accessed 8 September 2009, Yeo, R 2005, ‘Disability, poverty and the ‘new’ development http://www.sarpn.org.za/documents/d0000756/index.php. agenda, a report to the Kara Programme’, accessed 25 September 2012, http://www.disability-archive.leeds.ac.uk. Mcheka, E n.d., ‘Challenges faced by specialist teachers for learners with learning difficulties in Malawi’, accessed 29 Yeo, R and M Moore 2003, ‘Including disabled people in December 2009, http://www.afri-can.org/Ghana/Eric.doc. poverty reduction work: Nothing about us, without us’, World Development 31 (3) 571–590. 70 Development Bulletin 75 Practicing inclusion? Participatory approaches to researching road usage by people with disabilities in Papua New Guinea Kathryn James, CBM Australia-Nossal Institute Partnership for Disability Inclusive Development, Carolyn Whitzman, University of Melbourne and Ipul Powaseu, Papua New Guinea Assembly of Disabled Persons Introduction 2. What are the outcomes of rural and urban road projects on the lives of people with disabilities and their families? One of the obligations conferred upon states which have ratified the Convention on the Rights of Persons with 3. How have people with disabilities participated in rural Disabilities is that development activities must be and urban road planning? inclusive of and accessible to people with disabilities 4. What are the recommended approaches in disability (CRPD Article 32). As well as the obvious impact for inclusive consultation and participation in road planning and development in PNG? development programs of Article 32 and the broader rights based focus of the Convention, these have implications for ‘Travelling together’ took as a key principle maximising those conducting research in the international development the participation of people with disabilities at all stages of space. This is particularly true for research which focuses the research. The major national level DPO in PNG, the on people with disabilities as, arguably, if such research is PNG Assembly of Disabled Persons (PNGADP) was a to accurately represent the views and perspectives of partner in the research alongside Australian research bodies people with disabilities and focus on areas of significance and Cardno. At all stages the research partners worked to them, then they must be genuinely involved as full together to set research directions including development partners in research activities. of research focus, questions and methodology. A PNG This paper discusses a participatory research project Advisory Committee and an International Advisory undertaken in Papua New Guinea (PNG), which examined Committee, both of which included people with disabilities, the impacts of road developments on people with were established to advise and guide the project at a high disabilities, as well as the extent to which they were level. The PNG Research Officer, herself a person with consulted or involved in decisions around road infra- disability, oversaw project implementation within PNG. structure projects. Given the focus on promoting the The project explicitly sought to build the capacity of local participation of people with disabilities in road infra- people with disabilities, both men and women, in order to structure, it was particularly important for the research to promote ownership of the project by people with also adopt a participatory approach and strive for full disabilities and ensure they were able to utilise its findings inclusion of people with disabilities at all stages of the to conduct advocacy on their own priorities and concerns. research. As well as the findings generated regarding road accessibility and usage, the research project also offers learnings about strategies to promote the involvement of Tools and methodology people with disabilities and Disabled People’s Organis- The project used participatory methodology to conduct ations (DPOs) in research. qualitative research in five locations, both urban and rural, where roads had either recently been built or upgraded or were currently under improvement. In each of the loca- Travelling together: Road access issues for tions two local people with disabilities were recruited by people with disabilities in PNG the Research Officer as data collectors — one male and ‘Travelling together: Improving access for people with one female. disability through inclusive infrastructure development in The data collectors participated in two weeks of rural and urban PNG’ was a three year research project training on use of the four selected qualitative data funded through an AusAID Australian Development collection tools, which had been developed in consultation Research Award (ADRA). It was implemented from May with the project’s PNG Advisory Group. These were: 2010 to April 2013 by partners including the CBM Australia–Nossal Institute Partnership for Disability  Interviews with road decision-makers about processes for planning and implementing road construction or Inclusive Development; the PNG Assembly of Disabled improvement, and their knowledge of use of roads by Persons; the Faculty of Architecture, Building and people with disabilities. Planning, University of Melbourne; and Cardno Emerging  Group discussions with groups of 7–12 people with Markets, a company involved in several road projects in disabilities in each location, exploring how they used PNG. roads, particular barriers and facilitators to accessing and The research sought to answer four key questions: using roads.  ‘Moveabouts’, in which the groups selected and moved 1. What are the barriers and facilitators for people with along a small segment of the road and identified specific disabilities accessing roads in rural and urban PNG? issues regarding access and road use. August 2013 71  Photo elicitation and poster-making: group members  Narrow bridges with poor pedestrian access, including took photos of good and bad aspects of the road and lack of footpaths forcing pedestrians to walk on the road, associated infrastructure, and then used the photos to or overgrown or narrow footpaths often built without make posters identifying these issues. ramp access.  Open drains alongside roads (a particular danger to The tools themselves were pilot tested and refined people with vision impairments), and poor drainage during this training period, incorporating the feedback of resulting in water pooling across roads. both the data collectors and people with disabilities who  Potholed and bumpy roads, which are difficult to travel were involved as research participants in the testing phase. on for wheelchair users and others with mobility Data collection was then carried out in the five locations impairments, and can cause vehicle traffic to swerve and during the second half of 2011. endanger pedestrians.  No marked bus stops, and lack of facilities such as seats and shade in bus stop areas. Context and key findings  Lack of public and driver awareness of the access needs Investment in road infrastructure is a recognised strategy of people with disabilities as pedestrians and road users, for facilitating poverty reduction and development, and the need to drive at safe speeds. primarily through promoting access to key services in developing countries (ADB et al, 2005). In PNG, about 35 While the majority of issues raised by research per cent of the population live more than 10 km from a participants were barriers to access, they also highlighted major road, and 17 per cent have no road access at all some features that would facilitate accessing roads. (World Bank 2010). Significant donor and government Important features included quiet, well-maintained roads funds are spent on road infrastructure projects, particularly that were easy to navigate; amenities such as street lights, maintenance and upgrading but also construction of new bus stops and suitable footpaths; and public assistance in roads. crossing or navigating roads when necessary. Research in PNG has demonstrated that road and Roads in PNG often seem to have been planned for bridge developments can lead to positive changes in use by vehicle traffic rather than by pedestrians, hence income and travel time to schools and health clinics, as there has been little consideration given to the safety and well as reduced school drop-out rates, for villagers who usability for pedestrians as road users. This is despite the live nearby such developments (World Bank 2008). This in fact that the primary means of road transportation in PNG turn can contribute to increased economic opportunities is walking (World Bank 2008). While road access and and reductions in poverty, and enhanced health and safety are issues for all road users, people with disabilities education outcomes. However there is a lack of evidence are likely to be disproportionately affected. Firstly, they as to whether in PNG or elsewhere benefits from roads are may require different or additional features such as ramps equitably distributed and enjoyed by people with or wide footpaths in order to use roads safely, or be less disabilities, or whether people with disabilities may in fact able to adapt to the lack of facilities than other community experience negative outcomes from road developments. members. Secondly, people with disabilities are often Given that an estimated 10–15 per cent of the population of amongst the poorest and most marginalised in a community. PNG (or 1 million people) have a disability (Department for This existing disadvantage can be compounded by physical Community Development, 2009), this is a significant gap in access issues, and result in people with disabilities not knowledge, which the research sought to address. accessing education, health care and other basic rights. ‘Travelling together’ identified that people with disabilities in rural and urban PNG use roads extensively, primarily as pedestrians but also using local buses to Techniques for inclusion in research access neighbouring towns, schools, stores, health The data collectors employed various methods to include facilities, churches, to visit friends and to conduct lively- people with varying impairments and of different ages and hood activities. Construction and maintenance of roads genders in the data collection activities. Participants were generally increased the ability of people with disabilities to identified through a range of methods including DPO access such essential services. However issues of both contacts, working through Community Based Rehabili- access and safety were key barriers to them using the roads tation officers or disability service providers, suggestions to the extent they would like. from other local people with disabilities, and information from village councillors. This resulted in the involvement Roads typically lacked features to facilitate safe use of people of various ages, from children to the elderly, and by pedestrians, particularly people with disabilities. Key both genders, who had a range of different impairments issues identified by participants that affected their ability including mobility, vision, hearing and intellectual to access roads were: impairments. The majority of participants were aged  Lack of marked crossing points, even in busy areas such below 30. This may have been because of the greater as schools or markets where people often cross the road. enthusiasm of this group for involvement, as well as the  No footpaths or narrow, steep, poorly maintained or fact that in some locations, potential participants were overgrown footpaths, forcing people to travel on road identified via service providers that worked primarily with verges or roads and navigate fast-moving traffic. younger people. 72 Development Bulletin 75 The research protocol aimed to maximise participation information, rather than having an opportunity to by people with a range of impairments. Despite some contribute meaningfully to the data analysis and shape the limitations, the research was able to fairly successfully research findings or outcomes. The focus in the final year involve members of the disability community that often of the project on advocacy may have provided oppor- face particular barriers to participation, including people tunities for research participants to become involved on with hearing impairments, children and those with road access issues of relevance and interest to them. intellectual impairments. Specific techniques used included holding separate focus groups in some locations for people with hearing impairments, which better allowed Research as advocacy for translation into sign or use of alternative com- The research team found that the process of including munication methods (usually with the assistance of a people with disabilities as data collectors and co- personal assistant or parent who accompanied the person). researchers also assisted with the advocacy impact of the In the locations where this did not take place, data project, particularly in influencing decision-makers. The collectors found it more difficult and time consuming to data collectors reported that the very process of meeting involve this group in the wider focus discussions. with road decision-makers helped to change the pers- Similarly, involvement of people with intellectual impair- pectives of those they met about people with disabilities, ments was sometimes challenging and separate focus and about disability itself. During interviews decision- groups allowed for extra time to repeat or rephrase makers typically initially displayed an understanding of questions. Data collectors did find that for both these disability largely as a health issue, but fairly quickly groups, and particularly for children with intellectual developed an appreciation that it was also a key develop- impairments, there was a tendency for parents or carers to ment issue and relevant to road infrastructure. It is likely speak on their own behalf rather than attempting to present that the fact that people with disabilities themselves were the perspective of their child/relative. discussing these issues with them was an important element of this transformation. In some cases the meetings The use of a range of data collection tools helped to themselves also helped to highlight accessibility issues, for encourage meaningful participation by all research instance if the data collectors were unable to access participants. For instance, the photo elicitation allowed a decision-maker’s office due to steps or other access each participant to highlight their own likes and dislikes barriers. individually: for some this acted as a prompt and helped them to better recognise and articulate issues. The poster making also helped to elicit responses from those who Participatory tools and resources found participation in focus groups difficult — some The participatory consultation tools used in ‘Travelling people with speech and/or hearing impairments gave their together’ are not only relevant in the context of this project: perspectives by writing captions on photos. The move- the research team felt that they were demonstrated to be abouts or access audits along the road also proved cheap, replicable and largely effective for use with people important in gathering information, as most participants with disabilities. The project showed that these tools can be found it easier to discuss road usage in the real life setting. successfully implemented by people with disabilities It is also important to recognise the limitations of this themselves even where they do not have previous research project in terms of inclusion of people with disabilities. experience, particularly where there is a strong capacity- One notable gap in inclusion was people with psychosocial building commitment within research projects (Whitzman, impairment, who were not represented in any of the groups James & Poweseu, 2013). In addition to training on the (or at least no such impairment was disclosed by research methods, data collectors were involved in a six day participants). This could be due partly to the wider data analysis workshop, ensuring their participation was not exclusion of people with psychosocial impairments in limited to gathering information but also encompassed many communities — they are often stigmatised, and may interpreting and analysing findings. This helped to build the be less likely to be in contact with service providers, DPOs capacity of PNGADP and the data collectors to be involved or other networks. There may also have been an impres- in or initiate future research activities. sion in communities that research on infrastructure was It was a key aim of the project to not only produce most relevant to people with mobility or sensory research findings and contribute to the evidence base impairments, hence people with psychosocial impairment around disability inclusive infrastructure development and were not identified as potential participants. It is perhaps road usage in PNG, but also to translate these into tools not surprising that none participated in the project; and practices to support and promote consultation however this also indicates a need for future research processes and disability inclusive planning and imple- activities to specifically target this group and identify mentation of road infrastructure. Following the write up of appropriate ways to try and involve them. the findings, the project provided advocacy training for It is also true that for individuals who participated in DPO members and developed tools and resources to data collection as informants, the research process was promote understanding and improvement of access in road probably more extractive than participatory. Notwith- infrastructure projects. PNGADP then developed advocacy standing that the data collectors themselves were people strategies on accessibility at both the provincial and with disabilities, the participants largely provided national levels, suggesting that the research findings and August 2013 73 tools are being genuinely ‘owned’ and utilised by people inform others when planning and implementing inclusive with disabilities, rather than just benefiting more tradi- research projects. tional research institutions and reaching a largely academic audience. References ADB (Asian Development Bank), Japan Bank for International Conclusion Cooperation, and World Bank, 2005, Connecting East Asia: The ‘Travelling together’ project has demonstrated that not A new framework for infrastructure, Asian Development only is it possible and desirable for research projects to Bank, Manila. meaningfully involve and partner with people with Convention on the Rights of Persons with Disabilities (CRPD), disabilities when conducting research about them from a 2006, United Nations, Washington. rights-based perspective, but that it also results in better Department for Community Development, 2009, Papua New outcomes. It is unlikely that the depth and richness of Guinea National Policy on Disability, Government of Papua New Guinea, Port Moresby. findings would have been achieved had the data collection and analysis been carried out by outside researchers, rather Whitzman, C James, K and Poweseu, I. 2013, ‘Travelling together: Participatory research methods for disability than by people with disabilities themselves who were inclusive road development in Papua New Guinea’, Journal members of the communities under study. The involve- of Transport Geography 26:65–71. ment of PNGADP as a partner throughout the research has World Bank, 2008, PNG Improved Infrastructure Brings meant that the focus of the project has been on issues of Economic and Social Growth, The World Bank, Papua New relevance to PNGADP and its members at both the Guinea —- Country brief, 2010; Available from: national and local level. It is hoped that the lessons from http://web.worldbank.org/WBSITE/EXTERNAL/COUNTR this project will not only encourage increased involvement IES/EASTASIAPACIFICEXT/PAPUANEWGUINEAEXT of people with disabilities within development research, N/0,,contentMDK:20174825~pagePK:1497618~piPK:2178 but provide practical strategies and learnings that can 54~theSitePK:333767,00.html. 74 Development Bulletin 75 Misdirected good intentions: Volunteering and the impact on participation Jenni Graves, The Albion Centre Introduction  impact of the volunteer on the project, program or scope of work (Block et al 2010); and Contemporary development theory stresses the critical role of participation from all stakeholders as key to successful  impact of the organisation, and their management, on the development practice. This paper examines barriers that volunteers’ participation (Geletko et al, 2009). can occur for national counterparts’ participation in There is, however, less literature on volunteers’ development when the good intentions of volunteers are impact on volunteer-receiving organisations or com- not directed. Case stories are used to highlight what can go munities (Sherraden et al, 2008). This paper specifically wrong when volunteers drive project priorities concluding explores the impact of foreign volunteers on local staff with reflections of what can help, and principles of participation in development processes. engagement. The paper is written from the perspective of an international development practitioner who has been a volunteer, managed volunteers and worked in a volunteer- Methods of volunteering receiving organisation. There are a variety of methods through which volunteers become engaged with organisations that may receive volunteers, including those summarised below (Table 1). Volunteering: Impact and participation These methods can have advantages and disadvantages for Volunteers contribute enormously to international develop- the receiving organisation, including the impact on staff ment projects, programs and partners bringing expertise, and organisational participation in development processes. energy and physical resources. The research literature on Students and technical advisors working in developing volunteering and participation focuses upon the: countries present similar issues.  impact of the volunteer experience on the volunteer Method three may be most likely to have success (Rietschlin, 1998; Strange et al, 2002; Campbell et al, in encouraging participatory development, given the 2011; Lough et al, 2009); receiving organisation has identified a need which cannot Table 1: Key types of volunteering # Method Advantages Disadvantages 1 Volunteer approaching the Volunteer highly motivated, often driven by Lack of supportive system/ structure — receiving organisation directly. personal experience and ideological alignment particularly important for all involved if with that of the receiving organisation. problems arise. Can activate receiving organisation to consider Resource-intensive, particularly if not aligned a new direction that could add value and align with organisational priorities. with existing priorities/ plans. Volunteer-receiving organisation may agree to Potentially quick to initiate; responsive. save face or sustain relationship. Supply rather than demand-driven. Can encourage participation in development project/ activity, however at the cost of an alternative activity; the ‘can’t do everything’ principle. 2 Volunteer-sending organisation Can stimulate receiving organisation to Resource-intensive, particularly so if not approaching receiving consider usefulness of volunteer contribution to aligned with organisational priorities. organisation directly. particular organisational tasks/projects/needs. Possibly receiving organisation more likely to Sending organisation provides training, say no to a sending-organisation than an support, structure, dispute resolution, and often individual. This may be a good thing at times, quality assurance/ oversight. particularly if no structure in place to sustain continued volunteer program. 3 Receiving organisation Ensured alignment with receiving Resource-intensive, (however investment can approaching individual or organisation’s priorities. be returned as volunteer is meeting volunteer-sending organisation Demand, not supply, driven. organisational priorities). directly. Increased likelihood of ownership of the volunteer and their tasks by the receiving organisation. August 2013 75 be met within existing staff resources of the organisation result in less accountability for work undertaken or country. Similarly the receiving organisation may have (Holmgren and Benzian, 2011). The risk is that such more control over determining what type of assistance is projects undermine the skills of local staff, whereby they needed, in what sort of way and for how long. All types of are busy organising the logistics for volunteer-initiated volunteering however can hinder or help participatory projects, rather than being supported as health workers to development. deliver training or other activities in their area of expertise. How can it go wrong? Case Story 2: ‘That’s a nice photo. Let’s do Volunteers want to help and have ideas of how to do so. a hand washing project.’ So, given the good intentions of volunteers and the expertise they do have (or perceive themselves to have) to contribute in situations where there are fewer resources, Self-funded volunteers had previously worked with a local how can it go wrong? The following four case stories NGO in Timor-Leste on a project which dovetailed with illustrate difficulties that can arise when these ideas do not one of the NGO’s core program areas. This was a very fit within, or compete with, the plans or programs of the welcomed input and relationship. In a subsequent year the country or organisation, or undermine local actions that volunteers proposed a hand washing project, using a photo may have occurred without volunteer involvement. The of one of the staff member’s children as impetus for the nature of technical assistance may hold even greater risks idea to run a hand washing campaign. Although water, of overriding local ownership and participation in the sanitation and hygiene (WASH) issues are important this process, based on being able to contribute expertise was not a program focus of the NGO. Had the NGO towards a need that, seemingly, cannot be fulfilled in proceeded with the volunteer’s hand washing project country and the time bound nature of this assistance. All suggestion it would have been at the cost of other work case stories are regarding self-initiated, self-funded that the organisation was already involved with (including volunteering. contractual responsibilities), and difficult to follow up or sustain without additional resources. Additionally com- munity expectations could be raised without adequate Case Story 1: ‘We know Timor has nutrition resources to sustain WASH activities or create confusion problems, so we’re planning to come and do a in the community as to the scope or purpose of the nutrition workshop.’ organisation’s work (Dickson, 2006; Reisch, 2011). In this situation there was a person-to-organisation fit, Well-intentioned health professionals from Australia shared values of the organisation and the volunteers, contacted an NGO seeking to volunteer during their annual however lack of programmatic fit. After some debate, the leave. Having heard of the nutrition problems in Timor- volunteers were linked with another NGO and, following Leste they planned to run nutrition workshops. The further exploration of their skills and interests which volunteers had not looked into what were the existing included statistical analysis, later matched with a need policies and systems in the country to address these within the organisation to analyse results from operational problems or what would be most helpful for this need or research the NGO had conducted. for the organisation. The volunteers had strong technical skills however Case Story 3: ‘Usually we find the person after lacked both awareness of national policies and systems as we know what we need’. well as the language skills and other resources to implement a workshop, even if this had been determined as the best activity to address these problems. The  A self-funded health professional presented herself to the technical skills of local qualified staff were overlooked Fijian Ministry of Health (MoH) with the offer to work and undermined or, for staff with limited technical skills, with their staff and patients in an allied health role, of less space and opportunity was available for development which there are no similar roles within their human of technical skills. Instead volunteer-initiated and run resource structure. Although this volunteer was very workshops relegated qualified local staff into logistic experienced clinically and had the best of intentions, the roles; organising the venue, catering, travel, per diems and senior MoH Manager, already overstretched, was interpreting. The training did impart some knowledge to presented with the difficulty of utilising this person. The participants, however could not link with local knowledge presence of this volunteer may have highlighted needs and future possibilities for this area of allied health, or circumstances or be followed up, given the short-term however risked: nature of the volunteer input and the different cultural background from which they came. Staff with expertise to  setting up a standalone add-on project that could not be integrated within current systems (Holmgren and make these links during the training or beyond could not. Benzian, 2011); They were often out of the room whilst the training was occurring, busy organising lunch. Dominance of the  competing with existing systems (Dickson, 2006); and hierarchical expert paradigm undermines local skills and  resulting in limited sustainability with the departure of ownership by the hosts (Devereux, 2008) and is likely to the volunteer. 76 Development Bulletin 75 The volunteer was able to provide some frontline volunteer-sending organisations but also on the volunteer- services to patients and nurse training, however, had receiving organisations (point 2). In case story 1 the financial and visa limitations which cut short their work. volunteers could have learnt or been told of the work that Like the two case stories above, this case illustrates the was occurring in the nutrition sector, led by the Ministry of potentially negative implications of volunteerism for the Health and supported by a Nutrition Working Party with receiving organisation (Sherraden et al, 2008). The members International and Local NGOS and UN resources needed to manage uninvited volunteers can Agencies. There may have been alternative activities they undermine the capacity of the receiving organisation to could have supported, such as technical review of draft deliver on their existing priorities. National nutrition strategy, rather than having directly Had the volunteer gone through a volunteer sending implemented nutrition training which could have been organisation, this may have both reduced the stress on the conducted by local staff. volunteer in terms of visa, financial support and in Systems relate to a range of processes from local negotiating scope of work, including timeframe, with the customs to procurement systems. Longer volunteer Ministry, freeing the volunteer up to focus on clinical placements allow for relationships and trust to be built and training and mentoring. This also may have provided a good understanding of who can do what in the increased continuity for the Ministry as, had they wanted organisation and nationally and the background or some these interventions to continue, a volunteer-sending rationale to existing systems. Where there are not these organisation would be better placed to source a relationships, for example prior to being in-country and/or replacement. for shorter assignments, asking questions about who is usually responsible for similar activities is critical. Volunteers can begin this process, drawing on volunteer- Case Story 4: ‘Just get the Danes to do it’ sending and volunteer-receiving organisations’ knowledge and understanding. A Tibetan refugee youth community based organisation in 2. Receiving organisations identifying their own plans Nepal had three objectives: to build leadership qualities in young people; to preserve and promote the Tibetan culture and needs and setting their own targets and to create employment opportunities for Tibetan young One of the most critical elements of maximising and people. The organisation had only one part-time paid staff directing the good intentions of volunteers is receiving member and all other members, trainers and leaders were organisations being clear on their own plans and needs and volunteers. Danish young people were coming to the being able to articulate these. Organisations that are clear organisation on a ‘volunteer work trip’ to work with the on their own strategic direction and organisational needs different Tibetan youth micro-enterprise and other groups. are better placed to either attract suitable volunteers to Prior to and during the visit, Tibetan male youth members support any gaps or channel volunteer interest and skill. who in the past had been involved in cleaning their refugee Without such clarity, the organisation runs the risk of camp home stopped doing so. The group attitude, being distracted from their own priority tasks through succinctly put by one member was, ‘Just get the Danes to being caught up in implementing the volunteer’s priority do it’. Volunteers can be used as free labour and, at worst, tasks. The organisation in case story 2 did such strategic the presence of volunteers can undermine local action. planning; forming an organisational one page strategic Simpson (2004) refers to volunteer-tourists ‘doing plan and a detailed three year strategic plan, complete with development’. This is most dangerous when this prohibits self-set targets on what the plan aimed to achieve in people doing it for themselves, such as the Tibetan young specific timeframes from the maternal and child health men in this community. section. In addition to strategic plans assisting direct organisations and volunteer intentions, this also helps set What can help? targets for volunteer placements as contributing to overall Numerous strategies from volunteers, volunteer-sending plans. Receiving organisations can consider how they will and volunteer-receiving organisations can help facilitate know if the volunteer has made a difference, which can not local staff participation in development. only help the receiving organisation but also the volunteer. ‘Use the measures of the measured not the measures of the 1. Knowing local context: Policies, systems, culture measurers’ (Fowler, 2012 ACFID- University Linkage and people Network Conference). Understanding the relevant national and organisational As a colleague once said, ‘We don’t even know if we policies, systems and culture is a step towards appreciating are making a difference’. Following the development to the priorities and targets of the country and receiving the strategic plan with self-set targets, the team (and organisation. Such policies and organisational structures subsequent volunteers) were better equipped to know their also help align volunteers and their tasks. Volunteers in priorities, work collaboratively to achieve these and to case story one and two would have been better situated know whether they (and the volunteers’ contribution) were with more knowledge of policies nationally and organisa- making a difference. Self-set targets engage staff and tionally. This puts onus not only on the volunteers and communities in achieving the change they ascertain as August 2013 77 being needed. Chambers’ (a keynote speaker at the the plan. This avoided a scatter gun approach from the conference this paper is connected with), ‘Whose Reality receiving organisation, where previously when volunteer Counts’ (1997) is still relevant today; starting with assistance was offered it was difficult to refuse. As people’s knowledge as the basis for planning and change. discussed previously, doing one thing can mean not doing This not only helped set the priorities for the organisation something else. Strong leadership is needed from the host but provided a tool to direct volunteer enquiries and organisation to have a strategic direction, being clear as actions and monitor and evaluate results. to what the organisation can do to achieve positive development outcomes. Volunteer enquiries and place- 3. Focus on creating an enabling environment and ments can then be directed accordingly, aligning with the sustainability; do so through relationships with mutual organisation’s strategic direction. grace and humour. 2. Alignment: Donor countries (or in our case, volunteer- Creating space for local staff and all community members sending organisations or individuals volunteering to input into all parts of the development and project cycle independently) align behind these objectives and use is critical. Considering what will enable this project to local systems. (Italics from Paris Declaration, 2005) work, and what people to involve, leading and continuing Know and understand the local system and, if this is not it into the future. This includes being realistic about the possible ahead of time or is difficult to ascertain when in- time needed to implement activities and see results. country, then at a minimum realise that there is one. Working together with people towards a common Volunteer-sending organisations can do some of this at a cause and seeing positive change can be one of life’s national level and encourage volunteers to also do so rewards. Relationships, mutual grace and humour are often within their sector or organisation. Investigate — use the the glue. In case story 2, the volunteers did not implement internet, ask questions, for example: training ‘How does the hand-washing activity they originally proposed with training usually take place? What have been some of the the organisation they had a pre-existing relationship with best examples of training workshops that have produced and instead did this with an alternative organisation. results?’ Or procurement, ‘How are medical supplies Sherraden (2008) cites warnings regarding short term usually arranged? How does funding work? What happens volunteer placements, including that they can interrupt in situations where you run out?’ It is easy for volunteers continuity of service, which would have been a risk had to determine activities which they believe will meet the original proposal been implemented in an organisation identified needs, such as hand-washing to address where there was not a programmatic ‘fit’. The ongoing particular health problems, however this activity did not fit relationship, common values and the strategic plan made it within the organisational priorities nor did the volunteers possible to maintain relationship (and save face) and have means to influence the larger political and economic redirect the volunteers’ interest and time to another systems that influence water, sanitation and hygiene organisation in the first instance and then an alternative issues. Similarly some short-term volunteer health pro- activity (statistical analysis of baseline survey) where there fessionals bring medical supplies to another country. This was a need. response can meet an immediate need, however, does not align with local systems or training programs and can Principles of engagement undermine the system whereby local staff may decrease their local advocacy efforts to have this problem rectified, Principles to direct the good intentions of volunteers can instead relying on outside supplies, which are likely to be be taken from those outlined in Aid Effectiveness Forums; unsustainable. what works for development and what doesn’t. Many volunteer-sending organisations base their work on 3. Mutual accountability: Donors and partners (or in our such principles. Three of the five core principles from case volunteer-sending and receiving organisations and the 2005 Paris Declaration on Aid Effectiveness are volunteers) accountable for development results. especially important; ownership, alignment and mutual accountability. In short being responsible together for whatever is planned and done.… ‘We will demonstrate that our actions 1. Ownership: ‘Developing countries (or in our case, translate into positive impacts on people’s lives’. ‘We will organisations within), set their own strategies. Donors be accountable to each other…. for these outcomes’ (or in our case volunteer-sending organisations and (Italics from Paris Declaration, 2005). Emele Duituturaga volunteers themselves) will support by respecting (2012 ACFID- University Linkage Network Conference), countries’ priorities (in our case, finding out about quoted a Gangulu woman from the Aboriginal Activists National and organisational needs, plans and programs) group, ‘If you have come to help me you are wasting your and investing in their human resources and institutions.’ time, but if your liberation is bound up with mine then let (Italics from 2005 Paris Declaration, 2008 Accra Agenda for Action) us work together’ (1970’s). It is still about doing something with rather than doing something for or to. A The aforementioned Strategic Plan is a good example of clear terms of reference for volunteers and how their work increasing an organisation’s ownership of their program. contributes to that of the organisation’s needs and how this Once created, volunteer approaches were then considered will be measured can be useful. The process is as in the context of achieving the objectives specified within important, if not more so, than any tool and great care 78 Development Bulletin 75 from volunteers and volunteer-sending organisations to Devereux, P 2008, ‘International volunteering for development ‘read’ the cross-cultural messages from colleagues, whose and sustainability: Outdated paternalism or a radical response communication style may be very different and less direct to globalisation’, Development in Practice 18 (3) 357–370. (Hofstede, 2010) is needed, as is a recognition of the Dickson, M and Dickson G, 2006, Volunteering: Beyond an act power dynamics and political factors (Parkinson, 2009) of charity, Journal of Canadian Dental Association 71, 11 inherent in participatory monitoring and evaluation (three bullet points). processes. Geletko, KW, Beitsch LM, Lundberg M and Brooks RG, 2009, Reducing the impact of the health care crisis through volunteerism: A means not an end, American Journal of Conclusion Public Health 99 (7) 1166-9, Jul. Volunteers can, and do, make positive contributions to Hofstede G, GJ Hofstede and M Minkov M 2010, Cultures and development and enabling counterparts to participate in Organizations: Software of the mind. Revised and expanded 3rd Edition. McGraw-Hill, New York, USA. development in multiple ways. However undirected or misdirected good intentions from volunteers, particularly Holmgren, C and H Benzian 2011, ‘Dental volunteering — a time for reflection and a time for change’, British Dental volunteer-initiated projects, can risk impeding national Journal 210 (11). counterpart capacity to take on leadership roles or direct Lough, BJ, AM McBride and MS Sherraden 2009, Perceived development processes. To end, do everything to Effects of International Volunteering: Reports from alumni, encourage the participation of local people and organis- CSD Research Report 09–10, Washington University. ations to plan and implement the change they see is needed Paris Declaration on Aid Effectiveness 2005 and Accra Agenda in their community and country. Use power to empower for Action 2008 www.oecd.org accessed on 22 October (Chambers, 2012 ACFID- University Linkage Network 2012. Conference) or don’t get involved. Use your whole self to Parkinson, S 2009, ‘Power and perceptions in participatory enable participatory development. Volunteers and monitoring and evaluation’, Evaluation and Program volunteer-sending agencies’ skills, interest and passion can Planning 32 (3) 229–237. encourage, support and promote this to occur, including Reisch, C 2011, ‘International service learning programs: Ethical joining with local counterparts to address the barriers that issues and recommendations’, Developing World Bioethics stand in their way. 11 (2). Rietschlin, J 1998 ‘Voluntary association membership and psychological distress’, Journal of Health and Social References Behaviour 39 (4) 348–355. Block, EM et al 2010, ‘Got volunteers? Association of hospice Sherraden, MS, B Lough and AM McBride 2008, ‘Effects of use of volunteers with bereaved family members’ overall international volunteering and service: Individual and rating of the quality of end-of-life care’, Journal of Pain and institutional predictors’, Voluntas 19 395–421. Symptom Management 39 (3) 502–506. Strange V, S Forrest, A Oakley, RIPPLE Study Team 2002, Campbell, A, M Sullivan, R Sherman and WP Magee 2011, ‘The Randomized intervention of pupil-led sex education, Peer- medical mission and modern cultural competency training’, led sex education — characteristics of peer educators and Journal of the American College of Surgeons 212 (1) 124–129. their perceptions of the impact on them of participation in a Chambers, R 1997, ‘Whose reality counts?’ Putting the Last peer education program, Health Education Research 17 (3) First, London Intermediate Technology Publications. 327–337. August 2013 79 Shifting from capacity building towards valuing existing capacities of local organisations in Cameroon Eric NgangNdehMboumiena, University of South Australia and Action Group on Governance and Environmental Management, Cameroon Introduction overlooked the contribution of civil society and local This paper looks at current discourses around capacity governments and the views of those communities affected development and the paradigm shift in thinking within the by the disasters. context of aid. It is argued that there is a need for external The perceived notion, which is seemingly a tra- development agencies to support local development ditional westernised humanitarian perspective, is that actors to value local capacities, skills and knowledge and local responses based on local capacities which are only solicit external capacity assistance when identified hinged on an understanding of the local realities are gaps cannot be filled by existing local expertise. It often slow and ineffective. However, to contribute to highlights a practical, successful and sustainable approach meeting the growing and challenging needs, there is an called ‘The demand and supply of learning using a market urgent need to focus on respecting and valuing the approach; an innovative approach to valuing and existing capacity of local civil society and local developing local capacity’. It is used by the North West authorities in the global aid discourse. This was also re- Association of Development Organisation (NWADO); a echoed in 2011 by the president of MERCY Malaysia civil society network organisation in Cameroon. when he argued that: a greater role for Southern national and local NGOs is Local humanitarian actions in global the only way to respond to increasing disasters, and the humanitarian aid discourse realisation that climate change adaptation, preparedness and risk reduction are as ‘humanitarian’ as immediate The world financial crisis has resulted in cuts in relief. development assistance budgets despite the continued increase in needs in many developing countries. Needs The international development agencies (INGOs are intensified by natural and anthropogenic drivers, for and donors) need to give more support and play a example, climate change with projected increase in brokering role at the interface between governments and impacts especially in poor and disaster stricken countries civil society, supporting more favourable environments (IPCC 2007). The impacts of disasters are often fuelled and space for local efforts and capacities to be by poor governance especially in top humanitarian aid developed and deployed to enhance development at all receiving nations, for example, Somalia and Afghanistan levels (See Figure 1). which show very little prospect for sustainable peace Although the role of international agencies is vital, (Oxfam 2012). especially as new development challenges are emerging Although aid in the form of grants, loans, and needing innovative approaches and capacities, their expertise is invaluable, it is not the ultimate solution to greatest responsibility will be to help local organisations these challenges. Building the resilience of states and value the existing capacities acquired over the years and civil society capacity to prepare and respond to these using these capacities in a sustainable way. This will challenges is crucial (Cairns 2012). As humanitarian contribute to break the cycle of dependency with local assistance records a continuous shortfall (38 per cent civil society organisations asserting themselves and shortfall in the UN appeal for a decade), a remarkable contribute to make a difference in the lives of many. This part of humanitarian action is likely to come from role will be more visible even when governance developing countries themselves. This calls for more challenges cause international aid agencies not to be recognition of domestic actions as a contributor to the present. For example, the role played by local civil global humanitarian aid rather than focus only on society organisations in saving many lives amidst international humanitarian aid. There is thus a need to political pressure, conflicts and minimal external support rethink the definitions of humanitarian aid which in Darfur, South Sudan, after the expulsion of aid currently lay emphasis only on financial flows (grants and agencies including Oxfam in 2009. Emphasising the loans) and deployment of expertise from the developed creation of an enabling environment where local expertise countries (Gyoh 2009:42). The following examples show is valued, will give room for the generation of new the impact that the contributions of local organisations knowledge. It also facilitates the identification of have made in the lives of millions in disaster situations. challenges that feed into new proposals from the bottom- Examples include the provision of water to communities up, especially when new capacity development programs in drought and famine stricken Somalia by local NGOs, are envisaged. This is in contrast to the top-down the response to Haiti’s earthquake, and the 2011 floods in approach which is often prescriptive, does not adequately Pakistan (Cairns 2012). When this assistance was understand the local needs and realities, and is not people evaluated, it revealed that the Western donors had oriented (Ngang 2010, Frukuka-pera 2002, Gyoh 2009). 80 Development Bulletin 75 Figure 1: Good governance model showing role of stakeholders in basic service delivery and capacity development (Ngang 2010). The NWADO case study to a remarkable growth and development and the genera- tion and dissemination of contextualised new knowledge. Background Since the 1980s, there has been a gradual shift in This case study covers the ‘demand’ and ‘supply’ of thinking with the overdependence on external resources, learning and provides new approaches to valuing and (information, capacities, expertise, knowledge skills etc), developing local capacity. Prior to 1980, development giving way to new and innovative approaches that actors in Cameroon placed a high premium on knowledge, value local and indigenous expertise, experiences, and skills and expertise coming from abroad, undervaluing or knowledge. The North West Association of Development underestimating the indigenous expertise and capacities Organisations (NWADO), a network of development that had been locally built over the years. These pre- organisations in the North West of Cameroon, with a scriptive or top-down approaches to capacity development membership in excess of 60 has been at the centre of the showed a distrust of local, indigenous and innovative approach to valuing local and indigenous capacities. approaches to capacity development although these local A survey of a cross section of the membership reveals and indigenous approaches had the potential to contribute that the members work in domains, shown in Figure 2. Figure 2: Domains intervention of NWADO members (NWADO Member survey 2011). 0 5 10 15 20 Advocacy Agriculture Disability Environment Poverty Eradication Main area of Gender Equity Service Governance Humanitarian Aid Human Rights HIV/AIDS Income Generation Sustainable Livelihood August 2013 81 The NWADO initiative is titled ‘The demand and these two mutually interdependent levels of capacity supply of learning using a market approach: an innovative development with a clear focus on what is needed at each approach to sustainable local capacity development’. It is level there has been a contribution to the overarching goal worth mentioning that the ‘demand’ and ‘supply’ used in of societal development. The method is shown below: this context does not entail the use of money. In doing Level Focus Individual Engaging individuals in a continuous process of learning and recycling of knowledge, valuing existing knowledge and skills and taking advantage of new opportunities requiring application of learning. Institutional Building and valuing existing capacities within CSOs, local councils, and other institutions. Seeking for innovative ways to revitalise existing initiatives and enhance their growth. Creating and finding different kinds of opportunities, whether in the public or private sector, that enable people to continuously grow their capacities, preventing these from becoming obsolete. Beneficiaries The primary beneficiaries of this initiative have been the NWADO members and organisations with observer status. However, the local councils (facilitating twinning for capacity development), the media and other thematic networks in Cameroon are replicating the NWADO experience. Approach Appropriate space, conference paper, bold markers pens, etc. In a joint working session, members, staff and board, As the process goes on, formal and informal ‘demand’ are encouraged to brainstorm and come up with areas of and ‘supply’ of learning links are being established bet- individual and organisational strength in terms of ween and amongst participating individuals, groups of capacity. They are encouraged to reflect on their existing CSOs, local councils and the media in Cameroon. In capacity and focus on those they are able to ‘supply’ or essence, through a process of mutual coaching, mentoring, offer to other individuals and organisations interested in participants, individuals and institutions, assist each other acquiring those skills. These are recorded clearly on a flip go through the process of building the identified capacity chart or appropriate conference papers. Secondly they are gaps. encouraged to brainstorm on their weaknesses, generating This approach of capacity development has been those areas of capacity gaps where they will like to referred to as innovative as individuals and institutions ‘demand’ or request for assistance for capacity develop- are currently mutually developing their capacities without ment. These are equally clearly recorded on the flip chart. having to mobilise huge external human and financial Participants through an ‘open market’ are encouraged resources as was the case in the past. Some areas where to share their strengths and weaknesses with other participating individuals and institutions have mutually participants. In this process, each participating organis- ‘demanded’ and ‘supplied’ learning for capacity develop- ation and individual take notes on areas where they will ment include: like to ‘supply’ and ‘demand’ capacity.  promotion of national volunteering; Mutual identification of what shall be ‘demanded’ and ‘supplied’ is encouraged as the initiative hinges on a  capitalisation of results and best practices; barter system to make use of the existing capacities.  advocacy and lobbying; Participants who identify areas for mutual sharing are  fundraising; encouraged to discuss the possibilities of the exchange  monitoring and evaluation; happening as much as possible. Participants then share in  project proposal development; plenary what individual and organisational capacities  skills on advocacy on issues affecting communities at shall be ‘demanded’ and ‘supplied’ as post workshop the grass root levels; services. At this stage, participants agree on clear time-  networking, communication, and partnership lines for ‘demand’ and ‘supply’. Once these are agreed development; upon, they are clearly documented to enable follow-up.  gender sensitive development; A list of capacity gaps ‘demanded’ which cannot be  reporting; bridged by participating organisations is documented. This  development oriented journalism; and constitutes a basis for the demand of support first locally  use of ICT tools in communication. and the externally from capacity building partners like Voluntary Service Overseas (VSO) and the Commonwealth Foundation. Feedback from the evaluation The members hold quarterly reflections during which Evaluation of this experience shows participating a joint evaluation is done on the mutual ‘demand’ and organisations were amazed by the level of knowledge and ‘supply’ of capacity, the learning generated and new plans expertise available locally. This local approach to developed to continue the process. The process is iterative capacity development has been applauded by partic- and could be repeated until the desired results are ipating individuals and institutions because it is truly achieved as shown in Figure 3. demand driven. Also, it offers the opportunity for 82 Development Bulletin 75 Figure 3: A schematic representation of the process. Participating individuals and institutions brainstorm in an open and participatory way to generate strengths in capacity (capable and Interested to 'Supply') and weaknesses (interested to 'Demand') assistance for their development Quarterly reflection Participants using an 'open meetings are held to market' approach share evaluate the after 'Demand' capacity areas they are and 'Supply' services, interested to 'Supply' and document learning and those they are interested to develop new plans 'Demand' - Participants share in plenary capacity areas they have agreed to Participants identify mutually 'Demand' and 'Supply'. partners they are willing to -Timelines are agreed upon. mutually 'Demand' and - List of identified capacity gaps that 'Supply' capacity and cannot be bridged by participants is learning used as a basis to demand external capacity development support sharing and exchange of varied information, experiences, internal auditing. By promoting a truly open, participatory ideas, successful and unsuccessful methodologies, and and demand driven need for capacity development, the moral support amongst peers. pressure is less on capacity building networks like In addition, demand driven capacity building support NWADO and also the need for constant request for has been solicited from external partners (VSO and the external capacity building support is reduced con- Commonwealth Foundation) in areas including good siderably. For example some of the needs solicited by governance, accountability and transparency, financial members have been addressed through this initiative. See management, codes of ethics and quality assurance, Figure 4. Figure 4: Services including diverse capacity building requested from NWADO as a capacity building network (NWADO Member survey 2011). 0 5 10 15 20 25 Advocacy on common issues Audits Bulk Buying Club Capacity Building Code of Ethics Common Accounting Services members would use if offered Newsletter Partnership Development Photocopying Reference Library Shared Webpage Volunteer Recruitment Webpage development August 2013 83 Conclusion IPCC 2007, ‘Climate Change: Impacts, adaptation and vulnerability contribution of Working Group II to the Fourth This paper looked at the critical issue of capacity Assessment Report of the Intergovernmental Panel on development as one of the precursors to sustainable Climate Change’, accessed 30 May 2012, www.ipcc.ch/ development especially for countries in the global South. publications_and_data/publications_ipcc_fourth_assessment It affirms that capacity development support from the _report_wg2_report_impacts_adaptation_and_vulnerability. developed countries has been crucial in fostering develop- htm. ment of the receiving countries. However, opportunities Khoo, S 2011, ‘The shifting policy landscape of development have not been created to enable the nurturing of these education’, Policy & Practice: A development education capacities with inputs of local experience. Given the review 13, Autumn 2011, 1–10. significant financial challenges faced by many developed Logan, B and K Mengisteab 1993, ‘IMF-World Bank countries that have been at the forefront of capacity Adjustment and Structural Transformation in Sub-Saharan development, the paper advocates for a strong con- Africa’, Economic Geography 69, 1. sideration of alternatives to the existing model of one-way NEPAD/AU 2009, Capacity Development Strategic Framework: North-South capacity development flow. It emphasises the Capacity development, the power to change Africa, NEPAD need for valuing the existing capacities and for North- Planning and Coordinating Agency, Midrand, South Africa. South capacity development relationship to be more Ngang, E 2010, The ‘Projectisation’ of Governance: Its demand driven. The NWADO experience capacity implications for development’, in S Lartey and D Sastry development using the marketing theory of ‘demand’ and (eds), Governance in the Commonwealth: Current debates, ‘supply’ was presented as a good and reliable approach Commonwealth Foundation. which helps reduce dependency on external resources. It Malloch B 2002, Capacity for Development: New solutions to enhances the valuing of existing potentials through mutual old problems, Earthscan Publications, UK. and reciprocal capacity development. Also, initiating open OECD 2006, DAC Guidelines and Reference Series Applying platforms and forums like NWADO’s, greatly encourages Strategic Environmental Assessment: Good practice local linkages for capacity development in every direction guidance for development co-operation, accessed 25 — between and within individuals, and institutions. It is October 2012, http://stats.oecd.org/glossary/ hoped that as this experience is nurtured it would be detail.asp?ID=7230. developed for sharing with development actors in the OECD 2007, The Marshall Plan 60th Anniversary, downloaded global South. 21 September 2012, http://www.oecd.org/ marshallanniversary/themarshallplan60thanniversary.htm#. Rambul, R and S Tasah 2011, ‘NWADO report on member References service requirements and future recommendations’, Berg, E and UNDP 1993, ‘Rethinking technical cooperation: (unpublished). Reforms for capacity building in Africa’, accessed 29 Rugumamu, S 2011, ‘Capacity development in fragile October 2012, www.mirror.undp.org/capacity/ environments: Insights from parliaments in Africa’, World about/rethinking.htm. Journal of Entrepreneurship, Management and Sustainable Cairns, Ed 2012, Local Capacity and Humanitarian Aid, Oxfam Development 7 (2) 113–175. Publication, accessed 18 April 2012, UNCED 1992, Capacity Building —Agenda 21’s Definition, http://www.insightonconflict.org/2012/06/local-capacity- accessed 29 October 2012, http://www.eoearth.org/ and-humanitarian-aid/. article/United_Nations_Conference_on_Environment_and_ Gyoh, S 2009, ‘Structural constraints to global South actor Development_(UNCED),_Rio_de_Janeiro,_Brazil. involvement in development education in Ireland’, Policy & UNDP 2001, Development Effectiveness: Review of evaluative Practice: A development education review 8, 41–48. evidence, New York. Fukuda-Parr, S, C Lopes and K Malik 2002, Capacity for World Bank 1998, Assessing Aid: What works, what doesn’t, and Development: New solutions to old problems, Earthscan why? World Bank and Oxford University Press, Publications, UK. Washington, DC. 84 Development Bulletin 75 Participation towards building sustainability in delivering services for the urban poor in Sri Lanka1 KIH Sanjeewanie, Centre for Poverty Analysis and HMU Chularatne, Sevanatha Urban Resource Centre, Sri Lanka Introduction 2. Constructing a rain water drainage system and improve- ing conditions of the access road. This paper discusses the challenges of sustainability in participatory development projects based on an action 3. Improving the solid waste disposal system. research project ‘Community-based Assessment and 4. Strengthening capacities of the Community Develop- Improvement of Living Environment in Underserved ment Council (CDC).8 Settlements and the Environs: The case of Gothamipura- Colombo, Sri Lanka’. The project was initiated in June Maintaining community interest and community 2006 with financial support from the International integration into the project were seen as critical factors for Development Research Centre (IDRC), Canada.2 It was sustainability of any development project. Therefore part of a wider global initiative that included a series of factors that will influence community interest needed to be action research projects in eight cities3 around the world identified. Some of the key elements that were used to with the aim of building a body of knowledge on create community interest in this project were addressing improving the living environment of the urban poor community priorities, community empowerment through through service delivery. Two main areas of focus were allocating responsibilities to the community, widening encouraging community participation and institutional linkages with external parties, capacity building through strengthening. trainings, workshops and exchange visits. The project adopted several participatory methods including strength- Colombo, Sri Lanka was one of the focus cities, led ening the CDC and establishment of an Operational and by the Colombo Municipal Council (CMC),4 and Maintenance Fund (O&M). implemented in one underserved settlement (USS),5 Gothamipura. It was carried out in partnership with Sevanatha Urban Resource Centre6 and the Centre for Establishment of an Operational and Poverty Analysis (CEPA).7 Operational components of the Maintenance Fund project were undertaken by the CMC while community The maintenance of the constructed sewer system involved strengthening activities and operationalising the Community the cost of electricity incurred from using the pump and Action Plan (CAP) were undertaken by Sevanatha. CEPA payments for two workers at the pumping unit. During the provided the research and monitoring inputs to this project. course of the project attempts were made to devise an The project had the following specific objectives: O&M fund using a contribution of 10,000LKR from each household. This was included as part of the valuation fee  Improving CMC operations: Using water and sanitation that the households had to pay for land deeds to the (focusing on sewerage) as an entry point, to develop a National Housing Development Authority (NHDA), model of participatory service provision. because they had shown more interest in obtaining land  Learning about poverty: To improve knowledge on the deeds than connecting to the sewer system. Hence, link between poverty as expressed through financial, includeing the O&M contribution into the land deed socio-political, resource and human assets — and environmental burdens. program helped in getting people automatically connected to the sewer system. The NHDA was expected to transfer  Learning about land tenure security: To assess how the relevant amounts to the bank account of the O&M improved access to services contributes to an improved sense of land tenure security. fund, and the monthly electricity bill would be paid from the interest, which is managed by the CDC and Sevanatha  Long term institutional improvement: To use the integrated model to improve on other CMC initiatives under the guidance of the Project Coordinating Committee and policies related to urban service provision and of the CMC. poverty reduction in the USS. This activity created a sense of ownership of the  Team capacity building: To enhance team capability in project by the community through the CDC and was an carrying out participatory research and communication essential component in maintaining project sustainability. through involvement in a learning network with other The project encouraged the community to take over the Focus City teams and in the project community. operation and maintenance of the pumping unit by the CDC, and to train some selected community members in The project was carried out through four interventions. its operation and management. This initiative can be seen 1. Constructing a sewer system for Gothamipura (new as part of a wider process of creating awareness of what sewer line constructed within the settlement and con- this entails, who needs to be involved from the community nected to the city’s main sewer system, through a pumping and other stakeholders, as well as ensuring that the skills unit) and facilitating individual house connections. required for the job exist within the community. August 2013 85 Some essential capacity building was carried out to developed by the NHDA to help households make strengthen CDC capacity in order to manage the sewer payments in a manageable way; people could pay outright system as well as to help community members engage in or on an installment basis with loans facilitated by the the O&M process. This was determined to be the best Women’s Development Bank (Women’s Co-operative strategy under the given circumstances. It is also necessary Society). People were more inclined to contribute towards to ensure that community engagement in managing the the land title deed because it would offer them something sewer system would continue and the support from CMC more tangible at the end of the process. and other stakeholders would be provided in the future, which is the challenge in the context of the sustainability Figure 1: Awareness and participation in meetings and activities related to obtaining land deeds through the of the project. project, end of project evaluation (percentage) Addressing community priorities Land tenure: Community priorities were addressed through a Community Action Plan (CAP) which was formulated with active community participation. A priority identified by the community in the initial stages was land tenure. Therefore, measures were taken by the project to facilitate issuing of land titles to the community members through negotiations and working closely with the National Housing Development Authority (NHDA), the land owning institution. It was also seen as a way of encouraging community participation in other project related activities, helping to mobilise the community and improve land tenure security. The community had to pay the NHDA for initial valuation of the land and part of this money was transferred to the O&M fund for the sewer system as agreed among the project partners and the NHDA. These agreements accelerated the process of connecting houses to the sewer system and establishing the O&M fund. This transaction cost influenced the project process, because land deeds were highlighted as a priority issue for the community, and addressing this issue helped Source: Household survey, End of Project Evaluation 2011 to create trust and confidence in the community towards the project. Solid waste management: A solid waste management program and an urban agriculture program were imple- The community appreciated both monetary and non- mented as a demonstration on re-using the biodegradable monetary benefits of having deeds. Monetary benefits waste generated in the project community. The most related to being able to get bank loans and access to credit common method of solid waste disposal is through facilities as well as being able to sell land. People who collection by the CMC or dumping waste in designated have lived in the settlement most of their lives, sometimes dumping sites or undesignated sites. At the baseline phase for generations, feel that this gives them rightful of the project, it was noted that the majority of households ownership. Non-monetary benefits were also mentioned in the community faced problems when they tried to including assurance that the land belongs to them. The link manage their waste. They noted irregular collection, the to improving the settlement environment was another lack of adequate space, and improper storage facilities. aspect raised together with the impact a deed can have on They also cited that programs that were in place to control the social stigma faced by these people. Residents felt that waste management were ineffective because they lacked having the deed could act as a means of reducing stigma collection practices. As a result, the issue was raised in the and creating opportunities for residents, particularly in CAP and a solid waste management program was imple- relation to access to schools and financial institutions. Also mented along with an urban agriculture program. impacts of personal security were noted. This is seen in Urban agriculture was planned as a way of managing respect to safety but also in relation to having a voice waste; especially biodegradable waste. Interest in par- which they can use as a way of demanding justice and ticipating was mainly attributed to a liking for gardening ensuring their protection. Residents felt that their level of and as a means of reducing household expenditure, followed dependency on others, especially state institutions, would by creating an appealing environment. During the diminish. awareness stage of this intervention, the community was However, there were a number of constraints to interested in participating and keeping their environment getting deeds. Many residents highlighted the lack of clean. They gained experience through several exchange economic stability and the means to make the required visits organised by the project. The CDC will now manage payments and suggested alternative ways of making these a community led compost production centre with the payments. As a result, payment options for title deeds were support of the CMC. 86 Development Bulletin 75 Strengthening the Community Development Council project processes and take necessary action if required. (CDC): The CDC in Gothamipura was problematic in the There was, however, a lack of clarity as to why different past, due to lack of community support and its political stakeholders were involved in different phases and their subversion. Its effectiveness had suffered as a result of the role in the project at community level. This was addressed lack of activities that members could pursue. The project at different gatherings, and community meetings. has been able to revive the CDC and help improve its Increased project information availability helped the functionality and also address its operational constraints. community to recognise the needs of different stakeholders The CDC is now identified as the entry point for and their role and responsibilities within the project. This external parties to establish their service delivery mechan- also improved communication on project activities, partner isms within the community. This strengthens the CDC as it involvement and created better linkages among various allocates responsibilities based on the project activities. It stakeholders. Community participation in project activities is now well positioned to improve living conditions in was significant, and extended to project management as Gothamipure and to act as a mechanism for addressing well. The community was represented through the CDC in community grievances as well as a mediator between the monitoring meetings; giving them the opportunity for community and the other stakeholders of this project. The involvement in project steering at the management level. CDC had the key responsibility of introducing community The main focus of the CMC in this project was on priorities, coordinating community input and implementing improving the quality and access to sanitation within the the construction of sewer lines and other action components USS by providing a better managed sewer system. of the project. The project identified community mobilis- However, the community did not necessarily see the ation and the revival of the CDC as an important mechan- infrastructure investment as a priority need. Hence the ism to establish community participation and ownership. project had to come up with a CAP initiative that The CDC was given the authority to handle the O&M addressed community priorities such as land deed and fund and managing compost production by transferring it solid waste management which were used as incentives to into a financial organisation and establishing community get support for the sewer system. Since the community ownership of this project. The CDC was given the benefited from the sewer system, it created a win-win responsibility of O&M of the pumping unit, including situation. The benefits of addressing land rights improved managing the two workers under the supervision of CMC. the sense of land security and ensured a commitment to They also have the responsibility of operating the compost taking care of the environment. This had considerable production yard and its maintenance. The profits of both impact on winning support for the sewer system. these interventions are transferred into the CDC and could Creating a source of funds for the community through be invested to solve any other issues of the community. O&M and profit from the solid waste management This empowered the CDC to represent the community in program were connected mechanisms that went beyond its involvement with other state and non-state institutions the life of the project. This created an incentive that to resolve community issues. empowered the community by transforming the CDC into Community dynamics and the perceptions of people a financial organisation to handle community issues. did affect the way that the CDC functioned. Yet, it was The leadership role played by the local government proved that engagement of the community was an integral authority (CMC) in coordinating and implementing project if not essential component of the project. Hence, it is activities and strengthening linkages between the com- recommended that future projects could incorporate munity and other stakeholders, has been exemplary. effective community engagement with adequate plans in Confidence placed by other stakeholders in the strength of place from the onset, to help smooth implementation of the project leading organisation has assured the project activities. Given the community dynamics there is sustainability of the project. a need for the CDC to continue to be involved in Having multiple stakeholders meant that those with community/settlement level activities and for the CMC to different skills were able to carry out the tasks as needed. continue its support and endorsement of the CDC beyond Although this integration enabled service providers, both the life of the project. government and nongovernmental, to establish their services proactively within the community, this was some- Conclusion times challenged by their agendas, deadlines, procedures This project revealed that participatory methods can be and bureaucracy. Hence this experience highlighted the adopted in order to provide essential community services need for negotiation and clear communication in order to in underserved settlements, and to assure their sustain- achieve desired outputs and sustainability of project ability. The active participation of project stakeholders interventions. This was seen as one of the main factors for ensured the effectiveness of the project in achieving the delay of project completion. One method of managing sustainability. The project involved various stakeholders this situation was to have regular meetings, minute equipped with different skills, at different phases. The proceedings and assign responsibilities through open project adopted several multi-stakeholder monitoring communication. systems. Weekly partner meetings, stakeholder meetings, The lifetime of the project saw many internal transfers monitoring and evaluations meetings provided oppor- and changes of positions within the CMC and other tunities for all the stakeholders to meet and discuss the institutions. This had implications on the effective August 2013 87 implementation of the project as new staff members 2 For More information, visit http://web.idrc.ca/en/ev-81920- needed to familiarise and adapt themselves to project 201-1-DO_TOPIC.html. processes. This had a negative influence in achieving 3 South America (Lima – Peru, Chochabamba – Bolivia, planned project outputs and factored to some extent in the Moreno – Argentina), Africa (Ariana – Soukra – Tunisia, overall project timeline. Hence, more effective planning Dakar – Senegal, Kampala – Uganda), Asia (Colombo – Sri was cited as a solution. Although this project had an M&E Lanka), South East Asia (Jakarta – Indonesia). and steering component built in, it was not always possible 4 For more information, visit http://www.cmc.lk/. to use this information to generate reflection. This was due 5 Underserved Settlements (USSs), as opposed to slums, refer to the community and other stakeholders failing to to urban settlements in Colombo and its suburbs that are recognise the importance and necessity of this component. situated on unauthorised land areas. It is characterised most Changes were sometimes made in an ad-hoc manner often by high densities of populations (approximately 820 reducing the efficiency and effectiveness of the project. persons per ha. or four times the average of the city of The research partner also needed to play a more prominent Colombo), situated on land that is state or privately owned role at community level gatherings, which would have and not owned by the residents. Housing has been helped build familiarity and rapport. At the same time, the constructed on small land parcels and is not legally role of monitoring and evaluation and its assistance in constructed. These areas have limited service provision as a result of not falling within the purview of local project steering and consolidation of project learning government. should have been given more importance. 6 Sevanatha Urban Resource Centre is a local NGO which Managing community aspirations from the project engages in urban community development including shelter, design stage to completion and phasing out was a clear community empowerment training and livelihood achievement of this project. It was achieved through improvement of the urban poor. creating adequate awareness among the community, 7 For more information, visit http://www.cepa.lk/. handing over responsibilities necessary to handle project 8 Community Development Council, an organisation of activities, and rewarding achievements. This assured the community members, has been the formal facilitator of sustainability of the project. The participatory develop- services in USSs. ment methods used in this project can be considered for replication in similar environments. References End of Project Evaluation Final Report, September 2011, Focus Notes CITY Programme: Community Based Assessment and 1 Lessons learned from an action research project in Improvement of Living Environment in USSs and Environs: Gothamipura-Colombo, Sri Lanka. The case of Gothamipura, Colombo, Colombo, Sri Lanka. 88 Development Bulletin 75 Assessing the contribution of participatory approaches to sustainable impacts of agricultural research for development in the Northwest Highlands of Vietnam Huu Nhuan Nguyen, Oleg Nicetic, Lauren Hinthorne and Elske van de Fliert, School for Journalism and Communication, The University of Queensland Introduction de Fliert et al. 2010). However, a shift towards a research Harsh natural conditions, poor economic conditions, for development approach, targeting the immediate use of increasing population pressure, low levels of education research outputs for development purposes, became visible and limited involvement of local communities in in the late 2000s. Notably, participatory communication agricultural extension and research programs are often approaches have been adopted in several of these identified as major causes of unsustainable development of agricultural research projects in an attempt to better link many upland regions of Vietnam. It is generally assumed research with development. These approaches have ranged — but increasingly debated and mostly not proven — that from using farmers only as information providers and field farmer participation enhances the applicability of research labourers to the involvement of farmers as information outputs. Therefore, understanding the contribution of a sharers and co-researchers. participatory communication approach to sustainable development outcomes will be very important for inform- Limitations of conventional impact ing appropriate agricultural research for development assessment in agricultural research strategies in the future. This paper reviews existing impact Conventional impact assessment of project or programs assessment approaches for agricultural research projects in tend to focus principally on the economic dimension of the Northwest Highlands of Vietnam and discusses their poverty (Mayoux and Chambers 2005) or economic limitations. It suggests developing an alternative impact variables such as increased production, cash, income and assessment framework for agricultural research for job generation and internal management issues (Ashley development projects that is approached from a com- and Hussein 2000). The impact indicators used in such prehensive livelihoods perspective. assessments are usually defined by outside researchers and independent evaluation specialists at the start of a project. Overview of the Northwest Highlands Evaluation of impacts is often carried out at the end of a The Northwest Highlands of Vietnam are characterised by project or program with the main objectives of better high ethnic diversity and mountainous topography. The understanding expected and unexpected outcomes, cost- Northwest Highlands include six provinces with a total benefit justification and guidance for future project natural area of 5.07 million ha, which accounts for 15.32 implementation (Owen 2006). In the Northwest Highlands, per cent of the whole country (NOMAFSI 2012). These conventional impact assessment approaches have been provinces are home to over 30 ethnic minority groups. The applied by most national research institutes and inter- highlands are not only diverse in culture and ethnicity but national development agencies. also in the degree of connectedness to markets. According The Northern Mountainous Agriculture and Forestry to the General Statistics Office of Vietnam (2011), by Science Institute (NOMAFSI), the research unit of the 2010, the total population of the highlands was 4.15 Vietnam Academy of Agricultural Sciences (VAAS), is the million, the lowest population density in the country at 82 leading organisation carrying out agricultural research in people/square km. The poverty rate of the highlands is the Northwest Highlands. In the last five years, the around 40 per cent compared to 14.2 per cent nationally, institute has carried out more than 140 agricultural making the highlands one of the poorest regions in the research projects, most of which have been conducted in country (MOLISA 2011). the Northwest Highlands. Participatory communication Recognising the problems of the Northwest Highlands, approaches have been adopted in the implementation and since the early 1990s there has been a great deal of invest- evaluation process of these projects. However, assessing ment from both the Vietnam Government and international the impacts of participatory practices remains very limited. development agencies (for example, Australian Centre for Most NOMAFSI agricultural research projects have International Agricultural Research, Agricultural Research carried out end evaluations when agricultural research for Development) through various social economic projects ended, rather than impact assessment. After development policies and agricultural research initiatives. reviewing several evaluation reports completed by Most agricultural research projects, conducted by the NOMAFSI, we found that they heavily emphasised Vietnamese Government and national and international quantitative analysis of research results, with a focus on research institutes since the 1990s have aimed at economic scientific findings and research performance indicators. development through increasing agricultural production Limited evidence has been connected with how and improving market engagement for local people (Van participatory approaches have contributed, or may have August 2013 89 contributed, to the improvement of local livelihoods and physical, and natural impacts of participatory development development strategies. Results of evaluation reports aim on the livelihoods of local communities. In typical social, to show the scientific conclusions of researchers rather cultural and political contexts of the Northwest Highlands, than the conclusions of farmers involved in the research the adoption of participatory approaches also vary among processes. Mechanisms used to report research results and agricultural research projects. obtain feedback from the local community are not clear. The Sustainable Land Use and Rural Development in Value of holistic approaches Mountainous Region of Southeast Asia (the Upland A holistic approach towards the assessment of impact of Program) has been implemented in the Northwest High- participatory communication approaches underpinning lands since the year 2000 by University of Hohenheim in agricultural research for development is very important to collaboration with Hanoi University of Agriculture, Thai support sustainable social change. The results of impact Nguyen University and Vietnam National Institute of assessment are not only crucial for learning about impacts Animal Husbandry. This multi-disciplinary research of research for development but also for how appropriate program aims at making a scientific contribution to the measures and strategies towards sustainable development improvement of natural resource conservation and living should be formulated in the future. However, by reviewing of the rural people in the Northern Uplands of Vietnam various existing evaluation approaches and schemes for through a wide range of activities in agriculture and food agricultural research carried out in the Northwest High- science (Neef and Neubert 2011). Participatory approaches lands, we observed that the assessment of impact of have been seen as a key cross-cutting issue in the imple- agricultural research and the contribution of a participatory mentation of activities under this program. The strengths approach to agricultural research projects remains proble- and weaknesses of participatory approaches are also given attention (Neef and Neubert 2011). However, only limited matic in terms of both objectives and methods. efforts are made at assessing impacts of participatory First, most agricultural research for development approaches to sustainable impacts of agricultural research. initiatives only undertake short term impact assessment Reviewing several reports and publications by this while research for development often takes time, and long program in the highlands (The Uplands Program (2012), term impacts may not be immediately apparent. Evaluation Schad (2011) and Neef and Neubert (2011)), we observe of agricultural research projects is mainly carried out at the that participatory approaches including semi-structured end of a research project without having a clear scheme for interviews, group discussion, and utilisation of other PRA assessing impacts in the longer term. tools appear to have been adopted by the program in order Second, impact assessment of many agricultural to increase the involvement of local communities in the research project pay more attention to the interests of research process rather than to equip them with the researchers and donor agencies rather than communities. capability to change their own circumstances. Impact The result is an intense focus on economic impacts that evaluation remains focused on measuring scientific ignores livelihood resources such as human, social and indicators rather than identifying the contribution or natural capital. potential impacts of participatory approaches of the Third, despite employing several participatory tech- program to sustainable livelihoods development of local niques (for example, RRA, PRA), the top down oriented communities. communication approach still seems dominant, especially Other newly implemented agricultural research for in most government funded research projects, leading to a development projects funded by ACIAR have also been weak empowerment of local communities. carried out by multidisciplinary teams in the Northwest Fourth, gaps exist between researchers and local Highlands. Unlike conventional agricultural research communities in evaluation due to the lack of facilitation projects, participatory approaches are adopted in these skills, gaps in understanding social culture and local research projects through all stages of a project circle: aspiration and barriers in languages sometimes leading to diagnosis, planning, intervention or experimentation, low reliability of findings. assessment and feedback- through collaborative research mechanisms. The strategies for impact assessment and Fifth, the results and findings of current impact impact dissemination were mentioned in research assessment approaches have been sometimes mis- proposals and evaluation reports for this ACIAR research interpreted or are weak due to a lack of evidence of (Beattie et al. 2010; Van de Fliert 2008; Lane and Vu impacts, caused by having little consideration of over- 2010). However, impact assessment of these agricultural lapped synergies of different initiatives in the same area. research for development initiatives tend to look at Finally, the impact indicators and feedback mechan- scientific and short term outcomes and impacts especially isms currently used for impact assessment also aim to look economic indicators — rather than human, social and into returns on investment or cost effectiveness for donor natural capital development indicators. Compared to the organisations, rather than the sustainability of these for key government funded projects, international donor funded stakeholders. The weaknesses mentioned above have led research projects in the Northwest Highlands have had a to unconvincing evidence showing how and why specific stronger participatory orientation and a broader scope of research and development approaches have contributed to impact consideration. However, there is still no clear — or rather failed to deliver — sustainable impacts in the strategy for assessing long term social, economic, human, Northwest Highlands. 90 Development Bulletin 75 An alternative impact assessment framework theories and participatory development communication Weakness in both objectives and methodology of past and techniques could help to measure more fully the impacts present impact assessment strategies clearly demonstrate of agricultural research for development to support the need for a holistic impact assessment framework. A sustainable social change in such a culturally diverse more comprehensive impact assessment framework would region. Understanding both technical and institutional measure outcomes and impact attributed by a research contexts of the Highlands is necessary for developing a project based on deep understanding of relationships more suitable impact assessment framework for agri- between technologies, vulnerability contexts and house- cultural research for development in this complex region. hold resources, intervening institutions, and livelyhood strategies. The adaption of the sustainable livelihoods References framework offers a basis for measuring impact indicators, Ashley, C and K Hussein 2000, ‘Developing methodologies for livelihood impacts, intermediate impacts, and direct livelihood impact assessment: Experience of the African research outputs. Sustainable livelihood frameworks with Wildlife Foundation in East Africa’, Overseas Development specified capital groups (economic, human, social, natural Institute, London. and physical) could provide a good direction towards Beattie, GAC, P Holford and T Haigh 2010, ‘Final report: achieving expected impact assessment indicators. These Huanglongbing management for Indonesia, Vietnam and could contribute to better understanding of both short term Australia’, Australian Centre for International Agricultural and long term contributions of participatory approaches to Research (ACIAR), Canberra. sustainable development. In addition, using participatory General Statistics office of Vietnam 2011, Statistical Year Book development communication theory for impact assessment of Vietnam 2010, Statistical Publishing House Hanoi. will help to enhance the active involvement and empower- Lane P and CC Vu 2010, ‘Project Proposal LPS/2008/049: ment of local communities in the impact assessment Overcoming technical and market constraints to the process. emergence of profitable beef enterprises in the NW highlands of Vietnam’, ACIAR, Canberra. Finally, shifting from top down to bottom up impact assessment in which impact assessment indicators are Mayoux, L and R Chambers 2005, ‘Reversing the paradigm: Quantification, participatory methods and pro-poor impact designed and assessed by local people with their own assessment’, Journal of International Development 17, 271– methods and resources, including their indigenous 298. resources, skills and knowledge, will be very crucial for MOLISA (Ministry of Labour and Social Affairs) 2011, sustainable development because they have more ‘Decision 640/QD-LDTBXH dated 30 May 2011 on opportunities in decision making for change. A part- Releasing the results of General Census on poor households icipatory impact assessment framework could not only and marginally poor households in accordance with Prime help to strengthen collaboration between and among Minister’s Directive No 1752-CT-TTg dated 21 September stakeholders, but could also enhance involvement in the 2010’, Hanoi. impact assessment process. As a result, both high validity Neef, A and D Neubert 2011, ‘Stakeholder participation in and reliability of impact assessment findings and agricultural research projects: A conceptual framework for empowerment of local communities could be achieved. reflection and decision-making’, Agriculture and Human However, even a comprehensive impact assessment Values 28 179–194. framework like the one briefly proposed above may not NOMAFSI (Northern Mountainous Agriculture and Forestry work well if the people implementing it lack facilitation Science Institute) 2012, Study on agricultural forestry technology transferings for the Northwest Highlands — skills or deep understanding of typical social, cultural, and Nghiên cứu chuyển giao lĩnh vực Nông lâm nghiệp cho political aspects of the local community. Challenges of vùng Tây Bắc. Phu Tho: NOMAFSI — Viện Khoa học kỹ application of participatory approaches in the Northwest thuật nông lâm nghiệp miền núi phía Bắc, Viện Khoa học Highlands with conventional top down practice should nông nghiệp Việt Nam. also be well considered. In addition, participatory com- Owen, JM 2006, Program Evaluation: Forms and approaches, munication tools for impact assessment should be Allen & Unwin, Crows Nest, NSW. modified and flexibly adapted to different groups and local Schad, I 2011, ‘We Vietnamese do new things differently’. communities. Finally, paying attention to indirect Facing Uncertainty in Agricultural Innovation, Kanalstraße technology, knowledge related spillover outcomes could 21; D-97990 Weikersheim, Margraf Publishers GmbH. also help to improve understanding of outcomes of The Uplands Program 2012, ‘Contribution made by the Uplands participatory approaches to sustainable development. Program’, Biannual Newsletter of SBS 564, 22, June. Van de Fliert, E 2008, ‘Project Proposal AGB/2008/2002: Improved market engagement for sustainable upland Conclusion production systems in the North West Highlands of An appropriate impact assessment approach is crucial for Vietnam, ACIAR, Canberra. understanding the contribution of participatory processes Van de Fliert, E, TV Pham, TMH Do, P Thomas and O Nicetic to sustainable development in the Northwest Highlands. A 2010, ‘Out of comfort zones, into realities: Research for holistic impact assessment framework for agricultural development with upland ethnic minority communities in research for development that is blended from sustainable North West Vietnam’, 9th European IFSA Symposium, livelihood frameworks, participatory impact assessment 2010 Vienna, Austria. August 2013 91 Peer review: An emerging research method in international development Naomi Godden and Chrisanta Muli, Oxfam Australia Introduction Peer review has numerous principles: Participatory action research (PAR) is a dominant  Voluntary: Participation in peer review is voluntary. paradigm in international development, and engages many  Trust: High mutual trust between entities is necessary, innovative research methods. One such method, peer requiring openness and constructive dialogue to share review, is significantly under-explored in the literature. It information, thoughts and ideas. Both parties have equal is a process of mutual trust, value sharing, transparency, control in the process. [Note: openness and honesty are and a high level of commitment involving participatory difficult when rival entities compete for resources]. and democratic values and principles that emphasise  Honesty: Peer review has a culture of criticism but is capacity building and mutual learning without con- non-judgmental. ditionality. The emphasis is on dialogue, a culture of  Non-adversarial: Peer review is cooperative, non- criticism, credibility and peer pressure, and requires adversarial and non-punitive. accountability, compliance and honesty from both the  Learning: Peer review is a mutual learning and capacity reviewer and the reviewed. Drawing from the available building process. literature and a water, sanitation and hygiene (WASH) case  Peer pressure: Peer review relies on influence and study by Oxfam Australia, we present a model of peer persuasion through peer pressure, influencing entities to review as a PAR method in cross-cultural international change, achieve goals and meet standards. development research.  Value sharing: Participating entities share clear, collective aims. Background  Commitment: Entities provide adequate financial contri- bution, and are fully engaged as reviewers and hosts. Peer review is used for policy dialogue, transparency, capacity building, compliance, feedback, improvement and  Credibility: Credible reviewers are objective, impartial and independent, providing hosts with fair, expert, and professional development (Blackmore 2005; OECD 2003). timely feedback; It challenges the traditional extractive/expert research orientation, with collegial entities (individuals, organis-  Neutrality: Performance criteria are not linked to funding requirements. ations, communities or countries) reviewing and learning from each other’s practice. This paper discusses peer  Confidentiality: Confidentiality is paramount. review as a PAR method in international development. (Victorian Government 2010; Purcell and Hawtin 2007; Cole et al. 2006; Blackmore 2005; Reddy and Heuty 2005; Kasper 2005; Dalal-Clayton 2004; OECD 2003; Piggot-Irvine 2003). Participatory action research literature PAR is a cyclical, collaborative and localised approach to The three key roles in the peer review process are research and action (Kindon et al. 2007) involving those of reviewers, hosts and mediators. community stakeholders designing, implementing, analys- 1. Reviewers conduct the peer review. They need to be ing, and taking action throughout the research process. It is objective and fair (OECD 2003:14), with integrity, integrated into development programming through an on- objectivity, expertise, professionalism, commitment, going cycle of planning, acting, observing and reflecting. engagement and clarity. Reviewer competencies include McTaggart (1997:34) explains that in this self- analysing information, constructive criticism, collabor- reflective cycle the collective decides where to exert effort, ative working, effective communication, developing and reflects on actions to inform future activity. people, organisational sensitivity and promoting Stakeholders actively engage in this cycle as a process of diversity (Purcell and Hawtin 2007). consciousness-raising and individual and collective 2. Hosts cooperate with the peer review process, providing transformation. We suggest that peer review is useful in documents and data, responding to questions, facilitating the ‘observing’ and ‘reflecting’ stages of PAR. contacts, and establishing context (ibid; OECD 2003). 3. Mediators oversee the peer review process (see OECD 2003), ensuring the Terms of Reference are followed, Overview of peer review and mediating disputes. Cole et al (2006:11) define peer review as: … the systematic examination and assessment of the Peer review as a research process performance of an entity by counterpart entities, with the The literature identifies numerous peer review data ultimate goal of helping the reviewed entity improve its collection methods including secondary document policy making, adopt best practices, and comply with analysis, interviews, contextual analysis, mapping, review established standards and principles. of internal systems, processes and strategies, previous 92 Development Bulletin 75 surveys, media analysis, case studies, significant event and the sector, and contribute high quality evidence, analysis, direct observation, client feedback, workshops, behaviour and policy to the broader WASH community. consensus development, practice visits, quality circles, Reflecting PAR principles, the methodology involved small peer group discussions, teaching, and mentoring peer review to investigate, contribute and inform the (Victorian Government 2010; Blackmore 2005; Wren objectives and key thematic areas. Peer review was 2004; Breyer et al. 2003; Kim et al. 2000; Grol 1994). selected to optimise cross culture/cross country learning Although peer reviews are not fully ledged evaluations, and sharing. Importantly, peer review was not considered a they should adhere to a rigorous methodology (UNEG monitoring and evaluation process, nor did it represent a 2011). complete picture of the WASH projects. Rather, it was an Peer review processes that have been empirically opportunity to observe, explore and review key issues and tested are generally considered to be positive. Studies areas of interest to host and reviewer teams. found that peer review enables professional training and The L&L peer review process emphasised the development (Breyer et al. 2003), enhances performance following principles: and continuous quality improvement (Kim et al. 2000), and provides alternative perspectives through action  Connecting: Connecting Host and Reviewer teams research (Wren 2004). However, challenges include: before, during and after the peer review visit, supporting them to identify cultural, environmental, and political participant anxiety (Blackmore 2005), particularly in contextual links, and similarities and differences in cultural contexts where it may be viewed as inap- WASH programming. Thus, peer reviews were a propriate to provide critical feedback, the fear of being mechanism to build a WASH community of learning impolite (Kim et al. 2000), the time it takes, and variable across different countries. quality of data collection and reporting (Wren 2004).  Sharing: Hosts shared their country contexts prior to the Additionally, peer review is impacted by lack of clarity peer review visits, and hosts and reviewers shared of purpose, lack of staff engagement, antagonistic materials prior, during and after the field visit. Sharing organisational culture, fear of criticism, and limited was coupled with sensitivity to the country context, and reliability with poorly standardised processes (Victorian respect of different cultural backgrounds, levels of Government 2010). Peer reviewers can also be too self- experience, approaches, and ideas. congratulatory and encourage conformity of practice  Challenging: Peer reviews sought ways to maximise (Blackmore 2005). engagement and input from all stakeholders, and Nevertheless, the literature identifies best practice in participants were encouraged to openly embrace a peer review as: participatory methods, with open, trusting respectful approach to being challenged. relationships between the entities; a structured process  Learning: Peer reviews were an opportunity to expand which is transparent, fair, consistent, and agreed upon by skills and knowledge by working closely with other all parties and flexible to contextual needs. Reviewers professionals, learning through comparative analysis and inquiry. Oxfam staff also supported research skill need to be critical and thorough, and training should be development. provided for all entities. Triangulation ensures rigorous data, and the peer review should collect evidence of  Documenting: Peer review involved documenting the WASH success factors and constraints, with innovative improved practice. Finally, the process should include an documentation methods. evaluation of methodological learnings. In summary, as a process for change, quality, and learning, peer review appears to be an exciting and Peer review process innovative method for development research, particularly L&L peer reviews occurred between October and when integrated with the principles and cycle of PAR. December 2011. Oxfam WASH staff and implementing partner organisations in all six countries participated in planning the peer review process, and a collaborative TOR Case Study: WASH Linking and Learning provided guidance regarding roles and responsibilities. project Reviewer teams visited a host country for five days of data In 2010, Oxfam Australia, funded under AusAID’s Access collection (two days in the office and three days in the to Clean Water and Sanitation Initiative (ACWSI) field). Data collection involved discussions with team program, designed and implemented WASH projects members, WASH project site visits, and discussions with across six countries: Zambia, Mozambique, Bangladesh, community members. Reviewers collected data, had an Timor Leste, Cambodia and Papua New Guinea. An initial reflective discussion with the host teams, returned to additional project, the WASH Linking and Learning their country offices to analyse the results, wrote a peer project (L&L), was also developed. L&L aimed to review report and integrated learnings into their WASH strengthen WASH programming with an evidence-based practice. Throughout the process, teams connected and approach to deepen current understanding of three key continued sharing through an online hub. Repeat peer themes: capacity strengthening, gender, and appropriate reviews did not occur. technology. The study objectives were to increase After completing the peer reviews, participants also effectiveness in Oxfam’s WASH programming, improve completed a qualitative questionnaire regarding their peer the knowledge base of WASH good practice within Oxfam review experiences. Fifteen people answered questions August 2013 93 Diagram 1: L&L Peer Review process Bangladesh Cambodia Mozambique Timor-Leste Zambia PNG regarding the strengths, challenges, learnings and recom-  Diagram 2: Peer review cycle 1 mendations of the peer review process. They stated that L&L was helpful for teams to collaboratively learn, PLANNING: identify strengths and gaps in programming and share - Steering Group ideas. The participants identified several factors that - Moderator - Areas for assessment enhanced the peer review process. - Terms of reference - Preparatory training  Reviewers and hosts built knowledge in numerous areas, such as programs, projects, technologies, strategies for gender mainstreaming and capacity strengthening, REFLECTING: ACTING: policy, program management, community engagement, Host & Reviewer: - Host: self-assessment collaboratively analyse - Reviewer: desk review and monitoring and evaluation. findings, reflect on and - Review visits Host  Hosts provided significant logistical support. share ideas - Host induction Mediator: participatory - Reviewer facilitates  Reviewers and hosts were mutually committed and evaluation of process data collection engaged.  The peer review approach was open ended, flexible, OBSERVING: participatory, and enabled informal discussion. - Host & Reviewer observe peer review process and document In contrast, factors that challenged the L&L process learnings included the short time allocated to data collection, difficulties with language and translation (particularly the lack of interpreters), some logistical issues (such as Acting: Based on collaborative criteria, the host conducts accommodation and food), and cross cultural differences. and shares a self-assessment, and the reviewer conducts Nevertheless, the L&L peer review project was over- and shares a desk review of relevant documents with the whelmingly considered to be highly successful. host. The reviewer (and mediator, if useful) visit the host, and begin with a cultural awareness induction. The Proposed peer review as a PAR method reviewer then facilitates participatory data collection and analysis. Drawing from the literature and the L&L case study, we have designed the following peer review process, Observing: During data collection, the host and reviewer embedded in two cycles of PAR. observe the peer review process, including their personal reactions, learnings and changes in thinking. Ongoing Peer review cycle 1 discussions support their personal transformation. Planning: The peer review process begins with Reflecting: Both entities collaboratively explore the representatives of each entity forming a steering group, findings, reflect on and share ideas, and provide feedback and selecting a neutral mediator to facilitate the process. to stakeholders through meetings or workshops. Both The steering group develops common goals and objectives entities engage in individual and group reflection of the for the peer review, including areas for assessment. It process and learnings with their colleagues, and collab- designs the peer review methodology that is participative, oratively write and disseminate a report. The mediator ethical, and flexible to local context, and develops a Terms facilitates a participatory evaluation of the peer review of Reference. All entities participate in preparatory peer process. The reviewer and host then swap positions and review training. repeat the same process. 94 Development Bulletin 75 Peer review cycle 2 Diagram 3: Peer review cycle 2 PLANNING: - Host & Reviewer utilise peer review learnings to plan , inform current / future projects REFLECTING: PEER ACTING: - Entities reflect on - Entities implement REVIEW learnings from learnings / changes integrated changes OBSERVING: - Entities observe changes in their practice and the impact of changes on outcomes This model emphasises ongoing sharing and learning. The entities build a relationship beyond their first peer review, continuing to engage, share learnings and critically Planning: Both entities utilise the peer review learnings reflect on their own and each other’s practice. Their from the previous peer review process to plan changes to collaboration is not time bound. Instead, peer review is a current programming. reflexive method within a trusting relationship framed by shared needs and objectives, with mutual commitment and Acting: The entities implement these changes. initiative. A key risk is homogenisation of the entities, Observing: Entities observe changes in their practice and which could limit critical reflection and innovation. their impact. Furthermore, the continued relationship is potentially Reflecting: Entities reflect on their learnings from unsustainable. integrating changes into programming. Model 3: Multilateral peer review Entities can then engage in ongoing peer review Multilateral peer review occurs within a learning cycles to review changes and further inform projects and community (also known as a community of practice). programming using the PAR cycle. Multiple entities join a network (open or closed) and conduct formal peer review with a variety of peers. The Peer review models community also has ongoing processes for collective The proposed peer review process is useful in three peer sharing (such as online fora or networking events), review models: singular peer review; bilateral peer review; enabling entities to build relationships, widely share their and multilateral peer review. These models are applicable learnings and be innovative beyond the peer review at many levels, for peer review between individuals, process. Rather than the bilateral peer review of ‘one to CBOs, communities, local NGOs, INGOs in the same and one’, multilateral peer review can be described as ‘many to different countries, INGO affiliates, and others. many’ or ‘one to many’. This model requires entities to be particularly open and Model 1: Singular peer review trusting. All participants need to be comfortable with The singular peer review involves a single learning vulnerability as they ‘expose’ themselves to multiple peers. exchange between two similar entities, with one PAR cycle. This is challenging in a donor environment with compe- tition for resources. However, this model also enables This peer review is contained, easily managed and entities to select whom and when they engage with others. operationalised, and time-bound, with clear outputs. The Fluid and open membership ensures that entities are not entities build a one-off relationship, but there are no coerced into peer reviews that are not trusting or equal, and expectations for ongoing interaction or mutual learning. that, entities come in and out of the learning community. The learning community requires common principles and Model 2: Bilateral peer review a thematic connection to link participating entities. The bilateral ongoing peer review involves two similar Importantly, the community exists beyond the formal entities establishing a relationship for multiple peer program cycle. However, the learning community can be reviews. The entities conduct the first peer review within constrained by timeframes, resources, and donor require- the PAR cycle. They then share and reflect on their ments, and the key challenge is managing donors’ needs, learning, plan and then enact these changes. When useful while ensuring that members benefit from the learning and appropriate, they re-engage in another peer review to community, and can undertake peer review when it is review their changed practice. The relationship continues, appropriate. An example of the multilateral peer review is following the PAR cycle, as required and appropriate. Oxfam Australia’s WASH Linking and Learning project. August 2013 95 PEER REVIEW PEER PEER REVIEW REVIEW PEER REVIEW PEER PEER REVIEW PEER REVIEW REVIEW PEER PEER REVIEW REVIEW PEER REVIEW Conclusion Breyer, M, FM Gerlach, U Flies, R Grol with Z Król, Z Munck, F Olesen, M O’Riordan, L Seuntjens and J Szecsenyi 2003, In international development, peer review enables a dual ‘The development of quality circles/peer review groups as a focus on process and outputs. Ongoing peer reviews can method of quality improvement in Europe. Results of a embed and sustain learning when supported by a learning survey in 26 European countries’, Family Practice 20 (4) community for critical reflection and providing information 443–451. of current development theory and practice. Peer review as a Cole, M, N Dabelstein, T Faint, T Kliest and L Lavizzari 2006, research process can also build the transformative potential Peer Assessment of Evaluation in Multilateral of participants, supporting them to recognise and confront Organisations: UNDP Evaluation Office, Ministry of vulnerabilities, and openly critique, share, and learn alter- Foreign Affairs of Denmark, Copenhagen. native practice methods. Non-traditional data instruments, Dalal-Clayton, B 2004, A Proposed Options-Based Methodology such as film, can also maximise community participation. for Shared Learning and Peer Review of National Strategies The Oxfam case study also highlights the importance of for Sustainable Development, International Institute for reflexivity — being aware of and critiquing one’s own Environment and Development, London. power, position and perspectives. Through peer review, Grol, R 1994, ‘Quality improvement by peer review in primary reviewers and hosts can objectively analyse critical areas of care: A practical guide’, Quality in Health Care 3, 147–152. power imbalance, such as gender sensitivity, cultural Kasper, H 2005, ‘Peer to peer: Right and wrong lessons for awareness, and community relations. department reviews’, Journal of Economic Education 36 (2) 185–197. Peer review is an emerging innovative method in Kim, YM, F Putjuk, E Basukj and A Kols 2000, ‘Self- development research. It is participatory, fluid, and Assessment and Peer Review: Improving Indonesian service reflexive, and emphasises strengthening the capacity of providers’ communication with clients’, International reviewers and hosts. Embedded in cycles of planning, Family Planning Perspectives 26 (1) 4–12. action, observation and reflection, and nestled in commun- Kindon, S, R Pain and M Kesby (eds) 2007, Participatory Action ities of learning, peer review can provide opportunity for Research Approaches and Methods: Connecting people, development practitioners, organisations and communities participation and place, Routledge, Abingdon. to critique and improve their work, and ultimately increase McTaggart, R 1997, ‘Guiding principles for participatory action development effectiveness. Research’, R McTaggart (ed.), Participatory Action Research: International contexts and consequences, State University of New York Press, Albany, 25–44. References OECD 2003, Peer Review: An OECD tool for co-operation and Blackmore, J 2005, ‘A critical evaluation of peer review via change, OECD, Paris. teaching observation within higher education’, The Piggot-Irvine, E 2003, ‘Appraisal training focused on what really International Journal of Educational Management 29 (2/3) matters’, The International Journal of Educational 218–232. Management 17 (6) 254–261. 96 Development Bulletin 75 Purcell, M and M Hawtin 2007, ‘Peer Review: A model for UNEG 2011, UNEG Framework for Professional Peer Reviews performance improvement in Third Sector Organisations?’ of the Evaluation Function of UN organizations, United Paper presented to NCVO & VSSN’s 13th Researching the Nations, New York. Voluntary Sector Conference, University of Warwick, Victorian Government 2010, Partnering for Performance: A 5th/6th September 2007. performance development and support process for senior Reddy, S and A Heuty 2005, ‘Peer and Partner Review: A medical staff, Department of Health, Melbourne, Victoria. practical approach to achieving the Millennium Wren, T 2004, Evaluation of a Multi-National Peer Review development goals’, Journal of Human Development 6 (3) Process for Progressing Sustainability in European Cities 399–420. (The PRESUD Project), Newcastle University, UK. August 2013 97 Ideal versus actual: A comparative study of the application and results of World Vision’s external stakeholder assessment methodology Katie Chalk, World Vision International Introduction to the external stakeholder is important to you, or what would you expect, from an assessment organisation like World Vision?’ Though the ESA does not World Vision, the world’s largest NGO working in around drive social accountability by mandating response mech- 70 countries, delivers its programming through locally anisms, the hope was that each office would pick up the established national offices with over 95 per cent local challenge directly to address common community and staff. The organisation works under corporate federal partner concerns revealed through the assessment process. principles of autonomy (Handy 1992) and no particular It was projected that over time consistencies and trends in entity — national office, support/donor office, regional community-based measures would become apparent that office or the central strategic body known as the Global could also contribute to meta-analysis of World Vision Centre — can be considered to be in charge. Hence the community partnerships regionally or globally. division of accountability between World Vision offices The ESA methodology was used as part of the PCR for effective community development is a topic of much from 2010–2012 in around 60 offices across Asia, Africa, interest. World Vision has risk audits in place to ensure Middle East, Eastern Europe and Latin America, as well as accountability to minimum financial, operational and in support offices. Despite a significant design shift ethical standards. However, while it is likely that this between Year 1 and Year 2 implementation of the PCR,1 massive organisation is making a positive contribution to there remains tension between creating a product that faces development and opportunities for children, measures of the PCR — aligned with what the panel needs to know to this have been inconsistent. In 2010 World Vision’s Global triangulate — and a product that supports program Centre introduced the Programme Capability Review effectiveness — aligned with what the office and its (PCR), to help offices measure their organisational leadership need to know in more general terms. This paper contribution to the objectives shared with their partner considers the effectiveness of the ESA in its two different communities. The PCR generates a framework of program approaches and attempts to answer the question: What support so that appropriate relationships between entities should happen next? meet shared and contextual accountabilities for program- ming outcomes. Summary of methodology This paper aims to explore the participatory evalu- When devising the methodology for the ESA (Fowler ation component of the PCR. For this reason, while the 2008), there was a strong will within the project team to PCR is a triangulated review, the focus here is on just one problem solve on current gaps to community-based third of the PCR triangle — the External Stakeholder evaluation and to contribute to evaluation methodology Assessment or ESA. In brief, the following background on more broadly. While World Vision had just completed an the full methodology will provide the ESA appropriate upgrade of its project cycle design, monitoring and context: evaluation (DME) tools, there was nothing in place for the organisation to measure outcomes against external expec-  Each national level World Vision entity — the ‘office’ tations — and the very nature of external expectations and a small sample of its donor office partners respond to implies that World Vision cannot define them. From this the same questionnaire; for each, they rate their logic emerged a methodology that allowed local external capability against 10 areas of operations and attach partners to dictate the benchmarks under discussion. evidence to justify their decision. The office’s own response is the first corner of the triangle; a collation of Ideally this could take place as a natural component of donor office responses provides the second. project evaluation, so that the ESA was considered a short- term requirement until World Vision’s social account-  The third viewpoint is not evidence based; it is a synopsis of stakeholder feedback, including NGOs and ability capacity grew to absorb it. An important design civil society, government and beneficiaries — the ESA. principle was to minimise the cost and disruption to normal field-based activities, so a ‘quick and dirty’  The triangulation analysis is conducted by an impartial snapshot of stakeholder perceptions was undertaken. It panel with panel members internal to World Vision but without any direct interests in the office under review. was highly qualitative with a bare minimum of data. The They prepare and present to the office a panel report methodology around sampling and data collection has containing recommendations in the 10 operations areas similarities to UN endorsed field capacity assessments under review and a final overall rating. (UNDP 2010), but without a quantitative phase, which keeps the sampling framework simple and allows for quick When the PCR methodology was tested in 2009, the turnover of information. A fully qualitative approach also emphasis — and for the authors, the purpose — of the creates space for discussion, where variations are valued ESA was to allow communities and external partners the rather than homogenised, and where bias, hearsay and opportunity to set measures by asking the question, ‘What misconception are all relevant. 98 Development Bulletin 75 Three different types of stakeholder were sought — panel, a 40 page report with simple summaries and plenty local/national duty bearers, local/international NGOs, of direct stakeholder observations was preferable to a and beneficiary communities. Purposive sampling was longer document with complicated data comparisons. In important for the government and NGO representation fact, the influence of ESA individual comments on panel while community engagement was expected to be highly decisions, particularly those comments critical or advisory reliant on volunteer sampling. To encourage transparency, towards World Vision, raises the question of whether the consultant made the final sample choice, including several days of data analysis and writing are actually children and vulnerable groups within focus group necessary for the PCR triangulation, or whether transcripts discussions. A deliberately short timeline — ideally 10 of interviews would suffice. days — did not allow opportunities for immersion and Year 1 methodology called for consultants to be observation as a data technique. Instead, the consultant external to World Vision, partly to meet the principle of spent a day on desk review of core documents, as a independent evaluation, and partly to ensure minimum starting point to explore World Vision’s own perceptions disruption to national office staff and their schedules. In of profile and goals before comparing this with external Year 2, however, offices from the Middle East and Eastern perceptions. European region elected to band together to coordinate To consolidate the widely variant data resulting from ESAs. The rule was relaxed to state that consultants need interviews, Year 1 methodology contained a simple rating only be external to the office under review, and not to scheme; once the person or group had identified what was World Vision. While some hired labour was still required, important to them, they would numerically rate World most of the work was done through secondments of staff Vision’s performance against it. The consultant would then between offices. This ESA ‘community’ held regular collate similar measures and present a score for key online meetings to discuss their progress and flag questions partner priorities as part of the ESA findings. A key on intent and principles with the Global Centre and regional difference between Year 1 and Year 2 methodology was office teams. The model encouraged enthusiasm for the task the instruction to lose the goal-free questioning in favour and good cross-pollination of ideas, as well as providing of a structure that matched with that of the self and partner individual capacity building opportunities for DME assessments. The time allocated increased to a minimum practitioners. It also allowed for greater immersion, with of 20 days so that a greater sample could be taken and to seconded staff able to ask questions and cross-check allow for more in-depth analysis and writing. The consu- observations with a variety of staff members before ltant also had a more rigid structure, required to answer writing the final report. around 30 questions using interview results and her or his Overall, Year 2 reports showed greater consistency in own observations. The panel would then make the final their quality, were insightful and balanced, and largely decision based on three perspectives of the same element, followed the recommended structure. This made them and there was no longer a need for scoring within the ESA. useful to the panel but, unfortunately, less useful to the office under review than the good examples from Year 1. What worked, and why? The suggested terms of reference had drawn consultants’ attention away from freeform social feedback in favour of The strongest examples of community-focused ESA in internally set goals and benchmarks. The consultant, and both years came out of offices with an interest in the not the stakeholder sample, became the evaluator of World principles of the methodology. These offices took more Vision’s success. Without a truly alternative perspective, time to contextualise the standardised Terms of Reference many consultants were simply duplicating or collating (ToR) to focus on areas (geographic, social or program- what was already known. One Year 2 consultant reported matic) where they desired to understand more about their that the leadership team in the office under review found current impact. The offices that were performing well in nothing new in her research, as all elements had already general (and who therefore received a high rating in the been documented during normal evaluation cycles for final PCR report) were the most likely to deliver a quality World Vision’s programs. ESA to the panel, indicating a level of capacity in consultancy management as well as an openness to new ideas. These were not necessarily the offices likely to Limitations: What didn’t work? benefit the most from a better understanding of their In order to identify what didn’t work, intent needs to be external stakeholder perspective. The offices under review clearly defined. Therefore the challenge in considering this in Year 1 in particular were not always in favour of the question is that, not only the methodology, but also the PCR or the ESA as a part of it and several ESAs were intent itself, changed between Year 1 and Year 2. The ESA considered weak by panel members because they reported returned to internally defined measures in Year 2 because only positive or compliance-focused data. This is a of the sense that ‘measuring with the measures of the common pitfall for evaluation processes which can imply measured’ (ACFID 2009:21) was not working or, more an overly bureaucratic organisational culture (Chelimsky, specifically, that the reality of managing and applying data in Wholey 2010:657). of this nature could not live up to the ideology except in While more than half of the Year 1 ESAs did not meet very experienced hands. The majority of Year 1 PCR the needs of either the office or the panel, the best quality panellists gave feedback that the effort of ESA preparation examples also come from Year 1 implementation. For the was not justified; given the significantly different focus of 99 August 2013 the ESA to the self and partner input, triangulation was Conclusion: Year 1, Year 2, Year 3? rarely occurring. At the same time, it remained important The ESA was originally praised as an innovation (ACFID to Year 2 designers that external stakeholders, and in 2009:21) that could bring an impartial and truly reflective particular beneficiary communities, should continue to external viewpoint to the triangulated PCR. However, Year provide direct input to the data around program capability. 1 assessments failed to apply the methodology to good The revisions to the product aimed very specifically to effect for the panel, while Year 2 assessments (for the most dovetail the final report structure with self and partner part) failed to contextualise the methodology for localised, information. To make this shift indicates that decision meaningful results. Neither was particularly useful to makers within World Vision have prioritised the success of the office under review. Before the PCR is repeated, a the PCR over the potential of the ESA to create useful decision needs to be made within World Vision’s Global participatory measures and benchmarks. However, many Centre; is the ESA likely to serve the organisation best as other aspects of Year 1 implementation besides the metho- an audit-style evaluation against internally set indicators dology probably contributed to the poor uptake of the or should further refinements be made in the other ESA, including unfamiliarity with the principles, lack of direction, to retain and refocus the ‘measures of the centralised advice and guidance, an overly simplistic ToR measured’ to inform the office directly on stakeholder template and insufficient engagement with office DME perceptions? teams on the value of the ESA in its own right. In several Improved social accountability or, providing the countries, consultants also reported hesitation from com- mechanisms for communities to hold World Vision munities and other stakeholders to answer questions accountable to their core purpose and promises – is an openly, particularly in fragile contexts (see also Parkinson important goal for World Vision as it is for many NGOs 2009). (ACFID 2009). Given this, a third option is to build the The Year 2 ESA designers expected that the increased organisational emphasis on social accountability within time allowed would result in greater rigour of data each office independently of the PCR process through collection and accuracy of conclusions. The expanded ToR more effective and systematic reporting of community was intended to trigger a collaborative phase of planning viewpoints, including their inputs into crafting evaluations between office and consultant to devise a product that of this nature. As this data begins to be captured for each went beyond the framework required for PCR to address project individually, a more comprehensive meta-analysis specific contextual requirements. However, in reality there to inform leadership of organisational change requirements was little contextualisation, and while the more specific would serve requirements of PCR and the office equally. instructions of Year 2 achieved their goal to create con- Subjectivity would be replaced by evidence at the sistent output, they also fell short of ideal in consistent organisational level, but remain important for full and quality of conclusions and recommendations. The pres- contextual consideration at a local level; the need for cribed structure and standardised questioning was easier for primary data collection from a consultant would also be consultants to understand but also appeared to lead in removed. World Vision’s accountability practitioners many instances to ‘cookie cutter’ output, with minimal would need to take up and drive this strategy for it to be space allowed for perception-related reporting or successful; this type of organisational change cannot tangential material. reasonably be expected to be led by a review team. As In both years, the intent for participatory measures such, it is a long-term prospect dependent on greater and anecdotal data appears to have been overlooked by strategic will within World Vision to strengthen their social consultants used to dealing with more rigorous and accountability focus. unshakeable data ‘truths’. Many attempted to provide full In the meantime, the PCR is currently scheduled to triangulation and analysis within the ESA rather than return to national offices for a repeat review in 2014. This allowing the stakeholder viewpoint to emerge as a creates an opportunity for ‘Year 3’ methodology to take standalone element. This is particularly noticeable in the best of both previous attempts, taking into con- consultants’ approaches to the desk review component. sideration the following suggestions: Though intended as an orientation to World Vision rather than an analysis of documentation quality, it often  Greater clarity that this research can be done at field level (and at any time) as part of existing evaluations, so appeared in final reports as a literature review over several long as they are conducted by independent third parties pages. As nobody knows better than the office under rather than project staff. review their own background, programming scope, goals  A more intuitive contextualisation of the product at and strategic priorities, reporting these elements or national level, based on the understanding that the office, analysing their quality is a remarkably inefficient use of and not the PCR, is the true client. consultancy hours. Around half of the Year 1 consultants  Access for consultants and internal teams to a secondary provided substantial rewrites and analysis of desk review set of documentation around qualitative, consultative documentation. The structure mandated for Year 2 reports stakeholder evaluations as a field of knowledge, does not include any mention of literature review; even so, including potentially centralised support to enhance several consultants persisted in providing analysis. knowledge base and skill sets. 100 Development Bulletin 75  Greater involvement of centralised advisors in choice of Note consultant, application and adjustment of ToR, previous 1 The first set of instructions was used in 2010 and 2011, with practices etc. revisions to the Statement of Work made in preparation for  The option of hiring previous consultants or specialist 2012. However, to keep things simple, I shall refer to the consultants to create a pool of expertise on community original methodology as Year 1, and the revised led evaluation. methodology as Year 2.  Replication to some degree of the secondment model used by Middle East/Eastern Europe offices in Year 2.  Clarity to remove the possibility of desk review analysis References or direct commentary on project effectiveness as a result ACFID 2009, Promoting Voice and Choice: Exploring of desk review data. innovations in Australian NGO accountability for development effectiveness, Australian Council for  A more standardised set of desk review documents that International Development, Canberra. identify World Vision’s profile, presence and goals, Bendell, J 2006, ‘Defining organisational accountability’, NGLS rather than their activities, to give each consultant a Development Dossier: Debating NGO accountability, UN consistent starting point to research. Non-Governmental Liaison, Geneva Switzerland, 1–8.  Space for contextualisation of approach in cultures or Fowler, A 2008, Capability assessment test evaluation final report, contexts that struggle with honest and open feedback. World Vision International, unpublished, available on request. Handy, C 1992, ‘Balancing corporate power: A new federalist In addition, Hatry et al (2010:669) suggest that quality paper’, Harvard Business Review Nov 1992. checks for evaluative techniques can be enhanced by Hatry, H, J Wholey and K Newcomer 2010, ‘Evaluation issues, reflective peer review, response or input from stake- challenges and trends’, in J Wholey, H Hatry and K holders. To date, this has not occurred with the ESA, and it Newcomer (eds), Handbook of Practical Program is unlikely that the reports are being shared outside World Evaluation, Jossey-Bass, 668–680. Vision including with the stakeholders who contributed Parkinson, S 2009, ‘Power and perceptions in participatory data. A challenge for World Vision to overcome (and monitoring and evaluation’’ in Evaluation and Program NGOs in general (ACFID 2009)) is the tendency to talk Planning 32, 229–237. and learn only among themselves. This was one of the UNDP 2010, Capacity Assessment Manual for National Human original motivators for World Vision wanting to do better Rights Institutions, United Nations Development in capturing and incorporating external viewpoints through Programme, Asia Pacific Regional Centre, Bangkok. the ESA. The product is unlikely to become the flagship Wholey, J 2010, ‘Use of Evaluation in Government: The politics accountability tool once hoped for unless it is shared and of evaluation’, in J Wholey, H Hatry and K Newcomer its methodology further improved directly with the groups (eds), Handbook of Practical Program Evaluation, Jossey- it consults — and, ultimately, impacts. Bass, 651–667. 101 August 2013 Levels of NGO cooperation and their empirical importance Malcolm D. Brown, University of Southern Queensland In sociology, civil society is often understood in terms of member NGOs throughout Cambodia, which is about 25 what it is not (Brown 2012:11): it is not the world of per cent of active NGOs in the country, and about 10 per political power, and it is not the economy. In more positive cent of all NGOs. The CCC emerged from the Thai- terms, it is the sphere of ‘uncoerced human association’ Cambodian border area during the period of the (Waltzer 1995:97), or voluntary cooperation. In capitalist Vietnamese occupation, after the downfall of the Khmer society the economy is about competition for economic Rouge, when the need for cooperation became clear. capital. In liberal democracies political life is the sphere of NGOs were very politicised with regard to the Vietnamese competition for power and influence. But civil society is occupation: some were happy to work within the situation, the sphere of cooperation for social capital (Brown whereas others felt they should be aligned with the 2012:13). The concept of social capital is contested (see resistance. About 60 to 70 NGOs, which had been acting Bourdieu 1986 and Putnam 2000 for the conceptualis- more or less independently and sometimes replicating each ations that are most commonly contrasted), but it other’s work, began to hold weekly meetings focusing on commonly refers, like economic capital, to something that common issues and collective action. With the fast influx reproduces itself, and it implies ‘the development of trust, of returning refugees after the Paris Peace Treaty, they civic spirit, goodwill, reciprocity, mutuality, shared formed the Network of Assistance to Cambodian commitment, solidarity and cooperation’ (Ridley-Duff, Refugees, which produced various working groups and Seanor and Bull 2011:83–84, original emphasis). thematic discussions, and eventually grew into the CCC. This paper emphasises the importance of trust to NGO Member NGOs must meet three criteria: be fully cooperation, especially small-scale local cooperation, and registered as an NGO in Cambodia; be apolitical; and have to civil society more generally. Accordingly, it could be a functioning board. The ‘apolitical’ criterion is particularly viewed in theoretical contexts such as Muhammad Yunus important in terms of the relationship, or demarcation, (2010) on social business and Amartya Sen (2001) on between civil society and the state, not least because development as freedom. Cooperation and trust are also Cambodia has introduced an NGO law which is partly important within those theoretical frameworks (cf. Brown designed to curtail political activity by NGOs. CCC 2012:20, Ridley-Duff, Seanor and Bull 2011:83–84), but members are of different sizes, from large International this paper shows examples of their empirical importance. NGOs with annual budgets in excess of US$1 million and It is based on ethnographic fieldwork in Fang, Northern more than 40 staff, to small Cambodian NGOs with Thailand, in 2011, during which I studied an NGO called budgets below $0.25 million and fewer than 15 staff. To be the Blood Foundation,1 and also made a short trip to members, they pay dues amounting to 0.1 per cent of their Phnom Penh in Cambodia to observe the work of the income. Cooperation Committee for Cambodia, which is unrelated According to the executive director, the CCC is the to the Blood Foundation, but a good source of comparative only organisation in Cambodia that is ‘cross-sector’, that data and policy applications. There is, increasingly, a is, not thematic or issue-based, though there are more preference to refer to NGOs as CSOs, or Civil Society specialised networks of medical NGOs, or NGOs with a Organisations, because they are a part of civil society (in particular concern for Indigenous protection, land mines, contrast to the world of political power and the economy), agriculture, fisheries, etc. Larger NGOs pay heavier dues although civil society is a broader concept. While I use the so that the CCC can serve the smaller NGOs more term NGO in this paper, my central problematic concerns effectively, but the larger NGOs benefit from links to the elusive quality of voluntary cooperation in civil society. ‘implementers’: larger NGOs often fund projects while While NGO cooperation might seem to denote, smaller NGOs carry them out. This arrangement benefits obviously, cooperation between NGOs, the term is widely the implementing partners themselves, and contributes to used to refer to cooperation between NGOs on the one an atmosphere of solidarity and cooperation. The CCC hand, and economic and political actors on the other — publishes reports that are of use to NGOs in Cambodia, namely governments, inter-governmental organisations, and they facilitate a ‘learning forum’ where different and the private sector. However, NGO cooperation in the NGOs can share experiences and ask questions. The CCC sense of cooperation between NGOs is something that includes what we might term experienced NGOs in its exists, but not always in the sort of institutional way that membership, as well as beginners. So the learning forum allows us to find a relevant website, or, in the words of one produces a ‘manual’, but one that is based on a community of my informants, an entry in the Yellow Pages. of practice model rather than a consultancy. The learning forum is not funded by the dues paid by National NGO cooperation member NGOs. They have to fundraise, and smaller The Cooperation Committee for Cambodia (CCC) could networks will have to do that on a local scale. The CCC justifiably claim to be the world leaders in NGO director stated that, compared to Thailand, Cambodia has a cooperation on a national scale. They have over 400 very strong charity culture, but a lack of long-term 102 Development Bulletin 75 planning and sustainability. This concurs with my own practices. Some of them could be situated in a grey area impressions. Cambodia may also lack a strong social between apolitical and political, which, as is stated above, enterprise culture, and could learn from Thailand in this is significant in terms of the membership criteria of the respect, while Thailand could learn from Cambodia on CCC and in terms of Cambodia’s NGO law. NGO cooperation. Regional and international networks are developing — Cambodia hosted the Second Global Assembly for CSO Development Effectiveness in 2011, Local NGO cooperation and the CCC is keen to internationalise its scope so that However, these purposes could be construed as quite their ‘communities of practice’ can draw on wider general and aspirational, so I now turn to actual NGO expertise. This facilitates a sharing of ideas on effective- cooperation on a local level. The Fang Valley ness, accountability, and research methodologies. Development Network was set up in 2011 and includes a number of NGOs in the Fang area. Most of them are quite The CCC has in many ways become a representative small, but some are linked with larger international body for NGOs in Cambodia, and this pushes it towards organisations. For example, Fortune is a mental health NGO cooperation in the other sense mentioned earlier; NGO that works with Shan refugees who have suffered namely, it is in a position to represent the NGO sector in from trauma as a result of human rights abuses in Burma, discussions with government, and this can have the and they are part of the international organization, Salus negative consequence of undermining the autonomy of World, which does similar work in Guatemala, South civil society from government. Africa, and elsewhere. World Vision also has an office in Fang but has not yet been involved. I have not seen any Provincial NGO cooperation evidence of its staff being involved in the more informal Such undermining of the autonomy of NGOs from NGO networks in the Fang area, and those informal government would seem to be less of an issue at the more contacts seem to be a gateway into the more formal Fang local level. The CCC report Provincial NGO Networks: Valley Development Network. Local and global linkages (2009), lists 22 provincial I was at the second meeting of the development networks and includes a statement of their ‘primary network on 13 August 2011. In the first meeting, the par- purposes’. Treating these statements as data and post- ticipating NGOs were all asked what they could offer coding them, fifteen purposes appeared in the listing for to the network, and the results of this discussion two or more local NGO networks: were posted on the development network’s website (https://sites.google.com/ site/fangvalley). The second 1. cooperation and unity among NGOs; meeting was held in the Phumanee Hotel in Fang. 2. good relations between NGOs and government Phumanee is run by members of the Lahu hill tribe, and is (including local government); involved in a number of development projects in the area. 3. coordination on problem solving; There were 14 people at the meeting representing six 4. coordination on service delivery (including continuum of NGOs: Way of Life, Fortune, Echo, the Upland Holistic services); Development Project (UHDP), Blood Foundation, and Full Life Development; a mixture of secular and faith-based 5. sharing knowledge and experience, and improving NGOs. The meeting was held in English and Thai with communications infrastructure (including internet); translation provided by two of the participants (one Shan 6. collecting information and doing research; and one Norwegian). Way of Life was there for the first 7. advocacy, training in advocacy, building capacity for time, so its representatives introduced themselves. It was advocacy by NGOs and at the grassroots, and started by Norwegian missionaries and, although the influencing policy; missionary ethos has not entirely disappeared, there is 8. human rights (protecting and improving, respect for, more of a focus on educational work with Shan children, culture of, investigating abuses, enforcing laws, making teaching Shan, Thai, English and Mathematics. recommendations) and democracy; After that there were two ‘trainings’. One was on 9. rights of women; Learner-Centred Teaching — which was relevant to a 10. land rights and preventing land grabbing; number of the NGOs present — and the other was on 11. strengthening civil society; making fermented plant juice. I also spoke about my 12. capacity building (e.g. in Human Resources); research and the meeting with the CCC in Cambodia. There 13. fundraising; was discussion of what each group hoped to gain from the 14. raising awareness and support from the community, and network, complementing the discussion from the first changing community attitudes; and meeting. 15. working for the wellbeing of people and the The presentation on Learner-Centred Teaching environment. emphasised that none of us can know everything, that this is an important premise of the method, and that it is also To expand more fully on the significance of this an important premise of a development network. For would require another paper; however, these are useful in example some people and organisations know how to dig a understanding the value of such networks, and in helping well, some know if fish will do well in ponds, some know other local networks to reflect on their own purposes and where to send Shan children to school. This discussion, August 2013 103 which was also relevant to the discussion of what the much of the discussion in the second meeting, but still different groups hoped to gain, was done in breakout interesting and conducive to building civil society, groups, so I could not listen to everyone, but the dis- including relationships, trust, and social capital. cussion in my group was frank and constructive — everyone was happy to acknowledge their weaknesses and An NGO-centred perspective talk about how they could help other NGOs. For example, Blood Foundation wanted to teach skills to prisoners — I will now look briefly at NGO cooperation from the written Thai, agriculture, massage — and UHDP said they perspective of a single NGO, namely the Blood Foundation, could probably help with gardening and handicrafts. Blood which was the focus of my research. In the development Foundation also needed help with teacher training, and network I observed that there was a continuum from the Fortune was able to offer help. Echo was looking for advice informal networks that exist between Westerners in rural on identifying traditional local knowledge, e.g. of seed Thailand, some of whom were also neighbours, and saving, and asked other NGOs to report old knowledge, participation in the more formally constituted development innovation, and seed for under-utilised crops. Some seeds network. and plants have cultural significance: for example, some Blood Foundation, then, has its own networks of plants were taken from Shan State generations ago, but cooperation and ‘circuits of sociability’ (Valverde 1998: sometimes refugees have left hurriedly, without their plants, 168). It is a member of the development network, has and as a consequence have felt they have lost something. informal networks in that geographical area, has cooperated with other NGOs on some of their projects, and receives There were suggestions of speakers for future meetings funding from a Foundation that enables it to educate Shan of the development network, which was interesting from teenagers through the local vocational college. This creates a cooperation perspective because different NGOs were in ‘bridge relations’ to other ‘clusters’ (Burt 2005:12) of effect putting their own contacts at the disposal of the educational work on the Thai-Burma border, and produces network. ‘bridging social capital’ (Putnam 2000:passim, Fukuyama For me, the major shortcoming of this meeting was 2002:27). Blood Foundation concentrates on elementary that the group was effectively split into two language education, but there is also this vocational education, and groups, and each group tended to chat during translation even some tertiary liberal arts education for Burmese into the other’s language. The English speakers were more refugees in the Mae Sot area, with which the Australian guilty of this than the Thai speakers, but, irrespective of Catholic University and others are involved. this, it does not enhance the interpersonal trust and In late 2011, Blood Foundation divided itself into two cooperation that, we have observed, are intrinsic to social entities: Blood Foundation the development arm, and capital. World Weavers, which is a social enterprise offering I also spoke about development networks with a senior spiritual experience packages. The original package was NGO worker in the region, who emphasised the importance Monk for a Month in Fang, about which I will say more in of participation and the need to have local people in key a moment. There is also Muslim for a Month and Sufi for roles very quickly. A few people can establish a network, a Month in Turkey, and Monk for a Month (Tibetan but those people need to be present, and NGOs have a high Tradition) in India. This creates a wider international turnover of staff, which can make continuity difficult to network, which includes a virtual community, particularly achieve. Furthermore, Phumanee Hotel charged for the use on Facebook. of its meeting room, but allowing it to be used for free would have helped gain custom and customer loyalty. At the second meeting people were asked for donations and Micro-level NGO cooperation Blood Foundation covered the shortfall. The senior NGO For the sake of conceptual completion, I would like to worker commented that people would probably be willing mention that NGO cooperation can exist on an even to pay a nominal fee of 20 baht (approximately $0.65), but smaller scale, namely when a single NGO is itself an not much more, and suggested that if Phumanee was embodiment of cooperation. There are examples in the unwilling to allow the development network to use its Fang area, but perhaps the closest we can get to an ideal room for free then it might be worth going elsewhere. type is the cooperative. Cooperatives, like social enter- prises, embody a strong nexus between the commercial This is precisely what happened. The third and fourth sector and civil society. Social franchising is another way meetings were held at UHDP, on their property just outside in which a single NGO can embody cooperation — and Fang. At the fourth meeting there were 11 people from expand to become more than one NGO (cf. Brown four NGOs, fewer than before. Fortune gave a presentation 2012:13, Munoz 2010:85). on their Migrant Worker Empowerment Program, which helps migrants — especially Shan — to obtain the relevant papers for working legally, getting into school etc. UHDP Problems spoke about raising chickens and ducks at home, followed Finally I want to look at what happens when NGO co- by a discussion about the development network’s website operation goes wrong. Like any NGO, Blood Foundation and Facebook page. There was a presentation about has had tensions: for example between those who want it UHDP, and a tour of its property including the biosand placed on a more professional footing, clearly demarcated water filter and seed bank. This was less instrumental than from the people who founded it, and the founders 104 Development Bulletin 75 themselves, whose personal relationships are crucial to the breaking down are equally observable. Informal networks social capital on which a small NGO depends. are important in themselves, because that is where the ethos Something that became more public concerns the of voluntary cooperation is at its most fundamental, but they original Monk for a Month program in Fang. This was are also important to the success of more formal networks. offered in conjunction with a local Buddhist temple. Although NGOs are often goal-oriented, they depend on People were able to stay at the temple for up to a month, social capital, and therefore it is necessary for them to build for a fee, and participate in its life, discuss Buddhism, visit trust, network, and cooperate with other NGOs. some of the Blood Foundation’s development projects, and Rather than adding to the extensive theoretical men could ordain as monks for a short period of time literature on social capital, this paper has provided (temporary ordination for men being quite normal in empirical examples of the phenomena that are associated Thailand). The problem arose from the accusation that the with it, particularly cooperation between NGOs. This is temple and Blood Foundation between them were partly in order to stimulate such cooperation, and partly to ‘charging for Buddhism’. This is widely regarded as be of value to other researchers. Empirical, ethnographic unacceptable in Theravada Buddhism, and the Buddhist data facilitate the development of a grounded perspective hierarchy demanded the program be discontinued in that on social capital and NGO cooperation, taking these form. They moved to a donation-based model, but monks concepts out of the realm of grand theory, and demon- at the temple from English speaking backgrounds told strating their practical importance. guests they were not obliged to donate anything. However, the Blood Foundation was depending on those donations Note to fund its development work. 1 I acknowledge funding from the University of Southern Clearly, the two partners in this cooperation had very Queensland, which allowed this research to be undertaken. different purposes. The temple wanted to make Buddhist teachings available. Blood Foundation wanted to provide a References spiritual experience but within a social enterprise model, Bourdieu, P 1986, ‘The forms of capital’, in J Richardson (ed.), in other words making money through capitalistic trading Handbook of Theory and Research for the Sociology of for a good cause. It was announced on Facebook that the Education, Greenwood, New York. relationship had broken down and the Monk for a Month Brown, MD 2012, ‘The multi-faith ethic and the spirit of social program would be discontinued. This was perceived by business: Notes from an ethnography’, The Journal of members of the virtual community as an attack on the Social Business 2 (1) 7–25. foreign monks, who had effectively been the faces of the Burt, RS 2005, Brokerage and Closure: An introduction to program. So the announcement was received negatively. Social Capital, Oxford University Press, Oxford. Cooperation Committee for Cambodia 2009, Provincial NGO Conclusion Networks: Local and global linkages, Cooperation Committee for Cambodia, Phnom Penh. This paper has identified levels of NGO cooperation from Fukuyama, F 2002, ‘Social capital and development: The coming the national level to the micro-level. NGO cooperation at agenda’, SAIS Review 22 (1) 23–37. the national level is valuable and facilitates engagement Munoz, JM 2010, International Social Entrepreneurship: with political society, but it can have negative con- Pathways to personal and corporate impact, Business sequences for the autonomy of civil society from Expert Press, New York. government. The comparatively bureaucratic nature of Putnam, RD 2000, Bowling Alone: The collapse and revival of such cooperation makes it harder for the researcher to American community, Simon and Schuster, New York. observe trust and cooperation in action, although their Ridley-Duff, R, P Seanor and M Bull 2011, ‘Social and ethical effects can be seen in links between funders and capital’, in R Ridley-Duff and M Bull, Understanding implementers, and in resources such as the CCC’s learning Social Enterprise: Theory and practice, Sage, London. forum. At a provincial level, NGOs may be freer to Sen, A 2001, Development as Freedom, Oxford University Press, espouse publically an agenda that could be seen as Oxford. political, for example by working for human rights or Valverde, M 1998, Diseases of the Will: Alcohol and the against environmental degradation, and the development dilemmas of freedom, Cambridge University Press, of provincial networks takes on a more organic and less Cambridge and New York. bureaucratic form. The autonomy of civil society is Waltzer, M (ed.) 1995, Towards a Global Civil Society, enhanced at a local level, where the importance of Berghahn Books, Providence, MA and Oxford. interpersonal trust becomes evident and observable to the Yunus, M 2010, Building Social Business, Public Affairs, New ethnographer, and where the damaging effects of trust York. August 2013 105 Narrowing the gap between grassroots rhetoric and top down practice in community development John Donnelly, donnelly consultants* Introduction The methodology outlined below shows how owner- ship of both the process of the project implementation and Community development is a long-term value based ownership of the content (the activities and outputs) of a process which aims to address imbalances in power and community development project can be a shared owner- bring about change founded on social justice, equality ship which is an empowering process in itself for members and inclusion (Community Development Exchange of the target community as well as a process which will 2012). enhance the sustainability of the benefits derived, by the This definition is one of the latest of many attempts to community, from the outcomes of the community define both the process and the outcome that is community development project. development. This paper refers to community development as Ownership practiced by community development workers and funding ... the first act of power people can take in managing bodies. The community development workers are very their own lives is ‘speaking the world’, naming their often, but not always, employees of NGOs. The funding experiences in their own words under conditions where bodies can be government or private bodies which mostly their stories are listened to and respected by others provide an amount of money for a specified time to enable (Friere and Macebo as quoted in Labonte, Feather and some form of ‘community development project’. These Hills 1999:3). projects may be in any sector, local or international and are generally designed to address a need or to rectify a For grassroots development to happen, the words of Friere deficiency of some kind in the community however and Macebo must be adhered to. Listening to people tell defined — as a specific socioeconomic or ethnic or racial their stories can be effectively done during a well or religious group; the population of a place. While this facilitated appraisal process (participatory rapid/rural type of community development may not be ‘grassroots’ appraisal — PRA) which informs the design of the project the methodology described below tries to ensure that the by establishing the objectives of the community members values, knowledge and people involved are acknowledged for their community and for themselves. By using approp- and respected and that they are real driving partners in the riate PRA tools in a strength based approach manner, community development projects that concern them. communities can identify their strengths, values and assets There are commonly three stages to a community past and present, and identify what they would like for their future. Good facilitation can direct this information development project — the design phase, the implement- into a context which fits with donor strategies and ation phase, the evaluation. Too often in community objectives so that there is alignment between what can be development projects, community members have direct funded and community objectives. No false expectations engagement with the project only during the implement- are created within the community. ation phase. In the design phase and in the evaluation they are mostly informants in a data collection process organised, The recognition by the community that their object- analysed and reported on by others. The rhetoric of ives are different to what is currently in place, the status ‘grassroots’, which implies community initiated, ownership quo, is the beginning of a locally owned change process. A and control, falls victim to the timeframes and obligatory recognition that things need to change or that change is requirements of donors. While there are stakeholders such wanted and can be achieved through certain action is the as donors, implementing organisations and paid/salaried basis of a local ‘theory of change’ (ToC). While at the community development workers involved in community community level this is not called a ToC it is nevertheless development projects, there will always be a gap between a locally owned and understood ToC. grassroots roots rhetoric and top down practice. Real The next step in this process is to establish how grassroots activity is initiated from within communities and community members will know when their objectives is carried out by or in close association with community have been met and/or achieved. The situation or the members. The Macquarie Dictionary (1990) definition of information that would indicate that the desired objective grassroots ‘pertaining to, close to, or emerging spon- has been met is the indicator of the desired change. When taneously from the people’ is seldom apparent in practice. each objective has one or more indictors these can be What is often called grassroots often results in people measured to establish the present situation in relation to becoming non-decision making recipients of largesse or at these indicators. This is the baseline for the project. best minor partners in a project that outsiders believe is in To measure these indicators it is important that the the community’s best interest. They seldom have tools used to measure them are tools that are understood ownership of the decisions. by all community members regardless of sex, age, status * Author’s spelling 106 Development Bulletin 75 or ability. Such tools should also be transparent, user 1. Discover — finding out the good, valued aspects of friendly and encourage participation by all who wish to people’s lives that they attribute to the project. participate. They must also establish the baseline from the 2. Dream — what do the participants wish for their perspective of the community, collectively and individ- own/family/community’s future? ually to ensure that ownership of the knowledge and data 3. Design — how will they know when they have achieved generated remains with the people to whom it refers and their dream? who are the source of that knowledge and data. By allow- 4. Destiny — what will the participant do to achieve their ing for self selection of informants to an open data dream? collection process, ownership is shared by the community with those facilitating the process. It is not given away to In using this approach for the facilitation of groups it may be manipulated by persons outside of the community. The be necessary to change the fourth D, Destiny, to ‘Do’ knowledge and data provided by community members because do is more easily understood by both local people forms their ‘story’ and by ensuring that the ownership of and local facilitators. this story remains with those to whom it belongs ensures By encouraging people to focus on their strengths equity for the community and is a respectful way to treat people are more likely to consciously make the effort to such knowledge and data. This can be empowering for utilise these benefits for their future wellbeing. Using the communities and individuals and is in line with Friere and best of the past to build the future is a key aspect of a Mecabo. strength based approach to development. As Schwandt (2010) suggests, ‘The past is our future’. Tools The context of the discussion groups, which can, if A strengths based approach suitable for grassroots data necessary, be segregated by sex, age and/or status, is collection and outlined here involves three tools: public, personal and flexible. Public in that all present are Appreciative inquiry (AI) informed discussion groups, able to hear what is said and see by whom it is said. pocket charts (PC) and the ten seed technique (TST). Personal in that people express that person’s view about These three tools and their benefits are discussed below. the question asked to initiate the discussion. Flexible in that good facilitation is able to respond if necessary to The methods and tools outlined in this paper are not dynamics of the dialog within the discussion group. restricted to use in developing country situations, nor are they restricted to use in discrete remote village com- The pocket chart munities. Indeed these tools can be used in any situation where inquiry into the views of an identifiable population This tool can be used to establish a baseline measure of or group is required. Such groups could for example be the indicators identified during the PRA. The PC is a simple population of a village on an island in Vanuatu, or it could data collection tool that allows people to express a view be a group of single parents in a suburb of an Australian anonymously. It involves a person placing a voting token city. into one of a number of pockets arranged on a display and upon each pocket is depicted an issue, situation or out- Implicit in this approach at the grassroots level and come they see as their preferred option. Issues, situations the use of these tools is that they are user friendly for or outcomes are depicted in a way that is able to be informants and data collectors alike; they encourage understood by all and is most often pictorial. Women and participation; and they draw on and reflect an oral men use different voting tokens to allow for the disag- tradition. While oral traditions are often seen as belong- gregation of data. Such disaggregation can also be done ing to mostly developing societies they are not restricted for age groups. The PC also provides a degree of quant- to them. Oral communication is generally the mode of ification to issues that lend themselves more to qualitative communication with which most people are most data collection methodologies and does this without comfortable. intrusive questioning. Each time the PC is used, the results Appreciative inquiry informed discussion groups are counted in front of all those who participated in its use. In this way everyone is aware of the results. This tool is very appropriate for PRA activity and can be used in conjunction with many other tools. Appreciative As a data collection tool the PC is very appropriate for inquiry (AI) is an inquiry into the best and valued things grassroots level community engagement because it is or, finding out what is good, worth keeping and building anonymous, user friendly, personal and allows for the easy on. It does this by focusing on examples of success and disaggregation of data by age, sex or status. Anonymous in the causes of these successes (New Paradigm 2009, that if a person wishes to preserve their anonymity they Cooperrider and Srivastra 1987). AI asks positive can do so. This may be very important when inquiring into questions to generate a constructive dialogue between the what may be sensitive issues. It is user friendly because a inquirer and informants. The ensuing dialogue provides person does not need to be literate, articulate or posses any data for the inquirer and also provides informants with the other skill than to have their own opinion/view. It is opportunity to clarify for themselves (if they had not personal because it asks for an opinion/view that relates to already done so) what their strengths, goals and them alone or how they perceive their community. The use opportunities are. The facilitator uses questions framed in of different tokens for different groups allows for easy positive terms, which align with the four stages of AI: disaggregation of data when counting. August 2013 107 Ten seed technique The tools also provide a degree of quantification Like the PC, this tool can be used to establish a baseline to what is predominantly a qualitative methodology. measure of indicators identified during the PRA. The TST However the quantification is as sound as that which may (Jayakaran 2002) is a participatory tool that can be used be obtained from other more traditional quantitative tools for rapid assessments related to the current status of the such as surveys. community in relation to an issue. The TST uses ten seeds (or similar) to represent an entire (relevant) population. Participation across the project The seeds are placed on a contrasting background of a Participation needs to be more than just the provision of depiction of the issue being discussed and the group information — it also needs to result in a sharing of (discussion group) of people involved move the seeds to decision making throughout the implementation period of represent the proportion of the population depicted (or the project. When community members have a degree of otherwise) by the picture/question. In response to a control over the decisions that affect the implementation of question such as, ‘How many families have a rainwater community development projects the power gradient that tank?’ and, for example, if three seeds were placed over a often exists between community development donors and picture of a water tank this would mean that 30 per cent of implementers and the target community. As Arnstein families had a rainwater tank. (1969:218) notes, without a shift of power, nothing TST enables all people to be involved and it is public, changes: non-personal but communal and the result is based on consensus. The non-personal nature results from the fact Participation without redistribution of power is an empty that the TST is asking for a response from the group about and frustrating process for the powerless. It allows the the total population/community. In this way it is a safe power holders to claim that all sides were considered, but makes it possible for only some of those sides to environment for vulnerable individuals as it does not benefit. It maintains the status quo. identify the individual. It is public in that all present are able to participate and observe the process and the result. When community development as it is so often The consensus nature of the technique is very important practiced, does not provide the opportunity for real control and reflects traditional decision-making processes which by communities then the notion of sustainability is also applies in many indigenous communities. The consensus questionable. By allowing the community to be an active nature of the result also means that it may take con- partner in monitoring and the decision making that results siderable time to conclude. It is important that this time is from monitoring, community members’ share of control available and that the facilitator plays no part in the and power is more equal with that of the donor and the process other than initiating it. implementer. A particular aspect of the TST activity and the AI When monitoring of a project is seen as a shared informed group discussions, is that facilitators are able to process beginning with an understanding of the intended observe body language exhibited by participants. In change process, a baseline that is understood by all with relatively small population groups involved in grassroots agreed activities to bring about the desired change, then community development work, body language can be an community monitoring can be effective. interesting pointer to factors affecting the data collection Figure 1 shows a monitoring table which can easily be process and activities. used in community monitoring. The data collected during the PRA period is used to complete the objectives and the The three tools combined indicator columns. By using the PC and the TST the base- The benefits to the facilitators and to the community of line is established. The periodic monitoring columns are using all three tools are: for when the PC and the TST activities are repeated as per the baseline. This allows an easy, visual comparison  They maximise participation — everyone can participate if they choose to do so. between the situation at the baseline stage and subsequent assessment points throughout the implementation of the  They provide a transparent process of data collection — project. everyone present can see and hear and observe the whole process and knows the results of the activities. When the information is depicted on the table (or  Everyone knows what knowledge is being shared with similar) in a manner that is understood by all (this may be the facilitators. pictorial, written or a combination) and the table is located in a public place the change (or not) resulting from the  All knowledge is left behind at the site and is only taken away as shared knowledge. project can be easily seen. Because this occurs in real time, those providing the information to the periodic monitoring  The three tools provide triangulation in analysis by are able to be included in a discussion regarding the obtaining data regarding the same issues from dif- ferent processors. Discrepancies that arise (e.g. in change (or not), the rate of change, the activities intended data from segregated focus groups or between men to bring about the desired change and what to do in and women in PC results) can be very enlightening to response. Communities are included in the analysis of the evaluations. Such discrepancies are dealt with as they monitoring data as it is collected. (The use of a tick to would be with discrepancies in data from any col- represent a desired or preferred aspect of the indicator and lection tool. a cross to represent the non-preferred is optional). 108 Development Bulletin 75 Figure 1 Objectives Indicators Baseline Periodic Monitoring Periodic Monitoring √ X √ X √ X Source: Donnelly consultants 2010. When this monitoring table, or similar, is in a public Community Development Exchange 2012, ‘Definition of place it can act as a stimulus for discussion and as such community development’, accessed 3 September 2012, becomes a learning tool for those involved in the project and www.cdx.org.uk/community-development/defining- the provision of data to the table as well as those who may community-development. not be directly involved in the project but have an interest. Cooperrider, DL and S Srivastra 1987, ‘Appreciative inquiry in organisational life’, RW Woodman and WA Passmore (eds), Research in Organisational Change and Development 1, Jai Conclusion Press, Greenwich. While community development is supported by outside Jayakaran, R 2002, Use of the Ten Seed Technique, World funds and inputs such as outsider personnel it cannot truly Vision China, Hong Kong, accessed August 2012, be called grassroots development. However by following a www.rcpla.org.pdf%20 download/Ten%20seed.pdf. methodology similar to that outlined above the develop- Labonte, R, J Feather and M Hills 1999, ‘A story/dialogue ment activity is more closely aligned with those who are method for health promotion knowledge development its intended beneficiaries. The sharing of knowledge, data, and evaluation’, Health Education Research 14 (1) control and power across all aspects of community 39–50. development projects can at least narrow the gap between New Paradigm 2009, ‘Appreciative inquiry’, accessed 22 April the ideal of true grassroots development and the too often 2011, www.new-paradigm.co.uk/Appreciative.htm. reality of top down practice. Schwandt, T 2010, ‘Reflections on the psychology and sociology of evaluation’, keynote address at the Australasian Evaluation Society annual conference. References Trudgen, R 2000, Why Warriors Lie Down and Die, Arnstein, SR 1969, ‘A ladder of citizen participation’, JAIP 35 Aboriginal Resource and Development Services, (4) 216–224. Darwin. August 2013 109 An assessment of empowerment through highly participatory asset-based community development in Myanmar Case Studies Anthony Ware, Deakin University Introduction Asset-based community development (ABCD) is a highly participatory approach to development that seeks to empower communities to draw on tangible and social community assets to manage their own development. The strength of ABCD is its ability to facilitate people imagining their world differently, resulting in action to change their circumstances. Previous research has shown international non-government organisations have found highly participatory, community-led approaches to development to have been particularly effective forms of poverty mitigation and community empower- ment within Myanmar, even before the current reforms, which is surprising given the restrictive socio-political context created by authoritarian rule by a regime with an international reputation for human rights violations. This paper documents ABCD programs within Myanmar, one of the poorest countries in Asia suffering major underdevelopment and ranking poorly across a wide range of socioeconomic indicators. It explores the operation, effectiveness and reasons behind the success of ABCD programs in this environment, and reflects on the role of outsiders in ABCD in the light of underlying theory and this contemporary experience. This research draws largely on recent field interviews and personal experience working in this sector within Myanmar, as well as surveying a number of evaluation reports which have been made publically available. ABCD theory The significant innovation of ABCD beyond most participatory development practice is the focus on an appreciation and utilisation of pre-existing community strengths and assets as the primary resources for development, and reliance on community leadership, social networks and advocacy to bring about substantial change. A key distinction of ABCD approaches is therefore that ABCD practice often does not make much outside finance available to the village development committee, instead continually redirecting community attention back to tangible and social community assets. Outside workers, therefore, act as facilitators of community processes rather than as a channel for financial assistance. Highly participatory development based on empowerment has a long history within philosophy, sociology and development studies. Nietzsche’s critique of modernist thought, for example, called for empowerment such that people are able to reclaim ownership of their own futures; utilising their own strengths, resources and culture to move beyond oppression and deficiency (see Hipwell 2009). Nietzsche’s ideas of active ethics and the cultivation of the will to power are reflected, at least implicitly, in the rationale of ABCD. Freire, in his Pedagogy of the Oppressed (1972), argued that traditional processes of teaching in which a teacher transfers knowledge to students is both ineffective and a form of oppression. This, he suggests, is especially true in development, where the teacher comes from the supposed superior position of being more ‘advanced’. Learning, according to Freire, should be a process of people rethinking their own assumptions and acting upon their own ideas, not merely consuming the ideas of others. But he lamented that the poor were trapped in a ‘culture of silence’ and lacked a voice in learning and development. 110 Development Bulletin 75 While not freeing development from outside help to building and problem-solving capacities of local the extent Freire might have hoped, this paradigm has residents, local associations, and local institutions become a foundation underlying the theory behind all (Kretzmann and McKnight 1993:9). participatory approaches to development, including The practice of ABCD thus involves assisting ABCD. communities to see value in existing assets and strengths Participatory action research Fals-Borda (1987, 1991) of the community which would otherwise have been argued is an approach that development professionals need ignored, unrealised or dismissed, especially social assets to shift to from being on ‘on-top’ to ‘on-tap’, emphasising inherent in the collective knowledge of individuals, and they should approach their role with the values and social capital in informal networks and community-based disposition of facilitator rather than expert. Building on associations (Kretzmann and McKnight 1993, 1997; this foundation, Chambers (1983) conceptualised poverty Mathie and Cunningham 2003). not as a lack of income, assets, services or even know- The application of ABCD therefore follows a process ledge, but as powerlessness due to marginalisation. of trust building, where assets are identified, documented Highlighting the often inappropriate knowledge outsiders and mapped, a new story of the community is formulated, bring to development contexts, Chambers argued for a and new skills and relationships are developed (Ennis and reversal in the management of development, transferring West 2010). This involves both internal focused community decision making primarily into the hands of recipients. work (such as asset mapping and developing community Chambers advocated methodologies in which local processes), as well as external focused activities (such as knowledge, participation and decision making is central to understanding and entering into dialogue with political, the planning and management of projects, and that the economic, cultural and legal structures). The greatest marginalised are empowered ‘when individuals and criticisms of ABCD are made when the focus on internal organised groups are able to imagine their world dif- assets obstructs impact upon the external structures ferently’ and take action to change their circumstances affecting communities (Mathie and Cunningham 2003). (Eyben, Kabeer and Cornwall 2008:3). Such participation Thus, active citizenship, advocacy and engagement with has become widely accepted, at least in theory, as the both authorities and structures must be an integral aspect minimum requirement for successful and sustained of successful ABCD. development outcomes (Chambers 2005). ABCD seeks to combine all these elements, replacing professional development workers in the communities Participatory approaches to development in with individuals willing to facilitate community processes, Myanmar but often without the same level of education, status or Previous research (Ware 2012) has shown that even prior access to finance. In so doing, true development experts to the current political reform in Myanmar, INGOs found are networked to the community, with the community highly participatory, community led approaches to being empowered to access their resources or the resources development to be particularly effective at poverty mitiga- of others on a needs basis. tion and community empowerment. This is a surprising McKnight and Kretzmann (1993, 1997) coined the finding, given the restrictive socio political context term ‘asset based community development’ after observing associated with two decades of highly centralised and that most development initiatives relied on external people authoritarian military rule on the back of three decades of and agencies delivering services to meet deficiencies, a centralised, socialist, military led bureaucracy. Many, despite the fact that the poor possess a wealth of under including Alston 1995, have suggested that it is quite recognised and under-utilised assets. ABCD is a practical unrealistic to expect highly participatory development to expression of highly participatory development which succeed in a country which is fundamentally authoritarian seeks to reignite hope in the future and release an entre- in nature. Anthropological studies also found a debilitating preneurial imagination which empowers people to look for climate of fear in Myanmar in the decade prior to the ways they can take control of their own futures, working recent major reforms (Fink 2000, 2001; Skidmore 2003, with them as facilitators in a process of deliberate capacity 2005; see also Aung San Suu Kyi 1995). building. Mathie and Cunningham (2003:474) observe What this previous research found, however, was that that, ‘the appeal of ABCD lies in its premise that people in with deliberate planning and time dedicated to getting the communities can organise to drive the development process right, and through elite cooption, participatory process themselves, by identifying and mobilising existing development was both possible and highly effective in (but often unrecognised) assets, thereby responding to and Myanmar. Senior managers with INGOs in Myanmar creating local economic opportunity’. suggested that when achieved, highly participatory This community development strategy starts with what is development may be even more effective in Myanmar than present in the community: the capacities of its residents many other developing countries because of the high and workers, the associational and institutional base of levels of volunteerism, self-reliance, self-motivation and the area — not with what is absent, or with what is independence within the culture (Ware 2012). Such traits problematic, or with what the community needs. … The are seen to make highly participatory programs partic- development strategy concentrates first upon the agenda ularly suited to the context. August 2013 111 ABCD programs in Myanmar Underpinning [the program] are the complementary concepts of self-reliance and empowerment (Löfving ActionAid’s Change Maker Fellowship program 2011:2). The ActionAid Change Maker Fellowship program is the Fellows are seen as catalysts for change, as opposed to largest ABCD program in Myanmar. It commenced in 2006, field staff, and work alongside local village volunteers. It in partnership with local NGOs Metta and the Shalom promotes a model of low cost interventions that emphasise Foundation. Based on early successes, the program was self-reliance. It makes a ‘conscious investment in the long quickly expanded to now have numerous local partner term empowerment of communities … the processes of organisations, and more than six hundred young ‘agents of community led development are anticipated to extend far change’ supported to work full-time in communities. beyond the duration of the program itself’ (ibid). As with many highly participatory development programs in Myanmar, Change Maker has both local GraceWorks Myanmar’s Community Development grassroots development and broader democratisation Education program goals. It seeks to both stimulate development and change Developed independently, the Community Development at the local level through ABCD, based on the com- Education (CDE) program is remarkably similar to the munities’ priorities and resources, as well as contribute to ActionAid Fellows program. GraceWorks Myanmar broader macro change by developing the potential of (GWM) recruits adults rather than youth as facilitators, idealistic and passionate educated young people (Action through local partner faith based organisations, and provides Aid 2010). Fellows are usually recruited through direct training one week per quarter without a month long contact with communities by a local partner organisation, intensive at commencement. Training relies on oral learning inviting them to nominate suitable young people to receive techniques as much as literary teaching styles, as rural adult intensive training in ABCD skills and personal develop- facilitators are not necessarily as well educated. However, ment with Action Aid, before being sent back with this allows facilitators to naturally reproduce oral learning minimal financial resourcing to facilitate participatory approaches when training community members in ABCD processes in the community for two years (Löfving 2011; principles, so it is advantageous even for better educated Ferretti 2010). Fellows are provided a minimal support facilitators. Facilitators also commit to four years in a salary, networked personal support, and intermittent community, rather than two, allowing a longer project cycle, ongoing training opportunities. but like the ActionAid program, workers are only supported Fellows are usually in the 20–30 year old bracket, and with a minimal subsistence level of financial support. commonly have completed a tertiary degree. Many Given that GWM facilitators often come from outside graduates, however, don’t have many employment the community within which they work, facilitators spend opportunities in Myanmar’s narrow economy, and many of the first half to full year building rapport with com- the fellows are recruited after having returned home to munities through a series of simple relationship-building their rural communities. They are recruited for a two-year ‘seed projects’. After six to 12 months work in the placement in their own village, or are at least sent back to community in this manner, in an act of deliberate their own region and ethnicity. They commence their work empowerment, facilitators request an informed invitation by facilitating a range of self help groups in the community, before commencing a full CDE program. To allow this, then later forming and training village level community facilitators arrange an open community awareness seminar development organisations to take responsibility for the with community leaders and members, which runs for planning and implementation of asset-based community several hours over several nights to clearly communicate development projects and processes in the community, as ABCD principles and the details of the operation of the well as offering training in rights and advocacy. The program. The community is then given opportunity to establishment of a community based organisation (CBO) invite a full CDE program to commence in their com- out of these committees in each community to oversee munity, or politely decline, allowing the facilitator to move ongoing development is an express goal of the program. to a different community. Upon formal invitation, though, Fellows usually commence through the promotion of facilitators help the community elect a participatory community action around tangible areas such as health, committee, then train the committee and volunteer team in education, livelihoods, and developing an environment of community processes, PRA assessment tools, project cooperation and social cohesion. Later, the focus more on planning and management, and advocacy, all the while development of inclusive participatory decision making attempting to place their networking to their organisation structures, and community engagement with state and non- ‘on-tap’ to connect the community to other resources state actors to obtain the space and resources required for where community connections alone are insufficient. The development. four year project cycle allows facilitators more time to focus on process, and help a strong, independent CBO The program views communities as inherently emerge out of the community development committee. resourceful and capable of identifying their own needs, formulating ideas and initiating and leading processes of Other ABCD programs in Myanmar change. … [It] seeks to inspire communities to realize their development aspirations through advocating to and A number of other ABCD programs are operating in forging linkages with state and non-state actors. … Myanmar, including programs operated by Dan Church Aid 112 Development Bulletin 75 and SWISSAID. Two complementary programs operated significance of these outcomes, ActionAid have almost by Norwegian People’s Aid places trained workers in quadrupled the number of fellows in this program since villages either for approximately two weeks followed by these statistics were compiled. frequent visits and support, or three months, followed by GWM’s CDE program has not had the same length of less frequent visits. In both cases, the initial time spent in time to generate more than anecdotal evidence on impact, community is aimed at organising and training the however, the initial results are extremely encouraging in community committee in community processes, PRA terms of community ownership, and the breadth and planning tools, and project cycle management. Their rapid effectiveness of the program. Anecdotally, the ABCD departure from the community aims at rapidly delivering programs of Dan Church Aid, SWISSAID, and Norwegian control back to the local community. People’s Aid also appear effective. Reasons for success in the Myanmar context Effectiveness of ABCD programs in A number of reasons were proposed by INGO managers and Myanmar project staff for the success of these ABCD programs in Yeneabat and Butterfield (2012) propose evaluating the Myanmar. First is the emphasis given by these programs on effectiveness of ABCD programs against five key building building trust and respect, both internally within the blocks of the ABCD approach: effectively mapping the community and with officials and other stakeholders. This is capacities and assets of individuals, citizen associations, a significant factor in a society that has seen significant and local institutions; convening a broadly representative abuse of personal power and has long been fractured along community group who plan and build community vision; political, ethnic and religious lines. The second is the building relationships for mutually beneficial problem emphasis on facilitating consensus decision making solving within the community; mobilising the community’s processes and community organisation. The third and most assets for information sharing and economic development; emphasised reason for success by those interviewed was and, leveraging activities, resources, and investments from awareness raising. outside the community to support locally defined development. On this set of criteria, these ABCD programs For a population long fearful of authority and scared have proven highly effective in Myanmar. to risk change, awareness raising of the opportunities the current political changes present, and the means of ActionAid report that almost all communities develop affecting additional social change on factors impacting a representative committee within the life of the two-year negatively their situation, provides significant empower- fellow’s presence, and the mobilisation of local assets plus ment to impoverished communities. Thus, beyond raising those from outside the community has very impressive the ability of communities to analyse their context and outcomes. They had 160 fellows in communities by their problems, and their awareness of local assets and first national fellows conference in January 2011, when resources, ABCD in Myanmar has emphasised training in they complied known outcomes to that point (Ferretti how communities might obtain the resources they need or 2010). In the education sector, results included the opening change the social structure around them. ABCD has also of 40 early childhood centres, the construction of schools extended the culturally strong spirit of volunteerism and in 30 villages (with a mix of government and non-govern- charity to highlight the inequalities, marginalisation, and ment funding), local community members providing power relations undermining these efforts both within and voluntary teaching in 30 underfunded primary schools, 22 impacting upon communities. villages negotiating for government paid teachers, and over 1,600 people in adult literacy groups. Health and sanitation outcomes included 77 wells in 33 villages, well Conclusion cleaning in another 50 villages, 45 ponds constructed in 26 ABCD programs appear to have been surprisingly effective villages, 1,500 new toilets across 75 villages, health clinics in the difficult socio political context of Myanmar. A built and staffed in 11 villages, vaccination programs in 44 number of reasons have been proposed for this, not the least villages, and 19 villages obtaining health workers, with of which being that ABCD fellows and facilitators have another 27 villages negotiating new mobile health services taken an educative, awareness-raising role. Such a role from other NGOs. Similar outcomes were seen in the challenges, and is challenged by, Friere’s idea that the livelihood sector, with 152 savings and loans groups process of teachers transferring knowledge to students is established, plus 60 rice banks and many other self-help itself a problematic power relation. ABCD in Myanmar groups supporting livestock, farming, and so on. appears to have been particularly effective precisely because These results are significant, particularly given the of the educative dimension of the projects, albeit with very minimal level of funding supplied by the international careful selection of topics about which to educate agency and the youthfulness and relative lack of training communities, and careful selection of the status of the of the fellows. Also significant is the impact of this ABCD fellows and facilitators and their approach to communities on the external structures affecting communities. in order to mitigate in part the inherent power relations in Achieving these outcomes often involved using com- taking a teaching role. munity social assets to approach officials, government It is found that an educative process of awareness- agencies, or sometimes other NGOs, asking or advocating raising about local resources and opportunities, social for additional services and resources. Based on the change processes, and the socio political structural context August 2013 113 impacting the community, have led to significant change Fals-Borda, O 1991, Action and Knowledge: Breaking the in a substantial number of communities. Together with monopoly with participatory action research, Apex, New training in advocacy and deliberate capacity building of a York. community development committee, this training has been Ferretti, S 2010, Fellows and Civil Society, ActionAid Myanmar, Yangon. a key factor in empowerment and community change. The Fink, C 2000, ‘Burma: Human rights, forgotten wars, and success of these programs in Myanmar thus suggests that survival’, Cultural Survival 24, (3). there is still a significant place for a carefully constructed Finc, C 2001, Living Silence: Burma under military rule, ZED educative role from outside workers within highly partic- Books, London. ipatory development contexts, provided power issues are Freire, P 1972, Pedagogy of the Oppressed, Penguin, carefully considered and power differentials minimised. Harmondsworth. Hipwell, WT 2009, ‘An asset-based approach to Indigenous development in Taiwan’, Asia Pacific Viewpoint 50 (3) Note 289–306. Anthony Ware is a voluntary adviser and project manager for Kretzmann, J and JP McKnight 1993, Building Communities GraceWorks Myanmar’s Community Development from the Inside Out, ACTA Publications, Chicago. Education program. Kretzmann, J and JP McKnight 1997, ‘Asset-based community development’, National Civil Review 85 (4) References 158–172. Löfving, A 2011, The Force for Change: Achievements of the ActionAid 2010, The Fellowships Programme in Myanmar: Fellowship Programme in Myanmar, ActionAid Myanmar, Critical stories of change, ActionAid, Yangon. Yangon. Alston, P 1995, ‘The rights framework and development Mathie, A and G Cunningham 2003, ‘From clients to citizens: assistance’, Development Bulletin 34, 9–12. Asset-based community development as a strategy for Aung San Suu Kyi 1995, Freedom from Fear and Other community-driven development’, Development in Practice Writings, Penguin Books, London. 13 (5) 474–486. Chambers, R 1983, Rural Development: Putting the last first, Skidmore, M 2003, ‘Darker than midnight: Fear, vulnerability, Longman, London. and terror making in urban Burma (Myanmar)’, American Chambers, R 2005, Ideas for Development, Earthscan, London. Ethnologist 30 (1) 5–40. Ennis, G and D West 2010, ‘Exploring the potential of social Skidmore, M (ed.) 2005, Burma at the Turn of the Twenty-First network analysis in asset-based CD in research and Century, University of Hawaii Press, Honolulu. practice’, Australian Social Work 63(4) 404–417. Ware, A 2012, Context-Sensitive Development: How Eyben, R, N Kabeer and A Cornwall 2008, Conceptualising international NGOs operate in Myanmar, Kumarian Press, Empowerment and the Implications for Pro Poor Growth: A Sterling, VA. paper for the DAC Poverty Network, Institute of Yeneabat, M and AK Butterfield 2012, ‘We can’t eat a road: Development Studies, University of Sussex, Brighton, UK. Asset-based community development and The Gedam Sefer Fals-Borda, O 1987, ‘The Application of Participatory Action- Community Partnership in Ethiopia’, Journal of Community Research in Latin America’, International Sociology 2 (4) Practice 20 (1–2) 134–153. 329–349. 114 Development Bulletin 75 Mapping accountability processes in Cambodia Adam McBeth and Ruth Bottomley, Monash University1 Introduction mechanisms, including the World Bank Inspection Panel. When communities are faced with life-changing events, The third case study examines remote communities in the accountability for those events and their impacts and the north east of Cambodia who face eviction from their land capacity of affected communities to have their voices alongside the Sesan River and its tributaries when a heard are crucial issues. Such events could include forced planned hydroelectric dam is constructed. Field work in eviction and resettlement to make way for a major the second and third case studies is ongoing, so it is infrastructure project or an economic concession or land premature to comment on observations at this stage. redevelopment, or the alteration of river flows by a dam, or the reprisals instigated by the interests behind land Oxfam Australia’s ICD program in Cambodia concessions. Understanding accountability in this context Oxfam Australia has been involved in Cambodia for more first requires an understanding of how the affected com- than 30 years. Its program approach, which was in place munities perceive their own needs and claims, how they until the closure of Oxfam Australia’s program in June discuss the issues, make decisions and pursue recourse 2012, was formulated in 1993 as Cambodia began its within their own communities, and whom they see as the period of transition after its brutal civil war. The program person or body most responsible for the situation and best was designed around two central aspects: the integrated positioned to assist them. community development (ICD) approach, and the use of a When the financiers of development projects talk of tripartite model for implementation. accountability, they are generally referring to the formal Oxfam developed its ICD model as a response to mechanisms established for hearing grievances arising conditions in Cambodia at the time. The war had broken from the project — such as the mechanisms of the World down both physical and human resources, but had also Bank, the Asian Development Bank, or equivalent project undermined the social fabric of the country. People and specific mechanisms — or to the community consultation communities needed to establish the basic foundations for phase of project implementation, often focused on com- rebuilding their lives, and this involved first addressing pensation and resettlement in the case of projects basic needs. The program aimed to adopt an integrated involving forced evictions. Implicit in that framework is approach, recognising that individual development needs an assumption that community needs, grievances and and challenges are often inter-linked, and that single issue decision making processes will be consistent with the responses, such as ‘stand-alone’ projects, are often recourse and consultation mechanisms provided.2 insufficient. For example, it attempted to directly tackle Our research project, undertaken under the Monash food security while also ensuring access to clean water, University–Oxfam Australia Partnership, examines and while taking into account gender equality issues. communities’ own perceptions of accountability and their Oxfam established the tripartite model as the approaches to decision making and seeking redress in that implementation mechanism for its ICD approach. The context. It does so through three case studies of com- model includes roles for three specific groups: com- munities in Cambodia, each with different geographic munities, government counterparts and Oxfam staff. location (urban/rural), different levels of engagement with Oxfam identifies several advantages associated with the local and international NGOs, and affected by different involvement of these three groups: government counter- projects or other challenges to their way of life. The first parts bring important skills and local knowledge; the case study examines communities in two rural areas of involvement of counterparts strengthens communities’ Cambodia with whom Oxfam Australia has been working. access to government services and decision makers; and While some of those communities face threats from future Oxfam itself can play a role in influencing government on development projects — particularly a hydroelectric dam issues such as transparency and accountability (Barter and agricultural land concessions—this case study focuses 2011:15). Oxfam’s financial and logistical support makes more broadly on the effects of Oxfam’s particular model it possible for government officers to serve the community, for working with these communities over a 20 year period. while also helping facilitate connections between those It seeks to understand the ways in which community officers and the community. members hold local government representatives account- Oxfam Australia also facilitated the establishment of able for their work, as well as the accountability of Oxfam community committees to enable communities to manage itself. That case study is the subject of this paper. 3 and oversee the development activities themselves. These The second case study examines urban communities are discussed further below. In addition, Village Develop- in Phnom Penh who face eviction to make way for a ment Committees, which are part of the government commercial land development, as well as those who have structure in each village, were strengthened and supported already been resettled as a result of that project. Those through Oxfam’s involvement. communities have had significant ongoing contact with In recent times, Oxfam’s tripartite development work international NGOs and have utilised formal recourse has taken place in a politically charged environment in August 2013 115 which communities are faced with major development The mapping exercises were then followed by a series of projects, such as infrastructure projects and large individual semi-structured interviews with a cross-section agricultural and logging concessions, encroaching on their of community members. land and their way of life. In many cases, communities’ The main concerns — both positive and negative — livelihoods are threatened by these projects over which identified by participants were the events that took place in they have very little control. Their ability to have their or visibly affected their village, such as construction of voices heard on these issues is crucial to sustaining the schools and roads (the latter both a positive and a livelihoods that Oxfam has been assisting them to develop. negative), crop harvests and health of the local people. This paper examines whether Oxfam’s tripartite model Feeling secure in ownership of land, particularly farming has been effective in assisting communities to have their land, was another major concern. External threats identi- voices heard, particularly when confronted by major fied in the village of Kampong Roteh in Kratie, which is development projects or land concessions. The paper is located on an island in the Mekong River, included the based on two detailed case studies in rural areas in planned Sambor hydroelectric dam, which would sub Cambodia where Oxfam has been working: one in Kratie merge the island and force the relocation of the community. and another in Stung Treng. In Sre Kresaing village in Stung Treng, the incursion of a private company into the community’s farming land was raised as a major concern. Perceptions of accountability The one exception to the very local focus was the While there is a great deal of academic literature on the repeated mention of global warming as a concern in Sre concept of accountability and its definition, criteria and Kresaing. A local NGO, the Cambodian Rural Develop- application in different contexts, our research specifically ment Team, had recently run a program in the area, seeks to uncover the perceptions of community members highlighting the relationship between global warming and of accountability within each of the case study contexts, landslides and other natural disasters. 4 No mention was rather than testing previously determined criteria. As such, made of global warming in Kampong Roteh, which is a we took a broad approach to the concept of accountability, reminder of the influence of NGO contact in shaping asking questions about the issues that concerned the community perceptions of concerns and accountability. individuals in their daily lives and with regard to the future of their community, and about their involvement in Decision making and dispute resolution decision making and dispute resolution in addressing the Participants were asked how they went about making issues of concern that they had identified. We thus decisions as a community, how they would resolve a deliberately avoided suggesting particular criteria for dispute and how they might pursue a grievance on behalf accountability, while ultimately eliciting views that of the community. In some instances those questions were identified which issues warranted accountability, from framed with reference to the major challenges identified whom, to which standards and through what process. If by the participants, while in others they related to accountability can be defined as ‘the responsibility of one everyday life. party, the accountability holdee, to justify its actions to another, the accountability holder, according to a pre- Community members universally nominated the existing set of rules, standards or expectations’ (Day and village chief (or occasionally commune chief) when asked Klein 1987; Hodge 2008), our open-ended process sought who they go to for help to resolve some problem or issue to ascertain who the accountability holdee and holder were in the community. The unanimity of that response strongly perceived to be, what the standards or expectations were, suggests that the community members consider going to as well as the issues to which these standards were seen to the village chief to be the ‘correct’ process. attach and the processes through which they might be However, when interviewees discussed specific pursued. examples of problems or issues and how they sought resolution, different avenues of recourse were identified Identifying issues of concern according to the type of problem. Such responses suggest Our case studies in Kratie and Stung Treng commenced that although all interviewees nominated the village chief with a series of mapping exercises: a time-line, to get a as the principal (and usually only) decision making, sense of the history of villages and the major changes that dispute resolution and grievance avenue, in practice they have occurred from the perspective of villagers; a Venn clearly employed a wide variety of informal mechanisms, diagram, to map the different actors involved in decision as appropriate for the situation. making, internal or external to the village, and to under- The reliance on the village chief as the accountability stand how they relate and influence each other; and finally conduit was particularly pronounced in the context of a force field analysis which aimed to identify the positive addressing community fears about outside threats, such as and re-enforcing factors and the opposing or blocking the hydroelectric dam or the encroaching agribusiness factors to the action or positive change they want in the activity. When participants were pressed about what village in relation to a particular or agreed project. avenues they might pursue if the village chief proved Through that process, each group identified issues they unable to help them, the typical answer was: ‘The village thought posed a significant challenge or threat to their chief is like our father. Why wouldn’t he help us?’ community, and the kinds of changes they hoped to see. However, local officials invariably have little information 116 Development Bulletin 75 about major development projects and little if any Building counterpart and community relationships involvement in their planning and implementation. strengthens communities’ access to government services and decision-makers, and local government’s under- A significant disconnect was evident between the local standing of community needs. Once Oxfam Australia officials (the village chief, the commune chief and leaves, these relationships provide a strong foundation commune council) on the one hand and the provincial and for ongoing development. national government officials, as well as private developers, Oxfam Australia can influence local government through who actually control the large scale projects, on the other. promoting and modelling ‘best practice’ for develop- Community perceptions of accountability appeared unable ment, such as transparency and accountability (Barter to penetrate beyond the village or commune level. 2011:15). Despite the explicit engagement between Oxfam staff, Specific elements of the Oxfam tripartite local government officials and community members in the approach tripartite model, interviewees tended not to distinguish between Oxfam and the government; all interactions with Impact of committee system ‘outsiders’ were assumed to be with Oxfam. At one level, A key element of Oxfam’s ICD program was the use of Oxfam staff saw this as a positive indication of the community committees to implement and run the various seamless co-operation between their organisation and their community initiatives. These included rice banks, buffalo government counterparts. However, it raises clear con- banks, savings groups, livestock associations, community cerns in terms of accountability, particularly in fostering a fisheries, village health support groups and women’s self- relationship between government officers and the help groups. Local people were trained to manage and run community they are supposed to serve, if all such inter- the committees, encouraging community ownership of the actions are presumed to emanate from an NGO. It remains projects, while building skills in project management and to be seen how this situation will resolve after the decision making. withdrawal of Oxfam staff following Oxfam Australia’s When participants were asked to identify benefits of closure of its Cambodia country program in June 2012. It Oxfam’s involvement in their community, they invariably is of course exceedingly difficult to hold someone referred to physical items (water filters, toilets, furniture accountable for service delivery or for potential com- and utensils for a wedding hall) or spoke in terms of munity harm if one cannot identify which entity is actually donations (‘they give us cows and buffalos’) rather than responsible for that service or harm. mentioning skills, self-sufficiency or community-building Regardless of the formal mechanisms used, it is changes. That was equally true of those who were clearly very important that communities have an members of committees and those who were not. opportunity to voice their opinions and concerns, to do so When committee members were specifically asked safely and without undue repercussions, and that they have about the committee system, many spoke of improved ‘direct or indirect means to sanction poor performance or skills, particularly in planning and in some cases book- behaviour’ (Roche 2009:1014) in their interactions with keeping and other specific skills, and their consequent government. self-confidence. Many reported a newfound willingness to In a practical sense, the foundations of various speak out in meetings; this was particularly evident among community services at the local level, including fisheries women, often describing themselves as ‘brave’, whereas management, irrigation, schooling and sanitation, have previously they had been ‘shy’. That change was noticed been established and have the capacity to be sustainable by others in the community: one community elder without a continuing Oxfam presence. It remains to be observed, ‘In the past, when we asked the women, they seen whether community involvement and the co- knew nothing, but now they can answer quickly’. operation and accountability of government will prevail Committee members appeared to have greater over time, but the roots are at least established at the information about the activities of the community than village and commune levels. those who were not on a committee, including in areas Beyond those levels, there is very little evidence of beyond the purview of the particular committee, such as the capacity of the communities studied to influence the proposed development projects. Knowledge dis- government, to hold government accountable, or even semination between committee members and the broader to obtain meaningful information about and have community appeared to be somewhat limited (though not substantial input into imminent major projects that are completely absent). Non-committee members, especially threatening their way of life. Indeed, communities seem women, were more likely to give a summary, deferential unable to conceive of how these external forces — both answer, such as ‘I don’t know’. government and private — might be held accountable beyond appealing to the village or commune chief. This Interaction with government seems consistent with previous findings that citizen-state Oxfam Australia sees the benefits of engagement with interaction in Cambodia, particularly in rural areas, government counterparts through its tripartite model in the rarely reaches beyond the local level (ANSA-EAP following terms: 2010:16). August 2013 117 Concluding remarks and Kim Dararith. The assistance of Bill Morton in preparing this paper is also gratefully acknowledged. The current environment in Cambodia is replete with land 2 That presumption could be consistent with what Easterly grabs by private interests, often facilitated by government (2006) attributes to ‘planners’ — those who ‘think of and backed by fierce intimidation, including arrest, poverty as a technical engineering problem that their imprisonment and violence. Also prevalent are official answers will solve’ — as opposed to ‘searchers’, who development projects backed by foreign aid donors and ‘believe only [local community] insiders have enough development institutions, but which face tremendous odds knowledge to find solutions, and that most solutions must be for the empowerment of local communities and their homegrown’. capacity to seek accountability, given the intensely corrupt 3 For further findings of this case study in the context of and intimidatory context. accountability and active citizenship, see Bottomley This first case study of communities facing existential (forthcoming). challenges in that environment has observed certain 4 Our team has no direct knowledge of the focus of the CRDT successes in the advancement of accountability processes program on global warming, and in all likelihood it was at the local levels, some of which may be attributable to broader than this reference implies, however those were the the tripartite model used by Oxfam Australia in those issues that resonated with community members when our communities, as well as substantial accountability gaps. team visited a short time later. However, there appears to be a profound absence of any capacity for accountability beyond that local level. References This study is still in its early stages and this paper ANSA-EP (Affiliated Network for Social Accountability in East should therefore be seen as no more than preliminary Asia and the Pacific) 2010, The Evolving Meaning of Social observations. It is hoped that data from the second and Accountability in Cambodia. third case studies, encompassing communities with very Barter, D 2011, Our Cambodian Legacy, Oxfam Australia, different demographic profiles and histories of engage- https://www.oxfam.org.au/about-us/countries-where-we- ment with local and international NGOs and with work/cambodia/ (accessed 7 May 2013). government and international agencies, will shed more Bottomley, Ruth (forthcoming), ‘Capacity, sustainability and light on the variables that increase or reduce community accountability in the face of modern development: Lessons capacity for accountability in this context, as well as from Oxfam Australia’s development model in Cambodia’, identifying the wishes of the various communities in Brennan, L et al. (eds), Growing Sustainable themselves in terms of their interests, preferred outcomes Communities: A development guide for Southeast Asia, and preferred methods. Tilde University Press. Day, P and R Klein 1987, Accountabilities in Five Public Services, Tavistock Publications. Notes Easterley, William 2006, ‘Planners vs searchers in foreign aid’, 1 This paper results from a broader research project on Paper for Asian Development Bank Distinguished Speakers community driven accountability funded by the Monash Program. University — Oxfam Australia Partnership. The project team includes Adam McBeth, Kate Macdonald, Shelley Hodge, Graeme 2008, ‘Accountability’, in P O’Hara (ed.), Marshall, Pauline Taylor McKeown, Michael Simon, David International Encyclopaedia of Public Policy: Governance Pred, Eang Vuthy, Net Virak and Ruth Bottomley. The in a global age 3, 1–17. field research team for the Oxfam Australia case study Roche, Chris 2009, ‘Oxfam Australia’s experience of “bottom- comprised Depika Sherchan, Kol Leakhana, Chhoeng up” accountability’, Development in Practice 19, 8, 1009– Sotheavann, Ngoun Marinat, Soeun Sokkhim, Pic Ratana 1022. 118 Development Bulletin 75 Barriers to child participation in Timor-Leste Fiona Liongue, Fatima Soares and Georgia Noy, Save the Children, Australia Introduction This paper aims to identify and understand the Save the Children (SC) believes child participation is a complex barriers of child participation in Timor-Leste and key mechanism in the development of children’s health, how to effectively circumnavigate them. The success and education, survival and protection, and integral to children challenges of current SC initiatives combined with reaching their potential and attaining their rights. SC interview results of community stakeholders are used to global initiatives aim to facilitate practices that enable illustrate barriers and how these barriers can be overcome. children to express their views freely and safely, potentially enhancing the decision-making processes (Save Defining child participation in Timor-Leste the Children Australia 2010). The end goal of these The United Nations Convention on the Rights of the Child initiatives is to support an upward progression for children (UNCRC) 1989 established child participation as a to reach the top rung on Hart’s ‘Ladder of Participation’, fundamental right, with Article 12 affirming every child’s where ideas are child initiated and child led, with decision right to express their views and have their views duly making being comfortably shared with adults about weighted and considered. matters that affect children, leading to a more cohesive society (Hart 1992). In 2009, Prime Minister Xanana Gusmao officially launched the Timor-Leste National Commission on Child Hart’s ladder has eight rungs with the first three rungs Rights, stating that it would ensure children have reflecting non-participatory processes in which children ‘opportunities to participate in active decisions affecting are either ‘manipulated’, used as ‘decoration’ or in a their lives’ (UNICEF 2009). The national commission’s ‘tokenistic’ manner. There is an increase in participation as mandate is to promote a national culture of respect for one climbs the next three rungs: children are ‘assigned and children’s rights, defend and monitor children’s enjoyment informed’, or ‘consulted’, or ‘share decisions within adult- of their rights, and is to be guided by the views and directed initiatives’. The final two rungs reflect substantial opinions of children and young people. progress in that children ‘initiate and direct the ideas’ or ‘comfortably share their ideas with adults whilst con- The initiation of the commission demonstrates the currently directing the initiative’. government’s recognition of the importance of child participation, however, in practice, there is very little Studies of child participation in Southern Africa and implementation. Interviews conducted in the districts of South East Asia found that in countries where child Ainaro and Manufahi found a low level of understanding participation was encouraged, there was an actual shift in of child participation in local communities. Interviewees, the behavioural relationships between the adults and aged 13 stated: children, children have greater levels of confidence, perform better academically and have high levels of I did not know what child participation was…at home critical thinking and better interpersonal communication my family would not involve any of the children. They skills. This enables them to resolve problems, including would tell us to go away, go play somewhere while they conflict without resorting to violence. sat down and had important discussions about the Participatory activities for children carry many family, like money spent on cultural ceremonies which could be spent on school instead or which pre-secondary benefits, but there are barriers to implementing sustainable school I will go too. These decisions would directly and meaningful child led initiatives. Adults may obstruct affect me and the other children but we were not allowed child participation purposely or unconsciously based on to be a part of the decision making process. their innate beliefs that children are incapable of forming Adults do not understand that we should be involved in rational ideas. And children are often limited by inex- activities. On the 1st of June this year we were involved perience, lack of education and absence of opportunities to in Children’s Day. Parents and teachers were involved as participate. well as children from around the district. We gathered to In Timor-Leste SC facilitates and promotes child talk about children’s rights and the program of the event. participation through Children’s Clubs (CC) in Manufahi But most of the teachers, parents and leaders of the and Ainaro districts, and through other community and community had trouble giving over control of the event to us, they didn’t let us speak much and they all gave very national level development initiatives. In October 2012, long speeches. It was supposed to be a day to talk about SC facilitated children to participate in the Race for our rights, but they didn’t really want us to participate. Survival event, a global SC advocacy initiative providing children with a fun, team based and engaging event An Ainaro Sub-District Chief stated: (collectively running a marathon) which concurrently provided a platform for children to express their views and In my village, parents and family have a low interest in concerns about nutrition directly to district and national child participation in local development processes. We level decision makers. just think about how to send them to school. Their August 2013 119 participation in family decisions are given little attention expected to perform household chores and take care of or not considered at all, because they are young. younger siblings allowing parents/adults to work. Despite contributing monetary support to the household they are These answers were not surprising. Timor-Leste is a not included in household decisions. country that traditionally and culturally does not involve children in the adult world, especially in regard to decision Barriers to child participation also arise if adults do making. There are two main cultural factors contributing not provide a space for children’s activism or are ill to barriers to child participation. Firstly, Timor-Leste is equipped to facilitate participatory activity — even if they heavily influenced by Southeast Asian culture, where a do believe in it. A lack of space or opportunity for children strong familial hierarchal system and authoritative parent- to freely engage in and practice meaningful decision ing exists. Secondly, due to decades of civil unrest, the making greatly encumbers child participation. In the majority of the population consists of low-income families home, children’s views are ignored, at school a rote with low levels of education (UNICEF 2003), who tend to learning style curriculum does not include participatory value and perceive child obedience as a factor of future activism, and social groups like school councils, scouts economic success (Hart 1992). Timor-Leste’s strong social and girl guides are not common in Timor-Leste thus and ethnic norms resist and block child participation. severely limiting platforms or forums for children to gather and discuss their ideas. School is the primary place of learning where children Barriers to child participation in Timor-Leste can increase their knowledge and skills. However research Lundy (2007) identified the following three groups under conducted in Ireland aimed at identifying areas of ignored which adult’s concerns and mentality about child or underplayed child rights found that many teachers participation commonly fall. The following perspectives did not have the capacity to foster an environment for form a cycle of thinking which inherently excludes meaningful child participation. Children commonly children from participatory activity: reported teachers were ‘always shouting at them’ (Lundy 2007). Timorese children report the same scenario with  Scepticism regarding children’s ability and capacity to teachers heavily controlling the classroom and educating form productive opinions; the children with violence. Teachers are not qualified or  adult reluctance to release control and share power and trained in child centred learning which is a methodology authority with children; and that guides and supports child participation and cognitive  concern that compliance of child participation requires learning in the classroom. Interviewees said: too much effort. At school we are not allowed to speak unless asked a Adults in Timor-Leste have the same thinking. For direct question. example, Timorese culture is patriarchal and children are I was afraid that if I messed up that the teacher would seldom involved in discussions because adults do not beat me. believe they possess the capabilities to contribute informed The Sub-District Administrator noted education ideas. Adults habitually regard children’s opinions as quality as a challenge for child participation as schools childish and immature and instinctively assume that since focus only on science and rote learning. There are no they themselves were children they therefore know what is public speaking classes, no effort to encourage community best for children, reinforcing adult authority. Even in engagement or cultivate children’s analytical and organis- instances where adults do comply with and may even ational skills through cognitive learning. Without this facilitate child participation in decision making forums, if cognitive learning, there is then a lack of developed skills the child’s views are not taken seriously then adults unconsciously deny the right for meaningful and valid and self-confidence so children are restricted by their own participation. inabilities to partake in effective participation. One child interviewee commented: At a community meeting held in Ainaro related to elections, children were invited to speak and contribute to In the community and family all the thinking is done by the discussion, however the sub-district administrator adults, they find it hard to ask and consider children’s noted that the children said nothing, demonstrating that ideas, maybe they think children don’t have bright ideas even if an opportunity is presented, it is wasted if children like them. are not equipped with the skills to enable meaningful participation. The District Administrator said: Timorese parenting values and lack of understanding of extra-curricular activities also create a barrier to child The problem is our children in Timor-Leste, especially in development and participation. Parents do not value ‘after Ainaro, are still weak in their thinking and in expressing school’ development activities, rather there is a culture for of their ideas. They are shy to talk and present in public children to contribute to household work and income or to even if they do have good ideas and ability. simply be at home. This mentality can be linked to the economic situation of families as child labour is an issue This situation is not confined to Timor-Leste. Hart states ‘a with 19.9 per cent of children aged between five and 14 child’s ability to think and speak is the motivation behind years working to financially support the family (United his or her behavior. A child who is troubled or who States Department of Labour 2011). Children are also has low self-esteem is less likely to demonstrate her 120 Development Bulletin 75 competence, to think, or to work in a group’ (Hart Although the CC model results in small individual 1992:31). changes at the local community level, advocacy events An essential component of participation is the like Race for Survival (RFS) give children opportunities at availability and accessibility of information enabling the national level to interact with high level duty bearers, children to increase their skills, self-confidence and and this is an effective way to create national momentum maturity. As mentioned earlier, the school curriculum in and sustained influence through national level main- Timor-Leste does not offer students the appropriate streamed child participation (Save the Children Sweden information or education regarding meaningful partici- 2010). pation, thus creating a barrier. Children themselves often The RFS captured the attention and increased aware- reported how a lack of ability, knowledge and skills ness of child participation on a national level. As part of affected their self-esteem and hindered their ability and the event, members from the CCs met the Vice Prime willingness to speak up about issues important to them. Minister, who was very impressed with the children’s ability to articulate health and nutrition issues that needed I was afraid of the community leaders. They are big to be addressed in their local district. The Vice Prime important people who I never thought I was allowed to Minister encouraged the children. talk to. The CC members also met with a representative of the I remember one time when I was asked to stand up in President’s office and appeared on national TV and radio. front of the class and speak, I was so afraid because I had never spoken in front of the class before, I was afraid In the weeks following the RFS, the President’s wife that I wouldn’t be any good at it and my friends would visited the Child Club in Manufahi to meet and greet laugh at me. members and to gain an understanding of the CC model. She was also very impressed with the calibre of these children and is currently advocating for the SC Child Club Save the Children’s child participation model to be replicated throughout the country as a great initiatives in Timor-Leste example of how child participation can influence adult Many child participation programs have initial success but perceptions, behaviours and attitudes. fail long term as they fail to create longstanding dialogue One child interviewee said: between children and decision makers and do not allow children to take up decision-making positions (Tisdall and My participation in the CC and RFS has slowly changed Davis 2004 ). SC initiatives are designed with child rights the mind of my parents, now they listen to me and allow and governance as key components, not only targeting me to talk about the activities I have done in the CC and children as immediate beneficiaries but also focusing on they support my participation in any activities that involve children. how to promote enduring participatory activity through children becoming principal actors in solving their own Four months after the RFS event, CC members issues, engaging with the community and self-governing. demonstrated their sustained confidence and how they are SC is currently running two Timor-Leste initiatives — in fact progressing up Hart’s Ladder of Participation — Children’s Clubs (CC) and Race for Survival (RFS), which from children being ‘assigned but informed’ to ‘child- have overcome some of the above barriers and are now initiated and directed’ levels of participation (Hart 1992). being further integrated into community structures thus CC members initiated a meeting between themselves and enabling sustainability. the Vice Minister of Education, when he visited Manufahi. Two CCs have been operating for two years in the They contacted the Vice Minister’s office, made an districts of Ainaro and Manufahi, and SC is expanding this appointment and developed their own discussion agenda model to four other sites. Current CC activities sit in the without the aid of SC or other adults. This is an amazing middle of Hart’s ladder at rung five and six, with children achievement, and reflects the children’s own personal being ‘consulted and informed’ or with initiatives being growth in self-confidence, capability and motivation, as a ’adult-initiated that include shared decisions with children’ direct result of two years of SC education, advocacy and (Hart 1992). To encourage progression up the ladder and mentoring. sustainability, SC staff and children from existing CCs will The CC model teaches children the skills to enable support and conduct peer-to-peer learning by training, meaningful child participation, however it was the Race mentoring and monitoring the new CC members. A Child for Survival event that played the pivotal role that gave the Club member noted: children the confidence which led to an initiative that was completely led by children. RFS allowed children to put We have existed for almost two years now and have into practice the skills they had learned in an environment enough capacity to contribute to our friends to establish four more clubs so they can become strong like we have, that was ‘outside their comfort zone’ but within their we will promote participation in the sub-village, village, capabilities. This experiential learning in a challenging but district and national level. We will train in public supportive environment is a key ingredient in truly speaking, how to become a good facilitator, training in developing children’s belief in their own abilities and child participation, rights and protection, DRR, health and increasing their potential to continue to try new life facilitate comparative studies between sub-village clubs. experiences. One CC member interviewed commented: August 2013 121 The CC provided us with great preparation in speaking 3. Facilitate regular large scale and publicised events (Race for and running which gave us confidence in our abilities Survival), to increase community awareness and acceptance and capacity to succeed when we raced and spoke to the of children’s views, which in turn can initiate national government. momentum and provide ‘out of comfort zone’ experiential Before the RFS we just saw leaders on TV, because of learning opportunities for children to participate. this event we have seen them in real life. This gave us 4. Improve the quality of education pedagogy. This can be done the opportunity to meet the Vice Prime Minister and by updating teacher training to include child centred cognitive other officials. learning and the promotion of teacher-student dialogue in school and meaningful child participation. Introduce school Both initiatives have led to an increased acceptance of subjects or extra curriculum activities that emphasise child participation in the local community, with one cognitive learning and the development of child engagement mother of a CC member telling SC: and analytical skills. 5. Strengthen existing child participation structures in country to A thing that made me proud was that after the children create sustainable participatory activities. Support and were seen on TV, people were coming up to me from develop the capacities of the Commission of Child Rights, so everywhere saying congratulations and thanking me for they themselves are a great and innovative leader that helping the children. I hope that the children use this advocates and leads child participation initiatives. opportunity and take the issue further next year. 6. Integrate the Children’s Club model into government struc- tures so they are supported and driven by the Ministry of Comments like this from the community reflect a Social Solidarity. positive shift in adult’s resistance towards child particip- ation. A change in attitudes of child participation is one of the first steps to overcome barriers and is another step References towards moving up Hart’s Ladder of Participation (Hart Hart, R 1992, ‘Children’s participation: From tokenism to 1992). citizenship’, Innocenti Essays No.4. UNICEF, New York. Although achievements have been made there is still IAWGCP (Inter-Agency Working Group on Children’s more work to be done with regards to educating adults and Participation) 2008, Children as Active Citizens: A policy and children how such participation and subsequent develop- programme guide, commitments and obligations for children’s civil rights and civic engagement in East Asia and ment can be facilitated. There is a need to support further The Pacific, IAWGCP, Bangkok. activism, promote community understanding regarding Lundy, L 2007, ‘“Voice” is not enough: Conceptualising Article 12 enabling processes of child participation before Timor- of the United Nations Convention of the Rights of the Child’, Leste can truly reap the benefits of meaningful child British Educational Research Journal 33, 927–942. participatory activities. Save the Children Australia 2010, Child Participation: Our position, downloaded 11 October 2012, Conclusion and recommendations http://www.savethechildren.org.au/resources/position- papers/child-participation. We have shown some successful practices that facilitate and Save the Children Sweden 2010, Regional Study of Children’s promote child participation and progression up Hart’s Participation in Southern Africa: South Africa, Swaziland and ladder, however the list of barriers is far longer. Barriers are Zambia, accessed1 March2013, http://saf.savethechildren.se/ deeply set in cultural norms, so to break through these Global/scs/SAF/Save%20the%20Children%20Study%20of% complex social barriers and improve child participation, 20children’s%20participation%20in%20Southern%20 adults’ perceptions must be challenged and changed to Africa%20-%20South%20Africa%20Swaziland%20 enable the voices of children to be heard and seriously and%20Zambia.pdf. considered. Adults must give children the opportunities to Tisdall, K and J Davis 2004, ‘Making a difference? Bringing learn new skill sets which permit children to confidently and children’s and young people’s views into policy-making’, meaningfully contribute to the decision making process. Children & Society 18, 131–142. United Nations, Convention on the Rights of the Child. 20 The following recommendations are made to enhance November 1989. Adopted by GeneralAssembly Resolution the effectiveness and sustainability of future programs 44/25, entered into force 2 September 1990. involving child participation: United States Department of Labour 2011, Findings on the worst forms of child labour — Timor-Leste, accessed 7 November 1. Facilitate programs that empower duty bears and adults to 2012, http://www.unhcr.org/refworld/docid/506594260.html. facilitate successful child participation initiatives, by focusing UNICEF, FACT SHEET: The Right to Participate, accessed on increasing their knowledge about Article 12 (child’s rights October 2012, http://www.unicef.org/crc/files/Right-to- in participation), and by giving adults the support required to Participation.pdf. enable them to ‘let go of power’ and give decision making UNICEF 2003, At a Glance: Timor-Leste, accessed 7 November space to children. 2012, http://www.unicef.org/infobycountry/ 2. Implement development programs for children (Children’s Timorleste_statistics.html. Clubs), to increase their knowledge and their participation UNICEF 2009, Timor-Leste establishes National Commission for capacities and abilities. Also facilitate practical initiatives that Children, 22 October 2012, http://www.unicef.org/ support children to apply their new knowledge and skills. eapro/media_11526.html. 122 Development Bulletin 75 Participatory development: Community-based initiatives towards community ownership in Cambodia Thay Bone, Life With Dignity, Cambodia Introduction competitive process, the community manages the project by In Cambodia, people’s participation in local development themselves including the procurement process, financial is a major challenge and can lead to poor ownership and management and reporting as well as monitoring and unsustainable development. Allowing citizens to partic- evaluation. LWD provides minimal capacity building and ipate in local development planning, project designers had technical support to community leaders when requested and hoped to bring a sense of community ownership to necessary. development activities which would result in poverty alleviation. Currently, the Royal Government of Cambodia Project implementation process (RGC) is in the process of promoting local participation The objectives of the project are to: through a decentralisation reform program. According to the Proclamation on Commune Development Planning, in  empower the community to be able to manage their own the local planning process, specific groups such as women, development works; youth, the poor and minority ethnic groups, are encouraged  build their ownership over their community resources; to represent their interests and contribute their knowledge and and ideas to the preparation of commune development  strengthen their networks both horizontally and plans. However, participation of these groups is low due to vertically to support future projects. their limited knowledge and poor accessibility. A high proportion of people in these groups are among the 22 per The implementation process is divided into three steps. cent of the population who are illiterate and the 28 per cent First, the project provides the communities with an of the population living below the poverty line. These orientation on the process of project planning and imple- groups spend their time maintaining their livelihoods mentation and criterion for selection of villages. rather than having time to join in development work, thus limiting their opportunity for participation. Subsequently, Second, the project selects villages for funding. This development initiatives generally respond to the needs of step starts with calling for concept notes from interested the whole community rather than the most vulnerable villages; conducting village assessments to confirm the groups and do not enable community as a whole to take situation on the ground; confirmation of village selection the lead and manage their local development processes on selecting those villages in which representatives from their own. In most cases, project implementation is based commune councils, the local government, act as chief of on top down planning in which community only plays a the evaluation committee; calling for full proposals from role as followers. selected villages, then making a final selection and awarding contracts to successful villages. Project background Third, the project provides minimal capacity building and technical support through training, coaching and Recognising the situation and being aware that ownership mentoring to community leaders on key topics such as and sustainable development is more likely to exist if the project management, procurement, financial management whole community is in control of their development and reporting and finally the community leaders lead and initiative, in 2008 Life with Dignity (LWD) began imple- facilitate the project implementation for a one year cycle. menting a community-based project entitled Village To reflect on and replicate the project implementation, Partnership Project (VPP) in 59 targeted villages of three annual reflection workshops are held and documented. provinces in Cambodia. It had generous financial support This documentation is shared widely with government, from the Australian Lutheran World Service (ALWS) and NGOs, development partners, and research institutions. Finn Church Aid (FCA). The project aims to enable the whole community, including women, youth and the poor, to participate in making informed decisions and to take the Methodology lead in their own initiatives following a rights-based To assess the success of the project, LWD gathered empowerment approach through building community information and lessons learned through a variety of capacity and knowledge. The local people conducted a methods including community workshops, the review of a consultative meeting to identify their priority needs and variety of reports including the project monitoring reports solutions according to their community critical issues for and evaluations done by an external consultant in mid- the basis of their proposal to LWD. This included road 2012. Importantly, a reflection workshop was also con- access, small scale irrigation construction and awareness ducted in 2012 to review the project implementation raising on domestic violence and human rights. process and to examine the relevance and effectiveness of Once LWD approves the proposal which the com- the project and to understand the critical challenges and munity prepares and submits for funding through a suggestions from the project stakeholders. The major August 2013 123 stakeholders are the Village Development Committee, who ownership. The project had a positive impact on the are the project implementers, and the Commune Councilors, community as a whole, while attention was given to the who play important roles as the committee to select the needs and concerns of most vulnerable groups. Moreover, villages to be the project grant recipients. There were 41 the project has built competency and confidence of local participants of the workshop which included key LWD leaders in project management and resources mobilisation staff and 15 women. The key questions discussed were: both locally and externally. Essentially, it has increased their capacity in planning, budgeting, project imple-  to what extent the community members were satisfied mentation, monitoring and evaluation and reporting and with the project; contributed to improve self-reliance and self confidence in  what was the overall impact of the project on the leading village development towards sustainability. communities;  would the community continue to take over such projects The recent study on sustainability carried out by an in the future; and independent consultant confirmed that given the success of the project, replication should be considered (Cossar,  what were the critical challenges of the project and how would they be overcome. 2012). LWD will replicate the project in other target areas and share with aid practitioners the best practices and successes and facilitate their links to trained communities Results to help them apply for other external funding sources. The results showed that the communities felt they were the masters of their projects. Most vulnerable people actively and equally participated in the process to share their needs, References raise their concerns, share their views and implement the Cossar, H 2012, ‘10 years on from graduation: Sustainability project under the lead and facilitation of community Study Report’, Phnom Pehn. leaders. According to the consultation during the recent National Institute of Statistics: Directorate General for Health, reflection workshop communities have gained knowledge and ICF Macro 2011, Cambodia Demographic and Health about how to improve their livelihoods. In particular, they Survey 2010. Phnom Penh, Cambodia and Culverton have increased their participation and collaboration, as Maryland, USA: National Institute of Statistics, Directorate General for Health, ICF Macro. well as improved community solidarity and project 124 Development Bulletin 75 KISS my aid:1 A journey in search of simplicity Christopher Chevalier, Consultant Introduction Children, CARE, Oxfam, and World Vision. An inner core This paper reflects on changes in aid and development of a dozen larger NGOs and a swarm of smaller Australian during my career, in search of simplicity and lessons agencies developed, creating tensions between them learned. I also interviewed ten development workers with (Crooke 2003). an average of 25 years experience to reflect on what had Following the 1984 Jackson review of Australian changed significantly and what they had learned. My overseas aid, more government funding was directed respondents, four women and six men, still work in the through NGOs, especially emergency aid. In the 1990s, the sector. Our experience includes: proportion of NGO budgets from government funding grew from 28 per cent in 1993 to 49 per cent in 1995  Ten working overseas with NGOs (Crooke 2005). This created a situation of ‘He who pays  Nine Australia based program or project managers the piper calls the tune’ as government has demanded  Seven consultants (four full time) more accountability from NGOs to access government  Four volunteers in emergencies and development funds and leverage their own funds. In Australia, sloppy practices and a fraud scandal in 1992 involving CARE led  Areas of field experience: Asia (five), Africa (five), Pacific (five), S. America (one) to closer surveillance and administrative control of NGOs. The Australian Council for Overseas Aid (ACFOA) Several key questions guided our semi-structured supervised an accreditation process for NGOs in 1995-7 conversations: based on assessment of administration and bureaucratic processes. NGOs and contractors were forced to become  When did you start in development and where have you professional and to rely less on the inherent goodness of worked? their causes.  What do you think have been the major changes since The change to a conservative government in Australia you started? in 1996 also saw cut-backs to the public service, including  How did technology change the way you worked? AIDAB/AusAID, which became more risk averse.  What has changed for the better and for the worse? AusAID minimised risk by managing contracts and  What do you think works? contracting out, a ‘Teflon policy’ that ensured mistakes  How can we simplify the work? stuck to the contractor, not AusAID. Accounting, monitor- ing and evaluation processes had to conform to AusAID Four major themes of change emerged from content requirements, particularly logframe approaches and other analysis and internet searches to check facts and concepts: formats. In the process of demonstrating accountability and transparency, a massive paper chain between the field  Professionalisation and the head office was created.  Technology The balance shifted from technical competence to  Political economy paradigms lost and found compliance; accounting and control became more important than good development practice. The tendering process led NGOs and managing contractors to become The professionalisation of organisations more competitive than cooperative. Project proposal NGOs and for-profit managing contractors have grown in promised too much too soon in order to win tenders and number, size and influence over the past 30 years, part of a get proposals accepted. Development increasingly became public service delivery mechanism in a competitive more about project management and tighter monitoring industry. and evaluation (M&E). A shift to results based manage- NGOs operate as both development organisations and ment has privileged quantitative indicators and ‘evidence contractors, which creates is a tension between based’ M&E.2 Qualitative data in evaluation has struggled development values and income values, between doing the to be treated with respect. Although participatory tools, right thing and doing the thing right (Edwards 1995). The change stories, and interviews can provide good evidence number of Australian NGOs nearly doubled in the 1990s, of change, they do not summarise neatly or convert easily growing by 84 per cent (Crooke 2003). NGOs and for- to measureable indicators for project logframes. The Paris profit managing contractors grew through takeovers and Declaration of 2005 further enhanced government control alliances. Larger agencies and managing contractors by emphasising the role of recipient and donor benefited most, allowing them to get the lion’s share of governments, as well as quantitative measurement of funding. NGOs also enjoyed flexible small-scale funding development outcomes. sources, such as the Australian NGO Cooperation Program Like Doppler effects of light and sound, pro- (ANCP). Large agencies have become corporate brands fessionalisation has shifted the development spectrum in and multinational organisations, such as Save the significant ways since the late 1990s. Working in August 2013 125 development has become more a career than a vocation More opportunities were then available for gaining while many NGOs have become more conservative and overseas experience in newly independent countries, less controversial over time. Development has shifted to which had fewer qualified local staff. Later generations of service delivery, from a people-centred approach to a aid workers were more likely to start or secure employ- results-based approach, and from empowerment to ment in Australia. Volunteering is still probably the most efficiency. useful and time-honoured pathway to becoming a develop- ment worker. The Liberal (Conservative) government introduced competition into the volunteer sector after Shifts due to professionalisation from the 1990s 2000. This reduced opportunities for extensive in-depth cross-culture experience causing later generations of Development ______ Service delivery development workers to come into NGOs and consulting People centred ______ Results based with less field experience. Empowerment ______ Efficiency & effectiveness In the 1970s and 1980s, courses were more likely to be short course certificates in technical and practical Vocation ______ Career training to equip people to work overseas.4 The growth of academic, particularly masters level, development studies since then has proved very helpful in preparing and Development workers have been required to become professionalising development workers but it has been a more disciplined, managerial and professional. Manager- mixed blessing. Although there is now much better access ialism has had benefits, such as better analysis and a more to theory, analysis and evidence, it is difficult to learn systematic approach. The skills set required of develop- technical skills, field craft and leadership in seminars and ment workers and NGOs have improved, along with the libraries. While postgraduates may have theory but little range of tools available to use. And people in developing practical experience, many NGO workers have the countries certainly deserve development workers who experience but resist theory or critical reflection on their behave and manage projects professionally. work. NGO staff need to learn new ideas and methods and Results-based frameworks, especially the logframe other areas of social research (Crooke 2003). matrix,3 have become a common template to design and assess programs with measureable targets. The logframe originated as a US military planning tool and was adopted Technology — ‘welcome to the machine’ first by USAID for development projects and then by Many of the changes in development over the past 30 European agencies in the 1980s. By the mid-1990s, it had years have been generated by technology. Both become a requirement for accessing AusAID funding of managerialism and technology have shifted the locus of any size. development from the field to the office. In the 1970s and 1980s, working in the field usually meant having no All recognise that it has many weaknesses … it is the phones, telex, or mail beyond large towns and capital best of a bad bunch of options available for planning and cities. It used to be said of Australian volunteers in the monitoring development work. Hence it carries on being 1980s that by the time a volunteer in the field received a widely used against all objections (Bakewell and Garbutt 2005:1). reply to his letter or telex, the problem was either solved or the volunteer had died. As fax machines became available Development workers learned to use logframes under in the mid-1980s, field workers lost some of their auton- sufferance. Their attitudes could be summarised as ‘Love omy and freedom of movement while head offices could ‘em or hate ‘em, couldn’t work without them’. On reflec- communicate with the field much faster. Two-way radios tion, most of my respondents viewed the logframe as are still extremely useful for communicating with rural useful for design and planning projects but much less areas but are becoming superseded by mobile phones. useful for implementation. Combined with competitive E-mail became available in developing countries from tenders, logframes promote results that cannot be the mid-1990s and transformed development work, delivered, called a ‘false expectations system’ (Smillie although often very slow, expensive and unreliable in 1992). Because development contexts and problems are many regions. Reporting and communication became not logical, more than logical thinking is needed — for almost instantaneous but this had a downside, increasing example, evaluative thinking, systems thinking, lateral expectations and demands on local partners. Email can be thinking, and emotional intelligence (Crooke 2003). a huge distraction, a ‘constant white noise’ that has Logframes privilege quantitative targets, box-ticking, increased the magnetic pull of the office. Skype and buzzwords, and dense jargon, resulting in a management internet phones have also speeded up communications. style that has been described as ‘technicist, sterile and has The internet is replacing print as the main access to no soul’ (Bornstein 2001:8). ‘Design by numbers’ can be information and learning. compared to ‘painting by numbers’— producing reas- Outside the office, the premises of contractors, onable resemblance but providing little space for dreaming multilaterals and NGOs have come to resemble Toyota car or inspiration. yards. After the 4WD, the most visible technological The 1980s generation of development workers often change has been the computer, which arrived in the mid- came into development by travelling and volunteering. 1980s in Australian NGO head offices and in field offices 126 Development Bulletin 75 over the next 10 years. Staff spent inordinate time in front 1970s: Independence and Self Determination; of screens and keyboards, much of it unproductive. Welfare,Conscientisation (Pedagogy of the Computers were most useful for managing data and Oppressed),Non-formal Adult Education finances but otherwise were hardly more than electronic 1980s: Basic Needs, Primary Health Care (PHC),Training for typewriters and filing cabinets. Experienced development Transformation, CommunityDevelopment, Integrated workers were unqualified typists, often very bad ones. Rural Development,Market based approaches/Neo- Productivity was often reduced with the computer while liberalism jargon and documentation grew exponentially. Previously, 1990s: Rights Based Approach, EnvironmentalSustainability reports were written by hand and sent by mail or to the (Rio 1992), Gender andDevelopment, Population and secretarial staff. While reports may now look better, they Development (Cairo1994), Pacific 2010, Poverty were usually more straightforward, thoughtful and often Analysis/Poorest ofthe Poor, Sustainable Livelihoods better written. Technology has also created an undem- 2000s: Millennium Development Goals, Paris ocratic digital divide, a dual speed economy between the Declaration,Disability, Good Governance, Failing States,Disaster Risk Reduction, Climate haves and have-nots of technology and development. Change,Strengths Based Approaches, Market Value However, computers and printers have replaced the stencil Chain and duplicating machines from the early 1990s. This has 2010s: Evidence Based Approaches, Strengths allowed development workers to produce their own BasedApproaches materials and manuals, although collateral damage has meant ‘death by PowerPoint’. and then exposed, like the emperor’s new Clothes. But on reflection, respondents viewed the changes more Political economy — ‘It’s the economy positively. Changing paradigms reflect the need to adapt stupid’ and change as ideas are put into practice and lessons are Technology has also transformed banking and global learned. Creating new lenses, such as gender, sustainable financial markets while trade liberalisation in the 1980s livelihoods, environment, disability, and HIV allowed us and 1990s opened up many developing countries to to see and work in the world differently. Topics such as industrialisation and consumer goods. Economic growth disability, sexuality, and female genital mutilation have has lifted many people out of poverty but has also emerged from the shadows and into public discussion. increased urban and rural poverty in many countries. New frameworks allow us to deal with the multiple Neoliberal structural adjustment policies in the 1980s and problems and complex situations in a changing world. 1990s did untold damage to the poor and continue to do Conceptual frameworks such as Primary Health Care, so. Aid and development budgets have grown in step with Millennium Development Goals, and Sustainable Liveli- the global economy, increasing between two to three-fold hoods have made complex problems more manageable and from 1990 to 2010 — although only just over almost half programmable. of it is available for spending in recipient countries Some sound ideas have fallen by the wayside, (OECD 2010). replaced by ideas imposed topdown in the wrong context. Demographic and environmental changes are other Primary Health Care was one such concept that was tectonic forces that have changed the world profoundly hijacked by selective technologies like immunisation and since the 1970s. Unsustainable economic growth and oral rehydration delivered in silo-ed programs. In the unrestrained population growth (almost trebling since 1990s, HIV/AIDS programs were imposed in areas of the 1950 and by 50 per cent since 1980) have resulted in Pacific with very slow fuse epidemics, at the expense of major threats to development, including climate change, programs such as family planning and much more threat- land degradation, impaired food production, loss of ening public health problems, such as non communicable biodiversity, rapid growth of cities and urban drift diseases. When the threat of HIV had finally became (McMichael 1993). Despite warnings of population and significant after years of donors crying wolf, the circus had planetary overload since the 1970s, the scale of problems moved on to focus on other priorities; for example, good and disasters has increased each decade and pose even governance, a concept that became so faddish after 2000 greater challenges for present and future generations of that almost one-third of the aid budget was devoted to development workers in this millennium. governance programs (OECD 2010). Paradigms — ‘lost and found’ What works in development …it is ideas, not vested interests, which are dangerous Apart from significant changes in aid and development, for good or evil (Keynes 1936). my respondents also discussed what makes development work and lessons learned. To keep it simple, their ideas are Paradigms and narratives underlying development have presented below in bullet points. come and gone since the 1970s. The table below lists some of the most salient concepts that have been found and lost. What works with people One can be cynical about why paradigms and ideas are abandoned in favour of new ones, fawned upon at first  Listen to people to understand them. August 2013 127  Focus on people, on value for people rather than value  Be humble — don’t always take credit for things or put for money. your badge or the donor’s on everything.  Cultivate relationships, get close to people, have genuine conversations and discussions. KISS – how to keep it simple  Be passionate about people and their lives. Finally, some suggestions for keeping development simple  Build quality relationships with counterparts, listen to (and perhaps less stupid). them, treat them as colleagues not workers.  Build leadership and people who are competent to take  Use less jargon, simplify language and proposals — over. they’re hard enough for us and even harder for people in  Get out of the office and into the field as much as their third language. possible, learn field craft.  Use simple principles and questions to address  Use commonsense. complexities.  Use clear, simple tools and participatory methods. What works with projects and programs  Go visual — maps, diagrams, mind/concept maps, displays, pictures, photos.  Good people and relationships make good projects.  Lower and fewer expectations — don’t expect results  Counterparts — sit down with them, let them lead, quickly, don’t try to meet all the needs. support them, take them along with you, plan your own  Keep projects small and simple at the beginning. redundancy.  Design early success — small wins build confidence and  Constructive participation is a learned and gradual success breeds success. process — be aware of degrees of participation, at  Experiment and adapt, be more flexible — it’s OK to different levels, and at different phases. move away from the script, change designs and switch  More local partners, more local accountability. funds.  Provide consistent funding and reliable support for local partners. Seeing the elephant  Don’t flaunt money; less can make people more self- reliant; more can be done with less. While completing this paper, I was reminded of the metaphor of ‘The blind men and the elephant.’ Six blind  Make relationships with donors and stakeholders horizontal and less top-down,5 talk truth to power. men were asked to feel and describe the different parts of the elephant. One described the side of the elephant felt  Administration works for operations and not the other way round; administration is there to help you do your like a wall, while the others said the legs were like a tree, job better. the ear a fan, the tail a rope, the tusk a spear, and the trunk a snake.6 ‘Seeing the elephant’ requires us to acknowledge  Focusing training on what people have to DO (functional training); focus on practical skills; do as much training our own blindness and other people’s viewpoints. The in-country as possible. overall changes in aid and development have been far  Learn from successful projects, organise study tours/ bigger than the small parts that we have engaged with. And exchange visits South to South, North to South, and by organising ourselves in circles rather than hierarchies, South to North. having conversations, and sharing viewpoints, we are better able to understand the whole. The elephant is more extra- ordinary, certainly bigger and older, and perhaps wiser than Lessons learned we (visually impaired people) envisaged than 30 years ago. Some key lessons that respondents have learned are:  Most important are right attitude and cross cultural skills: Notes 1 KISS = Keep it Simple, Stupid understand the culture and learn the language.  It’s not just about ‘Them’ learning, it’s about ‘Us’ Key informants were Sue Allan, Mike Crooke, Cecily learning as well. Dignan, Ross Hardy, Tony Jansen, Maggie Kenyon, Nic Maclellan, Bob Smythe, Jo Spratt, and Terence Wood.  People are central to development — this includes their Chris Chevalier worked as a health worker in Africa in the self esteem and having influence over their own destiny. 1980s; as an NGO program manager and researcher in  Don’t burden local people with your expectations and Solomon Islands in the 1990s; and since 2000, has unrealistic outcomes; don’t make assumptions. combined project management, social research, and  Understand how much local people have to do in their consultancy work in the Pacific. own jobs, extended families, and communities, quite 2 I would argue from my own training in epidemiology that apart from the work you want them to do. there has been ill-informed adoption of statistical methods  People make organisations and make the difference in with confounding of results, confusion of correlation with organisations; research and leadership also make a causation, badly designed and often useless baseline studies, difference. and inappropriate use of significance levels with non- random samples.  More time, less haste: three years for projects is usually 3 The classic logframe matrix has a horizontal axis — not enough, five is much better, 10 years is probably more realistic for behaviour change, and 15 years for Narrative Summary, Objectively Verifiable Indicators, programs that will stand the test of time. Means of Verification, Assumptions — and a vertical axis: 128 Development Bulletin 75 Goal, Objectives or Outcomes, Outputs, Activities and Bornstein, L 2001, ‘From management standards to development Inputs. (See Bakewell and Garbutt2005: The Use and Abuse practice: A study of the South African aid chain’, CSDS of the Logical Framework Approach). Working Paper No 33, School of Development Studies and 4 Early in my career in 1982-3, I was fortunate enough to do Centre for Civil Society, University of Natal, Durban, South two excellent 3-month courses in Teaching Primary Health Africa. Care and Tropical and Community Health at the Liverpool Crooke, M 2003, Beyond the Horizon — A guide to managing School of Tropical Hygiene; many of my fellow students development projects from a distance, ACFOA, Canberra, were health workers from developing countries. Australia. 5 The wearisome clichés of ‘top down’, ‘bottom up’, ‘grass Keynes, JM 1936, The General Theory of Employment, Interest roots’ ignore geography: village, provincial centre, capital and Money, quote referenced from http://en.wikipedia.org. city and metropolitan centre co-exist horizontally and just Korten, D 1990, Getting to the 21st Century: Voluntary action over the horizon. and the global agenda, Kumarian Press, Connecticut, USA. 6 David Smaltz’s book The Blind men and the Elephant, McMichael, T 1993, Planetary Overload: Global environmental Mastering Project Work has some very useful ideas, change and the health of the human species, Cambridge includeing the notion of aiming for ‘juiciness’ in projects, University Press, Cambridge, UK. patiently sitting with mess and discomfort, and making the OECD 2010, DAC Report on Multilateral Aid — accessed 18 most generous possible interpretation of other people’s April 2013, www.oecd.org/dataoecd/23/17/45828572.pdf. behaviour. Smaltz, D 2003, The Blind Men and the Elephant, Mastering Project Work, Berett- Koehler, San Franciso, California, References USA. Bakewell, O and A Garbutt 2005, ‘The use and abuse of the Smillie, I 1995, The Alms Bazaar: Altruism under fire — Non- logical framework approach, SIDA, accessed 18 April 2013, profit organisations and international development, IT www.intrac.org. Publications, London, UK. August 2013 129 Next ACFID – Universities Linkage Conference DEVELOPMENT FUTURES: ALTERNATIVE PATHWAYS TO END POVERTY NOVEMBER 21-22, 2013 University of Technology, Sydney DEVELOPMENT BULLETIN ISSUE 75 Available online September 2013 Contact: http:crawford.anu.edu.au/rmap/devnet/dev-bulletin.php Dr Pamela Thomas Development Studies Network or google Development Bulletin Resources, Environment and Development Crawford School of Public Policy ANU College of Asia and the Pacific Australian National University Canberra ACT 0200, Australia For free download of the 75 issues of Development Bulletin and a large body of knowledge on 25 years of social and economic development in addition to 55 papers on Pacific T: 61 2 6125 8257 Island women’s development experience: http:.crawford.anu.edu.au/rmap/devnet/dev-bulletin.php E: pamela.thomas@anu.edu.au

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Godden, N. & Muli, C. (2013). ‘Peer review: an emerging research method in international development, Development Bulletin, No. 75, pp.92-97

Godden, N. & Muli, C. (2013). ‘Peer review: an emerging research method in international development, Development Bulletin, No. 75, pp.92-97

Godden, N. & Muli, C. (2013). ‘Peer review: an emerging research method in international development, Development Bulletin, No. 75, pp.92-97

Godden, N. & Muli, C. (2013). ‘Peer review: an emerging research method in international development, Development Bulletin, No. 75, pp.92-97

Godden, N. & Muli, C. (2013). ‘Peer review: an emerging research method in international development, Development Bulletin, No. 75, pp.92-97

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