Chapter 7 Participatory Approach in Infrastructure Development

(in rural setting in developing countries)

(3 hours)

Hari Krishna ShresthaNepal Engineering CollegeChangunarayan, Bhaktapur

7.1 Practices of (Rural) Infrastructure Development in Nepal

• National Strategy for Rural Infrastructure Development, 1997 • Local Self-Governance Act (LSGA) 1999, • Tenth Five Year Plan 2002-2007, • Local Body Fiscal Commission Report 2001, • Joint HMGN-Donor Review of Decentralization in Nepal 2001, • National Framework Document for Decentralized Governance

and Capacity Building, 2002 and• Decentralization Monitoring and Implementation Committee have all recommended to devolve the rural infrastructure to local bodies

Rural Infrastructure Development Policies of Nepal

Infrastructure Development

• Need for (rural/local) infrastructure development• Practices of infrastructure development in Nepal– Gaun Pharka Rastriya Abhiyan

– Rs. 3 lakh per VDC ? Rs. 5 lakh ? Rs. 25 lakh– Local Self Governance Act 2055– DoLIDAR, Hulaki Road– Microhydro plants– Community water supply

7.2 Traditional Development Approaches

• State led (prescriptive) development approach: State led development is where the Government plans and leads the development activities.

• Market led (and product led) development approach– Market-led development tries to meet the need within a market. The need

is already there, and the product is created specifically to meet that need. Product-led development starts with the product and tries to create a need for it. An example might be the instant noodles in Nepal.

• NGO led development approach: direct access to people, less red-tape, decentralized development activities

• Community led (Participatory) development approach (civil society led): planned and led by community

Characteristics of Traditional Development ApproachesState Led• Centralized planning• Less participation of stake holders• Systematic, organized• Less overlap• Bureaucratic• Deterministic• Prescriptive• Stable/long term planning and long term

goal• Less flexible• In coordination with international changes• Supply drivenMarket Led• Trickle Down• Market as the ultimate decision maker• Survival of the fittest• Demand driven; unstable, volatile• supply can create demand, vulnerable to

manipulation

NGO Led• Comparatively more participatory• Demand driven• Project based development• May overlap if coordination is

weakCommunity Led (Participatory)• Highly participatory• Decision by stakeholders• Unpredictable• More affected by local politics• Demand driven

Which model is best suited for a developing country? Why?

Potential Thesis Topic: Comparative analysis of community led development projects in Nepal

7.3 Modern Approach to Participatory Infrastructure Development

• State - Users CooperationFMISCommunity ForestryPeople’s EmbankmentUsers’ Committee involvement in planning water supply projects, forest management, irrigation

• Developers – community cooperationHydropowerLand poolingBenefit Sharing MechanismsConcept of corporate social responsibility (CSR)

The principle of participation – the active involvement and empowerment of stakeholders, in all the stages of development /construction projectRapid Rural Appraisal (RRA), 1970s: extracting informationParticipatory Rural Appraisals (PRA), 1980s: follow peoples’ interests and concernsParticipatory Learning and Action (PLA), early 1990sParticipatory and Integrated Development, 1990s: offering facilitation support to locals (such as villages, communities, interest groups, associations etc.) on a demand responsive basis, and assisting them in getting their interests represented

http://www.fao.org/docrep/006/ad424e/ad424e03.htm

7.4 Participative Approach vs. Central Planning Approach

7.5 Benefits of participatory approach in infrastructure development

• understanding all the aspects of construction project• Ability/ease to predict potential pit falls• Avoids potential conflict after the initiation of the project• Optimum utilization of local resources• Optimum utilization of local skills/human resources• Ensures successful implementation of the project• Reduce O&M cost• Develop ownership• Ensure sustainability

7.6 Levels of participation(bottom-up)

• Local level (grass root level)• Local elite• Local politicians/leaders/people of influence• Technicians (engineers, geologist, hydrologists,

environmentalists, safety, …)• Sociologists/anthropologists• Public relation/ business officer• Regulators/line agency officer• Policy makers

7.7 Stages of participation

• Conceptual• Identification/ Formulation• Planning• Design• Construction/Implementation• Operation/maintenance

What are the roles of local stakeholders in each stage of project development?

7.8 Elements of Participative Approach

Various participatory or bottom-up approaches have been developed and applied worldwide in response to the perception that top-down and supply-driven approaches are the cause of the problems. In rural development projects financed by ADB, the new approaches include

(i) beneficiary consultation and participatory planning; (ii) community development support; (iii) engagement of nongovernment organizations (NGOs); (iv) local government involvement; and (v) private sector participation

Source: ADB, 2004, Effectiveness of Participatory Approacheshttps://www.oecd.org/derec/adb/35183500.pdf

Participatory Approach

• sharing of knowledge and experience• recognizing and encompassing different perspectives• working in teams on practical tasks• the use of visualization and analytical tools,

imagination and drama• an open-ended creative learning process• the development of shared understanding and

jointly owned plans or other products• the capacity for reflection and self-assessment

Success of participatory approach depends on:

• Thorough understanding of ground realities• Awareness level of local people• Ability of project developer to generate willingness to participate• Positive role of political leaders• Level of social harmony• Social structure: gender balance, existing conflict, caste, religious

harmony• Time available for initiation, development, implementation and

post completion aspects of the project• Type of project: level of technical knowhow expected/needed

from the local stakeholders for effective participation• Objective of the project: social uplift, national security,

attracting FDI, rapid economic development, sustainable development

7.9 Ways to Ensure Effective ParticipationAs an outside researcher, there are several guidelines that may be

followed to increase the effectiveness of a participatory development process. Researchers should (Botes and van Rensburg, 2000: 53-54):

1. “Demonstrate an awareness of [your] status as outsiders to the beneficiary community and the potential impact of [your] involvement;

2. Respect the community’s indigenous contribution as manifested in their knowledge, skills and potential;

3. Become good facilitators and catalysts of development that assist and stimulate community-based initiatives and realize their own ideals;

4. Promote co-decision-making in defining needs, goal-setting and formulating policies and plans in the implement of these decisions;

5. Communicate both programme/project successes and failure as sometimes failures can be more informative;

Ways to Ensure Effective Participation6. Believe in the spirit in solidarity, conformity, compassion, respect, human

dignity and collective unity;7. Listen to community members, especially the more vulnerable, less vocal

and marginalized groups;8. Guard against the domination of some interest groups. Involve a cross-

section of interest groups to collaborate as partners in jointly defining development needs and goals, and designing appropriate processes to reach these goals;

9. Acknowledge that process-related soft issues are as important as product related hard issues;

10. Aim at releasing the energy within a community without exploiting or exhausting them; and

11. Empower communities to share equitably in the fruits of development through active processes whereby beneficiaries influence the direction of development initiatives rather than merely receive a share of benefits in a passive manner.”

Source: Anantha Kumar Duraiappah, Pumulo Roddy and Jo-Ellen Parry, 2005, Have Participatory Approaches Increased Capabilities?, International Institute for Sustainable Development, http://www.iisd.org

Self Test

• Which development model is best suited for a developing country? Why?

• What are the basic conditions for the success of a participatory approach?

• What are the ways to ensure effective participation in infrastructure development projects in a developing countries?

• Do all stakeholders equally participate in participate approach? Discuss in terms of levels and stages of participation.

• Discuss the basic assumptions in the concept that a participative approach results in lower O&M cost.

1. VALUE THE PARTNERSHIP: Believe that the community has a role in child protection and that child welfare agencies must share responsibility and work with neighborhood partners to strengthen birth parents and enhance their ability to keep their children safe and nurtured.

2. SHARE RESPONSIBILITIES: Rely on established community partners to recruit representatives, and jointly plan effective orientation and training for representatives to ensure they have adequate knowledge and confidence to be full participants.

3. ASSUME GOOD INTENTIONS: Trust that representatives are invested in keeping the child’s best interest and particularly his/her safety first and foremost, while supporting the family. Maintain an inclusive attitude and team mentality. Support the agency’s commitment to shared decision-making.

4. DEMONSTRATE APPRECIATION: Develop a working relationship based upon respect, acceptance and recognition of the value community partners add to TDM. Ensure agency staff are well-trained in cultural issues and that meetings reflect sensitivity to differences.

5. PROVIDE INFORMATION: Ensure parents understand community partner’s role and the potential benefit for them so parents can make an informed decision regarding the community member’s participation.

Ten ways to ensure effective community participation(case of child welfare)

6. BE CREATIVE: Search for ways the birth parents’ community can support the family and child. Embrace the uniqueness and differences of communities. Ensure team examination of non-traditional, as well as, traditional services to decide if the services can promote safety, offer support and/or reduce risks.

7. AFFIRM THE COMMUNITY’S STRENGTHS: Empower the community representative to support birth parents and promote understanding of the family’s community during the TDM, while keeping the child’s best interest central in TDM process and decision.

8. RESPECT SUGGESTIONS: Demonstrate appreciation for viewpoint, skills, knowledge and resources of partners. Value input and contributions. Thank community representatives for their participation, insights, ideas and opinions.

9. TALK OFTEN: Maintain open communication with the community group or collaborative which the representative represents; request and offer suggestions, guidance and feedback.

10. CONFIRM BENEFITS: Share quarterly data reports with community representatives and collaboratives. Provide information about how community members’ participation is impacting on lives of families and children from their community. Recognize community reps; celebrate progress publicly!

Ten ways to ensure effective community participation

http://www.f2f.ca.gov/res/10TipsForEnsuringEffective.pdf