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Research Methodology Course

Action Research
Authored by
Prof. Vibhuti Patel, (Head, Department of conomics!
"#D$ %omen&s 'ni(ersity, "mt. #athibai Road, Mumbai)*+++,+
"tructure
1. Introduction
2. Aims and Objectives
3. Practical and strategic needs
4. Participatory tools
5. Participatory Research Methodologies
6. Rights-based Approach (RBA)
7. Possible Methods o participatory Research and !valuation
8. "eveloping Appropriate Results Indicators
9. #ummary and $onclusion
10. %erminal &uestions
11. #uggested Reading
-. .ntroduction
Action Research is a community based method' aimed at transorming the status (uo) It is
Participatory as this research sees the respondents as co-creators o *no+ledge and is potentially
empo+ering to the community) It places the research tool in the hands o the researched and
minimi,es the hierarchy bet+een the researched and the researcher) It enables the community to
identiy their +ants' their strengths and initiate change +ith the support o the researcher) %he
targeted community is involved in the identiication o the problem' the planning and e-ecution o
the project) #uch research can begin +ith consciousness raising discussions' identiication o
available resources to initiate change and initiating change through +hat is most important in terms
o creating space or participation in the research' is oten cited in research on participatory
development)
,. Aims and /b0ecti(es
Overall aims o the action research are to.
develop shared o+nership o the research/
enable other participants to direct the research process' have a say on +hat to do' and ho+/
create opportunities or collective data-gathering and analysis/
create space or participants to relect on the research and provide critical eedbac*/
build trust and non-threatening environment/
allo+ research to progress to+ard action and doing i desired by other participants)
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#uch attempts as these are made in participatory research so that the hierarchical relationships
associated +ith research 0 bet+een the researcher and those being researched can be bro*en
do+n)
1omen2s empo+erment is a central aim o eminist action research) $lose relationships bet+een
researchers and participants engaged in a eminist participatory action research project
have brought joy and insight' but also challenges) %hrough the project the research
team collaborates to enhance participants2 (uality o lie3careers and' among some'
develop eminist consciousness) %he methodological and ethical issues that derive
rom the closeness o the relationships bet+een many o the participants and
researchers also ma*e it imperative to e-plore their subjectivities' the issues associated
+ith interpreting participants2 stories' actions and conversations' the ris* o
perpetuating uncritical assimilation or ideological baggage' and the challenge o
matching practice +ith ideals o emancipation or all +omen)
1. Practical and strategic needs
$aroline Moser2s +or* on clariying a gender planning methodology provides deinitions that
distinguish bet+een practical and strategic gender needs)
Practical 4ender 5eeds are those that.
Women identify in their socially accepted roles in society. Practical gender needs do not
challenge the gender divisions of labour or women's subordinate position in society, although
rising out of them. Practical gender needs are a response to immediate perceived necessity,
identified within a specific context. (Moser' 6778' p9:)
According to Moser.
Strategic Gender Needs are the needs women identify because of their subordinate position
to men in their society... They relate to gender divisions of labour, power and control and may
include such issues as legal rights, domestic violence, equal wages and women's control over
their bodies. Meeting strategic gender needs helps women to achieve greater equality. (Moser'
6778' p87)
%he distinction bet+een these t+o types o needs can provide a useul tool to aid us in analysing
ho+ gender is being addressed in proposed policy or project interventions) )
*. Participatory tools
%he participatory tools used in the research are dra+n rom Power, Process and Participation
Tools for !hange) %hey appear to be some+hat similar to participatory rural appraisal (PRA)
techni(ues/ ho+ever' the tools shared in this unit have been speciically developed to address
gender and social stratiication)
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%he irst participatory tool that can be used +ith the small group o +omen is a popular tool
oten used at the beginning o a process) It is *no+n as landscape mapping' and is similar to
transect +al*s) %his e-ercise consisted in having a small group o the +omen ta*e us on a +al*
through an area +here each o the +omen meets their survival needs) In this e-ercise' the +omen
are as*ed to tell the researchers about their practical and strategic needs) %his is ollo+ed +ith an
e-ercise to map out this area +ith the same group o +omen)
%he second tool that can be used in the study is a modiied version o a lie-history intervie+'
conducted +ith at their homes) %hese intervie+s reveal a great deal about the bac*grounds o the
+omen' +hich enable the researchers to get to *no+ each o them on a more individual level) It
reveals inormation about their migration rom rural areas to the city' their educational
bac*grounds' +hen they started +or*ing in the city' their employment e-periences and much
more) ;lip-chart paper can be used so the +omen can see +hat is being +ritten) %his e-ercise
helps in preparing the chec*-list o the priorities)
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2. Participatory Research Methodologies
Innovative applications

Consciousness raising methods3 %his is a strategy that has gro+n out o eminist attempts to
understand +omen<s lived e-periences +ithin autonomous +omen<s groups) Because o eminist
disdain or hierarchies' there is no leader) #haring o ideas' e-periences' analytical vision ta*es place
in a non-threatening environment)
Group diaries3 It dra+s rom the psychological3literary techni(ues aimed at un-olding o streams o
consciousness) Anonymous entries are made in the dairy o the group) %hese recordings o stories'
anecdotes' recollection +ritten by the group may be discussed in group intervie+s and documented)
Dramatic role-play3 %his is an eective method that can trigger discussions in a group) By presenting
the issue under discussion in the orm o a drama' the researcher can get the group members to relect
on their attitudes and e-press them) %he process helps to generate consciousness on issues and enable
participants to introspect on their values and ideas)
Genealogy and network tracing3 =sed in biographical +ritings' this involves locating the history o a
+oman<s lie +ithin the conte-t o her relationships' riendships and origin)
Non-authoritative and neutral research3 %his techni(ue is useul in research that has to empo+er the
community) %his involves gathering data on issues that aect the community and then presented to
the targeted community' to ma*e sense o the evidence) !mphasis is placed on the respondents and on
subjectivity)
Conversation, dialogue3 %his techni(ue could be a ace to ace group discussion or on the internet) It
involves conversations and discussions across a +ide spectrum o e-group members) %he division
bet+een the researcher and the researched is minimi,ed) Based on the topic at hand discussions may
be triggered through the impersonation o historical persons or through ocused discussion on events
or issues) In the research process the lines bet+een the researcher and participants are blurred)
&uestions as*ed and ideas e-pressed are ree loating)
Using intuition or writing associatively. %hese are techni(ues that see* to uncover streams o
consciousness) %his uses a +ay o blended dreams' reading and thought in +hich the +riter appears in
a deep non-chronological' non-topical intuitive process) It is premised on the understanding that
language is male centered) It cannot e-press +omen<s e-periences) %hereore to uncover the many
layers o e-periences in +omen' it is necessary to brea* accepted norms o +riting and allo+ or a
ree lo+ o consciousness)
Identification instead of keeping distance3 Based on the eminist criti(ue o the notion o objectivity
in research' this techni(ue calls or empathy +ith the subject) It re(uires that the researcher sees
reality rom the standpoint o the researched and ma*es evident o her bias in her +riting so that the
reader appreciates the point o vie+ o the researched) %his is particularly useul in studying
marginali,ed groups +ho vie+points have rarely entered our theoretical rame+or*s)
Studying unplanned personal eperiences3 Personal e-periences' or e-ample' o illness or operation
(alone or +ith additional data)' is used as a basis o study)
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!hotography or talking)picture techni4ues3 %his involves a collection o pictures ta*en at certain
intervals to be used in an intervie+ *it) %hese duly categori,ed pictures used +ith the (uestionnaire
are useul to jolt memory) %his techni(ue has varieties o use) It can be part o a+areness generation
activities (+hich can be documented and presented as group<s diaries) or it could be used in oral
history3lie history narratives) ;amily albums or instance could elicit anecdotes and recollections)
%here can be other orms o analyses o these pictures in themselves)
Speaking freely into a tape recorder or answering long essay)type 4uestionnaires3 %his techni(ue
involves a set o (uestions sent to the respondent +ith instructions to record the ans+ers on tape)
"# Description
"eveloped in response to the >top-do+n? methodologies used or development research during
the 67@:s and 67A:s' Participatory Research Methodologies stress a >bottom-up? approach
guided by the principle o participation) Inluenced by social scientists rom the global south such
as Paulo ;reire' participatory approaches criti(ue research (and development in general) as
something that is >done to? people by governments' development agencies and international
54Os rom the global north) In response' these methodologies stress the importance o
recogni,ing that those +ho are the targets o research and development policies should have a say
in their ormulation and that local *no+ledge should be privileged) ;eminist researchers have
adapted many o these methods' and Participatory Research Methodologies are among the most
used in the ield o gender-speciic research)
Participatory Approaches have also been adapted or use in the monitoring and evaluation o
development programmes) #upporters o these approaches suggest that. ?Participation is the *ey
to sustainable development initiatives' since it +ill lead to building on e-isting potentials and
capacities' a greater sense o o+nership on the part o the sta*eholders' increased commitment to
the objectives and outcomes' longer term social sustainability' increased sel-help capacities'
stronger and more democratic institutions and partnerships)B (=5 I5#%RA1)
$# %ey !rinciples
>Bottom-up? approach applied to all development activities' including research and
programme design' implementation' monitoring and evaluation)
!mpo+erment through acilitation. #upporting capacity-building' especially among
marginali,ed peoples 0 to analy,e and improve their lives by validating and privileging
their e-periences and *no+ledge)
;acilitated dialogue. =sed to recogni,e the various +ays in +hich po+er operates)
Cin*ing the personal (e-periences) to the political in order to understand local level
problems as part o a larger political3theoretical conte-t' a process reerred to as
conscienti,ation)
%raditional and innovative methods. A combination o +ritten' oral and visual
communication methods are used in the design' implementation and documentation o
participatory research) Including. theatre and visual imagery' collectively +ritten songs'
cartoons' community meetings' community sel-portraits and videotape recordings)
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C# Gender perspectives
1omen +or*ing in gender and development have both criti(ued participatory approaches and
oered suggestions to strengthen their applicability to gender and other social dierences)
=se clear and commonly used terminology as conceptual clarity lays the basis or
practical application) Problematic terms such as 4ender' !mpo+erment' Participation' and
$ommunity need careul attention)
"evelop appropriate methodologies in each circumstance/ e)g) understand the practical
conditions that can aect +omen2s involvement)
!nsure that +omen have access to appropriate orms o e-pression to articulate their
needs' interests and concerns)
More ocus on developing inclusive methods that can analy,e gender)
4ender-sensitive participatory training must be developed to suit the structure and
objectives o speciic organi,ations)
#timulate continual critical relection and innovation +ithin organi,ations)
4ender-ocused and se--disaggregated monitoring is essential to ensure that men and
+omen2s perspectives have been incorporated into plans' and that these plans are
translated into action)
D# &ain Criti'ues
1hen used or the larger aims o development 0 driven primarily by a poverty-reduction
agenda 0 there is a heavy ocus on class-based analyses' rather than analyses that ta*e se-'
ethnicity' age' se-ual-orientation and other variables into account)
1hen gender is considered' it is oten conused +ith >+omen)? Additionally there is a
tendency to ocus on >+omen? as one homogeneous group)
Participatory research approaches are oten gender-neutral' +hich can mean that they do
little to address gender ine(uities unless the research e-pressly includes gender
considerations)
A restricted +ay o loo*ing at gender relations (i)e) solely bet+een spouses3partners) that
does not e-amine relations bet+een mother3son' ather3daughter' younger +omen3older
+omen' etc)
%endency to romantici,e both >local *no+ledge? and the idea o communities as socially
homogeneous and harmonious entities +ithout conlicting or mutually e-clusive interests)
An uncritical emphasis on the participation o local communities can replicate or
perpetuate ine(uitable status (uos' leaving the acilitator +ith little scope to +or* to+ards
changing gender ine(ualities)
Many aspects o gender discrimination are embedded traditions and belies that are
perceived by many communities as either biologically or divinely ordained 0 that is'
gender ine(ualities are not easily recogni,ed as something in need o change) DAE
(# (amples
%he ollo+ing are some commonly-used participatory approaches.
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Rapid Rural Appraisal (RRA)
Participatory Rural Appraisal (PRA)
Participatory Poverty Assessments (PPAs)
Participatory Action Research (PAR)
Participant Observer DFE
)# International institutions that have used the methodology include
Action Aid' $O5$!R5' International Institute or #ustainable "evelopment (II#")' =nited
5ations (=5"P' =5I;!M' ;AO' I5#%RA1)' O-am' =G "epartment or International
"evelopment (";I")' 1orld Ban*' #I"A
G# %ey tets and criti'ues
$orn+all' Andrea) >Ma*ing a "ierenceH 4ender and Participatory "evelopment)? I"#
"iscussion Paper 8FI' Brighton. Institute o "evelopment #tudies' J::6)
!strella' Marisol and Kohn 4aventa) >1ho $ounts RealityH Participatory Monitoring and
!valuation. A literature revie+)? I"# 1or*ing Paper F:' Brighton. Institute or
"evelopment #tudies)
;reire' Paulo) Pedagogy o the Oppressed) $ontinuum Publishing $ompany' 67F:/ --
!ducation or $ritical $onsciousness) 5e+ Lor*. #eabury Press' 67FI)
4uijt' Irene and Meera Gaul #hah) %he Myth o $ommunity. 4ender Issues in
Participatory "evelopment) Intermediate %echnology Publications' 677I)
Maguire' Patricia) "oing Participatory Research. A ;eminist Approach) Amherst' MA.
$entre or International !ducation' 67IF)
Muraleedharan' G) Participatory "evelopment. Issues and Cessons) 5e+ "elhi' #erials'
J::A)
Participation Po+er and #ocial $hange %eam' Marious documents and articles (see their
Participation Resource $entre)) Institute or "evelopment #tudies (I"#)' =niversity o
#usse-) Available online. +++)ids)ac)u*3ids3particip3
=5"P) 1ho are the (uestion-ma*ersH A Participatory !valuation Nandboo*) Available
rom. +++)undp)org3eo3documents3+ho)htm
Bridge) In Brie. 4ender and Participation) Bridge' Institute o "evelopment #tudies'
J::6) Available rom. +++)bridge)ids)ac)u*3dgb7)html
5. Rights)based Approach (R6A!
"# Description
Mar*ing a shit rom satisying basic needs (>needs-based? approach) to ulilling and securing
undamental human rights' the Oice o the =nited 5ations Nigh $ommissioner or Numan
Rights (ON$NR) has deined the Rights-Based Approach to development as a conceptual
rame+or* that integrates >the norms' standards and principles o the international human rights
system into the plans' policies and processes o development)? =nited 5ations Population ;und
(=5;PA) describes a rights-based approach as one that >strives to secure the reedom' +ell-being
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and dignity o all people every+here' +ithin the rame+or* o essential standards and principles'
duties and obligations)? "evelopment is conceived o as a right to be reali,ed rather than a need
to be ulilled 0 as such' individuals and groups are seen as >rights-holders? and governments and
non-state actors as >duty-bearers? +ith obligations)
$# %ey !rinciples
Although there is no universal rame+or* or a Rights-Based Approach' the ollo+ing principles
are common to this approach.
An e-plicit lin* to human rights (economic' social' civil' political and cultural)
$apacity-building (or the a+areness and reali,ation o rights)
Accountability
!mpo+erment
Participation
5on-discrimination and attention to vulnerable groups
C# Gender !erspectives
%here is also no one >ormula? or using the Rights-Based Approach as a gender research
methodology) Rather the approach should be vie+ed as a vision and set o tools to be used in
strategic +ays) 4enerally' a eminist interpretation o a rights-based approach or the purpose o
gendered research' policy and analysis includes.
A ocus on non-discrimination and gender e(uality
Recognition o the right to sel-deined' multiple identities (including gender' class'
ethnicity' se-uality and other variables)
$lear understanding o empo+erment and participation 0 and the application o these
principles throughout research' implementation' and evaluation processes
!mphasis on the social3collective 0 as +ell as the individual 0 nature o rights
Accountability o governments' bilateral and multilateral donors' private contractors'
54Os' etc) or respecting and +or*ing to strengthen human rights
%ransparent and comprehensive policy responses to the structural causes o a problem
(e)g) poverty) as +ell as its concrete maniestations
$oncrete and transparent legal responses to rights violations in the process o
development
Because human rights include economic' social' civil' political and cultural rights' the research
needed to provide a comprehensive analysis must be collected rom a variety o sources 0 using
(ualitative as +ell as (uantitative data) No+ever' because the rights-based approach stresses
participation and empo+erment' (ualitative methods are oten the most useul in terms o
ostering a strong sense o involvement and o+nership +ithin local communities)
D# &ain Criti'ues
%he historically problematic nature o +omen<s relationships to the state and to the la+
ma*es a >rights-based? approach diicult) %he state itsel oten ignores or +or*s against
+omen<s needs' rights and interests' and in some instances can be the main perpetrator o
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gender-based oppression or discrimination)
%he historic emphasis on civil and political rights has led to under-developed rame+or*s
or economic' social and cultural rights)
$ultural relativism inluences discussions on +omen<s human rights 0 or e-ample'
indigenous or certain religious principles regarding gender rights might conlict +ith the
?universal? human rights rame+or*)
An emphasis on highly-technical legal rame+or*s and language can sometimes +or*
against the idea o empo+erment' ma*ing the concept o human rights hard to understand
or the general public)
Accountability mechanisms tend to ocus on governments and individuals in the global
south leaving e+ mechanisms in place or governments' donor agencies' development
organi,ations and individual researchers rom the global north)
%he transormative potential o the rights-based approach is limited) %he >rights? in
(uestion must be secured through the dominant neo-liberal economic and social
rame+or* - meaning that certain >rights? may be secured' but the overall structure o
oppression and une(ual distribution is let intact)
(# (amples
A variety o methodologies can be combined or use under a rights-based approach' including.
Participatory Action Research
1omen<s !mpo+erment ;rame+or*
)# International institutions that have used the methodology include*
Association or 1omen2s Rights in "evelopment (A1I")' =nited 5ations Nigh $ommissioner
or Reugees (=5N$R)' =nited 5ations Population ;und (=5;PA)' ;AO' 1orld Ban*' #I"A'
";I"' $AR!' Action Aid
G# %ey +ets and Criti'ues
Association or 1omen<s Rights in "evelopment (A1I")) A Rights-Based Approach to
"evelopment' 1omen<s Rights and !conomic $hange' 5o 6' August J::J)
"uvvury' 5ata and Aanchal Gapur) J::A) A Rights-Based Approach to Reali,ing the
!conomic and #ocial Rights o Poor and Marginali,ed 1omen DonlineE) I$R1'
1ashington ")$) Available rom. +++)icr+)org3docs3J::AORights-
based!conand#ocial)pd
5yamu-Musembi' $elestine and Andrea $orn+all) J::9) 1hat is the Prights-based
approach< all aboutH Perspectives rom international development agencies) I"# 1or*ing
Paper J89) Institute or "evelopment #tudies' =niversity o #usse-) Available rom.
+++)ids)ac)u*3ids3boo*shop3+p3+pJ89)pd
=nited 5ations Nigh $ommissioner or Numan Rights) 1hat is a Rights-Based Approach
to "evelopmentH Available rom. +++)unhchr)ch3development3approaches-:9)html
7. Possible Methods of Participatory Research and (aluation
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"ocial gender analysis (#4A) ta*es project sta*eholders through a series o e-ercises that
analy,e the disadvantages aced by various groups in the project area and the resources and
strategies re(uired or them to achieve social sustainability) $lass' gender' access to and control
o resources' beneits rom participation' and lin*s bet+een local and national or global levels are
all *ey elements in #4A +or*shop discussions) %he #4A process results in a project strategy that
includes clear objectives' an implementation plan' and measures or monitoring and evaluation)
#4A is a gender-sensitive tool)
#ource. !d+ard %) Kac*son. Indicators o $hange. Results-Based Management and Participatory
!valuation' +++)idrc)ca3ev-II:AJ-J:6-6-"OO%OPI$)html

Another group o tools involves ield-based techni(ues) Perhaps the best *no+n o these
techni(ues is participatory rural appraisal (PRA)' +hich evolved rom rapid rural appraisal)
Originally developed or rural areas and arming systems by the Institute o "evelopment
#tudies in #usse-' !ngland' PRA has spread around the +orld to many other sectors' including
projects involving the urban poor) PRA employs group animation techni(ues and problem
analysis e-ercises to promote sharing o inormation and joint action among sta*eholders) %o this
end' PRA uses semi-structured intervie+s' ocus groups' +ealth ran*ing' community meetings'
needs assessment' mapping' transect +al*s' and other participant-observer techni(ues)
Another approach is participatory research or participatory action research (PR3PAR)'
representing (uite a dierent tradition) PR3PAR involves both +or*shops and ield+or*' but +ith
t+o elements that ma*e it distinct rom the other approaches) ;irst' PR3PAR ta*es a relatively
longer time to implementQmonths' even years' rather than days or +ee*s) #econd' PR3PAR
emphasi,es issues o power more than most other methods' in both its analysis and its action)
PR3PAR uses a more oppositional rame+or* vis-R-vis elites than other participatory methods'
+hich tend to try to co-opt elite involvement and acceptance)
Apart rom these distinctive eatures' PR3PAR ma*es use o a ull range o +or*shop acilitation
techni(ues' ield observation methods' and' particularly' group dialogue methods) Projects in this
tradition have also employed computeri,ed data analysis' oral history' popular theater and other
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media' and many other techni(ues) %he insider-outsider dialectic is monitored careully in
PR3PAR' +ith special eorts made to give voice to the insiders +ho are on the margins o local
communities) %he same obstacles aced by other approachesQ obstacles related to class' gender'
ethnicity' +ealth' and po+erQmust be continually addressed by PR3PAR' as +ell) PR3PAR is
oten carried out by social movements and re(uently has a longer-term goal o broader'
structural transormation)
#till another cluster o sel-assessment tools also uses both +or*shops and PRA techni(ues but
ocuses the analytic +or* on communities developing their o+n indices o development or
planning and impact assessment) In northern 4hana' or e-ample' a 5orth-#outh monitoring
team on a large rural development project developed a tool entitled the Millage "evelopment
$apacity Inde- (M"$I)) ;unded by the $I"A and the government o 4hana' this inde- +as
designed to ran* communities in the project area in terms o their perormance on poverty
indicators and on village development capacity indicators) Poverty indicators' or +hich data
+ere collected through household intervie+s' included saety o +ater sources' literacy rate' ood
security' and household e-penditure patterns) %he tool permits other relevant indicators to be
added' as appropriate to the project conte-t)
Millage development capacity indicators' the data or +hich +ere collected through *ey-person
intervie+s' ield observation' and ocus groups' included status o village organi,ation' previous
e-perience o the village in managing development interventions' level and types o village
cooperation and mutual aid' and the status o inrastructure and assets under village control' both
collectively and by individual residents) #ta*eholders participated in the process o allocating
scores on each o these indicators to the villages under study) Millage representatives then
revie+ed the indings o the M"$I e-ercise in a +or*shop' provided eedbac*' and discussed
action to be ta*en through the overall development project to redress +ea*nesses identiied in the
communities) #cores on the M"$I or each village +ere then trac*ed by monitoring teams over
time in order to assess progress)
%he same research team then developed a matri- or measuring the e-tent and nature o
partnership bet+een Arican and $anadian 54Os) A partnership and institution-building matri-
+as constructed' based on the e-perience o ten case study partnerships rom several sub regions
in Arica) %his matri- included indicators o the compatibility o the t+o partner-agencies'
operational principles' operational mechanisms' commitment' support modes' intervention
modes' outcomes' and sustainability o the partnership) "ata or these indicators +ere collected
through *ey-person intervie+s' document revie+' ield visits' and sta*eholder +or*shops and
meetings) ;urther +or* on this inde- has been carried out or additional $anadian-Arican 54O
partnerships)
8. De(eloping Appropriate Results .ndicators
Participatory planning and evaluation eorts demand simple' reliable indicators o development
results that are agreed to by participants and other sta*eholders) In the case o antipoverty'
human rights' and basic needs projects' the most crucial results indicators relate to money and
po+er) It is also important that these indicators o results be identiied at dierent levels. macro'
meso' and micro) Moreover' impact indicators should be emphasi,ed) Although they are the most
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diicult and comple- indicators to achieve' they are' ultimately' the most important tests o
+hether a development intervention has succeeded)
&icro-,evel Impact Indicators
Much +or* has been done on impact indicators o individual' household' business' and
community gains in income by the poor) One inding rom this +or* is that' even at the micro
level' there are multiple levelsQor sublevelsQ o impact) In rural development projects' or
e-ample' improved grain varieties and e-panded irrigation +or*s (inputs) may result in increases
in dry-season rice production (output)) #uch increased production is then sold' generating ne+
income or participating households (impact)) In turn' this ne+ income (an impact at another
level) is used to purchase rice-milling e(uipment' start a small *ios*' or construct a ne+ +ell
(impacts)' all o +hich could urther inluence the (uality o lie o the household) %hese
potential Bon+ardB impacts must be trac*ed in the uture' as +ell) #uch income gains may also
be used by households to pay user ees or village services such as schools' health clinics' or
mar*eting cooperatives' thus boosting inrastructure assets at the community levelQand serving
as inputs to those services)
Microcredit programs also involve multiple levels o impact) Coans and technical training
provided by such programs (inputs) can result in increased o+ner dra+ings through improved
proitability' e-panded sales' and commercial sustainability in participating micro businesses
(enterprise-level impacts)) In this +ay' very small enterprises create employment income or
individuals and households (inputs)' +hich generate multiplier eects in the community +hen
households purchase other goods and services and pay ta-es or user ees (impacts)) %he gro+th
o participating microenterprises may also oster the establishment o ne+ businesses by other
households to supply the successul enterprises in the program (A$$IO53$almeado+
;oundation 67II/ Ashe 677J' 677@/ Otero and Rhyne 6779)) And revenue accruing to each
community in +hich such programs are operated can reinvest ta-es and user ees in ne+
inrastructure' services' and training' thereby urther building the capacity o the community to
develop itsel)
Ci*e all development interventions' ho+ever' enterprise support programs must assess costs as
+ell as beneits) ;iscal cost-beneit studies see* to assess the return on ta-payer investment)
$osts include ta- credits and deductions as +ell as grants associated +ith the program under
study) A percentage o these costs can be allocated to the speciic enterprises assessed) Among
the beneits calculated or this type o analysis are increased ta- revenues rom the operations o
the enterprises that are attributable to program support and avoided income-support costs
(unemployment insurance' +elare)) In addition' ta- revenues rom the irms2 suppliers and
employees attributable to the support o the program are estimated) $omparing iscal costs and
beneits thus enables evaluators to estimate a paybac* period or overall public e-penditure on
the enterprises under study and' i desired' on the program as a +hole (Kac*son and Camontagne
677@)) Although this approach is obviously more appropriate to 5orthern conte-ts' it can be
adapted to developing country situations as +ell)
%he +or* o Moser (6778 in the ield o gender and development has generated useul micro-
level impact indicators on po+er in particular) %he gender and development approach is based on
12
an assessment o +omen2s practical and strategic needs' especially as indicated in gender roles in
both productive and reproductive +or* in the household and in managing the community)
Practical gender needs relate' or e-ample' to +omen2s access to ade(uate +ater supply' health
care' and employment) #trategic gender needs relate to the legal and property rights o +omen'
access to credit' e(uality o +ages' reedom rom domestic violence' and +omen2s control over
their bodies) As the impacts o development interventions yield positive impacts in these areas'
+omen2s po+er increases at all levels. in the household' in the community' in the nation)
&eso-,evel Impact Indicators
Increasing the income o the poor also demands impact assessment at the meso' or institutional'
level) Institutions promoting poverty alleviationQministries' 54Os' social movements' and
donor agenciesQmust build their o+n capacity to assist the poor in achieving gains in income
and po+er) All institutional assessments must include analysis o the e-ternal environment'
organi,ational motivation' organi,ational capacity' and organi,ational perormance) 1ith respect
to organi,ational perormance' some *ey impact indicators in antipoverty eorts include
inancial sustainability o the organi,ation as a +hole' sel-suiciency or sustainability o
poverty alleviation programs run by the institution' and the percentage o communities assisted
by the organi,ation that have moved rom being categori,ed as poor to being categori,ed as less
poor or moderately +ell-o) Other relevant indicators can include income per capita'
unemployment rates' and labor orce participation in the area served by the institution' as
measured over time)
%he relationship bet+een institutional capacity and perormance' on the one hand' and
community development capacity' on the other' must be assessed in detail) %he perceived
relevance o the services o the institution to its clients (or BcustomersB) is also a crucial actor
deserving careul study) ;urther' gender-disaggregated data must be collected or all indicators to
permit an assessment o the comparative gains made by men and +omen as a result o the
institution2s eorts to strengthen itsel)
In the ield o social development' O-am-=G has suggested that indicators o participatory
management structures and processes are especially relevant) #uch indicators include.
S !vidence o shared decision ma*ing among participants and sta/
S #igns o commitment among participants to the group2s goals and activities/
S !vidence o shared leadership/
S #igns o solidarity and cohesion/
S $apacity or sel-relection and critical analysis/ and
S $apacity to ta*e action in relation to problems identiied)
#uch indicators may be applied to test the perormance o development institutions' 54Os'
project management teams' and local-partner organi,ations (Marsden and Oa*ley 677:/
Marsden' Oa*ley' and Pratt 6779))
&acro-,evel Impact Indicators
13
All macro-level income gains by the poor can be measured by conventional indicators over time'
particularly gross domestic product (4"P) per capita) Other *ey indicators' some o +hich are
used to calculate the =nited 5ations "evelopment Programme (=5"P) Numan "evelopment
Inde-' include share o national income o the lo+est 9: percent o households/ percentage o the
population in absolute poverty/ and public e-penditures on social programs' health' and
education as a percentage o 4"P) Additional relevant indicators include daily calorie supply'
access to health services' and the prevalence o radios' telephones' and motor vehicles)
Other indicators can be assessed at the macro level as +ell) In some cases' ne+ policies and
legislation in avor o the poor can be attributed to the demonstration eects o antipoverty
projects or to the lobbying o 54Os' government ministries' donor agencies' and social
movements on behal o the poor) #uch programs may coner ne+ economic beneits (or
e-ample' ood prices' credit availability) or civil rights (or e-ample' the general right to
organi,e' +omen2s rights to o+n land or business assets)) %hese impacts' in turn' +ill serve as
BinputsB that can be transormed' at all levels' into urther gains in money and po+er or the poor)
Assessing +hether and ho+ such transormation occurs is an important tas*)
At the national level' research indicates that one year o schooling or girls or young +omen can
reduce the ertility rate by @ to 6: percent) Reduced ertility boosts economic gro+th rates on a
per capita basis) In addition' increased access to credit or +omen has been ound to do more to
reduce poverty and spur investment than does increased credit provision or men) At the macro
level' educational attainment' ertility rates' and access to credit are all important indicators o
gains in po+er and money by poor +omen and by +omen in general)
=seul +or* had been done on basic indicators o gains (or losses) in human rights in
development projects) 5or+ay2s Madsen (6776) developed guidelines or project design and
evaluation at the micro level that test project perormance against international conventions o
the Intentional Cabor Organi,ation (ICO)) %he speciic rights that Madsen recommends be tested
in this +ay relate to orced removals and resettlements o peoples' land rights' the right to
organi,e' child labor' orced labor' gender discrimination' conditions o employment (including
health and saety' as +ell as +or*er remuneration)' and the rights o participation) %he ICO and
some #candinavian aid agencies have included protections or some o these rights in project
agreements +ith #outhern government ministries and 5orthern consulting irms) %he 1orld
Ban*' the Asian "evelopment Ban*' and the Organi,ation or !conomic $ooperation and
"evelopment2s "evelopment Assistance $ommittee published speciic guidelines intended to
protect project participants against orced resettlement)
Madsen argues' as do most advocates o human rights generally' that project-levelQthat is'
usually micro-levelQperormance on human rights indicators must be tested against the
standards of international conventions and' i relevant' national la+s) %hus' human rights impact
assessment must necessarily be multilevel in nature)
;urthermore' it is li*ely that' among marginali,ed peoples +hose rights have been systematically
denied or centuries' impact assessment practitioners +ill need to educate project participants
about their rights +hile the research is being carried out) %here is a moral obligation to do so' as
+ell as a programmatic or proessional obligation) #uch an educational process can be acilitated
14
greatly by participatory assessment techni(ues' especially the direct representation o project
beneiciaries on assessment teams)
#outh Nouse !-change (#N!)' a consulting irm speciali,ing in human rights and development'
has authored a training curriculum based on case studies o 54O interventions in this ield) One
case study is about a project involving 4uatemalan reugees living in reugee camps in Me-ico
+ho are planning their return home) %rainees using the case study are as*ed to dra+ up a plan or
the reugees2 return/ the plan must set out the roles o the reugees' a local +omen2s 54O' and
oreign partner 54Os) %rainees are also as*ed to identiy indicators) Almost by deinition' such
indicators must.
Relate to gains or losses in human rights by the reugees and the local 54O' measured
through the application o international standards/
"isaggregate data by gender/
Assess the eectiveness o the intervention at the micro (individual) and meso (institutional)
levels in the #outh and at the meso level in the 5orth/ and
Pay special attention to impacts related to 54O capacity-building and 5orth-#outh
partnerships)
#uch multilevel' multidimensional impact assessment can be signiicantly enhanced by
participatory methods) %he participation o +omen reugees in a #outhern-led project evaluation
process +ould yield especially rich insights and also build additional project commitment and
capacity among participants)
9. "ummary and Conclusion
$learly' the potential (and the limitations) o the relationship bet+een participatory evaluation
and results-based management (RBM) is only beginning to be understood) It +ill be through
collective action and relection' globally and locally' that this area o development cooperation
practice can be advanced) %here +ill be pitalls and comple-ities) But substantive gains can be
made' especially i engaged practitioners are able to regularly e-change vie+s' e-periences' and
techni(ues at the country' regional' and global levels) 5et+or*s' ne+sletters' monographs' and
case studies +ould contribute much to this learning process)
Participatory evaluation can be compatible +ith results-based management) 1hereas advocates
and practitioners o RBM are not necessarily interested in participatory development approaches'
advocates and practitioners o participatory evaluation can ind productive +ays o blending
RBM into their +or*) %here is already an array o practical tools and indicators that can be
mobili,ed to this end) %he convergence o RBM and participatory development promises to be a
rich and creative site o development cooperation practice in the years ahead)
-+. $erminal :uestions
#. What are the Practical and strategic gender needs$
% &xplain Participatory 'esearch Methodologies.
8) "escribe possible methods o participatory research and evaluation
15
9) 1rite short notes on.
Rights-based Approach (RBA)
Participatory tools
"eveloping Appropriate Results Indicators
--. References3
"uvvury' 5ata and Gapur Aanchal (J::A) A Rights-Based Approach to Reali,ing the !conomic
and #ocial Rights o Poor and Marginali,ed 1omen DonlineE) I$R1' 1ashington ")$) Available
online. +++)icr+)org3docs3J::AORights-based!conand#ocial)pd
Gabeer' 5aila (6779) 'eversed 'ealities (ender )ierarchies in *evelopment Thought' Condon.
Merso)
Goshy' Malsa (J::@) Action research or Improving Practice-A Practical 4uide' "elhi. #age
Publication)
Mies' Maria (67I8) >%o+ards a Methodology or ;eminist Research? in 4loria Bo+les and
Renate Gline Theories of Women+s "tudies' Condon. Routledge and Gegan Paul)
Moser' $arolyn (6778) (ender Planning and *evelopment Theory, Practice and Training' 5e+
Lor*. Routledge)
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