PLA Notes CD-ROM 1988–2001

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15

A brief guide to the principles of PLA (I)

This section of the Notes provides training • The development of participatory

materials for participatory learning, exploring approaches
a different theme in each issue 1 . This issue
examines how to ensure that training in
participation covers more than the A brief history
methodologies, but includes some theoretical
and organisational issues. In recent years there has been a rapid
expansion of new participatory methods and
A key concern for trainers is that trainees approaches in the context of sustainable
should be aware that participation does not development. These have drawn on many
simply imply the mechanical application of a well-established traditions (such as activist
‘technique’ or method, but is instead part of a participatory research, agroecosystem analysis,
process of dialogue, action, analysis and applied anthropology, field research on
change. The roots of participatory methods and farming systems, rapid rural appraisal) that
approaches can be traced to many sources. have put participation, action research and
Diversity is part of their strength. This section adult education at the forefront of attempts to
provides a brief outline of the concepts central emancipate disempowered people. Make a
to participatory learning and action, together brief presentation of the history of
with training suggestions for how to share participatory approaches to trainees2 to
these ideas with trainees. It highlights the emphasise the diversity of approaches. Stress
emerging dangers and limitations, drawing out that in a growing number of government and
the key challenges that you, as a trainer, will non-government institutions, extractive
need to bring to the attention of trainees. research is being complemented, or even
replaced, by investigation and analysis by local
You may be tempted to present issues of people themselves.
institutional context, history, key principles,
theory and limitations in the form of lectures. Common principles
Although lectures are an important element of
any training course, they do have their The interactive involvement of many people in
limitations (see Trainers ... PLA Notes x). developing participatory approaches in
Remember to use buzz sessions and different institutional contexts has promoted
brainstorming techniques to enliven the debate innovation. There are many variations in the
and to enhance trainees’ learning. way that systems of interaction have been put
together. For example, Participatory Rural
Appraisal is one of the better-known
approaches and it is practised in over 130
countries. However, there are many different
approaches: this diversity and complexity is a
strength.

1
Taken from a Trainers Guide for Participatory
Learning and Action. Published by IIED. Price
2
£14.95, plus p&p (25% UK and Europe, 35% See Chambers, R. (1992). Rural Appraisal: Rapid,
airmail). See inside cover for details on how to Relaxed and Participatory. IDS Discussion Paper
order publications. 311, IDS, Brighton, UK for a review.
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Source: PLA Notes (1998), Issue 31, pp.78–80, IIED London
 PLA Notes CD-ROM 1988–2001
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Despite the different ways in which these triangulation by multiple sources, methods and
approaches are used, most share common investigators, and the need for prolonged an/or
principle s: intense engagement between various (groups)
of people to build rapport and trust, and keep
• A defined methodology and systematic the investigator open to multiple influences.
learning process: the focus is on Use of participatory methods without, for
cumulative learning by all the participants; example, triangulation and participant
• Multiple perspectives: a central objective is checking of constructed outputs, should be
to seek diversity, rather than simplify judged as untrustworthy.
complexity;
• Group learning process: all involve the Training suggestions:
recognition that the complexity of the 1. Brainstorm on what makes information and
world will only be revealed through group data trustworthy
How do we normally ensure trustworthiness?
analysis and interaction;
What criteria do we use to establish whether
• Context specific: the approaches are something is to be trusted or rejected?
flexible enough to be adapted to suit each 2. Small group discussions on participants’
new set of conditions and actors; own experiences of trustworthiness criteria.
• Facilitating experts and stakeholders: the Which criteria are most relevant or important?
methodology is concerned with the 3. Use a case study and/or video to analyse
transformation of existing activities to try other organisations experiences with
to improve people’s situation; and, establishing trustworthiness.
• Leading to change: the process of joint
analysis and dialogue helps to define • Types of ‘participation’ in
changes which would bring about development
improvement and seeks to motivate people
to take action to implement defined The term ‘participation’ has different
changes. meanings for different people. The term has
been used to build local capacity and self
Training suggestions: reliance, but also to justify the extension of
1. Encourage trainees to think of themselves state control. It has been used to devolve
as facilitators of other people’s learning, power and decision making away from
particularly when they get to the village or
external agencies, but also to justify external
urban neighbourhood.
2. Brainstorm on participation. decisions. It has been used for data collection
What does participation mean to you? and also for interactive analysis. There are
What are the advantages and disadvantages basically seven ways that development
of participation? organisatio ns interpret and use the term
3. Show a video of participatory methods in ‘participation’ (see Box 1). However, if the
use. objective is to achieve sustainable
Discuss positive issues and ways to improve development, then nothing less than functional
the approach shown. participation will suffice.
Criteria for trustworthine ss

It is common for trainers to be asked by

sceptical participants a question such as ‘but
how does it compare with the real data?’.
Many people assert that participatory methods
are ‘undisciplined’ and ‘sloppy’, and that their
‘subjective’ nature means that it is possible
only to respond to selected members of
communities.

In response to this, it is important that trainees

reflect on the data collection process and the
data themselves. Introduce the idea of

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Source: PLA Notes (1998), Issue 31, pp.78–80, IIED London
 PLA Notes CD-ROM 1988–2001
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BOX 1 It should always be qualified by reference to

A TYPOLOGY OF PARTICIPATION the type of participation, as most types will
threaten rather than support the goals of
1. Passive participation. People participate by sustainable development. What is important is
being told what is going to happen or what has to ensure that those using the term both clarify
already happened.
their specific application and define better
2. Participation in Information Gathering.
People participate by answering questions
ways of shifting from the more common
posed by extractive researchers using passive, consultative and incentive-driven
questionnaire surveys or similar approaches. participation towards the interactive end of the
People do not have the opportunity to spectrum.
influence proceedings.
3. Participation by consultation. External The dilemma for authorities is that they both
people listen to the views of local people. need and fear people’s participation. They
External professionals define both problems need people’s agreement and support, but they
and solutions, and may modify these in the fear that this wider involvement is less
light of people’s responses.
controllable, less precise and so likely to slow
4. Participation for material incentives. People
participate by providing resources, for example
down planning processes. But if this fear
labour, in return for food, cash or other permits only stage managed forms of
material incentives. People have no stake in participation, then distrust and alienation are
prolonging activities when the incentives end. the likely outcomes. This makes it all the more
5. Functional participation. People participate crucial that judgements can be made about the
by forming groups to meet predetermined type of participation in use.
objectives related to the project. Such
involvement tends to occur after major TRAINERS’ CHECKLIST
decisions have been made. These institutions
tend to be dependent on external initiators and • How will you draw out and build upon the
facilitators, but may become self-reliant. existing knowledge and experience of the
6. Interactive participation. People participate participants?
in joint analysis, which leads to action plans • How long to you plan to lecture before
and the formation of new local institutions or breaking up for buzz or brainstorm
the strengthening of existing ones. Groups
sessions, or for an energiser?
take over local decisions, and so people have
• Have you prepared any handouts ahead of
a stake in maintaining structures or practices.
time?
7. Self-Mobilisation. People participate by
• How will you encourage participants to
taking initiatives independent of external
develop a deeper understanding of the
institutions to change systems. They develop
word ‘participation’?
contacts with external organisations for
resources and technical advice they need, but
retain control over how resources are used. Next issue: Principles of PLA (II)

Training suggestions:
1. Ask participants to give examples from their
own work of different types of participation.
Why were they different?
What happened as a result?
2. One particularly important challenge for
trainers is to find ways of moving institutions
from the top half of the typology in Box 1
towards the bottom. Photocopy the typology
and hand it out.
Ask participants to brainstorm on the types of
processes that could help this transition.
What is needed? Who should be involved?
How long will it take? Which elements are
needed now, and which later?

Great care must therefore be taken with both

using and interpreting the term participation.

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Source: PLA Notes (1998), Issue 31, pp.78–80, IIED London