WORLD BANK DISCUSSION PAPER NO. 423 Nork in progress WDP423 or public discussion May 2001 Participation in Project Preparation Lessons from World Bank-assisted Projects in India Trond Vedeld Recent World Bank Discussion Papers No. 348 Did External Barriers Cause the Marginalization of Suib-Saharan Africa in World Trade? Azita Amjadi Ulrich Reincke, and Alexander J. Yeats No. 349 Surveillance of Agricultural Price and Trade Policy in Latin America dutring Major Policy Reforms. Alberto Valdes No. 350 Who Benefitsfrom Putblic Education Spend'ing in Malawi: Resultsfrom the Recent Education Reform. Florencia Castro-Leal No. 351 From Universal Food Subsidies to a Self-Targeted Program: A Case Study in Tunisian Reform. Laura Tuck and Kathy Lindert No. 352 China's Urban Transport Development Strategy: Proceedings of a Symposium in Beijing, November 8-10, 1995. Edited by Stephen Stares and Liu Zhi No. 353 Telecommutnications Policies for Suib-Saharan Africa. Moharnmad A. 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Copyright © 2001 The International Bank for Reconstruction and Development/THE WORLD BANK 1818 H Street, N.W. Washington, D.C. 20433, U.S.A. All rights reserved Manufactured in the United States of America First printing May 2001 1 23404030201 Discussion Papers present results of country analysis or research that are circulated to encourage discussion and comment within the development community. The typescript of this paper therefore has not been prepared in accordance with the procedures appropriate to formal printed texts, and the World Bank accepts no responsibility for errors. Some sources cited in this paper may be informal documents that are not readily available. The findings, interpretations, and conclusions expressed in this paper are entirely those of the author(s) and should not be attributed in any manner to the World Bank, to its affiliated organizations, or to members of its Board of Executive Directors or the countries they represent. 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HG3881.5.W57 V43 2001 338.954'0068'4--dc2l 2001026283 Contents Foreword v Acknowledgments vii Abbreviations ix Executive Summary 1 1. Scope of the Study 5 SelectionofProjects 5 Definition of Terns 6 2. Methodology 7 Measuring Participation 7 Is Participation Intrinsically Valuable or Simply Instrumental to Obtaining Other Goals? 8 Lack of Conceptual Clarity about Participation 8 3. Improvements in Primary Beneficiary Participation 11 Increased Participation by Primary Beneficiaries 11 Increased Use of Social Assessment and Institutional Analysis 12 Differences in Participation across Sectors 13 lmproved Collaboration and Design through Greater Focus on Secondary Stakeholders 13 Increased Diversity of Secondary Stakeholders through Increased NGO Involvement 14 Lessons Learned from Other Donors 14 4. Impacts of Beneficiary Participation and Social Assessments on Design 17 5. Participation in Implementation: Success Stories from Andhra Pradesh 21 6. Shortcomings in Achieving Participation 23 Lack of Beneficiary Participation 23 Lack of Ownership and Commitment among Secondary Stakeholders 23 Lack of Gender Analysis and Consultation with Women and Scheduled Castes and Tribes 24 Lack of Private Sector Involvement 24 Limitations on NGO Involvement 25 Lack of Attention to Institutional Analysi s and Systematic Capacity Building 25 Problems Creating Sustainable Arenas for Communication and Learning 25 7. In-Country Constraints to Beneficiary Participation 27 T he Hierarchical Structure of Indian [nstitutions 27 Lack of Government Commitment and Institutional Capacity 28 Organizational, Professional, and Structural Diversity 28 Attitudes and Cultures of Bureaucrats 29 iii Lack of NGO Capacity to Manage Participatory Processes 30 Local Capacity Constraints 30 8. Institutional Constraints and the Role of the World Bank 33 Increasing the Capacity and Commitment of World Bank Teams 33 Improving the Management of the Participatory Process 34 Maintaining Beneficiary Interest through a Lengthy Planning Phase 35 Dealing with Staff Tumover and Creating Partnership Relationships 35 9. Conclusions and Operational Recommendations 37 Annexes Annex A. Assessment of Participation in Project Preparation, Based on Project Spreadsheets 41 Annex B. Assessment oflmpacts ofPrimary Beneficiary Participation on Design, Based on Proxy Indicators 51 Annex C. Participation in Andhra Pradesh 53 Annex D. Participation and Social Analysis/Social Assessment as an Iterative Process 60 Annex E. Assessing Participation in Project Preparation 61 Bibliography 63 List of Boxes Box 1. Conducting a Successful Beneficiary Participation: The Sodic Lands Reclamation II 12 Box 2. Identifying Interest Groups in Uttar Pradesh through Social Analysis 13 Box 3. Analyzing Institutions and Building Capacity in the Health Sector 13 Box 4. Involving Secondary Stakeholders in the Women and Child Development Project 14 Box 5. Identifying Local Willingness to Pay for Services in Karnataka Rural Water and Sanitation 17 Box 6. Using Social Assessment to Identify Tribal Peoples' Concerns in the District Primary Education II 18 List of Tables Table 1. Assessment of Design and Implementation of Selected Projects 18 Table B 1. Assessment of Impact of Primary Beneficiary Participation on Design, Based on Proxy Indicators (part one) 51 Table B2. Assessment of Impact of Primary Beneficiary Participation on Design, Based on Proxy Indicators (part two) 52 Table C l. Property Rights Associated with Status Positions under the Forest Institutional Reforms 58 Table C2. Nature of Investments, Viability, and Degree of External Dependence of Forest Protection Com mittees 59 iv Foreword This study examines participation and its implications more informed approaches to reorienting government for the planning and design of World Bank-assisted pro- institutions and encouraging adoption of enabling poli- grams. It will be of value to all development profession- cies. als interested in processes of participatory development, including front-line workers, practitioners, researchers, The study claims that a shift in attention is required- and policymakers. Bringing together a broad range of case from primary beneficiaries to a broader range of second- studies from a variety of sectors, including health, edu- ary stakeholders and to building partnerships as partici- cation, forestry, agriculture, andwater resources manage- pation is scaled up. Goverments should start to institu- ment, the study explores how participatory approaches tionalize participation by consulting and listening to gov- are used and are gradually being mainstreamed in India. emient employees, unions, farmers, industrialists, civil It identifies the factors and relationships that have sup- society groups, and the "voices of the poor." Both pri- ported and hindered participation. mary and secondary stakeholders have important inter- ests in project and policy formulation-and a right to be Participation in project planning increased during the heard. 1990s, reflecting changes in the ways of thinking ofboth government officials and World Bank staff. Several good Participation is about creating good and responsive gov- practice cases are presented in which participation suc- emnment and developing inclusive and effective institu- cessfully contributed to a focus on poverty reduction, tions at all levels of society. The challenge for the World decentralization, and community-based organizations. As Bank is to find ways to foster government commitment these cases show, social and institutional analysis were to participation and greater accountability and transpar- important tools for creating more extensive and system- ency in government relationships with stakeholders and atic participatory frameworks, as well as for developing civil society. Lynn Bennett SectorDirector Social Development South Asia Region v Acknowledgments To a large degree, this study is a result of document reviews, thanks are due to David Marsden and Malay Neerav for fieldwork, and help rendered by proj ect managers who were thorough reviews and for desktop editing by Jennifer willing to share information on participatory aspects ofthe Prochnow. Comments on particular sections were also project preparation process. The work was carried out un- made by Julia Falconer, I. Khan, N. K. Bandyopadhyay, der the general guidance of David Marsden of the World N. K. Jangira, Tawhid Nawaz, and Lars Lund. Bank's South Asia Sector, Social Development Unit (SASSD)in Washington. The request forthe workwas made The study was initially presented at a regional Social jointly by David Marsden and Ellen Schaengold, Team Assessment Workshop held by the Social Sector Unit, Leader, SocialDevelopmentUnit,NewDelhiOffice. South Asia Region inNew Delhi, February 8-10, 1999. Comments and viewpoints from the participants, in par- Constructive and valuable comments on the draft were ticular those ofthe staff ofthe Social Development Unit made by David Marsden, Ellen Schaengold, Hamdi Issa, in New Delhi, were incorporated and greatly contributed Pannesh Shah, and Warren A. Van Wicklin m. Special to the final product. vii Abbreviations DANIDA Danish International Development Agency DFID Department for International Development IPDP Indigenous Peoples Development Plan NGO Non-governmental organization O&M Operation and Maintenance UNICEF United Nations Children's Fund WHO World Health Organization ix Executive Summary This study assesses the extent to which the India pro- ings were also evident, including the weak quality ofpar- gram is meeting the Bank's objective of mainstreaming ticipation, the lack of gender sensitivity, the limited pri- participatory approaches in project preparation and de- vate sector and NGO/civil society involvement, and the sign. Ten projects, in which participation was an overall insufficient attention given to institutional analysis and project objective, were selected from a portfolio of about systematic organizational capacity strengthening. 80 projects appraised between 1990 and 1998. The projects were assumed to provide "good practice" les- Increased collaboration with primary stakeholders, ca- sons from a variety of social and natural resource man- pacity building, and empowerment did take place, how- agement sectors. The assessment was done through in- ever, and it proved critical to project progress, as village terviews and content analysis of project appraisal docu- operations were planned and local-level implementation ments and related documents from the project prepara- proceeded with the formation of community-based tion process. Fieldwork was carried out in two of the groups. Surprisingly, even in cases in which project plan- projects in Andhra Pradesh, India. ning did not involve primary beneficiaries directly to any large degree, project design turned out to be relatively Key Findings participatory. This reflected the existence of a variety of indirect mechanisms (lessons from other projects or do- Beneficiary participation was successful and contributed nors, results from social analysis, concerted efforts by to participatory designs in many projects. Social assess- informed project planners) that ensured a participatory ments were used more often and involvement of primary design. beneficiaries improved during the 1990s, reflecting a change in the ways of thinking of both Bank staff and The ultimate benefits from primary stakeholder partici- government officials. There was a significant improve- pation are difficult to assess at this stage, but there are ment in the work on participation, with a move from a many indications of more responsive approaches, more focus on social mitigation of potentially adverse impacts effective local resource management and capacity, and to proactive work with broader operational frameworks new client orientation of government organizations. In for participation in project planning. all ten projects studied, there was extensive consultation between the Bank preparation teams and secondary (in- Within the Bank this trend was manifested in the estab- stitutional) stakeholders. Consultation workshops and lishment of the Social Development Unit in New Delhi public hearings are now used more frequently in project in 1995 and dissemination of a strategy paperby the Bank- preparation. (Consultation processes with secondary wide Participatory Development Learning Group in 1994/ stakeholders and their impacts were documented and 95 (OED 1999; Van Wicklin III forthcoming). Direct ben- analyzed only to a limited extent, however.) eficiary participation was less common in strategy and policy formulation and more common in formulating lo- Key Operational Implications cal-level project approaches. Even so, in none of the project preparations did the level of primary beneficiary Several important lessons emerge from this study. Gov- participation really go beyond information sharing and emient commitment and ownership were found to be criti- consultation (except in pilot operations). Other shortcom- cal. Commitment by Bank teams was also found to matter. 1 Participation in Project Preparation: Lessons from World Bank-Assisted Projects in India And the potential of beneficiaries was found to be and confirmed that widespread consultation and empow- underutilized, as the experience inAndhra Pradesh shows. erment of beneficiary farmers was effective, was central to the projects' success. Social analysis of these pilot Government commitment and ownership is critical phases proved that past failures could be explained largely by extremely inefficient government agencies and prop- Lack of sufficient commitment by the government and erty rights institutions. project agencies emerged as the single greatest constraint 0 The lack of widespread participation of primary ben- to mainstreaming and institutionalizing participation in eficiaries in the preparation process was not crucial for the preparation process. The importance of commitment their participation and empowerment in later stages. It and ownership for empowering a wide variety of social was the involvement of primary beneficiaries in the pilot groups is illustrated by the property rights and institu- phase and early phases of implementation that convinced tional reforms of the irrigation and forestry sectors in high-level politicians and bureaucrats of the need for in- Andhra Pradesh. Assessments of these reform processes stitutional reform. At that stage, the executing agencies, revealed the inefficiencies of government departments backed by the Bank, took command over the process and and proved that farners possessed large underutilized made it their own. potentials in local resource management. As success in * The farmers organizations needed usufruct rights that terms of improved forest protection and irrigation man- agement became obvious, attitudes and institutional cul- were recognized in practice, not necessarily in formal rures started to change. law, as shown by the achievements of the forest protec- tion committees, which still operate without full legal Through a politically inspired "big bang" approach-and recognition. Formal legislation of usufruct rights to re- ag eadvice provided in the literature on . sources may in itself mean little for practical changes at against the participa ~~~the local level, where usufruct rights were needed that tion-more than 10,000 water user associations were cre- t ated in a single election; 6,000 forest protection commit- were easy to comprehend and adhered to in practice. The tees were formed more gradually. In the irrigation sector, process of creating a formal legal act for the water user this meant devolution of rights and responsibilities for associations did, however, provide the broad political thi ment evouton f rght an rsposiblites orcommitmnent necessar for transitions to begin. This pro- canal maintenance and water distribution from an ineffi- ces lso nce ary ghe legitiof to ber us pro cient Irrigation Department to newly created water user cess also increased the legitimacy of the water user asso- associations in a 4.8 million hectare area. The immediate tosi h yso oenetofcasadtepb effecsoiathios irnsfer8 miion rghectae tarmea. were immdiae lic. In the longer term, formal legal recognition is likely effects of this transfer of rights to farmnersweresign-to ensure higher commitment and investments both from cant improvements in canal maintenance, more equitable to ens from water distribution, a substantial increase in area irrigated, below and from above and the resolution of water distribution problems with The achievements in Andhra Pradesh over a short period fewer disputes. have gained political recognition throughout India, partly The two projects in the forestry and irrigation sectors of because the positive results are so visible and partly be- Andhra Pradesh provide important lessons: cause so many people have been reached. Evidence from several projects and states shows that the major threat to e In India, which is dominated by hierarchy and command sustained participatory reforms often comes from mid- systems, decentralization and empowerment of primary level bureaucracies and service organizations of state beneficiaries can fruitfully start from top-down initiatives employees. This underscores the importance of consult- and commitments among high-level political and bureau- ing with secondary stakeholders and the need to create cratic leaders. In fact, the resistance reform proposals met awareness and ownership among broader stakeholder from sector agencies in Andhra Pradesh could be over- groups, within as well as outside government. come only through strong commitment by the state leader- ship. Strategic efforts were required to gain wide political Commitment by Bank teams matters support for the reforms. Individual leadership mattered. * Both projects were scaled up from a pilot phase. This Positive participatory processes started with committed feature, which enhanced ownership among service staff Bank teams developing close relationships with individual 2 Executive Summary government staff and relevant project departments, often * Many of the management committees have taken re- on a personal basis. News about successful adoption of sponsibility for broader village affairs, and new informal participatory approaches spread rapidly and led to inter- links have been built with the local government nal discussion that convinced Bank teams of the useful- (panchayats). ness of such approaches. In several successful cases, the * Innovative monitoring systems ensure greater transpar- "footprints" of committed Bank staff were visible-in ency and accountabilitY in operations and limit the di- project documents, results of consultation workshops, and version of funds to rent-seeking officials and office bear- discussions with government staff. Frequently, the Bank ers in the management committees. preparation team used its knowledge and influence to convince the government to accept reform agendas and Farmers have proved to possess underutilized potential new participatory approaches in the projects. Such influ- in resource management, which was released only ence typically led to more participatory approaches to through strong political commitments to legal and prop- education, health, forestry, and irrigation policies and erty rights reforms. The broad-based consultation and programs. Reform processes were gradually reinforced participatory approach, in turn, built constituencies for or readapted by the relevant government departmenits as reform and mobilized important voter banks during the ownership to the approaches gained wider acceptance 1999 elections. If successfully followed up, these re- among mid-level staff. Several Bank-intemal factors af- form processes may well have major implications for fected the quality and institutionalization of participa- raising incomes among the poor and the urban middle tion such as variation in Bank team members' capacity class, through more effective supply of goods and ser- and commitment, time and resource constraints, weak- vices and savings from more rational government op- ness in application of participatory methods, procedural erations. Major obstacles will need to be overcome, rigidity and inflexible planning systems. however, to make the reforms effective and sustainable at the local level. The potential of beneficiaries is underutilized Despite constraints (in the form of bureaucratic mindsets Chalenges for Improving Management of Participation and practices), farmers organizations in Andhra Pradesh The study found that participation and social assessments have significantly increased the efficiency of forest and are increasingly recognized as important for the planning irrigation management. Large-scale, visible benefits are process. But management of these processes faces sev- being realized in terms of expansion of irrigated areas, eral challenges: increases in crop yields, growth of forests, and increased * Govemment clients as well as Bank staff need to be sale of forest products (bamboo, teak, bidi leaves). In the Governmen clien as we as Ban ta to be- farmers~ haervae.ustnilmngra come further convinced of the value of participation and process, farmers cave revealed sustantalial analysis. capacity and awareness. * Participatory methods and processes need to be refined These organizations share several characteristics: and adapted to the social and institutional context. Spe- * They form around economic activities with greatpotential. cifically, these processes need to be made simpler, less * A majority of the management comimittees have been time consuming, and more cost-effective without com- elce unajoritymously, managentedby comilageeldrs ha n apromising quality. More focus should be placed on the elected unanimously, appointed by village elders in a negotiation process between planners and people through general assembly. consultation. 0 The management committees are fairly representative; o Time and budget constraints related to participation according to local surveys, they have not been captured need to be addressed by both government planners and by wealthy farmers (although most of the presidents are Bank staff. from high castes). * Social targets need to become a focus of monitoring 0 Elections have led to a new rural leadership-younger, and evaluation systems, which tend to be preoccupied more democratic in structure, and more geared toward with financial and physical targets. development; women play important roles in the forest proecio cmite. * Local constraints that limit the capacity of local corn- protection committees. 3 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India munities to seize new opportunities provided by partici- cally, as a requirement for the Bank, with weak analysis of patory programs need to receive greater attention in plan- stakeholder interests and institutional arrangements. ning and implementation. * Participation needs to be considered within a broader More effective management of the social assessment pro- framework of creating local capacity and empowerment, cesses within the Bank requires greater focus on critical and it needs to be placed within a national institutional self-analysis, awareness and adoption of values, and meth- ods and behavior that would give a fillip to participation. context. Efforts are needed to institutionalize good quality par- * Management of the social assessment process needs ticipation in project operations by tightening the focus to become more effective and operationally focused. on organizational learning, participatory monitoring, and Too often, social assessments are carried out mechani- professional skills. 4 1. Scope of the Study This study assesses the extent to which the India pro- * Factors and relationships that have supported or con- gram is meeting the World Bank's objective of strained participation by primary stakeholders. mainstreaming participatory approaches in project prepa- 0 Issues and opportunities to consider for the future and ration and design. The Bank defines participation as "a recommendations to ensure more effective primary ben- process through which stakeholders influence and share eficiary participation. control over development initiatives, decisions, and re- sources that affect them" (World Bank 1996). Participa- * The role of the World Bank. tion so defined is not a static input or component but an ongoing and dynamic process. Ten projects for which participation was included as an overall project objective (not just for resettlement or en- Participation is often a confused and contradictory pro- vironmental objectives) were selected out of a portfolio cess, in which different factors and relationships may of about 80 projects appraised between 1990 and 1998. work in different directions and with different outcomes (An overview of each project is included in annex A). for diverse social groups. It is not an easily measurable The selected projects included the following: process. Despite a lack of quantitative evidence, how- * Integrated Watershed Development I (1990) ever, it is widely held, both within and outside the Bank, * Karnataka Rural Water and Sanitation (1993) that participation of primary stakeholders (beneficiaries) * Andhra Pradesh Forestry (1994) can help increase the relevance and quality of project design, foster ownership and commitment, and build con- S Cataract Blindness Control (1994) sensus about project operations. The assumption is that * Orissa Water Resources Development (1995) involving beneficiaries at an early stage, projects will * District Primary Education 11 (1996) better ensure that goals and strategies respond to their priorities and interests (Colletta and Perkins 1995; Norton *Andhra Pradesh Irrigation III (1997) and Stephens 1995; Chambers 1997; Cernea and Kudat * Uttar Pradesh Diversified Agricultural Support (1997) 1997b; Blackburn 1998; Holland 1998; Salmen 1998a, * Women and Child Development (1998) 1998b; Aycrigg 1998; Robb 1998). * Uttar Pradesh Sodic Lands Reclamation 11 (1998) Selection of Projects The projects were supposed to provide "good practice" The study analyzes beneficiary participation in ten lessons and insight into the ways in which participation projects in the India portfolio in order to assess the ex- has been addressed, not necessarily "best practices." The tent of participation in preparation of Bank-assisted aim was to develop an informed and valid assessment, projects there. Specifically it seeks to identify: not to establish precise causal relationships between ben- prjc there.entsi Specifricghal eficiary participation and project preparation. The sample 6 Achievements in ensuring that primary stakeholders have is not representative for each of the sectors, but it pro- participated in the preparatory stages and the impact of vides sufficient coverage across sectors to allow assess- such participation on the preparation and design process. ment of participation in the India program. The idea was * Shortcomings and failures in attempting to include pri- to learn from these experiences rather than provide an mary stakeholders and ensure their effective participation. overall evaluation of project or sector performance. 5 Participation in Project Preparation: Lessons from World Bank-Assisted Projects in India The preparation period is typically defined as the period the local government, NGOs, academic institutions, other up to the finalization of the Project Appraisal Document. donors, and organizations and individuals with varied In reality, the project preparation period is often not interests in the project (private sector and civil society clearly defined. Sometimes it starts toward the end of the groups). previous project; often it continues into the implementa- S Institutions are rule systems, norms, and regularized tion phase. This has become a common practice, as read- justments are made during the life of the project, particu- A o larly at mid-term review. * Organizations are groups of actors with common ob- jectives that are conditioned by or conform to institu- With participation as an overall project objective, one tions.' would expect that the level of participation should involve * Property rights or property rights institutions or re- at least collaborative decisionmaking and some degree of gimes are legitimate systems of rules, norms, and regu- shared control over the development initiative, not just larized practices that affect who has access and control information sharing and consultation. As the project moves of benefit streams from resources, goods, or services.2 into the implementation phase, a gradual transfer of more control over decisionmaking and resources (empowerment) Notes is one key requirement for approaches to be considered as participatory in the context of this study. 1. Institutions and organizations can be formal or informal; they can enable or constrain participation. They exist at various levels of so- cial organization, from local to intemational. They are interpreted Definition of Terms differently by diverse actors and at different levels of society. Insti- tutions and organizations are conditioned by history (path depen- Several terrns are used in this study: dent) and the socialization of the actors involved (identity and sta- tus). They are formed through interactions of bottom-up and top- * Beneficiaries represent the government's immediate down processes. Bottom-up processes relate to innovation; demand clients and the Bank's ultimate clients. (for new land or secure rights, for example); bargaining; exchange in the market; and adoption of new technology. Demand may or * Stakeholders are the individuals or groups who affect may not be met by supply processes set in motion by authority struc- or are affected by the development interventions. tures; provision or imposition of new policies, laws, or administra- * Primary stakeholders (also known as primary beneft- tive rules and regulations; enforcement through legitimate authority orpower; facilitation of information; and diffusion ofnew ideas and ciaries) are the men and women, communities, or com- values. munity-based organizations expected to benefit from the pzroject. Primary stakeholders can also include people 2. Property rights determine the allocation of wealth, power, and status in a society. They can facilitate or constrain (participatory) adversely affected by the project. action. Property is not to be understood as an object but rather as a a Secondary, or institutional, stakeholders involved in social relation, a benefit stream. A property right is a claim to a the implementation of the project include the central gov- benefit stream that some higher body-a local committee or the state-agrees to protect through the assignment of duty to others to emnment (the borrower), the line ministries and agencies, observe the claim. 6 2. Methodology This study is based on systematic qualitative analysis of als and reforms of institutional and policy arrangements. data across projects, mainly through analysis of Project The study focuses on the two case studies from Andhra Appraisal Documents and related documents from the Pradesh, where consultation with secondary stakehold- project preparation process (social assessments, reports ers, especially between state agencies and the Bank, was from meetings and workshops, supervision reports, ar- key to the successful adoption of new strategies. The as- ticles). Interviews were conducted with key players and sessment considers how much stakeholder involvement project managers involved in project preparation, especially is realistic in India. the Bank's social development specialists and task man- agers.' A focus group discussion was held with NGO rep- Because the study is concemed with planning, and not resentatives. Field visits were made to two projects (Andhra implementation, it could not use proxy indicators for mea- Pradesh Forestry and Andhra Pradesh Irrigation 111), where suring changes in distribution of endowments and benefits focus group discussions, project site visits, and interviews or improvements in livelihoods. Instead, it focused on in- were conducted. From the analysis of project spreadsheets, direct factors or relationships, including the following: the degree of effective participation in the project plan- * The way participatory methods, such as workshops and ning process was rated (see annex A). participatory rural assessments of various kinds, were employed and whether a variety of primary beneficiary Measuring Participation groups were included and took part in negotiations about project formulation There are no commonly agreed on indicators for measur- * The level of primary stakeholder participation in terms ing successful participation, because the key processes of information sharing, consultation, collaboration, and and impacts are not amenable to indicators. There is even empowerment. less agreement on the way in which participation can * The use of beneficiary assessments, social analyses, or be measured in the preparation phase. How is it pos- social assessments to increase understanding of diverse sible to measure whether the primary stakeholders in- stakeholder interests and values. volved have been fairly represented or whether the mem- *Adjustments in design to meet the needs and demands bers of a community-based organization who have par- of marginal groups. ticipated on a project have truly collaborated or become ° use o ups. empowered? How is it possible to measure whether the * The use of instltutional analysis of secondary stake- level of participation of a social group affects project holders and the relationships among them, including an design or whether consultation with an organization assessment of the commitment and capability of the or- leads to a higher level of commitment? How can one ganizations and executing agencies to provide and dis- distinguish the effects on project design of direct ben- tribute resources and services to primary beneficiaries eficiary participation from the more indirect methods and empower them through property rights and institu- of social assessments, when these methods are closely tional reforms. integrated? 0 The inclusion of lessons learned from other projects and the relation to the goals and strategies of the country An attempt is made to show how the direct and indirect economic and sector work. processes of interaction and inclusion of primary benefi- *The degree of commitment by Bank teams, in terms of ciaries have created support for specific project propos- experience and indications of participatory design. 7 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India The effects of participation on the design were then as- and trainers, organize themselves, and negotiate resolu- sessed through indirect indicators related to explicit in- tion of conflicts" (]997, p. 210). According to Chambers, tegration of and sensitivity to gender and the role of this is the process that should be started on a wide scale at women; vulnerable groups, including scheduled castes the project preparation stage. and tribes; establishment of community-based organiza- tions and the use of NGOs; poverty and income genera- A more realistic approach in an Indian context is the instru- tion for poor and vulnerable groups; local capacity and mental view of participation, which perceives participation frameworks for participation and decentralized capacity as a means of achieving certain other goals, such as improv- building; government capacity and plans for systematic ing the quality, effectiveness, and sustainability of projects institutional strengthening; and viability and institution- (OED 1999; World Bank 1996). An effective participatory alization of the participatory process. These relationships planning process would entail extensive consultation with were considered central to the Bank's approach to par- primary beneficiaries, and it would implicitly or explicitly ticipation. result in their endorsement of project objectives and strate- gies so that they reflect concerns voiced by the poor. The Poor people were often not informed about alternative preparation process would involve social analysis that sys- choices and did not necessarily believe they had choices tematically increases understanding of the poor and the in- or power to change their lives through participation. A stitutions with which they interact or are embedded (Norton key question asked in this study is how the preparation and Stephens 1995). Participation would include large process seemed to give voice to the poor and reflected a enough numbers and representative enough types ofprimary design that was likely to empower poor people and in- beneficiary groups so that their input could inform the prepa- crease civic engagement. ration process and management decisionmaking about de- sign and implementation (Salmen 1 998a). Is Participation Intrinsically Valuable or Simply In- strumental to Obtaining Other Goals? The instrumental view of participation is in line with current mainstream thinking in the Bank on participa- Assessing participation is difficult, because it can be tion. The intrinsic value view is gaining increasing ac- viewed either as intrinsically valuable or as simply in- ceptance, through adoption of extended frameworks for strumental to obtaining other goals. Different interests attacking poverty related to empowerment, vulnerabil- are also related to these perspectives and to views on what ity, and opportunity (World Bank 2000a). successful participation entails (Estrella 2000; Blackburn 1998; OED 1999; Sachs 1996; World Bank 1996; Views about participation often do not reflect the fact that Picciotto 1992). participation is a process that is negotiated in many arenas of society. In preparing projects it is important to distin- Ideally, beneficiary participation can be conceived as an guish among participation in political decisionmaking, ad- end in itself, as something that has intrinsic value. Accord- ministration, legal affairs, economic markets, and cultural ing to this view, participation is a social and political pro- institutions. Decisionmaking in each domain affects people's cess that has a bearing on all relationships between people capacity to participate in different ways; each domain is of- and institutions in society. Such a view would require plan- ten affected by a project in one way or the other. The social ners and policymakers to become facilitators who enable institutions concerned, which have evolved through history, the poor and the weak to gain skills, confidence, and knowl- are deeply embedded in institutional structures (authority, edge in order to develop the capacity to develop them- nonns, rules, customs), which are slow or difficult to change. selves. A top-down initiative would be turned into a bot- Reforms of formal or legal structures, for example, do not tom-up empowerment process, a process that gradually necessarily change local practice, which is embedded in in- provides an increasing number of poor people with more fornal norns and customs. influence and control over decisions and resources affect- ing their lives in many arenas of society. Power would be Lack of Conceptual Clarity about Participation understood as an asset, as a means to getting things done. In Chamber's words, "They (the weak) then analyze, moni- Related to these different views of participation is the tor and evaluate, make presentations, become consultants fact that conceptual clarity as to just what participation 8 Methodology is has not yet been achieved, either within or outside cient forest management, while forest officers may the Bank. The lack of clear concepts compounds prob- perceive these transitions as threats related to loss of lems arising from the fact that participation is perceived control, benefit opportunities, and perhaps their jobs. differently depending on the stakeholder's position in Irrigation engineers may attach less importance to par- society, institutional affiliation, and profession. A poor ticipation than social scientists or ecologists. The world female farmer and a male project manager have dif- views and mindsets of diverse stakeholders must be ferent views of participation. Project managers, espe- appreciated and negotiated if sound strategies and com- cially in the government, still commonly use partici- promises are to be reached. pation to refer to all forms of consultation, with pri- mary as well as secondary stakeholders. Bank project Notes managers may perceive the downsizing and reforms of forestry departments and turnover of responsibility 1. To some extent, the study reflects the Bank's point of view, as it is to local farmers as mechanisms to obtain more effi- based on a limited number of interviews with primary beneficiaries. 9 3. Improvements in Primary Beneficiary Participation The 10 projects reviewed reveal a clear trend toward more depth and breath of participation (especially in pilot support for participation and a change in focus from so- phases), and a larger variety and mix of methods and tools. cial mitigation to development and decentralized capac- In all projects there is a focus on devolving resource ity building. Projects designs are addressing participa- management and service delivery to community-based tion more systematically and more effectively over time. organizations and decentralized centers. All projects have However, as this study shows, the direct involvement of a clear poverty focus that includes efforts to reach poor large numbers of beneficiaries is not necessarily the key people, women, scheduled castes, and tribal groups. factor that guarantees a successful participatory design or a design that leads to successful and participatory Qualitative assessment of earlier phases of the same type implementation (Narayan and Nyamwaya 1996). It is ofprojects confirms the greater level ofparticipation. This primarily in the implementation phase that weakness in perception of increased participation is also consistent participatory design reveals itself. with the fact that between FY94 and FY98, India ranked second in the world in terms of the percentage of Bank- The 10 projects represent a diversity of sectors. Except assisted projects that listed community participation as for the District Primary Education II and Cataract Blind- an explicit goal, with 81 percent of projects doing so (Van ness Control Projects, all are integrated projects involv- Wicklin forthcoming). ing several sectors, many institutional stakeholders and beneficiaries, and large intervention zones. All of the The importance of participation can be seen by compar- projects are large and complex, requiring substantial time ing the approaches of the Integrated Watershed Develop- and input in the preparation phases. ' The average project ment I, appraised in 1990, and the Uttar Pradesh Sodic costs are about US$270 million, with an average Bank Lands Reclamation ll, appraised in 1998. The Integrated loan of about US$190 million and an average govern- Watershed Development I was driven mainly by techni- ment contribution of about 30 percent. cal approaches to soil conservation. The Sodic Lands II was prepared over a longer time period and included a The projects, prepared and appraised between 1990 and pilot phase, more capable and committed project and state 1998 (five before 1995 and five after), are in various agencies, a more committed Bank team, a more system- stages of implementation. All preparations, except that atic approach to the creation of community-based orga- for the Integrated Watershed Development I Project (ap- nizations and institutional strengthening at various lev- praised in 1990), involved some form of social analysis. els, and the use of a variety of participatory mechanisms Three projects included a complete social assessment; and of social analysis. Under this project, beneficiaries two projects included resettlement and rehabilitation com- became landowners of the reclaimed land (box 1). ponent. Two of the "best practice" project preparations in terms Increased Participation by Primary Beneficiaries of primary beneficiary participation are the Karnataka Rural Water and Sanitation (appraised in 1993) and the Social analysis is more common today than in it was in Uttar Pradesh Sodic Land Reclamation II. Both involved 1990, both within and across sectors. There is more sys- pilot phases that increased the time and opportunity for tematic use and integration of social analysis, greater beneficiary participation. Both showed how extensive 11 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India participation by primary beneficiaries-achieved through justed the participatory process identified in the Project participatory rural assessments in about 30 villages, com- Appraisal Documents to local conditions as implementa- bined with a social analysis and lessons learned from a tion proceeded, developing innovative participatory moni- pilot phase- resulted in projects that were very partici- toring systems. patory in design and sensitive to institutional capacity building and inclusiveness at all levels of society. Both Preparation of the Sodic Lands Reclamation II, led by a included extensive social analysis that revealed condi- capable executing agency, involved better institutional tions for participation of diverse stakeholders based on analysis. The Project Appraisal Document included a pro- decentralized and community-based approaches. Both ad- posal for an annual review of the participatory manage- ment approach of the executing agency. The project in- volved more systematic and complete social assessments Box 1. Conducting a Successful Beneficiary than did the Karnataka Rural Water and Sanitation, and Participation: Uttar Pradesh: Sodic Lands Reclamation II it used workshops and involved NGOs more extensively. The frpaefhUtPaeSdcaThe project was also based on a proven technology that The first phase of the Uttar Pradesh Sodic Lands Reclama- demonstrated visible yield increases from the first year tion project sought to increase agricultural production by oem entation.lI addiincto broadbae airect reclaiming sodic land that was mostly kept fallow as a re- of implementation. In addition to broad-based and direct sult of poorly managed water and soil. This pilot operation primary beneficiary participation, the use of social and rapidly gained farmers' support after it produced visible and institutional analysis by committed Bank teams and ad- significant yield. The pilot phase also created ownership of aptation of the approach through pilot operations are key the participatory process. factors that triggered acceptance of the participatory preparation process on the Indian side. Building on the encouraging results of the pilot phase and social assessments, the second phase of the project, Uttar When used appropriately, the social analysis underpin- Pradesh Sodic Lands Reclamating II (1998), sought to de- ning the preparation of the Project Appraisal Document centralize responsibility and build capacity among commu- stands out as a key mechanism for formulating participa- nity groups. The stakeholder analysis identified diverse in- tory a s and mechams for to the eed terest groups and small scattered farm plots, and it identified tory approaches and istitutions responsive to the needs the need for water user groups to cooperate in purchasing of a variety of stakeholders (box 2). In the Uttar Pradesh tubewell pumps and managing drainage work. The applica- Diversified Agricultural Support the results of the social tion of gypsum and improved water management were cen- analysis were combined with lessons from other projects. tral for leaching salts. In several cases, less intense participation in the prepara- tion phase was countered by more intensified participa- Today more than 150,000 families have been mobilized into tory efforts in the (early) implementation phase, when more than 12,000 water user groups across 300 villages. more local-level planning and implementation started. Nearly 50,000 landless laborers have been provided with land, and incomes have risen above targets. Two crops are Increased Use of Social Assessment and Institutional now harvested annually, and migration rates have fallen. Analysis The centrality of women in the rural economy was revealed through gender analysis based on participatory rural apprais- The use of social analysis and assessment in preparation als and focus groups. Thirty thousand women in Uttar became more extensive during the 1 990s. Since 1994 all Pradesh are involved in self-help groups, which obtain credit projects have carried out some form of social analysis. for microenterprises (animal husbandry, sewing, trading). Between 1994 and 1999, about 80 percent of the projects in the India portfolio conducted social assessments (Van Key to successful irnplementation has been farmers' access to Wicklin III Forthcoming). new land, the dramatic effects of land reclamation on yield and production, and the fact that new organizations have formed Social assessment facilitated the integration of the social around economic activities with large income potential. and stakeholder analysis with the design of the participa- Source: S. Satish 1999; personal communication, World tory approaches. More systematic participatory frame- Bank works evolved in some of the projects as the implemen- I tation proceeded. These assessments encouraged greater 12 Improvements in Primary Beneficiary Participation Box 2. Identifying Interest Groups in Uttar Pradesh ness Control (1994) with the Andhra Pradesh Forestry through Social Analysis (1994) and Uttar Pradesh Diversified Agricultural Sup- port (1997). The natural resource projects included no Social analysis in the Uttar Pradesh Diversified Agricul- systematic institutional analysis or plan for systematic tural Support project identified a range of social groups institutional capacity strengthening, focusing instead on with different interests in the project. Although primary ben- skills training. Aycrigg (1998) also found this cross- eficiary participation was limited in the preparation stage, sectoral differences in her Bank-wide review. the project adopted special measures to reach women and the landless. The participatory design included farners as- sociations and village extension agents, and it focused on The difference may be attributable to the nature of natural women and scheduled castes. Project components for these resource management projects, which lend themselves to groups focused on livestock raising, sericulture, and horti- beneficiary participation. It may also reflect the specific culture. A special study on child labor was also included to character of the three social sector projects reviewed. All find ways of addressing the issue (Salmen 1998b). are multistate projects, with millions of potential primary Source: Author's Compilation. beneficiaries, including children, the blind, and the socially weak. The service delivery institutions of the social sector NGO involvement, since NGOs often undertook the projects are critical to a client-oriented approach, and there- analysis. Social assessment also helped the planning pro- fore central to project analysis and design. cess focus more on poverty reduction, relationships be- tween field staff and beneficiaries, and institutional ca- The difference between the sectors may also reflect dif- pacity strengthening, at both the local and the project ferent historical traditions and focuses during planning. agency levels. This picture is, however, not uniform. The Uttar Pradesh Sodic Land Reclamnation 11 (1998), the latest of the natu- In general, integration of institutional analysis improved ral resources management project, made a good effort in during implementation. The social assessment processes both primary beneficiary involvement and institutional were uneven, however, and the institutional analysis and analysis, as well as in presenting a convincing plan for plans for systematic institutional strengthening of sev- institutional capacity strengthening. eral of the designs were not strong. In the two irrigation projects, the social analysis focused mainly on the re- Improved Collaboration and Design through Greater settlement and rehabilitation areas outside the comrnand Focus on Secondary Stakeholders areas of the project (although the pilot operation gradu- ally brought the institutional issues to the forefront of Secondary stakeholders participated extensively in the the preparation of the Andhra Pradesh Irrigation III preparation of all ten projects In fact, the Bank prepara- Project). Preparation of the Resettlement and Rehabili- tation Plan and the Indigenous Peoples Development Plan Box 3. Analyzing Institutions and Building Capacity in (IPDP) may have taken attention away from the social the Health Sector analysis of the broader stakeholder groups. In the Uttar Agricltura Suport Poject the The Project Appraisal Document of the Cataract Blindness Con- Pradesh Diversified Agcultural Support Project, (1994) does a goodjob ofintegrating insttional cones. social analysis of stakeholder views and interests was Throughout preparation, the government of India and the states good, but the institutional analysis was insufficient. involved agreed to shift policies toward decentralized services and the involvement of NGOs and the pnvate sector. Differences in Participation across Sectors This project is the first large health project in which the gov- The social sectors (health and education) seemed to pay emnment of India has invited states (and some NGOs) to take more attention to institutional analysis and institution an active part in planning. It included no primary benefi- building in an integrated and systematic manner than did ciary involvement in the preparation, however. Instead, the the natural resource sectors, but they appear to have paid design reflects extensive secondary stakeholder participa- less attention todirec. primarybention, through meetings and workshops, combined with les- less attention to direct primary beneficiary participation sosla, dfo ale rjcs (box 3). This difference can be seen by comparing the sons leared from earlier pronects. District Primary Education ll(1996) and Cataract Blind- I Source: Author's Compilation. 13 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India tion team typically spent much more time with secondary in the planning process. The extent of NGO involvement stakeholders than with primary beneficiaries. Consultation varied across sectors. Only the Cataract Blindness Con- and collaboration with the government have become more trol (1993) involved NGOs in planning to any significant intense and elaborate, involving a broader spectrum of degree. NGOs played only a minor role in irrigation and agencies and arenas (workshops, public hearings, semi- water sector projects, for example (except in the resettle- nars). Many of these consultation processes, including ment component). In the Andhra Pradesh Forestry Project, policy dialogue, are not reported in preparation documents. NGOs were involved only late in the project and only after forest officers on the ground became convinced of The preparation of the three social sector projects ap- their potential in local capacity building. More than 200 pears to have involved particularly intense consultations NGOs are currently operating in the project (Julia Fal- with key secondary stakeholders. This focus on second- coner, personal communication, World Bank, 1999). ary stakeholders perhaps reflects the centrality of the roles of the government of India and state governments in pre- NGOs have been particularly valuable in improving the paring externally funded projects. But it also mirrors the quality of participation and local capacity (for women role of the Bank and its concern with large and statewide and tribal groups, for example). Through the use of par- projects and policy dialogue. ticipatory methods in local planning, front-line workers, district agencies, and local governments have become in- There are several positive implications of increased stake- creasingly involved and listened to as project activities holder consultation. First, interviews carried out with In- are formulated. dian government officials and NGO representatives clearly reveal that they appreciate this greater involve- Lessons Learned from Other Donors ment. Attitudes toward the Bank have improved, which strengthens working relationships. NGO representatives Successful collaboration with other donors depended on encourage the Bank to involve them more closely, so that the personal capabilities and willingness of staff to ex- the two can jointly influence the government (see Van change ideas about participatory approaches. The Bank Wicklin forthcoming). Second, intense dialogue affects preparation team of the Karnataka Rural Water and Sani- policies and institutions as well as the acceptance of new tation, for example, drew on lessons learned by the staff participatory approaches-as it did in the two Andhra of a bilateral project supported by the Danish Intema- Pradesh projects, the Kamataka Rural Water and Sanita- tional Development Agency (DANIDA), which worked tion p, and each of the social sector projects (box 4). in depth on a small scale over some time. The approach of a smaller pilot experiment was replicated on a larger Increased Diversity of Secondary Stakeholders scale through Bank-assisted financing. The preparation through Increased NGO Involvement Box 4. Involving Secondary Stakeholders in the Women Before 1995 secondary stakeholders consulted were and Child Development Project mainly the central government of India and state govern- ment agencies. Since 1996 a greater diversity of NGOs The WJomen and Child Development (1998) involved intense and academic institutions training centers and consult- and strategic discussions with secondary stakeholders, con- and academiinstittions,rainingcent, anducted over an extended period of time through social assess- ants has been involved in project preparation and opera- ment and sharing workshops. This involvement initiated an in- tions. In recent years, India has had more projects with novative reform process and resulted in less top-down plan- NGO and community-based organization participation in ning than has been typical in these projects, which have often Bank-assisted projects than any other country (Van been used to create political support in rural villages. A recent Wicklin forthcoming), reflecting the large NGO commu- workshop involving state representatives, Bank representatives, nity, with proven, albeit variable, capacity. NGOs range UNICEF, and NGOs revealed diverse views on the project by from highly qualified consultants to advocacy organiza- different states involved and led to adoption of different ap- tions and lobbyists. proaches in each state and for different social groups based on the findings of the social analysis. A large training and capacity All 10 projects involved NGOs in some form, but more building component was included in the final stage. so as intermediaries in implementation, than as partners Source: Author's Compilation. 14 Improvements in Primary Beneficiary Participation of the Women and Child Development benefited from Notes close cooperation with UNICEF staff. The Cataract Blind- ness Control project adopted an approach and a technol- 1. Four projects-the three in irrigation and water management and ogy developed by staff of DANIDA, the WHO, and the one in primary education-involve particularly large costs, with NGOs. the two largest exceeding US$500 million. 15 4. Impacts of Beneficiary Participation and Social Assessment on Design The most important impact of the direct participation In the Cataract Blindness Control, social analysis identi- of primary beneficiaries on planning seems to have fied perceived constraints to access to services. As a re- been in increasing understanding of the local context, sult, a decentralized outreach approach was adopted that the diversity of stakeholders, and how stakeholders combined public awareness with greater availability and interact and relate to the wider institutional environ- easier access to surgery services. The project did not in- ment. Participation helped focus the poverty reduction volve primary beneficiaries directly in planning, but pri- strategies and develop decentralized approaches to mary beneficiaries affected the design indirectly, through community capacity building. It also revealed the ca- the social analysis. Social assessment also affected the pacity and interest of different community-based design of the District Primary Education II (box 6). groups for seizing new opportunities and taking on greater responsibility for resource management and The effects of broad-based primary beneficiary partici- local development. pation on preparation and design are neither clear cut nor easy to assess (table 1). Designs of some projects, such Successful stakeholder participation in the pilot phases as the Women and Child Development and the Cataract resulted in commitment to and ownership of reforms of policy, legal structures, and institutions in ways that devolve responsibility for public service delivery from Box 5. Identifying Local Willingness to Pay for Services line agencies to community-based organizations, in- in Karnataka Rural Water and Sanitation cluding forest protection committees, water user asso- A major breakthrough in the Kamataka Rural Water and Sani- ciations, village education committees, women's self- tation project came with a social analysis that revealed local help groups, and farmers associations. However, the residents' willingness to pay for water and to take more re- impact of direct primary beneficiary participation on sponsibility for the location and management ofwater pumps. design cannot be clearly distinguished from the im- Results from the social analysis were combined with les- pact of social analysis; the two processes go hand in sons learned by DANIDA pointing to the need to integrate hand. Beneficiary participation usually took place as water and sanitation and public awareness in the project. an integral part of the social analysis, through the so- The appraisal team convinced a reluctant state agency, domi- cial assessment process. nated by water and health engineers, to accept an innovative approach through a pilot phase with 10 schemes. The state Several cases show how project strategies were adapted govemment agreed to a full-fledged participatory approach. to the interests of a diversity of local stakeholders. In the Uttar Pradesh Diversified Agricultural Support project, NGOs, involved for the first time, proved to be critical to for example, the use of participatory rural assessments the successful implementation of the project. Local residents, identified the important roles played by women farmers. who perceved water as a free good to be provided by the As a result, training facilities were located close to government, needed to be convinced of the benefits of the project. Once certain villages had been convinced and started women. Both the Uttar Pradesh Sodic Lands Reclama- operating, others followed. The participatory aspects were tion II project and the Kamataka Rural Water and Sanita- thus critical to the project's success. tion project involved pilot phases, which provided time for combining social analysis and intensive participation Source: L. C. Lund and E. Schaengold, personal communi- and reformulation of project strategies (box 5). cation, 1999, World Bank 17 Participation in Project Preparation: Lessons from World Bank-Assisted Projects in India Blindness Control, have been participatory without ex- Box 6. Using Social Assessment to Identify Tribal tensive beneficiary participation. The Andhra Pradesh Peoples' Concerns in the District Primary Education II Forestry involved few primary beneficiaries in the prepa- ration phase and no extensive institutional analysis or A set of social studies initiated in the first phase of the District focus on systematic capacity building. Yet during early Primary Education 11 identified the need for educational pro- implementation, following some successful testing of the grams to address interrelated constraints on the availability joint forest management approach in the field, important and quality ofbasic educational services. The government had achievements emerged in terms of empowering farmers. mistakenly thought that tribal people did not like to send their Despite similar weaknesses in design, the Andhra Pradesh children to formal schools. In fact, as the beneficiary assess- Irrigation III succeeded in developing a participatory ap- ment showed, parents' safety concerns, especially for girls, proach to water management through a successful pilot were curbing school enrollment. As a result of the beneficiary proah t waer anaemet trouhimplementatpilon. assessment, new schools were placed in locations viewed as operation and follow-up in the early implementation. safe, and enrollment rose 74 percent (Salmen 1 998b). Some important lessons can be learned from these ex- The social analysis showed that local residents were as con- periences. First, primary beneficiary participation in the cemed about the low quality of school education as they preparation phase can be (or is likely to be) important for were about the cost of sending their children to school. This design and for participatory approaches employed in the raised the issue of improving the quality of teaching. field, but it is not crucial.' It may be more important to ensure extensive participation in the early phases of imple- The assessment also found that commnunity groups were will- mentation, when community-level planning is moe o in- ing to take greater part in the planning, management, and mentation, when community-level planning is more in- operation of schools. Establishment of village education com- tense. A main focus during planning and preparation mittees was therefore suggested, as well as involvement of should thus be on developing the ground rules for subse- NGOs for capacity building and monitoring (against the will quent engagement. Second, a well-prepared Project Ap- of many teachers and teacher organizations). praisal Document is no guarantee of successful imple- Source: Author's Compilation. mentation. Key obstacles to successful local-level plan- ning and implementation are often related to lack of gov- Less visible but nevertheless important effects of direct emnment capacity and political commitment and local- beneficiary participation often occur at local levels, level constraints. through the interaction between communities and exter- Table 1. Assessment of Design and Implementation of Selected Projects Intense Systematic beneficiary Good Good institutional Successful and participation participatory institutional strengthening participatory Project in design analysis in design implementation _reRaration Uttar Pradesh Sodic Lands Yes Yes Yes Yes Yes Reclamation 11 (1998) Women and Child Development No Yes Yes Yes n.a. (1998) Andhra Pradesh Irrigation Ill Yes' No' No No Yes (1997) Cataract Blindness Control (1994) No Yes Yes Yes Yes (with some reservations) Andhra Pradesh Forestry (1994) No Yes No No Yes Kamataka Rural Water and Yes Yes Yes No Yes Sanitation (1993) n.a. Not applicable - since implementation has not yet started. a. Project involved intense beneficiary participation in a successful pilot phase, undertaken as part of the project preparation. The participatory lessons from the pilot phase were not fully reflected in the design of the Project Appraisal Document, however. Source: Qualitative assessment based primarily on review of Project Appraisal Document. 18 Impacts of Beneficiary Participation and Social Assessment on Design nal project agents. In one village in the Kamataka Ru- proach to the project had a catalytic effect on resolu- ral Water and Sanitation, for example, three social fac- tion of local problems and establishment of new part- tions-partly political, partly caste based-could not nerships far beyond that intended (R. Mohan, personal agree on a common approach to the location and man- communication, World Bank, 1999). Such catalytic ef- agement of the new water and sanitation facilities to be fects of participation were also observed in several vil- provided by the project. Common agreement was a pre- lages visited in Andhra Pradesh that are participating in condition set by the government and the Bank for in- the forestry and irrigation projects. clusion in the project. On the last day of the project team's stay in the area, the three fractions managed to Notes agree, realizing that the project would not interfere with their own political disputes. The three factions later es- 1. It is worth noting that there are no cases among the ten projects tablished agreement in wider village affairs and im- studied of broad-based and intense participation and weak participa- proved governance of the village. The participatory ap- tory design. 19 5. Participation in Implementation: Success Stories from Andhra Pradesh To assess the process of participation in some depth in ate institutional and organizational transitions that help the early implementation phase, field work was under- educate and engage farmers in voicing their demands taken in the Andhra Pradesh Irrigation III (1997) and through political and bureaucratic channels and to en- Andhra Pradesh Forestry (1994) projects (see annex C). hance their capabilities to manage resources. Such po- The participatory process in Andhra Pradesh is unique, litical bargaining may, in turn, affect governance, prop- largely because of the degree of personal engagement of erty rights, and the allocation of wealth and status. Sys- the current chief minister and the commitment of gov- tems that foster transparency and resolution of conflict enment officers. The chief minister's ability to gain wide are part of this agenda. So is the exchange of experiences political support for these projects may well be the single with like-minded social groups and networking with wider most important factor responsible for the large-scale ini- associations. More organized communities are about the tial achievements in empowering beneficiaries, by estab- creation of social capital and more inclusive and account- lishing water user associations and forest protection corn- able organizations and institutions. mittees. The achievements of these projects are under- scored by the weaker achievements observed in projects The effects of the transfer of property rights to irrigation with similar designs in other states, where the govern- water management to 10,000 water user associations are ment was less committed. particularly striking. Data and observations from the first crop season suggest a substantial increase in irrigated area, Field assessment of participation in the two projects in improved equity in water distribution, and earlier water Andhra Pradesh paid particular attention to the follow- delivery in major schemes. Gross irrigated area on 12 ing features: major and medium-size schemes increased almost 10 * The emergence of local leadership and the representa- percent to 5.37 million acres (2.17 million hectares), up tion and participation of wider groups in decisionmaking. from an average of 4.86 million acres (1.96 million hect- * The increase in local capacities and access to new ares) in the previous three years (Oblitas and Peter 1999). knowledge. Field visits to the two projects, discussions with local * The effective operation and viability of the new com- fficials and a review of studies conducted as part of the munity-based groups as economic organizations and plat- a forms for civic engagement and learning. projects confirm that a large number of the water user * The institutionalization of participation and the degree AndhratPr adeh forest protection oni ttees frnc ed nll. of financial and managerial viability of the new organi- Many farners organizations have increased the efficiency zations, institutional networks, and arenas created for of forest and irrigation management significantly; large- communication. scale and visible benefits are being realized, with irri- * The degree of reorientation in institutional cultures of gated areas, crop yields and production, forests, and the the executing agencies in terms of attitudes, personal sale of forest products growing. behavior, skills, and capacities to reach and collaborate with marginal groups. In the Forestry Project, ajoint account system is used in which both the president of the forest protection com- The achievements of these two projects in increasing mittee and the forest officer need to go to the bank to participation are assessed in terms of their efforts to cre- sign a check. Decisions on work operations are made 21 Participation in Project Preparation: Lessons from World Bank-Assisted Projects in India jointly, with assistance and guidance provided by the for- Support for the programs may, however, be sustained be- est staff. An overview of the work carried out and a list yond the project period, for several reasons. First, the state of payments to each village worker are supposed to be government has already proved its commitment to both posted on the wall of the community hall. programs by mobilizing substantial funding from its own resources. Second, there are large potential financial sav- Joint management has increased people's understanding ings for the government through more effective and farm- of and interest in the program. There are encouraging level management. Reorientation of the bureaucracies and signs of a dynamic and wide farmers movement emerg- reforms of the property rights institutions have created win- ing from the combined efforts of the two programs and win situations. Third, the transformations these programs by the additional financial resources provided by a com- represent are so visible in terms of improved resource mitted government. management and income that it may be very difficult to retreat from them, even if the current chief minister is not Both programs are still at an early stage of implementa- re-elected. Fourth, the complementarity of the two pro- tion, however; the real test will come when support is grams in reaching a variety of social groups and different dramatically reduced, as project funding ceases (Oblitas agroecological regions makes the programs particularly and Peters 1999). The farmers organizations still rely on attractive, from the perspectives of both rural development external support for capacity strengthening, and few are and political mobilization (creation of large vote banks for yet economically or financially viable. politicians see annex C). 22 6. Shortcomings in Achieving Participation Several shortcomings were noted in the ten projects stud- mentation in all the Project Appraisal Documents; lack ied. These included lack of beneficiary participation in of commitment and institutional capacity is one of the preparation, lack of ownership and commitment among key project risks raised. Yet little systematic attention was secondary stakeholders, lack of gender analysis and con- paid to analyzing how such commitment emerged or how sultation with women and scheduled castes and tribes, it can be nurtured; government commitment is generally lack of private sector involvement, limitations on NGO taken for granted and not given the attention it deserves involvement, lack of attention to institutional analysis and in the institutional analysis. Such commitment is built systematic capacity building, and problems creating sus- through interactions with private and public actors at all tainable arenas for communication and learning. levels of society and in many arenas, especially within the political and administrative arenas. Lack of Beneficiary Participation The focus in the Project Appraisal Documents is mostly Despite significant achievements in participation, none of on documenting administrative and departmental capaci- the project planning processes moved beyond consultation ties; commitment by key political actors is underplayed. with primary beneficiaries to collaboration or empowennent But politicians-both those in office and those in oppo- (except to some degree in the four pilot phases), as inter- sition-can foster or hinder institutional reorientation and views with task managers and project documentation indi- reform. Compelling evidence from Andhra Pradesh sug- cate. Beneficiaries were more intensively consulted as com- gests that agreements among top-level politicians and munity-level planning started and project implementation administrative commitment were critical to gaining broad began. During planning and implementation, beneficiaries acceptance for controversial policy reforms. The chief were consulted regarding which project components they minister launched a set of conferences at the district and wished to take part in. They were also consulted on deci- national levels in order to gain acceptance among the sions about the location of new facilities, and they were political opposition, government officials and farmers for empowered through transfer of rights and responsibilities key reforms, such as a new farmers' management of irri- to community-based organizations. Beneficiaries seldom gation law and a tripling of irrigation water charges. He shared in decisions on the broader strategy or how they were did so in a relatively open and transparent manner, which to be empowered before appraisal, however. The broader has often not been the case when Bank-triggered reforms project strategy typically evolved from earlier lessons, ad- have been introduced. justed through social analysis and inputs from appraisal teams. This lack of beneficiary involvement is a major rea- It was recognized that only by improving income genera- son why most of the projects received ratings of "satisfac- tion in the water user associations could a new farmer- tory" to "marginally satisfactory" in overall achievements controlled irrigation management regime be built. Con- on beneficiary participation (see annexes A and B). vinced that a new regime would result in more reliable water supply and increase their incomes, farmers accepted Lack of Ownership and Commitment among a major increase in water charges, from Rs. 150 to Rs. Secondary Stakeholders 500 per acre of land irrigated. In contrast, in Orissa, where little transparency was involved in the political-adminis- Government commitment and buy-in to participation are trative decision to introduce a much smaller increase in considered central to successful preparation and imple- water charge (from Rs. 40 to Rs. 100 per acre), much 23 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India public discussion took place, and the government was of women beneficiaries was very weak during prepara- attacked daily in the media by the political opposition. tion. The design of the Uttar Pradesh Diversified Agri- cultural Support project was responsive to the needs of World Bank interference with governments and the build- women farmers, and several participatory elements were ing of commitment to policy reforms or new participa- included. The Andhra Pradesh Forestry integrated gen- tory approaches is tricky, however. Bank influence must der issues in the design, but follow-up in the field was be balanced against requirements for autonomy over and lacking, partly because the Forest Department was com- ownership of political processes related to the prepara- pletely dominated by male staff. The Uttar Pradesh Sodic tion process. As Stiglitz observed, effective change can- Lands Reclamation II was relatively sensitive to the prob- not be imposed from the outside: lems of women, but full awareness of the importance of women in production and land management developed At the heart of development is a change in ways of think- only late in the process, when a female researcher was ing, and individuals cannot be forced to change how they hired to conduct a gender analysis. In Orissa an interest- think. They can be forced to take certain actions. They ing experiment was initiated in the early implementation can even be forced to utter certain words. But they can- phase with the establishment of a water user association not be forced to change their hearts or minds (Stiglitz run by women. 1998, p. 20). Tribal and scheduled castes were specifically involved Interviews with project managers and consultants at state through the preparation of indigenous peoples develop- and lower levels clearly revealed a desire for more in- ment plans, such as in Andhra Pradesh Forestry, Cataract volvement and influence over the planning process by Blindness Control, Orissa Water Resources, District Pri- secondary beneficiaries. This was particularly true at the mary Education II, and Andhra Pradesh Irrigation III. lowest level, among front-line workers of the state agen- These plans were designed to address the specific prob- cies, but it was also voiced by representatives of NGOs. lems of these groups. Such plans were often not followed up by the state governments or projects concerned, how- A more strategic focus is needed to involve mid- and field- ever (as in Orissa). Consequently, important vulnerable level staff in ways that create ownership and capacity for groups were excluded from the development process. participatory approaches. These front-line workers are (Van Wicklin forthcoming provides a broader assessment key stakeholders, whose lack of adequate participation of the Bank's work on indigenous people and resettle- represents a shortcoming of these projects.' ment in India.) Lack of Gender Analysis and Consultation with Lack of Private Sector Involvement Women and Scheduled Castes and Tribes Another important weakness in most of the project prepa- Another important shortcoming was the lack of gender rations was the lack of involvement of the private sector analysis and consultation with women. Half of the projects in planning and implementation. This weakness was rec- studied were categorized as weak in this regard (rated ognized by project managers as a major flaw in the prepa- "marginally satisfactory" or "unsatisfactory"), half re- ration of the Cataract Blindness Control, where the pri- ceived "satisfactory" ratings. vate sector now accounts for two-thirds of the operations (often at prices that poor people cannot afford). In the The nature of these projects suggests that women are District Primary Education II, the private school sector likely to be among the key beneficiaries and contribu- was not involved, despite its rapid growth as an alterna- tors. Women are often active participants in participa- tive to overcrowded public schools and its potential for tory rural appraisal exercises as well as in community- undermining government schools. In Karnataka Water and based groups related to forest, water, and school man- Sanitation the use of private contractors for water supply agement. infrastructure improved only when more local contrac- tors were involved and people could check their work on The Women and Child Development project design re- a more daily basis. In the Andhra Pradesh Forestry some vealed the greatest gender sensitivity, but involvement consultation was held with private industry regarding leas- 24 Shortcomings in Achieving Participation ing of land, but no extensive efforts were made to in- tention to institutional strengthening is required forproject volve private enterprises in a more substantial way. The staff and govemment agencies if participatory approaches private sector could have been encouraged to play a more are to be widely adopted. The Project Appraisal Docu- important role in extracting timber and marketing ments reveal a trend away from the exclusive focus on nontimber forest products (leaves and fruits) in the com- individual skills training to broader institutional capac- munity managed forest areas. ity building and integration of institutional perspectives. Nevertheless, half the projects studied did not pay ad- Limitations on NGO Involvement equate attention to systematic capacity building (see an- nexes A and B), and few projects presented realistic plans Despite NGOs' proven capacities and their desire to es- for phase out and withdrawal. tablish closer partnerships, the govemment and Bank staff did not always seize the opportunities for greater NGO Problems Creating Sustainable Arenas for Commu- involvement in project preparation. Time constraints on nication and Learning Bank staff and govemment staff's skeptical or ambiva- lent attitude toward NGOs may account for this failure The projects faced problems establishing more permanent to involve NGOs more fully. arenas, networks, and partnerships for communication and leaming at different levels of society. Workshops and pub- There were important exceptions. NGOs were involved lic hearings tended to be of an ad hoc nature and were not in the preparation of the Indigenous People's Develop- sustained after the preparation phase (even where partner- ment Plan in the Orissa Water Resources Development. ships with NGOs were strengthened in the course of imple- And NGO involvement increased during implementation mentation, as they were in the Andhra Pradesh Forestry). of the Andhra Pradesh Forestry and Uttar Pradesh Sodic This shortcoming was stressed by both NGOs and gover- Lands Reclamation 1, as NGO achievements were rec- ment officials. Dissemination ofresults and feedback from ognized by govemment officials. These projects worked social analysis and participatory rural appraisals to stake- more closely with operational NGOs in the field, which holders was often weak or nonexistent. Long planning helped build local-level capacity, than with advocacy periods with lengthy social assessments made stakeholder NGOs located in the state capitals. interest difficult to maintain, reducing their effects. Operational-level NGOs generally view participating in Bank projects more positively than do advocacy NGOs For the most part, the initial design of monitoring and (Van Wicklin forthcoming). According to one Bank project evaluation systems was weak, in terms of both traditional manager, NGO involvement may well be strengthened, but indicators for measuring financial and physical targets one should not forget that NGOs have capacity constraints and indicators of participatory processes and capacity and that the government, the Bank, and NGOs often have building. The weak monitoring and evaluation systems different goals and interests. Different views are thus likely, would limit internal leaming about project performance even with increased dialogue. Involvement of NGOs, and participation. Innovative and participatory monitor- whose advantage lies in their responsiveness and flexibil- ing and evaluation systems were developed in the ity, may also be limitedby the Bank's and the government's Kamataka Rural Water and Sanitation, Uttar Pradesh more rigid procedures (Aycrigg 1998). Sodic Lands Reclamation 11, and Andhra Pradesh For- estry as implementation proceeded, however. These ef- Lack of Attention to Institutional Analysis and Sys- forts involved communities in data gathering and en- tematic Capacity Building hanced transparency and accountability at the local level. The Project Appraisal Documents focused on the plan- Notes ning and implementation phase, although all of them ex- plicitly cited the lack of institutional capacity to sustain 1. This perspective is supported by the review of participatory ap- proaches in projects financed by the Department for Intemnational De- project activities after project completion as the most criti- velopment, which includes a study of perceptions by state-level offi- cal risk to project success. Considerable training and at- cials (INTRAC 1998). 25 7. In-Country Constraints to Beneficiary Participation A set of underlying factors and relationships constrained by the govemment and the central project bureau limited efforts to involve primary beneficiaries in preparation, autonomy for strategy development at state levels. Op- making these efforts less successful than they could have erational education plans were nevertheless decentralized been. To a large degree these constraints were related to to district and community levels. In the Women and Child the Indian govemment and to local factors such as social . . diversity, local organizational capacity, and institutional Development, politicoans and top-level bureaucrats and political constraints. wanted to remain in control in order to provide visible "support from above" in rural villages, reflecting the po- Implementing agencies, especially mid- and front-line litical nature of this program. officials, demonstrated a lack of commitment and capac- ity. Involvement of NGOs was limited, and many NGOs Third, many Bank-assisted projects in India involve sev- appeared to have capacity constraints. These problems eral states and millions of potential beneficiaries. (Of the were compounded by the structural constraints within ten projects reviewed here, four involved more than one which Bank-assisted projects operated and by the rela- state.) This large scale obviously limits the share of po- tionship between the Bank and the govermment of India tential beneficiaries that can meaningfully be reached as the main client. during preparation. Participation was also hindered by The Hierarchical Structure of Indian Institutions the multisectoral nature of projects and the highly com- partmentalized Indian departments, coordination among Increasing participation in Bank-assisted projects in India which remains weak. is challenging, for several reasons. First, historically and culturally, Indian institutions at all levels have hierarchi- Ineffective property rights and institutions have undennined cal, command and control structures rather than structures participation and civic engagement across India, and they that foster cooperation, listening, and face-to-face com- work against economic development-with negative ef- munication with beneficiaries on equal terms. Mindsets fects for the poor as well as the wealthy (Gill 1998; Varma among govemment bureaucrats have not been geared to- 1998; Dreze and Sen 1996; World Bank 1998b). To ad- ward servicing clients or reaching out to poor people. dress the problem, in the 1990s many states underwent significant policy and institutional transitions in terms of Second, the federal and centralized character of India's liberalization, decentralization, and a move toward more national govemment, with a tradition of important deci- client-oriented services. The 73rd and 74th Amendments sions being planned and made at the center, occasionally to the Indian Constitution, passed in 1992, for example, created problems for relationships between Bank staff represented an important change in the government's atti- and state-lev+l agencies. It also affected state govemment tude and commitment to decentralization and participa- commitment to policies and projects to be implemented tion, albeit initially more in policy than in practice. at local levIls among poor villagers in rural areas. This problem was explicitly raised in the preparation of the To a large degree the political-administrative transitions District Primary Education II, where centralized planning of the 1 990s were driven by internal dynamics (although 27 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India the Bank was instrumental in triggering several of them). beneficiaries; and ample time for planning and involve- The case ofAndhra Pradesh illustrates the critical impor- ment of beneficiaries through a successful pilot phase. tance of reforms of inefficient state institutional struc- tures for improving economic performance. But the re- In contrast, managers of other projects have been con- tures~ ~ ~ ~ ~ ~ ~ ~~~~~frne with lessm benignl contexts.e Int the Intgrte Wa forms of the 1990s raised new challenges for poverty re- ftronted with less benign contexts. In the Integrated Wa- duction in India. Although high growth has been sustained of Rajasthan, Gujarat, and Orissa were unpredictable, over the past decades, the extent to which this growth local perspectives on conservation were in conflict with has been translated into poverty reduction remains un- views of state officials, the technology introduced was clear. Poverty fell in India in the 1970s and 1980s, but ewserimetal , the tenolo intory as the evidence for the 1990s is mixed. As a result, it is dif- primentas we commitat tovertiand ap- ficult to assess the progress India is making in reducn proaches was weak, and state government and institu- poverty (Worassssltedprgres Inia imakngireucing tional performance in the sector was not satisfactory. poverty (World Bank 2000b).' The importance of reorienting inefficient government Lack of Government Commitment and Institutional agencies and creating supportive property rights institu- Capacity tions, incentives, and services can be illustrated by Andhra Pradesh Irrigation 11 (cf. annex C). The 10,000 water user The two case studies in Andhra Pradesh provide compel- associations in the state now cover an area of 4.8 million ling evidence that political will and government commit- hectares and have already improved irrigation manage- ment are the single most important factors affecting ben- ment considerably. In contrast, in Orissa it has taken three eficiary participation-and that lack of such commitment ment conerably In water Orissacittios takeree years to establish 50 water user associations covering is the greatest constraint to participation.Weak capacity 20,000 hectares. While commitment to participation may of the executing agencies to prepare and implement be there at state and top ministerial levels, resistance is projects may be the second greatest constraint. In all typically found among mid-level and front-line staff(en- project documents the lack of commitment and capacity gineers, forest officers, teachers, health workers). to implement the project was explicitly raised as a key risk to project success. An interesting observation from Even under unfavorable country conditions, however, the the project document of the Women and Child Develop- acceptance of participatory approaches can come fairly ment project was that "all aspects of a program performed rapidly, especially among top-level bureaucrats, as the better in states with greater capacity." preparation of the Integrated Watershed Development (Hills) 1I which will cover five states in the Himalayan In all but two of the ten projects reviewed, the country foothills, shows (Vedeld 2001). InAndhra Pradesh com- capacity and commitment to implement the project was mitment from the top seemed to emerge as a result of a rated "marginally satisfactory" (annex B). Capacity was combination of visionary leaders with new ideas about assessed in terms of how much experience the agencies good governance, visible economic effects from refornms and the states had with the type of project strategy cho- at local level, and the scope for using new farmers orga- sen and how conducive policy and institutional arrange- nizations as vote banks in elections. ments were to beneficiary participation. In none of the projects did the government want to go farther than the Organizational, Professional, and Structural Diversity Bank in developing a participatory framework. The two problems of commitment and capacity reflect Managers involved in the preparation of the ten projects the structural relationships and respective roles of the faced widely varying institutional and social contexts. Bank and the government, as its main client. The close At one extreme, project managers met relatively enabling relationship that develops between the Bank team and contexts, as in the case of the Uttar Pradesh Sodic Lands the main implementing agency during preparation may Reclamation 11. The Bank team found a committed state both facilitate and constrain the preparation process. An government, which provided exceptional project support irrigation department may, for example, develop close and showed interested in policy reform; a capable and relationships and share interests on the more technical committed project executing agency; responsive local aspects of the project with the task manager because he 28 In-Country Constraints to Beneficiary Participation is an engineer. The task manager may pay less attention Attitudes and Cultures of Bureaucrats to the wider social and participatory aspects of the project, however. A similar situation might develop in The Andhra Pradesh projects show that a major threat to the case of an agency responsible for resettlement, which sustained participatory reforms came from the mid-level may direct the attention of the Bank team's sociologist bureaucrats and service organizations of the Forest and to a minority group of people affected by the project. Irrigation Departments. Within both the forestry and irri- This would draw attention away from the integration of gation sectors, theAndhra Pradesh government introduced technical aspects with institutional and participatory radical changes in formal institutions and legal provisions. dimensions in the larger project area (affecting a ma- While formal rules were changed overnight, it remains jority group of people). to be seen how quickly more informal norms, institutional cultures, and practices will change within the executing To some extent, tensions among social and technical staff agencies (as well as within the newly created farmers of the executing agency or between different institutional organizations). stakeholders may reflect tensions between social devel- opment and technical development perspectives in gen- The policy changes introduced were encouraging, in that eral. At the project level such tensions were accentuated they led to the enforcement of new property rights insti- and visible in the irrigation and forestry projects. State tutions. Attitudes, nonns, and institutional cultures of the officials perceived that their professional and vested in- Forest and Irrigation Department staff have started to terests were being threatened by devolution of control change. Several forest officers insisted that although work over resources to farmers organizations. In Andhra loads had increased with the new program, work satis- Pradesh Irrigation III, the chief minister tried to solve the faction had also risen. The officers greatly appreciated problems among government agencies by creating a com- cooperating with villagers rather than policing and creat- mand area development department to foster water user ing fear among them. But the significance ofthese changes associations at the local level and to counter resistance in real terms remains to be seen and can be judged only among government officers to farmers' participation over a longer period of time. within the Irrigation and Agricultural Departments. The prominent position of the command area department fa- The evolution of new norms of behavior that will enhance cilitated the establishment of new organizations in the and legitimize new rules is usually a lengthy process. If initial phase, but it also created internal conflict and ri- reorientation does not take place, however, the new insti- valry among departments. In the Orissa Water Resources tutions are likely to remain ineffective or unstable and set- Development, the resettlement and rehabilitation com- backs may occur. New institutional structures will become ponent was prepared and implemented by a separate robust only if they are supported by organizations with a resettlement and rehabilitation directorate. This posi- continuous interest in their perpetuation. This requires sus- tively affected the planning of the resettlement com- tained efforts to change behavior, attitudes, professional ponent (although it suffered from weak implementa- skills, and cultures. Such changes can be fostered from tion.)2 In the Uttar Pradesh Diversified Agricultural above, but they depend critically on what sort of arenas Support, an independent institute was responsible for and modes ofinteraction develop between farmer and civic participatory monitoring and evaluation. In the Dis- organizations and state agencies and staff at the local level. trict Primary Education 11, the teacher associations resisted the establishment of village education com- New, more client-oriented institutional cultures are re- mittees. quired. In particular, the rights of farmers to be heard, to have access to information, and to take part in creating Effective solutions to such structural and organizational transparent and accountable management systems need problems can be critical for project success, but they are to be encouraged, not discouraged. Economic develop- not easy for project preparation teams to establish. Such ment and growth can occur in the short run with auto- solutions should be allowed to evolve from the particular cratic regimes. But long-run economic growth requires historical and institutional context. Continuous adjust- responsive government that adapts to local demand, de- ment in institutional design and organizational structure velopment of the rule of law, and protection and promo- might be required as implementation proceeds. tion of civil rights (North 1990). 29 Participation in Project Preparation: Lessons from World Bank-Assisted Projects in India Lack of NGO Capacity to Manage Participatory Local Capacity Constraints Processes In eight of the ten projects, lack of capacity by local or- The advantages of involving NGOs in project planning ganizations to take over rights and responsibilities was and implementation have been shown. In general, their identified as a risk factor. Given the narrow participation involvement should be further encouraged, as they have in local politics and the large differences in status and the potential to influence policy and projects in a posi- income that characterize Indian society, there are critical tive manner. local barriers to increasing participation. Problems with capacity constrain NGOs' ability to be The attention accorded these problems-in terms of so- effective, however. Although India has a highly devel- cial analysis and support for local involvement and ca- oped NGO sector, many NGOs are unable to manage pacity strengthening-did not always seem to reflect their participatory approaches, financially orprofessionally. magnitude. Local capacity constraints may have been Some of the best NGOs are overstretched. Social as- underplayed, partly since a project aim was to build this sessments carried out by academic institutions or capacity. NGOs often lack an operational focus or are weak, as both Bank project managers and government officials Where institutional conditions and other contextual fac- have noted. tors were favorable, various marginal groups were able to organize and participate in project development. The Several of the more operational NGOs would like the joint forest management approach employed in Andhra Bank to be more involved in NGO capacity strengthen- Pradesh, for example, has greatly benefited poor women ing and joint lobbying of the government. The advocacy- and tribal groups. The Forest Department developed rules oriented NGOs are more skeptical about becoming too to ensure a minimum representation of women in the for- closely associated with either the Bank or the govern- est protection committee councils and their involvement ment (Van Wicklin forthcoming). Tensions thus remain in forest management. In contrast, upper caste men may among these three key partners in development. be dominating the governing bodies of the water user associations of the Andhra Pradesh Irrigation III. These In the Andhra Pradesh Forestry, forest officials perceived examples suggest that there are limits to what the gov- community-based and operational NGOs as sincere and ernment and projects can achieve from above in terms of useful but contended that advocacy NGOs based in the changing local power structures and reducing elite con- state capital were primarily "after the money." NGOs trol of access to project benefits. complained that they were used simply as consultants to undertake participatory rural assessments and micro-plan- Even so, the most critical long-term challenge of outside ning for forest operations in the villages. NGOs were not initiatives is to facilitate changes in local institutions and necessarily capable of performing as consultants, and social orders that affect poor people. Poor people do not often they did not want such limited roles. They were necessarily have relevant knowledge of contingent cir- also critical of forest staff's attitudes and rent-seeking cumstances or evidence that it is useful to participate in behavior as well as the implementation of thejoint forest political processes or project decisionmaking (World management policy on the ground. Bank 1 998a, 1 998b). They may be deeply entrenched in dependency relationships and authoritarian cultures. They NGOs and academic institutions complained that the Bank may be very skeptical of and have little trust in the gov- and the central government of India still run the show, ernment-but perceive the state as the provider of "free" without paying adequate attention to their views about water and services. They may need to be convinced about participation in project and policy formulation. Attitudes the benefits of increased cost-sharing and the acquisition among NGO staff toward Bank operations might have of new rights and responsibilities. become more positive over time with their greater in- volvement. But frustrations undoubtedly have remained Participation therefore requires both incentives (at the regarding lack of information sharing, creation of sus- project, policy, and legal levels) and a focus on literacy tainable arenas for dialogue, and cooperation. and local capacity building. Aparticipatory approach does 30 In-Counry Constraints to Beneficiary Participation not necessarily require much financial support, but it does decisionmaking. Hence decentralization to such bodies require effective leadership, attitudinal change, and com- might be a necessary, though not sufficient, requirement mitment at the local as well as state levels. Establishment for broad-based participation. Participatory monitoring of new or support to more competent local leadership may and evaluation systems might be one critical element to be a key entry point for local capacity strengthening. address issues of governance at the local level. Interviews with the management committees of water user Notes associations and forest protection committees in Andhra Pradesh revealed that before the local elections members 1. The effectiveness of national reforms in creating more efficient had not understood the purpose of these associations or property rights and market systems depends to a large degree on the political commitment to a more inclusive and transparent society by their consent to establish them, despite consultations wflih the govemment and the influential Indian middle class. There are con- department officials during planning. This may indicate siderable inefficiencies and obstacles to transition in the bureaucra- shortcomings in the participatory approach; it may also cies, the corporate business sector, and the polity of India (Gill 1998). suggest that there are limits to what one can expect in According to some observers, India's middle class is relatively insen- terms of direct contributions by local people to project sitive to the needs of the poor, and liberalization has tended to rein- force its position as a "consumerist predator" rather than opening its preparation and design, at least before the formulation of eyes to the need for wider social reforms (Varma 1998). There are, the Project Appraisal Document. Even with extensive however, large regional differences in terms of social and economic participation, informed and committed project planners reforms and their effects. Kerala, for example, has achieved consider- would be required to carefully interpret local people's able progress in terms of social development, even if economic devel- opment has lagged behind (Dr6ze and Sen 1996). Andhra Pradesh interests and ensure that their views are not neglected in may also be emerging as an important new role model for consulta- the formulation of the project and project activities. More- tion and participation in social and political reforms (although results over, in designing participatory approaches, it is impor- on the ground, especially in the irrigation sector, need to improve tant to find ways to ensure representativity and limit co- before the state can be deemed a success story). Successful decen- optation and corruption of locally elected leaders within tralization and participation is taking place in Madya Pradesh, where optation and crruption of lcally electedtop-level commitmnent to such reform by the chief minister is consid- the newly created organizations. Local elites in commu- erable and resulted in his recent re-election. nity-based organizations or local government 2. For an assessment of the Bank's performance on involuntary re- (panchayats) are not by tradition inclusive in their settlement in India, see Van Wicklin forthcoming. 31 8. Institutional Constraints and the Role of the World Bank The Bank's approach to participation has been gradually ible commitments, according to several project manag- refined, as Bank operations have become more compli- ers. News of successful adoption of new approaches led cated and demands for participation have increased. The to reconfirmation of commitment among Bank staff. approach now consists of five main components: * Providing assistance to states willing to undertake re- Other reviews of participation have also identified the forms in macroeconomic policy, fiscal management, and importance of personal attitudes and efforts, especially governance (transparency, accountability, willingness to in relation to task and project team managers (Mansolff address corruption). 2000; Aycrigg 1998; Chambers 1997). Professional skills, * Supporting the building of more decentralized and de- experience, and willingness to listen and learn are also mand-driven government institutions and organizations. important. In several project cases, the "footprints" of o Facilitating the involvement of NGOs, community- committed Bank staff were easy to find-in government based organizations, civil society groups, and the private offices, project documents, workshops, and articles docu- sector in specific project operations. menting successful participation. In the Orissa Water . Promoting increased sensitivity to gender issues, in- Resources Development Project, for example, the ap- digenous people, vulnerable groups, and involuntary re- praisal was stopped by the Bank so that an Indigenous settlement. Peoples Development Plan could be prepared. * Promoting poverty reduction as a societal goal, through Good management support in the region was cited as im- social assessment and participatory methods. portant for staff commitment and success in participa- iion. Support from Bank management reflected convic- Several factors have affected efforts to increase participa- tions of the President of the World Bank, who is con- tion and ensure good management oftheparticipatory pro- vinced that stakeholder involvement and collaboration cess in India, as project managers and social unit staff have "cannot only make our development efforts more effec- noted. These include the variation in Bank team members' tive and sustainable, but can also foster ownership and a commitment and capacity to undertake participatory ap- sense of belief in the relevance and value of our pro- proaches, perceptions that there is a lack of convincing grams-right down to the community level" (Wolfensohn evidence of the value of participation, time and resource 1996, p. ix). Bank team commitment was rated "highly constraints, weaknesses in participatory methods, proce- satisfactory" in all projects but one (the Integrated Wa- dural rigidity and inflexible planning systems, staff turn- tershed Development I, appraised in 1990), where the over, and government and line agencies'skepticism of par- participatory process was not defined. In a follow-up ticipatory aspects as advocated by Bank staff. project (the Integrated Watershed Development Project Hills 11), the Bank team triggered a participatory process Increasing the Capacity and Commitment of World that was later adopted and strengthened by the state gov- Bank Teams emments (Vedeld 2001). The Bank played a key role in the final design in all ten projects, at the policy, institu- A positive participatory process starts with a committed tional, and local levels. Bank team capable of developing close and continuous relationships with government staff, often on a personal The Bank's experience in participatory project planning basis. Face to face communication was critical for cred- was found to be "satisfactory" or better for all ten projects 33 Participation in Project Preparation: Lessons from World Bank-Assisted Projects in India (annex B). It was rated "highly satisfactory" in the left to consultants and NGOs, who carry out the social Women and Child Development, which involved long- assessments. This division of responsibility raises a term involvement in the sector, and in the Uttar Pradesh problem, since the social assessment is critical for the Sodic Lands Reclamation II, which involved a success- formulation of the framework for participation and so- ful pilot phase and long-term involvement in the sec- cial development. Project managers and social unit staff tor.2 In Karnataka Rural Water and Sanitation, the have identified various problems in the management of Bank-and the government-had little experience with social assessments: the type of program initiated. An agreement was there- * Team managers and borrowers are not always con- fore reached to carry out a pilot scheme, with commu- vinced of the value of participation and social analysis nity participation. * Because of capacity limitations, social assessments carried out by consultants or NGOs are sometimes weak, The Bank's experience was less impressive in the case of descriptive, and difficult to operationalize, especially in the first Integrated Watershed Development, which was addressing weakness in institutional arrangements. also the least successful in its participatory design. Me- * Participation by primary stakeholders is often not placed diocre performance in terms of a participatory design may into its larger macroeconomic or national institutional reflect the fact that the Bank had little experience with context. participatory approaches in watershed management. 0 Because of time constraints and the lack of involve- ment by Bank and government staff in the process, re- In none of the projects did the Bank have long-term or sits of sal asses men t prpe incorporae veryextnsie eperincein ndi wit th spcifc esults of social assessments are not properly incorporated tyPe into project design or fed into the implementation pro- of participatory approaches that were adopted. All projects cess. Participatory rural assessments are carried out me- included NGOs as intermediaries or in other capacities- c chanically and as a requirement for the Bank, not as genu- groups with whom the Bank had limited working expen- me planning mechanisms. As a result, they become in- ence. The Bank preparation teams were reinforced, how- formation extraction tools. ever, by the use of extemal consultants, interaction with . Results ofparticipatory methods are often not commu- govenment staff, and learing from other projects and nicated back to the beneficiaries concerned or to the con- sultants or NGOs involved. Improving the Management of the Participatory * Participatory methods and mechanisms are not as ap- Process plicable or accurate as often assumed. * Greater direct personal interaction with stakeholders Commitment to participation is not universal within and more involvement by the Bank's social scientists is the Bank. Doubts are still expressed about the value needed, but providing such interaction is difficult, be- of participation, although social analysis and assess- cause of time and budgets constraints. ment are increasingly recognized as valuable tools. * Social targets are often not set or monitored as care- Given the Bank's institutional history, memory and fully as financial or physical targets culture, composition of staff, and modes of operation and the confusion and attitudinal differences over what There are several ways of improving the Bank's manage- constitutes participation, universal acceptance could ment of participation. But there are also dilemmas that not be expected. must be addressed, skills that must be improved, and or- ganizational cultures that must be changed. Bank staff Commitment must be continuously nurtured. But the complain that certain daily tasks-writing terms of ref- wider institutionalization of participation in the Bank erences, reviewing documents, meeting with consultants, is constrained by the limited direct interaction that most participating in missions and workshops that add little to Bank staff have with primary beneficiaries and the so- social assessment work-take much time. Some social cial assessment process. This interaction is often of short unit staff members argue that the Bank is preoccupied duration, reflecting time constraints and the need for with procedures and bureaucracy and that it should ac- Bank team members to consult state officials and ex- cept more advocacy in operations and nurture civic en- ecuting agencies.3 Beneficiary interaction is normally gagement and good governance. Others suggest that there 34 Institutional Constraints and the Role of the World Bank is a tendency to focus more on preparation of a high- In a study of participatory approaches in DFID-financed quality product (such as a good social assessment con- projects, high staffturnover and frequent transfer of DFID ducted by a good local institution) than on the participa- staff were identified as major constraints to effective tory process itself. project development (INTRAC 1998). The problem caused staff to tend to service "the DFID machine" rather Closer coordination is seen by social unit staff as a way than build external relationships through formal and in- of giving social development perspectives greater influ- formal networks for policy dialogue and project supervi- ence within the Bank. Bank staff in general also express sion. The problem was compounded by the high rate of an interest in training seminars and skills development staff turnover within government agencies and NGOs. tied to organizational learning, communication, team building, and conducting social assessments in a timely An advantage of operating a World Bank Office in New and cost-effective manner. Delhi is that many of the people there have long experi- ence in the region. This decentralized structure facilitates Maintaining Benericiary Interest through a Lengthy sustained participation and creation of partnerships be- Planning Phase tween Indian agencies and Bank staff. Several project managers noted the difficulty of main- Notes taining commitment and interest among stakeholders if 1. For a Bank-wide update on institutional constraints to participa- the preparation process is long. Slow preparation on the tion, see Aycrigg 1998 and OED 1999. For a review of task man- Indian side combined with lengthy Bank procedures may agers' views, see Mansolff (2000). For a recent evaluation of Bank latebeneficia_ assistance to India for social development, see Van Wicklin Forth- lead to delays of twvo to four years between beneficla- coming. ries' first involvement in the planning phase and imple- 2. For an overview of the level of primary stakeholder participa- mentation. Delays also make it difficult to develop own- tion in 39 projects in the India portfolio approved during FY 94- ership of the project strategy by primary beneficiaries. 99, see Van Wicklin Forthcoming. 3. In this regard, preparation of Bank projects differs from that More flexible planning and increased focus on partici- of other donors. A recent report that assesses participation in pation in the early implementation phase could help deal DFID-financed projects in India notes that DFID focuses on pro- with this problem.4 moting primary stakeholder participation and micromanaging projects, even at the expense of secondary stakeholder partici- pation and long-term institutional sustainability (INTRAC 1998). Dealing with Staff Turnover and Creating Partner- The focus tends to be on operational issues at the implementa- ship Relationships tion stage rather than on the key partnership issue of what hap- pens when DFID funding terminates. 4. The social analysis and participatory elements do not seem to The continuous turnover of Bank staff involved in tech- extend the planning phase much, although complaints have been nical, social, and policy aspects of projects through their voiced on the Indian side about lengthy participatory exercises cycle impedes strong commitment and makes it difficult and unfocused social analysis. According to the notes from the Bank's 1998 social assessment workshop in Sri Lanka, social for the Bank to establish close relationships with the assessments usually take 2 weeks to 6 months and cost people and agencies involved in the project. Frequent US$20,000-US$200,000. transfers of top-level administrators on the Indian side 5. Of course, handing over implementation to a new person or involving a diversity of staff in a project may also result in inno- fuirther undermmine continuity in personal relationships and vations and greater flexibility. New people have less stake in main- disrupts communication. And it makes it more difficult taining initial designs and can take a fresh look at the project. to build trust and implement projects effectively.5 35 9. Conclusions and Operational Recommendations Despite significant achievements, the Bank was not al- 3. Intense beneficiary participation that began in the ways capable of convincing clients in India of the value early phases of implementation-through broad-based of participation. Some variation in Bank teams' capacity consultation and empowerment at the community level- and commitment to participation was also evident. In or- countered the potential negative impacts of low partici- der to foster greater commitment, it maybe important for pation during the preparation phase and enhanced com- the Bank to further document and convince its various mitment to the project at the local and national levels. clients that participation is not only about involving poor 4. The emergence of more accountable and inclu- and vulnerable groups in project activities. The agenda sive institutions seemed critically dependent on commit- for participation is much broader. Participation is about ment, effective leadership, and processes initiated by the developing inclusive, accountable, and effective iristitu- government. In the past, many errors have been made as tions and property rights that favor the poor as well as a result of command and control systems that have sus- the middle-class and government employees, both eco- tained ineffective institutional and organizational struc- nomically, socially and politically. Above all, participa- tures in which participation, listening, and learni.ig have tion is about good and responsive government. Since a marginal place. Government officials and project man- numbers count in a democracy, a stable and efficient gov- agers still use top-down approaches to impose solutions emnment in India is likely to depend increasingly on solid on primary clients. But it was the unilateral commitment vote banks from among the rural and urban poor, as well by political and bureaucratic leadership that effectively as more participatory policies and strategies. started the participatory process and gradually empow- ered larger groups of primary stakeholders. Several lessons from the study have operational implications: 1. Direct participation of primary beneficiaries These lessons highlight the need to betterunderstand the through pilot phases proved to be an effective way of relationships and processes that build political and bu- testing participatory approaches and initiating institu- reaucratic commitment to participation in govemment tional and policy reform processes. Piloting contributed institutions. How can commitment and ownership be cre- to participatory local planning and implementation and ated and participation institutionalized? Success in par- increased the sense of ownership of the process among ticipation was achieved when committed Bank teams, the staff of the executing agency. building on social analysis and pilot experiences, trig- 2. Indirect methods of incorporating beneficiary gered new ideas about good governance and convinced interests and informing the project design, including so- top-level politicians and bureaucrats of the significant cial analysis and learning from other projects, positively benefits that would accrue from new property rights in- affected project formulation at the local as well as the stitutions. In Andhra Pradesh effective leaders and project policy and institutional levels. In several cases, in fact, staff made the transformation process their own. Indi- indirect methods were more important than direct ben- vidual efforts and courage among the political leadership eficiary involvement in terms of ensuring a project de- were necessary to mobilize political support for reforms. sign that was participatory in objectives and strategy (as Resistance from mid-level officials was overcome by reflected in the Project Appraisal Documents). This il- achieving promising ground-level results from pilot op- lustrates that the participatory process (and its impacts) erations. Transparent public hearings, wide-scale consul- is not straightforward. tations at the district and national levels, and the active 37 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India use of the media contributed to successful reforms and an ongoing negotiation process, not an end-product for the establishment of decentralized and more effective data collection community-based management systems. Legal changes 2. Encourage local capacity building and more in- transferred rights and powers and built trust. Joint man- tense participation by primary beneficiaries during the agement and transparency in local operations, through early stages of implementation, when community-level which government officials were made accountable to planning and activities begin. Increasing beneficiary par- farmers, were essential to building trust in the new insti- ticipation and local capacity early would enhance gov- tutional arrangements. emment and project ownership in a process that is gradu- ally broadened and sustained through the project cycle. These lessons have implications for the way in which 3. Devote more attention to the development of in- effective social assessments should be conceived, man- stitutional capacity of local groups, local govemments, aged, and packaged within the Bank. In order to make and local leadership, both women and men. the management of participatory processes more system- 4. Encourage the use of pilot initiatives and experi- atic and effective through the project cycle, more effort ments with local capacity managed by the government should go into developing a participatory framework early through more process-oriented planning, possibly through in the social assessment process. That framework should Learning and Innovation Loans and Adaptable Program provide a general and indicative strategy on how partici- Lending. pation of primary and secondary stakeholders is to evolve. 5. Intensify strategic consultation and partnerships The plan should be flexible and responsive to changing with secondary stakeholders, especially NGOs, academ- demands and circumstances, and it should strike a bal- ics and private sector actors, and start documenting such ance among different goals. consultation. Encourage the shift away from skills train- ing toward plans for systematic institutional capacity At the preparation stage, it is important to decide whether building, reorientation of government services, and the scope of the social assessment is primarily to extract changes in attitudes toward participation by mid- and information to inform project design, to extract informa- field-level staff. Make the willingness to focus on par- tion and create commitment among executing agency ticipation a criteria for selecting partners in development. staff, or to inform design and create commitment among 6. Continue to move from social mitigation of ad- executing agency staff and primary beneficiaries. It is verse impacts to pro-active engagement, with a stronger also important to strike a balance between what is ideal focus on integrating social concems with policy and strat- but complex and what is possible and practical in India. egy formulation. Focus social development work more on the issues and opportunities for creating enabling poli- Currently, direct beneficiary participation is used mainly cies and institutions in formulating local approaches in an instrumental way 7. Direct social analysis to the interface between and less in formulating strategy and policy. Women and front-line workers and local stakeholders, with a view to vulnerable groups are consulted infrequently, and gen- understanding how institutions and policy at the macro der analysis of projects is often not carried out. The in- and meso levels condition participation and negotation volvement of secondary stakeholders-NGOs, civil so- at the local level. ciety groups, labor unions, and the private sector-has 8. Continue to develop indicators for measuring improved, but it is neither extensive nor systematic. effective institution building and the extent of poverty reduction, related, for example, to innovative and par- The Bank could take several steps to address these prob- ticipatory monitoring systems that foster transparency, lems and improve its participatory processes: accountability and leaming at local levels. I . Improve the quality, effectiveness, and impact of 9. Strengthen efforts to build bridges between so- primary stakeholder participation and social analysis cial and technocratic world views. through better selection of consultants, closer supervi- 10. Improve conceptual clarity about participation. sion and management, and improved integration of the social assessment into the project planning and imple- A basic conclusion emerging from the study is that im- mentation process (through preparation of participatory proved and sustained participation in development frameworks). Social assessment should be perceived as projects is about transforming institutional cultures. More 38 controlled and protected by the state that had taken place the top and pressure from below, the forest officers' ways over the past several decades. The state property rights of thinking started to change. People started to place de- regime had failed to provide effective protection for these mands on the forest officers, who discussed matters with resources. The main aim of the project was to improve their superiors (rather than simply taking order from them) forest management by introducing joint forest manage- and made decisions on their own. As one officer said, ment based on forest protection committees in villages "No longer is everything decided from the top." on the fringes of the forest. The project would benefit mainly poor people, women, and tribal communities. Each Initially, there was resistance to the program, with villag- of the forest protection committees would be granted usu- ers refusing to meet the forest officers. That resistance fruct rights to about 500 hectares of degraded forest for needed to be overcome. In one village in Telangana, vil- protection and use (most nongraded or highly productive lagers held more than 20 meetings before agreeing to es- forests were not included in the scheme). These forest tablish a forest protection committee. By August 1995 areas were formally part of the state's property. only 260 forest protection committees had been created. A key mechanism for reform of the property rights re- The process of forming forest protection committees was gime was the empowerment of forest protection commit- speeded up considerably after the new chief minister took tees through recognition of their usufruct rights to forest office in mid-1995. By June 1996 about 1,600 forest pro- products (timber and nontimber resources). Funds were tection committees had been formed; by March 1998 their provided for village labor in forest silvicultural opera- number had increased to 3,700. In December 1998 the tions. The village would pay for exclusion and protec- supervision mission of the Bank reported that more than tion (often by two local watchmen). Funds were also pro- 6,000 forest protection committees had been formed, vided for public facilities, such as community halls, about 1,700 ofwhich were supported by the Bank project. schools, and wells, and for minor items for individuals, The rest of the program was financed from newly mobi- such as fuel- efficient stoves. These investments were lized internal sources made available by the chief minis- meant to promote a better relationship and build trust ter, who reduced funding for other less efficient public between the Forest Department and the people. services. Microcredits to individual farmers from the funds of the forest protection committees evolved later. By 1999 more than 1.5 million hectares of the total for- est area was managed by forest protection committee, Preparation of the project involved little direct participa- 300,000 hectares of which had been more intensively tion of primary beneficiaries, and the process of consult- treated. Field visits revealed a dramatic transformation ing and empowering farmers by establishing forest pro- in the forest landscape and in vegetation around most tection committees got off to a slow start: by the end of villages with forest protection committees in operation. the first year, only 22 forest protection committees had The coppice of completely degraded teak stands in 1995 been created. The slow pace, which reflected reluctance had resulted in new shoots growing as if in plantations; within the Forest Department to speed up the process, tree heights of 3-4 meters and above were frequently provided time to adapt the new approaches to local con- observed. ditions and to build the capacity of the forest staff. The forest protection committees started operating as are- Gradually, a significant part of the staff became convinced nas for discussion of forest management and village de- of the potentials of joint forest management. According velopment in general, often with informal links to Gram to one Bank staff member (Julia Falconer, personal com- Panchayats (local self-governments). Ingenious rules on munication, World Bank, 1999), the joint forest manage- exclusion of outsiders and regulation of internal use of ment program took off because it solved an immediate forest products and nonforest resources (fuelwood, bidi and pressing problem for the forest officers working in leaves, flowers, fruits) were formulated at management the field: protecting the forests. Visible tangible benefits committee meetings. for villagers, as well as for the Forest Department, were realized quickly. The pioneering efforts of a few Forest Encroachments within the forests, once a main threat, Department staff set an example. With incentives from had almost stopped. Smuggling was dramatically reduced, 55 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India partly as a result of villagers reporting such cases and now participating at the local level to facilitate participa- cooperating with the Forest Department. Enforcement and tion and capacity building within the project. graduated sanctions systems were developed, ranging * A major legal breakthrough came in 1997, when the from wamings to fines to social ostracism (loss of mem- forest protection committees were given usufruct rights bership in the forest protection committee). Reports by to 100 percent of the produce from the forest, including farmers and forest officers confirm that the rapid forest both timber and nontimber products. regeneration and use of check-dams for water harvesting in many places led to improved water conservation and The involvement of the chief minister had different di- ground water recharge. Visits to about 15 villages con- mensions. He focused on the forest protection commit- firmed reports of transfer of knowledge to farmers of for- tees as self-help groups and paid genuine attention to the est management, improved availability of water for iffi- forestry staff, bolstering their position in village affairs gation fields, increased sale of forest products, and in- (something that did not happen in other line agencies). creased income through sale and wages provided for for- His close personal monitoring kept all government offi- est operations. cials on their toes. By vigorously pushing the develop- ment of forest protection committees, he placedjoint for- Several factors led to the transfer of rights to the forest est management at the forefront of the affairs of the For- protection committees and the empowerment of farmers: est Department. * A committed Bank team, strengthened by an Indian consultant with experience from West Bengal, triggered The villagers of the Telangana region confirmed the atti- a shift in internal political and administrative processes tudinal changes. "Before there was only policing. Now toward participatory or joint forest management. relations are much better," commented one villager. "We * A three-day workshop with staff of the Forest Depart- now work together." The forest officers disseminate new ment started a process of changing attitudes toward joint knowledge, handle regulatory functions, resolve conflicts, forest management among a reluctant cadre of forest of- and foster participation by vulnerable groups. In fact, most ficers. people seemed to prefer keeping the forest officers in- * A June 1995 Bank review mission expressed senrous volved and appreciated the joint management (although concm a t te lyounger members of forest protection committee boards concemn about the lack of progress and participation in project activities, involvementofNGsandprogr more frequently expressed the desire for greater au- project activities, ivolvement of NGOs, and progress tonomy). Most of the forest protection committees may with the trbal development plan which would aress not yet have matured enough to assume complete and sae pe gro autonomous responsibility for all aspects of forest man- - The new chief minister engaged himself personally in agement. the problem of deforestation. Informed by key senior of- ficers, he facilitated the gradual mobilization of support Weaknesses of the Two Projects in Andhra Pradesh among the forest staff of the Forestry Department. He allocated new internal resources to expand the program, The challenge of sustaining more than 10,000 water user issued guidelines for the operation of the forest protec- associations and 6,000 forest protection committees is tion committees, coordinated efforts by various rural agen- great. And some obvious weak points in these projects cies, held statewide meetings with more than 6,000 for- have come to light. While some of these weaknesses are est protection committee presidents and members of man- being addressed, others need to be given fresh or more agement committees, issued government orders demand- attention by the program management: ing that forest protection committees pay equal wages to 1. More needs to be done to increase the capacity men and women, and held tele-conferences with district of presidents and management committees to undertake forest officers. economic planning, bookkeeping, and management of . The visible growthofforestsconvincedtheforeststa resource systems and farmers organizations in a setting * The visible g owth of forests convinced the forest staff of deep-rooted dependency on local government officials of the potential of farmers' participation in forest man- and funding. agement. 2. Attitudinal and systematic capacity strengthen- * NGOs became increasingly involved; nearly 200 are ing of the Irrigation and Forest Departments as well as 56 the Revenue and Agricultural Departments are needed to the fact that external financial support is provided for help them adjust to new roles and responsibilities and labor in forest and irrigation rehabilitation work and pub- limit administrative rigidity and nonparticipatory work lic facilities provided by the projects and partly to the methods. fact that interventionist and top-down modes of opera- 3. Improved systems are needed for income gen- tions are used by the department staff. eration and distribution of benefits. In the irrigation schemes, collection of water charges needs to be im- Economic and technical dependency on external relations proved. In the common-pool forests, issues arise over the remains very high (tables Cl and C2). But the potential marketing of the increased production and distribution is great for creating organizations that are viable finan- of benefits. cially, particularly in areas in which the potential for for- 4. Capacity for resolution of water management est growth and irrigation is high. With rising income, the disputes needs to be increased, especially capacity to re- problems of allocating rights and distributing benefits may solve head end/tail end structural conditions. become more intense, placing new demands on the prop- 5. Transparency and accountability in the use of erty rights regime and its leaders.2 funds need to be increased, and the distribution of ben- efits at the local level needs to be improved in order to The rights associated with property reform include both limit diversion by rent-seeking office bearers and gov- operational rights and collective choice rights (table C 1). ernment officials. As de jure owner of the forest, the state possesses all 6. Institutional relationships between farmers orga- rights. As part of the ongoing reform process, it has de- nizations and local self-governments (Gram Panchayats) volved key usufruct rights to farmers and important as- need to be strengthened in order to harmonize decisions pects of management and exclusion to the management on village affairs and avoid party politics, which could committees. adversely affect development efforts. 7. Women need to be more involved in The distinction between control over various bundles of decisionmaking and practical operations. rights is important in order to understand fully the differ- 8. A forest management policy needs to be devel- ences in roles and relationships between the state, the oped to address dynamic changes in institutional arrange- management committee, and farmers in forest manage- ments, increased forest production and the ecological ment. It can also be used to reveal gender and caste dif- character of the forest, and improvements in markets at ferences. In most cases, both men and women have ac- the village, district, and regional levels through transpar- cess and use rights to land and common-pool resources, ent involvement of the private sector. as well as rights to make improvements on the land. But 9. Rights to benefits from resources over time need women and scheduled castes often have fewer rights in to be secured. The usufruct rights in stands of high (teak) terms of ownership and management of land, exclusion, plantations have not been spelled out properly. Farmers' sale, and inheritance. The Forest Department still holds tenure to irrigation water is initially for a three-year pe- the upper hand on the management committees in many riod. aspects of forest management, as a result of their role as 10. Steps need to be taken to ensure that NGOs are secretaries of the management committees, their control used in a manner that allows them to pursue their own over the joint account, and their role in determining the goals of participation and that they are not simply hired rules for exclusion and sanctioning. Moreover, the qual- as consultants to undertake participatory rural assessments ity of the participation process, especially in relation to and micro-planning. the negotiation process between officials and farmners over 11. Continuous political, financial, and moral sup- the local action plans, is still weak. Hence in many ways port is needed to sustain enthusiasm while developing the regime is not truly participatory. plans to reduce systems of extemal dependency (finan- cial, technical, and managerial). Institutional relationships are improving, however. The allocation of secure usufruct rights to farmers is, for ex- Overall, the autonomy and viability of many of the forest ample, a major achievement. The joint nature of the pro- protection committees and water user associations remain gram may also be essential for the sustainability of the low. This lack of autonomy and viability is due partly to program. 57 Participation in Project Preparation: Lessons from World Bank-Assisted Projects in India Notes and favors of irrigation officials to get water to their marginal lands in the tail-end areas of irrigation commands. Now they get their water I According to a World Bank consultant, 'This is a tremendous change, user associations and distributionary committees leaders to negotiate which encourages scheduled groups to ask for access to other ben- water requirements and enjoy some sense of ownership over irriga- efits, such as water, agricultural credit, and inputs. As farmners they tion facilities with other farmers' ([J. Perera, World Bank consultant, hold passbooks issued by the Revenue Department, which indicate personal communication, 1998). See also annex 10 in Oblitas and the type of land (irrigated, upland, dry irrigated); survey numbers of Peter(1 999). holdings; and total holding size Because of membership in the farm- 2 One problem, partly beyond the scope of the program, is the man- ers organizations, they have become pukka (accredited) landowners, agement of political problems related to the Naxalites, an anti-land- with privileges and rights. Earlier they depended on the discretion owner and anti-government movement active in the Telangana region. Table Cl. Property Rights Associated with Status Positions under the Forest Institutional Reforms State Management committee Farmers Authorized Type Of right (owner) (proprietor) (Celaimant) users (women ) Operational Access Yes Yes Yes Yes Usufruct Yes, but only for Yes, for 100 percent of all Yes, for Yes, subject to wood from timber and nontimber management management developed products committees committee plantations decisions Collective choice Manageinent Yes, establishes Yes, under supervision of Yes, as member of Limited management Forest Department, general assembly in practices for the organizes all forest village forest operations and collection of ______________________ = ________ nontimaer nrn= dsctA _ Exclusion Yes, but important Yes, jointly with Forest n.a. n.a. rights devolved to Department creates rules management and regulations for use =____________________ committee _ Alienation Yes, with Yes, subject to rules and n.a. n.a. limitations regulations set by Joint set by new legal Management Act and st frmamewrk man_______committe n.a.. Not applicable. Note. Ar ecss refers to the right to entera defined physical area and enjoy benefits that do not subtract from others' rights to use the resource (such as trespassinig) Usufruct refers to the right to withdraw or obtain benefit streams or products from a resource. Management refers to the right to regulate internal use patters and transform a resource by making improvements (individually or collectively). Exclusion refers to the right to determinc who will have an access right and how that right may be transferred. Alienation refcrs to the right to sell or leasc tle above rights. Source: Field notes from Telangana, January 1999. 58 Table C2. Nature of Investments, Viability, and Degree of External Dependence of Forest Protection Committees Improved land Improved Transfer ef rights/ Social Economic management of management of change in property Item investmeunts investments individual fields communal forest rithis reeimes Nature of Community Labor wages and Check-dams, bore- Forest treatment, Transfer of usufruct investment halls, shelters, infrastructure holes for rice fields, plantation, gully rights, training, or supply stoves, schools for forest fruit trees plugging, check- access and use ._____ ____ _ manatement __ _ dams reeulation Local High High High High for forest High demand , treatment Nature of Public, common Private Privatc Common Common eoods ___ Ecological n.a. Positive Positive, but of Large-scale from Critical to obtain viability small scale forest management change in local ._____________ ____ ____ ____ ________ ____ ____ ____ __ _ ___ Dractice Economic Low, due to Low; depends on Depends on Large potential Critical to obtain viability risk of low cost recovery of technical viability from timber economically capacity for forest management and forest protection c and nontimber viable property maintenance and forest in maintenanec products rcgimes protection committec I _ ~~~~~~~~~viabi itv_ _ _ __ External High High High, but with High, but high High, but high dependcnce potential potential to potential for self- I______I I_ _ ___ become viable manaeement n.a. Not applicable. Source: Field notes, Telangana, January 1999. 59 Annex D. Participation and Social Analysis/ Social Assessment as an Iterative Process Consider project objectives and strategy Identify stakeholders and critical social and institutional relationships Assess scope of participation and socio-institutional analysis, and determine data needs and methods Examine social and institutional relationships that affect participation in preparation and implementation Develop participatory framework to foster primary and secondary stakeholder participation as an explicit element of social assessment Examine wider institutional and policy arrangements and how institutional stakeholders limit or enhance participation and ownership among beneficiaries Integrate social concerns into policy and institutional arrangements and develop project strategy and monitoring and evaluation arrangements in consultation with stakeholders Ensure capacity to sustain project by integrating plans for systematic institutional capacity strengthening and addressing issues of social mitigation and commitment to institutional reforms, poverty alleviation, and sustainable development V 60 Annex E. Assessing Participation in Project Preparation How can a flexible framework for participation be de- manage and develop professional skills and institutional veloped during preparation and sustained during imple- cultures? mentation? How can such a framework be assessed in * Are counterpart funds sufficient and likely to be sus- terns of indicators for quality at entry and monitoring taimed? and evaluation? Some relevant proxy indicators with 0 Is the approach built on tested technology and institu- which to assess the capacity and commitment of the Bank tion arrangements? Are economic benefits likely to en- team, the government, and community-based organiza- . . . tions; project preparation; and the quality of design at sue (for ndividual entrepreneurs and society)? entry are provided here. The overview is partial. * Is the organizational structure appropriate for the scope and activities to be undertaken (structure, management, Assessing the Capacity and Commitment of the Bank procedures, attitudes, practice)? Do mid- and field-level Team staff possess the required commitment and capacity? 0 Does the policy and legal framework support decen- 0 Does proven experience exist from other Bank-assisted tralization and empowerment? Are required reforms likely projects with similar participatory approaches (institu- to be achieved? tions and technologies)? * Has the political leadership recognized the importance * Is there full endorsement of participatory objectives of participation in terms of creating political stability and and strategies by the task team and team leader (attitudes, gaining political support (vote banks)? experience, knowledge)? * Is there appropriate recognition of ecological * Does the team possess the required professional skills sustainability as an important societal goal? in social development and institutional analysis? * What lessons were learned and translated from other Assessing the Capacity and Commitment of Commu- donors or NGOs and earlier projects? nity-Based Organizations * What is the capacity for supervising and guiding project During preparation: development in a flexible and responsive manner? * Is there a broad-based endorsement of project objec- * Does the project entail any reputational or develop- tives, strategies, and components by beneficiaries or their ment effectiveness risks for the Bank? representative leaders? * Was this endorsement achieved through participatory Government planning tools and genuine negotiation (participatory rural appraisal) and incorporation of beneficiary views and interests? * Is there declared endorsement of project objectives and buy-in . topriiaor. prahs * Is the approach built on proven technologies and insti- buy-in to participatory approaches?9uinlstutrs 0 Does the political and bureaucratic leadership have vi- tuthere structures? sion nd prven xperince ad caabiliies?* Are there good local leadership capabilities in terms of sion and proven experience and capabilities? visions, attitudes, and skills in economic management, * Do the executing agencies have sufficient autonomy to bookkeeping, accounting, and resource management? 61 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India *Are local leaders representative in terms of gender, age, * What methods and arenas were used for stakeholder education, wealth, economic interests, power, caste, and participation (number of meetings, workshops, public ethnicity? hearings with primary versus secondary stakeholders)? * What is the level of involvement (information sharing, During implementation: consultation, collaboration, empowerment)? Is participa- * Have beneficiary organizations started operating and tion being institutionalized? learning (as measured by the number of meetings held, * How is participation with primary and secondary stake- the topics discussed, the degree of consensus, and the holders being documented and analyzed? Are lessons outcomes and actions taken)? being drawn in a systematic manner? * Have rules for community-based organization mem- bership, access, use, and management been created? Have Assessing Quality of Entry of Project Design local practices started to change? * Has the introduction of systems for graduate sanction * Do the program selection, design, and strategy for and conflict management started? implementation incorporate key social issues and views * Are requirements for transparency and accountability of major stakeholders through a participatory and sys- being addressed in decisionmaking? tematic process? * Was decisionmaking authority transferred and an au- * Was the social impact disaggregated by social groups tonomous body created that is independent of (interven- and adequate provision made for mitigation of adverse tionist) state officers? social impact? * Is there a diffusion of new ideas, knowledge, and civic * Is the project design comprehensive enough to reach awareness of rights and rules? primary beneficiaries and vulnerable groups? - Are there signs of evolution of new institutional net- * Is decentralization and empowerment of community- works, communication, and civic engagements? based organizations an integrated strategy concern? e Is there a sign of growth in social capital, reflected, for * Were participatory frameworks and plans for capacity example, in the capacity for govemance of wider village building developed at the local level? affairs? 0 Is the design sensitive to government capacity con- * Are there increases in income and improved distribu- straints? Are there plans for systematic institutional ca- tion, reinvestment, and accumulation among individual pacity strengthening (not just skills development)? members and organizations and trends toward institu- * Is monitoring of social and institutional change an ex- tional viability? plicit aspect of monitoring and evaluation? Does the X Is the degree of extemal dependency being gradually monitoring and evaluation system focus on participatory reduced? monitoring and organizational leaming? * Does the client have a policy consistent with Bank safe- Assessing Project Preparation guard policy and relevant laws of the country? * Does the project design include an action plan to miti- * Was a participatory framework developed? Are there gate adverse impacts? Does the design comply with the any known stakeholder/NGO/media opposition? Bank's safeguard policies? * Was sufficient time and budget allocated for participa- * Is the design flexible? Does it leave room for respon- tion and social assessment? sive adjustments during implementation? * How many and what type of primary and secondary *Are there plans forproject withdrawal, and are those plans stakeholders were involved in consultation (representa- realistic in tenns of institutionalizing participation and sus- tiveness)? taining inclusive organizations after project completion? 62 Bibliography Aycrigg, M. 1998. "Participation in the World Bank: Success, Gill, S. S. 1998. The Pathology of'Corruption. Harper Collins Constraints, and Responses." Draft for Discussion. Publishers India. New Delhi. Social Development Papers, Environmentally and Gujja, B., M. Pimbert, and M. Shah. 1998. "Village Voices: Socially Sustainable Development Network: World Challenging Wetland Management Policies: Partici- Bank. Washington. D.C. patory Rural Appraisal Experiences From Pakistan Blackbum, J. 1998. "Getting Policymakers to Move the Bricks and India." In J. Holland with J. 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Oxford. Assessments for Better Development: Case Studies Lund, L.C. 1999. Personal communication. World Bank. New in Russia and Central Asia. Environmentally Delhi. Sustainable Development Studies and Monographs Kar, K., and S. Phillips. 1998. "Scaling Up or Scaling Down? Series No. 16, World Bank. Washington, D.C. The Experience of Institutionalizing Participatory 1997b. Social Assessments for Better Development: Rural Appraisal in the Slum Improvement Projects in Case Studies in Russia and CentralAsia Environmen- India." In J. Blackburn with J. Holland, eds., Whose tally Sustainable Development Studies and Mono- Voice? Participatory Research and Policy Change. graphs Series No. 16, Washington, D.C.: World Bank. London: Intermediate Technology Publications. Chambers, R. 1997. Whose Reality Counts? Putting the First Mansolff, C. 2000. "Report on the OED/SDV Task Manager Last. Intermediate Technology Publications. London. Survey on Participation." World Bank, Operations and Clark, J. D., and W. Dorschel. 1998. "Civil Society Participation Evaluation Department, Washington, D.C. in World Bank CountryAssistance Strategies: Lessons Mascarenhas, J. 1998. "The Participatory Watershed Devel- from Experience, FY 97-98." World Bank, Social opment Implementation Process: Some Practical Tips Development Family, Washington, D.C. Drawn from Outreach in South India." In J. Blackburn Colletta, N. J., and G. Perkins. 1995. "Participation in with J. Holland, eds., 1998. Who Changes? Institu- Education." Environment Department Papers, tionalizing Participation in Development. London: Participation Series, Paper No. 001. Environment Intermediate Technology Publication Department. World Bank.Washington, D.C.: Mathur, H. M., and D. Marsden, eds. 1998. Development Dreze, J., and A. Sen, eds. 1996. Indian Development: Selected Projects and Impoverishment Risks: Resettling Perspectives. Oxford Indian Paperbacks. New Delhi. Project-Affected People in India. Oxford University Estrella, M., ed. 2000. Learning from Change: Issues and Ex- Press. Oxford. periences in Participatory Monitoring and Evalua- Mohan, R. R. 1999. Personal communication. World Bank. tion. Intermediate Technology Publications. London. New Delhi. Falconer, Julia. 1999. Personal communication. World Bank. Narayan, D., and D. Nyamwaya. 1996. "Learning from the New Delhi. Poor: A Participatory Poverty Assessment in Kenya." 63 Participation in Project Preparation: Lessonsfrom World Bank-Assisted Projects in India Environment Department Papers, Participation Series, -. 1998b. "Toward a Listening Bank: A Review of Best Paper No. 034. Environment Department. World PracticesandtheEfficacyofBeneficiarvAssessment." Bank: Washington, D.C. Social Development Papers. Paper No. 23. World North, D. 1990. Institutions, Institutional Change and Eco- Bank. Washington, D.C. noniic Performance. Cambridge University Press. Satish, S. 1999. "Social Assessment to Foster Indian Farmers' Cambridge. Tryst with Sodic Lands Reclamation." Paper presented Norton, A., and T. Stephens. 1995. "Participation in Poverty at the Social Assessment Workshop, February 8- 10, Assessments." Environment Department Papers, 1999. New Delhi. Participation Series, Paper No. 020. Environmentally -. 1999. Personal communication. World Bank. New Delhi. and Socially Sustainable Development Network. Schaengold, E. 1999. Personal communication. World Bank. World Bank. Washington, D.C. New Delhi. Oblitas, K., and J. Raymond Peters. 1999. "Transferring Irri- Social Development Department 1998. "Social Development galion iManagement to Farmers in Andhra Pradesh, Update: Making Development More Inclusive and India. " World Bank Technical Paper No. 449. Wash- Effective." Social Developtment Papers, Paper No. 27. ington, D.C. Social Development Department. World Bank. Wash- OED (Operations and Evaluation Department). 1999. OED ington, D.C. Participation Process Review, Design Paper. Draft. Shepherd, A. 1998. "Participatory Management or Commu- World Bank. Washington, D.C. nity Management: Contradiction of Process, Project Peters, Raymond, J. 1999. "Management of Irrigation System and Bureaucracy in the Himalayan Foothills." In J. by Farmers in Andhra Pradesh, India." Paper presented Blackburn with J. Holland, eds., 1998. Who Changes? at the Fourth National Conference on Participatory Institutionalizing Participation in Development. In- Irrigation Management, National Institute of Rural termediate Technology Publication. London. Development (NIRD), January 19-23, 1999. Stiglitz, J. 1998. "Towards a New Paradigm for Development: Hyderabad. Strategies, Policies, and Process." The 1998 Prebisch Picciotto, R. 1992. "Participatory Development: Myths and Lecture at UNCTAD, October 19. Geneva. Dilemmas." Policy Research Working Papers, Partici- Uphoff, N., 1998. "Community-Based Natural Resources patory Development, WPS 930. World Bank. Wash- Management: Connecting the Micro and Macro ington, D.C. Processes and People with Their Environments." Rietbergen-McCracken, J., ed. 1995. "Participation in Prac- Intemational Workshop on Community-Based Natural tice: The Experience of the World Bank and Other Resources Management, May 10 14, World Stakceholders. " World Bank Discussion Paper No. Bank.Washington, D.C. 333. Washington, D.C. Varma, P. 1998. The Great indian Middle Class. Viking. New Robb, C. 1998: PPA. "A Review of the World Bank's Experi- Delhi. ence." In J. Holland with J. Blackburn, eds., Whose Van Wicklin III, W. A. Forthcoming. "India Country Assis- Voice? Participatory Research and Policy Change. tance Evaluation: Evaluating Bank Assistance to India Inten'nediate Technology Publications. London. for Social Development." Draft. World Bank, Opera- Sachs, W. ed. 1996. The Development Dictionary. A Guide to tions and Evaluation Department, Washington, D.C. KnowledgeasPower.WitwatersrandUniversityPress Vedeld, T. 2001. "Participation in the Himalayan Foothills: Johannesburg and Zed Books Ltd. London. Lessons from Watershed Development in India." Pa- Salmen, L. F. 1995a. "Beneficiary Assessment: An Approach per No. 38. Environmentally and Socially Sustainable Described." Environmental Department Papers, Paper Development Network. World Bank. Washington, D.C. No. 023. Environmentally and Socially Sustainable World Bank 1996. The World Bank Participation Sourcebook. Development Netowrk. World Bank. Washington, D.C. Washington, D.C. 1995b. Participatory Poverty Assessment: Incorporating - 1998a. India: Achievements and Challenges in Reducing Poor People's Perspectives into Poverty Assessment Poverty. A World Bank Country Study. Washington, Work." Environment Department Papers, Paper No. D.C. 024. Environmentally and Socially Sustainable De- - 1998b. Reducing Poverty in Indict. Options /br More Ef- fective Public Services. A World Bank Country Study. velopment Netowrk. Washington, D.C .: World Bank. Washington, D.C -. 1998a. "Implementing Beneficiary Assessment in Educa- . 2000. Attacking Poverty. World Development Report 2000/ tion: A Guide for Practitioners (with Examples from 2001. Oxford University Press, New York. Brazil)." Social Development Papers, Paper No. 25. -. 2000. "Country Assistance Strategy." Poverty Reduction Environmentally and Socially Sustainable Develop- and Economic Management. World Bank. Washing- ment Netowrk.World Bank. Washington, D.C. ton, D.C. 64 Distributors of World Bank Group Publications Prices and credit terms vary from CZECH REPUBLIC INDIA Euyoo Publishing Co., Lt. PERU SWEDEN country to ounrry. Consuit your USIS, NIS Prodejna Allied Publishers Ud. 46-1. Sus.no-Dong Editorial Desarrollo SA Wonnergtee-Wlliams AB iocal distributor before placing an Havelkova 22 751 Mount Road Jongro-u Apartado 3824, Ica 242 Of. 106 P. 0. 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Lahore Colombo 2 Tel: (2572) -0 H-1138 8udapest Socho-ku Tel: (92 42) 636 3222; 636 0805 Tel: (94 1) 32105 Fel: (357 2 59-2073 Tel: (36 1) 3508024, 250 80 25 Seoul Fax:1 9242)632328 Fax: (941432104 Fax: (36 1) 350 90 32 Tel: (82 2) 536-9555 E-maIl: pbc@brain.net.pk E-mail: LHL@srd.lanka.net E-mail: euroinfo*mail.mtav.hu Fax: (82 2) 536-0025 E-mail: seamap6chollian.net Recent World Bank Discussion Papers (continued) No. 382 Public Expenditrure Reform under Adjustment Lending: Lessonsfrom World Bank Experiences. Jeff Huther, Sandra Roberts, and Anwar Shah No. 383 Competitiveness and Employment: A Framework for Rural Development in Poland. Garry Christensen and Richard Lacroix No. 384 Integrating Social Concerns into Private Sector Decisionmaking: A Review of Corporate Practices in the Mining, Oil, and Gas Sectors. Kathryn McPhail and Aidan Davy No. 385 Case-by-Case Privatization in the Ruissian Federation: Lessontsfrom International Experience. Harry G. Broadman, editor No. 386 Strategic Managementfor Government Agencies: An Institutional Approachfor Developing and Transition Economies. Navin Girishankar and Migara De Silva No. 387 The Agrarian Economies of Central and Eastern Europe and the Commonwealth of Independent States: Situation and Perspectives, 1997. Csaba Csaki and John Nash No. 388 China: A Strategyfor International Assistance to Accelerate Renewable Energy Development. Robert P. Taylor and V. Susan Bogach No. 389 World Bank HIV/AIDS Interventions: Ex-ante and Ex-post Evaluation. Julia Dayton No. 390 Evolution of Agricultuiral Services in Suib-Saharan Africa: Trends and Prospects. V. Venkatesan and Jacob Kampen No. 391 Financial Incentivesfor Renewable Energy Deve.!opment: Proceedings of an International Workshop, February 17-21. 1997, Amsterdam, Netherlands. E. Scott Piscitello and V. Susan Bogach No. 392 Choices in Financing Health Care and Old Age Security: Proceedings of a Conference Sponsored by the Institute of Policy Stidies, Singapore, and the World Bank, November 8, 1997. Nicholas Prescott, editor No. 393 Energy in Europe and Central Asia: A Sector Strategyfor the World Bank Grouip. Laszlo Lovei No. 394 Kyrgyz Republic: Strategyfor Rutral Growth and Poverty Alleviation. Mohinder S. Mudahar No. 395 School Enrollment Decline in Suib-Saharan Africa: Beyond the Supply Constraint. Joseph Bredie and Girindre Beeharry No. 396 Transforming Agricultutral Research Systems in Transition Economies: The Case of Russia. Mohinder S. Mudahar, Robert W. Jolly, and Jitendra P. Srivastava No. 398 Land Reform and Farm Restructuring in Moldova: Progress and Prospects. Zvi Lerman, Csaba Csaki, and Victor Moroz No. 400 Russian Enterprise Reform: Policies to Further the Transition. Harry G. Broadman, editor No. 401 Russian Trade Policy Reform for WTO Accession. Harry G. Broadman, editor No. 402 Trade, Global Policy, and the Environment. Per G. Gredriksson, editor No. 403 Ghana: Gender Analysis and Policymakingfor Development. Shiyan Chao, editor No. 404 Health Care in Uganda: Selected Isstues. Paul Hutchinson, in collaboration with Demissie Habte and Mary Mulusa No. 405 Gender-Related Legal Reform and Access to Economic Resources in Eastern Africa, Gita Gopal No. 406 The Private Sector and Power Generation in China. Energy and Mining Sector Unit, East Asia and Pacific Region, World Bank No. 407 Economic Growth with Equity: Ukrainian Perspectives. John Hansen, editor No. 408 Economic Growth with Equity: Which Strategyfor Ukraine? John Hansen and Diana Cook No. 409 East Asian Corporations: Heroes or Villains? Stijn Claessens, Simeon Djankov, and Larry H. P. Lang No. 411 Making the Transition Workfor Women in Europe and Central Asia. Marnia Lazreg, editor No. 412 Intellectual Property Rights and Economic Development. Carlos A. Primo Braga, Carsten Fink, and Claudia Paz Sepulveda No. 413 Management and Resolution of Banking Crises: Lessonsfrom the Republic of Korea and Mexico. Jose De Luna-Martinez No. 414 Liqutefied Natural Gas in China: Optionsfor Markets, Institutions, and Finance. Dean Girdis, Stratos Tavoulareas, and Ray Tomkins No. 417 Hungary: Modernizing the Subnational Government System. Mihaly Kopanyi, Samir El Daher, Deborah Wetzel, Michel Noel, and Anita Papp No. 419 Measuring and Apportioning Rentsfrom Hydroelectric Power Developments. Mitchell Rothman No. 420 Financing of Private Hydropower Projects. Chris Head THE WORLD BANK 1818 H Street, N.W. WVashington, D.C. 20433 USA Telephone: 202-477-1234 Facsimile: 202-477-6391 Internet: ww-.wvorldbank.org E-mail: feedbackCa@worldbank.org ISBN 0-8213-4932-5