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									                             Aquatic Resource Management

Participatory Aquatic
Resource Management (PARM)

An Overview

                             Deutsche Gesellschaft für
                             Technische Zusammenarbeit (GTZ) GmbH
Aquatic Resource Management

Participatory Aquatic
Resource Management (PARM)
An Overview

Eschborn 2002 (Revised Edition)
Published by:
Deutsche Gesellschaft für
Technische Zusammenarbeit (GTZ) GmbH
Postfach 51 80, 65726 Eschborn - Germany

Aquatic Resource Management

Responsible: Dr. Uwe Lohmeyer, Phone: (+49) (0) 6196-79-1471

Author: J. D. Balarin

Layout: Chrystel Yazdani, Unit 6002, Document and Graphics Centre

Printed by: Universum Verlagsanstalt, Wiesbaden, Germany
Sustainability in aquatic resource management is a major development
concern. Development initiatives based on top-down planning, project
identification and formulation, and traditional extension methods have
generally performed below expectation. There is however, a growing basket
of Participatory Aquatic Resource Management (PARM) approaches,
processes using defined methods to involve all parties in the sharing of
responsibilities and decision making to attain their specific development
objectives. PARM engenders self-analysis, self-help, and above all,
empowers the target group with a commitment to manage their own

The fisheries section of the Deutsche Gesellschaft für Technische
Zusammenarbeit (GTZ) identified in a questionnaire survey of all GTZ
fisheries projects the importance and need for project advisers to meet and
exchange information on experiences made so far with participatory aquatic
resource management methods. This meeting was held in Namibia in
March 1996. 25 persons representing the technical expertise from 14 GTZ
fisheries projects, two GTZ headquarters fisheries section staff and two
moderators attended the workshop. One output of the workshop is this
report which may be of interest to others also interested in the concept of
participative management for their own projects or programmes. A number
of new participatory activities emerged which had been tailor-made to suit
the needs of the projects, notably CAP, CEFE, SCA, IAD, RTP and SWAP
adding to an ever growing basket of participatory technologies. These are
described and incorporated into a framework detailing participatory tools
and methods currently in use in the GTZ fisheries project cycle.

The pros and cons of PRA, RRA and PA are discussed and a toolbox
generated, listing PRA techniques (i.e. mapping, transects, Venn diagrams,
flow diagrams, calendars, ranking, problem analysis, etc.) and their possible
application at various stages of project development. Participatory
approaches such as DD, AEA, SONDEO, ROA, PALM, PAR and PAME are
briefly described and references included for further reading.

For sustainable participatory aquatic resource management, the community
(i.e. fishers or fish farmers) must first be organised into groups and have an
institutional framework that governs rules and regulations of access and
rights. Rules include code of conduct, fixing gear limits, fishing seasons, etc.
with sanctions for defaulters. Often, the induced Fisheries Management
Institution requires support from the judicial system for law enforcement
against externals.
In the Project Cycle, early participation of the target group in the
identification and planning stages can help to incorporate the felt needs for
development, instil community ownership in the project, empowering self-
help and problem solving. During implementation, PRA techniques offer
opportunities for involving the target group at all stages of development.
Participatory research, participatory extension and participatory training
become possible, such that development partners combine efforts in
technology development and transfer (TDT). Gender issues and
environment can be sensitised and included in the process. The formation
of peer pressure groups as the focus for development allows, amongst
other things, for a participatory management of credit. Credit and savings
groups formed in this way manage rotating funds with high rates of success.

Participatory approaches do not offer a panacea for success, they are not
without pitfalls and need skilled facilitators and an enabling environment. In
addition, government must be receptive to the development needs of the
community which, in turn, must fall within national development policy and
capacity. Participatory approaches to aquatic resource management,
however, do offer a new initiative which in the long term may help to
enhance sustainability and promote co-management of resources, leading
to self-management.
                                                         Table of content

Table of content

Acronyms                                                               v

1.      Introduction                                                   1
1.1     Participatory Development                                      1
1.2     Participation and the GTZ Project Cycle                        1
1.3     Participatory Development in Fisheries                         6

2.      Participation as a Process                                     9
2.1     Participation Defined                                          9
2.2     Participatory Approach to Development                          9
2.2.1   Participatory Development Manuals                              9
2.2.2   Project Typology                                              10
2.2.3   Elements of Participation                                     14
2.2.4   Principles for Participation                                  15
2.3     Facilitators and Obstacles to Participation                   18
2.4     Participatory Approaches                                      19

3.      Participatory Tools/Methods                                  23
3.1     Participatory Rural Appraisal in Fisheries                    23
3.1.1   History of PRA                                                23
3.1.2   Advantages of PRA                                             24
3.1.3   PRA and Project Cycle                                         25
3.1.4   PRA Process                                                   26
3.1.5   Problems with PRA                                             28
3.2     PRA Toolbox                                                   29
3.3     Participatory Approaches in Fisheries                         36
3.3.1   Conventional PRA Applications                                 36
3.4     PRA Team                                                      36

4.      Institutional Requirements for Participatory Aquatic
        Resource Management                                          39
4.1     Institutional Problems in Fisheries Management                39
4.2     Tenurial Issues                                               39
4.3     Co-management                                                 40


4.4     Institutional Arrangements                           41
4.4.1   Traditional Fisheries Management Institutions        42
4.4.2   Induced Fisheries Management Institutions            43
4.5     Institutional Requirements                           44
4.6     Community Institution Fish Ponds                     46

5.      Participatory Project Management                     49
5.1     Participatory Management                             50

6.      Participatory Extension                              53
6.1     Participatory Approach to Extension (Fisheries)      55
6.2     Participatory Approach to Extension (Fish Farming)   55
6.2.1   Flow Models                                          57
6.2.2   On-Station Workshops                                 58
6.2.3   Bank Side Field Days                                 59
6.2.4   Participatory Farming Systems Development            59
6.2.5   Farmer to Farmer (Fisher to Fisher)                  60
6.3     Community Facilitators                               60
6.4     MAGDAD Participatory Extension and Economics         62

7.      Participatory Training                               65
7.1     Training Approach/Communication Skills               65
7.2     Target Group Perceptions                             68
7.3     The Participatory Training Cycle                     68
7.3.1   Participatory Training Needs Evaluation              69
7.3.2   Participatory Training Material Preparation          69
7.3.3   Participatory Workshops/Fields Tests                 69
7.3.4   Training                                             72
7.3.5   Post Training Evaluation                             73

8.      Participatory Research                               75
8.1     Research Approaches                                  75
8.2     Participatory Research Options                       76

9.      Participation in Environmental Management            79

10.     Participatory Credit Schemes                         81
10.1    Community Credit Schemes                             81
10.2    Loan Guarantee Fund                                  83

                                                                    Table of content

11.    Gender Issues                                                            85
11.1   Strategies for Gender Participation in Development                        85
11.2   Gender Participation in Fisheries                                         87
11.3   Gender Participation in Aquaculture                                       87

12.    Participatory Approaches and the GTZ Project Cycle                       89
12.1   Participatory Approaches in Project Identification                        89
12.2   Participatory Approaches in Project Planning                              90
12.3   Participatory Approaches in Project Implementation                        90
12.4   Participatory Approaches in Project Monitoring and
       Evaluation                                                                91

13.    References                                                               93

14.    Abbreviations used                                                       99


Table 2.1   Project Typology According to Degree of Participation              11
Table 2.2   Participatory Approaches in Project Development                      21
Table 3.1   Points of View of Outsiders and Local People                        23
Table 6.1   Advantages and Disadvantages of Traditional vs.
            Participatory Extension                                             53
Table 6.2   Economic Evaluation of Various Extension Approaches
            A Case Study of MAGFAD, Malawi                                      63
Table 7.1   An Example of a Training Needs Assessment Survey
            Used in the Oxbow Lake Project, Bangladesh                          71



Figure 1.1   The GTZ Project Cycle and the Project Cycle Management (PCM) 3
Figure 1.2   Events in FAO Project Cycle                                    4
Figure 1.3   Rapid Appraisal as a Tool for Community Development            5
Figure 2.1   Illustrated Changes in the Development Process                13
Figure 2.2   Spectrum of Co-management Arrangements in Fisheries           14
Figure 2.3   Rapid Appraisal as an Interaction Between Outsiders, Local
             Gencies and Local Communities in the Development Planning     17
Figure 4.1   Stylised Institutional Framework for Community Based Fisheries
             Management                                                     45
Figure 5.1   The Hierarchy of Needs in the Management of Change            49
Figure 5.2   The Client:Provider Relationship in the Management of Change 51
Figure 6.1   Flow Diagram of Technology Transfer and Information
             Feed-Back in Project Development                              56
Figure 6.2   Interlinkages between Project Components for Participatory
             Technology Development and Transfer (TDT) System              58
Figure 6.3   Economic Evaluation of Various Extension Approaches
             A Case Study of MAGFAD, Malawi                                64
Figure 7.1   The Cone of Learning Illustrating a Need for Active
             Participation in the Teaching Process                         66
Figure 7.2   A Training Guide to Illustrate the Learning Process as
             Influenced by the Method of Training and by Time              67
Figure 7.3   The Participatory Training Cycle for Capacity Building of
             - Target Group - Extensionists                                70


FOPESCA    Development of the artisanal fisheries of   Cape Verde
           Fogo and Brava

GPSO       Fisheries reservoir management in the       Burkina Faso
           South-western Region

HKF        Promotion of artisanal coastal fisheries    Madagascar

ICLARM     ICLARM/GTZ project, development of          Malawi
           appropriate aquaculture technology for

IGRFDP     Indo-German reservoir fisheries             India
           development project, Kerala

LKFDP      Lake Kariba small-scale fisheries           Zambia
           development project

MAGFAD     Malawi-German fisheries and aquaculture     Malawi
           development project, Zomba

MARENPRO   Namibian-German marine environmental        Namibia
           monitoring project

MCFDP      The MOMA coastal fisheries development      Papua New
           project                                     Guinea

NAMIBIA    Advisory assistance to the Ministry of      Namibia
           Fisheries and Marine Resources

NGKLFPP    Nigeria-German Kanji Lake fisheries         Nigeria
           promotion project

PAPEC      Reservoir development project               Brazil

PPL        Lagoon fisheries project                    Benin

PRAPESCA   Coastal artisanal fisheries development     Ecuador

SGAIFDP    Syrian-German aquaculture and inland        Syria
           fisheries development project

                                                                1. Introduction

1.     Introduction

1.1    Participatory Development
There is a growing concern that development projects are not meeting
respectfully but only meeting partially their objectives. New world-wide
trends in economic development and reforms demand new innovative (and
economic) approaches. The new scenario is characterised by diminishing
intervention of the State, and privatisation and liberalisation of markets.
National development policies are strongly affected by these changes.

Participatory resource management has become a recent trend but it is by
no means a new concept. A number of participatory appraisal tools (i.e.
PRA, RRA, PA, etc.) have recently emerged to facilitate the process of
involving beneficiaries in development. These are reviewed in depth by
Schönhuth and Kievelitz (1994), Case et al (1990) and others. Often
intimated in discussions and workshops is perhaps that development to
date has paid lip-service to participatory development and the implications
or means have not been fully understood or applied. Participation does not
only mean with the people, but the need is also for more participation
between development partners and integration of departments and
institutions (e.g. agriculture, aquaculture and perhaps other sectors must
participate jointly for farming systems development).

1.2    Participation and the GTZ Project Cycle
The project cycle is a sequence of events in the development process. It
starts with an idea and goes through various stages: definition, planning,
decision-making, controlling, guidance, organisation, information and all the
functions of management required to achieve the development objective.
Project Cycle Management (PCM) is described by Croll (1994a) as a
participatory and process orientated development management method, a
holistic approach. The process is based on the felt needs of the target
group/community and facilitates project supervision to arrive at an improved
situation. The typical GTZ project cycle showing the interactive stages of
target group involvement is summarised in Fig. 1.1 and more detailed steps
as adopted by FAO are illustrated in Fig. 1.2.


                                                                1. Introduction

                                                          Elements of all
        Cycle                            Iterative         phases to be
          of                             process          (continuously)
        project                           in PCM            done by the


                                 Adaptation                A    Participation
      Project idea                                                of involved
                                                           A          groups,
                                                           P    communities
                                Identification phase             Flexible use
                                                           A        of ZOPP-
                                                           T            steps
      Definition of                                        N       Structural
       objective                                                   issues to
                                                                  be defined

                                      Concept ??? phase            planning
                                                           P      Monitoring
        Plan of                                            T
      programme                                            A
        defined                                                   Evaluation

                                Implementation phase               Reporting

                                                                    of plans
    Achievement of

Figure 1.1   The GTZ Project Cycle and the Project Cycle Management (PCM)
             (Source: Croll, 1995a)


                                              FDU team
                                              members             Fisher folk

                                                      Identification of
                                                    needs and problems
    IDENTIFICATION                                                                               IDENTIFICATION
        STAGE                                          Ranking of needs                              PHASE
                                                        and problems

                                                      Formulation and
                                                                                  3     OBJECTIVES
                                                    ranking of objectives

     CYCLE                                    4
                                                            Listing of
                        Collection                          solutions
                        of further
                      information                                                     Discussions
                            about                                                     of solutions,
                       alternative                                                                        PLANNING
                                                                                      revision of
                      solutions in                       Choose                                            CYCLE
                                                                                      ideas and list
                    pre-feasiblity                 9    solution (s)
                                                                                      of possible
                          studies.                                                    solutions,
                   Elimination of             10
                                                  Design of detailed work plan        elimination of
                       unfeasible                                                     unfeasible
                         solutions                     11                             solutions
               5                                  Assignment of responsibility                      8
                                                    for inputs and activities

                                     Drafting of
          15                         preparatory                     Assessment
                                     work plan                       of feasibility 7
                                                                     of solutions
               Revision                                                                         12
               follow on                                                              Implementation
    OPERATIONS                                                                                          OPERATION
      STAGE                                                  and                                          PHASE
                                                             evaluation          13

Figure 1.2         Events in FAO Project Cycle
                   (Source: Meynall, 1988)

                                                         1. Introduction

                     In reality, the project cycle is more like a spiral
  leading agency     of events (i.e. cycle within cycles) where a
                     project will pass from identification to planning
                     and implementation during which monitoring
                     and evaluation is carried out and leads to
                     identification of new developmental concepts
   local             which than pass through the same sequence
   community         of events. After each cycle, the situation
                     comes that much closer to an improved
 “exploratory”       situation. By introduction of participatory
   appraisal         processes, Townsley (1993) illustrates in Fig.
                     1.3 how at each cycle the community becomes
                     empowered to take up a more active role until
                     the development process itself becomes
                     community driven.
                     ZOPP is one tool within the PCM, defined by
                     Croll (1994a) as a visualised, participatory and
                     process (or objectives) orientated discussion
                     technique. The basis is the premise that the
                     eye is a better recipient and transmitter of
                     information to the brain than the ear (see Fig.
                     7.1). The important features are:
  appraisal               Teamwork
   with the               Visualisation
 community                Moderation
                     ZOPP generally is a cooperation between
                     project staff and partner organisations applied
                     in planning and implementing of projects.
                     Cases where ZOPP has involved target group
                     participation in GTZ fisheries projects are
                     noted in Benin, Brazil, Papua New Guinea and
                     Zambia. One of the limitations was the need
                     for literate participants, however it may be
                     possible to conduct a special modified ZOPP
                     with non-literate fisherfolk by using pictorial
                     symbols. Schönhuth and Kievelitz (1994)
                     consider that PRA methods can be combined
 community-          with ZOPP in project management, monitoring
led appraisal        and progress reviews to raise the quality of
                     these instruments by involving the target
                     ZOPP therefore is a powerful tool that can be
                     adapted and applied to all stages of the
                     Project Cycle and at all levels of project
                     development, and - if development is to be
                     more participatory - can be applied involving
                     the target group.

                   Figure 1.3    Rapid Appraisal as a Tool for
                                 Community Development
                                 (Source: Townsley, 1993)


1.3     Participatory Development in Fisheries
Participatory development was first initiated on a wide-scale in the 1960’s.
FAO adopted a policy of providing logistical support in the form of Fisheries
Development Units (FDU); a technical specialist team, grouped in
Community Fisheries Centres (CFC) based at village level to help the
community. Black-Michaud and Johnson (1986) concluded that for rural
development projects to work there is a need for mutual trust and sharing
and that both sides (i.e. beneficiaries and agents) must feel that they
participated in decision making and implementation. Participatory approach
entails that government officials have to depart from behavioural norms and
require joint activities, group deliberation and decision taking with and by
the target group.

Initial participatory development efforts failed due to the fact that community
development officials were not very good at communicating with their rural
clientele and a number of fundamental requirements emerge (Black-
Michaud and Johnson, 1986, Templeman, 1989):

      Beneficiaries must make a commitment (i.e. manpower, money or
      Beneficiaries must be involved from the start (i.e. planning and
      Beneficiary must expect some personal gain (i.e. economic rent)
      Beneficiaries need advice and training (i.e. technical and management
      A deliberate effort must be made to involve women (and youth).
      Infrastructure development should not be one off.
      All members of a group must be accountable and work and share
      Participatory management style allowing group decision making.
      Collaboration with NGO’s lend flexibility and continuity (e.g. credit, field
      Groups must be small, homogenous and know each other (i.e. peer
      groups can instil peer pressures).
      The approach must respect the vertical integration of the system.
      Skilled leadership is required to facilitate group activities.

                                                                  1. Introduction

The benefits of participatory approach were listed as:
     They cost less (i.e. less need for highly qualified expertise and detailed
     data and information).
     More in tune with local expectations (i.e. community leads the project).
     Entail less wastage (i.e. participants are using their own resources).

However, a number of problems were noted:
     Community may lack the knowledge to judge appropriate technologies.
     Government reluctant to cooperate on equal terms and relinquish
     Community perceived problems and solutions may differ from
     government policy.
     Vested interests and local elite may be reluctant to relinquish old
     patterns of power.
     Existing inequalities (i.e. gender, youth) may be re-inforced by social
     The       successful     application   of    PRA      requires     trained
     facilitators/extension staff.
     Extension workers must live in villages and to maintain rapport should
     not be frequently transferred.

                                                      2. Participation as a Process

2.      Participation as a Process

2.1     Participation Defined
There are many interpretations of the term participation. For example:
      Collective, self-reflected awareness (SADC, 1989).
      Working together (SADC, 1989). Rural folk are weak and exploited,
      however if they can acquire group personality they are able to assert
      themselves and exert influence on the community.
      Working with people towards development (BOBP, 1993). To enable
      people to critically understand their condition and predicament, identify
      needs and prioritise, evolve methods of resolving and to mobilise local
      resources, to implement the activity through organisation, to learn from
      experience and to do all in a self-reliant manner.
      A process using defined methods to involve all parties in the sharing of
      responsibilities and decision making to attain their specific
      development objectives (GTZ fisheries workshop, 1996).

The characteristics of participatory development can be considered as
(BOBP, 1993):
      A blend of modern, scientific, rational knowledge and traditional
      indigenous knowledge.
      Directions and objectives grow out of negotiations.
      Agencies must diversify and work in partnership.
      Agencies become enabling, demystify knowledge.
      Agencies empower communities and bring about structural socio-
      political changes.
      Decision making and information is shared.
      Successful development may eliminate the role and need of agencies.

2.2     Participatory Approach to Development

2.2.1 Participatory Development Manuals

The FAO Fisheries conference in Colombo, Sri Lanka in 1992, concluded
that there was no cut and dry approach, no manual would be complete,
participation is a human act and grows out of beliefs and attitudes (i.e.


peoples and agencies, BOBP, 1993). There are, however, a number of
useful manuals and texts available:

Aquaculture Research:                       Lightfoot et al (1991)
                                            Lightfoot, Noble and Morales (1991)
Fisheries Projects:                         Meynall (1988)
                                            Templeman (1989)
                                            Chimbuya (1994)
Agro-ecosystems:                            Lightfoot et al (1989)
Farming Systems:                            Lightfoot et al (1990)
Community Forestry:                         Case (1989)
                                            Case and Grove (1990)
Land Utilization:                           SADC (1991)
Soil & Water Conservation:                  SADC (1987)
Participatory Learning:                     FAO (1995)
PRA:                                        SADC (ELMS)(1993)
                                            Schönhuth and Kievelitz (1994)1

2.2.2 Project Typology

Pretty (1995) and BOBP (1993) classified projects according to seven
categories varying in the degree of recipient participation from passive
where people participation is to carry out orders to one of self mobilisation
where people take independent initiatives (Table 2.1). SADC (ELMS) (1993)
illustrates this in Fig. 2.1.

The spectrum of combinations from government based management to user
group management is topic of a recent study by ICLARM (Fig. 2.2). The
participatory development trend is towards self-management.

In general, there are two basic approaches: Top down where target groups
are being lectured or instructed and bottom-up where development agent
sits with target group and learns the needs of the beneficiary and advises
on development options:

1    GTZ Manual on PRA, contains a useful reference list for further reading

                                                         2. Participation as a Process

      Top Traditional leaders, government officers are sole designers,
   Down: planners, implementers and evaluators of rural development.
          Government planners tacitly assume that they know best and
          projects are implemented without soliciting peoples participation.
          Elite inspired, based on benefits eventually trickling down from upper
          to lower classes. Projects become demonstration centres lacking
          linkages to villagers.
  Bottom- The strategy ensures people (beneficiaries) participate in the
      up: process of planning, developing, implementing and evaluating
          development projects. Government and NGO’s provide collaborative

Table 2.1    Project Typology According to Degree of Participation
             (Source: Pretty, 1995 and BOBP, 1993)

  Typology         Project (outsiders) activity      Recipient/peoples activity
                   role                              role
1 Passive            Unilateral announcement.          Are told what is going to
  Participation      No listening to peoples           happen.
                     response.                         Peoples contribution is nil.
                     Information shared belongs        People carry out orders,
                     to external professionals.        hired hands, etc.
2 Participation      Researchers use extractive        Answer questions, provide
  in Information     questionnaire surveys.            information and suggestions.
  Giving             Research results is not           People do not influence
                     shared or checked with            proceedings.
3 Participation      Agents listen to peoples          Peoples are consulted.
  by                 views.                            Decision making is not
  Consultation       Define problems and               shared.
                     solutions, modify in light of
                     No obligation to take on
                     peoples views.
4 Participation      Food, cash or other               People provide resources
  for Material       incentives are exchanged          (e.g. labour).
  Incentives         for work.                         No stake in prolonged
                     Food for work, or on-farm         activities when incentives
                     trials.                           end.
                                                       Do not share in results and
                                                       learning process.


5 Functional      Project planned and cycle       People form groups to meet
  Participation   initiated before involve        pre-determined objectives.
                  people.                         May become self-dependent.
                  External initiators and
                  External initiated social
6 Interactive     Joint analysis, action plans    Joint analysis, action plans
  Participation   and institutional formation.    and institutional formation.
                  Inter-disciplinary methods to   Group control local
                  seek multiple perspectives.     decisions, stake in
                  Systematic and structured       maintaining.
                  learning.                       Group monitors and
                                                  evaluates implementation.
7 Self            Nil.                            People take initiatives
  Mobilisation                                    independently.
                                                  May or may not challenge
                                                  existing inequality.

                                                     2. Participation as a Process

             This is what I want                       Yes Sir,
             you to do. Do it !                        we will do it !

              This is what I want
                                                    Yes Sir, it’s a good
              you to do. What do
                                                    idea. We will do it !
              you say ?

        We have done this and                   This is where your
        it has failed. Where are                projects have failed...
        we doing it wrong. Can                  We can help you
        you help ?                              gather data !

                                                  This is the situation. We
                                                  can draw up our plans.
             What is your situation ?
                                                  Can you help as to do it
             What can we do ?
                                                  the way we want it ?

Figure 2.1    Illustrated Changes in the Development Process
              (Source: SADC/ELMS, 1995)


Figure 2.2   Spectrum of Co-management Arrangements in Fisheries
             (Source: Nielsen et al, 1995)

2.2.3 Elements of Participation

BOBP (1993) divided participation into a number of sub-components as

Action Research: Involving people, obtaining target group views in
                 combination with policy makers and government
                 officers and NGO’s to determine project selection and
                 objectives (e.g. using tools such as RRA, PRA, RA,
  National/Local Representatives of all involved national and local
    Coordination agencies, government and NGO, community leaders
    Committees: and group facilitators coordinate participation in
                 planning and implementation. Deal with policy matters.
                 For each action area a local coordination committee is
                 required. The committee functions to find solutions to
                 project implementation problems, communication
                 between target group and officials, lobby the
                 authorities, evaluate performance and give feedback.
                 Group facilitators foster and promote project activities
                 with local people providing inputs from past

                                                     2. Participation as a Process

        Training: Training of group facilitators, group leaders and
                  members through continuous problem solving field
     Monitoring: Continuous participatory monitoring and evaluation at
                  all stages and levels of project, sharing with officials
                  technicians and facilitators.
          Credit: Bad experiences and no economic buffer, means rural
                  people do not like to take risk and are therefore often
                  influenced by a patron, a landlord, money lender, elite
                  who may have some financial or political stranglehold.
                  These situations need to be understood and hidden
                  tensions relieved (e.g. provision of credit to release
                  need to borrow and be bonded to money lender).
       Extension Delivery mechanisms function to provide services,
     Mechanisms: credit, inputs, infrastructure, extension, information
                  transfer, etc., include field level staff (i.e. Government,
                  NGO, TA, etc.) and cooperative societies and village
                  communities. Receiving mechanisms on the other
                  hand tend to be informal processes for planning,
                  seeking, receiving and utilising programmes by people
                  themselves and usually consists of small production
                  groups. The ideal arrangement for delivery
                  mechanisms involves a partnership between the state
                  and an NGO acting as a facilitator for the active
                  involvement of the local people. The dynamics
                  between these two agencies determine the quality of
                  peoples participation.

2.2.4 Principles for Participation

Participatory development projects therefore are considered by Dan Educ
(1992) to represent a power triangle between Recipients, National Authority
and Donor. Each is a stakeholder in the development process, but the
donor and national authority act as a catalyst:


         Formal Local/
         National Authority                          Donor


At national level, full and active involvement is basic to promoting

The recipient country must:          -    Determine its needs
                                     -    Articulate its requests

At local level, beneficiaries must have full control and responsibility:

Beneficiaries participate in:        -    Identification
                                     -    Planning
                                     -    Implementation
                                     -    Evaluation

The management of change is thus defined by MDI (1994) as matching up
of the client (i.e. beneficiaries) perceptions, expectations and needs with the
providers (i.e. national authority and donor) perceptions, expectations and
needs, and the episode is the project (Fig. 5.2).
PRA tools therefore provide a means of arriving at a common
understanding between client and provider (Fig. 2.3). All ideas go through a
mill of self-analysis and the best solution emerge.

                                                    2. Participation as a Process

                                Local Communities

       Outside                                                   Local
       Agency                                                    Agencies

              Rapid                          Appraisal

                             Development Options

Figure 2.3   Rapid Appraisal as an Interaction Between Outsiders, Local
             Gencies and Local Communities in the Development Planning
             (Source: Townsley, 1993)


2.3      Facilitators and Obstacles to Participation
Participatory development is not a panacea, there are many pitfalls. SADC
(1987) describe participation as a process influences by a number of

                  Facilitating Factors              Obstructing Factors
     Structural     Democratic socio-political        Political climate and
                    environment which allows          international trade favour the
                    rural people to develop           elite, marginalising the rural
                    participatory initiatives.        poor.
                    Commitment at                     Centralised administration
                    international, national and       system with little emphasis on
                    local level to development        local level administration.
                    of rural poor                     Policy determined by the state
                    Legal and judicially              can cause tensions if attempts
                    systems which support             to influence by local efforts.
                    efforts by rural poor to form     Legal systems which are
                    organisations to participate      oppressive and neither provide
                    in development                    rights nor protect local
                    Decentralisation of               development initiatives.
                    government to encourage
                    local bureaucratic
        Social      Traditional local                 A mentality of dependence,
                    government, cooperatives          dominated by their leaders, or
                    or community mobilisation         the elite, leads to
                    or leadership help facilitate     marginalisation and despair
                    participation.                    amongst target groups, a
                    Awareness and                     preoccupation with survival.
                    acceptance of change at
                    community level.
                    Local needs are perceived
                    to correspond with national
                    Strong elements of social
                    and economic
                    homogeneity in the

                                                      2. Participation as a Process

 Operational/     Project approach and          Central government seek to
   Adminis-       intervention which are        retain control, discourage
      trative     conducive to participation.   decentralisation and disbelieve
                  A delivery system which       local people can assume
                  can stimulate local           responsibility.
                  participation.                Administrative procedures are
                  Local contributions (i.e.     a mine-field discouraging local
                  money, labour, etc.) are      initiatives.
                  forthcoming to help           Centralised planning
                  development.                  discourages local level
                                                Lack of organisations at local
                                                level to both represent local
                                                people and act as vehicle for

2.4      Participatory Approaches
PRA is a highly effective instrument for putting the ideal of participation into
practice and has been developed and used in several approaches to project
development. These are reviewed by Schönhuth and Kievelitz (1994) and
are presented in summary in Table 2.2. Some examples of participatory
processes used to date in fisheries and aquaculture are referenced for
further reading:

   FGD          Focused Group Discussion                (Pido, et al 1995)

   FSR          Farming Systems Research                (IIRR/ICLARM, 1992)

   PRA          Participatory Rural Appraisal           (Chimbuya, 1994)

   RA           Rapid Appraisal                         (Townsley, 1993a
                                                        and b)
   RACE         Rapid Appraisal of Coastal              (Chua and Scura,
                Environments                            1992)

   RAFMS        Rapid Appraisal of Fisheries            (Pido et al, 1995)
                Management Systems

   IRM          Integrated Resource Management          (ICLARM, 1995)

   SSI          Semi-structured Interviews


Additional approaches were added to this list during the workshop. Some
examples are listed below:

     CAP    Cooperative Action Planning and
                  Involves groups in discussion to formulate development
                  plans and to meet regularly to review progress.
                  Cooperative members participate in a diagnostic
                  survey, problem identification, activity formulation,
                  source of financing and responsibilities.
     IAD    Institutional Analysis and Development
                  Is a useful tool to look at the organisation and
                  institutional framework and to arrive at improved
     TEK    Identification of Traditional Ecological
                  A PRA approach to understand indigenous knowledge
     SWAP   Successes, Weakness, Aims and                 (Feil and
            Problems Analysis                             Ficarelli, 1994)
                  Symbols are used to describe success, weakness,
                  aims and problems (similar to RTP). Problems are
                  ranked by voting, solutions are discussed and actions
                  plans are formulated
     RTP    Road to Progress                           (Feil and Ficarelli,
                  A ranking techniques for problem analysis. Symbols are
                  used for things that are enjoyed and stones are placed
                  against each to indicate those which are affected and
                  suffering from
     CEFE   Competency Based Economies Through Formation of

     SCA    Self Applied Community Appraisals
                  Community involvement in designing and administering
                  surveys to analyse development needs

2. Participation as a Process


                                                      3. Participatory Tools/Methods

3.     Participatory Tools/Methods
In most cases described in Table 2.2, participatory approaches to develop-
ment rely to a large degree on PRA tools and techniques.

3.1    Participatory Rural Appraisal in Fisheries

3.1.1 History of PRA

During the 1970’s, development workers disillusioned with progress and
achievements of development activities began to explore new approaches.
In general, it was perceived that solutions were being imposed by outsiders
without properly taking into cognisance the priorities, knowledge and culture
of the local people, the target group. The perceived differences in points of
view of outsiders and local people are described in Table 3.1. Visits to the
field by development workers who were outsiders was becoming classified
as rural tourism.

Table 3.1   Points of View of Outsiders and Local People
            (Source: Townsley, 1993)

      Outsiders                           Local People
  1. Looking for problems they can        Concerned with day-to-day problems
     solve.                               and actual local conditions.
  2. Looking for “projects”.              Looking for solutions to existing

  3. Concerned with reactions of          Concerned with reactions of local
     funding agencies, national           people.
     institutions, evaluation missions,
  4. Looking for activities which are     Looking for activities which will fit into
     easy to manage and easy to           existing work programmes.
  5. Looking for limited involvement      Looking for long term impact.
     and commitment.

A realisation was reached that to succeed, the beneficiaries should become
involved in all stages of development work. Townsley (1993) describes
many methods have been evolved so that outsiders could interact with
target groups, jointly to gather information and design solutions to problems.


A more systematic framework emerged which had wide use and
applications termed Rapid Appraisal (RA) or Participatory Appraisal (PA).

Chambers (1993) describes earlier techniques as Rapid Rural Appraisal
(RRA). These were more extractive (i.e. we went to rural areas to obtain
information from them, took it home and developed a project we thought
would be good for them). RRA tended to be more of a semi-structured
interview. Rapid, gave way to relaxed and eventually turned into
Participatory Rural Appraisal (PRA) (i.e. we go to rural areas to enable
people to do their own investigations, share their knowledge to teach us).
The emphasis is on group discussions and diagramming. The outsider
passes the stick to the local people and learns from the interactive process.
The target group do the analysis and presentations, they plan and own the

PRA is a growing family of approaches and methods to enable local
people to share, enhance and analyse their knowledge of life and
conditions, to plan and to act.

PRA thus evolved in the late 1980’s in Kenya as a more participatory form
of RRA which was first developed by Robert Chambers in the 1970’s in
India. A basket of techniques or PRA Toolbox emerged for encouraging
villagers themselves to construct diagrams, maps and charts to analyse and
describe the present and past situation in their community. The toolbox is
adequately described in Case et al (1990) and summarised in Section 3.2.
Mascarenhas (1993) considers PRA as going beyond appraisal, into shared
analysis and understanding of rural situations which in turn leads to
development activities that are creative, productive and sustainable. The
use of the technique in development work makes the development worker a
catalyst and partner in development. Mascarenhas (1993) goes further to
rename the whole process as Participatory Learning Methods (PALM)
where the development worker, researcher, NGO, etc. actively participate in
village life and undertake a PRA exercise.

3.1.2 Advantages of PRA

The advantages and features of PRA as described by SHOGORIP (1992),
Chambers (1993) and Townsley (1993) are:

     Participation: Encourages local communities to participate in the
                    process of development, valuing local knowledge and

                                                  3. Participatory Tools/Methods

           Speed: Is relatively quick as it does not collect statistically
                  valid samples, therefore is shorter and less costly than
                  formal surveys.
       Fieldwork: Encourages researchers and planners to visit the field
                  and collect data that is qualitative as well as
      Avoid bias: Allows cross-checking by use of many techniques.
      Interactive: Flexible, adaptable, open-ended and semi-structured,
                   allows exploratory work that is interactive and
                   inventive, allowing for change in focus, iterative.
          Optimal Focused, limits collection of too much irrelevant data.

        Learning: Allows local people to explain what they know.
                  Learning from, with and by rural people, finding and
                  understanding indigenous technological knowledge.
 Communication Uses diagrams, pictures and models to pictorially
         tool: portray information to people of different backgrounds
               and cultures. Produces pictorials for use in training
               materials which are especially important for non-
      Systematic: Intense semi-structured approach economises on time
                  and expense.
  Empowerment: Can catalyse community to confront problems
               otherwise left unaddressed and leaves a sense of
               ownership in the result.

3.1.3 PRA and Project Cycle

Incorporating PRA at all stages of the Project Cycle ensures identification,
appraisal, data gathering, process monitoring, review and evaluation of
services are all in the hands of the client (i.e. the beneficiary). The
technique can be (Townsley, 1993):

     Exploratory: A tool for finding out about an area, a community,
                  identify development problems, decide priorities and
                  look for potential. Can be very useful at the early
                  stages of a project plan or could look at a particular
                  aspect of life (e.g. fish processing, women roles,
                  status, health, water supply, etc).


          Topical: More specific topics of importance can be followed up
                   when preparing action plans (e.g. investigate potential
                   to introduce a new fishing gear).
       Monitoring/ During the course of a project (or after) it allows
       Evaluation: involvement of the local community in appraisal of
                   project impact and should be part of the project
                   design. Could also look at side effects and spin-offs
                   from projects.
     Participatory: Allows local people to teach outsiders and introduce
                    their ideas. Local communities can be organised to
                    investigate particular problems, discuss possible
                    solutions and actions, incorporating these into the

The process contributes enormously to the sense of ownership of
programmes and boosts the chance of sustainability. Every piece of
information will be subject to peer review by the community members
representing different perceptions, often ensures that the information is
correct. In addition, Mascarenhas (1993) found villagers were extremely
skilful managers forced to live as they do under extremely marginal and
vulnerable conditions their decision making has to be precise. There is a
need to understand these traditional management systems, livelihood
systems, indigenous technologies and the ways in which people feel, see
and think and act in rural areas.

PRA therefore allows for an interaction between outside agencies (i.e.
donor), local agencies (i.e. national authority, NGO) and the local
community (i.e. target group) and the outputs result in a number of
development options (Fig. 2.3) which Townsley (1993) lists as:

     Suggestions or plans for development activities.
     Topics for further investigation or research.
     Hypotheses for testing.
     Local commitment.

3.1.4 PRA Process

Chambers (1993) describes the core of PRA as:
     Being self aware and self critical.
     Embracing error.

                                                   3. Participatory Tools/Methods

    Handing over the stick (allow villagers to become the teachers).
    Sitting listening and learning.
    Improvising, inventing, adapting.
    Use your own best judgement at all times.

PRA is facilitating, empowering, not extractive, learns from mistakes and so
is self improving. The key is personal behaviour and attitudes, listening and
learning, allowing villagers to become teachers. PRA is hailed as a
revolution in rural research methods, doing away with surveys by
questionnaires which tend to be both time consuming and difficult to
analyse, often termed survey slavery or rural tourism. PRA develops better
ways of enabling rural people to become investigators, analysts and
consultants, setting priorities, planning, implementing and owning the

The components of PRA are described by Townsley (1993) as:

      Objectives: Set the focus or theme according to developmental
Secondary Data: Review existing reports, statistics, maps                  and
                documents to gather background information.
     Preparation: Select a PRA Team. Set-up the meeting at village
                  level in advance so that all concerned parties can be
                  present and prepared to ensure a multi-disciplinary
                  input of all interests and local authorities. Key
                  informants should be identified. Avoid bias, invite a
                  cross-section of the community and gender. A
                  reconnaissance survey may be necessary.
      Preparatory A preparatory workshop is advisable to finalise
       Workshop: objectives, approaches, techniques, checklists, team
                  selection and training. Involve all partners in
                  development (i.e. NGO, National Authority, etc.).
         Intensive This is the core of the technique allowing for dialogue
      Discussion: at all levels. Structured list of topics to guide questions
                   (or semi-structured interviews, SSI) may help as a
                   basic guide for the interviews. Ask: what, why, when,
                   where, when and how?
 Communication The toolbox of PRA is an assortment of techniques to
         Tool: prepare pictorial representations to visualise the
               situation. Select these by topic. See Section 3.2.


       Workshops: Repeated and regular meetings for exchange of
                  information and brainstorming sessions.
       Community Discuss findings with community and authorities so
        Validation: that they may comment on suitability and modify as
                    necessary to arrive at an agreeable development plan.
        Reporting: Involve all members in report writing using pictorial
                   representations throughout so that non-literates may
                   participate. Organise a workshop for presentation of

3.1.5 Problems with PRA

Some problems as pointed out by Chambers (1993) can be listed as:
     Senior staff are reluctant to spend the time at field level.
     Imposing of ideas without realising, making it difficult to learn from the
     target group.
     Professional pressures to measure statistics rather than compare,
     rank, score and identify trends.
     Unfamiliar with the technique, seeking safety in preset programmes.
     Uncomfortable in finding the questions to ask.
     Neglect of gender.
     Lecturing instead of listening and learning.

In addition, GPSO, in Burkina Faso note that PRA techniques in Africa do
not always work so well because of the hierarchical nature of the culture.
Generally one or two persons will speak, the community leaders who
dominate the others. MAGFAD, in Malawi note similar situations but during
SWAP exercises they made a point of asking the weakest members,
generally women to come forward first so as to over-ride the shyness of
speaking out against the authority.

                                                       3. Participatory Tools/Methods

3.2      PRA Toolbox
Some of the tools and instruments for PRA as described by Chambers
(1993), Townsley (1993a and b), SHOGORIP (1992) and Case et al (1990),
are summarised below:

  Group Meetings/ A relationship must be first established with the target
  Rapport Building group/villagers to create the appropriate atmosphere to
                   make them feel at ease and speak freely. Care and
                   sensitivity is required showing respect and consideration
                   for the knowledge and culture of the community. They are
                   the teacher, the project is the student. Ask to be shown
                   examples, listen to indigenous technical knowledge, get to
                   know the village. From initial meetings, regular village
                   group meetings can be used as a participatory
                   development tool, applied universally in the GTZ projects
                   represented here.

         Geographic Are systematic observatory walks with key informants to
      Transect/Walks study and provide information, mapping the social,
                     geographic, ecological and environmental situation of a
                     village or fishery (i.e. social structure, natural resources,
                     range of activities, farming practices, topography, soils,
                     vegetation, features of special importance to the
                     community, water, etc.). Identifying different zones, local
                     technologies, seeking problems, solutions, opportunities
                     and introducing technologies. Cross-sections of the
                     aquatic environment are possible, positioning fish and
                     their feeding ranges, gear types, etc. by depth. Flow lines
                     can be used to indicate flow of materials, labour, money
                     and produce.

  Historic Transect The above will give one point in time. More dynamic
                    pictorial representations of different points in time can also
                    be constructed this way to give evolutionary trends,
                    showing how an area has changed in time (i.e. land use,
                    population, settlement patterns, vegetation, erosion,
                    fishing pressures, environmental changes, water level
                    fluctuations, etc.).


      Maps/Mapping Villagers are either asked to consult a map or a group
                   draws a map to show specific issues. Helps to identify
                   village socio-economic resources and infrastructure, to a
                   high degree of accuracy providing information on the
                   subject matter discussed (i.e. relationships between
                   people, the community and the environment). The
                   technique can be used for geographic resource mapping,
                   mobility maps, social resource maps, land or water use
                   maps, topographic maps, health maps, etc., including
                   historic data. A fishery, fishing grounds and resources,
                   landing sites, fishing villages, gear type and numbers can
                   all be plotted. Drawings can be made on the ground or by
                   using symbols. Can help to identify how and why a
                   problem arose, monitoring changes and assists with
                   planning and designs for engineering.

     Distance Charts Such charts indicate the area and range of influences of a
                     particular parameter on the community. People using the
                     water body, distance to market or supplies, fishing range,
                     distances travelled and why.

           Modelling Villagers are asked to build 3-D models of the village, a
                     fishery or fish pond by drawing on the ground using
                     available resources such as clay, sticks, coloured dyes,
                     ash, sand, etc. showing all infrastructure, land use,
                     communications, etc. Interactive models can be used in

          Calendar/ According to topic, villagers are asked to draw up a
           Seasonal calendar of events and activities, changes in the
       Diagramming community with respect to climate, cultivation, health
                    status, workload, nutrition habits, credit demand, farming
                    activities, cropping patterns, labour demand, etc. Applied
                    to fish, this can be used to illustrate fishing activities,
                    fishing seasons, weather patterns, changes in gear type,
                    species caught, market demand, stocking pattern,
                    harvesting program, etc.

     Daily Routines/ Daily calendars of events can be developed separately for
     Activity Charts men and women, illustrating a typical day, showing work
                     load and can be repeated by season. These can be
                     represented by pie or bar charts. A calendar of daily
                     routines helps to know when villagers have time for
                     additional activities (i.e. community work, training,
                     attending meetings, tending fish ponds, etc.).

                                                   3. Participatory Tools/Methods

       Indigenous Villagers have beliefs or specific practices which are
         Technical passed from generation to generation. Often these are
       Knowledge based on superstitions but sometimes they have an
                   understandable and scientific basis. This type of
                   knowledge can be evaluated and used in different
                   development strategies and as a point of departure for
                   training. IGRFDP, India applied similar tools to determine
                   the knowledge base of the fisherfolk.

Changing Trends/ Chronological sequencing and relative importance of
       Time Line events can be plotted along a line. Villagers are asked to
                 recall changes occurring in the village so they can be
                 understood and possible changes in the future anticipated.
                 Trends could be in agriculture, health, economy,
                 population, festivals, development effort, introduction of
                 fish farming, etc., all of which relate to the historic
                 background of a village. This tool can help in gathering
                 project baseline data and historic information.

  Matrix Ranking/ According to topics and criteria, villagers can explain the
  Rating/ Sorting reason for making choices by ranking according to criteria
                  (i.e. good or bad qualities, reason for credit source,
                  income generating preferences, farming practice
                  preferences, fishing technique selection, choice of species
                  selection, etc.). The results and reason for choices can be
                  recorded and compared. Provides insight to group
                  decision making and criteria used. Identifies needs and
                  priorities, monitors change in preferences, facilitates
                  discussion. Sorting can be used to sequence events or
                  prioritise issues of importance.

  Wealth Ranking Helps to reveal the economic situation in a village and is a
                 variation on matrix ranking. This is a sensitive area and
                 should be done with the villagers choosing the criteria to
                 identify the richest and poorest or, more simply to ask
                 villagers to list members by occupation. Indicators can be
                 land, livestock, business ownership, family size, gear type,
                 pond size, etc. Poverty ranking can also be done by
                 placing names of possible target groups on cards and
                 asking villagers to arrange them in order of wealth
                 (Gregory, 1990). The process can be repeated with
                 another group as a cross-check and is helpful in target
                 group selection. HKF describes using a similar technique
                 in Madagascar to identify poor target group.

Pair Wise Ranking As above but with items, ask the respondent to select in
                  order of preference (e.g. preference for certain types of
                  fish or product) such that a hierarchy or priority is formed
                  and the reasons can be explained.


       Venn Diagram Helps to show the relationships between different groups
                    or organisations working in the area can be identified, and
                    by size of circle, represented in order of importance and
                    influence. These are positioned in relationship to villagers
                    perception of importance and help interpret the village
                    structure clarifying roles and interrelationships (i.e.
                    leadership, membership, activities, decision making
                    processes and interactions). Useful also to explain roles
                    and interrelationships of development agencies.

     Local Indicators What are peoples criteria of well being.

     Semi-Structured Topic specific questions. Structured tabular type questions
      Interviews/Key but unlike questionnaires, not all questions are framed in
              Probes advance, allows some flexibility in that the basic survey
                     guide or framework is laid out so as to allow exploratory
                     questions to be asked to refine particular issues as and
                     when they might arise. Can be used in crisis
                     management, new inventions or practices, etc. Ask the
                     helper questions: who, what, where, when, why and how?

     Process Charts A breakdown of activities, understanding all inputs and
                    outputs, processes and who is involved. Useful for
                    economic activities and decision making analysis.

      Decision Trees Identifies the factors influencing important decisions,
                     clarifying priorities. Can be used in processes involved in
                     resource use, land and water, and reasons for alternative
                     economic activities.

     Hierarchy Trees Structured in order of seniority, can be used to structure
                     the chain of command and determine the influences on
                     village structure.

          Bar Charts Illustrate quantitative relationships, are easily understood
                     and can be used as a management tool to plot progress in
                     production vs. planned. Can be used to detail species
                     catch, breakdown income sources, proportions of gear
                     types, species stocking, performance vs. expectation, etc.

      Simple Graphs Illustrate specific topics or trends (e.g. production vs. time,
                    fish growth, water temperature, etc.).

      Flow Diagrams Visually outline processes and sequences of events,
                    interactions and linkages. Flowcharts can also show the
                    flow/use of resources in a farming system, fish pond or
                    coastal fishery (e.g. bio-resource flow chart were
                    developed by ICLARM, Malawi, Lightfoot et al, 1991).

                                                   3. Participatory Tools/Methods

    Story Telling/ People tell stories as a way of describing their life. Open
     Open Ended ended stories could be used to ask what if questions in
          Stories problem solving. Facilitates discussion. Especially useful
                   in non-literate groups with rich oral background.

    Case Studies A description or analysis of a specific situation or issue
                 can be dealt with as a case study with presentations in the
                 form of drawings, theatre, songs, slides, videos, etc. The
                 community is asked to prepare and present the case
                 study. Helps understand community situations and forms
                 the basis for other PRA studies.

Problem Analysis A systematic probe to arrive at a problem/solution tree.

 Group Meetings People come together for a specific purpose and generally
                a facilitator encourages two-way communication. This can
                foster a cooperative approach to problem solving, provide
                a forum for discussion, developing participatory
                management/leadership, develop action plans and
                monitor progress. Helps in achieving community
                consensus and transparency.

   Drawings and A community group is invited to draw a picture
     Discussion representing an issue, problem or technical message. This
                is then discussed by the group and is very useful if there is
                a language barrier or non literate members. The message
                is refined through group consensus. Useful in preparing
                training materials and action plans.

  Murals/ Posters Posters are community designed and drawn by an artist
                  so that they can be prominently displayed to convey a
                  message. Useful in training material preparation.

    Un-serialised Pre-designed posters can be used to depict local
         Posters happenings or sequences in pond management. The
                  group is then asked to place in chronological order or
                  sequence. Helps to facilitate discussion and is very useful
                  in recording village history and in training exercises

  Flannel Boards Picture paste-ups on a surface onto which they can stick.
                 Usually cloth on flannel, but can also be paper and can be
                 used in problem solution analysis.


          Community Used to gather data on the environmental effects of
       Environmental planning or projects. The tool is laid out in a framework of
         Assessment items that the community can identify with and in which
                     they can see changes (e.g. list the surroundings as seen
                     from the village, water, vegetation, soil, etc.). Each is
                     given a score as to degree of influence, positive or
                     negative. Useful in EIA.

         Participatory A continuous cycle in which the community and scientists
     Action Research decide what needs to be researched, design research
                       studies and collect necessary information. The results are
                       then applied and new problems may arise which are
                       researched. New technologies can be adapted to farmer

     Farmers/ Fishers Often farmers, fishers or groups keep records. These
        Own Records provide a valuable insight into group organisation,
                      historical data and economic analysis. It also tells about
                      indicators important to the community. Learning from
                      these records can help to improve the situation and train
                      in better record keeping and planning, as well as
                      accounting. Can be used to monitor action research,
                      project progress, production cycles, harvest data,
                      comparison between groups, etc.

       Record Books/ Project introduce record books (i.e. pond record book,
           Accounts lake record book, etc.) in which the target group is taught
                     to keep data on planning, production, stocking, accounts,
                     etc. The style of book can be adapted from own record
                     systems. Helps to gather valuable research and
                     management data and helps train the target group in
                     systematic data collection and transparency of accounts.

         Strength,      A framework tool allows group analysis/evaluation of
       Weakness,        issues. Group is asked by topic to elaborate on those
 Opportunities and      things that have worked well (strengths). Those that have
       Limitations      not worked well are weaknesses, opportunities are
  Analysis (SWOL)       possibilities for change while limitations are things that can
                        not be changed or can be overcome. In Malawi, MAGFAD
                        has developed a similar approach termed Successes,
                        Weaknesses, Aims and Problems (SWAP) which was
                        used as a needs assessment tool in fish farming (Feil and
                        Ficarelli, 1994).

                                                  3. Participatory Tools/Methods

 Popular Theatre/ A tool to develop awareness using local media such as
          Drama song, dance, drama or mime. The community or actors
                  can be asked to use the tool to explain or create
                  awareness about certain issues and call upon the
                  audience to reflect upon and seek answers to community
                  problems. Can also be used as an extension tool.
                  Common in Bangladesh.

  Puppet Theatre Has the same use as popular theatre but can be more
                 expressive as the puppets are not seen as real people
                 and can therefore deal with sensitive issues. It can be
                 used for assessment, collection of information and as an
                 extension tool, invites feedback and group discussion.

      Community Drawings, photographs, slides, overhead projection, etc.
  Directed Visual can be used as communication tools. The community is
          Images invited to direct the show and to edit the presentation. Can
                  be used as an extension tool to focus and stimulate group
                  discussion and can be used by the community to report on
                  progress in the project.

     Community A message, or story or debate can be developed by the
   Directed Tape community for presentation to larger groups or even
Recordings/Radio broadcast on radio, or for farmer to farmer extension or
                 communication to donors and governments. Can be
                 combined with visual shows or drama or presented over

      Community The community is involved in all aspects of the
  Directed Videos preparation of the show from choosing topics, script
                  preparation and film directing. The video can be for
                  specific purposes such as extension, evaluation,
                  communication, problem analysis, etc. Empowers people
                  to express their views and is a powerful visual
                  communication tool for training.

          Games Games could be used to act out real life situations and
                provide a useful training tool.


3.3     Participatory Approaches in Fisheries

3.3.1 Conventional PRA Applications

Noel (1995) describes successful use in aquatic water bodies (small) for
carrying out:
      Needs assessment (i.e. developmental and training).
      Identification of uses and users.
      Assessing the impact of outside interventions on communities.
      Identifying possible management.
      Investigating household food security.
      Investigating peoples attitudes, knowledge and commitment regarding
      fishery resources, fishing technology and fish consumption.

Meynall et al (1988) describes participation techniques in fisheries as:

Problem solving: Identification of priority problems.
                 Selection of appropriate solutions.
                 Implementation of solutions (e.g. micro-projects).
                 On-going supervision of projects.
                 Monitoring and evaluation of impact and revision of

      Participation Involve one of the 3 m’s : manpower, money or materials.
             must: Must yield tangible results for participants.
                    Fishers must choose/volunteer to participate.
                    Technology must be understood.

3.4     PRA Team
PRA should be done by an interdisciplinary team covering as many different
disciplines as possible so as to cover all aspects of a situation. Townsley
(1993b) recommends not more than 7/team, ideally however, the team
should be kept small (2-3) with a mix of gender so as not to intimidate and
discourage female participation:

                                          3. Participatory Tools/Methods

At least: A Fisheries Specialist (i.e. biologist or technologist).
          A Social Scientist (i.e. socio-economist or
          A Fisheries Officer or Extensionist.
          NGO Worker.

Optional: Post-harvest Specialist.
          Fisheries Economist.
          Aquaculture Specialist.
          Extension and Communications Expert.
          Gender (WID) Specialist.

           4. Institutional Requirements for Participatory Aquatic Resource Management

4.     Institutional Requirements for Participatory
       Aquatic Resource Management

4.1    Institutional Problems in Fisheries Management
In a number of cases of over-exploitation (e.g. Lake Kariba, Chifamba, 1995
and Mchena, 1995, Lake Malombe, Scholz and Hara, 1995, Lake Mwenje,
Chimbuya and Ersdal, 1994) described is where the rights of access were
not controlled, entrants increased due to economic pressures and over-
fishing results as no one had responsibility.

The scattered nature of fishing villages makes it extremely difficult for
Fisheries Authorities to collect statistics and monitor violations. Law
enforcement becomes impossible. Control measures, limiting access,
regulating gear and controlling patterns of settlement in all cases were best
done by a participatory, decision making structure.

4.2    Tenurial Issues
Aquatic resources (i.e. river, lake or ocean) represent a natural resource
which yields several kinds of benefits to several categories of users. It
furnishes local communities products that fill gaps and as such may be
subject to one use by one group, multiple use by another and multiple use
by different groups, a non-exclusive resource. Ewers Andersen (1991)
considers that as long as the rights of access and appropriation are known
and the resource is linked to an institutional set-up the resource can be said
to be managed. Open access has no management as no property relations
exist. Common property regimes on the other hand have property relations
which express precise rights as they accrue to a group of people and can
be termed indigenous structured arrangements for sustainable use with
management rules and incentives for co-owners. Traditional, unwritten laws
exist. State nationalisation of these resources has resulted in a
disenfranchisement of local rules and the regime reverts to open access.
The traditional institution has eroded and there is thus a need for a new and
induced institution to receive development project inputs and to ensure
long-term sustainability.

Nielsen et al (1995) note that for a long while in fisheries, wildlife and
forestry the most widely accepted theory explaining over-exploitation was
because the resource was held in common property. Hardin’s theory
(tragedy of the commons, 1968) concluded: Freedom of the commons
brings ruin to all. The assumption was that when resources are limited and
publicly owned, it is rational for each individual to over-exploit, ultimately


leading to tragedy. Solutions were to either privatisation or government
control to rights of entry. Nielsen et al (1995) quote Feeny et al (1990) who
explain that what is now perceived as more important is the property rights
regime of a resource, i.e.:

        Open access: Defined property rights are absent, access is
                     unregulated, free and open to anyone.
     Private Property: Rights of exclusion and use are vested in
                       individuals or groups, usually enforced by state
                       laws, are exclusive and transferable.

          Communal Rights of equal access are held by an identifiable
           Property: community of interdependent users who exclude
                     outsiders while regulating use by members. May be
                     legally recognised but is not exclusive nor
      State Property: Rights are exclusively vested in the state which
                      decides access, nature and level of exploitation.

4.3     Co-management

Property rights alone is however not enough in fisheries management and
Nielsen et al (1995) recognise that there is need for a more dynamic
partnership coupling capacities and interests of local fishers communities
complemented by the state’s ability to provide enabling policies and
legislation as well as monitoring and enforcement, termed co-management.

Co-management may be defined as: Institutional arrangements between
government and user groups to share responsibility and competence for
effective management of a defined resource. Lying between centralised
control and privatisation, co-management has a spectrum of options (Fig.

The devolution of authority from central administration to users may be one
of the most difficult tasks in the whole process thus co-management varies
from government instructing users to the other end of the spectrum where
users inform government on management regimes they decide upon.

            4. Institutional Requirements for Participatory Aquatic Resource Management

4.4     Institutional Arrangements
The definitions as proved by Hartmann (IGRFDP) are:

        Institutions: Are the rules or regularised patterns of behaviour
                      among individuals and groups in society, often
   Organisations: A comparison is made with a football game where the
                  players are the organisation, the rules the institution.
          Institution Is the process of developing a set of rules that
           Building: participants in a process understand, agree upon and
                      are willing to follow.

Institutions are the rules of the game in a society, affected by economic,
social and political factors. Rules can be both formal (i.e. legal sanction by
Government, written down) and informal (i.e. rights and rules, collective
sanctions, created or evolved and handed down through generations by
custom and tradition)(Pido, et al, 1995). Organisations on the other hand
are groups of individuals bound by some common factor to achieve
particular objectives the origins of which are determined by the institutional
framework. Rules are the basis of institutional structures and can operate at
different levels: community, district, province, national, regional and
international. Nielsen et al (1995) describe three levels of rules each nested
in the other:

        Operational Determine resource use, when, where and how to
            Rules: harvest, monitor impact and enforce rules.
          Collective Is more about policy, management and adjudication
            Choice: used by harvesters, officials or external authorities to
                     determine who has rights to set operational rules.
      Constitutional Is governance, adjudication and modification of who
            Choice: is eligible to make collective or operational rules and
                     who has collective choice rights.

If effective fisheries management efforts are to succeed, it is essential that
resource managers and policy makers have up to date information on
community based resource management systems, their socio-economic,
political and ecological contexts. Existing informal/traditional management
systems are often disrupted by imposing new management systems such
as community-based coastal resource management, thus it is imperative


that any development project build on existing systems. Pido et al (1995)
therefore advocate the use of rapid appraisal methodology to assess
existing institutional arrangements of fisheries management systems.

4.4.1 Traditional Fisheries Management Institutions

An appreciation of traditional authority over fishery resources can be a key
to participatory development where such institutions exist. Ruddle (1995)
describes several types of community-based marine resource management

 Secular Leaders: Traditional leaders or village councils regulate the
                  use and protect against over-exploitation.
           Religious Traditional religious leaders or members of a church
           Leaders: play a role in managing the resource.
         Specialists: Specialists or master fishermen function under higher
                      authority to manage the fishery.
     Rights Holders: Senior members of a lineage, family or group are
                     vested with resource management authority.

Under traditional community based systems, marine resource exploitation is
governed by rights to property:

          Exclusive Handed from generation to generation defined by
            Rights: customary law and validated by historical-
                    mythological associations.
     Primary Rights: Inherited (birthright) continuity of corporate group
         Secondary Acquired by affiliation to a corporate group either by
            Rights: marriage, purchase, gift or kinship.

Rules define rights and control use and gear; traditional rules include:

           Territory: Generally defined by adjacency to settlement and
                      seaward boundaries are often defined by a reef.
          Eligibility: Community based, national or cultural rules govern
                       access, defined by inheritance or residence.
  Inter-community Access controls apply to outsiders. Neighbours may
          Access: be permitted but all others must first seek entry.

           4. Institutional Requirements for Participatory Aquatic Resource Management

   Use Behaviour: These govern gear types, allocation of fishing spots,
                  fishing behaviour and species protection.
    Conservation: Closed seasons, religious taboos, size restrictions,
                  gear restrictions all to conserve the stocks.
             Catch Govern community sharing and reciprocity.

For rights to be meaningful, provision must be made for surveillance to
ensure compliance. Community-based marine resource management
systems enforcement is undertaken by the community, resource users
policing themselves and any infringement of rules evoked some kind of
sanction which can take the following form:

  Social sanction: Ridicule, shaming, ostracism and banishment.
         Economic Fines, monetary or in-kind, destruction of gear or
          sanction: forced labour.
         Physical Punishment, including death.
     Supernatural Fear of supernatural powers are all-persuasive.

4.4.2 Induced Fisheries Management Institutions

Where traditional systems have broken down or in case of state owned
resources, there is generally a need to create a new fisheries management
institution. Most of the GTZ inshore and reservoir fisheries projects have
had to develop an induced institutional arrangement. Conversely, in Syria,
SGAIFDP describe where the fishers were unable to stop illegal fishing by
externals, however through participatory action they were able to get the
Ministry to stiffen prosecution laws for poaching thereby creating the judicial
framework for further target group action.

The fishing communities in Lake Malombe were organised into Beach
Village Committees (Scholz and Hara, 1995) or as in Kariba, Fishing
Management Committee (Local and Zonal) (Chifamba, 1995, LKFDP and
Mchena, 1995) and Dam Committees were formed in Lake Mwenje
(Chimbuya and Ersdal, 1994), Kainji (NGLFPP), and in reservoirs (GPSO,
PAPEC and IGRFDP). These committees to varying degrees were
empowered to take responsibility to manage and control the fishery, a
community centred resource management regime with a collective self
interest in sustainability. The Committees are guided by technical inputs


from the project and fisheries authority (e.g. DOF), and internally they define
exclusive fishing zones and establish the rights, rules and regulations.
Control can be through the authorities, traditional leaders and peer

Proprietorship for the resource rest with the state, collective management
rights are delegated to management committees established in designated
fishing zones/villages which have a demarcated water base. Fig. 4.1
describes a stylised organisational arrangement. Fisheries Management
Committees are elected and they nominate representatives to participate at
Area/Zonal/Regional Committees and are coordinated by the Fishery
Authority and District Administration. Often, a revolving fund is set-up to
defray expenses and for community development made up of contributions
from the fishing villages, licence fees, district levies, government or donor.

4.5     Institutional Requirements
From the above a number of lessons emerge with respect to induced
participatory management:

      Policy:   Security of tenure for the participating Management Group
                must be ensured by an act of government and upheld by
                issuance of licences, MOU, contracts, etc. Project help to
                facilitate this process.
                Boundaries must be clearly defined with no ambiguity.
                The rights of access and authority of the Management
                Group must be up-held by the local legal framework and
                traditional leaders.
 By-Laws:       A Management Group Constitution must be formulated by
                the group, with rights, rules and regulations clearly defined,
                including the obligations of the Committee and
                enforcement by law, if necessary.
                Free and fair election procedures for Committee must be
                instilled and power sharing must be practised and no
                member may sit for more than one term.
                All group members must fish for a fixed period of time (e.g.
                80%) or face losing their licence.
                Equity in income and in expenditure must be maintained.
                The Management Groups must participate in policing the
                resource or at least contribute to hire of guards or wardens.

                    4. Institutional Requirements for Participatory Aquatic Resource Management

                           The Management Group should also be involved in the
                           approval of all micro-projects and engineering designs and
                           are involved in monitoring quality control by having the
                           responsibility to sign for handing over of infrastructure and
                           an obligation to maintenance.
     Record                All plans, records, accounts, meeting records, etc. should
      Book:                be maintained as documented proof of actions for
                           organising management and to ensure transparency of
                           equity. Portable archives are one such method.
Facilitator:               A community member should be appointed as counterpart,
                           facilitator, local catalyst or monitor to help in training,
                           record keeping, etc. who can in the long term replace the
                           project extension staff.

Level Of Organisational Hierarchy

International National

                                            Project/National Steering
                                            Committee (Govn/Donor)

                                        Fisheries Coordination Committee                         Extension
                                                 (DOF/NGO/TA)                                     Service

District Authority
                                        District Management Committee

Area Level
                          Area                                                   Area
                       Fiseheries                                             Fiseheries
                      Management                                             Management
                       Committee                                              Committee

  Fishing Village     Fishing Village   Fishing Village    Fishing Village   Fishing Village   Fishing Village      Foresty
    Committee           Committee         Committee          Committee         Committee         Committee        Agriculture
                                                                                                                 Fish Farming

    Fishermen           Fishermen         Fishermen          Fishermen         Fishermen       Fishermen

Figure 4.1           Stylised Institutional Framework for Community Based
                     Fisheries Management


4.6    Community Institution Fish Ponds
Molnar et al (1985) describe community managed fish ponds in Panama as
corporately obtaining bank loans, electing officers and establishing rules for
work routines and agreeing on benefit distribution. The later is very
important as in non family collective efforts, participation depends upon the
amount of direct benefit that the individual can hope to derive. Commitment
was therefore a pre-requisite for success. Land ownership is crucial to
community managed ponds to avoid fears that all benefits will accrue to the
land owner. Lease contracts for land or pond from a third source is one
solution. Participation of an elite facilitates development but may threaten
sustainability. If the strong leader leaves or dies, this may leave the group
struggling to take over. The elite may have a different exploitive agenda and
can monopolise the situation. Leadership should best come from a
moderator within the group and it is imperative that good records are
maintained of finances to avoid mistrust. Group size should be manageable
and 7-15 were considered optimal. Reconciling rewards with efforts is a
basic problem.

Palm (1987) notes that communal fish farm schemes are sometimes
manipulated by unscrupulous villagers who manipulate their neighbours to
create the image of a community pond such that they can receive personal
gain from projects. It is very difficult to motivate individuals in a community
project if production is low. Strong leadership is needed. In some
communities, the elite (i.e. teachers, priests, doctors, etc.) often provide the
necessary leadership. In Africa, communal fish ponds have been built by
schools, missions, hospitals, health clinics and function as training and food
supply. Social stratification and social levelling mechanisms often place
pressure on village members and they are less successful in adopting new
innovations such as aquaculture (e.g. Zaire). Community ownership and
management go against the social grain in Africa. Short term community
activities (e.g. hunting, land clearing, road repair) are traditional but long
term inputs such as pond management do not work and Plam (1987)
believes community ponds should not be a focus of development in Africa.
Land ownership is not so much a problem if traditional lines are followed.

           4. Institutional Requirements for Participatory Aquatic Resource Management

Groups of individual owned fish ponds are thus more likely to work
especially if motivated individuals are included. However, in Zaire a form of
fish culture cooperatives have emerged. Farmers own individual ponds and
join together in a network to provide services (i.e. fingerling exchange, bulk
purchase of nets, harvest coordination, etc.) and mutual aid (i.e. help in
pond construction). The potential benefits of community pond (i.e. nutrition,
income generation, employment, etc.) make them politically attractive to
public officials to tout them as development objects. The same officials
appear at harvest time to share in the benefits or raise taxes, and this can
often deter villagers from participating. Similarly, community groups are
often able to offer greater security than individuals and in this way
influentials can manipulate community groups to receive loans or grants.
Access to credit has often been used as a leverage by development
workers to get communities involved in fish farming. They often lack the
motivation and fail.

                                             5. Participatory Project Management

5.     Participatory Project Management
Roy (1994) concluded after 14 years of the Bay of Bengal Programme
(BOBP) that technology development and extension can be done by a
fishery agency. Fisheries management on the other hand can only be done
by fisherfolk. Without converting the process into policing, monitoring,
surveillance, control and enforcement, which are expensive and prohibitive
given the size of coastal resources, fisheries management boils down to
building awareness of the needs for, methods and benefits of fisherfolk
managing the fisheries themselves. Fisheries agencies therefore need new
skills and capabilities, skills of communication, learning from the clients,
seeking ideas and perceptions, helping people to think about their problems
and to organise themselves, will be the forefront of future extension

Figure 5.1   The Hierarchy of Needs in the Management of Change
             (Source: MDI, 1995)


5.1      Participatory Management
To be successful, project management must develop participatory links with
the target group, within itself and its co-partners (i.e. DOF, TA and NGO).
MDI (1994) introduces new theories on project management, notably:

       Management: Is changing from a tradition of control and is moving
                   towards empowerment of people to perform from authority
                   to leadership and from asking what have you done? to
                   what can I do to help?. Historically, managers were people
                   who were able to talk, now the trend is more towards
                   management that can listen.
     Communication: Management must listen, probe or clarify understanding
                    and feedback, invite empowerment. Behaviour that is
                    rewarded will be repeated. (See section 7.1).
        Perceptions: Always treated as true and therefore operate as filters
                     influencing the behaviour of the perceiver. Management
                     must understand and accept the psychology of staff and
                     the client.
       Psychology of Expectations function as performance indicators and
       Expectations: determine quality of life based on needs. Needs stem from
                     self fulfilment, self expression, belonging (Fig. 5.1). To
                     change attitudes by helping to apply new approved
                     techniques. Avoid instructing people what to do. If target
                     groups feel that the project is to cater to their needs they
                     will adopt.
           Conflict Everyone wants to participate in decisions that affect them,
        Resolution/ fewer and fewer people accept decisions dictated by
       Negotiations: someone else. Requires finding out how the other person
                     sees the problem. Development organisations serve clients
                     (i.e. beneficiaries), often do not evaluate the service
                     provided, they tend to become introverted, do not
                     anticipate change and only change when crisis. If
                     institutions are not perceptive, can not adapt to the
                     changing environment those institutions disappear. Work
                     with those willing to change once they succeed, they
                     become the agent of change.
         Team Work: Myers Briggs type indicator divides people up into inborn
                    characters which become developed in time, notably:
                    extroversion/introversion, sensing/intuiting, thinking/feeling
                    and judging/perceiving. Understanding peoples traits helps
                    to formulate a strong team and is rapidly being used as a
                    tool in corporate business and in Project Management
                    team building.

                                              5. Participatory Project Management

  Institutional Institutional strengthening must be put in place to facilitate
 Mechanisms: organisation and communication between research, extension
                and the community (e.g. monthly staff meetings, joint field
                days, etc.).

In conclusion, management must be perceptive of the perceptions,
expectations and needs and match up those of the client with those of the
provider (Fig. 5.2).

Figure 5.2   The Client:Provider Relationship in the Management of Change
             (Source: MDI, 1995)

                                                         6. Participatory Extension

6.     Participatory Extension
The FAO workshop on extension in aquaculture (ALCOM, 1995) concluded
that a participatory approach to extension was preferred to the more
traditional methods. The pros and cons of the two approaches are
evaluated in Table 6.1. Extension is considered as a two way flow of
information between target group and services (i.e. training, extension and
research, Fig. 6.1).

Table 6.1     Advantages and Disadvantages of Traditional vs.
              Participatory Extension
              (Source: Modified after ALCOM, 1995)

                 Institutional Approach        Participatory Approach
Application        When introducing new          When funds and manpower
                   concepts (e.g.                shortage hamper extension
                   aquaculture).                 services.
                   Introduction of new           When indigenous knowledge
                   technologies, information     resides with target group.
                   or knowledge.                 When target group distrust
                   Establishment of              institutional services.
                   institutional linkages.       Rapid technology transfer
                   To avoid message              and adoption.
Advantage          Enables the gathering of      Very cost effective (i.e. high
                   management and                ratio of extension staff : target
                   production data.              group).
                   Facilitates monitoring of     Sustainable after project
                   technology transfer.          development.
                   Sustainable where high        Rejection of messages are
                   technology level is           low.
                   required.                     Wider coverage and meets
                                                 needs and interests.
                                                 Empowers target group.


Disadvantage      Not very cost effective i.e.   Motivators may restrict
                  low extension staff : target   information to favoured
                  group ratio).                  groups.
                  Requires good                  Subject to influence by
                  organisation for maximum       vested interests.
                  out reach.                     Messages may be wrong, or
                  Requires adequate              decay with time.
                  resource base (i.e.            May be rejected if external
                  transport, infrastructure,     institution is involved in
                  etc.)                          selection process.
                  Messages not always            Adoption of new technology
                  appropriate or tailored to     depends on personalities.
                                                 May be unreliable for multiple
                  Centralised administration     message transfer.
                  subject to rigid policies.
                                                 Gender barriers.
                  Subject to be influenced by
                  Dependent on personality
                  and motivation of
                  extension personnel.
                  Certain groups may be
                  ignored/favoured (i.e.
                  gender, religion, income).
                  Continuity of inputs may be
                  affected by staff transfers.

Extension workers are often only trained in the delivery of messages, in
many cases, standard packages. Packages can not be adapted to need of a
particular group because the extension worker does not have the skills or
fears disapproval by superiors ALCOM (1995).

Extension should concentrate on target-level impact. Methods and
messages which are not appropriate must be quickly modified through
consultation with extension, research and target group. PRA tools are
invaluable in this process.

Training, extension and research should all be linked in a project to provide
the basis for technology development and transfer (TDT) system (Fig. 6.2).
Research, both biological and socio-economic provides that basic
understanding of the indigenous knowledge base, identifies gaps, works on
solutions and passes the messages to modify training packages which,
through extension, help up-grade the target groups knowledge. Feed-back
from extension, makes it a cyclic process, identifying knowledge gaps for

                                                        6. Participatory Extension

further research and/or training inputs. Links with other disciplines help to
solve problems which are beyond the technical capacity of the project.

6.1    Participatory Approach to Extension (Fisheries)
Village Management Committees, Beach Committees and Reservoir
Committees all represent an organisational set-up that acts not only to
manage the resource but as a participatory extension service, passing
information to its respective members.

6.2    Participatory Approach to Extension (Fish Farming)
Although focused on fish farming, this section can equally apply to fisheries.

ICLARM (1995) have adopted the terminology Integrated Resource
Management (IRM) to describe integrated agriculture-aquaculture systems
which rely largely on participation creating suitable technology with farmers
(Brummett, et al, 1995). Chikafumbwa (1994) recognises that farmers have
expert knowledge of their local resources and skills to manage and know
what will work and what will not. Farmer participation in technology
development is therefore vital to success. Lightfoot et al (1991) note that in
farming systems, for sustainability, farmer participation, biodiversity and
enterprise integration are necessary conditions. They acknowledge that
there are few tools for the task of making farming systems more


                  Academic                                  Ministry
                  Institution                              Government

                  Research               Donor
                  Centers                Agency

                  Services                                   NGO’s

                  Target                                      Target
                  Group                                       Group

                                       Technology/ Knowledge Flow

                                       Flow of Influence

Figure 6.1   Flow Diagram of Technology Transfer and Information
             Feed-Back in Project Development
             (Source: ALCOM 1995)

                                                      6. Participatory Extension

6.2.1 Flow Models

One such tool developed by ICLARM/GTZ in farmer participatory methods
for constructing pictorial models is the Bioresource Flow Model. The
knowledge generated provides a number of functions:
    Entry point for on-farm research.
    Provides topics for on-station research.
    Affords a link between extension and farmer-farmer technology

In recognition that integrated aquaculture-agriculture farming systems
require farmers participation as designers and managers, IRRI/ICLARM
(1992) developed a simple farmer-farmer communication technique
enabling farmers to work with others and extensionists by drawing models
of their farms. The process is a mix of such PRA techniques as mapping
and flow modelling and provided for:
    Generating an understanding of indigenous knowledge, diversity of
    organisms grown and use of resource base.
    The farmers learn by doing and from others of the same peer group.
    Gender and family roles can be defined.
    New linkages for integration can be discovered.
    New technical messages can be introduced and discussed.
    Drawings can be used for regular follow-up to see how systems evolve.
    Drawings can be expanded to whole village, identifying common
    property resources and linkages, as well as social obligations and
    cultural influences of the community.
    The models can form the basis for quantifying resource flows.



             Training                   Extension                  Other Development Agencies
        TOT                   skills
        needs              knowledge                                       agriculture
        capacity                                                           natural resources
        strengthening          target                services              community services
                                                           co-             district authorities
                        technology needs
                        indigenous knowledge

Figure 6.2       Interlinkages between Project Components for Participatory
                 Technology Development and Transfer (TDT) System

The process relies on mixed groups guided by a facilitator with care and
attention to cultural sensitivities and taking care to make the farmers the
teachers. Pictures provide the easiest form of understanding, especially in
non-literate societies. The models are primarily a research tool but
Brummett (1995) describes how the process has evolved as a farmer-to-
farmer dissemination of technology in Malawi. Farmers use the models to
explain the technology to other farmers and the transfer rate was 1:4 farmer
to outreach ratio over 2 years.

6.2.2 On-Station Workshops

Integration can reduce inequality amongst resource poor and may
strengthen their control over their own lives and organisational capacity.

Noble and Costa Pierce (1992) consider that the diversity of farming
strategies and agro-ecosystems precludes the use of general aquaculture
extension packages. ICLARM/GTZ in Malawi advocate exposing the farmer
to a basket of technologies so that they may make the choice that fits their
situation. Inviting farmers to on-station open days to comment on research
proceedings helped to modify and reformulate research objectives to be
more applied and appropriate to the farmers needs. Farmers visits, on-
station experiments, farmer workshops on-farm/on-station, farmer
researcher experiments on-farm generate a dynamic interchange to

                                                       6. Participatory Extension

orientate research to needs of farmers. The same approach using bank side
field days for dialogue between extension worker and farmers has been
successful in aquaculture developments in various parts of Bangladesh
(Collis, pers. comm., Kumar, pers. comm.) as well as in culture based
fisheries in Oxbow Lakes (pers. obs.).

Chikafumbwa (1994) goes further to demonstrate that farmers once shown
new technologies during on-station workshops, such as rice-fish, within one
year 65% had adopted the practice. Within two years, through farmer to
farmer dissemination over 40 others were adopting the practice (i.e. a ratio
of 1:3.6 farmer: outreach, or trickle down). These farmers had been
exposed to rice farming but had not made the rice-fish connection. Where
no rice farming tradition existed the rate of adoption was only 30-37%.

6.2.3 Bank Side Field Days

FAO in Bangladesh developed a system termed trickle down approach
(Kumar pers. comm.). DOF extension officers were trained by pictorial
guides in basic carp culture technology. They help farmers to organise open
days pond side, and used group discussion to exchange information. The
farmers thus trained were asked to carry out similar voluntary farmer open
days and disseminate the information to others. The trickle down was a ratio
of 1:11 from farmer to farmer.

ODA project in Bangladesh held workshops pond side where the
extensionist was responsible for leading a participatory discussion following
training needs surveys (Griffiths, pers. comm.). Pictorial extension books
were provided to extension workers to use as reference during group
discussion, themes were chosen following training needs surveys and
poster messages were put up as secondary information sources.

6.2.4 Participatory Farming Systems Development

ICLARM, in Ghana (Prien, 1994) developed a system for transforming
farming systems to an integration of aquaculture involving farmer-
participatory approach. The steps described are:

    Rapid Appraisal of natural resources, social groups and agriculture
    Maps and transects         of   aquaculture   systems     and     resource
    Workshops of 10-15 farmers to discuss basic aquaculture technology
    and integrated options.


      Household level appraisal: Bioresource flow models were constructed
      by each farmer as to the approach they planned to use.
      Follow-up economic modelling on the same flow chart showing income.

6.2.5 Farmer to Farmer (Fisher to Fisher)

Farmers Clubs were initiated by MAGFAD in Malawi as a focal point for
extension. The club would represent a group of pond owners who would
meet regularly, exchange views and assist each other in problem solving
and fingerling supply. The club thus becomes the point of contact for
meeting extension workers for an exchange in technical information which
would then be communicated to all members and may percolate outwards
to surrounding farmers.

In Syria, SGAIFDP initiated participatory research trial with 3 fish farmers
and discovered that through the demonstration and farmer to farmer
communication, 20 additional farms had started fish farming, an outreach of

6.3     Community Facilitators
Government agencies do not like to live and work in villages. NGO’s tend to
insist that their staff live at field level so as to associate with the target
group. Where this is not possible, projects have now begun to elicit
participation from the community to help in extension. Some case studies

Utilisation of Traders (Parbatipur, Bangladesh)
In fish producing communities there are specialists who cater for the
industry (e.g. traders in gear and equipment for fishing, fish seed traders
supplying the aquaculturists, marketeers of fish products, etc.). These
persons are from the community and interact with the target group on a
regular, almost daily basis and could form a very valuable vehicle for
informal technology transfer. It is important that they are from the same
village as they will be judged by their peers as to honesty and
trustworthiness and therefore will show a level of integrity and would
command some respect.

In Bangladesh, in an ODA Project, Gregory et al (1990) very successfully
adopted this approach using fingerling traders to train fish seed suppliers to
disseminate technical messages to the fish farmers. Each trader was
provided with a poster booklet for hands on instruction. The trader to fish

                                                       6. Participatory Extension

farmer ratio was 1:25 at a cost estimated as US $ 0.30/pond owner who
followed the advise. This was the amount paid to each trader to cover
expenses when they came for training. Additional benefits included:
Increase in business for the trader, new areas of concentrations of fish
culture were identified for the Project, feed-back of real problems and on the
strengths of Project out-reach.

Van der Mheen (1995) describes a similar system in Madagascar where
private fingerling producers cater for the fingerling needs are becoming
promoters of extension messages.

Extension Worker (Mymensingh, Bangladesh)
This Danida-funded project, realising that the DOF was short-staffed for
aquaculture development projects, hired community Extension Workers
(especially women) from the villages targeted for development. These
Extension Workers were given foundation training and were hired by the
project on a fixed term contract with an in-built gratuity system. If they
completed the term they would get paid out a lump sum with the intention
that they would then return to the community and invest that money into a
pond or income generating activity.

The Extension Worker was easily accepted as a peer by the community and
was able to mingle freely with the pond farmers offering advise and
assistance. They were given pictorial training guides to discuss with farmers
and helped the farmers to maintain their Pond Record Books, a book
generated by the Project, containing stocking and feeding plans and harvest
and feeding data. This was considered one of the more successful of
aquaculture projects in Bangladesh.

Baor Monitor (Jessore, Bangladesh)
The Danida/IFAD funded Oxbow Lake Project modelled the Baor and Pond
Monitor on the same basis as above. Local intellectuals (i.e. school leavers)
were hired on a similar 2 year gratuity system and the intention was that
after project service they would return to the community and could
potentially be hired to do community services or help LMG with accounts,
record keeping, etc. They were constantly being trained in various aspects
of the project and took part in training material preparation. They, together
with the LMG Committee were responsible to raise awareness at all levels
amongst the LMG and Fish Farming Group (FFG) members. In addition the
Baor Monitors were able to assist the LMG to keep the Baor Record Books
and helped in data analysis and planning. They were also neutral observers
at elections and assisted in any conflict resolution, reporting all to the
Project Management.


Volunteer Fish Farmer Motivator (VFF Motivator)
In Tanzania, Mafenga (1995) describes how the Fish Farming Participatory
Approach Project (FFPA) asks local leaders to identify a number of persons
from the community who will receive training and are known as VFF
Motivators. They in turn volunteer to impart training to the rest of the group
formed into a Fish Farmers Association (FFA).

6.4    MAGDAD Participatory Extension and Economics
Scholz and Chimatiro (1995) describe how the extension project in Malawi
evolved over the eight years of implementation. Initially based on Train and
Visit (T&V), residential training and open days or farmer to farmer visits, the
latter part adopted more motivation campaigns, decentralising extension
effort and focusing on capacity building, a more participatory approach
adopting modifications to the PRA techniques, where the extension staff
become the facilitator, not advisers.

Other techniques used by MAGFAD include: On-spot training, train and
visit, open days, slide shows, posters, pamphlets, radio talk shows (today’s
fishing), bands, slide shows, etc. Of all these, the radio show proved to be
the most economic in terms of persons reached and have the advantage of
also dealing with fisheries problems at a nominal cost of US $ 0.002/person
(Table 6.2 and Fig. 6.3). This may be a conservative estimate as it assumes
all people with radios listen to the show. If the 33,000 who responded in
writing is indicative of success, then the cost is US $0.67/person - still
cheaper than other forms of extension. It is interesting to note that after
posters, pamphlets and slides shows, PRA techniques are the next cost
effective tools for extension.

                                                              6. Participatory Extension

Table 6.2      Economic Evaluation of Various Extension Approaches
               A Case Study of MAGFAD, Malawi
               (Source: Adapted from Scholz and Chimatiro, 1995)

           Extension Method          Cost/Unit             Outreach
                                  (US $/Farmer)            Ratio(B)
          Radio Show                   0.002
          Posters                        0.1                   600
          Pamphlets                      0.3                   600
          Slide Shows                    0.4                   600
          SWAP (PRA)                     1.3                 1,200
          PRA                            2.5                   600
          On-spot Training               4.2                   175
          T&V                          10.0                    400
          Extension Outpost            24.0                    720
          Staff Training               54.9
          Open Days                    68.7                    258

         Notes:     a. A station is assumed to have 4 extension staff.
                    b. Outreach ratio is ratio of farmer:extension worker.

From the above case studies, for sustainability, participatory extension
Facilitator:      Local intellectuals could be selected and trained as
                  facilitates or extension workers or volunteers to work hand
                  in hand with target groups. They remain in the village after
                  the project and become a source of information and may
                  even be hired by the community.
Media:            Community directed communications using local media (i.e.
                  Radio, TV, posters) can be a very cost effective tool for


                                         Cost of Various Extension Methods

                                 Radio Show

                                 Slide Show s
        Extension Methods

                                SWAP (PRA)
                             On-spot Training

                            Extension Outpost
                                Staff Training
                                  Open Days

                                                 0    20         40          60     80

                                                     Extension Cost (US $/Farmer)

Figure 6.3                    Economic Evaluation of Various Extension Approaches
                              A Case Study of MAGFAD, Malawi
                              (Source: Adapted from Scholz and Chimatiro, 1995)

                                                          7. Participatory Training

7.     Participatory Training
Research and extension personnel should be trained to be more aware of
farmers situation, and must include interpersonal skills. Extension staff need
training in message formulation and transmitting/communication to farmer.

7.1    Training Approach/Communication Skills
A person’s mind is filled with knowledge, skills and attitudes. Attitude is a
learned behaviour to react to a certain stimulus, evolve with experience,
education, religion and traditions that form filters around the brain. Breaking
through the barriers requires using the right words or codes and to involve
mental or physical participation (Carlsson, 1993). Communication therefore
can be at three levels:

           Verbal: Every day small talk.
          Logical: Uses the intellect.
       Emotional: Appeals to the heart to feelings.

Carlsson (1993) considers that instructions or persuading is not enough. A
consulting approach is required in which the attitudes are broken down by
communicating at an emotional level. The target group consults the adviser
and discusses options, advantages, risks and drawbacks so that the
beneficiary may decide.

In a recent article, Orth (1995) stresses the need to change the way in
which fisheries management is taught. The lecture method is considered full
of drawbacks. Fig. 7.1 illustrates a cone of learning and suggests the need
to reduce reliance on lectures and reading in favour of methods that allow
students/target group to take a more active role, notably 90 % of what is
said and done is remembered!


We tend to remember                              Level of involvement
10 % of what we read
20% of what we hear
30% of what we see
50% of what we
hear and see
70% of what
we say
90% of what
we say
and do

Figure 7.1    The Cone of Learning Illustrating a Need for Active Participation
              in the Teaching Process
              (Source: Orth, 1995)
              Edgar Dale’s cone of learning suggests that reliance on passive methods of
              teaching may be counterproductive if we want students to incorporate
              concepts in their working knowledge base (adapted from Woods, 1989).

Active participation is the key to long term retention of any training message
as reflected by the ancient Chinese proverb (adopted after Croll, 1995):

                                I hear-and I forget
                              I see-and I remember
                              I do-and I understand

Fig. 7.2 has been used in the Oxbow Lake project, Bangladesh to illustrate
to trainers that with time, memory retention deteriorates however, training
that include all elements of hearing, seeing, writing and doing are retained
far longer.

                                                         7. Participatory Training

Figure 7.2   A Training Guide to Illustrate the Learning Process as
             Influenced by the Method of Training and by Time
             (Source: Balarin, 1995)


7.2    Target Group Perceptions
There exists amongst the target group an indigenous knowledge base about
the system, with vague notions as to the biological principles. Often the
understanding of the system, its biology and management principles (i.e.
record keeping, accounting, etc.) remains with a knowledgeable few who
tended to exploit this knowledge at the expense of others. The general level
of understanding of fishers tends to be high with respect to fishing
techniques but low with regard to biological understanding of principles and
a great deal of misconceptions. Often a little guidance is needed to put
indigenous knowledge into perspective so that the target group can see the
whole picture. Fishers and farmers needed a better understanding of the
biology to explain and complement that which they know through
experience (i.e. de-mystification of knowledge).

Communication at field level is generally to non-literate or semi-literate
persons, thus a need to minimise the text with maximum use of illustrations.
An analogy can be drawn with learning the alphabet for the first time (i.e. a
= apple). The picture of an apple brings the association of a. Similarly, when
explaining the biology of a lake or pond, parallels can be drawn between
typical every day farm yard scenes. Parallels between livestock feeding can
be used to explain fish feeding. Fishers were able to make the association
in the Oxbow Lake Project, Bangladesh (Balarin, 1995). However, the
picture needed to be carefully constructed so that the message was not
distorted by poor drawing quality or by a wrong perception of the images
and culture that is seen. Perceptions of what is heard and written can be
interpreted differently, however, if illustrated with an image, common
understanding can often be achieved (e.g. using pictures in calendars to
depict the seasons and the fish so as to minimise the need for written text).

7.3    The Participatory Training Cycle
The traditional training cycle is more of a top-down approach where the
extension agent would decide what needs training and would deliver a
lecture. The participatory training cycle adopted in the Oxbow Lake Project,
Bangladesh is used as a case study, detailed in Fig. 7.3. The Project
established a Training and Extension Unit (TEU) made up of all the
development partners (i.e. DOF, NGO and TA) who would meet once a
week in working groups to jointly design training programmes and discuss
training needs, monitor progress and plan accordingly.

                                                        7. Participatory Training

7.3.1 Participatory Training Needs Evaluation

The first step to training course preparation was for the TEU to sit together
and design a semi-structure interview questionnaire for a PRA of training
needs assessment (see Table 7.1). The structured questions would allow
the trainers to evaluate training needs based on the existing indigenous
knowledge base of the fishers. After field interviews, the extension staff
evaluated what percentage of the group understood the principles behind
the questions asked. These were pooled and an overall average obtained
which then became an indicative assessment of the training needs (i.e. the
gaps in understanding were thus highlighted).

7.3.2 Participatory Training Material Preparation

Armed with the knowledge gained during the training needs assessment,
the TEU would meet and set about illustrating the concepts that needed
better explanation. A skeleton of a training course would be designed. Key
messages would be outlined and preliminary sketches made to illustrate a
point that needed explanation. Drawings at this stage were not elaborate
and would be of stick men but the idea was to come up with what could be
considered a first draft of a illustrated training poster series.

7.3.3 Participatory Workshops/Fields Tests

The TEU would now organise a workshop on the subject and invited all
extension staff and a select number of fishers, generally committee
members. The objective of the workshop was for the assembled group to
appraise the course outline and interpret the messages. Working groups
were then set a task to refine the drawings and messages for a particular
subject. Sub-groups within the group would be assigned posters on single
subject matter. The sub-groups would discuss this and then return in
plenary where the poster would be presented and the whole workshop was
invited to make critical comments of the poster, its content, drawing quality
and its message. Fishers in particular are asked to come up to interpret the
drawings (i.e. tell what you see!). The meeting is facilitated by the use of
over-head projection. All critical remarks are taken into account and, within
reason, the posters are modified so as to convey the correct message.


                             a) Survey the knowledge base of trainees.
                             b) Determine training needs assessment.
                             c) Design appropriate training course.

                                                                 MATERIAL PREPARATION
     a) Train core number of
                                                                      a) Prepare course
     b) Each trainee to train others.
                                                                      b) List the key messages,
     c) Visual aides (posters,              TRAINEE                      consult trainees.
                                                                      c) Trainers design draft
     d) Evaluate understanding.
                                                                      d) Prepare first draft of

                                           FIELD TEST
                            a) Hold workshop for a sample of trainees.
                            b) Trainees to evaluate posters and messages
                            c) Parivipatory approach, redesign posters.
                            d) Trainee and trainer to agree on training.
                            e) Design final draft and print posters.
                            f) Carry out training of trainers.

Figure 7.3    The Participatory Training Cycle for Capacity Building of
              - Target Group
              - Extensionists

                                                                 7. Participatory Training

The posters would now be sent to a professional artist to finalise. The end
product was further field tested bank side with a sample group of fishers.
Fishers were invited to come up to a wipe board and to draw the messages
as they see them. Final adjustments were made to the poster and the text
finalised and translated.

The TEU would now hold a second workshop inviting all extension staff and
the LMG leaders. The process of evaluating the posters is repeated but this
time the extension staff are called upon to give a training demonstration
using the material they have prepared. This exercise becomes part of a
training of trainers course where all are made familiar with the messages
and the methods of communication and learn how to prepare posters and
use overhead projectors. Any final adjustments are made to the posters
before they are approved for printing. Printing is by photocopy or roneo
stencil, a cheap cost-effective method using A3 or A4 size paper.

Table 7.1   An Example of a Training Needs Assessment Survey Used
            in the Oxbow Lake Project, Bangladesh
            (Source: Balarin, 1995)

The response of LMGs on different aspects of harvesting in six selected

SI.   Different questions asked on           % respondents in different baors

No.                                          0-25    25-    50-     75-100      Training
                                                     50     75                   needs

1     Is there any need for harvesting        1       2      3         0

2     Do you think you should have a          0       1      3         2
      meeting before you plan/start your
      harvesting ?

3     How do you fix the target for annual    2       2      1         1           ✔
      harvest ?

4     What are the yearly growth of silver    1       2      3         0
      carp, grass carp, Muriel and
      common carp in a baor ?

5     What are reasons that you should        0       1      3         2
      not catch small size fish ?


6      What would be the preferable sizes            1        1        3        1
       for harvest of silver carp, grass carp,
       Muriel and common carp ?

7      What do you mean by harvesting by             5        0        1        0    ✔
       quota system ?

8      Is there any need for harvesting by           3        2        1        0    ✔
       quota system ?

9      What is the best time for harvesting          1        1        1        3

10     What type of gear should be used for          0        4        1        1    ✔
       deep and aquatic weed free baor ?

11     What type of gear should be used in           0        2        3        1
       a shallow baor infested with aquatic
       vegetation ?

12     Do you think that careful handling is         1        2        1        2
       necessary for harvested fish ?

13     If yes, please describe the most              2        3        1        0    ✔
       appropriate method of handling after

14     Do you think that present marketing       1        2        2        1
       system of fishes is good enough or it
       need to be developed ?

15     Do you maintain the records of your       1        1        1        1
       harvesting? If so what is its
       necessity ?

       Total                                         19       26       28       15   88

       Average %                                     22       30       32       17

7.3.4 Training

By the end of the second workshop, all extension staff and the LMG leaders
will have a complete set of training materials and would have agreed on
content and a training work plan. Extension staff are now set a quota as to
how many target groups must be trained. Training of Committee Leaders is
done in classroom, followed by field days at lake side. LMG leaders are also
asked to train their immediate peers in an effort to raise general awareness
and to make the leaders aware that their role is also to impart knowledge.
Baor monitors would be on-hand to assist. The training material consisted

                                                           7. Participatory Training

     A4/A5 Poster For distribution to extension staff.
        A3 Poster: For the trainer to show to a group during training.
      Single sheet For distribution to the target group.
     A4 overhead For use during classroom teaching.
   projector slide:

Photocopying proved to be a relatively inexpensive means (US $
0.025/poster) of printing the required material and it has the advantage that
the project could at any time prepare additional copies to meet the needs of
a training course. Further, photocopying in-house provided flexibility.
Corrections or adjustments can easily be effected by paste-up. All trainers
are taught how to prepare posters and to do paste-ups such that they can
use cut-outs from various posters to make a composite to help illustrate a
particular message.

Overhead projectors with portable generator were also made available for
use by trainers for field days in remote areas. In addition, interactive
demonstration models were also encouraged (e.g. Use of secchi disk, glass
jar of pond water to see plankton, etc.) as were field days when fishers from
one community were taken to another community for a social programme
and an exchange of ideas.

In keeping with the need to actively involve the trainees (Fig. 7.1), the
poster booklets used for training fishers also has blank pages where the
trainee is to fill in details. For this purpose the use of overhead projector (or
a wipe board) is very good as the demonstrator may draw on the poster the
details given by the audience and can invite active participation from
trainees to come up and fill in the gaps.

7.3.5 Post Training Evaluation

After each training course, the trainer will again carry out a semi-structured
interview filling in a similar questionnaire used at the beginning of the
exercise to design the course (Table 7.1). This post-training evaluation
helps to assess the benefits of the course and acts as feed-back to improve
the material and training. A participatory cyclic process.


The advantages of participatory training are:

     Extension staff (and a sample of the fishers) are actively involved in
     designing, drawing and in giving lectures to others. In this way they get
     to say and do learning in the process and feel comfortable with the
     The extension staff having contributed to the design of the material,
     identify with it (i.e. some feeling of ownership is instilled) and they
     readily accept to use the material.
     In the process, extension staff learn how to carry out training needs
     surveys as well as how to prepare posters and how to give lectures
     and use audio-visual aides.
     Target group leaders also identify with the material, and readily accept
     to use it to show other group members.
     Teaching in a classroom reading from copious notes, telling trainees
     what to do (top down), occasionally use black board illustrations gives
     way to a more dynamic process, of bank side consultative meetings
     and explanatory dialogues, illustrated talks where the trainees became
     actively involved making comments about the posters and even the
     shyest of extension staff were comfortable in using this approach.
     Cost effective (i.e. in Oxbow Lake Project the cost of training an
     extension officer/LMG was US $ 1.7/poster booklet).

                                                        8. Participatory Research

8.      Participatory Research
Acker (1992) considers that well over half of the families living in developing
countries, seldom see extension workers or research personnel. There is
little feed-back in the system, extension workers are not interested in the
knowledge of farmers, researchers not in the knowledge of extension staff
and academics not in the knowledge of lower level researchers (ALCOM,
1995). Extension thus becomes out of touch with research progress and
vice versa.

To reduce the gap between farmer and research, the farmer should be able
to exert more influence on the research being carried out. Two-way
communication is needed between research-extension and farmer.
Because of difference in background between researcher and extension
worker, they analyse farmer problems differently. There is a need for
information link between farmer and researcher. Research, extension and
farmer should jointly decide topics to be studied (Fig. 6.1). A direct link
between research and community should be established through the
conduct of farmer-participatory research.

8.1     Research Approaches
Acker (1992) lists a number of steps in extension and participatory research
and considers that the research process should shade into the extension
process and can not be separated:

       One way message: Extension is a one way messenger service,
                        extension to farmers.

 Farmer-back-to farmer: Focuses on identification of problems and
                        solutions by farmers. Extensionists and
                        scientists consult farmers and are in a
                        continuous research diffusion process.

      Participatory Action A facilitating, information seeking co-learner
                Research: where the farmer and extension worker are
                           also included in the process of technology

The reasons for causes of poor research-extension linkages are:
      Organisational separation of research and extension.
      Educational differences between research and extension officers.


      Lack of clarification of roles and responsibilities in the technology
      development and transfer process.
      Unidirectional knowledge flow prohibits true professional interactions
      between researcher and extension.
      Lack of appreciation for validity of the tasks performed.

Research-extension linkages are affected by a number of factors, notably:

       Organisation and Incentives, bureaucratic rules, organisational
          management: channels of communication, status amongst group,
                        motivation, rewards, job description, performance

Education and training: Lack of skills in research and communications.

           Discipline and Scientists undergo a lengthy process of conditioning
            background: in selective perception and often work in splendid
                          isolation of technology innovation.

      Human factors and Institutional cultural conflicts where researcher
              attitudes: doubts the technical capacity of the extension worker
                         to do research and the extension worker doubts the
                         relevance of research.

              Resources: Physical constraints (i.e. manpower, transport and

8.2     Participatory Research Options
Some suggested participatory research options are:

Farming Systems Research-Extension (FSRE)
Acker (1992) considers FSRE has had a profound effect on thinking of
technology developers since its development in 1945 but it had one draw-
back, it was often based on the perceptions of scientists without asking
farmers to frame the problem. More recent interventions (Lightfoot et al,
1990 and Lightfoot et al, 1991) have made the process more participatory
using PRA techniques. The approach is one of a holistic view of the farm as
an integration of many layers of activities and commodities.

Combine Research and Technology Transfer Functions
A uniform institutional culture of research and extension, with sufficient
resources, small organisations with a single crop single-client group focus
and private status were recommended by Acker (1992).

                                                       8. Participatory Research

Co-learning Participatory Action Research
A community based co-learning process, where there is a interactive
exchange of information between scientist, extension and farmer.

Farmer-led Learning Systems
The farmer has indigenous knowledge which he has experimented with for
generations. A hybrid of indigenous and formal research where farmers lead
the research as they are the closest to the problem, farmer empowerment
and transformative research results. Complete participation in design and
conduct of research leads to circumstances improved and transformed.

Research Assistantship
Development projects design often has no in-built research facility or funds
and can not become adaptive to needs. One option is to include
scholarships in project programmes to offer project staff the opportunity for
higher learning. Through higher degree studies by research, the Research
Assistantship is assigned to work with the project in a particular problem
solving area. The research becomes participatory, demand driven and
adoptive and has the offshoot of capacity building in applied research. The
incentive of obtaining a higher degree and the promotional implications, as
well as a feeling of ownership of the technology developed are highly
motivating features of this approach. This has been successfully applied by
ICLARM in Malawi and DANIDA in Bangladesh (pers. obs.).

Farmer Led-Experimentation
Brummett (1995) describes ICLARM in Malawi farmer-scientist research
partnership where flow diagrams are used to explain and visualise the
whole farm and its interrelated components. Maps are drawn and the farmer
uses these tools to explain the system to the researcher and jointly they can
piece together the complexity of the system and make suggestion for
improvements or identify research needs.

Research can be on station through farmer led experimentation with
comparable on-farm trials. Jointly farmer and scientist participate in
technology development. Pictorial methods are used to explain the results
to farmers.

SGAIFDP in Syria initiated a series of experiments with farmers to
demonstrate the viability of fish farming and found that the idea was being
copied by others who brought to the fore innovative ideas in simplifying
pond construction and fish feeds.

                                      9. Participation in Environmental Management

9.     Participation in Environmental Management
Van der Mheen (1994) suggests that people will only manage their natural
resources if management improves the conditions of their livelihood and if
degradation is perceived as threatening to life sustaining processes. The
benefit must bew (at least) worth the cost. However, benefits will differ with
user. In reservoirs, user groups are many: watering cattle, vegetable
growing, crop irrigation, clothes washing, domestic use, etc. Thus, in
addition to fisheries management, communities must also consider
management of grazing areas, woodlands, stream bank, gold panning, etc.
Proprietorship is important. If ownership is clear, then something will be
done to solve the problems in a participatory manner.

In Zimbabwe, CAMPFIRE (Communal Areas Management Programme for
Indigenous Resources) programme were given proprietorship of wildlife.
Defined groups in areas had rights of inclusion and exclusion and
established communally based resource management regimes. These
groups are now striving to establish a holistic community resource
management and fisheries of Lake Kariba have been advocated as part of
this process (Nyikahadzoi, 1995). Thus whereas participatory fishery
management is possible, van der Mheen (1994) considers reducing
deforestation and erosion in the catchment as more complex as it requires
commitment from people who live in the area but do not derive direct benefit
from the reduction in siltation. In the Oxbow Lake Project, bank and road
side cultivation of mulberry trees for silkworm culture by women groups was
encouraged as part of erosion protection.

Successful community based management requires the involvement and
participation of all groups in the community right from the start. These other
groups benefiting directly or indirectly need to be identified during project
implementation and involved to various degrees.

                                                    10. Participatory Credit Schemes

10. Participatory Credit Schemes
Lack of credit is often identified as the single most important constraint to
development by rural poor. A great number of poor become bonded to
money lenders in the absence of any other forms of funding. Banking
institutions generally will not support this sector without some form of
collateral which has lead to projects developing innovative approaches to
credit provision.

Revolving funds can be set-up from seed funds from donors or NGO’s, lent
out to individuals or groups and later repaid so that it can be lent out again.
Interest is charged to cover the administration fees and the system can be
used many times unless eroded by defaulters. Sustaining the fund is
therefore a major priority and the project must act like a bank. Some of
these schemes are participatory and Tear Fund (1996) describes how
participatory credit managed by the poor help:

     Provide help, inspiration and self respect.
     Allow access to resources and income generating activities.
     Give independence, especially from money lenders.
     Create empowerment, build group dynamics and solidarity.
     Help gender groups to become self confident.

10.1 Community Credit Schemes
Some examples of community credit structures are:

Community Bank, Honduras
Groups within a community meet together regularly to agree to loans from a
shared fund, to make savings and repayments. Finamore (1995) describes
a World Relief project in Honduras were groups of women meet, elect a
committee and are provided a fund (US $ 50/member) and each member
can take a loan but must pay back in 16 weeks at 3% interest. Savings are
encouraged and if any member fails the group (peer pressure) is
responsible to pay back.

Solidarity Groups
Members form solidarity groups to guarantee each others loans. Finamore
(1995) describes this of ASIDE in Guatemala. FAO (1993) describes similar
revolving fund schemes in Guinea, limited to groups of five women.


Village Organisation, Bangladesh
In Bangladesh, many NGO’s (i.e. BRAC, Grameen Bank, Proshika, HEED)
have all evolved a system for community loans: At village level, peer groups
of poor persons are screened and formed into groups (up to 45 persons)
called Village Organisations (VO) and given basic foundation and skills
training. The groups start a forced saving and social welfare fund with the
NGO and must have saved for up to 6 months before they can apply for a
loan. Loans are agreed within the group and the NGO as to amount, use
and repayment period including a service fee. Savings are used as
collateral and loan repayments must be made at regular weekly intervals
after an agreed grace period. The VO may be made up of many sectors (i.e.
agriculture, fisheries and handicrafts) and are separated by gender. No VO
can receive additional funds unless all loans have been repaid and any
default is taken from the savings fund. This instils peer pressure to repay
and 95 % recovery is possible. Should any member be faced with a crisis
(i.e. poor health, death, etc.) the pooled social fund is used as a relief buffer.

Credit Unions/Associations/Cooperatives
FAO (1993) describes a similar system in Togo and Ghana, but operational
through a cooperative where savings are used as guarantees of

Rotating Funds, PAPEC
PAPEC in Brazil organised groups of 8-12 persons all of whom were known
to each other and trained them in a modified version of CEFE and basic
book keeping. The group then appraised proposals from its members for
finance and the group prioritised and allocated credit accordingly. Two
treasures were appointed to collect repayments. Only when repayments
were forthcoming would the group consider further loan options. Peer
pressure ensured nearly 100 % recovery.

Savings Club (Adashe), Nigeria
Alamu and Mdaihli (1995) in NGKLFPP describe the existence of informal
credit schemes. Fishermen organise themselves into rotating credit
associations, pool their funds and each member takes turns to draw on the
total sum. Some clubs date over 20 years and involve both men and women
of average 23-25 members. Club supervisors organise the smooth
operation of the scheme and administer penalties to defaulters. Serious
default would result in exclusion.

Credit Promotion Groups, Ecuador
PRAPESCA in Ecuador established fishermen savings associations which
adopted a participatory approach in micro-project development and funding.
By this process, credit was not identified as the limiting factor and the group
cohesion was considered more important.

                                                10. Participatory Credit Schemes

10.2 Loan Guarantee Fund
Most NGO’s can not afford to give out credit and have to borrow from
banking institutions. This is not without its requirements for collateral
generally offered in the way of NGO’s assets. IFAD and DANIDA in
Bangladesh have developed a Loan Guarantee Fund whereby the donor
gives a revolving fund to the NGO. This is placed as collateral with the Bank
on a sliding scale against moneys borrowed for on-lending to credit groups.
Moneys repaid are used repeatedly to borrow additional funds for
participatory loan schemes.

                                                                    11. Gender Issues

11.     Gender Issues
Women make up 50 % of the community and for sustainability, project
development to achieve economic, socio-cultural and ecological viability,
must include strategic gender needs. Women’s participation is therefore
imperative for sustainability and this in turn is influenced by socio-cultural
norms and the changes that are brought about by activating women roles
(e.g. in fish farming and fisheries which are traditional male domains).
Gender issues specific to fisheries and aquaculture development relate to
the access to and control over resources. Sen et al (1992) specifically note
critical gender needs as:

      Enhancing women’s role in fisheries, and fish trading.
      Participation of women in aquaculture which has been predominantly
      targeted at men.

11.1 Strategies for Gender Participation in Development
Sen et al (1991) consider that development projects have failed to consider
gender issues because of several reasons and recommend strategies to
rectify this situation (Sen et al, 1992):

                Reasons for failure             Recommended strategies
        Policy Lack of awareness of             Policy formulation should include
               gender in development has        specific gender issues in
               lead to limited integration of   development.
               gender issues into sectoral      Donors should initiate policy to
               development plans.               encourage socio-economic
                                                investigations to identify gender
                                                needs and carry out pilot activities,
                                                especially during project
                                                preparatory phase.
 Information When sectoral plans are            Gender-specific indicators should
             prepared for fisheries there       be incorporated in the project
             is a paucity of gender-            cycle.
             specific, socio-economic           Field programmes should
             information and where this         document experiences and
             exists, there is a lack of         exchange information.
             systematic consolidation           National socio-economic data
             and dissemination of this          bases need to be generated to
             information.                       help in project design.
                                                Documentation should be shared
                                                with developmental planners at all


     Expertise Project                         Briefing kits on gender-related
               identification/formulation      information should be given to
               missions are not briefed on     project formulation missions.
               gender issues and often
                                               Project documents should be
               lack expertise for gender
                                               screened so that gender concerns
               analysis and are unaware of
                                               are explicitly recognised and
               the gender issues,
               consequently gender issues
               are poorly considered during    Practical methodologies need to be
               project design.                 developed for integration of
                 Senior government staff are
                 not aware of the relevance    Project staff should be sensitised
                 of gender issues and lack     to gender issues.
                 the skills to incorporate
                                               Full-time gender-specific staff
                 them into work plans.
                                               should be appointed to projects.
                                               A roster of WID experts should be
                                               Government senior staff and
                                               fisheries personnel should be
                                               sensitised through gender training
                                               workshops, and exposure field
        Budget No specific budget has been     A specific budget line should be
     Allocation allocated for gender           allocated for gender work.
                development. Donor             Following project completion,
                commitment is too short        donors should consider low level
                term (2-3 years) and does      funding (10-15 years) to foster long
                not allow an effective         term sustainability.
                community based
                development approach to
          Inter- There is no coordination      Inter-departmental, inter-NGO and
      Linkages between donors and              inter-project linkages should be
                 between government            forged to exchange information
                 departments to                and coordinate activities.
                 communicate and               Decentralise development efforts
                 coordinate formulation of     to ensure participatory
                 work plans to include         development planning and to
                 gender concerns.              assess the impact of development.
                                               Community initiatives should be

                                                              11. Gender Issues

11.2 Gender Participation in Fisheries
Women are often precluded from access to fish harvesting and traditionally
are accepted as involved in fish processing and trading. Project activities to
develop the resource often overlook the role of women. Processors and
traders are not seen as direct users of the resource. This can lead to
competition and resource management awareness should be developed for
the whole community (Sen et al, 1992).

Deforestation has resulted as a consequence of the need of fuel wood to
smoke and cooking fish. This is traditionally a female domain and can be
overlooked where projects concentrate on increasing supplies. Linkages
with government forestry departments should promote community level
resource management (e.g. MAGFAD and LKFDP).

Women generally have more difficulty accessing credit than men. Credit
schemes need to assess the needs of all sectors of the community.

Appointment of WID Officers has significantly contributed to women
participation. There is a need to train more female officers and to establish
community based expertise (i.e. train a local WID facilitator or adviser).

11.3 Gender Participation in Aquaculture
Women have difficulty obtaining access to land. Tenurial situations need to
be examined where women are encouraged to participate and projects must
have specific WID components. In Oxbow Lake Project, 50 % of the fish
farming target group and budget were reserved exclusively for women.

In general, women have numerous time consuming household chores and
may not have the required time to devote to fish farming. Time saving
technologies for women (e.g. hand pump) should be introduced to free
labour for income generating activities.

Extension agents are often men who feel more comfortable to contact male
target groups. This gender bias in extension staff needs to be remedied. In
Oxbow Lake Project certain extension staff posts were reserved only for
women. Men do not transfer information to wives, and in rural communities
women generally have lower literacy rates which extension material does
not address. Aquaculture material should be in pictorial, easy to understand
format and portray women. Women to women communication is to be
encouraged. The Oxbow Lake Project drew up a separate set of poster
booklets designed with female images.


Women may not have control over the benefits from their labours, in these
instances benefits accrue to the household as a whole. Women may receive
gifts in kind for their labours. Income from the pond may change the status
of the household and particularly between men and women.

                              12. Participatory Approaches and the GTZ Project Cycle

12. Participatory Approaches and the GTZ Project
The Workshop objective was to arrive at a framework of participatory
management techniques that could be incorporated into aquatic resource
management projects. The selected framework was modelled on
participation in the Project Cycle (including the various players that are likely
to be involved in Participatory Project Cycle Management, and the degree
of involvement at the various stages). The outcome of the workshop is
discussed briefly below.

12.1 Participatory Approaches in Project Identification
Schönhuth and Kievelitz (1994) consider the initial stages in the Project
Cycle as one of appraisal and project preparation, a process which
endeavours to analyse and define the core problem that a project is
intended to help overcome. PRA methods lend themselves well to be used
in combination with GTZ instruments for project management, such as
objectives orientated project planning, or ZOPP. However, caution is
advised. The use of a PRA approach before a project is certain to be
implemented may raise expectations which may not necessarily be met
should the project not emerge. This was also one of the concerns
expressed during the Workshop. Most target groups are accustomed to a
paternalistic society where donors are believed to be there to help them.
Recommended therefore is that:

  Strong Facilitator: The facilitator for PRA must be a specialist, gifted
                      or well trained, conversant with the techniques and
                      skilled enough not to leave behind expectations that
                      can not be fulfilled.

       Target Group The target group must also be made aware that
         Sensitised: regardless of future project cooperation, a PRA
                     process of self-analysis can be equally adopted by
                     the people to improve their own capacity as a
                     community to communicate their needs to the local
                     administration (i.e. they can use it for problem

The Workshop considered that participatory approaches involving target
group identification of needs assessment may not always be readily
acceptable by the national authorities who may have a different view or


agenda. Thus it would be important to ensure that there is an enabling
government policy or decentralised planning under which the felt needs of
the beneficiaries could be implemented.

12.2 Participatory Approaches in Project Planning
Schönhuth and Kievelitz (1994) emphasised the shortcomings of objectives
orientated project planning (ZOPP) with regard to the involvement of local
people. The Workshop arrived at a similar conclusion based on the fact that
ZOPP demands a certain level of literacy to make it participative for target
groups. However, this was not considered insurmountable as a special
ZOPP was possible using a pictorial METAPLAN system. There was,
however, a need to design a manual for such a ZOPP for non-literates.
Another alternative was to use PRA methods at village level to allow local
people to express their views and to bring the outcome to a ZOPP

In project planning, participatory approaches such as SCA, are very cost
effective and can play a role but requires that the community is organised
and the coordinator must be skilled to be able to identify the problems. IAD
can be extremely useful to identify the institutional arrangements for the
project, however, the facilitator needs to be familiar with the framework as it
is not easily applied. CAP and SWAP offer methods for involvement of the
beneficiaries in the planning process, both require trained facilitators.

12.3 Participatory Approaches in Project Implementation
Most GTZ fisheries projects had some form of Fisheries Committee with an
institutional framework for establishing rules and regulations for participatory
resource management initiatives and for election of committee. In some
cases, formal contracts were necessary and external law enforcement was
often required as the sanction against externals.

Regular meetings, workshops or seminars were a common forum for
participatory dialogue, problem solving and training. Participatory
approaches such as SWAP, RTP, SCA, CEFE, CAP, etc. were all tailor-
made initiatives developed by the projects to introduce more participation of
the target groups in problem solving and activity planning.

Participatory training, extension and research were implemented to a lesser
degree. The ICLARM/GTZ project developed a number of new initiatives for
farming systems research (e.g. bioresource modelling, flow models, farmer
to farmer, etc.). MAGFAD introduced a host of participatory extension

                            12. Participatory Approaches and the GTZ Project Cycle

methods (i.e. SWAP, RTP, on-spot training, etc.) and developed a very
cost-effective radio show. Radio and video was also used by other projects.

In a number of projects peer pressure groups were the focus of a number of
participatory credit schemes and proved to be very effective in loan

Environmental issues, other than those pertaining to production, were to a
lesser degree incorporated in a participatory fashion. PAPEC made a point
of raising environmental awareness and MARENPRO had environment as
its main theme and developed a Participatory Conflict Management (PCM)
approach. PPL introduced participatory environmental rehabilitation as a
development theme.

12.4 Participatory Approaches in Project Monitoring and
Schönhuth and Kievelitz (1994) consider PRA methods can lead quickly to
an intimate understanding of problems and evaluation of progress and PRA
could be conducted before the evaluation team arrives so as to have the
data on hand for evaluation and follow-up. Case et al (1990) have designed
a comprehensive manual which lists a toolbox of PRA which could be used
for Participatory Assessment, Monitoring and Evaluation (PAME, Table 2.2).

The Workshop concluded that such participatory approaches as PRA, CAP,
SCA, IAD and pictorial METAPLAN (ZOPP) all had a role to play in project
M&E. In certain instances, target group records provided a useful tool for
evaluation and statistical collection. PRAPESCA’s concept of mobile
archives provided very valuable databases for evaluation. FOPESCA and
MAGFAD incentive schemes of offering prizes for statistical data were also
with merit, but a common problem was perceived as convincing the target
group of the need to collect statistical data. Where this was not possible,
PRA techniques could be used to abstract information.

The need for some form of project adjustment mechanism was also
discussed. Project Steering Committees were viewed with some concern as
to their intentions and omnipotent powers to change the course of a project.
Project Advisory Committees were considered more appropriate.

                                                               13. References

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                                                  14. Abbreviations used

14. Abbreviations used

AEA        Agroecosystem Analysis

BOBP       Bay of Bengal Programme

CAP        Co-operative Action Planning and Implementation

CEFE       Competency Based Economies Through Formation of

CFC        Community fisheries centre

DD         Diagnosis and design

EA         Ethnographic approaches

FDU        Fisheries development units

FGD        Focused Group Discussion

FSR        Farming Systems Research

IAD        Institutional Analysis and Development Framework

ICLARM     International Center for Living Aquatic Resources

IRM        Integrated Resource Management

NGO        Non-government organisation

PALM       Participatory learning methods

PAME       Participatory assessment, M&E

PAR        Participatory action research

PARM       Participatory aquatic resource management

PCM        Project cycle management

PRA        Participatory rapid/relax/rural appraisal

PRA        Participatory Rural Appraisal

RA         Rapid Appraisal


 RA      Rural appraisal

 RACE    Rapid Appraisal of Coastal Environments

 RAFMS   Rapid Appraisal of Fisheries Management Systems

 ROA     Rapid organisational appraisal

 RRA     Rapid rural appraisal

 RTP     Road to Progress

 SCA     Self Applied Community Appraisals

 SSI     Semi-structured Interviews

 SWAP    Successes, Weakness, Aims and Problems Analysis

 TA      Technical assistance

 TDT     Technology development and transfer

 TEK     Identification of Traditional Ecological Knowledge

 TEU     Training and extension unit

 ZOPP    Zielorientierte Projekt Planung (objective oriented
         project planning)


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