LESSON 2

PRACTICAL COMMUNITY-BASED
APPROACHES TO COMMUNITY PROFILING

COMMUNITY-BASED METHODS
IN COLLECTING COMMUNITY INFORMATION

This section shall focus on a method called participatory action [Link] is participatory
action research? The Center for Community Services (CCS) through Cabilis, Abelardo, Maralit,
and Banzuela (1994) gives three related definitions of it which they gathered from
organizations and people working with the basic sectors of the society. The definitions are
stated below.

Participatory research is an investigation of problems and issues concerning the life and
environment of the underprivileged in society by way of research collaboration with the
underprivileged, whose representatives participate in the research process as equal partners
— that is, as researchers themselves rather than outsiders doing research upon them or their
problems (PDRP Program of the International Labor Organization: CCS 1984).

Participatory action research (PAR) is an approach to social investigation with the full and
active participation of the community concerned within the research process... It is a process
that entails the gathering of information... to be able to take action (Torres, in Labrador and
Serra, eds. 1987).

In this approach, needs, conditions, and problems are identified first. Then appropriate
solutions based on the identified and prioritized needs are planned and implemented through a
partnership between the community and concerned government and/or nongovernmental
organizations.

A community organizer or facilitator who enters in a new community undertakes some form of
social investigation through collection of community information. In undertaking the role, it is
important to observe the following practices as recommended by Cabilles, et al. (1994):

1. Recognize and value the indigenous knowledge and skills of the people. Trust their
perception, experiences, and capabilities.
2. Suspend your own perception.
3. Equip yourself with the knowledge, orientation, and skills that go with implementing
PAR.
4. Practice the principle of participation and empowerment.
5. Acquire an understanding of the broader social context.
6. Develop an inquisitive mind and encourage the people to do the same.

According to Cabilles, et al. (1994), there are two important phases in collecting information
using the PAR method. These are the preparatory phase and the research phase.

Preparatory Phase
1. Preliminary community profiling— This activity aims to obtain a basic knowledge and
understanding of the situation of the community which will inform and facilitate the
organizer's entry to the community.
2. Entry and integration into the community-This activity aims to deepen your knowledge
of the community. This is the phase where you get to know the people and where you
form a data-gathering committee from the community.
 3. Community consultation-This activity introduces the community organizer to the
members of the community. This is the phase where you draw out the perceptions of
the people regarding the issues and problems faced by the community.

Research Phase
1. Training of the training committee - This activity aims to provide the committee with
the basic skills, knowledge, and orientation that they need for the research.
2. Pretesting the data-gathering tools. This activity aims to identify the weaknesses of
and improve the data-gathering tools. Also, this is done to familiarize the committee
members with the data-gathering methods and tools they will be using.
3. Actual Data Gathering-This activity aims to obtain relevant data which can be used to
respond to the issue or problem being studied.
4. Consolidation of Data-This activity aims to organize the gathered data into forms which
will facilitate analysis.
5. Analysis of Data-This activity aims to identify issues and problems in the community
using the research findings. The roots and effects of the issues and problems are
explained in this activity.
6. Preparation of the Data-This activity aims to identify creative, popular, or alternative
ways of presenting the research results.
7. Community Consultation and Data Presentation- This activity aims to share the results
of the research with the community.

Aside from the processes/methods to be used, there are other important matters to be
concerned about. The three important ingredients of PAR are participation, awareness-raising,
and collective action.

1. Participation-The key point is the people. Their involvement is crucial in all stages of
the PAR process. It is important that they own the process. As such, their approval to
get involved in the different stages of PAR is necessary. They need to decide and
commit to the whole process of PAR.
2. Awareness Raising-The process aids in gaining deeper appreciation of the community
and the problems it faces. This leads to the realization of the more important things in
community life and among the people. Revelations from the community will shape and
put development interventions in the right perspective.
3. Collective Action-The process involves the coming together of the people in the
community in response to needs and issues.

Clearly, the community-based perspective emphasizes the importance of the people in the
community. The process is not complete without their participation, and the activities will
have no meaning without their contribution.

The depth of data gathering or collection of community information depends on the objective
of the activity or project. Also, the emphasis would vary based on the interest of the research.
Nonetheless, there are basic information has to be collected in order to have an overview of
the community. The basic information as indicated by Andres (1988) consists of the following:
Community Identification and Overview, Ecological Frame, Historical Origin, Life Activities,
Problems of the People, Impact to the Community of the World Outside, and Goodness of Local
Life. The data needed per area of information are identified below.

A. Community Identification and Overview

1. Its individuality and uniqueness
2. First impression/"Look-see" appearance
3. Its general location relative to other places
4. Landmarks by which it can be identified
B. Ecological Frame
1. Physical conditions (boundaries, land area, divisions, barangays)
2. Profile of the people
o Population
o Age, sex, composition
o Income
o Occupation and nature of work
o Educational attainment
o Skills
o Home ownership
o Home condition (toilet, electricity, water facilities)
o Religion
o Place of origin
o Dialects
o Family life (structure, relationships to head)
o Medical facilities
3. Service institutions
o Parks, recreation halls, cockpits, stores, health centers
o School, library
o Church
4. Transportation (land, water, air)

C. Historical Origin
1. Legendary or real history
2. Reasons for living in that community

D. Life Activities of the Following:

1. Heads of family
2. Mothers
3. Youths
1. Children
2. Organizations
3. Leaders

E. Problems of the People

1. Insecurities
2. Peace and order
3. Economics
4. Health and sanitation
5. Utilities and facilities
6. Social and moral problems

F. Impact of the World Outside

1. Inflow of ideas, goals, special forms, and moral codes
2. Influences
3. Migration
4. Pastimes

G. Goodness of Local Life

1. Location and site
2. Peace and order situation
3. Availability of jobs
4. Community relationships
For collecting a more thorough and specific type of information, there are community-based
approaches to collecting community information. The Philippine Partnership for Development
of Human Resources in Rural Areas (PhilDHRRA), in the context of working with community
farmers, introduced tools that can be used by community organizers to understand a
geographical community. In their Manual on the Estate/Barangay-level Productivity Systems
Assessment and Planning Methodology PhilDHRRA (1993), they indicate that gathering spatial,
temporal, and social/institutional information may be conducted through a variety of tools.

Spatial information deals with space and, as such, involves exercises like resource and social
mapping, land-use mapping, transect mapping, farm sketching, and service mapping.

1. Resource and Social Mapping entails the sketching of resources as well as households
within the estate/barangay. The resource map contains spatial information on land
(farmlands, forestlands, and vacant lands), water (rivers, creeks, springs, wells, and
pumps), and other resources.

2. Land-Use Mapping-involves ascertaining land uses of the estate, such as what crops
are prevalent in the farm parcels. This tool entails identifying the major crops and
other dominant features of the estate.

3. Transect Mapping provides information beyond those presented in the resources and
land use maps. It is done by conducting a walk-through of the community. Discuss the
transect line or route to be taken and the different aspects to be noted, such as
vegetation,
crops, trees, soil types, and others. Use local terms in taking note of the things
identified.

4. Farm Sketching-involves sketching the farm layout including crops planted and other
land uses, cultivation practices, and other observed features. This also involves the
household. Take note of the parcels being tilled by the family. Sketching is done at
different times of the year in order to determine cropping patterns.

5. Service Mapping involves collecting information on the internal and external services
available to the community. Services include health, education, marketing,
transportation, communication, farming support services, and others. Put the services
found within the community inside the circle and services coming from outside the
community outside the circle.

Temporal information includes the historical information of the community, which includes its
past problems, trends, and accomplishments. These data are useful in bridging the gaps
between the past and current situations and may include the following:

1. Seasonal Calendar-determines the patterns and trends throughout the year in a

community. The patterns and trends are illustrated in graphs. Some examples of the
patterns and trends are rainfall, labor needs, expenditures, migration, sickness, crops
grown, and availability of food.
2. Time Line entails general discussion on important events that happened in the
community. The old folks in the community would contribute to enrich the discussion
as they know more about the real stories behind those events. This activity requires
probing skills.
3. Farm Time Line a chronology of agricultural activities undertaken in a particular land
parcel. It focuses on the practices being observed in the management of the farm and
other resources. Undertake farm sketching and relate physical features with the farm
 time line review.
This requires in-depth interview with the land owner/farmer.
4. Trend Line a diagram showing significant changes in the community over time. A trend
line can be prepared based on the analysis of the general time line. Areas for analysis
include rainfall, soil erosion, productivity, and other aspects of resource availability
and use during certain periods. A matrix and graph can be used for illustration.
5. Time-Allocation Diagram-intended to distinguish specific tasks carried out by
household members and the amount of time spent on those activities. It includes
activities from the time a family member wakes up until the time the day ends.

Social/Institutional information concerns insights on the people in the estate/barangay and

their relationship with one another as well as with advisers. Information can be derived using
the exercises below.

1. Census Mapping provides details of the community with focus on its residents. Based
on the list of household heads generated from the resource and social map, prepare
cards approximately 4" x 6" in size. Number the cards and then indicate the name of
the households on the card (one card for every household). Make sure that the card
numbers match the numbers assigned to the houses indicated in the resource and
social map. Tape or paste the cards on a large sheet of paper in consecutive order.
These can be laid out on the floor or any flat surface.
2. Venn Diagramming shows the relationships of the different institutions, as well as the
individuals, with one another and with outside groups. Colors of different sizes are to
be used to represent different organizations, institutions, or influential people. Decide
on which relationship to investigate.

Communities evolve and change through time. People come and go and new developments
arise. Thus, for purposes of accuracy, relevance, and appropriate alignment of community
interventions, make sure that the collected data for a particular community are up-to-date.

LESSON 2: ACTIVITY – LONG BONDPAPER

1. What are the elements or ingredients of a community-based process in

collecting community information?
2. What is participatory action research?
3. What is community profile?
4. To understand and describe a community accurately, what information do tou
need to gather? Which tool would you most likely adopt and why?

CHAPTER 2: APPROACHES TO COMMUNITY ACTION ACROSS DISCIPLINES

LESSON 1- COMMUNITY ORGANIZING

COMMUNITY ORGANIZING: DEFINITION, STEPS, AND ROLE

Community organizing (CO) is the form and process of building a group of people who have a
common vision and goal and who engage in community action. The process of CO includes the
whole cycle of formation, organization, mobilization, action, and reflection/evaluation.
According to Stall and Stocker (1997), CO involves the entire process of "organizing
relationships, identifying issues, mobilizing around those issues, and maintaining an enduring
organization."

From the perspective of community development, CO is about power. It is power-making. Its

courses of action lead to the making or building of power among the people in the community.
It is a process of organizing, consolidating, developing, and sustaining the forces of the
people, particularly those with less voice, less resources, and less opportunities. It is a means
of empowering the marginalized and the disadvantaged people of the community and the
whole society.

Community organizers help make the people realize the power of collective action, which
starts from identifying common problems in the community, defining and addressing the
problems together, mobilizing resources as a collective, and sustaining community action as
one body. This building process is long and difficult. Community organizers are confronted
with a lot of tensions and conflicts. However, their role is to process the conflict and translate
this into an opportunity to strengthen people's relationships.

Adams and Alinsky both contributed in the theoretical growth of community organizing.
Adams's philosophy on community organizing underscored social democracy, widespread
participation, and the development of connected knowledge. Alinsky's philosophy, on the
other hand, is based on power relations. For Alinsky, "grassroots organizations democratically
leverage power to address social injustices" (Hamington, n.d.). The two CO believers imparted
a concern on the value of listening and learning from the community in order to gain
perspective on its needs. Also, they both advocated for community members' active
participation in the organizing interventions.

It has to be said that community organization is different from social movement. The former
focuses on the local community, while the latter centers on the movement. However, a
community organization is a process that builds a constituency that can go on to create a
movement (Snow, et al., 1986 as cited by Stall and Stocker, 1997).

STEPS IN COMMUNITY ORGANIZING

Community organizers may employ different strategies in organizing a community, but there
are basic steps that they usually adhere to. Manalili (1985) as cited by Quintin (1988)
presented the following steps:

1. Entry in the Community-Entry to a particular community means you have done the
necessary preparations like gathering basic information about political (security risk,
ideological conflicts, etc.), economic (business dynamics, basic sectors' social issues,
etc.), cultural (tradition, practices, lifestyle, ect), and ecological conditions in the area.
Also, there are psychological-and perspective-setting, such that you are not there to
save them, that you are not superior to them, and that you need to dress accordingly.
2. Integration with the People- The most difficult stage is the integration part of the
process. There is a possibility that the people will ignore you. Thus, you try to live like
them. Live with them—eat what they eat, drink what they drink. Learn to do things
their way. Get to know the people. Join conversations smoothly and listen intently to
what they are saying and not saying.
3. Community Study/Situation Analysis-Based on the data that the community organizers
have gathered, they will review the preliminary data and enhance analysis based on
 the new data. Since the organizers have considerable knowledge of the community, the
CO can discuss some pressing problems with them casually (without being "trying
hard)." The CO grabs every opportunity to be able to raise social consciousness of the
people.
4. Identifying and Developing Potential Community Leaders-While integrating and
discussing social issues with the people, the CO consciously observes and spots
potential community leaders, those with deep concern for the people and a good grasp
of the community's problems. The CO will train and develop these potential leaders by
letting them facilitate and initiate discussions.
5. Core Group Formation- The CO will form a core group comprising of potential leaders.
The CO will have regular discussions and training with the group. As much as possible,
each member of the group should represent a particular sector such as the farmers,
youth, and women. Once ready, each sector, member will form his/her own group, such
as a farmer's group or a youth group.
6. Setting-up the Organization-Once the organization is set up, structures will be formed,
organizational leaders will be elected, and necessary policies will be established. Then
training of the members will be carried out.
7. Strengthening the Organization- In ensuring sustainability, there will be a continuous
human resource development, policy refinement, and development of organizational
programs that will help strengthen the organization.

THE ROLE OF COMMUNITY ORGANIZING

CO is context-sensitive. The start and the notion of community organizing definitely vary from
one context to the other. The requirements and the ingredients necessary in employing CO
depend on the community [Link], there are different CO models or approaches. The
way CO shapes and leads community action would be dependent on the model and approach
used.

There are a number of models out there, but there are three practices that may be referred to
as major orientations, namely, Jack Rothman's Three Models of Community Organization, Saul
Alinsky's Conflict Confrontation Model, and Paulo Freire's Conscientization Model.

The three models of Rothman (nd) include Community Development (CD), Social Action (SA),
and Social Planning (SP).

Community Development aims to modify human attitudes and behavioral patterns through
education, advice, and strategies. This model targets socand development of voluntary
cooperation, self-help, educational development, and indigenous leadership.

Social Action, on the other hand, aims to reform community and societal legal and functional
systems. It heavily depends on political mobilizations and policy advocacy, especially for the
disadvantaged sectors of society that clamor for social justice.

The third model, Social Planning, aims to change social conditions by changing the social
policies of formal organizations. It entails amendments on the accessibility of goods and
services.

Saul Alinsky's Conflict-Confrontation Model uses conflict or disagreement to shake or agitate

people and mobilize them to advocate for social change. It relies on the acknowledgment and
use of self-interest to stir discontent in order to get the people involved. It will work to
mobilize as many people as possible to show strength and in order to get people's attention.
Negotiation is usually coupled with conflict confrontation. The mobilizations lead to the
emergence and development of organizational structures for people power. Members
undertake pressure tactics as a strategy to forward or advance their agenda.

Alinsky's idea flourished in the Philippines in the 70s, especially among the social action
agencies, particulary the Philippine Ecumenical Council for Community Organizing (PECCO)
which organized the Zone One Tondo (ZOTO) for the urban poor in Tondo. This approach then
became the most popular social change approach. There was brutal and ruthless political
tyranny during that time, and this approach allowed the masses to discuss social and
structural issues.

Paulo Freire's Social Consciousness focused on the conscientization process.

Conscientization is a process of developing the people's critical awareness of their situation
in relation to bigger social realities and their own capacity to transform realities. Freire's
principles include the following:

1. Education is neutral or unpolitical- It domesticates so many situations by imposing the

value and culture of the dominant class or liberties on the people, e.g., helping people
become critical, free, active, and responsible members of society.
2. Issues must have importance to the people People will act on issues that are important
to them. All education and development projects should start by identifying the issues
that the local people feel strongly about.
3. Problem posing approach-The whole education and development process is viewed as
a common search for solution to problems with the people as partner or active
participants in all phases of problem solving. This is in contrast to the banking
approach where the people are seen as empty vessels needing to be filled with
knowledge by the organizers.
4. Dialogue Education must be a mutual learning process. Community organizers serve as
facilitators or animators whose roles are to set up a situation in which genuine
dialogue can take place, where people can share experiences, listen, and learn from
each other.
5. Reflection and action - A community organizer or animator can provide a situation in
which people critically reflect upon what they are doing. Identify any new information
and training that they need, get this information and training, and plan their action. By
setting a regular cycle of action-reflection-action in which the people are constantly
calibrating their success or analyzing the cause of mistakes and failures critically, they
can become more capable of effectively transforming their daily lives.
6. Radical transformation of life in the local communities and the whole society—A
conscientizing type of education aims to involve the whole communities in actively
transforming the quality of each person's life, the environment, the community, and the
whole society. It is a dynamic process in which education and development are totally
interwoven.
It recognizes that each person has a contribution to make in building a new society
and tries to help each person and each community become more capable and
committed to the service of the people and national transformation.

LESSON 1: ACTIVITY – LONG BONDPAPER

1. What is community organizing?

2. What are the steps in community organizing?
3. What is the role of community organizing in the development and
implementation of community action?
LESSON 2: PARTNERSHIP BUILDING

PARTNERSHIP DEVELOPMENT:
DEFINITION, STEPS, AND ROLE DEFINITION

As a member of a community and the larger society, we live in association with others. We
cannot do things alone; we need others (individuals, groups, organizations, sectors) to get
things done. The reality of the limitations of resources (human, technical, financial, physical),
more especially at the local communities, makes people to partner with others who can
supply what is lacking in them. To appreciate the process of partnership building, it is
important to define the term "partnership."

Partnership is a vibrant relationship among diverse players. It is grounded on mutually agreed

goals and carried out through a shared understanding of the most rational division of work
based on the respective comparative strength of each partner. It covers reciprocal influence
with a careful balance between synergy and respective autonomy, which incorporates mutual
respect, equal participation in decision-making, mutual accountability, and transparency.
(Adapted from Brinkerhoff, 2002)

In a more specific context, partnership is defined as a key to effective watershed

management due to the involvement of different stakeholders or partners. Partnerships that
are developed and sustained promote (a) more efficient use of financial resources, (b) a spirit
of sharing and cooperation, and (c) fairness which creates more creative and acceptable
techniques to shield natural resources (Farnet, n.d.).

The term partnership is defined differently by various authors. However we can derive
common principles. FAO (2003) captured these values in their attempt to indicate the
principles of partnership, which are trust, mutuality, solidarity, and accountability.

1. Trust-This principle is the foundation of any partnership. It requires trust between and
among partners in order to enter into an agreement and a relationship. No good
relationship is built on an atmosphere of distrust. It is the most vital ingredient in
forging partnerships since the relationship requires the element of transparency and
accountability.

2. Mutuality.-This principle entails reciprocity, respect, [Link] require

reciprocal relations, where there is mutual understanding on various aspects of the
relationship. Thus, it demands openness to dialogue and exchange of perspectives.

3. Solidarity-This principle promotes compassion for the marginalized, the disadvantaged,

and the poor. It infers promptness to take [Link] takes all partners to respect
commitment and to have an equal take on situations at hand.

4. Accountability-This principle is about rights and obligations. At the start of partnership,

this must be clearly mapped out and agreed upon by both partners. This part is a
reality that may break or make partnerships.

STEPS IN PARTNERSHIP BUILDING

Partnership building is a long process. It necessitates recognition and acceptance of each

partner's assets and flaws. The process is not only long; it is hard as well. Hence, it requires
going through some steps to reduce the flaws and increase the assets. FAO (n.d.), based on
their experience, provided four steps in partnership building.

Step 1: Scoping and Building-This step comprises four activities: scoping, identifying, building,
and planning.

o Scoping: understanding the challenge, gathering information, consulting with

stakeholders and with potential external resource providers, and building a vision of/for
the partnership
o Identifying: identifying potential partners and securing their involvement, motivating
them, and encouraging them to work together
o Building: refers to building of partners in working their relationship through agreeing
about the goals, objectives, and core principles that will underpin the partnership
o Planning: the partners' planning of activities and outlining of projects

Step 2: Managing and Maintaining-This step includes managing, resourcing, and implementing.
o Managing: The partners explore the structure and management of their partnership.
o Resourcing: The partners identify and mobilize cash and non-cash resources.
o Implementing: This is the time to implement preagreed time table and project details
and deliverables.

Step 3: Reviewing and Revising-This is comprised of measuring performance, reviewing, and

revising.
o Measuring Performance: This refers to measuring and reporting on impact and
effectiveness. This is where outputs and outcomes are measured. The partners ask,
Are the partnership goals achieved?
o Reviewing: This is the period where you review the partnership.
The partners ask, What is the impact of the partnership? Is it time for some partners to
leave? Should roles change?
o Revising: Partnership programs and projects are revised based on achievements or
contextual changes.

Step 4: Sustaining Outcomes-This step includes the following:

o Institutionalizing-the stage where you build appropriate structures, mechanisms, and
resources for the partnership to ensure long-term commitment
o Sustaining or Terminating-the time where you decide whether to sustain or conclude
the partnership

ROLE/FUNCTION OF PARTNERSHIP BUILDING

The role of partnership building can manifest in two ways: formal and informal. For the formal
function, partnerships are necessary to achieve common goals. The meeting point is the
organizational aspect, primarily on partnership management. Both partners ensure that the
organizational systems and policies are in place. The goal is to reach partnership objectives
effectively and efficiently.

In the context of community development partnership goals, the partnership should contribute
to the attainment of community development or advocacy agenda. If one of the partners does
not fulfill its commitment to that advocacy, and the partnership contributes negatively to the
advancement of the organizational or community goals; the partnership may have to end.

CHAPTER 2: LESSON 2 – ACTIVITY / LONG BONDPAPER

 1. What is partnership development?
2. What are the steps in partnership development?
3. What is the role of partnership development in the formation and
implementation of community action?

LESSON 3: DEVELOPMENT OF COMMUNITY LEADERS

COMMUNITY LEADERSHIP DEVELOPMENT

One of the main functions of community organizing is the formation of local or community
leaders. The community organizers are outsiders who enter a community with the objective to
help facilitate the empowerment process of the community. These community change agents,
however, are not permanent in the community. Their presence is temporary. Thus, it is vital to
develop community leaders.

Community leaders are permanent or regular residents of a particular community who take
responsibility for the well-being and improvement of that community (Community Toolbox,
2015). There are born community leaders but without social orientation. It is the responsibility
of the community organizers to spot, train, and develop these leaders. The formation of these
community leaders and even second liners has to be programmatized and institutionalized.

STEPS IN DEVELOPING A COMMUNITY LEADER

1. Spotting of a Potential Community Leader-The first step is to observe

consciously and spot potential community leaders. The process of spotting
requires close contact and monitoring of people. Build good relationships with
the people and deepen the relationship by going beyond personal. Elevate the
bond to a level of community development thrust or to a mission level.
2. Awareness Building and Conscientization Process of the Potential Leaders-This
step is the formation of socially aware and critical leaders. Establish informal
leadership activities, such as exposure to activities of community leaders,
regular discussion and analysis of social issues with them, and coaching and
mentorship on certain community activities.
3. Core Group Formation and Development-This is the step when the core group of
leaders is formally created. During this stage, the core group members are
slowly being introduced to the community as they leaders and are provided with
formal leadership trainings.
4. Formation of the Organization-This step is the setting up of the community
organization where structures are created, policies are formulated; and the
leaders are formally recognized.
5. Functioning Leaders-The next step is full deployment of the community leaders
to provide more active presence in the community.
6. Leadership Advancement and Successor Leadership Programs-The community
needs relevant, globally savvy, technologically adept, and people-oriented
leaders. Thus, it is necessary to have continuous leadership formation and
reflection. The other equally important program is the successor generation
leadership development. This is the formation of organizational second liners.

COMMUNITY LEADERS AND COMMUNITY ACTION

In order to sustain community action, community leaders must be indigenous or members of
the community. Community leaders are performing a key role in the development and success
of the community. They represent the sentiments and concerns of the community. They are
the voice of the community. They serve as community facilitators and sometimes even
conflict managers.
To be effective in their role, these leaders should know how to listen to the people. They must
be aware and sensitive to the condition of the different sectors of the community, and they
have to be committed to the growth of the people and the development of the community. The
community needs leaders who can be trusted and are responsible.

LESSON 3: ACTIVITY – LONG BONDPAPER

1. What is community leader?

2. What are the steps in the development of community leadership?
3. What is the role of community leadership in community action?

LESSON 4: PARTICIPATORY ACTION PLANNING

PARTICIPATORY PLANNING
In applying a community-based perspective of development, it is essential to pursue
participatory approaches not only in the collection of community information but also in the
creation of community action plan.

DEFINITION AND PRINCIPLES

Participatory action planning is a process where a community embarks on a project to attain a

given socioeconomic goal by consciously diagnosing its problems and charting a course of
action to resolve those problems (FAO, nd). The planning content is not just specific to
community economic goals but to the political and cultural aspect as well. What is crucial in
this process is the participation of the concerned members of the community. FAO (nd)
identified important principles in participatory action planning, which are briefly described
below.

1. Development should be seen more as a change from the bottom up than from the top
down.
2. The development process should be managed as a natural organic process rather than
according to plans, goals, objectives, targets, and schedules. Goals and targets may
change, and their timing should be tentative and flexible to make room for adaptation
to local conditions.
3. Development programs should aim to strengthen local organizations and not state and
central government bureaucracies. New program should be chosen according to their
ability to increase local development management capacity. Start with a few schemes
to solve some immediate local problems to build local confidence and experience.
4. The development process is supported by local institutions with village panchayats
(village councils), primary cooperatives, the religious, youth, community-based users,
and self-help groups playing a lead role. It is more important to ensure that the
development process is rooted in a strong local institution than ensuring that local
institutions have a grasp of all the finer technical points. It is comparatively easy to
arrange technical services from outside than to bring about social involvement and
willing popular participation in the development process. Strong local institutions are
necessary as support posts quite independently of whatever technical skills and other
background they may have.
5. It follows from the above that the development process must be based primarily on
confidence and learning rather than on experts and training. It is more important for
the people who will take decisions at the local level to have the full confidence of the
people they represent rather than to be trained experts. This also implies that
 technical staff of departments should work in tandem with local institutions rather
than sit on judgement on the plans prepared by these institutions.

ROLE OF PARTICIPATORY ACTION PLANNING

The people's inputs both in the content and process are strategic in the development of
community action. The feasibility, accuracy, and relevance of a community plan depend on the
participation of the people. It is important to capture the people's voice as it will lead to a
community action that is embraced and owned by the people.

STEPS IN PARTICIPATORY PLANNING

1. Identify local needs, particularly of poor rural families.

o The best way to find out what people need and what they see as possible solutions
to their problems is to ask them directly.
Also, this creates awareness and willingness among the people to take part in any
action that will follow.
o Before asking what they want, you must establish a common ground of
understanding with them. There will be conflicting interests within a community.
Special skills and sincerity are needed to build a consensus.
o It is important to ensure steadfast community support for a pro-poor development
initiative. Local officials, community-based organizations (CBOs), field workers of
voluntary organizations, teachers, women, and retired people must be involved in
the consultations and discussions.

2. Collect basic data.

o Once local contacts are established, the next step is to collect, with the people's help,
basic data about the community, characteristics of the area, resources situation,
socioeconomic status, and other relevant facts.
o The aim is to get a factual baseline picture which will help in setting goals and
measuring changes brought about by the project at a later stage.
o It is helpful at this stage to associate with local officials and NGO functionaries in
collecting and verifying facts from different sources.
o To seek people's cooperation, you should respect their ideas and abilities. The focus
should be on the community as a whole and the commitment to help the poor.
o Participatory rural appraisal (PRA) is a practical tool for participatory data collection
and analysis.

3. Form working groups.

o It is helpful to form working groups that include local officials to prepare status reports
and develop perspectives.
o The aim of the working groups is to analyze and compare data, draw inferences, and
identify priority areas for intervention. This is aimed at greater clarity and
strengthening of participation of local people, particularly the rural poor, by giving
greater local planning responsibility and establishment of good working relationship
between technical planning experts and the local people. Importance is to be given to
detailed specification of the roles of participant individuals, groups, and committees in
carrying out the tasks.
o Conflicts and disagreements may arise in the process, which are not in themselves a
negative factor, but they have to be properly resolved and managed at every stage of
decision-making.
4. Formulate objectives.
 o The first step in participatory local planning is to define specific objectives. These
should be stated in concrete terms, for example, increasing (a) incomes of identified
households, (b) production of certain crops, and (c) literacy among locally elected
women officials.
o The objective may not always be quantifiable, particularly when it involves attitudinal
changes. However, it still helps to be as specific as possible so that people can see
how much change has taken place.
5. Decide on a strategy.
o This is the most difficult part of participatory local planning as it involves assessing
and mobilizing needed resources and choosing the planning methods. It is important to
specify:
(a) resources that are locally available and those needed from outside (people with skills,
funds, raw material inputs, etc.); (b) if resources are available when needed; and (c) who
should be approached, who will approach, and with whose help to secure these.
o Consider alternative local planning methods and approaches such as (a) whether to
contract a job to private individuals or to do it on a cooperative basis; (b) whether to
focus on several small household-based units or one big unit; and (c) whether to train
local people as trainers for the jobs or to hire trained personnel from outside.
o Once a course of action is chosen, it should be explained and specified in clear terms
to avoid confusion and misunderstanding among the local stakeholders.
6. Ensure feasibility.
o The working groups at this point should consider whether the objectives are realistic.
It is important to ensure (a) that assumptions and stipulations regarding the availability
of resources, managerial competence, and technical expertise are realistic; (b) that
proposed activities are economically viable; and
(c) that local market can absorb the expected outputs.
o It is important to identify potential project beneficiaries and check how the benefits
would flow to them.
7. Prepare the work plan.
o This is a blueprint for decentralized project management drawn up by the project
implementation committee, specifying the what, who, when, and how of local project
implementation.
o The work plan should contain the following information in simple tabular form: (a) all
activities for implementation of the project;(b) names(s) of the person(s) responsible
for each activity; (c) starting and completion time for each activity; and (d) the means
to carry out the activities.
o It should define the outputs expected from each activity to measure performance
during implementation or upon completion of the project. This will help ensure
effective monitoring and evaluation.
8. Prepare the budget.
o The material and human resources must be given monetary cost to form the project
budget.
o The cost is further broken down in terms of each period of time and also in terms of
availability of resources (whether locally available or to be secured from outside).
o External resources can be government grants or loans from financial institutions, etc.

PARTICIPATORY PLANNING OPERATIONAL STEPS

Steps in the Implementation of Local Development Projects

1. Appointing a project coordinator
o After hiring staff and technical persons for the different jobs according to the schedule,
the organization/agency in charge of the project should appoint a coordinator for the
project.
o The coordinator can be hired from outside or inside [Link] person should
have commitment and leadership qualities.

[Link] up a project implementation and monitoring committee - This is made up of the

project coordinator, representatives of the local community, and a representative of the
funding agency. Its role is to supervise implementation on a day-to-day basis and to work as a
crisis management group.

[Link] training - This is needed to orient project planning staff for the jobs to be performed.

[Link] - Maintain total transparency in procurement and use of resources.

This is important for retaining community interest and support for the project to ensure its
smooth progress. Project details, budget, and sources of funds can be diaplayed publicly at
different places in the project area.
o Involve more local people in various activities with daily/weekly briefings to inform
community leaders about ongoing activities and problems, if any. Care is needed to
ensure the quality of inputs procured and used.

5. Anticipating obstacles
o The project coordinator should be aware of likely difficulties, be able to anticipate
obstacles, and take preventiveaction.
Advance action is needed to ensure timely availability of workers, especially technical
people. Plans should be ready to deal with any contingency.

6. Timely release of funds

o Implementation is often delayed by the nonavailability or inadequacy of funds. Various
bureaucratic formalities, postal delays, etc. may delay commencement.
If there is more than one source of funding, it is necessary to ensure that no mistake is
made in completing formalities of the Terms and Conditions (T&C) document and in
submitting timely progress reports, which are needed for timely release of fund
installments.
o The project coordinator should ensure that there are enough funds for the activities as
well as for paying project staff salaries.
o It is important to be prepared for delays by having flexibility in project design for such
eventualities. Sticking to the guidelines and instructions of funding agencies and
adherence to the project schedule are the best ways to ensure timely releases of fund
installments.
[Link]
This is important for timely and proper project implementation. Monitoring provides
feedback so that necessary adjustments can be made in the work plan and budget. Therefore,
monitoring schedules are often based on the project work plan. It is essentially a tool that
helps both project-implementing and funding agencies.
7.1. Monitoring parameters
 time schedule
 cost
 Process

These are already specified in the work plan. Monitoring reports must be reviewed by the
project implementation committee, focusing on information about delays—the extent and
implications, needed corrective action and the person or agency responsible for it. This not
only points out the source of the fault but also protects project management from blame for
the delay.

An honest assessment of the implications of delay and under- or overutilization of funds leads
to timely corrective action. Also, it helps in building a reasonable case for additional funds in
case the delay is caused by the late release of funds and results in escalation of project costs.

7.2. Periodic monitoring format

7.3. Integrity
o It is important for the implementing agency to maintain a high level of financial
credibility, which is closely watched by funding agencies.
o Monitoring therefore focuses on cost flows. Wherever there is under- or
overexpenditure, the issue should be brought to the immediate attention of the funding
agencies. It should be discussed frankly with them in order to reach agreement on the
best course of action.
o Implications of delay or cost overrun can be discussed with the village community to
explore possibilities of mobilizing local contributions to compensate for the extra cost.
Integrity pays in the long run.

LESSON 4: ACTIVITY – LONG BONDPAPER

1. What is participatory action planning?

2. What are the steps in participatory action planning?
3. What is the role of participatory action planning in community action?

LESSON 5: RESOURCE MOBILIZATION

MANAGEMENT AND DEVELOPMENT

The organizational management and development includes establishing and strengthening the
organization for the resource mobilization process. It involves two things:
1. Identifying the organization's vision, mission, and goals
2. Putting in place internal systems and processes that enable the resource mobilization
efforts.
The processes being referred to include: (a) identifying the roles of board and staff; (b)
effectively and efficiently managing human, material, and financial resources; (C) creating and
implementing a strategic plan that addresses proper stewardship, and (d) using existing funds
on one hand, and identifying and seeking out diversified sources of future funding on the other
(Venture, 2010).
Successful resource mobilization practitioners have been guided by certain values and
principles. Venture (2010) captured five of these principles.
1. Resource mobilization is just a means to the end, the end being the fulfillment of the
organization's vision.
2. Resource mobilization is a team effort and involves the institution's commitment to
resource mobilization, acceptance of the need to raise resources, and institutionalizing
resource mobilization priorities, policies, and budget allocation.
 3. The responsibility for the resource mobilization effort is shared by the board, the
president or the executive director, and the resource mobilization unit.
4. An organization needs money in order to raise money.
5. There are no quick fixes in resource mobilization.

ON COMMUNICATING AND PROSPECTING

This phase is another challenging part of resource mobilization. It aims to ensure that there is
long-term sustainability of organizational resources by determining new donors and
constituency base. It necessitates strong
and reliable networking and linkaging power. It likewise requires the mastery in targeting the
right prospects and the matching appropriate resource mobilization strategy. This notion, as
conferred by Venture (2010), is ruled by the following principles:
1. Resource mobilization is really friend-raising. Financial support comes as a result of a
relationship, and not as the goal in and of itself.
2. People do not give money to causes; they give to PEOPLE with causes. People give to
organizations to which they have personal affiliation in some shape or form.

ON RELATIONSHIP BUILDING

Upon identification and mapping of the donors, the next step is to "court" them through a (a)
getting-to-know-you process, (b) getting-closer-to-you practice, (c) getting-to-know-you-better
course. This leads to the development of a relationship from acquaintance to confidante.

When the relationship deepens, donors tend to contribute more, provide higher levels of
support, and increase their investments. As donor cultivation techniques become more
directed, focused, and personal, donors may turn out more active in supporting the
organization.

Creating, maintaining and expanding donor base are a regular organizational activity. Actually,
it is a core function of an organization to build a network of committed partners and develop a
dedicated board of members, staff, and volunteers. In order to build an enduring relationship,
the following principles observed by Venture (2010) must be applied:
1. Donor cultivation means bringing the prospect to a closer relationship with the
organization, increasing interest and involvement.
2. Start at the bottom of the resource mobilization pyramid to get to the top.

The major steps in resource mobilization planning include the following:

1. Reviewing the organizational strategic plan
2. Determining resource mobilization targets
3. Identifying constituencies and broadening stakeholders
4. Developing key messages
5. Reviewing and selecting resource mobilization strategies
6. Gearing up for resource mobilization

Essentially, these steps are to be carried out in successive order. It has been observed that
they build upon each other to create a full understanding and appreciation of the resource
mobilization planning process.

Resource mobilization is the process of locating a source of external funds and negotiating a
grant or loan to carry out a development project. A resource mobilization strategy is vital. NMS
(n.d.) identified main steps in the strategy.
1. Determining the key developments needed in the organization
 2. Framing the organizations development needs in the context of broader national,
regional, and international goals
3. Gaining an understanding of current policies, programmes, and priorities for
development-assistance activities from the relevant national authorities (such as
ministries of finance, planning and foreign affairs)
4. Identifying potential sources of funds
5. Researching the policies, programmes, priorities, and procedures of potential donors
6. Initial contact with potential donors to outline organization plans, the need for
assistance, and the counterpart support available from the organization if donor
support is obtained
7. Formal submission of the request for assistance, taking account of the points
regarding capital and project budgets and following the procedures required by the
donor
8. Follow up to check progress and the need for additional information
9. Once the request is approved, completion of formal agreements and project
implementation, setting the required financial management processes and systems in
place

RESOURCE MOBILIZATION AND COMMUNITY ACTION

Resource mobilization is critical to any organization because of the following reasons:

1. It ensures the continuation of your organization's service provision to clients.

2. It supports organizational sustainability.
3. It allows for improvement and scale-up of products and services that the organization
currently provides.
4. Organizations, both in the public and private sectors, must be in the business of
generating new business to stay in business.

One of the fundamental concerns of the organization is resource mobilization. According to

Seltzer (2014), there are three fundamental streams of sustainability: institutional, financial,
and programmatic. The organization's survival is dependent on these.

1. Programmatic sustainability. The organization delivers products and services that

respond to clients' needs and anticipates new areas of need. Its success enables
expansion of its client base.
2. Institutional sustainability. The organization has a strong yet flexible structure and
accountable, transparent governance practices. Its structure and good governance
allow it to respond to the shifting priorities of its supporters and to new responsibilities
toward its clients while creating a positive work climate for its staff.
3. Financial sustainability. The organization draws on various sources of revenue,
allowing it to support its ongoing efforts and to undertake new initiatives.

LESSON 5: ACTIVITIY – LONG BONDPAPER

1. What is resource mobilization?

2. What are the steps in resource mobilization
3. What si the role of resource mobilization in community action?