THE UNITED REPUBLIC OF TANZANIA
Module 7Participatory Research Tools
Objectives
By the end of this module participants will:1. Understand the
origins of participatory approaches and the differences between
conventional research approaches and participatory approaches2. Be
able to list and apply key principles of participatory approaches3.
Ensure that in any PRA of their choice triangulation will be used4.
Be familiar with a basket of PRA tools and the context in which
they should be applied5. Have been encouraged to practise selected
tools
Content
7.1 Origins of Participatory Rural Approaches7.1.1 The emergence
of Rapid Rural Appraisal7.1.2 The emergence of Participatory Rural
Approaches7.1.3 PRA versus other research methods7.1.4 Criteria for
trustworthiness in PRA7.2 Key principles in Participatory Rural
Approaches7.3 Possible dangers of PRA7.4 PRA tool box7.4.1
Introduction7.4.2 Direct observations7.4.3 Semi-structured
interviews7.4.4 Types of interviews7.5 Mapping and modelling7.5.1
Introduction7.5.2 Transect walk7.5.3 Venn or "chapati" diagram7.5.4
Mobility mapping7.5.5 Livelihood analysis7.6 Calendars7.7
Ranking7.7.1 Preference or pairwise ranking7.7.2 Matrix
ranking7.7.3 Wealth ranking and well-being grouping7.8 Trends7.8.1
Time trends7.8.2 Historical profile7.9 Gender analysis7.9.1
Introduction7.9.2 The Harvard Analytical Framework7.9.3 Gender
Analysis Matrix7.9.4 Gender sensitive reporting7.9.5 Key
terminology
Formal/Verification/Structured Survey A questionnaire based
survey of a sample of respondents who are representative of a
particular population, from which statistical inferences can be
drawn.
Informal/Exploratory/Unstructured SurveyThis is a data
collection strategy (survey) based on informal interviews using a
checklist aimed at describing farmer circumstances, understanding
what they do, and reviewing possible improvements base on farmers
own views. Much of the data collected is qualitative and has the
capacity of generating information that can not be collected by
formal surveys. In most cases statistical inferences are hard to
use (See Mettrick, 1993, UNDP, 1994; Matata et al., 2001; Meena, et
al., 2001). The fact that it is called informal does not make it
less useful. This is a mere way of differentiating it from the
formal surveys that we are used to. Sometimes this kind of survey
has no formal and hard methods that one must adhere to. Different
approaches and data collection tools can be used depending on the
field situation.
Rapid Rural Appraisal (RRA)This is one type of informal survey.
Sometimes called Sondeo, Rapid Relaxed, Rapid Reconnaissance
survey. It is rapid, yet more cost effective than formal, data
collection method in the rural setting. Usually taken with
individual respondents although occasionally a number of
respondents might be interviewed at the same time.
Participatory Rural Appraisal (PRA)The PRA is another method for
data collection when conducting an informal survey. This is a
survey usually done with a group of respondents and involves a
diversity of approaches that are used to collect data. The rural
people themselves in partnership with the researchers and extension
agents carry it out at all stages.
7.1Some origins of Participatory Rural Approaches
7.1.1The emergence of Rapid Rural Appraisal
In the 1950s and 1960s it was widely believed that all it took
to improve the economic situation of developing countries was
financial inputs and modern technology. The Green Revolution is a
typical example of such a transfer of technology from the modern
industrialised countries to the poorer nations. In the 1970s,
however, it became clear that the transfer of technology did not
solve the problems of most people in developing countries.
Development workers and researchers began to understand the complex
relationship between environment, economy, culture, and politics in
rural societies, and began to view and tackle the various aspects
of rural life as part of an integrated system. It was realised that
a system e.g. the complex agricultural systems found in most
sub-Saharan countries, develops through adaptive change rather than
by linear progress, that it is dynamic and its parts interact by
influencing each other. It is not possible to effect change in one
element of the system in isolation without affecting the other
parts. Consequently, the system as a whole has to be understood in
order to identify and help bring about desired changes.
Along with the emergence of this new development model, new
research techniques were developed to achieve a more comprehensive
understanding of the complexities of rapidly changing and highly
uncertain societies and communities. One of these new research
methods was Rapid Rural Appraisal (RRA). RRA methods have adopted a
number of features from ethnographic research techniques, such as
an emphasis on understanding a peoples own point of view. RRA
embodies the principle that different people perceive and
understand reality in different ways. Thus, community members,
development workers, and researchers often see and interpret
environments in ways that are very different, but equally
important. RRA is characterised by an applied, holistic, and
flexible approach of progressive learning, conducted by
multidisciplinary teams, emphasising community participation.
Having been developed alongside Farming Systems Research, RRA
methods have been applied mainly in agricultural development.
However, RRA methods by now have found widespread application in
many different fields, including research on urban housing
problems, impact assessments of natural disasters, and studies of
attitudes to health practices.
During an RRA participation and involvement of local people was
recognised but restricted to providing information. Professionals
went to rural areas and obtained data from local people, took it
away and processed it, sometimes to find out what they (the
outsiders) thought would be good for them (the local people). The
expert was still the main actor. The knowledge of the villagers
counted but only for the outsiders to use. They were the ones who
provided the solution.
7.1.2The emergence of Participatory Rural Approaches
Participatory Rural Approaches were developed in the late 1970s
and early 1980s by researchers in international development as an
alternative to conventional sample surveys. Its an intensive,
systematic, but semi-structured learning experience carried out in
a community by a multi-disciplinary team which includes community
members. Its not a single event, it needs a follow-up. PRA is a way
of learning from, and with, community members to investigate,
analyse, and evaluate constraints and opportunities, and make
informed and timely decisions regarding development projects. PRA
are facilitated by outsiders but more than RRA it involves rural
people themselves in investigation, in the diagramming,
presentation, analysis and ownership of information, in the
identification of preferences and priorities, and in planning,
action, monitoring and evaluation. Unlike in RRA it shifts the
initiative and the action from outsider to insider, from the
training professional to the rural people themselves.The approaches
of PRA owe more to anthropology and ethnographic research methods
than to sociology and sample survey research. In other words, its
purpose is more to gain an understanding of the complexities of a
topic rather than highly accurate statistics on a list of
variables. Moreover, in PRA understanding qualitative nuances
within a topic is just as important as finding general averages.
For example, a study on the health status of a community could use
sample survey methodology to obtain accurate statistics on a small
number of carefully chosen demographic variables, but PRA methods
would be used to obtain a differentiated understanding of the
populations attitudes, beliefs, and behaviour towards disease and
health care. PRA is applied most effectively in relatively
homogeneous rural communities which share common knowledge, values,
and belief, although it has also been used in more complex urban
environments. Its short duration and low cost also make it possible
to carry out a series of PRAs rather than having to rely on the
results of one large survey.
It is a method by which a research team can quickly and
systematically collect information for:
General analysis of a specific topic, question, or problem Needs
assessments Feasibility studies Identifying and prioritising
projects Project or program monitoring and/or evaluation
Implementing development activities where new information needs to
be collected
Participatory approaches require attitudes that favour:
Participation Respect for community members Interest in what they
know, say, show and do Patience, not rushing, and not interrupting
Listening, not lecturing Humility Methods which empower community
members to express, share, enhance, and analyse their knowledge
Participatory Rural Approaches are especially well-suited for
application in community development as it involves the field team
and community members in all aspects of the study, the design of
the research tools, the collection of information, and the analysis
of the findings. Only data which will actually be used by
development workers and community members in their work is
collected, and a high degree of community participation in the
study guarantees that the collected information is relevant.
On-the-spot analysis ensures that gaps in the knowledge acquired
can be filled immediately, before leaving the field. In
conventional survey research the different steps (design of
questionnaire, data collection, data analysis, writing of report)
are segregated hierarchically and done by different individuals or
groups. In a quantitative survey every interview has equal weight,
whereas in PRA every interview or observation is more important
than the previous one, as the multidisciplinary team continuously
builds on its previously accumulated learning experience. PRA
raises peoples self-awareness, suggests viable solutions, and helps
people analyse complex issues and problems.
7.1.3PRA versus other research methods
Survey research is still a very popular social research method,
and is commonly used by universities and research institutions, as
well as government and non-governmental organisations. It derives
much of its popularity from its formal and standardised research
techniques, which produce quantifiable, representative, verifiable
and comparable data, which can be statistically analysed. Survey
enumerators do not have to make any independent decisions and, if
well trained, can collect the data without requiring the primary
researcher to take part in the data collection in the field.
While data collection by sample surveys may require less time,
data analysis always takes more time. Data must be coded, entered
into a computer, and then analysed in separate steps at a location
away from the research site. Once data collection is completed it
is very difficult and costly to collect missed or wrongly recorded
information, as this would require sending the team back into the
field. The costs of obtaining information contained in formal
surveys often exceed the values of the data. Survey research also
suffers from the disadvantages of its inflexibility and potential
data collection in the field, and makes it difficult to gain a deep
understanding of social progress. Its pre-designed and fixed
questionnaires do not allow progressive learning during formal
surveys. PRA techniques complement, and in many cases substitute,
other research methods, but they do not make more formal and
detailed surveys and analyses redundant. PRA methods and
quantitative methods do not exclude each other and can be used
simultaneously. The choice of methods depends on the kind of
information required and the availability of resources (staff,
time, fund, vehicles). Particularly when accurate quantitative data
is needed, as in a demographic census or a family enrolment, or
when sophisticated statistical analysis is required, PRA methods
cannot replace more formal survey techniques. On the other hand, if
the main objective is to learn about community members attitudes
and opinions, PRA would be the method of choice.
Ethnographic research methods were developed during the first
decades of this century. In classic ethnographic fieldwork an
individual anthropologist lives in a community for one or more
years and learns about all aspects of the communitys life (e.g.
language, agriculture, religion, policies) through participant
observation. The researcher becomes an insider for a limited
period. This method is particularly well suited for gaining an
intimate understanding of a communitys self-perception (an insiders
perspective). PRA has used some of the elements of ethnographic
research and shares its holistic approach but it differs in other
ways (multidisciplinary team, short duration, community
participation) from ethnographic research. In most cases PRA will
not be able to uncover deep insights into a communitys more
sensitive aspects.
Table 7.1PRA versus other research methods
PRASurvey researchEthnographic research
DurationShortLongLong
CostLow to mediumMedium to highMedium
DepthPreliminaryExhaustiveExhaustive
ScopeWideLimitedWide
IntegrationMultidisciplinaryWeakWeak
StructureFlexible, InformalFixed, formalFlexible, informal
DirectionBottom-upTop-downNot applicable
ParticipationHighLowMedium to high
MethodsBasket of toolsStandardizedBasket of tools
Major research toolSemi-structured interviewFormal
questionnaireParticipant observation
SamplingSmall sample size based on variationRandom sampling,
representativeNone
Statistical analysisLittle or noneMajor partLittle or none
Individual caseImportant, weighedNot important, not
weighedImportant, weighed
Formal questionnairesAvoidedMajor partAvoided
OrganizationNon-hierarchicalHierarchicalNot applicable
Qualitative descriptionsVery importantNot as important as hard
dataVery important
MeasurementsQualitative or indicators usedDetailed,
accurateDetailed, accurate
Analysis/learningIn the field and on the spotAt officeIn the
field and on the spot
Source: Theis and Grady, 1991
7.1.4Criteria for trustworthiness in PRA
"But how does it compare with the real data?"
Many people assert that participatory methods are
"undisciplined", and that their subjective nature means that it can
respond to selected members of communities only. Terms like
"informal" and "qualitative" are used to imply poor quality work.
Conventional research prefers rigour and accuracy and it is assumed
that this is contradictory to participatory approaches. This means
that researchers who use participatory approaches have to prove the
value of their approach, not the conventional researcher.
Conventional researchers use four criteria to persuade their
audience that the findings of their research can be trusted (Pretty
et al., 1995):
1. Internal validity: confidence about the 'truth of findings'2.
External validity: possibility to apply findings to another context
or another group of people3. Reliability: will the findings be
repeated if the inquiry is replicated with the same or similar
subjects in the same or similar context?4. Objectivity: how can we
be certain that the findings have been determined by the subjects
and context of the inquiry, and not by the biases, motivations and
perspectives of the investigators?
Trustworthiness criteria were developed to judge whether or not
any given research was methodologically sound. For PRA criteria
were suggested like judging the impact of research on people's
lives, have people been changed by the process, to what extend did
the investigation prompt action. Drawing on these, a set of 12
criteria were developed (see Box 7.2). These criteria can be used
to judge information from PRA, just as statistical analyses provide
the ground for judgement in conventional science. Use of
participatory methods, without for example triangulation of
sources, methods and investigators should be judged as
untrustworthy.
Box 7.12A framework for judging trustworthiness
12 criteria for PRA information:Prolonged and/or intense
engagement between the various groups of peoplePersistent and
parallel observationTriangulation by multiple sources, methods,
investigators and timeDifferent actor perspectives and analysis of
actor differencesNegative case analysis or sequential revision of
hypothesesPeer and colleague checking, periodical
reviewsParticipant checkingReports with working hypotheses,
contextual descriptions and visualisationsParallel investigations
and team communicationReflexive journalsInquiry auditImpact on
stakeholders capacity to know and act
Source: Pretty et al., 1995: 597.2Key principles of
Participatory Rural Appraisals
Key principles that are shared by all approaches of PRA are:
1. TriangulationThis is an essential methodological concept in
PRA. A form of cross-checking. Accuracy is achieved through diverse
information and different kinds of sources of information, not
through statistical replication. Triangulation is done in relation
to: Composition of the team and background of team members Sources
of information (people, places, etc.): The PRA should include a
wide range of view points from different sources of information
such as women and men, elders and youths, various ethnic groups,
diverse wealth groups and different professions Methods: The PRA
techniques are taken from a wide range of possible tools which are
tailored to the specific requirements of the study. Time: ensure to
visit a community in both the wet season and the dry season.
2. Multidisciplinary team and group learning processThe members
of the PRA team should have different skills and backgrounds. This
could imply members from different disciplines, different sectors
or a mixture of outsiders and insiders. The different viewpoint of
team members will complement each other and will provide a more
comprehensive picture. In this way the team will approach the topic
of the appraisal from different viewpoints, which gives new and
deeper insights. All members of the PRA team are involved in all
aspects of the study: design, data collection, and analysis (not
just in data collection as in a conventional survey). The PRA is a
learning experience in which the participants also learn from each
other.
3. Flexibility and informalityPlans and research methods are
semi-structured and are revised, adapted, and modified as the PRA
fieldwork proceeds and when they are used in a different
context.
4. In the community The main aspect of the PRA is learning from,
with, and by members of the community PARTICIPATION! The team
should sympathise with the community members and be able to see
their lives and their problems through the eyes of the community
members. Most of the activities are done jointly with community
members or by them on their own (e.g. planning, mapping, and
analysis). PRAs are generally too short for outsiders to become
insider s. Therefore it is important to have community members
(insiders) participate in the appraisal. Involving community
members can greatly facilitate interpretation, understanding, and
analysis of collected data.
5. Optimal ignorance and appropriate imprecisionThe PRA team
avoids unnecessary detail, accuracy, and over collection of data
(as in sample survey) which is not really needed for the purpose of
the PRA (this is decided through on-the-spot analysis). The team
asks itself: What kind of information is required, for what
purposes, and how accurate does it have to be?
6. On-the-spot analysis Learning takes place in the field and
the analysis of the information gathered is an integral part of the
fieldwork itself. The team constantly reviews and analyses its
findings in order to determine in which direction to proceed. It
builds up understanding and narrows the focus of the PRA as it
accumulates knowledge.
7. Off-setting biases and being self-criticalThe PRA team
actively seeks out the poorest, women, and disadvantaged groups in
remote areas, during the worst time of the year, at any time of
day, and avoids talking only to the well-off, the better-educated,
the articulate, and the men. The team also has to be careful to
analyse its own biases in order to prevent the PRA from turning
into development tourism and collection of rumours. The team
reflects on what is said and not seen, who is met and not met, and
tries to identify possible sources of error and how they influence
the interpretation of the gathered information. The team must also
try to avoid value judgements about others.
8. Shift ing attitudes and behaviour . The use of PRA implies
role reversals/shifts . For both outsiders and local people
WE THEY: Establish rapport. Map and model Converse, catalyze,
facilitate, Enquire. Draw Suggest, improvise methods. Rank, score,
quantify Watch, listen, learn. Discuss and analyse Hand over stick.
Inform and explain Probe. Demonstrate, identify and choose
priorities Assist. Plan, present, take action
7.3Possible dangers of PRA
Although the potential applications of PRA are numerous and wide
ranging, certain considerations should be taken into account in
deciding whether or not PRA is appropriate for particular
situations and projects. Perhaps the most important considerations
are:
The availability of appropriate people to conduct the study, The
degree to which project structure and decision-making are
sufficiently flexible to make use of new information, and The
intended use of the findings
Experience, qualifications, teamwork, and varied disciplinary
perspectives are critical to the success of a PRA. If these
attributes are not available, participatory appraisal may be
counterproductive and result in questionable findings.
When flexibility is abused it may allow individuals to do
anything and call it PRA. If done in a hurry and constrained too
much by circumstances, PRA becomes development tourism which relies
largely on initial findings and merely confirms biases,
preconceptions, and stereotypes. Carelessly-done PRAs not only of
questionable accuracy and value, they will also tarnish the
reputation of participatory appraisal in general. The key to
successful PRA is not to avoid superficiality and error completely,
but to control them and achieve cost effectiveness through optimal
ignorance and appropriate imprecision. Good PRA skills can only be
developed through practice and through an accumulation of
experience in the field. Problems that occur can be any of the
following (Theis and Grady, 1991):
Difficulty of finding the right team Going too quickly may lead
to superficiality Desire for statistics and quantitative data
Desire for the security of a fixed questionnaire Difficulty of
finding the right questions to ask Difficult of finding the poorest
and least educated, especially women Failure to involve community
members Lack of rapport with the community Failure to listen and
lack of humility and respect Seeing only part of a situation or
problem and not getting the full picture Making value judgements
about others Being misled by myth and gossip Generalising based on
too little information or too few informants Overlooking the
invisible Lecturing instead of listening and learning Raising
expectations in the community where the PRA is carried out Imposing
our ideas, categories and values without realising it. This makes
it difficult to learn from them, makes them appear ignorant. When
they are all male teams and neglect of women. If the approach is
wrong, PRA will not work. The right attitudes and behaviour are key
to the success of PRA.
Some myths about PRA:
1. That it is quick: While many of the techniques associated
with PRA may be relatively cost effective methods of encouraging
dialogue, joint analysis and learning, the processes of
participatory development that PRA and similar approaches encourage
are slow, laborious and complex.2. That it is easy: PRA methods are
appealingly simple. This is partly why they have attracted so much
attention. They are accessible to a wide range of actors, from
villagers to field practitioners to academics. However, as any
experienced PRA practitioner will note the successful application
of PRA requires more skills, especially communication, facilitation
and conflict negotiation skills.3. That anyone can do it: Anyone
can carry out a matrix ranking, transect walk or mapping exercise
but this does not mean that open learning, leading to action will
result. 4. That it is just fancy techniques: The popular and
visible image of PRA is the range of techniques that have emerged
in the past 15 to 20 years. These prove effective and widely
applicable. However, these methods are only part of a wider shift
being seen within development agencies.5. That it is based on a
particular disciplinary perspective: PRA has not grown out of
universities, it has grown from responses to practical experiences
in the field. This lack of disciplinary background is sometimes
seen as threatening (not rigorous, unpublishable). As a result
universities have been the last to take up PRA.6. That it has no
theoretical base: PRA is based on action research approach, one
where theory and practice are constantly challenged through
experience, reflection and learning7. That it is a new invention:
PRA has evolved and continues to do so. It is not a magical package
that has suddenly emerged from nowhere. Its lineage can be traced
to early anthropological work, qualitative research approach before
the dominance of statistics and quantification.
Source: Pretty et al., 1995
7.4PRA tool box
7.4.1 Introduction
Participatory Rural Appraisal makes use of a wide range of
technique. The choice of a specific technique is determined by: the
objectives of the study and the kind of information that needs to
be collected the size and complexity of the area to be covered the
available time and resources.
PRA tools can be used for: exploration: when not much
information is available on a certain topic needs assessment
feasibility studies identification of priorities for research and
development activities monitoring and evaluation of research and
development activities
Researchers are facilitators in the PRA process. There are seven
key-points that make a good facilitator: be an active listener be
observant ask questions be flexible be organised be knowledgeable
but clear be assertive but not controlling
A large number of PRA tools have been developed over time. None
of these tools were documented initially and there is a wide
variation even within one specific technique. All tools need to be
adapted to the specific conditions and objectives of the PRA. The
following chapters discuss a range of PRA tools as indicated in
Table 7.3.
Table 7.3PRA tool kit
CategoryToolPurpose
Direct observationsMeasurementsIndicatorsRecordingTo support and
cross-check information
Review of secondary dataTo get a general understanding of the
target area
Semi-structured interviewsIndividual interviewKey-informant
interviewGroup interviewFocus group interviewTo collect a wide
range of qualitative and quantitative information
Mapping and modellingVillage mapResource mapSocial
mapRetrospective mapFarm mapTransect walkVenn diagramMobility
mapLivelihood analysisTo construct and visualise reality and
simplify complicated information
CalendarsSeasonal calendarActivity profileFood calendarSeasonal
variations and timing and/or importance of events
RankingPreference rankingPair-wise rankingMatrix rankingWealth
rankingPrioritisation of preferences and priorities
TrendsTime trendHistorical profileChanges over time
Gender analysisAccess and control profileActivity profileContext
profileGender Analysis MatrixTo understand gender differentiation
at household and community level
7.4.2Direct observations
One danger with a PRA is that you are misled by myth, rumours
and gossip. People often have beliefs about their values and
activities that do not correspond with reality. It is common to be
told about a custom, but probing for the last occasion when it was
practised reveals that it has either lapsed or perhaps was never
practised at all. As a consequence, direct observations of
important indicators to support and crosscheck findings are
essential. A direct observation is a systematic observation of
objects, events, processes, relationships, or people. Direct
observations have to be recorded.
Methods for direct observations: Measurement: scales, tape etc.
to measure things in the field like field size, weight of harvests,
volume of firewood. Indicators: should be valid, specific,
reliable, and relevant, e.g. house-type as an indicator for wealth.
Recording: notebooks, record sheets, photographs, collection of
samples (e.g. pest infested crops). Use all your senses: listen,
smell, taste, touch. Observe variations in clothes.
7.4.3Semi-structured interviews
A semi-structured interview (SSI) is a guided and informal
interview where only some of the questions are predetermined in the
form of checklist (list of topics), and other relevant ones arise
during the interview based upon observations, responses, topics the
farmer wishes to discuss, interviewer background and experience,
the use of other tools (village map, ranking, calendars.....). The
purpose of a SSI is to collect a wide range of qualitative and
quantitative information while allowing respondents and
interviewers the flexibility to pursue topics of interest. There
are seven core components in interviewing that you need to address
(Pretty et al., 1995):
1. Team preparation:Team preparation should focus on developing
and refining an interview guide or checklist and assigning team
responsibilities. Although checklists are meant to guide interviews
only, they are of great importance for the quality of the output,
since they are reminders of major topics to be discussed with the
farmers or key-informants. The purpose of a checklist is to suggest
starting points for discussions. It is not a list of questions to
be asked, although some of its' items may be phrased in the form of
questions.
General guidelines for checklists:-The establishment of a
checklist requires a lot of brainstorming. Following questions need
to be taken into account when writing the checklist:-What are the
objectives of the interview, what do we want to find out?-What are
the key issues and questions. What is the relevance for the
objective?-The guiding principle of a checklist is that it should
allow as much flexibility as possible during the interview.-The
topics should follow each other in a logical order.-The sequence of
the topics to be addressed is important, sensitive topics for
instance will be discussed at the end of the interview, etc.-It is
important in interviewing with a checklist not to 'jump' between
the different topics. Finish one topic before going to the next
one.
Annex 1 gives a sample checklist of topics for general
discussions on household. These topics are not exhaustive and are
not to be phrased as questions. For each topic listed, the
interviewer should always try to probe the farmer as to why or why
not, certain data are observed. Be aware of the separate or
complementary role of men and women in each topic area.
2. Interview context:Issues to be considered here are setting,
timing, seating arrangements, non-verbal communication. Non-verbal
communication can indicate dominance, submissiveness, friendliness,
etc. Show an interest in what people are telling you. Do not start
a discussion with another group member. The seating arrangement
also has an important impact on what information is being
discussed. If it is an individual interview, can other people hear
what is being discussed?
The context:TimePlaceOther persons
The interviewer:Social skillsInterview skillsMotivationThe
interviewee:Social skillsCapacity to answer
The content:SensitivityLevel of difficultyLevel of interest
Figure 7.1 Factors influencing an interview
3. Sensitive listening:During an interview you need to have an
open attitude and listen carefully to what is being said by all
participants. In an interview you may encounter people who dominate
the discussion, who interrupt, who joke and are not serious, who
are rude, or those who are silent. Try to establish strategies to
deal with these situations. Encourage people to participate in a
discussion but do not help them finish their sentences. Make sure
you do not lecture or advise.
4. Sensitive questioning:The way in which questions are asked
and the extent to which one probes largely influence the quality of
research results. It is very difficult to ask open-ended and
non-directive questions, and to probe responses carefully. Examples
are given in Table 7.4.
Use adapted language. This means that you should use words,
which the person you interview understands; If possible, questions
should be phrased in such a way that they require explanation
(open-ended-questions) rather than allowing the person you
interview to answer with 'yes' or 'no'; Do not ask leading
questions which suggest that a particular answer is the correct
one; Formulate questions clearly, do not ask vague questions; Do
not ask more than one question at a time; Avoid value judgements,
keep neutrality about the opinion of the person interviewed;
5. Judging responses:It is very important to judge the
information that is created through discussions, and not to accept
the first answer you hear immediately. You need to cross-check
information carefully and verify it. The following can help:
Probe, ask for more details. Questions starting with 'why',
'who', 'where', 'what', 'when', 'which, 'how', ... (i.e. the six
helpers) are good probing questions; Verify answers through
triangulation Judge the responses, are they facts, rumours or
opinions
6. Recording the interview:Recording the details of interviews
is vital. In most PRA fieldwork a great deal of valuable
information is lost due to the failure to take good notes and an
excess focus on the diagrams only. Diagrams as they are used in a
PRA are a discussion tool and never an end in itself. The richness
of a discussion can never be conveyed in a diagram only. Try to
remember the following (Pretty et al., 1995): Ask permission to
record the discussion Use a discreet notebook Record the detail of
what is said, and whenever possible, what is not said but sensed
(such as a hesitation to answer or tension) Record the detail of
what is observed and how the interview developed Record who said it
(female/male, young/old, worse off/better off) Make follow up notes
after the interview Record personal impressions of the
interview
7. Self-critical review:After an interview is over it is
important to assess critically which questions were effective and
which were not, how some questions could have been phrased
differently, how the context influenced the flow of
information.
National FSA TrainingModule7: Participatory research tools
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Table 7.4Guidelines with examples how NOT to do it and how it
could be done.
GuidelineExample of how NOT to do itExample of how it could be
done
Use adapted language. This means that you should use words which
the person you interview understands.
If possible, questions should be phrased in such a way that they
require explanation (Open-ended questions) rather than allowing the
person you interview to answer with 'yes' or 'no'.
Do not ask leading questions which suggest that a particular
answer is the correct one.
Formulate questions clearly, do not ask vague questions.
Do not ask more than one question at a time.
What is the percentage of yield loss due to drought?
Do you cultivate maize?
You prefer this variety, don't you?
What do you think about fertiliser use in maize?
How many cows do you have, do you take them for grazing. If so,
where and who takes them there?
What is the yield you usually get on this field? [answer]What is
the yield you will get this year? [answer] Can you explain this
difference (if there is any!)? [answer]
Which crops do you cultivate?
Which variety do you prefer?
Do you use fertiliser in maize? [answer]Can you tell me why
(not)? [answer]
Do you have any cows? [answer]How many? [answer]How do you feed
them? [answer]...
GuidelineExample of how NOT to do itExample of how it could be
done
Probe, ask for more details. Questions starting with 'why',
'who', 'where', 'what', 'when', 'which', 'how, ... are good probing
questions.
Avoid value judgements, keep neutrality about the opinion of the
person interviewed.
Avoid helping the interviewee finish his or her sentences.
Avoid lecturing and advising.
It is important to listen, show interest. Non-verbal
communication is important.
[Answer to a question: This variety is easier to grow].Not
asking further.
I think what you said is right/wrong.
You should add fertiliser after the second weeding!
Staring in the distance while the farmer is explaining, picking
your fingernails, looking all the time at your notebook, sitting on
a chair if farmer is sitting on the floor, starting a conversation
with somebody not involved in the interview, ...
[Answer to a question: This variety is easier to grow].How can
you tell it is easier? [answer]What makes it easier to grow?
[answer]...
Be patient
How do you think you could improve the yields?
Look at the farmer while he or she is talking, nodding your
head; ...
Source: Grobben and Schouten, 19967.4.4Types of interviews
Individual interview: In an individual interview you ask for
representative information. Information from this interview is more
personal than from group interviews, and is more likely to reveal
conflicts within the community since respondents may feel they can
speak more freely. Interviews are conducted with an opportunity
sample of purposely selected individual respondents. An opportunity
sample would include farmer leaders, innovative farmers, women
farmers who are both members of and heads of households, farmers
who represent major cropping systems in the area, poor farmers, and
traditional farmers who have resisted new technologies. Many
communities have at least one "trouble-maker" who disagrees with
everything. Responses from these people can provide valuable
cross-checks.
Key-informant interview: This interview will ask for specialist
information. A key informant is anyone who has special knowledge on
a particular topic (e.g. a trader on credit). Key informants are
expected to be able to answer questions about the knowledge and
behaviour of others and especially about functioning of broader
systems. Valuable key informants are outsiders who live in the
community (e.g. school teachers) or people from neighbouring
communities, including people who have married into the
community.
Examples of key-informants are: an old farmer who knows about
the history of the village a leader who has control over land and
water allocation a poor person who depends on tree products during
the hungry season a woman who participates in the new livestock
project a local trader
Group interview: This interview is especially useful for
community level information. The advantage of a group interview is
that its provides access to a larger body of knowledge, and can
provide an immediate cross-check on information. When groups become
too large (more than 20-25) however, management becomes difficult
as the group tends to break into smaller groups. Group interviews
are not useful for sensitive information. They can also be
seriously misleading when the interviewer is believed to have the
power to control benefits or sanctions. Group interviews may reveal
people's ideals rather than what actually exists, but triangulation
of methods will reveal the whole picture.
7.5Mapping and modelling
7.5.1Introduction
Maps and models are devices that present information in a
condensed and readily understandable form. They are simplified
models of reality and are useful in a PRA as they: simplify
complicated information thereby making it easier to communicate and
analyse construct reality and are an analytical procedure involve
community members
Mapping and modelling are a shift from verbally oriented methods
to visually oriented ones. Everyone has an inherent ability for
visual literacy. These methods allow non-literate and literate
people to participate in the process as equals. Maps do not only
show the location but also the dimension and scope of issues to be
investigated. Maps can be made at different scales: the region, the
village, the farm and even the field, dependent on the objective of
the study. Also, the subject of the map can differ: natural
resources, infrastructure, health and so on. Maps do not
necessarily need to present the present situation, they can also
show the situation of several years or even decades ago. We
distinguish five maps and models (see Table 7.5).
Table 7.5Factors to differentiate maps and models
ConceptType of map or model
SpaceMaps, transects
TimeSeasonal calendar, activity profile, time trend, historical
profile
RelationFlow diagram
DecisionDecision tree, Venn diagram
ConstraintsProblem tree
Maps or models can be prepared by using colour powders, stones,
small sticks, leaves, seeds, droppings or any other local materials
available in the village itself. It can be a new interesting
experience for the villagers. Dependent on the subject and
objective of the study, maps can be made with groups of people or
individuals. The maps can be made in the field where it is easy to
ask for referral points, for instance on the top of a hill from
which the area can be seen, or can be made inside the house. It is
important to keep in mind that the selection of people who are to
draw the map influences largely the information gathered. According
to the status villagers have, or the tasks different household
members have to carry out, the maps will look differently. For
instance, people responsible for fetching water may indicate water
sources, cow-herders will include grazing areas in the map and so
on. In that sense, it can be interesting to make a map on the same
subject with different people.
Some examples of sketch maps are presented below. The subject of
the map is indicated as well as which persons in the village could
be good key-informants. This list of examples is not exhaustive and
many other types of maps can be drawn.
Village map:Subject:no subject is stated, the villager/community
representative draws what he or she (or they) means by
'village';Key-informants:all villagers
Village resource map:Subject:natural resources in the village:
type, distribution, use, usersKey-informants:different resource
users: women, men, cattle herders, children, ...Specific resource
maps can be a soil map (local soil names), or agro-ecological
zones.
Village social map: Subject:social infrastructure (schools,
clinic, water sources, religious buildings, ...), houses of
different households, ... Key-informants:women, village health
worker, village leaders
Retrospective village/regional land use map:Subject:land use in
the village/region several years or even decades
agoKey-informants:village elderly
Farm map:Subject:location of fields, farm, natural resources,
cropping patterns, grazing, storage, ...Key-informants:individual
farmers
The different steps to follow in making a map with villagers or
community representatives are presented below. 1.Decide upon the
subject of the map.2.Make a checklist on this subject with the
points you want to be covered in the discussion with the
key-informant(s).3.Select appropriate key-informants.4.Explain
these people the purpose of the exercise, ask if they are willing
to participate.5.Decide together with the key-informant upon
symbols to use.6.The key-informant starts drawing eventually with
some help of the team if he/she is not familiar with drawing. The
map can be drawn on the ground or on a piece of paper. If drawn on
the floor, look for materials to visualise different aspects of the
village/farm.Ask for referral points, the north may not be the top
of the drawing.Leave it as much as possible to the resource persons
although his or her way of seeing the spatial location of different
items may be different than the team's but his or her view is most
important because it explains his or her rationale. If you find
others eager to participate in mapping, yet feeling hesitant to
join, go to them and encourage them to participate. There could be
5-6 villagers preparing the map of the village at the time When the
group or individuals who drew the map on the ground finishes, the
group or individuals which stand around and look may start
interacting and sometimes suggest changes or additions. 7. Ask
questions about the different items represented in the drawing.
Triangulate the information indicated in the map. Ask some of the
villagers to point out his/her house, field, orchards, school etc.
on the map/model. The discussion is determined by the objective of
the exercise. The checklist serves as a reminder of topics not to
be left out from the discussion. Respect the guidelines on asking
questions and probing. 8. Copy the map drawn on paper and note the
discussion. If possible, take a couple of photos of the map/model
drawn on the ground.
7.5.2Transect walk
A transect is a cross-section or straight cut through a survey
area or village territory to capture the greatest diversity of, for
example, land use. Observed land use, soils, slopes, vegetation,
crops, cultural practices, physical and social infrastructure,
water availability, erosion and special features are written down.
Constraints and problems related to different topics and related
solutions are discussed while making the transect. A transect may
be used to get a general impression of an area or may focus on very
specific topics, such as livestock, forestry or health and
sanitation conditions. The laying out of transects is a process
which may help reduce bias in making observations in the survey
area. The observations and initial discussions will help focus the
survey exercises that follow.
Selection of transect walksThere are various ways to select
transect lines: remote sensing (very technical), random sampling of
routes, reviewing maps to estimate lines of greatest diversity
(e.g. after initial zonation) or asking villagers to take the team
through most of the different land use types distinguished by the
villagers. Transects can be chosen based on village resource maps.
Local soil classification as a basis for the selection of transects
may be very helpful. The final selection of the transect line
depends on the objective of the walk and its' subject, e.g. health
and sanitation conditions, maize cultivation, need for and use of
physical infrastructure, catchment area. Transects may be loops or
a trail leading up and down into the forest area above the village.
A transect may be identified from north to south, high to low, or
any other direction as long as it covers all major ecological and
production zones and assures representation of maximum
topographical, resource and socio-economic variation of the
villages. Through discussions a logical starting point for the walk
has to be identified. This may be the highest point of the area or
the boundary of a village. Several walks may be undertaken
depending on the variation in the terrain. Each walk should cover
as much diversity as possible.
Selection of villagersThe number of villagers who accompany the
team should exceed the number of outsiders. A ratio of 2 to 1 is
preferable. If there is a group of e.g. 5 outsiders it is
preferable to split the group and have them walk separate
transects. Outsiders may include some semi-outsiders, such as
agricultural extension agents, veterinary supervisors or health
workers, who have been in regular contact with the villagers for at
least half a year to one year.
To select villagers to accompany the team:- Ask key-informants
about persons who know the village territory very well.- Ask
key-informants for persons who know a lot about e.g. various soils
in the area.- Ask for villagers who are willing to assist in the
transect.
You may also ask the village to select a representative group of
resource users. If the transect concerns a specific topic, one can
ask the villagers to indicate their own specialists from the
different groups concerned with this topic. One should avoid having
a non-representative group of villagers such as only rich farmers,
only male farmers, only tenants. The villagers who accompany the
transect walk not necessarily have to be heads of their
households.
WhenWalks should be carried out at a time convenient to
villagers who will accompany the team. Walking a transect may take
several hours depending on the length of the transect walk. However
care should be taken that the walking of the transect does not take
a whole day as the actual transect walking should be followed by
analysis and discussions the same day.
Task divisionVarious responsibilities for observations, note
taking and discussions have to be assigned to group members. A
forester could note down natural vegetation, effects of wildlife,
wildlife habitat, an economist could note down land ownership, land
use rules and regulations, and so on. Everybody who joins in the
transect is allowed to ask questions and lead into discussions.
However one of the group should be appointed as the facilitator who
may need to ask questions to make sure that all necessary points
are discussed. The facilitator should also critically observe the
way the team is introduced along the transect, the way questions
are asked, notes are taken. This facilitator should not have any
other tasks. One of the villagers may be selected to fill in
several transect characteristics. If this proves difficult an
outsider may take on this task. People encountered along the route
should be casually interviewed to give meaning and context to
issues identified. However you have to make sure that the people
you meet are not in a hurry.
Precautions-If altitude is recorded this should be done in
ranges, eg. 1350 m - 1425 m, and not as 1275 m.-In a transect,
spatial data may be gathered with the objective of getting initial
ideas on the distribution of resources. Detailed information on
prices, labour-input, yields etc. are only relevant if eg. they are
a problem or constraint related to the different land use
systems.-Do not make the transect longer than is necessary to cover
the diversity of the area in relation to the topic at hand.
Steps1.Make a checklist with points of observation during the
transect walk.Divide the points of observation among the team
members. 2.Prepare sheets of paper divided into columns and rows,
leaving space for a diagram at the top. Topics to be addressed can
be indicated in the first column, leaving room for other topics to
be added by the group.3.Select villagers to accompany the team:-
Ask a key-informant for individuals who know the village territory
very well;- Try and select old villagers as they know more about
changes which have occurred;- Select both men and women. Ask the
villagers if they are willing to participate. Inform them about the
timing, meeting point, length of the walk.4.Explain the objective
of the transect to the villagers who join the team;5.Select the
transect walks. The transect should lead the team through as divers
an area as possible.6. Start walking. Group members pay special
attention to their points of observation. Observations on other
topics can be noted down as well. Discussions with the accompanying
villagers should centre around the constraints of the different
land-use categories together with tried-out solutions, their
results and other possible solutions (this should be noted down in
the diagram). This needs to get a lot of emphasis. It may be
helpful to ask for problems, opportunities and solutions per area
that you go through. 7. Make notes of all vital information you
gather and draw sketches wherever necessary. Collect specimens of
any new plants, weeds, seeds, grass or crops, which you might have
not seen before. Look for elderly villagers who know about these
matters. In case you come across any indigenous practices of
farmers like soil conservation, irrigation, land use technique etc.
collect information about them. Photo's can be taken of important
features.8. You do not need to adhere to the original route of the
transect. Deviate from the route from time to time to observe the
surrounding area and gather any relevant and useful information.
Travel slowly and patiently and try to understand the physical
features in the village from different perspectives. Proper
observations are not possible if you walk fast.9. It is always easy
to make more useful observations if you travel on foot paths and
across the agricultural lands rather than walking along the main
road in the village.10. Upon return in the village compile the
information. Produce a diagram indicating different resources,
characteristics, management, constraints and solutions. Symbols
should be used as much as possible to make the diagram as
understandable as possible for all group members.11. Present the
findings in a format easily comprehensible for outsiders
(researchers as well as villagers). For villagers who did not join
on in the transect walk other villagers who accompanied the team
should explain how it was done. Discuss the findings in a larger
group.12. Give the transect maps to the villagers.
7.5.3Venn or "chapati" diagram
This PRA technique helps outsiders to understand the importance
villagers give to different organisations inside and outside the
village. It reveals the impact of these organisations, the extent
of overlap and the influence exerted in the villager as perceived
by the villagers. While using this simple technique villagers allot
different size of paper discs for different organisations. The size
of the circle indicates the importance or scope of an institution.
The distance of the paper discs from the village depends upon its
relative influence or closeness to the villagers.
During the preparation of the Venn diagram the villagers often
find it easier to concentrate on a particular type of organisation
at a time, such as, all credit organisations, all agricultural
organisations or all service organisations. In programmes where a
particular group is involved, for example, a womens programme, it
is better to get the Venn diagram prepared by women. Often women
and mens view of the relevance and importance of institutions
differ considerably. It might therefore be useful to have
diagramming done separately by women and men.
Steps to make a Venn-diagram
Before: Cut paper discs of different sizes and keep them ready
Carry large sheets and sketch pens etc. Select a suitable place and
set the climate for a frank discussion Invite people from all
sections of the village to participate in the discussion Decide the
entry topic before starting the discussion, e.g. credit
organisation or service organisations etc. Initiate a discussion on
the particular topic.
During:1. Ask the villagers to make a list of all the
institutions functioning in the area including government and
non-government organisations and village organisations (groups).2.
Ask the villagers to choose a large disc for an important and a
smaller one for a less important institution (as they feel) and
write names of the institution on the paper circles.3. Then ask
them to draw a circle on the large paper sheet denoting their
village and position the paper discs (name of institutions written
on them) around that. The paper circles may or may not overlap. The
distance of the paper circle from the centre will denote the
intensity of involvement of that particular institution in the
village.4. Allow them to change the positions of the paper discs if
they want to (after second round of discussion). 5. At the end of
the participatory exercise ask the villagers to paste the discs on
the paper sheet.
Note: Distance of a chapati from the village does not mean
geographical distance.
After: Try to understand the relationship of these organisations
with the villagers from the diagram (for example, a bigger paper
circle marked electricity placed at a distance from the village
would mean that the villagers are aware how useful electricity
would be in their life, but it was not available in the village).
Record the findings. Record differences of views between men women,
rich and poor people of the village. Thank all participating
villagers for sharing information.
7.5.4 Mobility mapping
This tool can be used for data collection and as a tool for
analysis. This tool is mainly concerned with the contacts between
an individual or group and the outside world. Contacts and
decision-making within a community are closely linked. Spatial
mobility can be used as an indicator for a person's contact with,
and knowledge of, the outside world and her/his authority in the
community. It may also indicate freedom, wealth, empowerment,
education or consciousness. The mobility map allows you to record,
compare, and analyse the mobility of different groups of people in
a community (e.g. old men, women, children, educated people).
Steps
Before: Select a suitable location for the discussion Decide
beforehand with the group for whom the mobility map is being
prepared. Remember that the mobility pattern of different groups in
a community might differ greatly.
During: Ask the group to write on small pieces of papers or on
the floor with chalk, names of different places they visit
frequently (daily/weekly). Ask them to place those pieces of paper
at different distances from their village (name of village is
written on another piece of paper and placed centrally). Now ask
them for the various reasons for which they visit that particular
place. Ask them to connect these places with the village with the
different seeds or colours or symbols. Ask them the frequency of
the visit and the distance of the place from the village as well as
their mode of travel.
Take a detailed record of mobility pattern of different groups
and compare. Relate this information with other already available
information such as seasonal variations in mobility, mobility of
poor women and livelihood, changing trend in forests and present
mobility pattern etc.
After:Organise the presentations by the villagers for
triangulation, record the information and thank everyone for the
participation.
7.5.5Livelihood analysis
Livelihood diagrams are used to help interpret the behaviour,
decisions and coping-strategies of households with different
socio-economic characteristics. For example, a female-headed
household with irregular income is likely to have different
problems and needs, or spending patters, than the household of a
rich trader or a government employee, and may adopt different
strategies in the case of crisis. The tool focuses on the economic
profile of households. Variables can include: Household size and
composition Livestock ownership Number of labour migrants in the
household Proportion of income by source Crops Livestock Trade and
craft Remittances Expenditures Seasonality Relative income Credit
and debt
The situation of the different wealth groups can be understood
much better. It can be a next step after wealth-ranking/well-being
grouping.
Steps1. Define a household in that particular community2. Choose
variables to be recorded (household size, livestock etc.)3. Decide
from which different economic groups you want information and
select a representative household of each group.4. Design a data
collection table5. Meet the members of the household and organise
the discussion6. Ask the family members about different source and
proportions of their income, for example agriculture, small
business, remittance from outside, pension, livestock etc.7. Ask
them to explain the different sources and proportion of income,
through diagrams in the form of chapatis or bars on the floor on
paper using seeds or colours. Ask them to draw a pie-chart or a
circle using various coloured seeds, and fill in the circle in
different proportions.8. Initiate discussion on the diagram and
obtain information from the members of the household9. Interview a
number of households (at least 5-6 in a village) from different
socio-economic groups or based on gender and compare data.10. Cross
check information with direct observation.11. Prepare the
livelihood analysis diagrams
Precautions Take a detailed record of the diagrams developed by
the villagers or socio-economic groups or gender groups and any
other special information that emerges out of the discussion The
final diagram could be used to discuss if there exists any deficit
in the family budget or if the income from any particular source
could be further increased
7.6Calendars
Calendars are diagrams showing the timing and/or importance of
events over a period of time, year, production season or day. The
seasonal analysis enables the PRA team to understand the villagers
perceptions of seasonal variations of a wide range of topics like
availability of fodder, food supplies, work load, labour demand,
credit demand, incidences of livestock diseases in a village in a
given year. The team would understand very clearly how villagers
would interpret this data in their own style. Information of the
existing cropping calendar would also help to understand the
changes that would take place when interventions are introduced to
improve crop/livestock production and land use. The workload of
women throughout the year can also be known from the calendars.
A seasonal calendar attempts to establish regular cycles or
patterns of activities and incidents within a community over 12 or
18 months. One calendar usually covers one topic. However different
calendars can be used when interpreting the drawings to try and
clarify linkages. The final calendars can be important in
determining labour availability, times of diseases and food
shortages or variations in cash flow.
Data are collected from various groups in the village. This
depends on the objective of the exercise. If a village has distinct
agro-ecological zones, groups can be selected from these so that
differences in cycles based on agro-ecological potential are
reflected in the calendars. One can also make an effort to make the
calendars with groups from different wealth groups or according to
gender so that these differences are reflected as well.
The themes of seasonal calendars will vary from village to
village. Themes also vary depending on the objective of the survey.
One has to identify priority issues. One should focus on themes
that show variability within the year and that are relevant to the
survey. The choice of the factors also depends on possible
follow-up activities. Commonly used topics include:- annual
rainfall, water availability, temperature;- cash and food crops in
the field, agricultural production;- cattle milking, availability
of animal fodder;- demand for agricultural and non-agricultural
labour;- food availability;- human, crop and animal diseases;-
collection of water, firewood;- household work;- cash flow.
Steps
The following steps are a guideline for making a seasonal
calendar with farmers or key-informants:1. Make a checklist of what
should be discussed in the exercise.2. Decide on how to organise
the data. There are several ways to organise the data. Large sheets
of paper may be used or sketches may be made on the ground on loose
sand.3. Select villagers or key-informants. The seasonal calendar
can be made for each wealth class separately with men and women.
Ask if the selected people are willing to participate.4. Introduce
yourself and briefly explain the exercise.5. Prepare the calendar
on the ground or on a large sheet of paper. Make sure that all
participants in the exercise can see the calendar easily. Make 19
columns. The first one is to indicate the crop or any other
subject, the 18 others are for the months. The calendar starts at
the beginning of an agreed season, e.g. February. Ask the villagers
to indicate important social or religious festivities on the
calendar. This serves as a control to check if villagers and
outsiders are using the same time reference. While most calendars
start with the first month of the year there may be compelling
reasons to start with the advent of rain, planting time, or some
other significant event in the yearly cycle of the community.6.
Start with the cropping calendar. Ask the participants what the
first crop is they sow. Fill this out in the first column on the
first line.7. Ask when the first farmer sows his or her crop.
Indicate this on the calendar. 8. Ask when the last farmer sows his
or her crop. Indicate this on the calendar as well and draw a line
between the two points.9. Ask the same questions about all the
following cultural practices for this crop and indicate in the same
way.10. Repeat this for all the crops cultivated in the village.11.
The same can be done for any other topic, e.g. all the major
activities in animal husbandry, food availability or off-farm
labour activities.12. After all the activities are indicated, ask
the participants which is the month with the heaviest workload, the
next busiest month, the least busiest month, the second last
busiest,... This can be visualised by a number of stones under each
month (12 for the busiest, 1 for the least busy).13. Discuss the
number of stones that have been put and why. Respect the
interviewing guidelines.14. Request the group to indicate the
constraints felt during the different months of the year, and
discuss solutions tried, their results and possible other
solutions.15. Copy the calendar on paper and note down the
discussion carefully.
7.7Ranking
Ranking or scoring means placing something in order. Analytical
tools such as ranking complement semi-structured interviews by
generating basic information that leads to more direct questioning.
They may be used as part of an interview or separately. Ranking is
particularly useful for sensitive information, especially for
income or wealth. Informants are generally more willing to provide
relative values regarding their wealth than absolute figures (e.g.
"Rank your income sources by importance", rather than "How much do
you earn?").
7.7.1Preference or pairwise ranking
This tool is used to determine the main preferences and
priorities of individuals or groups for a set of items (such as
tree species, government services, seed varieties, soil and water
conservation measures). The priorities of different groups can be
compared against one another (men and women, young and old, rich
and poor). This ranking allows us to determine the main problems or
preferences of individual community members, identifying their
ranking criteria, and easily compare the priorities of different
individuals. Individuals compare two activities or problems at any
given time. The total number of appearance in the table reflects
the relative preference.
Steps:1. Choose a set of problems, or preferences to be
prioritised.2. Choose with the help of the interviewee, six or less
of the most important items in this set.3. Note each of them down
on a separate card.4. Put two cards in front of the interviewee and
ask her/him to choose the biggest problem, most preferred option,
and to give reasons for this choice. The question that forces the
respondent to make the choice is important. Question might be:
"Which of these two do you prefer to grow" Mark the response in the
appropriate box in the matrix.5. The informant should then be asked
why he or she made the choice. In other words: "What is good about
the winner?" You continue to probe until nothing further arises.
Then you ask: "What is bad about the loser" to find out all the
negative qualities. Do not ask leading questions. Write down all
the reasons.6. Present a different pair and repeat the comparison
until all possible combinations have been considered (all boxes of
the matrix have to be filled). To keep the informant interested
pick different pairs each time. Rather than comparing item A
against B, item A against C, item A against D, compare A and B,
then C and D, then E and F, then C and A, etc. 7. List the problems
or preferences in the order which the interviewee has ranked them.
The frequency of occurrence of each item indicates the rank, i.e.
the highest frequency is the most preferred. List favourable and
unfavourable criteria by each item.8. Repeat the exercise for a
number of individuals and tabulate their responses.
7.7.2Matrix scoring and ranking
Matrix scoring and ranking allows a team to rank items based on
criteria. Criteria common to all individuals participating in the
exercise are identified. These criteria may vary from group to
group. Matrix scoring gives an opportunity to the outsiders in
understating clearly the priorities of villagers in selecting any
crop variety, vegetables, tree species, breed of livestock,
selecting a particular soil conservation method or even identifying
the more suitable source of credit for men. This exercise not only
provides an opportunity to outsiders to learn, but also to the
villagers in understanding their own reasons for selecting any
particular item, source etc.
Steps:1. Choose, or ask people to choose, a class of objects
that is important to them (e.g. tree species, fruit).2. List the 5
or 6 most important items.3. From each item you elicit criteria by
asking: "What is good about each item? What else?" (continue until
there are no more replies); "What is bad about each item? What
else" Continue until you have 10-20 criteria or until there are no
more replies.4. List all criteria. Turn all negative criteria into
positive ones by using the opposite, e.g. "vulnerable to pests"
becomes "resists pests", "expensive" into "cheap".5. Draw up a
matrix with the items across the top and the criteria down the
side. 6. For each criterion ask which object is the best. "Which is
best, then next best?", "Which is worst, then next worst". Of the
two that are remaining ask "Which is better". If you do a scoring
then discuss with the informant(s) how many counters (stones,
seeds, leaves) to allocate as a maximum per cell or per row. They
must then fill each box with the relative value of the item. Rank
or score directly into the matrix.7. Ask: "Which criterion is the
most important"8. Force a choice: "If you could have only one of
these, which would you choose?" This can lead to new criteria. 9.
Calculate total score and rank.10. Repeat for a number of
interviewees.
This methods works well with groups and individuals. Doing it
with a group has some advantages: a wider range of experiences is
used responses tend to be faster if one person gets tired another
can take over you will get more criteria disagreements will be
revealing issues for further investigation
Limitations of matrix scoring are that: it does not handle
weighting of the criteria it is only useful for comparing fairly
similar items that are readily interchangeable
7.7.3Wealth ranking and well-being grouping
In every community there are differences in wealth. These
differences influence people's behaviour and coping strategies,
including the adoption of technology. Wealth ranking is based on
the assumption that community members have a good sense of who
among them is more or less well off. The main idea is that
villagers use their own knowledge and criteria to do the ranking
and outsiders learn to understand the way the villagers interpret
the economic status of each family living in the villager. Wealth
ranking allows a PRA team to: investigate perceptions of wealth
differences and inequalities in the community discover local
indicators and criteria of wealth and well-being establish the
relative position of households in a community (social
stratification)
The information about the different socio-economic groups is
extremely important. Once different groups are known it is much
easier for the facilitators to get them involved in the planning
process. This is especially true for poor people who often are not
so vocal or are suppressed by gatekeepers to articulate their
problem and their needs. It is only by these means that it can be
prevented. The rich people in a village may manipulate development
projects in such a manner that future benefits of the projects
would go only to them and not to the real target groups of the
projects.
Precautions: Assure that this exercise is done in confidence and
does not cause bad feelings within the community. Wealth ranking
does not work well in heavily populated areas. Scores between
villagers cannot be compared.
Method 1: Wealth ranking using the social or village map
Before: Gather a group of villagers from different parts of the
village in a quite place. Hand-over and display the
social/participatory map that has already been prepared by the
villagers. This map may be useful in the exercise. Have the
markers, paper etc. ready.
During:1. Begin the discussion with the villagers. Ask the
villagers to rank the families in the village according to their
wealth in any manner they like. Perhaps it may be easy to begin the
exercise by asking villagers to mark the richest family in the
village on the village social map.2. Then ask the villagers to mark
the second richest, third richest and the fourth and so on, on the
social map. Ask the villagers to explain why those households are
categorised as rich by them and record their criteria. Criteria
could be for example types of roofs, landholding size, ownership of
resources, access to resources, etc.3. Then in the same manner
start from the poorest, which household is the poorest persons
house, then little better off and so on.4. Ask the villagers to
prepare a list of households starting with the richest household at
the top of the list and the poorest household appearing at the
bottom. Once the list is completed, start with well-being
grouping.5. Request the participants to group the households in
accordance with their wealth or well-being.
Precautions: When villagers rank the families according to
criteria do not disturb them by intervening with
instructions/questions. Villagers criteria could be quite different
from the PRA team expectation. Discuss the information with other
villagers for cross-checking/triangulation. But take care not to do
this in public because wealth and personal/family possessions could
be sensitive issues, which may not be liked by villagers to be
discussed openly, especially, with outsiders. Thank the villagers
for their help and participation.
Method 2: Wealth ranking using cards
Steps:1. Make a list of all the households in the village. Do
this together with village leaders and check later on with the
Village Extension Officer. Write all the names on a card and number
the cards;2. Select 3 people in the village who know all the
households. The exercise is carried out by them individually and in
private. Explain the exercise and its purpose. 3. Each person can
decide himself or herself how many piles of cards he or she wants
to make. They have to divide their fellow villagers according to
wealth. The card of the person itself is taken out of the pile.4.
Ask the person who has divided the pile of cards on what criteria
he or she has made the selection.5. Bring these results together
and make calculations as described below.
Precautions: stress the secrecy of the information which is
obtained. make sure the informant knows everybody in the village
and is not forgetting anybody. do not give any hints about the
criteria on which to stratify the households. do not forget a
pocket calculator.
7.8 Trends
7.8.1Time trends
Time trends show quantitative changes over time and can be used
for a large number of variables: Yields Area under cultivation
Livestock population Prices Interest rates Migration Population
size and number of households Birth and death rates Malnutrition
rates Rainfall
Steps:1. Use paper or other materials.2. Try to obtain data for
the last 10 years.3. Plot the interaction of two or more variables
on the same sheet.4. Obtain information from secondary sources and
interviews.5. Ask villagers to draw their own time trend
diagrams.6. Where numbers are not available, show trends
qualitatively.
When all the information on changes and trends have been
collected and recorded get all other villagers to comment on in so
that triangulation of data could be done.
7.8.2Historical profile
A historical profile reveals information for understanding the
present situation in the community. It provides a summary of key
historical events in a community and their importance for the
present situation. They generally focus on incidents such as
outbreaks of epidemics, droughts and famine, and changes in land
tenure. But events may also include: building of infrastructure
introduction of new crops changes in administration and
organisation major political events
Information is collected from secondary sources (books, reports,
archives) and from interviews with key-informants.
8.9 Gender analysis
7.9.1Introduction
Gender analysis is relevant in all phases of agricultural
research and development, be it planning, experimentation,
evaluation, dissemination, or adoption/impact assessment. Major
tools for analysing gender relations are: Needs assessment Labour
division by gender and age Assessment of types of work Access to
and control over resources needed for the various agricultural
activities and the benefits generated by that activity Explanation
of differences between women and men in labour division and access
to and control of resources and benefits Assessment of the
potential effects of a technology on women and men
In the following paragraphs we will introduce 3 different tools
for doing a gender analysis:1. Harvard Analytical Framework2.
Gender Analysis Matrix3. Gender disaggregation of data
7.9.2The Harvard Analytical Framework
This is one of the first gender analysis models (developed in
1985 by Overholt et al.) that identifies and organises information
about the gender division of labour in a given community according
to three levels of analysis: 1. an activity profile or role
profile2. an access and control profile3. a influencing factor or
context profile
Ad 1. The activity profile
An activity profile presents the division of labour between
various groups based on age and gender. It answers the question:
Who is doing what? The labour activities are split into three
roles: productive, reproductive and community. The profile may also
contain the location of activities and the amount of time spent by
individuals in accomplishing them. Difficulties are often related
to labour shortages usually at particular times of the year and
often for particular tasks. This profile enables you to identify
the right target group for your activity and check whose needs are
addressed. Through this profile you will be able to foresee the
consequences of the activity for the labour division and total
workload by gender. Results of an activity profile are presented in
a tabular form.
When can you make an activity profile?You can make this profile:
as part of a survey that focuses on a sector (agriculture,
livestock, forestry, income generating activities), or a specific
activity (e.g. a diagnostic survey for goats, an adoption survey
for bean varieties). at the beginning of an on-farm trial or
training before you identify trial participants or trainees. during
an on-farm trial that you already started to identify participants
for trial assessments.
How long does it take to make one activity profile?In general
you should be able to finish an interview in about 45 minutes.How
do you make an activity profile? Select a group of farmers or
individuals. Divide the group into male and female farmers or
interview individual farmers talking separately to men and women.
If relevant you can divide groups further according to age and
marital status. The group or individual list their own activities
depending on the objective and theme of the study. You ask the
following key questions: Who does what? Be specific: men, women,
male child, female child, male hired labour, female hired labour.
When is it done? This can be on a seasonal or daily basis. How much
time is spent on these activities? Optional: Where does the
activity take place? What is the total workload by gender? Why do
certain groups have specific tasks, why is the labour division the
way it is? This will clarify if and how certain inequities or
constraints can be addressed. To make this easier you can restrict
the determinants (i.e. why) to: legal, religion, culture,
education, economics or politics. Compare the different activity
profiles and discuss the differences between them with the group or
several individuals. Summarise the data in a table. Present the
profiles in a report and discuss similarities, differences and
factors explaining these.
How many activity profiles do you need to make?The number of
profiles depends on the anticipated diversity of households. Start
with an initial number of 10 activity profiles (10 households). If
after these 10 profiles you do not get new information anymore you
stop. If all profiles are different you add another 5-10 profiles
until you capture all the diversity.
Beware of the following when you make an activity profile: Avoid
going into the field with a pre-established list of activities in
table format. The interviewees should list the activities
themselves and the interview should be a conversation, not just
filling the data on a form. You should check if no activities are
missing. Try to follow a chronological order of activities. Be
precise in note taking and reporting. Certain activities may be
done by both men and women, sometimes one of them taking the lead,
the other assisting. Reflect this in your report by using different
codes: M/F, done by both men and women, but men more important MF,
done by both men and women
Table 7.6Activity profile for cabbage for male headed household
in Kibirigwe irrigation scheme
ActivityWhoWhen
1.Land preparationF/HLDecember
2.PlantingF/HLMid-January
3.First weeding Second weedingF/HLF/HLEarly
FebruaryMid-March
4.Top dressing FMid-March
5.SprayingMEvery week for one month
6.IrrigationM/HLOnce a week when dry
7.HarvestingF/HLMid-April
8.MarketingF/HLMid-April
9.Nursery preparation and seed plantingF/HLMid-April
Legend: F=Female, HL=Hired Labour, M=MaleSource: Joldersma and
Musyoki, 1999
Ad 2. The access and control profile
The profile indicates differences in access to and control over
resources required to undertake an activity, and benefits from a
certain activity by various groups (Box 7.1). Access means that you
can get or use a resource or benefit, while control means that you
can decide and have the ultimate authority about the use of a
resource or benefit.
Box 7.1Resources and benefits
Resources are:economic or productive resources such as land,
seed, water, knowledge, labour, tools, skillstime which is a
particularly critical and scarce resource for womeneducation and
informationBenefits are: basic needs such as the products harvested
(e.g. food), clothes and sheltermoney earned asset ownershipstatus,
political power
Source: CCIC et al., 1991
If you do not address the question of who controls resources and
benefits within a household, you ignore household members relative
bargaining power and presume equality in the household. Women may
have access to land, but no control over its long-term use or
ownership. This may reduce womens motivation to plant trees.
Household members may have access to food, but no control over its
allocation within the household. Household members may have access
to income through food production, but no control over how it can
be spent. The latter may reduce a persons motivation to e.g.
provide extra labour for a new activity.
Through an access and control profile you can identify barriers
to womens and mens access to and control over resources required
for a certain research activity. You will also be able to identify
possible benefits for women and men as a result of the specific
activity. Analysis of access to and control over resources and
benefits can create a framework for studying production constraints
and proposed solutions.
When can you make an access and control profile?An access and
control profile is specifically useful in diagnosis, but also
useful in evaluating adoption and impact assessment.
How long does it take to make one access and control profile?In
general you should be able to finish an interview in about 45
minutes.
How do you make an access and control profile? Select a group of
farmers or individuals. Divide the group into male and female
farmers or interview individual farmers talking separately to men
and women. If relevant you can divide groups further according to
age and marital status. The group or individual list resources and
benefits. For each resource and benefit you specify access and
control by gender. Ask the following key questions: What resources
do men and women require for their work? Who has access to these
resources? Who has control over these resources? What benefits do
women and men obtain from their work? Who controls these benefits?
What explains the situation as it is? Compare the different
profiles and discuss the differences between them with the group or
several individuals. Summarise the data in a table. Present the
profiles in a report and discuss similarities, differences and
factors explaining these.
How many access and control profiles do you need to make?The
number of profiles depends on the anticipated diversity of
households. Start with an initial number of 10 activity profiles
(10 households). If after these 10 profiles you do not get new
information anymore you stop. If all profiles are different you add
another 5-10 profiles until you capture all the diversity.
Beware of the following when you make an access and control
profile:Find a proper translation of the terms access and control
in the required language. In Kiswahili the following expressions
might be used (Joldersma and Musyoki, 1999): access: ruhusa ya
kutumia au uwezo control: uamuzi na umilikaji au udhibiti
Table 7.5Access and control profile of dual cattle of a
male-headed household
Resources/benefitsAccessControl
Resources:LandDrugsCattleLabourBoma structureFarm
equipmentSupplementary
feedPastureTimeF/MM/FF/MF/MF/MF/MF/MF/MF/MMF/MMMFFFFF
Benefits:Milk consumptionCattleMilk
salesPloughingHidesManureGheeF/M/CF/MF/MF/MFFF/M/CFMFFFFF
Source: Joldersma and Musyoki, 1999
Ad 3. A context profile
The context profile focuses on policies, cultural factors and
social factors, and analyses factors that influence the prevailing
division of labour and access to resources and benefits. Examples
are legal rights, macro-economic processes, education, health,
community norms, social hierarchy, migration, birth rate, scarcity
of land, and social networks. The analysis can look at both
international and national conditions, as well as regional and
local context
7.9.3Gender Analysis matrix
The Gender Analysis Matrix (GAM) is a tool to determine the
impact of interventions, considering factors as time, labour,
resources and culture. It presents the expected effects of an
activity on the gender related position of different categories of
the target group in the form of a matrix.
The four categories of analysis (rows in the matrix) are women,
men, the household and the community. The target groups can be
changed though to fit the specific activity: Women refers to women
of all ages who are in the target group, or to all women in the
community. If appropriate you can make a sub-category based on age
or marital status or position, e.g. women in male-headed households
or women in female-headed households. Men refers to men of all ages
who are in the target group, or to all men in the community. If
appropriate you can make a sub-category based on age or marital
status or position, e.g. elders and youngsters. Ho