Participatory monitoring andevaluation: a process to support governance and empowerment at the local level A guidance paper Thea Hilhorst Irene Guijt... PARTICIPATORY MONITORING AND EVA
D EFINING PM&E AND ITS CORE PRINCIPLES
Participation involves stakeholders in decision-making and resource allocation for development initiatives Empowerment focuses on enhancing the capacity and confidence of citizens and partners to effectively manage these initiatives For participation to be impactful, primary stakeholders must be able to set goals, monitor progress, learn from changes, and suggest improvements Despite their growing involvement in planning, primary stakeholders often lack adequate representation in the monitoring and evaluation processes.
Monitoring and evaluation is about assessing actual change against stated objectives, and making a judgement whether development efforts and investments were worthwhile or
Monitoring and Evaluation (M&E) systems are primarily designed to generate information for reporting achievements and ensuring accountability Traditionally, M&E has been linked to control and accountability functions However, there is a growing acknowledgment that M&E systems can also play a vital role in strategic management, facilitating learning, and informing policy processes.
Social accountability, as defined by the World Bank, emphasizes civic engagement in public affairs In contrast, Participatory Monitoring and Evaluation (PM&E) focuses on interventions that primary stakeholders can directly influence, enabling them to act on the findings Additionally, the PM&E process can help clarify rights and responsibilities within these contexts.
Citizenship encompasses the assertion of rights, a privilege not accessible to everyone, particularly refugees While some residents may be legally recognized as citizens, they may not actively engage with their rights due to a lack of awareness, leading to a disconnect between legal status and active citizenship.
4 IFAD, 2002 responsibilities and, where needed, formulate demands towards other actors and articulate these in the appropriate fora for dialogue and decision-making PM&E becomes linked to social accountability
Box 1 The purposes of monitoring and evaluation
- Supporting operational management - providing the basic management information needed to direct, coordinate and control the resources required to achieve any given objective;
- Supporting strategic management – providing the information for and facilitating the processes required to set and adjust goals, objectives and strategies towards improving quality and performance;
Knowledge generation and sharing involves creating new insights that enrich the existing knowledge base within a specific field This process includes documenting lessons learned, which can be shared to inform policy reforms aimed at improving overall performance.
- Empowerment – building the capacity, self reliance and confidence of beneficiaries, implementing staff and partners to guide, manage and implement development initiatives effectively;
- Accountability, including impact evaluation: demonstrating to donors, beneficiaries and implementing partners that expenditure, actions and results are as agreed or are as can reasonably be expected in a given situation.
This guidance paper emphasizes Participatory Monitoring and Evaluation (PM&E), which involves primary stakeholders actively engaging in tracking and interpreting progress towards locally agreed-upon results For PM&E to be effective and sustainable, it must be supported by a strong commitment to corrective action from communities, project management, and other relevant stakeholders.
Participatory Monitoring and Evaluation (PM&E) extends beyond traditional methods by actively involving primary stakeholders in a more profound manner Instead of merely consulting them on indicators or seeking feedback on results, PM&E emphasizes deepening participation, which is closely tied to learning and empowerment.
The PM&E process connects monitoring to action by establishing expected results and milestones, determining methods for tracking progress, gathering necessary data, conducting joint analyses, and making decisions on actions This collaborative cycle fosters capacity building, learning, and empowerment among participants.
The PM&E process involves multiple stakeholders, necessitating engagement with diverse interests shaped by existing power dynamics, making it inherently political This process requires negotiation to determine participant involvement, monitoring and evaluation criteria, data collection and analysis methods, interpretation of information, dissemination of findings, and subsequent actions The insights gained can enhance intervention performance and facilitate more effective negotiations with other parties.
Opening project management to feedback from beneficiaries, users, or citizens can be seen as a threat, potentially causing resistance To ensure effective project monitoring and evaluation (PM&E), it is crucial to cultivate a culture that encourages innovation and acknowledges failure Establishing norms, procedures, and incentives that promote transparency, accountability, and learning is also vital Additionally, as interventions span multiple years, maintaining flexibility is essential to adapt to the evolving roles, skills of stakeholders, and changing contextual conditions.
An effective PM&E process should be intentionally designed to empower primary stakeholders, ensuring it aligns with their needs and demands By allowing these stakeholders to lead the design of the focus and methodology, their skills can be developed effectively Additionally, providing access to relevant information and insights into governance enhances their ability to track and understand changes, ultimately fostering their empowerment.
Box 2 The history of PM&E in a nutshell
In recent decades, there has been a growing recognition of the importance of aligning development efforts with the perspectives and priorities of local populations, resulting in a collaborative approach that emphasizes working alongside communities.
Participatory approaches and methods, originally championed by action research initiatives, have gained widespread acceptance in development work Tools like social mapping, Venn diagrams, wealth ranking, and transects are now standard practices, particularly in World Bank-supported community-driven development programs Additionally, ministries in countries like Benin and Mali are incorporating participatory methodologies into guidelines for local governments to enhance municipal development planning.
Participatory diagnosis, priority setting, and planning have become an accepted ethic and are practiced in hundreds of Northern and Southern development initiatives However,
‘participation’ should also address implementation, monitoring and evaluation There is a rapidly growing interest in ensuring wider participation, and since the mid 1990s, the term
‘participatory M&E’ (PM&E) has received increasing attention 6
Emerging trends in Participatory Monitoring and Evaluation (PM&E) highlight a growing frustration with existing monitoring and evaluation systems that fail to incorporate local knowledge and community needs There is an increasing recognition of the necessity for continuous adaptation and innovation within development initiatives to maintain their relevance, which demands the capacity for self-reflection and learning from experiences Additionally, there is a rising pressure for a more diverse approach to accountability, emphasizing not only upward reporting but also downward accountability to communities and internal accountability to staff and peer organizations.
PM&E serves diverse stakeholders, including citizens, service providers, government agencies, and various projects, programs, or partnerships, each with distinct needs and objectives.
L EARNING AND PM&E
A learning-focused monitoring and evaluation (M&E) system leverages existing knowledge and skills within communities and civil society organizations (CSOs) to track progress effectively This cyclical process encourages ongoing reflection on the impact of actions taken, fostering an environment conducive to change and proactive engagement.
Combined pressures to improve the quality and adequacy of performance, while working more efficiently and effectively, are encouraging also agencies and projects to ask the
In the context of improving work practices, the focus of monitoring and evaluation (M&E) has shifted from merely documenting events to understanding the reasons behind successes and failures This shift raises important questions about the practical and strategic implications of these outcomes A notable example of this learning-oriented approach to M&E is a guide specifically designed for community-driven development (CDD) projects.
Learning-focused monitoring and evaluation (M&E) and participatory monitoring and evaluation (PM&E) are closely linked when the goal is to enhance interventions that are responsive to demand, inclusive, empowerment-oriented, and sustainable This is achieved by systematically incorporating the perspectives of diverse stakeholder groups into discussions about strategies and performance.
Box 3 Conceptualising levels of organizational learning
A commonly used framework to conceptualise levels of organizational learning in response to monitoring is situated around ‘loops’ of learning
Routine monitoring, which is functional, operational and maintenance-oriented, leads to
Single-loop learning involves a feedback loop that connects the outcomes of actions to necessary modifications in organizational strategies, aiming to enhance performance while keeping existing standards unchanged In contrast, double-loop learning addresses identified problems and opportunities by altering the organization's core structure, including its values, objectives, and policies Triple-loop learning takes this a step further by redesigning the learning processes and systems within the organization, based on an analysis of both formal and informal learning systems and their impact on overall performance.
1= single loop learning; 2= double loop learning; 3= triple loop learning
Source: Action for Social Advancement, 2005
Action Strategies Consequences for performance
U SING PM&E TO DEAL WITH UNCERTAIN AND DYNAMIC CONTEXTS
There is an increasing recognition of the importance of considering uncertain and dynamic contexts in performance evaluation Programs, projects, or partnerships may explore new territories with unclear consensus or apply known concepts in varying conditions In managing watersheds and shared natural resources like forests, fisheries, and grazing areas, it is crucial to develop context-specific strategies based on local data and shared experiences due to the complexity of ecological processes Additionally, programs may develop in conflict situations marked by significant uncertainty and partial state failure.
In the face of uncertain and dynamic circumstances, programs, projects, and partnerships must continually adapt by incorporating new stakeholders, adjusting existing roles, and modifying processes and priorities It is essential to remain vigilant for signs that indicate the need for these adjustments and to understand the necessary changes This awareness has led to a greater appreciation for adaptive management, where information from monitoring is utilized to refine implementation strategies and goals as needed The relationship between monitoring and implementation is intertwined and mutually reinforcing.
A PM&E process contributes to the construction of information feedback systems that strengthen learning and build organizations that value critical reflection, and learn from success and failure alike 15
15 IFAD, 2002;Woodhill, 2006; see also Crawford et al., 2004 on embedding PM&E in an Education Sector Support Program
Box 4 Adaptive collaborative management of natural resources
Adaptive collaborative management in forest management, supported by participatory monitoring and evaluation (PM&E), is increasingly recognized for its effectiveness Building trust among stakeholders, fostering dialogue and learning, and strengthening partnerships are crucial for the success of co-management processes This collaborative approach transforms forest management into a social and political endeavor, involving negotiations on the types of information to be collected and the methods for assessing the findings.
PM&E can emphasize the prevalence of specific resources, harvesting methods, and the quality of social interactions among users Monitoring can be broad, covering all aspects of a forest area, or focused on particular activities like beekeeping or specific over-exploited grass types Sometimes, all stakeholders collaborate to create a unified framework for assessing the effectiveness of their strategies and unexpected results, while in other cases, individual sub-groups set their own monitoring priorities.
Case studies on experiences with PM&E in collaborative forest management report various benefits:
- Improved understanding of the resource, the institutional environment, and of visions and management options of the various stakeholders involved;
- Increased capacity and willingness to question previously accepted technical and institutional norms;
- Shifting perception of monitoring as a form of policing towards monitoring as mutually beneficial for management;
- Improved quality of partnership interactions and communication;
- Increased equity regarding voice and flow of benefits;
- Enhanced sustainability by using less harmful forest resource management practices
16 Ghimire and Pimbert, 1997;Gunderson and Holling, 1995; Hinchcliffe et al., 1999; Jiggins and Rửling, 2000; Lee, 1999; McDougall et al., 2006; Roe and Eeten, 1999
3 Understanding Local Governance in the Context of PM&E
This chapter examines the decentralization process and its impact on local governance, highlighting four key characteristics that influence governance quality These characteristics provide a framework for incorporating Participatory Monitoring and Evaluation (PM&E) into local governance efforts The chapter concludes by discussing the various stakeholders involved in PM&E, including citizens and their organizations, as well as local government and service providers.
I MPLICATIONS OF DECENTRALIZATION FOR LOCAL GOVERNANCE
Decentralisation is the process of transferring decision-making authority from central government to sub-national units, encompassing devolution of power, deconcentration of responsibilities, and fiscal decentralisation This intricate political process requires significant legal and constitutional reforms, engaging various stakeholders across multiple sectors Key challenges include establishing effective financial systems for local governments and enhancing their capacity to govern while maintaining accountability Local governments may struggle to function effectively due to insufficient devolution of authority and resources or limited autonomy.
The World Bank and various development institutions are increasingly endorsing decentralization initiatives that empower sub-national governments This shift is driven by critiques of central planning and the belief that local competition and information exchange can enhance service delivery Additionally, decentralization is seen as a means to bolster democratization and improve the transparency of public sector performance.
Decentralization is anticipated to enhance local power and resource allocation, making governance more accessible and understandable for communities By introducing a new tier of policymakers closer to citizens and frontline service providers, it has the potential to improve governance quality This proximity is believed to foster commitment, enhance accountability, and drive efficiency and competitiveness in service delivery.
Whether decentralised public policy becomes more meaningful for poor and marginalized people depends on a number of issues These include features of local power structures
The style of local leadership and the legacy of authoritarian rule significantly influence the functioning of political parties and the openness and accountability of local political processes Effective citizen organizations and a robust private sector are essential for fostering good information flows In highly stratified societies, devolution can lead to increased exclusion or elite capture without appropriate measures Additionally, equity is compromised when discriminatory perceptions regarding participation and engagement are not countered by statutory rights.
Decentralisation transforms participation and local governance, impacting PM&E processes by fostering stronger connections between local governments and communities This shift can institutionalise PM&E and support community-level initiatives, positioning local government as a key player in enhancing governance practices Consequently, it is essential to assist local governments in bolstering governance and encouraging citizen engagement.
F OUR QUALITIES OF LOCAL GOVERNANCE
Efficiency and effectiveness
The effectiveness of organizations and programs is significantly impacted by the quality of their policy and decision-making processes To improve local governance through a development initiative, it is essential to explore key questions that address these critical aspects.
19 Alatas et al., 2003;Beal, 2005;Bonfiglioli, 2003;Devas and Grant, 2003;Oluwu, 2003; White and Smoke, 2005;Wong and Guggenheim, 2005;World Bank, 2004
Integrating Community Driven Development (CDD) programs with local government is crucial for ensuring long-term sustainability and scalability, as highlighted by various reviews (McLean et al., 2005; OED, 2004; McDonald Stewart and Muỗa, 2003).
21 Asian Development Bank, 1999; DFID, 2001;European Commission, 2001; Kaufmann et al., 1999
Policymaking should be demand-led and responsive to citizens' needs and expectations, with a focus on the quality of data and analysis that informs decision-making Effective feedback systems are essential for the timely detection of issues, and coherence among various activities is crucial for overall performance Additionally, the quality of management, staff motivation, and efficient resource use significantly impact performance Internal learning capacity is vital for enhancing governance and improving outcomes.
Exercise of power and accountability
The predictability of organizational actions and the enforcement of policies, systems, and procedures are crucial aspects of power dynamics Key considerations include the honoring of commitments and the respectful interactions between staff and beneficiaries Implementing checks and oversight mechanisms is essential to prevent abuse and ensure that the actions of project staff and authorities align with established rules.
The integrity of an organization hinges on the absence of undue influence from specific groups or interests in decision-making and resource allocation Such concerns directly impact the perceived legitimacy, trustworthiness, and credibility of the entity.
Key features of effective power exercise include accountability, transparency, and openness Enhancing accountability mechanisms is recognized as a vital strategy for improving local governance and addressing the shortcomings in performance and service delivery by both public and private entities There is a growing interest in initiatives that promote transparency and ensure accountability from public sector actors and elected officials, as holding those in delegated authority accountable is essential to the concept of government under popular control.
Equity and inclusion
Social inclusion ensures that everyone, regardless of their background, can realize their rights and contribute to society Equity of outcomes emphasizes the importance of considering the needs of marginalized and vulnerable groups in policy-making processes It is essential to prevent more advantaged social groups from monopolizing government services and to identify and rectify biases within organizations that hinder support for marginalized communities This approach also involves assessing the capacity to effectively address these issues.
22 Goetz and Jenkins, 2005 p.2 those working in these structures to understand and see biases and exclusionary mechanisms, as well as their willingness to address these.
Quality of stakeholder interactions
Effective service delivery and local development necessitate collaboration among various stakeholders, including project staff, community organizations, NGOs, local government, and private service providers The dynamics between duty bearers and rights holders influence these interactions, highlighting the need for open dialogue regarding expectations, roles, and responsibilities.
Effective partnerships are crucial for enhancing efficiency and minimizing duplication while preventing gaps However, achieving this in a multi-stakeholder environment can be challenging It requires clarity on responsibilities and quality standards, effective information sharing, collaborative analysis, and adherence to agreements Additionally, these new structures pose challenges related to horizontal coordination, effective connections with vertical levels, and ensuring accountability.
Network governance focuses on fostering effective and transparent relationships among stakeholders addressing similar challenges, whether in formal or informal partnerships like coordination meetings and public-private dialogues The 2004 World Development Report on pro-poor service delivery highlighted this concept by introducing an 'accountability framework' that examines the connections between marginalized citizens, service providers, and policymakers, aiming to enhance overall performance.
23 Campos and Hellman, 2005; World Bank, 2004; Goetz and Jenkins, 2005
4 Potential Benefits on Local Governance of Implementing and
This chapter examines how Participatory Monitoring and Evaluation (PM&E) can enhance local governance by focusing on key qualities such as performance, power dynamics, equity, and stakeholder interactions It emphasizes that PM&E processes can be designed to improve multiple aspects of local governance simultaneously Additionally, the chapter underscores the importance of involving key stakeholders in these processes.
PM&E TO ENHANCE EFFICIENCY AND EFFECTIVENESS
PM&E processes enhance results-based management by improving policy-making, facilitating adaptive management, increasing resource efficiency, and boosting staff motivation Additionally, PM&E addresses project implementation challenges by providing clarity on the expectations of marginalized and impoverished communities.
Table 1 Performance - Efficiency and effectiveness
Purpose of PM&E Expected Benefits
1.Generating location specific insights and information
2.Improve soundness of policy making
3.Facilitate adaptive and flexible management
4.Increase efficiency of resource use
6 Promote staff motivation (local government, service providers and other agencies)
Better understanding about local realities and therefore, more realistic and appropriate plans and policies
Shared analysis of suggestions for improvements
Improved strategic planning at different levels
Programs are more demand-led, which enhances effectiveness and sustainability of interventions
Timely adjustments to plans, schedules and/or budgets, following local feedback on bottlenecks as well as unanticipated negative impacts that need correcting;
Identification of possibilities for improving the effectiveness and efficiency of activities;
Reduced waste of resources and time
Reduced possibility for corruption or diversion of funds to non-intended activities
More motivated stakeholders at the local level,
More staff motivation, initiatives and creativity
Shifting perception from monitoring as ‘policing’ to monitoring as mutually beneficial
Better working environment as learning from mistakes eases performance fears
Projects and service providers utilizing PM&E to evaluate the efficiency and effectiveness of service delivery need a straightforward method for gathering user feedback This process is grounded in mutually agreed-upon criteria that define what constitutes effective service delivery.
Effective service delivery can be enhanced through participatory monitoring and evaluation (PM&E), which includes community-based methodologies and advanced data collection techniques One notable approach is the community scorecard, recognized as a tool for promoting social accountability When the results of community scorecards provide immediate practical benefits to primary stakeholders who can act on the findings, they play a significant role in the PM&E process.
A PM&E process enhances local resource mobilization by providing citizens with clearer insights into available resources and expenditures, which can encourage them to contribute their own money, time, and support to valuable interventions This process fosters active engagement from future users, who can offer valuable suggestions for improving quality and efficiency in proposed investments Additionally, managing small-scale infrastructure projects at the local level can significantly reduce costs compared to public agencies, even when the latter benefit from economies of scale through central procurement Furthermore, delegating micro-project management to communities alleviates the burden on implementing organizations, allowing them to avoid the complexities of overseeing numerous small projects.
Box 5 Monitoring performance: Community Score Card
The Community Score Card (CSC) serves as a monitoring tool to evaluate the performance and efficiency of organizations, including service providers and community committees, from the users' perspective Its primary goal is to enhance performance and governance by fostering dialogue and interaction between service providers or committees and users during interface meetings.
Service providers and users collaborate to design scorecards, often utilizing images to reflect local perspectives Typically, external facilitators guide the process and compute the results, which are subsequently shared and discussed publicly.
Scorecards can be integrated with data collection on predetermined performance assessment indicators It is essential to ensure that the objective of community empowerment, which involves numerous focus group discussions, is not overshadowed by the emphasis on performance tracking and data analysis.
Sources: Singh and Shah, 2003; Dedu and Kajubi, 2005; Salmen et al 2006
24 Wong and Guggenheim, 2005; McDonald Stewart and Muỗa, 2003
PM&E TO IMPROVE THE EXERCISE OF POWER
Key characteristics of effective power exercise include openness, transparency, responsiveness, predictability, and accountability The processes of Participatory Monitoring and Evaluation (PM&E) are essential for fostering these qualities through information sharing and dialogue By promoting demand-led priority setting, PM&E enhances organizational responsiveness Furthermore, understanding how power is exercised enables citizens to hold projects, service providers, and local governments accountable for their policies and actions, thereby challenging power abuses The expected benefits of utilizing PM&E to strengthen power dynamics are outlined in Table 3.
Purpose of PM&E Expected Benefits
2.Strengthen mechanisms for checks and balances
Enhanced legitimacy of programs and organizations
Reduced risk of clientelism and patronage around resource use
Improved transparency and accountability enhances willingness of citizens to contribute resources (including paying of taxes)
PM&E plays a crucial role in enhancing both the supply and demand sides of accountability On the supply side, it emphasizes the proper application of administrative rules, adherence to auditing standards, and performance evaluation against established benchmarks Conversely, the demand side of PM&E aims to empower citizens and communities, enabling them to influence decision-making and implementation processes in an informed and constructive way.
Enhancing the responsiveness and accountability of office bearers through a participatory monitoring and evaluation (PM&E) process aligns with the increasing focus on rights-based development approaches However, fostering partnerships may prove to be a more effective strategy Engaging in dialogue and sharing information between 'claim or right holders' and office bearers can cultivate mutual trust, as well as boost staff motivation and commitment.
25 Chambers et al., 2003; Malena et al., 2004
26 Crawford et al., 2004; Picard and Goulden, 2005
Box 6 Using social contracts for school improvement in Malawi
The Education Sector Support Program in Malawi aims to enhance community engagement in school improvement efforts It emphasizes the shared responsibilities of pupils, parents, teachers, local authorities, and officials in fostering a more equitable and effective education system A key aspect of this initiative is the development of trusting relationships between stakeholders, which can lead to increased participation in identifying and implementing activities that facilitate school improvement.
In Malawi, stakeholders collaborate to establish a 'social contract' for school improvement through a participatory analysis and planning process This contract clearly defines roles and responsibilities, enhancing understanding among community members about their contributions to school improvement It aims to foster transparency and accountability in the improvement process Additionally, participatory monitoring and evaluation (PM&E) methods are integrated to articulate desired goals and changes, while also providing frameworks for tracking progress The 'significant change' evaluation tool has gained popularity within these PM&E initiatives.
The concept of the 'social contract' has fostered improved relationships among teachers, parents, and officials, leading to greater harmony, mutual respect, and commitment among these groups.
Effective PM&E processes emphasize accountability and transparency in budget allocation, procurement, and expenditure management Key considerations include the prudent use of scarce resources, ensuring they are directed towards the appropriate sectors and intended groups, and verifying that funds are disbursed as planned Active involvement of communities and civil society organizations (CSOs) in budget oversight can mitigate corruption rumors, thereby enhancing trust in local projects and government The success of these processes is further amplified when authorities recognize communities' rights to question decision-making, monitor performance, and offer improvement suggestions.
Participatory monitoring of revenues and expenditures empowers community members and civil society organizations (CSOs) by enhancing their understanding of formal policies, systems, and procedures applicable to local development initiatives This knowledge enables them to read budgets and confidently challenge authorities or project staff when discrepancies arise Notably, some Community-Driven Development (CDD) and Social Action Fund programs are pioneering participatory expenditure management and performance assessments at the community level.
Ad-hoc committees established for micro projects play a crucial role in enhancing local governance by utilizing their knowledge and skills to oversee public expenditure These initiatives foster a culture of accountability from the grassroots level, as they focus on capacity building in expenditure management and implement feedback and communication strategies to disseminate their findings.
Box 7 Participatory public expenditure management in CDD projects
Community-Driven Development (CDD) programs have effectively implemented participatory public expenditure management for micro-projects, primarily focused on infrastructure Community representatives are actively monitoring the execution of numerous micro-projects across various countries, with ad-hoc committees overseeing the process Key mechanisms include transparency in project budgets, financing, and procurement, alongside anonymous grievance procedures and community contract monitoring Information is publicly shared in villages, and village committees are mandated to provide regular updates to both the community and project staff Local media and NGOs participate in these meetings to ensure accountability in the use of development funds This approach enhances local capacity and empowers poorer communities by gradually increasing civic participation in policymaking and resource allocation, ultimately enabling them to influence local government planning and decision-making.
PM&E TO ENHANCE EQUITY OF OUTCOMES
Ensuring equitable outcomes necessitates the active involvement of all stakeholders in examining the current distribution of services This process includes evaluating the responsiveness of projects and service providers from the perspective of marginalized or socially excluded groups A participatory monitoring and evaluation (PM&E) approach can improve equity by consistently analyzing who is benefiting from a project and who is not It requires challenging questions that may be uncomfortable for projects and organizations that have not prioritized equity or focused on marginalized populations For instance, it is crucial to identify which social groups, affected by geographic isolation, socio-cultural discrimination, or economic hardship, are lacking access to essential services and support Addressing these questions can yield significant benefits, as detailed in Table 2.
Purpose of PM&E Expected Benefits
1 Acknowledge and clarify diversity of expectations;
2 Identify and address barriers to participation and decision- making
3 Build voice of marginalized groups
Increased equity in who is heard and participate
More equitable distribution of benefits from service delivery, in particular to marginalized, vulnerable and the poor
Improve position of marginalized groups
Majoritarianism can hinder support for the needs of the poorest groups, as community-level planning often neglects marginalized populations Critical issues, such as violence against women, support for widows or female-headed households, and specific health needs, frequently fail to be prioritized in a participatory yet competitive planning environment.
Multi-stakeholder processes can be vulnerable to elite capture and illegitimate participation, leading to biases from project staff in their interactions with communities When barriers to participation become ingrained and 'invisible' to local actors, external facilitation of Participatory Monitoring and Evaluation (PM&E) becomes essential to address these biases and enhance community-led initiatives.
The PM&E process enhances awareness among communities and stakeholders regarding the equitable distribution of benefits and burdens associated with services and goods It identifies key issues and gaps, while also assessing potential biases in implementation mechanisms that may inadvertently exclude certain social groups.
Marginalized groups often face challenges in achieving equitable outcomes due to limited capacity or willingness to engage with formal systems, influenced by social codes of conduct They may lack access to crucial information, relying on community leaders or relatives for updates, and often have less time available to participate in organized activities.
The PM&E process is influenced by the limited experience of marginalized groups in project management and their participation in discussions and negotiations These groups may also lack the confidence to voice their opinions, even when given the opportunity Therefore, it is essential to incorporate specific activities aimed at capacity building and organizational strengthening for these marginalized communities into the project design.
PM&E TO ENHANCE STAKEHOLDER INTERACTIONS
Effective local development often involves various stakeholders A well-organized Participatory Monitoring and Evaluation (PM&E) system can facilitate partnerships between communities, Civil Society Organizations (CSOs), project leaders, and other stakeholders Additionally, PM&E fosters dialogue among stakeholders who may have limited direct interaction or have previously experienced adversarial relationships.
Collaboration through PM&E enhances partnerships by fostering clarity in strategy and perspective, while building trust through shared information This process enriches the knowledge base and facilitates joint analysis, adding depth to the partnership As parties develop a better understanding of each other's capabilities and responsibilities, expectations become clearer and more realistic Consequently, this can lead to increased resource availability for implementation, thereby improving local responsiveness.
Table 4 Purposes and Benefits of PM&E for enhancing stakeholder interactions
Purpose of PM&E Expected Benefits
3.Shared analysis and agreement on options for change
Improving quality of social and organizational interactions (i.e building social capital), and communication and (inter)group skills
Improved mutual understanding of problems, opportunities and options for change
More willingness to question previously accepted norms and constraints
Better understanding among stakeholders of institutional environment and resource availability, leading to more realistic propositions
Prevent and reduce conflict between stakeholders
The success of these interactions hinges on integrating findings into the decision-making process This necessitates the creation and enhancement of both formal and informal platforms for dialogue and exchange, which promote coordination and the execution of corrective action agreements Participants must be willing to share insights, actively listen, negotiate, and strive for consensus on conclusions.
To ensure their legitimacy and effectiveness, partnerships must focus on enhancing their internal accountability systems and fostering feedback relationships with their constituents Additionally, it is crucial for these forums to bolster existing democratic structures, as they serve as the essential arenas for making political decisions.
Box 8 Citizen Consulting and Monitoring Groups (CMGs) in Albania
The Albania Development Fund (ADF) has initiated a pilot program that establishes Consulting and Monitoring Groups (CMGs) at the village and local government levels, focusing on fostering dialogue and partnerships rather than exerting control The primary objective is to integrate robust Participatory Monitoring and Evaluation (PM&E) mechanisms into local government development planning These groups provide guidance on identifying, implementing, and monitoring sub-projects, supported by a dedicated PM&E team that develops indicators and data collection methods, such as community scorecards To ensure inclusivity, the program targets marginalized groups, including women, youth, senior citizens, and ethnic minorities, by utilizing tailored focus groups and alternative feedback channels, like festivals The initiative aims for replication through demonstration effects and experiential learning.
ADF anticipates that its PM&E activities will enhance program performance by addressing real needs and fostering project ownership Timely identification of issues will enable prompt interventions and necessary adjustments Additionally, ADF aims to gain valuable insights for future program design while promoting a stronger partnership between local governments and citizens.
Source : ECANET, 2005; Cooley et al., 2004.
K EY ACTORS IN RELATION TO LOCAL GOVERNANCE AND PM&E
Citizens and their organizations
The quality of democratization processes and government attitudes towards civic engagement significantly impact the ability of civil society organizations (CSOs) to participate in local development decision-making This governmental attitude often differs between central and local levels and across various sectors Intermediary CSOs and NGOs are crucial in enhancing opportunities for meaningful citizen participation and in strengthening the capacity of CSOs to engage effectively.
Citizen organizations can leverage monitoring and evaluation (M&E) to assess the performance of service providers and the utilization of resources, including budget, procurement procedures, and quality control An increasingly popular form of citizen engagement at the local level is the citizens' audit, which serves as a mechanism for social accountability This initiative aims to curb the misappropriation of public funds for private interests by closely monitoring the implementation of policies and expenditures, thereby fostering greater pressure for the responsible and effective use of public resources.
Box 9 Community-based monitoring (CBMES) for advocacy in Uganda
In Uganda, local government operates at three levels: community, sub-county, and district The Uganda Debt Network (UDN) enhances community-based monitoring (CBMES) by training grassroots individuals in poverty and public expenditure oversight, as well as advocacy and lobbying CBMES empowers local communities to track government agency performance by comparing actual outputs with publicly declared figures over time For instance, they evaluate the actual funding received by schools and clinics to prepare sub-county reports, which are compiled into a district-level report with UDN's assistance These reports facilitate dialogues with local politicians and department heads, and video recordings of these discussions are utilized for national advocacy, as visual evidence is more persuasive than written documentation Additionally, some local monitoring committees are now participating in Uganda's anti-corruption initiatives and are invited to national events.
Source: www.undn.or.ug
Data gathered through standardized procedures can be empowering, especially when utilized to enhance the performance of service providers or local government.
Box 10 CSO using conventional M&E to improve service delivery
Civil society organizations in Bangalore, India, have effectively utilized the citizen report card (CRC) process to enhance public service performance and responsiveness through advocacy and media engagement The CRC methodology, inspired by consumer opinion polls, relies on user feedback regarding service quality and costs It employs standardized data collection based on pre-defined indicators, ensuring data validity through rigorous procedures, which necessitate adequate resources for analysis The findings are publicly discussed in local government forums, leading to significant improvements in service quality, client orientation, and collaboration between service providers and civil society Additionally, participating organizations have gained insights into factors affecting service performance and are increasingly monitoring budget allocations and expenditures.
Source : Ravindra, 2004; Waglé et al., 2004
Local government
The public sector is responsible for national legislation, policy design, budget allocation, and ensuring compliance with established norms and standards In many countries, elected local governments are emerging, playing a crucial role in fostering local partnerships and collaboration They help ensure that all communities receive attention and support, promoting equity For effective collaboration, local government officials must value stakeholder consultation, encourage citizen participation, and engage in non-hierarchical relationships Building and sustaining these collaborative partnerships is essential for achieving positive governance outcomes.
The journey to establish an effective local government that is accountable and responsive to all citizens presents both opportunities and challenges Encouraging citizen participation and respecting accountability are essential responsibilities for office bearers To improve legitimacy and performance, local governments can implement a Participatory Monitoring and Evaluation (PM&E) process as a self-assessment tool Additionally, some Civil Society Organizations (CSOs) and Non-Governmental Organizations (NGOs) also utilize PM&E for their self-assessment efforts.
Action Aid’s work on self-assessment of its finance and human resource development functions is an innovative organizational application 29
Box 11 Self-assessment by an urban municipality in Niger
Commune V in urban Niamey, Niger, installed its first elected mayor and council in 2004 Continual work with women’s organization and political parties by local NGOs (with support of SNV- Netherlands development organization) resulted in the election of 3 female councillors among 23 councillors in total, which is a great achievement in the Niger context The council decided to undertake an annual PM&E that is called ‘auto-évaluation’ (again with support from SNV) Together with about 20 representatives of groupings within commune V they discuss the state of the commune and what was proposed in their local government development plan Next, a few priorities are selected for the coming year, what the target will be, how to track progress and what is required from councillors and all other local actors to achieve these goals For 2005, 4 priorities were selected: new investments in basic infrastructure (schools, health centres) to underserved parts of the territory of the commune; construction of a new livestock market; improvement of tax collection rates; and better access to identity cards for children (which was preventing them from enrolling in schools) The council is very pleased with the ‘self-assessment’ process as it helped to clarify roles and responsibilities among councillors, better focus activities, and improve accountability, which in turn generated more local engagement and access to support from NGOs
Source: Field visit Niamey, February 2006
Citizens shape policy and resource allocation by electing representatives, yet elections often serve as ineffective tools for accountability There is widespread dissatisfaction with elected officials regarding local development planning, addressing citizen concerns in decision-making, and representing marginalized groups This discontent can lead to diminished credibility of elected representatives, ultimately undermining the legitimacy of local governments and eroding trust in the democratic process.
Engaging citizens in public affairs beyond elections is a global priority, driving the exploration of mechanisms for direct participation in local government decision-making, implementation, and oversight Numerous countries are introducing new initiatives where participatory monitoring and evaluation (PM&E) processes are crucial.
In urban environments, initiatives such as participatory budgeting have gained significant attention, with the Porto Alegre process in Brazil serving as a prominent example This case highlights the integration of various local governance qualities within a cohesive participatory planning and monitoring and evaluation (M&E) framework.
Box 12 Participatory budgeting at municipality level in Brasil
Participatory budget processes (PB) exemplify the use of participatory monitoring and evaluation (PM&E) to enhance partnerships and foster mutual learning The PB process has demonstrated tangible welfare benefits by increasing the effectiveness of public investments, prioritizing pro-poor initiatives, and minimizing opportunities for clientelistic policymaking, such as 'pork-barrel politics.'
Participatory budgeting (PB) began in 1989, emerging from an ineffective municipal government, innovative political leaders open to decentralization, and active civil society organizations PB extends beyond micro-projects, significantly influencing municipal resources and long-term investment decisions It yields results within a year, crucial for sustaining citizen interest and engagement Annually, tens of thousands participate, primarily from poorer communities with little prior involvement in public affairs, while the participation of women and youth has notably increased over time.
The municipal budget cycle is structured around a multi-tiered consultation system that includes local, regional, and thematic meetings This process has evolved significantly to enhance trust, efficiency, and transparency in deliberative democracy The goal is to ensure that the process remains democratic and transparent while effectively reaching decisions During participatory budgeting consultations, citizens engage directly with local government representatives to negotiate the allocation of public resources for investments Government officials listen to citizen demands, clarify government priorities, and justify their actions, with the resulting proposals guiding municipal decision-making for investments.
31 Gaventa, 2002; Gaventa and Valderrama, 1999; Goetz and Jenkins, 2005; IIED, 2004; Pieterse, 2000; Waglé and Shah, 2003
32 See for example Baiocchi, 2005; Cabannes, 2004;Gret and Sintomer, 2005; Koonings, 2004;Schneider and Goldfrank, 2002;Waglé and Shah, 2003
Approximately 1.5 to 6% of the adult population participates in micro-level meetings, as noted by Gret and Sintomer (2005) Neighbourhood delegates play a crucial role in overseeing the execution of the budget throughout the fiscal year, ensuring effective management of infrastructure projects and essential social services.
Porto Alegre serves as a significant case of institutional innovation and democratization, leading to tangible benefits for disadvantaged communities This model has been adopted in over 190 municipalities across Brazil and has spread to various Latin American countries, including Peru, Ecuador, Colombia, Chile, and Argentina, as well as some European cities, though it has yet to gain traction in Asia In West Africa, Porto Alegre is inspiring local initiatives that involve citizens in the budget cycle monitoring process.
Source: Baiocchi, 2005;Cabannes, 2004;Gret and Sintomer, 2005; Waglé and Shah, 2003
Service providers
Service providers increasingly recognize the need to engage communities and users in infrastructure planning and service delivery assessment One effective strategy is the establishment of 'user committees' tasked with garnering local support, mobilizing resources for operational costs and maintenance, and fostering relationships with communities and end-users Despite this, these civil society organizations (CSOs) often lack an active role in monitoring the performance, efficiency, and equity of service providers.
The promotion of user committees in the health sector gained momentum after the 1987 Bamako initiative on primary health care Similarly, in education, the establishment of parent/pupil committees has become standard practice Water supply projects typically rely on community associations for maintenance, which may have formal status to manage resources and implement initiatives Service providers are often required to involve these civil society organizations (CSOs) in discussions regarding priority setting, decision-making, and program implementation within their communities In areas with local government, these associations may participate in specialized commissions or committees focused on public health, waste management, education, and market management.
The effectiveness of sector-specific Civil Society Organizations (CSOs) is inconsistent due to several challenges These include unclear mandates, limited representativeness, and insufficient access to information and resources Additionally, there is often a lack of awareness regarding the expectations and needs of local communities Consequently, accountability to end-users tends to receive inadequate attention.
Manor (2006) contends that donor support for user committees can weaken local government performance and accountability, as these committees often act as extensions of service providers However, these associations can serve as a valuable foundation for enhancing community-service provider interactions Engaging in participatory monitoring and evaluation (PM&E) processes can lead to more effective civil society organizations (CSOs) that are better prepared to engage with service providers and articulate community demands This increased engagement may also heighten service providers' awareness of local expectations and foster a commitment to improving their performance.
Box 13 Joint monitoring public health at the local government level
In Mali, community health associations, established in the 1990s, play a crucial role in managing local clinics and implementing effective cost-recovery systems for medicines These associations are increasingly becoming vital partners in public health initiatives at the local government level, acting as a link between the Ministry of Health and local councils in rural areas Their collaborative activities include sharing information on health policies and planning, as well as conducting joint analyses of progress indicators on priority health issues Utilizing data from the health system monitoring system, they employ a traffic light system to visualize and assess progress on selected indicators This approach allows even illiterate council members to understand key health metrics, such as declining attendance rates for prenatal care Discussions on these issues have revealed that while initial solutions focused on sensitizing women, deeper analysis showed that men also play a significant role in discouraging women's clinic visits, highlighting the need for targeted outreach to both genders.
5 Operational Guidance for Incorporating PM&E into Projects and Programs
Integrating a Participatory Monitoring and Evaluation (PM&E) process into program design can significantly enhance local governance This approach serves as a vital tool for learning and capacity building, ultimately fostering empowerment within the community.
The process equips communities and key stakeholders with essential methodologies and tools to establish priorities, monitor progress, analyze data, and foster a shared understanding This thorough analysis helps identify opportunities and bottlenecks, ultimately enhancing performance in activities within their control.
Community-level Participatory Monitoring and Evaluation (PM&E) can significantly enhance public expenditure management by building local capacities with broader governance implications Engaging in PM&E processes equips community members with essential skills and confidence in budgeting, monitoring plans and expenditures, and managing procurement and contractors This involvement can cultivate a local mindset that supports ongoing scrutiny of financial management within community-based organizations, farmer groups, local governments, and service providers, ultimately promoting greater transparency and efficiency.
The PM&E process clarifies rights and responsibilities while enabling communities to articulate demands to implementation agencies and local governments To maximize its impact, PM&E must be integrated into existing project and program activities By generating local insights and connecting them to relevant decision-making platforms, the effectiveness of local interventions can be significantly improved Establishing functional feedback and communication loops will ensure that programs are demand-driven and adaptable to unforeseen changes or circumstances.
PM&E processes play a crucial role in facilitating interactions among diverse stakeholders in local development, fostering dialogue and collaboration By creating a platform for various actors to express their needs and aspirations, PM&E enhances mutual understanding and builds constructive relationships Additionally, it promotes transparency and accountability among citizens, committees, and service providers While navigating diversity and differing perspectives poses challenges, it also offers significant opportunities for transformative change in local governance, marking a key area for advancing PM&E practices.
This chapter offers strategies for incorporating Participatory Monitoring and Evaluation (PM&E) into programs and projects that engage numerous communities and micro-projects It emphasizes that for primary stakeholders, the PM&E process should not require substantial additional resources or time.
PM&E WITH PRIMARY STAKEHOLDERS
Prerequisites for engaging in a PM&E process at the community level
Engaging primary stakeholders in a PM&E process is effective when it focuses on actions they can influence When stakeholders recognize the need for change, they should be able to implement most solutions themselves, despite some constraints requiring attention at higher levels The implementing agency must be ready to discuss relevant findings and take appropriate action, as ignoring stakeholders' insights can lead to demotivation and increased drop-out rates Therefore, PM&E should be applied selectively to maintain stakeholder interest and involvement.
Engaging communities or primary stakeholders in a PM&E process is ineffective if they lack influence over the interventions in their area In such cases, alternative strategies like enhancing information and communication channels and fostering dialogue may be more beneficial for strengthening local governance Additionally, implementing various social accountability initiatives can help promote greater local control over interventions.
Box 14 Building mechanisms for strengthening downward accountability in Malawi
The Malawi Social Action Fund (MASAF), established in 1995, emphasizes genuine community participation in its framework It enables communities to identify, finance, and manage subprojects that address local socio-economic and infrastructure needs Additionally, MASAF aims to empower communities to demand transparency and accountability The initiative showcases how social accountability can be fostered at the community level, even in the absence of formal mechanisms for enforcing downward accountability.
Some of the major lessons that emerge from this project are:
Targeted Information, Education, and Communication (IEC) initiatives have proven to be effective in enhancing accountability and transparency by informing users about their entitlements These initiatives clearly outline the roles and responsibilities of stakeholders in relation to project objectives By making information publicly accessible, IEC efforts challenge the dominance of elites and experts, ultimately empowering communities.
Establishing community-level structures and processes serves as a focal point for addressing shared needs, empowering communities to express their requirements effectively This approach not only consolidates their voices but also enhances their ability to demand accountability from both governmental bodies and service providers.
In the community contracting process, funds are allocated directly to community project accounts, with project implementation entrusted to a Project Management Committee (PMC) made up of elected community members This approach empowers communities to manage public resources effectively, fostering transparency and encouraging greater citizen participation in the creation and maintenance of community assets.
Source: Sey et al., forthcoming
Available experience with PM&E at community level
Programs and projects that meet the basic conditions for engaging in PM&E with primary stakeholders can base their work plans on the experiences with PM&E gained elsewhere 35
Community-level initiatives, such as 'community scorecards' and 'participatory budget expenditure management,' have proven effective in fostering dialogue between citizens and local committees For instance, in a HIV/AIDS program in Cameroon, community scorecards have resulted in changes to local committee compositions and increased demands for transparency and performance accountability Additionally, participatory budget expenditure management empowers communities to influence micro-project budgets and oversee the quality of work performed by builders and service providers.
The principles of these methods and tools are simple, yet it is essential to incorporate resources that tailor them to the unique needs of specific programs into planned activities Community-level PM&E processes should connect with multi-stakeholder forums, as certain findings require attention at a more aggregated level Additionally, maintaining quality over the long term is crucial for success.
35 See for example Toledano et al., 2002
Establishing effective and continuous feedback loops and dialogue with implementing agencies and other forums is crucial, yet this area still requires further development.