Promoting Socially Inclusive and Sustainable Agricultural Intensification in West

Bengal and Bangladesh (SIAGI)

The Principles and Practices of Ethical

Community Engagement
Resources to support engaging for impact

Lucy Carter (CSIRO), Liana Williams (CSIRO), Michaela Cosijn (CSIRO) in collaboration with
The Centre for the Development of Human Initiatives (CDHI - India), Professional Assistance for
Development Action (PRADAN - India), Shushilan (Bangladesh), SIAGI village communities and the
broader project team
September 2019

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Contents

1 Introduction ........................................................................................................................ 4
2 Methodology....................................................................................................................... 6
3 Principles of Ethical Community Engagement .................................................................... 7
4 Ethical community engagement practices ....................................................................... 10
5 References ........................................................................................................................ 16

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The Principles and Practices of Ethical Community Engagement

Document overview

This document is intended as a reference and resource document for engagement practitioners
and researchers striving to engage communities for development impact. Developed by the SIAGI
team in collaboration with the communities we work with in West Bengal, India and southern
Bangladesh, this work taps into the rich knowledge of our NGO partners to distil the philosophy,
motivations, values and practices of inclusive community engagement.

The Principles and Practices of Ethical Community Engagement | iii

1 Introduction

Central to overseas development assistance (ODA) are the goals of economic development and
poverty alleviation. As key development actors, engagement practitioners have multiple,
interconnected roles and functions in achieving these goals. In the broadest sense, practitioners
are ideally placed as facilitators of development services, often acting as intermediaries between
the communities they work with and government services, the private sector and the research
community.

In the context of research-for-development (R4D) and especially for programs aspiring towards
sustainable development, engagement practitioners must assume roles and functions that are less
transactional and instead engage in more deliberative and inclusive interaction with communities
(SIAGI, 2017).

As the goals of development shift beyond project delivery to strengthening capacity, enhancing
self-esteem and building lasting resilience, so must the attitudes and practices of development
actors, including community-based organisations, government, financial institutions, the private
sector, and researchers. Without constructive and inclusive1 collaboration, research and
development initiatives are neither scalable nor sustainable (MacLachlan et al., 2010; Mishra,
2016).

Inclusive or ethical community engagement (ECE) plays a pivotal role in the quest for more
equitable and sustainable agricultural development. As a concept, ECE recognises that the very
poor and marginalised, including women and the landless, are typically excluded from
development processes and do not reap its benefits. As a process, ECE strives to facilitate the
inclusion of individuals and groups in collaborative and participatory decision-making.

Funded by the Australian Centre for International Agriculture Research (ACIAR) – researchers,
NGO practitioners and government partners – are working together with local communities to
ensure development activities are more inclusive and equitable. Our project, Promoting socially
inclusive and sustainable agricultural intensification in West Bengal and Bangladesh (SIAGI) is
challenging the usual specialist-driven, top-down approach to understand how development
programs can be designed, implemented and scaled through the use of ECE principles and
practices.

SIAGI works closely with 2 other ACIAR-funded projects: (i) Dry Season Irrigation for Marginal and
Tenant Farmers (DSI4MTF), which operates in West Bengal, Bangladesh and Nepal; and (ii)

1
By inclusive, we mean equal access to knowledge, resources, opportunities and decision-making processes.

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The Principles and Practices of Ethical Community Engagement

Cropping Systems Intensification in the Salt-Affected Coastal Zones of Bangladesh and West
Bengal, India (CSI4CZ). While these two projects have different entry points of engagement with
communities, ECE has been identified as a core component and driver for creating equitable
benefits.
Our work builds on a rich history of development practitioners, scholars and communities
agitating for different approaches to rural development. Such approaches have sought to reframe
the approaches to development – putting local knowledge, aspirations and agency at the centre of
efforts to shape rural development (eg. Chambers and Jiggins 1987), recognising that the
communities targeted by development programs have the knowledge, wisdom and capability to
be their own agents of change (Bandura, 1982). ECE shares many qualities with the methodologies
behind participatory rural appraisal, which sought to empower local communities to take control
of their development paths, partly through recognising the deep knowledge held in communities
(Chambers 1994).
In many ways, ECE reflects the original intention of participatory approaches. However, overtime
participatory approaches have become mechanistic methods for extracting data, rather than
empowering communities to drive their own development pathways. ECE focuses on the quality
and processes of engagement (that may include participatory methods), with the intention to
build capacity as a way of enabling enduring change driven by the community (rather than
projects).
ECE challenges the fundamental structure of how development projects are pursued, allowing for
community-driven, inclusive, and more equitable participation and decision-making for programs
aiming to improve the lives of the poor (Carter, 2018b). Described in Section 3, ECE acknowledges
the entrenched institutional and historical influences on how communities perceive, participate
and benefit from donor-driven development initiatives. The poor are given the opportunity to
offer insights and perspectives from their own unique positions, unlike mechanical participation
processes where community is not enabled to be reflective, proactive and self-efficacious. ECE
helps build this capacity within individuals and the community, increasing the sustainability of
interventions.

The Principles and Practices of Ethical Community Engagement | 5

2 Methodology

The ECE principles and practices were developed through an iterative process of engagement,
data collection and thematic analysis. The focus was to understand inclusive (SIAGI) NGO
practices, their processes and their challenges. A collation of project, workshop, and trip reports,
presentations, written reflections and internal organisational documents including organisational
policies and training manuals were combined with informal interviews and team discussions
between 2016-2019.

Seeking this information was to gain insights into four areas of NGO practice:
1. Engaging with communities;
2. Philosophy or approach to engagement;
3. Modes of engagement;
4. Rationale for engaging in a particular way, using particular methods etc.

The process of reflection, learning and identifying changes in thinking and practice is an ongoing
process and will inform successive steps.

Improving the research and practice of a range of development partners and actors (beyond NGOs
to include research partners and donors) is the longer-term goal of this work. Improved program
design, improved partnering and enhanced sustainability are among the perceived benefits from a
deeper understanding of inclusive community engagement.

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The Principles and Practices of Ethical Community Engagement

3 Principles of Ethical Community Engagement

Inclusive or ethical community engagement (ECE) plays a pivotal role in the quest for more
equitable and sustainable development. Initiatives which meet the community where it is, with
what is has, and with whomever is present is an ideal starting point for building meaningful
relationships with communities.

As a concept, ECE recognises that the poor and marginalised, including women and the landless,
can be excluded from development processes and do not automatically reap its benefits (Carter
2018a). As a process, ECE strives to facilitate the inclusion of individuals and groups in collaborative
and participatory decision-making. ECE is about supporting community organisations to take
control of their own futures to achieve enduring outcomes. It is an empathetic process which
acknowledges and respects communities’ perspectives and potential and cultivates trust that they
can change their own situation (i.e. build self-efficacy). Over time, the process of community
decision-making, learning and reviewing, leads to a greater sense of confidence and self-esteem so
that the community manages its own aspirations, goals and achievements. As an outcome, ECE
facilitates a rediscovery of hope in a community’s ability to change their condition and influence
their future.

The following six principles encapsulate the concepts, processes and values underpinning ECE.

1. Individual and organisational values and cultures play a key role in ethical practice. A
deep commitment to intrinsic values about people, their ‘endowments’ and their agency
are integral to inclusive (and effective) engagement. For some development partners, this
may require a fundamental shift in attitude to acknowledge the centrality of people’s
wisdom, self-esteem, competencies, capabilities, cultures, values and aspirations in
catalysing change. It requires treating all male and female farmers as collaborators and
equal partners in the research and development process. ❶

2. Ethical engagement demands an empathetic attitude along with specific skills integral to
the engagement process. Highly skilled facilitators who are able to: communicate
meaningfully; learn and practice non-judgemental and empathetic listening; practice
sophisticated interpersonal skills and; who have awareness of local social and
environmental factors. Facilitators and engagement practitioners work hard to make
meaningful connections with others, and between individuals and groups. These skills are
not innate and potentially require guidance to develop. Beyond the technical skill required
of facilitation and analysis, a willingness to learn and experiment, and character traits such
as sensitivity, empathy and a sense of justice are vital in ethical engagement with
communities. ❷

The Principles and Practices of Ethical Community Engagement | 7

 3. Situational awareness is paramount to building trust and achieving inclusion.
Communities carry with them embedded experiences of historical, social, cultural and
economic contexts which have influenced their participation in development initiatives.
Previous and existing poor experiences with research programs, unsuccessful government-
led initiatives, perverse incentives by political factions, and empty promises of momentous
change have led to a general sense of disempowerment and distrust among many
communities.

Communities tend to be heterogeneous with stereotypes attached to different social

categories – class, gender, age etc. Community priorities and roles need to be fully
understood by researchers. For example, women have reproductive roles that practitioners
must be aware of as they enter communities. Knowledge of these barriers and persistent
effort and patience in engaging with communities despite these constraints is needed to
achieve inclusion. This may require careful planning before field work commences.

The building of trust is a process which needs to allow for: the verification of agents’
credentials and any inputs offered; repeated visitation to create rapport between
researchers and communities and; the creation of space for conversations and
interactions. This may include spending time with communities to understand their needs
and aspirations. It may also mean ensuring that physical spaces for conversations are
created to encourage the participation of less powerful individuals and groups. This
requires presence on the behalf of the researcher, commitment and time. Without these
effort, trust-building is made more difficult and the potential for additional burdens to be
imposed (and harm done) is placed on communities. ❸

4. Qualitative methods are a key technique for inclusive engagement. The use of
storytelling, day-to-day observations, participatory planning, scenario analysis, individual
and community level dialogues and conducting multi-stakeholder meetings requires skill in
qualitative methodology. The monitoring and evaluation of such engagement processes
demands the use of novel indicators which seek to measure quality and value in favour of
quantity and frequency. ❹

5. Participatory monitoring, evaluation and learning enhances the facilitator’s and the
community’s ability to reflect, collaborate, co-create and adapt to situations as they
arise. A commitment to continuous learning and experimentation is required to
successfully engage. Ongoing learning increases self-efficacy and agency, as well as
building the skills to support the scaling of initiatives. For some communities, the need for
NGOs to facilitate a realisation of human potential, to empower individuals and groups, to
build their capacity, etc., sets the foundations for inclusivity and unity. ❺

6. Scaling initiatives without beneficiaries driving the desired change is unsustainable.

Without sufficiently deep commitment and ownership, (for example, those achieved
through a process of ECE), initiatives are less likely to sustain over time. There needs to be
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The Principles and Practices of Ethical Community Engagement

 a unity of purpose, as well as planning, leadership and discipline to achieve the desired
changes. In addition, purely externally-imposed agendas deplete the resources and
capabilities of communities and over time, erode trust and diminish energy for
participating in new programs. This presents considerable risk for the wider development
community. ❻

These six principles are considered by the SIAGI team to be fundamental to ECE approaches at the
time of writing (April 2019). We expect that over time, as we learn and capture new information,
these principles will evolve experientially and as such may be amended or clarified in future
versions of this document.

The Principles and Practices of Ethical Community Engagement | 9

4 Ethical community engagement practices

ECE is a process that seeks to support community organisations to take control of their own
futures to achieve enduring outcomes. The six ECE Principles outlined in Section 3 describe the key
concepts, processes and values that underpin ECE approaches – essentially, the philosophy of ECE.
To articulate how these principles function in practice, the SIAGI team has created a compendium
of ECE Practices which serve to guide the field practitioner in the planning and management of
interactions with communities. For this purpose, ECE Practices are defined as the intentions,
behaviours and actions that underpin an ECE approach.
The Table of Key ECE Practices below was compiled in collaboration with our NGO partners
through several rounds of reflection and discussion. Communities from Sidagora and Komo
villages, Bankura district, India were also invited to share their views. General feedback from
communities currently working with CDHI is also included in this compendium.
The Table is organised into five Practice categories, each containing a set of Practices generally
aligned to a broader theme. A brief explanation of the Practice is included, along with a reference
to the corresponding ECE Principle (eg. ❶). Community perspectives are also included in the table
where available and appear as direct quotations.

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The Principles and Practices of Ethical Community Engagement

Key practices of an ECE approach
PRACTICE PRACTICE (the intention, EXPLANATION (and link to ECE Principles) COMMUNITY PERSPECTIVE
CATEGORY/THEME behaviour or action that (quotations from FGDs)
underpins ECE approach) incl. the
corresponding Principle

Overarching general Treat community members as To insist communities pursue activities they are uncomfortable with Everyone is equal. Walking
practices of ECE equal partners in a collaborative erodes trust and can be damaging. alongside us, in our fields and
process. communities, eating our food,
experiencing our lives, this will
❶❸❻
help us to build trust with you.
We should not be forced to do
things we are not comfortable
with.

Respect community cultures and To treat every interaction with integrity, honesty and openness Respect our language. It is our
social norms. demonstrates respect and helps to build trust. mother tongue.
❶❸ We require time to talk to you
because sometimes we are scared
to speak. Please have patience
while talking with us.

Wear dress that respects local Pay attention to your dress, remaining sensitive to local social norms.
custom.
❶❸

Avoid aggression, violence and Rude behaviour from outsiders is

negative or confrontational not acceptable to us.
postures.
Do not be aggressive or violent in
❶❸ our community.

The Principles and Practices of Ethical Community Engagement | 11

 Entry, permissions and Be courteous when organising Communities are not always able to see you at short notice. Working Any meeting called by the
building rapport; visitation with communities – the with communities directly to organise a mutually agreed schedule is best outsider must have prior
establishing relationships community’s time is as precious practice. information available. This helps
as yours. us in our own preparation.
When requesting meetings with villagers, providing information prior to
❶❷ your visit helps communities prepare for your visit. On arrival, introduce
yourself and explain the purpose of your visit and interaction.

Speak modestly about your

qualifications, official position or
institutional affiliation.
❷

Make effort to understand the Improving your understanding of the social, environmental and
communities’ history, natural economic context of the community you visit has many advantages
resources, socio-economic including building stronger relationships and better-developed
conditions, needs, deprivations initiatives.
and visions for the future.
Avoid dismissing community views irrespective of how these views fit
❶❷❸ with your value sets – this demonstrates equity and respect.

Seek permission to engage with Securing initial permission to engage is pivotal to an ECE approach. Before initiating any
communities. Periodic and ongoing reaffirmation of willingness to engage is advised. interventions, the outside should
seek permission and agreement
❶
from us.

Make effort to build trust There are several ways to begin creating rapport and building trust. The outsider must be introduced
immediately through direct, Actively listening and empathising with community about their previous to as many of us as possible and
honest interaction. experiences and; avoiding discontinuity of engagement are two visit frequently to gain our trust.
examples.
❷❹ The purpose of the visit must be
explained to us clearly.

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The Principles and Practices of Ethical Community Engagement

Process of participatory Ascertain the most effective and The use of multiple languages may be required to communicate with The outsider must help us to
engagement; planning and inclusive way of communicating community. Not everyone will be fluent in the language used and understand the agenda according
decision-making; learning with communities about your patience is required to assist understanding. to our context and language.
purpose.
Assist the community to understand meeting agendas according to the No intervention should be taken
❷❸ context and language. without helping us to build an
understanding or significance of
the proposed activities.

Avoid bringing and eating

packaged food from outside the
villages when visiting.
❷

Accept local offerings such as tea Showing appreciation of gifts on occasion helps to build relationships.
or local produce with equanimity. However, care must be taken not to enter into a frequent practice of gift
exchange – this may lead to shifts in social power and perceptions of
❷
injustice.

Ensure open and transparent Establishing proper systems of accountability is essential in this regard. It
financial dealings. is important to maintain clarity about capacity and manage expectations
about delivery.
❶❺

Create an enabling environment Interacting with children and elders, walking with farmers to view their Never negate anyone’s views
for mutual interaction. farms and yards will assist in learning about people’s lives and without understanding.
livelihoods.
❹❺❻
Frequent visitation, showing interest in matters of importance to
community (but perhaps periphery to your own agenda), and a
willingness to assist with pressing community concerns in order to create
space for other discussions, all offer opportunities for deeper
engagement.

The Principles and Practices of Ethical Community Engagement | 13

 Encouraging joint decision-making and building on communities’
strengths will also help to create vision and commitment among
members.

Assist communities to initiate Proposing initiatives that do not support the community to achieve their
action using their own efforts and own goals can create dependency.
decisions.
❹❺❻

Remain sensitive to gender roles, Engaging women facilitators for women’s groups, organising crèche
responsibilities and gender facilities or engaging in door-to-door visitation are examples of applying
relations. a gender lens to engaging with communities.
❷❸

Pay attention to group dynamics, Ensuring equal sitting positions during meetings and treating every idea
ensuring inclusivity in group expressed by an individual as equally worthy as the next promotes
situations. inclusion and discourages dominance.
❷❸❹

Engage multiple stakeholders and Accompanying authorities, introducing them respectfully, taking time to
government and non-government facilitate interaction between visitors and communities is advised.
service providers.
Avoid influencing communities’ impressions of other
❺❻ stakeholders/individuals/organisations by remaining neutral.

Plan to spend time answering Participatory engagement takes time and effort especially during initial
questions, elaborating on visits.
concepts, listening to
communities’ reactions.
❷❸❺

Handling conflict Maintain transparency and On occasion, conflict may emerge in the process of engagement. Conflict
neutrality when handling conflict. is a normal and natural feature of complex interactions. Diffusing conflict

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The Principles and Practices of Ethical Community Engagement

 ❶ by making unrealistic promises or showing favouritism will likely be
disruptive in the long-term.

Exit and ensuring Plan for and openly discuss Communities have their own goals and insights for continuing project Past experiences have on occasion
sustainability milestones and exit strategies outcomes. Avoiding aid dependency should be a priority. breached our trust and caused us
with communities, early. suffering.
❺❻

Initiate long-term planning with Maintaining quality relationships with key stakeholders from the very
key stakeholders throughout the beginning of the project to the end will help to ensure sustainability of
project cycle. outcomes.
❺❻

Avoid perpetuating false hope

with promises of project
extensions unless certainty exists
around resourcing.
❸❺❻

The Principles and Practices of Ethical Community Engagement | 15

5 References

Carter, L. 2018a. Process, principles and challenges of inclusive community engagement: Distilling
NGO best practice. SIAGI Report. https://siagi.files.wordpress.com/2018/07/siagi-
report_ngo-practice_-report-for-mtr_final_july-2018.pdf
Carter, L. 2018b. Ethical engagement for research partnerships and collaboration. Development
Bulletin, vol. 79, pp. 49-52.
Chambers, R & Jiggins, J 1987, 'Agricultural research for resource-poor farmers Part I: Transfer-of-
technology and farming systems research', Agricultural Administration and Extension,
vol.27, no. 1, pp. 35-52.
Chambers, R. (1994). The origins and practice of participatory rural appraisal. World development,
22(7), 953-969.
MacLachlan, Carr & McAuliffe. 2010. The Aid Triangle: Recognizing the Human Dynamics of
Dominance, Justice and Identity. Zed Books: London.
Mishra, R. 2016. Community Engagement: Perspectives, Processes and Practices. Centre for the
Development of Human Initiatives (CDHI). https://dsi4mtf.usq.edu.au/wp-
content/uploads/2016/11/Community-engagement-perspectives-processes-and-
practices.pdf
SIAGI. 2017. Fundamentals of ethical community engagement. SIAGI Report.
https://siagi.files.wordpress.com/2016/07/siagi_ethical-engagement_discussion-
paper_final_march17.pdf

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The Principles and Practices of Ethical Community Engagement

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