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8 MITLIBRARIES DEWEY I 3 9080 03317 3045 Massachusetts Institute of Technology Departnnent of Economics Working Paper Series Pitfalls of Participatory Programs: Evidence from a Randomized Evaluation in Education in India Abhijit V. Banerjee — Rukmini BeftCfji \3^/\€r\c Esther Duflo Rachel Glennerster .: Stuti Khemani Working Paper 08-1 Septembers, 2008 Room E52-251 50 Memorial Drive MA Cambridge, 02142 This paper can be downloaded without charge from the Social Science Research Network Paper Collection at http://ssrn.com/abstractJd=1264805 1 Pitfalls ofParticipatory Programs: Evidence From a Randomized Evaluation in Education ' in India ^~- Abhijit Banerjee, Rukmini Banerji, Esther Duflo, Rachel Glennerster, and Stuti Khemani NBER Workmg Paper No. 43 1 1 September 2008 JEL No. 121,012 ABSTRACT Participation ofbeneficiaries in the monitoring ofpublic services is increasingly seen as a key to improving their efficiency. In India, the current government flagship program on universal primary education organizes both locally elected leaders and parents ofchildren enrolled in public schools into committees and gives these groups powers over resource allocation, and monitoring and management ofschool performance. However, in a baseline survey we found that people were not aware ofthe existence ofthese committees and their potential for improving education. This paper evaluates three different interventions to encourage beneficiaries' participation through these committees: providing infonnation, training community members in a new testing tool, and training and organizing volunteers to hold remedial reading camps for illiterate children. We find that these interventions had no impact on community involvement in public schools, and no impact on teacher effort or learning outcomes in those schools. However, we do find that the intervention that trained volunteers to teach children to read had a large impact on activity outside public schools - local youths volunteered to be trained to teach, and children who attended these camps substantially improved theirreading skills. These results suggest that citizens face substantial constraints in participating to improve the public education system, even when they care about education and are willing to do something to improve it. Abhijit Banerjee Rachel Glennerster MIT Department ofEconomics Abdul LatifJameel Poverty Action Lab E52-252d MIT Department ofEconomics 50 Memorial Drive E60-275 Cambridge, MA 02142-1347 CambndgeMA 02139 and NBER [email protected] [email protected] Stuti KJiemani Rukmini Banerji The World Bank Pratham Mumbai Education Initiative 1818 H Street N.W. MIT Department ofEconomics Washington, DC 20433 50 Memorial Drive [email protected] MA Cambridge, 02142-1347 [email protected] - - Esther Duflo MIT Department ofEconomics E52-252G 50 Memorial Drive CambndgeMA 02142 and NBER [email protected] Digitized by the Internet Archive in 2011 with funding from Boston Library Consortium IVIember Libraries http://www.archive.org/details/pitfallsofparticOObane 1. Introduction The deplorablestate ofpubliclyprovidedsocial services in manydeveloping countrieshas attractedconsiderable attention in recentyears,from academics andpolicymakers alike. The 2004WorldDevelopment Report "Making Services Workfor Poor People"detailsthe dismal qualityofeducation and healthservices offeredtothe poorin developing countries, andconcludesthat "social services failthepoor" (World Bank, 2004). Both sectors are plaguedbyhighprovider absenteeism, little on-the-job effortfromthosewhodocometowork, andoverall poorperformance. Forexample, teachers inprimaryschools and medical staffat primary healthcenters in India have absence rates of25percent and40 percent, respectively (Chaudhuryet al., 2006). > InIndia's publiceducationsystem, theseproblems are manifest inthe failure ofthepublicschoolstoimpart eventhe mostelementaryskills.A2005nationwide ruralsurveyon educational attainmentof7-14yearoldsfoundthat, eventhoughmostchildrenare enrolledin school, 35percentofprimaryschool age children couldnotread asimple paragraph and41percentcouldnot dosimple subtraction, competenciesthat , should, accordingtogovernment guidelines, be achievedbygrade 2 (Pratham, 2005). , Inadequatefunding does notappeartobethe onlyreasonforthe systems'poorperformance. Infact, inthe case of education, rigorous, randomizedevaluations havefoundlittle evidencethat more resources ontheirown, withnochanges tothewayeducationis delivered, can improvetestscores.= Incontrast, studies havefoundimprovementsinoutcomes when modestincentives havebeengiventoteachers (see e.g., Duflo, Hannaand Ryan, 2007, and Murahdharanand Sundararaman, 20073). However, inboththese casesthe incentives were implementedbythe non-governmental organization (NGO)thatranthe program. Whengovernmentbureaucrats havetoimplementthem, the incentiveswere ineffectual. In Kenya, forexample, headteacherswere given grantstorewardteachers who attend regularly. Eventhough the headteacher could usethe moneyto get otherthings forthe school iftheydid notuse ittorewardtheteachers, they almostuniversallychosetogivethe moneytotheteachers, irrespective ofwhethertheteacherhad done anythingto deserve it, withthe resultthat the incentive had noimpact (KremerandChen, 2002). In India areformthatwas meantto linkgovernment nurses' paytotheirattendancewas initiallyveryeffective,butfailedto haveanyimpactafterthelocal bureaucracystartedproviding official excusesformost ofthenurses' absences (Banerjee, Duflo, and Glennerster, 2008). The poorincentives ofbureaucrats andpublicproviderstodeliverqualityservices contrastswithevidence of strong incentives ofgovernmentsto deliverquantity, especiallyineducation, bybuildingschools andrecruitingteachers (Glewwe and Kremer, 2006, Keeferand Khemani, 2004, and Banerjee and Somanathan, 2007). Keeferand Khemani (2005), building on alarge political economyliterature-*, argue thatthis canbe explainedbypoliticalincentivesof governmentsthat are skewedtowardtheprovisionofprivate andverifiablebenefitstosome citizens, atthe expense of qualityimprovementsthat are more diffuse and hardertoverify. Providing (secure)jobsthroughteacherrecruitment, or scholarships and othertransfers, is more effective inwinning electionsthangettingteachers toteach. ' Forhealth, Dasand Hammer(2005) showthattheaveragetimespentbya publicdoctortoexaminea patientsis2 minutes,and that theaverage\isitdoes not includeanyphysicalexam. In education, Chaudhur}',etal. (2006)findthat halfoftheteacherspresentin school in Indiawere notteachingat thetimeoftheinvestigator'svisit. - Forexample, Glewwe, Kremer,and Moulin (2002) find no impactfromtextbooks, Glewwe, Kremer, MoulinandZitzewitz(2004)find no impactfromflipcharts, and Banerjee, KremerandJacob, (2004) find no impactfrom additional teachers in India. Fordiscussion and more references,seeGlewweand Kremer(2006). 3See, on theotherhand,Glewwe, Uias, and Kremer(2003) fora cautionar)'taleon multitaskingbyteachersevenwhen incentivesare properly implemented. See,e.g.Acemoglu and Robinson..(2001); Banerjee and I>er(2005), Acemoglu and Robinson (2006); Rajan (2007); Hoffand Stiglitz (forthcoming). 2 5 Such political economyarguments suggestthat governmentbureaucracies maybeill equippedtoimprovethe qualityofpublicservices. This hasled developmentpractitionerstobelievethattheinvolvement ofbeneficiaries is essentialto makeservicesworkforpoorpeople. Developmentprojectsfundedbyinternationalorganizations are increasinglyrequiredtoinclude"beneficiaryparticipation" components, suchasthe constitutionofusers'committees, parents-teachers associations, etc. or, wheresuchinstitutions alreadyexists,interventions aimedat mobilizingpeopleto makethemmore effective. TheWorld Bank'sWorld Development Report"MakingServicesworkforPoorPeople" describes arangeofalternative institutional designsthatenablebeneficiaries toexercisebettercontrol overthe qualityof servicesthattheyare receiving (World Bank, 2004). Despitethis enthusiasm, andsome encouraging experimentswe describebelow, whetherexternal interventions actuallyaffectthebeneficiaries, andwhetherthis participationcan inturnimprovepublicservices, remainlargelyopen empirical questions. It is challengingtoanswerthese questions definitivelybecausethere isnosingle leadingcandidate forwhat encouragesbeneficiaryparticipation and/ormakes it more effective and a wide range ofpossible models. Afavery minimum, there are atleasttwodimensionsalongwhichinterventions designedtopromote participation can (anddo)vary. /• ;,,;,,.;.;: ,1 '.-., . '• , ' — o First, communitymembers mighteitherbe able to: .,,;"- , c, ; o intervene directlytoimprove servicedelivery(bycontributing additionalinputs,bypunishingor rewardingthe agents, etc.)or o theymayonlybeabletointerveneindirectly(saybycontributingto afundthatis administeredby somebureaucrat orcomplainingtothe agentorthe agent's supervisor). o Second, communitymembers mightbe ableto exercise control (directorotherwise) o individuallyoras apart ofasmall group (forexampletheymayasktobepaidfortheworkthey ' . .. ' didonthe local roadproject), or ; ,, o it mayrequirejoint actionbysomelargergroup.6 , Boththedirectandindirect dimensions allowforcontinuousvariation, creating acontinuous planeofpossible models of popularparticipation. The different modelshavetheiradvantages and disadvantages: forexample, direct control obviouslymakesit easierto exercise controlbut opensthedoorforcapture ofthe entireprocessbyalocallydominantgroup. This iswhat happenedinthe sugarcooperatives in Maharasthra, India (Banerjee et al., 2001). Indirect controls, such as complaint systems, havethe advantage that it is possibletobypassthelocal elites, but at the cost ofpotential slippage (the complaint maygetlost orignored).^ Small groups requireless coordinationtoexercise control (andhence are less subjectto coordinationfailures),butlarge groups make sensewhenthe goodis notexcludable, andcomplaints arelesslikelytobe ignoredwhentheycomefrom alarge enoughgroup. This raisesthepossibilitythatpromotingsomeforms ofbeneficiarycontrol mightbe more rewardingthan focusingonothers. Atthe sametime, given aspecificmodel ofbeneficiarycontrol, there are manydifferentwaysto 5TheWorld DevelopmentReport (2004)callsthese respectivelythe"short route"and the"longroute"tocontrol. 'Thereisactuallya natural third dimension: there maybespecific, pre-specified mechanismsfortheexerciseofcontrol, orthe precise mechanicsmaybelefttothecommunitytodetermine.This ispotentiallyveryimportant,butimpingeslesson the issuesemphasized in this paper. 7SeeBardhanand Mookheijee(2006) foran illuminatingdiscussionofthetrade-offshere. 3 encouragethebeneficiariestoget more involvedinexercising control. At one extreme are interventionswherepeople are simplytoldtheirrightswithinthesystem andthenleftalonetofigure out howtheywanttoclaimthoserights.Atthe other extreme,beneficiaries maybeorganizedandtrainedtoparticipate indemonstrations, orotherforms ofpublicaction, including communityinterventionsthatsubstituteforthe publiclyprovided services. This paperreports ona randomizedexperimentinthe state ofUttarPradesh (UP)in Indiathatcomparesthe effects ofthree differentinterventions intendedto promotethe greaterexercise ofbeneficiarycontrolontwoverydifferent forms ofbeneficiarycontrolwithinthesame setting. One oftheforms ofbeneficiarycontrolthatwe studyinvolvesthe exercise ofindirect controlbyalargegroup; the otheris all aboutdirect control byindividuals. Thetreatmentsvary betweenthe relativelyhands-off(tellpeoplewhattheirrights arewithrespecttotheirchildren's educationandalertthem to theirresponsibilities) andthe highlyinterventionist (trainingvillagevolunteersin howto identifythe childreninthe villagewhoarelaggingbehind, aswell as intechniquesforteachingthese childrenmore effectively). ' Thepossibilityofaffectinglargegroupindirectcontrol comesfromthestructure ofthe Indianfederal government's flagship current programon elementaryeducation,the Sarva ShikshaAbhiyan (SSA). This program, under whichthefederal governmentwill contribute 65percentofthe educationalbudgetin UPin 2007-08 (22,374 million rupees or559 milliondollars), gives aprominentroletotheVillageEducationCommittees (VECs),thoughVECs had existed priortothe SSA. In UttarPradesh, theVECis abody consisting ofthree parents, the head-teacherofthevillage school andthe headofthevillagegovernment, which is supposedtobethekeyintermediarybetweenthevillage andthe district educational authorities and is supposedto exerciseboth indirect control (by monitoringthe performance ofthe schools, reportingproblemsto higherauthorities, and requesting additional resources), aswell as some direct control (by decidingwhetherthe contracts ofthe existing community-based teachers shouldbe renewed, recruiting newhires, and allocatingtheadditional resourcesfor improvementthatthe schoolreceives underthe SSA). swhiletheVECitselfis a small group, wearguethatthethree parent members oftheVEC could not have real control withoutthe activebacking of alarge numberofotherparents andthatthislargergroup ofparents also havethe abilityto exercise controlwithoutgoing throughthe VEC. Inthis sensethe model ofbeneficiarycontrol in education in UPis one ofdirect andindirect control exercisedbyalargegroup. The opportunityto dothese experimentsarosebecauseby2005, morethanfouryears after SSAwaslaunched,the primafacieevidence suggestedthat atleastinJaunpurdistrict ofthestate ofUP, beneficiarycontrolwas notbeing exercisedparticularlyeffectively.Asurveyofchildren, parents, andteachers in 280 villages inthat districtfoundthat while mostvillages didhaveaVEC, veryfewparents knewofits existence, sometimes evenwhentheyweresupposedtobe members ofit. VEC memberswere also unaware ofeventhe mostimportantresponsibilitiesthattheyhavebeen assigned underthe SSA: hiring ofadditionalteachers, allocationofschool resources, and monitoring ofperformance. Atthe same timethe state ofeducationinthesevillagesbordered onthe disastrous: 15 percent ofchildren age 7to 14 could not recognize aletter; only39 percent could readandunderstand asimple story (ofgrade 1level); 38 percent could not recognize numbers.Yet parents, teachers, andVEC memberswereoftenunaware ofthescaleoftheproblem andtended to overestimate what children inthevillage reallyknew (Baneijee et al. 2006). ^ Itis importantto emphasizethateven though SSAisnational program, its implementation, aswell asthestructureand roleofthe VECsvariesalotacrossstatesin IndiaandUP isnotnecessarilyrepresentative. 4 Giventhattheinstitutionalframeforlargegroup control (theVEC etc.) were extanteverywhere,butalmost entirelynon-functional, one goaloftheinterventionswasto makelargegroup controlworkbetterbymobilizingpublic sentiments andprovidingbetterinformation.Asecondgoal wastosensitizepeople abouttheimportance ofeducationfor theirchildren andthe state ofeducationinthevillage, withthe expectationthatthiswouldencouragethemtotrytodo something about it, eitherintheirprivate capacityoras apartofa small group—inotherwords asmall-groupdirect control strategy. Sometrainingthatwould makethem more effectiveinthis capacitywaspart ofthe intervention. Thethree interventionswere designedandimplementedbyPratham, India's mostprominent educationalNGO. The interventionsthat Pratham implementedwere designedafterseveral months ofpilotinginthe area. Therewas a conscious attempttobe sensitivetothespecificities ofthe local environment (inparticularthe constraints and opportunities resultingfromtheexistingpolicies ofthe stategovernment), tofollowthe availablebest practiceguidelines forcommunityengagement (World Bank, 1996, 2001), andtostreamline the designforreplicabilityandexternalvalidity. One ofthe assumptions underlyingthe design ofthe interventionwasthatlackofrelevantknowledgewas afactor holdingbackparticipatoryaction. Itwas clearfromthebaselinesurveythat communitymembers didnotknowwhatthey were entitledto, whattheywere actuallygetting, and howtheycouldputpressure ontheproviders—all ofwhich are criticalforparticipationtobe effective (Jenkins andGoetz, 1999; Goetz andJenkins, 2001; Paul, 1987).Asecondelement inthe Pratham'sprogram designwasthe need(ifparticipationwastobe areality)toinvolvemorepeoplewiththe state of educationinthevillage, particularlyonlearning outcomes, andtoturnthatinterestintosomeform ofcoordinatedaction. Allthree interventions sharedabasicstructure: Pratham activists spentseveral daysin avillagefacilitatingsmall group discussions ineach ofthevillage's neighborhoods orhamlets aroundissues ofelementaryeducation. In each of these small group meetings, peoplewere invitedtoa largevillage-wide meeting. Theselargevillage-wide meetingswere the culmination ofthe wholeprocess andwere attendedbyteachers,parents, communitymembers andmembers ofthe village administration. ". , , Inthesimplest ofthe threeinterventions usingthis format,the Prathamteamfacilitatedthesmall andbiggroup meetings inthevillage. Inthe meetings, school staffandvillagelocal governmentrepresentativeswere encouragedto share information aboutthestructure and organization oflocal service delivery, includingtherole andactivities ofthe VECs. Inthedesignofthis intervention,thefocuswas on ensuringthatthe relevant informationabout norms and provisions (usuallyoninputs)forschoolswere sharedinthevillage. The meetingswerefollowedbythedistribution of pamphlets that describedthevarious roles andresponsibilities ofVEC members. The pamphletwas also explainedto as manyindividualVECmembers as possible. Inthis intervention, therewere nodirect discussions onthelearninglevels of children, unlessthetopicwasbroughtupbycommunitymembers. , 1 ;, The secondtreatmentincludedtheactivities describedinthe firstintervention. In addition, inthe small neighborhoodorhamletlevel meetings, Prathamteam members demonstratedthe process ofcreating "learning report cards"byconductingsimple assessments ofreading andarithmeticwiththelocal children. Inthis process, Prathamteam members activelyinvitedandimmediatelyorientedlocal communitymembers to participateinthe makingofthe report cards. The mostvillages ofUttarPradesh, parentsarenotveryliterate andthus unabletoreallyunderstandtheissues relatedtolearninglevels oftheirchildren. Oneoftheobjectivesbehindthe designofthe secondinterventionwasthat communitymembers andparentsbecome sensitizedtothestatus oftheirchildren's learning. Byparticipating or observinghowchildrenwerebeingassessedinreading orarithmetic, communitymembers andparentswouldget afirst handviewofwhatwas meantbybasiclearning andhowtheirchildrenwere performingon simpletasks. Thevarious neighborhoodreportcardswerethen also discussedatthevillage-wide meeting. The aggregation ofthe hamletor neighbourhoodreportcardsled to thevillagereport card whichwas discussedatthebig meetingatthevillagelevel. .' Thefirsttwo interventionsweretherefore aimed atstrengtheningthe SSAmodel ofcommunityparticipationbya combinationofinformingvillage members oftheprovisions and norms andgivingthem a good idea ofwhatprocesses had been envisaged in SSAforfacilitatingcollective action. : . ' ; Thethird intervention added a "direct-control smallgroup" component ora componentthat demonstratedthat local "solutions" are possible. In additionto allthe activities undertakenunderthefirst andsecond interventions, inthe third case a "demonstration" classwasstartedinthevillage. This demonstrationclass showedhowsimpleactivities with childrenhelpedto improvetheirreadingskills. The demonstrationclass ran inthevillageforaperiodof3-4days. Local communitymembers usuallyyouthattendedandwatchedtheactivities. Those who hadshownkeeninterestwerethen givenseveraldaystrainingandmaterialstoworkwithchildren oftheirvillage. Thiswas anentirelyvoluntaryeffort. No moneywas paidtovolunteersfortheirworkv^dthchildren. The pedagogicaltechnique,training andmaterialsthatwere used inJaunpurweretheonethat Pratham haddevelopedandusedthroughout Indiaforteachingbasicreading skills. Aftertraining,volunteersthenheld readingclassesinthevillages. Thetypical "reading course"lastedtwotothree months, with classes heldeverydayoutside ofschool. This interventionthus offered committedindividuals the opportunityand the competence neededtodirectlyimprovelearningamongchildren. The results fromthe evaluation showthat none ofthethree intervention methods managedto effectlarge group indirect or direct control overpublic schools, intermsofparticipationbyanyoftheplayers (theparents,theVEC, the teacher), nordidtheyimprove school performance. This is notbecausethe mobilization entirelyfailed: the meetings organizedbyPrathamwerewell attended (onaverage morethan 100 people attended inavillageof360 households). Nor is itbecausevillagers areunwillingto getinvolved ordonotcareabout education, orbecausetheyarepessimistic about the possibilityofimprovement. Thisbecomes evidentwhenwe lookattheimpact ofthe smallgroup component ofthe thirdintervention, which was a clearsuccess. Itsucceededin mobilizingalarge numberofvolunteersfromthe villages, who signedup forthe Prathamtrainingandthensetup reading classes in theirvillage: Morethan400 reading camps were heldacross55 villages. Almost 7,500 childrenenrolled (morethan 130 childrenpervillage) suggestingthatthere were enoughparents andchildrenwhowerekeento improvetheirchildren's education. The results also demonstrate thatteachingthese childrenhowto readis not animpossiblydifficulttask. In contrasttothefailure ofthe firsttwo interventions, the reading camps hadverylarge effects onlearning: afterayear, we 6 see evidence ofverysubstantialprogressforthechildrenwhoattendedthecamps. Ourinstrumentalvariablesestimate suggestthatthe averagechildwho couldnotreadanythingatbaselineandwhoattendedthecampwas 60 percentage points morelikelytodecipherletters afterayearthanacomparablechildina controlvillage.The average childwho attendedthe camp andwhocoulddecipherletters, butnotwords, inthebasehnewas 26percentagepoints morelikelyto be able to readandunderstand a storythan acomparablechildinthe controlvillages. Combinedwiththe natural progress ofchildren overthe course ofayear, these results implythat, afterayear, allthe childrenwho couldnot readatall and attendedthe campwereabletodecipherletters, and35percentofthe childrenwhocouldreadletters and attendeda camp where abletoreadandunderstanda story. Howeverit is alsonoteworthythatneitherofthefirsttwointerventions generatedthe kindofeducational volunteeringthatthethirdinterventionsosuccessfullygenerated. Villagers gotthe same informationaboutthestate of education inthevillage intreatmentstwo andthree. Whatthethirdinterventiondid differentlywastotrainthe volunteers, whichpresumablymadevolunteering more salient andgavethevolunteers some confidence inwhattheywere doing. But inprinciple, therewas nothingto stopeducatedvillagers inintervention 2villages (orforthat matter, in intervention 1villages)from reactingtothe campaignsbystartingsome classes on theirown. Indeedtheycould have askedthe Prathamfacilitatorsforhelpwithstartingthe classes. This did not happen: there was no increase inthe availabilityoftutoringclassesinintervention 1 and2villages. Thus,none oftheinterventionhadanyeffectonlarge-group strategiesfrom anyofthethreeinterventions, and thefirsttwointerventionsfailedtogeneratesmallgroupinterventions.The contrastbetweenthesefive negativeresults andthe enormous impactofthelastinterventiononcoachingandchildoutcomes, is striking. The differencebetween what happenedtothelarge groupandsmallgroupbehaviors maylieinthefactthatlargegroup mechanisms makevery different demands onthe communitythansmall group mechanisms. Thefactthatthethirdintervention got so many peopletovolunteerforread camps but almost entirelyfailedto influence involvementwiththeVECs, mightthen reflect the community's expectations aboutthe efficacyofthelarge group mechanisms—ifyou do notbelievethatthese mechanismswork,thereis no reasontoinvestinthem. We goonto arguethatthinking aboutthe different models of participatoryaction can also helpus understandthe relationbetweenthese results andthe (insome instances, much more encouraging) results fromthe otherrecentevaluations ofparticipatoryprograms (KremerandVermeersch, 2002; Olken, 2005; Banerjee and Duflo, 2006; Bjorkman-Svensson, 2006; and Duflo, Dupas, Kremer, 2007). The contrastbetweenthe impact ofthefirstandparticularlythe secondinterventiononvolunteeringandthe impact ofthethirdisperhapsless surprising,butitreinforcesthe evidencepresentedin Banerjee andDuflo (2006) showingthatmerelygivingvillagersinformation aboutthe state ofpubhcgoodsinthevillage,withoutfacilitatingtheuse ofthatinformation, maynot alwaysbeveryuseful. Whilepeopleinthevillagewere clearlypreparedtovolunteer,theydid notfeel comfortable comingforwardto dosowithoutthetrainingandencouragementfromthefacilitators (althoughwe do notknowwhetheritwastheencouragementorthetrainingthatdidit). Inthe remaining sections ofthis paperwe describethe institutional context ofparticipatoryaction, emphasizing the nature ofthe SSAmodel (section2); comparetheinterventionsthatare evaluated (section3); anddiscussthe dataand

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