Process Documentation

Many projects, programmes and developmental processes document factual and measurable outcomes and compile the positive impacts of an intervention for an outside audience. By contrast, process documentation records and supports the process itself. In particular, it looks at the change process through the eyes of those involved in it, and reflects their diverging points of view. It is not about “selling” a success story, but about monitoring a process of change and development. Process documentation is more about the “how” of implementation processes than the “what” of process impact.

 Process documentation is particularly necessary in projects that have aspirations for social change. Furthermore, it values the perceptions of different stakeholders equally – for example farmers needing different quantities of water in different seasons; women in need of water for household chores; catchment or irrigation scheme managers balancing the needs of different water user groups; scientists studying water needs for crops, livestock and people.

Process documentation is not about writing a final report, but about an ongoing documentation of the process during the execution of the programme or project.

The basic aim of process documentation is to learn from implementation experience, and, in the light of this, modify the strategy and ultimately, policy of a program, project or organisation (JAIN et al. 2006).

 In particular it aims at:

• Capturing the perceptions of stakeholders (see also stakeholder analysis starting by the stakeholder identification factsheet), and the changes in these perceptions develops.
• Using this information to support reflection and learning so as to improve the process.
• Helping those looking at the process from outside to understand the changes in knowledge, attitudes and behaviours that were necessary to achieve results.

(Adapted from SCHOUTEN et al. 2007)

Insiders: The Project Team

Process documentation should be done both as part of the project and in parallel to it.

There are good reasons to put overall responsibility for process documentation into the hands of the project team, so that it becomes an integrated project activity, and so that reflection and learning become more systematic. However, it is still sensible to appoint someone to do the job of process documentation, someone who is not involved in daily project work. The documentation specialist must be able to concentrate on capturing the process, organising information, stimulating reflection and analysis, and disseminating information products. But be aware, if the specialist becomes too distant from project objectives, then the project team will not learn and adapt the project as needed.

Direct Stakeholders

In addition to the project team, also a large group of stakeholders is involved. Involving these stakeholders in process documentation stimulates opportunities for learning and reflection. When a district engineer goes to a community to interview people about planning water service delivery, they are bound to become more aware of community realities and perspectives and this triggers personal reflection.

Outsiders

Involving outsiders in process documentation has the big advantage that they can look at things from a distance. That helps them to observe the process of the project more clearly and more critically. Involving an independent documentary film maker, journalist or writer will give good results, as long as they can work in freedom. Such professionals want to look behind the well-phrased project objectives, to know what others think of the project and to read between the lines so that they can produce good information products.

Material and Resources

Adequate financial and human resources must be set aside for process documentation (capture, analysis, dissemination), and time must be allowed for reflection and discussion. Where possible, a skilled documenter (journalistic background) could be involved. Resource requirement vary, but depending on the desired output (report, flyer, video, etc), tools will probably include a video camera, still camera and sound recorder.

Process documentation is a broad area. A number of basic steps are identified here. The order of these steps may vary and should be carried out periodically during the whole project implementation so that the development of the process will be visible:

Step 1

Talk to the stakeholders and discover their perspectives (see also stakeholder analysis starting by the stakeholder identification factsheet).

Step 2

Being present at events where project objectives meet traditional beliefs, relationships and attitudes in sanitation and water management and observe interactions and frictions.

Step 3

Visit stakeholders and outsiders and give them a voice and faces by interviewing them and taking photographs or using videos.

Step 4

Study and describe the context of the initiative for change. Include background information (articles, books) and interview experts.

Step 5

Organise moments, systems and ways of working in the project to step back from daily project business to reflect and analyse on trends and patterns. These sessions should take place far enough apart for change to have occurred but not so far apart that the sense of being in a process is lost – perhaps every 3-4 months.

Step 6

Disseminate and share findings, reflections, interviews, photographs and use them to stimulate debate. Unlike the pattern in conventional projects where results are disseminated at the end, process documentation requires rapid dissemination of less finalised products.

NB: Steps 5 and 6 in particular imply commitments of time and resources.

Tools for process documentation can be divided into four broad groups. These are:

• Tools for capturing the process (e.g. field worker diaries, group discussions, interviews, photography and videos).
• Tools for organising the information (and initial dissemination); It is necessary to avoid chaos. All the information needs to be sorted (information can be summarised in articles, photo books, video bites, written portraits or case studies).
• Tools for analysing information; several tools exist, e.g. “Most Significant Change” or “Outcome Mapping” (see also Further Readings: DAVIES & DART and JONES & HEARN).
• Tools for disseminating information include channels or media for dissemination; where will the concluded information be published? Channels managed by the project staff such as internet and email or channels which could be mobilised by the project (local TV, radio, newspapers).