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Social Analysis in TransportEthiopia, February 2003
Reidar KvamLead Social Scientist, The World Bank
What is the development objective of transport projects?
Challenge: Bring the
people into focus
Transport projects can contribute positively not only to economic growth, but to poverty reduction and benefits for local communities.
Social analysis contributes to poverty reduction and sustainability of benefits.
Social Issues in Transport
High transport costs, in rural and urban areas, reduce people’s ability to perform more economically valuable activities
Traditional analysis of economic and financial rates of return generally favors projects with high standards of construction; but more labor-intensive technologies might do more to reduce poverty and reach poor and vulnerable groups
Different types of transport infrastructure projects have differing social impacts
Transport projects have increasingly embraced cross-cutting “thematic areas” that include social issues – in particular, identifying opportunities for poverty reduction
Social InclusionThe removal of institutional barriers and the enhancement of incentives to increase the access of diverse individuals and groups to assets and development opportunities
EmpowermentThe enhancement of the assets and capabilities of diverse individuals to engage, influence and hold accountable the institutions that affect them
SecurityThe protection from vulnerability and social risks arising out of a project, including adverse impacts such as physical or economic displacement. Vulnerability is susceptibility to conflict, violence or economic shocks.
Social Dimensions of Poverty Reduction
Issues addressed through Social Analysis
Examines the social opportunities, constraints, likely impacts, and social risks relevant to a project
Access of the poor to markets and public servicesMitigation of adverse impactsAddressing social tensions and conflictEnhancing accountability to the poor of institutionsFramework for dialogue on development priorities, and strengthening of commitment of key stakeholders
Helps identify and monitor the project’s expected social development outcomes
Core Elements of Social Analysis
Stakeholders
Participation
Social risks
Institutions,rules and behavior
Social Diversity and Gender
All societies are composed of diverse social groups that may be identified on the basis of gender, ethnicity, religion, age and culture, as well as "spatial" (geographic) and economic characteristics. These social categories are important to investigators for the simple reason that they are important to the people who use them to define themselves and their neighbors. They can form the basis for vested interests, provoke or restrain action, and determine access to opportunity.
Social Diversity and Gender
Social Diversity and Gender
Ascribed Mixed Achieved
Age Language Citizen/Migrant
Caste Native/
Immigrant
Education
Ethnicity/Race Religion Ideology
Gender Location Land-ownership
Sexual Orientation
Disability Occupation/Livelihood
Political Affiliation
Unionization
Urban/Rural
What are institutions? What are organizations?
Why do we care?
What is the range we need to look at?
How do rules, behaviors affect poverty?
How do they affect the project and its outcomes?
Are there different rules or organizational models for men and women? Different ethnic groups? Formal and traditional rules?
Institutions, Rules and Behavior
Value systems and norms that govern behavior and relationships may be very different from the formal organizational structures.Relationships count for more than formal regulations. Personal loyalties are valued more highly than formal rules.
These relationships are frequently
characterized by hierarchy and
inequality, male dominance,
patronage and informal obligations.
Institutions, Rules and Behavior
Who are the stakeholders?
Why is it important to identify them?
What makes a person a stakeholder? An organization?
What is the range for our identification of them?Where can we find them?What are the key things to know about them?
Stakeholders
Stakeholder Category
Relevant Stakeholders
Characteristics (social, location, size, organizational capability)
Interests (degree of commitment to status quo; openness to change)
Influence
(H=High,
M=Medium,
L=Low)
Government policymakers
-- Parliament and political leadership
-- Administration at different levels
--- Courts
-- Supportive of improved transport conditions, but may oppose governance measures
-- Largely supportive
-- Neutral
H
H
M
Implementing agency staff
MRPW, various departments
Intended beneficiaries
Adversely Affected Persons
Organized Interest Groups (e.g., business associations, trade unions)
Civil Society (e.g., NGOs, CBOs, religious organizations)
Donors
Other External/ Int’l stakeholders
Overall Stakeholder Analysis Matrix (SAM)
Stakeholder analysis in transport
Description of different interest groups that may live in a defined geographic area: Business owners who need transport and logistics, elite groups who are chauffeured, pedestrians, elected local officials, etc.
Which stakeholders a transport project benefits—influential ones, poor and marginalized ones, or both—is both a social and an engineering question
Stakeholders may be adversely impacted, and stakeholder interests and concerns may change over the course of a project
All of which emphasizes the need for stakeholder analysis, feedback and consultation, during both project preparation and implementation
Effective participation includes participation of beneficiaries in project design and implementation as well as participation in the opportunities created by the project.
What are the mechanisms used for consultation and participation in the project?What are the main outcomes and recommendations of the consultation process?How are these recommendations to be incorporated into the project?
Consultation and Participation
Social Risk
Risks from the projectVulnerability risks: Increase in exposure to stress or shocks
Risks to the projectCountry risks: Conflict and violence, political instability, ethnic and religious tensionPolitical economy risks: Capture of benefits, opposition or distortion of project by influential stakeholdersInstitutional risks: Poor governance, limited technical and administrative capacity, design complexityExogenous risks: Terms of trade, regional conflict, climate effects
Key questions for social analysisHow do poor people cope with risk?What actions can be taken to reduce or mitigate risk?
High R R MP K
Substantial R R MP MP
Moderate I R T T
Low I R T T
Low Moderate Substantial HighPro
bab
ilit
y o
f ri
sk
Importance of risk
Actions Arising Out of Risk Assessment
K = Killer assumption. Scratch the design and start over, because risk is unacceptably high.MP = Modify plan. Take action to anticipate likely risk by changing design or introducing complementary measures.T = Triggers. Establish measurable indicators that, upon being reached, trigger changes in design or measures to address distribution, compensation, adverse impacts, etc.R = Review and reconsiderI = Ignore
Involuntary Resettlement as aVulnerability Risk:
Principles and objectives
Minimize displacementTreat resettlement as a development programProvide affected people with opportunities for participationAssist displaced persons in their efforts to improve their incomes and standards of living, or at least to restore themAssist displaced people regardless of legality of tenurePay compensation for affected assets at replacement cost
Involuntary Resettlement:Coverage of the Policy
All project activities, including those that may not be financed by the BankActivities outside the Bank project, if they are:
Necessary to achieve project objectives,Are directly and significantly related to the Bank-assisted project, andAre carried out, or planned to be carried out, contemporaneously with the project
In addition to World Bank funded activities, the policy on involuntary resettlement applies to …
Categories of Displaced Persons
Three categories of displaced persons based on legality of tenure with respect to affected land
Those who have formal, legal rights to affected land (including customary and traditional rights recognized under the country’s laws)
Those who do not have formal legal rights but have a claim that is recognized under the laws of the country
Those who have no recognizable legal right or claim to the land they are occupying
Building blocks of support
LAND OCCUPANTS WITHOUT LEGALOWNERSHIP
LOSS OF ASSETS
NON-VULNERABLE GROUPS
VULNERABLE GROUPS
IMPACTS ON GROUPS AND COMMUNITIES
LOSS OF LIVELIHOOD
VULNERABLE GROUPS
IMPACTS ON GROUPS AND COMMUNITIES
DEVELOPMENT OPPORTUNITIES
RECOGNIZED LAND
OWNERS
LAND OCCUPANTSWITHOUT LEGAL
OWNERSHIP
LOSS OF LIVELIHOOD
Entitlements of displaced persons in different categories
Compensation paid to …Those who have legal rights on affected lands, andThose who have claims that can be regularized
Resettlement assistance provided to …Those who have no recognizable legal right or claim to affected land but who occupy the land before the “cut-off date”
No assistance provided to …Those who occupy the land after the cut-off dateLocally established cut-off dates acceptable under certain conditions
Consultation and disclosure
As a condition of project appraisal,The Borrower provides the Bank with a draft resettlement instrumentMakes it available at a place accessible to displaced persons and local NGOsThe Bank makes it available to the public through its InfoShop
Upon approval of the final resettlement instrument by the Bank,
The Borrower again makes it available at a place accessible to displaced persons and local NGOsThe Bank again makes it available to the public through the InfoShop
Agricultural encroachment
Old road to be upgraded
Corridor of ImpactCOI:
ROW
• Inside Corridor of Impact: Individual support to Project Affected Persons (PAPs)
Squatters inside ROW
Private propertyowner
• Outside Corridor of Impact: Group oriented support targeted at poor and vulnerable people
Common PropertyResources
Right of Way management
Example from Gujarat State Highways Project, India
… which include safety measures such as zebra crossings
Examples of good designs
Census and cut-off date
Registration and documentation of potentially affected population
should cover all categories, including people without legal title to land or assets
basic household demographics
registration and verification of assets
Determination of cut-off date for eligibility to support under the project
Phasing of resettlement work• Screening, census, sample survey, initial consultations, cut-off date
•Entitlement framework, consultations with stakeholders
• Detailed baseline surveywithin project impact area following final designs
• Completion of RAP
• Project appraisal and approval
• Implementation of resettlement program
• Start of civil works
Supervision, Completion and Beyond
The policy prescribes:An early review of implementation
Earlier than the mid-term review for the projectA project is not considered complete – and Bank supervision continues – until the agreed resettlement measures have been implementedA follow up socio-economic survey at project completion
To assess the extent to which the objectives of the resettlement program have been achievedBased on the baseline socioeconomic survey and periodic monitoring reports
If the assessment reveals that objectives may not be realized, the borrower should propose follow up measuresBank supervision may continue beyond project completion, if considered necessary by the Bank
Accountability is about power – about people having not just a say in official decisions but also the right to hold their rulers to account.
- Human Development Report, UNDP,2002
What is Accountability?
Accountability is the ability to call public officials, private employers, or service providers to account, requiring that they be answerable for their policies, actions and use of funds.
- Empowerment and Poverty Reduction Sourcebook,WB, 2002
What is ‘Social & Public Accountability’?
Accountability is Social – when it deals with the accountability of agents towards society as a whole, and is exacted by multiple stakeholders
Accountability is Public – when instead of being an internal process, it is transparent and in the public domain
Social and public accountability mechanisms refer to the range of methods, tools and choices to ensure greater accounting to citizens for public actions and outcomes. They involve demand side approaches to public policy reform.
Bureaucratic ActionBureaucratic Action
Political ActionPolitical Action Citizen ActionCitizen Action
3 Pillars of Social and Public Accountability
What mechanisms to promote Social and public accountability do…
…is change the way information is disseminated and used in these three
pillars
PrivateSector
A focus on local communities, social groupsand relationships:
Inclusive and pro-poor institutions based on partnership and mutual accountability
Equity in access to services and development opportunities
Civil society
Government
Macro – micro linkages
Demand – attention to distribution, access; issues of capacity and demand for governance; ability to hold institutions accountable
Supply – Policy decisions, financial management; civil service reforms; anti-corruption strategies; etc.
?
Identify, articulate interface; provide opportunity for dynamic feedback mechanisms.
• Services do not benefit the poorest
• Resources not delivering results
• Increasing resources is not the only solution
Need to improve the efficiency and effectiveness of public
expenditure
Why are these things important Why are these things important The Service Delivery ProblemThe Service Delivery Problem
WDR2004 – “Making Services Work for Poor People”
The Thinking of the WDR 2004The Thinking of the WDR 2004
Possible Roots of Problem:
Governments spend on the wrong goods and people – Budget Allocation Problem
Resources fail to reach service providers or users - Expenditure Tracking Problem
Weak incentives for effective service delivery - Problem of Monitoring/Accountability
Demand-side constraints- Problem of Participation/Awareness
Unbundling Service Delivery Unbundling Service Delivery – the WDR 2004 Approach– the WDR 2004 Approach
Policy-makers
Clients
Providers
Contract relationships Service
relationships
Voice Relationships
Need to raise Social & Public Accountability
The Nature of Empowerment
“The expansion of assets and capabilities of poor people to participate in, negotiate with, influence, control, and hold accountable institutions that affect their lives”.
Access to informationInclusion and participationAccountabilityLocal organizational capacity
Empowerment is as much about institutional reform as it is about individual benefits
The Swa-Shakti Model
Public / private partnerships: Government, NGOs, and private sectorBottom up approach: Women’s empowerment… combined with a focus on inclusion; sensitize and strengthen institutional capacity of support agencies to address women’s needsRather than providing direct financial support, the project aims to act as a catalyst, to access and leverage resources from different sources.
More sustainableAvoidance of duplicationBetter potential for partnerships, linkages – including with local elected government
In Transport Sector…In Transport Sector…
Policy Makers – Transport and
other Ministries
Clients – communities,
transport companies…
Providers – Regional Road
Authorities, Contractors
Contra
ct Voice
Service
Resource Allocation
Electio
ns/
Feedb
ack
Road construction and Maintenance
Questions for group work
Identify a maximum of four stakeholder groups (one or two is fine)What are the key services, contractual arrangements, or other relationships between these groups?What are the means of interaction between them
How do customers express needs?How do service providers learn about customer needs
What are the mechanisms of public and social accountability between them, and how can they be made better?There will be a prize for the group that acts out its answers as role play!
Social AssessmentSA = A + P + O
Analysis: identify key stakeholders,understand social issues, social risks, and key social impacts
Participation: identify needs and priorities of key stakeholders, obtain their views; enable active involvement, transparency and capacity building
Operationalization: incorporate findings of social analysis and participation through
explicit social development outcomesappropriate institutional arrangementssystems for M&E of SD outcomes
Social Assessment:Sample Terms of Reference
IntroductionBackground
Proposed project
Purpose of social analysis
Scope of workDescription of the socio-cultural, institutional, historical and political context
Social issues and desired outcomes
Strategy to achieve social development outcomes
Scope of work (cont’d)Analysis of alternatives
Recommendations for implementation arrangements
Proposed indicators
Monitoring plan
Description of tasksData collection and research methods
Reporting
Skills requirements and team composition
Schedule
Social Assessment:Sample Terms of Reference (contd.)
Social Analysis Approach in World Bank Investment Projects-- the recommended approach
Bank:
SocialAnalysis
Borrower andConsultants:
Social Assessment
PCD PAD
Design andAction Plans
Dialogue and technical assistance
Decision on whether to undertake
Social Assessment
ProjectApproval
Implementation and
monitoring of Social Development
Components
SupervisionIncluding attention
to social development issues and concerns
Social Analysis during Preparation And Appraisal, including
Mission participation
Analysis & Consultation process Undertaken by
Borrower & Consultants
SocialAnalysis in identification
Existing data:specific social analysis,or relevant content in
other studies andreports
Implementation Plan
Time frame and budget
Implementation mechanisms
Organizational capacity and commitment
Training needs
Overall coordination and linkage with other project components
Monitoring and evaluation
Contributions to policy and practice?
Practical lessons learned …
Terms of ReferenceContinuity – ongoing involvement of social development specialists
Coordination – social analysis is not an isolated set of studies, but tightly integrated with designs, implementation mechanisms, civil works
Transition mechanisms from planning to implementation
Build capacity to coordinate and manage these issues as part of the preparation process
PCD / PAD QUESTIONS
6.1 Summarize key social issues arising out of project objectives, and the project's planned social development outcomes. If the issues are still to be determined, describe current or planned efforts to do so.6.2 Participatory Approach: How will key stakeholders participate in the project?6.3 How does the project involve consultations or collaboration with NGOs or other civil society organizations?6.4 What institutional arrangements are planned to ensure the project achieves its social development outcomes?6.5 What mechanisms are proposed to monitor and measure project performance in terms of social development outcomes? If unknown at this stage, please indicate TBD.7.1 Do any of the following safeguard policies apply to the project?
What do we need to appraise?
1. Policy framework Agreement on basic principles, objectives, entitlement framework, etc. Formal endorsement by responsible authorities
2. Analysis and Documentation Census and surveys as required Analysis of social groups with a focus on risk, vulnerability and opportunity
3. Meaningful participation process Documentation of consultation process and implications for project design and
implementation mechanisms Transparency and feedback mechanisms
4. Development Action Plans Action plans integrated and coordinated with other project components Budget provision and clear responsibilities Supervision, monitoring and evaluation mechanisms established
5. Implementation Mechanisms Realism and implementability of plans Responsible institutions and agencies identified Institutional capacity and commitment
PolicyPolicy
Analysis and Analysis and DocumentationDocumentation
Meaningful Meaningful consultation and consultation and
disclosuredisclosure
Strategies andStrategies andAction plansAction plans
Implementation Implementation mechanisms; mechanisms;
institutional capacity institutional capacity and commitmentand commitment
Laws and policies are not always adequate–
… but policies are just the tip of the iceberg.
Depth versus breadth
Number of persons
studied or interviewed
Researcher requirements
Few
Many
Participant observation
Observation
Unstructured interviews
Structured interviews
Social surveys
Few researchers, high personal involvement
Many researchers, low personal involvement
Focus group discussions
Key principles ofqualitative research
Reliability: The need for careful designReduction of bias, improved trustworthiness of dataConsistency; the same questions are asked in the same way of all respondents
Validity: Asking the right questionsMeasures and indicators reflect and inform relevant issues and hypotheses
Triangulation: Studying the issue from different perspectives and data sources
Different methods and toolsCross-checking of information
Multiple indicators: Studying complex issuesThe need for multiple indicators in studying for example empowerment
Some interview principles
Go from the general to the specificBe clear and conciseInitially, use open ended questions that do not convey the expected answer to the respondentProbe and ask follow up questionsGo off the beaten track, be innovative in finding your respondentsInterview representatives of different stakeholder groupsCross-check your findings through triangulationWhen you have a clearer sense of what the issues are, you can start using more structured questionsThis can form the basis of systematic surveys later on, to test hypotheses and get a larger number of respondents, to get more reliable and representative data
Sampling techniques
Time samplingNeed to understand differences over time – seasons, days of the week, times of day, etc.
Place samplingActivities and organizations have different elements taking place in different locations
Event samplingRoutineSpecialUnexpected
Status, role and relationship samplingDifferent levels of personnel in an organizationDifferent roles
Data Collectionand Fieldwork Techniques
Collection of secondary materialKey informant interviewsDirect observation of processes and behaviorParticipant observation of processes and behaviorDiagrammingCommunity mappingProduction / livelihood diagrammingGender analysisSocio-economic surveysFull censusCommunity information and consensus-buildingProject design techniques: Needs assessment and identification of risks
Overview of methods (1)
Collection of secondary materialContent analysis of published reportsWritten records, histories, reports from NGOs, academics, missionaries, etc.Published research reports (books, articles, discussion/technical papers, etc.Available statistics
Key informant interviewsChecklist format using key informantsInformal, consensus building techniques for group discussionsFormal meetings, stakeholder consultationsLife histories of elders and knowledgeable sources
Overview of methods (2)
Direct observation of processes and behaviorOne-time, rapid appraisal with site visit (less than two weeks)
Two or more short term visits (each visit two weeks with follow-up observations
One medium term site visit (at least one month)
Participant observation of processes and behaviorObservers as part of community activities (at least one month)
Local resident as observer, using records, diaries, or other media such as tapes, films, and photographs (recording of events, feasts, meetings, etc.)
Overview of methods (3)
DiagrammingGenealogies of dominant lineages, clans, political / power relationsDecision tree diagramming of actors and decision making using specific problem situations (e.g. decision to build a health center or a road; planting trees, etc.Diagram of power structures, actors that determine allocation and use of resources, social obligations, local leadersInstitutional linkages diagrams (use of Venn diagrams)
Community mappingIndividual farm or household properties (cadastrals, plot boundaries, conservation and resource use zones)Nature and settlement zoningCommunity or village mapping with sketch mapsPhysical features such as mountains, fertile land, water resourcesPoverty mapping
Overview of methods (4)
Production / livelihood diagrammingProduction, seasonal calendar, markets
Time lines and time trends of production and consumption of resources
Production and labor / employment trends
Synchronized calendars of labor and resource cycles
Gender analysisTask analysis and role flexibility by gender
Gender needs assessment
Women’s and men’s time management and allocation
Mapping of women’s and men’s roles in production, conservation, decision making, household activities
Overview of methods (5)
Socio-economic surveysNon-random sampling of persons interviewed
Random sampling, based on lists, geographic location, etc.
Purposive sampling of populations (e.g. focus on disadvantaged populations, project beneficiaries, etc.)
Full censusEnumeration of total population (e.g. displaced persons)
Basic demographic information, listing of assets, income
Overview of methods (6)
Community information and consensus-buildingVillage management planningRanking of problems by social groupingInterest group meetingsGroup dynamics, structured discussions, role playing
Project design techniques: Needs assessment and identification of risks
Risk analysisLogical frameworkSystems diagramming and flowchartsObjectives oriented planningAppreciative InquirySWOT analysis: Strengths, Weaknesses, Opportunities, Threats
Example from Kenya:Rapid Context Assessment
Proposed new Development Objective:
“Enhanced regional and national integration and development benefiting all road users, particularly the poor, as part of Kenya's efforts to improve the northern transport corridor.”
Original Development Objective:
Rehabilitation and upgrading of Nairobi - Nakuru portion of the northern corridor
Kenya example:Social Development Outcomes (1)
Security and SafetyImproved traffic safetyReduction in violenceReduction in HIV / AIDS infection and prevalence ratesImproved security of tenure and opportunities for the landless and poor
Incomes and livelihoodsImproved assets and earnings through better markets and credit opportunities
Inclusion: Accountable institutions
Improved governance Reduced corruptionMore transparent and effective methods of collecting road levies
Kenya example:Social Development Outcomes (2)
EmpowermentEffective and meaningful participation of local communities and other key stakeholders in transport planning, implementation, monitoring and evaluation
Greater decentralization and local level decision making
Promotion and strengthening of transport associations
Capacity building of transport providers and users
Minimized risks and adverse impacts of transport projectsMinimization of physical, social or economic displacement
Where required, appropriate mitigation and support to displaced populations
Minimization of adverse impacts on the environment
Participation and consultation in projects of this nature: Dispersed population; sometimes only a few people in each community are direct stakeholders
How to ensure social development concerns influence project selection and design process
How to determine vulnerability and risk
How to combine mitigation with development opportunities for poor and vulnerable groups
How to develop institutional commitment and capacity in an environment unaccustomed to addressing these concerns
Summary: Some social issues to consider
Task: Prepare forRapid Context Assessment
Assess opportunities, constraints, likely impacts and risks arising out of the social context
Identify / re-examine intended social development outcomes of the project
Make recommendations for a project participation framework
Consider design implications and recommend relevant policy and institutional arrangements for the project
Identify indicators to monitor SD dimensions and report on the M&E plan