Social Analysis in TransportEthiopia, February 2003

Reidar KvamLead Social Scientist, The World Bank

Part 1

Overview

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

Part 2

Involuntary Resettlement

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

Part 3

Social and Public Accountability

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!

Part 4

Social Analysis in the Project Cycle

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.

Part 5

Preparing for Fieldwork

ResearchMethodology

for Social Analysis

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