Social Assessment in Forestry Projects Workshop and Training Program, February 3-9, 2004 Ranchi, India Government of Jharkhand and The World Bank

Social Assessment in Forestry Projects Workshop and Training Program, February 3-9, 2004

Ranchi, India

Government of Jharkhand and The World Bank

DAY ONE

OVERVIEW ANDELEMENTS OF SOCIAL ASSESSMENT

OPENING SESSION

PROJECT OVERVIEW AND

PURPOSE OF TRAINING

ObjectivesDiscussions and joint learning on social assessment

Policy makersProject implementersFieldworkers, NGO partners, consultants, academics, leaders

The project has not yet been designed – the social assessment will contribute to improved design of the proposed project

Poverty reductionTargeting of poor and vulnerable groupsParticipation process and consensus buildingMonitoring and evaluation design

Inputs to project appraisal and decisionsThis workshop is not intended to find solutions or reach consensus on all issues… but we will take note of concerns and issues, which will then be addressed during the actual social assessment processExpectation: Identification of issues; agreement on process

Social Assessment and Project Cycle

The social assessment is an integral part of a project, not a separate study:

PreparationDesignImplementationMonitoring and Supervision

The social assessment is above all operational:Documentation of issuesSolutions and practical action plansDevelopment of institutional mechanisms and partnershipsCapacity building

The documentation from the social assessment is an essential element in appraising and approving a project

Overview of training program

Day one (Tuesday)Social assessment overview and conceptual frameworkExpectations, concerns, prioritiesSocial Diversity and GenderStakeholder mapping and analysisLogistics and practical matters

Day two (Wednesday)Official inaugurationCase study on stakeholder analysisEmpowerment and social accountability

Day three (Thursday)Risk analysisSafeguardsCapacity, governance, political economyDissent and consensus building

Overview of training programDay four (Friday)

Project cycleConsultation and participation and consultationsMethods and toolsPreparation for fieldwork

Day five (Saturday): full day fieldworkDay six (Sunday)

Analysis and presentation of fieldwork dataFeedbackPriorities and follow upEvaluation

Day seven (Monday)Discussion of pilotsParticipation frameworkSummary and next stepsDiploma ceremony and closing remarksDinner hosted by Government of Jharkhand

Tight program!

We have a lot to cover …… and many people who have thoughts and ideasso PLEASE:

STICK TO THE TIME FRAME GIVEN!KEEP YOUR INTERVENTIONS SHORT AND FOCUSED!

Identifying problems is good …… identifying solutions is even better!

ALLOW “AIR TIME” TO AS MANY AS POSSIBLE!

INTRODUCTION TO SOCIAL ASSESSMENT

A development project in the forestry sector should contribute positively not only to sustainable resource management, but to poverty reduction and benefits for local communities.

The social assessment is intended to improve design, involve concerned stakeholders, and strengthen sustainability of benefits

Social Issues in the Forestry Sector

How best to balance natural resource management with poverty reduction and improved livelihoods?How to enhance livelihood opportunities, through forest produce and other means?Tribal groups; access and encroachmentsLack of consensus among concerned stakeholders; opposition from advocacy groupsLimited physical and organizational infrastructure for making schemes and services work well for the poorWeak traditions and capacity among communities for participatory forestry management… and other issues, which the workshop participants will explore

“A social development approach begins with the perspectives and realities of poor and marginalized individuals and groups. Unless the poor and marginalized feel that development interventions genuinely improves their lives, and that its efforts empower them, those efforts will not be sustained.”

From The World Bank’s Social Development Strategy

OBJECTIVES:

Inclusive societies, which operate so that institutions, policies, social norms and behaviors promote equal access to opportunities. Cohesive societies, which are willing and able to work together to

address common needs and overcome constraints and diverse interests. Accountable institutions, which are transparent and serve the public

interest in and effective, efficient and fair way, being responsive to people’s needs.

Social Dimensions of Development

Issues addressed through Social Assessment

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

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 Diversity and Gender (understanding

the socio-cultural, political and historical

context)

Institutions, Rules and Behavior (institutional

analysis)

Stakeholders (stakeholder analysis)

Participation (both a process and an outcome)

Social Risks (risk analysis)

Core Elements of Social Assessment

Social Assessment in Development Projects:Translation of a complex context to concrete actions

Afro-descendants

Security

Thick description

Local institutions

Ethnicity

Discrimination

MobilityInformal institutions

Activities Rs Resp. Ind.

Tribe

Age

Description of socio-cultural, institutional and political context

Expected social development outcomes and objectives

Strategy to arrive at the desired outcomes

Analysis of alternatives

Recommendations for implementation

Indicators and benchmarks

Monitoring and evaluation plan

Social Assessment

Social exclusion

Indigenous peoplesInequality

ParticipationGovernancePolitical economy

Gender

DisplacementCivil society

Community driven developmentReligion

Social policyVulnerability

Accountability MigrationSocial capital

Culture

YouthViolenceConflict

Power

ClientelismKinship

Empowerment

ELEMENTS OF SOCIAL ASSESSMENT

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

Tribal Groups in Jharkhand

What are the characteristics of tribal groups?

How do they relate to non-tribals?

How do they traditionally use forest resources?

How are land rights and access to resources organized?

How do they organize themselves locally?Who makes decisions?

How are different groups represented?

Gender Issues

“Gender” refers to socially constructed differences between men and women.Different from “sex”, which refers to biological differences.Gender differences are apparent in:

social and economic activitiesaccess to resourcesdecision-making authority

Gender roles are not fixed, but vary from culture to culture, and within society over time

Social, economic and technological changeIncreased poverty and migrationFeminization of poverty?

The World Bank seeks to reduce gender disparities and enhance women’s participation in economic development.

Women in India: Development gaps

Work undervalued and unrecognized

Earn lower wages than men for doing the same work

Under-represented in governance and decision-making

Legally discriminated against in land and property rights

Face violence inside and outside families

Gender Analysis

What are the development needs of men and women?Activities

Who carries out what tasks in the household?What is the gender division of labor?

Resources and constraintsWho has access to and control of productive resources?Who controls production and income?Who makes decisions?

Access and opportunityHow do extension services and other benefits differ between men and women?What are the appropriate types of intervention?What needs and opportunities exist for increasing women’s access to and control of benefits?How can we monitor activities and results from a gender perspective?

WORKSHOP EXPECTATIONS

Workshop Expectations

What do you hope to get out of the workshop?Priorities

Ideas and suggestions

What to avoid

Other things you think are important

Write one idea only on each card

Hand in before you go to lunch

LOGISTICS AND PRACTICAL INFORMATION

STAKEHOLDER MAPPING AND ANALYSIS

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 Analysis 1:Groups Affected by the Project

(example from transport projects)

Winners: BeneficiariesTravelers and passengersTransport owners, drivers and operatorsTraders and roadside vendorsPedestrians and non motorized transportPeople obtaining work in construction and maintenanceCommercial Sex WorkersThe elderly, youth and children

Losers: Adversely affected groupsDisplaced populationsCorrupt functionaries, police, contractorsMaintenance workers and governments staff working on the road

Stakeholder Analysis 2:Groups who can Affect Project Outcomes

NGOs and Civil SocietyCBOs

Development NGOs

Government AgenciesAdministration and bureaucracy

Political Leadership

Private sectorTraders

Consultants and contractors

Transport operators

Donor community

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: Group Work

Who are the key stakeholders in the proposed project?Winners: beneficiaries

Losers: Those adversely affected, or who see their interests threatened

Indirectly involved groups

Others who may influence or impact the project’s outcomes

What are their interests, or stakes, in the project?

What is the level of their influence?Official: formal authority

Unofficial: informal power or influence

DAY TWO

ELEMENTS OF SOCIAL ASSESSMENT

PRIORITIZING AND WORKING TOGETHER

CASE STUDY:STAKEHOLDER ANALYSIS

Core elements of Social AnalysisHow they interact?

Case study

Land Reform

Current system94% of the land is under customary tenure- Distributed by the traditional Chiefs.6% of the land is under state title (only 3% for commercial agriculture).- The Ministry of land provides policy guidelines to the

district, municipal and city councils act on its behalf. - The Ministry of Agriculture is responsible for identifying,

planning, demarcating and recommending land for agriculture.

Problems: inequity, inefficiency, under-use

Land Reform proposalbasic assertions/ assumptions

Inequity is inherent in the customary system Land needs to be put under state custody and titled Insecurity is embedded in the customary system Land needs to be put under state custody and titledLand lies idle Rents need to be adjusted and revenue collection improved Land needs to be put under state custody and titledTo address land inequalities 30% of land should be allocated to women, ethnic minorities and vulnerable groups Land needs to be put under state custody and titled

Government and State agencies

The President

Ministry of Land

Lands Tribunal

The Judiciary

Office of the Vice-President

Ministry of Legal Affair

Ministry of Local Government and Housing

The City, Municipal and District Councils

Ministry of Agriculture and Cooperatives

Ministry of Works and Supply

Ministry of Commerce, Trade and Industry

Ministry of Tourism, Environment and Natural Resources

Ministry of Finance

Parliament

The Police Force/ Ministry of the Interior

Private Sector

Commercial farmers

Small scale farmers

Surveyors

Lawyers

Foreign Investors

Commercial Banks

Donors

USAID

WB/IMF

DFID, GTZ, EU

Civil Society

The Chiefs

Landless

Herders

FHHs, CHHs

Minority Ethnic Groups

National Farmers Union (NFU)

Local NGOs

International NGOs

Media

Key stakeholders

1

3

6

2

4

5

7

8

16

18

20

17

19

22

23

24

21

25

27

26

28

29

9

11

13

10

13

12

14

15

30

32

31

33

Effect of proposed reform

Influ

ence

over

deci

sions

Benefit / Support Harm/ Oppose

Hig

h

Low

Neutral

17

How do they relate to each other and to the reform?

Assessment findings

Inequities: gender, ethnicity, late arrivals;All land tenure is somewhat insecure:

State Land: corruption, lack of cadastre and registrar, government right of re-entry, slow courts, bureaucratic bottlenecksCustomary Land: different traditions, different examples

! Dispute resolution mechanisms are not functioning

Idle land: safety-net for urban migrants, labor constraints; lack of inputs, irrigation, tools; lack of infrastructure;Productivity is constrained by sickness, insufficient inputs, lack of tools and infrastructure;Credit is available where it is economic, e.g. cash crops; An informal land market exists;

Parliament will not be in consensus;No cadastre or registrar;Only 24 private and 15 state surveyors;Title can take years (in one case- since 1976);

Perceived high levels of corruption – lack functioning accountability system;The Land Tribunal ends in the capital;A court case might take 10 years;Very low capacity at the district and local authority level;The Chiefs- the only law and order mechanismEroding their power vacuum.

Institutional analysis


Influ

ence

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sions


Hig

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Low

Neutral

17


18

25


Influ

ence

over

imple

menta

tion


Hig

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Low

Neutral

17


18

25

Impacts

Land is less of a predictor of poverty than other factors, e.g. physical isolation and non-ag incomes;Allocation of more land to smallholders without addressing labor constraints will have no impact on agricultural production;Land away from infrastructure has no value, with or without title;Credit is available where profitable, regardless of title;Formal land market will not solve the labor constraint; non-cash economy; lack of information and demand;Where land equals food security it is not a tradable good;Insecure title cannot be traded; Land under dispute/conflict cannot be used/ traded;Title means costs;

Winners/losersSupport/opposition

The Chiefs will lose power = oppose reform;Government agents/agencies win power and resources;Many households might lose access to common resources;Women claiming new rights could be in danger, if unprotected;New rents/ fees/ titles mean new expenses- support/ gain/loss depends on affordability; Access to information on prices and procedures, agencies and dispute mechanisms would be key– who would have it?


Influ

ence

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sions


Hig

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Low

Neutral

17


18

25

26


Influ

ence

over

imple

menta

tion


Hig

h

Low

Neutral

17


18

25

26


Influ

ence

over

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sions


Hig

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Low

Neutral

The Land Reform as Suggested

1

1162

45

87

1710

9

3

12

13

14

1516

17

18

19

20

21 22

23

24

25

26

27

2829

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Infl

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Benefit / Support

Harm/ Oppose

Hig

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Lo

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The Land Reform as Suggested

1

11

6

24

5

8

5

7

17

10

93

12

13

14

15

16

17

1819

20

21

22

23

24

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2627

282930

31

3233


Infl

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Benefit / SupportHarm/ Oppose

Hig

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Lo

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Mixed reform: Legislative changes and measures to improve security and access and recognize the traditional leasehold as marketable

1

116

24

5

87

1710

9

3

12

13

14

1516

17

18

19

20

21 22

23

24

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2627

2829

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Influ

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tion


Hig

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Low

Mixed reform

1

11

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5

87

17

10

93

12

13

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2021

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313233

EMPOWERMENT ANDSOCIAL ACCOUNTABILITY

The Service Delivery Problem

Services do not reach the poorestResources do not deliver the expected resultsVarious schemes and programs are poorly coordinated, with duplication of efforts and wastage of resourcesIncreasing resources may not solve the problemsThere is a need to improve the efficiency and effectiveness of public expenditures

Improved budget allocationsBetter expenditure trackingImproved monitoring and accountability mechanismsIncreased participation and awarenessAccess to information

India has done well in terms of providing basic access to services, but less well in ensuring quality, reliability, and effectiveness:

Unbundling Service Delivery – the WDR 2004 Approach

Policy-makers

Clients

Providers

Contract relationships Service

relationships

Voice Relationships

Need to raise Social & 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.

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.

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

FORMAL INAUGURATION

Questions for group work

Based on the stakeholder analysis, choose two important stakeholder groups who have a relationship (e.g. based on citizens’ voice; service delivery; bureaucratic functionsWhat are the key services, contractual arrangements, or other relationships between them? What are the rights and responsibilities of each?What are the means of interaction between them

How are needs and opinions expressed?How are needs and opinions of clients or customers taken into account?

What are the mechanisms of public and social accountability between them, and how can they be made better?Note: Presentations back to the plenary will be in the form of role play!

DAY THREE

RISKS ANDCONSENSUS

BUILDING

Social Transformation:Participation, Empowerment and Security

Centralized, top-down decisionmaking

Decentralized, participatorydecision-making

Male dominated Gender equity

Passive recipients of welfare ormitigation

Active involvement inplanning and implementation

Patronage and clientelism:Discretionary favors from thepowerful and informalobligations

Formal legal rights for allcitizens, with attendantresponsibilities

Vulnerability and lack of trust Security and social capital

Corruption and lack ofaccountability

Transparency, mutualaccountability, and goodgovernance

Objectives of Risk Analysis

Assess what can go wrongAdverse impacts caused by the project

Risks to the project

Consider alternatives

Design mitigation and risk management measures

Based on this, decide whether the project is still justified

Social Risk

Risks from the projectVulnerability risks: Increase in exposure to stress or shocks

Risks to the projectState level 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 analysisWho are the winners and who are the losers?How do poor people cope with risk?What actions can be taken to reduce or mitigate risk?

Example of risk:From Yesterday’s Case Study

Major risks to the reform Conflict HIV/AIDS Elite capture Corruption Climatic

Major risks from the reform Increased inequality Increased poverty Increased vulnerability

To sum up

Too many expectations on a too fragile ground on an un-paved road

Importance of risk

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ty o

f ri

sk Hig

h

Low

17

How important is it?

High

Importance of risk

Pro

babili

ty o

f ri

sk Hig

h

Low

How important is it?

High

K

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

Risks Caused by the Project:Vulnerability and Social Safeguards

Social Safeguard Policies

OP 4.12 Involuntary Resettlement

OD 4.20 Indigenous Peoples

Indigenous Peoples

Objectives:Are afforded respect for their cultural uniqueness in the development processDo not suffer adverse impactsReceive culturally compatible social and economic benefits

Triggers:Do indigenous peoples live in the project areaAre they project beneficiariesCould the project adversely affect them

Problem issuesIdentification of indigenous peoplesAdequacy of consultations“Prior, informed consent”?Incorporating IP issues in project design

Definition of Indigenous Peoples:Process approach, early screening, stakeholder analysis

No single universal definition for the term “indigenous peoples”Different terminology used in different parts of the world

Indigenous ethnicminoritiesTribal groupsScheduled tribes

Groups with a social and cultural identity that:

Is distinct from dominant groupsMakes them vulnerable to being disadvantaged in the developmentprocess

Identification Criteria

Close attachment to ancestral territories and natural resources Presence of customary social and political institutionsIndigenous language, often different from the national language

Self-identification as members of a distinct cultural group

Involuntary Resettlement

Objectives:Minimize displacement

Treat resettlement as a development program

Provide affected people with opportunities for participation

Assist displaced persons in their efforts to improve their incomes and standards of living, or at least to restore them

Assist displaced people regardless of legality of tenure

Pay compensation for affected assets at replacement cost

Triggers:Involuntary taking of land

Restriction of access to parks and protected areas

How land acquisition started …

Cartoon by Chris Madden

DirectImpactArea

Agricultural encroachment

Publicland

(road,forest)

Squatters and encroachers

Private propertyowner

• Minimize impact area• Ensure community participation• Provide assistance or compensation to displaced groups

Common PropertyResources

Displacement and impact area

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 …

How is the World Bank’s policy different?

Compensation at full replacement value

The need to compensate or assist people losing livelihoods

Legal title not required in all cases

Timeliness – no displacement before compensation has taken place

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

LOSS OF ASSETS

NON-VULNERABLE GROUPS VULNERABLE GROUPS

IMPACTS ON GROUPS AND COMMUNITIES

DEVELOPMENT OPPORTUNITIES

RECOGNIZED LAND

OWNERS

LAND OCCUPANTSWITHOUT LEGAL

OWNERSHIP

LOSS OF LIVELIHOOD

Involuntary Resettlement:Key Principles in Forestry

Largely community impacts

Focus on restriction of access

Avoid direct displacement where possible

Consider wider impactsAccess roads

Schools

Health services

Identify unit of impact, consultation, benefitsHouseholds

Community

Identify and document livelihood opportunities

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 Disclosurein Resettlement Situations

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

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

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

Cultural Property

Objectives:Physical cultural resources are identified and protected in World Bank projectsNational laws governing the protection of physical cultural property are complied with

Triggers:The policy applies to all projects where cultural property issues are identified, for example through the EA process

Problem areas:Identification of subterranean cultural propertyImpact of chance finds on construction

Other Risks Caused by Projects

Privatization or public sector reformRetrenchmentPolitical opposition

Spread of diseaseHIV/AIDS; e.g. in transport projects

Increased local conflictCompetition for resourcesAbuses by vested interests or powerful groupsElite capture and unequal access to benefits

Bureaucratization and centralized controlLack of recognition of informal sectorIncrease in taxes or rent-seeking

Increased vulnerability to natural disastersErosion and loss of forest coverChanges in cultivation or cropping patterns

RISKS TO THE PROJECT

Social Risk

Risks from the projectVulnerability risks: Increase in exposure to stress or shocks

Risks to the projectState level 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 analysisWho are the winners and who are the losers?How do poor people cope with risk?What actions can be taken to reduce or mitigate risk?

CASE STUDY:RISKS RELATED TO

POWER SECTOR REFORM

Issue Analysis

Will the project affect social and economic cleavages?Will the project create or increase different social opportunities among groups?Will the project affect power and social structures?Will the project cause or increase tensions between tribal and other groups?Will the project affect authority and decision making in governance, access to services or opportunities, or control of natural resources?

Group workRisk Assessment: Key Issues

Understand the political topography in the state and the sector

Identify likely impacts of project on state and sector

Develop suggestions to move forwardRisk assessment of select issues

How can we avoid or minimize the risks?

How do we monitor the risks during implementation, and take the appropriate action?

Who will be responsible for doing what?

DAY FOUR

METHODOLOGY ANDFIELDWORK PREPARATION

FEEDBACK SESSIONFROM GROUPS:

RISKS AND HOW TO DEAL WITH THEM

STAKEHOLDER PRIORITIESAND CONCERNS

Group workStakeholders’ concerns

During the tea break, discuss with others from your own stakeholder group

Community Based Organizations (incl. tribal groups)NGOsAcademicsForest guards and rangersSenior Forestry Department officersWorld BankOthers

What are your group’s views on the proposed project?What are the main results you would like to see?What are the risks or concerns from your perspective?How do you expect to contribute?

METHODS AND TOOLS

ResearchMethodology

for Social Analysis

Stage I:Rapid Context Assessment

Problem analysis

Stakeholder analysis

Participation and consultation framework

Communication strategy

Risk analysis

Gap analysis

Revised plan for remainder of preparation phase

Stage II:Detailed Design Phase

Data collection (both primary and secondary sources)Ongoing consultations and participation of key stakeholdersAnalysis and action plans

Guidelines for formation of groupsPartnerships, responsibilities; agencies involvedMitigation plans where requiredOther documentation, outputs as required

Establish implementation mechanismsBaseline data and benchmarksEstablish Monitoring & Evaluation systems to provide documentation, learning, and flexibility

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

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

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

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


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.)


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


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


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


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

CentralGovernment

StateGovernment

LocalGovernment

Public

Process mapping: flows

Money Decisions

Information

CentralGovernment

StateGovernment

LocalGovernment

Public

?

PREPARING FOR FIELDWORK

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

CONSULTATION AND PARTICIPATION

Participation: Different levels

1. NoneDecisions are taken, people are not informed

2. Information sharingOne-way communication: people are told about what is going to happen

3. ConsultationTwo-way communication: people’s views are listened to, but not necessarily taken into consideration

4. ParticipationPeople participate in different ways, and their views are taken into consideration

5. EmpowermentDecision-making authority is transferred or shared

Effective participation includes participation of beneficiaries and other stakeholders 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?

Is consensus possible or necessary?

If not, how are decisions reached?

How are recommendations and decisions to be incorporated into the project?

Consultation and Participation

Participation, Consultation andLearning Framework

Ongoing process; includes participatory monitoring and evaluations

Community meetings

Workshops and seminars

Key informants

Focus groups

Awareness campaigns

Training and capacity building

Use of expert knowledge and studies

Communication strategy

Policy debate and advocacy

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 informantsInterview 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

Fieldwork: Rapid Context Assessment

DO NOT present this as a project to come, but focus on learning about the situation, based on the framework and issues we have discussed!Assess opportunities, constraints, likely impacts and risks arising out of the social contextIdentify / re-examine intended social development outcomes of the projectConsider design implications and recommend relevant policy and institutional arrangements for the projectIdentify indicators to monitor SD dimensions and report on the M&E planMake recommendations for a project participation frameworkMake recommendations for pilots and proposed approaches

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

FIELDWORK:

LOGISTICS

Field visits

Group 1- SADMA (30 km)Group 2- DUNDUN (23km)Group 3- RAMDAGA (32 km)Group 4- KUCHU PAHAN TOLI (52km)Group 5- SEMRA (23km)Group 6- TILAKSUTI (23km)Group 7- CHAND (20km)Group 8 - SILADON (20km)

Starting 8:30From Ashoka Hotel

Transport, lunch boxes will be providede

DAY FIVE

FIELDWORK

DAY SIX

ANALYSIS AND PRESENTATIONS

Fieldwork: Rapid Context Assessment

What did you find during the fieldwork, based on the key social issues of

Social diversity and genderOrganizational and institutional structuresStakeholders and participation processesPotential risks and how to avoid or mitigate them

Make recommendations for a project participation frameworkMake recommendations for pilots and proposed approaches

Based on communities’ needs; potential for a participatory forest management project

Suggest priorities and next steps

DAY SEVEN

THE WAY AHEAD

PROJECT CYCLE

Project Cycle and Social Assessment

Bank:

SocialAnalysis

Social Assessment

PCN 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

World Bank appraisal:Decision document

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 makes a good project plan?

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

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

Risks, mitigation, and risk management measures

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.)

Effective participation includes participation of beneficiaries and other stakeholders 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?

Is consensus possible or necessary?

If not, how are decisions reached?

How are recommendations and decisions to be incorporated into the project?

Consultation and Participation

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?

Decision making and enhancement of social and environmental benefits

100%

High score overall

Low score overall

0% 100%

High environmental,low social score

High social,low environmental score

Benefits to the

environment

Benefits to people

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.

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

Next steps

How will the people who have participated in this workshop be involved?

Further consultations?Act as facilitator for consultations with broader groups?Involvement in studies?Action planning?Implementation of pilots?Future assistance in monitoring?

Documents

Social Assessment in Forestry Projects Workshop and Training Program, February 3-9, 2004 Ranchi, India Government of Jharkhand and The World Bank