Social Analysis in PSIA

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Social Analysis in PSIA

• Renate Kirsch
• Nairobi, December 2006

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TIPS SourcebookA framework for Social Analysis
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Social Analysis in PSIA

• Institutional the rules of the game that
  people develop to govern group behavior and
  interaction in political, economic and social
  spheres of life
• Political the structure of power relations and
  often-entrenched interests of different
  stakeholders
• Social the social relationships that govern
  interaction at different organizational levels,
  including households, communities and social
  groups.
• ? Important to signal that reforms
• are manifested through institutional mechanisms
• have important political economy dimensions
• have differential impacts on different social
  groups

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What is the value added of social analysis in
PSIA?

• Explains how social identity and social relations
  may affect reform outcomes and impacts (ethnic
  minorities in Laos)
• Analysis of informal rules and behaviors helps to
  understand implementation issues and constraints
  (Tanzania Crop Board)
• Focus on Analysis of interests and influence of
  different stakeholders helps to understand
  effects of political economy (Indonesia Imported
  Rice Tariff Pricing)
• Helps to identify socio-political and
  institutional risks (Zambia land reform)
• Emphasis on PSIA process and dialogue helps to
  identify bottlenecks and preconditions for
  ownership of reforms

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What are institutions?

• Organizations as well as Rules of the Game
• may be formal ( legal systems, property rights,
  enforcement mechanisms) or
• informal, (cultural practices and social norms)
• Institutions operate and influence behavior in
  different domains of daily life
• the state domain (governing justice, political
  processes and service delivery),
• the market domain (governing credit, labor and
  goods) and
• the societal domain (governing community and
  family behavior).

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TIPS SourcebookA framework for Social Analysis
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Macro Level

• StakeholderAnalysis Matrices
• Political Mapping
• Network Analysis
• TransactionCost Analysis
• The RAPID Framework

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1. Macro level social analysisUnderstanding
country context

• What is the significance of
• Historical context
• Political-ideological climate
• Political-institutional culture
• Economic and social make-up

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Country Social Analysis (CSA)

• upstream, political economy analysis that seeks
  to inform policy dialogue and to improve the
  effectiveness and sustainability of development
  interventions
• provide recommendations for the removal of
  barriers to equal opportunities for participating
  in development, accessing public institutions and
  holding them accountable,
• The CSA framework analyzes the interaction
  between two dimensions
• Social diversity, assets, and livelihoods
• What is the existing distribution of and access
  to assets and services across different social
  groups? What is the impact of that distribution
  in the livelihoods and coping strategies of the
  poor?
• Power, institutions, and governance
• What are the institutions that mediate access of
  the poor to assets and services? How do these
  institutions impact policy making and resource
  reallocation ?

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Country Social Analysis Yemen

• Three objectives
• Factors that contributed to inclusion/exclusion
  of specific socioeconomic groups,
• The processes that enhanced or weakened cohesion
  within and among groups,
• The means by which people could hold institutions
  accountable.
• Pursued through an Analysis of Livelihoods
• Change of livelihood pattern in secondary towns
  and how this affects access to assets and
  services of different social groups.
• Livelihood strategies in rural areas. Most
  poverty is in rural areas with farming
  predominant livelihood, rural peoples access to
  assets, institutions
• Analysis of the alignment of government policies
  and investments with peoples strategies..

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Country Social Analysis Yemen, Findings

• Inequality is increasingly becoming an issue in
  Yemen. Youth, women and rural people are becoming
  marginalized from the economy as traditional
  livelihood systems decline but are not replaced
  with new opportunities
• Insufficient integration of modern and customary
  norms is rapidly changing the rules for managing
  communal resources such as land and water. This
  is resulting in the concentration of productive
  land in the hands of a small number of powerful
  families, while the poor have diminishing access
  to either rural or urban land
• Poverty, inequality and patronage also threaten
  social cohesion in Yemen. Current systems of
  social solidarity at the household and communal
  levels are stressed as a result of deepening
  poverty.

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Country Social AnalysisYemen, Findings II

• There are also new opportunities for
  socioeconomic inclusion. Social mobility in Yemen
  used to be based on social status, now the cash
  economy and state education provide are means for
  social advancement of historically marginalized
  groups

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Macro Level

• StakeholderAnalysis Matrices
• Political Mapping
• Network Analysis
• TransactionCost Analysis
• The RAPID Framework

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1. Macro Level Social AnalysisUnderstanding
policy reform context

• Policy reform is highly political and not a
  technical exercise. If political-economic and
  social context of the reform is not understood,
  danger that the designed is a one-size-fits-all-s
  olution ignoring country specific factors that
  can be crucial for the success or failure of
  reform.
• Macro-level stakeholder analysis Understanding
  the interests of political actors, economic or
  social influential groups and the incentives
  under which they operate
• Questions Who are the stakeholders? What is
  their position with respect to policy change?
  What motivates them? Who opposes? What is the
  danger of elite capture?
• Difficulty here Interests change over time
• Macro-level institutional analysis
• Questions What are the institutional rules and
  relationships that influence policy reform? What
  is the capacity of the institutions to implement
  the reform?

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Political Mapping
What is it? Political Mapping is a tool for organizing information about the political landscape in an illustrative way. Political mapping provides analysis of political alliances at the macro (national or sector) level. The tool can provide an entry-point to a more in-depth analysis of the political economy.
What can it be used for? Political mapping identifies the most important political actors and spatially illustrates their relationships to one another with respect to policy design and delivery. Provide a graphic representation of the political viability of a regime Offer clues about the vulnerabilities of the regime Detect the existence of opposing alliances and potential support coalitions Give an indication of the level of authority possessed by the regime Help indicate implementation capacity of various actors Detect new directions in policy
What does it tell you? The tool can illustrate the distribution and nature of support or opposition to government with respect to a given reform.

Key elements For purposes of making sense of a complex political landscape, a political map simplifies the real world into two dimensions horizontal and vertical, with the actors on the vertical axis and the degree of their support for the government on the horizontal axis. Since the government is the primary focus of decision-making regarding how the benefits to society will be distributed, it is always placed at the centre of the map
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Political mapping Import tariff on Rice

• Two opposing arguments
• Higher Rice Tariff for imported rice higher
  incomes for farmers and rural workers
  (protectionist producer focus)
• Abolish/Reduce Rice Tariff poor people are net
  rice consumers not producers and suffer economic
  hardship with higher prices (poverty consumer
  focus)

Opposition sectors Opposition sectors Support sectors Support sectors Support sectors
External actors International NGOs World Bank, IMF, WTO
Sector position Anti-system Legal opposition Ideological support Core support Ideological support
Social sectors Small farmers in Region X Urban consumers
Political actors Opposition socialist party Opposition Neoliberal party
Pressure groups Farmworker federation
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Meso Level
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2. Meso Level Social Analysis Understanding the
policy implementation process

• Analysis of the process of implementation allows
  us to explore how, why and under what conditions
  a policy intervention might work, or fail
• Understand the rules and incentives that govern
  stakeholder behaviour and institutional
  relationships during the implementation of policy
  reform.
• Puts us in a better position to predict or
  explain how policies can change and sometimes
  distort the expected impact of policy reform.

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2. Meso Level Social AnalysisStakeholders and
Institutions

• Meso-level Stakeholder Analysis
• Objective To test assumptions about the
  interests of social actors.
• Meso-level Institutional analysis
• Objective To test assumptions about the social
  rules governing the implementation of policy

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Stakeholder Analysis
What is it? Stakeholder Analysis is a systematic methodology that uses qualitative data to determine the interests and influence of different groups in relation to a reform.
What can it be used for? While stakeholder analysis can be carried out for any type of reform, it is particularly amenable to structural and sectoral reforms. Basic stakeholder analysis should precede reform design and should be consistently deepened as reform elements are finalized. Stakeholder analysis is also critical for informing an end-of-exercise assessment of the risks to policy reform.
What does it tell you? Once different types of stakeholder have been identified and listed, matrices and other illustrative devices can be developed that map (i) the nature of their interest in policy reform (whether positive or negative) (ii) the extent to which stakeholder interests converge or overlap (iii) their importance to the reform (iii) their influence over the reform onto four quadrants.
Key elements Stakeholder Analysis is iterative and usually proceeds through the following sources of data to reach final conclusions (i) background information on constraints to effective government policy making (ii) key informant interviews and group workshops that identify specific stakeholders relevant to the sustainability of policy reform. When working with groups, Participants should be drawn from diverse groups of interest in order to limit bias (iii) verification of assumptions about stakeholder influence and interest through survey work and quantitative analysis of secondary data.
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Legend
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Stakeholders Analysis Ghana Electricity Tariffs
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Organisational Mapping
What is it? A visual illustration that combines mapping and tracing techniques to illustrate and analyse the flows of resources, information and decision making.
What can it be used for? Following the path of services, products, money, decisions and information in the implementation of policy reform Communicating process-related ideas, information and data in an effective visual form. Identifying actual or ideal paths, revealing problem areas of risk and potential solutions. Showing intricate connections and sequences clearly. Aids in critical communication, problem-solving and decision-making processes. Permits immediate identification of any element of a process.
What does it tell you? What activities are completed, by whom, in what sequence. Hand-offs between departments or individuals. Internal and external operational boundaries. Helps identify areas where a process can be improved.
Key elements Organisational mapping involves three analytical steps that can be used sequentially or independently static (institutional) mapping, process tracing and process mapping.
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Institutional AnalysisAnalytical sequencing in
organizational mapping
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Institutional Analysis Static and Process
MappingCotton Chad Decrease in quality?
White as snow but always downgraded!
Accord dOuverture
Producers
He travels with the cotton and with bribes,
in case cotton has been downgraded
Interface
CT resp. for quality of cotton after signing of
Accord in theory
Marche Autogere
Convoyer
Transporters
CotonChad Ginnery
Commission de Classement
Biased balance of power
Technical Transformation and Production
Duala
97 first class cotton
-Japan -France -Europe
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Micro Level

• Vulnerability Assessment
• Gender Analysis
• Livelihoods Analysis
• Empowerment Analysis

Analytical Frameworks for Impact Evaluation
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Micro Level Social Analysis

• Apply Analytical Frameworks for Impact Evaluation
• Livelihoods Framework Analysis
• Gender Analysis
• Vulnerability Assessment
• Use qualitative and quantitative methods for data
  collection
• Key informant Interviews, Focus Group Discussion
• Community Level Household Questionnaire
• Household Economy Approach
• Consultative Impact Monitoring
• Consumer Assessment
• PPA, RRA,

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Consumer Assessment
What is it? A mixed-method tool that (i) spatially maps social indicators, indicators of access, quality of service, formal and informal prices of services, and socio-economic data (ii) combines this with information on willingness and ability to pay, and on consumer preferences from both qualitative and quantitative field research and (iii) for certain sectors (utilities) inputs this data into financial models of the utility in an interactive manner to inform policy choices.
What can it be used for? Data generated by consumer assessment can be used to understand how prices are transmitted (or not) from the formal to the informal sector, and to analyzes qualitative factors in price levels (social capital, neighborhood type, informal networks) in order to determine the distributional impact of tariff changes, or changes in service provision such as privatization of utilities. It can also inform the indicators of performance included in private management contracts so that they respond more closely to consumer priorities. Most useful for policy changes involving urban areas such as utility reform.
What does it tell you? The consumer assessment method has been used in several African countries (Mozambique, Lesotho, Zambia, Angola among others) to help inform policies related to the introduction of the private sector in the water and electricity services, and in setting and structuring socially and economically sustainable tariff policies for these services. It is useful in the African context, for services such as water, where formal services may reach only a minority of the urban population, and where actual tariff increases may depend on both the institutions that put them in place, and the informal methods for setting prices in the "secondary" market for water.
Key elements Spatially mapping social characteristics, with price and access willingness and ability to pay surveys in-depth qualitative research through observation and focus groups.
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What determines the choice of analytical focus
and methods?

• Nature of impacts (direct and indirect)
• Channel through which impacts are transmitted
• Data, resources, client capacity and time
• Remember You can not skip a level !!!!!
• However, the emphasis to each levels varies
  considerably according to case context
• Most information will be obtained via literature
  review and existing analyses

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Mixed method approach

• Combining Social and Economic Analysis
• Bringing a social, economic and sectoral lens to
  the research questions
• Combining quantitative and qualitative methods
• Assess research questions with different methods
  and tools

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Analytical focus vs type of data and analysis
Qualitative analysis
Quantitative analysis
Socio-cultural basis of social exclusion Access to assets and services differentiated by gender or ethnicity
Institutional economics Impact of removal of agricultural subsidies on production
Social
Economic
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Qualitative and quantitative dimensions of poverty and social impact analysis Qualitative and quantitative dimensions of poverty and social impact analysis
More qualitative research ltltltltltltltlt gtgtgtgtgtgtgtgtgtgtMore quantitative research
Non-numerical information Numerical information
Specific (contextual) population coverage General (non-contextual) population coverage
Active population involvement Passive population involvement
Inductive inference methodology Deductive inference methodology
Broad social sciences disciplinary framework Neo-classical economics (and natural sciences) disciplinary framework
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Combining tools from different disciplines

• Use qualitative methods to understand context,
  relationships, patterns informs the design of a
  survey questionnaire
• Use quantitative methods to assess extent to
  which phenomena occur (generalization,
  representation)
• Use qualitative methods to unpack issues which
  are hard to explain from survey results

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Three ways to combine methods
Joint conceptual framework
Basis for identifying results and developing
recommen- dations

• In parallel
• In sequential
• Iterative