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Social Analysis in Transport Projects


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Title: Social Analysis in Transport Projects

Social Analysis in Transport Ethiopia, February
2003 Reidar KvamLead Social Scientist, The World
Part 1
  • Overview

Challenge Bring the people into focus
What is the development objective of transport
  • 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 peoples 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
  • 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 Dimensions of Poverty Reduction
  • Social Inclusion
  • The removal of institutional barriers and the
    enhancement of incentives to increase the access
    of diverse individuals and groups to assets and
    development opportunities
  • Empowerment
  • The enhancement of the assets and capabilities of
    diverse individuals to engage, influence and hold
    accountable the institutions that affect them
  • Security
  • The 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.

Issues addressed through Social Analysis
  • Examines the social opportunities, constraints,
    likely impacts, and social risks relevant to a
  • Access of the poor to markets and public services
  • Mitigation of adverse impacts
  • Addressing social tensions and conflict
  • Enhancing accountability to the poor of
  • Framework for dialogue on development priorities,
    and strengthening of commitment of key
  • Helps identify and monitor the projects expected
    social development outcomes

Core Elements of Social Analysis

Social Diversity and Gender
Institutions,rules and behavior
Social risks
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
Institutions, Rules and Behavior
  • 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.

  • Who are the stakeholders?
  • Why is it important to identify them?
  • What makes a person a stakeholder? An
  • What is the range for our identification of them?
  • Where can we find them?
  • What are the key things to know about them?

Overall Stakeholder Analysis Matrix (SAM)
Stakeholder Category Relevant Stakeholders Characteristics (social, location, size, organizational capability) Interests (degree of commitment to status quo openness to change) Influence (HHigh, MMedium, LLow)
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)
Other External/ Intl stakeholders
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
    benefitsinfluential ones, poor and marginalized
    ones, or bothis both a social and an engineering
  • 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

Consultation and Participation
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?

Social Risk
  • Risks from the project
  • Vulnerability risks Increase in exposure to
    stress or shocks
  • Risks to the project
  • Country risks Conflict and violence, political
    instability, ethnic and religious tension
  • Political economy risks Capture of benefits,
    opposition or distortion of project by
    influential stakeholders
  • Institutional risks Poor governance, limited
    technical and administrative capacity, design
  • Exogenous risks Terms of trade, regional
    conflict, climate effects
  • Key questions for social analysis
  • How do poor people cope with risk?
  • What actions can be taken to reduce or mitigate

Actions Arising Out of Risk Assessment
High R R MP K
Substantial R R MP MP
Moderate I R T T
Low I R T T
Low Moderate Substantial High
Probability of risk
Importance of risk
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 reconsider I
Part 2
  • Involuntary Resettlement

Involuntary Resettlement as aVulnerability
RiskPrinciples and objectives
  • Minimize displacement
  • Treat resettlement as a development program
  • Provide affected people with opportunities for
  • 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
  • Pay compensation for affected assets at
    replacement cost

Involuntary ResettlementCoverage of the Policy
In addition to World Bank funded activities, the
policy on involuntary resettlement applies to
  • All project activities, including those that may
    not be financed by the Bank
  • Activities outside the Bank project, if they are
  • Necessary to achieve project objectives,
  • Are directly and significantly related to the
    Bank-assisted project, and
  • Are carried out, or planned to be carried out,
    contemporaneously with the project

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 countrys 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 land and other assets
  • Examples
  • Agricultural land
  • Non-agricultural land
  • Homes and other structures
  • Wells, trees, etc.
  • Compensation based on replacement cost
  • Who determines value? Who pays for it? When is
    it decided?

When is a squatter not a squatter?
  • Traditional rights where the State never legally
    acquired land
  • Local recognition based on taxes and other fees
    de facto ownership
  • Tribal groups
  • Promises of land regularization by politicians
  • Inconsistent application of policies court

Impacts on Livelihoods
  • Example Agricultural land has a market value
    (requires compensation), but it is also the basis
    for livelihood and future earning capacity
    (requires rehabilitation)
  • A household may have multiple providers of
    income, requiring intra-household analysis and
    gender analysis
  • Important to determine criteria for vulnerability
    in different situations e.g.
  • Below Poverty Line
  • Women headed households
  • Children and elderly

Consultation about impacts and opportunities
  • Public disclosure
  • Information in local languages
  • Options and choices
  • Explanation of risks and benefits
  • Adequate time to make informed judgments
  • Joint verification of impacts and entitlements
  • Registration and ID cards computerized database

Transport and Impactson Communities
  • Roadside use for collecting firewood and water,
    drying cowdung, etc.
  • Non-motorized traffic

Traffic safety
  • Traffic safety
  • Health concerns
  • Child labor

Traffic Safety
  • Car accidents kill 1.2 million per year in the
  • Affect the poor disproportionately
  • Are growing rapidly from the 9th to the 3d cause
    of adult death (2015).
  • Transport related pollution causes an additional
    800,000 deaths per year worldwide,
  • Has become a health issue in a number of African
    cities, where gas is not lead free.
  • In Kenya about 2,800 people are killed and 9,
    500 seriously injured annually

Entitlements of displaced persons in different
  • Compensation paid to
  • Those who have legal rights on affected lands,
  • Those 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 date
  • Locally 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 instrument
  • Makes it available at a place accessible to
    displaced persons and local NGOs
  • The 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 NGOs
  • The Bank again makes it available to the public
    through the InfoShop

Right of Way management
Old road to be upgraded
  • Inside Corridor of Impact Individual support
    to Project Affected Persons (PAPs)
  • Outside Corridor of Impact Group oriented
    support targeted at poor and vulnerable people

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
  • 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 project
  • A project is not considered complete and Bank
    supervision continues until the agreed
    resettlement measures have been implemented
  • A follow up socio-economic survey at project
  • To assess the extent to which the objectives of
    the resettlement program have been achieved
  • Based 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 measures
  • Bank supervision may continue beyond project
    completion, if considered necessary by the Bank

Part 3
  • Social and Public Accountability

What is 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,
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.
3 Pillars of Social and Public Accountability
Bureaucratic Action
Political Action
Citizen Action
What mechanisms to promote Social and public
accountability do
  • is change the way information is disseminated
    and used in these three pillars

A focus on local communities, social groupsand
  • Inclusive and pro-poor institutions based on
    partnership and mutual accountability
  • Equity in access to services and development

Private Sector
Civil society
Macro micro linkages
Why are these things important The Service
Delivery Problem
  • 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
The Thinking of the WDR 2004
WDR2004 Making Services Work for Poor People
  • 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
  • Weak incentives for effective service delivery
    - Problem of Monitoring/Accountability
  • Demand-side constraints
  • - Problem of Participation/Awareness

Unbundling Service Delivery the WDR 2004
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 information
  • Inclusion and participation
  • Accountability
  • Local 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 sector
  • Bottom up approach Womens empowerment
  • combined with a focus on inclusion sensitize
    and strengthen institutional capacity of support
    agencies to address womens needs
  • Rather than providing direct financial support,
    the project aims to act as a catalyst, to access
    and leverage resources from different sources.
  • More sustainable
  • Avoidance of duplication
  • Better potential for partnerships, linkages
    including with local elected government

In Transport Sector
Policy Makers Transport and other Ministries
Resource Allocation
Providers Regional Road Authorities, Contractors
Clients communities, transport companies
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
  • 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
  • Participation identify needs and priorities of
    key stakeholders, obtain their views enable
    active involvement, transparency and capacity
  • Operationalization incorporate findings of
    social analysis and participation through
  • explicit social development outcomes
  • appropriate institutional arrangements
  • systems for ME of SD outcomes

Social AssessmentSample Terms of Reference
  • Introduction
  • Background
  • Proposed project
  • Purpose of social analysis
  • Scope of work
  • Description of the socio-cultural, institutional,
    historical and political context
  • Social issues and desired outcomes
  • Strategy to achieve social development outcomes

Social AssessmentSample Terms of Reference
  • Scope of work (contd)
  • Analysis of alternatives
  • Recommendations for implementation arrangements
  • Proposed indicators
  • Monitoring plan
  • Description of tasks
  • Data collection and research methods
  • Reporting
  • Skills requirements and team composition
  • Schedule

Social Analysis Approach in World Bank Investment
Projects-- the recommended approach
Borrower and Consultants Social Assessment
Dialogue and technical assistance
Bank SocialAnalysis
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 Reference
  • Continuity 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
  • Build capacity to coordinate and manage these
    issues as part of the preparation process

  • 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
  • 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?
  • Policy framework
  • Agreement on basic principles, objectives,
    entitlement framework, etc.
  • Formal endorsement by responsible authorities
  • Analysis and Documentation
  • Census and surveys as required
  • Analysis of social groups with a focus on risk,
    vulnerability and opportunity
  • Meaningful participation process
  • Documentation of consultation process and
    implications for project design and
    implementation mechanisms
  • Transparency and feedback mechanisms
  • Development Action Plans
  • Action plans integrated and coordinated with
    other project components
  • Budget provision and clear responsibilities
  • Supervision, monitoring and evaluation mechanisms
  • Implementation Mechanisms
  • Realism and implementability of plans
  • Responsible institutions and agencies identified
  • Institutional capacity and commitment

Laws and policies are not always adequate but
policies are just the tip of the iceberg.
Implementation mechanisms institutional capacity
and commitment
Strategies andAction plans
Analysis and Documentation
Meaningful consultation and disclosure
Part 5
  • Preparing for Fieldwork

ResearchMethodology for Social Analysis
Depth versus breadth
Social surveys
Focus group discussions
Number of persons studied or interviewed
Structured interviews
Unstructured interviews
Participant observation
Many researchers, low personal involvement
Few researchers, high personal involvement
Researcher requirements
Key principles ofqualitative research
  • Reliability The need for careful design
  • Reduction of bias, improved trustworthiness of
  • Consistency the same questions are asked in the
    same way of all respondents
  • Validity Asking the right questions
  • Measures and indicators reflect and inform
    relevant issues and hypotheses
  • Triangulation Studying the issue from different
    perspectives and data sources
  • Different methods and tools
  • Cross-checking of information
  • Multiple indicators Studying complex issues
  • The need for multiple indicators in studying for
    example empowerment

Some interview principles
  • Go from the general to the specific
  • Be clear and concise
  • Initially, use open ended questions that do not
    convey the expected answer to the respondent
  • Probe and ask follow up questions
  • Go off the beaten track, be innovative in finding
    your respondents
  • Interview representatives of different
    stakeholder groups
  • Cross-check your findings through triangulation
  • When you have a clearer sense of what the issues
    are, you can start using more structured
  • This 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 sampling
  • Need to understand differences over time
    seasons, days of the week, times of day, etc.
  • Place sampling
  • Activities and organizations have different
    elements taking place in different locations
  • Event sampling
  • Routine
  • Special
  • Unexpected
  • Status, role and relationship sampling
  • Different levels of personnel in an organization
  • Different roles

Data Collectionand Fieldwork Techniques
  • Collection of secondary material
  • Key informant interviews
  • Direct observation of processes and behavior
  • Participant observation of processes and behavior
  • Diagramming
  • Community mapping
  • Production / livelihood diagramming
  • Gender analysis
  • Socio-economic surveys
  • Full census
  • Community information and consensus-building
  • Project design techniques Needs assessment and
    identification of risks

Overview of methods (1)
  • Collection of secondary material
  • Content analysis of published reports
  • Written records, histories, reports from NGOs,
    academics, missionaries, etc.
  • Published research reports (books, articles,
    discussion/technical papers, etc.
  • Available statistics
  • Key informant interviews
  • Checklist format using key informants
  • Informal, consensus building techniques for group
  • Formal meetings, stakeholder consultations
  • Life histories of elders and knowledgeable

Overview of methods (2)
  • Direct observation of processes and behavior
  • One-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 behavior
  • Observers 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)
  • Diagramming
  • Genealogies of dominant lineages, clans,
    political / power relations
  • Decision 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 leaders
  • Institutional linkages diagrams (use of Venn
  • Community mapping
  • Individual farm or household properties
    (cadastrals, plot boundaries, conservation and
    resource use zones)
  • Nature and settlement zoning
  • Community or village mapping with sketch maps
  • Physical features such as mountains, fertile
    land, water resources
  • Poverty mapping

Overview of methods (4)
  • Production / livelihood diagramming
  • Production, 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
  • Gender analysis
  • Task analysis and role flexibility by gender
  • Gender needs assessment
  • Womens and mens time management and allocation
  • Mapping of womens and mens roles in production,
    conservation, decision making, household

Overview of methods (5)
  • Socio-economic surveys
  • Non-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,
  • Full census
  • Enumeration of total population (e.g. displaced
  • Basic demographic information, listing of assets,

Overview of methods (6)
  • Community information and consensus-building
  • Village management planning
  • Ranking of problems by social grouping
  • Interest group meetings
  • Group dynamics, structured discussions, role
  • Project design techniques Needs assessment and
    identification of risks
  • Risk analysis
  • Logical framework
  • Systems diagramming and flowcharts
  • Objectives oriented planning
  • Appreciative Inquiry
  • SWOT analysis Strengths, Weaknesses,
    Opportunities, Threats

Example from KenyaRapid Context Assessment
Original Development Objective Rehabilitation
and upgrading of Nairobi - Nakuru portion of the
northern corridor
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.
Kenya exampleSocial Development Outcomes (1)
  • Security and Safety
  • Improved traffic safety
  • Reduction in violence
  • Reduction in HIV / AIDS infection and prevalence
  • Improved security of tenure and opportunities for
    the landless and poor
  • Incomes and livelihoods
  • Improved assets and earnings through better
    markets and credit opportunities
  • Inclusion Accountable institutions
  • Improved governance
  • Reduced corruption
  • More transparent and effective methods of
    collecting road levies

Kenya exampleSocial Development Outcomes (2)
  • Empowerment
  • Effective and meaningful participation of local
    communities and other key stakeholders in
    transport planning, implementation, monitoring
    and evaluation
  • Greater decentralization and local level decision
  • Promotion and strengthening of transport
  • Capacity building of transport providers and
  • Minimized risks and adverse impacts of transport
  • Minimization of physical, social or economic
  • Where required, appropriate mitigation and
    support to displaced populations
  • Minimization of adverse impacts on the environment

Summary Some social issues to consider
  • Participation and consultation in projects of
    this nature Dispersed population sometimes only
    a few people in each community are direct
  • 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

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
  • Consider design implications and recommend
    relevant policy and institutional arrangements
    for the project
  • Identify indicators to monitor SD dimensions and
    report on the ME plan
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