Social Analysis in Transport Projects

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

• Overview

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Challenge Bring the people into focus
What is the development objective of transport
projects?

• 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.

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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
  groups
• Different types of transport infrastructure
  projects have differing social impacts
• Transport projects have increasingly embraced
  cross-cutting thematic areas that include
  social issues in particular, identifying
  opportunities for poverty reduction

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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.

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Issues addressed through Social Analysis

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

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Core Elements of Social Analysis

Social Diversity and Gender
Institutions,rules and behavior
Stakeholders
Participation
Social risks
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Social Diversity and Gender
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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
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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?

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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.

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Stakeholders

• 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?

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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)
Donors
Other External/ Intl stakeholders
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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
  question
• Stakeholders may be adversely impacted, and
  stakeholder interests and concerns may change
  over the course of a project
• All of which emphasizes the need for stakeholder
  analysis, feedback and consultation, during both
  project preparation and implementation

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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?

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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
  complexity
• 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
  risk?

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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
Ignore
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Part 2

• Involuntary Resettlement

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Involuntary Resettlement as aVulnerability
RiskPrinciples and 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

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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

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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

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Building blocks of support
DEVELOPMENT OPPORTUNITIES
IMPACTS ON GROUPS AND COMMUNITIES
IMPACTS ON GROUPS AND COMMUNITIES
LOSS OF LIVELIHOOD
LOSS OF LIVELIHOOD
NON-VULNERABLE GROUPS
VULNERABLE GROUPS
VULNERABLE GROUPS
LOSS OF ASSETS
LAND OCCUPANTS WITHOUT LEGALOWNERSHIP
RECOGNIZED LAND OWNERS
LAND OCCUPANTS WITHOUT LEGAL OWNERSHIP
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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?

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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
  reversals

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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

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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

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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

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Traffic Safety

• Car accidents kill 1.2 million per year in the
  world
• 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

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Entitlements of displaced persons in different
categories

• Compensation paid to
• Those who have legal rights on affected lands,
  and
• 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

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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

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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

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Examples of good designs
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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

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Phasing of resettlement work

• Screening, census, sample survey, initial
  consultations, cut-off date
• Entitlement framework, consultations with
  stakeholders
• Detailed baseline surveywithin project impact
  area following final designs
• Completion of RAP
• Project appraisal and approval
• Implementation of resettlement program
• Start of civil works

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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
  completion
• 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

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Part 3

• Social and Public Accountability

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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,
UNDP,2002
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
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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.
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3 Pillars of Social and Public Accountability
Bureaucratic Action
Political Action
Citizen Action
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What mechanisms to promote Social and public
accountability do

• is change the way information is disseminated
  and used in these three pillars

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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

Private Sector
Civil society
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Macro micro linkages
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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
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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
  Problem
• Weak incentives for effective service delivery
  - Problem of Monitoring/Accountability
• Demand-side constraints
• - Problem of Participation/Awareness

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Unbundling Service Delivery the WDR 2004
Approach
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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

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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

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In Transport Sector
Policy Makers Transport and other Ministries
Elections/Feedback
Resource Allocation
Contract
Voice
Providers Regional Road Authorities, Contractors
Clients communities, transport companies
Service
Road construction and Maintenance
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Questions for group work

• Identify a maximum of four stakeholder groups
  (one or two is fine)
• What are the key services, contractual
  arrangements, or other relationships between
  these groups?
• What are the means of interaction between them
• How do customers express needs?
• How do service providers learn about customer
  needs
• What are the mechanisms of public and social
  accountability between them, and how can they be
  made better?
• There will be a prize for the group that acts out
  its answers as role play!

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Part 4

• Social Analysis in the Project Cycle

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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 outcomes
• appropriate institutional arrangements
• systems for ME of SD outcomes

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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

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Social AssessmentSample Terms of Reference
(contd.)

• 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

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Social Analysis Approach in World Bank Investment
Projects-- the recommended approach
Borrower and Consultants Social Assessment
Dialogue and technical assistance
Bank SocialAnalysis
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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?

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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
  implementation
• Build capacity to coordinate and manage these
  issues as part of the preparation process

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PCD / PAD QUESTIONS

• 6.1 Summarize key social issues arising out of
  project objectives, and the project's planned
  social development outcomes. If the issues are
  still to be determined, describe current or
  planned efforts to do so.
• 6.2 Participatory Approach How will key
  stakeholders participate in the project?
• 6.3 How does the project involve consultations or
  collaboration with NGOs or other civil society
  organizations?
• 6.4 What institutional arrangements are planned
  to ensure the project achieves its social
  development outcomes?
• 6.5 What mechanisms are proposed to monitor and
  measure project performance in terms of social
  development outcomes? If unknown at this stage,
  please indicate TBD.
• 7.1 Do any of the following safeguard policies
  apply to the project?

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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
  established
• Implementation Mechanisms
• Realism and implementability of plans
• Responsible institutions and agencies identified
• Institutional capacity and commitment

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Policy
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
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Part 5

• Preparing for Fieldwork

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ResearchMethodology for Social Analysis
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Depth versus breadth
Many
Social surveys
Focus group discussions
Number of persons studied or interviewed
Structured interviews
Unstructured interviews
Observation
Few
Participant observation
Many researchers, low personal involvement
Few researchers, high personal involvement
Researcher requirements
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Key principles ofqualitative research

• Reliability The need for careful design
• Reduction of bias, improved trustworthiness of
  data
• 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

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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
  questions
• 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

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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

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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

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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
  discussions
• Formal meetings, stakeholder consultations
• Life histories of elders and knowledgeable
  sources

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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.)

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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
  diagrams)
• 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

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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
  cycles
• 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
  activities

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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,
  etc.)
• Full census
• Enumeration of total population (e.g. displaced
  persons)
• Basic demographic information, listing of assets,
  income

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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
  playing
• 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

73
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.
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Kenya exampleSocial Development Outcomes (1)

• Security and Safety
• Improved traffic safety
• Reduction in violence
• Reduction in HIV / AIDS infection and prevalence
  rates
• 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

75
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
  making
• Promotion and strengthening of transport
  associations
• Capacity building of transport providers and
  users
• Minimized risks and adverse impacts of transport
  projects
• Minimization of physical, social or economic
  displacement
• Where required, appropriate mitigation and
  support to displaced populations
• Minimization of adverse impacts on the environment

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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
  stakeholders
• How to ensure social development concerns
  influence project selection and design process
• How to determine vulnerability and risk
• How to combine mitigation with development
  opportunities for poor and vulnerable groups
• How to develop institutional commitment and
  capacity in an environment unaccustomed to
  addressing these concerns

77
Task Prepare forRapid Context Assessment

• Assess opportunities, constraints, likely impacts
  and risks arising out of the social context
• Identify / re-examine intended social development
  outcomes of the project
• Make recommendations for a project participation
  framework
• Consider design implications and recommend
  relevant policy and institutional arrangements
  for the project
• Identify indicators to monitor SD dimensions and
  report on the ME plan