Social Analysis in Transport Ethiopia, February 2003

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

2. Part 1 Overview

3. 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.

4. Social Issues in Transport • High transport costs, in rural and urban areas, reduce people’s ability to perform more economically valuable activities • Traditional analysis of economic and financial rates of return generally favors projects with high standards of construction; but more labor-intensive technologies might do more to reduce poverty and reach poor and vulnerable groups • Different types of transport infrastructure projects have differing social impacts • Transport projects have increasingly embraced cross-cutting “thematic areas” that include social issues – in particular, identifying opportunities for poverty reduction

5. 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.

6. 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 project’s expected social development outcomes

7. Core Elements of Social Analysis Social Diversity and Gender Institutions,rules and behavior Stakeholders Participation Social risks

8. 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

9. Social Diversity and Gender

10. 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?

11. 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.

12. 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?

13. Overall Stakeholder Analysis Matrix (SAM)

14. Stakeholder analysis in transport • Description of different interest groups that may live in a defined geographic area: Business owners who need transport and logistics, elite groups who are chauffeured, pedestrians, elected local officials, etc. • Which stakeholders a transport project benefits—influential ones, poor and marginalized ones, or both—is both a social and an engineering question • Stakeholders may be adversely impacted, and stakeholder interests and concerns may change over the course of a project • All of which emphasizes the need for stakeholder analysis, feedback and consultation, during both project preparation and implementation

15. 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?

16. 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?

17. Actions Arising Out of Risk Assessment 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

18. Part 2 Involuntary Resettlement

19. Involuntary Resettlement as aVulnerability Risk:Principles 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

20. Involuntary Resettlement:Coverage of the Policy • 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 In addition to World Bank funded activities, the policy on involuntary resettlement applies to …

21. 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

22. 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 RECOGNIZED LAND OWNERS LAND OCCUPANTS WITHOUT LEGALOWNERSHIP LAND OCCUPANTS WITHOUT LEGAL OWNERSHIP

23. 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

24. Consultation and disclosure • As a condition of project appraisal, • TheBorrowerprovides 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 Borroweragain makes it available at a place accessible to displaced persons and local NGOs • TheBank again makes it available to the public through the InfoShop

25. Private propertyowner Agricultural encroachment R O W Corridor of Impact COI: Squatters inside ROW Common PropertyResources 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

26. … which include safety measures such as zebra crossings Example from Gujarat State Highways Project, India Examples of good designs

27. 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

28. 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

29. 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

30. Part 3 Social and Public Accountability

31. 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

32. 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 mechanismsrefer 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.

33. 3 Pillars of Social and Public Accountability Bureaucratic Action Political Action Citizen Action

34. What mechanisms to promote Social and public accountability do… …is change the way information is disseminated and used in these three pillars

35. Government 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

36. Macro – micro linkages

37. 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

38. 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

39. Unbundling Service Delivery – the WDR 2004 Approach Need to raise Social & Public Accountability

40. 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

41. The Swa-Shakti Model • Public / private partnerships: Government, NGOs, and private sector • Bottom up approach: Women’s empowerment • … combined with a focus on inclusion; sensitize and strengthen institutional capacity of support agencies to address women’s 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

42. 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

43. 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!

44. Part 4 Social Analysis in the Project Cycle

45. 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 M&E of SD outcomes

46. Social Assessment:Sample 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

47. Social Assessment:Sample Terms of Reference (contd.) • Scope of work (cont’d) • 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

48. Design and Action Plans Decision on whether to undertake Social Assessment Implementation and monitoring of Social Development Components Analysis & Consultation process Undertaken by Borrower & Consultants Project Approval Social Analysis in identification Supervision Including attentionto social development issues and concerns Social Analysis during Preparation And Appraisal, including Mission participation Existing data: specific social analysis, or relevant content in other studies and reports PCD PAD Social Analysis Approach in World Bank Investment Projects-- the recommended approach Borrower and Consultants: Social Assessment Dialogue and technical assistance Bank: SocialAnalysis

49. 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?

50. 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