Social Analysis

1. Social Analysis Food for Thought

2. What is SA? • A process through which the World Bank, its investment partners, and the borrower government (client) understands how a country’s socio-cultural, political and institutional context influences social development outcomes; • A means to enhance equity, strengthen social inclusion, social capital and cohesion, promote accountable and transparent governance, and empower the poor and the vulnerable; • A mechanism to identify the opportunities, constraints, impacts and social risks associated with policy/ project design; • A framework for dialogue on development priorities, public action choices of social groups, civil society and grass roots organizations, different levels of governments and other stakeholders to facilitate the emergence of coalitions for change; • An effort to complement economic and institutional analyses of projects to ensure investment’s sustainability in accordance with the country’s development objectives to reduce poverty; • An approach to identify potential adverse affects of investment projects and to mitigate these.

3. BASIC STEPS OF SOCIAL ANALYSIS • 1. Plan SA to be an integral part of the project formulation • 2. Clarify project’s social outcomes • 3. Decide relevance of social safeguard policies • 4. Determine stakeholder interests and information needs • 5. Identify information sources for • stakeholder analyses • identification of social issues and social diversity • social institutions, norms and behavior • vulnerabilities • gender issues • participation • 6. Design data collection and analysis strategies • 7. Use results to define institutional arrangements • 8. Formulate participation framework • 9. Develop indicators to monitor social outcomes, institutional and participation arrangements • 10. Plan to do social impact assessment when outcome supervision results are mixed

4. Objectives of SA • Incorporate social development outcomes into Bank-financed projects; • Help reduce poverty and vulnerability; • Promote dialogue with stakeholders; • Empower people in an equitable manner paying specific attention to gender dimensions; • Reduce social exclusion, conflict and violence; • Avoid adverse social impacts of investment projects and policies.

5. Decision to Carry-out SA • Some projects may have existing information to allow sufficient analyses of social and gender issues • Information on social institutions may also be available • Such projects may therefore not require detailed social research All projects require stakeholder analyses and participation as well as social outcome monitoring Some key elements of social analysis is needed for all projects

6. Elements of Social Analysis Social Institutions Gender Stakeholders Social Diversity Vulnerability Social Risk Assessment Social Risk Management Participatory Framework Social Impact Monitoring

7. World Bank Project Cycle and Core Elements of SA

8. World Bank Project Cycle SA Cycle Reconnaissance Identification Stakeholder identification Pre-appraisal Appraisal Participatory framework Safeguard arrangements Negotiations and Board Presentation Implementation / Supervision Social Impact Monitoring Restructuring Outcome evaluation (Social Impact Assessment) Project Completion Report (PCR)

9. World Bank Project Cycle SA Steps Reconnaissance: Identify key social issues Identification Review elements of SA Define expected social outcomes Define stakeholder groups and interests Pre-appraisal Analyze potential impacts and SH inter-relationships Assess social risks Appraisal Finalize social impact monitoring indicators Finalize expected social outcomes Provide feedback to stakeholders Finalize participation framework and institutional arrangements for feedback to stakeholders Negotiations and Board Presentation Implementation / Supervision Ensure participatory framework and feedback is sustained Revise implementation arrangements as needed Restructuring Design mitigation / cushioning potential adverse impacts Project Completion Report (PCR) SIA Pipeline of new Projects

10. World Bank Project Cycle SA Outputs Reconnaissance report, TOR for SA Identification Secondary literature and statistics review and synthesis Pre-appraisal Synthesis of global experience Research instrument (questionnaires etc.) Appraisal SA Report, PAD Inputs Feedback to stakeholders to meet their information needs Negotiations Safeguards documentation PSR, Aide Memoire, BTOR, Pilot Project SIM Implementation / Supervision Address information needs of stakeholders Restructuring SIM Report, PAD Inputs Revisited SIA (Incorporated into PCR) Project Completion Report (PCR)

11. World Bank Project Cycle SA Outputs Samples Reconnaissance report, TOR for SA Identification Prototype TOR Secondary literature and statistics review and synthesis BP Review of SA based on existing documentation* Pre-appraisal Synthesis of global experience Research instrument (questionnaires etc.) Prototype SA Questionnaire Appraisal SA Report, PAD Inputs BP SA Cases Relevant OPs Negotiations Safeguards documentation PSR, Aide Memoire, BTOR, Pilot Project SIM Good practice aide-memoire example* Implementation / Supervision Restructuring SIM Report, PSR* SIM Report, PAD Inputs Revisited SIA (Incorporated into PCR) Project Completion Report (PCR) SIA* *To be written as a BP example by SA Team.

12. Reconnaissance 1. Gather relevant background information 2. Conduct in-country interviews Area/country studies National institutions Preliminary literature review National NGOs Visit Country SIA Research on similar projects National experts ESW Research 3. Expand fact-finding efforts 4. Visit proposed project site Local informal leaders Local formal leaders 5. Interview 6. Conduct community visits and listen to CBOs In-depth interviews Semi-structured interviews Participatory appraisal (PRA/PUA) 7. Listen to people’s perspectives 9. Complete identification 8. Identify key social issues Prepare TOR for SA Output Reconnaissance

13. Learning about Social Diversity and Social Issues CS: Country specific qualitative and quantitative information. AS: Area-specific qualitative and quantitative information. CSI: Country-specific sector issues. GSI: Global sector issues. Generally, available sources provide insufficient information for the specific project area and relevant sector investment experience in the proposed project area. Thus, the need for empirical data collection for social analysis emerges from these two gaps. Reconnaissance

14. Selection of SA Methods and Tools Review of area-specific data Review of qualitative and quantitative country specific data Reconnaissance Decision on adequacy of information for SA identification Need to launch more comprehensive data gathering and analyses Prepare SA with existing data Selection Factors Types of Analyses Financial Resources Qualitative Analysis Timeframe Selection of scope of data collection Qualitative and Quantitative Analysis Human Resources Diversity of project area Prepare SA Reconnaissance

15. Selection of SA Methods and Tools Qualitative and Quantitative Analysis High Financial Resources Qualitative Analysis Low Gender Focus Qualitative and quantitative methods designed specifically to reach both women and men Qualitative and Quantitative Analysis Long Timeframe Qualitative Analysis Short Capable Qualitative Analysis Human Resources Qualitative and Quantitative Analysis Low capability Qualitative and Quantitative Analysis Diverse Diversity of project area Qualitative Analysis Homogeneous We assume all quantitative analysis require qualitative knowledge. Reconnaissance

16. How to Decide on Selection of SA Methods and Tools Financial and Human Resources High Low Timeframe Timeframe Long Short Long Short Diversity of Project Area Diversity of Project Area Diversity of Project Area Diversity of Project Area Diverse Homogeneous Diverse Homogeneous Diverse Homogeneous Diverse Homogeneous 2 2 2 1 2 1 1 1 1. Qualitative Analysis 2. Qualitative and Quantitative Analysis We assume given adequate financial resources, human resources could be found relatively easily. Reconnaissance

17. Comparison of Low-Cost and Best Case Alternatives Low-Cost Option Local Team Only High-Cost Option Best Team Available • Advantages • Require limited funds • Use of existing country knowledge • Help build in-country capacity • Develop awareness of project with potential beneficiaries • Potential Disadvantages • Limited cross-fertilization of skills • Potential for gaps in acquired information • May generate biased recommendations • Reports may not meet international organization standards • Advantages • Combines both in-country and global knowledge and experience • Help build in-country capacity • Allow for cross-fertilization of skills of international team and local counterparts • Enhance accountability for results • Increase likelihood of reporting acceptance by international organizations • Potential Disadvantages • High resource requirement • Setup time is longer • Contracting procedures are complex We assume “Local Teams” as those who have not worked outside of a given country. “Best Team” may include local or international experts. Reconnaissance

18. Types of Stakeholders Governmental Stakeholders Formal stakeholders Non-governmental Stakeholders Demographic groups / potential project beneficiaries Social groups and informal stakeholders Social Groups Economic stakeholder groups Two-way information exchange and feedback with all stakeholders World Bank Pre-appraisal

19. Interactions Among Stakeholders Before and After Project Step 1 Identify and describe stakes Step 2 Analyze interrelationships before project Assess potential impact of proposed project and changing dynamics Step 3 Step 4 Assess associated risks of anticipated changes Design institutional and participatory arrangements to reduce risks and to build bridging capital between stakeholder groups Step 5 Pre-appraisal

20. Stakeholder Identification Who are they? How will they benefit from the project? Potential beneficiaries What is their relative power vis-à-vis other SH? How do they influence decision-making process? Who are they? How will they be affected by the project? Adversely impacted groups What negative responses can be expected from them? How will they affect the decision-making process? What types of mitigation measures will be necessary? Who are they? Vulnerable groups How will they be affected by the project? What makes them vulnerable? Supporters of project Who are they? What is their interest in the project (are they potential beneficiaries?) How do they influence decision-making process? Opponents of project How can we turn opponents to supports? Pre-appraisal

21. Formal Stakeholders Central Governmental Provincial Local State-owned enterprises Formal stakeholders Inter-governmental institutions and committees Professional organizations NGOs Group-based organizations Issue-based organizations Civil Society Non-governmental CBOs Private Sector Political parties Pre-appraisal

22. Social Groups and Informal Stakeholders Elderly Demographic groups / potential project beneficiaries Gender Youth Disabled Indigenous and aboriginal people Social groups and informal stakeholders/potential beneficiaries Ethnic and religious groups Tribal and kinship groups Social Groups Opposition and rebel groups Land-based groups Natural resources interest groups Economic stakeholder groups Workers Informal private sector enterprises Corruption scheme Pre-appraisal

23. Economic Stakeholder Groups - Examples Landlords Land-based groups Small holders Irrigation system users Economic stakeholder groups Natural resources interest groups Mine owners Laborers Workers Professionals Pensioners Vendors Informal private sector enterprises Local Mafia Corruption scheme Drug dealers Go to: Russia Coal Stakeholders. Pre-appraisal

24. Example of Stakeholder Identification STAKEHOLDERS IN RUSSIA COAL SECTOR Regional Governments Government of Russia RosUgol Public at large concerned with equity and subsidy distribution Other sector workers concerned with equity and subsidy distribution Mining communities Mining sector Pensioners and disabled • Local Administrations • NGOs • Business Community (local and international) • Local Administrations • Mine Administrations • Employment Service • Security services • Trade Unions • Central Government • Association of Pensioners • Association of the Disabled • Social Insurance Fund Miners Laid-off Miners • RosUgol • Trade unions • Mine Administrations • Local Administrations • Trade Unions • Mine Administrations • Employment Service • Local Administrations • Local Oversight Committees COAL MINE SECTOR Pre-appraisal

25. Interrelationships Among Civil Society Groups Trade and industry groups Professional associations Associations for retired/elderly Youth clubs Women’s groups Labor unions Water user associations Opposition groups Represented by formal organizations Governmental Stakeholders Formal stakeholders Non-governmental Stakeholders Demographic groups / potential project beneficiaries Social groups and informal stakeholders Social Groups Economic stakeholder groups Informal or unorganized arrangements Pre-appraisal

26. Interrelationships Among Civil Society Groups - Examples Trade and industry groups Professional organizations Professional associations NGOs Associations for retired/elderly Group-based organizations Youth clubs Women’s groups Labor unions Water user associations Issue-based organizations Opposition groups Pre-appraisal

27. Institutions Governmental Bureaucracy Formal Institutions “Rules of the Game” Other formal institutions Membership in these institutions govern actual behavior Tribal relations Kinship Indigenous groups Religious groups Ethnic groups Informal institutions Examples Informal incentives could radically change bureaucratic behavior There are interactions between tradition and official laws Potential Sources of Conflict and Corruption Members of certain tribes or groups place themselves in different parts of bureaucracy Pre-appraisal

28. Incorporating Gender into SA • Identify potential gender-based differences in access to goods and services to be provided by the project • Determine the differential practical and the strategic gender needs related to the project • Assess institutional constraints to men and women’s access to assets, productive resources; analyze the extent to which these are affected by intra-household dynamics and interhousehold relations • Identify information needs and meet them through non-conventional, gender sensitive methods and tools • Incorporate gender specific outcomes into the project • Define indicators to monitor gender impacts

29. Steps to Carry Out Analysis of Vulnerability • To Be Done

30. Steps for Participation Framework Preparation • To Be Done

31. Steps for Social Impact Monitoring • To Be Done

32. Steps for Social Impact Assessment • To Be Done

33. Safeguards • Reader will be referred to relevant annexes and knowledge management tools