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Lecture on Social Assessment with An Example from Africa Region

Lecture on Social Assessment with An Example from Africa Region. Ayse Kudat Social Assessment Monterrey Institute 2001. Key Messages. Bank is attaching greater value to SA Sectors with policy emphasis on poverty and participation produce better quality SA

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Lecture on Social Assessment with An Example from Africa Region

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  1. Lecture on Social Assessmentwith An Example from Africa Region Ayse Kudat Social Assessment Monterrey Institute 2001

  2. Key Messages • Bank is attaching greater value to SA • Sectors with policy emphasis on poverty and participation produce better quality SA • Africa Region lags behind other regions in its SA focus and quality • There are many benefits of SA • SA is an integrated process • Stakes differ in important ways; SA can facilitate participation • Tools and methods of SA are many and mixing them is fruitful

  3. QUIZ What is Social Assessment (SA)? A ( ) A means to promote participation of the poor B ( ) A participatory process to remove blockages to equitable access to development benefits C ( ) A mechanism to ensure ownership and commitment to sustainable development D ( ) A means to ensure project objectives are acceptable to intended beneficiaries

  4. QUIZ RESULTS What is Social Assessment (SA)? It is all and... A bit More

  5. SA is a process through which social development concerns are integrated into development initiatives. There is growing focus on social development throughout the world. Social development is about: • The poor, low-income, vulnerable, and the excluded • Social justice, social welfare and balancing equities • Human interaction and social capital • Building trust and civil society

  6. “It is the poor people’s knowledge that underpins development success. We cannot assume that NGOs (either national or international) reflect the poor’s concerns and priorities - we need to go and talk directly with the poor themselves” A WORLD FREE OF POVERTY ---WB’s mission SA is a process through which the concerns of the POOR is integrated into development initiatives through DIRECT consultation with them

  7. Centrality of the Poor and Vulnerable SA helps maintain the World Bank Mission: Poverty Alleviation Project Identification Supervision & Monitoring Appraisal SA helps poor have greater voice in decision-making Implementation Go to: Gabon Urban Development Project http://wbln0018.worldbank.org/essd/essd.nsf/All/9414BD1CED5B53F785256A2C007900CD

  8. Social Assessment • Identifies key stakeholders and establishes an appropriate framework for their participation in the selection, design, and implementation of investment projects; • Ensures that project objectives are appropriate and acceptable to the range of people intended to benefit; • Identifies and describes the social, cultural, or institutional factors which may have an impact on poverty alleviation and project success; • Assesses the social impact of project components and where adverse impacts are identified, determines how they can be minimized or mitigated; and • Develops institutional capacity at the appropriate level to enable participation, permit service delivery and carry out mitigation measures.

  9. Africa region is lagging behind in SA General rating of social development concerns SIM Arrangements Incorporation of key social issues Indirect impact on the poor articulated Disaggregation of impacts by social group Direct impact on the poor articulated Consistency with poverty strategy in CAS Outreach to target population Source: QAG.

  10. Africa region also lags behind in supervision of social aspects Source: QAG.

  11. According to a review conducted in Africa, participation process is valued but participation products needed in the region Use of Participation by Region Source: SDVNG Database.

  12. In transport, energy, and industry sectors, use of participation is surprisingly low Use of Participation by Sector in Africa Region Source: SDVNG Database.

  13. QUIZ Why is SA Weak in Africa? A ( ) Social issues are not important enough to merit SA B ( ) Social scientists lack operational knowledge C ( ) No social development unit in Africa D ( ) TTLs do not allocate budget for SA E ( ) Management still thinks SA is of no importance

  14. Why do SA ? Change the way we do business OUR definition of the problem and solutions THEIR definition of the problem and possible solutions Go to: Senegal Agricultural Extension Case

  15. Why SA: To Shift Gears Reliance on local knowledge, stakeholder views, local social scientists, and a mixture of tools “Expert” International Consultants Pre-1990s Timeline Today

  16. One more reason for SA: Change Focus Partnerships and socially desirable outcomes Desk Analyses and Conditionalities Pre-1990s Timeline Today

  17. Yet another reason for SA: Change Emphasis A broader concern with impacts and social sustainability Emphasis on 2-3 mandatory policies Pre 1990s Timeline Today

  18. Does SA add value? (1) - A Bank-wide Study Interviewed on QEA2, QEA3 sample projects 44 Task Team Leaders 25 Social Scientists 81% of Task Team Leaders “added great value” 60% of Social Scientists “added great value” • SA is also said to generate positive externalities • High percentages (>80%) on • e.g better understanding local context • e.g greater stakeholder commitment and ownership Source: Social Assessment Review, CY1998/99. Presentation at the Technical Consultation on Social Analysis..

  19. Does SA add value? (2) - A Bank-wide Study • Lower percentages (50-60%) on perceived contribution of SA on: • Sustainability • Greater interaction among different stakeholders • Difficulties: 59% of TM “experienced some problem or downside with SA” 61% of Task Team Leaders Say that there is room for improvement in SA 76% of Social Scientists Source: Social Assessment Review, CY1998/99. Presentation at the Technical Consultation on Social Analysis..

  20. Does SA add value? (3) - A Bank-wide Study Were found to be operationally relevant 45 percent of SAs Incorporated SA into project design 75 percent of projects Focus on actions other than mitigation 95 percent of SAs But only 48 percent fully defined monitoring indicators 84 percent of SAs inform Monitoring and Evaluation Source: Social Assessment Review, CY1998/99. Presentation at the Technical Consultation on Social Analysis..

  21. SA IS A PROCESS THROUGH WHICH DEVELOPMENT PLANNERS LEARN FROM CULTURAL VALUES AND ACTUAL BEHAVIOR • In many cultures, because of power of men over women and the social value attached to sexual relations with wealthier individuals HIV/AIDS prevention is made difficult. SA makes it possible for people to talk about these and facilitate the formulation of appropriate preventive approaches • People cope with inadequate infrastructure in many different ways. Some pay for water vendors; others carry it for long distances. The costs associated with coping strategies are high. There is lesson to learn from this with respect to tariffs (SA: Morocco) • Sub-regional and community differences are large with respect to many sectors. Bank projects often have large geographical scope. A few community visits would do injustice to people who have different priorities and needs (SA: Senegal)

  22. QUIZ What to do to enhance SA effectiveness in operations? A ( ) Use knowledgeable local consultants B ( ) Sell merit of SA to the client Go to: TORs (www.socialassessment.com) C ( ) Better define SA objectives D ( ) Combine qualitative and quantitative methods E ( ) Put your where your is

  23. QUIZ ANSWER Be Comprehensive and Focus on Four Pillars of Social Assessment Mitigation Identification of Key Social Development and Participation Issues Definition of Participation Framework Evaluation of Institutional Issues and Options Establishment of Mechanisms for Monitoring and Evaluation Mitigation Go to: Four pillars in http://www.socialassessment.com/fourpillars.htm

  24. Mitigation Focus of Social Assessment • Each pillar of SA will focus as much on the gains as on the specific mitigation measures so that: • adverse social development impacts would be identified, • institutional capacity for mitigation assessed, • stakeholder participation in the definition and implementation of the mitigation action plans ensured, and • mitigation monitoring integrated into the overall project monitoring framework Go to: Safeguard policies in the handout: http://www.socialassessment.com/broadguidelines.asp

  25. Identification of Key Social Development Issues • Identify broad social development issues • Identify stakeholders whose participation is of strategic importance • Narrow down the key social development issues to the project/ESW context • Design a project-specific information strategy • Design mitigation plans

  26. Key Development and Participation Issues are Complex • HIV/AIDs distortions on demographic structure • Social heterogeneity • Tribalism • Clashes between traditional and modern land tenure • Conflict/Post-conflict

  27. SHOULD A WHOLE NATION OR TAXPAYERS PAY FOR NON-PROFITABLE ENTERPRISES ? SA CONCERNS ITSELF WITH EQUITY ISSUES NO Restructure and Find the best way for use of remaining subsidies Reduce subsidies Find equitable distribution of subsidies

  28. Definition of Participation Framework • Formulate participation strategy • Participation of the poor, low-income and vulnerable groups • Participation of the broader stakeholders • Define implementation arrangements

  29. VOICE CHOICE Participation • Participation is giving voice and choice to the people • Social Assessment is a good tool to provide voice and map out choices • Substantial progress has already been made in introducing voice to projects through systematic beneficiary assessments • Choice is maximized in natural resources/social fund projects where local communities identify and implement projects • The Challenge is to incorporate choice/voice elements to CAS/ESW

  30. Participation should pay special attention to direct consultations where democracy and civil society institutions are weak SHOULDN’T FARMERS HAVE A SAY ON PROJECTS THAT ARE SUPPOSED TO BENEFIT THEM?

  31. Participation should involve both formal and informal stakeholders Stakeholders the poor private sector civil society low-income government vulnerable others who hinder or facilitate NGOs excluded groups

  32. Evaluation of Institutional and Social Organizational Issues • Identify blockages to equitable access • Local customs • Patterns of social organization • Social institutions (family, kinship, tribal and ethnic affiliations) • Formal and customary laws and regulations • Recommend strategies for strengthening institutional capacity

  33. Institutional Analysis WHAT ARE THE RULES OF THE GAME? Traditional customs hinder women’s access to land and thus to agricultural credit. Informal customary arrangements are more important to understand than formal rules Go to  Swaziland Urban Development Project http://wbln0018.worldbank.org/essd/essd.nsf/All/9414BD1CED5B53F785256A2C007900CD

  34. Example: Community Organizations in Nigeria • A plethora of local and indigenous groups are active in Nigerian communities. These community-based organizations (CBOs) take many different forms, playing diverse and often multiple social and economic roles. • Community-based organizations include the following in Nigeria: • Traditional and kinship institutions • Community associations • Occupational associations • Women’s groups • Ethnic associations • Religious organizations • Local elite • Esusu groups (rotating credit associations) • The composition and function of these show great variety by geographical region Source: Nigeria Poverty Assessment, World Bank, 1995.

  35. Establishment of Mechanisms for Monitoring and Evaluation • Identify input, process, output and impact indicators • Define transparent evaluation procedures, including participatory approaches • Ensure that M&E procedures are established for the mitigation plan (e.g., for Resettlement) • Ensure that all M&E proposed in the SA is carefully scheduled, fully budgeted, and properly supervised

  36. Benefits of Social Assessment Operational Policy Benefits • Informs social development strategy for project implementation, including any necessary mitigation plans • Chad/Cameroon Pipeline Project • Reduces, minimizes, avoids and cushions adverse impacts • Chad/Cameroon Pipeline Project • Identifies pilot projects • Gabon Urban Development Project

  37. Household Urban Transport Expenditures in Afrimia Disposable HH Income = 20% of Total The poor spend disproportionately on transport, improving services through higher tariffs would help them Income Spent on Transport = 48% of Disposable Income

  38. Afrimia Social Assessment Poor already pay excessively; not increasing tariffs rarely helps them Income groups (1=lowest, 4=highest)

  39. Benefits of Social Assessment Equity Benefits • Facilitates participation of the poor, low-income, vulnerable and excluded groups • Rwanda Community Re-integration and Development Project • Gabon Urban Development Project • Swaziland Urban Development Project • Improves quality, design and implementation arrangements for targeting • Determining the level of and beneficiaries for targeting requires systematic SA

  40. Unconnected Urban Households in Afrimia Average Willingness to Pay for Water Supply may be Deceptive Most unconnected households belong to temporary migrants; subsidizing them is not the best use of public funds 63% are willing to pay for improvements Average = 3.3% of monthly household income Current average payments = 0.63% of monthly household income Caution: 37% are not willing to pay for improvements

  41. Connected Households Afrimia are willing to pay higher amounts and a greater percentage of them are interested in system improvements If subsidies should remain, they are best used for already connected households 79.7% are willing to pay for improvements Average = 2.3% of monthly household income Current average water payments = 1.1% of monthly household income Caution: 20.3% are not willing to pay anything

  42. Benefits of Social Assessment Institutional Benefits • Complements institutional analysis carried out in technical, economic and financial assessment • Cote d’Ivoire Land Management • Proposes modifications to existing institutional arrangements or even entirely new institutional structures • Swaziland Urban Development • Enable stakeholder ownership of institutional arrangements • Rwanda Community Re-integration and Development Project • Gabon Urban Development Project

  43. STAKEHOLDERS IN PRECIOUS STONES MINES OF AFRIMIA Government of Afrimia Mining sector owners Sector workers Local communities • Trading networks • Security forces • Miners • Security workers • Miners’ Unions • Miners • Non-mining community members • Unions • Local administrations • Local business community PRECIOUS STONES MINING SECTOR

  44. Tools and Methods for SA are numerous • Historical Analysis • Secondary Data • Social Science • Statistical • Rapid Assessment (qualitative) • Survey Design, Pre-test • Region-broad, variability high • Household Surveys • Case studies • Focus groups • Semi-structured group interviews • Unstructured individual discussions • Key informant approach • Snowball and network techniques • Participant observation • Remote sensing...............GIS data • ………….any many more tools…. If strong enough, then SA is ready Systematic Analysis Go to: http://www.socialassessment.com/toolindex.asp for Detailed information on tools and methods available for SA.

  45. Benefits of Social Assessment Informational Benefits • Facilitates iterative and participatory process to prioritize, gather, analyze, and use operationally relevant information • Nigeria Urban Transport Project • Provides information about social organization and cultural systems • Nigeria Health Services Project • Defines project-specific information strategy • Nigeria HIV/AIDS Development Program

  46. SA Requirements • Projects requiring SA include operations where there are: • Populations who have been historically disadvantaged or excluded from development initiatives • Large social and economic inequalities • Post-conflict situations • Large-scale enterprise restructuring • Anticipated major adverse impacts, such as involuntary resettlement, indigenous peoples’, and loss of cultural heritage Go to: Rwanda case http://wbln0018.worldbank.org/essd/essd.nsf/All/9414BD1CED5B53F785256A2C007900CD

  47. SA Requirements • Projects where SA is advisable include operations where: • Changes in existing patterns of behavior, norms or values are required; • Community participation is essential for sustainability and success; • Insufficient knowledge on local needs, problems, constraints and solutions exist; or • Beneficiary targeting mechanisms or eligibility criteria are unknown

  48. NEXT STEPS • What would you like to learn more? • How can we help?

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