Participation and Social Assessments: How Do They Enhance Bank-Client Relationships?

1. Participation and Social Assessments: How Do They Enhance Bank-Client Relationships? AYSE KUDAT THE WORLD BANK 1995

2. Fostering partnerships in the development effort • Sharing information about the needs • and priorities of beneficiaries • Mobilizing popular support • for economic and social reform • Building a foundation for continued • dialogue to serve the poor Participation and Social Assessments: How Do They Enhance Bank-Client Relationships?

3. STAKEHOLDERS What is Participation? A process through which stakeholders influence and share control over development initiatives

4. Shift from external expert stance to listening, consultation and social learning, but not equate these with participation External Sources Consultations Social Learning Listening What is Participation? Shift to Project

5. Ensure collaboration in diagnosis of problems, setting objectives, designing a strategy, formulating an action plan, taking the required action, and monitoring/evaluating the results DIAGNOSIS OF PROBLEMS OBJECTIVES STRATEGY ACTION PLAN Actions Actions Actions MONITORING What is Participation?

6. Invent, create, and reinforce social practices to ensure stakeholder direct participation in project design STAKEHOLDERS STAKEHOLDERS STAKEHOLDERS What is Participation? PROJECT DESIGN

7. Stakeholders

8. Identify Stakeholders Engage them properly in the planning process Validate perceptions, conclusions, decisions Establish mechanisms to sustain the process IN PRACTICE : • Identify Stakeholders • Establish a task force composed of stakeholders and their representatives • Contract local leaders by working through intermediaries (NGOs, Gov. agen., consultants) • Hold local meetings to learn about pressing problems Steps of Participation IN THEORY:

9. Information Dissemination: One-way flow of information Consultation: Two-way flow of information Collaboration: Shared control over decision-making Empowerment: Transfer of control over decisions and resources Levels of Participation

10. Interventions and Methodologies

11. Improved Bank-Client Relationships Improving validity of Recommendations Increasing accessibility of recommendations Capacity Building for subsequent activities Relevance check Increase commitment and ownership Improved information flow Benefits of Participation for ESW

12. Increased relevancy of project objectives/inputs Building early consensus Mobilization of additional in-kind and financial resources Minimize risk of project rejection, cancellation Attainment of objectives Reaching otherwise difficult target groups Building institutional capacity Greater transparency and accountability Greater efficiency and planning Improved information flow Benefits of Participation for Projects:

13. IMPACT OF SA/PARTICIPATION • BAKU: BEFORE AND AFTER • Before • enhanced pressure/pumping stations • improved quality/water purification • autonomous water agency • After • consensus on all project objectives • full appreciation of need for institutional reform • deeper understanding of market economy/pricing • focus on community based delivery systems • leak prevention programs • metering programs • community outreach/environmental education • institutional restructuring for consumer relations • governance through share holding company • endorsed technical choices • enhanced coordination with other institutions

14. Matruh Resource Management Project • The project contains three aspects relating to Participation: • Community Action Plans: Diagnosis of existing resources, constraints and opportunities; statement of objectives and specific actions were outlined in relation to sustainable resource • management (community resources), income generation • and savings, and community participation (promoting • ownership and assuring accountability). • Women in Development: The role of women as • participants and beneficiaries were identified and a • strategy was developed to assure that women’s interests were appropriately included in project activities. • Monitoring and Evaluation: Field records, surveys, special studies and a GIS system were developed to effectively • monitor progress and track implementation problems.

15. Investing in the Human Capital of Women Improving girls’ access to education and campaigns to improve women’s literacy levels Vocational training for women Improving health services Enhancing Women’s Productivity Provision of credits to promote income generating activities for individual women and women’s cooperatives Introduction of time and labor saving technology for women Morocco: Enhancing Women’s Participation in Development

16. Turkmenistan Urban Transportation • In Turkmenistan people are extremely unhappy with transportation systems and infrastructure • They clearly demand management improvements and institutional reform • Despite high average willingness to pay many cannot afford to pay high transport costs imposed illegally upon them by bus drivers • Safety net is necessary • Solid social assessment facilitates policy dialogue with clients

17. Uzbekistan Water Supply • Social analysis help identify major issues and beneficiary needs • The rigorous social analysis enhanced participation by reducing the weight of technocratic decisions and by highlighting the underlying demand function • A collaborative approach to analytical work provided national experts and local communities to influence project design • A household survey determined high willingness to pay for social services, and considerable private expenditures by the poor even to have access to government services • Small teams held focus group discussions and identified issues needed to be addressed to improve government services

18. Armenia Poverty Assessment

19. Armenia Social Investment Fund

20. Initiate a participatory process for assessing the ECA/MNA Region’s experience in social assessment and participation. Create an initial baseline of the region’s social assessment and participatory activities to establish a foundation for structured learning. Identify achievements and best practices to facilitate the interactive learning process that the ECA and MNA Participation Action Plans are intended to achieve. Analyze major social concerns addressed in the Region’s projects and sector work. Identify major constraints to mainstreaming social assessment and participation in the region’s operational work. Recommend actions to enhance the regions response to the needs and priorities of project beneficiaries, particularly the poor. Objectives of the ECA/MNA Participation Review

21. Participatory initiative + stocktaking exercise Four sources of information: ECA/MNA staff interviews Desk reviews of IMs, IEPS, FEPS, etc.. Participation group discussions and reviews Documentation from management reviews ECA/MNA Participation Review Methodology

22. Conducting social analyses to design the participatory framework provides the richest and most relevant information for projects. Social/beneficiary assessments and social impact analysis are more widely known and accepted. Some conceptual and definitional confusion still exists regarding participation. Social Analyses Participation Framework ? Overall Social Assessment and Participation Findings

23. Participation Findings PARTICIPATION BEST MANAGEMENT PRACTICES SOCIAL ASSESSMENT

24. Social analyses/assessment have greater visibility in natural resources, agriculture, municipal services, water supply and sanitation projects than in social sector projects. Municipal Services Agriculture Natural Resources Water Supply and Sanitation Social Assessment and Participation Findings

25. Social analyses have greater visibility in projects than in country, sector or strategy work Country, Sector, and Strategy Work Projects Social Assessment and Participation Findings

26. Social Assessments focus on selected social groups, those which have received the most attention are: Social Assessment and Participation Findings • Ethnic groups • Migrants • Indigenous • Populations • Poverty groups • Women • Elderly • Children • Broad-based social assessments have only • recently become a part of the Regions’ Portfolio.

27. Social assessments focus on critical social issues, those which have received the most attention are: Social Assessment and Participation Findings • Poverty Alleviation • Social Costs of Economic Transition • - Social Consequences of Divestiture • - Needs Created by Land Privatization • - Unemployment and Worker Dislocation • Ensuring Public Ownership of Reforms • Building Community Institutions

28. Unclear Definition and Lack of Guidance Lack of Resources Procurement Procedures Low Priority in Project Cycle Low Reward in Staff Performance Criteria Perceived Insensitivity of Macro Economic Approaches Perceived Marginality of Social Sciences Constraints to Mainstreaming Participation and Social Assessment

29. Implement Participation Action Plans Institutionalize Participation and Social Assessment in the Project Cycle Provide Staff Incentives Provide Staff Training Recruit New Staff Monitor Impacts Recommendations for Mainstreaming Participation and Social Assessment

30. Stocktaking of region’s activities Improved monitoring of Participatory Approaches in Lending and ESW IEPS Review for Projects IM Review for Adjustment Lending IP Review for ESW Substantive guidance to enhance staff dialogue with Governments to enhance In-Country Participation Staff Training/ Dissemination of Best Practices Flagship Project Development ECA Participation Action Plan

31. Planning and Monitoring CAS and annual pipeline discussion with governments/country level plans Flagships Process Changes Participation initiatives, costs and benefits defined in IEPS/FEPS and issues Note reviews Training Raising awareness and improving skills through training for staff MNA Participation Action Plan

32. Process

33. A paragraph on participation at the IEPS/IM should mention: • who are the key stakeholders • how the interests of each will be dealt with in the project/ESW • whether any stakeholder group will be negatively affected by • the proposed project • at what level the stakeholders will be involved (information, • consultation, collaboration, empowerment) • how collaboration and project ownership will be achieved • what methods will be employed to achieve participation • (surveys, community-based discussions, institutional • assessments, seminars)

34. Example of an Urban Water Supply Project Key stakeholders are users and providers of water supply and those governmental agencies that regulate policies (e.g. pricing, quality control). Users include households, institutions, and industry. Providers include the formal water agency, vendors, and other private persons. Self-provisioning is also a mode of supply. User participation in project design will be enhanced through social surveys, broad-based NGO participation, and media outreach. Modalities for direct community participation in project implementation would be explored through community consultations and information sharing. Collaboration with local and central government agencies would be secured, particularly with respect to the institutional aspects of the project. A stakeholder workshop covered by the media would be used to share information about the results of the consultation and collaboration processes. Better governance would be achieved through privatization of the local water authority. Participation is sought both as an input to project design and as a means for project implementation and governance. About 10% of project preparation budget and 25% of project implementation costs will be devoted to participation.

35. Example of a Rural Infrastructure ESW ESW will be prepared in a participatory manner to enhance government ownership of the product, to increase operationalization of its findings and acceptability of its recommendations to central and local governmental agencies and communities. By means of social assessment, priority needs of ultimate beneficiaries will be identified. Local focus group meetings with communities, their leaders and NGOs will help identify mechanisms through which these can be met. Draft ESW will be prepared, using social assessment inputs, through collaboration of local and international consultants and staff of counterpart agency. A seminar will bring together representatives of a broad range of central government Ministries, local government representatives, NGOs, and the academic community. Major recommendations will be jointly drawn.