2. Social Assessment in Forestry Projects Workshop and Training Program, February 3-9, 2004 Ranchi, India Government of Jharkhand and The World Bank

3. DAY ONE OVERVIEW AND ELEMENTS OF SOCIAL ASSESSMENT

4. OPENING SESSION PROJECT OVERVIEW AND PURPOSE OF TRAINING

5. Objectives Discussions and joint learning on social assessment Policy makers Project implementers Fieldworkers, NGO partners, consultants, academics, leaders The project has not yet been designed – the social assessment will contribute to improved design of the proposed project Poverty reduction Targeting of poor and vulnerable groups Participation process and consensus building Monitoring and evaluation design Inputs to project appraisal and decisions This workshop is not intended to find solutions or reach consensus on all issues … but we will take note of concerns and issues, which will then be addressed during the actual social assessment process Expectation: Identification of issues; agreement on process

6. Social Assessment and Project Cycle The social assessment is an integral part of a project, not a separate study: Preparation Design Implementation Monitoring and Supervision The social assessment is above all operational: Documentation of issues Solutions and practical action plans Development of institutional mechanisms and partnerships Capacity building The documentation from the social assessment is an essential element in appraising and approving a project

7. Overview of training program Day one (Tuesday) Social assessment overview and conceptual framework Expectations, concerns, priorities Social Diversity and Gender Stakeholder mapping and analysis Logistics and practical matters Day two (Wednesday) Official inauguration Case study on stakeholder analysis Empowerment and social accountability Day three (Thursday) Risk analysis Safeguards Capacity, governance, political economy Dissent and consensus building

8. Overview of training program Day four (Friday) Project cycle Consultation and participation and consultations Methods and tools Preparation for fieldwork Day five (Saturday): full day fieldwork Day six (Sunday) Analysis and presentation of fieldwork data Feedback Priorities and follow up Evaluation Day seven (Monday) Discussion of pilots Participation framework Summary and next steps Diploma ceremony and closing remarks Dinner hosted by Government of Jharkhand

9. Tight program! We have a lot to cover … … and many people who have thoughts and ideas so PLEASE: STICK TO THE TIME FRAME GIVEN! KEEP YOUR INTERVENTIONS SHORT AND FOCUSED! Identifying problems is good … … identifying solutions is even better! ALLOW “AIR TIME” TO AS MANY AS POSSIBLE!

10. INTRODUCTION TO SOCIAL ASSESSMENT

11. A development project in the forestry sector should contribute positively not only to sustainable resource management, but to poverty reduction and benefits for local communities. The social assessment is intended to improve design, involve concerned stakeholders, and strengthen sustainability of benefits

12. Social Issues in the Forestry Sector How best to balance natural resource management with poverty reduction and improved livelihoods? How to enhance livelihood opportunities, through forest produce and other means? Tribal groups; access and encroachments Lack of consensus among concerned stakeholders; opposition from advocacy groups Limited physical and organizational infrastructure for making schemes and services work well for the poor Weak traditions and capacity among communities for participatory forestry management … and other issues, which the workshop participants will explore

13. “A social development approach begins with the perspectives and realities of poor and marginalized individuals and groups. Unless the poor and marginalized feel that development interventions genuinely improves their lives, and that its efforts empower them, those efforts will not be sustained.” From The World Bank’s Social Development Strategy OBJECTIVES: Inclusive societies, which operate so that institutions, policies, social norms and behaviors promote equal access to opportunities. Cohesive societies, which are willing and able to work together to address common needs and overcome constraints and diverse interests. Accountable institutions, which are transparent and serve the public interest in and effective, efficient and fair way, being responsive to people’s needs. Social Dimensions of Development

14. Issues addressed through Social Assessment 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

15. Social Assessment SA = A + P + O A nalysis: identify key stakeholders, understand social issues, social risks, and key social impacts P articipation: identify needs and priorities of key stakeholders, obtain their views; enable active involvement, transparency and capacity building O perationalization: incorporate findings of social analysis and participation through explicit social development outcomes appropriate institutional arrangements systems for M&E of SD outcomes

16. Social Diversity and Gender (understanding the socio-cultural, political and historical context) Institutions, Rules and Behavior (institutional analysis) Stakeholders (stakeholder analysis) Participation (both a process and an outcome) Social Risks (risk analysis) Core Elements of Social Assessment

17. Social Assessment in Development Projects: Translation of a complex context to concrete actions Afro-descendants Security Thick description Local institutions Ethnicity Discrimination Mobility Informal institutions Tribe Age Description of socio-cultural, institutional and political context Expected social development outcomes and objectives Strategy to arrive at the desired outcomes Analysis of alternatives Recommendations for implementation Indicators and benchmarks Monitoring and evaluation plan Social Assessment Social exclusion Indigenous peoples Inequality ParticipationGovernance Political economy Gender Displacement Civil society Community driven development Religion Social policyVulnerability AccountabilityMigration Social capital Culture YouthViolence Conflict Power Clientelism Kinship Empowerment

18. ELEMENTS OF SOCIAL ASSESSMENT

19. SOCIAL DIVERSITY AND GENDER

20. 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

21. AscribedMixedAchieved AgeLanguageCitizen/Migrant CasteNative/ Immigrant Education Ethnicity/RaceReligionIdeology GenderLocationLand- ownership Sexual Orientation DisabilityOccupation/ Livelihood Political Affiliation Unionization Urban/Rural

22. Tribal Groups in Jharkhand What are the characteristics of tribal groups? How do they relate to non-tribals? How do they traditionally use forest resources? How are land rights and access to resources organized? How do they organize themselves locally? Who makes decisions? How are different groups represented?

23. Gender Issues “Gender” refers to socially constructed differences between men and women. Different from “sex”, which refers to biological differences. Gender differences are apparent in: social and economic activities access to resources decision-making authority Gender roles are not fixed, but vary from culture to culture, and within society over time Social, economic and technological change Increased poverty and migration Feminization of poverty? The World Bank seeks to reduce gender disparities and enhance women’s participation in economic development.

24. Women in India: Development gaps Work undervalued and unrecognized Earn lower wages than men for doing the same work Under-represented in governance and decision- making Legally discriminated against in land and property rights Face violence inside and outside families

25. Gender Analysis What are the development needs of men and women? Activities Who carries out what tasks in the household? What is the gender division of labor? Resources and constraints Who has access to and control of productive resources? Who controls production and income? Who makes decisions? Access and opportunity How do extension services and other benefits differ between men and women? What are the appropriate types of intervention? What needs and opportunities exist for increasing women’s access to and control of benefits? How can we monitor activities and results from a gender perspective?

26. WORKSHOP EXPECTATIONS

27. Workshop Expectations What do you hope to get out of the workshop? Priorities Ideas and suggestions What to avoid Other things you think are important Write one idea only on each card Hand in before you go to lunch

28. LOGISTICS AND PRACTICAL INFORMATION

29. STAKEHOLDER MAPPING AND ANALYSIS

30. 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? Institutions, Rules and Behavior

31. 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. Institutions, Rules and Behavior

32. 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? Stakeholders

33. Stakeholder Analysis 1: Groups Affected by the Project (example from transport projects) Winners: Beneficiaries Travelers and passengers Transport owners, drivers and operators Traders and roadside vendors Pedestrians and non motorized transport People obtaining work in construction and maintenance Commercial Sex Workers The elderly, youth and children Losers: Adversely affected groups Displaced populations Corrupt functionaries, police, contractors Maintenance workers and governments staff working on the road

34. Stakeholder Analysis 2: Groups who can Affect Project Outcomes NGOs and Civil Society CBOs Development NGOs Government Agencies Administration and bureaucracy Political Leadership Private sector Traders Consultants and contractors Transport operators Donor community

35. Stakeholder Category Relevant Stakeholders Characteristics (social, location, size, organizational capability) Interests (degree of commitment to status quo; openness to change) Influence (H=High, M=Medium, L=Low) Government policymakers - - Parliament and political leadership -- Administration at different levels - -- Courts -- Supportive of improved transport conditions, but may oppose governance measures -- Largely supportive -- Neutral HHMHHM 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/ Int’l stakeholders Overall Stakeholder Analysis Matrix (SAM)

36. Stakeholder Analysis: Group Work Who are the key stakeholders in the proposed project? Winners: beneficiaries Losers: Those adversely affected, or who see their interests threatened Indirectly involved groups Others who may influence or impact the project’s outcomes What are their interests, or stakes, in the project? What is the level of their influence? Official: formal authority Unofficial: informal power or influence

37. DAY TWO ELEMENTS OF SOCIAL ASSESSMENT

38. PRIORITIZING AND WORKING TOGETHER

39. CASE STUDY: STAKEHOLDER ANALYSIS

40. Core elements of Social Analysis How they interact? Case study

41. Land Reform Current system 94% of the land is under customary tenure- Distributed by the traditional Chiefs. 6% of the land is under state title (only 3% for commercial agriculture). - The Ministry of land provides policy guidelines to the district, municipal and city councils act on its behalf. -The Ministry of Agriculture is responsible for identifying, planning, demarcating and recommending land for agriculture. Problems: inequity, inefficiency, under-use

42. Land Reform proposal basic assertions/ assumptions Inequity is inherent in the customary system  Land needs to be put under state custody and titled Insecurity is embedded in the customary system  Land needs to be put under state custody and titled Land lies idle  Rents need to be adjusted and revenue collection improved  Land needs to be put under state custody and titled To address land inequalities  30% of land should be allocated to women, ethnic minorities and vulnerable groups  Land needs to be put under state custody and titled

43. Government and State agencies The President Ministry of Land Lands Tribunal The Judiciary Office of the Vice-President Ministry of Legal Affair Ministry of Local Government and Housing The City, Municipal and District Councils Ministry of Agriculture and Cooperatives Ministry of Works and Supply Ministry of Commerce, Trade and Industry Ministry of Tourism, Environment and Natural Resources Ministry of Finance Parliament The Police Force/ Ministry of the Interior Private Sector Commercial farmers Small scale farmers Surveyors Lawyers Foreign Investors Commercial Banks Donors USAID WB/IMF DFID, GTZ, EU Civil Society The Chiefs Landless Herders FHHs, CHHs Minority Ethnic Groups National Farmers Union (NFU) Local NGOs International NGOs Media Key stakeholders 1 3 6 2 4 5 7 8 16 18 20 17 19 22 23 24 21 25 27 26 28 29 9 11 13 10 13 12 14 15 30 32 31 33

44. Effect of proposed reform Influence over decisions Benefit / Support Harm/ Oppose High Low Neutral 17 How do they relate to each other and to the reform?

45. Assessment findings Inequities: gender, ethnicity, late arrivals; All land tenure is somewhat insecure: State Land: corruption, lack of cadastre and registrar, government right of re-entry, slow courts, bureaucratic bottlenecks Customary Land: different traditions, different examples ! Dispute resolution mechanisms are not functioning Idle land: safety-net for urban migrants, labor constraints; lack of inputs, irrigation, tools; lack of infrastructure; Productivity is constrained by sickness, insufficient inputs, lack of tools and infrastructure; Credit is available where it is economic, e.g. cash crops; An informal land market exists;

46. Parliament will not be in consensus; No cadastre or registrar; Only 24 private and 15 state surveyors; Title can take years ( in one case- since 1976); Perceived high levels of corruption – lack functioning accountability system; The Land Tribunal ends in the capital; A court case might take 10 years; Very low capacity at the district and local authority level; The Chiefs- the only law and order mechanism Eroding their power  vacuum. Institutional analysis

47. Effect of proposed reform Influence over decisions Benefit / Support Harm/ Oppose High Low Neutral 17 How do they relate to each other and to the reform? 18 25

48. Effect of proposed reform Influence over implementation Benefit / Support Harm/ Oppose High Low Neutral 17 How do they relate to each other and to the reform? 18 25

49. Impacts Land is less of a predictor of poverty than other factors, e.g. physical isolation and non-ag incomes; Allocation of more land to smallholders without addressing labor constraints will have no impact on agricultural production; Land away from infrastructure has no value, with or without title; Credit is available where profitable, regardless of title; Formal land market will not solve the labor constraint; non-cash economy; lack of information and demand; Where land equals food security it is not a tradable good; Insecure title cannot be traded; Land under dispute/conflict cannot be used/ traded; Title means costs;

50. Winners/losers Support/opposition The Chiefs will lose power = oppose reform; Government agents/agencies win power and resources; Many households might lose access to common resources; Women claiming new rights could be in danger, if unprotected; New rents/ fees/ titles mean new expenses- support/ gain/loss depends on affordability; Access to information on prices and procedures, agencies and dispute mechanisms would be key– who would have it?

51. Effect of proposed reform Influence over decisions Benefit / Support Harm/ Oppose High Low Neutral 17 How do they relate to each other and to the reform? 18 25 26

52. Effect of proposed reform Influence over implementation Benefit / Support Harm/ Oppose High Low Neutral 17 How do they relate to each other and to the reform? 18 25 26

53. Effect of proposed reform Influence over decisions Benefit / SupportHarm/ Oppose High Low Neutral The Land Reform as Suggested 1 11 6 2 4 5 8 7 17 10 9 3 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33

54. Effect of proposed reform Influence over implementation Benefit / Support Harm/ Oppose Hig h Lo w The Land Reform as Suggested 1 11 6 2 4 5 8 5 7 17 10 9 3 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33

55. Effect of proposed reform Influence over decisions Benefit / Support Harm/ Oppose High Lo w Mixed reform: Legislative changes and measures to improve security and access and recognize the traditional leasehold as marketable 1 11 6 2 4 5 8 7 17 10 9 3 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33

56. Effect of proposed reform Influence over implementation Benefit / Support Harm/ Oppose High Low Mixed reform 1 11 6 2 4 5 8 7 17 10 9 3 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33

57. EMPOWERMENT AND SOCIAL ACCOUNTABILITY

58. The Service Delivery Problem Services do not reach the poorest Resources do not deliver the expected results Various schemes and programs are poorly coordinated, with duplication of efforts and wastage of resources Increasing resources may not solve the problems There is a need to improve the efficiency and effectiveness of public expenditures Improved budget allocations Better expenditure tracking Improved monitoring and accountability mechanisms Increased participation and awareness Access to information India has done well in terms of providing basic access to services, but less well in ensuring quality, reliability, and effectiveness:

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

60. 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 What is Accountability? 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

61. 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.

62. Private Sector A focus on local communities, social groups and relationships: Inclusive and pro-poor institutions based on partnership and mutual accountability Equity in access to services and development opportunities Civil society Government

63. Macro – micro linkages

64. 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

65. 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

66. FORMAL INAUGURATION

67. Questions for group work Based on the stakeholder analysis, choose two important stakeholder groups who have a relationship (e.g. based on citizens’ voice; service delivery; bureaucratic functions What are the key services, contractual arrangements, or other relationships between them? What are the rights and responsibilities of each? What are the means of interaction between them How are needs and opinions expressed? How are needs and opinions of clients or customers taken into account? What are the mechanisms of public and social accountability between them, and how can they be made better? Note: Presentations back to the plenary will be in the form of role play!

68. DAY THREE RISKS AND CONSENSUS BUILDING

69. Social Transformation: Participation, Empowerment and Security

70. Objectives of Risk Analysis Assess what can go wrong Adverse impacts caused by the project Risks to the project Consider alternatives Design mitigation and risk management measures Based on this, decide whether the project is still justified

71. Social Risk Risks from the project Vulnerability risks: Increase in exposure to stress or shocks Risks to the project State level 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 Who are the winners and who are the losers? How do poor people cope with risk? What actions can be taken to reduce or mitigate risk?

72. Example of risk: From Yesterday’s Case Study Major risks to the reform  Conflict  HIV/AIDS  Elite capture  Corruption  Climatic Major risks from the reform  Increased inequality  Increased poverty  Increased vulnerability

73. To sum up Too many expectations on a too fragile ground on an un-paved road

74. Importance of risk Probability of risk High Low 17 How important is it? High

75. Importance of risk Probability of risk High Low How important is it? High K

76. RRMPK Substantial RRMP Moderate IRTT Low IRTT ModerateSubstantialHigh Probability of risk Importance of risk Actions Arising Out of Risk Assessment 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

77. Risks Caused by the Project: Vulnerability and Social Safeguards

78. Social Safeguard Policies OP 4.12 Involuntary Resettlement OD 4.20 Indigenous Peoples

79. Indigenous Peoples Objectives: Are afforded respect for their cultural uniqueness in the development process Do not suffer adverse impacts Receive culturally compatible social and economic benefits Triggers: Do indigenous peoples live in the project area Are they project beneficiaries Could the project adversely affect them Problem issues Identification of indigenous peoples Adequacy of consultations “Prior, informed consent”? Incorporating IP issues in project design

80. Definition of Indigenous Peoples: Process approach, early screening, stakeholder analysis No single universal definition for the term “indigenous peoples” Different terminology used in different parts of the world Indigenous ethnic minorities Tribal groups Scheduled tribes Groups with a social and cultural identity that: Is distinct from dominant groups Makes them vulnerable to being disadvantaged in the development process

81. Identification Criteria Close attachment to ancestral territories and natural resources Presence of customary social and political institutions Indigenous language, often different from the national language Self-identification as members of a distinct cultural group

82. Involuntary Resettlement 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 Triggers: Involuntary taking of land Restriction of access to parks and protected areas

83. How land acquisition started … Cartoon by Chris Madden

84. Direct Impact Area Agricultural encroachment Public land (road, forest) Squatters and encroachers Private property owner Minimize impact area Ensure community participation Provide assistance or compensation to displaced groups Common Property Resources Displacement and impact area

85. 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 …

86. How is the World Bank’s policy different? Compensation at full replacement value The need to compensate or assist people losing livelihoods Legal title not required in all cases Timeliness – no displacement before compensation has taken place

87. 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

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

89. 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?

90. The Problematic Issue of Encroachments Traditional rights where the State never legally acquired land Local recognition based on taxes and other fees; de facto ownership Tribal groups Problems with proof of occupancy Arbitrary cut-off dates? Promises of land regularization by politicians Inconsistent application of policies; court reversals

91. 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 Impacts on Livelihoods

92. Vulnerable groups: Risk analysis and consultations 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

93. Involuntary Resettlement: Key Principles in Forestry Largely community impacts Focus on restriction of access Avoid direct displacement where possible Consider wider impacts Access roads Schools Health services Identify unit of impact, consultation, benefits Households Community Identify and document livelihood opportunities

94. 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

95. Consultation and Disclosure in Resettlement Situations 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

96. 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

97. 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

98. Cultural Property Objectives: Physical cultural resources are identified and protected in World Bank projects National laws governing the protection of physical cultural property are complied with Triggers: The policy applies to all projects where cultural property issues are identified, for example through the EA process Problem areas: Identification of subterranean cultural property Impact of chance finds on construction

99. Other Risks Caused by Projects Privatization or public sector reform Retrenchment Political opposition Spread of disease HIV/AIDS; e.g. in transport projects Increased local conflict Competition for resources Abuses by vested interests or powerful groups Elite capture and unequal access to benefits Bureaucratization and centralized control Lack of recognition of informal sector Increase in taxes or rent-seeking Increased vulnerability to natural disasters Erosion and loss of forest cover Changes in cultivation or cropping patterns

100. RISKS TO THE PROJECT

101. Social Risk Risks from the project Vulnerability risks: Increase in exposure to stress or shocks Risks to the project State level 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 Who are the winners and who are the losers? How do poor people cope with risk? What actions can be taken to reduce or mitigate risk?

102. CASE STUDY: RISKS RELATED TO POWER SECTOR REFORM

103. Issue Analysis Will the project affect social and economic cleavages? Will the project create or increase different social opportunities among groups? Will the project affect power and social structures? Will the project cause or increase tensions between tribal and other groups? Will the project affect authority and decision making in governance, access to services or opportunities, or control of natural resources?

104. Group work Risk Assessment: Key Issues Understand the political topography in the state and the sector Identify likely impacts of project on state and sector Develop suggestions to move forward Risk assessment of select issues How can we avoid or minimize the risks? How do we monitor the risks during implementation, and take the appropriate action? Who will be responsible for doing what?

105. DAY FOUR METHODOLOGY AND FIELDWORK PREPARATION

106. FEEDBACK SESSION FROM GROUPS: RISKS AND HOW TO DEAL WITH THEM

107. STAKEHOLDER PRIORITIES AND CONCERNS

108. Group work Stakeholders’ concerns During the tea break, discuss with others from your own stakeholder group Community Based Organizations (incl. tribal groups) NGOs Academics Forest guards and rangers Senior Forestry Department officers World Bank Others What are your group’s views on the proposed project? What are the main results you would like to see? What are the risks or concerns from your perspective? How do you expect to contribute?

109. METHODS AND TOOLS

110. Research Methodology for Social Analysis

111. Stage I: Rapid Context Assessment Problem analysis Stakeholder analysis Participation and consultation framework Communication strategy Risk analysis Gap analysis Revised plan for remainder of preparation phase

112. Stage II: Detailed Design Phase Data collection (both primary and secondary sources) Ongoing consultations and participation of key stakeholders Analysis and action plans Guidelines for formation of groups Partnerships, responsibilities; agencies involved Mitigation plans where required Other documentation, outputs as required Establish implementation mechanisms Baseline data and benchmarks Establish Monitoring & Evaluation systems to provide documentation, learning, and flexibility

113. Key principles of qualitative 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

114. Data Collection and 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

115. Depth versus breadth Number of persons studied or interviewed Researcher requirements Few Many Participant observation Observation Unstructured interviews Structured interviews Social surveys Few researchers, high personal involvement Many researchers, low personal involvement Focus group discussions

116. 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

117. 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.)

118. 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

119. 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 Women’s and men’s time management and allocation Mapping of women’s and men’s roles in production, conservation, decision making, household activities

120. 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

121. 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

122. Central Government State Government Local Government Public Process mapping: flows MoneyDecisions Information Central Government State Government Local Government Public ?

123. PREPARING FOR FIELDWORK

124. Example from Kenya: Rapid Context Assessment 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.” Original Development Objective: Rehabilitation and upgrading of Nairobi - Nakuru portion of the northern corridor

125. Kenya example: Social 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

126. Kenya example: Social 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

127. CONSULTATION AND PARTICIPATION

128. Participation: Different levels 1. None Decisions are taken, people are not informed 2. Information sharing One-way communication: people are told about what is going to happen 3. Consultation Two-way communication: people’s views are listened to, but not necessarily taken into consideration 4. Participation People participate in different ways, and their views are taken into consideration 5. Empowerment Decision-making authority is transferred or shared

129. Effective participation includes participation of beneficiaries and other stakeholders 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? Is consensus possible or necessary? If not, how are decisions reached? How are recommendations and decisions to be incorporated into the project? Consultation and Participation

130. Participation, Consultation and Learning Framework Ongoing process; includes participatory monitoring and evaluations Community meetings Workshops and seminars Key informants Focus groups Awareness campaigns Training and capacity building Use of expert knowledge and studies Communication strategy Policy debate and advocacy

131. 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 informants 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

132. Fieldwork: Rapid Context Assessment DO NOT present this as a project to come, but focus on learning about the situation, based on the framework and issues we have discussed! Assess opportunities, constraints, likely impacts and risks arising out of the social context Identify / re-examine intended social development outcomes of the project Consider design implications and recommend relevant policy and institutional arrangements for the project Identify indicators to monitor SD dimensions and report on the M&E plan Make recommendations for a project participation framework Make recommendations for pilots and proposed approaches

133. 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

134. FIELDWORK: LOGISTICS

135. Field visits Group 1- SADMA (30 km) Group 2- DUNDUN (23km) Group 3- RAMDAGA (32 km) Group 4- KUCHU PAHAN TOLI (52km) Group 5- SEMRA (23km) Group 6- TILAKSUTI (23km) Group 7- CHAND (20km) Group 8 - SILADON (20km) Starting 8:30 From Ashoka Hotel Transport, lunch boxes will be providede

136. DAY FIVE FIELDWORK

137. DAY SIX ANALYSIS AND PRESENTATIONS

138. Fieldwork: Rapid Context Assessment What did you find during the fieldwork, based on the key social issues of Social diversity and gender Organizational and institutional structures Stakeholders and participation processes Potential risks and how to avoid or mitigate them Make recommendations for a project participation framework Make recommendations for pilots and proposed approaches Based on communities’ needs; potential for a participatory forest management project Suggest priorities and next steps

139. DAY SEVEN THE WAY AHEAD

140. PROJECT CYCLE

141. Project Cycle and Social Assessment Bank: Social Analysis Social Assessment PCNPAD Design and Action Plans Dialogue and technical assistance Decision on whether to undertake Social Assessment Project Approval Implementation and monitoring of Social Development Components Supervision Including attention to social development issues and concerns Social Analysis during Preparation And Appraisal, including Mission participation Analysis & Consultation process Undertaken by Borrower & Consultants Social Analysis in identification Existing data: specific social analysis, or relevant content in other studies and reports

142. World Bank appraisal: Decision document 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?

143. What makes a good project plan? 1. Policy framework Agreement on basic principles, objectives, entitlement framework, etc. Formal endorsement by responsible authorities 2. Analysis and Documentation Census and surveys as required Analysis of social groups with a focus on risk, vulnerability and opportunity 3. Meaningful participation process Documentation of consultation process and implications for project design and implementation mechanisms Transparency and feedback mechanisms 4. Development Action Plans Action plans integrated and coordinated with other project components Budget provision and clear responsibilities Supervision, monitoring and evaluation mechanisms established 5. Implementation Mechanisms Realism and implementability of plans Responsible institutions and agencies identified Institutional capacity and commitment

144. Social Assessment SA = A + P + O A nalysis: identify key stakeholders, understand social issues, social risks, and key social impacts P articipation: identify needs and priorities of key stakeholders, obtain their views; enable active involvement, transparency and capacity building O perationalization: incorporate findings of social analysis and participation through explicit social development outcomes appropriate institutional arrangements systems for M&E of SD outcomes

145. 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 Risks, mitigation, and risk management measures

146. 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 Social Assessment: Sample Terms of Reference (contd.)

147. Effective participation includes participation of beneficiaries and other stakeholders 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? Is consensus possible or necessary? If not, how are decisions reached? How are recommendations and decisions to be incorporated into the project? Consultation and Participation

148. 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?

149. Decision making and enhancement of social and environmental benefits 100% High score overall Low score overall 0%100% High environmental, low social score High social, low environmental score Benefits to the environment Benefits to people   

150. Policy Analysis and Documentation Meaningful consultation and disclosure Strategies and Action plans Implementation mechanisms; institutional capacity and commitment Laws and policies are not always adequate– … but policies are just the tip of the iceberg.

151. 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

152. Next steps How will the people who have participated in this workshop be involved? Further consultations? Act as facilitator for consultations with broader groups? Involvement in studies? Action planning? Implementation of pilots? Future assistance in monitoring?