social analysis handbook
TRANSCRIPT
Handbook on Social AnalysisA Working Document
About the Handbook on Social Analysis
ADB supports equitable and sustainable social development outcomes by giving attention to the social dimensions of its operations. The Handbook on Social Analysis, A Working Document contributes to this endeavor by providing practical guidance to ADB staff, government officers, and consultants involved in programming, preparing, and implementing activities to effectively integrate social dimensions into ADB-financed operations. The handbook provides a road map to specific ADB policies and procedures related to social development and social analysis.
About the Asian Development Bank
ADB aims to improve the welfare of the people in the Asia and Pacific region, particularly the nearly 1.9 billion who live on less than $2 a day. Despite many success stories, the region remains home to two thirds of the world’s poor. ADB is a multilateral development finance institution owned by 67 members, 48 from the region and 19 from other parts of the globe. ADB’s vision is a region free of poverty. Its mission is to help its developing member countries reduce poverty and improve their quality of life.
ADB’s main instruments for helping its developing member countries are policy dialogue, loans, equity investments, guarantees, grants, and technical assistance. ADB’s annual lending volume is typically about $6 billion, with technical assistance usually totaling about $180 million a year.
ADB’s headquarters is in Manila. It has 26 offices around the world and more than 2,000 employees from over 50 countries.
Asian Development Bank6 ADB Avenue, Mandaluyong City1550 Metro Manila, Philippineswww.adb.orgPublication Stock No. 091707 Printed in the Philippines
Handbook on Social Analysis A W
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ExEcutivEsummary �
Handbook on Social AnalysisA WORKING DOCUMENT
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©2007asianDevelopmentbank
allrightsreserved.Published2007.
PrintedinthePhilippines.
Publicationstockno.091707
cataloging-in-PublicationDataavailable
1.asianDevelopmentbank 2.socialDevelopment 3.socialanalysis 4.Povertyanalysis
5.consultationandParticipation 6.GenderandDevelopment 7.involuntaryresettlement
8.indigenousPeoples 9.socialsafeguards
theviewsexpressedinthishandbookarethoseoftheauthorsanddonotnecessarilyreflecttheviewsandpoliciesoftheasianDevelopmentbank(aDb)oritsboardofGovernorsorthegovernmentstheyrepresent.
aDbdoesnotguaranteetheaccuracyof thedata included in thispublicationandacceptsnoresponsibilityforanyconsequenceoftheiruse.
useoftheterm“country”doesnotimplyanyjudgmentbytheauthorsoraDbastothelegalorotherstatusofanyterritorialentity.
ExEcutivEsummary ���
Foreword
theHandbook on Social Analysis, A Working Document,isthelatestinasuccessionofresourcesmeanttohelpstaffoftheasianDevelopmentbank(aDb),governmentofficers,consultants,andotherstoaddressthesocialdimensionsofaDb’soperationseffectively.ultimately,theHandbookaimstocontributetodevelopmentoutcomesintheasiaandPacificregionthatareequitableandsustainable.
With increasing recognition in the1990sof the importanceofpeople-centereddevelopment,aDb introducedaseriesofsocialanalysis toolsandguidelines formaximizingdevelopmentbenefitsacross socioeconomic groups and preventing or minimizing adverse social impacts of aDb-assistedprojects.WhenaDbissueditspovertyreductionstrategyin1999,socialanalysisandpovertyanalysiswerecombined.theHandbook on Poverty and Social Analysis, A Working DocumentwasintroducedinDecember2001.
aDb’stoolsandguidelinesforsocialandpovertyanalyseswerereviewedfollowingadoptionoftheenhancedpovertyreductionstrategyin2004.thePoverty Handbook – Analysis and Processes to Support ADB Operations, A Working Document,waspublishedin2006.theHandbook on Social Analysis, A Working Document,shouldbeusedinparallelwiththePoverty Handbook.
the Handbook on Social Analysis,A Working Documentdoesnotintroduceanynewpoliciesorproceduralrequirements.However,itincludesthefollowingnewfeatures:(i)amoresystematicsocialanalysisincountrypartnershipstrategiesandregionalcooperationstrategies,(ii)improvedtemplatesfortheinitialpovertyandsocialanalysisandthesummarypovertyreductionandsocialstrategyforprojectand/orprogrampreparation,(iii)updatedexamplesofsocialanalysis,and(iv)socialanalysisandmonitoringandevaluationduringprojectimplementation.thefoursectionsinthehandbookareorganizedaccordingtoaDb’soperationalcycleandbusinesspractices.appendixesprovidearichsetoftoolsaswellaslinkstootherhandbooks,toolkits,andguidelinesonsocialdevelopmenttopics.
thehandbookwasaproductofcollaborationamongstafffromacrossaDb,includingindispensableinputsfromapeerreviewteam,whosesupport isgratefullyacknowledged.thehandbookwillneedupdatingfromtimetotimetoremainrelevantinthefast-changingbusinessenvironment.itis,likeitspredecessors,aworkingdocument.Wewelcomeyour feedbacksowecancontinue to improve thehandbook.
WehopeusersofthishandbookwillfinditausefulguideinintegratingsocialconcernsintoaDb-financedoperationsandtherebycontributingtoinclusivesocialdevelopmentintheregion.
shyamP.bajpai actingDirectorGeneral regionalandsustainableDevelopmentDepartment
�v HanDbookonsocialanalysis
Acknowledgments
the Gender, social Development, and civil society Division of the regional and sustainableDevelopmentDepartmentpreparedthishandbook.ateamcomprisingsriWeningHandayani,sonomitanaka,andEugeniamcGill(staffconsultant)drafteditwithoverallguidancefromrobertDobias.marifePrincipeprovidedresearchassistance.
thepeerreviewteam,includinglourdesadriano,albabakanda,arminbauer,bartletÉdes,scottFerguson, andrea iffland, ruwani Jayewardene, toshio kondo, shireen lateef, shalina akhter miah,stephenPollard,indirasimbolon,monawarsultana,susanneWendt,andinessmythprovidedvaluablecommentsandsuggestions.
ma.victoriamabugat, Jindrasamson,andaldwinsutarezprovided formattingandpublicationsupport.Jaymaclean,consultant,editedthedocument.
ExEcutivEsummary v
Abbreviations
aDb - asianDevelopmentbankaDF - asianDevelopmentFundc&P - consultationandparticipationcbo - community-basedorganizationcGa - countrygenderassessmentcobP - countryoperationsbusinessplancPa - countryperformanceassessmentcPia - countrypolicyandinstitutionalassessmentcPs - countrypartnershipstrategycso - civilsocietyorganizationDmc - developingmembercountryDmF - designandmonitoringframeworkEPrs - enhancedpovertyreductionstrategyGaD - genderanddevelopmentHiv/aiDs - humanimmunodeficiencyvirus/acquiredimmunodeficiencysyndromeiEc - information,education,andcommunicationiPDF - indigenouspeoples’developmentframeworkiPDP - indigenouspeoples’developmentplaniPsa - initialpovertyandsocialanalysisirrm - impoverishmentrisksandreconstructionmodelmDG - millenniumDevelopmentGoalmFF - multitranchefinancingfacilitymrm - managementreviewmeetingnGo - nongovernmentorganizationnPrs - nationalpovertyreductionstrategyPba - performance-basedallocationPcr - projectcompletionreportPia - povertyimpactassessmentPPEr - project(orprogram)performanceevaluationreportPPms - projectperformancemanagementsystemPPn - projectpreparatorynotePPr - projectperformancereportPPta - projectpreparatorytechnicalassistancePra - participatoryrapidassessmentrci - regionalcooperationandintegration
v� HanDbookonsocialanalysis
rcs - regionalcooperationstrategyrrP - reportandrecommendationofthePresidentsDP - sectordevelopmentprogramsoE - state-ownedenterprisesPrss - summarypovertyreductionandsocialstrategyta - technicalassistanceti - targetedinterventiontor - termsofreferenceZoPP - Zielorientierte Projektplanung(objectives-orientedProjectPlanning)
NOTES
(i) inthisreport,“$”referstousdollars.(ii) inthisreport,unlessotherwiseindicated,theterm“projects”referstoinvestmentloansand grants,policy-basedloansandgrants,andtechnicalassistance.
ExEcutivEsummary v��
Contents
Foreword iii
acknowledgments iv
abbreviations v
Executivesummary xi
I. Overv�ewofSoc�alDevelopmentandSoc�alAnalys�s�nADBOperat�ons 1
A. Introduct�on 1
1. PurposeoftheHandbook 1
2. structureoftheHandbook 1
B. RelevantPol�c�esandStrateg�es 2
1. overview 2
2. aDb’sEnhancedPovertyreductionstrategy 2
3. aDb’ssocialDevelopmentPolicies,strategies,andProcedures 3
C. Soc�alDevelopmentandSoc�alAnalys�s�nADBOperat�ons 3
1. overview 3
2. socialDevelopmentGoalandoutcomes 5
3. keysocialDimensions 5
4. mainEntryPointsforsocialanalysis 7
II. Soc�alAnalys�s�nCountryPartnersh�pStrateg�es 11
A. Introduct�on 11
B. Soc�alAnalys�s�ntheCPSProcess 12
1. socialDimensionsofcountryProgramming 12
2. backgroundanalysisandassessments 14
3. stakeholderconsultations 16
4. thecPsDocument 16
5. cPsimplementation,monitoring,andEvaluation 18
C. Soc�alAnalys�s�nReg�onalProgramm�ng 19
1. overview 19
2. socialDimensionsofregionalProgramming 19
3. theregionalcooperationstrategyDocument 19
D. Soc�alAnalys�s�nCountryPerformanceAssessments 20
III. Soc�alAnalys�s�nProjectPreparat�on 21
A. Introduct�on 21
B. ProjectClass�ficat�on 22
v��� HanDbookonsocialanalysis
C. F�nanc�ngModal�t�es 23
D. ProjectPredes�gn 25
1. conceptPaper 25
2. initialPovertyandsocialanalysis 26
3. summaryoutput:iPsareport 31
E. ProjectDes�gn 31
1. overview 31
2. targetingthePoorandassessingPovertyimpacts 32
3. scopeandorganizationofsocialanalysis 32
4. Datacollectionmethods 33
5. Profileofclients/beneficiaries 35
6. stakeholderconsultationandParticipation 38
7. addressingGenderDisparities 40
8. Ensuringsocialsafeguards 40
9. addressingotherrisksandvulnerabilities 41
10. summaryoutput:thesPrssForm 42
11. DesignandmonitoringFramework 42
12. assurances 45
F. ProjectDocumentat�on 47
IV. Soc�alAnalys�s�nProjectImplementat�on 49
A. Introduct�on 49
B. Soc�alAnalys�s�ntheProjectPerformanceManagementSystem 50
1. Projectadministrationmemorandum 50
2. ExecutingagencyProgressreports 50
3. ProjectPerformancereports 52
4. midtermreviewreport 52
5. Projectcompletionreports 53
6. Project(orProgram)PerformanceEvaluationreport 55
C. RolesofStakeholders 55
D. D�sclosure 56
Append�xes 57
1. RelevantADBPol�c�es,Strateg�es,andProcedures 59
1.1. Policies,strategies,andProceduresrelatedtosocialDimensions 59
1.2. Projectclassificationsystem 61
2. SampleTermsofReference 67
2.1. sampletermsofreferenceforinitialPovertyandsocialanalysis 67
duringPPtaFact-Finding(orotherinitialDueDiligence)
2.2. sampletermsofreferenceforsocialanalysisinProjectDesign 69
contEnts �x
3. ToolsandDataCollect�onMethodsforSoc�alAnalys�s 79
3.1. toolsandDatacollectionmethodsforsocialanalysis 79
3.2. socioeconomicProfiles 86
3.3. surveys 88
3.4. Participatoryrapidassessments 90
3.5. benefitincidenceanalysis 91
4. IPSAandSPRSSReportForms 93
4.1. initialPovertyandsocialanalysis(iPsa)reportForm 93
4.2. summaryPovertyreductionandsocialstrategy(sPrss)reportForm 98
5. Consultat�onandPart�c�pat�on 103
5.1. stakeholderanalysis 103
5.2. Problem,objectives,andalternativesanalysis 107
5.3. ParticipatoryPlanning 109
5.4. consultationandParticipationPlans 112
5.5. GuidelinesforinvolvingnGosandcbosinProjectDesign 116
6. GenderandDevelopment 123
6.1. GenderchecklistforinitialPovertyandsocialanalysis 123
6.2. GenderchecklistforProjectDesign 124
6.3. GenderchecklistforProjectFact-Findingorappraisal 125
6.4. GenderPlans 127
7. InvoluntaryResettlement 129
7.1. involuntaryresettlementcategorizationForm 129
7.2. involuntaryresettlementchecklistforiPsa 132 7.3. involuntaryresettlementconsiderationsinProjectDesign 134
7.4. involuntaryresettlementPlansandFrameworks 140
8. Ind�genousPeoples 149
8.1. indigenousPeoples’screeningchecklist 149
8.2. indigenousPeoples’impactcategorizationForm 150
8.3. indigenousPeoples’checklistforiPsa 153
8.4. indigenousPeoples’DevelopmentPlansandFrameworks 155
9. Labor 159
9.1. corelaborstandards 159
9.2. summarylabormarketassessment 162
9.3. mitigationoflaborimpacts:laborrestructuringPlans 166
10. OtherR�skAssessmentsandM�t�gat�onPlans 173
10.1. riskandvulnerabilityProfiles 173
10.2. affordability 176
x HanDbookonsocialanalysis
10.3. WillingnesstoPay 178
10.4. mitigationPlans 180
11. SampleSoc�alInd�cators 185
12. ResourcesonADBPol�c�es,Strateg�es,andProceduresRelatedto 189 Soc�alD�mens�ons
13. SelectedReferences 191
Tables
1. socialanalysisinaDboperations 9
2. Povertyand/orsocialanalysisrequirementsbyProjectclassification 23
3. initialPovertyandsocialanalysis(iPsa)toolsandoutputs 27
4. socialanalysisduringProjectDesign 34
5. socialrisksandPossiblemitigationmeasures 44
F�gures
1. aDb-EnhancedPovertyreductionstrategy 2
2. aDboperationalcycle 8
3. thecountryPartnershipstrategy(cPs)Process 11
4. ProjectPreparation 21
5. ProjectPerformancemanagementsystem 51
Boxes
1. keysocialDevelopmentterms 4
2. socialDimensionsincountryPartnershipstrategies 13
3. socialissuestobeaddressedinacountryPartnershipstrategy 17
4. socialanalysisrequirementsforDifferentFinancingmodalities 25
5. initialPovertyandsocialanalysis(iPsa) 27
6. socioeconomicProfileofindia’sruralroadssectoriProject 36
7. communityParticipationstrategy:mongoliaurbanDevelopment 39 sectorProject
8. affordabilityanalysisandmeasuresinthePeople’srepublicofchina:Wuhan 43 WastewaterandstormwatermanagementProject
9. DesignandmonitoringFrameworkforthetonlesapruralWatersupplyand 46 sanitationsectorProject,cambodia
10.ProjectPerformancereportforthebangladeshurbanGovernanceand 54 infrastructureimprovement(sector)Project
ExEcutivEsummary x�
Executive Summary
Overv�ew
thishandbook intends tohelpprofessionals involved inprogramming,preparing, and implementingactivitiesfinancedbytheasianDevelopmentbank(aDb)toeffectivelyaddressthesocialdimensionsofaDb’soperations, therebyenhancingaDb’sefforts to reducepovertyandachievethemillenniumDevelopmentGoals (mDGs) inasia and thePacific. thehandbookdoesnot introduceanyneworadditionalpolicyorprocedural requirements.rather, itprovidesaroadmaptospecificaDbpolicies,strategies,andproceduresrelatedtosocialdevelopmentandsocialanalysis.thehandbookshouldbereadtogetherwithaDb’sPoverty Handbook(2006),whichprovidesguidanceforincorporatingpovertyconsiderations in countrypartnership strategies (cPss) and inprojects in linewithaDb’senhancedpovertyreductionstrategy(2004).together,thetwodocumentsupdateandreplaceaDb’sHandbook on Poverty and Social Analysis(2001).
aDb’soverarchinggoalispovertyreduction,withinclusivesocialdevelopmentasapillarofitspovertyreductionstrategy.aDb’saiminpromotinginclusivesocialdevelopmentthroughitsoperationsis tohelp itsdevelopingmembercountries(Dmcs)achieveequitableandsustainabledevelopmentoutcomes.thesocialdevelopmentoutcomestowhichaDbseekstocontributethroughitsoperationsare(i)greaterinclusivenessandequityinaccesstoservices,resources,andopportunities;(ii)greaterempowermentofpoorandmarginalizedgroupstoparticipateinsocial,economic,andpoliticallife;and(iii)greatersecuritytocopewithchronicorsuddenrisks,especiallyforpoorandmarginalizedgroups.
aDbsupports thesesocialdevelopmentoutcomesthroughattentionto thesocialdimensionsofitswork.theseinterrelatedandcrosscuttingsocialdimensions,whicharereflectedinspecificaDbpoliciesandstrategies,include(i)participation,(ii)genderanddevelopment,(iii)socialsafeguards,and(iv)management of other social risks and vulnerabilities.While thesedimensions capture themaintypesofsocialissuesthatariseinaDboperations,theyarenotexclusive.theycanalsotakeondifferentattributesandsignificancedependingonthecountryandlocalcontext.
aDb’soperationsconsistof threemajorprocesses: countryprogramming,projectdesign,andproject implementation.social analysishasaplace ineachphaseof theseprocessesand is closelyrelatedtothepovertyanalysisundertakenateachstage.socialanalysismustfocusandadapttothecountryandlocalcontext,theoutcomeandoutputsoftherelevantcountryprogramorproject,andthetimeandresourcesavailable.
Soc�alAnalys�s�nCountryPartnersh�pStrateg�es
throughitsmaincountryandregionalplanningdocuments—cPssandregionalcooperationstrategies(rcss)—aDb seeks to align its development assistance with national and regional priorities and toharmonize its approachwith that of other development institutions. For countries eligible to receiveassistancefromtheasianDevelopmentFund(aDF),anannualcountryperformanceassessmentalsoinfluencestheallocationofaDFresourcestosupportcPs.socialanalysisisanimportantingredientinthecPs,rcs,andcountryperformanceassessmentprocesses.
x�� HanDbookonsocialanalysis
CountryPartnersh�pStrateg�es
inundertakingcountrystudiesandcountryprogramming,aDbcountryteamsshouldensurethatbroadsocialconcernsareexaminedandaddressed,including(i)howsocialfactorssuchasgender,ethnicity/race/caste,age,maritalstatus,citizenship,anddisabilityaffectpeople’saccesstobasicservices,resources,economicopportunities,andpublicdecisionmaking,aswellastheirvulnerabilitytorisksandshocks;(ii)theeffectivenessofformalandinformalinstitutionsinpromotinginclusionandequitabletreatmentofwomenandothersocialgroups,andthemainweaknessesorgapsintheseinstitutions;and(iii)thecapacityofnationalandlocalgovernmentbodiestomanagethesocialrisksassociatedwithdevelopmentprojects.
social analysis in thecPs process beginswith the integration of social considerations in thecountrydiagnosticsthatarekeyinputstothecPs,includingcountryassessmentsofpoverty,genderandothersocialissues,governance,capacitydevelopment,andkeysectors.Whilecertaindiagnosticssuchascountrygenderassessmentsaddresssocialissuesdirectly,socialdimensionsalsoneedtobeintegratedinothercountrydiagnostics,particularlythecountrypovertyanalysisandsectordiagnostics.thehandbookidentifieskeysocialissuestoconsiderintheseassessments.
thecPsprocessshouldbeparticipatoryandinvolvecloseconsultationswithkeyDmcofficials,otherdevelopmentpartners,representativesofcivilsociety,andtheprivatesector.thehandbookprovidesguidanceonorganizingconsultationswithrepresentativesofcivilsocietyandwithpoor,marginalized,andisolatedgroupstoensurethattheirconcernsarereflectedintheformulation,monitoring,andevaluationofthecPs.
basedonthesocialanalysisincountrydiagnosticsandconsultationswithcivilsocietyandotherstakeholders,country teamsshould incorporatesocialdimensions inkeysectionsandappendixesofthecPsdocumentitself.thehandbookidentifiessocialconsiderationstobeincludedin(i)themaintextofcPs,(ii)resultsframeworkforcPs,(iii)thematicandsectorroadmapsthatareannexedtothecPs,and(iv)indicativerollingcountryoperationsbusinessplanthatisdevelopedbasedonthecPs.thehandbookalsoidentifiesentrypointsformonitoringnationaldevelopmentsrelatedtosocialissues,analyzingchangesinkeysocialdevelopmentindicatorsatthenationalandprojectlevels,andmakingrecommendationstoimprovethesocialdevelopmentoutcomesofaDb’sinterventions.
Subreg�onalCooperat�onStrateg�esandPrograms
aDbprioritizes its support for regional cooperation and integration (rci) in each subregion throughrcssthatarelinkedtothecPsprocessand,generally,followasimilarformat.indevelopingrcss,itisimportanttorecognizethatmostrciinitiativesentailsocialopportunitiesandrisks.Forexample,aDb’sregionalcooperationandintegrationstrategy(2006)acknowledgesthatregionalintegrationcaninvolveadjustmentcosts,particularly for lessdevelopedcountriesandregions, forcertainsectors,firms,andcommunities,andforthepoor.socialanalysiscanplayanimportantroleinidentifyingthelikelyimpactofrciinitiativesonpoorandvulnerablecommunities,andonmicroandsmallbusinessesandworkersinsectorsthatareopeningtoregionaltradeandcompetition.ingeneral,theprinciplesforintegratingsocialdimensionsinthecPsprocessandcPsdocumentshouldbefollowedforrcss.
ExEcutivEsummary x���
CountryPerformanceAssessments
aDb’srevisedperformance-basedallocationpolicy(2004)guidestheallocationofaDFresourcestoeligibleDmcsbasedonacountryperformanceassessmentandconsiderationsofcountryneeds.thecountryperformanceassessmentanalyzesthestrengthofacountry’spolicyandinstitutionalframeworkinseveralareas,includingthepromotionofequityandinclusioninwhichacountryisratedintermsofitseffortstopromote(i)genderequality,(ii)equityofpublicresourceuse,(iii)buildinghumanresources,and(iv)socialprotectionandlabor.theseratingcategoriesdovetailcloselywiththesocialdevelopmentthemesthatarerelevanttothecPsprocess.incarryingoutacountryperformanceassessment,acountryteamshouldbeabletodrawonthesocialanalysisincountrydiagnosticspreparedfortherelatedcPs,aswellasrelevantsectionsofthenationalpovertyreductionstrategy(andprogressreports),mDGprogressreports,andcountrystudiesbynationalresearchinstitutesandotherdevelopmentpartners.
Soc�alAnalys�s�nProjectPreparat�on
loanandgrant-basedprojectssupportedbyaDbarepreparedintwodistinctphases—predesignanddesign—whichspantheprojectcyclefromprojectidentificationthroughprojectapproval.thepurposeofsocialanalysisduringprojectpreparationistoidentifyopportunitiesandconstraintsforclients/beneficiaries,particularlypoorandmarginalizedgroupstobenefitfromprojectactivities;toestablishaparticipatoryprocessforthedesignoftheproject;andtopreparedesignmeasurestoachievesocialdevelopmentoutcomesduringimplementation.
thesocialanalysiscarriedoutinthepreparationofaprojectcanvarysubstantially,dependingonthesector,typeofproject,andcountryandlocalcontext.inallprojects,however,theresultsofthesocialanalysisaresummarizedintworequiredforms:(i)theinitialpovertyandsocialanalysis(iPsa),completedduringthepredesignphase;and(ii)thesummarypovertyreductionandsocialstrategy(sPrss),completedduringthedesignphaseandincludedasacoreappendixtothereportandrecommendationofthePresident(rrP).
thegeneralrequirementsforsocialanalysisapplytoallaDb-financedprojectsandimplementedbyDmcgovernmentsandpublicsectorinstitutions,includinglocalgovernmentsandstate-ownedenterprises(soEs).thehandbookidentifiessomedifferentapproachestosocialanalysisthatmayapply,dependingontheclassificationoftheprojectandthetypeoffinancingmodalityinvolved.thehandbookmayalsoprovideguidancetoaDbstaffwhoareprocessingprivatesectorprojects,ortothirdpartiesconductingduediligenceontheseprojects.
Predes�gnPhase
theprojectprocessingcyclebeginswith thepreparationofaprojectconceptpaper.at thisstage,aprojectistentativelyclassifiedintermsofitscomplexityandriskfordeterminingthelevelofduediligencerequired,thelevelofassistancefromsupportingdepartmentsandoffices,thecompositionoftheprojectteam,andtermsofreference(tor)fortheconsultantswhowillhelppreparetheproject.Potentialsocialissuesintheconceptpaperand/orissuesnoteshouldbeflaggedtoensurethattheseissuesreceiveadequateattentionduringthepredesignanddesignphases.
x�v HanDbookonsocialanalysis
onapprovaloftheconceptpaper,theprojectissubjecttoinitialduediligence.Forprojectsthataretobedesignedthroughprojectpreparatorytechnicalassistance(PPta),afact-findingmissionorfieldvisitisusuallyundertaken,andtheconclusionsarereportedinthePPtapaperorprojectpreparatorynote(PPn).ForprojectspreparedwithoutaPPta,aDbstaffgenerallycarryoutorsuperviseafact-findingmissionorotherinitialduediligence.akeyelementatthisstageistheiPsa,whichshouldbecompletedbytheendofthePPtafact-findingmissionorotherinitialduediligence.
iPsapresentsanopportunitytoflagpovertyand/orsocialissuesthatneedtobeaddressedingreaterdepthduringtheprojectdesignphase.iPsaalsoidentifiespossibilitiesforparticipatoryapproachestoprojectdesignandimplementation.thesummaryoutputofthisanalysisistheiPsareportform,whichbecomesanattachmenttothePPtapaper.theiPsaprocessshouldalsoproducetorforpovertyand/orsocialdevelopmentspecialistswhowillbeneededonthePPta(orotherduediligence)team,includingtheareasofexpertise,tasks,person-months,andresourcesrequired.
themainissueareastobeexploredintheiPsaare(i)thepotentialoftheprojecttoprovidegeneralortargetedsupportforpovertyreduction;(ii)aninitialstakeholderanalysisandidentificationof opportunities for clients/beneficiaries and other stakeholders to participate in project design andimplementation; (iii) identificationofpotential gender issues in theproject; (iv) identificationof anysocialsafeguardissues,includinginvoluntaryresettlementorimpactsonindigenouspeoplesandethnicminorities;and(v)identificationofanyothersocialrisksandvulnerabilitiesthatcouldunderminetheproject’sobjectivesorreduceitsbenefitstoclients/beneficiaries.thehandbookprovidesguidanceoneacharea.thehandbookalsoincludessampletorsforpreparingtheiPsaandguidanceonthetimerequired,relevantdatacollection,andsynchronizationwithotherpredesignactivities.
Des�gnPhase
the design phase of a project involves (i) technical, economic, social, and environmental analysesbasedontheoriginalprojectconcept;(ii)consultationswithrelevantstakeholders;(iii)considerationofalternativedesignoptions;and(iv)developmentofadetaileddesignandrelatedbudget,financingplan,andimplementationarrangements.basedontheissuesidentifiedandprocessesinitiatedduringthe iPsa,more in-depthsocialanalysis iscarriedoutduringthisphase, toassessandhighlightwaysinwhichtheeventualprojectmightbestaddresssocialdevelopmentissues,consistentwithitsoveralleconomicviability.
DependingontheissuesflaggedintheiPsa,thethematicareasthatthesocialanalysismaycoverincludeparticipation,genderanddevelopment,socialsafeguards,and/ormanagementofothersocialrisksandvulnerabilities.in-depthpovertyanalysisisalsocarriedoutforanyprojecttargetingindividualsorhouseholds.Povertyimpactanalysisisalsocarriedoutforanypolicy-basedloanorgrant.
socialanalysisisanintegralpartoftheprojectdesignprocessandshouldcontributetothetechnicalanalyses,stakeholderconsultations,considerationofalternativedesignoptions,andpreparationofthefinaldesign(includingthedesignandmonitoringframework[DmF]).theresultsofthesocialanalysisaresynthesizedinthesPrss,whichisacoreappendixtotherrPfortheproject.Dependingonthescopeofthesocialanalysis,otheroutputsmayinclude(i)socioeconomicprofilesofrelevantpopulationgroups;(ii)socialactionormitigationplans,orothermeasuresincorporatedintheprojectdesign;and(iii)socialdevelopmenttargetsandindicatorsincorporatedintheDmF(and,inthepolicymatrix,forpolicy-basedloansorgrants).Datacollectedforsocialanalysisshouldalsoprovideabaselineformonitoringsocialimpactsoftheprojectduringimplementation.
ExEcutivEsummary xv
thehandbookprovidesguidanceon(i)thescope,organization,andtimingofthesocialanalysis;(ii)appropriatedatacollectionmethods;(iii)preparationofsocioeconomicprofilesofclients/beneficiariesandanyotheraffectedgroups;(iv)participationofclients/beneficiariesandotherstakeholdersinprojectdesignandimplementation;(v)genderanalysisandpreparationofaprojectgenderplan;(vi)analysisofsocialsafeguardissuesandpreparationofrelatedmitigationplans;and(vii)analysisofothersocialrisksandvulnerabilities,anddevelopmentofappropriatemitigationplansorothermitigationmeasures.
Des�gnandMon�tor�ngFramework.aspartofitscommitmenttodevelopmenteffectiveness,aDbisplacinggreateremphasisonresultsinindividualprojectsthroughitsprojectperformancemanagementsystem(PPms).thecornerstoneofthePPmsistheDmF,whichmustbepreparedforallloan,grant,andtechnicalassistanceprojects.toensurethataDb’soperationsarefurtheringitsgoalofinclusivesocialdevelopment,itisimportanttointegratesocialdimensionsinDmFsforspecificprojects.thisprovidesgreaterassurancethatsocialdevelopmentactivitiesincludedintheprojectdesignwillbeimplementedandthatthesocialimpactsoftheprojectwillbemonitored.thehandbookprovidessuggestionsforincludingsocialimpacts,outcomes,outputsandactivities,andperformancetargetsandindicatorsinaDmF.
Assurances.theborrowerorotherrecipientofaDbassistancetypicallyprovidesanumberofassurancesabouttheimplementationoftheproject,includingitssocialdimensions.keydesignfeaturesandaction/mitigationplansaddressingsocialdevelopmentandsocial safeguard issuesshouldbesupportedbyspecificassurances(andrelatedcovenantsinthefinancingdocuments).theseassurancesandrelatedcovenantsprovideanadditionalbasisformonitoringtheimplementationofsocialdevelopmentactivitiesandmitigationplansunderthePPms.
Soc�alAnalys�s�nProjectImplementat�on
building on the DmF, the PPms includes several mechanisms for monitoring and managing theimplementationofaproject.theseinclude(i)theprojectadministrationmemorandum,whichisgenerallypreparedbefore the inceptionmission for theproject; (ii)periodicprogress reportspreparedby theexecutingagency for theproject; (iii)projectperformance reports,whicharepreparedandupdatedbyaDbstaffbasedonprogressreportsoftheexecutingagencyandprojectreviewmissions;(iv)themidtermreviewoftheproject;and(v)theprojectcompletionreportspreparedbytheexecutingagencyandaDb.thefinalelementofPPms,theprojectperformanceevaluationreport,ispreparedbyaDb’soperationsEvaluationDepartmentusuallywithin3–5yearsafterprojectcompletion,whendevelopmentimpactsarebecomingevident.
inviewofaDb’sincreasingfocusonmanagingforresults,itisimportanttoensurethatthesocialdimensionsofaDbprojectsaremonitoredthroughPPms,whichshouldbelinkedtotherelevantcountrymonitoringsystems.thisincreasesthelikelihoodthatsocialdevelopmentandsocialmitigationmeasuresincludedintheprojectdesignwillbeimplementedasplannedandthatthesocialimpactsoftheproject,bothpositiveandnegative,willbemonitoredeffectively.PPmsisalsointendedtobeahighlyparticipatoryprocess,includingbothgovernmentandnongovernmentstakeholders.Participatoryapproachestoprojectmonitoring,involvingclients/beneficiariesandotherproject-affectedgroups,canenhancethequalityofthePPmsandtheprojectasawhole.localresearchinstitutesorcivilsocietyorganizationscanalsobeengagedtocarryoutindependentmonitoringofaproject(oraspectsofaproject,suchasaresettlementplan).thehandbookprovidesguidanceonmonitoringandevaluatingsocialdevelopmentactivities,socialmitigationmeasures,andsocialimpactsthroughthevariousphasesofthePPms.
xv� HanDbookonsocialanalysis
ovErviEWoFsocialDEvEloPmEntanDsocialanalysisinaDboPErations 1
I. Overview of Social Development and Social Analysis in ADB Operations
A. Introduct�on
1. PurposeoftheHandbook
Thehandbookaimstoprovideanintegratedsetofguidelinestoprofessionalsinvolvedinprogramming,preparing,andimplementingactivitiesfinancedbytheasianDevelopmentbank(aDb),andtoeffectivelyaddressthesocialdimensionsofaDb’soperations,therebyenhancingaDb’seffortsto
reducepovertyandachievethemillenniumDevelopmentGoals(mDGs)inasiaandthePacific.thehandbookdoesnotintroduceanyneworadditionalpolicyorproceduralrequirements.rather,
itprovidesaroadmaptospecificaDbpolicies,strategies,andproceduresrelatedtosocialdevelopmentandsocialanalysisthatarerelevanttocountryanalysisandprogramming,andtoprojectpreparationandmanagement.thehandbookidentifiespracticaltoolsforincorporatingsocialanalysisintoprogramplanningandprojectpreparation.1
thishandbookshouldbereadtogetherwithaDb’sPoverty Handbook(2006),2whichprovidesguidanceforincorporatingpovertyconsiderationsincountrypartnershipstrategies(cPss)andinprojectsinlinewithaDb’senhancedpovertyreductionstrategy(2004).3becausepovertyreductionandsocialdevelopment are closely interlinked, this handbook includes numerous cross-references to relevantsectionsofthePoverty Handbook.together,thetwohandbooksupdateandreplaceaDb’sHandbook on Poverty and Social Analysis(2001).4
2. StructureoftheHandbook
sectioniofthishandbookprovidesanoverviewofpertinentaDbpolicies,strategies,andproceduresrelatedtosocialdevelopment,togetherwithageneralframeworkforanalyzingsocialissuesincountry
1 unlessotherwiseindicated,theterm“projects”referstoinvestmentloansandgrants,policy-basedloans,andgrants(whicharealsoreferredtoas“programs”),andtechnicalassistance.
2 asianDevelopmentbank(aDb).2006.Poverty Handbook: Analysis and Processes to Support ADB Operations – A Working Document.manila.
3 aDb.2004.Enhancing the Fight Against Poverty in Asia and the Pacific: The Poverty Reduction Strategy of the Asian Development Bank.manila.
4 aDb.2001.Handbook on Poverty and Social Analysis:A Working Document. manila.thishandbook,aswellasthePoverty Handbook,reflectschangesinaDb’sapproachtopovertyreductionunderitsenhancedpovertyreductionstrategy,medium-termstrategy ii (2006–2008),andrelatedchanges inbusinessprocesses.thesechanges include(i)closeralignmentofaDboperationswithdevelopingmembercountries’(Dmcs)povertyreductionstrategiesanddevelopmentplans,(ii)greateremphasisonaddressingpovertyandanalyzingsectorissuesatthecountryratherthanprojectlevel,(iii)greateremphasisonmanagingforresults,(iv)greaterselectivityinsectorinterventions,(v)theintroductionofnewfinancingmodalitiesforaDbassistance,and(vi)furtherstreamliningofproceduresforprocessingprojects.
2 HanDbookonsocialanalysis
programsandprojects.thesubsequentsectionsofthehandbookarestructuredtoreflectaDb’soperationalcycleandbusinesspractices,providingguidelinestoidentifyandaddresssocialdevelopmentissuesincountryprogramming(sectionii),projectpreparation(sectioniii),andprojectimplementation(sectioniv).supportingdocumentationandrelatedtoolsandtemplatesarepresentedinappendixesatthebackofthehandbook.
B. RelevantPol�c�esandStrateg�es
1. Overv�ew
aDbrecognizesthatsocialissuesandinstitutionalfactorscriticallyaffectprojectsuccessandsustainability.Projectbenefitsmightfailtoreachthepeopleforwhomtheywereintended,becapturedbythosewithmoneyandpower,orproduceunexpectednegativeeffectsforothers.Withthegrowingcomplexityofthedevelopmentagenda,aDbalsorecognizesthateffortstoreducepovertyandpromotesustainablegrowthmustaddresssocialdevelopmentandgovernanceissues,togetherwithissuesaffectingmacroeconomicstability,inbothcountryprogrammingandprojectdesign.
2. ADB’sEnhancedPovertyReduct�onStrategy
in1999,aDbformallydeclaredpovertyreductionasitsoverarchinggoal.theresultantpovertyreductionstrategy5describedpoverty as anunacceptablehuman conditionwithmultipledimensions that canbeeliminatedthroughpublicpolicyandaction.areviewofthestrategycompletedin2004reaffirmedthatpovertyreductionisaDb’scorebusiness,andisconsistentwithaDb’ssupportformDGsthattheinternationalcommunityadoptedin2000.theenhancedpovertyreductionstrategy(EPrs),adoptedin2004,retainsthesamebasicconditionsforpovertyreduction:(i)pro-poor,sustainableeconomicgrowth;(ii)inclusivesocialdevelopment;and(iii)goodgovernance.itidentifiesfivethematicprioritiesthatsupport
F�gure1:ADB-EnhancedPovertyReduct�onStrategy
Private regional Environmental Gender capacity sector cooperation sustainability Equality DevelopmentDevelopment
Pro-poorsustainable
EconomicGrowth
inclusivesocialDevelopment
GoodGovernance
POVERTYREDUCTIONGOAL
PILLARS
THEMATICPRIORITIES
5 aDb. 1999. Fighting Poverty in Asia and the Pacific: The Poverty Reduction Strategy of the Asian Development Bank.manila.
ovErviEWoFsocialDEvEloPmEntanDsocialanalysisinaDboPErations 3
thesethreepillars:(a)genderequality,(b)environmentalsustainability,(c)privatesectordevelopment,(d)regionalcooperation,and(e)capacitydevelopment(figure1).toachievegreatereffectiveness,theEPrsalsopromotesgreatercountryfocus,includingalignmentofaDb’soperationswithcountries’ownnationalpovertyreductionstrategies;greaterattentiontoresults,monitoring,andevaluation;andgreateremphasisoncapacitydevelopment.FurtherinformationonEPrsimplementationcanbefoundinthePoverty Handbook(2006).
3. ADB’sSoc�alDevelopmentPol�c�es,Strateg�es,andProcedures
socialanalysisandpovertyanalysisarecriticaltoolsineffortstoreducepovertybecausetheyaddresstheprocessesandstructuresthatexcludesomegroupsfromparticipatinginandbenefitingfromeconomicdevelopment. since the mid-1990s, aDb has adopted social development policies and strategiescoveringsuchissuesasgenderanddevelopment,socialprotection,andcooperationwithnongovernmentorganizations(nGos);socialsafeguardpoliciesoninvoluntaryresettlementandindigenouspeoples;andgeneralproceduresforaddressingsocialdimensions inprojectdesign.thesepolicies,strategies,andproceduresarereflectedinsectionsofaDb’soperationsmanual.collectively,theyrecognizethatpeopleandtheircommunities,organizations,institutions,andsocietiesarecrucialtodevelopmentoutcomes.theyalsorecognizethatcertainsocialgroupsneedspecialattentiontoensurethattheyareincludedinthedevelopmentprocess.Guidelines,checklists,andmanualshavebeenpreparedtoaddressthesepolicyobjectives,andtosetoutspecificoperationalapproachestosocialanalysis.appendix1.1providesalistofkeyaDbpoliciesandstrategiesrelatingtosocialdevelopment,correspondingsectionsofaDb’soperationsmanual,andsupportingdocumentsavailabletohelpinaddressingthesepolicyobjectives.
C. Soc�alDevelopmentandSoc�alAnalys�s�nADBOperat�ons
1. Overv�ew
“inclusivesocialdevelopment” isoneof thethreepillarsofEPrs,and isconsideredessential to thereductionofpovertyandachievementofmDGsinasiaandthePacific.similarly,itisacoreoperationalareaunderaDb’slong-termstrategicframework(2001),6andisreflectedintheemphasisoninclusivegrowthandsocialdevelopmentunderaDb’smedium-termstrategyii(2006).7
in this handbook, “social development” refers to equitable and sustainable improvements inthephysical,social,andeconomicwell-beingofindividualsandsocialgroups,especiallythosethataresociallyoreconomicallydisadvantaged.Whilesocialdevelopment ismostcloselyassociatedwiththe“inclusivesocialdevelopment”pillaroftheEPrs,itisrelevanttoallthreepillars.socialdevelopmentalsohasaninstitutionaldimension,inthatsocialvariablessuchasgender,ethnicity,race,caste,andageoftenshapetheformalandinformalrulesandnormsthatinfluencepeople’saccesstoservices,resources,opportunities,anddecisionmaking.8
6 aDb.2001.Moving the Poverty Reduction Agenda Forward in Asia and the Pacific: The Long-Term Strategic Framework of the Asian Development Bank (2001–2015).manila.
7 aDb.2006.Medium-Term Strategy II (2006–2008).manila.8 seeoperationsmanualsectionc3/bP(incorporationofsocialDimensionsintoaDboperations).
4 HanDbookonsocialanalysis
theuseoftermssuchas“socialdevelopment,”“socialsectors,”“socialsafeguards,”and“socialprotection”issometimesconfused.theseconceptsareinterrelatedandmutuallyreinforcing.Forexample,social analysis is an important tool tomaximize thepositive social development impacts of countryprogramsandspecificprojects.socialsectorprojectsandsocialprotectionmeasurescontributetothebroadergoalofsocialdevelopmentbystrengtheningpeople’scapabilitiesandreducingtheirvulnerabilitytovariousrisksandshocks.
box1showsthemainsocialdevelopmenttermsandtheirworkingdefinitions,asusedinthishandbook.
Box1:KeySoc�alDevelopmentTerms
Soc�aldevelopment:equitableandsustainableimprovementsinthephysical,social,andeconomicwell-beingofindividualsandsocialgroups,especiallythosesociallyoreconomicallydisadvantaged.a
Soc�alsectors:sectorsthatsupporttheimprovementofpeople’sbasiccapabilities(e.g.,basicservicessectorsorsubsectors,suchaseducation,healthcare,nutrition,familyplanning,watersupply,andsanitation).
Soc�alsafeguards:policiesintroducedtoprotectindividualsandgroupsfromthenegativeimpactsofcertaindevelopmentactivities(suchasinvoluntaryresettlementordisruptionofindigenouspeoples’traditionallanduseandlivelihoods).b
Soc�alprotect�on:policiesandprogramstoreducepeople’svulnerabilitiesbypromotingefficientlabormarkets,reducingpeople’sexposuretorisks,andenhancingtheircapacity toprotect themselves fromhazardsandinterruptionorlossofincome.c
Soc�al�nclus�on/exclus�on:attentiontothesocialprocesses,institutions,andmechanismsthatcanenhanceorrestrict theequitableaccessof individualsandgroupstoservices,markets,publicdecisionmaking,andcommunityactivitiesandsupport.
Soc�alcap�tal:trust-basednetworksamongpeoplereinforcedbynormsofbehavior(likeotherformsofcapital,socialcapitalisanassetthatcanhelpindividualsandgroupscopewithrisksanduncertainty).
Soc�ald�mens�ons:participation,genderanddevelopment,socialsafeguards,andmanagementofsocialrisksandvulnerabilities.
Soc�alanalys�s:analysis,usuallyconductedaspartofthepreparationofacountryprogramordevelopmentproject,to(i)understandthesocialcontextfortheprogramorproject,includingthestatusofandrelationshipsbetweensocialgroupsandinstitutions;(ii)considertheappropriatenessandfeasibilityoftheprogramorproject,giventhesocialcontext;(iii)assessthepotentialsocialimpacts—positiveandnegative—oftheprogramorproject;and(iv)identifypossibleactions(includinglaworpolicychanges,orspecificprojectactivities)tomaximizethepositivesocialimpactsoftheprogramorproject,andminimizeormitigateanynegativeimpacts.d
a thisdefinitionisbasedonthe“inclusivesocialdevelopment”themeinaDb’sloan/grantclassificationsystem.However,socialdevelop-mentisabroadconceptsubjecttodifferentinterpretations.theWorldbank,forexample,definessocialdevelopmentas“aprocessoftransforminginstitutionsforgreater inclusion,cohesion,andaccountability,…withthegoalofempoweringpoorandmarginalizedwomenandmen.”Worldbank.2005.Empowering People by Transforming Institutions: Social Development in World Bank Operations.Washington,Dc.(p.vii).incontrast,theinter-americanDevelopmentbank(iDb)definessocialdevelopmentas“investmentsinhumanandsocialcapitalforadvancingpeople’swell-being.”iDb.2003.Social Development Strategy Document.Washington,Dc.(p.1).
b aDb’ssocialsafeguardpoliciesincludethepolicyoninvoluntaryresettlement(1995)andthepolicyonindigenouspeoples(1998).c thisdefinitionisbasedonaDb’ssocialprotectionstrategy(2001).d asdiscussedfurtherinthishandbook,thescopeofasocialanalysisandthemethodsusedtoconducttheanalysiscanvarywidely,
dependingonthenatureoftheproposedprogramorproject,thecomplexityofsocialissuespresented,theavailabilityofdata,andthetimeandresourcesavailabletoconducttheanalysis.theoutputofacomprehensivesocialanalysisisoftenreferredtoasa“socialassessment.”
ovErviEWoFsocialDEvEloPmEntanDsocialanalysisinaDboPErations 5
2. Soc�alDevelopmentGoalandOutcomes
aDb’sgoalinpromotinginclusivesocialdevelopmentthroughitsoperationsistohelpitsdevelopingmembercountries(Dmcs)achievedevelopmentoutcomesthatareequitableandsustainable,therebycontributingtopovertyreductionandachievementofmDGs.
the social development outcomes to which aDb seeks to contribute through its operationsinclude:
(i) greaterinclusivenessandequityinaccesstoservices,resources,andopportunities;(ii) greaterempowermentofpoorandmarginalizedgroupstoparticipateinsocial,economic,
andpoliticallife;and(iii) greatersecuritytocopewithchronicorsuddenrisks,especiallyforpoorandmarginalized
groups.
thesedesiredoutcomesarecloselylinked,andareallmediatedthroughinstitutions.Forexample,changesinlaws,policies,andincentivesareoftenneededtoensurethatpoorandmarginalizedgroupshaveaccesstobasicservicesandproductiveresources.moreinclusiveandequitablelaws,policies,andgovernancemechanismsinturncreateamorepositiveenvironmentinwhichpoorandmarginalizedgroupscanmakechoicesandpursuetheirinterests.Participatoryprocessesinwhichpoorandexcludedpeoplecanfindavoiceareespeciallyimportant.Effectivesocialsafetynetprogramsandothermechanismsarealsoneededtocushionpoorandvulnerablehouseholdsfromeconomicorothershockssothattheycanmakemoresteadyprogressinimprovingtheirqualityoflife.
3. KeySoc�alD�mens�ons
the social development outcomes identified above (inclusiveness and equity, empowerment, andsecurity)aresupportedbyaDb’sattentiontothesocialdimensionsofitswork.thesedimensions,whicharereflectedinspecificaDbpoliciesandstrategies,are:
(i) participation,(ii) genderanddevelopment,(iii) socialsafeguards,and(iv) managementofothersocialrisksandvulnerabilities.
EachsocialdimensionsupportsoneormoreofaDb’sbroadsocialdevelopmentoutcomes.Forexample,participatoryapproachesareessentialforpoorandmarginalizedgroupstoexpresstheirinterestsandcontributetodevelopmentplanningandactivities.socialnormsandpracticesoftendisadvantagewomenandgirls in termsof theiraccess toservices, resources,opportunities,anddecisionmaking;therefore,genderanalysisisafundamentaltooltoensurethatdevelopmentinterventionsareinclusive,equitable,andempoweringforbothwomenandmen.adherencetosocialsafeguardsandattentiontosocialrisksandvulnerabilitiesarebothintendedtobolsterthesecurityofpoorandvulnerableindividuals,households,andcommunitiesagainstvariousshocks.
thesesocialdimensionsareinterrelatedandcrosscutting.WhiletheycapturethemaintypesofsocialissuesthatariseinaDboperations,theyarenotexclusive.theycanalsotakeondifferentattributesandsignificancedependingonthecountryandlocalcontext.
6 HanDbookonsocialanalysis
Part�c�pat�on.aDbrecognizestheimportanceofdisseminatinginformationandinvolvingawiderangeofstakeholdersinthedevelopmentofitscountryprogramsandthepreparationandimplementationofspecificprojects.thesefactorscanimprovetheeffectiveness,relevance,andsustainabilityofdevelopmentactivities,andcancontributetogoodgovernanceandtheinclusionandempowermentofdisadvantagedgroups.9theparticipationthemeisreflectedinaDb’sStaff Guide to Consultation and Participation,10andissupportedbythepubliccommunicationspolicy(2005)andpolicyoncooperationwithnGos(1998).consultationandparticipation(c&P)isalsohighlightedinstaffguidelinesonpreparingcPssanddesigningprojects(includingproceduresrelatedtosocialsafeguards).11
GenderandDevelopment.reducinginequalitiesbasedongenderandempoweringwomenandgirlstoparticipatemorefullyinsocial,economic,andpoliticallifearerecognizedasessentialtoreducingpovertyandachievingmDGsandotherdevelopmentgoals.Genderequalityis,therefore,oneofthethematicprioritiesinaDb’sEPrs.underitspolicyongenderanddevelopment(1998),aDbhascommittedtomainstreamgenderconsiderationsinallitsoperationsandsupportgender-specificactivities,especiallyinDmcswheregenderdisparitiesaremostsevere.becauseat least50%ofpoorandmarginalizedcommunitiesare female,andwomenandgirls in thesecommunitiesoftenexperiencemoresevereformsofdeprivationandexclusion,aDb’sgender-relatedworkcontributesdirectlytothebroadergoalsofpovertyreductionandinclusivesocialdevelopment.
Soc�alSafeguards.aDb’ssocialsafeguardpoliciesseektoavoid,minimize,ormitigatethesocialcostsandmarginalizationofvulnerablegroupsthatmayresultfromdevelopmentprojectsthatitfinances.thesepolicies includethepolicyon involuntaryresettlement(1995)andthepolicyonindigenouspeoples(1998).becausethesepoliciesaimtopreventharmdirectlyrelatedtoadevelopmentproject,theyhavecometobetreatedseparatelyfrompoliciesandstrategiesthatpromotebroadsocialdevelopmentgoals,suchasthoserelatedtopovertyreduction,genderanddevelopment,andsocialprotection.thesocialsafeguardpoliciesareincludedinthishandbookbecausesocialsafeguardissuesareidentifiedthroughthesameinitialsocialanalysisasothersocialissues,andbecausesocialsafeguardissuesoftenintersectwithothersocialconcerns.(Forexample,thesocialdevelopmentindicatorsforindigenouscommunitiestendtobemuchlowerthanthenationalaverage,andthesocialdevelopmentindicatorsforindigenouswomenandgirlsareoftenlowerthanformalesintheircommunities).
ManagementofOtherSoc�alR�sksandVulnerab�l�t�es.toreducepovertyandensurethatthebenefitsofeconomicdevelopmentarewidelyshared,itisimportanttoidentifyandaddressthevarietyofshocksandotherrisksthatcanpushpeopleintopoverty,andthesocialcharacteristicsthatcanincreasepeople’svulnerability to these risks.aDb’ssocialprotectionstrategy(2001)providesageneral framework foranalyzingsocialrisksandvulnerabilities,andsupportingappropriatepolicyresponsesandproject-levelinterventionstohelpgovernments,communities,andhouseholdsminimizeandmanagetheserisksandvulnerabilities.somerisk/vulnerability issuesthatareparticularlyrelevanttoaDb’soperations include(i)laborconditionsandretrenchmentissues;(ii)affordabilityissues,especiallyrelatedtotheprovisionofbasicservices;(iii)risksofHiv/aiDstransmissionand/orhumantraffickinginlargeinfrastructureprojects;(iv)socialimpactsofnaturaldisastersandconflicts;(v)caste-basedvulnerabilities;and(vi)vulnerabilitiesrelatedtodisability.
9 aDb.2006.Strengthening Participation for Development Results: A Staff Guide to Consultation and Participation.manila,p.2.10 Footnote9.11 aDb.2007.Country Partnership Strategy Guidelines.manila;aDb.2006.Guidelines for Preparing a Design and Monitoring
Framework.manila;operationsmanualsectionsF2(involuntaryresettlement)andF3(indigenousPeoples).
ovErviEWoFsocialDEvEloPmEntanDsocialanalysisinaDboPErations 7
4. Ma�nEntryPo�ntsforSoc�alAnalys�s
aDboperations consist of threemajor processes: country programming, project design, andprojectimplementation.Figure2providesanoverviewoftheprocessingcycle.aDb’semphasisonmanagingfordevelopmentresultsunderscorestheimportanceofusingex anteanalysisincountryprogramsanddevelopmentprojectstoidentifythemainobstaclestoinclusiveandequitabledevelopment,andthetypesofinterventionsthatcanaddressthestructuralcausesofsocialexclusion,disempowerment,andinsecurity.socialanalysisemploysarangeofqualitativeandquantitativesocialresearchtoolstohelpinthisidentificationofissuesandapproaches.thesetoolsmaybebroughttobearthroughoutprogramplanningandprojectdesign(table1).socialanalysisiscloselylinkedtothepovertyanalysisundertakenateachstage.12anysocialanalysisalsoneedstobefocusedandadaptedtothecountryandlocalcontext,theoutcomeandoutputsoftherelevantcountryprogramorproject,andthetimeandresourcesavailable.
CountryPartnersh�pStrateg�es.aDb’scPsforeachDmcisbasedonadetailedcountrypovertyanalysis,presentingadiagnosticforpovertyinthecountry,thecausesandmanifestationsofpoverty,anymeasuresinplacetoreducepoverty,andasetoffuturestrategicdevelopmentoptionslinkedtotheDmc’snationalpovertyreductionstrategy(nPrs).asdiscussedfurtherinsectionii,themainentrypointsforidentifyingand addressing social development issues in the cPs process are (i) the country poverty analysis;(ii) thematic assessments, such as the country gender assessment (cGa); (iii) sector analyses androadmaps (includingappropriate socialdevelopment targets and indicators); (iv) consultationswithrepresentativesofkeysocialgroups;and(v)thecPsdocumentitself(includingsummaryanalysisofsocialdevelopmentissues,socialdevelopmentcomponentsofthecountrystrategy,andsocialdevelopmenttargetsandindicatorsintheresultsframework).
ProjectPredes�gn. Project preparation consists of two subphases: predesign anddesign,which arediscussedfurtherinsectioniii.thepredesignphasegenerallybeginswithabriefprojectconceptpaperandconcludesinaprojectpreparatorytechnicalassistance(PPta)paperorinaprojectpreparatorynote(PPn).thepredesignphaseisessentialtoconceptualizeagoodproject,includingtheidentificationofkeysocialgroups,institutions,andsocialissuesrequiringfurtherstudy,andconsiderationofalternativedesignoptions.thepredesignphasesetsthebasisforthedetailedprojectdesign,andidentifiestheresourcesrequiredforsocialdevelopmentand/orsocialsafeguardspecialists(e.g.,genderorresettlementspecialists)toconductfurthersocialanalysisandparticipateintheprojectdesign.theinitialpovertyandsocialanalysis(iPsa)isabriefbutmeaningfulscopingtooltoflagsocialissuesthatneedtobeaddressedinmoredetailduringprojectprocessing,andtoprepareandcostthePPtaorotherduediligence.13
ProjectDes�gn.thedesignofprojectsinvolvingindividualorhouseholdtargetingmustincludein-depthpovertyandsocialanalysis,whilepolicy-basedprojectsrequirein-depthpovertyimpactanalysis.14thedesignofsociallysensitiveprojectsnecessarilyinvolvesin-depthsocialanalysis.bothpovertyandsocialanalysesbuildontheissuesidentifiedintheiPsa.thesocialanalysisprovidesabasistoconfirmtheproject’srationaleandassesstheproject’spotentialtocontributedirectlyorindirectlytoinclusivesocialdevelopment.itexaminesalternativeprojectcomponentsoractivitiestoenhancesocialdevelopment
12 FurtherdetailonthepovertyanalysisrequiredincountryprogrammingandprojectpreparationisincludedinaDb’sPoverty Handbook(2006).
13 sampletermsofreference(tor)fortheinitialpovertyandsocialanalysis(iPsa)areprovidedinappendix2.1.theiPsaformisinappendix4.1.
14 Footnote2.
8 HanDbookonsocialanalysis
CountryETSW
Evaluat�on ProjectImplementat�on(alsoseeFigure5)
Designandmonitoringframework
Detailedpovertyand/orsocialanalysis,asneeded
SPRSS–requ�red
asrequired:
• genderplan,• consultationandparticipationplan,• laborplan,• resettlementplanorframework,• indigenouspeople’splanor framework,and• mitigationplanforotherrisks
FirstdraftreportandrrP
ProjectDes�gn(alsoseeFigure4)
Fact-findingmissionforPPta(orotherinitialduediligence)
conceptpaper
countryPovertyanalysis
Firstidentificationofpotentialpovertyandsocialissues
IPSA–requ�red• determinationofneedforfurther detailedsocialanalysis,• torforneededsocialanalysis,and• draftconsultationandparticipation plan.
PRO
JEC
TPR
EDES
IGN
PRO
JEC
TD
ESIG
NF�gure2:ADBOperat�onalCycle
aDb=asianDevelopmentbank;EtsW=economic,thematic,andsectorwork;iPsa=initialpovertyandsocialanalysis;PPn=projectpreparatorynote;PPta=projectpreparatorytechnicalassistance;rrP=reportandrecommendationofthePresident;sPrss=summarypovertyreductionandsocialstrategy;tor=termsofreference.
PPtapaperorPPn
CountryPartnersh�pStrategy(alsoseeFigure3)
ProjectProcess�ng(stagesmayvary)
• managementreviewmeeting,• appraisalmission,• staffreviewcommitteemeeting,• loannegotiations,• approvalbythePresidentandthe boardofdirectors,and• signingandeffectivenessof financingagreements.
COU
NTR
Y
PRO
GR
AMM
ING
ovErviEWoFsocialDEvEloPmEntanDsocialanalysisinaDboPErations 9
Operat�onalStage Soc�alAnalys�sOutputs PurposeofSoc�alAnalys�s
countrypartnershipstrategy
countrypovertyanalysis(includingsocialanalysis);
countrygenderassessment(andsocialanalysisinotherthematicassessmentsandsectoranalyses);
sectorroadmaps(includingsocialtargets/indicators);and
resultsframework(includingsocialtargets/indicators).
• identifythestructuralcausesofgenderinequality,socialexclusion,disempowermentandinsecurity,andotherobstaclestoinclusivesocialdevelopment;
• Determinetheeffectivenessofexistinglaws,policies,andinstitutionalmechanismstopromoteinclusivesocialdevelopment;
• identifysocialdevelopmentoutcomeslinkedtothedevelopingmembercountry’sownsocialdevelopmentgoalsandrelevanttotheprioritysectorssupportedbyaDb;and
• identifyappropriatetargetsandindicatorstomonitortheeffectivenessofaDb’sassistanceincontributingtotheseoutcomes.
Projectpredesign
initialpovertyandsocialanalysis(iPsa)
• identifyspecificsocialconstraintsandsocialdevelopmentopportunities,includinggender-relatedopportunities;• identifysocialrisksrelatedtotheproject;• identifytheneedfordetailedsocialanalysisofselectedissues
duringthedesignphase,aswellasrelatedmethodologiesandresourcerequirements;and
• Establishprospectsforaconsultationandparticipation(c&P)plantoenhancelocalownership.
Projectdesign socialanalysis,asrequired;
socialactionand/orsocialmitigationplans(orframeworks),asrequired;
summarypovertyreductionandsocialstrategy(sPrss);and
Designandmonitoringframework(includingsocialtargetsandindicators).
• collectdetailedsocialinformationnecessaryforprojectdesign;• identifyexplicitsocialdevelopmentobjectives,outcomes,and
indicators;• costoutandschedulesocialdesignmeasures;• Preparetime-boundandcostedsocialactionmeasuresand
mitigationplans;• confirmandconsolidatethec&Pplantoreviewanddecideon
optionsandenhancelocalownership;• Definesocialandinstitutionalarrangements;• arrangethemonitoring/evaluationofsocialdevelopment
objectivesandsocialimpacts;and• confirmandvalidatethedesignmeasuresandanysocialaction/
mitigationplansthatmayhavebeenprepared(suchasplansforresettlement,laborretrenchment,orindigenouspeoples’development),aswellasrelatedtargetsandindicators.
Projectimple-mentation
Projectperformancemanagementsystem:• Projectadministrationmemorandum
(includingsocialdevelopmentindicatorsandprovisionsforcollection/analysisofdisaggregateddata)
monitoringofsocialdevelopmentoutcomesandimpactsthrough:• projectprogressreports,• projectperformancereports,• midtermreviewreport,and• projectcompletionreport.
• monitorachievementanddistributionofprojectbenefits;• identifyissuesandopportunitiesforimprovementduring
implementation;• monitorimplementationofanysocialactionormitigationplans,
andsocialimpactsofprojectimplementation;and• reviewachievementsandfailuresaswellaslearnlessonsfor
futureapplication.
Table1:Soc�alAnalys�s�nADBOperat�ons
aDb=asianDevelopmentbank.
10 HanDbookonsocialanalysis
opportunitiesanddevelopsmeasurestoovercomesocialbarriers,constraints,andrisks,andtoaddressinstitutionalweaknesses.thesocialanalysisalsoformsthebasisforpreparinganynecessarymitigationmeasuresorplans,whichshouldbereflectedintheoutputs,activities,inputs,budget,timeframe,DmF,andassurancesinthefinalreportandrecommendationofthePresident(rrP).thefindingsofthesocial(andanypoverty)analysisaresynthesizedinthesummarypovertyreductionandsocialstrategy(sPrss),whichisacoreappendixtotherrP.15
ProjectImplementat�on.DmF,whichisacoreappendixtorrP,formsthebasisfortheprojectperformancemanagement system(PPms) for theproject. the roadmap for implementing theproject, includingPPms,istheprojectadministrationmemorandum(Pam).asdiscussedfurtherinsectioniv,themainentrypointsformonitoringthesocialdevelopmentoutcomesandsocialimpactsofaprojectare(i)thesocialdevelopmenttargetsandindicatorsincludedinDmFandPam;and(ii)theongoinganalysisofdatacollectedforthesetargetsandindicators,aswellasothersociallydisaggregateddata.summaryfindingsfromthisanalysisshouldbe included in(a)projectprogress reportsby theexecuting/implementingagencies, (b) project performance reports by aDb staff, (c) reports by any independent monitors,(d)themidtermreviewreportontheproject,and(e)theprojectcompletionreport.
15 sampletorforsocialanalysisareprovidedinappendix2.2.thesPrssformisinappendix4.2.
socialanalysisincountryPartnErsHiPstratEGiEs 11
II. Social Analysis in Country Partnership Strategies
A. Introduct�on
Asillustratedinfigure3,aDb’sstrategyineachDmcisbasedonadetailedcountrypovertyanalysisand is developed in a participatory manner through a series of consultations with the Dmcgovernmentandotherstakeholders.theendresultofthisprocessisacPsdocument,includinga
resultsframework.cPsisalsoinformedbythematicassessments,sectorroadmaps,andothereconomic,thematic,andsectorwork(EtsW).cPsprovidestheframeworkforanindicativerollingcountryoperationsbusinessplan,which includesproposedaDbinterventions intheDmc, linkedtoprioritysectorsandthemes.cPssalsoprovidethebuildingblocksforaDb’sregionalcooperationstrategies(rcss),discussedfurtherinsectionii.c.ForcountrieseligibletoreceiveassistancefromtheasianDevelopmentFund(aDF),anannualcountryperformanceassessmentalsoinfluencestheallocationofaDFresourcestosupportthecPsandcountryoperationsbusinessplan(seesectionii.D).
cobP=countryoperationsbusinessplan;EtsW=economic,thematic,andsectorwork.
countryportfolioreview
countrypovertyanalysis
countryEtsW
stakeholderconsultations
F�gure3:TheCountryPartnersh�pStrategy(CPS)Process
Countrypartnersh�pstrategy
(includingresultsframeworkandsector/thematicroadmaps)
Ind�cat�veroll�ngCOBP
cPsmonitoringandevaluation
• countryportfolioreviews,• midtermreview,• completionreport,and• countryassistance programevaluation
12 HanDbookonsocialanalysis
social analysis is an important ingredient in the cPs process and in the formation of rcss.throughitsmaincountryandregionalplanningdocuments—thecPsandrcs—aDbseekstoalignitsdevelopmentassistancewithnationalandregionalprioritiesandtoharmonize itsapproachwiththatofotherdevelopmentinstitutions.therefore,itisimportantforthesekeydocumentstorecognizeandsupportDmcs’ aspirations formoreequitable and inclusivedevelopment, reflected in their nationalpovertyreductionstrategies,mDGs,andsocialdevelopmentpoliciesandlaws.16throughjointdiagnosticsandcountryprogrammingexercises,aDbanditsdevelopmentpartnerscanimprovetheconsistencyandeffectivenessoftheirsupportforDmcs’socialdevelopmentgoals.attentiontosocialdimensionsincountry-levelanalysiscanalsohelpidentifycapacityweaknessesorgapsinsectorinstitutionsthatcouldaffectthesocialdevelopmentimpactofaDb’sinterventionsinthesector,aswellasreformsorothermeasuresthatcouldbeintroducedtoaddresstheseissues.
advisorytechnicalassistancecanprovideimportantsupplementalresourcestosupportthematicassessmentsandothercountrydiagnostics,aswellasspecialconsultationsonthecPswithparticularsocialgroups(suchaswomen,ethnicminorities,ordisadvantagedcastes)orinruralorremoteregionsofthecountry.
thefollowingsubsectionsdiscussentrypointsforsocialanalysisinthecPs,rcs,andcountrypovertyassessmentprocesses, including(i)backgroundstudiesandassessments;(ii) thecPs,rcs,andcountrypovertyassessmentdocuments;and(iii)therelatedpipelinesofloan,grant,andtechnicalassistanceactivities. Furtherdetailson thepreparationof results-basedcPsscanbe found inaDb’sCountry Partnership Strategy Guidelines(2007)andPoverty Handbook(2006).
B. Soc�alAnalys�s�ntheCPSProcess
1. Soc�alD�mens�onsofCountryProgramm�ng
throughitscommitmenttoinclusivesocialdevelopment,aDbaimstosupporttheeffortsofDmcstoimprove(i)inclusivenessandequityinaccesstoservices,resources,andopportunities;(ii)empowermentofpoorandmarginalizedgroupstoparticipateinsocial,economic,andpoliticallife;and(iii)securitytocopewithrisks,especiallyamongpoorandmarginalizedgroups.ExamplesofsocialdimensionsofcPssareshowninbox2.inundertakingcountry-levelanalysisandcountryprogramming,aDbcountryteamsshouldensurethatthefollowingbroadsocialconcernsareexaminedandaddressed:
• Howdosocialfactors,suchasgender,ethnicity/race/caste,age,maritalstatus,citizenship,urban/rurallocationordisability,affectpeople’saccesstobasicservices,resources,economicopportunities,andpublicdecisionmaking?
• Howdothesefactorsaffectpeople’sgeneralvulnerabilitytochronicrisks(suchasillness)orsuddenshocks(suchasnaturaldisastersoreconomiccrises)?
• Howeffectiveareformalandinformalinstitutions(includingformallawsandpolicies,localnormsandpractices,andformalandinformalmarkets)inpromotinginclusionandequitabletreatmentofwomenandothersocialgroups,andwhatarethemainweaknessesorgapsintheseinstitutions?
16Examplesofnationalsocialdevelopmentpoliciesandlawsincludethoserelatedtocommunityparticipationindevelopmentplanningandactivities,genderequality,fairlaborconditions,socialprotection,rightsofindigenouspeopleordisadvantagedethnicorcastegroups,rightsofinvoluntarilydisplacedpersons,rightsofdisabledpersons,andprotectionagainsthumantrafficking.
socialanalysisincountryPartnErsHiPstratEGiEs 13
Box2:Soc�alD�mens�ons�nCountryPartnersh�pStrateg�es
Bangladesh.thecountrypartnershipstrategy(cPs)forbangladesh(2006–2010)incorporatessocialdimensionsinallthreeofitspillars:(i)sustainableeconomicgrowth,(ii)socialdevelopment,and(iii)goodgovernance.theeconomicgrowthpillarsupportsinitiativestohelptheruralpoorimproveanddiversifytheirproductiveactivities(e.g.,promotingagribusiness,particularlyemphasizingtheactivitiesofwomenandotherexcludedgroups).thesocialdevelopmentpillaraimstoimprovetheaccessofthepoor,women,andotherexcludedgroupstoprimaryandsecondaryeducation,technicalandvocationaltraining,healthservices,andwaterandsanitationservicesinurbanareas.thegoodgovernancepillarsupportsgreater involvementofcommunities(includingwomenandotherexcludedgroups)aswellastheprivatesectorinplanninganddeliveringlocalservices.cPsisbasedonacountrypovertyanalysisthatemphasizesthehuman(non-income)dimensionsofruralandurbanpoverty,aswellasthesuccessofinnovativenongovernmentorganizations(nGos)andcommunity-basedorganizations(cbos)inprovidingfinancialandotherservicestotheruralpoor.otherdiagnostics—includingthematicassessmentsongender,governance,privatesectordevelopment,andenvironment—raisesimilarthemes.thepreparationofcPsinvolvedfiveregionalstakeholderconsultations,includingrepresentativesofnGos,cbos,women,ethnicminorities,ruralandurbandwellers,localgovernment,academia,business,andthepress.
V�etNam.vietnam’scPs(2007–2010)addressessocialdimensionsthroughtwoofitsstrategicpriorities:socialequityandbalanceddevelopment,andenvironmentalmanagement.socialequityinitiativesundercPsincludecontinuedsupportfortargetedpovertyreductionprograms,improveddeliveryofhealthservicestounderservedgroups(includingwomenandchildren,especiallyinethnicminoritycommunities)andregions,andeffortstocombatHiv/aiDsandothercommunicablediseases.Environmentalmanagementpriorities includeefforts to improverurallivelihoodsandreducethevulnerabilityofruralcommunitiestonaturaldisasters,andtosupportcommunityparticipation(includingenhancedrolesforwomen)inplanningandmanagingurbandevelopmentprojects.theseprioritiescanbetracedtosocialconsiderationsintheunderlyingdiagnostics.Forexample,thecountrypovertyanalysisforthecPshighlightsthevariationsinpovertyindicatorsbasedonethnicandregionaldifferences,whilethegenderassessmentconfirmsthatethnicminoritywomencontinuetobethemostseverelydisadvantaged.theroadmapforpublicsectorreformalsonotesthatbothethnicminoritiesandwomenareunderrepresentedingovernmentand,therefore,havelessaccesstoseniordecisionmakers.theenvironmentalassessmentconfirmsthatpoorcommunitiesarethemostvulnerabletoenvironmentaldegradation,whiletheroadmapforregionalcooperationandintegrationconfirmstheneedtoaddresssomenegativetrendsassociatedwithregionalintegration,suchasthespreadofcommunicablediseasesandtraffickinginwomenandchildren.thepreparationofthecPsinvolved three roundsof consultationswith civil societyorganizations (csos),which recommended thatcPs(i)considerstheneedsofethnicminorities,disabledpeople,migrants,landlesspeople,andtraffickedwomen;(ii)ensuresbalancebetweeneconomicgrowthandsocialequity;and(iii)helpsthegovernmentmitigateanynegativesocialimpactsoffurthertradeliberalizationfollowingvietnam’saccessiontotheWorldtradeorganization.
Uzbek�stan.cPsforuzbekistan(2006–2010)identifiesanumberofsocialdimensionsinthecountry’skeytransitionanddevelopmentchallenges, includingtheneedtosupportcbos(suchaswateruserassociations), improveaccesstojustice,enhancebusinesstrainingforwomen,promotegreaterfemaleparticipationinpubliclife,reducedomesticviolence,andimproveregionalcoordinationtopreventHiv/aiDsandothercommunicablediseases.cPsalsoincorporatesrecommendationsfromthebackgroundgenderassessmentinitsprogramofassistanceforruraldevelopment,privatesectordevelopment,earlychildhooddevelopment,secondaryeducation,andfurtherdiagnosticstudies.consultationsonthedraftcPsincludedthebusinessWomen’sassociationandothernGos.
PapuaNewGu�nea.PapuanewGuinea’scPs(2006–2010)highlightstheenormousthreattothecountry’sdevelopment posedby the generalizedHiv/aiDsepidemic.cPs integratesHiv/aiDsprevention and controlmeasures in aDb’s support for transport, agriculture, and health programs, and private sector initiatives. cPsalsointegratesrecommendationsfromthebackgroundgenderassessmentinitsroadmapsforpublicfinancialmanagement,privatesectordevelopment,transport,andhealth.theconsultativeimplementationandmonitoringcommittee(ajointventurebetweenthegovernmentandcivilsocietyrepresentatives)facilitatedconsultationswithcivilsocietygroupsonthedraftcPs.
sources:aDb.2005.Country Strategy and Program (2006–2010): Bangladesh.manila;aDb.2006.Country Strategy and Program: Papua New Guinea (2006–2010).manila;aDb.2006.Country Strategy and Program: Uzbekistan (2006–2010).manila;aDb.2006.Country Strategy and Program: Viet Nam (2007–2010).manila.
14 HanDbookonsocialanalysis
• Whatformalandinformalmechanismsexisttoenablepoorandmarginalizedgroupstoparticipateinpublicdecisionmakingatthecommunity,district,andnationallevels,andwhatarethemainbarrierstotheirparticipation?
2. BackgroundAnalys�sandAssessments
thepreparationofthecPsbeginswithareviewofexistingcountrydiagnosticsandassessmentspreparedbytheDmc,nationalinstitutes,civilsocietygroups,aDb,andotherdevelopmentpartners.basedonthisreview,thecountryteamidentifiestheneedforupdatedorexpandedanalyses,includingcountryassessmentsofpoverty,gender,othersocialissues,governance,capacitydevelopment,andkeysectors.Whilecertaindiagnostics,suchascGas,addresssocialissuesdirectly,thereisincreasingrecognitionthatkeythemes,suchasgenderandothersocialdimensions,needtobeintegratedinallcountrydiagnostics,particularlythecountrypovertyanalysisandsectordiagnostics.thisisemphasizedinbothaDb’sCountry Partnership Strategy GuidelinesandPoverty Handbook.aDb’spubliccommunicationspolicy(2005)requiresthatthesecountrydiagnosticsandassessmentsbemadepubliclyavailableoncompletion.17selecteddiagnosticsarediscussedbelow.
CountryPovertyAnalys�s.asdiscussedmorefullyinthePoverty Handbook,severalentrypointsforaddressingsocialdimensionsinpreparingacountrypovertyassessmentexist.theseinclude:
(i) formationofthecountrypovertyassessmentteam,whichshouldincludeagenderorsocialdevelopmentspecialist;
(ii) consultationswithresearchers,civilsocietygroups,andotherinformantsonsocialissuesintheDmc;
• Whatisthecapacityofnationalandlocalgovernmentbodies(includingexecutingagencies for aDb-supportedprojects) tomanage the social risks associatedwithdevelopmentprojects,suchasinvoluntaryresettlementorpoorlaborconditions,andaretherelevantlawsandpoliciesconsistentwithaDb’spolicies?
• towhatextentdosocialnetworks,self-helpgroups,andothermechanismsenablepoorandmarginalizedgroupstobenefitfromdevelopmentinitiativesandmanagesocialandeconomicrisks,andhowcanthesemechanismsbestrengthened?
(iii) disaggregationofpovertydatabygenderandothersocialfactors,andinclusionofinformationonnon-incomeindicatorsofpoverty,genderinequalities,andmarginalizedgroups,inthepovertyprofile;
(iv) preparationofariskandvulnerabilityprofile(appendix10.1);(v) considerationofgenderinequalitiesandsocialexclusionintheanalysisofthecausesof
poverty;(vi) attention to gender and other social factors in assessing the government’s institutional
capacitytoaddresspoverty,andtheeffectivenessofthelabormarkettogeneratepro-pooremployment(appendix9.2);
(vii) analysisofnon-incomeindicatorsof theDmc’sprogress in implementing itsnPrsandpursuingmDGs;and
17aDb.2005.Public Communications Policy: Disclosure and Exchange of Information.manila,para.60.seealsooperationsmanualsectionl3/oP(Publiccommunications,para.3).
socialanalysisincountryPartnErsHiPstratEGiEs 15
(viii) attentiontoinclusivesocialdevelopmentobjectives,includingsuchthematicprioritiesasgenderequalityinidentifyingstrategicoptionsandaDbassistance.
GovernanceAssessment(s).Dependingonexistingstudiesofgovernanceinstitutions,publicfinancialmanagement,andothergovernanceissues,additionalgovernanceassessmentsmaybecarriedouteitheronastand-alonebasisoraspartofthesectordiagnostics.ineithercase,countryteamsshouldensurethatthesegovernanceassessmentsconsider:
(i) theeffectivenessof governance institutions (including laws, policies, and implementingagencies)topromoteinclusionandequitabletreatmentofwomenandothersocialgroups(especiallyvulnerablegroups)intherelevantsector,andthemainweaknessesorgapsintheseinstitutions;
(ii) formal and informalmechanisms (includinguser groups, locallyelectedbodies,projectoversightcommittees,andcitizenscorecards)toenablepoorandmarginalizedgroupstoparticipateindecisionmakingintherelevantsector,andanassessmentofthemainbarrierstotheirparticipation;and
(iii) capacityofnationalandlocalgovernmentbodies(includingexecutingandimplementingagenciesintherelevantsector)tomanagethesocialrisksassociatedwithdevelopmentprojects,suchasinvoluntaryresettlementorpoorlaborconditions,andpossibleimprovementsintherelevantlawsandpolicies.
CountryGenderAssessment.aDb’spolicyongenderanddevelopment(1998)requiresthepreparationofacountrygenderassessment(cGa)asaninputtothecPs.thecGaprovidesthebasisforacountrygenderstrategytobeincludedinthecPs.inlinewithitscommitmentstoalignoperationsmorecloselywithDmcpriorities,andtoharmonizecountrydiagnosticsandstrategieswithotherdevelopmentpartners,aDbisincreasinglyconductingjointcGaswithotherdevelopmentpartnersandincloseconsultationwiththenationalbodiesinchargeofpromotinggenderequality.toinformothercountrydiagnosticsandthecPsitself,acGashouldanalyze(i)thegenderdimensionsofpoverty;(ii)gender-relatedchallengestoachievingmDGs;(iii)intersectionsbetweengenderandothersocialfactors,suchasethnicity/caste,age,ormaritalstatus;(iv)genderbiasesandgapsingovernanceinstitutions;and(v)strategiesforpromotingwomen’sandmen’sparticipation,andsharingofbenefitsinthekeysectorsthataDbsupports.FurtherguidanceonpreparingacGaandcountrygenderstrategy isprovided inoperationsmanualsectionc2/oP(GenderandDevelopmentinaDboperations).
Capac�tyDevelopmentAssessment.becausecapacitydevelopment isnowoneofaDb’s thematicpriorities,country-levelcapacitydevelopmentassessmentswillincreasinglybecarriedoutasinputstocPs.countryteamssupervisingorcarryingouttheseassessmentsshouldensurethatthestudiesconsiderthecapacityoftherelevantinstitutionstopromotesocialinclusionandmanagesocialrisksassociatedwithdevelopmentprojects,particularlyforpoorandvulnerablegroups.
SectorAnalyses.aDb’scPsguidelinesemphasizetheneedtoconductin-depthassessmentsofprioritysectors,asabasisfordevelopingthesectorroadmapstobeincludedincPs.sectordiagnosticsandroadmapshavebecomeincreasinglyimportantbecausetheyservenotonlyaskeyinputstothecPs,butalsoasthecoresectoranalysesforfutureaDbinterventions.theguidelinesalsoprovidethatthematicissueswillbeintegratedinthesectordiagnostics.toincorporatesocialdimensionsinsectoranalyses,countryteamsshouldensurethattheanalysesconsider:
16 HanDbookonsocialanalysis
(i) how social factors such as gender, ethnicity/race/caste, age, marital status, citizenship,urban/rurallocation,ordisabilityaffectpeople’saccesstogoodsandservices,resources,economicopportunities,and/ordecisionmakinginthesector;
(ii) howthesefactorsaffectpeople’svulnerabilitytochronicorsuddenrisksinthesector;(iii) effectivenessofformalandinformalinstitutions(includinglawsandpolicies,localnorms
andpractices,andmarkets)inpromotinginclusionandequitabletreatmentofwomenandothersocialgroupsinthesector;
(iv) formalandinformalmechanismsthatenablepoorandmarginalizedgroupstoparticipateinthesector;
(v) capacityofnationalandlocalgovernmentbodies(includingexecutingandimplementingagencies)topromoteinclusionandmanagethesocialrisksassociatedwithdevelopmentprojectsinthesector;and
(vi) extenttowhichsocialnetworks,self-helpgroups,andothermechanismsenablepoorandmarginalizedgroupstobenefitfromdevelopmentinitiativesandmanagesocialandeconomicrisksinthesector.
3. StakeholderConsultat�ons
thecPsprocessisintendedtobeparticipatory,involvingcloseconsultationswithkeyDmcofficials,otherdevelopmentpartners,representativesofcivilsociety,andtheprivatesector.consultationwithawiderangeofstakeholdersensuresthattheaDbcountryteamhasamorecompleteunderstandingoftheDmc’sdevelopmentchallengesandlocalperspectivesonhowtoaddressthem,andthatthecPsisalignedwithDmcprioritiesandharmonizedwithotherdonorapproaches.thecPsguidelinesprovideforstakeholderconsultationsduringthecPsformulationmission(andthecPsinitiatingmission,ifany).toorganizeandconducttheseconsultationseffectively,countryteamsareencouragedtomapandclusterstakeholders(e.g.,throughastakeholderanalysis)andtouseaconsultationmatrixtosummarizetheresultsoftheconsultations(includingstakeholdersinvolved,topicsdiscussed,andmainoutputs/results).aDb’sStaff Guide to Consultation and Participation(2006)includesseveraltipsforeffectiveconsultationsduringcPsformulation,including(i)buildingonexistingparticipatoryprocesses,suchasthosedevelopedforthenPrs;(ii)invitingcivilsocietyrepresentativesfromcrediblecivilsocietynetworks;(iii)holdingseparateworkshopsorfocusgroupsoutsidethecapitalcitytoreachpoor,marginalized,andisolatedgroups(andpossiblyseparateconsultationswithwomen);and(iv)providingstakeholderswithinformationontheprocess,timeline,andresultsoftheconsultations.
inadditiontothecPsformulationmission(s),stakeholderconsultationscanalso improvethequalityofthecountrypovertyassessmentandothercountrydiagnostics,aswellasthemonitoringandevaluationofthecPs,discussedfurtherbelow.
4. TheCPSDocument
basedon thesocialanalysis in thecountrypovertyassessment,cGa,andothercountrydiagnostics,andconsultationswithcivilsocietyandotherstakeholders,thecountryteamshouldincorporatesocialdimensionsinkeysectionsandappendixesofthecPsdocumentitself:
Ma�nCPSText.themaintextofthecPsdocumentshouldidentifythekeysocialdevelopmentchallengesinthecountryandproposestrategiestoaddressthesechallengesinthekeysectorsthataDbintendstosupport(seebox3).
socialanalysisincountryPartnErsHiPstratEGiEs 17
Box3:Soc�alIssuestobeAddressed�naCountryPartnersh�pStrategy
severalentrypointsforaddressingsocialissuesinthecountrypartnershipstrategy(cPs)document:
Developmentcontext
• summarizesocialanalysisfindingsfromthecountrypovertyassessmentandothercountrydiagnostics.
• DiscussprogressinaddressingsocialissuesunderthenPrsandmDGs.
• summarizethemaingenderissuesinthecountryandanyothersignificantsocialissues(e.g.,discriminationagainstcertainethnicorcastegroups,vulnerabilitiesofmigrantworkers,andnegativesocial impactofHiv/aiDs),basedoncGaandanyothersocialassessments.
Governmentdevelopmentstrategy
• notethegovernment’ssocialdevelopmentgoalsandpolicies,includingthoserelatedtogenderequality,inclusionofmarginalizedgroups,laborconditions,andsocialsafetynets.
Exper�ence
• mentionlessonslearnedrelatedtoparticipatoryprocesses,gendermainstreaming,inclusionofmarginalizedgroups,implementationofsocialsafeguardpolicies,and/ormanagementofsocialrisks(e.g.,relatedtoaffordability,laborconditions,orHiv/aiDstransmission).
ADB’sstrategy
• identifythecountry’skeysocialdevelopmentchallengesthataDbcanhelpaddressthroughitsoperations,basedonthecountrypovertyassessment,cGa,andothercountrydiagnostics.
• identifystrategiesforpromotinginclusion,equity,empowerment,andsecurityintheprioritysectorsthataDbaimstosupport(e.g.,toimproveaccesstobasicservicesandresourcesinthesector,toensuretheparticipationofwomenanddisadvantagedethnic/castegroupsinsectoractivities,ortoprotectpoorandvulnerablegroupsfromthenegativeimpactsofpolicychangesorprojectactivitiesinthesector).
thecPsappendixes,includingtheresultsframeworkandthematicandsectorroadmaps,shouldalsoincorporatesocialdevelopmentoutcomes,targets,andindicators.
aDb=asianDevelopmentbank,cGa=countrygenderassessment,cPs=countrypartnershipstrategy,Hiv/aiDs=humanimmunodefi-ciencyvirus/acquiredimmunodeficiencysyndrome,mDGs=millenniumDevelopmentGoals,nPrs=nationalpovertyreductionstrategy.
ResultsFramework.theresultsframework,acoreappendixtothecPs,isthefundamentaltoolformanaging,monitoring,andevaluatingtheimplementationofthecPs.thekeyelementsoftheresultsframework,whichformaresultschain,include(i)theDmc’sstrategicdevelopmentgoalsthataDbaimstosupport;(ii)keydevelopmentchallengesandissuesthatneedtobeaddressedtoachievethesegoals;(iii)keydevelopmentoutcomesthataDbwillseektoachievethroughitsassistance,combinedwiththeeffortsofthegovernmentandotherdevelopmentpartners;(iv)actions,processes,policychanges,andotherindicatorsofprogressinimplementingthecPs;and(v)proposedloan,grant,andtechnicalassistanceactivitiesthatwillcontributetotheintendedcPsoutcomes.18countryteamsshouldensurethattheresultsframeworkincorporateskeysocialdevelopmentgoalsoftheDmc,andthatitlinksthesegoalstorealisticsocialdevelopmentoutcomes,indicators,andproposedactivities.
18 aDb.2007.Country Partnership Strategy Guidelines.manila,p.18–19.
18 HanDbookonsocialanalysis
Themat�candSectorRoadMaps.basedonthecountrydiagnostics,thecPsincludesroadmapstoguideaDb’soperationsinkeythematicareasandsectors.theroadmapsidentifykeyareaswhereaDbcanprovidethemosteffectivesupportfortheDmc’sownthematic/sectorstrategyandnationaldevelopmentgoals.intermsofthematicroadmaps,aDb’spolicyongenderanddevelopmentprovidesforacountrygenderstrategytobeincludedasanappendixtothecPs.thecountrygenderstrategyisbasedonthecGa,andshouldalso reflect theDmc’sownpriorities related togenderequality.Dependingon thecountrydiagnostics,strategiesorroadmapsmaybeappropriateforothersocialdevelopmentissues,suchasinclusion/exclusionofethnicminoritiesordisadvantagedcastes.thesectorroadmapsshouldalsoincorporateoutcomes,outputs,andindicatorsrelatedtotheinclusionofwomenandmarginalizedgroupsandthemanagementofsocialrisksinthesector.
Loan,Grant, andTechn�calAss�stanceP�pel�ne. basedon the strategic directions provided in thecPs, thecountrypreparesan indicative rollingcountryoperationsbusinessplan, includingproposedaDbinterventionsovera3-yearperiod,whichisupdatedeachyear.thecountryteamshouldensurethattheloan,grant,andtechnicalassistancepipelinesincludedinthebusinessplanreflectthesocialdevelopmentpriorities in thecPs,as indicatedby the initial thematicandsectorclassificationof theproposedinterventions.Forexample, if thecPsprovidesformainstreaminggenderconcernsinaDbprojectsinagriculture,thisshouldbereflectedinagenderanddevelopmentclassificationforatleastsomeagricultureprojectsintheloan/grantpipeline.
Publ�c D�sclosure. under aDb’s public communications policy, a draft of the cPs must be madeavailabletoin-countrystakeholdersforcommentbeforeanyconsultations,(i)aftertheinitiatingpaperiscompleted,and(ii)afterthecPsisdraftedbutbeforeitsmanagementreviewmeeting.thefinalcPsmustbemadepubliclyavailableafteritsendorsementbyaDb’sboardofDirectors,togetherwiththeboardchair’ssummaryoftherelatedboarddiscussions.19
5. CPSImplementat�on,Mon�tor�ng,andEvaluat�on
themainmechanismsformonitoringandevaluatingaDb’sprogress in implementingacPsinclude(i)theimplementationandmonitoringactionplan,basedonthecPsresultsframework;(ii)annualcountryportfolioreviews;(iii)cPsmidtermreview;(iv)cPscompletionreport;and(v)independentcountryassistanceprogramevaluationconductedbytheoperationsEvaluationDepartment.countryteamsshouldensurethattheannualcountryportfolioreviewsandmidtermreviewincludeconsiderationofnationaldevelopmentsrelatedtosocialissues,analysisofchangesinkeysocialdevelopmentindicatorsatthenationalandprojectlevels,andrecommendationsforimprovingthesocialdevelopmentoutcomesofaDb’sinterventions.countryteamsshouldalsoendeavortoconducttheseannualandmidtermreviewsinconsultationwithabroadrangeofstakeholders,includingrepresentativesofbeneficiariesandothergroupsaffectedbyaDb-supportedprojects.
19 aDb.2005.Public Communications Policy: Disclosure and Exchange of Information.manila,paras.64–65.seealsooperationsmanualsectionl3/oP(Publiccommunications,paras.5–6).
socialanalysisincountryPartnErsHiPstratEGiEs 19
C. Soc�alAnalys�s�nReg�onalProgramm�ng
1. Overv�ew
throughitsregionalcooperationandintegrationstrategy(2006),aDbaimstopromotepovertyreductionandmoreequitablesharingofthebenefitsofregionalintegrationwithinandacrossthesubregionsofasiaandthePacific.aDbsupportsregionalcooperationandintegration(rci)infourareas:(i)cross-borderinfrastructureandrelated“software”(suchassocialmobilization,informationcampaigns,andtraining);(ii) trade and investment cooperation and integration; (iii) monetary and financial cooperation andintegration;and(iv)productionanddisseminationofregionalpublicgoods.aDb’srolesinpromotingrciincludeprovidingfinancialresources,creatinganddisseminatingknowledge,helpingDmcsandregional/subregionalbodiesdeveloptheircapacitytomanagerci,andservingasacatalystandcoordinatorforrci.aDbprioritizesitssupportforrciineachsubregionthroughrcss,whicharelinkedtothecPsprocessandgenerallyfollowasimilarformat.
2. Soc�alD�mens�onsofReg�onalProgramm�ng
thefourthpillarofaDb’srcistrategy—cooperationinregionalpublicgoods—recognizesthatregionalintegrationbringsbothbenefitsandcosts.somenegativesocialcostsassociatedwithincreasedregionalconnectivityincludegreaterriskofspreadingcommunicablediseases,suchasHiv/aiDs,severeacuterespiratorysyndrome(sars)oravianflu,andthefacilitationoftraffickinginhumanbeingsanddrugs.regionalinitiatives,suchasregionalresearch,policydialogue,lawandpolicyreform,capacitydevelopmentofgovernmentagenciesandcivilsocietygroups,andmitigationmeasuresinregionalprojects(particularlytransportprojects)canfacilitatethesharingofexpertiseandresourcesandcollectiveactiontoaddresstheserisks.
indevelopingrcss,itisimportanttorecognizethatmostrciinitiativesentailsocialopportunitiesandrisks.thercistrategyacknowledgesthatregionalintegrationcaninvolveadjustmentcosts,particularlyforlessdevelopedcountriesandregions,forcertainsectors,firms,andcommunities,andthepoor.Forexample,increasedregionaltradecancauseeconomicdislocationandhardship,particularlyforsmallfarmers,handicraftmakers,andothermicroandsmallbusinessesthatareunabletocompetewithcheaperimportsofagriculturalproductsandmanufacturedgoods.Economicgrowth in themoreprosperouscountriesoftheregioncanexpandemploymentopportunitiesforlow-skilledworkers,butmigrantworkersfromneighboringcountriesarealsovulnerabletoexploitationandabuse,andusuallyhavelimitedaccesstobasicservicesandlegalprotection.socialanalysiscanplayanimportantroleinidentifyingthelikelyimpactofrciinitiativesonpoorandvulnerablecommunities,andonmicroandsmallbusinessesandworkersinsectorsthatareopeningtoregionaltradeandcompetition.
3. TheReg�onalCooperat�onStrategyDocument
theprocessforpreparingrcss, includingconsultationandconsensusbuildingamongcountriesandotherstakeholders,and the format for thercsdocumentareflexibleandevolving.20 ingeneral, theprinciplesforintegratingsocialdimensionsinthecPsprocessandcPsdocumentshouldbefollowedforrcss(seesectioniib.1).
20 seeoperationsmanualsectionb1/oP(regionalcooperation).
20 HanDbookonsocialanalysis
D. Soc�alAnalys�s�nCountryPerformanceAssessments
aDb’sperformance-basedallocationpolicy21guidestheallocationofaDFresourcestoeligibleDmcs.underthepolicy,aDFresourcesareallocatedbasedonacountryperformanceassessmentandconsiderationsofcountryneeds.22theassessmentexaminesthestrengthofacountry’spolicyandinstitutionalframework,measuredagainstindicatorsof(i)coherenceinmacroeconomicandstructuralpolicies,(ii)promotionofequityandinclusion,(iii)qualityofgovernanceandpublicsectormanagement,and(iv)portfolioquality.countryperformanceassessmentsareconductedannually(biannuallyforDmcswithpopulationslessthan1million).intheinterestofharmonization,theassessmentiscurrentlyconductedusingtheWorldbank’scountryperformanceandinstitutionalassessment(cPia)questionnaire.23
underthecategoryofpoliciesforsocialinclusion/equity,thecPiaquestionnaireincludescriteriaandratingguidelineson(i)genderequality,(ii)equityofpublicresourceuse,(iii)buildinghumanresources,and(iv)socialprotectionandlabor.24thesesectionsofthequestionnairefocusonhowwellacountry’slaws,policies,andinstitutionalarrangementssupportkeysocialdevelopmentoutcomes.Forexample,
(i) thegenderequalitycriterionassessestheextenttowhichthecountryhasestablishedlaws,policies,andinstitutionalmechanismsto(a)promoteequalaccessformenandwomentohumancapitaldevelopment,(b)promoteequalaccessformenandwomentoproductiveandeconomicresources,and(c)givemenandwomenequalstatusandprotectionunderthelaw.
(ii) thecriteriononequityinpublicresourceuseconsiderstheextenttowhichthepatternsofpublicexpendituresandrevenuecollectionaffectpoor,vulnerable,andmarginalizedgroupsandareconsistentwithnationalprioritiesforpovertyreduction.
(iii) thecriteriononbuildinghumanresourcesassessesnationalpoliciesandservicedeliverymechanismsaffectingaccessto(a)healthandnutritionservices;(b)education,training,andliteracyprograms;and(c)preventionandtreatmentofHiv/aiDsandothercommunicablediseases.
(iv) the social protection and labor criterion assesses five policy areas: (a) social safetynet programs, (b) protection of basic labor standards, (c) labor market regulations,(d)community-driveninitiatives,and(e)pensionandold-agesavingsprograms.
thesecriteriaonsocialinclusionandequitydovetailcloselywiththesocialdevelopmentthemesthatarerelevant to thecPsprocess.therefore,country teamscarryingout thecountryperformanceassessmentshouldbeabletodrawonthesocialanalysisincountrydiagnostics,suchasthecountrypovertyassessmentandcGa,aswellasrelevantsectionsofthenPrs(andprogressreports),mDGprogressreports,andcountrystudiesbyunitednations(un)agencies,theWorldbank,nationalresearchinstitutes,andotherdevelopmentpartners.
21 aDb.2004.Review of the Asian Development Bank’s Policy on the Performance-Based Allocation of Asian Development Fund Resources.manila.
22 someasianDevelopmentFundresourcesarealsoallocatedforspecificpurposes.23 http://siteresources.worldbank.org/iDa/resources/cPia2005Questionnaire.pdf24 thecategoryalsoincludesacriteriononenvironmentalsustainability.
socialanalysisinProJEctPrEParation 21
III. Social Analysis in Project Preparation
A. Introduct�on
Thissectionofthehandbookprovidesguidanceforintegratingsocialanalysisinpreparingprojectloansandgrants,basedontheprioritiesestablished inthecPsorrcs,discussed insectionii(figure4).socialanalysisisanessentialpartofprojectpreparationbecauseithelpstheproject
team(i)understandthesocialcontextinwhichtheprojectwillbeimplemented,includingtheintended
F�gure4:ProjectPreparat�on
ProJEctPrEDEsiGn
PHasE
• socialsafeguardsscreeningandcategorization;
• iPsa;and• torforfurthersocialanalysis,
asrequired.
Projectprocessing
PPtapaperorPPn
DraftrrP
c&P=consultationandparticipation,iPsa=initialpovertyandsocialanalysis,PPn=projectpreparatorynote,PPta=projectpreparatorytechnicalassistance,rrP=reportandrecommendationofthePresident,sPrss=summarypovertyreductionandsocialstrategy,tor=termsofreference.
countryorsubrEGionalProGramminGPHasE
ProJEctDEsiGnPHasE
conceptpaper(includingissuesnote)
PPtafact-findingmission(orotherinitialduediligence)
Projectdesign(throughPPtaorother
duediligence)
• in-depthpovertyand/orsocialanalysis,asrequired;
• sPrss;• specificplans/frameworksorotherdesign
measures,asrequired(gender,resettlement,indigenouspeople,c&P,labor,etc.);and
• designandmonitoringframework(includingsocialtargetsandindicators—basisforprojectperformancemanagementsystem).
22 HanDbookonsocialanalysis
clients/beneficiaries,otheraffectedgroups,andrelevantinstitutions;(ii)determinetheappropriatenessandfeasibilityofdifferentdesignoptions,giventhesocialcontext;(iii)estimatethesocialimpactsoftheproject,bothpositiveandnegative;and(iv)identifyspecificactionstomaximizethepositiveimpactoftheprojectandminimizeormitigateanynegativeimpacts.
thevariousstagesofprojectpreparationareoutlinedinaDb’soperationsmanualsectionD11andsupplementalguidelinesonbusinessprocesses.25thissectionfocusesspecificallyontheintegrationofsocialanalysisinthepredesignanddesignphasesofprojectpreparation.thepurposeofsocialanalysisduringprojectpreparationistoidentifyopportunities,constraints,andrisksforpoorandmarginalizedgroupsrelatedtotheproject;toestablishaparticipatoryprocessforthedesignoftheproject;andtopreparedesignmeasurestoachievesocialdevelopmentoutcomesandavoidormitigateanysocialrisksduringimplementation.
asdiscussedfurtherbelow,thesocialanalysiscarriedoutinpreparingaprojectcanvarysubstantially,dependingonthesector,typeofproject,andcountryandlocalcontext.inallprojects,however,theresultsofthesocialanalysisaresummarizedinthetworequiredforms:iPsa,completedduringthepredesignphase;andsPrss,completedduringthedesignphaseandincludedasacoreappendixtotherrP.thetemplatesfortheseformsareshowninappendix4.
PPtaplaysacriticalroleintheprojectdesignprocess,butadvisorytechnicalassistance(ta)canalsocontributetogoodprojectpreparation.Forexample,advisorytascansupportsupplementalstudiesonparticularsocialdevelopmentissuestoinformthesocialanalysisandoverallprojectdesign.advisorytas can also support consultations and social mobilization activities to increase the participation ofstakeholdersintheprojectarea.advisorytascanalsobe“piggybacked”onaloanorgrant-basedprojecttosupportsupplementalstudies,pilotinitiatives,independentmonitoringofsocialimpacts,andothercomplementaryactivitiesduringprojectimplementation.
thissectionfirstoutlinesthedifferentapproachestosocialanalysisthatmayapplydependingontheclassificationoftheprojectorthetypeoffinancingmodalitythatisinvolved.thesectionthendiscussestheconductofsocialanalysisinthepredesignanddesignphases,andthedocumentationofthisanalysisandrelatedoutputsintherrP.
B. ProjectClass�ficat�on
theinitialclassificationofaloanandgrant-basedprojectcanindicatetheextentofpovertyand/orsocialanalysisthatneedstobeundertakeninpreparingtheproject.inturn,povertyand/orsocialanalysiscanconfirmtheappropriatenessoftheclassificationsinitiallyassignedtoaproject.aDb’scurrentbusinessprocessesprovideforthreelevelsofprojectclassifications:(i)classificationsintermsofgeneralortargetedsupportforpovertyreduction,(ii)sectorclassifications,and(iii)themeclassifications.26moredetailedinformationonaDb’sprojectclassificationsystemisinappendix1.2.
underEPrs,loanandgrant-basedprojectscanbeclassifiedeitherasgeneralinterventionsthatsupportpovertyreductionindirectly(e.g.,infrastructureinvestmentsthatimprovetheenablingenvironmentforpro-poorgrowth),orastargetedinterventionsthatfocusonparticularindividualsorhouseholds(ti-H),ongeographicareas(ti-G),oronsectors/subsectorsdirectlysupportingachievementofoneormoreofthenon-incomemDGs(ti-m1,m2,etc).iPsamustbecarriedoutasearlyaspossibleintheprojectcycleforallofthesecategories(ordinarilybytheendofPPtafact-findingorotherinitialduediligence).Dependingonthesocial issuesidentifiedintheiPsa,morein-depthsocialanalysismayneedtobe
25 aDb.2006.Further Enhancing Country Strategy & Program and Business Processes.manila,p.13–16.26 aDb.2004.Consolidated Staff Instructions on Project Classification.manila.
socialanalysisinProJEctPrEParation 23
Table2:Povertyand/orSoc�alAnalys�sRequ�rementsbyProjectClass�ficat�on
ProjectClass�ficat�onPovertyand/orSoc�alAnalys�sRequ�rement
IPSA SAa PSAorPIAb
targetedintervention–individualorhousehold √ √targetedintervention–geographic √ √targetedintervention–non-incomemDGs √ √Generalintervention √ √Policy-basedloanorgrant √ √
mDG=millenniumDevelopmentGoal,iPsa=initialpovertyandsocialanalysis,Pia=povertyimpactanalysis,Psa=povertyandsocialanalysis,sa=socialanalysis.a scopeofanalysisdependsoniPsafindings.b Forprojectsinvolvingindividualorhouseholdtargeting,Psamustbecarriedoutduringtheprojectdesignphase;policy-basedloansorgrants
requireaPia.
carriedoutduringthedesignphaseforeachcategory.Detailedpovertyanalysismustalsobecarriedoutduringthedesignphaseforti-Hprojects,whilepovertyimpactanalysisisrequiredforpolicy-basedloansorgrants.table2summarizestheserequirements.FurtherinformationontargetedinterventionsandtargetingapproachescanbefoundinaDb’sPoverty Handbook(2006).
aDbprojectsarealsoclassifiedbysector,includinguptothreeofthefollowing:(i)agricultureandnaturalresources;(ii)education;(iii)energy;(iv)finance;(v)health,nutrition,andsocialprotection;(vi) industry and trade; (vii) law, economic management, and public policy; (viii) transport andcommunications;(ix)watersupply,sanitation,andwastemanagement;and(x)multisector.thesectordesignationofaprojectcanhelpidentifythetypesofsocialissueslikelytoberaisedbytheproject.Forexample,projectsintheenergyandtransportsectorsarelikelytoinvolveresettlementbecauseofthenatureoftheinfrastructuretobeconstructed.agriculture,education,health,andwatersupplyprojectsarelikelytoraisegenderissuesbecauseoftherelevanceofgenderrolesandtheimportanceofequalaccesstoservicesand/orresourcesinthesesectors.However,eachprojectisuniqueandneedstobeassessedatanearlystagethroughtheiPsatoconfirmwhichsocialissuesitpresents.
Finally,aDbprojectscanbeclassifiedbytheme,includinguptothreeofthefollowing:(i)sustainableeconomicgrowth,(ii)governance,(iii) inclusivesocialdevelopment,(iv)environmentalsustainability,(v)genderanddevelopment,(vi)privatesectordevelopment,(vii)regionalcooperation,and(viii)capacitydevelopment.twoofthesethemes—inclusivesocialdevelopmentandgenderanddevelopment—expresslyrefertosocialissuesandindicatetheneedforsocialanalysisinpreparingaproject.However,classificationofaprojectbyotherthemesdoesnotimplyanabsenceofsocialissues.Forexample,economicgrowthprojectsmayraisesocialsafeguard,labor,orgenderissues.Governanceprojectsmayalsoraiseparticipationorgenderissues.aninitialassessmentearlyintheprojectcyclethroughtheiPsaisespeciallyimportanttoensurethatthesocialdimensionsofthesetypesofprojectsareidentifiedandaddressed.
C. F�nanc�ngModal�t�es
inrecentyears,aDbhasexpandedtherangeoffinancialproductsthroughwhichitcanprovidedevelopmentassistancetoitsDmcsandtopublicandprivatesectorentitiesintheDmcs.thesefinancialproductsinclude(i)investmentloansandgrants;(ii)sectorloansandgrants;(iii)policy-basedloansandgrants(usuallyreferredtoasprogramloans/grants);(iv)sectordevelopmentprograms(sDPs),whichinclude
24 HanDbookonsocialanalysis
bothinvestmentandpolicycomponents;(v)financialintermediationloans;(vi)disasterandemergencyassistanceloansandgrants;(vii)technicalassistanceloansandgrants;(viii)guarantees;and(ix)privatesectorloans,equityinvestment,andothertypesoffinancing.aDbiscurrentlypilotingotherfinancinginstrumentsandmodalitiesunderitsinnovationandefficiencyinitiative,includingmultitranchefinancingfacilities(mFFs)andprovisionoffinancingtolocalgovernmentsandstate-ownedenterprises(soEs)onanonrecourseorlimitedrecoursebasis.27
Historically,aDbhaspromotedsocialdevelopmentobjectivesandaddressedsocialconcernsinitsoperationsmainlythroughitsinvestmentloansandtechnicalassistancegrants.However,theguidelinesforallaDbfinancingproductsrequirethatattentionbepaidtothesocialdimensionsoftheunderlyingprojects(box4).
thefinancingmodalityofaprojectcaninfluencethetypeofsocialissuespresented,theprocedureforaddressing these issues through theprojectprocessingcycle,and the typesof interventions thatare appropriate and feasible to address the issues through project implementation. Following areexamples.
• asectorprojectormFFwillneedtobeapproacheddifferentlyfromatraditionalinvestmentloanbecausemanyormostinvestmentactivitiescontemplatedunderthesectorprojectorfacilitywillnotbeidentifieduntilaftertheprojectorfacilityhasbeenapproved.therefore,thesocialanalysisundertakenduringpreparationofasectorprojectormFFmayhavetobelimitedtoasampleoflikelysubprojects,andthemeasuresdesignedtoaddresssignificantsocialissuesintheprojectorfacilitymaytaketheformofaframeworkratherthanadetailedactionplan(includingcriteriaforcarryingoutfurthersocialanalysisanddevelopingmorespecificplans toaddress significant social issues in future subprojectsorphasesof themFF).
• a policy-based loan or grant is more likely to raise social issues related to national orsubnationallawsorpoliciesortheirimplementation.appropriateinterventionstoaddresstheseissuesmayincludechangesinrelevantlawsorpolicies,orassistancetoimprovetheirimplementation.therelevanttoolsforaddressingsocialissuesinapolicy-basedloanincludethematrixonpovertyimpactanalysisforprogramloans,theDmFprogram,andthepolicymatrixfortheprogram.thepovertyimpactassessmentshouldalsoincludeconsiderationofthepotentialsocialimpactsofproposedpolicychanges(particularlyimpactsonpoorandvulnerablegroups).
aDb’sgeneral requirementsforsocialanalysisapplytoallprojects, regardlessof thefinancingmodality:(i)atthepredesignstage,aninitialscopingofpotentialsocialissuessummarizedintheiPsareportform;and(ii)atthedesignstage,furthersocialanalysis,asneeded,onissuesidentifiedintheiPsa,tobesummarizedinthesPrssreportform.thesecoresocialanalysisrequirements,aswellassomevariationsforparticularfinancingmodalities,arediscussedfurther inthefollowingsubsections.thissectionofthehandbookappliestoallaDbprojectsassistingDmcgovernmentsandpublicsectorinstitutions,includinglocalgovernmentsandsoEs.itmayalsoprovideusefulguidancetoaDbstaffwhoareprocessingprivatesectorprojects,ortothirdpartiesconductingduediligenceontheseprojects.
27 aDb.2005.Pilot Financing Instruments and Modalities.manila;aDb.2006.Staff Instructions on the Use of the Multitranche Financing Facility (MFF).manila.
socialanalysisinProJEctPrEParation 25
Box4:Soc�alAnalys�sRequ�rementsforD�fferentF�nanc�ngModal�t�es
asianDevelopmentbank’s(aDb)operationsmanual(om)providesthefollowingguidanceonincorporatingsocialdimensionsindifferentfinancingproducts:
OMSect�onD3–Sector Lend�ng: sector analysis “needs to address social dimensions” and subprojectselectioncriteriashouldincludesocialcriteria.
OMSect�onD4–ProgramLend�ng:“sectororintersectoralstudies[supportingtheprogram]aretoaddresssocialissues;”“[a]nassessmentmustbecarriedoutoftheimpactoftheproposedsectorreformsonthepoorandothervulnerablegroups;”and“[w]hereareformprogramentailsadverseshort-termimpactsonthepoororothervulnerablegroups,theprogramloanmustseektoincludemitigatingoroffsettingmeasurestotheextentfeasible.”
OMSect�onD5– SectorDevelopmentPrograms: a comprehensive sector studymust be carried out,addressingsocialissues,alongwithan“assessmentoftheimpactofproposedsectorreformsonthepoorandothervulnerablegroups;”“[i]fadverseshort-termimpactsareexpectedonthepoorandsuchgroups,thesDPseekstoincludemitigatingoroffsettingmeasures.”
OM Sect�on D6 – F�nanc�al Intermed�at�on Loans: selection criteria for financial intermediaries includeadequatepolicies,systems,andprocedurestoassessandmonitorsocialimpactsofsubprojects;microfinanceinstitutionsmusthavean“institutionalculture,structures,capabilities,operatingsystems,andfinancialpositionthatcansupportthesustaineddeliveryofmicrofinanceservicestothepoor;subprojectsshouldcomplywithsociallegislationandregulationsoftheDmc;andaDbassistancemaytargetspecifictypesofbeneficiaries,suchaswomenentrepreneursandlow-incomegroups.”
OM Sect�on D7 – D�saster and Emergency Ass�stance: processing includes preparation of a risk andvulnerabilityassessment,damageandneedsassessment,andiPsa;and“activecommunityparticipation[isencouraged]toenhancetheownershipbyanddirectbenefitstothemostaffectedandvulnerablegroups.”
OMSect�onD9–GuaranteeOperat�ons:“aDbstaffshouldconduct‘duediligence’ontheborrowerofanaDb-guaranteedloan…inthesamemannerasitwouldforadirectloanfromaDb’saccount;”and“[g]uaranteecontractsmust reflect and reinforce covenants in the loanor other finance agreements relating toaDb’ssafeguardpolicies.”
OMSect�onD10–Pr�vateSectorOperat�ons:“aDbmustassesseachproposedprivatesectorprojecttoensurethatitcomplieswithrelevantprovisionsofaDb’spolicyon…involuntaryresettlement…,indigenousPeoples…,Povertyreduction…,[and]GenderandDevelopment.”
Dmc=developingmembercountry,iPsa=initialpovertyandsocialanalysis,sDP=sectordevelopmentprogram.
D. ProjectPredes�gn
1. ConceptPaper
theprocessingofaprojectbeginswiththepreparationofaconceptpaper,whichmaybebasedonapreliminarysummary intheindicativerollingbusinessplanfortherelevantDmc.theconceptpaperprovidesinformationontherationaleandobjectivesoftheproject,intendedresultslinkedtothecPs,tentativecostandfinancingplans,andprocessingschedule,andmayincludeapreliminarydraftDmFfortheproject.accompanyingtheconceptpaperisanissuesnotethatidentifieskeyareasforduediligence,includingthematicandsafeguardissues,andcharacterizestheprojectintermsofitscomplexityandrisk(seefootnote25).approvaloftheconceptpapertriggersinitialduediligenceontheproject.Forprojects
26 HanDbookonsocialanalysis
thataretobedesignedthroughaPPta,aPPtafact-findingmissionorfieldvisitisusuallyundertaken;forprojectswithoutaPPta,thepredesignphaseusuallyinvolvesafact-findingmissionorotherinitialduediligencecarriedoutorsupervisedbyaDbstaff.
attheconceptpaperstage,aprojectistentativelyclassifiedintermsofitscomplexityandriskforpurposesofdeterminingthelevelofduediligencerequired,thelevelofassistancefromsupportingdepartmentsandoffices,thecompositionoftheprojectteam,andgeneraltermsofreference(tor)forPPtaorotherconsultants.therefore,itisimportanttoflagpotentialsocialissuesintheconceptpaperand/or issuesnote, toensurethattheseissuesreceiveadequateattentionduringthepredesignanddesignphases.
Forpublicsectorprojects,aDb’spubliccommunicationspolicyrequiresthataninitialprojectorprograminformationdocument,includingabriefsummaryoftheproposedproject/program,bepreparedandmadepubliclyavailableassoonaspossibleafterthestartofpreparatorywork,andnolaterthan30daysafterapprovaloftheconceptpaper.thereafter,thepublicinformationdocumentistobeupdatedquarterlythroughthepreparation,processing,andimplementationstages.28
2. In�t�alPovertyandSoc�alAnalys�s(IPSA)
a. ConductofIn�t�alPovertyandSoc�alAnalys�s
iPsaisconductedprimarilytodeterminethescopeofpovertyandsocialissuesthatwillneedtobeaddressedduringprojectdesign(box5).thesummaryoutputofthisanalysisisthecompletediPsareportform(table3andappendix4.1).thisreportformshouldbeusedasaguideduringthePPtafact-findingmissionandpreparationofthePPtapaper(orotherinitialduediligence),andthecompletedformbecomesanattachmenttothePPtapaper.theiPsaprocessshouldalsoproducetorforpovertyand/orsocialdevelopmentspecialistswhowillbeneededonthePPta(orotherduediligence)team,includingtheareasofexpertise,tasks,person-months,andresourcesrequired.
iPsashouldbesynchronizedwithotheractivitiesat thepredesignphase.Forexample,aDb’sguidelinesforpreparingaDmF (2006)recommendthattheprojectdesignprocessbeginwithasituationanalysis,includingstakeholderanalysisandproblemanalysis.aninitialstakeholderanalysisisalsoakeyelementoftheiPsa(seediscussionof“participation”insubsectionbbelow).ideally,onestakeholderanalysisshouldbecarriedouttoinformboththeiPsaandtheinitialprojectdesign.
sometoolsprovidedinthishandbookorinotheraDbpublicationstohelpinconductingtheiPsa(andanysubsequentsa)aresummarizedintable3.
b. Soc�alIssuestobeIdent�fiedthroughIPSA
Poverty. iPsaconfirmstheproject’salignmentwithDmcandaDbpriorities forassistance(reflectedintherelevantcPs).theiPsaresultsshouldalsobeconsistentwiththeclassificationoftheprojectintermsofitslikelycontributiontotheDmc’spovertyreductionpriorities.29iftheprojectaimstotargetparticularindividualsorgroups,fullpovertyandsocialanalyseswillneedtobedoneduringtheproject
28 aDb.2005.Public Communications Policy: Disclosure and Exchange of Information.manila,paras.69–71.seealsooperationsmanualsectionl3/oP(Publiccommunications,paras.10–12).Publicinformationdocumentsforprivatesectorprojectsmustbemadepubliclyavailableatleast30daysbeforeboardconsideration(andatleast120daysbeforeboardconsiderationforenvironmentallysensitiveprojects).
29 asdiscussedinsectioniii.babove,aprojectisclassifiedeitherasageneralinterventionthatwilladdresspovertyreductionindirectly,orasatargetedinterventionthatwilltargetparticular individualsorgroups,aparticulargeographicalregion,orasector/subsectorsupportingoneofthemillenniumdevelopmentgoals(mDGs).
socialanalysisinProJEctPrEParation 27
Box5:In�t�alPovertyandSoc�alAnalys�s(IPSA)
theiPsaofaproposedproject
• confirmsthattheprojecthasbeenidentifiedasanationalpriorityinthenPrsandcountrypovertyanalysis,andasaDb’spriorityincPs;
• brieflysummarizesthecontributionsofthesectortopovertyreductionintherelevantcountry;
• identifiesgroupsofpeoplewhomaybebeneficiallyoradverselyaffectedbytheproject;
• scopesthebroadcharacteristicsofthesegroupsandrelevantsubgroups;
• identifiespossibleinstitutionstobeinvolvedintheprojectandbrieflyassessestheircapacities;
• flagspovertyand/or social issues thatneed tobeexaminedduringprojectdesign (includinggender,resettlement,indigenouspeoples,andotherissues);
• identifiestheneedandscopeforaconsultationandparticipationplan;and
• identifiestheneedforpovertyand/orsocialdevelopmentspecialistsontheprojectdesignteamtoaddressthesedimensionsduringtheprojectdesignphase.
aDb=asianDevelopmentbank,cPs=countrypartnershipstrategy,nPrs=nationalpovertyreductionstrategy.
Table3:In�t�alPovertyandSoc�alAnalys�s(IPSA)ToolsandOutputs
Stage Purpose Tool Output
Projectpredesignphase
confirmpovertyfocusandpovertytargeting,ifany
Facilitateownershipbystakeholders
maximizepositiveimpactonwomen
identifypotentialsocialsafeguardrisksofproject
identifyothersocialrisksorvulnerabilitieslinkedtotheproject
Poverty Handbook(povertytargetingapproaches)
Handbook for Integrating Poverty Impact Assessment in Economic Analysis of Projects(povertychecklistfortargetedinterventions)
initialstakeholderanalysis(appendix5)checklistforinitialc&Pplan(appendix5)
GenderchecklistforiPsa(appendix6)
screeningchecklistsforinvoluntaryresettle-ment(appendix7)andindigenouspeoples’(appendix8)issues
Guidelinesforpreparingariskandvulnerabilityprofile(appendix10)
Povertyclassificationofprojecttorforfullpovertyandsocialanalysis(forprojectsinvolvingindividualorhouseholdtargeting)
initialc&Pplan
torforfurthergenderanalysisand/orpreparationofagenderplan,ifrequired
torforfurthersocialanalysisandpreparationofmitigationplans,ifrequired
torforfurthersocialanalysisand/orpreparationofmitigationplansorothermeasures(e.g.,toaddresslabor,affordability,Hiv/aiDs,orhumantraffickingrisks)
c&P=consultationandparticipation,Hiv/aiDs=human immunodeficiencyvirus/acquired immunodeficiencysyndrome, iPsa= initialpovertyandsocialanalysis,tor=termsofreference.
28 HanDbookonsocialanalysis
designphase(seep.53offootnote2).similarly,iftheprojectispolicy-based(i.e.,aprogramloan/grantorsDP),theprojectdesignmustincludeananalysisoftheimpactsoftheproposedpolicyreformsonpoorandvulnerablegroups.30ineithercase,theiPsawillidentifytheadditionalpovertyanalysistobedoneduringprojectdesign,andtheprojectteamwillprepareappropriatetor.thispartoftheiPsaprocessissummarizedinpartioftheiPsareportform(appendix4.1).FurtherinformationonpovertytargetingandpovertyanalysisinconnectionwiththepreparationofprojectsisprovidedinaDb’sPoverty Handbook(2006)andHandbook for Integrating Poverty Impact Assessment in the Economic Analysis of Projects(2001).
Consultat�onandPart�c�pat�on.theanalysisofstakeholderinterests,perceptions,capacities,andresourcesisanimportantinitialstepindesigningaproject,especiallyanyprojectthatreliesontheparticipationofclients/beneficiaries.31aninitialstakeholderanalysisidentifies(i)themainpopulationgroupsthatmaybeaffected—positivelyornegatively—bytheprojectandtheirsocialcharacteristics;(ii)relevantsubgroupsthatmaybeaffecteddifferently(suchaswomenorgirls;indigenous,ethnicminority,ordisadvantagedcastegroups;youthortheelderly);(iii)keyinformants,suchascommunityleadersorlocalgovernmentofficials;(iv)executingorimplementingagencystafflikelytobeinvolvedintheproject;(v)civilsocietyorganizations(csos)intheprojectarea;and(vi)privatesectorfirmslikelytobeinvolvedinoraffectedbytheproject.Foreachstakeholdergroup,theinitialstakeholderanalysisidentifiestheirlikely(a)interestsrelatedtotheproject,(b)perceptionofthedevelopmentproblemsthattheprojectaimstoaddress,and(c)capacityandresourcestoparticipateintheproject(ortoopposeorunderminetheproject).Furtherinformationonconductingastakeholderanalysisisprovidedinappendix5.
basedontheinitialstakeholderanalysis,theprojectteamneedstodetermine(i)whatlevelofparticipation(e.g.,informationsharing,consultation,collaborativedecisionmakingorempowerment)isappropriatefortheproject;(ii)whichstakeholdersshouldbemostactivelyinvolvedinpreparingtheproject,(iii)whatkindsofinputsordecisionsareneededfromthem,and(iv)whatparticipatorymethodsshouldbeused.Developingac&Pplanisrecommendedformostprojects.asimpleplanwillbesufficientforrelativelysimple,low-riskprojectdesigns.amoreelaborateplanwillbeneededforcomplexorhigh-riskprojects,andforprojectsthatdependontheparticipationofclients/beneficiariestoachievetheirobjectives(seep.33offootnote9).achecklistfordevelopinganinitialc&Pplanisprovidedinappendix5.thispartoftheiPsaprocessissummarizedinPartii.boftheiPsareportform(appendix4.1). Gender.under aDb’s policy on gender anddevelopment (1998), gender considerations are to beintegratedinallaDboperationsandstagesoftheprojectcycle.attheiPsastage,theprojectteamneedstoassess(i)whetherwomenaresubstantiallyinvolvedintherelevantsector,(ii)whethertheprojecthasthepotentialtodirectlyimprovewomen’sorgirls’accesstoopportunities,services,assets,orresources;or(iii)whethertheprojectcouldhaveanegativeimpactonwomenorgirls.32inanyofthesecases,furthergenderanalysiswillneedtobedoneduringtheprojectdesignphase.aprojectincategory(i)or(ii)shouldbeclassifiedwithagenderanddevelopment(GaD)theme(oratleasttreatedasa“gendermainstreaming”project),andagenderplanshouldbeincorporatedintheprojectdesigntomaximize
30 aDboperationsmanualsectionsD4/bP(Programlending,para.22)andD5/bP(sectorDevelopmentPrograms,para.8).inasectordevelopmentprogram(sDP),socialanalysismayalsoberequiredtoaddressgender,socialsafeguardorothersocialissuesintheinvestmentcomponentsoftheprogram.
31 stakeholderanalysisisarecommendedtoolinboththeaDbGuidelines for Preparing a Design and Monitoring Framework(2006)andStaff Guide to Consultation and Participation(2006).
32negative impactscould includewomen’s lossof traditional land rightsor livelihood/employmentopportunitiesasa resultofprojectactivitiesorrelatedpolicychanges.negative impactsonwomenrelatedtoresettlement,ornegative impactsonindigenouswomenwouldbeaddressedundertherelevantsocialsafeguardpolicy.(seethediscussionof“socialsafeguards”inthenextparagraph.)
socialanalysisinProJEctPrEParation 29
thebenefitsoftheprojectforwomenand/orgirls.aprojectincategory(iii)shouldincludeappropriatemeasurestoavoidorminimizethenegativeimpact.Forprojectsrequiringfurthergenderanalysisand/oragenderplan,theprojectteamwillneedtoidentifythescopeofthesetasksanddevelopanappropriatetor(includingscopeofgenderanalysis,methodology,expertise,time,andresourcesrequired).agenderchecklistfortheiPsaisprovidedinappendix6.1.thispartoftheiPsaprocessissummarizedinpartii.coftheiPsareportform(appendix4.1).
Soc�alSafeguards.aDb’spoliciesoninvoluntaryresettlementandindigenouspeoplesareintendedtoidentify,minimizeoravoid,andifnecessarymitigatepotentialadverseimpactsthatmaybeintroducedbyanaDb-supportedproject.becauseofthenatureofthepotentialadverseimpacts,andtheproceduralrequirementsofthesocialsafeguardpoliciesthemselves,itisimportanttoidentifyandcategorizetheserisksasearlyaspossibleintheprojectcycle—attheconceptpaperstageifpossible,orlatestthroughtheiPsaprocess.screeningchecklistsoninvoluntaryresettlementandindigenouspeoples’issuesareprovidedinappendixes7and8,respectively.basedonthesechecklists,theprojectteamcategorizestheprojectintermsofitsinvoluntaryresettlementandindigenouspeoples’risks(categoriesa,b,orc).Forcategoriesaandbprojects,furtherduediligencewillneedtobecarriedoutduringtheprojectdesignphaseandanappropriatemitigationplanorothermeasureswillneedtobedeveloped.33DuringtheiPsaprocess,theprojectteamidentifiesorconfirmsthescopeofthesetasksandpreparesanappropriatetor(includingscopeofanalysisandplans/measures,methodology,expertise,time,andresourcesrequired).thispartoftheiPsaprocessissummarizedinpartiiioftheiPsareportform(appendix4.1).FurtherinformationontheproceduralrequirementsofthesocialsafeguardpoliciesisprovidedinaDb’sHandbook on Resettlement(1998)anddraftindigenousPeoplesPolicyHandbook(June2007).
OtherSoc�alR�sksandVulnerab�l�t�es.itisimportanttoidentifyotherrisksandvulnerabilitiesthatcouldunderminetheproject’sobjectivesoraffecttheproject’sbenefitstoclients/beneficiaries.inadditiontothesocialsafeguardissuesdiscussedabove,otherrisksmaybedirectlylinkedtoaproject,suchas
(i) poorlaborconditionsforworkersinvolvedinprojectactivities;(ii) policyreformssupportedbytheprojectthatcouldleadtolossofjobsorbenefitsthrough
restructuring;(iii) policyreformsundertheprojectthatcouldreduceaccesstoservices(e.g.,throughincreases
inuserfeesorothercharges),orincreasepricesofessentialcommoditiesthroughtariffincreases;
(iv) risks of Hiv/aiDs transmission or human trafficking associated with large infrastructureprojects;or
(v) risksorvulnerabilitiesrelatedtocaste,age,disability,oracombinationofthesefactors.
Dependingontheseverityoftherisksandvulnerabilities,furthersocialanalysisandthedevelopmentofsocialprotectionmeasuresorfullmitigationplansmayberequiredatthedesignstage.theiPsaprocessshouldidentifywhetheranysignificantsocialrisksorvulnerabilitiesmaybeintroducedorexacerbatedbytheproject.ifso,theprojectteamshoulddeterminethescopeofsocialanalysistobeundertakenand
33 Forinvoluntaryresettlementpurposes,acategoryadesignation(involving“significant”resettlement)willrequireafullresettlementplanorframework,whileacategorybdesignation(withresettlementthatis“notsignificant”)willrequireashortresettlementplanorframework.(seeoperationsmanualsectionF2/oP.)Forindigenouspeoples’purposes,categorya(with“significantimpacts”)willrequirepreparationofanindigenouspeoples’developmentplanorframework,whilecategoryb(with“limitedimpacts”)willrequirespecificactionstobetakenwithintheprojecttoaddressindigenouspeoples’needswithintheproject.(seeoperationsmanualsectionF3/oP.)
30 HanDbookonsocialanalysis
mitigationmeasuresorplanstobedevelopedduringtheprojectdesignphase,andshouldprepareanappropriatetor(includingscopeofanalysisandplans/measures,methodology,expertise,andtimeandresourcesrequired).Guidelinesforpreparingariskandvulnerabilityprofile,whichmaybeusefulattheiPsastage,areprovidedinappendix10.1.thispartoftheiPsaprocesswillbesummarizedinpartiiioftheiPsareportform(appendix4.1).thesocialrisksidentifiedthroughtheiPsa,aswellasotherrisksforproject/programdelivery(e.g.,limitedcoverageorinstitutionalweaknesses),mayalsobepresentedintheriskcolumnoftheDmFmatrixfortheproject,discussedfurtherbelow.
c. IPSALog�st�cs
TeamCompos�t�on.the social complexityof theproject, and the skills andexperienceof the corefact-findingteamforthePPta(orotherinitialduediligence),willdeterminetheneedforpovertyand/orsocialdevelopmentspecialists tocarryout the iPsa.allproposedprojects targeting individualsorhouseholds(targetedintervention[ti]-Hclassification)shouldinvolveapovertyandsocialdevelopmentspecialistinpreparingtheiPsa.otherprojectslikelytosignificantlyimpactgender,involuntaryresettlement,indigenous,and/orothervulnerablegroups,workforceretrenchmentorsocialrisks,suchasHiv/aiDstransmission,shouldinvolveasocialdevelopmentorsocialsafeguardspecialistinpreparingtheiPsa,asappropriate.ifaDbstaffwiththerelevantpovertyand/orsocialdevelopmentexpertisearenotavailableforthePPtafact-findingmission,theserequirementscanbemetthroughemployinginternationalordomesticconsultantsornGos.insuchcases,staffpovertyandsocialdevelopmentspecialistsshouldhelptheprojectteamindraftingthetorsandsupervisetheworkoftheconsultantsduring(andsometimesbefore)34thePPtafact-findingmission.Whereasocialdevelopmentorpovertyspecialistisnotincludedintheprojectpreparationteam,theteamleaderwillbeexpectedtoobtainandreportontherequiredinformationfortheiPsa.
TermsofReference. appendix2.1providesgenerictorforpreparationoftheiPsaduringthePPtafact-findingmission(orotherinitialduediligence)andforthepovertyand/orsocialdevelopmentspecialisttobeincludedintheprojectpreparationteam.
T�me/CoverageRequ�red.thetimeneededtoconducttheiPsawilldependonthesector,thepovertyand thematic focus of the project, the complexity of the project (includingmultiple components orsubprojectareas),andthesocialcontextinwhichitwillbeimplemented.insomeprojectswherethereisnoriskofnegativesocialimpactandnoscopeforincreasingtheproject’sdirectimpactonpovertyandsocialdevelopment,theiPsaneedsonlytakesufficienttimetoconfirmthatthisisthecase.inallprojectsinvolvingindividualorhouseholdtargetingandinmostotherprojects,afieldvisittotheproposedprojectarea(orsubprojectareas)shouldbescheduledtoconfirmthepovertyand/orsocialissuesthatneedtobeaddressedduringtheprojectdesignphase.Whilesociallyandgeographicallycompactprojectsmaybecoveredinlessthanaweek,someprojectsmayrequireaweekormoretocompleteabasicanalysis.incomplexcases,asinprojectswithmultipleethnicgroups,multiplelocations,orlarge-scaleinvoluntaryresettlement,datacollectionmayneedtostartbeforethePPtafact-findingmission.ifonlybroadsectorsortypesofinterventionshavebeenidentifiedatthisstage,itmaynotbepossibletoidentifyspecificgroupslikelytobeaffected.inthiscase,provisionshouldbemadeforfurtheranalysisatlaterstagesofprojectpreparation,asmoreinformationbecomesavailable.
34 insociallycomplexsituations,adomesticconsultantmaybecommissionedtoundertakeapreparatorystudyforpresentationtothesubsequentfact-findingmission.
socialanalysisinProJEctPrEParation 31
DataCollect�onMethods.informationneededfortheiPsacanbeobtainedfromarangeofprimaryandsecondarysources,includingthenPrsandotherDmcdocumentsanddata;aDb’scountrypovertyanalysis,cGa,andothercountrydiagnostics;reportsfromsimilarprojectssupportedbyaDborotherdevelopmentagencies;andsurveysandreportsbyimplementingagencies,otherdevelopmentagencies,researchers,nGos,andotherinterestgroups.
(i) thebasicdatasourcesforalliPsas(includingbothgeneralinterventionandtiprojects)shouldincluderelevantsecondarydata,sitevisits,andinterviewswithkeyinformants.
(ii) Forprojectsintendedtotargethouseholdsorindividuals(ti-Hprojects)ortotargetbasicservices(ti-m),theiPsashouldalsorelyoninterviewsorfocusgroupswithrepresentativesfrom the relevant population groups (including women as well as men), as well asconsultationswithcommunityleaders,andrepresentativesofcbosorothernGosintheprojectarea.
appendix3providesfurtherinformationandguidelinesondifferentmethodsofdatacollection.
Publ�cD�sclosure.underaDb’spubliccommunicationspolicy,theiPsamustbemadepubliclyavailableuponcompletion(e.g.,asanappendixtotherelatedPPtapaper).35
3. SummaryOutput:IPSAReport
theiPsaconductedduringthePPtafact-findingmission(orotherinitialduediligence)isreportedusingasummaryiPsareportform(appendix4.1).theprojectpreparationbudgetshouldbesufficienttocoveranysubsequentanalysisandpreparationofanynecessaryplans,frameworks,orothermeasuresduringthedesignphase.
E. ProjectDes�gn
1. Overv�ew
the design phase of a project involves (i) technical, economic, social, and environmental analysesbasedontheoriginalprojectconcept;(ii)consultationswithrelevantstakeholders;(iii)considerationofalternativedesignoptions;and(iv)developmentofadetaileddesignandrelatedbudget,financingplan,andimplementationarrangements.ProjectdesignsgenerallyaredevelopedthroughaPPtaimplementedbyateamofconsultants,butmayalsobedevelopedthroughotherduediligenceprocessesundertakenbyorfortherelevantDmcgovernmentorothersponsor.basedontheissuesidentifiedandprocessesinitiatedduringtheiPsa,morein-depthsocialanalysisiscarriedoutduringthedesignphasetoassessandhighlightways inwhichtheeventualprojectmightbestaddresssocialanddevelopment issues,consistentwithitsoveralleconomicviability.
asfortheiPsa,thescopeanddepthofthesocialanalysiswillvarydependingonthesector,thethematicfocusandcomplexityoftheproject,andthesocialcontextinwhichitwillbeimplemented.DependingontheissuesflaggedintheiPsa,thethematicareasthatthesocialanalysismaycoverinclude
35 aDb.2005.Public Communications Policy: Disclosure and Exchange of Information. Manila,para.87.seealsooperationsmanualsectionl3/oP(Publiccommunicationspara.28).
32 HanDbookonsocialanalysis
(a)participation,(b)genderanddevelopment,(c)socialsafeguards,and/or(d)managementofothersocialrisksandvulnerabilities.36
thesocialanalysisisanintegralpartoftheprojectdesignprocessandshouldcontributetothetechnicalandeconomicanalyses,stakeholderconsultations,considerationofalternativedesignoptions,andpreparationofthefinaldesign(includingtheDmF).theresultsofthesocialanalysisaresynthesizedinthesummarypovertyandsocialstrategy(sPrss)(appendix4.2),whichisacoreappendixtotherrPfortheproject.Dependingonthescopeofthesocialanalysis,otheroutputsmayinclude(i)socioeconomicprofilesofrelevantpopulationgroups;(ii)socialactionormitigationplans,orothermeasuresincorporatedintheprojectdesign;and(iii)socialdevelopmenttargetsandindicatorsincorporatedintheDmF(andinthepolicymatrixforpolicy-basedloans).DatacollectedforthesocialanalysisshouldprovideabasisforsettingappropriatetargetsandindicatorsintheDmFandinanysocialactionormitigationplans.thedatamayalsoprovideabaselineformonitoringsocialimpactsoftheprojectduringimplementation.37table4presentsanoverviewofthesequenceofstepsinthesocialanalysisduringtheprojectdesignphase.
2. Target�ngthePoorandAssess�ngPovertyImpacts
intheprojectdesignphase,fullpovertyanalysisisrequiredfortwocategoriesofprojects:(i)projectstargetingparticular individualsorgroups(ti-H);and(ii)policy-basedprojects,suchasprogramloansorgrantsandsDPs. in thecaseof targeted interventions, thepovertyanalysis is integratedwith thesocialanalysis.inthecaseofpolicy-basedprojects,thepovertyanalysisissummarizedinamatrixonpolicyimpactanalysis.aDb’sPoverty Handbookprovidesdetailedinformationonbothtypesofpovertyanalysis,includinginformationondatacollectionandanalysis,typesoftargeting,andreportingformats.additional guidance is provided in theHandbook for Integrating Poverty Impact Assessment in the Economic Analysis of Projects (2001)andGuidelines for the Assessment of the Impact of Program Loans on Poverty(1995).
thelinksbetweentheproject, theDmc’snationalpriorities(reflectedinthenPrsandaDb’scountrypovertyanalysis),andaDb’sprioritiesforassistance(reflectedintherelevantcPs)aresummarizedinparti.aofthesPrssreportform(appendix4.2),whichbecomesacoreappendixtotherrP.theclassificationoftheprojectintermsofitscontributiontopovertyreduction(i.e.,asageneralortargetedintervention),andtheresultsofanypovertyanalysisorpovertyimpactassessmentundertakenaspartoftheprojectdesignaresummarizedinparti.bofthesPrss.38inthecaseofprogramloansorgrantsandsDPs,thematrixonpovertyimpactassessmentisalsoincludedasacoreappendixtotherrP.
3. ScopeandOrgan�zat�onofSoc�alAnalys�s
thescopeofthesocialanalysistobeconductedduringtheprojectdesignphasewillbeinfluencedprimarilybythesocialissuesthatwereidentifiedintheiPsa.otherfactorsmayincludetheinitialclassificationoftheproject,thefinancingmodality,thesector,andcomplexityoftheproject.39sampletorforthesocialanalysisareprovidedinappendix2.2.thesetorsneedtobeadaptedandfocusedforeachproject.
36 asnotedearlier,fullpovertyandsocialanalysiswillbecarriedoutforprojectstargetingindividualsorhouseholds,andaseparatepovertyimpactassessmentwillbecarriedoutforpolicy-basedprojects.
37 theappropriatetimetocollectbaselinedatawillvarydependingonthenatureoftheproject,thelengthoftimebetweentheproject-designphaseandthestartofimplementation,theextentofchangesinthefinalprojectscopeandprojectareas(comparedwiththeoriginalfeasibilitystudy),andotherfactors.thetimeforcollectingbaselinedata,therefore,shouldbedecidedonacase-to-casebasisinconsultationwiththeexecutingagency.inanycase,anysocioeconomicdatacollectedduringtheproject-designphasethatcouldbeusedasbaselinedatafortheprojectshouldbeturnedovertotheexecutingagency.
38 asnotedearlier,anypovertyimpactassessmentcarriedoutforapolicy-basedloanorgrantshouldconsiderthepotentialsocialimpactsoftheproposedpolicyreforms,particularlyforpoorandmarginalizedgroups.
socialanalysisinProJEctPrEParation 33
tomakethemosteffectiveuseofresourcesforthesocialanalysis,itisimportanttorevisitandrefinethetorandtodevelopadetailedworkplanforthesocialanalysisattheoutsetoftheprojectdesignphase(andnolaterthanattheinceptionmissionfortheprojectdesign).ifadditionalpovertyorsocialdevelopmentexpertise isneeded tocarryout thesocial analysis, stepsshouldbe takenas soonaspossibletofillanyexpertisegaps.
asdiscussed in thenextsubsection,severaldatacollectionmethodsareavailable forcarryingout thesocialanalysis. inallcases, thesocialanalysisshouldbeorganizedandsequencedsoas to(i)addressthesignificantsocialissuesidentifiedintheiPsa;(ii)providerelevantsocialdevelopmentinputstothetechnical,economic,andotheranalyses;(iii)incorporateappropriatemeasuresintheprojectdesign, includinganysocial actionormitigationplans;and(iv)provide relevantbenchmarkdata formonitoringsocialimpactsoftheprojectduringimplementation.Dependingonthenatureoftheproject,thesocialanalysismaybeorganizeddifferently.Followingareexamples.
• inalivelihoodsimprovementprojectwithati-Hclassification,thesocialanalysisislikelytobeorganizedaroundsocioeconomicsurveysandparticipatoryrapidassessments(Pras)ofthetargetpopulations,whichwouldalsoincorporategenderanalysis.iftheprojectalsoraisessocialsafeguardissues(e.g.,involvingindigenouscommunities),supplementalsurveys,consultations,orotherduediligenceistobeincorporatedintheoverallsocialanalysistoaddresstheseissues.
• inatransportprojectraisingsignificantresettlementissues,thesocialanalysisislikelytobeorganizedaroundthesurveysandotherduediligencerequiredtopreparetheappropriateresettlementplan.However,additionalsurveys,consultations,orotherduediligenceareoftenneededtoassesslocaldemandfortheproposedtransportfacilities,localcapacitytoparticipateinroadmaintenance,roadsafetyissues,and/orHivtransmissionrisksassociatedwiththeproject,andtocollectbaselinedataformonitoringsocialimpacts.
• inasectorprojectormFF,thesocialanalysisislikelytoinvolve(a)surveys,consultations,orotherduediligencetoassesssocialissuesinasampleofsubprojectareas;40(b)preparationofdetailedplansorothermeasurestoaddresssignificantsocialissues(suchasinvoluntaryresettlement)inthesesubprojects;and(c)preparationofaframeworktoaddressthesesocialissuesinfuturesubprojectsorphasesofthemFF,includingcriteriaforcarryingoutfurthersocialanalysisanddevelopingmorespecificplansorothermeasuresinthefuture.
4. DataCollect�onMethods
thedesignphaseprovidestimefordetaileddatacollectionandanalysistoclarifytheexpectedimpactoftheprojectondifferentgroups,includingthepoorandexcluded.appendix3setsoutvariousmethodsfordatacollectionthatcanbeusedinthesocialanalysistoinvestigatethepovertyand/orsocialissuesidentifiedintheiPsa.basedonthedatacollected,poverty,social,and/orriskanalysiscanbecarriedoutandappropriatedesignmeasures,includingactionormitigationplans,canbedeveloped.
39 asnotedearlier,ifaprojectisintendedtotargetindividualsorhouseholds(andthereforeisclassifiedastargetedintervention[ti-H]),afullpovertyandsocialanalysismustbecarriedoutduringtheproject-designphase.Forallpolicy-basedprojects(includingprogramloansorgrantsandsDPs),apovertyimpactassessmentmustbecarriedouttoidentifyandaddresstheimpactofpolicyreformsonpoorandvulnerablegroups.insDPs,socialanalysismayalsoberequiredtoaddressgender,socialsafeguard,orothersocialissuesintheinvestmentcomponentsoftheprogram.
40 thesewouldincludetheinitialsubprojectareasforasectorloan,orthesubprojectareastobecoveredbytheinitialtrancheofamultitranche-financingfacility.
34 HanDbookonsocialanalysis
Table4:Soc�alAnalys�sdur�ngProjectDes�gn
Stage Purpose Tool/Processa Outputa
Incept�onstageb
• facilitateownershipofallstakeholders;• confirmiPsareportandtor;• reviewintendedprojectclassification;• identifykeypovertyreductionandsocialdevelopmentoptions;• identifykeyclientgroups;and• ifneeded,prepareandagreeonworkplansforaction/mitigationplans,frameworks,orothermeasures.
• stakeholderanalysis(5),• stakeholderworkshops,• problemanalysis(5),• developmentofinitialDmF,
and• riskanalysis.
• c&Pplan(5);• designoptionsforfieldtesting• workplanfordetailedsocial
analysisandbaselinestudy;• expandedDmF;and• workplanstopreparesocial
actionand/ormitigationplans/frameworks,asneeded.
F�eld�nvest�gat�on
• confirmproblemanalysis;• rankandreviewoptions;• assessneeds,demands,and
capacitiesofclients/beneficiaries;• confirmtargetingapproach(forti-H
projects);• fostermaximumpositiveimpactfor
women/girls;and• developappropriateandaccepted
mitigationplans,frameworks,orothermeasuresifnegativeeffectsareunavoidable.
• Pratechniques(3);• Pia,forpolicy-basedprojects;• genderanalysis(6.2);• willingness/abilitytopay
survey(10.3);• clientgroupanalysis;• risk-reductionoptions;and• socialanalysisfocusedonaffectedpersonsand/orcommunities.
• client-preferredoptions;• targetingoptions(forti-H
projects);• genderplan,ifneeded(6.3);• planforaffordableservice
levels(10.2);• client-focusedoptionsfor
institutionalarrangements;and• draftmitigationplan(s),
frameworks,orothermeasuresforconsultationwith
stakeholders(7,8,9,and10).
M�dtermstageb
• ensureallsocialconcernsareaddressedindesignoptions,• involveallrelevantstakeholdersin
agreementonpreferreddesign,• maximizepovertyreductionand
socialdevelopmentimpact,and• minimizenegativeimpacts.
• comparisonofdesignalternatives,and
• reviewofaction/mitigationplansorothermeasures.
• midtermreport,includingdraftsPrssandresultsofc&Pprocess;
• draftgenderplan(6.3);and• draftmitigationplan(s),
frameworks,orotherdesignmeasures(7,8,9,and10).
Consol�dat�on • reconfirmpreferredoption,and• reviewandconsolidateaction/
mitigationplansorotherdesignmeasures.
• fieldassessment,• stakeholderconsultation,and• datareviewandaugmentation.
• draftprojectdesign(includingDmF,implementationschedule,andbudget);and
• socialdevelopmenttargetsandindicatorsincorporatedinDmF.
F�nalstageb • facilitatestakeholderownershipoffinaldesign,
• confirmpovertyreductionandsocialdevelopmentoutcomesinprojectdesign,and
• confirmalignmentwithaDbandgovernmentpolicies.
• reviewofdesignelements;and
• reviewofprojectclassificationandcompliancewithrequirementsforaction/mitigationplans,frameworks,orothermeasures.
• agreementfromallstakeholdersonfinaldesign;and
• finaldesigndocumentedindraftrrP,includingsPrss,Pia/policymatrix(forpolicy-basedprojects),andaction/mitigationplansorframeworksasneeded.
aDb=asianDevelopmentbank,c&P=consultationandparticipation,DmF=designandmonitoringframework,iPsa=initialpovertyandsocialanalysis,Pia=povertyimpactassessment,Pra=participatoryrapidassessment,rrP=reportandrecommendationofthePresident,sPrss=summarypovertyreduc-tionandsocialstrategy,ti-H=interventiontargetingindividualsorhouseholds,tor=termsofreference.a numbersinparenthesesrefertorelevantappendixestothishandbook.b stageswithworkshops.
socialanalysisinProJEctPrEParation 35
theappropriatedatacollectionmethodsforsocialanalysiswillvarywitheachproject,dependingonthesocialissuestobeexamined,thenatureandcomplexityoftheproject,thediversityofpopulationgroupslikelyaffectedbytheproject,thedataalreadyavailable,andthetimeandresourcesallocatedtocollectprimarydata.Formostprojects,thedatacollectionprocesswillincludebothprimaryandsecondarydata,andacombinationofqualitativeandquantitativemethods.FortheiPsa,thebasicdatasourcesforanysocialanalysisshouldincluderelevantsecondarydata,sitevisits,andinterviewswithkeyinformants.Formostprojects,socioeconomicprofilesoftheclient/beneficiarygroup(s)andanyotherproject-affectedgroupswillalsobedevelopedbasedonsecondarydata,supplementedasneededbysurveydataand/orPratechniques.thescopeofthesocioeconomicprofileandsurveysamplesizewillvarydependingonthesectorandrangeofpoverty/socialissuesinvolved.thefollowingsubsectionsalsodiscussdatacollectionmethodsthatmaybeappropriateforparticularissues.
5. ProfileofCl�ents/Benefic�ar�es
thesocialanalysisshouldfirstidentifythebasicneeds,demands,constraints,andcapacitiesofrelevantsubgroupsinthepopulationinrelationtotheproject.thisprofileisanimportantinputtotheprojectdesignprocess,includingtheanalysisofunderlyingdevelopmentproblem(s),objectives,andalternatives,andprovidesbaselinedataformonitoringthesocialimpactsoftheprojectontherelevantgroups(seefootnote11).
(i) thefirststepinconstructingthisprofileistoidentifytheclient/beneficiarypopulationandanyotherpopulationsthattheprojectwilllikelyaffect.(Forexample,inaruralelectrificationproject,theclient/beneficiarypopulationwouldincludehouseholdsandbusinessesexpectedtobeconnectedtotheelectricitygridundertheproject;otherpopulationsaffectedbytheprojectcouldincludehouseholdsthatwillberesettledtomakewayfortheconstructionofnewpowerstationsandelectricaltowers.)
(ii) thesecondstepistoidentifysubgroupswithinthispopulation(orpopulations)thatmayhavedifferentneeds,demands,constraints,andcapacities(forexample,basedongender,ethnicity,age, income level,ownershipof land,orotherassets).thesepopulationsandsubgroups should have been identified through the initial stakeholder analysis at thepredesignstage.thesocialanalysisshouldverifythesepopulationsandsubgroups.
(iii) Dependingonthescopeofthesocialanalysis,socioeconomicprofilesshouldbepreparedforeachpopulation.theseprofilesmaybebasedonsecondarydata(suchasexistingcensus,householdsurveys,demographicandhealthsurveys,countrypovertyanalysis,cGas,andothersources),supplementedasneededbyproject-specificsurveysand/orPras.thecontentoftheprofileswillvarydependingonthepovertyand/orsocialissuesidentifiedintheiPsa(discussedfurtherbelow).seeappendix3.2forsampleoutlinesofsocioeconomicprofiles.box6providesanexampleofasocioeconomicprofilefromarecentaDbproject.
Assess�ngNeeds.anassessmentofgroupneedsisimportantforthreereasons:
(i) tounderstandthepriorityofaparticularneedinrelationtothemanyneedsofthegroup,anddeterminewhetheritisrealisticforaprojecttoaddressthisneedinisolationfromotherpriorityproblemsandrisksintherelevantcommunity;
(ii) toensurethatthereisnodiscrepancybetweentheobjectiveneedsofacommunity—suchastheneedtoimprovesanitationasameansofimprovinghealth—andthefeltneedsof
36 HanDbookonsocialanalysis
Box6:Soc�oeconom�cProfileofInd�a’sRuralRoadsSectorIProject
india’sruralroadssectoriProject(2003)aimstoreducepovertyanddeprivationandsupporteconomicgrowth,throughprovisionofenhancedaccesstomarkets,employmentopportunities,andsocialservices.inparticular,theprojectis(i)providingall-weatherroadconnectionstoruralcommunitiesinthestatesofmadhyaPradesh(mP)andchhattisgarh(cG);and(ii)improvingtheefficiency,sustainability,andsafetyoftheruralroadnetworksinthesestates.
basedontheissuesidentifiedintheinitialpovertyandsocialanalysis,asocioeconomicandpovertyanalysiswasconductedduringtheprojectdesignphase.oneofthemainsectionsofthestudypresentedasocioeconomicprofileofthepopulationintheprojectareas.thestudyrevealedthatthedistrictscoveredbytheprojectareamongthepoorest inmPandcG.theproportionoffamilieslivingbelowthepovertylinerangebetween49%and76%inthemPdistrictsandbetween50%and58%inthecGdistricts.majorfactorscontributingtopovertyinthedistrictsinclude(i)physicalisolationandlackoftransportconnectivityandaccesstobasicsocialservices,(ii)landlessness,(iii)droughtandlackofaccesstoirrigation,and(iv)socialexclusionresultingfromlowcasteortribalstatus.incG,about32%ofthepopulationareindigenouspeoplewhoaresubsistencericefarmersandlivemostlybelowthepovertyline.residentsintheprojectareasaregenerallyisolatedforabout4monthsduringmonsoonseason,whileoverhalfoftheareasareisolatedformostoftheyearduetopoorconnectionstodistrictandstateroads.
thestudyalsopresentedamoredetailedanalysisofthesocioeconomiccharacteristicsoftheprojectdistrictsinmPandcG.inaddition,thestudyreportedfindingsfromparticipatoryruralappraisals(Pras)inasampleofvillagesintheprojectdistrictsofmP.(comparabledatawerealsocollectedonasampleofcontrolvillagesoutsidetheprojectareatofacilitatemonitoringthesocioeconomicimpactsoftheproject.)basedonthePradata,thestudyidentifiedfoursocioeconomicgroupsinthemPprojectarea:(i)lowerpoor,includingpeopleinhighlyvulnerablecircumstanceswithlittleopportunityforeconomicmobility,suchasthosewhobelongtothelowestcasteortribalcommunities,andarelandlessorhavemarginallandholdings;(ii)upperpoor,includingpeoplewhoownsufficientlandforsubsistencefarming,mayearnsupplementaryincomefromtraditionalcrafts,ownatleastoneproductiveasset,andaremorelikelytobeliteratethanthelowerpoor;(iii)mediumgroup,includingpeoplewithgreatereconomicsecuritythantheupperpoor,supportedbymoreandbetterqualityland,moreproductiveassets,moresuccessfulmicroenterpriseactivity,andgreaterinvestmentineducation;and(iv)well-off,includinglargelandownersmostlybelongingtohighercastes,whoownvehiclesandmodernfarmmachinery,haveseveralsourcesof income,andsendtheirchildrentoprivateschool.Womeninthisgroupwerefoundtohavebetteraccesstomodernhealthservicesthanpoorergroups.
source:aDb.2003.Report and Recommendation of the President to the Board of Directors on a Proposed Loan and Technical Assistance Grant to India for the Rural Roads Sector I Project,supplementaryappendixJ(analysisofsocio-EconomicandPovertyimpact).manila.
thecommunityordifferentsubgroups,someofwhommaynotrecognizethelinkbetweensanitationandhealth(thedesignimplicationofsuchasituationwouldbetheneedforasocialmarketingorinformation,education,andcommunicationcomponent);and
(iii) tounderstandtheunderlyingcausesoftheperceivedneeds.Forexample,slumdwellersmayhaveaclearlyinadequatewatersupply.thismaybeduetoarangeoffactors,suchas“illegal”residences,inabilitytoaffordconnectionoruserfees,absenceofusergroupstomaintainstandpostorotherservicefacilities,orlimitedaccesstoalternativelow-qualityservice,whichismorecommensuratewiththeirabilityandwillingnesstopay.
Assess�ngDemand.Whereaprojectisintendedtoprovideorimproveparticularfacilitiesorservices,itisimportanttoassesstheactualorlikelydemandoftheintendedclients/beneficiariesforthesefacilitiesorservices.otherwise,thefacilities/servicesmaybeinappropriate,unaffordable,orotherwiseunsustainable.thedemandforaparticularfacilityorservicemaybemeasuredbythewillingnessandcapacityofthetarget
socialanalysisinProJEctPrEParation 37
clienteletocontributetothecostofprovidingthefacility/service.contributionsmaybeincash,butmorefrequentlyinvolvelaborandmaterialdonationstoconstruction,operation,andmaintenancecosts.
informationaboutthedemandforaprojectmaybeobtainedthroughsurveysthatseektodeterminewillingnessandabilitytopay.amongthepoor,answerstohypotheticalquestionsareoftenlessreliablethanconcreteinformationaboutwhatcomparablecommunitiesarealreadypayingforsimilarassetsorservices;forexample,expendituresonwaterfromwatervendorsorinterestratespaidonloansfrominformalmoneylenders.However,careshouldbetakentoensurethatanyarrangementforcommunitycontributionstotheconstructionormaintenanceofprojectfacilitiesdoesnotdisproportionatelyburdenthepoorestandmostvulnerableinthecommunity.thesocialdevelopmentspecialistontheprojectdesignteamshouldcollaboratewiththeprojecteconomistorfinancialanalysttoexaminetheseissues.
Assess�ngConstra�nts.asocioeconomicprofileshouldalsoidentifythemainfactorsthatmaylimittheparticipationofparticularsubgroupsinprojectactivities,ortheirequitableaccesstothebenefitsoftheproject.Withoutthisanalysis,theprojectmayinadvertentlyexcludeparticularsocialgroupsorpreventthemfromfullyparticipatingandbenefitingfromprojectactivities.Forexample,socialnormsmaylimittheabilityofwomentoparticipateincommunitydecisionmaking,totravel,ortoholdtitletoland.landlesshouseholdsinacommunitymaybeineligibletoparticipateinwaterusergroups.Poorhouseholdsarelesslikelytohavecashincometopayforschooluniformsandsupplies,drugs,andhealthservices,orconnectionfeesforwaterorelectricityservices.
Assess�ngCapac�ty. Especiallyforprojectsintendedtoprovidefacilitiesorservicestoparticularhouseholdsorcommunities,itisalsoimportanttoevaluatethelikelyabilityofthehouseholds/communitiestoacquire,use,andmaintaintheproposedfacilities/services.thisinformationisneededtodetermine(i)thesupportthatmayberequiredtoorganizecbosorusergroups,(ii)technicaltrainingcomponentsthatmayberequiredtoincreaseskillsorcapacity,and(iii)socialmarketingorinformationcampaignsthatmayberequiredtoincreaseawarenessanddemand.
thisabsorptivecapacitycloselyreflectsthelevelofsocialcapital withinacommunityandthiscanbeassessedbyexaminingsomeorallofthefollowing.
(i) Soc�al cohes�on: as indicated by social traditions and support mechanisms within thecommunity, including the role of women, political support or interference, communitydiscipline,andincidenceofcrime.
(ii) Capab�l�t�esofcommun�tyorgan�zat�ons:theseareindicatedbythecoverageandqualityofleadership,stability,andcapacityforbuildingconsensusandsettlingdisputes.
(iii) Level of knowledge and sk�lls: this includes managerial, technical, financial, andentrepreneurialskillsoftheintendedclients/beneficiaries;exposuretoideasfromoutsidethecommunity;andexperiencewithsimilarprojects.
(iv) Mot�vat�onandcapac�tytochange:thisisrepresentedbyattitudesandaspirationstowardchange,recognitionofneedforchange,evidenceofparticipation,andcooperationinself-helpactivities.itisalsoaffectedbytheavailabilityofothercommunityresources,suchastime,healthandnutritionalstatus,andassetsandliabilities.
38 HanDbookonsocialanalysis
6. StakeholderConsultat�onandPart�c�pat�on
informationdisclosure,consultationwithstakeholders,andparticipatoryapproachesarerecognizedascontributingtomoreeffective,relevant,andsustainableprojects,andtotheinclusionandempowermentofdisadvantagedgroups.However, theextentand format for stakeholder consultationsand theuseofparticipatoryapproachestoprojectdesignwillvarydependingonthenatureoftheprojectandthepoliticalandsocialenvironmentinwhichit isbeingprepared.ac&Pplanisrecommendedformostprojectsandcanvaryfromsimpletofairlyelaboratedependingonthecomplexityandriskleveloftheproject.aninitialc&Pplan,basedonaninitialstakeholderanalysis,shouldbepreparedinthepredesignphase.theinitialstakeholderanalysisandc&Pplanshouldberevisitedandrefinedattheoutsetoftheprojectdesignphase(andnolaterthanattheinceptionworkshopfortheprojectdesign).theyprovideabasisfordevelopingamoredetailedc&Pplancoveringbothprojectdesignandprojectimplementation.box7describesanexampleofacommunityparticipationstrategy inprojectdesign. (achecklist forpreparingac&Pplanisprovidedinappendix5.)41
throughout theprojectdesignprocessarenumerousopportunities to involvestakeholders toensuretheappropriatenessofthedesignandownershipofandsupportfortheproject.theseinclude(i)theinception,midterm,andfinalworkshopsforthePPta(orotherprojectdesignprocess);(ii)theuseofPratechniquestogatherdataforthesocialanalysis;(iii)stakeholderworkshopsheldtosolicitinputontheoverallprojectdesignoronspecificactionormitigationplans(e.g.,relatingtogender,resettlement,indigenouspeoples,orlaborretrenchmentissues);and(iv)designofmeasuresforstakeholderparticipationinprojectimplementation.stakeholderworkshopsarestronglyencouragedtodeveloptheDmFfortheproject,42andconsultativeandparticipatoryapproachesarealsorequiredinpreparingresettlementandindigenouspeoples’plans, frameworks,orothersafeguardmeasures.43summariesofallstakeholderconsultations,e.g.,intheformofatableormatrix,shouldbepreparedforfuturereferenceandpossibleuseasanappendixtotherrP.
avarietyofparticipatorytechniques,includingPra,maybeusedtocollectdatarelevanttothesocialanalysisandgeneralprojectdesign.thesetechniquesaredescribedinmoredetailinappendix3.Pratechniquesareparticularlyusefultoassesstheappropriatenessofaproposedprojectintermsoftheintendedclientele’sorcommunities’ownneeds,demands,constraints,andabsorptivecapacity.inundertakingparticipatoryassessments,itisimportanttoidentifythosewhosevoiceandparticipationarerestrictedwithinacommunityasaresultofcultural,economic,orgenderbarriers.Forexample,inmostcases,theassessmentshouldincludeseparateconsultationswithwomenandmentoensurethatthosewomen’sviewsareheard.
intheinception,midterm,andfinalworkshopsfortheprojectdesignprocess,andanyotherstakeholderworkshopsorganizedtoprovideinputtotheprojectdesign,skilledfacilitatorsandparticipatoryplanningtechniquescanbeusefultoensurethattheworkshopisruninaparticipatorymannerfromtheviewpointofboththegovernmentandotherstakeholders,includingrepresentativesoftheintendedclients/beneficiariesandotheraffectedgroups.informalworkshops,csosmayvoicetheconcernsofpoorandmarginalizedgroups.itisimportanttoensurethatbeforeanydecisionsaremadethataffectthesegroups,anappropriateformofdirectconsultationalsotakesplace.thisconsultationisnormallydoneusingPratechniques duringfieldvisitsforthesocialanalysis.
41 FurtherguidanceisprovidedinaDb.2006.Strengthening Participation for Development Results: A Staff Guide for Consultation and Participation.manila.
42 aDb.2006.Guidelines for Preparing a Design and Monitoring Framework.manila.43 operationsmanualsectionsF2/oP(involuntaryresettlement)andF3/oP(indigenousPeoples).
socialanalysisinProJEctPrEParation 39
Box7:Commun�tyPart�c�pat�onStrategy:Mongol�aUrbanDevelopmentSectorProject
mongolia’surbanDevelopmentsectorProjectaimstoimprovethelivingconditionsandqualityoflifeofurbanresidents,especiallythoselivingintraditionaltent(orger)areasinulaanbaatar.morespecifically,theprojectprovides(i)enhancedbasicurbanservices,(ii)improvedurbanroads,(iii)smallloansforwaterconnectionsandon-plotfacilities,and(iv)institutionaldevelopmentandtraining.asidefromimprovingbasicinfrastructureintheger areas,theprojectisalsoexpectedtobenefitpeopleintheseareasbyofferingaccesstosmallloansforhouseholdsandneighborhoodimprovements,creatingdirectshort-termemploymentaswellaslong-termincome-generatingopportunities,andempoweringpoorresidentstoparticipateinplanningandimplementingcommunityinfrastructureimprovementsthroughcommunity-basedorganizations(cbos).
theprojectdesignprocessadoptedabottom-upapproach inwhich localgovernmentsandcommunitiesconfirmed their interest inparticipating in theprojectbydevelopingproposals forgerarea improvementsandcommunityparticipation.oncecoresubprojectswereselected,communitieswereengaged inprojectpreparation through a household survey and focus-group discussions. other stakeholders, including localgovernmentofficialsandcommunityleaders,werealsoconsultedextensively.
the project promotes a community-driven approach to ger area development, which is reflected in theproject’scommunityparticipationstrategy.thestrategycoversthreemainactivities:(i)establishmentofcbos,(ii)provisionofsmallloans,and(iii)publicawarenessraisingandtraining.theestablishmentandstrengtheningofcbosisthecenterpieceofthestrategy.cbosareexpectedtofacilitatecitizenparticipationintheprojectandserveascommunityrepresentativestothelocalgovernment,thepublicurbanservicesorganizations,andtheprojectimplementationunit.theprojectalsoprovidesaffordable,small loanstohouseholdstopursuesmall-scaleimprovementsontheirownoraspartofacboblockorsavingsgroup.theloansmayfinanceindividualwaterconnectionsandplotsanitation,smokelessorelectricstoves,orminorhousingimprovements.toencourage residents toparticipate in andbenefit from theproject activities, education campaigns andtrainingseminars—relatedtoalternativesanitationandheatingsolutions,improvedhealthandhygiene,andmicrofinance—willbecarriedoutinconsultationwiththeresidents,localnGos,localgovernments,andpublicurbanservicesorganizations.membersofsavingsandcommunitygroupswillbetrainedastrainers,andthesetrainersinturnwillconductcommunity-widetrainingactivities.
thecommunityparticipationstrategyalsorecognizestheneedtomaximizetheparticipationofwomen,whoare primarily responsible for household maintenance and hygiene. to ensure women’s participation, theproject’sgenderactionplanrequiresequalrepresentationofwomenandmenoncbocouncils,equalaccesstoemploymentandtrainingopportunities,encouragementtowomen’sgroupstoapplyforblockloans,andothermeasures.sanitation,health,andhygieneawarenesstrainingwillbeprovidedtobothmenandwomentoencouragegreatersharingofhouseholdresponsibilities.
in terms ofmonitoring and evaluation, cboswill play a vital role in the conduct of public consultations,sitevisits,andhouseholdsurveysduringprojectimplementation.residentswillalsobedirectlyinvolvedinevaluatingtheproject’simpactonpovertyreduction,genderinclusion,healthimprovements,andenvironmentalimprovements.
source:aDb.2006.Report and Recommendation of the President to the Board of Directors on a Proposed Loan to Mongolia: Urban Development Sector Project,supplementaryappendixl(communityParticipationstrategy).manila.
Forprojectsinwhichclient/beneficiaryparticipationisimportanttotheproject’soverallsuccess,appropriatec&Pmechanismsforprojectimplementationshouldbeidentifiedandincorporatedintheprojectdesign.thesecouldinclude(i)targetsfortheparticipationofparticulargroupsinprojectactivities;(ii)engagementofcommunitymobilizers;(iii)provisionsforspecialtrainingoroutreachactivities(e.g.,tofacilitatewomen’sparticipation);(iv)inclusionofclient/beneficiaryrepresentativesinprojectreviewmissionsandworkshops;(v)useofcitizenscorecardstoassessprojectimplementation;and/or(vi)engagementofnGosorlocalresearchinstitutestocarryoutindependentmonitoringoftheproject.
c&Pactivitiesundertakenduringtheprojectdesignphasearesummarizedinpartii.b1ofsPrssreportform.
40 HanDbookonsocialanalysis
7. Address�ngGenderD�spar�t�es
importantdifferencesinrolesbetweenwomenandmen,orothergendernorms,mayhaveasignificantbearingontheproject.becausegenderdisparitiesusuallyresult inwomenandmenhavingdifferentneeds,demands,andconstraints, it iscrucial to identifythemearly inthedesignprocessbeforekeydecisionsaremade.ifthesedifferencesareignored,theprospectsforsuccessoftheprojectmaybeadverselyaffected,andwomenmaynothavetheopportunitytobenefitfromtheprojectonequaltermswithmen.socialnormsrelatedtogenderrolesfrequentlyresultin(i)gender-basedinequalityinaccesstoandcontrolofkeyresources;(ii)unequalopportunitiesforwomenandmeninareassuchaseducation,mobility,andpublicdecisionmaking;and(iii)formalorinformaldiscriminationagainstwomeninareassuchasinheritance,ownershipandregistrationofland,accesstocredit,andemployment.
Detailedgenderanalysismustbeincludedinthesocialanalysis if(i)womenaresubstantiallyinvolvedintherelevantsector;(ii)theproposedprojecthasthepotentialtodirectlyimprovewomen’sorgirls’accesstoopportunities,services,assets,orresources;or(iii)theprojectcouldhaveanegativeimpactonwomenorgirls.basedonthisanalysis,appropriatemeasuresneedtobeidentifiedandincludedintheprojectdesigntoensurethatwomenand/orgirlscanparticipateinandbenefitfromtheproject.aprojectincategory(i)or(ii)shouldbeclassifiedwithaGaDtheme(oratleasttreatedasa“gendermainstreaming”project),andagenderplanshouldbedevelopedtoincludeintheprojectdesign.aprojectincategory(iii)shouldincludeappropriatemeasurestoavoidorminimizethenegativeimpact.44
achecklistofkeygenderconsiderationsfortheprojectdesignphase—includinggender-inclusiveconsultations and participatory approaches, gender analysis, gender-inclusive design elements, andperformance monitoring—is provided in appendix 6.2. Detailed gender checklists have also beenpreparedforprojectsinkeysectors.45Guidelinesforpreparingaprojectgenderplan—includingprojectdesignfeatures,gendercapacitydevelopmentofexecutingorimplementingagencies,policyissuestobeaddressed,genderexpertsornGostobeengagedtofacilitateimplementation,relevanttargets,andindicators,andbudget—areprovidedinappendix6.3.
the strategy for maximizing positive impacts of the project on women and/or girls, or forotherwiseaddressinggenderconcernsintheproject,issummarizedinpartii.c2ofthesPrssreportform(appendix4.2).thesummaryofanygenderplanshouldalsobeattachedasaseparatecoreappendixtotherrP.
8. Ensur�ngSoc�alSafeguards
Duringtheprojectdesignphase,aDb’spoliciesoninvoluntaryresettlementandindigenouspeoplesrequiretheidentificationofsocialsafeguardissuesandrelevantmeasurestoaddressthem.atthepredesignstage,aninitialdeterminationismadeastowhethereitherofthesesafeguardissuesislikelytobepresentintheproject.onthisbasis,theprojectiscategorizedinitiallyintermsofthesesafeguardrisks.thesecategories(a,b,orc)determinetheneedforfurtherduediligenceandpreparationofmitigationplans,
44negativeimpactscouldincludewomen’slossoftraditionallandrightsorlivelihood/employmentopportunitiesasaresultoftheproject.negativeimpactsonwomenrelatedtosafeguardissuesshouldbeaddressedundertherelevantsocialsafeguardpolicy.(seethediscussionof“socialsafeguards”above.)
45these include gender checklists for agriculture, education, health, water supply and sanitation, urban development, andresettlement,whichareavailableatwww.adb.org/Gender/checklists.asp.atoolkitongender,law,andpolicyissuesisavailable:www.adb.org/Documents/manuals/Gender-toolkit/Gender-law-Policy-toolkit.asp.
socialanalysisinProJEctPrEParation 41
46Forinvoluntaryresettlementpurposes,acategoryadesignation(involving“significant”resettlement)requiresafullresettlementplanorframework,whileacategorybdesignation(withresettlementthatis“notsignificant”)requiresashortresettlementplanorframework.(seeoperationsmanualsectionF2/oP[involuntaryresettlement].)Forindigenouspeoples’purposes,categorya(with“significantimpacts”)requirespreparationofanindigenouspeoples’developmentplanorframework,whilecategoryb(with“limitedimpacts”)requiresspecificactionstobetakenwithintheprojecttoaddressindigenouspeoples’needswithintheproject.(seeoperationsmanualsectionF3/oP[indigenousPeoples].)
47 aprojectinvolvinginvoluntaryresettlementwillrequireashortorfullresettlementplan(orframework),dependingontheextentofdisplacement.aprojectaffectingindigenouspeopleswillrequireanindigenouspeoples’developmentplan,framework,orotherspecificaction,dependingonthetypeandseverityofimpact.
48 aDb.2005.Public Communications Policy: Disclosure and Exchange of Information.manila,paras.80–85.seealsooperationsmanualsectionl3/oP(Publiccommunications,paras.21–26).
frameworks,orotheractionstobeincorporatedintheprojectdesign.46theinitialprojectcategoriesshouldberevisitedattheoutsetofthedesignphase,andperiodicallyasmoredatabecomeavailablethroughthesocialanalysis.
ifsocialsafeguardissueshavebeenidentifiedinaproject,specificduediligencewillbecarriedoutaspartofthesocialanalysisprocess.thiswillincludeareviewofrelevantsecondarysourcesandtheconductofsocioeconomicsurveysofasampleoftheaffectedpopulations,complementedbyPrasoftheaffectedgroups.Forinvoluntaryresettlement,acensus,assetinventory,andlandassessmentwillalsobecarriedout.basedonthisduediligence,appropriatemitigationplansorothermitigationmeasureswillbedevelopedtoincorporateintheprojectdesign.47ForasectorprojectormFF,amitigationframeworkwillbedeveloped,providingformoredetailedmitigationplanstobepreparedoncethespecificsubprojectsorprogramtrancheshavebeenidentified.
more detailed guidance on due diligence related to social safeguards and the preparationof mitigation plans is provided in aDb’s Handbook on Resettlement (1998) and draft indigenousPeoples’ Policy Handbook (June 2007). Guidelines for preparing an involuntary resettlement plan(orframework)andindigenouspeople’sdevelopmentplan(orframework)areprovidedinappendixes7and8,respectively.thestrategiestoaddresssocialsafeguardissuesaresummarizedinpartiiiofthesPrssreportform(appendix4.2).summariesofanyinvoluntaryresettlementplan/frameworkorindig-enouspeople’sdevelopmentplan/frameworkarealsoincludedasseparateappendixestotherrP.
underaDb’spubliccommunicationspolicy,anydraftresettlementplanorindigenouspeoples’developmentplanmustbemadeavailabletotheaffectedpeoplebeforeappraisaloftherelatedproject.thereafter,thefinalversionsoftheseplansmustbemadeavailabletotheaffectedgroupsoncompletion.likewise,anyrevisionstotheseplansresultingfromchangesinthetechnicaldesignorscopeoftheprojectmustbedisclosedtotheaffectedgroups.48
9. Address�ngOtherR�sksandVulnerab�l�t�es
During the project design phase, it is important to investigate and address other social risks andvulnerabilities thatmayundermine theproject’sobjectivesor limit theproject’sbenefits.some risksmaybedirectly linkedtotheproject,suchas increasedfeesforbasicservicesor increasedpricesofessentialcommodities,joblossesrelatedtogovernmentorindustryrestructuring,poorlaborconditionsforworkersinvolvedinprojectconstruction,ortheincreasedriskofHiv/aiDstransmissionorhumantraffickingassociatedwithalargeinfrastructureproject.Poorcommunitiesandmarginalizedgroups,suchaswomen,disadvantagedcastes,theelderly,orthedisabled,maybeparticularlyvulnerabletotheseandotherrisks.theserisksandvulnerabilitiesshouldbeidentifiedduringthepredesignphase,andshouldberevisitedattheoutsetoftheprojectdesignphase.anysignificantrisksorvulnerabilitiesshouldbeinvestigatedfurtherthroughsocialanalysis.considerationofaffordabilityissues(e.g.,relatedtofeesorchargesforbasicservices)shouldbe linkedtothefinancialandeconomicanalysesof theproject. if
42 HanDbookonsocialanalysis
needed,appropriatemitigationplansorothermitigationmeasuresshouldbedevelopedandincorporatedintheprojectdesign.PossiblesocialrisksthatcanariseinaDb-supportedprojectsandrelatedmitigationmeasuresaresetoutintable5.box8givesanexampleofaffordabilityanalysis.
mitigationmeasuresshouldaimtoachieveanappropriatebalancebetweensocialfairnessandeconomicsustainability.inconsideringpossiblemitigationoptions,itwillbeimportantto(i)assessthetrade-offsassociatedwithparticularpolicyreforms,includingtherelatedsocialandeconomiccostsandbenefits;(ii)examinemitigationpackagescarefullytomakesurethattheyareaffordable,thattheydonotcrowdoutothersocialexpenditures,andthattheydonotleadtoadverseselectionproblems;and(iii)establishmechanismstopreventleakagestothenonpoor.
Guidelinesforpreparingariskandvulnerabilityprofileandforassessingaffordabilityandwillingnesstopay,whichmaybeincorporatedinthesocialanalysis,areprovidedinappendix10.Guidelinesforaddressingcorelaborstandardsissuesareinappendix9.1,whileguidelinesforpreparingaretrenchmentplanorothermitigationplansareinappendixes9.3and10.3,respectively.anystrategiestoaddresssocialrisksandvulnerabilitiesintheprojectaresummarizedinpartiiiofthesPrssreportform(appendix4.2).allsignificantrisksidentifiedduringtheprojectdesignphaseshouldalsobenotedintheassumptions/riskscolumnoftheDmFfortheproject(discussedfurtherbelow).
10. SummaryOutput:TheSPRSSForm
allrrPsmustincludeansPrssreportformasacoreappendix.sPrssdescribesthestepstakentoaddresstheissuesidentifiedintheoriginaliPsareport,andsummarizesthesocialactionormitigationplans,frameworks,orothermeasuresincludedintheprojectdesigntoaddresstheseissues.theformatfor thesPrss ispresented in appendix4.2. summariesof any social actionormitigationplans (orframeworks)are includedincoreappendixestotherrP,withthefullplans/frameworks includedassupplementaryappendixes.
11. Des�gnandMon�tor�ngFramework
aspartofitscommitmenttodevelopmenteffectiveness,aDbisplacinggreateremphasisonresultsinindividualprojectsthroughitsPPms.thecornerstoneofPPmsistheDmF,whichmustbepreparedforallloan,grant,andtechnicalassistanceprojects.49toensurethataDb’soperationsarefurtheringitsgoalofinclusivesocialdevelopment,itisimportanttointegratesocialdimensionsintotheDmFsforspecificprojects.thisprovidesgreaterassurancethatsocialdevelopmentactivitiesincludedintheprojectdesignwillbeimplementedandthatthesocialimpactsoftheprojectwillbemonitored.
PossibleareasforincorporatingsocialdimensionsintheDmFinclude:
(i) Impact. include any long-term social development impacts to which the project aimsto contribute (such as improved educational, health or nutrition levels of low-incomehouseholds, women or ethnic minorities, or increased economic activity of women inparticularprovincesorareas).
49 operationsmanualsectionJ1(ProjectPerformancemanagementsystem);aDb.2006.Guidelines for Preparing a Design and Monitoring Framework. manila.
socialanalysisinProJEctPrEParation 43
Box8:Affordab�l�tyAnalys�sandMeasures�nthePeople’sRepubl�cofCh�na:WuhanWastewaterandStormwaterManagementProject
theWuhanWastewaterandstormwatermanagementProjectforthePeople’srepublicofchinaisamajorurbaninfrastructureinitiativethataimstoimprovetheurbanenvironment,publichealth,andqualityoflifeforurbanandsuburbanresidentsinWuhan,thecapitalofHubeiProvince.theexpectedoutcomesoftheprojectare(i)improvedandexpandedwastewaterservicesinWuhanandsuburbanareas,(ii)integratedapproachestobasin-widepollutionpreventionandcontrol,(iii)improvedwaterqualityinnearbyriversandlakes,(iv)reducedflooding instormwaterdrainageareas,(v)moreefficientandbetter-managedimplementingagencies,and(vi)bettercostrecoverythroughgradualincreasesinwaterandwastewatertariffs.
becausetheprojectsupportsincreasesinwastewatertariffs,anaffordabilityanalysiswascarriedoutduringtheprojectdesignphaseandthesocioeconomicsurveycarriedoutatthesametimeincludedquestionsonwillingnessofhouseholdsandbusinessestopayhighertariffs.affordabilityofwaterandwastewatertariffswasanalyzedbasedoncitywideofficial incomedata.Forall incomegroups, thecombinedfull-cost tariffswereestimatedtobe less than2%of total income(less than3%of incomefor thepooresthouseholds).theproposedtariffswere,therefore,consideredaffordable.However,tomitigatetheimpactofthetariffadjustment,the relevant municipalities provide assistance to people living below the official poverty line through theminimumlivingsecurityscheme.inaddition,theWuhanDrainagecompanyfinancesmonthlycashrebatestopoorhouseholds,whichwillbeadjustedasthetariffincreases.Poorhouseholdsalsoreceiveamonthlywatertariffsubsidy.
althoughtheexistingtariffsubsidiesforpoorhouseholdsareexpectedtooffsettheadverseimpactsoftariffadjustmentson thepoor, theproject includesadditionalmeasures toensure thatwastewaterservicesareaffordableforpoorhouseholds.thesemeasures,whichareincludedinthedesignandmonitoringframeworkandsupportedbydetailedcovenantsintheprojectagreement,include
(i) maintenanceofwastewatertariffsubsidiesandperiodicevaluationofthesesubsidiestoensurethatwastewaterservicesareaffordabletopoorhouseholds,and
(ii) measures to ensure that poor households have equal access to wastewater and stormwaterbenefits.
thecovenantsintheprojectagreementrequiretheWuhanmunicipalgovernmentto
(i) undertake a review of the regulation on tariff regimes prior to the midterm review of projectimplementation,including(a)recalculationofminimumcostrecoverytariffsbasedonactualprojectcosts,(b)affordabilityandwillingness-to-paysurveys,(c)financial/economicbenefits,and(d)extensionofthepriceescalationmechanismtohouseholdandcommercialusersandotherpotentialfees,suchaschargestoencouragewaterconservationandsoundenvironmentalbehavior;
(ii) reviewtheimpactofwaterandwastewatertariffadjustmentsonthepoorandmaintainandadjustthewatertariffsubsidytoprotectthebasiclivingstandardsoftheurbanpoor;and
(iii) holdapublichearingonanytariffincreasewithkeystakeholders,includingrepresentativesofthepoor,andcultivatepublicsupportfortariffreformsthroughpublicinformationandparticipationprograms,includingpresentationsatpublicmeetingsandnewsreleases.
sources:aDb.2006.Report and Recommendation of the President to the Board of Directors on a Proposed Loan to the People’s Republic of China for the Wuhan Wastewater and Stormwater Management Project. manila;aDb.2006. Project Agreement (Wuhan Wastewater and Stormwater Management Project) between Asian Development Bank, Hubei Provincial Government, and Wuhan Municipal Government. manila.
44 HanDbookonsocialanalysis
Table5:Soc�alR�sksandPoss�bleM�t�gat�onMeasures
Soc�alR�sk Poss�bleSoc�alAct�on/M�t�gat�onMeasure
restructuringpublicorprivateenterpriseswillresultindirectlabordownsizing.
• Preparelabor-restructuringplan(appendix9.3).• includeaffectedworkersinc&Pplan(appendix5).
restructuringmayleadtodivestitureofsocialservices,suchashousing,healthcare,andeducationfacilities.
• separateessentialservicesfromdivestiture.• searchforalternativefinancingoptionsfornonessentialservices.• introducemeasurestostreamlineservicestoachievecostsavings.• introduceself-financingoptions.• Preparelabor-restructuringplan(appendix9.3)foranyworkerslosingjobs
fromdivestedservices.
costsmayincreaseforgoodsthatthepoorandexcludedgroupsuse.
• introducecompensatorycashtransfers,consumersubsidies,orsocialfundsdirectlytargetingthepoortoensurebasicsuppliesofessentialgoods,ensuringadequatephasingoutofsuchprograms.
costsmayincreaseforservicesthatthepoorandexcludedgroupsutilizedirectly.
• separateessentialservicesexpendituresfrombudgetcuts.• cross-subsidizeservicesandutilitiestoreducethecosttosmallconsumersor
toprovideanoptionallowservicelevel(e.g.,communitystandpipesforwatersupply,lifelineelectricitytariff).
• Providetemporarysubsidiesoralternativefinancingmechanismstoallowpoorhouseholdstoconnecttopublicutilities(e.g.,instalmentpaymentsforconnectioncharges).
• incountrieswithahighpercentageofchildrenandyouth(30%oftotalpopulation),securebasicservicesforchildrenviaschools(e.g.,nutrition,immunization,basichealthassistance).
sectorrestructuringmaydisproportionatelyaffectthepoorandexcludedgroups,whicharemostvulnerabletoeconomictransition.
• Developmanagementarrangementscapableoftargetingthepoorandexcludedsocialgroupseffectively.
• Developanactivelaborprogramforaffectedpeople.
Projectconstructionactivitiesmaynotcomplywithinternationalcorelaborstandardsornationallaborlaws(e.g.,relatingtonondiscriminationandequalpay,prohibitionofchildlabor,andworkplacesafety).
• requirecivilworkscontractorstocomplywithinternationalcorelaborstandardsandnationallaborlaws(undertermsofcivilworkscontracts).
• Provideforconstructionsupervisionconsultantsoranindependentthirdpartytomonitorcontractors’compliancewithlaborstandardsandlaborlaws.
• organizelabor-contractingsocietiestorepresentinterestsofpoorandfemalelaborersworkingonconstructionormaintenanceofprojectfacilities.
largeinfrastructureprojectmayincreaseriskofHiv/aiDstransmissionand/orhumantraffickingintheprojectareaandrelatedtransportcorridors.
• linkprojectwithongoingHiv/aiDsandtraffickingawarenessandpreventionprogramsintheprojectarea(supportedbygovernment,otherdevelopmentpartners,and/ornGos).
• PrepareactionplanandrelatedactivitiestoaddressHiv/aiDsandtraffickingriskswithintheproject,includinginformationprogramsatconstructionsitesandinsurroundingcommunities.
%=percent,c&P=consultationandparticipation,Hiv/aiDs=humanimmunodeficiencyvirus/acquiredimmunodeficiencysyndrome,nGo=nongovernmentorganization.
socialanalysisinProJEctPrEParation 45
(ii) Project Outcome. include any social development outcomes of the project (such asincreasedenrollmentrates,useofhealthservices,women’semployment,orjointownershipoflandintheprojectarea).
(iii) Outputs,Act�v�t�es,andInputs.includekeydesignmeasuresrelatedtosocialdevelopmentormitigationofnegativesocialimpactsoftheproject(suchaskeyoutputs,activities,andinputsderivedfromthegender;c&P;oriPDPfortheproject).
(iv) PerformanceTargetsandInd�cators.includeappropriatetargetsandindicatorsforeachsocialimpact,outcome,output,activity,andinputincludedintheDmF.
(v) DataSourcesandReport�ngMechan�sms. includerelevantprimaryorsecondarydatasources(includinggovernmentstatisticsandproject-specificdatacollectedthroughPPms)foreachsocialtargetandindicator.
(vi) Assumpt�onsandR�sks.includeanyassumptionsaboutthesocialcontextinwhichtheprojectwillbeimplemented,orsignificantsocialrisksassociatedwiththeproject,whichcouldinfluenceitssuccess(basedontheanalysisofsocialrisksandvulnerabilitiesincludedinthesocialanalysis).
box 9 provides an example of a DmF that includes good social development targets andindicators.
Forpolicy-basedprojects,thepolicymatrixincludedintherrPshouldalsoincludetargetsandindicatorsforanypolicyreformsintendedtofurthersocialdevelopmentobjectivesortomitigatethenegativeimpactofpolicyreformsonpoororvulnerablegroups.anyassumptionsorrisksrelatedtothesocialcontext inwhich thepolicy reformswillbe implementedshouldalsobe identified.For furtherguidance,seeaDb’sPoverty HandbookandGuidelines for the Assessment of the Impact of Program Loans on Poverty.
sampletargetsandindicatorsrelatedtosocialdevelopmentactivitiesandoutcomes,andmitigationofnegativesocialimpactsofaprojectareprovidedinappendix11.
12. Assurances
theborroweror other recipientofaDbassistance typically provides anumberof assurances aboutthe implementationof theproject, including itssocialdimensions.theseare reflected initially in thememorandumofunderstanding signedat theendof theproject fact-findingmission (andappraisalmission,ifany)andeventuallyintherrP,andareelaboratedfurtherinthefinancingdocumentsfortheproject.keydesignfeaturesandaction/mitigationplans(orframeworks)addressingsocialdevelopmentandsocialsafeguardissuesshouldbesupportedbyspecificassurances(andrelatedcovenantsinthefinancingdocuments).Projectteamsshouldconsultwithprojectcounselearly intheprojectcycletodevelopappropriateassurancesonrelevantsocialdevelopmentandsocialsafeguardissues(suchasgender, participation, resettlement, indigenouspeople, labor,Hiv/aiDs, or human trafficking). theseassurancesandrelatedcovenantsprovideanadditionalbasisformonitoringtheimplementationofsocialdevelopmentactivitiesandmitigationplansunderthePPms.
underaDb’spubliccommunicationspolicy,ifthefinancingdocumentsforaprojectrequirethepreparationofsocial(orenvironmental)monitoringreportsduringprojectimplementation,aDbisrequiredtomakethesereportspubliclyavailableontheirsubmissiontoaDb.50
50 aDb.2005. Public Communications Policy: Disclosure and Exchange of Information.manila,para.92.seealsooperationsmanualsectionl3/oP(Publiccommunications,para.33).
46 HanDbookonsocialanalysis
Box9:Des�gnandMon�tor�ngFrameworkfortheTonleSapRuralWaterSupplyandSan�tat�onSectorProject,Cambod�a
thetonlesapruralWatersupplyandsanitationsectorProjectaimstoenhancethehealthoflow-incomecommunitiesinruralareasbyimprovingtheirhygieneandsustainedaccesstosafedrinkingwaterandeffectivesanitation.theprojectemphasizescommunityparticipationandgender-inclusiveapproaches,asreflectedinitsDmF(seeexcerptsbelow).
Des�gnSummary PerformanceTargets/Ind�cators
ImpactimprovedhealthandqualityoflifeforruralpeopleinlinewiththecmDGs’targetsforsafeWss
by2015:• increasethepercentageofruralpeoplewithaccesstosafedrinkingwaterto50%
(cmDGtarget7.10);• increasethepercentageofruralpeoplewithaccesstoimprovedsanitationto30%
(cmDGtarget7.12);and• reduceunder-5childmortalityduetowaterbornediseasesbyhalfofthe1990level
(cmDGtarget4.1).
Outcomesustainedaccessforallcommunitiesandtheirmembers,includingthepoorest,tosafewatersanitationandbetterhygiene
by2011,intheprojectareas:• 1.09millionpeoplehaveaccesstosafewaterand0.72millionpeoplehaveaccessto
sanitation;• 1,760villageshavebetterWssfacilities;• 50%ofruralpeoplehaveaccesstoareliablesupplyofsafewater;• 30%ofruralpeoplehaveaccesstohygieniclatrines;• atleast50%ofhouseholdsintheselectedvillagesadoptimprovedhygienepractices;and• institutionalcapacityimproved.
OutputsComponent1:Commun�tymob�l�zat�onandsk�llsdevelopment
1. Peopleintargetareasareawareofproject;2. Wssplansarepreparedforimplementation
(includinginformationaboutproject,rapidappraisalofWssneeds,villagemapping,selectionofverypoor,baselinesurvey,informedchoice);
3. Wateruseandhealtheducationareimproved;4. Waterandsanitationusergroupsareformedand
trained;and5. smallgroupsaretrainedonwater-related
opportunities.
by2011,intheprojectareas:• 1,760subprojectsareselected,prepared,andimplemented;• 80%ofpeopleareawareofprojectandWssissues;• 60%ofresidents—menandwomen—ineachvillageareinvolvedinvillageplanningand
selectionofWsssystems;• allsubprojectshavebaselinesurveysandenvironmentalanalysis;• allpipedwatersystemsandpondprojectshavelandacquisition/resettlementplans;• allselectedvillageshaveidentifiedtheirpooresthouseholds;• allWsssystemshaveestablishedWsuGs;• allWsuGselectboardswithatleast40%women;• atleast50%ofallmemberstrainedinmaintenanceofWsssystemsineveryWsuGare
women;• atleast150groupsaresupportedtodevelopwater-relatedactivities;• 90%ofWsuGboardsarefunctioningandabletomanagetheirwatersystems2years
afterprojectcompletion;and• 80%oftargetwateruserscanperformatleast3goodhygienepractices.
Component4:Capac�tybu�ld�ngand�nst�tut�onalsupport
1.improvedcapacityofmrD,PDrDs,DorDs,andcommunecouncilstoplan,facilitate,andmonitorrWsswhiletakingintoconsiderationgenderissues,theenvironment,ethnic/indigenousgroups,resettlement,andtheprivatesector;
2. classifiedandtrainedprivateentrepreneursprovideequipmentandservicesintheframeworkoftheproject;
3. nationaldatabaseonWssindicatorsisestablishedandmaintained;
4. GenderstrategyisdevelopedforruralWss(rWss);and
5. rWssstrategyandguidelinesaredevelopedandreadyforimplementation.
• allmrDandPDrDstaffinvolvedintheprojectaretrainedintheirfieldofactivitybythesecondyear;
• projectmanagementunitandprojectimplementationunithavesufficientcapacitytoimplementrequiredservicesbythethirdyear;
• trainingparticipantsareatleast30%female;• specificationsandrequirementsforprivatesectorparticipationareprepared;• classificationsystemforprivatesectorcompaniesisinplacebythesecondyear;• allclassifiedprivateentrepreneursaretrainedtocomplywithmrDspecifications;• nationwidestandarddatabaseforallrWssisestablishedbythethirdyearandupdated
annually,includingquantitativeandqualitative,sex-disaggregated,andpovertydata;• guidelinesonmainstreaminggenderinrWssaredevelopedbythesecondyear;• rWssstrategicpolicyunitandadevelopmentpartners’forumforrWssareinplacebythe
firstyear;and• rWssstrategyisfinalizedbythesecondyear,andallrWssguidelinesarefinalizedbythe
thirdyear.
cmDG=cambodianmillenniumDevelopmentGoal,DmF=designandmonitoringframework,DorD=DistrictofficeofruralDevelopment,mDG=millenniumDevelopmentGoal,mrD=ministryofruralDevelopment,PDrD=ProvincialDepartmentofruralDevelopment,rWss=ruralwatersupplyandsanitation,Wss=watersupplyandsanitation,WsuG=waterandsanitationusergroups.
source:aDb.2005.Report and Recommendation of the President to the Board of Directors on a Proposed Grant to the Kingdom of Cambodia for the Tonle Sap Rural Water Supply and Sanitation Sector Project.manila.
socialanalysisinProJEctPrEParation 47
F. ProjectDocumentat�on
theprojectdesignprocess results inafinal reportand initialdraftrrP. in therrP, thesocialdimensionsoftheprojectshouldbeappropriatelydescribedin
(i) projectimpact,outcome,andoutputs;(ii) summaryofsocialimpacts;(iii) assurances(andrelatedcovenantsinthefinancingdocuments);(iv) DmF(andarrangementsformonitoringandevaluation);(v) povertyimpactassessmentandpolicymatrix(forpolicy-basedprojects);(vi) sPrss;(vii) anysocialactionormitigationplans(orframeworks)includedasappendixes;(viii) anysummaryofstakeholderconsultations(usuallyincludedasanappendixtotherrP);(ix) tor for project implementation consultants (including any social development
specialists);(x) criteriaforselectingandpreparingsubprojects(inthecaseofsectorprojects);and(xi) criteriaforselectingcsostohelpimplementtheproject.
48 HanDbookonsocialanalysis
socialanalysisinProJEctimPlEmEntation 49
IV. Social Analysis in Project Implementation
A. Introduct�on
Asnotedearlier, thecornerstoneof thePPms is theDmF,whichmustbepreparedaspartofthe design of each loan, grant, and technical assistance project (see section iii.E). theDmF(i)establishesconsequential linksbetween inputs,activities,outputs,outcomes,and impacts;
(ii)providesasetofperformancetargetswithrelatedprocessandresultindicators;and(iii)identifieskeyassumptionsandrisksthatmayaffectthesuccessoftheproject.theDmFprovidesthebasisformonitoringprogressinimplementingtheprojectand,afterprojectcompletion,abasisforevaluatingthedevelopmentimpactsoftheproject.51
building on the DmF, the PPms includes several mechanisms for monitoring and managingtheimplementationofaproject.theseinclude(i)theprojectadministrationmemorandum,whichisgenerallypreparedbeforetheinceptionmissionfortheproject;(ii)periodicprogressreportspreparedbytheexecutingagencyfortheproject;(iii)projectperformancereports,whicharepreparedandupdatedbyaDbstaffbasedonprogressreportsoftheexecutingagencyandprojectreviewmissions;(iv)themidtermreviewoftheproject;and(v)theprojectcompletionreportspreparedbytheexecutingagencyandbyaDb.thefinalelementofthePPms,theprojectperformanceevaluationreport,ispreparedbyaDb’soperationsEvaluationDepartmentusually3–5yearsafterprojectcompletion,whendevelopmentimpactsarebecomingevident.52
in viewof aDb’s increasing focus onmanaging for results, it is important to ensure that thesocialdimensionsofaDbprojectsaremonitoredthroughthePPms.thisincreasesthelikelihoodthatsocialdevelopmentandsocialmitigationmeasuresincludedintheprojectdesignwillbeimplementedasplannedand that the social impactsof theproject,bothpositiveandnegative,will beeffectivelymonitored.thePPmsisalsointendedtobeahighlyparticipatoryprocess,includingbothgovernmentandnongovernmentstakeholders.Participatoryapproachestoprojectmonitoring,involvingclients/beneficiariesandotherproject-affectedgroups,canenhancethequalityofthePPmsandtheprojectasawhole.53localresearchinstitutesorcsoscanalsobeengagedtocarryoutindependentmonitoringofaproject(oraspectsofaproject,suchasaresettlementplan).Figure5highlightsentrypointsformonitoringthesocialdimensionsofaprojectthroughitsimplementation.thefollowingsubsectiondiscussestheintegrationofsocialanalysisthroughthevariousphasesofthePPms.
51 seefootnote49.52 aDboperationsmanualsectionJ1(ProjectPerformancemanagementsystem).53theseapproachescouldincludeuseofcitizenscorecardstoassessprojectimplementation,orinvolvementofclients/beneficiaries
orotheraffectedgroupsinprojectreviewmissionsandworkshops.
50 HanDbookonsocialanalysis
54aDbProjectadministrationinstructionno.1.05(Projectadministrationmemorandum).
B. Soc�alAnalys�s�ntheProjectPerformanceManagementSystem
1. ProjectAdm�n�strat�onMemorandum
theprojectadministrationmemorandum(Pam),whichisgenerallydraftedpriortotheinceptionmissionfortheproject,isthemainsourceofguidancetotheEa,anyimplementingagencies,andaDbformanagingandmonitoringtheimplementationoftheproject.assuch, itshouldincludedetaileddescriptionsof(i)projectobjectives,scope,components,andspecialfeatures;(ii)costestimatesandfinancingplan;(iii) project management; (iv) implementation schedule; (v) consultant recruitment, procurement,anddisbursementarrangements;(vi)projectmonitoring,evaluation,andreportingrequirements;and(vii) major loan covenants. core appendixes to the Pam include the DmF for the project, tor forconsultants,andreportingformats.thePamisanactivedocumentintendedtobeupdatedandrevised,andtranslatedintolocallanguagesasneeded.54
Pamshouldbedraftedtoincorporatefullyallsocialdimensionsoftheprojectdesign,asreflectedintherrP.theseinclude
(i) allcomponents,designfeatures,andimplementationarrangementsintendedtoaddressgenderandothersocialissues;
(ii) anysocialdevelopmentormitigationplans(orframeworks);(iii) torforsocialdevelopmentspecialiststobeincludedintheprojectimplementationteam
(e.g., gender, resettlement, indigenous peoples, labor and/or community developmentspecialists),andselectioncriteriaforanycsostobeengagedasprojectimplementationpartners;
(iv) targetsandindicatorsformonitoringimplementationoftheproject’ssocialdevelopmentobjectivesandmonitoringsocialimpactsoftheproject(whichshouldalsobeincludedintheDmF);
(v) provisions for collectingandanalyzingdata related to these targetsand indicators (anddisaggregatedbygender,ethnicity,andotherrelevantfactors);
(vi) provisionsforreportingonthesocialdimensionsoftheproject(includingtheformatsforprogressreportsandprojectperformancereports);and
(vii) loan covenants related to gender, participation, indigenous people, resettlement, labor,Hiv/aiDs,humantrafficking,orothersocialissues.
2. Execut�ngAgencyProgressReports
thePamandloanorgrantagreementsfortheprojectshouldspecifythetimingandformatforperiodicprogressreportsontheprojectbytheexecutingagencyand/orimplementingagencies.thesereportsarecriticaltoolsfortheexecutingagencyandDmcgovernmenttomonitorprogressandmakeadjustments,ifnecessary,inimplementingtheproject.thereportsarealsoimportantinputstothePPms,astheyprovideabasisforaDb’sprojectreviewmissionsandprojectperformancereports.
socialanalysisinProJEctimPlEmEntation 51
F�gure5:ProjectPerformanceManagementSystem
ExecutingagencyProgressreports
ProjectPerformancereports(PPrs)
midtermreviewreport
ProjectreviewmissionsandspecialProjectadministration
missions
midterm reviewmission/Workshop
DesignandmonitoringFramework(DmF)
additionalExecutingagencyProgressreportsandPPrs
Government/ExecutingagencyProjectcompletionreport
asianDevelopmentbankProjectcompletionreport
ProjectPerformanceEvaluationreport(PPEr)
additionalProjectreviewmissionsand
specialProjectadministration
missions
Projectcompletionreport
mission/Workshop
PPErmission(s)
Projectadministrationmemorandum(Pam)
Projectinceptionmission/Workshop
(confirmsandfinalizesPam)
socialdimensionsofprojectmanagementandmonitoring:
• components,designfeatures,andimplementationarrangementsaddressinggenderandothersocialissues,includinganyactionormitigationplans(orframeworks);
• targetsandindicatorsformonitoringsocialdevelopmentobjectivesandsocialimpacts(positiveandnegative);
• selectionandperformanceofsocialdevelopmentspecialists,communitymobilizers,andnongovernmentandcommunity-basedorganizationpartners;
• collectionandanalysisofsocioeconomicdata(disaggregatedbygender,ethnicity,andotherrelevantfactors);
• monitoringofloancovenantsaddressingsocialdevelopmentandsocialmitigationissues;
• participatorymonitoringofprojectactivities,outputs,andoutcomes;
• periodicreportingonsocialdimensionsoftheproject;and
• midtermandotherreviewsofsocialoutcomesandimpactsoftheproject.
52 HanDbookonsocialanalysis
theformatfortheexecutingagencyprogressreportsshouldspecifyreportingon
(i) progressinimplementingcomponentsanddesignfeaturesintendedtoaddressgenderandothersocialissues;
(ii) progressinimplementinganysocialdevelopmentormitigationplans(orframeworks);(iii) targetsandindicatorsrelatedtotheproject’ssocialdevelopmentobjectivesandsocial impacts;(iv) collectionofdatarelatedtothesetargetsandindicators(disaggregatedbygender,ethnicity,
andotherrelevantfactors);and(v) implementationofanycovenantsrelatedtosocialissues.
3. ProjectPerformanceReports
Projectperformancereports(PPrs)arekeyelementsofthePPms;theytrackprogressinimplementingtheprojectandachievingitsdevelopmentobjectivesinlinewiththetargetsandindicatorsintheDmF.basedontheexecutingagencyprogressreportsandtheresultsofprojectreviewmissions,PPrsprovideabasisforassigningprojectratings,identifyinganyproblemsinimplementation,and,ifneeded,proposingmodifications in theprojectdesignorother remedial action.keyelementsof thePPr include (i) aratingforprogress inproject implementation;(ii) intermediatedevelopmentresultsbasedontargetsandindicatorsintheDmF;(iii)progressinusingprojectinputsandachievingprojectoutputsbasedontargetsandindicatorsintheDmF;(iv)recentdevelopmentsrelatedtoassumptions,risks,implementationarrangements,orotherfactorsaffectingprojectsuccess;(v)anyproblemsinimplementingtheproject;(vi)proposeddesignchangesorotheractiontoaddresstheseproblems;and(vii)compliancewithmajorcovenants.55box10givesexcerptsfromasamplePPr.
similartotheexecutingagencyprogressreports,PPrsshouldreportonthesocialdimensionsofaprojectintheareasof
(i) progressinimplementingcomponentsanddesignfeaturesintendedtoaddressgenderandothersocialissues;
(ii) progressinimplementinganysocialdevelopmentormitigationplans(orframeworks);(iii) targets and indicators related to the project’s social development objectives and social
impacts;(iv) collectionofdatarelatedtothesetargetsandindicators(disaggregatedbygender,ethnicity,
andotherrelevantfactors);(v) implementationofanycovenantsrelatedtosocialissues;and(vi) anyproblemsrelatedtoimplementationofsocialdevelopmentorsocialmitigationmeasures,
or unanticipated social impacts of the project, and proposed actions to address theseproblems.
4. M�dtermRev�ewReport
themidtermreviewoftheproject,whichmayincludestakeholderworkshopsorotheractivities,providesanopportunitytotakestockofprogressinimplementingtheproject,assessanyproblemsorweaknesses
55aDbProjectadministrationinstructionno.6.05(ProjectPerformancereport).
socialanalysisinProJEctimPlEmEntation 53
inimplementation,andidentifyappropriatemodificationsorotheractionstoaddresstheseproblemsinconsultationwithrelevantstakeholders.thePamshouldoutlinetheissuestobeaddressedduringthemidtermreview,sourcesofdatatobereviewed,andmechanismsforinvolvingstakeholders.
thereisageneraltendencyforthe“hardware”componentsofprojects—includingprocurementandconstructionactivities—tobe implementedmorepromptly than“software”components,suchassocialmobilization,informationcampaigns,andtrainingactivities.itisimportantforthemidtermreviewtotakestockofprogressinimplementingthesocialdevelopmentandsocialmitigationactivitiesintheprojectdesignandDmF,includinganygender,c&Pormitigationplans,andothersocialdevelopmentcovenants.reviewofdatacollectedthroughthePPmscanalsoprovideanearlyindicationofthesocialimpactsoftheproject,bothpositiveandnegative.basedonthemidtermreview,appropriatemidcoursecorrectionsshouldbemadetoensurethattheprojectachievesitssocialdevelopmentobjectivesandthatanynegativesocialimpactsoftheprojectareavoidedor,ifnecessary,minimizedandmitigated.basedonthec&Pplanfortheproject,themidtermreviewshouldincludesuchmechanismsasseparatefocusgroupsorworkshopstoinvolveclients/beneficiaries,otherproject-affectedgroups,andotherstakeholdersinthereviewprocess.
5. ProjectComplet�onReports
Projectcompletionreports(Pcrs)preparedbytheexecutingagencyandbyaDbprovideanassessmentoftheproject’sperformanceintermsofusinginputsandproducingoutputsconsistentwiththeDmF.theyalsoprovideapreliminaryassessmentoftheproject’ssuccessinachievingthedevelopmentoutcomesand impacts identified in theDmF.basedon theseassessments,Pcrs suggest follow-upactions toimprovethesustainabilityofprojectbenefitsandmaymakerecommendationsforfutureprojectsintheDmcorinthesamesectorelsewhere.theinstructionsforpreparingaPcrnotethatitshouldincludeageneralassessmentofsignificantpoverty,social,andotherimpacts,bothpositiveandnegative,andwhetherintendedornot.theimplementationandeffectivenessofsocialsafeguardmeasuresshouldbespecificallydocumented.56
consistentwiththeotherelementsofthePPms,itisimportanttoensurethatthePcrreportson
(i) implementationofcomponentsanddesignfeaturesintendedtoaddressgenderandothersocialissues;
(ii) implementationofanysocialdevelopmentormitigationplans(orframeworks);(iii) achievementoftargetsrelatedtotheproject’ssocialdevelopmentobjectives,andindicators
ofsocialimpacts,bothpositiveandnegative;(iv) compliancewithcovenantsrelatedtosocialissues;(v) anyactionstakentoaddressproblemsrelatedtotheimplementationofsocialdevelopment
orsocialmitigationmeasures,orunanticipatedsocialimpactsoftheproject;and(vi) recommendationsofadditionalactionstoimprovethesocialsustainabilityoftheproject,
includingthecontinuationofprojectactivitieswiththesupportofclients/beneficiariesandongoingbenefitstothepoor,women,andothermarginalizedgroups.
56 aDbProjectadministrationinstructionno.6.07(Projectcompletionreport).
54 HanDbookonsocialanalysis
Box10:ProjectPerformanceReportfortheBangladeshUrbanGovernanceandInfrastructureImprovement(Sector)Project
bangladesh’surbangovernanceandinfrastructureimprovement(sector)projectaimstopromotehumandevelopmentandgoodurbangovernanceinsecondarytowns.morespecifically,theprojectisassistingselectedpourashavas(municipalities)to(i)enhanceaccountabilityinmunicipalmanagementandstrengthentheircapabilitiestoprovidemunicipalservices;and(ii)developandexpandphysicalinfrastructureandurbanservicestoincreaseeconomicopportunitiesandreducepeople’svulnerabilitytoenvironmentaldegradation,poverty,andnaturalhazards.Whiletheprojectisexpectedtobenefittheentireurbancommunity,somecomponentsfocusonupgradingtheconditionsofthepoorestandneediestgroupsinslumareasinparticular.theprojectalsopromotestheactiveparticipationofwomeninmunicipalmanagementandservicesasbothagentsandbeneficiaries.
theseconsiderationsarereflectedinpartboftheproject(urbangovernanceimprovement).DmF,whichisthebasisforPPms,includesdetailedtargetsandindicatorsforeachkeyresultareaunderpartb,including(i)citizenawarenessandparticipation,(ii)women’sparticipation,and(iii)integrationoftheurbanpoor.thesetargetsandindicatorsarebeingmonitoredthroughtheprojectperformancereports(seeexcerptsfromFebruary2007reportbelow).
Des�gnSummary TargetsandInd�cators Implementat�onProgress(asof28February2007)
PartB.Urbangovernance�mprovement1.citizenawarenessand
participation
• formationoftown-levelcommittee(2003)andregularmeetingsthereafter(4/year),
• preparationofparticipatorymunicipaldevelopmentplan,and
• publicityboardsandinformationkits(2003).
• variouscommitteesestablishedinall22pourashavas;and
• masscommunicationcellsaredoingextensivepublicdisseminationthroughvariousmeans,suchaspublicityboards,leaflets,newspapernotices,posters,publicralliesinwards,electronicmessages,andregularmeetingsofthecommittees.(Projectperformancereportincludesdetailedinformationoneachpublicdisseminationstrategy)
2.Women’sparticipation • formationofaGenderandEnvironmentcommittee(2003),
• developmentoftorforfemalecommissioners(2004),
• implementationofactivitiesrelatedtotheprojectGaP,and
• introductionofGaPmonitoringsystem(2005).
• genderandenvironmentsubcommittees,chairedbyFWcs,havebeenformedinallpourashavas.140meetingshavebeenheldwhereinallaspectsofenvironmentalandgenderissueswerediscussed;
• torforfemalecommissionerscompleted(2004);
• 185womenhavebeenrecruitedasFWcs;
• 1,285courtyardmeetingshavebeenorganizedbyFWcs,assistedbycommunityfacilitators,todiscussissuesregardingpaymentofhousehold/othertaxes,roleofwomeninpourashavadevelopmentcommitteesandothercommittees,andawarenessofhealth,hygiene,andsanitation;and
• trainingprogramshavebeenorganizedongenderanddevelopmentforpourashavastaff/officers,FWcs,andcommunityfacilitators.
3.integrationoftheurbanpoor
• developmentofPraP(2004),
• formationofslumimprovementcommittee(2004),
• healthandeducationprogram,
• skillstraining,and
• PraPmonitoringsystem(2005).
• allpourashavashavefinalizedaPraPfor15,900familiesinphase1ofproject;
• 51nGopackages(eachcovering300families)havebeencontractedoutandPraPimplementationisinprogress,includingcommunitymobilization,microcredit,incomegeneration,training,anddeliveryofhealthandeducationservices;
• nGoshavecompletedsurveysofslumareastoidentifybeneficiaries;
• formationofslumimprovementcommittee/communityDevelopmentcommitteehasbeencompleted;
• nGoshavestartedtrainingandlendingactivities;
• nGoshaveappointedhealthworkersforhealthprogramandschoolteachersforsatelliteschoolsinselectedslumareas,establishmentofsatelliteschoolsisinprogress;and
• PraPmonitoringsystemhasbeenestablished.
DmF = design and monitoring framework, FWc = female ward commissioner, GaP = gender action plan, nGo = nongovernment organization,PPms=projectperformancemanagementsystem,PraP=PovertyreductionactionProgram,tor=termsofreference.source:aDb.2007.Project Performance Report: BAN Urban Governance and Infrastructure Improvement (Sector) Project.manila.
socialanalysisinProJEctimPlEmEntation 55
6. Project(orProgram)PerformanceEvaluat�onReport
the project or program performance evaluation report (PPEr) is an independent evaluation of theperformanceofasampleofcompletedprojects/programs.itispreparedbytheoperationsEvaluationDepartment,usually3–5yearsaftercompletionoftheproject/program,whenatleastsomedevelopmentimpactsoftheproject/programcanbeobserved.theDmF,includinganyrevisionsoradjustmentsmadeduring implementation,provides themainbasis for theperformanceevaluation.thePPErassessesprojectperformanceintermsof(i)relevance,(ii)effectiveness,(iii)efficiency,and(iv)sustainability.Projectimpacts(includingimpactsonpovertyandsocioeconomicconditions)arealsoassessed,asaretheperformanceofbothaDbandtheexecuting/implementingagencies.basedontheseassessments,thePPErprovidesrecommendationsspecifictotheprojectandidentifieslessonstobeincorporatedinaDb’sfutureoperations.57
toevaluatethesocialdimensionsofaprojectfully,itisimportantfortheoperationsevaluationmissionto
(i) consult with clients/beneficiaries, any other project-affected groups, and civil societystakeholdersonthesocialoutcomesandimpactsoftheproject;
(ii) usebaselinesocioeconomicdata(collectedduringtheprojectdesignorearlyimplementationphase)toassesssocialoutcomesandimpacts;
(iii) assesstheimplementationofcomponentsanddesignfeaturesintendedtoaddresssocialissues,includinganysocialdevelopmentormitigationplans(orframeworks);and
(iv) assesscompliancewithcovenantsrelatedtosocialissues.
thesocialoutcomesandimpactsofaprojectarerelevanttothePPEr’sperformanceassessment—particularlytheassessmentoftheproject’srelevance,effectiveness,andsustainability,aswellastheimpactassessment.theimpactassessmentshouldconsiderbothintendedandunintended,andbothpositiveandnegative,socialimpacts.theevaluationofsocioeconomicimpactsshouldconsiderthedistributionofprojectbenefits and costs acrossdifferent social groups,with anemphasison thepoor,women,disadvantagedethnicandcastegroups,andothermarginalizedorvulnerablegroups.anyevaluationofnegativeenvironmentalimpacts,suchasrelatedtosoilerosionorsalinization,airorwaterpollution,ordepletionofnaturalresources,shouldalsoconsidertherelatedsocialcosts,especiallyforpoorandvulnerablegroups.
C. RolesofStakeholders
themainstakeholdersinvolvedinmonitoringsocialdevelopmentactivitiesinanaDb-supportedprojectare(i)theexecutingandimplementingagenciesintheDmc,and(ii)residentmissionstaffandaDbreviewmissions.thesestakeholdersalsocarryoutself-evaluationsofprojectsthroughtherelatedPPrs,midtermreview,andPcr.independentevaluationsofprojectsareconductedbytheoperationsEvaluationDepartment.However,otherstakeholderscanalsoplayimportantrolesinmonitoringandevaluation.Forexample,projectsupervisionconsultantscanmonitorthecomplianceofcivilworkscontractorswithcontractualprovisionsonlaborstandardsandHiv/aiDsawarenesscampaigns.incomplexprojectsinvolving
57aDb.2006.Guidelines for Preparing Performance Evaluation Reports for Public Sector Operations.manila.seealsooperationsmanualsectionk1(PerformanceEvaluation);operationsmanualsectionc3/bP(incorporationofsocialDimensionsintoaDboperations).
56 HanDbookonsocialanalysis
significantsocialsafeguardissues,crediblethirdparties,suchaslocaldevelopmentinstitutesornGos,canbeengagedtomonitorimplementationoftherelevantmitigationplans.inprojectssupportingtheprovisionofbasicservices,citizenscorecardsorotherparticipatorytechniquescanbeusedtoinvolveclients/beneficiariesinmonitoringtheprogressoftheprojectandtopromoteaccountabilityofexecutingandimplementingagenciestotheirconstituents.
D. D�sclosure
underaDb’spubliccommunicationspolicy,certainkeydocumentsinPPmsarerequiredtobemadepubliclyavailable:
(i) Pam(uponapproval),(ii) socialmonitoringreports(upontheirsubmissiontoaDb),(iii) Pcr(uponcirculationtoaDb’sboardofDirectors),and(iv) PPEr(uponcirculationtomanagementandboardofDirectors).58
58 iftheprojectperformanceevaluationreportisdiscussedbyaDb’sDevelopmentEffectivenesscommittee,itschair’ssummarymustbemadepubliclyavailablewithin2weeksofthediscussion.anyresponsessubmittedbymanagementortheoperationsEvaluationDepartmentmustalsobemadepubliclyavailableuponsubmission.aDb.2005.Public Communications Policy: Disclosure and Exchange of Information.manila,paras.91–92,95,and97.seealsooperationsmanualsectionl3(Publiccommunications,paras.32–33,36,and38).
ExEcutivEsummary 57
Appendixes
58 HanDbookonsocialanalysis
aPPEnDix1 rElEvantaDbPoliciEs,stratEGiEs,anDProcEDurEs 59
Appendix 1Relevant ADB Policies, Strategies, and Procedures
1.1.Pol�c�es,Strateg�es,andProceduresRelatedtoSoc�alD�mens�onsIssue Document Summary
Povertyreduction Povertyreductionstrategy(1999)
EnhancedPovertyreductionstrategy(2004)
omc1:Povertyreduction
becausepovertyreductionisaDb’soverarchinggoal,theEPrsrequiresthatallaDbinterventionscontributedirectlyorindirectlytopovertyreduction.However,thereisnolongeratargetfortheproportionofaDb-financedprojectsthatsupportpovertyreductiondirectly.
socialanalysis omc3:incorporationofsocialDimensionsinaDboperations(2007)
Handbook on Social Analysis (2007)
Providesguidanceto(i)promoteproactivesocialdevelopmentthroughaDbinterventions,and(ii)mitigatepossibleadversesocialeffectsofaDbinterventions,includingrequirementsfor(a)inclusionofsocialanalysisincountryandregionalprogramming;(b)iPsaduringthepredesignphaseofaproject;(c)in-depthpovertyand/orsocialanalysisandpreparationofsocialdevelopmentorsocialmitigationplansduringthedesignphase,ifneeded;and(d)monitoringofthesocialdimensionsofprojectsduringimplementation.
Povertyanalysis Poverty Handbook (2006)
Handbook for Integrating Poverty Impact Assessments in the Economic Analysis of Projects(2001)
Guidelines for the Assessment of the Impact of Program Loans on Poverty(1995)
Providesguidanceon(i)conductingacountrypovertyanalysisandintegratingpovertyconsiderationsincPss,(ii)classifyingaDb-supportedprojectsintermsoftheirdirect(targeted)orindirect(general)contributiontopovertyreduction,(iii)targetingapproachesandpovertyanalysisforprojectsintendedtotargetindividualsorhouseholds,and(iv)povertyimpactanalysisrequiredforallprogramloanstoidentifypotentialnegativeeffectsonpoorandvulnerablegroupsanddevelopmitigationmeasurestocompensateforpossibletransitionalsocialcostsofadjustment.
Gender PolicyonGaD(1998)
implementationreviewofthePolicyonGaD(2006)
GaDPlanofaction(2007)
omc2:GaDinaDboperations
Genderchecklistsinagriculture,education,health,watersupplyandsanitation,urbandevelopment,andresettlement
Gender, Law, and Policy Issues in ADB Operations: A Tool Kit(2006)
recognizesthatallprojectshaveagenderimpactanddonotautomaticallybenefitmenandwomenequally.requires(i)preparationofacGaandcountrygenderstrategyforeachcPs;(ii)genderanalysistobeincludedintheinitialpovertyandsocialanalysisofeachaDb-supportedproject;and(iii)furthergenderanalysisandpreparationofagenderplanduringprojectdesign,ifneeded,toensurethattheprojectprovidesequalopportunitiesformenandwomentobenefit.
Eachchecklistprovidessector-specificguidelinestohelpaddressgenderanddevelopmentissuesinprojectpreparationeffectively.
involuntaryresettlement
Policyoninvoluntaryresettlement(1995)
omF2:involuntaryresettlement
Handbook on Resettlement: A Guide to Good Practice(1998)
requirestheavoidanceofproject-relateddisplacementofpeoplewhereverfeasible.Wherelossofassets,resources,homes,orlivelihoodsisunavoidable,requirespreparationofaresettlementplantoensurethatlivelihoodandqualityoflifearerestored,atleast,topriorstandards.
Providesguidanceforpreparing,implementing,andmonitoringaresettlementplan.
60 HanDbookonsocialanalysis
indigenouspeoples PolicyonindigenousPeoples(1998)
omF3:indigenousPeoples
indigenousPeoplesPolicyHandbook(april2006draft)
recognizesthatsomecommunitiesarevulnerablesimplybecausetheirsocialorculturalidentityisdistinctfromthatofthedominantormainstreamsociety.Forallprojectsaffectingsuchcommunities,requirespreparationofaniPDPorothermeasurestotakeaccountoftheirdistinctneedsandaspirations.
Providesguidanceforanalyzingindigenouspeoples’issuesduringprojectpreparationandpreparing,implementing,andmonitoringaniPDPorothermeasures.
socialprotectionandlaborissues
socialProtectionstrategy(2001)
Core Labor Standards Handbook(2006)
Technical Note: Labor Issues in Public Enterprise Restructuring(2006)
Disabilitybrief(2005)
Providescriteriatodesignsocialprotectioninterventionsasstand-aloneprojectsorcomponentsofnonsocialloansintheareasofinsurance,socialassistance,micro-andarea-basedschemes,andchildprotection.requiresthatvulnerablegroupsarenotnegativelyaffectedbyanaDbinterventionand,ifso,mustbeadequatelycompensatedandmitigationmeasuresputinplace.alsorequiresthataDbprojectsaredesignedandimplementedinaccordancewithnationallaborlawsandinternationalcorelaborstandards.
informationdisclosure,consultation,andparticipation
PubliccommunicationsPolicy(2005)
Staff Guide to Consultation and Participation(2006)
supportstherightofpeopletoseek,receive,andimpartinformationandideasaboutaDb-assistedactivities,andrequiresaDbtoshareinformationwithproject-affectedpeopleearlyenoughtoallowthemtoprovidemeaningfulinputsintoprojectdesign.
Providesguidancetostaffonpreparingandimplementingc&Pplansinconnectionwithcountryprogramsandprojectstoensurethattheyreflecttheactualneedsoftheintendedclienteleandenhanceownershipandsustainability.
nGos PolicyoncooperationwithnGos(1998)
recognizesthatnGosoftencancontributevaluableadviceonthedesignofprojects,helpinensuringactiveparticipationofintendedclientele,andparticipatedirectlyinimplementation.EncouragesinvolvementofappropriatenGosandcommunity-basedorganizationsatallstagesoftheprojectdesigncycle.
Governance Governance:soundDevelopmentmanagement(1995)
implementationreviewoftheGovernanceandanticorruptionPolicies(2006)
GacaPii(2006)
omc4:Governance
originalpolicydefinedgoodgovernanceintermsofaccountability,predictability,participation,andtransparency.currentprioritythemesinclude(i)publicfinancialmanagement,(ii)procurement,and(iii)combatingcorruption.Governance,institutional,andcorruptionissuesareidentifiedthroughcountrygovernanceassessmentsandaspartofsectoranalyses.thesestudiesgaugetheimplicationsofanygovernanceweaknessesforachievingsocialdevelopmentandpovertyreductionobjectives.
Issue Document Summary
aDb=asianDevelopmentbank,c&P=consultationandparticipation,cGa=countrygenderassessment,cPs=countrypartnershipstrategy,Dmc=developingmembercountry,EPrs=enhancedpovertyreductionstrategy,GacaPii=secondGovernanceandanticorruptionactionPlan,GaD=genderanddevelopment,iPDP=indigenouspeoples’developmentplan,iPsa=initialpovertyandsocialanalysis,nGo=nongovernmentorganization,om=operationsmanual.
capacitydevelopment
integratingcapacityDevelopmentintocountryProgramsandoperations:medium-termFrameworkandactionPlan(2007)
ProvidesframeworktosupportcapacitydevelopmentofkeyDmcstakeholdersthroughcountryprogrammingandspecificaDbinterventions,includingcapacitytoaddresssocialdimensionsinprioritysectors.
aPPEnDix1.2 ProJEctclassiFicationsystEm 61
1.2.ProjectClass�ficat�onSystem1
A. Introduct�on
theasianDevelopmentbank(aDb)needstocloselymonitoritsoperationalalignmentandeffectivenessin delivering its institutional commitments by systematically and accurately coding and tracking itsoperationalactivitiesaccordingtoitsstrategicpriorities.Projectclassificationisanimportanttoolfortracking(i)allocationofoperationalresources,and(ii)intendedoutcomeandimpactsofoperations.ProjectsinaDbhavebeenclassifiedbysector,themeand,followingthe1999povertyreductionstrategy(Prs),povertyclassification.
overthepast2decades,thedevelopmentcontextintheregionandthecoverageofaDboperationshaveevolvedconsiderably,makingtheearliersectorandthematiclistsoutdated,notaccuratelyreflectingstrategicprioritiessuchasthePrsandthelong-termstrategicframework(ltsF).thismotivatedanupdatingofthesectorandthemelistsinJune2004.inthecaseofthepovertyclassification,thereviewofthePrsfinalizedinJuly20042foundthatitdidnotadequatelycaptureotherimportanttargetingattributesthatalsocontributetopovertyreduction.accordingly,itwasreplacedwiththe“targetingclassification”furtherelaboratedbelow,resultinginthethree-wayprojectclassificationforallprojectsbeingmodifiedtosector,theme,andtargetingclassifications.3therewouldbenolendingtargetattachedtoanyoftheclassificationcriteria.thechangesintheclassificationsystemareexpectedtoresultinimprovedmonitoringandevaluationforpovertyreductionthroughbettertrackingofoperationsaccordingtosectors,themesincludingthethreepillarsofthePrs,andtargeting.
insections ii, iii,and ivbelow, thesector, theme,and targetingclassifications respectivelyarediscussed.sectionvdiscussespresentationofclassificationinprojectdocuments.sectionvidiscussesimplementationarrangements.
B. SectorClass�ficat�on
sectorclassificationprimarilytracksthetrendsinallocationsofaDb’soperationalresourcestoeconomicsectors.thisinformationpermitsaDbtoreporton“fromwhichentrypoints”aDbissupportingpovertyreductionandmDGs.
KeyElementsofUpdatedSectorClass�ficat�on.theupdatedsectorclassificationabolishedtheformer“socialinfrastructure”category,andintroducedthreenewcategories:(i)education;(ii)health,nutrition,andsocialprotection;and(iii)watersupply,sanitation,andwastemanagement.aDbsupporttothesesectorsgoesbeyondinfrastructureandcoversservicequality,capacity,andinstitutionbuilding.alsoaddedwasanewcategory—law,economicmanagement,andpublicpolicy—toaccuratelycaptureoperationsintheseareas,whicharealsoimportantentrypointsofoperationsaddressinggovernance.theupdated
1 asian Development bank (aDb). consolidated staff instructions on Project classification. 07 December 2004. thesestaff instructions replace the following instructions: (i) 27 november 2000, entitled staff instructions: loan classificationsystem–conformingtothePovertyreductionstrategy;(ii)1august2001,PovertyclassificationofPublicsectorloans;(iii)21June2004,ExplanatorynoteandthemeandsectorlistsofJune2004;(iv)26august2004,Povertyreductiontrackingsystem–interimarrangement;and(v)23september2004,updatingtheProjectclassificationsystemFollowingthePrsreview–interimstaffinstructions.
2 r-PaperonreviewofaDb’sPovertyreductionstrategyapprovedbytheboardon2July2004.3 thesectorandthemeclassificationofoperationalprojects(supportedbyloans,equity,guarantees,andgrants)wasupdated
effective1July2004andthesestaffinstructionsfurthermodifythethemeclassificationbyaddingcapacitydevelopmentasanewtheme.thetargetingclassificationwasintroducedthroughinterimstaffinstructionsissuedon15october2004.
62 HanDbookonsocialanalysis
classificationprovidesmoredetailedsubsectorsforeachsectortotrackwhattypesofsupportarecoveredundereachsector.themultisectorcategoryisretained,buteachmultisectorprojectisrequiredtoindicate(i)uptothreepredominantsectorsthatreceiveaDbsupport,and(ii)theapproximateamountofresourcesallocatedtoeachsector.theupdatedsectorlistabolishedthecategory“other”fromthesectorlist.
SectorAss�gnment.sectorassignmentismutuallyexclusive,i.e.,oneprojectregistersonepredominantsector, andonepredominant subsector. Projects supportingmore thanone sector are registeredasmultisectorprojects,withcorrespondingassignmentofuptothreesectorsorsubsectorsandestimationofprojectresourcesallocatedtoeachthreesector.
tablea1.2.1comparestheoldandupdatedsectorlists.4
C. ThemeClass�ficat�on
themeclassificationtrackshoweachprojectandaDboperationscollectivelysupportthestrategicgoalsofaDb.
KeyElementsofUpdatedThemeClass�ficat�on.thethemelistwasstreamlinedandfullyalignedwiththreePrspillars,andthematicprioritiesoftheenhancedPrsandltsF.“Povertyreduction”wasremovedfromthethemeclassificationasthisrepresentstheoverarchinggoalofallaDboperations.“multitheme”and“other”categorieswerealsoremoved.
ThemeAss�gnment.themeassignmentisnotmutuallyexclusive,i.e.,oneprojectcanbeassignedtouptothreethemesandcorrespondingsubthemes(thethreecorrespondingsubthemescanbechosenfromone,two,orthreethemes).themeassignmentdoesnotrequireabreakdownofresourcesattributedtoeachthemeanddoesnotinvolvehierarchyofthemes(suchasprimaryorsecondarythemes).themeassignmentisbasedontheprojectlogicalframework(outcomesection)thatshouldclearlyexplainwhichspecificpillarsandthematicprioritiesofthePrsandtheltsFarebeingaddressedbytheproject.
4 thedetailedlistsanddefinitionsareavailableinthedocumentprojectclassificationonaDbintranetathttp://poverty.asiandevbank.org/.
TableA1.2.1:Compar�sonofOldandUpdatedSectorL�sts
OldSectorL�st UpdatedSectorL�st
• agricultureandnaturalresources • agricultureandnaturalresources• energy • energy• finance • finance• industry • industryandtrade• transportandcommunications • transportandcommunications• socialinfrastructure • education• others • health,nutrition,andsocialprotection• multisector • watersupply,sanitation,andwastemanagement • law,economicmanagement,andpublicpolicy • multisector(withclearidentificationoftheactual sectorscovered,basedonthenewlist)
aPPEnDix1.2 ProJEctclassiFicationsystEm 63
P�llarsofthePRS.themeassignmentshouldincludeatleastoneofthepillarsofthePrs(sustainableeconomicgrowth,socialdevelopment,governance).
tablea1.2.2comparestheoldandupdatedthemelists.Eachupdatedthemehasmoredetailedsubthemesanddefinitions.theseareprovidedinthedocumentprojectclassification(seefootnote4),alongwithafurtherexplanatorynoteonthesectorandthemeclassification.
D. Target�ngClass�ficat�on
thetargetingclassificationmodifiesthepovertyclassificationinlinewiththerecommendationsofther-PaperonreviewofaDb’spoverty reductionstrategy(referredhereafterasPrsreview).thePrsreviewhasarguedthattargetingbasedonindividual-andhousehold-basedinterventionsthroughprojectsclassifiedearlieraspovertyinterventions(Pis)wasnarrowanddidnottakeintoaccountotherformsoftargetedinterventions(tis),suchasthosebasedongeographicandsectoral/subsectoralattributes.Projectstobenowclassifiedastiscanbebasedonawiderrangeoftargetingattributes.suchprojectscouldintendtotargetnotonlypoorindividualsorhouseholdsdirectlyasbeneficiaries(asinthecaseoftheearlierpovertyinterventions)butalsolocateinterventionsinpoorgeographicalareas;ordirectlyimpactonthemillenniumDevelopmentGoals(mDGs)relatedtothenon-incomedimensionsofpoverty.thoseprojectswhicharenottisandimpactotherwisegenerallyonpovertyaretobecalledgeneralinterventions(Gis).
there isno lending target fortis.consistentwith theconceptof individualcountry focus, theoptimalmixoftargetedandgeneralinterventionsthatarebothimportantbutinterveneindifferentwaystoreducepoverty,shouldbelefttocountry-leveldecisionmakingthroughcountrypartnershipstragies(cPss).institutionalperformanceisassessedinsteadthroughacomprehensivemonitoringandevaluationsystemforpovertyreduction,introducedundertherecommendationsofther-Paper.
Projectsthatfallundertheticlassificationwillbefurthersubcategorizedintheprojectprocessingandinformationsystem(PPis)accordingtotheparticulartiattribute/stheyrepresent:i.e.,asindividual/household(H);geographic(G);ormDG1–7(m—withtheappropriatemDGnumeraltargetedbeingspecified).thesesubcategories,beingallattributesofthetis,arenotnecessarilymutuallyexclusiveandaprojectcanhavemorethanonesuchattribute.ProjectsthatarenotclassifiedastiswillbelistedasGis.ForboardandotherofficialdocumentsuchasreportsandrecommendationsofthePresident(rrPs),technicalassistancepapers,conceptpapers,cPss,regionalcooperationstrategies(rcss),androllingcountryoperationsbusinessplans(cobPs),onlythetiorGiclassificationneedstobeformallyreported.Detailedinstructionsoneachtisubcategoryfollows.
TableA1.2.2:Compar�sonofOldandUpdatedThemeL�sts
OldThemeL�st UpdatedThemeL�st
• povertyreduction • sustainableeconomicgrowth• economicgrowth • inclusivesocialdevelopment• humandevelopment • genderanddevelopment• genderanddevelopment • environmentalsustainability• environmentalprotection • governance• goodgovernance • regionalcooperation• regionalcooperation • privatesectordevelopment • privatesectordevelopment • capacitydevelopment• multitheme• others
64 HanDbookonsocialanalysis
1.Ind�v�dualorHouseholdTarget�ng(H)
thiscategorycorrespondstothePiclassificationaspertheoriginal1999Prs,andtheearlierstaffinstructionsofnovember2000.
a projectwill be placedunder this category if theproportionof thepoor among theprojectbeneficiariesissignificantlylargerthantheirproportionintheoverallpopulationofthecountry,andinnocaselessthan20%.Fordeterminingthenumberofpoorindividualsorhouseholdsbenefitedandcomparingtheproportionofsuchpersonsbenefitedintheprojecttotheproportionofthepoorintheoverallpopulation,thenationalandruralpovertylineswillbeused.5
2.Geograph�cIntervent�on
thegeneralinterventioncategorycanbeappliedifthefollowingaresatisfied:
(i) Projects that are located ingeographic areaswithhigher incidenceofpoverty than thenationalaveragequalifyunderthisclassification,providedalsothatsuchareasarespecificallyemphasizedeither(a)asgeographical focusareasunder therelevantcPs;or(b)suchgeographicalareashavebeenclearlydemarcatedandidentifiedinnationalpovertyreductionstrategiesorothernationaldevelopmentstrategydocumentsasgeographicallydisadvantaged,callingforspecialeffortsthroughprioritizedallocationofresources.
(ii) such geographically targeted projects must also address significantly the constraintsresponsibleforthebackwardnessoftheareas.merelocationofprojectsinsuchareaswillnotbesufficient.
3.Sectoral/SubsectoralIntervent�onsSupport�ngMDGs6(MDG1Target2onHunger andMDG2–7)
mDG1(eradicateextremepovertyandhunger)hastwotargets:target1relatestoincomepoverty,andtarget2relatestohunger.Projectsthatdirectlytargetincomepovertyreductionarealreadycoveredunderthe individual/householdtargetingcategory(H).thus,projectsseekingtoaddresshunger, i.e.,target2,throughimprovednutritionetc.,canqualifyunderthiscategoryandbesubcategorizedasm1.ProjectssupportingothermDGswillbesimilarlysubcategorizedasm2,m3,etc.alistoftherelevantmDGtargetsundermDG1–7maybeseeninthedocumentprojectclassification(seefootnote4).
ProjectsthatseektosupportachievementofanyoneormoreofmDGs(mDG1-target2andmDGs2–7)intheshorttomediumtermshouldincludetheseintendedachievementsintheoutcomeleveloftheconcernedprojectdesignandmonitoringframeworks,clearlyspecifyingthemDGgoal,targets,andindicatorsaddressed.suchprojectsmustsignificantlyaddressthebindingconstraintstoachievingtherelevantmDG/sintheconcernedcountryasidentifiedincPs.
afurtherexplanatorynoteonthetargetingclassificationisinthedocumentprojectclassification(footnote4).
5 agreementshouldbereachedwitheachdevelopingmembercountry(Dmc)onhowpovertyincidenceshouldbeestimated,i.e.,whatpovertylinetouse(national,dollaraday)tobespecifiedinthecountrypartnerstrategy(cPs)/cPsmidtermreviewreportandindicativerollingcountryoperationsbusinessplans.thisagreedpovertylinewillbeusedforthepurposesofthisclassification.
6 millenniumdevelopmentgoals(mDGs)relatedtonon-incomedimensionsofpovertyalonearepartofthisclassificationandnotallmDGs.
aPPEnDix1.2 ProJEctclassiFicationsystEm 65
E. Presentat�on�nProjectDocuments
allprojectswillbeclassifiedundersector,theme,andtargetingclassifications.twoexamplesareprovided.thefirstisatargetedinterventionbyvirtueofthehousehold/individualpovertytargetingattribute(H).thesecondisageneralintervention,impactingonpovertyreductionthrougheconomicgrowth.
Example1.
sector : Watersupply,sanitation,andWastemanagement subsector : Watersupplyandsanitation
theme : inclusivesocialDevelopment;andGenderand Development subtheme : HumanDevelopment
targetingclassification : targetedintervention
Example2.
sector : transportandcommunications subsector : roadsandHighways
theme : sustainableEconomicGrowth subtheme : FosteringPhysicalinfrastructureDevelopment
targetingclassification : Generalintervention
F. Implementat�onArrangements
1.ScopeofAct�v�t�esSubjecttoSector,Theme,andTarget�ngClass�ficat�on
alloperationalactivities–projectsforbothpublicandprivatesectors–supportedbyaDbwillberequiredtoindicatethesector,theme,andtargetingclassification.“operationalactivities”coverpolicy-basedprogramsfinancedbyloans,investmentprojectsfinancedbyloanresourcesorgrants(includingpilottestingofinnovations),equityandguaranteeoperations,technicalassistanceactivities(loanorgrantfinanced),andeconomic,sector,andthematicworkfinancedbyaDbtechnicalassistancefundsortrustfundgrants.sector, theme,and targetingclassificationwillbe indicated in(i)projectconceptpapersappendedtothecPsandcobP;(ii)rrPonproposalsforloans,equity,andguaranteeoperations;and(iii)technicalassistancepapers.
2.T�m�ngofAppl�cat�onandMechan�smstoEnsureAccuracyandCons�stency
sector,theme,andtargetingclassificationwillbeassignedtoeachprojectassoonastheprojectisidentified.theprojectteamleaderclassifieseachpipelineprojectandrecordsitintheprojectconceptpaper.classificationcanbechangedduringprojectdesignandprocessing.theinternalqualityassurancemechanism (i.e., intra- and interdepartmental reviews) reviews the accuracy and consistency of theclassification. afterprojectapproval,aDb locks thesector, theme,and targetingclassification for the
66 HanDbookonsocialanalysis
project.thesector,theme,andtargetingassignmentfortheprojectremainsconstantuntiltheprojectiscompleted,unlesstheprojectundergoesaformalchangeofprojectobjectivesorscopeorboth.
theheadofthedepartmentresponsiblefordesigningandimplementingaparticularprojectisaccountableforensuringtheaccuracyofthesector,theme,andtargetingassignmentforthatproject.theregionalandsustainableDevelopmentDepartment(rsDD)isresponsibleforensuringconsistencyoftheseassignmentsacrossregionalandknowledgedepartments.
3.EntryandManagementofClass�ficat�onInformat�on
theproject classificationsystem isan importantelementofaDb’smonitoringandevaluationsystem.thesector,theme,andtargetingclassificationforeachpipelineprojectisregisteredinthePPis,aninternalsystemthattracksinformationonthepipelineprojects.afterprojectapproval,classificationinformationinthePPisistransferredtothesystemscoveringongoingprojects,suchastheloanfinancialinformationservices(lFis),technicalassistanceinformationsystem(tais),post-evaluationinformationsystem(PEis),projectperformancereport(PPr),andtechnicalassistanceperformancereport(tPr).thismechanismpermitsaDbtousetheinformationformonitoring,analyzing,andreportingonresourceallocation,toassesswhatrelationshipresourceshaveonoutputs,outcomes,andimpacts.
4.Custod�anofSector,Theme,andTarget�ngClass�ficat�on
asof1may2004,rsDDhascustodianshipoftheupdatedsector,theme,andtargetingclassification.rsDDwillcoordinatefuturerefinementsandupdatingofthesector,theme,andtargetingclassification,includingperiodicupdatingofthedefinitions.
aPPEnDix2 samPlEtErmsoFrEFErEncE 67
Appendix 2Sample Terms of Reference
2.1.SampleTermsofReferenceforIn�t�alPoverty andSoc�alAnalys�sdur�ngPPTAFact-F�nd�ng (orotherIn�t�alDueD�l�gence)
To conduct initial poverty and social analysis (IPSA) or other initial due diligence, the following generic terms of reference (TOR) could be considered:
thesocialdevelopmentspecialistwillhaveastrongbackgroundinarelevantsocialscience.Heorshewillactasprincipaladvisertothegovernmentandthemissiononsocialandpovertyissuesandwill,togetherwiththeteamleader,ensurethatthepolicies/investmentsbeingdevelopedfortheproposedprojectaresocially inclusive,equitable,andsustainable.Heorshewillproducethreemajoroutputs:(i)aniPsareport,summarizedontheiPsareportform(includedinappendix4.1oftheHandbook on Social Analysis);(ii)detailedtorforfurtherworkonrelevantsocial/povertyissuesduringthedesignphaseoftheproject;and(iii)calculationofperson-monthsandresourcesneededduringthedesignphasetocompletethiswork.
specifically,thesocialdevelopmentspecialistwill
(i) identifyhowtheproposedprojectrelatestonationalprioritiesasidentifiedinthenationalpoverty reduction strategy (nPrs) [or other national development plan], the asianDevelopmentbank’s(aDb)countrypovertyanalysis,andsectorsidentifiedasprioritiesinaDb’scountrypartnershipstrategy(cPs);
(ii) helptheteamleaderinpreparingapreliminaryassessmentofwhetherthebenefitsoftheprojectwillflowprimarilytopoor/nonpoorconsumersandwhetheranypoororvulnerablegroupswillbeexcluded;
(iii) helptheteamleaderindeterminingthescaleandscopeforfurtherdetailedpovertyand/orsocialanalysistomaketheprojectdesignmorepro-poor,sociallyinclusive,andsustainable,andtoeffectivelydealwithsignificant issuesrelated toparticipation,gender, involuntaryresettlement,indigenousorvulnerablepeople,labor,affordability,Hiv/aiDstransmissionorhumantrafficking,orothersocialrisks,includingtheneedtoprepareanyactionormitigationplansorothermeasures;
(iv) helptheteamleaderin(a)identifyingkeystakeholders,includingbothmenandwomeninpoorandvulnerablegroups,andtheirproject-relatedinterests;(b)identifyingpossiblebarrierstotheirparticipationinandbenefitfromtheproject;and(c)suggestingpossiblestrategiestoaddresstheconcernsofthesestakeholders.identifyfactorsaffectingprojectrisksandviability.Prepareaninitialstakeholderanalysisandinitialc&Pplan,inaccordancewithappendix5oftheHandbook on Social Analysis;
68 HanDbookonsocialanalysis
(v) identify suitable nongovernment organizations (nGos) and/or community-basedorganizations(cbos)toconsultwithontheproposedproject,andexplorepossibilitiestoinvolvenGos/cbosinpreparationoftheproject;
(vi) prepareaninitialgenderanalysisoftheprojectinaccordancewithappendix6oftheHandbook on Social Analysis,andhelptheteamleaderinidentifyingprojectdesignelements(includingpolicy changes, investments or implementation arrangements) that have the potential(a)toenhancewomen’sorgirls’participationinandbenefitfromtheprojector(b)toexcludewomenorgirlsfromparticipatinginandbenefitingfromtheproject.basedonthisinitialanalysis,identifytheneedforagenderplanorothergender-inclusivedesignmeasures;
(vii) identify whether the project requires construction or rehabilitation of major works, willnecessitatelandacquisition,orisexpectedtoresultinpeople’slossofassets,resources,orincome.ifrelevant,assesstheneedforfurtheranalysisduringthedesignphaseofthelikelyscopeandimpactofresettlement,andthepotentialneedforaresettlementplanorothermeasures,inaccordancewithappendix7oftheHandbook on Social Analysis;
(viii) identifywhethertheprojectwillbelocatedin,orpassthrough,areasofsignificantindigenouspeoples’ settlements. if this is the case, propose how to include indigenous people inplanningandimplementingtheproject.ifrelevant,prepareanoverviewofthepopulationcharacteristicsintheproposedprojectarea,anticipateimpactsoftheprojectonindigenouspeople,andidentifythepotentialneedduringthedesignphaseforfurtheranalysisandpreparationofaniPDPorothermeasures,inaccordancewithappendix8oftheHandbook on Social Analysis;
(ix) assesswhetheranyothervulnerablegroupscouldbeworseoffasaresultoftheproject,andidentifyanyneedformitigatingmeasures,suchassocialsafetynets;
(x) proposemeasurestoensurethattheprojectcomplieswithnationallaborlaws(e.g.,minimumwage,equalpay,safeworkingconditions,socialsecuritycontributions)andinternationalcorelaborstandards(includingfreedomofassociation,nondiscriminationandequalpay,andprohibitionsofforcedandchildlabor).Helptheteamleaderinidentifyingopportunitiesintheproposedprojectto(a)mitigatetheeffectsofpotential layoffsofworkersrelatedtogovernmentor industry restructuringor retrenchment,and(b) improveemploymentopportunitiesforthepoor,women,andothervulnerablegroups;
(xi) identifyanyotherpotentialsocialrisksassociatedwiththeproject,suchasrisksofincreasedHiv/aiDstransmissionorhumantraffickingintransportandotherlargeinfrastructureprojects,and assess the need for further analysis of these risks and preparation of appropriatemitigationplansorothermeasuresduringthedesignphase;
(xii) preparetors for further social and/orpoverty analysisduring thedesignphaseof theproject,focusingonrelevantissues,suchasparticipation,gender,involuntaryresettlement,indigenouspeople,labor,affordability,andothersocialrisksidentifiedthroughiPsa[sampletorsforsocialdevelopment/participation,gender,resettlement,indigenouspeoples,labor,andsocialriskandvulnerabilityconsultantsareincludedinappendix2.2oftheHandbook on Social Analysis];
(xiii) provideassistancetotheteamleaderinpreparingtheiPsareport,preliminarydesignandmonitoring framework (DmF) for the project,memorandumof understanding (or aide mémoire)ofthemission,andanyotherdocumentationrelatedtothemission.
aPPEnDix2.2 samPlEtErmsoFrEFErEncEForsocialanalysisinProJEctDEsiGn 69
2.2. SampleTermsofReferenceforSoc�alAnalys�s�n ProjectDes�gn
Seven types of TORs are included here: generic (poverty and social analysis), consultation and participation, gender, involuntary resettlement, indigenous peoples, labor issues, and social risks and vulnerabilities. The IPSA should guide which TORs and tasks are most relevant to the specific project context.
A. Gener�cTORforPovertyandSoc�alAnalys�s
theconsultant(e.g.,socialdevelopmentspecialist)willhaveapostgraduatedegreeinrelevantsocialsciencediscipline.HeorshewillactasaprincipaladvisertothegovernmentandaDbteamonsocialissuesintheproposedprojectandwillensurethatthepolicies/investmentsbeingdevelopedfortheprojectaresociallyinclusive,equitable,andsustainable;andconsistentwithrelevantaDbpoliciesandstrategies.Heorshewillhaveworkexperienceinthedevelopingmembercountry(Dmc)andatleast10yearsexperienceindesigningand/orimplementingsocialcomponentsofdevelopmentprojects,preferablywithworkexperienceinthesectorconcerned.appropriatelocallanguageskillsaredesirable.
specifically,theconsultantwill:
(i) conductpovertyandsocialimpactassessmentsoftheproposedprojectinaccordancewithaDb’sPoverty Handbook(2006)andHandbook on Social Analysis(2007).
(ii) identifyhowtheproposedprojectrelatestonationalprioritiesasidentifiedinthenationalpoverty reduction strategy [or othernational developmentplan], aDb’s countrypovertyanalysis,andsectorsidentifiedasprioritiesinaDb’scPs;
(iii) conductanassessmentofwhetherthebenefitsoftheprojectwillflowprimarilytopoor/nonpoorconsumersandwhetheranypoororvulnerablegroupswillbeexcluded;
(iv) providerecommendationonhowtomaketheprojectdesignmorepro-poor,sociallyinclusiveandsustainable,andtodealeffectivelywithsignificantissuesrelatedtoparticipation,gender,involuntary resettlement, indigenous or vulnerable people, labor, affordability, Hiv/aiDstransmissionorhumantrafficking,orothersocialrisks,includingtheneedtoprepareanyactionormitigationplansorothermeasures;
(v) assisttheteamleaderto(a)identifykeystakeholders(includingbothmenandwomenwithinpoorandvulnerablegroups)andtheirproject-relatedinterests,(b)identifypossiblebarriers to their participation in and benefit from the project, and (c) suggest possiblestrategiestoaddresstheconcernsofthesestakeholders.Helptheteamleadertoidentifyfactorsaffectingprojectrisksandviability.
(vi) proposemeasures toensure that theproject is in compliancewithnational labor laws(e.g.,minimumwage,equalpay,safeworkingconditions,socialsecuritycontributions)andinternationalcorelaborstandards(includingfreedomofassociation,nondiscriminationandequalpay,andprohibitionsofforcedandchildlabor);
(vii) identifyanyotherpotentialsocialrisksassociatedwiththeproject,suchasrisksofincreasedHiv/aiDs transmission or human trafficking in some project components, and prepareappropriatemitigationplansorothermeasuresduringimplementationphase;
70 HanDbookonsocialanalysis
(viii) provideassistancetotheteamleaderinpreparingthepovertyandsocialanalysisreport,preliminarydesignandmonitoringframeworkfortheproject,memorandumofunderstanding(oraide memoire)ofthemission,andanyotherdocumentationrelatedtothemission;and
(ix) incoordinationwithotherteammembersasrequired,assistindeterminingbenefitstreamsforeconomicevaluationsofsubprojects–bothqualitativeandquantitative.
theconsultantwillproduce:
(i) socialanalysisappendixfortheprojectpreparatorytechnicalassistancemainreportcoveringdemographic, economic and socioeconomic conditions and trends; and identifying theextent,dimensions,trendsofpovertyintheprojectarea,andrelevanceoftheseissuestotheprojectdesign;
(ii) summaryofpovertyreductionandsocialstrategy(sPrss)asacoreappendixforrrPandanyactionormitigationplansorothermeasuresasappropriate, inaccordancewiththeHandbook on Social Analysis(2007);and
(iii) torsforsocialand/orpovertyanalysisfortheprojectimplementation,focusingonrelevantissues such as participation, gender, labor, affordability, and other social risks identifiedthroughthefirstpovertyandsocialanalysis.
B. Consultat�onandPart�c�pat�on
theconsultantwillhaveapostgraduatedegreeinarelevantsocialsciencediscipline.HeorshewillactasprincipaladvisertothegovernmentandaDbteamonsocialissuesintheproposedprojectandwillensurethatthepolicies/investmentsbeingdevelopedfortheprojectaresociallyinclusive,equitable,andsustainable,andconsistentwithrelevantaDbpoliciesandstrategies.HeorshewillhaveworkexperienceintheDmcandat least5yearsofexperienceindesigningand/orimplementingsocialcomponentsofdevelopmentprojects,preferablywithworkexperience in thesector concerned.appropriate locallanguageskillsaredesirable.
theconsultantwillberesponsiblefor
(i) conductingstakeholderanalysis;(ii) conductingsurveysand/orparticipatoryrapidassessments(Pras),asrequired;(iii) defining,enumerating,mapping,andtargetingintendedclients/beneficiaries(relevantfor
projectstargetingindividualsorhouseholds);(iv) establishingandmaintainingcontactwithrelevantnGosandcommunity-basedorganizations
(cbos)intheproposedprojectarea(s);and(v) helpingtheteamleaderandotherconsultantsinpreparingdesignmeasuresand/orplans
toaddressrelevantsocialissuesintheproject,asrequired.
morespecifically,heorshewillberesponsibleforsomeorallofthefollowingtasks:
(i) Discuss thesocialdimensionsof theproposedprojectwith theexecutingagency,otherrelevant institutions and agencies, and development partners (to identify scope forcomplementaryactivitiesandavoidoverlappingactivities).
aPPEnDix2.2 samPlEtErmsoFrEFErEncEForsocialanalysisinProJEctDEsiGn 71
(ii) undertakefieldvisitstoaselectionofproposedprojectsitesasidentifiedintheiPsaorthrougharankingprocess.togetherwithotherteammembers,conductinterviews,focusgroupsorothermeetingswithstakeholderstoconfirmtheirinterests,constraints,andwillingnesstoparticipateintheproject,thesuitabilityofthesites,andalternativedesignoptions.
(iii) Workwithotherteammembersandstakeholderstoidentifyandconfirmkeysocialand/orpovertyissuesandoptionstoaddresstheseissues,andselecttheoptimalstrategyorapproach.
(iv) togetherwiththeconsultant,prepareprofilesoftheproposedclient/beneficiarygroupsandsubgroups,andothergroupslikelytobeaffectedbytheproject,andidentifycbosandservice/usergroupstructuresalreadyexistingintheproposedprojectarea(s).
(v) atthelocal level,assesssocialandinstitutional issuesaffectingparticipation,ownership,acceptance,andadoptionofprojectactivities,andproposestrategiestoovercomeanylocalconcernsorotherissues.
(vi) togetherwithotherteammembers,identifythelinksbetweenthesectorministries/agencies,localgovernment,andcommunities;assessthecapacityofexecutingandimplementingagenciestoaddresssocialissuesintheproject;andidentifyneedsandopportunitiesforcapacitydevelopmentoftheseagencieswithintheproject.
(vii) togetherwithotherteammembers,assesswhethernGos,cbos,and/ortheprivatesectorhasaroleinimplementingtheproject.
(viii) togetherwithotherteammembers,developrecommendationsforspecificprojectactivitiesandprocessestoaddressthesocialand/orpovertyissuesthathavebeenidentified.
C. Gender
theconsultantwillhaveapostgraduatequalificationinarelevantsocialscience,withparticularexpertiseintheareaofgenderanddevelopment.HeorshewillactasprincipaladvisertothegovernmentandaDbteamonthesubjectandwillensurethatthepolicies/investmentsbeingdevelopedfortheproposedprojectaresociallyinclusive,equitable,andsustainable,andconsistentwithaDb’spolicyongenderanddevelopment(1998).1HeorshewillhaveworkexperienceintheDmcandatleast5-yearexperiencein the planning and design of projectswith gender-related objectives and inmainstreaming genderconsiderationsinotherprojects.appropriatelocallanguageskillsaredesirable.theconsultantwillberesponsibleforsomeorallofthefollowingtasks:
(i) takeprimeresponsibilityforanalyzingtheproposedprojectfromagenderperspectiveanddevelopingprojectcomponentsandimplementationmechanismstoensurewomen’sandgirls’participationintheproject,includingdevelopmentofagenderplan,ifneeded.
(ii) Help theaDb team in identifyinganddescribing the intendedclient/beneficiarygroupsusinggender-disaggregateddemographicdata,andgenerallyadvisetheteamoncollectinggender-disaggregateddata.
(iii) reviewdocumentationontheprojectarea(s)andinterviewrelevantstakeholders,includingwomenandmen,todevelopagenderprofileoftheclient/beneficiarygroup(s)andsubgroupswithrespectto(a)differencesintheroles,status,andwell-beingofwomenandmeninthesegroups;(b)men’sandwomen’saccesstoservices,resources,assets,andincome-generating
1 theconsultantshouldconsulttherelevantgender/sectorchecklist.available:www.adb.org/Gender/checklist.asp;andmostrecentcountrygenderassessment,availableatwww.adb.org/Gender/cga.asp.
72 HanDbookonsocialanalysis
activities;and(c)men’sandwomen’sparticipationindecisionmaking,developmentpriorities,timeconstraints,andotherfactorsthatmayaffecttheirparticipationintheproject.
(iv) considerhowmenandwomencanparticipateintheproject,inlightoftheirmotivations,knowledge,skills,organizationalresources,andtimeburdens,andhowtheprojectislikelytoaffectgenderrelationsinsociety.
(v) Prepareappropriatedesignmechanismstoensurewomen’sand/orgirls’accesstoprojectbenefits,andtoavoidincreasingtimeorotherburdensonwomen,includingagenderplanifneeded.
(vi) togetherwithotherteammembers,identifytheneedforfemaleagencystafforcommunitymobilizerstohelpinimplementingtheproject;andidentifytheirneedsandtheneedsofotheragencystaff,localgovernment,communityleaders,andotherstakeholdersforgender-relatedtraining.
(vii) togetherwithother teammembers, identifyopportunitieswithin theproject toaddresswomen’sandgirls’prioritiesintermsofliteracyandskillsdevelopment,healthandnutrition,income-generatingactivities,andotherconcerns,includingthroughlinkstootherongoingprogramsandprojects.
(viii) identify institutions (governmentandnongovernment) that focusonwomenorgenderconcernsandthatmightcontributetothedesign,implementation,monitoring,orevaluationoftheproject.
(ix) assessthecapacityoftheproposedexecutingandimplementingagenciestodeliverservicestowomenandgirls,andmakerecommendationstostrengthenthiscapacitythroughtheproject.
(x) identifygender-relatedtargetsandindicatorsandmechanismsformonitoringthegender-related impacts of the project, to be included in the DmF and project performancemanagementsystem(PPms).
D. InvoluntaryResettlement
theconsultantwillhaveapostgraduatequalificationinarelevantsocialscience.Heorshewillactasprincipaladviser to thegovernmentandaDbteamonthesubjectandwillensure that thepolicies/investmentsbeingdevelopedfortheproposedprojectaresociallyinclusive,equitable,andsustainable,andinaccordancewithaDb’spolicyoninvoluntaryresettlement.HeorshewillhaveworkexperienceintheDmcandatleast5yearsexperienceinthedesignand/orimplementationofresettlementplans.appropriatelocallanguageskillsaredesirable.
theconsultantwillhelptheexecutingagencyinanalyzinglikelyimpactsoftheprojectrelatedtoresettlementand,ifneeded,inpreparingaresettlementplanconsistentwithaDbstandardsusingtheHandbook on Resettlement: A Guide to Good Practice(1998).HeorshewillhaveprimaryresponsibilityintheaDbteamforthepreparationofanyresettlementplanandwillworkcloselywiththeexecutingagencyandotherrelevantgovernmentagencies/officesatappropriateadministrativelevels(e.g.,provincial,district/country,orcity/municipality).Heorshewillconsideroptionstoavoidorminimizeresettlement.Forthoseunavoidablyaffected,heorshewillreviewtheapplicablelawsandpoliciesrelatedtolandacquisitionandresettlementandidentifyappropriatemeasurestorestoreincomesandlivingstandards.morespecifically,heorshewill
(i) identifypermanentandtemporarysocioeconomicimpactsasaresultoflandacquisition,changesinlanduse,orrestrictionsofaccesstoassetsandcommonpropertyresources;
aPPEnDix2.2 samPlEtErmsoFrEFErEncEForsocialanalysisinProJEctDEsiGn 73
(ii) conductacensus,land/assetinventory,andsocioeconomicsurveytoidentifyresettlementimpactsandmitigationoptions;
(iii) assessrisksandopportunitiesforaffectedpeople;(iv) identifystrategiesandoptionstorestorelivelihoodsandqualityoflife;(v) definecategoriesofimpactandeligibilityofaffectedpersonsforcompensation,andprepare
anentitlementmatrixcoveringcompensationforalllostassetsandincome,andassistancetoachievefullreplacementcostsforlostassets,income,andlivelihoods.assesswhetherthecompensationstandardsforalltypesofassets,crops,andtreesarebasedonreplacementvalueanddiscussindetailthevaluationmethodologyused;
(vi) togetherwiththeexecutingagency,prepareandcarryoutaconsultationplanandaformatfordocumentingconsultationwithaffectedpeople,listingevents,peopleconsulted,documentsdisclosed,andtimingofdisclosureinaccordancewithaDb’spubliccommunicationspolicy(2005)andsummarizingthe issuesraised,agreedactions,andimprovementsresultingfromtheconsultation.assessstakeholders’concernsandconsiderpossiblechangesintheprojectdesign tominimize resettlement impacts.Help theexecutingagency tofinalize,disclose,andobtaingovernmentendorsementoftheresettlementplanpriortosubmissiontoaDbforreviewandapproval;
(vii) developaresettlementplan,includingmeasurestorestorelivelihoodsandqualityoflife;(viii) developdetailedbudgetandimplementationschedulesfortheresettlementplan;(ix) identifymanagement,consultation,anddisputeresolutionmechanismsfortheresettlement
plan;(x) reviewtheorganizationalstructureandcapacityofexecutingandimplementingagenciesto
implementtheresettlementplanandrecommendimprovementsrequiredbeforethestartoflandacquisition;
(xi) ensurethatgenderandindigenouspeoples’concerns(ifrelevant)areincorporatedintheresettlementplan;
(xii) identifytargetsandindicatorsrelatedtotheresettlementplanforinclusionintheDmFandPPms,andmakearrangements for internaland independentmonitoringandevaluation;and
(xiii) if the resettlement plan is prepared based on a feasibility study or preliminary projectdesign,itshouldalsoprovideforupdatingtheplanbasedonthedetailedprojectdesign,anddisclosingtheupdatedplantotheaffectedpersonspriortosubmittingittoaDbforreviewandapproval.
E. Ind�genousPeoples
the consultant will have a postgraduate qualification in a relevant social science and experience inworkingontheissuesofindigenouspeoplesinasiancountries,preferablyincludingtheDmc.HeorshewillactasprincipaladvisertothegovernmentandtheaDbteamonthesubjectandwillensurethatthepolicies/investmentsbeingdevelopedfortheproposedprojectaresociallyinclusive,equitable,andsustainable,andconsistentwithaDb’spolicyonindigenouspeoples(1998).Heorshewillhelptheexecutingagencyinanalyzingindigenouspeoples’issuesrelatedtotheprojectandinpreparinganiPDPorothermeasures,ifneeded,usingtheindigenousPeoplesPolicyHandbook(april2006draft).appropriatelocallanguageskillsaredesirable.morespecifically,heorshewill
74 HanDbookonsocialanalysis
(i) prepareanoverviewofthecharacteristicsoftheethnicpopulationsintheproposedprojectarea(s),including
(a) forthedominantethnicgroup(s), • relationsofthedominantgroup(s)totheland, • mainsocioculturalcharacteristicsofthedominantgroup(s),and • socioculturalinfluenceofthedominantgroup(s)onethnicminorities; (b)fortheminorityethnicgroup(s), • relationsoftheminoritygroup(s)totheland, • mainsocioculturalcharacteristicsoftheminoritygroup(s),and • degree of acculturation to the dominant culture (including language, religion,
customs,etc.);(ii) prepare a profile of the dominant and minority ethnic groups in the proposed project
area(s), including descriptions of (a) their socioeconomic status, (b) main activities,(c)localresourcesusedbyeachethnicgroup,and(d)formalandinformalrightstolandandnaturalresourcesexercisedbyeachgroup;
(iii) identifyexistingproblemsperceivedbyindigenouspeoplesintheprojectarea(s),includingproblemsrelatedto(a)theirmaineconomicactivities,(b)theiraccesstolocalresources,and(c)continuationoftheirrightstolandandnaturalresources;
(iv) identify indigenous peoples’ needs, demands, constraints, and capacities, including(a)variationsinexistingknowledge,skills,andadherencetosocioculturalnormsthatcouldinfluenceindigenouspeoples’demandforandaccesstoprojectbenefits;(b)indigenouspeoples’abilityandwillingnesstopayforprojectinputsand/orprovidelabortoimprovetheirproductionsystems;(c)priorexperienceoftheindigenouscommunitiesinimplementingdevelopmentactivitiesandtheirperceptionsoftheseexperiences;and(d)preferredmethodsfordeliveryofservicesandotherbenefitsundertheproject;
(v) describe the different culturally defined roles of men and women with indigenouscommunitiesandassesstherelevanceofthesedifferencestotheimplementationoftheproject(includingculturallydefinedaccesstoland,resources,and/orservices);
(vi) identifyanticipatedimpactsoftheprojectonindigenouspeoplesandcommunicateasmuchinformationabouttheprojectaspossibletotheindigenouscommunities;
(vii) analyzenationalandlocallaws/policiesrelatedtoindigenouspeoples(e.g.,relatedtolegalstatus,citizenship,andaccesstobasicservicesandnaturalresources,includingland);
(viii) assesstheinstitutional,personnel,andfinancialcapacitiesoftheexecutingandimplementingagenciesandotherstakeholdersworkingwithandforindigenouspeoples,anddevelopastrategyfortheirparticipationintheproject;
(ix) prepare an iPDPor othermeasures, including appropriate budget and implementationarrangements,andmeasurestoensuremeaningfulparticipationoftheindigenouspeoplesandinvolvementofnGos,whereappropriate;and
(x) identifytargetsandindicatorsrelatedtotheiPDPforinclusionintheDmFandPPms,andmakearrangementsforinternalandindependentmonitoringandevaluation.
F. LaborIssues
theconsultantwillbeasocialprotectionexpertwithasolidbackgroundinregionalandinternationallaborpoliciesandpractices.HeorshewillactasprincipaladvisertothegovernmentandtheaDbteamonthesubject,andwillensurethatthepolicies/investmentsbeingdevelopedfortheprojectaresocially
aPPEnDix2.2 samPlEtErmsoFrEFErEncEForsocialanalysisinProJEctDEsiGn 75
inclusive,equitable,andsustainable,andconsistentwithaDb’ssocialprotectionstrategy(2001)andCore Labor Standards Handbook(2006).appropriatelocallanguageskillsaredesirable.morespecifically,heorshewillberesponsibleforsomeorallofthefollowing:
(i) analyze the Dmc labor market in the relevant sector(s), including reconciling officialindicatorswithevidencefromsurveys,andfocusingonemployment,unemployment,andunderemploymentrates;incidenceofseasonallabor;regionaldisparitiesinemployment;realwagedynamics;informalsectorandself-employment;changesinparticipationrates(especiallyforwomen);andworkingconditions,andcompliancewithnationallaborlawsandinternationalcorelaborstandards.
(ii) identifylabormarketimbalancesintherelevantsector(s)byanalyzingmismatchesinthesupply and demand of labor, and provide recommendations for more inclusive, labor-absorbingdevelopmentpatternsinthesector(s).
(iii) identifyanyobstaclestoemploymentposedbyexisting labor lawsorregulations intherelevantsector(s)andproviderecommendationstoaddresstheseproblems.
(iv) Promotesocialdialoguebyconsultingrelevantstakeholders,includingtheministryoflabor/socialprotectionandrelevantsectorministry,employers’andemployees’representatives,anddevelopmentpartners,suchastheinternationallabourorganization;andidentifytheirpriorities,preferences,andpotentialtoparticipateintheproject.
(v) HelptheteamleaderinensuringthataDbinterventionsintheprojectsupportinclusive,labor-absorbingdevelopmentpatterns,allocatehumancapitaltoitsmostproductiveuses,andareincompliancewithnationallaborlawsandinternationalcorelaborstandards.
(vi) iflaborrestructuringissuesareidentified,theconsultantwill(a) collectrelevantdataforaworkforceanalysis,includingnumberofaffectedemployees
byoccupation,seniority,skilllevel,income,employmentstatus,familyresponsibilities,and social security/welfare coverage, as well as country/regional labor markettrends;
(b) surveyaffectedgroupstoensurethatnopoororlow-incomegroupwillbeworseoffasaresultoftheproject,andtoensurethatsufficientadvancenoticeofpotentialretrenchmentisprovided;
(c) determine,basedonsurveysandotherdata,(1)theadversesocialcostsoftheproject,(2)optionstoavoidorminimizenegativesocialimpacts,and(3)alternativedesignmeasurestocontributeproactivelytopovertyreductionandsocialdevelopment;
(d) if retrenchment is unavoidable, prepare a labor restructuring plan, reflecting themagnitudeandtimingoftheprojectedredundanciesandspecifyingnational,local,orcompany-levelmitigationpackages;
(e) prepareasocioeconomicanalysisfortherestructuringplan,clarifyingthesocialandeconomictrade-offs;detailingprevention,compensation,orredeploymentoptions;phasing transfersof funds; andanalyzing thefiscal impactof theplan (includingimpactsonsocialsectorrevenuesandexpenditures);
(f) assess the institutional capacity of the executing and implementing agencies toimplementtheplan;and
(g) prepareamonitoringsystemfortheplan.
(vii) identifypossibletargetsandindicatorsrelatedtolaborissuestobeincludedintheDmFandPPms.
76 HanDbookonsocialanalysis
(viii) Helptheteamleaderinresolvinglabor-relatedproblemsandissues,identifyingappropriatelaborlaworpolicychanges,anddraftingappropriateassurancesrelatedtolaborissues.
G. Soc�alR�sksandVulnerab�l�t�es
theconsultantwillhaveapostgraduatequalificationinarelevantsocialscienceandfieldexperienceinasia,preferablyintheDmc.HeorshewillactasprincipaladvisertothegovernmentandtheaDbteamonsocialrisksandvulnerabilities,andwillensurethatthepolicies/investmentbeingdevelopedfortheproposedprojectaresociallyinclusive,equitable,andsustainable,andconsistentwithaDb’ssocialprotectionstrategy(2001).Heorshewillpayparticularattentionto(i)issuesofcoverage,(ii)affordabilityofproject-supportedservicestopoorandvulnerablegroups,(iii)optionstoexpanddeliveryofbasicgoodsandservicestothesegroups,and(iv)analysisofrisksandvulnerabilities.morespecifically,heorshewillberesponsibleforsomeorallofthefollowing:
(i) Withtheparticipationofrelevantstakeholders,identifyvulnerablegroupsinrelationtotheprojectandanalyzereasonsfortheirvulnerability,includingtheirexposuretorisksidentifiedintheHandbook on Social Analysis(2007).
(ii) Elaborateariskandvulnerabilityprofile,including(a) quantifying the incidenceof risks in theaffectedpopulationsbyage,gender,and
location;assessingthefrequencyandseverityoftheserisks;andidentifyingoptionstomitigatetheserisks;
(b) assessingthecapacityofeachgrouptomitigaterisksrelatedtotheprojectattheindividual,household,community,andregional/nationallevels(e.g.,throughrelevantpolicies,programs,orinstitutions);
(c) identifyinganymitigationmeasuresand/orsafetynetstoaddresstheserisksandastrategyfortheirimplementation;
(d) identifyingpossiblecomponentsorotherdesignoptionswithintheprojecttomitigaterisksandimproveopportunitiesforvulnerablegroupstoaccessprojectbenefits;
(e) identifyingtheinstitutions(governmentandnongovernment)thatfocusonvulnerablegroupsandthatcouldcontributetothedesign,implementation,monitoring,and/orevaluationoftheproject;and
(f) assessingthecapacityoftheexecutingandimplementingagenciestoprovideservicestovulnerablegroupsandimplementmitigationplans.
(iii) ifaffordabilityisidentifiedasanissue,(a) collectrelevantdataonpovertyincidenceandhouseholdexpendituresonbasicgoods
andserviceswhosesupplyorpricescouldbeaffectedbytheproject;(b) surveyaffectedgroupstoensurethatnopoororvulnerablegroupswillbeworseoff
asaresultoftheproject(i.e.,notsufferingreallossofentitlements,highernetcostofgoodsandservices,orlossofemploymentorlivelihood);
(c) determine,basedonsurveyandotherdata,(1)theadversesocialcostsoftheproject,(2)optionstoavoidorminimizethesenegativeimpacts,and(3)alternativedesignmeasurestoproactivelycontributetopovertyreductionandsocialdevelopment;
(d) ifadversesocialcostsareunavoidable,prepareanappropriatemitigationplanorothermeasures;
aPPEnDix2.2 samPlEtErmsoFrEFErEncEForsocialanalysisinProJEctDEsiGn 77
(e) prepareasocioeconomicanalysis for themitigationplan,clarifying thesocialandeconomictrade-offs;detailingvariousmitigationoptions;phasingtransfersoffunds;andanalyzingthefiscalimpactoftheplan(includingimpactsonsocialsectorrevenuesandexpenditures);
(f) assess the institutional capacity of the executing and implementing agencies toimplementtheplan;and
(g) prepareamonitoringsystemfortheplan.(iv) identifypossibletargetsandindicatorsrelatedtosocialrisksandvulnerabilitiestobeincluded
intheDmFandPPms.(v) Help the team leader in addressing social risks and vulnerabilities within the project,
identifyingappropriatelaworpolicychanges,anddraftingappropriateassurancestoensuretheprotectionofatrisk/vulnerablegroupsduringtheimplementationoftheproject.
78 HanDbookonsocialanalysis
aPPEnDix3 toolsanDDatacollEctionmEtHoDsForsocialanalysis 79
Appendix 3 Tools and Data Collection Methods for Social Analysis
1 theappropriatetimetocollectbaselinedatawillvarydependingonthenatureoftheproject,thelengthoftimebetweentheproject-designphaseandthestartofimplementation,theextentofchangesinthefinalprojectscopeandprojectareas(comparedwiththeoriginalfeasibilitystudy),andotherfactors.thetimeforcollectingbaselinedata,therefore,shouldbedecidedonacase-to-casebasisinconsultationwiththeexecutingagency.inanycase,anysocioeconomicdatacollectedduringtheproject-designphasethatcouldbeusedasbaselinedatafortheprojectshouldbeturnedovertotheexecutingagency.
3.1. ToolsandDataCollect�onMethodsforSoc�alAnalys�s
A. Overv�ew
the purpose of social analysis in the asian Development bank’s (aDb) country and subregionalprogrammingandpreparationofaDb-financedprojectsisto(i)understandthesocialcontextfortheprogramorproject, includingthestatusofandrelationshipsbetweensocialgroupsand institutions;(ii) consider theappropriatenessand feasibilityof theprogramorproject, given the social context;(iii)assessthepotentialsocialimpacts—positiveornegative—oftheprogramorproject;and(iv)identifypossibleactions,includinglaworpolicychanges,orspecificprojectactivities,tomaximizethepositivesocialimpactoftheprogramorprojectandtominimizeormitigateanynegativeimpacts.Datacollectedduringthedesignphaseofaprojectmayalsoprovideabaselineformonitoringsocialimpactsoftheprojectduringimplementation.1
socialanalysiscanbeconductedattheregional/subregional,country,sector,andprojectlevels.Dependingonthelevelofanalysisandthesocialissuesthatarebeingexamined,severaltoolscanbeemployedtocarryouttheanalysis(seesectionb).insomecases,morethanonetoolmaybeneededtocompletetheanalysis.Eachsocialanalysistoolinvolvesparticularmethodsforcollectingandanalyzingdata(seesectionc).somesocialanalysistoolsmayinvolvemorethanonedatacollectionmethod.thedatacollectionmethodsthatareappropriateinaparticularcasewillalsodependontheamountandqualityofrelevantdatathatarealreadyavailable(i.e.,secondarydata),andthetimeandresourcesavailabletocollectadditionaldata(i.e.,primarydata).
thisappendixprovidesabriefoverviewoftherangeoftoolsanddatacollectionmethodsthatmaybeusefultoaDbcountryandprojectteams,governmentcounterparts,andconsultantsinconductingsocialanalysisrelatedtoasubregionalcooperationprogramandstrategy,acountrypartnershipstrategy(cPs),oraproposedproject.cross-referencesareprovidedtomoredetaileddiscussionofsometoolsinotherappendixestothishandbookorinotheraDbpublications.
80 HanDbookonsocialanalysis
B. ToolsforSoc�alAnalys�s
thissectionbrieflydescribessomemaintoolsforsocialanalysisthatareusefulincountryandsubregionalprogrammingandinpreparingloanorgrant-basedprojects.Eachdescriptionnotesthelevel(s)ofsocialanalysisatwhichthetoolcanbeused.cross-referencesarealsoprovidedtomoredetaileddiscussioninotherappendixesoraDbresources.
CountryPovertyAnalys�s.asdiscussedinmoredetailinaDb’sPoverty Handbook(2006),thecountrypovertyanalysisisaDb’smaintoolforassessingthenatureandcausesofpovertyinacountry,includingbothincomeandnon-incomedimensions,andisakeyinputtoaDb’scPsforthecountry.it(i)assessesthepovertysituation,identifieskeydevelopmentchallenges,andcriticallyreviewsthecountry’snationalpovertyreductionstrategy(nPrs);(ii)identifiesnationalpovertyreductiongoalsandtargets,consistentwiththemillenniumDevelopmentGoals(mDGs),towhichaDbassistancecancontribute;and(iii)identifieswaysthatfutureaDbassistancecanbealignedwiththesenationalgoalsandtargetsandharmonizedwithassistancefromotherkeydevelopmentpartners.sectionii.b.2ofthishandbookidentifiesseveralentrypointsforaddressingthesocialdimensionsofpovertyinpreparingthecountrypovertyanalysis.thecountrypovertyanalysisprocessgenerallyincludesareviewofsecondarydata,consultationswithawiderangeofstakeholders,andsupplementalstudies(quantitativeand/orqualitative)asneeded.Qualitativestudiesmayincludeparticipatorypovertyassessments,whichuseparticipatorydatacollectionmethodstoanalyzethevulnerabilitiesand insecuritiesofpoor individuals,households,andcommunitiesfromtheirownperspectives.
CountryGenderAssessment.thecountrygenderassessment(cGa)isanotherinputtothepreparationofacPs,andisthebasisfordevelopingacountrygenderstrategyorroadmap,whichisanappendixtothecPs.cGagenerallyincludes(i)asocialandeconomicoverviewofgenderrelationsandthesituationofwomenandgirlsinthecountry;(ii)informationongenderdisparitiesinaccesstoeducation,health,employment, resources,productiveassets,anddecisionmaking;(iii)adescriptionof themain laws,policies,andinstitutionsrelatedtogenderandwomen;(iv)genderanddevelopment(GaD)policiesandprogramsofotherdevelopmentpartnersandnGos;(v)assessmentoftheimpactofaDboperationsongenderequalityandtheempowermentofwomen(mDG3);(vi) recommendationsforpotentialaDbinitiativestosupportthegovernment’spoliciesandprogramsrelatedtogender;and(vii)concretesuggestions formainstreaming gender concerns in theproject pipeline.2 thecGaprocess generallyincludesareviewofsecondarydata,consultationswithgovernmentandnongovernmentstakeholders,andsupplementalstudies(quantitativeorqualitative)asneeded.sex-disaggregateddataareparticularlyimportanttothecGaprocess.
Confl�ctAnalys�s(atcountry,sector,orprojectlevel).theconflictanalysisframeworkthattheWorldbankdevelopedincludesariskscreeningprocess(todeterminewhetherconflictanalysisisneeded).sixcategoriesofvariableshavebeenshowntoeithercontributetoorbeaffectedbyconflict:socialandethnicrelations,governanceandpoliticalinstitutions,humanrightsandsecurity,economicstructureandperformance,environmentandnaturalresources,andexternalfactors.Foranycountryorregionaffectedbyconflict,aconflictanalysisconsidersrelevantvariableswithineachcategory,theirimpactontheconflict,andtheirlinkswithpoverty.thisframeworkcanbeusedtoanalyzetheimpactofconflictonaparticular
2 aDboperationsmanualsectionc2/oP(GenderandDevelopmentinaDboperations),para.5.
aPPEnDix3.1 toolsanDDatacollEctionmEtHoDsForsocialanalysis 81
country/regionoronparticularsocialgroups,andtoidentifyopportunitiesforaDbassistancetocontributetoconflictpreventionorpost-conflictreconstruction.3
Inst�tut�onalAnalys�s(atcountry,sector,orprojectlevel).thisanalyticalapproachaimstounderstandthepoliticaleconomy,governance,andcapacity issuesofparticularorganizationsorother institutions(formalorinformal).theanalysismaybepartofacountrypovertyassessmentorothercountry-levelassessment, a sector analysis, or the preparation of a policy reformprogramor investment project.the analysis generally involves (i) identification of the relevant organization(s) or other institutions,(ii)descriptionoftheircharacteristicsanddynamicrelationships,and(iii)assessmentoftheircapacitytocarryouttheircurrentmandates(oranyproposedpolicychanges).theanalysisconsiderstheformalandinformalrulesandpracticesthatcontributetodecisionmakingintheorganization/institution.itshouldalsoconsidertheextenttowhichtheseformal/informalrulesandpracticescontributeto(orundermine)genderequalityandothersocialdevelopmentgoals(suchastheinclusion,empowerment,andsecurityofpoorandvulnerablegroups).institutionalanalysisgenerallyinvolvesareviewofavailablesecondarydata,andinterviewsorfocusgroupswithkeyinformants.itmaybepartofabroaderstakeholderanalysis(discussednext).
StakeholderAnalys�s (at country, sector, orproject level). this analysis considers the individuals,groups,andorganizationsthatmayinfluenceorbeaffectedbyaparticularcountry-levelplanorstrategy(includingacPs),sectorstrategyorroadmap,orproposedproject.relevantstakeholdersmayincludegovernment,civilsociety,andprivatesectoractorsat thenational, intermediate,and local levels.theanalysisinvolves(i)identificationofkeystakeholders;(ii)determinationoftheirinterestsinrelationtotherelevantcountry/sectorstrategyorproject;(iii)assessmentoftheirresources,capacity,andmandates;and(iv)identificationofrepresentativestoparticipateinfutureactivitiesrelatedtothecountry/sectorstrategyorproject.theanalysisgenerallyinvolvesareviewofsecondarydataandinterviews,focusgroups,and/orworkshopswithkeyinformants.careshouldbetakentoensurethatstakeholderswithlessvoiceandinfluence,suchaswomen,ethnicminorities,andpoorhouseholdsandcommunities,arefullyrepresented.moreinformationonstakeholderanalysisattheprojectlevelisprovidedinappendix5.1ofthishandbookandinaDb’sGuidelines for Preparing a Design and Monitoring Framework.
Benefic�aryAssessment(atsectororprojectlevel).thisisaparticipatoryassessmentandmonitoringtoolthatinvolvesdirectconsultationwiththoseaffectedbyaparticularpolicyreform,sectorprogram,orproject.itcanbeusedto(i)assessthelikelyreceptivityofparticulargroupstoapolicyreform,sectorprogram,orproject;(ii)identifyissuesthatmayariseinimplementation;or(iii)monitortheimpactofthepolicyreform,sectorprogram,orproject.beneficiaryassessmentsmayinvolvedirectorparticipantobservation,interviews,orfocusgroups.theymaybepartofasocioeconomicprofile(discussednext)ormonitoring/evaluationprocess.
Soc�oeconom�cProfile(atsectororprojectlevel).asdiscussedinmoredetailinsectioniii.E.4ofthishandbook,thesocioeconomicprofileisakeyinputtothedesignofaproject,andprovidesbaselinedataformonitoringthesocialimpactsoftheprojectonrelevantgroups.theprofileinvolves(i)identifyingtherelevantclient/beneficiarypopulationandanyotherpopulationslikelytobeaffectedbytheproject;
3 Further information on this conflict analysis framework is available on the website of the World bank’s conflictPrevention and reconstruction unit: http://web.worldbank.org/wbsite/external/topics/extsocialdevelopment/extcpr/0,,contentmDk:20486708~menuPk:1260893~pagePk:148956~piPk:216618~thesitePk:407740,00.html.
82 HanDbookonsocialanalysis
(ii)identifyingsubgroupsthatmayhavedifferentneedsandinterests;and(iii)assessingtherelevantneeds,demands,constraints,andcapacitiesofthesegroupsandsubgroupsinrelationtotheproposedproject. the profile may be based on secondary data, supplemented as needed by project-specificsurveysand/orparticipatoryrapidassessments(Pras).thescopeandcontentoftheprofilemayvary,dependingonthesocialissuesinvolved.sampleoutlinesofprofilesaddressingdifferentsocialissuesareprovidedinappendix3.2.
GenderAnalys�s(atsectororprojectlevel).inthecontextofaproposedsectorprogramorproject,genderanalysisidentifies(i)genderdifferencesanddisparitiesthatmayaffectthefeasibilityandsuccessoftheprogram/project;(ii)opportunitieswithintheprogram/projecttoimprovewomen’sand/orgirls’accesstobasicservices,economicopportunities,assets,resources,ordecisionmaking;and(iii)specificcomponents,activities,orothermechanismstoensurethatbothwomenandmen(orgirlsandboys)participateinandbenefitfromtheprogram/project.Genderanalysismayinclude(a)anactivityprofile(whatmenandwomenofdifferentagesdo,andwhere/whentheseactivitiesarecarriedout);(b)anaccessandcontrolprofile(whohasaccesstoandcontroloverresources,assets,services,anddecisionmaking); (c) analysis of structural factors and trends (how activity, access, and control patterns areinfluencedbyformal/informallaws,policies,institutions,economicandpoliticaltrends,religiouspractices,andculturalnorms);and(d)program/projectcycleanalysis(includinganalysisoflikelyimpactsoftheproposedprogram/projectonwomenandmen,andopportunitiestoaddressgenderconcernsintheplanning,design,implementation,monitoring,andevaluationoftheprogram/project).Genderanalysisgenerally includesa reviewofsecondarydata, interviewswithkey informants(includinggovernmentofficials,localgenderspecialists,women’sorganizations,communityleadersanddevelopmentpartners),andinterviewsorfocusgroupswithwomenandmenintheproposedprojectarea(includingdifferentages,ethnicgroups,incomelevels,maritalstatus,etc.).moreinformationontheintegrationofgenderanalysisinprojectdesignisprovidedinappendix6.
Part�c�patoryRap�dAssessment(atprojectlevel).Praisanapproachandrangeoftechniquestoenablestakeholderstoanalyzetheirownproblemsandparticipateintheplanningofappropriatesolutions.Pra techniques emphasize visual and verbal analysis to ensure that data collection and discussionprocessesarepublic, transparent,andgrouporiented.commonlyappliedPra techniques(manyofwhicharediscussedinsectionc)include(i)keyinformantinterviews,(ii)focusgroups,(iii)transectwalks, (iv) participatorymapping andmodeling, (v) preferenceorwealth ranking, (vi) oral histories,(vii)trendanalysis,(viii)developmentofseasonalcalendars,(ix)storytelling,(x)criticalincidentanalysis,and(xi)problemcensus.Pratechniquesmaybeusedaspartofanothersocialanalysistool,suchasasocioeconomicprofileorgenderanalysis.thesequalitativetechniquesmayalsobecombinedwithquantitativemethods,suchashouseholdsurveys(alsodiscussedinsectionc).moreinformationonPraisprovidedinappendix3.4.
BenefitInc�denceAnalys�s(atcountry,sector,orprojectlevel).thisanalysisestimatestheimpactofpublic transfers, taxes,subsidies,orpolicychanges in termsof thedistributionofbenefitsamongdifferenteconomicorsocialgroups.theanalysisinvolves(i)anestimationofthevalueofthebenefit,(ii)identificationofusers/beneficiaries,(iii)aggregationofusersintogroupsofinterest(e.g.,byincomelevel,gender,ethnicity,region,orurban/rurallocation),and(iv)estimationofout-of-pocketexpenditures(orotherconditions)neededbyeachgrouptoaccessthebenefit.theanalysisgenerallyusesindividualorhouseholdsurveydata(e.g.,existinghouseholdsurveydatasupplementedbyasamplesurveyon
aPPEnDix3.1 toolsanDDatacollEctionmEtHoDsForsocialanalysis 83
morespecificissues)andpublicexpendituredata.moreinformationisprovidedinappendix3.5andaDb’sPoverty Handbook(2006).4
R�skandVulnerab�l�tyProfile(atcountry,sector,orproject level).this toolhelps identify (i) themostvulnerablegroupsinthepopulation(atcountry,regionalorlocallevel);(ii)themajorrisksaffectingthesegroups;(iii)thecoverageandeffectivenessofexistingrisk-reductionmechanisms(bothinformalmechanismsatthehousehold/communitylevelandformalmechanismsthatgovernment,privatesectorfirms,ornonprofitorganizationssupport);and(iv)opportunitiestoreduceormitigateriskstovulnerablegroups through new mechanisms or improvements in existing mechanisms. risk and vulnerabilityprofilesmaybebasedonreviewofsecondaryliteratureanddata,interviewswithkeyinformants,andinterviews/focusgroupsorsamplesurveysinvolvingaffectedgroups.moreinformationonpreparingariskandvulnerabilityprofileisprovidedinappendix10.1.
C�t�zen Report Card/Commun�ty Score Card (at sector or project level). these are participatorytoolsforassessingtheperformanceofpublicservices,andcanbeaninputtoasectoranalysisorpartofthemonitoringsystemforaproject intendedtoexpandor improvethedeliveryofpublicservices(e.g.,education,health,watersupplyandsanitation,energy,agriculturalextension).thecitizenreportcardistypicallydesignedasasurveyofusersofservices,andfocusesonsuchissuesas(i)availability,reliability,andqualityoftheservices;(ii)responsivenessofserviceproviders;(iii)hiddencosts,suchasdemandforinformalpayments;and(iv)affordabilityandwillingnesstopay.thecitizenreportcardisgenerallymanagedbyanagencyindependentoftheserviceprovider(whichcouldbeanongovernmentorganization [nGo], research institute, donor or government oversight body). the community scorecardcoverssimilarissuesrelatedtopublicservices,butisgenerallycarriedoutthroughfocusgroupsortown/villagemeetings.5
C. DataCollect�onMethods
themethodsforcollectingdatarelevanttosocialanalysiscanbecategorizedinseveralways,basedonthetypeofdata.First,adistinctioncanbedrawnbetweenquantitativedata(numericalmeasurements)and qualitative data (nonnumerical assessments). a second distinction is drawn between primarydata(datacollectedspecifically for thesocialanalysis)andsecondarydata(preexistingdata).athirddistinctionissometimesmadebetweenofficialdata(publishedbyagovernmentstatisticsofficeorothergovernmentagency)andunofficialdata(collectedbyindependentresearchers,nGos,donoragencies,orothers).mostsocialanalysistoolsinvolvethecollectionandanalysisofmorethanonetypeofdata.Forexample,virtuallyallsocialanalysistoolsincludeareviewofrelevantsecondaryliterature(includingbothquantitativeandqualitativestudiesfrombothofficialandunofficialsources).Dependingonthesecondarydataavailable,primarydatamayalsoneedtobecollectedtocompletethesocialanalysis(e.g.,throughasamplesurveyorPra).Qualitativeapproachesareparticularlyrelevanttosocialanalysisbecausetheyidentifyissuesandcapturevariablesnotobtainablethroughquantitativesurveys,particularlyrelatingtosocialinclusion/exclusion,empowerment/disempowerment,andsecurity/insecurity.thissectionbrieflydescribessomemaindatacollectionmethodsusedforsocialanalysis.
4 seealsoWorldbank.2003.A User’s Guide to Poverty and Social Impact Analysis.Washington,Dc.5 Footnote4.
84 HanDbookonsocialanalysis
1.Qual�tat�veMethods6
somemainmethodsforcollectingqualitative(i.e.,nonnumerical)datainclude:
(i) D�rect or Part�c�pant Observat�on. under direct observation, the researcher observesindividual,group,orcommunityactivitiesasunobtrusivelyaspossible.underparticipantobservation, the researcherobserves theseactivitieswhile livingandparticipating in therelevantcommunity.Directobservationisgenerallycarriedoutoverashortperiod,whileparticipantobservationcaninvolvelivingforanextendedperiodinthecommunity.
(ii) Interv�ews.Dependingonthecircumstances,interviewscanbestructured(i.e.,fairlyformalandcloselyfollowingawritteninterviewguide),semi-structured(i.e.,partiallydirectedbyawritten interviewguide,butopenandconversationalenoughtoallow interviewees tointroduceanddiscussothertopicsofinterest),orunstructured(i.e.,organizedaroundafewgeneralquestionsortopics,butgenerallyinformalandopen-ended).Whilemorestructuredinterviewsarelikelytoyieldmoreinformationthatcanbecomparedandgeneralized,lessstructuredinterviewsarelikelytoexploreanissueindepthandpermitotherrelatedissuestoberaised.
(iii) Quest�onna�res. similar to interviews, these can include formal, closed questions (e.g.,multiple choice), semi-structuredquestions, open-endedquestions, or a combinationofthese.Questionnairescanbeadministeredthroughface-to-facemeetings,bytelephone,orbymail.
(iv) FocusGroupMeet�ngs.thesesemi-structuredconsultationswithasmallgroup(generally5–10participantsplus1–2facilitators)areusedtoexplorepeople’sattitudes,concerns,andpreferences.Focusgroupsareparticularlyusefultoelicittheviewsofmembersofacommunitywhomaybereluctanttospeakinamorepublicsetting(suchaswomen,ethnicminorities,ordisadvantagedcastes;thedisabled,orpoorindividuals;andhouseholds).
(v) Workshops.theseconsultations,whichcanbehighlystructuredorsemi-structured,aregenerallyconductedover1–2daysandbring togetherawide rangeofstakeholders toanalyzeaparticularproblem,identifyalternativewaystoaddresstheproblem,andendorseaparticularsolutionorsetofactionstobetaken.Experiencedfacilitatorsareessentialtothesuccessofaworkshop.careneedstobetakeninorganizingtheworkshoptoensurethatallrelevantstakeholdersarerepresentedandthatallparticipantsfeelcomfortablesharingtheirviews.
(vi) Town/V�llage Meet�ngs. community-level meetings can be organized for a variety ofpurposes,includinginformationsharing,consensusbuilding,prioritizingofissues,planningofinterventions,andcollaborativemonitoringandevaluation.thesemeetingsarealsousefulvenuesforreportingonandvalidatingotherparticipatoryexercises,suchaspreference/wealthrankingorresourcemapping(discussedbelow).
(vii) Preference or Wealth Rank�ngs. these participatory exercises can be conducted in afocusgrouporlargergroupsetting.Preferencerankingencouragespeopleto(a)identifywhattheylike/dislikeaboutaparticularsetofgoods,services,oractivities;(b)ranktheseitems;and(c)explore the reasons for these localpreferences.Wealth ranking includestheidentificationoflocallyappropriatecriteriaformeasuringwealth/poverty(e.g.,typeof
6 thedescriptionsarebased inparton theWorldbank’sSocial Analysis Sourcebook(2003)andParticipation Sourcebook(1996),appendixi.
aPPEnDix3.1 toolsanDDatacollEctionmEtHoDsForsocialanalysis 85
house,ownershipoflandorotherassets,availabilityofhouseholdlabor,communitystatusorinfluence,indebtedness),followedbytherankingofindividualsandhouseholdsaccordingtothesecriteria.
(viii) TransectWalks.Walksalongadesignatedpaththroughalocalareaareusuallytakenbyaresearchertogetherwithoneormoremaleandfemaleinformants.thewalksprovidean importantorientationtoaprojectdesigneronthe localenvironment, the locationofsettlements and economic activities, social interactions, and other factors. informationandimpressionsaregatheredthroughdirectobservation,questioningofinformants,andimpromptuinterviewswithpeopleencounteredalongtheway.
(ix) Mapp�ng.thisexercise involvesthecreationofapictorialdescriptionofa localareabythelocal inhabitants,usually inafocusgroupor largergroupsetting.commontypesofmapscreatedthroughthisparticipatoryprocessincluderesourcemaps,healthmaps,andinstitutionalmaps.themapsprovidebaselinedata for furtherparticipatoryanalysisandplanning.
2.Quant�tat�veMethods7
thequantitativedatarelevanttosocialanalysiscanincludebothprimaryandsecondarydata.Primarydatacanbecollectedthroughsuchinstrumentsasasamplesurvey(discussedfurtherinappendix3.3),aproject-specificcensus(coveringallrelevantindividualsorhouseholds),orland/assetinventory(alsocoveringallrelevantindividuals/households).itisimportanttostructuretheseinstrumentssothatthedatacollectedaredisaggregatedbygender,ethnicity,age,incomelevel,andotherrelevantfactors.
sourcesofsecondarydatathatmayberelevantincludethefollowing:
(i) Populat�onCensus.anational censuscanusuallyprovidebasicdataonemployment,householdsize,housing,andaccesstobasicservices,includingdatadisaggregatedbyregionorstate/province.
(ii) L�v�ngStandardMeasurementSurveys(LSMS)andOtherEx�st�ngHouseholdSurveys.lsmsandothermulti-topicsurveyscanprovidedataonhouseholdincomeandexpenditures,employment,health,education,ownershipoflandandotherassets,andaccesstobasicservicesandsocialprograms.agenerallimitationofhouseholdsurveysisthattheyprovidelittleornoinformationabouttheintra-householddistributionofincome,consumption,andassets (whichareparticularly important toanygenderanalysis).However, some recenthouseholdsurveyshaveincludedquestionsforindividualhouseholdmemberstoelicitthistypeofinformation.
(iii) Demograph�candHealthSurveys.thesesurveysgenerallyincludedataon(a)health,infantmortality,fertility,contraceptivepracticesandfamilyplanning,antenatalcare,typeof facilityandcareusedbywomenforchildbirth, feedingpractices,vaccination,healthcenterusebymothersandchildren,satisfactionwithhealthservices,andcostoftreatment;(b)educationalattainment;(c)occupationsofmenandwomen;(d)migration;(e)accesstowater,sanitation,andenergyservices;and(f)ownershipofdurablegoods.thesesurveyscanbeusedtocalculatehouseholdwealthandareparticularlyrelevanttogenderanalysis.
7 thedescriptionsarebasedonaDb’sHandbook on Poverty and Social Analysis(2001),appendix3.1.
86 HanDbookonsocialanalysis
(iv) EmploymentSurveys.thesesurveysprovidedataon(a)employment,unemployment,andunderemploymentpatterns;(b)wagesandotherhouseholdincome;(c)demographics;and (d) housing features.However, the surveys are unlikely to provide information onmicroenterprisesandotherinformalbusinessactivities,orontheunpaidlaborofhouseholdmembersinvolvedinagricultureorhouseholdbusinesses.
3.2.Soc�oeconom�cProfiles
socioeconomicprofilesarekeyinputstothedesignofaproject,andprovidebaselinedataformonitoringthesocialimpactsoftheprojectonrelevantgroups.thepurposeoftheseprofilesisto(i)identifytherelevantclient/beneficiarypopulationandanyotherpopulations likely tobeaffectedby theproject;8
(ii)identifysubgroupswithdifferentneedsandinterests;and(iii)assesstherelevantneeds,demands,constraints,andcapacitiesof thesegroupsandsubgroups inrelationtotheproposedproject.theseprofilesprovideabasisforfurtheranalysisofsignificantsocialissues(e.g.,relatedtogender,indigenouspeoples,involuntaryresettlement,labor,affordability,orhealth/traffickingrisksrelatedtolargeinfrastructureprojects).theyalsoaidtheprojectdesignteaminframingprojectcomponents,selectingtechnologies,anddevisingimplementationarrangementsthatareappropriate,feasible,andresponsivetolocalneedsandcapacities.
socioeconomicprofilesaregenerallybasedonsecondarydata,supplementedasneededbyproject-specificsurveysand/orPras.thescopeandcontentofaprofilemayvary,dependingonthediversityofgroupsandsubgroupslikelytobeaffectedbytheprojectandthesocialissuesinvolved.sampleoutlinesofsocioeconomicprofilesaddressingdifferentsocialissuesareprovidedbelow.
A. Outl�neofProfileforAgr�cultureorRuralDevelopmentProject9
1. Locat�onandphys�calcharacter�st�cs • map(showingroads,landuse,rivers,bridges,majorsettlementareas) • Descriptionoflocation
2. Econom�c(�nclud�ngd�saggregat�onofdatabygender,ethn�c�ty,and�ncomelevel) • ownershipofassets • land(e.g.,amount,type,distribution,securityoftenure) • other(e.g.,livestock,equipment,buildings) • typeoflivelihood(e.g.,subsistence,commercial,orboth) • Householdincome/expenditures • skills • Employmentandallocationoflabor • useofandaccesstocredit • useofandaccesstomarketingservice • useofandaccesstocommercialinputs
8 thebasicidentificationofclient/beneficiarygroupsandotherproject-affectedgroupsshouldhavealreadybeendoneaspartofaninitialstakeholderanalysis(includedintheinitialpovertyandsocialassessmentatthepredesignstage).
9 basedonaDb’sHandbook for Incorporation of Social Dimensions in Projects(1994),appendix1.
aPPEnDix3.2 socioEconomicProFilEs 87
3. Soc�al�nfrastructure(�nclud�ngd�saggregat�onofdatabygender,ethn�c�ty,and�ncomelevel)
• accesstohealthservices • Education(primary,secondary,informal) • Waterandsanitation • Housing • roadsandcommunications • Energy
4. Demograph�c(�nclud�ngd�saggregat�onofdatabygender,ethn�c�ty,and�ncomelevel) • age/sex/familysize • birth/deathrates • Healthandnutrition(ofadultsandchildren) • migration(inandout) • numberofsingle-parenthouseholds
5. Soc�alorgan�zat�on(�nclud�ngev�denceofd�fferencesbasedongender,ethn�c�ty,or�ncomelevel)
• Familystructures • socialstructuresinthecommunity • informationonhowcollectivedecisionsaremade • localinstitutionalstructures • nongovernmentorganizations(nGos)orcommunity-basedorganizations(cbos) inthearea • levelofsocialcohesion,socialrespect,andinitiative
B. Outl�neofProfileforProjectw�thResettlementIssues10
1. Introduct�on • Descriptionoftheproject • objective(s)ofthesurveyorcensus • method(s) • operationofthesurveyandlimitations
2. Descr�pt�onoftheaffectedareaandfind�ngs • thearea:natureandscaleofimpacts • socioeconomicstatusofaffectedpersons • identificationofvulnerablegroups • lossoflandandotherassets • inventoryofcommunitypropertyandnaturalresources • lossofsocialnetworks,socialservices,andculturalsites • Entitlementmatrixforaffectedpersons
10basedonaDb’sHandbook on Resettlement(1998),box5.3(p.52).notethatthehandbookcontainsamoredetailedchecklistofdatatobecollectedtopreparetheprofileofproject-affectedpersons(onp.50),includingdataon(i)theaffectedpersons,(ii)thehostpopulation,and(iii)thelandandsurroundingarea.
88 HanDbookonsocialanalysis
C. Outl�neofProfileforProjectw�thInd�genousPeoples’Issues11
1. Theprojectandprojectcomponents
2. Br�efdescr�pt�onof�nd�genouspeoples�ntherelevantcountry
3. Relevantlegalframework
4. Basel�nedataon�nd�genouspeoples�ntheproposedprojectarea: • mapsoftheareaofprojectinfluenceandareasinhabitedbyindigenouspeoples; • analysisofthesocialstructureandincomesourcesofindigenouspeopleswho wouldbeaffectedbytheproject; • inventoriesoftheresourcesusedbyindigenouspeoplesintherelevantarea andtechnicaldataontheirproductionsystems; • informationonrelevantculturalpracticesandpatterns(includinggenderroles andrelations);and • relationshipsofindigenouspeoplestootherlocal/nationalgroups
5. L�kelypos�t�ve�mpactsoftheprojecton�nd�genouspeoples
6. L�kelynegat�ve�mpactsoftheprojecton�nd�genouspeoples
3.3.Surveys
asdiscussed in appendix3.1, surveysprovide importantdata toproject design teams, especially inconstructingasocioeconomicprofileoftheintendedclients/beneficiariesandothergroupslikelytobeaffectedby theproject,and inanalyzingsignificantsocial issues,suchas involuntary resettlementoraffordability.muchoftherelevantdatamayalreadybeavailablefromthelatestpopulationcensus,livingstandardsmeasurementsurvey,ordemographicandhealthsurveys.However,project-specificsurveysmayalsobeneededtoinvestigateparticularsocial issuesindepth,especially if theissuespertaintoaspecificregionorsocialgroup.thesesurveysmaytaketheformofacensusoftheentireaffectedpopulation(asinthecaseoftheland/assetinventorycarriedoutwherethereislikelytobeinvoluntaryresettlement).inmostcases,however,asamplesurveywillbeadequateandmoreeconomicalintermsoftimeandresourcesrequired.
Des�gn�ngaSampleSurvey.indesigningasamplesurveytoinformthedesignofaproject,theprojectdesignteamwillneedtospecify
(i) objectivesofthesurvey;(ii) targetpopulation(includingrelevantsubgroupsbasedongender,ethnicity,incomelevel,
location,orotherfactors);(iii) datatobecollected(keepinginmindthatthesurveyshouldbeasfocusedaspossible);(iv) typeofmeasurementinstrumentandsurveytechnique;
11basedonaDb’sindigenousPeoplesPolicyHandbook(april2006draft),box2.10(p.47).thisoutlinecorrespondstothe“backgroundandcontext”sectionofanindigenouspeoples’developmentplan.
aPPEnDix3.3 survEys 89
(v) sample frame(keeping inmind that thedefinitionof “project-affectedperson”will varydependingontheprojectandonthesocialissuebeinginvestigated,andthatsomesurveyquestionsmaybemoreappropriatelydirectedtoindividualsratherthanhouseholds);
(vi) samplesize(whichwillalsovarydependingonthetypeofproject, its location,andthesocialissuesinvolved–discussedfurtherbelow);and
(vii) samplingmethod.
Survey Techn�ques. in most cases, surveys related to the design of an aDb-supported project willbecarriedoutthroughface-to-faceinterviews(eitherscheduledorimpromptu).somelimitedsurveyquestionsmayalsobeansweredthroughdirectobservation.inothercases,itmaybeappropriatetoaskrespondentstorecordtheiranswersindiaryform(e.g.,wheretheyareaskedtoprovideinformationontimeuseorspecificactivitiesoveraperiodoftime).
Sampl�ngMethods.thesamplingmethodusedmaybeprobability-basedornot.Examplesofprobabilitysamplingincludesimplerandomsamples,stratifiedrandomsamples(todifferentiateamongdifferentsocialsubgroups),orsystematicsamples(e.g.,everyfifthhouseholdalongamainroad).nonprobabilitysamplescouldbebasedonself-selection,geographicaccess,theinvestigator’sdeterminationofwhois“typical”ofthetargetpopulation,orotherfactors.
Des�gnofaSurveyQuest�onna�re.thefollowingarefactorstobeconsideredinpreparingasurveyquestionnairerelatedtothedesignofanaDb-supportedproject:
(i) OverallS�ze.undulylongquestionnaireswillbemoretime-consumingtoadministerandburdensomeforrespondents.
(ii) BackgroundInformat�on.sufficientinstructionsshouldbeprovidedtotheinvestigatortoensurethatrespondentsunderstandthepurposeofthesurveyandthesurveyisadministeredcorrectly.
(iii) Var�etyandSequenceofQuest�ons.careshouldbegiventoorganizethequestionnairelogically,toavoidduplicateoroverlappingquestions,andtoincludeamixof“closed”and“open”questions.
(iv) D�saggregat�on.itisextremelyimportanttoensurethatthequestionnaireelicitsdatathatcanbedisaggregatedbygender,ethnicity,age,incomelevel,andotherfactors.Effortsshouldbemadetosurveybothmaleandfemalehouseholdmembers.
(v) Word�ngofQuest�ons.Especiallyifthesurveyquestionnaireispreparedbyanonlocalinvestigator,itisimportanttoensurethatsurveyquestionsarephrasedclearlyandsimply,that development jargon is avoided, and that complex concepts (such as gender) areappropriatelytranslatedintothelocallanguage.Providingalternativephrasesorconcreteexamplescanbehelpfultoensurethataquestionisproperlyunderstood.Pilottestingofthequestionnaireisalsostronglyencouraged.
90 HanDbookonsocialanalysis
3.4.Part�c�patoryRap�dAssessments
Participatoryrapidassessment(Pra)12isanapproachandrangeoftechniquesthatenablestakeholderstoanalyzetheirproblemsandthenplan,implement,andevaluateagreed-uponsolutions.Praemergedfromconcernamongdevelopmentpractitioners that traditional researchmethodswereneithercost-effectivenorsociallyeffectiveformanyprojectplanningpurposes.instead,methodswererequiredthatyieldedtimelyanalysisofsufficientaccuracyandacceptedvaliditytoensurestakeholdercommitmenttooutcomes.thiswasbestachievedbyanastutecombinationofinclusivegroupdiscussions,individualinterviews,andanalysisofbackgroundinformation.
Pra techniquesemphasize visual and verbal analyses (e.g., observing, interviewing,mapping,sketching,ranking)toensurethatdatacollectionanddiscussionprocessescanbepublic,transparent,andgrouporiented.commonlyappliedPratechniquesinclude(i)keyinformantinterviews,(ii)semi-structuredinterviews,(iii)transectwalks,(iv)participatorymappingandmodeling,(v)wealthrankingandmatrixranking,(vi)oralhistories,(vii)trendanalysis,(viii)developmentofseasonalcalendars,(ix)storytelling,(x)criticalincidentanalysis,and(xi)problemcensus,amongothers.Praalsoadvocatesanewapproachtoproject-relatedresearchinwhichexternalplannersresourceandfacilitatestakeholderstoundertakeanalysisandprovidefeedbackratherthandirectlyperformthesefunctionsthemselves.thisapproachfostersdialogue,mutualtrust,andcapacitytomanageconflictandnegotiateequitableoutcomes.
morerecentinterpretationsofPrahaveemphasizedthevalueofitsparticipatorynatureratherthanjustitsrapidity.thesenseofinvolvementandcommitment—ownership—thatemergeswhenpeopleworktogethertodecidehowtoaddresstheirownproblemsiskeytotheeffectivenessandsustainabilityof most development projects. increasingly, Pra draws upon action research, which aims at raisingpeople’sconsciousnessofthesystemicproblemsunderlyingtheirimmediateproblems.Prabuildsonrespectforallpeopleandfortheexpertisethattheyhaveabouttheirownlife—thepooraretheexpertsonpoverty!—anditfostersaprocessofopen,sharedlearninginwhichparticipantstakeresponsibilityfortheirdecisions.communitymembersorco-workersmaylearnabouteachothers’viewsandcometoseetheirgroups’circumstancesinanewway.outsidersgainthechancetoidentifylocally(ororganizationally)significant issuesaboutwhichtheydidnotevenknowenoughtoask.becausemanyof itstoolsaregraphicandinteractive,Pradoesnotrequirethatapersonbeliteratetocontributeandbefullyengaged.thesetoolsareadaptedforuseamongwell-educatedgroupsandmaybeused inconjunctionwithmoretime-consumingresearchactivities.(seeappendix3.1formethodsofcombiningqualitativeandquantitativedataanalyses.)
Pra requiresexpert facilitationbasedonhigh-qualityandculturally sensitive listening,andonwillingnesstoletotherstakeoverleadershipoftheprocess.italsorequiresexcellentteamworkbypeoplewithcontrastingbackgroundswhotendtonoticedifferentinformationandfeaturesofgroupinteraction.theymustexchangetheirviewsinamutuallysupportivewayandadjustthenextstepsoftheprocessaccordingtotheirgrowingunderstanding.alsorequiredare
• aconducivepolicyenvironment,• providingsufficienttime(usually1weekpercommunityforafullPrastudy),• trustintheprocess,• flexibility,and• scopeforacommunitytoassertitspreferences.
12Praalsostandsfor“participatoryruralappraisal”whichhasasimilarmeaningasparticipatoryrapidassessmentasappliedinthishandbook.
aPPEnDix3.5 bEnEFitinciDEncEanalysis 91
adangerassociatedwithPraisthatitmaycontributetoexcessiveexpectationsofforthcomingaid.caremustbetakentoensurethatfacilitatorsareasclearaspossiblewhenexplainingtheirpurposesforconductingtheexercises.aretheexercisesonlyforbackgroundresearchorwillalengthyplanningprocessinvolvingcitizensresultinneweconomicopportunitiesforthem?caremustalsobetakentocrosscheckinformationthatisplacedonmapsorchartsorgivenduringinterviews.
byunderstandingthefundamentalsofPra,aDbstaffcanbetterrecognizecompetentpractitionersamongthemanywhoclaimtohaveexpertise.tobeeffective,practitionersmustberespectfuloftheviewsandfeelingsofminoritiesanddisadvantagedpeopleandmustbecapableofinteractingwiththemwithappropriatesensitivity.insocietieswithstrongclass,gender,orcastedivisions,manypractitionershavedifficultybridgingthesedivides.
3.5.BenefitInc�denceAnalys�s
benefitincidenceisatoolforassessingthelevelofeffectivedemandamongdifferentincomegroupsforgoodsorservicesthataresuppliedonapartlyorwhollysubsidizedbasis.itisnecessitatedbythelackofanydirectindicationofunderlyingdemand,suchaswhatmightberevealedbyhouseholdexpendituredata,becauseevenwheresubsidiesareonlypartial,theirexistencemeansthatdataontheuseoftheseservicesgiveadistortedpictureofthetruelevelofdemandforthem.
thetechniqueismostcommonlyappliedtoanalysisofhealthandeducationservicestodeterminetheextenttowhichlower-incomegroupsareutilizingsuchservices.itinvolvescomparingtheamountofpublicspendingontheparticularserviceinagivenareabyincomegroup—basedonabreakdownofusersorstudentsbyquintileordecile—averagedoutacrossthetotalpopulationofeachgroup.theresulting average levels of spending per income group indicate the degree towhich higher-incomegroupsmaybe(asisusual)gettingasignificantlygreatershareofpublicspendingontheservice(proxyforbenefits)perhead.
recurrentExpenditure(total)
Enrolments(‘000)
Expenditureperstudent
ExpenditureperHeadofPopulation(total)
ExpenditureperHeadofPopulation(lowestQuintile)
ExpenditureperHeadofPopulation(HighestQuintile)
shareofrelevantageGroupinlowestQuintile’stotalPopulation(%)
shareofrelevantageGroupinHighestQuintile’stotalPopulation(%)
Ind�cator
TableA3.5.1:DataCollect�onFormatforBenefitInc�denceAnays�s:Pr�maryEducat�on
source:aDb.2001.Handbook on Poverty and Social Analysis, A Working Document.manila.
92 HanDbookonsocialanalysis
thistypeofanalysis—whichwouldnormallybeundertakeninthecontextofsectoralresearch—maybedoneeitheratthenationalor(datapermitting)regionallevel.tobemostusefulinrelationtodeterminingsectorstrategy,itwillneedtobesupplementedbytargetedsamplingofopiniontofindoutwhy,forexample,take-upofprimaryeducationamongthepoorestmaybeunusuallylow(e.g.,locationfactors,dependenceonchildren’slabor).
Appendix2 sAmpletermsofreference 93
Appendix 4 IPSA and SPRSS Report Forms
4.1. Initial Poverty and Social Analysis (IPSA) Report Form
INITIAL POVERTY AND SOCIAL ANALYSIS{Appendixforprojectpreparatorytechnicalassistanceandprojectpreparatorynotes}
{Read and delete:Instruction:theinitialpovertyandsocialanalysis(ipsA)isapreliminaryscopingexercisetoidentifypotentialpovertyandsocialissuesinaproposedproject.1ipsAispreparedduringfact-findingfortheprojectpreparatorytechnicalassistance(pptA)orotherinitialduediligence,andattachedasanappendixtothepptAreport.ipsA,whichwouldbeabout2–3pages,shouldalsoinformthetermsofreference(tor)ofthepptAconsultants.}
country/projecttitle:
lending/financing project/sector/multitranchefinancingfacility2/ department/modality: policy-Based,others(pleasespecify) division:
I. POVERTY ISSUES
A. Linkages to the National Poverty Reduction Strategy and Country Partnership Strategy3
1. Based on the country poverty assessment, the country partnership strategy, and the sector analysis describe how the projectwoulddirectlyorindirectlycontributetopovertyreductionandhowitislinkedtothepovertyreductionstrategyofthepartnercountry.
B. Targeting Classification
1. selectthetargetingclassificationoftheproject:
c Generalintervention cindividualorHousehold(ti-H); cGeographic(ti-G); cnon-incomemdGs(ti-m1,m2,etc.)
2. explainthebasisforthetargetingclassification:
C. Poverty Analysis4
1.iftheprojectisclassifiedasti-H,orifitispolicy-based,whattypeofpovertyimpactanalysisisneeded?
2.Whatresourcesareallocatedintheprojectpreparatorytechnicalassistance(pptA)/duediligence?
3.ifGi,isthereanyopportunityforpro-poordesign(e.g.,socialinclusionsubcomponents,crosssubsidy,pro-poorgovernance,andpro-poorgrowth)?
II. SOCIAL DEVELOPMENT ISSUES
A. Initial Social Analysis Basedonexistinginformation: a. Whoarethepotentialprimarybeneficiariesoftheproject?Howdothepoorandthesociallyexcludedbenefitfromthe project?
b. Whatarethepotentialneedsofbeneficiariesinrelationtotheproposedproject?
c. Whatarethepotentialconstraintsinaccessingtheproposedbenefitsandservices,andhowwilltheprojectaddressthem?
B. Consultation and Participation5
1. indicatethepotentialinitialstakeholders.6
2. Whattypeofconsultationandparticipation(c&p)isrequiredduringthepptAorprojectprocessing(e.g.,workshops, communitymobilization,involvementofnongovernmentorganizations[nGos]andcommunity-basedorganizations [cBos],etc.)?
3.Whatlevelofparticipationisenvisagedforprojectdesign? cinformationsharing cconsultation ccollaborativedecisionmaking cempowerment7
4.Willac&pplanbeprepared?cYescnopleaseexplain.
94 HAndBookonsociAlAnAlYsis
C. Gender and Development1. Whatarethekeygenderissuesinthesector/subsector8thatarelikelytoberelevanttothisproject/program?
2. does the proposed project/program have the potential to promote gender equality and/or women’s empowerment by improvingwomen’saccesstoanduseofopportunities,services,resources,assets,andparticipationindecisionmaking?9
cYescnopleaseexplain.{ifyes,agenderactionplanshouldbepreparedduringpptA/duediligence.}
3. couldtheproposedprojecthaveanadverseimpactonwomenand/orgirlsortowidengenderinequality?10
cYescnopleaseexplain{ifyes,actions/measuresshouldbepreparedduringpptA/duediligence.}
III. SOCIAL SAFEGUARD ISSUES AND OTHER SOCIAL RISKS11
Issue Nature of Social Issue Significant/Limited/ Plan or Other Action No Impact/Not Known12 Required13
Involuntary resettlement14
Indigenous peoples15
Laborcemploymentopportunities
claborretrenchment
ccorelaborstandards17
Affordability
Other risks and/or vulnerabilitiescHiV/Aids
cHumantrafficking
cothers(conflict,politicalinstability,etc.),pleasespecify
cfullplan
cshortplan
cresettlementframework
cnoaction
cUncertain
cplan
cotheraction16
cindigenouspeoples framework
cnoaction
cUncertain
cplan
cotheraction18
cnoaction
cUncertain
cAction
cnoaction
cUncertain
cplan
cotheraction
cnoaction
cUncertain
IV. PPTA/DUE DILIGENCE RESOURCE REQUIREMENT
1. dothetermsofreferenceforthepptA(orotherduediligence)includepoverty,social,andgenderanalysesandtherelevant specialist/s?
cYes cnoifno,pleaseexplainwhy.
2. Areresources(consultants,surveybudget,andworkshop)allocatedforconductingpoverty,socialand/orgenderanalysis,and
c&pduringthepptA/duediligence?cYescnoifno,pleaseexplainwhy.
Appendix4.1 initiAlpoVertYAndsociAlAnAlYsis(ipsA)reportform 95
1 Unlessotherwiseindicated,referencetoprojectsincludes(i)AsiandevelopmentBank(AdB)-fundedand/orAdB-administeredsovereignandnonsovereigninvestmentprojectsfundedbyaloan,and/oragrant,and/orothermeans(suchasequityand/orguarantee);and(ii)programs,butdoesnotincluderegionaland/oradvisorytechnicalassistance.
2 formultitranchefinancingfacility(mff)loanmodality,aninitialpovertyandsocialanalysis(ipsA)hastobepreparedpriortoapprovalofthemffloan.therequirementtoconductpovertyandsocialanalysisshouldbereflectedintheframeworkfinancingagreement.separateipsAhastobeconductedforeachfinancingtrancherelease.
3 seealsoAdB.2006.Poverty Handbook: Analysis and Processes to Support ADB Operations, A Working Document.manila.Available:http://adb.org/documents/Handbooks/Analysis-processes/default.asp.furtherreferenceonpovertyanalysistoolsisalsogiveninAdB.2001.Handbook for Integrating Poverty Impact Assessment in Economic Analysis of Projects.Available:http://adb.org/documents/Handbooks/piA_eco_Analysis/default.asp
4 ifaprojectisclassifiedasGi,ti-G,ormdG-ti,nofullpovertyanalysisisrequired;furthersocialanalysis,however,mayberequiredifindigenouspersons,gender,relocation,orothersocialissuesareidentifiedattheipsAstageandinlinewiththerequirementssetforthinspecificoperationsmanuals(oms).
5 seeAdB.2006.Strengthening Participation for Development Results: Staff Guide to Consultation and Participation.manila.6 Aninitialstakeholderanalysisistypicallydevelopedtoidentifyinterestgroups,andtheirinterestsandcapacitiestosupportor
hinderimplementation.ifaninitialstakeholderanalysisandconsultationandparticipation(c&p)plancannotbepreparedaspartofpptAfact-finding,theycaninsteadbeincludedintheconsultant’storandprovidedintheirinceptionreport.
7 empowermentiswhenbeneficiariesandotherkeygroupsinitiateactionandtakecontroloverdevelopmentdecisionsandresources.seefootnote5.
8 forkeyissuesalreadyidentified,seecountrygenderassessmentoftherespectivecountryand/orcountrygenderstrategyaspartofthecountrypartnershipstrategy.
9 ifwomenaresubstantiallyengaged/involved in thesector,or if theproject/programhas thepotential todirectly improvewomen’sorgirls’accesstoopportunities,services,assets,orresources,itshouldbeclassifiedwithagenderthemeoratleasttreatedashaving“gendermainstreaming”potential.
10 examplesofnegativegenderimpactsincludewomen’slossoftraditionallandrightsoremployment/livelihoodopportunitiesasaresultofprojectactivitiesorpolicychanges.negativeimpactsonwomenrelatedtoresettlement,ornegativeimpactsonindigenouswomen,shouldbeaddressedundertherelevantsocialsafeguardpolicy.
11 seeAdB.2007.Handbook on Social Analysis.manila(sectioniii.d.2andappendixes7–10)formoreinformationonassessingthesignificanceofsocialsafeguardandothersocialissuesinproposedprojects.
12 if not known, a contingency shouldbe included in thepptAbudget to investigate thepossibleneed for aplanorotheraction.
13 ifanyofthepotentialsocialissuesareconsideredsignificant,furthersocialanalysisshouldbedoneduringthepreparationoftheproject,andanappropriatemitigationplan(orothermeasures)shouldbeincludedintheprojectdesign.
14 involuntaryresettlementissuesareconsideredsignificantwhen200ormorepeopleexperiencemajorimpacts.“majorimpacts”isdefinedasinvolvingaffectedpeople(i)beingphysicallydisplacedfromhousing;and/or(ii)having10%ormoreoftheirproductive,income-generatingassetslost.“significant”involuntaryresettlementrequiresafullresettlementplan;“notsignificant”requiresshortresettlementplan.Usethischecklisttodeterminethesignificanceofinvoluntaryresettlementimpacts:www.adb.org/resettlement/category.asp.seeAdB.1998.Handbook on Resettlement.manila;andAdB.2006.operationsmanual.sectionf2:involuntaryresettlement.manila(25september).
15 seeAdB.1998.Policy on Indigenous Peoples.manila;andAdB.2006.operationsmanual.sectionf3/op:indigenouspeoples.manila(25september).
16 otheractionsrefertorequiredspecificactionsfavorabletoindigenouspeoples/ethnicminorityaddressedthroughaspecificprovisioninrrpsandinrelatedplanssuchasaresettlementplan,agenderactionplan,orageneralcommunityparticipatoryplan.seeindigenouspeoples’impactcategorizationform.
17 corelaborstandardsareasetoffourinternationallyrecognizedbasicrightsandprinciplesatwork:(i)freedomofassociationandtheeffectiverecognitionoftherighttocollectivebargaining,(ii)eliminationofallformsofforcedorcompulsorylabor,(iii)effectiveabolitionofchildlabor,and(iv)eliminationofdiscriminationinrespectofemploymentandoccupation.seeAdB.2006.Core Labor Standards Handbook.manila.
18 forotheractions,refertoAdB.2007.Handbook on Social Analysis.manila,(appendix9);andAdB.2006.Core Labor Standards Handbook. manila.
{pleasedeletefootnoteswhenfinalizing.}
96 HAndBookonsociAlAnAlYsis
Key Poverty and Social Issues
Basis for Targeting Classification
• Generalinterventionsareinterventionsthatreducepovertyinanindirectmannerandincludeinterventionsthatgenerallyimprovetheenablingenvironmentforpro-poorgrowth,socialdevelopment,andgoodgovernance.
• targetedinterventions(tis)areinterventionsthatfocusonindividualsorhouseholds,onsectors/subsectorsdirectlysupportingtheachievementofthemillenniumdevelopmentGoals(mdGs)relatingtonon-incomepoverty,oronaddressingkeyconstraintstopovertyreductioninspecificgeographicareas.
(i) Household (TI-H). projectscharacterizedbyconcernforbeneficiaries:theproportionofpooramongprojectbeneficiarieswillbesignificantlylargerthantheirproportionintheoverallpopulationofthecountry,andinnocaselessthan20%.theproportionofthepoordefinedtobebenefitingfromtheprojectshouldbemadeusingthenational,urban,orruralpovertylinesasagreedwiththedevelopingmembercountry(dmc).
(ii) Geographic (TI-G). projectslocatedingeographicareaswithasignificantlyhigherpovertyincidencethanthenationalaverageandinlinewiththegeographicemphasisinthenationalpovertyreductionstrategy(nprs)orcountrypartnershipstrategy,irrespectiveofwhethertheirimpactonpovertyisdirectorindirect.theproject,however,mustsignificantlyaddressconstraintsthatareresponsibleforthepovertyinthearea.merelocationoftheprojectinthegeographicareaisnotsufficientfortheti-Gclassification.
(iii) MDG TI (M1–M7). projectswithadirectimpactonthenon-incomedimensionsofpovertyasrepresentedinthefollowingmdGs:1(hungertarget);2(universalprimaryeducation);3(genderequalityandempowermentofwomen);4(reductionofchildmortality);5(improvementofmaternalhealth);6(combatingHiV/Aids,malaria,andotherdiseases);and7(environmentalsustainability)willqualifyunderthisclassificationwhentheprojectclearlydemonstratesthatitisdirectlycontributingtooneofthenon-incomemdGgoalsandtargets.themainintendedprojectresultsshouldclearlyspecifythemdGgoal,targets,andindicatorstobeused.theprojectmustaddressthebindingconstraintstotherelevantmdG.projectswithm1–m7classificationthatsupportmdGsintheshorttomediumtermshouldincludetheintendedachievementsintheoutcomelevelof the project design and monitoring framework, specifying the mdG to be addressed, targets, andindicators.
Poverty and social analysisrequirementsbasedonnewprojectcategoriesareasfollows:
• ti-G,mdG-ti(m1-m7),andgeneralinterventionmayrequireasocialanalysis,dependingonissuesidentifiedintheinitialpovertyandsocialanalysis.
• ti-Hrequirespovertyandsocialanalysis.
• Allpolicy-basedloansorgrants,includingprogramloans/grantsandsectordevelopmentprograms,requireananalysisoftheimpactoftheproposedpolicyreformsonthepoorandothervulnerablegroups.
theconsultation and participation(c&p)planisrequiredwheresocialsafeguardissuesareconsideredsignificant.c&pplan ishighly recommendedwhenparticipationof individualsandgroups isconsidered important.c&pplanneedstogenerallyaddressthefollowingquestions:
• specifically,whichstakeholdergroupswillbeengagedinthec&pprocessesbasedonthestakeholders’analysis?
• Whatdecisionsneedtobemadethroughthec&p,andhow?
• Whataretheanticipatedbreadthanddepthofstakeholderengagementateachstageoftheprojectcycle?
• How will the c&p be linked to the summary poverty reduction and social strategy and any safeguards requirements?
• Howwillthec&pbeusedduringimplementation?
• Whatc&pmethodswillbeused?
Gender issuesshouldbeaddressedwhen
• therearestrikingdisparitiesandinequalitiesbetweenmen’sandwomen’s/girls’accesstoanduseofrelevantservices,resources,assets,opportunities,andparticipationindecision-makingprocess;
• theprojecthasthepotentialtoredresssuchdifferencesandinequalities;or
• theprojectpresentsevidentriskstowomen’sandgirls’empowermentandgenderequality.
Involuntary resettlement issuesaresignificantwhen200ormorepeopleexperiencemajorimpacts,whicharedefinedas
• beingphysicallydisplacedfromhousing,and/or
• losing10%ormoreoftheirproductiveassets(incomegenerating).
Indigenous peoples’ or ethnic minorities’ issuesarelikelytobesignificantwhen
• itisestablishedthatgroupsintheprojectareahaveoneormoreofthefollowingattributes:(i)self-identificationoridentificationbyothersasadistinctculturalgroup;(ii)adisplayofadesiretopreservesuchculturalidentity;
{readanddelete.}
Appendix4.1 initiAlpoVertYAndsociAlAnAlYsis(ipsA)reportform 97
(iii)alinguisticidentitydistinctfromthatofthedominantsociety;(iv)distinctsocial,economic,andpoliticaltraditionsandinstitutions;(v)aneconomicsystemorientedmoretowardatraditionalsystemofproduction;and(vi)auniquetiewithandattachmenttotraditionalhabitatandancestralterritoryanditsnaturalresources;
• itisfoundthatsuchgroupsexhibithistorical,socioeconomic,political,ordemographicvulnerability;
• projectinterventionwill(positivelyornegatively)affectoneoftheseareas:(i)customaryrightsto(ancestral)landandnaturalresources;(ii)theirsocioeconomicstatus;(iii)theirhealth,education,livelihood,andsocialsecuritystatus;and(iv)indigenouspeoples’knowledge;
• theprojectinvolvesnewconstruction,rehabilitation,orexpansionoflarge-scaleinfrastructure;orsuchinterventionsaswatersupply,sanitation,education,health,nutrition,orsocialprotectiontargetindigenouspeoples;
• theprojectislocatedwithinornearbythehabitatofindigenouspeoples;and/or
• projectimpactsarepotentiallylongterm,orirreversibleorpermanent,affectingasubstantialportionoftheindigenouscommunityorthecommunityasawhole.
Labor issues are likelytobesignificantwhen
• workersmaylosetheiremploymentasaresultofpublicorprivatesectorrestructuring;
• theprojectmaychangeorinfluencelabormarketpoliciesorpractices;and/or
• theprojectwillfinanceconstructionactivitiesandthereisariskthattheseactivitiesmaynotcomplywithnationallaborlawsandregulations(e.g.,relatedtominimumwage,safeworkingconditions,socialsecuritycontributions,etc.)orwithanyoftheinternationalcorelaborstandards,i.e.,theprojectmayinvolve(i)forcedlabor,(ii)childlabor,(iii)discriminationintheworkplace,or(iv)preventingworkersfromassociatingorcollectivelybargaining.
Core labor standardsissuescanbeidentifiedusingthefollowingguide:
• Willtheprojectfinanceinfrastructuredevelopmentcarriedoutbycivilworkscontractors?ifyes,childlaborissues,forced or compulsory labor, and equal wages between men and women for work of equal value may berelevant.
• Willtheprojectinvolvepublicsectorreform,includingtheupdatingorrevisionofcivilserviceorotherlabor-relatedpolicies and laws? if yes, legislation related to core labor standards, particularly on hiring or firing, may berelevant.
Affordabilityissuesarelikelytobesignificantwhen
• thereisadangerthattheaccessofthepoororotherwisevulnerablegroupstogoodsandserviceswillbeworseasaresultoftheprojectbecauseofthepricingofsuchgoodsandservices;and/or
• thebenefitsoftheprojectwillflowprimarilytononpoorconsumers,andpoorgroupswillremainunderservedorexcludedfromtheservice.
Other risks and/or vulnerabilitiesthatmaybesignificantinclude
• riskofHiV/Aidstransmissionand/orhumantraffickinginconnectionwithtransportorotherlargeinfrastructureprojects;
• riskof displacement and lossof assets and/or livelihoods as a result of conflict, political instability, or naturaldisasters;
• riskthatbenefitsoftheprojectwillbedivertedormisusedbyinfluentialstakeholdersorelitegroupsintheprojectarea;
• riskthatvulnerablegroupsmaybenegativelyaffectedbytheproject;inthiscase,temporarysafetynetsmayneedtobedeveloped;and/or
• dangerthatthepoororotherwisevulnerablegroupsmayhavelessaccesstogoodsandservicesasaresultof(i)lossofentitlements,and/or(ii)lossoflivelihoodoremployment.
98 HAndBookonsociAlAnAlYsis
4.2. Summary Poverty Reduction and Social Strategy (SPRSS) Report Form
SUMMARY POVERTY REDUCTION AND SOCIAL STRATEGY
{Read and delete: Instruction:thesummarypovertyreductionandsocialstrategyreflectstheresultsofthepovertyandsocialanalysiscarriedoutduringproject1preparationorotherduediligence.thekeyissuesaddressedinthepovertyandsocialanalysisaredrawnfromtheissuesidentifiedbytheinitialpovertyandsocialanalysis.theseanalysisandfindingsfromprojectpreparation(orotherduediligence)andrelatedprojectdesignfeaturesaresummarizedinthesummarypovertyreductionandsocialstrategyin3–4pages.forpolicy-basedlendingandothermodalitiesinvolvingpolicyreformsandsectorroadmaps,povertyandsocialanalysisaremandatoryandarereflectedinthistemplate.}
country/projecttitle:
lending/financing project/sector/multitranchefinancingfacility2/ department/modality: policy-Based,others(pleasespecify) division:
I. POVERTY ANALYSIS AND STRATEGY3
A. Linkages to the National Poverty Reduction Strategy and Country Partnership Strategy
1. Basedonthecountrypovertyassessment,thecountrypartnershipstrategy,andthesectoranalysisdescribehowtheproject woulddirectlyorindirectlycontributetopovertyreductionandhowitislinkedtothepovertyreductionstrategyofthepartner country.
B. Poverty Analysis Targeting Classification: _________________________
1. Key Issues
{Read and delete:explainthebasisfortheproject’stargetingclassification.forgeneralinterventionprojects,explainsectorlinktopovertyreduction,andtheproject’sindirectcontributiontodevelopmentandpovertyreduction.fortargetedintervention(ti)projectsthatmoredirectlyaddressincome(ti-H),millenniumdevelopmentGoals(mdGs)(mdG-ti),andgeographicpoverty(ti-G): (i) summarizethepartnercountry’spovertyreductionstrategyaswellaskeypovertyissuesrelevantforthisproject. (ii) explain how this specific project–in the sector context–will contribute to poverty reduction and the priorities of the
partnercountry’spovertyreductionstrategy. (iii) describethemainbeneficiariesoftheprojectandwhatthatmeansforpovertyreduction. (iv) iftheprojectimpactonpovertyismoredirect,explainhowtheprojectaddressesincomepoverty,mdGs2–7aswellas
hunger[target2ofmdG1]orspecialgeographicfeaturesofpoverty.}
2. Design Features. {Read and delete: for ti project, explain direct poverty reduction mechanism(s) and justification for classification;forgeneralinterventionprojects,describepro-poordesign,ifany.}
C. Poverty Impact Analysis for Policy-Based Lending4
{Read and delete:forpolicy-basedlending,includingsectordevelopmentprogramandothermodalitiesinvolvingpolicyreforms, pleasefillinthissectioninadditiontoB1.deleteifnotapplicable.}
1. discusstheimpactchannelsofthepolicyreform(s)(directandindirect,shortandmediumterm)tothecountryandmajorgroups affected. 2.discusstheimpactofthepolicyreform(s)onvulnerablegroupsandwaystoaddressit/them(refertosocialanalysis). 3.discuss how the policy reform(s) contribute(s) to poverty reduction, pro-poor growth, and themilleniumdevelopment Goals.
Appendix4.2 sUmmArYpoVertYredUctionAndsociAlstrAteGY(sprss)reportform 99
II. SOCIAL ANALYSIS AND STRATEGY
A. Findings of Social Analysis Key Issues.{Read and delete:summarizethekeysocioeconomicissuesrelevanttotheproject,e.g.,profileofprimaryandsecondarybeneficiaries,poorandvulnerablegroups,theirneeds,demands,constraints,andcapacity.}
B. Consultation and Participation5
1. provideasummaryoftheconsultationandparticipation(c&p)processduringtheprojectpreparation.
2.Whatlevelofc&pisenvisagedduringtheprojectimplementationandmonitoring?
cinformationsharing cconsultation ccollaborativedecisionmaking cempowerment6
3.Wasac&pplanprepared?cYescno
ifac&pplanwasprepared,describekeyfeaturesandresourcesprovidedtoimplementtheplan(includingbudget,consultantinput,etc.).ifno,explainwhy.
C. Gender and Development7
1. Key Issues.{Read and delete:summarizethekeygenderissuesrelevanttotheproject,includingthoseidentifiedinthegenderanalysiscarriedoutduringprojectpreparation.}
2.Key Actions.measuresincludedinthedesigntopromotegenderequalityandwomen’sempowerment—accesstoanduseofrelevantservices,resources,assets,oropportunitiesandparticipationindecision-makingprocess:
cGenderplan8cotheractions/measurescnoaction/measure
summarizekeydesignfeaturesofthegenderplanorothergender-relatedactions/measures,includingperformancetargets,monitorableindicators,resourceallocation,andimplementationarrangements.
III. SOCIAL SAFEGUARD ISSUES AND OTHER SOCIAL RISKS9
Issue Significant/Limited/ Strategy to Address Plan or Other Measures No Impact Issue10 Included in Design
Involuntary resettlement11
Indigenous peoples12
Labor
cemploymentopportunities
claborretrenchment
ccorelaborstandards14
Affordability
Other risks and/or vulnerabilities
cHiV/Aids
cHumantrafficking
cothers(conflict,politicalinstability,etc.),pleasespecify
cfullplan
cshortplan
cresettlementframework
cnoaction
cplan
cotheraction13
cindigenouspeoples framework
cnoaction
cplan
cotheraction15
cnoaction
cAction
cnoaction
cplan
cotheraction
cnoaction
IV. MONITORING AND EVALUATION
Aresocialindicatorsincludedinthedesignandmonitoringframeworktofacilitatemonitoringofsocialdevelopmentactivitiesand/orsocialimpactsduringprojectimplementation?c Yesc no
100 HAndBookonsociAlAnAlYsis
1 Unlessotherwiseindicated,referencetoprojectsincludes(i)AsiandevelopmentBank(AdB)-fundedand/orAdB-administeredsovereignandnonsovereigninvestmentprojectsfundedbyaloan,and/oragrant,and/orothermeans(suchasequityand/orguarantee);and(ii)programs,butdoesnotincluderegionaland/oradvisorytechnicalassistance.
2 formultitranchefinancingfacility(mff)loanmodality,asummarypovertyreductionandsocialstrategy(sprss)hastobepreparedpriortoapprovalofthemffloan.therequirementtoconductpovertyandsocialanalysesshouldbereflectedintheframeworkfinancingagreement.separatesprsshastobeconductedforeachfinancingtrancherelease.
3 seealsoAdB.2006.Poverty Handbook: Analysis and Processes to Support ADB Operations, A Working Document.manila.Available:http://adb.org/documents/Handbooks/Analysis-processes/default.asp.furtherreferenceonpovertyanalysistoolsisalsogiveninAdB.2001.Handbook for Integrating Poverty Impact Assessment in Economic Analysis of Projects.Available:http://adb.org/documents/Handbooks/piA_eco_Analysis/default.asp
4 seeAdB.2006.Poverty Handbook Analysis and Processes to Support ADB Operations, A Working Document.manila(chapterV.e)formoreinformation.
5 seeAdB.2007.Handbook on Social Analysis.manila(sectioniii.e.6andappendix5);andAdB.2006.Strengthening Participation for Development Results: A Staff Guide to Consultation and Participation.manilaformoreinformationonstakeholderanalysisandc&pplans.
6 empowermentiswhenbeneficiariesandotherkeygroupsinitiateactionandtakecontroloverdevelopmentdecisionsandresources.seeAdB.2006.Strengthening Participation for Development Results: Staff Guide to Consultation and Participation.manila.
7 seeAdB.2007.Handbook on Social Analysis.manila(sectioniii.e.7andappendix6);andAdB.2006.operationsmanual.sectionc2:GenderanddevelopmentinAdBoperations.manila(25september),formoreinformationongenderanalysisandgenderplans.ifwomenaresubstantiallyinvolvedinthesector,oriftheprojecthaspotentialtodirectlyimprovewomen’sorgirls’accesstoopportunities,services,assets,orresources,theprojectshouldbeclassifiedasgenderanddevelopmentoratleasttreatedashaving“gendermainstreaming”potential;furthergenderanalysisshouldbedone;andagenderplanorsimilaroutputshouldbeprepared.iftheprojectcouldhaveanegativeimpactonwomenorgirls,furthergenderanalysisshouldbedoneandappropriatemeasuresshouldbeincludedintheprojectdesigntominimizeanegativeimpactonwomenand/orgirls.
8 Asummaryofgenderactionplanshouldbeincludedinthecoreappendixofthereportandrecommendationofthepresident.(AdB.2006.operationsmanual.sectionc2:GenderanddevelopmentinAdBoperations.operationalprocedures.manila(para.11).
9 seeAdB.2007.Handbook on Social Analysis.manila(sectioniii.e.8–9andappendixes7–10)formoreinformationonassessingthesignificanceofsocialsafeguardissuesandothersocialrisksinproposedprojects.
10 ifanysocialissuesareconsideredsignificant,furthersocialanalysisshouldbedoneduringpreparationoftheproject,andanappropriatemitigationplan(orothermeasures)shouldbeincludedintheprojectdesign.
11 involuntaryresettlementissuesareconsideredsignificantwhen200ormorepeopleexperiencemajorimpacts.“majorimpacts”isdefinedasinvolvingaffectedpeople(i)beingphysicallydisplacedfromhousing;and/or(ii)having10%ormoreoftheirproductive,income-generatingassetslost.“significant”involuntaryresettlementrequiresafullresettlementplan;“notsignificant”requiresshortresettlementplan.Usethischecklisttodeterminethesignificanceofinvoluntaryresettlementimpacts:www.adb.org/resettlement/category.asp.seeAdB.1998.Handbook on Resettlement.manila;andAdB.2006.operationsmanual.sectionf2:involuntaryresettlement.manila(25september).
12 seeAdB.2006.Indigenous Peoples Policy Handbook.manila(April);andAdB.2006.operationsmanual.sectionf3:indigenouspeoples.manila(25september).
13 otheractionsrefertorequiredspecificactionsfavorabletoindigenouspeoples/ethnicminorityaddressedthroughaspecificprovisioninrrpsandinrelatedplanssuchasaresettlementplan,agenderactionplan,orageneralcommunityparticipatoryplan.seeindigenouspeoples’impactcategorizationform.
14 corelaborstandardsareasetoffourinternationallyrecognizedbasicrightsandprinciplesatwork:(i)freedomofassociationandtheeffectiverecognitionoftherighttocollectivebargaining,(ii)eliminationofallformsofforcedorcompulsorylabor,(iii)effectiveabolitionofchildlabor,and(iv)eliminationofdiscriminationinrespectofemploymentandoccupation.seeAdB2006.Handbook on Core Labor Standards.
15 forotheractions,refertoAdB.2007.Handbook on Social Analysis.manila(appendix9);andAdB.2006.Core Labor Standards Handbook.manila.
{pleasedeletefootnoteswhenfinalizing.}
Appendix4.2 sUmmArYpoVertYredUctionAndsociAlstrAteGY(sprss)reportform 101
Key Poverty and Social Issues
Basis for Targeting Classification
• targetedinterventions(ti)areinterventionsthatmoredirectlycontributetopovertyreduction,by(i)addressingincomepovertyathouseholdlevel(ti-H),(ii)supportingsocialandenvironmentaldevelopmentforthepoorasspecifiedinthenationalizedmillenniumdevelopmentGoals(mdG-ti),and(iii)addressinggeographicaldeterminantsofpovertyandpro-poorgrowthaswellassocialdevelopment(ti-G).
• differenttotargetedinterventions,generalinterventionsonlyindirectlycontributetothepartnercountry’spovertyreductiongoalbygenerallysupportingthedevelopmentstrategy.mostoperationsoftheAsiandevelopmentBankareclassifiedasgeneralinterventions.
theconsultation and participation(c&p)planisrequiredwheresocialsafeguardissuesareconsideredsignificant.thec&pplanishighlyrecommendedwhenparticipationofindividualsandgroupsisconsideredimportant.itgenerallyaddressesthefollowingquestions:
• specifically,whichstakeholdergroupswillbeengagedinthec&pprocessesbasedonthestakeholders’analysis?
• Whatdecisionsneedtobemadethroughthec&p,andhow?
• Whatistheanticipatedbreadthanddepthofstakeholderengagementateachstageoftheprojectcycle?
• How will the c&p be linked to the summary poverty reduction and social strategy and any safeguards requirements?
• Howwillthec&pbeusedduringimplementation?
• Whatc&pmethodswillbeused?
Gender issuesshouldbeaddressedwhen
• therearestrikingdisparitiesandinequalitiesbetweenmen’sandwomen’s/girls’accesstoanduseofrelevantservices,resources,assets,opportunities,andparticipationinthedecision-makingprocess;
• theprojecthasthepotentialtoredresssuchdifferencesandinequalities;or
• theprojectpresentsevidentriskstowomen’sandgirls’empowermentandgenderequality.
Involuntary resettlement issuesaresignificantwhen200ormorepeopleexperiencemajorsignificantimpacts,whicharedefinedas
• beingphysicallydisplacedfromhousing,and/or
• losing10%ormoreoftheirproductiveassets(incomegenerating).
Labor issuesarelikelytobesignificantwhen
• workersmaylosetheiremploymentasaresultofpublicorprivatesectorrestructuring;
• theprojectmaychangeorinfluencelabormarketpoliciesorpractices;and/or
• theprojectwillfinanceconstructionactivitiesandthereisariskthattheseactivitiesmaynotcomplywithnationallaborlawsandregulations(e.g.,relatedtominimumwage,safeworkingconditions,socialsecuritycontributions,etc.)orwithanyoftheinternationalcorelaborstandards,i.e.,theprojectmayinvolve(i)forcedlabor,(ii)childlabor,(iii)discriminationintheworkplace,or(iv)preventingworkersfromassociatingorcollectivelybargaining.
Core labor standards issuescanbeidentifiedusingthefollowingguide:
• Willtheprojectfinanceinfrastructuredevelopmentbecarriedoutbycivilworkcontractors?ifyes,childlaborissues,forced or compulsory labor, and equal wages between men and women for work of equal value may berelevant.
• Willtheprojectinvolvepublicsectorreformincludingtheupdatingorrevisionofcivilserviceorotherlabor-relatedpolicies and laws? if yes, legislation related to core labor standards, particularly on hiring or firing, may berelevant.
Indigenous people’s or ethnic minorities’issuesarelikelytobesignificantwhen
• itisestablishedthatgroupsintheprojectareahaveoneormoreofthefollowingattributes:(i)self-identificationoridentificationbyothersasadistinctculturalgroup;(ii)adisplayofadesiretopreservesuchculturalidentity;(iii)alinguisticidentitydistinctfromthatofthedominantsociety;(iv)distinctsocial,economic,andpoliticaltraditionsandinstitutions;(v)aneconomicsystemorientedmoretowardatraditionalsystemofproduction;and(vi)auniquetiewithandattachmenttotraditionalhabitatandancestralterritoryanditsnaturalresources;
• suchgroupsarefoundtoexhibithistorical,socioeconomic,political,ordemographicvulnerability;
• projectinterventionwillbe(positivelyornegatively)affectingoneoftheseareas:customaryrightsto(ancestral)landandnaturalresources;theirsocioeconomicstatus;theirhealth,education,livelihood,andsocialsecuritystatus;indigenouspeople’sknowledge;
{readanddelete.}
102 HAndBookonsociAlAnAlYsis
• theprojectinvolvesnewconstruction,rehabilitationorexpansionoflarge-scaleinfrastructure;orsuchinterventionsaswatersupply,sanitation,education,health,nutrition,orsocialprotectiontargetindigenouspeople;
• theprojectislocatedwithinornearbythehabitatofindigenouspeople;and/or
• projectimpactsarepotentiallylongterm,orirreversibleorpermanent,affectingasubstantialportionoftheindigenouscommunityorthecommunityasawhole.
Affordabilityissuesarelikelytobesignificantwhen
• thereisadangerthattheaccessofthepoororotherwisevulnerablegroupstogoodsandserviceswillbeworseasaresultoftheprojectbecauseofthepricingofsuchgoodsandservices;and/or
• thebenefitsoftheprojectwillflowprimarilytononpoorconsumers,andpoorgroupswillremainunderservedorexcludedfromtheservice.
Other risks and/or vulnerabilitiesthatmaybesignificantinclude
• riskofHiV/Aidstransmissionand/orhumantraffickinginconnectionwithtransportorotherlargeinfrastructureprojects;
• risk of displacement and loss of assets and/or livelihoods as a result of conflict, political instability, or natural disasters;
• riskthatbenefitsoftheprojectmaybedivertedormisusedbyinfluentialstakeholdersorelitegroupsintheprojectarea;
• riskthatvulnerablegroupsmaybenegativelyaffectedbytheproject;inthiscase,temporarysafetynetsmayneedtobedeveloped;and/or
• dangerthatthepoororotherwisevulnerablegroupsmayhavelessaccesstogoodsandservicesasaresultof(i)lossofentitlements,and/or(ii)lossoflivelihoodoremployment.
Appendix2 sAmpletermsofreference 103
Appendix 5 Consultation and Participation
5.1. Stakeholder Analysis
stakeholdersarepeople,groups,orinstitutionsthatmaybeaffectedby,cansignificantlyinfluence,orareimportanttotheachievementofthestatedoutcomeofaproject.theyincludegovernment,civilsociety,andtheprivatesectoratnational,intermediate,andlocallevels.stakeholderanalysisidentifieskeyprojectstakeholders,theirproject-relatedinterests,andthewaystheyaffectprojectriskandviability.identifyingthosewhocanbeincludedandthemannerofthisinvolvementintheplanningoftheprojectwouldhelp.thestakeholderanalysisseekstoanswerquestionslike:
(i) Whodependsontheproject?(ii) Whoisinterestedintheoutcomeoftheproject?(iii) Whowillinfluencetheproject?(iv) Whowillbeaffectedbytheproject?(v) Whomayworkagainsttheproject?(vi) Whocanorshouldbeincludedintheplanningoftheproject?
Broadlyspeaking,stakeholderanalysisconsistsoffoursteps:
(i) identifyingmajorstakeholdergroups;(ii) determiningstakeholders’importanceandinfluenceonprojectplanning;(iii) analyzingtheirinterests,resources/capacities,andmandates;and(iv) selectingrepresentationamongstakeholderstobeincludedintheparticipatoryprocesses
oftheproject.
thissimpleanalysis,repeatedoramplifiedateverystageofprojectdesign,helpsensureeffectiveownershipandparticipationinthesubsequentproject.
A. Identification of Stakeholders
stakeholderanalysisbeginsduring initialpovertyandsocial analysis (ipsA)with the identificationofkeystakeholders(boxA5.1.1)andpreliminaryanalysisof their interestsandcapacities(boxA5.1.2).identificationofstakeholdersmaystartwithachecklistofexistingstakeholdergroups.
104 HAndBookonsociAlAnAlYsis
Box A5.1.1: Stakeholder Groups
General public:thosedirectlyorindirectlyaffectedbytheproject(e.g.,women’sgroups,individualsandfamilies,indigenousgroups,andreligiousgroups)
Government:civilservantsinministries,cabinets,etc.
Representative assemblies:electedgovernmentbodies(e.g.,parliament,nationalandlocalassemblies,districtandmunicipalassemblies,andelectedcommunityleaders)
Civil society organizations:networks,nationalandinternationalnongovernmentorganizations,grassrootsorganizations, trade unions, policy development and research institutes, media, community-basedorganizations.
Private sector: umbrellagroupsrepresentinggroupsintheprivatesector,professionalassociations,andchambersofcommerce.
Donor and international financial institutions
Box A5.1.2: Questions to Help Identify Stakeholder Interests
forwhatpurposesaretheyorganized?
Whataretheirusualactivities?
Whatdotheyspecializein?
Howcloselydotheyworkwithpoorandvulnerablepeople?
Whataretheirexpectations?
Howwilltheybenefitfromtheinitiative?
Willitadverselyaffectthem?
Howviableorriskyistheirinvolvement?
Aretheylikelytosupportagiveninitiative?
• Why?How?Withwhatlevelofcommitment?
Whatresourceswilltheymobilize?
Willtheyopposetheinitiative?
• Why?How?Withwhatlevelofcommitment?
Whatrolewilltheyplayintheactivity?
• isthisactivityrealistic?Why?(orwhynot?)
B. Determination of Stakeholder Interests
thelistwillthenbeanalyzedtoidentifystakeholderscurrentlyincludedinandexcludedfromgovernmentprocesses.
forexcludedgroups—orthosenotexcludedinatechnicalsensebutdonotparticipate—itmayberelevanttoanalyzetheconstraintstothesegroups’inclusionandparticipation.
thenextstepistoranktherelativeimportanceandinfluenceofthesegroups(tableA5.1.1andboxA5.1.3).
Appendix5.1 stAkeHolderAnAlYsis 105
Box A5.1.3: Questions to Help Understand Linkages Among Groups
Howwelldotheycoordinatewithothercivilsociety/privatesector/governmentorganizations?
Howfrequentlyandwelldotheycommunicatewithoneanother?
Howwidelyaretheynetworkedwithothergroups?
Arecertaingroupsdominantandothersdependent,oraregroupsfairlyequal?
Are they part of larger organizations? (for example, national nongovernment organization apexorganizations?)
Whatroledotheyplayintheseorganizations?
Aretheyleaders?ifyes,inwhatcontext/s?onwhichissues?
Howdocitizensandmembersofotherorganizationsperceivethem?
Howdidtheyrespondtoexternallyfundedprojectsinthepast?
Weretheircontributionsperceivedasusefulandproductive?
Whatinformationandotherresourcesdotheycontrol?dotheyshareresponsibility?
overwhataretheymostlikelytocomeintoconflict?
Howwideandeffectiveistheirinfluence?
C. Assessing Resources, Capacity, and Mandate of Stakeholders
Beforedecidinghoweachstakeholdershouldtakepartinparticipatoryanalysisandplanningexercises,itiscrucialtoassesstheirresources,capacities,commitments,andexperience.thisanalysisshouldcoverhowwellanorganizationfunction,thequalityofitswork,experiencewithparticipation,andissuesrelatedtosocialcapital(boxA5.1.4).
D. Selecting Representation
After stakeholder groupsand their interests are identified, their relative importancedetermined, andtheircapacitiesinventoried,therolestheymayplayinassistingwithpreliminaryactivitiesamongpoorergroupsorinhelpingwithplanningmeetingsmaybedetermined.eachstakeholdergroupshouldselecttheirrepresentativestosendtothesemeetings.
Table A5.1.1: Summary Stakeholder Analysis
Stakeholder Primary (a) Secondary (b) Key Stakeholders’ Interest in the Project
(a)primarystakeholders:people,groups,orinstitutionsaffectedpositively(beneficiaries)ornegatively(e.g.,thoseinvoluntarilyresettled).(b)secondarystakeholders:people,groups,orinstitutionsthatareimportantintermediariesintheprojectdeliveryprocess(e.g.,Asiandevelopment Bank,governmentlineagencies,nGos).
106 HAndBookonsociAlAnAlYsis
Astakeholderanalysisfacilitatesthepreparationofadraftconsultationandparticipation(c&p)planoutlininghowtoinvolvethevariousstakeholdersatdifferentstagesoftheprojectcycle(seeappendix5.4).suchaplanwillhelpthedesignteamensurethatanappropriaterangeofconsultationscommencesfromtheoutsetofthedesignphase.itshouldincludearecordofstakeholdersactuallyconsulted,theassessmentsoftheirinterestsandcapacities,andthedecisionsabouttheirparticipation.
Box A5.1.4: Themes for Institutional Analysis
A. Function Decision Making:
Aredecisionsbasedonadequateandgoodqualityinformation?
isdecisionmakingbasedonbroadinternalparticipation?
oncemade,aredecisionsimplementedandfollowedup?
Resource Mobilization:
Howmanyresourcesaremobilizedfrommembers/othersources?
Areresourcesmanagedeffectivelyandefficiently?
Whatchangesoccur,overtime,inthesepatterns?
Communication and Coordination:
Howfrequentlydomemberscommunicatewithoneanother?
Whatimportantinformationisexchangedandhowbroad?
Howeffectiveistheresultingcoordinationofactivities?
Conflict Management:
Whatsortsofconflicthaveariseninternallyandexternally?
Howeffectively are problems addressed, and consequently, howwell does theorganization learn?
B. Quality Effectiveness:
Areorganizationalgoalsclear?cantheybeattained,andifso,cost-effective?
Accountability:
Howregularlyareleadersheldresponsiblefordecisions,managementofresources?
Arethereopenelections;freeflowofinformation;andbroadparticipationindecisionandpolicy making,andresourceallocations?
C. Experience with Participation Havemembersusedparticipatorymethodsintheirwork?Havetheybeenfacilitators,andifso, inwhatsectors,withwhatstakeholders,andwhatweretheresults?
Whatparticipatoryexerciseshavestafftakenpartinandwhen?
Hastheorganization/countrydesignedactivitiesusingparticipatoryorotherqualitativeresearch data,andifso,withwhatdata,when,andwhatweretheresults?
Appendix5.2 proBlem,oBJectiVes,AndAlternAtiVesAnAlYsis 107
continuation... Themes for Institutional Analysis
D. Social Capital Issues Howdiverseisthegroup’smembership?
Howwellconnectedisthegroupanditsmemberswithothergroups?
Howregularlyandintenselydotheyinteractwithothercitizens?
isinformationexchangewithothergroupsopenandsupportive?
Howisitregarded/trustedbysponsors,peers,and/orthosetheyserve?
towhatextentdomembersespouseandconformtoethicalstandards?
Arethesequalitiestypicalofthesocietyingeneral?
5.2. Problem, Objectives, and Alternatives Analysis
Avarietyofwaystoanalyzeandpresentproblemsexists.mostimportantisphrasingtheproblemcorrectly,thatis,toasktherightquestions.inpreparingprojectsforAsiandevelopmentBank(AdB)assistance,somerelevantquestionsrelatetothestructuralcausesofpovertyandsocialexclusion,whyearlierpoliciesaimingatpovertyreductionandinclusivesocialdevelopmenthavefailed,andtheobstaclesforthepoororexcludedgroupstobenefitfromdevelopmentassistance.AdB’sGuidelines for Preparing a Design and Monitoring Framework(2006)recommendstheuseofproblemanalysis,followedbyobjectivesandalternativesanalysis,tohelpframeaproposedprojectandidentifyalternativedesignoptions.thesetools,intendedforuseinastakeholderworkshopsetting,alsocanhelpidentifythesocialdevelopmentopportunitiesandsocialrisksassociatedwithaproposedproject.
problem-treeanalysisisagraphicdevicethatdescribesaproblemandthehierarchyoffactorsbelievedtocausetheproblem.theproblemtreeorganizesthesecause-and-effectrelationships inawaythatcanleadtoastrategicselectionofprojectcomponents.thistechniquehelpsidentifythecausalfactorsunderlyingwhatis,normally,seenasthecoreproblem.Attimes,carryingouttheanalysiswillleadtoaconclusionthatthetruecoreproblemisnotthesameasthatoriginallyassumed,andthus,theprojectstrategymustberevisedaccordingly.
Becauseitisavisualtechnique,problem-treeanalysiscaneasilybeusedasatooltoencourageparticipationbothofthetargetclienteleandoftheimplementingagency.Wheretherearesignificantdifferencesintheproblemtreeasseenbythecommunitycomparedtothatoftheimplementingagency,thesediscrepanciesmustberesolvedbeforethedesigncanbefinalized.thus,foraprojectthatwillprovideservicesproposedbyalineagency(e.g.,irrigation,microfinance,urbandevelopment,andwatersupply),theprojectdesignwouldseektoensurethattherelationshipbetweentheneeds—asexpressedbytheexpectedclientsandthoseproposedtobeprovidedbytheagency—areidentical.
therearethreekeystepsinusingproblem-treeanalysisinprojectdesign:
(i) Preparing the problem tree(figureA5.2.1)hastwosteps:thepreparationofanegativestatementdescribingtheproblem;andpreparationofadiagramillustratingthenetworkoffactorsseenbythetargetgroupsascausesoftheproblem.forprojectsthatmayseektosolvemorethanoneproblem,aproblemtreeshouldbepreparedforeachproblemtobeaddressedbytheproject.
108 HAndBookonsociAlAnAlYsis
Figure A5.2.1: Example of a Problem Tree
(ii) Preparing an objectives tree(figureA5.2.2).theobjectivetreehasthesameconfigurationandcontentastheproblemtree.theonlydifferencebetweenthemisthattheproblemtreedescribesthecausesofaproblem,whiletheobjectivetreedescribesthesameelementsasproposalstosolveaproblem.narrowingthecomponentstoamanageablenumberthatiswithinthecontextofanindividualprojectmaybeobtainedbypreparinganobjectivetreeandidentifyingpriorities.
(iii) Preparing an alternatives analysis.Buildingontheanalysisofproblemsandobjectives,thisanalysis(a)identifiesalternativemeansofachievingthedesireddevelopmentobjectives,(b)assessesthefeasibilityofeach,and(c)agreesonaprojectstrategy.
theseanalyticaldevicescanhelporganizeideasabouttheneedsofclientsintoahierarchyofcause-and-effectrelationshipsthatcanbesystematicallytranslatedintoadesignandmonitoringframework(dmf)thatsummarizestheprojectdesign(includingintendedimpacts,outcomes,outputs,activities,andinputs),relatedperformancetargetsandindicators,andassumptionsandrisks.duringtheprojectdesignstage,theanalysisoftheproblem,objectives,andalternativeswillevolveasadditionalinformationbecomesavailable.inastakeholderworkshop,skilledfacilitatorscansolicit ideasfromallparticipantsaboutthecausesofanagreed-uponpriorityproblem.thevarioussuggestionsarethengroupedintocommonareasand,withthehelpofparticipants,developedintoacause-and-effectnetworkintheshapeofaproblemtree.thishighlyparticipatoryprocessnormallyengendersahighlevelofownershipandconsensusonthefinalproblem,objectives,andalternativesanalysis.
-increaseddemand forforestproducts andland
-populationincrease
-increasedsmuggling
-deterioratedlawand order
- inadequatefacilitiesfor protectionstaff
- lackofprotectionforstaff
- freegrazing
-regulationof encroachments
-Areatoolargeand unmanageable
-localpopulationnot involved
-mistrustofdepartment bypopulation
-lackofenvironmental awarenessofvillages andlocalforestry departments
CAUSES
source:AdB.2001.Handbook on Poverty and Social Analysis, A Working Document.manila.
extinctionofcertain reductionin fauna Increase in floods productivity
reducedforest EFFECTS degradationof area forest
Inadequate forest protection CORE PROBLEM
Appendix5.3 pArticipAtorYplAnninG 109
5.3. Participatory Planning
likemostdevelopmentagencies,AdBhaslearnedfrombitterexperiencethatfailuretogenerateeffectiveparticipationandownershipinimplementingprojectsinvariablyleadstounsatisfactoryoutcomes.theprimarymeansofavoidingthissituation,asgenerallyacceptednow,istoensurethattheinitialdesignofaprojectisbasedonahighlyparticipatoryprocessaimedatproducingconsensusandcommitmenttothefinalproduct.Beyondthedesignofaproject,AdBpromotesparticipatoryprocessesbecauseitrecognizesthat,ultimately,thecollectiveeffortsofgovernmentandcommunitydeterminethesuccessofdevelopment,ratherthantheimpactofexternalinvestment.thecriticalelementsindeterminingthe“qualityatentry”ofAdBinvestmentsare(i)thelevelofownership,(ii)participationinthedesignprocess,and(iii)strategyforongoingparticipation.
thereisnoblueprintforaparticipatoryplanningprocessbecauserequirementsmustbegearedtothenatureoftheprojectanditslocalsetting.ingeneral,however,themoreimportantactiveparticipationistothesuccessfulimplementationoftheproject,thegreaterwillbetheneedforparticipatoryplanning.Allpovertyinterventionsrequiredetailedparticipatoryplanning.projectsfocusingonclientelewhohavepreviouslybeenexcludedsociallyoreconomically,intensiveparticipatoryplanningisessentialandwillnormallyinvolveincreasedtimeandexpense.
source:AdB.2001.Handbook on Poverty and Social Analysis, A Working Document.manila.
Figure A5.2.2: Example of an Objectives Tree
degradationarrested extinctionofandenvironmentimproved faunahalted
reductionof forestproductivityforestareacontrolled increased
-reduceddemand forforestproducts/ woodsubstitutes available
-reducedsmuggling
- lawsstrengthened
- moreprotectionforstaff
- Betterstafffacilities
- Betterstaffincentives
-organizational strengtheningto handleplanting
- Grazingreduced
-localpopulationinvolved throughcommunity forestrygroups- localneedsreasonablymet
- environmentalawareness campaigns
-interfacewithpoliticians
110 HAndBookonsociAlAnAlYsis
A. Zielorientierte Projektplanung or Objectives-Oriented Project Planning
Variousapproachestosystematicparticipatoryplanninghavebeendeveloped,ofwhichthebestknownistheobjectives-orientedprojectplanningorZielorientierte Projektplanung(Zopp)methodpopularizedbytheGermantechnicaldevelopmentAgency,Gesellschaft für Technische Zusammenarbeit(GtZ).theZoppprocessisessentiallyalogicalsequenceofplanningstepstoorganizecollectiveactionbetweenmultiplestakeholders.toachievethis,Zoppusesasetofvisualtoolstohelpstakeholdersclarifytheprojectobjective,identifythecoreproblem,and—throughtheirinvolvementintheidentificationprocess—developanenhancedsenseofownershipoftheemergingdesign.
Zoppemergedfromthelogical framework1(logframe)anditsusecanbeexpectedtosatisfyAdB’smandatedrequirementsfor(i)productionofadmfaspartoftheprojectdesignand(ii)useofkeyindicatorsfromthedmfinprojectperformancemonitoring.themajoradditionsofZopptotheoriginallogframeapproachhavebeenintheareasof(i)participation,(ii)problemandobjectivesanalysis,and(iii)theuseofmultidisciplinaryteams.WorkshopsandspecialistworkshopfacilitatorshavebecomeatrademarkoftheZoppprocess.theZoppprocessisgenerallyreflectedinAdB’sGuidelines for Preparing a Design and Monitoring Framework (2006).
WhileZoppworkshopsusingcardsandwhiteboardshavebecomeaprovenmethodofimprovingparticipatoryplanning,reviewsduringthemid-1990shighlightedseveralweaknesses.2Asaresult,usingmore flexible approaches and an increaseduseof social analysis via participatory rapid assessment(prA)andsimilartechniquesareemphasized.somealsosawZoppasencouragingablueprintdesignratherthanthemoreflexiblearrangementinevitablyrequiredforadevelopmentproject,especiallywhendealingwithsociallycomplexprojectsorusingaprocessapproach.toreducesuchrisk,emphasisisnowgiventoextendingtheuseofZoppintoanobjectives-oriented,projectmanagementprocessandtheproductionofrollingplans.
B. Elements of Participatory Planning
Zoppandrelatedprocessestreatprojectplanningasacontinuousprocessofnegotiationbetweentheborrower(thegovernment),thefinancier(AdB),andallotherstakeholders.theultimatesuccessofaprojectiscloselyrelatedtohowwellaconsensushasbeenachievedduringitsplanningandmaintainedduringitsimplementation.
planningaprojectinvolvesagreementbetweenallstakeholderson(i)specificgoals;(ii)thestartingsituationandtheunderlyingcausesoftheproblemtobeaddressed;(iii)strategiestoachievethegoals,changesrequired,andrisksentailed;and(iv)theactionplantoimplementthechange.
1. Project Objectives
thehierarchyofprojectobjectivestendstobesetexternallybeforeprojectplanningbegins.However,effectiveconsultationwiththeintendedtargetgroupisessentialinconfirmingthattheoutcomeoftheprojectactuallycorrespondswiththerealneedsofitsintendedbeneficiaries.
1 thelogicalframeworkwasdevelopedintheUnitedstatesin1970.combinedwithvisualizationandfacilitationtechniques,itbecameZielorientierte Projektplanung(Zopp)andwasadoptedastheofficialplanningsystemoftheGermantechnicaldevelopmentAgency,Gesellschaft für Technische Zusammenarbeit (GtZ)in1984.
2 criticismwasmainlybasedon(i)themechanisticrelianceonasetofstandardtechniquesusedinZoppworkshops,(ii)excessiverelianceonexternalfacilitatorsandconfusionoverongoingmanagementresponsibility,and(iii)pseudoparticipation.
Appendix5.3 pArticipAtorYplAnninG 111
2. Situation Analysis
situationanalysisinvolvesthefollowing:
(i) a clear identification of the key stakeholders and the nature of their interest in theproject;
(ii) an analysis of the underlying causes of the problem using such techniques as(a) strengths, weaknesses, opportunities, and threats analysis; (b) problem tree; and(c) mindmapping(recognizingthat theperceivedcausal relationshipswill initiallydifferamongstakeholders);and
(iii) analysisoftheprojectenvironment,includingthelegal,economic,andpolicyframeworkaswellasthetechnologyconsiderations.
3. Project Strategy
theprojectstrategydescribeshowtheprojectplanstoachieveitsobjectives.thisdescriptionalsocoverstheresultsthatmustbeachievedandtheinputstoachievethem.
C. Role of Planning Workshops
the preparation of most projects is expected to involve at least three major workshops—inception,midterm,andfinal.Becausetheconclusionsreachedduringtheseworkshopsformthefoundationoftheultimateproject,theymustbepreparedcarefully,payingparticularattentiontothreeareas:(i)selectionofparticipants,(ii)presentationofcriticalinformation,and(iii)effectiveparticipatoryanalysis.
1. Selection of Participants
the proposals or plans produced by the workshop require the endorsement of governmentauthorities.theeaseofobtainingthisendorsementwillbecloselyrelatedtothelevelofparticipationoftheauthoritiesintheanalyticalprocessoftheworkshops.similarly,projectimplementationdependsontheconvictionandsupportoftheproject’sintendedclientele.Withinthisframework,identificationofparticipantsshouldflowautomaticallyfromthestakeholderanalysiscommencedduringipsA.inmanysituations,however,directparticipationof thepowerless in formalworkshopsmaynotberealisticorappropriate,soaseriesofpreliminaryexercisesmaybeappropriate(discussedbelow).
2. Presentation of Critical Information
in the inception workshop, the key task is less to analyze information than (i) to create theopportunityforin-depthanalysisoftheproblemstobetackled(seebelow),and(ii)todeterminewhatspecific informationshouldbecollected forsubsequentworkshops todefineanddebate thedesignoptionsconfidently.inthemidtermworkshop,allnecessaryinformationisexpectedtobeavailabletoadequatelyconsidersocial,environmental,technical,andeconomicelementsofthedesignoptions.thefinalchoiceofdesignwillbestronglyinfluencedbytherelativecontributiontopovertyreductionofthevariousdesignoptions.forthisreason,itisimportanttobeabletopresenttothemidtermworkshopacomprehensiveanalysisofneeds,demand,andabsorptivecapacity,andtohavequantifiedthenumbersandpovertystatusofpotentialbeneficiaries.
112 HAndBookonsociAlAnAlYsis
3. Effective Participatory Analysis
onthesideofthegovernment,participatoryanalysishastwoobjectives:gainingtheconvictionandsupportoftherelevantauthorities,anddevelopingthenecessarypoliticalandbureaucraticsupporttopursuedesignoptionsthatwillfrequentlyinvolvechangingthestatusquo.
onthesideoftheproject’sclientele,themajorchallengeislikelytolieincreatingasituationinwhichthepoorcanexpresstheirvoicefreelyandopenly.strategically,itislikelythataseriesofconsultationswillbenecessary,commencingwithsmall,localized,informalmeetingsfacilitatedbyanongovernmentorganization (nGo) or trusted local person. Gender separation will frequently be required in suchmeetings.toolssuchasprAmaybeappropriatefortheseexercises.Buildingontheseconsultations,itmaybepossibletoarrangemoreformalworkshopsstructuredinamannerthatassistsrepresentativesofthepoortofeelsufficientlyconfidenttoarguetheirpreferences.tohelpinthisprocess,twopreparatorytasksmustbecarriedout:
(i) preliminary agreement must be sought from the executing agency to actively supporttheparticipationofclientgroups.
(ii) experiencedandsensitivefacilitatorsmustbeavailableforallcriticalworkshops.
5.4. Consultation and Participation Plans
Ac&pplaninvolvessystematicallydecidingonwhomtoengage,inwhatmanner,andwhen.itspurposesare topromote transparency,success,andsustainability,and topreventdelaysandmanageconflict.itbuildsonstakeholderanalysisandexaminationof thecontextand institutions involvedtocreateasystematicplanofactionforeachphaseofactivity.Arecordofwhatwasundertakenandwithwhatdegreeofsuccess—basedonthestrategyforeachphase—helpsparticipantsmanagetheongoingwork.
participationrangesfromsuperficialtodeep,thatis,frompassiveexchangeofinformationtofullengagement(asillustratedintheboxbelow).transparencyandvalidationofproposalsthroughconsultationarebothveryimportant,butitisnotuntilpeoplefeelthattheyhaveinfluenceoverdecisionsthataffecttheirlivesandtheresourcesinvolved—oruntilaccountabilitymechanismsextendtothem—thattheydevelopasenseofownershipthatmotivatestheirsustainedcommitment.thus,movingbeyondconsultationtodeeperformsofparticipationbyabroaderrangeofstakeholders,wheneverfeasible,isnecessary.
information consultation/ collaboration/Joint empowerment/sharing seekingfeedback decisionmaking sharedcontrol
Shallow-------------------------------------------------------------------------------------------------Deep
AdB’sStaff Guide on Consultation and Participation(2006)recommendsthepreparationofac&pplanformostprojects.everydevelopmentsituationisdifferent,soeachc&pplanis,tosomeextent,unique.itmustbalanceshort-andlong-termobjectiveswithbothresourceandtimeconsiderationsandconcernsoverpossibleprojectdelaysorcomplaintsifstakeholdersfeeltheyhavebeennotsufficientlyincludedindecisionmaking.therelativeimportanceofstakeholdersvariesinpolicy,programming,sector,andprojectwork,andatdifferenttimesineachofthese.inacountrywithadevelopedcivilsocietysector,nGosaremuchmoreinvolvedthaninacountrywheretheyarenew.thelevelofexperienceofgovernmentsandcitizengroupswithparticipationisalsosignificant.somesectorssuchaswatersupply,ruralhealth,
Appendix5.4 consUltAtionAndpArticipAtionplAns 113
ormicrocredit,requirebroaderstakeholderparticipationthanothers(e.g.,capitalmarketdevelopmentortelecommunications).featuresoftheculturalcontextsuchasthepatternsofauthorityandpublicdecisionmakingandattitudesthatdevaluecontributionsofwomen,ethnicminorities,orthepoor,mustbeaddressed.thelevelofsocialcapital(thedensityofnetworks)inasocietyandtheoverallpoliticalsituationshouldbetakenintoaccountaswell.BoxA5.4.1showsachecklistforpreparingac&pplan.
thec&pplanmaysummarizetheentireprojectdesignandimplementationprocess,oritmaybeusedtonegotiatedetailsofeachconstituentstage.foraninitialcountrymission,thec&pplanprobablylistscentralministries(offinance,planning, therelevantsector(s),andofsuchcrosscutting issuesaswomen’saffairsandenvironment),nationalnGoumbrellaorganizations,unions,chamberofcommerce,andrelevantpublicinterestgroups.Whereanyoftheseisnotrelevant,thisfactissimplynoted.itmustbeclearwhichonesplayaroleinformulatingparticulardecisionsandwhichreceiveorshareinformation.Gapsareidentifiedandadetailedc&pplanforsucceedingstagesmaybedraftedwithkeystakeholdersbeforetheendofthemission.
As project design proceeds, the number of stakeholders in the c&p plan usually increases.stakeholdersinvolvedatpreviousstagesaretypicallyengagedininitialandfinalmeetingstoreviewthemission.newstakeholders–regionalandlocal-levelgovernments,citizens,civilsociety,andprivatesectororganizations–mayneedtobeassessed.theirrolesinplanningandcarryingoutsucceedingparticipatoryactivitiesmustbedecidedaswell—thatis,somenewstakeholdersmightassumeresponsibilitiesforsharinginformationwithorhelpingtoleadparticipatoryexerciseswithcitizengroupsintheirareas.Aseparatec&pplanmighthelpclarifythestepsinvolved.
Box A5.4.1: Checklist for Preparing a Consultation and Participation Plan
• Whichstakeholdergroupswillbeengagedinconsultationandparticipation(c&p)processesbasedontheinitialstakeholderanalysis?
• Whatdecisionsneedtobemadethroughc&p?Andhow?
• What is theanticipatedbreadthanddepthofstakeholderengagementateachstageof theprojectcycle?
• How will c&p be linked to summary poverty reduction and social strategy and safeguardsrequirements?
• Howwillc&pbeusedduringimplementation?
• Whatc&pmethodswillbeused?
• Whatisthetimelineforc&pactivities?
• Howwillc&pmethodsbesequenced?
• Howhaverolesandresponsibilitiesforconductingc&pactivitiesbeendistributedamongtheresidentmission,executingagency,consultants,nongovernmentorganizations,andothers?
• Arec&pfacilitatorsrequired?
• Whatwillthec&pplancosttoimplementandwhatbudgetwillbeused?
source:AdB.2006.Staff Guide to Consultation and Participation,p.34.
eachelementofthec&pplancanbelistedontheaccompanyingtable.thefirstpagesummarizestheinvolvementofeachstakeholderorganization.thesecondpageshowstherelativetimingofactivities.the plan should be shared with all stakeholders so that they have an outline of the agreed uponresponsibilities.forfurtherdetails,seeStrengthening Participation for Development Results: A Staff Guide to Consultation and Participation(2006).
114 HAndBookonsociAlAnAlYsis
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ub)c
omm
ittee
,plu
sci
vils
ocie
ty(
unio
ns,n
ongo
vern
men
tor
gani
zatio
ns[
nG
os]
,etc
.),a
ndp
rivat
ese
ctor
org
aniz
atio
nsa
tna
tiona
l,re
gion
al,a
ndlo
call
evel
s.
b
info
rmat
ion
shar
ing,
con
sulta
tions
,sha
red
deci
sion
mak
ing,
sha
red
resp
onsi
bilit
y,o
rcon
trol.
c fo
rexa
mpl
e,p
artic
ipat
ory
rapi
das
sess
men
t,fu
ture
sea
rch,
qua
litat
ive
orq
uant
itativ
esu
rvey
s,w
orks
hops
,orm
eetin
gs.
Stak
ehol
der
grou
pa (l
iste
ach
sepa
rate
ly)
cen
tralg
over
nmen
tm
inis
tries
repr
esen
tativ
eas
sem
blie
san
dco
mm
ittee
s
poor
and
vul
nera
ble
grou
ps
org
aniz
edc
ivil
soci
ety
(A,B
,c…
)
priv
ate
sect
or(A
,B,c
…)
O
bjec
tive
of th
eir
Type
of
Part
icip
atio
n m
etho
dsc
Tim
e lin
e C
ost
in
terv
entio
n pa
rtic
ipat
ionb
es
timat
e
W
hy th
ey a
re
Met
hod
Who
will
be
Star
t dat
e En
d da
te
incl
uded
resp
onsi
ble
Con
sulta
tion
and
Part
icip
atio
n Pl
an: S
umm
ary
Cha
rt
Appendix5.4 consUltAtionAndpArticipAtionplAns 115
Task
s to
be
unde
rtak
en(S
ub-s
teps
sho
uld
be d
etai
led)
fore
xam
ple:
expl
ain
idea
sin
pro
ject
con
cept
pap
erp
lus
AdB’
sw
ish
tou
sea
par
ticip
ator
yap
proa
chto
cen
trala
ndre
leva
nt
line
min
istri
es.
-pr
epar
eto
rfo
rcon
sulta
nts/
nG
os;
-so
licit
appl
icat
ions
;-
revi
ewa
pplic
atio
nsa
ndh
ire;
-pl
anm
eetin
gfo
rcon
sulta
nts/
nG
os
that
will
take
part
inre
sear
chd
urin
gde
sign
and
late
ract
iviti
es;
-d
esig
nre
sear
chs
trate
gy;
-se
lect
regi
ons
ofth
eco
untry
forr
esea
rch
and
dete
rmin
esa
mpl
ing
met
hods
with
ine
ach;
con
duct
rese
arch
and
pla
nnin
gw
ithg
over
nmen
tsta
ffan
dot
hers
igni
fican
tsta
keho
lder
sat
regi
onal
and
loca
lle
vels
;
con
duct
rese
arch
with
the
poor
,wom
en,a
nd
vuln
erab
leg
roup
s;
mee
tings
with
loca
lgov
ernm
ent,
nG
os,
chu
rche
s,a
nd
busi
ness
es;
con
duct
regi
onal
wor
ksho
psto
syn
thes
ize
resu
ltso
flo
cals
tudi
es;a
nd
con
duct
nat
iona
lsyn
thes
isa
ndp
lann
ing
wor
ksho
ps.
Wee
ks
1 2
3 4
5 6
7 8
9 1
0 1
1 1
2 1
3 1
4 1
5 1
6 1
7 1
8 1
9 2
0…
Tim
e Li
ne–
pr
epar
ea
sum
mar
ych
arta
ndfo
reac
hgr
oup
enga
ged
inp
artic
ipat
ory
proc
esse
sas
app
ropr
iate
tofa
cilit
ate
plan
ning
.
pr
epar
atio
nsh
ould
pre
fera
bly
bec
arrie
dou
tin
conj
unct
ion
with
dev
elop
ing–
mem
ber–
coun
trys
take
hold
ers.
the
exec
utin
g/im
plem
entin
gag
ency
sho
uld
wor
kw
iths
take
hold
erg
roup
sto
ens
ure
that
thei
rpla
nsa
rec
oord
inat
ed.
AdB
=A
sian
dev
elop
men
tBan
k,n
Go
=n
ongo
vern
men
torg
aniz
atio
n,t
or
=te
rms
ofre
fere
nce.
116 HAndBookonsociAlAnAlYsis
5.5. Guidelines for Involving NGOs and CBOs in Project Design
A. ADB, NGOs, and Government
AdBseekstostrengthentheeffectivenessandsustainabilityofitspovertyreductioneffortsbyharnessingnGoexperience, knowledge,andexpertise.3 in its country-leveloperations,AdBacknowledgesandresponds togovernmentsassovereignauthoritiesand recognizes thatnGosarenotasubstitute forgovernments.nevertheless,itrecognizesnGosasimportantactorsandstakeholdersincivilsocietywithlegitimateinvolvementinthenationaldevelopmentprocess,particularly inmattersrelatingtopovertyreductionandsocialdevelopment.AdBworkstosupportandencourageconstructiverelationshipsbetweengovernmentsandnGos,andtopursuetripartiteAdB–government–nGocooperation.sectionBofthisappendixdealswithcommunity-basedorganizations(cBos),aformoflocalnGoofparticularimportanceinensuringownershipandsustainabilityofdevelopmentinitiatives.
1. When to Work with NGOs
AdBworkswithnGosunderthefollowingcircumstances:
(i) Whentheunderlyingcausesofpovertyneedtobeidentifiedorconfirmed. Atthebeginningoftheloan-designprocess,itisessentialtoconfirmthatthebasisforthe
initialdesignconceptisanaccurateunderstandingofcausesandeffects.ininitialpublicconsultations,bothadvocacyandoperationalnGoscanplayavaluableroleinchallengingtraditionalassumptions.4Bycouplinglocalknowledgewithbothdevelopmenttheoryandpracticalexperience,nGoscanoftenprovidealternativeanalysesandsuggestionsfordifferentapproachestoresolvingtheproblem.
(ii) Whenitisdifficulttolistendirectlytothevoicesofthepoor. All project designs require effective consultationwith thepoor.However, the very poor
may have good reason to distrust powerful outsiders who come asking questions andmakingproposals.Wherenormalconsultationprocessesarenotlikelytoproducerealisticorrepresentativeresponses,carefullyselectednGosmayserveasausefulintermediaryingainingcriticalinformation.
3 in its broadest sense, the term “nongovernment organizations” (nGos) refers to civil society organizations (csos)—i.e.,organizationsnotbasedingovernmentandnotcreatedtoreturnadirectbenefitorprofitforitsmembers.thisbroaddefinitioncoversavery largeuniverseoforganizations thatoftenarestructurallyandfunctionallyunrelated.theAsiandevelopmentBank(AdB)isconcernedprimarilywith“developmental”nGos—organizationsentirelyorlargelyindependentofgovernment,notcreatedforthefinancialormaterialgainoftheirmembers,andaddressingconcernssuchas(i)socialandhumanitarianissuesofdevelopment,(ii)individualandcommunitywelfareandwell-being,(iii)eliminationofdisadvantageandpoverty,and(iv)environmentalprotectionandmanagement.theterm“nGo”isusedgenerically,asatermofconvenience.inAdBoperations,“nGo”isusedtocoverparallelterms,amongmanyothers:(i)voluntaryorganization,privatevoluntaryorganization,and private voluntary development organization; (ii) people’s organization; (iii) community-based organization (cBo);(iv)grassrootsorganization;and(v)publicinterestgroup.WhileAdBisconcernedprimarilywithorganizationsthatdonotexisttoservemember’sself-interest, itdoesaddressorganizations—suchascBosandpeople’sself-helporganizations—thatarecreatedtoservetheinterestsofdisadvantagedpersons,groups,andcommunities.
4 AnimportantfunctionaldistinctionexistsbetweenoperationalandadvocacynGos.WhileoperationalnGosarefocusedonthedeliveryofdevelopmentinitiatives—includingenvironmentalprotection—advocacynGosfocusonpoliciesoractionsthataffectspecificorbroaddevelopmentoutcomes.thelatterperformanimportantroleincivilsocietybyinfluencingandmonitoringthepoliciesandpracticesofgovernmentsanddevelopmentagencies,suchasAdB.
Appendix5.5 GUidelinesforinVolVinGnGosAndcBosinproJectdesiGn 117
(iii) When project success requires the active participation of the poor or other excludedgroups.(a)duringpredesignanddesign.nGosandothercivilsocietyorganizations(csos)often
haveclosercontactwithandbetterunderstandingofthepoorandothersociallyorculturallyexcludedgroups.throughthiscontactandunderstanding,nGoscanidentifythemostpressingdevelopmentconcernsandofferuniqueandvaluableinsightsonthestrategiesthatwillmostlikelysucceedorfail.
(b) duringimplementation.manynGosoperatingatthefieldlevelhavedevelopedanabilitytoformcloselinkswithlocalcommunitiesandstrategiestohelpmobilizethemtoachieveimportantdevelopmentoutcomes.inprojectsrequiringcommunityparticipationandownership,nGoscanoftenbecontractedtohelpinformingusergroupsorcBos(seebelow).
(iv) Whenflexibility,responsiveness,orinnovationislikelytoberequiredduringimplementation. nGoscanoftenreactmorequicklytochangingcircumstancesandarekeentoexperiment
withnewapproaches.nGoshavebeenveryeffectiveinpilotprogramsseekingtomaximizecommunityparticipation.
(v) Whenlinksbetweenpoorcommunitiesandgovernmentareweak. Breakdownsandexclusioncanoccurformanyreasons,suchaslackofgovernmentresources,
insensitivity,orlackofcarestemmingfrompolitical,cultural,orgenderperceptions,etc.inthesecircumstances,nGoscanbevaluable intermediaries inbuildingbridgesbetweenpeopleandcommunitiesononeside,andgovernments,development institutions,anddonorsontheother.
(vi) Whenindependentmonitoringandevaluationarerequired. mostprojectframeworksidentifycriticalassumptionsconcerningthelikelihoodofparticipation
bythepoorandthelevelofsupportfromtheimplementingagencies,privatesector,etc.often,itisimportanttomonitorthevalidityoftheseassumptions,identifyweaknesses,andproposeremedialaction.nGoscanoftenbeemployedtoperformthisrole,especiallywhenthequalityoflocalgovernanceisdoubtful.
2. Limitations of Working with NGOs
Aparadox often encountered in cooperatingwithnGos is that thequalities thatmakenGocooperationdesirablemaybeinconsistentwithmanygovernment,donor,andAdBcharacteristics.inthecaseofAdB,theremaybesignificantpressuretodisbursefundsanddeliverprojectcomponents.incontrast,nGosworkingonparticipationandclientownershipmayfocusonensuringaneffectiveprocessratherthanonpreordainedoutputs.Atothertimes,nGosmayhavethecapacitytoactquicklybutcannotbecauseoftheproceduralrequirementsimposedbygovernments,donors,andAdB.
GiventherangeofnGosinoperation,itisnotsurprisingthatarangeofcriticismsislikelytobeencountered.commonconcernsonnGosarethefollowing:
(i) sometimeslimitedstrategicperspectivesandweaklinkageswithotherstakeholders;(ii) limitedresourcebaseandlimitedtechnical,organizational,andadministrativecapacity;(iii) strainedrelationshipwithgovernmentsbecauseofpolitical,legal,orideologicalsuspicions;(iv) questionablelegitimacy,accountability,andcredibility,andlackofevidenceintheirclaims
tomandateandconstituency;
118 HAndBookonsociAlAnAlYsis
(v) uncertainmotivation,objectives,andoperationalagendas;and(vi) thedegreeofaccountabilitythatnGosacceptfortheultimateeffectsoftheirpoliciesand
programs.
3. Key Guidelines
keyguidelinesforinvolvingnGosandcBosinprojectdesignarethefollowing:
(i) establish understandings of the capacities, requirements, and processes of each partyattheoutsetandtrytofindaworkablesynergy.manynGosseektohaveapartnershiprelationshipinAdB-fundedprojectsbutarenotawareofthelimitationscreatedbyAdBandgovernmentrequirementsandprocedures.conversely,treatingnGospurelyascommercialsubcontractorscanleadtoresentmentandlostopportunity.
(ii) establishadialoguewithnGosasearlyaspossibleinthedesignprocess.AttemptingtosubcontractcertaintaskstonGoswithoutpriorconsultationduringthedesignstageislikelytoleadtotensionsduringimplementation.
(iii) identifythepossibilityofandboundariesforcollaborativedecisionmakinginrelationtotheprojectobjectivesandtimetables.shareddecisionmakingandtransparencyinoperationalrequirementscanoftenhelpestablishmutualunderstandingandavoidorresolveconflicts.
(iv) donotoverestimatenGocapacity.incountrieswherenGoshaveonlyrecentlyemergedorhavebeen formedrecently,developmentstrategiesmaystill representmore rhetoricthanreality.Wherelarge-scalecBoformationisrequired(e.g., inruralwatersupplyandsanitation),itmaybenecessarytodevelopasuitablemethodologyduringtheprojectdesignphaseandtotrainnGostaffintheapproachpriortocontractingthenGo.
(v) Wherethereisariskoftensionduringimplementationoverprocessversusoutput,establishinadvanceaclearagreementon(a)whatwillconstituteasatisfactorylevelofcommunityorganizationorpreparednessand(b)whatindicatorsormilestoneswillbeusedformonitoringprogress.
4. Identifying and Evaluating NGOs
A single viewofnGosor a single approach to cooperationwithAdB is, unfortunately, notrealistic.nGosvarywidelyaccordingtophilosophy,purpose,mandate,clientele,expertise,operationalapproach,scopeofactivities,etc.importantdistinctionsexistinthelevelofoperation,approach,andorientation.majordifferences alsoexist in termsof (i) operational capacity, (ii) organizational andadministrativeefficiency,(iii)accesstoresources,and(iv)willingnessandabilitytoworkwithotherdevelopmentactors.otherdifferencesarise,dependingonwhetherthenGoisbasedinternationally,nationally,orlocally.
ApproachesandmodalitiesforcooperationwithnGosmustvaryaccordingtothetypeofnGoandthespecifickindofcooperationbeingconsidered.cooperationwithnGoswillalsobeaffectedbycountry-specificcircumstances,particularlytheattitudeofgovernmentandthenumberandrangeofnGos.BasiccriteriaforidentifyingnGosinclude(i)legalstatus,(ii)demonstratedlegitimacyinrepresentingthe concerns of client groups, (iii) organizational responsiveness and responsibility, (iv) credibility,(v)transparency,(vi)competenceandcapacity,and(vii)localknowledge.
Appendix5.5 GUidelinesforinVolVinGnGosAndcBosinproJectdesiGn 119
evaluatingnGosforpossiblecooperationisoftenbestdoneonasectoraland/orgeographicalbasis.inthisway,aspecificandlimitingsetofcriteriacanbedevelopedthatengenderstrust,credibility,andaneffectiveworking relationshipwith government andothermajor stakeholders.Goodpracticerequiresthatevaluationcriteriabeappliedobjectively,fairly,andtransparently.However,itisimportantthat,whereverpossible,itshouldbebasedonprovenperformanceratherthanbasedonmissionstatementandunsubstantiatedinformation.
many countrieshave sectoralnGonetworksor anationally basednGoapexorganization. itoftenisusefultoinvolvesuchnetworksortheapexorganizationinidentifyingandevaluatingnGosforcooperation,particularlythosethatattempttoapplycodesofconductandotheraccountabilitymeasurestotheirmembers.Atthesametime,however,itisimportantthatrelevantandqualifiednGosshouldnotbeexcludedsimplybecausetheyarenotmembersofanapexorganization.
residentmissionsmayalsohelpinnGoassessments,basedontheircloseknowledgeofnationalnGocommunitiesandindividualnGos.residentmissionscanalsoprovideinformationonothercountry-specificaspectsofworkingwithnGos,includingrequisitegovernmentprocedures.
B. Community-based Organizations
community-basedorganizations(cBos)playanimportantrole inAdBoperations,particularlywherelocalparticipationiscritical.theyareachannelfor(i)empoweringpeople,(ii)broadeningthedistributionofpoliticalandeconomicpower,and(iii)creatingdemandforgreatercentralresponsetocommunity-levelpriorities.cBosprovideacollectivebargainingpowerthatcanenablethepoor,thelandless,smallfarmersandtraders,andurbaninformalsettlerstonegotiatefromapositionwithsomedegreeofpowerandstrength.cBosoffer importantopportunities for institutionalizing theavailabilityofmicrofinance,production inputs,marketing structures and services, technical support, education, health, andotheressentialservices inresponsiveandaccountablewaysfor thepeople involved.fromtheviewofthegovernmentorotherexternalagency,cBoscanprovideaninvaluablewayofreducingthetransactioncostsinvolvedindealingwithindividualsfromthatcommunity.However,lowsocialcapitalisacommoncharacteristicofpovertyand,forAdBpovertyinterventions,itisfrequentlynecessarytoeithercreatenewcBosorexpandthecapacityofexistingones.
1. Nature and Origin of CBOs
WhilestillcoveredunderAdB’sbroaddefinitionof“nGos,”cBosaredistinctiveinthattheyaregenerallyorganizedforthebenefitoftheirmembers.AkeycharacteristicofcBosisthattheycanmobilizecommunitiesby(i)expressingtheirdemands,(ii)organizingandimplementingparticipatoryprocesses,(iii)accessingexternaldevelopmentservices,and(iv)sharingbenefitsamongmembers.cBoscanhaveawiderangeoffunctions,includingeconomic,social,religious,andrecreational.inthedesignofprojectsseekingtostimulatedevelopmentatthecommunitylevelorthosethatfocusonpovertyreductionforthepoorest,itisnecessarytoexaminecarefullytherangeofcommunity-levelorganizations.toassessthepotentialofanyorganization,thisanalysisexamineswhethertheorganizationsareformalorinformal,traditionalormodern,organicorestablishedwithsomekindofexternalfacilitation.insomecountries,atermclosetoandofteninterchangeablewithcBois“people’sorganization,”althoughitismorelikelytodescribeanorganizationcoveringaparticularsector,suchasartisanalfishers,ratherthanaparticularphysicallocation.
120 HAndBookonsociAlAnAlYsis
cBosoftenareinformal.frequently,theyarewithoutformalregistrationandmaynotbeknownoutsidetheirareasofinfluence,eventogovernmentofficials.examplesofcBosincludeneighborhoodassociations, tenants’ associations, community development organizations, water-user groups, creditassociations,andlocalpoliticalinterestgroups.somecBoshaveastrongdevelopment—asdistinctfromwelfare—focusandmightberegardedmore likedevelopmentnGos,althoughthe latteraredefinedbythepursuitofintereststhattranscendthedirectinterestsoftheirmembers.cBosgenerallyexisttoaddressdirectlytheimmediateconcernsoftheirmembers.learningaboutcBosinvolvesclosecontactanddiscussionwithmembersofthecommunitywheretheyoperate.
AneffectivecBogenerallyexhibitsfivecharacteristics:
(i) itaddressesaperceivedneedandcommoninterestwithinthecommunity.typicalinterestsincludewatersupply,provisionofbasicsocialservices,communitysecurity,sanitation,etc.Where community needs cannot be met by government agencies, communities oftenmobilizethemselvestomeettheseneeds.cBosmostlyemergewhentheirconcernsaresharednotbyonlyafewbutbythebroadcommunity.
(ii) thebenefitofcommunitymembersworkingtogethermatchesoroutweighsthecost.BenefitsreturnedbyacBomaybethefollowing:(a) economic—groupsavingsoravailabilityofcredit,marketpowerexertedthoughmarket
vendorassociations,benefitsreturnedthroughlocal-levelproducercooperatives;(b)socialcapitalformation—developmentofagroup-basedcapacitytosolveproblems
oraddressgovernmentsystems;(c) returnsforindividuals—grouppowerindevelopingknowledgeorskillsforindividuals;(d)social—asenseofbelonging;or(e)political—greatercommunityaccesstoauthorityandpoliticaloradministrativesystems,
increasedpowerinconflictresolution,etc.(iii) thegroupisbasedwithinexistinglocalsociallinkages.cBosmostoftenhavetheirfoundations
inexistingsocialrelationshipsorgroupingsthroughwhichmembershaveanidentity,suchasneighborhoodorcommunityrelationships,kinshiprelationships,socialclassrelationships,gender,age,livelihoodassociations,etc.
(iv) thegroupreliesonitselfforcapacity,knowledge,skills,andleadershiptomanageitstasks.most effective cBos are self-reliant, not dependent on outside support, leadership, orfunding.
(v) thegroupownsandenforcesitsinternalrulesandregulations.Groupmembersknowandinternalizeitsoperationalprocesses.theyalsoparticipateindeterminingboththerulesandmechanismsandtheirenforcement,and,intheend,haveauthorityovertheleaders.
2. Common Problems
fourcommonweaknessesareobservedininvolvingcBosinexternallydevelopedprojects:
(i) thecBoisdominatedbyatraditionalelite,andthepoorestmembersofthecommunityareeffectivelyexcluded.
(ii) thecBohasbeenformedbeforethecommunityhasdevelopedsufficientawarenessandenthusiasmtowanttocreateandmaintainsuchabody.
(iii) theinstitutionalstructurescreatedarenotsupportedbythenecessarycapacity,knowledge,andtechnicalskillsnecessaryforlong-termsurvival.
Appendix5.5 GUidelinesforinVolVinGnGosAndcBosinproJectdesiGn 121
(iv) toomuchisexpectedtoosoonfromnewlyestablishedgroups,andorganicdevelopmentmaybedistortedinordertomeetunrealisticexpectationsofproject-deriveddisbursementtimetables.
3. Establishing and Developing CBOs
thecriticalchoicefrequentlyfacingprojectplannersiswhethertobuildonexistingcBosortocreatenew,purpose-specificones.inprinciple,thefirstchoiceisnormallymuchpreferredsinceitgreatlylessensthetimeandcostofestablishment,anditusuallyassurescommunityacceptabilityandsustainability.inpractice,twoproblemsmakethechoicemoredifficult.first,thefocusofthepreexistingcBowillnotbethesameasthatrequiredtomeetthespecificneedofaproject.providedthereisnoconflictofagenda,however,specifictrainingandminorreorganizationcannormallyresolvethisproblem.
GreaterdifficultiesarisewhensomeformofcommunityelitecontrolstheexistingcBo.Wheresocialcapitalishighand/orcommunitiesarecohesive,entrenchedleadershipdoesnotconstituteaproblemand, infact,mayfacilitateeffectiveresponses. inmoredividedcommunities—commonparticularly insouthAsia—eliteleadershipfrequentlycausestwotypesofproblems:
(i) theparticipationofthepoorestmembersofthecommunitymaybepreventedeitherovertlyorsubtly.Asubsetofthisphenomenonmayhaveagenderorientationthatpreventstheessentialparticipationofwomen.
(ii) Whiletheleadershipmaynotdiscriminateagainstanymemberofthecommunity,itmaybeunwillingtoshareinformationanddecisionmaking,whichisessentialforeffectivecommunityparticipation.
Becauseoftheseinherentdangers,carefulanalysisisrequiredtoidentifyandevaluateexistingcommunitystructures,particularly in termsofparticipationandexclusion.5Whereelitedomination isentrenched,itmaybedifficultorunwisetocreateanewcBothatmaybeseenasarival.However,wheretheprojectdoesnotinvolvevisibleresourcesorsignificantopportunities,resistancetosettingupanewbodyislesslikely.inothercircumstances,itmaybepreferabletocreateanewsub-body,suchasawomen’s subcommitteeor awater and sanitation committeewhosemembership isbasedonrepresentation(e.g.,separatemaleandfemaleblockorhamletrepresentatives).
WheneverneworexistingcBosareneededtoensureprojectsuccess,sufficientpre-investmentworkmustbedonetoraisecommunityawarenessandcredibilityconcerningthevalueofparticipation.Atthesametime,itisimportanttoavoidthecreationofahandoutmentalityandtofullyunderstandtherequirementsandobligationsofparticipation.often,itisvaluabletoformalizethisunderstandingintermsofacommunitycontract.
to establish or expand the capacity ofcBos, it is usually necessary to have an intermediary.Governmentagenciesusuallylackproximitytothecommunities,especiallywheresocialstratificationexists.inthissituation,intermediarynGoscanoftenplayausefulroleinmobilizingcommunitiesandcreatinganappropriateinterfacewiththeproposedproject.suchorganizationscanbecontractedtoorganize
5 “institutionalmapping”isthemostcommonfirststepinsurveyinghowcommunitiesorganizethemselvesandhowvarioussegmentsofacommunityrelatetoothersegmentsandtoentitiesoutsidethecommunity.itidentifiesthesizeandinfluenceofoneorganizationinrelationtoothers,andcanhelpdefinethedegreeandextentofshareddecisionmakingamonggroups.inadditiontosurveyingwhatgroupingsexistandtheirrelativestrengthsanddegreesofinfluence,institutionalmappingprovidesanoverallpictureofthecommunity-basedsocialsafetynetthatexistswithinacommunityandanygapsorweaknesses.
122 HAndBookonsociAlAnAlYsis
cBos,providethemwithtraining,andhelpstrengthentheiroverallcapacity.contractednGosshouldbeexperiencedand reputableandhaveestablished relationshipswithcommunitygroups,especiallywiththepoor.
Appendix2 sAmpletermsofreference 123
Appendix 6 Gender and Development
6.1. Gender Checklist for Initial Poverty and Social Analysis
thepurposeofconductinggenderanalysisaspartoftheinitialpovertyandsocialanalysis(ipsA)istodeterminewhethersignificantgenderissuesrelatedtotheproposedprojectwarrantfurtherstudyduringtheprojectdesignphase.significantgenderissueswillbepresentif(i)womenaresubstantiallyinvolvedinthesector;(ii)theproposedprojecthasthepotentialtodirectlyimprovewomen’sorgirls’accesstoopportunities,services,assetsorresources;or(iii)theproposedprojectcouldhaveanegativeimpactonwomenorgirls(suchas lossof traditional landrightsoremployment/livelihoodopportunities). ifsignificantgenderissuesareidentifiedthroughipsA,furthergenderanalysiswillbeundertakenduringthedesignphase(seeappendix6.2).Aprojectincategory(i)or(ii)shouldbeclassifiedwithagenderanddevelopment(GAd)theme(oratleasttreatedasa“gendermainstreaming”project),andagenderplanshouldbeincorporatedintheprojectdesign(seeappendix6.4).Aprojectincategory(iii)shouldincludeappropriatedesignmeasurestoavoidorminimizeanynegativeimpactonwomenorgirls.thegenderanalysisundertakenduringipsAisdescribedintheipsAreportform(appendix4.1).Anaccompanyingannexwilldescribethegenderissuesandtheproposedstrategytoaddressthem,alongwithdetailsofanyfurthergenderanalysisneedsduringthedesignphase.figureA6.1.1showsthebasicstepsinvolvedingenderanalysisofprojects.
Whatmenandwomen(adults,children,elders)do,andwhereandwhenaretheseactivitiescarriedout;
Whohasaccesstoandcontrolofresources,services,anddecisionmaking;
Howactivity,access,andcontrolpatternsareshapedbystructural factors(demographic,economic, legal,and institutional) and by cultural, religious, andattitudinalfactors;and
Gender-sensitive project planning, design,implementation,monitoring,andpost-evaluation.
ACTION OUTPUT
Figure A6.1.1: Gender Analysis of Projects
source:AdB.2001.Handbook on Poverty and Social Analysis, A Working Document.manila.
Activity ProfileWhodoeswhat?
Access and Control ProfileWhohaswhat?
Analysis of Factors and TrendsWhatisthesocioeconomiccontext?
Project Cycle AnalysisWhatgenderconsiderationsareneededfortheproject?
124 HAndBookonsociAlAnAlYsis
thegenderanalysiscarriedoutduring ipsAshouldbebasedon the followingquestionsandactions:
(i) Whoarethetargetbeneficiaries? (a) gender-disaggregatebeneficiaries;and (b) menandwomenwhowereinterviewedintheproposedprojectarea.(ii) Arewomenvisibleinthesector? (a) Ascertainthegenderdivisionoflaboringeneral. (b) Aretheneedsofwomen/girlsinthesectorthesameasthoseofmen/boys? (c) identify,ifpossible,themainsourcesofincomeforwomenandmen.(iii) Whatimpactsmighttheprojecthaveonwomenand/orgirls?istheprojectlikelytohave
thesamepositive/negativeimpactsonwomenandmen(orgirlsandboys)?(iv) does theprojecthavepotential for gender-inclusivedesignandcould it effectively and
equitablytargetwomenand/orgirls?(v) identify,ifpossible,anylegal,cultural,orreligiousconstraintstothepotentialparticipation
ofwomenorgirlsintheproject.(vi) dotheexecuting/implementingagencieshavethecapacitytodeliverbenefitsto/orinvolve
women(orgirls)?(vii) Willtheproject’sdesignteamneedtheservicesofaGAdspecialisttohelpindevelopinga
gender-inclusivedesign?
6.2. Gender Checklist for Project Design
ifsignificantgenderissuesareidentifiedinaproposedprojectthroughipsA(seeappendix6.1),amoredetailedgenderanalysiswillbeundertakenduringtheprojectdesignphase,andappropriatemeasureswillbeincludedintheprojectdesigntomaximizetheparticipationofwomenand/orgirlsintheprojectandtheirequitableaccesstoprojectbenefits.(ifwomenaresubstantiallyinvolvedinthesector,oriftheprojecthasthepotentialtodirectlyimprovetheaccessofwomenorgirlstoopportunities,services,assets,orresources,agenderplanwillalsobepreparedaspartoftheprojectdesign—seeappendix6.4.)
Appendix6.1(figureA6.1.1)providesasuggestedframeworkforgenderanalysisofaproject.keygenderconsiderationsduringtheprojectdesignphaseincludethefollowing:
Participatory Approach • Arewomenandmenequallyconsultedandinvolvedinprojectdesign?
Gender Analysis • Havetheneedsofbothmenandwomen(orboysandgirls)intheprojectsectorbeen
defined? • Havecultural,social,religious,andotherconstraintsonthepotentialparticipationof
women(orgirls)beenidentified? • Havestrategiesbeenformulatedtoaddresstheconstraints? • Havelocalwomen’sorganizationsbeenconsulted? • Willwomenand/orgirlsdirectlybenefitfromallprojectcomponents?
Appendix6.3 GendercHecklistforproJectfAct-findinGorApprAisAl 125
Project Design • Have the data from the gender analysis been applied to all phases of the project
cycle? • doestheprojectdesignincludecomponents,strategies,designfeatures,ortargetsto
promoteandfacilitatetheactiveinvolvementofwomen(orgirls)intheproject? • isthereabudgetaryallocationforthesedesignfeatures,strategies,andmechanisms? • Hasaseparatebudgetbeensetasideforfacilitatingtheparticipationofwomenand/or
girls? • Arethestrategiesandtargetsfortheparticipationofwomen(orgirls)includedinthe
designandmonitoringframework(dmf)oftheproject? • isthereaprovisionforgenderexpertiseintheprojectimplementationteam? • Hasprovisionbeenmadetostrengthenthecapacityofexecutingagencystafftoplan,
implement,andmonitorgender-inclusivecomponentsanddesignfeatures?
Project Performance Monitoring • Arethereindicatorstomeasuretheprogressinachievingbenefitsformenandwomen
(orboysandgirls)? • Have indicatorsdefining thebenefits towomenandmen(orgirlsandboys)been
developed? • Willsex-disaggregateddatabecollectedtomonitorgenderimpact? • Willwomenbeinvolvedinmonitoringandevaluation?
projectdesignteamsshouldrefertotherelevantgender/sectorchecklistforfurtherguidanceinintegratinggenderconcernsintheprojectdesign.(Gender/sectorchecklistsforagriculture,education,health,watersupplyandsanitation,urbandevelopment,andresettlementareavailableat:www.adb.org/Gender/checklists.asp. A tool kit on gender, law, andpolicy issues is available at:www.adb.org/documents/manuals/Gender-toolkit/Gender-law-policy-toolkit.asp.)
6.3. Gender Checklist for Project Fact-Finding or Appraisal
the followingquestions shouldbeconsideredduring the fact-findingand/orappraisalmission for aproposedproject:
1. Do project objectives explicitly refer to women and men (or girls and boys)?• Havetheneedsofbothmenandwomen(orboysandgirls)intheprojectsectorbeen
defined?• dotheprojectobjectivesstatethebenefitsformenandwomen(orboysandgirls)?• Willwomenand/orgirlsbedirectbeneficiariesinallprojectcomponents?
2. Do project documents describe project consultation and participation (C&P) strategies?
• Havelocalwomenbeenconsultedduringdatacollectionanddesign?• Havelocalwomen’snongovernmentorganizations(nGos)beenconsulted?• Have any constraints to the participation of men and women (or boys and girls) in
126 HAndBookonsociAlAnAlYsis
the project been identified (e.g., cultural, social, religious, economic, legal political, orphysicalconstraints)?
• Havestrategiesandactivitiesbeenformulatedtoaddresstheseconstraintsduringprojectimplementation?
• Hasac&pplanformenandwomenbeendeveloped?
3. Has gender division of labor been considered?• Havesex-disaggregateddatabeencollectedon thegenderdivisionof labor, including
householdandsocial responsibilities(i.e.,whodoeswhat,where,when,and forhowlong)?
4. As to who has access to and control over resources (including land, forests, waterways, markets, energy/fuel, equipment, technology, capital/credit, and training) been considered?
• Willprojectactivitiesadverselyaffectaccesstoandcontroloverresources(e.g.,throughlossofland,reducedaccesstomarkets)ofwomenormen?
• Willnewtechnologiesintroducedundertheprojectbenefitbothwomenandmen?• Arewomenandmenequallyinvolvedintrainingopportunitiesoffered?• Are project-supported organizations, such as farmer, user, or credit groups, equally
accessibletowomenandmen?• Are separate activities or components for women (or girls) required to ensure equal
accesstoprojectresources?
5. Have gender concerns in the project design and scope been addressed?• does theprojectdesign includecomponents, strategies,design features,or targets to
promoteandfacilitateinvolvementofwomen(orgirls)intheproject?• Arethesedesignfeaturessufficienttoensuretheequitabledistributionofprojectbenefits
betweenmenandwomen(orboysandgirls)?• doestheprojectdocumentdescribethesefeaturesanddesignmechanisms?
6. Does the counterpart agency have the capacity to implement gender-sensitive projects?
• does the executing or implementing agency have the capacity to deliver services towomenand/orgirls?
• doestheexecutingorimplementingagencyhavefemalefieldstaff,e.g.,femaleextensionworkers?
• Have strategies been identified to strengthen counterpart gender analysis, genderplanning,andimplementationcapacity;andhavethesestrategiesbeencosseted?
7. How will gender impacts on men and women (or boys and girls) and on the relationships between them be monitored?
• Arethereindicatorstomeasureprogressinachievingbenefitsformenandwomen(orboysandgirls)?
• Willtherebeacollectionofsex-disaggregateddatatomonitorgenderimpacts?
Appendix6.4 GenderplAns 127
8. Are project resources adequate to deliver services and opportunities to both men and women (or boys and girls)?
• Arestrategiestopromotetheparticipationofmenandwomen(orboysandgirls)andequalaccesstobenefitsbudgeted?
• doesthebudgetincludeallocationsforactivitiestofacilitatetheparticipationofwomenand/orgirls?
• Arestrategiesandanytargetsfortheparticipationofandbenefitsformenandwomen(orboysandgirls)includedinthelogframe?
• Howisgenderexpertisetobeprovidedduringprojectimplementation?• is responsibility for gender issues included in the terms of reference for the project
implementationconsultants?• doesacovenant/sinthefinancingdocumentsfortheprojectsupporttheprojectgender
strategies?
6.4. Gender Plans
A. Overview
forprojectsinwhichsignificantgenderissueshavebeenidentifiedthroughipsA(seeappendix6.1),aprioritytaskofthesocialanalystorgenderspecialististoprepareagenderplanduringthedesignphase.thegenderplanwillfollowfromtheprogressivelymoredetailedgenderanalysisthatcommencedduringipsAandisdevelopedduringtheprojectdesigntoidentifystrategies,mechanisms,andcomponentsforaddressinggenderconcerns.
theproject’sgenderplanisessentiallyaone-pagesummarythatprovidesinformationon:(i)thepreparatoryworkundertakentoaddressgenderissues,(ii)thefeaturesormechanismsincludedintheprojectdesigntopromotewomen’sinvolvement,(iii)mechanismstoensureimplementationofthegenderdesignelements,and(iv)gendermonitoringandevaluation.Asummaryofthegenderplanshouldbeincludedasacoreappendix—notasupplementaryappendix—tothefinalreportandrecommendationofthepresident(rrp).thegenderplanshouldalsobesupportedbyoneormorecovenantsinthefinancingdocumentsfortheproject.
thegenderplanappendixshouldfocusonhowgenderissues,concerns,andconstraintsidentifiedthroughthegenderanalysishavebeenincorporatedintotheprojectdesign.essentially,thegenderplanshoulddescribethedesignfeatures,mechanisms,strategies,andcomponentsthathavebeenincludedintheprojectdesigntofacilitateandensuretheactiveinvolvementofwomenand/orgirlsintheprojectandaccesstoprojectbenefits.separatecomponentsincludedtoencouragetheparticipationofwomenorgirlsshouldbedescribedhere.Anytargetssetfortheparticipationofwomenorgirlsoraccesstoprojectbenefits—e.g.,numberofwomentobetrained,reservedseatsforwomenondecision-makingbodiessuchaswater-usergroups,numberofscholarshipsforgirls,involvementofwomeninoperationandmaintenance,monitoring,andevaluation—shouldbementionedandhighlightedhere.
thegenderplanshouldalsonotewhatbudgetprovisionhasbeenmadeforthesecomponentsordesignfeatures.Withouttheallocationofadequateresources,itisunlikelythatanyseparateprovisionsfortheinvolvementofwomenorgirlswillbeimplemented.Anyprovisionforagenderspecialisttohelpinprojectimplementationshouldalsobenoted.
thesocial/genderspecialistsshouldalsoensurethatkeyprovisionsofthegenderplanareincludedinthedmffortheproject.
128 HAndBookonsociAlAnAlYsis
B. The Gender Plan Format
Preparation.describe thepreparatorywork conductedduring theproject designphase andprojectprocessingtoaddressgenderissuesandinvolvewomenintheplanninganddesignoftheproject.
Project Design. describeanyfeatures,mechanisms,strategies,components,ortargetssetintheprojectdesigntopromoteactiveinvolvementofwomen(orgirls)intheprojectortheirdirectaccesstoprojectbenefits.thissectionshouldalsonoteanyassistancetobeprovidedtotheexecutingorimplementingagenciesforgendercapacitydevelopment,oranyprovisionforrecruitmentofnongovernmentorganizations(nGos)tomobilizeandtrainwomen.theremustbebudgetlineitemsforgenderanddevelopment(GAd)activities.policydialoguetoimprovewomen’saccesstoassets(suchasland)ortoaddressthestrategicneedsofwomenshouldbehighlighted.thisisthemostimportantsectionofthegenderplan.
Implementation.theimplementationarrangementstoensurethefeaturesandmechanismsdesignedin the project to address GAd objectives should be described here. this section should describe(i) inclusion of GAd specialists among the project implementation consultants, and (ii) preparationofamoredetailedgenderactionplantoimplementtheGAdcomponentsorspecificGAdreportingrequirementssystematically.
Monitoring and Evaluation. thissectionshouldhighlightprovisionsforcollectingsex-disaggregateddatainthebaselinesurveysandformonitoringtheimpactoftheprojectonbothmenandwomen(orboysandgirls),includingrelevanttargetsandindicatorsinthedmf.thereshouldalsobeadescriptionofanyprovisiontoinvolvewomeninthemonitoringoftheproject.requirementsforprojectprogressreportsandthemidtermreviewtoaddressprogressinmeetingGAdobjectivesshouldalsobementioned.
Appendix7.1 inVolUntArYresettlementcAteGoriZAtionform 129
Appendix 7 Involuntary Resettlement
7.1. Involuntary Resettlement Categorization Form
A. Project Data Project No. XXXXX-XX
country/projecttitle:______________________date:_____________
department/division:______________________processingstage:________________
lendingmodality:cprojectloan cHybridloan1 cfinancialintermediation cprogramloan2 cemergencyloan cloanorequityinvestment csectorloan csdploan
otherprojecttypes:cGrant c Jfpr c Gef cothersources:________
coverage: ccountry cregional cinterregional
project: c detaileddesign cdetaileddesigncompleted beforeloannegotiations duringimplementation
processingevents(tentativeschedule)anddates:pptAfactfinding:____________ duediligencebeforepsccm:3____________loanfactfinding:____________ psccm:______________________________mrm:______________________ duediligenceafterpsccm(ifanticipated):
Appraisal:_____________________________________
1 “Hybridloans”havefeaturesofaregularprojectloanandasectorloan,suchthatsomesubprojects,components,orinvestmentsareselectedandpreparedonlyafterloanapproval.
2 Appliestoprogramloanswithinvestmentcomponents.3 duediligenceshouldbeconductedandreportedintherrpforpsccmsubmission.
Gef=Globalenvironmentfacility,Jfpr=Japanfundforpovertyreduction,mrm=managementreviewmeeting,pptA=projectpreparatorytechnical assistance, psccm = private sector credit committee meeting, rrp = report and recommendation of the president, sdp = sectordevelopmentprogram.
130 HAndBookonsociAlAnAlYsis
B. Screening Questions for Resettlement Categorization
Probable Involuntary Resettlement Effects* Yes No Not Possible Remarks Known
Willtheprojectincludeanyphysicalconstructionwork?
doestheprojectincludeupgradingorrehabilitationofexistingphysicalfacilities?
Areanyprojecteffectslikelytoleadtolossofhousing,otherassets,resourceuse,orincomes/livelihoods?
islandacquisitionlikelytobenecessary?
isthesiteforlandacquisitionknown?
istheownershipstatusandcurrentusageofthelandknown?
Willeasementsbeutilizedwithinanexistingrightofway?
Areanynontitledpeoplelivingorearningtheirlivelihoodatthesiteorwithintheright-of-way?
Willtherebelossofhousing?
Willtherebelossofagriculturalplots?
Willtherebelossesofcrops,trees,andfixedassets?
Willtherebelossofbusinessesorenterprises?
Willtherebelossofincomesandlivelihoods?
Willpeopleloseaccesstofacilities,services,ornaturalresources?
Willlanduse-relatedchangesaffectanysocialoreconomicactivities?
ifinvoluntaryresettlementimpactsareexpected:• ArelocallawsandregulationscompatiblewithAdB’s policyoninvoluntaryresettlement?
• Willcoordinationbetweengovernmentagenciesbe requiredtodealwithlandacquisition?
• Aresufficientskilledstaffavailableintheexecuting agencyforresettlementplanningandimplementation?
• Aretrainingandcapacity-buildinginterventions requiredpriortoresettlementplanningand implementation?
*Wheneverpossible,consideralsoanyfuturesubprojectsorinvestments.
Appendix7.1 inVolUntArYresettlementcAteGoriZAtionform 131
C. Information on Affected Persons:Anyestimateofthelikelynumberofhouseholdsthattheprojectwillaffect?c noc Yes ifyes,approximately,howmany?___________Areanyofthempoor,femaleheadsofhouseholds,orvulnerabletopovertyrisks?c noc Yes ifyes,pleasebrieflydescribetheirsituation____________________________AreanyApsfromindigenousorethnicminoritygroups?ifyes,pleaseexplain?_______________
D. Additional Information Requirements for Private Sector Projects c resettlementandlandacquisitioncompleted c psodislendingtoafinancialintermediary c resettlementtobecompleted c theprojectisanequityinvestment c projectentailsriskbyassociation(e.g.,associated c theprojectisapartialcredit/political facilitiesarepartoftheprojectbutnotfundedriskguarantee bytheproponent) cothers,pleasedescribe_______________
E. Involuntary Resettlement Category cnewcrecategorizationAfterreviewingtheanswersabove,theprojectteamleaderandsocialdevelopment/resettlementspecialistagree,subjecttoconfirmation,thattheproject:
1. Project Categorization and Resettlement Planning Requirementsc categoryA,significantirimpact,afullresettlementplanisrequired.c categoryB,nonsignificantirimpact,ashortresettlementplanisrequired.c categoryc,noirimpact,noresettlementreportisrequired.c Additionalinformationisneededforcategorizationandistobegatheredbytheproject teamleader.intheinterim,theprojectisclassifiedas: c categoryA/B c categoryB/c csocialdevelopment/resettlementspecialisttoparticipateinfact-finding c consultantsupportisrequiredtoprepareresettlementplan/resettlementframework (rp/rf),therefore,thetorforasocialdevelopment/resettlementspecialistshouldbeincluded inthetAreport
2. Additional Requirements for Sector, Sector Development Program/Project Loans, Emergency Loans, and Hybrid Loans
c resettlementframework
c coresubprojectresettlementplans
Note:Adraftrp/rfdisclosedtoaffectedpersonsandendorsedbytheexecutingagencyisrequiredbeforemrm.Asummaryrp/rfshouldbeincludedasacoreappendixinthedraftrrpformrm.Asatisfactoryrp/rfisrequiredbeforeappraisal.
Proposed by:
_____________________________________________________________________________projectteamleader date regionaldepartmentresettlement/ date socialdevelopmentspecialist
Checked by: Endorsed by:
__________________________________ _______________________________________rsessocialdev’t. date director,rses datesafeguardspecialist
Approved by:
__________________________ _________________chiefcomplianceofficer date
ir = involuntary resettlement, mrm = management review meeting, psod = private sector operations department,rrp = report and recommendation of the president to the Board of directors, rses = environment and social safeguards division,tA=technicalassistance,tor=termsofreference.
132 HAndBookonsociAlAnAlYsis
7.2. Involuntary Resettlement Checklist for IPSA
theAsiandevelopmentBank’s(AdB’s)policyoninvoluntaryresettlement(1995)applieswhenAdB-financedprojectsleadtoresettlementeffectsthroughland-acquisitionand-relatedmeasures.thepolicyrequiresthat:
(i) involuntaryresettlementistobeavoidedwhereverfeasible.(ii) itistobeminimizedwheredisplacementisunavoidable.(iii) Aresettlementplanisnecessarysodisplacedpeoplecanreceiveassistancetorestoretheir
incomesandqualityoflifetoatleastpre-projectlevelassoonaspossible.
Wherepopulationdisplacementisunavoidable,aresettlementplanwithtime-boundactionsandbudgetisrequired.AdB’sHandbook on Resettlement: A Guide to Good Practice(1998)specifiesthecontentforfull-andshort-resettlementplans.
Addressingresettlement“upstream,”earlyintheplanningprocessattheinitialpovertyandsocialanalysis(ipsA),canbringsignificantbenefitsinmanagingriskbyallocatingresourcesearlyandeffectively.this allows scope to select components, technology and design, reduce costs, avoid or minimizeresettlementeffects,andfosterlocalownership.Workingupstreamallowsevaluationofrisks,alternativesandtradeoffs,andopensthewayfornewdevelopmentopportunitieswithearlystakeholderinvolvement.resettlementplanningdataarecollectedinparallelwiththedevelopmentofdetailedinfrastructurefeasibilitystudiesand,whereappropriate,designdocuments.duringipsA,theselectionofthesitesoralignmentsmaybesufficientlyadvancedtoallowtheidentificationofthebroadscopeofimpactoflandacquisition.inthiscase,ipsAprovidestheopportunityforprojectteamstoassessexpectedresettlementimpacts,inbroadterms,asabasistopreparethedetailedtermsofreference(tor)forresettlementplanningduringthesubsequentprojectpreparatorytechnicalassistance(pptA)phase.Alternatively,wheresitesandalignmentsarestillunknownatpptAfact-finding,ipsApresentsanopportunitytoreviewmeasurestomodifythechoiceofcomponentstoavoidorminimizeresettlementeffectsandtoidentifythestepsnecessarytodefineanysuchremainingeffects,whichwillbeaddressedduringthepptAphase.
Wherelandistobeacquired,orright-of-waychangesresultindisplacement,ipsAmayfocuson:
(i) criteria,schedule,andprocessforsiteandalignmentidentification;(ii) optionstoavoidorminimizepotentialresettlementeffectsthroughchangesinthechoice
ofcomponents,technicaldesign,orsiting;(iii) capacityof responsible institutions toplan,manage,finance,andmonitoreffective land
acquisition,compensation,andrehabilitationmeasures;(iv) adequacy of the resettlement policy and legal frameworks to ensure replacement, or
improvement,ofincomesandlivingstandards;and(v) initialflaggingofpotentialrisksofimpoverishment.particularattentionisrequiredtoimprove
the status of the poor and vulnerablewhomay be affected. infrastructure projects areessentialfordevelopment,forgrowthandforpovertyreduction.Yet,theseprojectsareoftenresettlement-intensive.displacementdisproportionatelyaffectsthepoorandbringsrisksofimpoverishmentforthenearpoor.
Appendix7.2 inVolUntArYresettlementcHecklistforipsA 133
Provide Details if PossibleSocial Impact Not Yes No (Expected No. of Households, Known Area of Land, Types of Structures Likely to be Affected)
islandacquisitionnecessary?
isthesiteforlandacquisitionknown?
Areinformalsettlerspresentinprojectlocations?
Willlossofstructuresresultindisplacement?
Willtherebeimpactoncrops,trees,andotherfixedassets?
Willtherebelossofincomesandlivelihoods?
Willpeopleloseaccesstofacilities,services,orresources?
Willanysocialoreconomicactivitiesbeaffected?
Table A7.2.1: Types of Impacts (Social and Economic Risks)
Type Not Yes No Remarks Known
ArelocallawsandregulationscompatiblewithAdBpolicy?
Willcoordinationbetweenseveralgovernmententitiesberequired?
isthereenoughskilledstaffavailableintheexecutingagencyforplanningandimplementation?
Aretrainingandcapacity-buildinginterventionsrequiredpriortoresettlementplanimplementation?
Table A7.2.3: Institutional Constraints
Action Required Not Yes No Known
isafull-resettlementplanrequired?
isashort-resettlementplanrequired?
isaresettlementframeworkrequired?
isfurtherworknecessaryduringdesigntoanswerthesequestions?
Table A7.2.4: Summary of Actions Required During the Design Phase
tablesA7.2.1–A7.2.4havebeenpreparedtohelpincollectingthisinformation,andtheirresultswillformpartoftheipsAreport.thisinformationwillbecollectedinconsultationandcoordinationwiththe executing agency, local authorities, international or local nongovernment organizations (nGos),representativesofpeoplelikelytobeaffected,and,wherepossible,thepeopleaffected.AdBdefines
Table A7.2.2: Affected Persons
Anyestimateofthelikelynumberofthoseaffectedbytheproject? noc Yescifyes,approximately,howmany?_________
Areanyofthesepeoplepoororvulnerabletopovertyrisks? noc Yescifyes,how?__________
134 HAndBookonsociAlAnAlYsis
affectedpersonsasthose“whostandtoloseallorpartoftheirphysicalandnonphysicalassets,includinghomes,communities,productivelands,forest,grazingandfishingareas,importantculturalsites,commercialproperties,tenancy,income-earningopportunities,andsocialandculturalnetworksandactivitiesbecauseoftheproject.”
7.3. Involuntary Resettlement Considerations in Project Design
the impoverishment risksand reconstructionmodel (irrm) isanoperational tool forpreparingandmonitoringprojectsinvolvingresettlement.focusingfromtheoutsetonpovertyissuesattheheartofinvoluntaryresettlement,itdoesnotaddnewtasksontopofexistingonesbutsaveseffortandincreaseseffectivenessby (i)moving risk discoveryupstream inproject preparation and (ii) guidingearly riskeliminationorrisk-reductionactions.
irrmhasbeenwidelydiscussedinthedevelopmentliteratureandisbeingincreasinglyappliedin practice.1 AdB’s Handbook on Resettlement: A Guide to Good Practice (1998; p. 61) explicitlyrecommendsfocusonimpoverishmentrisks.thepresentoperationalizeddescriptionofirrm’sfocusonimpoverishmentrisksisexplicitlyrecommendedincontentexplainsindetailhowtouseitandclarifiesitsplaceamongotheranalyticalandplanningtechniques.thekeypremiseofthistool’seffectivenessisitsfocuson“preventionfirst.”itidentifiessocioeconomicrisksbeforetheybecomearealityandhelpssafeguardrisk-exposedpeoplethroughrisk-targetedcounteractions.
A. Risks and Counteractions
1. Decapitalization of Resettlers
increasesinpopulationdensity,landscarcity,andgrowingsocioeconomicneedsmakeresettlementacontinuous—albeitundesirable—companionofdevelopment.forcedresettlementcarriessevererisksofimpoverishingtheuprooted,manyofwhomwereverypoorevenbeforedisplacement.socialresearchandprojectoutcomesdemonstratethatresettlementoperationstendtocausethedecapitalizationofpeopleaffected,wholosecapitalinallitsforms—natural,financial,human,andsocial.themainsocioeconomicconcerns in resettlementoperations revolvearoundreducing the impoverishment risksandrestoringlivelihoodsofthoseaffected.
2. The Need to Improve Resettlement Plans through Risk Assessment
landacquisitionneeds,losses,relocationrequirements,anddurationofrelocations(temporaryversuspermanent)arenotuniformforvariousproject-affectedpopulations.itisimportantthatanalyticalandplanning tools are sufficiently sharp and flexible to lead to differentiated responses to risk. theregularuseofriskassessmentupstreamintheprojectcycle,startingatipsA,isthereforeindispensable.itshouldresultin(i)bettertailoringthecontentofresettlementplans,and(ii)thedirectengagementandcommitmentofborrowingagenciestotheformulationofspecificrisk-reductionmeasuresbeforeafact-findingmissiontakesplace.
1 see,forexample,cernea(1997)andmahapatra(1999).inparticular,seecerneaandmcdowell(2000).
Appendix7.3 inVolUntArYresettlementconsiderAtionsinproJectdesiGn 135
3. Methods for Analyzing Impoverishment Risks during Project Preparation
Asaframeworkforriskassessment,theirrmhasadualemphasis:(i)onriskstobepreventedormitigatedand(ii)onreconstructionmeasurestobeimplemented.forfeasibilityandprojectpreparationstudies,theirrmframeworkperformstwobasicfunctions:
(i) diagnosticandpredictive—toanticipaterisks inresettlementandassesstheirnatureandexpectedintensity;and
(ii) problemresolutionandplanning—toguidetheincorporationofmeasurescommensuratewitheachidentifiedrisk,topreventormitigateit.
theirrmframeworksynthesizesknowledgegainedfrompastprocesses,savingconsiderabletimeandeffortinfeasibilityriskanalysisbyofferingex anteawell-testedstartingpoint.thematrixofeightbasicrisks(describedbelow)ispredictableinmostresettlementsituations.Applyingittothecircumstancesofeachprojecthasseveralcognitiveadvantages:
(i) itensuresthatnosimplemajorrisktothoseaffectedisoverlookedinfeasibilityanalysis,onlytocausesurprisestosurfacelaterduringimplementation.
(ii) itorganizesdatacollectionand the thinking-throughdesignprocessalongpre-identifiedvariables.
(iii) itallowstheanalysttodistinguishthedifferentialintensitiesofeachrisk(hightolowintheprojectcontext)ratherthantreatingallrisksuniformly.
Advanceconsiderationofriskshelpsallocateresourcesaccordingtothelevelofriskandnumberofpeopleinvolved.thisapproachmayvastlyincreaseprojecteffectivenessandrationalizeresourceallocation.suchupstreamriskanalysismayalsoconcludethatsomerisksarenotrelevantforsomeprojects,orcanidentifysomelocally-specificrisksthatarenotpartofthebasicmatrixbutneedtobeaddressed.
4. Impoverishment Risks
irrm,asananalytical tool,embodies thecentral ideaofAdB’s (1999)definitionofpoverty:“poverty is a deprivation of essential assets and opportunities to which every human is entitled.”irrmencompasses theeightmostcommon impoverishment risks:(i) landlessness,(ii) joblessness,(iii) homelessness, (iv) marginalization, (v) increased morbidity and mortality, (vi) food insecurity,(vii)lossofaccesstocommonproperty,and(viii)social(community)disarticulation.
(i) Landlessness.expropriationoflandremovesthemainfoundationonwhichmanypeoplebuildproductivesystems,commercialactivities,andlivelihoods.often,landislostforever,sometimespartiallyreplaced,seldomfullyreplaced,orfullycompensated.thisisthemainformofdecapitalizationandpauperizationbecausebothnaturalandfinancialcapitalarelost.
(ii) Joblessness.lossofwageemploymentoccursbothinruralandurbandisplacement,forlandlessagriculturallaborers,serviceworkers,orartisans.Unemploymentorunderemploymentamongthoseaffectedmaylinger longafterphysicalrelocationofhousing.creatingnewjobsforthemisdifficultandrequiressubstantialinvestment,newcreativeapproaches,andreliesonsharingofprojectbenefits.
136 HAndBookonsociAlAnAlYsis
(iii) Homelessness.lossofhousingandsheltermaybeonlytemporaryformanypeople,butitremainsachronicconditionforsomeandisfeltaslossofidentityandculturalimpoverishment.lossofdwellingmayhaveconsequencesforfamilycohesionandmutual-helppatternsifneighboringhouseholdsofthesamekinshipgrouparescattered.Grouprelocationofrelatedpeopleandneighborsis,therefore,preferableoverdispersedrelocation.
(iv) Marginalization.marginalizationoccurswhenrelocatedfamiliesloseeconomicpowerandslidedowntowardlowersocioeconomicpositions:forexample,whenmiddle-incomefarm-householdsbecomesmalllandholders,andsmallshopkeepersandcraftspeoplelosetheirbusinessesandfallbelowthepovertythreshold.
(v) Increased Illness and Death.forcedrelocationincreasesvulnerabilityofthepoorestpeopleto illness,whichbringswith it increased stress, psychological trauma, andparasitic andvector-bornediseases.seriousdecreasesinhealthlevelsresultfromunsafewatersupplyandsewagesystemsthatspreadepidemicinfections,diarrhea,dysentery,etc.
(vi) Food Insecurity. forceduprootingdiminishesself-sufficiency,dismantleslocalfoodsupply,andincreasestheriskofchronicfoodinsecurity,whichisdefinedasacalorie-proteinintakelevelbelowtheminimumnecessaryfornormalgrowthandwork.
(vii) Loss of Access to Common Property.poorfarmers,particularlythosewithoutassets,sufferalossofaccesstothecommonpropertygoods,suchasforests,bodiesofwater,andgrazinglands.thisrepresentsaformof incomelossandlivelihooddeteriorationthat istypicallyoverlookedbyplannersand,therefore,uncompensated.
(viii) Social Disarticulation. thedismantlingofcommunitystructuresandsocialorganization,thedispersionofinformalandformalnetworksandlocalassociationsresultsinamassivelossofsocialcapital.suchdisarticulationundermineslivelihoodsinwaysusuallynotrecognizedormeasuredbyplanners,andcausesdisempowermentandimpoverishment.
therisksdiscussedabovedifferentiallyaffectdifferentcategoriesofpeople—ruralandurban,tribalandnon-tribalgroups,children,andtheelderly.researchfindingsshowthatwomensuffertheimpactsofdisplacementmoreseverelythanmendo.foreachbasicrisk,thesecondpartoftheirrmframeworkconvertstherisksintocounter-riskstrategiesthroughtargetedprojectprovisions.
theextentandintensityofeachriskinaprojectareamustbeassessedatthestartingstageofprojectpreparation,howeverpreliminarytheassessmentis.thefirstresponsibilityforcarryingitoutrestswiththeborrowingagencyanditsconsultants.irrmprovidestheorganizingscaffoldingforsuchassessment.Aspreparationadvances,theinitialassessmentsarerefined,verified,andmademorecomplete.AtthetimeofipsA,apreliminaryimageoftheexpectedresettlementcomponentshouldemerge,togetherwiththeinitialassessmentofinstitutionalcapacityandfinancingarrangements.mostimportantistostartdevelopingtherisk-reductionresponsesandthepositiveprojectprovisionsforreconstructingresettlers’livelihoods.
B. Risk Reversal and Reconstruction
Beforedisplacementactuallybegins,thesocialandeconomicrisksofimpoverishmentareonlyimpendingrisks.Withoutpreventativecounteractions,thesehazardsconvertintoactualimpoverishmentprocesses.theinternallogicofirrmasananalyticalandplanningtoolprescribesthatovercomingimpoverishmentrequiresattackingtherisksearlyon.similartohowitsriskanalysisdeconstructsthemultifaceteddisplacementprocessesintodistinctrisks,irrmalsodeconstructsriskreversalandreconstructionintoasetofactivities.impoverishmentrisksmaybepreventedbypositive,constructive,pro-poorsupportactivitiesthatlead
Appendix7.3 inVolUntArYresettlementconsiderAtionsinproJectdesiGn 137
from(i)landlessnesstoland-basedresettlement,(ii)joblessnesstoreemployment,(iii)homelessnesstohousereconstruction,(iv)marginalizationtosocialinclusion,(v)increasedmorbiditytoimprovedhealthcare,(vi)foodinsecuritytoadequatenutrition,(vii)lossofaccesstorestorationofcommunityassetsandservices,and(viii)socialdisarticulationtorebuildingnetworksandcommunities.
thesestrategicorientationsforreconstructionindicatethatirrmisnotmeantasapredictorofinescapablepauperization.onthecontrary,itmapsthewayforrestoringthelivelihoodsofthedisplaced.Asinothermodels,thecomponentsoftheirrmareinfluencedbyplanninginordertodiminishtheimpactofoneorseveralrisks,asconditionspermit.Understandingthelinkagesamongthecorrelatedrisksofresettlementenablesprojectdesignerstocapturesynergiesandadoptmeasuresthataddressmorethanoneriskatatime.
1. Risk Reduction through Policy Measures
Beyondmeasuresat theproject level, therearealsopolicies to reduceresettlement risks.forinstance,economicpoliciesthatkeepthecostofenergytoolowtendtoencourageoverconsumptionandtoleratewaste,thus,leadingtotheconstructionofmoredamsorthermalplants,whichproducesdisplacementrisks.thissuggeststhattherisksofresettlementcanalsobediminishedthroughbetterdemand-managementpolicies.Ultimately,theinterlockedrisksinherentindisplacementcanbecontrolledwhenborrowersadoptbroadnationalpoliciesforriskreversalsandsafetynets.singlemeans—forinstance,cashcompensation—cannotrespondtoallrisks.Assetcompensationaloneisnotasubstitutefortheabsenceofmultidimensionalrisk-reductionstrategies.
2. Specific Steps in Risk Reduction
theuseofirrmstartswithasite-specificassessmentofhowthegeneralriskswouldvaryinthegivenlocalcontext.thespecificconfigurationsofdisplacementriskscanbedeterminedforeachimportantpopulationgroup.thenecessaryinformationforthisresultsfromthepopulationandassetcensusfortheareastobecondemnedorpartiallyaffected.differencesinriskincidenceamongdifferentsegmentsofthepopulationwillstandoutimmediately.
maximumsafeguardingisachievedwheninvoluntarydisplacementisavoidedaltogether.thisisthefirstandforemostresponsetorisksthatshouldbeconsidered.recognizingrisksupfrontandtheirfinancial implications isoftenapowerful stimulus toseekanalternative thatwilleliminate theneedforcompletedisplacementortocutdownitssize.thisistechnicallypossiblebychangingthesiteofaprojecteddam,forinstance,orbyreroutingahighwayaround(ratherthanthrough)adensehumanresettlement.manyothertechnicaloptionscanbefoundthroughcreativesearch.
C. Risk-Reduction Measures
theexperiencesofsuccessfulresettlementprocessesofferaninventoryofrisk-reductionmeasuresthatcanbeactivatedforeachcommonriskinresettlement.severalexamplesfollow.
1. Land-Based Resettlement to Prevent Landlessness
(i) createlandreservesbypoolinglandsavailableinlandmarkets,whichisbestachievedwhenland-poolingstartsbeforedisplacementbegins.
138 HAndBookonsociAlAnAlYsis
(ii) Bringnewlandsintocultivation(e.g.,terracingsteephillylands).(iii) increaseintensitythroughirrigation,forexample,orbyplantingnewspeciesorengagingin
newcultivationpractices.(iv) introducelandceilingsandreallocationinnewlyirrigatedareas.
2. House Reconstruction to Prevent Homelessness
(i) Allocatehomesteadplotsinnewlycreatedvillagesitesorurbanresidentialareas,ratherthanjustcompensatethedisplacedfortheirlosthousesandcash.
(ii) facilitateresettlers’accesstohousingandconstructionmaterials.(iii) Avoidintermediary“colonies”forresettlers.(iv) packagecompensationforlostdwellingswithhousinggrantsandlong-termcreditfacilities
forhomeimprovement.
3. Reemployment to Mitigate Joblessness
thelossofjobsisoneofthehighestrisks,andishardtopreventandmitigategiventhehighinvestmentcostofcreatingnewjobs.settingemploymentpromotionprovisionsaspartoftheresettlementplancanincreaseemploymentoptions:
(i) exploitemploymentopeningscreatedbythenewproject.contractualagreementscanbereachedwithprojectemployerstorecruitaproportionoftheirlaborforcelocallyfromamongproject-affectedfamilies.
(ii) incash-scarceareas,helprecapitalizethedispossessedthroughemploymentintheprivatesector’sserviceactivitiesthattendtogrowrapidlyinsurrounding“boomtowns.”
(iii) stimulateself-employmentbyprovidingincentivestopeopleaffectedtorebuildtheirhouseswithsomespaceforfoodstalls,rentalrooms,smallworkshops,etc.
(iv) offerstructuredtraininginnewskillstothoseaffected,combinedwithon-the-jobtrainingandpreferentialpost-traininghirewithintheproject.
4. Rebuilding Communities and Social Networks
optionstoprotectsocialnetworksandreduceriskforpeopleaffectedoflosingsocialcapitalaremultipleandcanbeactivatedthroughsensitivesocialplanning,startingfromtheinitialstagesofprojectpreparation:
(i) provideinformationtopeoplepotentiallyaffectedearlyonaboutresettlementalternatives,possible sites, and timetables, etc., and, with their participation, find the best optionsavailable.
(ii) encourage self-organization among those affected to effect the physical relocationwithmutualhelpandreduceddisruptions.
(iii) planforgroup-basedrelocationasmuchaspossible,toallowthere-creationatthearrivalsitesofgroupstructuressimilartothoseinthedepartureareas.thesegroupscanbekinunits,extendedfamilies,neighborhoods,ethnicgroups,etc.
(iv) provide incentives for group activities in rebuilding community services and individualdwellingsatthearrivalsite.
Appendix7.3 inVolUntArYresettlementconsiderAtionsinproJectdesiGn 139
(v) diminishthepowerlessnessofthoseaffected.empowerassociationsamongthemprimarilyfortakingoverself-administrationresponsibilitiesatthenewsites.
comparableactivitiestoaddressspecificriskscanbeincludedintheresettlementplanfortheotherelementsinirrm.theydonotmakeupanexhaustivelistbutillustratethatthechallengeofpreventingorreducingimpoverishmentrisksistodevelopavastspectrumoflocalsolutionsthatmakebestuseofopportunitiesinagivenprojectarea.
5. Resources for Risk Reduction
irrmenablesprojectdesignersandimplementerstocountnotonlyontheproject’sfinancialinputsasoutlaysforpreventingimpoverishmentrisksfromtakinghold,butalsofacilitatesplanningforusingprojectoutputsasaresourceforrestoringlivingstandardsamongthoseaffected.theimplementationofreconstructionstrategiescontinuesaftertheproject’scompletion,andprojectdesignshouldensurethatresettlersshareinthebenefitsoftheprojectforwhichtheyweredisplaced.Amongthebestpracticesolutionsforenablingpeopleaffectedtoshareintheproject’sbenefitsarethefollowing:
(i) promoteaquacultureinprojectsthatcreatereservoirsandensurethatthoseaffectedaroundthereservoirwillbethefirsttobenefitfromthem.
(ii) promoteadditionalincome-generatingactivitiesrelatedtoproductiveresourcescreatedbytheprojects,enablingpeopleaffectedtosharetheirbenefits.
(iii) support,throughpolicydecisions,theallocationofasmallpercentageofbenefits(evenlessthan0.01%)resultingfromthenewprojectsforthecontinuoussustainabledevelopmentoftheaffectedpeopleinthenewsettlementareas.
thepotentialtorechannelprojectbenefitstopeopleaffectedremainsunusedinmanyprojects.thisisbothinequitableandunjustified.often,suchpotentialisoverlookedbecauseoftrivial,notstructural,reasonsthatcanbeaddressedinprojectdesign:
(i) lackofcommitmentandconcernofprojectdecisionmakers,(ii) poormethodologiesofeconomicandfinancialanalysisattheproject-planninglevel,(iii) poorlydesignedresettlementcomponents,and(iv) lackofcreativityandinventivenessinusingresourcesavailabletotheproject.
However,suchapparentlytrivialreasonssometimesalsohavedeeperroots:theabsenceofnationalpoliciesandoflegallycompellingregulationsthatwouldmakeitmandatorytomaketheproject’sstreamofbenefitsaccessibletothedisplaced.nationalpoliciesformakingbenefitsharingastandardwouldreachfartheranddeeperthanproject-specificinitiativestopromotesuchapproaches.itisimportanttoaddresssuchaspectsofriskreductionbeyondprojects, throughpolicydialoguesandthroughsettingcountryandsectoralstrategies.
6. Including Risk Reduction in Resettlement Plans
the structure of a project’s resettlement plan becomes comprehensive and systematic byincorporatingthesetofstrategicreconstructioncomponentslistedabove.ofcourse,theplanneedstocontainotherelements,including(i)institutionalarrangementsfororganizingtheresettlementprocess,
140 HAndBookonsociAlAnAlYsis
(ii)thetimetableforimplementingit,(iii)costcalculations,(iv)financialallocations,and(v)monitoringprovisions.
7. Monitoring Risk Reduction
riskreductionduringresettlementimplementationmustbemonitoredcontinuously.monitoringworkcanbestructuredalongthesamekeyvariablesthatwereconsideredbyusingirrmforprojectpreparationanddesignwork.monitoringunitsinprojectswithresettlementcansimplifytheirworkbydisaggregatingtheirongoingevaluationandimpactstudiesalongdistinctrisks,andbyprovidingprojectmanagersandsupervisionteamswithupdatedfindingsonhowoneoranotherdimensionofreconstructionpost-displacementisevolving.suchmonitoringwouldproducefocusedfindings,whichareimmediatelyhelpfulfortargetingbetterimplementationandreconstructionefforts.
7.4. Involuntary Resettlement Plans and Frameworks
ifaproposedprojectiscategorizedasinvolving“significantresettlement”(categoryA)underAdB’spolicyoninvoluntaryresettlement(seeappendix7.1),afullresettlementplanmustbepreparedduringtheprojectdesignphaseoftheproject.iftheprojectiscategorizedasinvolving“notsignificantresettlement”(categoryB),ashortresettlementplanmustbeprepared.ifaproposedsectorprojectormultitranche-financingfacility(mff)iscategorizedincategoriesAorB,aresettlementframeworkmustbeprepared.sample outlines for these resettlement plans/frameworks are provided below. further guidance onpreparingresettlementplansisprovidedinAdB’sHandbook on Resettlement: A Guide to Good Practice(1998).
A. Sample Outline of Full Resettlement Plan2
Executive Summary
1. Scope of land acquisition and resettlement• describe,withtheaidofmaps,scopeoflandacquisitionandwhyitisnecessaryformain
investmentproject.• describealternativeoptions,ifany,consideredtominimizelandacquisitionanditseffects,
andwhyremainingeffectsareunavoidable.• summarizekeyeffectsintermsoflandacquired,assetslost,andpeopledisplacedfrom
homesorlivelihoods.• specifyprimaryresponsibilitiesforlandacquisitionandresettlement.
2. Socioeconomic information• define,identify,andenumeratepeopletobeaffected.• providedataonexistingeconomicandsocial conditionsofaffectedpeople, including
gender-disaggregateddata,basedonasocioeconomicsurvey.
2 Based on AdB’s Handbook on Resettlement: A Guide to Good Practice (1998, p. 16–17); format and scope of a fullresettlementplanareavailableat:www.adb.org/resettlement/full-scope-rp.pdf;andoutlineofaresettlementplan,availableat:www.adb.org/resettlement/rp-outline.pdf
Appendix7.4 inVolUntArYresettlementplAnsAndfrAmeWorks 141
• describelikelyimpactoflandacquisitiononpeopleaffected(basedonanassetinventory,landassessment,andassessmentofotherlosses),takingintoaccountsocial,cultural,andeconomicparameters.
• identifyalllossesforpeopleaffectedbylandacquisition.• providedetailsofanycommonpropertyresources.• specifyhowprojectwill impactonthepoor, indigenouspeople,ethnicminorities,and
othervulnerablegroups,includingwomen,andanyspecialmeasuresneededtorestorefully,orenhance,theireconomicandsocialbases.
3. Objectives, policy framework, and entitlements• describepurposeandobjectivesoflandacquisitionandresettlement.• describethenationalpolicyandlegalframeworkforresettlementthatappliestotheproject
(includingrelevantnationalandlocalland,compensationandresettlementpolicies,andlawsandguidelines),andanygaps in this frameworkcomparedwithAdB’spolicyoninvoluntaryresettlement.
• proposemeasurestobridgeanygapbetweenAdB’sandthenational/localpoliciesoninvoluntaryresettlement.
• stateprinciplesandlegalandpolicycommitmentsfromgovernment/executingagencyfordifferentcategoriesofprojectimpacts.
• prepare an eligibility policy and entitlementmatrix for all categories of loss, includingcompensationrates.
• state principles for determining valuation and compensation of assets, income, andlivelihoods.
4. Gender-related impacts and mitigating measures• identifythesocioeconomicconditions,needs,andprioritiesofproject-affectedwomen.• proposemeasurestoensurethattheprocessoflandacquisitionandresettlementdoesnot
disadvantagewomen.(newland/housetitlesshouldbeinthenamesofbothspouses.forland/housesgivenasreplacementproperty,titlesshouldbeinthenameoftheperson[s]whoacquiredtheoriginalproperty.)
5. Information dissemination, consultation, participatory approaches, and disclosure requirements
• identifyprojectstakeholders.• describemechanismsforstakeholderparticipationinplanning,management,monitoring,
andevaluation.• describetheactivitiesundertakentodisseminateprojectinformation.• summarizetheresultsofconsultationswithaffectedpersons(includinghostcommunities)
anddiscusshowconcernsraisedandrecommendationsmadehavebeenaddressedintheresettlementplan.
• confirm disclosure of the draft resettlement plan to affected people and describearrangementstodiscloseanysubsequentplans.
• identifylocalinstitutionsororganizationstosupportpeopleaffected.• reviewpotential roleofnGosandcommunity-basedorganizations (cBos), including
women’sgroups.
142 HAndBookonsociAlAnAlYsis
6. Grievance redress mechanisms• establish mechanisms for resolving complaints and conflicts related to resettlement,
including formaland informal channels for redressofgrievances,appealsprocedures,andrelatedtimeframes.
7. Relocation of housing and settlements• identify options for relocation of housing and other structures, including replacement
housing,replacementcashcompensation,andself-selection.• reviewoptionsfordevelopingrelocationsites,ifrequired,intermsoflocation,qualityofsite,
anddevelopmentneeds,anddescribecommunityconsultationsabouttheseoptions.• providetimetablesforsitepreparationandtransfer,andspecifymeasurestohelpwith
transferandestablishmentatnewsites.• describelegalarrangementstoregularizetenureandtransfertitletoresettlers,including
provisionforissuanceofjointtitlestospousesandallocationofplotstoadultchildren,asrelevant.
• ensure location-specific considerations to protect livelihoods and access to basicservices.
• provideaplanforlayout,design,andsocialinfrastructureforeachsite.• specifymeasuresforplannedintegrationwithhostcommunities.• identifyspecialmeasuresforaddressinggenderissuesandthoserelatedtovulnerable
groups.• identifyanyenvironmentalrisksandshowhowtomanageandmonitorthem.
8. Income-restoration strategy • identify livelihoods at risk, including preparation of disaggregated tables based on
demographicdataandothersources.• developanincome-restorationstrategywithoptionstorestorealltypesoflivelihoods.• specifyjobopportunitiesinajobcreationplan,includingprovisionsforincomesubstitution,
retraining,self-employment,andpensions,whererequired.• prepareaplantorelocateandrestorebusinesses,includingincomesubstitution,where
required.• proposeappropriatesocialsafetynetmechanismsforproject-affectedpeople,suchas
socialinsuranceorprojectspecialfunds.• identifyspecialmeasurestoaddressgenderissuesandsupportvulnerablegroups.• identifyanyenvironmentalrisksandshowhowthesewillbemanagedandmonitored.
9. Institutional framework• identifymain tasks and responsibilities in planning, negotiating, consulting, approving,
coordinating, implementing, financing,monitoring, andevaluating landacquisitionandresettlement.
• reviewthemandateofthelandacquisitionandresettlementagenciesandtheircapacitytoplanandmanagethesetasks.
• provideforcapacitydevelopment,includingtechnicalassistance,ifrequired.• specifyroleofnGos,ifinvolved,andorganizationsofaffectedpersonsinresettlement
planningandmanagement.
Appendix7.4 inVolUntArYresettlementplAnsAndfrAmeWorks 143
• provideforinvolvementofwomen’sgroupsinresettlementplanning,managementandoperations,jobcreation,andincomegeneration.
• identifymeasurestoensurethatfemalestaffarehiredbytheresettlementagencytoworkwithandhelpaffectedwomeninallaspectsofresettlementactivities,includingplanningandimplementationofincome-restorationprograms.
10. Resettlement budget and financing• provideestimatesofcostsandcashflowstomeettheobjectivesoftheresettlementplan
accordingtoestablishedschedules.• identifylandacquisitionandresettlementcosts.• prepareanannualbudgetandspecifytimingforreleaseoffunds.• providejustificationforallassumptionsmadeincalculatingcompensationratesandother
costestimates(takingintoaccountbothphysicalandcostcontingencies),plusreplacementvalue.
• specifysourcesoffundingforalllandacquisitionandresettlementactivities.
11. Implementation schedule• provide a time schedule showing start and finish dates for major resettlement tasks
(synchronizedwiththeproject’sscheduleforcivilworksconstruction).• establishmilestonesforsupervisionofresettlement,tobeupdatedregularly.
12. Monitoring and evaluation• prepareaplanforinternalmonitoringofresettlementtargets,includingkeyindicatorsof
progress,mechanismsforreporting,resourcerequirements,anddatabasemaintenance.• prepareanevaluationplan,withprovisionforexternal,independentevaluationofextent
towhichpolicyobjectiveshavebeenachieved.• specifyparticipationofaffectedpersonsinmonitoringandevaluation.• provideformonitoringandevaluationofresettlementimpactsonwomen.
13. Other arrangements• furtherreviewresettlementplanfollowingcompletionofdetailedtechnical/engineering
designs,ifnotyetcompleted.• obtainformalagreementbytheexecutingagency.• includesupportingassurance(s)inthereportandrecommendationofthepresident(rrp)
andcovenant(s)infinancingdocumentsforproject.• disclosethefullresettlementplanontheAdBwebsiteafterapprovaloftheproject.
144 HAndBookonsociAlAnAlYsis
B. Sample Outline of Short Resettlement Plan3
Executive Summary
1. Scope of land acquisition and resettlement• describealternativeoptions,ifany,consideredtominimizelandacquisitionanditseffects,
andwhytheremainingeffectsareunavoidable.• summarizekeyeffectsintermsoflandacquired,assetslost,andpeopledisplacedfrom
homesorlivelihoods.
2. Objectives, policy framework, and entitlements• describethenationalpolicyandlegalframeworkforresettlementthatappliestotheproject
(includingrelevantnationalandlocalland,compensationandresettlementpolicies,lawsandguidelines),andanygapsinthisframeworkcomparedwithAdB’spolicyoninvoluntaryresettlement.
• proposemeasurestobridgeanygapbetweenAdB’sandthenational/localpoliciesoninvoluntaryresettlement.
• prepare an eligibility policy and entitlementmatrix for all categories of loss, includingcompensationratesatreplacementcosts.
3. Gender-related impacts and mitigating measures• identifythesocioeconomicconditions,needs,andprioritiesofproject-affectedwomen.• proposemeasurestoensurethattheprocessoflandacquisitionandresettlementdoesnot
disadvantagewomen.(newland/housetitlesshouldbeinthenamesofbothspouses.forland/housesgivenasreplacementproperty,titlesshouldbeinthenameoftheperson[s]whoacquiredtheoriginalproperty.)
4. Information dissemination, consultation, participatory approaches, and disclosure requirements
• identifyprojectstakeholders.• describemechanismsforstakeholderparticipationinplanning,management,monitoring,
andevaluation.• describe the activities undertaken to disseminate project information and summarize
resultsofconsultationswithaffectedpeople.• confirm disclosure of the draft resettlement plan to affected people and describe
arrangementstodiscloseanysubsequentplans.• identifylocalinstitutionsororganizationstosupportpeopleaffected.• reviewpotentialroleofnGosandcBos,includingwomen’sgroups.
5. Grievance redress mechanisms• establish mechanisms for resolving complaints and conflicts related to resettlement,
includingformalandinformalchannelsforredressofgrievances,appealsprocedures,andrelatedtimeframes.
3 BasedonAdB’sHandbook on Resettlement: A Guide to Good Practice (1998,p.18);andformatandscopeofashortresettlementplan,availableat:www.adb.org/resettlement/short-scope-rp.pdf
Appendix7.4 inVolUntArYresettlementplAnsAndfrAmeWorks 145
6. Compensation, relocation, and income restoration• describearrangementsforvaluinganddisbursingcompensation.• describearrangementsforhousingrelocation,includingtransferandestablishment.• describeincome-restorationmeasurestobeimplemented.• identifyanyenvironmentalrisks,anddescribemanagementandmonitoringsteps.
7. Institutional framework• identify main tasks and responsibilities in planning, managing, and monitoring land
acquisitionandresettlement.• provideforinvolvementofwomen’sgroupsinresettlementplanning,managementand
operations,jobcreation,andincomegeneration.• identifymeasurestoensurethatfemalestaffarehiredbytheresettlementagencytowork
withandassistaffectedwomeninallaspectsofresettlementactivities.
8. Resettlement budget and financing• identifylandacquisitionandresettlementcostsandfundingsources.• establisharrangementsfortimelydisbursementstoaffectedpeople.
9. Implementation schedule• establishtime-boundactionsforprojectactivitiestoensurecompensationandassistance
foraffectedpeoplebeforeawardofcivilworkscontracts.
10. Monitoring and evaluation• specifyarrangementsformonitoringandevaluation.• provideformonitoringandevaluationofresettlementimpactsonwomen.
11. Other arrangements• reviewresettlementplanfurtherfollowingcompletionofdetailedtechnical/engineering
designs,ifnotyetcompleted.• obtainformalagreementbytheexecutingagency.• include supporting assurance(s) in rrp and covenant(s) in financing documents for
project.• disclosethefullresettlementplanontheAdBwebsiteafterapprovaloftheproject.
C. Sample Outline of Resettlement Framework4
AresettlementframeworksetsouttheresettlementpolicyforanAdB-financedsectorprojectormff,togetherwithscreeningandplanningproceduresthatwillapplytosubprojects,components,orinvestmentspreparedandapprovedduringimplementationtoensurethattheyconformtoAdB’spolicyoninvoluntaryresettlement.
4 Basedonformatandscopeofaresettlementframework.Availableat:www.adb.org/resettlement/scope-rf.pdf
146 HAndBookonsociAlAnAlYsis
Executive Summary
1. Objectives, policy framework, and entitlements• describelikelyoverallscopeoflandacquisitionandresettlement.• establisheligibilitycriteriaforvariouscategoriesofdisplacedpersons.• review thenational policy and legal framework for resettlement, identifying any gaps
betweenthisframeworkandAdB’spolicyoninvoluntaryresettlement.• propose measures to bridge any gap in the resettlement policies of AdB and the
government.
2. Socioeconomic information• establishmethodsforpreparingapopulationrecord,conductingasocioeconomicsurvey,
collectinggender-disaggregatedsocioeconomicdata,andconductinganassetinventoryandvaluationandlandassessment.
3. Gender-related impacts and mitigating measures• providemeasurestoensurethatthesocioeconomicconditions,needs,andprioritiesof
project-affectedwomenareidentifiedandaddressed.• proposemeasurestoensurethattheprocessoflandacquisitionandresettlementdoesnot
disadvantagewomen.(newland/housetitlesshouldbeinthenamesofbothspouses.forland/housesgivenasreplacementproperty,titlesshouldbeinthenameoftheperson[s]whoacquiredtheoriginalproperty.)
4. Information dissemination, consultation, participatory approaches, and disclosure requirements
• proposemeasurestoensure(i)identificationofprojectstakeholders;(ii)disclosureofinformationabouttheproject;(iii)consultationstodetermineprinciplesoftheresettlementframework;(iv)mechanisms for stakeholderparticipation inplanning,management,monitoring,andevaluationoftheresettlementframeworkandanysubsequentresettlementplans;(v)disclosureofsubsequentresettlementplanstoaffectedpeople;and(vi)involvementof localorganizations to support affectedpeople, suchasnGosandcBos, includingwomen’sgroups.
5. Grievance redress mechanisms• establishgeneralmechanismstoresolvecomplaintsandconflictsrelatedtoresettlement,
aswellasappealsprocedures.
6. Compensation, relocation, and income restoration• propose methods for valuing affected assets and any necessary measures to ensure
replacementcostsforlostassetsandincome.• proposemeasuresforincomerestorationandrelocation,asrequired.
7. Resettlement budget and financing• establishmethodsforresettlementplanningandbudgeting.• providearrangementsforapprovalofresettlementcostestimates.
Appendix7.4 inVolUntArYresettlementplAnsAndfrAmeWorks 147
• outlinetheflowoffundstoaffectedpeople.• providecontingencyarrangements.
8. Implementation schedule• outline a time frame and key steps to prepare an implementation schedule for
subprojects.
9. Monitoring and evaluation• establishstepstoconductbothinternalandindependentmonitoringandevaluationof
resettlementactivities,includingimpactsonaffectedwomen.
10. Implementation arrangements• Assess the institutional capacity, resourcecapability, andproceduresofeachpublicor
privatesectorsponsororfinancialintermediarytoconductresettlement-relatedwork.• describetherelativeresponsibilitiesofpublic,private,andfinancialactorsintheproject
(forprojectsinvolvingprivatesectorintermediaries).• provide sufficient resources for resettlement screening, and for preparation and
implementationofoneormoreresettlementplans.
11. Other arrangements• obtainformalagreementbytheexecutingagencyorotherprojectsponsor.• include supporting assurance(s) in rrp and covenant(s) in financing documents for
project.• disclosethefullresettlementplanontheAdBwebsiteafterapprovaloftheproject.
148 HAndBookonsociAlAnAlYsis
Appendix8.2 indiGenoUspeoples’impActcAteGoriZAtionform 149
Appendix 8Indigenous Peoples
8.1. Indigenous Peoples’ Screening Checklist
country/projecttitle:
lending/financing department/modality: division:
Screening questions Not Yes No Any other comments Known
Asidefromthemainstreampopulation,aretherepopulationgroupswhohavebeenlivingintheprojectlocationbeforemodernstatesorterritorieswerecreatedandbeforemodernbordersweredefined?
Aretherepopulationgroupswhomaintainculturalandsocialidentitiesseparatefrommainstreamordominantsocietiesandcultures?
Aretheretribalgroupsorculturalminoritieswhohavemigratedintotheprojectareastowhichtheyarenotindigenous,butwhohaveestablishedapresenceandseparatesocialculturalidentity?
Aretherepopulationgroupsthatidentifythemselves,orareidentifiedbyothersandthemainstreampopulationorbythelaw,asbeingpartofadistinctindigenousculturalgrouporethnicminority?
Aretherepopulationgroupswithalinguisticidentitydifferentfromthatofthemainstreamsociety?
Aretherepopulationgroupswithsocial,cultural,economic,andpoliticaltraditionsandinstitutionsdistinctfromthemainstreamculture?
Aretherepopulationgroupswitheconomicsystemsorientedmoretowardtraditionalsystemsofproductionthanthemainstreamsystems?
Aretherepopulationgroupswhomaintainattachmentstotraditionalhabitatsandancestralterritoriesandthenaturalresourcesinthesehabitatsandterritories?
Comments by Environment and Social Safeguards Division (RSES) staff
c notknownwhetherindigenouspeopleswillbeaffectedand,therefore,theprojectteamshouldgatheradditionalinformationduringtheprojectpreparatorytechnicalassistance(pptA)fact-findingmission.
c Yes,indigenouspeopleswillbeaffectedand,therefore,asocialdevelopmentspecialistshouldbeinvolvedinpptAfact-finding.
c no,indigenouspeopleswillnotbeaffectedand,therefore,thereisnoneedtoinvolveasocialdevelopmentspecialistduringpptAfact-finding.
150 HAndBookonsociAlAnAlYsis
8.2. Indigenous Peoples’ Impact Categorization Form
A. Project Data
Country/Project Title:
Depatment/Division: Processing Stage:
Lending Modality: c projectloan c financialintermediationloanorequityinvestment
c programloan1 c emergencyloan c sectorloan c sectordevelopmentprogramloan
Categorization Status: newc reclassificationc previouscategoryc
B. Identification of Indigenous Peoples in Project Area
Impact on indigenous peoples (IPs)/ Not Yes No Remarks or identified ethnic minorities (EMs) Known problems, if any
Arethereipsoremgroupspresentinprojectlocations?
dotheymaintaindistinctivecustomsoreconomicactivitiesthatmaymakethemvulnerabletohardship?
Willtheprojectrestricttheireconomicandsocialactivityandmakethemparticularlyvulnerableinthecontextofproject?
Willtheprojectchangetheirsocioeconomicandculturalintegrity?
Willtheprojectdisrupttheircommunitylife?
Willtheprojectpositivelyaffecttheirhealth,education,livelihood,orsocialsecuritystatus?
Willtheprojectnegativelyaffecttheirhealth,education,livelihood,orsocialsecuritystatus?
Willtheprojectalterorunderminetherecognitionoftheirknowledge,precludecustomarybehaviors,orunderminecustomaryinstitutions?
incaseofnondisruptionofindigenouscommunitylifeasawhole,willtherebelossofhousing,stripofland,crops,trees,andotherfixedassetsownedorcontrolledbyindividualindigenoushouseholds?
1 Appliestoprogramloanswithinvestmentcomponents.
Appendix8.2 indiGenoUspeoples’impActcAteGoriZAtionform 151
Project Activity and Output Anticipated Positive Effect Anticipated Negative Effect (including social, cultural, economic, (including social, cultural, economic,
and/or environmental impacts) and/or environmental impacts)
1.
2.
3.
4.
5.
C. Anticipated Project Impacts on Indigenous Peoples
D. Decision on Categorization
Afterreviewingtheanswersabove,theprojectteamleaderandsocialdevelopmentspecialistagreethattheproject:
c shouldbecategorizedasanAproject:anindigenouspeoples’developmentplan(ipdp)isrequiredor,forsector/fiprojects,anindigenouspeoples’developmentframework(ipdf)isrequired.
c shouldbecategorizedasaBproject:aspecificactionfavorabletoindigenouspeoples/ethnicminorityisrequiredandaddressedthroughaspecificprovisioninrrpandinrelatedplanssuchasaresettlementactionplan,agenderactionplan,orageneralcommunityparticipatoryplan.
c shouldbecategorizedasacproject:noipdp/ipdforspecificactionrequired.
Project Team Comments:
RSES Comments:
Proposed by: Reviewed by:
_____________________________ ________________________________projectteamleader,division seniorsocialsafeguardspecialist,rsesdate:________________________ date:___________________________
Endorsed by:
___________________________________________ ________________________________regionaldepartmentsocialdevelopmentspecialist director,rses date:________________________ date:___________________________
Endorsed by: Approved by:
_____________________________ ________________________________director,division chiefcomplianceofficerdate:________________________ date:___________________________
152 HAndBookonsociAlAnAlYsis
Explanation of Indigenous Peoples’ Impact Categorization
A. Summary of Categorization
theindigenouspeoples’categorizationdependsonthenatureandmagnitudeoftheproject’spotentialpositiveandnegativeimpactonindigenouspeoples,whichmayresultfromitslocation,thetypeandscaleoftheproject,andsensitivityofindigenouspeoples’issues.
categoryA—indigenouspeoples’developmentplan(ipdp)and/orindigenouspeoples’ developmentframework(ipdf)isrequired;categoryB—specificactionisrequired,butnotwithintheframeworkofanipdp;andcategoryc—noimpact.
B. Definition of Categories
Category A
AproposedprojectisclassifiedascategoryAifitislikelytohavesignificantpositiveornegativeimpactsonindigenouspeoples.Anipdpand/oripdfisrequiredforacategoryAprojecttoavoidnegativeimpactsandensureappropriatebenefits.thecircumstanceswhereaninterventionisconsideredhavingasignificantimpactonindigenouspeoplesinclude:
(i) positiveornegativeeffectsontheircustomaryrightsofuseandaccesstolandandnaturalresources;
(ii) positiveornegativeeffectsontheirsocioeconomicandculturalintegrity;(iii) positiveornegativeeffectontheirhealth,education,livelihood,andsocialsecuritystatus;(iv) impactsthatmayalterorundermineindigenousknowledge,precludecustomarybehaviors,
orunderminecustomaryinstitutions;(v) projectwillbelocatedin,orpassthrough,areasofsignificantindigenouspeoples’settlement
and/oruse;and(vi) projectproposestotargetindigenouspeoplesspecificallyinoneormoreofitsmainactivities,
orisanticipatedtohavesignificantnegativeeffectsonindigenouspeoples(appendix7).
intermsofcommunityimpacts,theimpactareamaybeconsiderablybroaderthantheimmediateareaphysicallyaffectedbyaproject.categoryAappliestoaprojectanditsimpactareawhereindigenouspeoplesmaintaindistinctivecustomsoreconomicactivitiesthatmaymakethemparticularlyvulnerabletohardship.italsoappliestoaprojectthatislikelytoadverselyaffectordisruptcommunitylife.Afull-blownipdpshouldincludespecificdeliverables,budget,andschedules.
Anipdfisrequiredforaprojectifitisfinancedundersectorinvestmentloans,financialintermediaryloans,oracreditlineorequityinvestmenttoathirdparty,andotherAdB-assistedprojectswithmultiplesubprojects. such projects are anticipated to have either positive or negative significant impacts onindigenous peoples, but the nature of the impacts cannot be determined until the subprojects arepreparedoruntilafterthedetailedtechnical/engineeringdesigniscompleted,orfollowingaprocessofcommunityconsultation.
Appendix8.3 indiGenoUspeoples’cHecklistforipsA 153
otherprojectsthatrequireanipdfincludeprogram,sectordevelopmentprogram,andsectorloansthatarelikelytocoveranareawhereindigenouspeopleslive.Anipdfsetsouttheindigenouspeoples’policytogetherwiththescreeningandplanningprocedures,whichapplytosubprojects,components,orinvestmentsthataretobeapprovedduringloanimplementation.Anipdfprovidesastrategytoensurethattherequirementsofthepolicyonindigenouspeoplesaremet.
Category B
AproposedprojectisclassifiedascategoryBifitwillhavelimitedimpactsonindigenouspeoplesorwhenthereisariskthattheprojectmaynotbringtheintendedbenefitstotheaffectedindigenouspeoples within a specific plan. specific action in favor of indigenous peoples is required to ensureappropriatebenefitsandmitigateadverseimpact,whichactionisnotnecessarilywithintheframeworkofafull-blownipdp.thefavorableactiondoesnotrequirespecificdeliverables,budget,andschedulesbecauseitcanbeembeddedinprojectcomponentsordealtwiththroughtheresettlementactionplan,thegeneralcommunityparticipatoryplan,oranyotherappropriatemeans.
Category C
Aprojectisclassifiedascategorycifitislikelytohaveveryminimalornoadverseorsignificantimpactonindigenouspeoples.forthiscategoryofproject,noipdporspecificactionisrequired,althoughimpactonindigenouspeoplesstillneedstobeproperlyreviewed.
8.3. Indigenous Peoples’ Checklist for IPSA
theAsiandevelopmentBank’s(AdB)policyonindigenouspeoples(1998)definesindigenouspeoplesas“thosewithasocialandculturalidentitydistinctfromthedominantormainstreamsociety,whichmakesthemvulnerabletobeingdisadvantagedintheprocessofdevelopment.”itrequiresthepreparationofanindigenouspeoples’planifindigenouspeopleare(i)likelytobeadverselyandsignificantlyaffectedbyanAdBintervention,or(ii)disadvantagedorvulnerableinaninterventionbecauseoftheirsocialorculturalidentity.
thefollowingtables(tablesA8.3.1–A8.3.4)andquestionsshouldbecompletedandpresentedintheinitialpovertyandsocialanalysis(ipsA)report.
Ethnic Group Number City/County Poor Farmers Technicians Literacy Death Comment Population (No.) (No.) (No.) Rate Rate Appended (%) (%)a (%)
dominantethnicGroup
minorityGroup1
minorityGroup2
total
Table A8.3.1: Key Statistics on Ethnic Populations for Year _____
%=percent,f=female,m=male,no.=number.alanguageinwhichliteracyismeasuredshouldbenoted.sourcesofinformation:Governmentagencieswithprimaryresponsibilityforethnicaffairs,women’saffairs,agriculture,health,andeducation.
M F Total
154 HAndBookonsociAlAnAlYsis
Main Economic Activity Local Resource Ownership Problem Identified (in order of importance) Utilized Right
Examples
subsistencefarmingofrootandvegetablecrops
fuelwoodcollectionforhomeuseandcommercialsale
collectionofforestplantsandfungi
slash-and-burnofmountainland
mountainforest
mountainforest
traditionallyrecognizedbutuntitledaccessrights
none
none
lackoflegallandtenuremayresultindispossessionthroughin-migrationbythedominantethnicgroup.
forestryauthoritiesareunabletocontrolillegalharvesting.extractionandecologicaldamageareunsustainable.
definitionofforestboundariesandusepreventscollectionofplantsthathavemedicinal,cultural,orritualsignificanceforthegroup.
Table A8.3.2: Access and Control Profile for_____ Indigenous People
ifdataareunavailable for tableA8.3.1,note the reasons (e.g.,not collected,not current,notaccurate)andprovidearoughpercentageorestimateofmagnitudeinstead(e.g.,high,medium,low;ornone,few,common,most).
obtainthefollowinginformationforthekeyindigenousorminoritygroups(thelargestgroupsandthosegroupswiththelargestnumberofpoor).
A. Overview of Population Characteristics in the Project Area
B. Characteristics of Indigenous Peoples’ Settlement
1. Howlonghasthegroupbeeninthearea?2. Hastheareaoccupiedbythegroupchangedsignificantlyinthelast100yearsorso?Why?3. Whatisthesettlementpatternofthegroup?doesthegroupconcentrateinanyparticulartopographic
location(e.g.,hilltops)?Why?doesthegroupconcentrateinanyparticularadministrativearea?Why?doesthegroupliveinitsowncommunityorinterminglewithothergroups?Why?
4. Howisgroupcohesionmaintained?doesthegrouphaveitsownofficialdecision-makinggroupsorrepresentatives?
a. isprimaryschooleducationavailableinthenativelanguageofthegroup? b. doesthegrouphaveamainreligion?doesithavelocalreligiouscenters(e.g.,temples)? c. dolargenumbersofthegroupwork,travel,ormigrateoutsidetheirareaofsettlement? d. describegenderrelationswithinthegroup(includinggenderdivisionoflabor,and
relativeaccessofmenandwomentobasicservices,economicopportunities,natural resources,andcommunitydecisionmaking).
5. Whatarethenationalandlocalgovernmentpoliciesandpracticestowardeachindigenous,tribal,orethnicminority?
6. isthereanationalorlocalgovernmentagencythatimplementsthenationalethnicaffairspolicy? ifyes:
• Whatareitsmainplansforeachminoritygroupforthenext5years? • Atwhatadministrativelevelsdoesithaveastaff? • Whatspecificactivitieshavethestaffundertakeninthelastyear? • Whatarethemainproblemstheagencyexperiencesinethnicaffairs? ifno:
• Whynot?doesthiscauseanydifficulties?
Table A8.3.3: Checklist for Characteristics of Indigenous Peoples’ Settlement
Appendix8.4 indiGenoUspeoples’deVelopmentplAnsAndfrAmeWorks 155
thisinformationshouldbepresentedasasuccinctsectionintheipsAreport(seebox8.3.1)togetherwithcompletedtablesA8.3.1−A8.3.4.thissectionshouldalsoreviewthekeyfindingsinrelationtoanticipatedprojectimpactandcommentaccordingly.
Box 8.3.1: Good Practice Example: IPSA Section Describing Local Ethnic Minority Groups
QuettareflectsBalochistan’scomplexculturalmosaic.overthepastseveralcenturies,thelong-standingBalochandrelatedBrahuigroupswerejoinedwithpashtoonspeakersfromAfghanistanandHazarapeoplefromcentralAsia.Arrivalsthataremorerecentincludepeoplefromthenorth-Westfrontierprovinces,punjab, andsindh, aswell asAfghan refugees.While islam is aunifying force, all subgroupshaveadistinctivesocialorganizationandculturalfeatures.differentpatternsoftribalpowerandauthorityandtraditionalmechanismsforsocialsolidarityhavesurvivedvarioussocialtransformations.Groupstendtosettletogetherincommunities,oftenatthefringesofthecity.theyincludetheHazarapeopleinmariabad,thepathaninpashtoonabad,theBalochandBrahuiinHudd,andtheBaloch,Brahui,andpathaninkilisheikan.theexistenceofcommonethnic,tribal,andfamilytiescanfacilitatedevelopmentofcommunityactiontoimprovewatersupplyandsanitationandenvironmentalconditions.
ipsA=initialpovertyandsocialanalysis.source:AsiandevelopmentBank.1997.
8.4. Indigenous Peoples’ Development Plans and Frameworks
ifaproposedproject iscategorizedas likely tohave“significant impacts”on indigenouspeople(categoryA)underthepolicyonindigenouspeoples(seeappendix8.2),anipdpmustbepreparedduringtheprojectdesignphaseoftheproject.iftheprojectiscategorizedaslikelytoinvolve“limitedimpacts”onindigenouspeople(categoryB),specificactionsmustbeincorporatedintheprojectdesigntoaddressindigenouspeoples’needs.ifaproposedsectorprojectormultitranchefinancingfacility(mff)iscategorizedincategoryA,anipdfmustbeprepared.sampleoutlinesfortheseplans/frameworksareprovidedbelow.AdB’sindigenouspeoples’policyHandbook(June2007draft)providesfurtherguidanceonpreparingtheseplans.
Project Activity and Output Anticipated Positive Effect for Anticipated Negative Effect for Indigenous Peoples Indigenous Peoples (including social, cultural, economic, (including social, cultural, economic,
and/or environmental impacts) and/or environmental impacts)
1.
2.
3.
4.
5.
Table A8.3.4: Anticipated Project Impacts
responsesinthistablearetobederivedfromfieldinformationandobservations.itshouldbeindicatediftheyareunknown.
156 HAndBookonsociAlAnAlYsis
A. Sample Outline of IPDP1
Executive Summary
1. Background and context• descriptionofprojectandprojectcomponents;• briefdescriptionofindigenouspeoplesintherelevantcountry;• relevantlegalframework;• baselinedataonindigenouspeoplesintheprojectarea,including
(i) mapsoftheareaofprojectinfluenceandareasinhabitedbyindigenouspeoples,analysisofthesocialstructureandincomesourcesofaffectedindigenouspeoples,
(ii) inventoriesof resourcesusedby indigenouspeoples and technical dataon theirproductionsystems,
(iii) informationonrelevantculturalpracticesandpatterns,and(iv) relationshipsofindigenouspeoplestootherlocal/nationalgroups;
• keypositiveprojectimpactsonindigenouspeoples;and• keynegativeprojectimpactsonindigenouspeoples.
2. Objectives of IPDP• explainhowAdB’spolicyonindigenouspeopleswillbefollowed.
3. Development and/or mitigation activities• describedetailsofdevelopmentactivities.• describedetailsofmitigationactivities.
4. Strategy for indigenous peoples’ participation• describe mechanism for ensuring participation of indigenous peoples in planning,
implementation,monitoring,andevaluation.• describeproceduresforproject-relatedgrievances.
5. Institutional arrangements• identifymaintasksandresponsibilitiesinplanning,managing,andmonitoringdevelopment
and/ormitigationactivities.• identify role of nongovernment organizations (nGos) or indigenous organizations in
implementingthedevelopmentand/ormitigationactivities.
6. Budget and financing• identifycostofdevelopmentand/ormitigationactivities(includingcontingencyfunds)
andfundingresources.• providedetailedcostestimates forplannedactivitiesand investments.suchestimates
shouldbebrokendownintounitcostsbyprojectyearandlinkedtoafinancingplan.
1 AdB.2006.indigenouspeoplespolicyHandbook.draft,April,p.47.
Appendix8.4 indiGenoUspeoples’deVelopmentplAnsAndfrAmeWorks 157
7. Supervision and implementation• specifyarrangements forsupervisionof the ipdp, includingprogress reports,midterm
review,andinspections.
8. Monitoring• prepareaplanforinternalandindependentmonitoringandevaluationofthetargetsofthe
majordevelopmentand/ormitigationactivitiesrelatedtoindigenouspeoples,includingincorporationofindigenouspeoples’ownindicatorsofsuccessthatweregatheredduringthesocialanalysis.
9. Implementation schedule• prepareatimetableofmajoripdpactivitiesindicatingthesequence,lengthofactivities,
timeline,andresponsibleagent.
B. Sample Outline of IPDF2
Executive Summary
1. Background and context• descriptionofprojectandprojectcomponents;• briefdescriptionofindigenouspeoplesinthecountryandprojectarea,ifknown;• relevantlegalframework;and• potentialbeneficialoradverseimpactsofprojectonindigenouspeoples,ifknown.
2. Objectives/principles of the IPF/IPDF• explainhowAdB’spolicyonindigenouspeopleswillbefollowed.
3. Selection criteria for subprojects• describeselectioncriteriarelatedtoindigenouspeoplesforfuturesubprojects.• describetheexecutingagency’sappraisalproceduresfordeterminingtheimpactoffuture
subprojectsonindigenouspeoples.
4. Strategy for indigenous peoples’ participation• describe mechanism for ensuring indigenous peoples’ participation in planning,
implementing,monitoring,andevaluation.• describeproceduresforproject-relatedgrievances.
5. Institutional arrangements• identifymaintasksandresponsibilitiesinplanning,managing,andmonitoringdevelopment
and/ormitigationactivities.• identifyroleofnGosorindigenousorganizationsinimplementingthedevelopmentand/or
mitigationactivities.
2 footnote1,p.50.
158 HAndBookonsociAlAnAlYsis
6. Budget and financing• explainmeasuresforplanningandbudgetingofipdpandfundingresources.• showarrangementsforapprovalofipdpcostestimates.
7. Monitoring and evaluation• describearrangementsforbothinternalandindependentmonitoringandevaluationof
ipdp.
8. Procedural arrangements• identifysufficientresourcesforscreeningofindigenouspeoples’issues,ipdppreparation,
andipdpimplementationforfuturesubprojects.• describe the process whereby ipdps prepared by the executing agency for future
subprojectsthatAdBwillappraise.
C. Specific Actions3
1. incorporateindigenouspeoplesintotheprojectasabeneficiarygrouporsubgroup.
2. incorporateindigenouspeoples’specificneedsintotheprojectdesign.
3. Where indigenous and nonindigenous groups live in the same project area, develop acommoncommunityactionplanincludingtranslationintoindigenousandnonindigenouslanguages.
4. reflectspecificactions inauxiliarydocumentssuchastheresettlementplan/framework,socialdevelopmentactionplan,orgenderplan.
5. developmonitoringindicatorsforthespecificactionsandincludethemindmf.
3 footnote1,pp.51–52.
Appendix8.2 indiGenoUspeoples’impActcAteGoriZAtionform 159
Appendix 9Labor
9.1. Core Labor Standards1
A. Overview
Aspartofitssocialprotectionstrategy(2001),theAsiandevelopmentBank(AdB)hascommittedtocomplywiththeinternationallyrecognizedcorelaborstandards(cls)initsoperations.clsincludefourbasicrightsandprinciplesatwork:
(i) freedomofassociationandtherighttocollectivebargaining,(ii) eliminationofdiscriminationinemploymentandoccupation,(iii) eliminationofallformsofforcedandcompulsorylabor,and(iv) effectiveabolitionofchildlabor.
theinternationallabourorganization(ilo)highlightedclsinitsdeclarationonthefundamentalprinciplesandrightsatWork(1998),whichcalleduponallilomembercountriestocomplywiththefourprinciples,eveniftheyhavenotyetratifiedallrelevantiloconventions.mostAdBmembercountriesarealsoilomembers,andthereforeareobligatedtocomplywithcls.2
Additional labor standards reinforce cls, such as those related to workers with familyresponsibilities,protectionofmigrantworkers,workinghoursforyoungworkers,andindustrialrelations.otherlaborstandardsthatcomplementtheclsandcontributetoinclusivesocialdevelopmentcoversuchsubjectsas
(i) occupationalhealthandsafety,(ii) employmentpromotion,(iii) minimumwagesandpaymentofwages,(iv) socialsecurity,(v) laboradministration(includinglaborinspections),and(vi) specificeconomicsectorsoroccupations(e.g.,plantationworkers,home-basedworkers,
seafarers,dockworkers,andnursingpersonnel).
WhilemostAdBmembercountrieshavecommittedtosupportclsandotherinternationallaborstandards(e.g.,byratifyingseveraliloconventions),thisdoesnotinitselfensurethatthecountriesarecomplyingwiththeselaborstandards.compliancerequiresthatthecountryenactappropriatelaborlawsandregulationsandprovideadequateresourcestoenforcethem.
1 thisappendixisbasedonAdB’sCore Labor Standards Handbook(2006).2 intheAsiaandpacificregion,Bhutan,maldives,andsomepacificcountries(includingtherepublicofthemarshallislands,federated
statesofmicronesia,nauru,tonga,andtuvalu)arenotmembersoftheinternationallabourorganization(ilo).
160 HAndBookonsociAlAnAlYsis
B. Core Labor Standards in ADB Operations
severalentrypointssupportclsinAdB’soperationalcycle—i.e.,inpreparingcpss,andinthepredesign,design,andimplementationphasesofAdB-supportedprojects.theseentrypointsaresummarizedanddiscussedinboxA9.1.1.
1. Country Partnership Strategies
Atthecountryprogramminglevel,AdBsupportsclsandotherrelevantlaborstandardsbycarryingoutasummarylabormarketassessmentandincludingitineachcountrypovertyassessment(acoreinputtoeachcps).thissummarylabormarketassessmentincludesanexaminationofthecountry’slaborlawstoassesswhethertheyareconsistentwithcls.moreinformationonthepreparationofsummarylabormarketassessmentsisprovidedinappendix9.2.
2. Projects
Predesign Phase.Aspartoftheinitialpovertyandsocialanalysis(ipsA)carriedoutatthepredesignphaseofaproject,thefollowingquestionsshouldbeconsidered:
(i) Willtheproject’ssupportinfrastructuredevelopmentorotherwiseinvolvetheengagementofcivilworkscontractors?ifso,thenchildlaborissuesmayberelevant,aswellasequalwagesbetweenmenandwomenforworkofequalvalue.thiscategoryincludesurbanorruraldevelopment,transport,andenergyprojects.
(ii) Will theproject supportpublic sector reform, including theupdatingor revisionof laborlaws?
(iii) Willtheprojectinvolvetheprivatizationofpublicinstitutionsorrestructuringofenterprises,possibly involving layoffsofworkers?redeploymentmayraisecls issues related to theeliminationofemploymentdiscriminationandequalpay,aswellasseveralotherlaborissues(seeappendix9.3).
(iv) Willtheprojectinvolvearrangementsforcontractinglocallabororin-kindcontributionsoflaborbycommunities?ifso,dependingonthearrangements,clsissuesmayalsoarise.
Project Design.ifclsorothersignificantlaborissuesareidentifiedatthepredesignphase,thenfurtheranalysisshouldbedoneduringthedesignphaseandappropriatemeasuresshouldbebuiltintotheprojectdesign.Aprojectmayhaveadirectorindirectimpactonclsif
(i) theprojectisintendedtocreateorimproveemploymentopportunities;(ii) theprojectwillinvolvelayoffsofworkersduetoprivatizationorrestructuring;(iii) workers who are contracted under the project may be at risk of gender, race, or age
discrimination;(iv) theprojectareahasahighincidenceofchildlabororbondedlabor,andprojectcontractors
maybetemptedtousethem;or(v) theprojectareahasahigh risk forhuman trafficking,or theproject is likely to facilitate
trafficking(e.g.,alargeinfrastructureproject,especiallyalargetransportproject).
Appendix9.1 corelABorstAndArds 161
CPS• countrypovertyanalysis• countrypartnershipstrategy
Project Pre-Design (PPTAs)• conceptpapers(theprojectpipeline)• pptAfact-findingmissions• ipsA• tAreport
Project Design• selectionofconsultants• inceptionreport• midtermreport• finalreport• draftrrpwithsprss• loannegotiations
Project Implementation• government,executingandimplementing agencies,andbeneficiaries• contractors,suppliers,andconsultants• reviewmissionsandprogressreports• midtermreview• projectcompletionreport• projectperformanceevaluationreport
Issues related to CLS
• riskandvulnerabilityprofile• asummarylabormarketassessment
• identificationofbondedlabor,childlabor,orgenderand other inequalities in employment (“flaggingout”)
• identificationoftheneedforspecialconsultantsinthepptAteam(labor,gender,etc.)
• identificationof the situation concerning freedomofassociation
• designing necessary interventions to adhere tocls
• participation with stakeholders concerning thefutureimplementationofclsclauses
• formulation of appropriate assurances/covenantsforinclusioninfinancingdocuments
• scrutinizingdraftbiddingdocuments(inconstructionprojects).
• consultationswithimplementingagenciesoncls• draftingmodelclausesforbiddingdocuments• compliance with national legislation concerning
clsandils• monitoringandevaluatingofcls
Box A9.1.1: Core Labor Standards in ADB’s Operational Cycle
AdB=AsiandevelopmentBank,cls=corelaborstandards,cps=countrypartnershipstrategy,ils=internationallaborstandards,ipsA=initialpovertyandsocialanalysis,pptA=projectpreparatorytechnicalassistance,rrp=reportandrecommendationofthepresidenttotheBoardofdirectors,sprss=summarypovertyreductionandsocialstrategy,tA=technicalassistance.source:AdB.2006.Core Labor Standards Handbook.manila.
iftheprojectraisesclsissues,measuresshouldbeincludedintheimplementationarrangementstoensurecompliancewithclsandrelatednationallaborlaws.sucharrangementscould(i)requirethatallcivilworkscontracts includecommitments tocomplywithapplicable labor laws,particularly thosesupportingcls;and(ii)requiretheexecutingagencyandprojectimplementationconsultantstomonitorandreportontheperformanceofthecivilworkscontractorswithrespecttotheclsandotherrelevantlaborstandards.iftheprojectinvolvesretrenchmentofworkersorotherrestructuring,alabor-restructuringplan shouldbeprepared (see appendix9.3). thesemeasures shouldbe supportedby appropriatecovenantsinthefinancingdocumentsfortheproject.
162 HAndBookonsociAlAnAlYsis
Project Implementation.severalstepscanbetakentoensurethataprojectisimplementedincompliancewithclsandotherrelevantlaborstandards:
(i) thebiddingdocumentsandcontractsforanycivilworksandthetermsofreference(tor)fortheprojectimplementationconsultants,shouldbereviewedtoensurethattheycontainappropriateprovisionsrelatingtocls.
(ii) theprojectimplementationconsultantsshouldreviewthesitepracticesofthecivilworkscontractorsearly in the implementationphase, including thecontractors’ record-keepingpractices, arrangements for worker committees or other forms of worker participation,provisionofbasicsafetyclothingandequipment,andgeneralhousingandworkingconditionsforworkers.
(iii) provisionshouldbemadetobriefprojectstaffandconsultants,civilworkscontractors,andotherrelevantstakeholdersonclsandthespecificrequirementsoftheprojectrelatedtolaborstandards.
(iv) theexecutingagency,projectimplementationconsultants,oranindependentagency(suchasa localnongovernmentorganization[nGo])shouldmonitorcompliancewithclsonprojectworksitesthrough
• visualmonitoringtocheckthatworkersarewearing/usingappropriateprotectiveclothingorequipment;thatwomenarenotbeingsidelined;thatchildrenarenotworking;andthatappropriaterecordsarebeingmaintained;
• periodicreviewofthecontractor’srecordstocheckonwhoisemployedandforwhatduration,workinghours,workschedules,wagesandbenefitspaid,accidents,etc.;
• conversationswithworkerstocross-checktheabove;• discussionsofanyinconsistencieswithcontractorsortheirsiteagentsatregularsite
meetings;and• agreementonhowtodealwithpersistentnoncompliancebyacontractor(e.g.,through
incentivesorsanctions).
9.2. Summary Labor Market Assessment
AsexplainedinAdB’sPoverty Handbook(2006),thecountrypovertyanalysisthatispreparedasakeybackgrounddocumentforeachcpsshouldincludeasummarylabormarketassessment.Giventhatworkisthemainsourceofincomeforthepoorand,asdevelopmentproceeds,employmentbecomesthemajorsourceofeconomicsupportforworkersandtheirfamilies,alabormarketassessmentiscriticalto help identify the country’s development options. A labormarket assessment should recommendpoliciestoensureinclusive,labor-absorbing,andefficientdevelopmentpatterns.improvinglabormarketoperationsisanimportantelementofstrategiestoreducepoverty,assistinghumancapitaldevelopment,addressinggenderdiscrimination,allocatingacountry’shumancapitalresourcestotheirmostproductiveuses,enhancingwelfare,andencouraginggrowthanddevelopment.
thesummarylabormarketassessmentshouldbebriefandconcise,focusedonthedeterminationofcountryprioritiesbyrevealingemploymentpatterns.thesizeoftheformalandinformalsectors;sectoraldistribution(populationengagedinagriculture,industry,andservices);ruralandurbanactivepopulation;evolutionofrealwages;theroleofwomeninthelaborforce;workingconditions;andcompliancewithnationalandinternationallaborlawsandstandards,includingthereportedexistenceofchildorbondedlaborandviolationsofothercorelaborstandards—allwillprovideinformationtohelpdeterminecountry
Appendix9.2 sUmmArYlABormArketAssessment 163
priorities.insomecountries,thepriorityattentionwillbetohelptheunemployedorunderemployedworkingagepopulationfindemploymentopportunities,orfightchildlabor.inothers,theruralareasmayhavebeenforcedtoshoulderadisproportionateburdenofthecountry’ssocialproblems,andstrengtheningruralsystemsmaybeapriority.laborabsorptionisessentialtoavoidpoverty.thecountrylabormarketassessmentshouldevaluatewhichsectors/subsectorsandgeographicalareashaveademandforlaborandidentifywhichareasmayhaveanunmetsupplyoflabor,toidentifytherightmixofpublicpolicies.labormarketassessmentis,thus,akeyelementinthestrategic linkbetweeneconomicgrowthandpovertyreduction,andtheassessmentshouldproviderecommendationstoensureefficientandinclusivedevelopmentpatterns.
thesummary labormarketassessmentwillbebasedonsecondarysources. institutionssuchas the ilohavecomprehensivecountrystudies;otherorganizations, including theWorldBank,haveselected country studies. the key information required for a labor market assessment includes thecountry’sdevelopmentpattern;thestructureofthelabormarket(supplyanddemand);theinstitutionalframework(labormarket legislation,administrativestructure,socialstakeholders);andpolicyanalysis.someindicative,notprescriptive,notesarepresentedbelow.
A. Labor-absorbing Development Pattern
the assessment of the labor-absorbing development pattern of the country should be based on acomparison of the composition of economic growth (primary, secondary, and tertiary sectors) andthesectors’ labor intensity(laborforce inprimary,secondary,andtertiarysectors); leadingsectorsoftheeconomy;thesizeoftheinformalsector;domesticandforeigninvestmentprospects;andgrowthprojectionsinthemediumandlongterm.
(i) Whatarethecharacteristicsofgrowthandpoverty?Hasthepovertyratebeenreducedatthesamespeedastherateofgrowth?Hasgrowthbeenpro-poor,trickleddown?Hasgrowthbeensufficienttoemployallthepopulationofworkingage?
(ii) Whicharethemostdynamicsectorsoftheeconomy?Aretheylabor-intensive?(iii) Whatisthepercentageofthepopulationbelow18yearsofage?Willtheeconomybeable
toabsorballnewentrantsintothelabormarket?(iv) Which sector is the country’s niche in theworld economy? is this leading sector labor-
absorbing?ifnot,isittaxed?dothetaxrevenuesbenefitthoseoutsidethelabormarket?(v) isthegrowthratelow?Whatarethebarrierstoinvestmentbytheprivate/publicsector?What
canbedonetoaccelerategrowthwhileensuringpro-pooruseofscarcepublicresources?(vi) Whichsectors,inwhichgeographicalregions,shouldbepromotedintheshortand/orlong
termtosecureemploymentandprosperityforallcitizens?
B. Structure of the Labor Market
themainpurposeofthisanalysisistoidentifylabormarketimbalances.thiscanbedonebyanalyzingthedemandandsupplyforlaborseparately,andbyidentifyingthemajorsourcesofimbalances,suchasgeographical,skills,education,orgenderfactors.laborsupplyattendstothehumancapitalavailablein thenation,while labordemandattends to thehumancapitalneeds.thisallows the identificationofimbalancesandmismatchesinthesupplyanddemandoflabor,whichcanbeaddressedinfuturedevelopmentpolicies.
164 HAndBookonsociAlAnAlYsis
Labor Supply.theanalysisof supplyof laborstartswithdemographicdata.manyAsianandpacificcountrieshavefast-growingpopulations—ontheaverage,40%ofthepopulationarechildrenandyouthbelow19yearsold.theireconomieshavetogrowparticularlyfastiftheyaretodevelopemploymentintheformalsector.Withoutthatdevelopment,employmentisconfinedtotheinformal—normallysubsistenceeconomy—andthesecountrieshaveanimpossibletaskinreducingtheirpovertylevels.theimportantconsiderationislaborforcegrowth,whichisobviouslylinkedtocontrollingpopulationgrowth.theanalysisoflaborsupplyshouldalsocenteronworkingagepopulation,includingtheeconomicallyinactive.especiallyduringdeepeconomicchanges,substantialflowsofworkersoccurbetweentheeconomicallyactiveandeconomically inactivepools.followingatypical iloclassificationofthepopulationaccordingto laborcategories,thestatisticsbelowshouldprovideacomprehensivepictureoflaborsupply:
(i) demographicstructuresbymajoragegroups:childrenandyouth(0−14or0−18);workingage population (15−60/65or 19–60/65); elderly (60/65+); birth, death, and naturalgrowthrates;
(ii) thesize,structure(male/female,urban/rural,age,education)andprojectionsoftheworkingagepopulation(WAp=men15−60/65+Women15−60/65);
(iii) employment(and,ifavailable,underemployment)byeconomicactivity,occupation,gender,age,education,urban/rural,formal/informalandpublic/privatesectors;
(iv) unemploymentbygender,age,education,andurban/ruralsectors;(v) economicallyinactivepopulationbygroup(housewives,students,discouragedjobseekers,
andothers),age,gender,andeducation;(vi) labormigration(internalandexternal)andimpactonthestructureofthelaborforce;(vii) literacyrates,averageyearsofschooling,andchangesintheeducationsystemaffecting
schoolretention;and(viii) ifrelevant,changesinthepensionsystemaffectingretirementage.
Labor Demand. thebasiccharacteristicsofthelabordemandthatneedtobeassessedinclude
(i) economicstructure(nationalandregional,bysector);(ii) wagelevelsandearnings;(iii) relationshipbetweentheformalandinformalsectors;(iv) relationshipbetweenruralandurbansectors;(v) sizeandstructureofthepublicsector;and(vi) size,structure,andpotentialforprivatesectordevelopment.countrieswithasignificantshortfallbetweentheeconomicgrowthratesandthepopulationgrowth
ratesareboundtohavesubstantialinformalsectors.Assessinglabordemand,especiallyonadetailedindustryoroccupationlevel,maybedifficultexceptingeneralterms.formostpolicyprescriptions,thisproxymaybesufficient.forexample,quantificationoftheinformalsectorrequireseffortintermsofitsdefinitionand,onceadefinitionisagreedupon,anestimationofitssize.3
3 theformalsectormaybedefinedintermsofbusinessregistrationsbutthiswouldnotallowforemploymentestimatestobemade.itcouldalsobedefinedintermsofthoseresponsibleforpayingsocialtaxes,however,taxavoidancecanbehighsothattheresultingfiguresmaynotbeaccurate.Anotherdefinitionisbasedontheexistenceofcontractualarrangementsbetweenworkersandemployers.Whateverestimatesarefinallymade,theyshouldcovertwoelementsoftheinformalsector:ruralinformalemploymentwhichaffectsthemajorityofthepopulationinAsia;andinformalemploymentinurbanareas,growingduetomigrationprocesses—mostlyservicesectors—particularlytransport(taxis,bicycles,rickshaws,etc.),retailservices(includingitineranttrade),andtourism(restaurants,stalls,andsoon).theproblemsofthesesectorsrelatetolackorlimitedaccesstoasocialprotectionprogramwhich,moreorlessbydefinition,isconfinedtotheformalsector.
Appendix9.2 sUmmArYlABormArketAssessment 165
thepromotionofsmall-andmedium-sizedenterprisesisnormallyagoodpracticetogenerateemploymentandeconomicgrowth.thedevelopmentofamanufacturingsector,andthetypeandlevelofthesector,dependsonavarietyoffactorssuchasacceptedwagelevelsandtheskillsofthelaborforce.typically,countriesatthelowerendofdevelopmentgainimmediateimprovementsinincomesbecauseofdirectforeigninvestmentintomanufacturingbutthegainsarelimitedunlessthereisalonger-termmovementtowardhigher-levelmanufacturinginvolvinggreaterskills.servicescoverawiderangeofsectors,notablytourismandcommerce.thesesectorsarenotedfornumeroussmallenterprisesandforinformalemploymentingeneral.tourismisusuallyseenasagrowingindustryindevelopingmembercountries(dmcs)ofAdB,butagreatdealdependsonthenatureofthecountryinquestion—onitsopenness,perceivedlevelsofcorruption,potentialforcivilunrest,naturalorhistoricalsites,andqualityofinfrastructure.
thefinalstageoftheanalysisofthelabordemandconsistsofidentifyingthemajorconstraintsformatchinglaborsupplywithexistingdemand.
C. Existing Labor Market Policies
labormarketpolicies(lmps)compriseactiveandpassivelabormarketprograms.Activelabormarketprogramsinclude:
(i) directemploymentgeneration(e.g.,promotingsmall-andmedium-sizedenterprises,orpublicworks);
(ii) laborexchangesoremploymentservices(e.g.,jobbrokerageorcounselling)linkingsupplyofwithdemandforlabor;and
(iii) technical and vocational training, and skills development programs (training andretraining).
passivelabormarketpoliciesincludeunemploymentinsurance,incomesupport,andalegislativeframeworkthatshouldstrikeabalancebetweeneconomicefficiencyandlaborprotection.Anappropriatelegislative frameworkwill include provisions on issues such asminimumage,maximumhours andovertime,laborcontracts,industrialrelations,safeworkingconditions,specialprotectionappropriatefornewmothers,andantidiscriminationprovisionstoprotectwomenandminorities.internationallyrecognizedlaborstandards,whenratified,arealsopartofthelegislativeframeworkofadmc.Withregardtothecorelaborstandardsidentifiedbytheilo,noexplicitratificationisneededforthemtobepartofthelegislativeframeworkofacountrythatisamemberoftheilo.
theprimarygoalofexaminingacountry’slaborlegislationistoidentifylegislationthatactstorestricttheoperationsofthelabormarket,andpossiblenoncompliancewiththeinternationalcorelaborstandards.AllAdBinterventionsmustbedesignedinaccordancewithnationalandinternationallegislation—suchasthecorelaborstandards.specifically,themostrelevantlabormarketlegislationmayinclude
(i) legislationoncorelaborstandards;(ii) wagepolicies,whichincludelegislationonminimumwages;(iii) jobsecurityprovisions,whichcovertherecruitmentandseparationofemployees;(iv) working conditions, which cover issues such as working hours, leave provisions, and
occupationalhealthandsafety;and
166 HAndBookonsociAlAnAlYsis
(v) otherrelevantlegislation,suchasregulationscontrollinglabormobility(forexample,internalpassports)andenterprise-basedformsofsocialprotection,suchaspensionsorhousing.
Administrative Structures.theanalysisofexistinglmpscouldinclude:
(i) enumerationofexistinglmps(numberandtypesofpolicies/programs);(ii) organizations responsible for implementing lmps, including coordination between
organizations;(iii) sourcesoffinanceoflmps, includingflowof funds fromcentral to localunitsandcost
recoveryprocedures,ifany;4(iv) targetgroupsandtheprograms’effectiveness;and(v) capacitytoadequatelyinspectworkingconditions.
the analysis should avoid long narratives and statistical tables, but concisely evaluate theeffectivenessofthecountry’slmpsandpointoutareaswheredevelopmentisneeded.
D. Recommendations
earliersectionsshouldallowafirstassessmentofthemismatchofthedemandandsupplyoflabor;andwhetherthecurrentdevelopmentpatternofthecountryandlmpframeworkhelpinmatchingthesupplyanddemandoflabor.thisshouldallowrecommendationsonemployment-generatingpolicies,andoninvestmentsthatmaycorrectnationalorregionalimbalancesandaddressuncoveredproblemsinthelabormarket.5thefinalobjectiveistoensurethattheAdBportfoliosupportsinclusivelaborabsorbingdevelopment patterns, enhances welfare, supports compliance with national and international laborstandards,andhelpsallocatehumancapitaltothemostproductiveuses.
4 financecancomefromfourmainsources:governmentbudgets,specialoff-budgetfunds,cost-recovery,anddonors.Becauseofbudgetaryrestraints,governmentsmaywellbeinclinedtofavortheuseofoff-budgetfunds,typicallyfinancedbyemployers,payroll-basedlevies,andemployeelevies.thecapacitytofinancelabormarketpolicies,whetherthroughbudgetoroff-budgetfunds,dependsonacountry’staxbase.itisdifficulttocollectsignificantamountsofeitherincometaxesoremployer-basedtaxesincountrieswithlargeinformalsectors.inmanycountries,cost-recoveryproceduresareusedbutwithsignificantexemptionsapplied,giventhelowincomelevelsandtheopportunitycostofeducationfortheunemployed.
5 therecommendationsshouldbecarefulnottoaddresssymptoms(e.g.,unemployment)withoutrecognizingtheunderlyingcauses.retrainingprogramsfortheunemployed,forexample,maybeineffectivewherethemajorcauseofunemploymentislackoflabordemand—whichisthecaseinmanytransitioneconomies.
6 for additional information and guidance, see AdB. 2006.Technical Note: Labor Issues in Public Enterprise Restructuring.manila.
7 in theAsiaandpacific region,Bhutan,maldives,andsomepacific islands(including therepublicof themarshall islands,federatedstatesofmicronesia,nauru,tongaandtuvalu)arenotilomembers.
9.3. Mitigation of Labor Impacts: Labor Restructuring Plans6
Virtuallyalldmcs,7byvirtueofbeingmembersoftheilo,haveanobligationfromthefactofmembershipintheorganizationtorespect,promote,andrealizetheprinciplesunderlyingthefundamentalcorelaborstandards:(i)freedomfromforcedlabor,(ii)prohibitiononchildlabor,(iii)freedomfromdiscriminationattheworkplace,and(iv)freedomofassociationandtherighttocollectivebargaining.AdBcanhelpitsdmcsincomplyingwiththeseprinciplesinaproactivemanner,forexample,bysupportingprogramsto reduce child or bonded labor, or developing employment-generating projects for underprivileged
Appendix9.3 mitiGAtionoflABorimpActs:lABorrestrUctUrinGplAns 167
groups.AdBcanalsodoitinapassivemanner,forinstance,byensuringnondiscriminatorypracticesandadequatehealthandsafetystandardsforworkersengagedunderAdBprojects.incaseofpublicorprivatesectorrestructuring,AdBshouldensurethatworkers—particularlylow-incomeworkers—regardlessofrace,skills,gender,orreligious/politicalbeliefs,arenotunfairlydisadvantagedbecauseofanecessarydevelopmentintervention.
therearethreemajorsourcesofmasslayoffs:(i)marketshifts(cyclicalorstructural);(ii)privatizationand/orderegulation;and(iii)technologicaland/ororganizationalchange,includingenterpriserestructuring.necessarysectorprojectandprogramlendingrelatedto(ii)and(iii)maygenerateadverseimpactsonlaborthatshouldbemitigated.
Unemploymentandmasslayoffsareproblematicinanysociety,butpresentspecialchallengesindevelopingcountriesbecause
• thenumberofaffectedworkersisnormallylargerthaninwesternsocieties;• thepoliticalcontextmaynotbefavorabletocollectivebargaining;• often,thelabormarketissaturatedanddemandforlaborlow;and• challengesincreaseinsingle-industrycommunities.
therearethreemajorpolicyoptionstomitigatepossiblenegativeimpactsofprojectandprogramlendingonlabor:preventionoflayoffs,compensationforlaid-offworkers,andredeploymentoflaid-offworkers.
there isnobest solutionandeachsituationwill requirea tailoredplan inwhichconsultationbetweengovernment,employers,andlaborrepresentativesisessential.optimally,employerscanwinon productivity/wage cost rationalization so as to enhance enterprise competitiveness and workersbenefitfromalternativeemploymentoptions.Athoroughcountry,regional,andcompanylabormarketanalysistounderstandthecountry/regionaldemandforlaborandtheskillssuppliedbytheretrenchedworkers,isessentialtoevaluateoptionsfortheredundantemployees.theavailablepoliciesarebasedon(i)legalregulations,(ii)incomesupport,(iii)skillsdevelopmentthroughretrainingandemploymentservices,and(iv)improvedlabormarketinformationandcounselling.suchaspectsasage,gender,andskillsofthelaborforce,financialsolvencyofcompanies,fiscalimpacts,thelocallabormarketsituation,incomelevelsofemployees,existenceofadequatesocialprotection institutions(i.e.,unemploymentinsurance,vocational/technicaltrainingcenters,employmentservices)arecriticalelementswhenassessingamitigationmeasure.
A. Prevention
preventionoflayoffsisananticipatoryinterventiontoidentifyat-risksituations.preventionrequiresgoodtechnicalassessmentsandcollectiveactionbygovernment,employers,andworkerstonegotiatetheabsorptionoflossesandsharetheburden.thereareseveralpolicyapproachestopreventlayoffs:
(i) layoff restrictions: outrightbansandregulationsrequiringduediligencetomakelayoffsexpensivetofirms;thiscanbecombinedwithareductioninwagestoreducethelossescausedtocompanies;
(ii) employment maintenance:work-sharingarrangements;alternatively,tocompensatethereductiononsalaries,thestatecouldtemporarilysubsidizewages;
168 HAndBookonsociAlAnAlYsis
(iii) enterprise agreements: toabsorbworkers fromothercompanies in thesamesector;8and
(iv) enterprise development: adoption of a dynamic corporate strategy (developed inconjunctionwithlaborrepresentatives)designedtoexpandnewmarkets,profitablenewareasofbusiness,andemploymentopportunitiestooffsetdecliningones.
B. Compensation
compensationandredeploymentarethemostfrequentlyusedlabormitigationmeasures.compensationispreferredwhen(i)anticipateddisruptionofemployment is short; (ii) labor force isaged,ornearretirementage;or(iii)institutionalcapacityistoolowtobeabletoofferredeploymentpolicies.typesofcompensationinclude:
(i) unemployment insurance:ideally,thelaborforcehadbeencontributingtoafinanciallysolventunemployment insurancefund.this,however, isnotaregularsituation inmanydevelopingcountries.ifcontributionsweremadebutthefundmaynotbeabletocomplywithpayments,theprovisionofenrichedbenefitsorspecialprovisionscouldbeassessed.9
(ii) severance payments: severancepaymentsareofferedbasedonyearsofservice,position/rankatthetimeofleaving,andage;employeesmayacceptanofferedlump-sumpaymentonvoluntarybasis.
(iii) early retirement pensions: earlierretirementsrequirenegotiationgiventhatnormallyano-penaltyforadvancingpensionrightsissoughtbybeneficiaries,andeitherthegovernmentoremployerswillhave toabsorb thecosts,or theretireesaccepta lesserpension. it isnotadvisedtomakethepensionfundabsorbthecostsbecausethisisabadpracticethatpromotesunacceptabledistortionsinthesocialprotectionsystem.
C. Redeployment
redeploymentisapreferredoptionandbestpracticealwaysprovidedthat:(i)thelaborforceisyoungandflexible,able to learnnewskillsand—inaworsescenario—capableofgeographicalmobility;and(ii)thegovernmentiscommittedtoimprovinglabormarketfunctioningandhasthesufficientinstitutionalcapacitytosupportreforms.therearethreemajorsetsofoptions:
(i) Improving Labor Market Functioning.measuresmayinclude
• advance layoff notice: providing time to workers to search for alternative employment;
• eliminating rigidities: internal passports, police controls, licensing, or certification requirements;
• improving labor market information: connectingsupplyanddemandforlaborthrough employmentservices.
8 forexample,malaysiausedsuchagreements in theconstructionsectorduring thefinancialcrisis topreventmass layoffs;industrylevelagreementswerenegotiatedbetweentradeunionsandemployersorganizations.
9 Unemploymentinsurancefundsneedtobeestablishedinsituationsofemploymentandeconomicgrowth;itisnotadvisedtosetthemupinsituationsofeconomicstagnationandmasslayoffsastheystimulatebadpractices.
Appendix9.3 mitiGAtionoflABorimpActs:lABorrestrUctUrinGplAns 169
(ii) Active Labor Market Policies.policiesmayinclude
• retraining workers:retraininginskillsthathaveademandinthelabormarket;forthis, athoroughlabordemandassessmentneedstobedoneandatrainingplan(including subjects,trainers,availabletrainingcentersoron-the-job-trainingpositions,andestimated costs)identified;
• counselling, job brokerage centers: employment offices normally play a significant role by providing information on job vacancies and assisting laid-off workers upon personalpresentationoftheircurriculumvitae,facilitatingmigrationtoareaswherelabor demandishigh,etc.;
• promotion of self-employment: employmentofficescanalsoplayamajorroleinproviding support services (advice, training, credit, information about markets, etc.) for those interestedinself-employment;and
(iii) Stimulating Job Creation. incaseofeconomiccrisisorstagnation,suchasthe1930sintheUnitedstates,or1998intherepublicofkorea,directjobcreationbymeansofpublicworksmaybeashort-termsolutiontomitigatemarketfluctuations.
D. Divestiture of Social Assets and Services Provided by Enterprises
social assets and services (such as health clinics, kindergartens/day-care centers, schools, housing/accommodation,water,heating,meals/canteens,shoppingfacilities,transportationservices,pensions,andrecreation/socialclubs)areoftenprovidedbylargepublicandprivatefirms.Whenenterprisesareprivatized,thesesocialassetsnormallyneedtobedivested;however,simpleclosuremayresult inalargesocialloss.thereisnopreferredmethodfordivestingassets/servicesbutsimpletransfertolocalgovernmentsshouldbeavoided,unlessdemonstratedmanagerialandfinancialresourcesareearmarkedtomaintainservices/operations.othermethodsincludeprivatizingtheasset/service(i.e.,makeitalegalentityandproceedtoitssale)and/orallowingindividualsorcommunitiestooperateit.Aretrenchmentplanshould(i)identifyandestimatethevalue/cashflowofthesocialassets/services;(ii)discusswithallstakeholdersoptionstomaintaintheassets/services,bearinginmindthelong-termsustainabilityofrunningtheoperation;and(iii) ifprivatizationisapreferredoption,arrangefor legalworktoconvertfacilitiesintocommercialcompaniesandscheduleatimingfortheopensaleofeachasset/service.
E. Choosing Policy Options
Assessingpolicyoptionstomitigatepossiblenegativeimpactsofprojectandprogramlendingonlaborrequires a solid understanding of the interest of different stakeholders, available resources (human,fiscal)andknowledgeofthecountrylawsandidiosyncrasies.Amitigationprogramnormallyinvolvesacombinationofseveralofthemitigationmeasuresdescribedinearlierparagraphs,aftercarefulconsultationprocess.optimally,thereshouldbeinplacecollectivebargainingstructuresenablingemployers,whetherin thepublicorprivatesector, tonegotiateamutuallyacceptablepackagewithaproperly resourcedindependenttradeunionorganizationrepresentingtheemployees.suchapackagemight,forexample,incorporate(i)maximumemphasisonearlyretirement/naturalwastageratherthancompulsorylayoffsofyoungerworkers,(ii)productivity/wagecostrationalizationtoenhanceenterprisecompetitiveness,and(iii)investmentinproductandmarketdiversificationtoabsorbsurplusmanpower.selectivegovernmentsupport/subsidyforsuchapackagecouldbeappropriate(possiblyinvolvingaidagencyparticipation),
170 HAndBookonsociAlAnAlYsis
providedthatitssustainabilitywasthoroughlyappraisedanditwasnotallowedtobecomeanexcuseforprolongedinefficiencyandwasteofscarcefiscalresources.
mitigationoptions should always aim tobalancepolitical fairness andeconomic sustainabilityadequately. tableA9.3.1 lists the issuesof the three stakeholders thathave tobe takenaccount inmitigation.Anumberofrequirementsshouldbeconsidered:
(i) retrenchmentbecauseofprivateorpublicsectorrestructuringshouldbelinkedtosustainableproductivity improvements in the enterprise and to a sound macro and sectoral policyframeworkinplace.AsampleretrenchmentplanchecklistisshowninboxA9.3.1.
(ii) Asocioeconomicanalysisshouldbecarriedout,makingthesocialandeconomictrade-offstransparent.
(iii) thepackagesshouldbeexaminedcarefullytomakesurethattheyarenotunaffordableor collapsing other social expenditures, and that they do not lead to adverse selectionproblems.
(iv) mechanismshavetobeputinplacetopreventrehiringofworkerstakingpackages.
Giventhedifferentrank,status,anddegreeofspecializationofemployees,redundanciesdonotaffectemployeesinthesamemanner.often,publicservantsindmcsareengagedinprivatepractice(i.e., as lawyers, doctors, accountants, teachers) inparallelwith their publicemployment.consistentwithAdB’senhancedpovertyreductionstrategy(eprs)(2004),low-incomegroupswithnoalternativelivelihoodoptionsshouldbeprioritized.
Stakeholder
Labor Divestiture
enterprise
Government
Unions
Divested Social Assets
enterprise
Government
Unions
Responsibility
laborrestructuringplans,laborforceanalysis,cooperationattheworklevel,andtripartiteconsultationsandnegotiations
regulations,labormarketinformation,temporaryincomesupportprograms,redeploymentservices,andtripartiteconsultationsandnegotiations
tripartiteconsultationsandnegotiations,agreementscooperationattheworklevel,andcollaborationinnewbusinessplansandenhancedproductivity
sellingorgivingenterprisesandsocialservicesawaytocapableprivateentities,government,employees,orcommunities
takingmanagerialandfinancialresponsibilityforselectedpublicservices,suchasschoolsandclinics,andsupportingindividualsorcommunitieswillingandcapableoftakingoversocialservices
assistingemployeesinpurchasingsocialassets(e.g.,housing,assetswithcommercialpotential)
Table A9.3.1: Issues of Stakeholders
Appendix9.3 mitiGAtionoflABorimpActs:lABorrestrUctUrinGplAns 171
Box A9.3.1: Labor Restructuring Plan Checklist
• Who? Who is the affected workforce? the number of estimated affected employees should besurveyedbyfunctionalresponsibility,age,income,employmentstatus(contractortemporaryworkers,forexample), family responsibilities, geographical location, and social security andwelfare coverage.toavoidgenderdiscrimination,particularattentionshouldbegiventothelow-incomegroupswithnoalternativelivelihoodandthenumberofredundantwomenworkers.
• Where? Understandingthecountryorregionallabormarkettrendsandapplicablelaborlegislationisaprerequisiteofrestructuringplans.Arethereanyareaswherelaborskillsareindemand?cantheretrenchmentplanhelpemployeesmove to these areasor acquire these skills?Howare industrialrelationsinthecountryorregion?Arethererelevantlaws,regulations,andcollectiveagreements,atboththeenterpriseandindustrylevels,andaretheyrespected?
• How?Havecompaniesdefinedthenewbusinessplans,markets,andproducts,andorganizedtheutilization of labor necessary to reach competitive efficiency and productivity standards? Have firmsanalyzedthecurrentemployees’skillsmixandnewskillsrequirements?Aretheenterprisesdivestingsocialassets?isthereaplantoprivatize,subcontract,ortransferoutletssosocialservicesareoperatedinasustainablemanner?
• How?istheprocessoflaborrestructuringtransparent?isthereanofficial,independent,andefficientinstitutionalarrangement?isthereacommitteeoverseeingtheprocess?Aretherestructuringrulesclearand understood by affected employees? Are the employees heard? Areworkers’ rights reflected orneglectedintheprocess?Arethereregularconsultationswithaccreditedworkers’representatives?Haveworkersbeengivensufficientadvancenotice?
• How?Whatdoesthepreventionandcompensationpackageconsistandisitadequate?Arethereclearadministrativeandinstitutionalarrangements?Arethetimingandmagnitudeofthepackageadequateforthelaid-offworkers?Haveadequatefundsbeenidentifiedforguidance,counselling,retraining,orany other program?Are those budget requirements collapsing other social sector expenditures andrevenues?
• With whom?isthereanyinternationalin-countryagency(i.e.,theinternationallabourorganization,theWorldBank)thathasexperienceinthesetopics?Hasanyothersectorexperiencedasignificantlabor-restructuringplan?ifretrainingorjobbrokerageandcounsellingservicesareenvisaged,whichwouldbethebestinstitutionstoprovidethem?
172 HAndBookonsociAlAnAlYsis
Appendix2 sAmpletermsofreference 173
Appendix 10Other Risk Assessments and Mitigation Plans
10.1. Risk and Vulnerability Profiles
populations,households,andindividualsfacevariousrisksthatcanplungethemintopoverty,sosocietieshavetotakestepstoreducetheirvulnerabilityandtocopewiththeeffectswhenshocksoccur.Vulnerabilityindicatesexposuretohazardsandthelikelihoodthatthewelfareofanindividualorahouseholdfallsbelowminimumconsumption levels.risksmay includecovariant riskssuchasnaturaldisasters,civilconflicts,economicdownturns(ofwhichthe1997Asianfinancialcrisisisthemostrecentexample),oridiosyncratichouseholdreversals—suchascropfailures,unemployment,illness,accident,disability,death,andoldage—threateningthefutureofthehouseholdanditsmembers.developmentinterventionsmaythemselvescreatenewvulnerabilityandrisksthroughinvoluntaryeffects,suchaslessaffordablegoodsandservices,temporaryjobloss,lossofcommonproperty,displacement,andlossofcommunitysupportnetworksandsocialcapital.
Generally,fourmaintypesofrisktothepoorcanbeidentified:thoserelatedto(i)theindividuallifecycle, (ii)economic factors, (iii)environmental factors,and(iv) social/governance-related factors(table A10.1.1). some risks affect all population groups equally; others have more intense impactson thepoor.thepoorarehighlyvulnerable to risksandareconstantlypreoccupiedwith risk-averseandcopingstrategiestoavoidsinkingfurtherintopoverty.socialriskisadynamicconcept—insecuritymeansexposuretorisksofeventsthat,iftheyoccur,resultinfurthervulnerability.Whileanyonecanbevulnerable,thepoorandthenearpoorareparticularlyatriskbecausetheyhavefewerassets,reserves,orotheropportunitiestofallbackon.
therearemanyrisk-reductionmechanisms,formalandinformal,publicandprivate-sectordelivered.forprogrammingpurposes,tableA10.1.1showssomestrategiestocopewithrisk.manypeopleinAsiarelyoncommunityarrangementsandhousehold/familysupport(oftenprovidedbywomen).However,asurbanizationandindustrializationgraduallyunderminetheeffectivenessoftraditionalandinformalprotectionmechanisms,newpublicand/orprivatesystemsneedtobeputinplacetoreduceriskstothepopulation.socialprotectionpresentsavarietyofinstrumentstodealwiththediversificationofmostoftheserisks.thelong-termsolutiontovulnerabilitydependsongoodsocialandeconomicdevelopmentdecisions that address the structural causes of vulnerability. development policies should therefore(i)involveproactiveinterventionstoreducevulnerabilityandsupportpopulationstoovercomepoverty;and(ii)trynottoaltereffectiveinformalfamilyandcommunity-basedmechanismstocopewithrisk,giventhattheseprovidealevelofsocialprotectiontothepopulation,andwhenpossible,encouragecommunity-driveninterventions.1
1 However,attentionshouldbepaidtopossiblenegativeinteractionswithotherdevelopmentpolicies—forinstance,maintainingtheinformalresponsibilityforfamilywelfareonwomenlimitstheircapacitytodevelopinothersocialandeconomicareas.
174 HAndBookonsociAlAnAlYsis
Risk assessment Risk-reduction measures
Type of social risk Household or informal Option for public Option for private to the poor mechanism sector intervention sector mechanism
Life Cycle
• Hunger,children’sstunted development• illness/injury/disease• disability• oldage• death
Economic
• endofsourceoflivelihood (i.e.,cropfailure,cattle disease)• Unemployment• lowincome• changesinpricesofbasic needs• economiccrisisand/or transition
Environmental
• drought• flood,rain• earthquake• landslide
Social/Governance
• exclusion,losingsocial status/capital• extortion,corruption• crime,domesticviolence, socialanomie• politicalinstability
• Womenasfamilywelfare providers• extendedfamily, communitysupport• Hygiene,preventivehealth• Asset/savingsdepletion• debt
• diversifiedsourcesof livelihood• privatetransfers/extended familysupport,childlabor• depletionofassets/ savings• reducedconsumptionof basicgoods• debt• migration
• migration• communityactionfor resourcemanagement• privatetransfers/extended familysupport• Assets/savingsdepletion
• maintainingcommunity networks(reciprocal gifts,arrangingmarriages, religiousnetworks)• communitypressure• Women’sgroups• migration
•Healthnutritionpolicy/ services•socialinsurancepolicy; mandatoryinsurancefor illness,disability,life,old age;microinsurance•socialassistance•childprotection
•soundmacroeconomic andsectorpolicies topromoteeconomic opportunities•particularly,regionaland ruraldevelopmentpolicies, includingmicroinsurance• labormarketpolicies•educationandtraining•socialfunds
•environmentalpolicyand infrastructureinvestment•catastropheprevention, mitigationprograms includinginsuranceagainst naturaldisasters
•promotinggood governance,anti- discriminatorypolicies,and anticorruptionpractices•publicinformation campaigns•providingsecurityand equalaccesstojustice
• provisionofhealthservices• Health,disability,life insurance,andreinsurance• microinsurance• old-ageannuities
• employment-generating privatesectorinvestment• Agricultural/livestock insurance,reinsurance, microinsurance• Bankingservicestothe poor,microfinance• providingtraining
• Agricultural,livestock catastropheinsuranceand reinsurance
• nongovernmentand community-based organizations• Goodcorporategovernance securingfairemployment opportunitiesandprovision ofservicesregardlessof race,gender,age,social status,orpoliticalaffiliation
Table A10.1.1: Risks and Vulnerability: Risk Assessment and Risk-Reduction Measures
source:AdB.2001.
Asummaryriskandvulnerabilityprofilecanhelpassesscountry,regional,orproject-specificrisks,andappropriateresponses.Adescriptionofmajorriskstothepopulation(orparticulargroups),demographicstructures,levelsofurban–ruralpopulation,poverty,andrelativesizesoftheformalandinformalsectorsinfluencethetypeofdevelopmentandsocialprotectionstrategiesthatarerelevant.Wherepopulationprojectionsshowasignificantnumberofchildrenandnewentrantsintothelabormarketinthenearfuture,developmentinterventionsshouldaddresstheneedsoftheyoung.Wherepovertyandvulnerabilityarearea-related,attentionshouldbegiventoregionaldevelopmentpoliciesand/orinterventions.Wherethemostacuteproblemsaffectparticulargroups—e.g.,ethnicminorities,migrantworkers,victimsofdisasters,orothervulnerablepopulationgroups—developmentplanningshouldaccommodatetheirspecificneeds.theresultswilldifferfromonecountrytoanother.
Appendix10.1 riskAndVUlnerABilitYprofiles 175
severalkeyquestionsshouldbeaskedatthisstage:• Whoarethemostvulnerablegroupsinthepopulation?• Whatarethemajorrisksaffectingthesegroups?• Howseverearetheserisks?• Aretheyfrequentlyoccurring,persistent,orpreventable?• Whatarethedifferenttypesofmechanismsinplacetoreduceormitigatetheserisks?• Howeffectivearethey?Whatarethegapsincoverage?• Whatwouldbetheobjectiveofapriorityprogramtoaddresstheserisks?
Age Group Number Percent of Percent- Gender- Other Indicator Coverage Ranking population age poor specific risks of risk gap of priority risk(s)
Age0−5
Age6−14
Age15−24
Age25−65
Age65+
Table A10.1.2: Sample Risk and Vulnerability Profile (by Age)
Table A10.1.3: Sample Risk and Vulnerability Profile (by Region)
Social group/ Main Indicator Risk- Risk- Effectiveness/ Options for Subgroup risk(s) of risk reduction reduction Coverage more [someindicative measures measures of existing effective risk categories] (Informal) (Formal) measures reduction
ethnicgroupA
ethnicgroupB
female-headedhouseholds
landlesshouseholds
slumdwellers
internallydisplacedpersons
others
Table A10.1.4: Sample Risk and Vulnerability Profile (by Social Group)
Causes of Vulnerability and/or Risk
Geographical Life cycle Economic Environmental Social/Governance Region (hunger, illness, etc.) (unemployment, (drought, flood, etc.) (exclusion, price increases, etc.) corruption, etc.)
regionA
regionB
regionc
country
176 HAndBookonsociAlAnAlYsis
thisshortanalysiscanrevealgapsinthecoverageofexistingprogramsandthepossiblerequirementsfordevelopingadditionalinterventions.thisapproachgeneratesareasonablycomprehensivelistofneedsordemandsofalltheidentifiedvulnerablegroups,usuallyquitelongandlarge.itmaynotbeexhaustive,however,asthiswilldependonthedataavailable,andtherewouldbeaneedforcross-validationofthevulnerablegroupsidentifiedandthecausesoftheirvulnerabilities.tablesA10.1.2−A10.1.4areindicativecomplementarysamplematrixestohelpidentifyvulnerabilitiesandrisks.
10.2. Affordability
policyconditionsassociatedwithboth investmentandpolicy-basedprojectsrelatingtopublicserviceorutilitysectorsfrequentlyinvolvemeasurestoincreasethelevelofcostrecovery,whethertoreducebudgetaryspendingbythegovernmentorinpreparationforprivatization.thisnaturallyentailsincreasingchargestousersor,insomecases—ascommonlywithhealthandeducation,andevenirrigation—introducingchargeswherepreviouslytherewerenone.inevitably,suchadjustmentcostshitthepoorhardestandmayoftenleadtotheircompleteexclusionfromcoverageunlessremedialormitigatingmeasuresaretaken.theextenttowhichthesemaybeneeded,andthemannerinwhichtheyshouldbedelivered,willvaryaccordingtothesectorandtheprecisecircumstances.Aboveall,itwilldependontheextenttowhichthoseidentifiableasbeingatdifferentlevelsofpoverty,includingthosewhomaybejustabovethepovertyline,canbeshowntobewillingand/orabletopaytheadditionalcharges.
toestablishthelikelyscaleoftheproblem,itisobviouslynecessarytocollectdataindicatingtheaffectedgroups’attitudetotheserviceconcernedandtheirpropensitytopaymore(oranything)forit.ingeneral,thescopefordoingthiswilltendtobequitedifferentasbetweenutilitiesandsocialservices(healthandeducation),aswillthetypeofremedialmeasures.
A. Utilities
Bycarryingout limitedsamplesurveysofusersatdifferent incomelevels, it isoftenpossibletogainanindicationoftheircapacityorwillingnesstopayincreasedchargesforsuchservicesaswatersupply,electricity,ortelecommunications—especiallywhencomparedwithnationalconsumptionandincomepatternsovertimeasrevealedbyhouseholdincomeandexpendituredata.Aspartoftheexercise,itwillalsobedesirabletoexaminetherespondents’accesstoalternativesourcesofsupply,particularlyinthecaseofwater,where,forexample,freeaccesstotraditionalwellsmaybeanoption.Atthesametime,adynamicelementcanbeintroducedintotheanalysisbyaskingusers,forexample,whethertheywouldbewillingtopaymoreforaguaranteed,uninterruptedsupply.Acomparisonoftheresponsesbetweendifferentincomegroupsisquitelikelytorevealparticularconstraintsfacingthepoorest,especiallyinanurbanenvironment.forinstance,theonlyalternativetopipeddomesticwater(forwhichtheywilloftenbeunabletopaythebasicconnectioncharge)maybeveryexpensive—i.e.,watersoldincontainersbycommercialvendors.inthelightofsuchprobablefindings,itwillbenecessarytonegotiate—inparalleltothecost-recoverymeasuresadopted—thatarationalizedutility(whetherprivatizedornot)shouldbegivenastatutoryobligationtoprovideminimumaffordablefacilitiesforpoorordisadvantagedusersandareas.thismayinclude
(i) inthecaseofurbanwatersupply,anadequatenumberofpublicstandpipestoprovideminimumstandardsofaccesstothoseinpoorareas;
Appendix10.2 AffordABilitY 177
(ii) inthecaseofelectricitysupply,“lifelineblocks”ofpowersupplytolowusers(whothuseffectivelyidentifythemselvesaspoor),allowingthosehouseholdsusingnomorethanamaximumof,say20kilowatt-hourspermonth,topayonlyalowfixedcharge;
(iii) inthecaseoftelecommunications,anadequatenumberofpublictelephones(withmodestminimumcharges)toprovideadequatestandardsofaccesstothoseinpoorareas;and
(iv) where theremaybe technicalorotherproblemsentailed indelivering such subsidizedservicestopoorusers,itmaybenecessarytoseekalternativewaysofprovidingtargetedassistance,ensuringsomemeanstestedcashtransferorsafetynetprogramthatwouldensureaccesstothepoor.
B. Social Services
inmanycountries,chargingthepoorforbasichealthandeducationservices—wheretheyevenhavephysicalaccesstothem—islargelywithoutprecedentifonlybecausethesehavebeenbroadlyregardedaspublicgoods(i.e.,suchaslawandorder,whichitisintheinterestofthecommunitytoprovidetoallatitscollectiveexpense).totheextentthatthisviewstillprevailsamongthepoorthemselves,itmayprovedifficult—basedoneitherad hocattitudesurveysorrevealedrecordsofhouseholdexpenditure—toestablishanypropensity tomakeeven thesmallestpayment for suchservices.thiswillperhapsbeparticularlytrueofeducation,whichmanypoorfamiliesperceivetohaveasignificantopportunitycostintheshapeofchildren’slaborforegone.Whereitisneverthelessthoughtappropriatetoimposesuchcharges,itmayonlybepossibletodosobyintroducingthematverylowlevels,whileatthesametimeconductingawarenesscampaignstoenhanceusers’understandingofthelong-termbenefitsofhealthcareandeducation,particularlytothepoor.exemptionsorstipends/subsidiesforverypoorusersorfortraditionallyexcludedgroups(suchasgirlsorethnicminoritiesinremoteareaswhohavenothistoricallyattendingschool)mayalsobenecessary.
C. Irrigation
irrigationisaspecialcasebecause(i)irrigationwaterconstitutesaninputtocommercialandsubsistenceagriculture,while(ii)inmanydevelopingmembercountries(dmcs),itispaidfor,ifatall,atratesthatmeetonlyasmallproportionof the fullcost(fixedandoperating)ofproviding it.to theextent thatagriculturalproductionis indeedcommercial—i.e.,profitabletotheefficientproduceratmarketpricesandproductioncosts—thisisclearlyananomalythatshouldbeeliminatedbytransferringthefullcostofirrigationtotheusers.inreality,however,itshouldberegardedassimplyoneformofmanysubsidiestoagriculture(suchasarepracticedinvirtuallyeverycountry,especiallydevelopedones),whichhavecombinedtocreatehugedistortionsinmarketpricelevelseverywhere.consequently,itmayscarcelybepossibletoeliminatesubsidiesonirrigationwithoutreviewingtheentirecoststructureoftheaffectedcropsor,indeed,undertakingawholesalerationalizationoffarmingsystemsandlargesectionsoftheruraleconomy.
thatisnottosaythatitisinappropriatetoseektheintroductionofsomechargingwherethereisnone,ifonlytoestablishadegreeofcontroloverdemandforwhatisoftenanincreasinglyscarceresource.However,thisshouldbedoneinsuchawayastominimizeanydisadvantagetopoorerfarmers,whoarelikelytobethosewithsmallerlandholdingsandthusclosertosubsistencelevel.thisgoalmaybeachievedasmuchthroughcreatinganequitablemanagementstructure(forfarmer-managedsystems)asthroughdiscriminatorycharginglevels.Hence,itisnecessarytouseastronglyparticipatoryapproachtorationalizingbothorganizationandchargingstructures.
178 HAndBookonsociAlAnAlYsis
10.3. Willingness to Pay
Willingnesstopayisdefinedasthemaximumpricethatcanbechargedtoanindividualforaresourceorservice,withoutmakinghimorherworseoff.determinationofwillingnesstopayforprojectpurposesrequiresaseriesofdatacollectionstepsthatassess
(i) awarenessofthevalueoftheresourceorservice;(ii) availabilityoftheresourceorserviceatpresent;(iii) actualcostoftheresourceorservice;(iv) alternatesourcesofsupply,ifany;(v) attitudetowardthequalityoftheresourceorserviceprovidedfromavailablesources;(vi) acceptabilityofarangeofimprovementoptions;(vii) affordabilityofarangeofimprovementoptions;and(viii) appropriatenessofgovernmentpoliciestosupporttheseimprovements.
AprocessforintegratingassessmentofwillingnesstopayintooverallprojectdatacollectionanddesignactivitiesispresentedintableA10.3.1.
thewillingness topayor thecontingentevaluationsurvey itselfsimplyasksmaleandfemalehouseholdmembersastructuredseriesofquestionstodeterminethemaximumamountofmoneytheyarewillingtopayforaresourceorservice.
smallgroupdiscussionscanprovidefocusedinformationonwillingnesstopayamongdifferentclientelesubgroups.skilledgroupfacilitatorsprepareandpresentastandardsetofdiscussionquestionsandpromptstoagroupof5–10selectedparticipants.responsesfromdiscussantsarecarefullyrecordedforanalysis.
representativeclientelesubgroupsare identifiedandtheirmembershipquantifiedtoobtainapopulationstratification.listsofsubgroupmembersareobtainedfromsuchsourcesas theelectoralroll,phonebook,housenumbersorhouseholdregistration,ormembershiprollsor listspreparedbyvillageleadersorvillagers.Asampleframeisdevelopedtodeterminethenumberofinterviewsforeachsubgroupabove(tableA10.3.2).intervieweesarethenselectedrandomlyfromthelistusingarandomnumbersequence.
statisticalrandomsurveyscalculatethesampleframe(numberofinterviewees)forpopulationsofknownsize.However,itisoftenimpossibleorprohibitivelyexpensivetoestablishthesizeofotherwiseun-enumeratedpopulations,suchas informaldwellersormobilepopulations.Apurposivesample ismadewherethecharacteristicsofthegroupstobesurveyedareknown,butnottheirspecificnumbers.theresultsofpurposivesurveysarerichandaccuratedescriptionsofindividualresponses.However,theycannotbeusedtoinferorpredictthecharacteristicsofnon-surveyedgroupmemberswithanydegreeofstatisticalconfidence.
onemethodforascertaininginterviewee’swillingnesstopayforserviceorresourceimprovementsatdifferentlevelsofcostusesapreferenceassessment-scoringcard(tableA10.3.3).thetableshowsbothnumericandverballikelihoodpreferences.respondentsaredirectlyaskedhowlikelytheywouldbetoagreetopayeachamountshown.respondentsareaskedtoselectanumberasthelikelihoodorprobabilitythattheywouldagreetopayaspecificprice.iftherespondentanswersaseriesofsuchquestions,alikelihoodmatrixcanthenbeobserved.
Appendix10.3 WillinGnesstopAY 179
Table A10.3.1: Integrating Assessment of Willingness to Pay in the Design Process
Project concept brief
Initial poverty and social analysis
Design phase
initialdatacollection
initialdesign
detaileddatacollection
detaileddesign
Assess awareness of the value of the resource or service by examining the following:• politicalcommitmenttotheresourceorserviceanditsusers(e.g.,ideologicalposition,budget
allocation,natureofexistingpricedistortionsinprovision);• policycommitmenttolegislationforresourceorservicemanagementandconsistencyinits
application(e.g.,tariffstructure);• institutionalcapacitytoaccommodatepoliticalandpolicyrequirements;basisfordeterminingthe
levelofresourcequalityorservicetobeprovided;abilitytocollectfees,recovercosts,andmonitorcompliance;natureandqualityofaffordabilitymonitoringandcomplaintmanagement;and
• publicawarenessofthevalueoftheresourceorservice,includinganyknownpopularexpectationsofentitlement.
Review demand and sources of supply by examining the following: • currentsourcesofsupplyandanyanticipateddevelopments,• levelofcurrentusageandanticipatedtrends,and• initialestimateofunmetdemand.
Assess the level of current availability and satisfaction by doing the following: • reviewexistingsurveyand/orotherdata,includinganymediacoverage,consumer-groupactivity,etc.• conductrapidfieldassessment.thismayinvolvekeyinformantsorfocusgroupsrepresenting
differenttypesofusersandnonusers,ifapplicable.keyquestionsrelatetotheperceivedstrengthsandweaknessesoftheresourcesorservicescurrentlyavailable.
• separatelyassessthelevelofaccessandsatisfactionofmenandwomen.
Conduct overall user assessment.projectinstitutionalassessments,stakeholderconsultations,householdsocioeconomicbaselinesurveys,and/orcommunityparticipatoryrapidassessmentactivitiesshouldallprovideinformationonthefollowing:• awarenessofthevalueoftheresourceorservice,• attitudetowardresourceorserviceentitlement,• demandbyservicetype,and• sourcesandlevelsofsupplyaccessed.Assess perceptions of resource and service quality by examining the following:• currentincomeandexpenditure,• directandindirectpricespaidfortheresourceorservice,and• methodandformofpayment.
Develop an initial model of price parameters.• deriveapriceseriesfordifferentlevelsofresourceorservicequalityandestimatetheproportion
eachformofmeanhouseholdincome.Prepare supporting materials.• theseshouldcontaininformationaboutthequalityofthecurrentresourceorservice,forexample,
oradescriptionofproposedimprovementmethodsandanticipatedconsequences,initiallycostedoptionsforlevelsofimprovement,andaslidingscaleoftheproportionthesewillformofdifferentweeklyormonthlyincomes.
Assess willingness to pay by doing the following:• definethesurveypopulation(e.g.,stratifiedrandomsample,purposivesample).determinethe
surveylocations.traininterviewersorfacilitators.• selectthesurveyinstrument(e.g.,preferenceassessmentscoringcards,participatoryrapid
assessmentmatrices).
Refine the pricing options model by doing the following:• revisetheresourceorservicepackage(contentandprices).• deviseaslidingaffordabilityscaletoincorporatetheneedsofpoorermenandwomen.• conductfeedbackmeetingswithinstitutionalandcommunityrepresentativesormembersto (i) presentrevisedfindings,and (ii) explorepolicyandcommunityagreed-uponoptionsforextendingaccesstopoorerand vulnerablegroups.Prepare a final design.itshouldincludemechanismsfor• initialpublicity,• priceandqualitymonitoring,• complaintchannels,and• routinepublicdisseminationandreviewoffindings.thismayinvolvecreationofconsumerwatchdog
groups,committeesofstakeholderrepresentatives,etc.
180 HAndBookonsociAlAnAlYsis
How would you vote if the passage of this environmental plan meant your utility bill would increase by $ x per month for one year?
Definitely yes Probably yes Not sure Probably no Definitely no
price 0 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 2 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 4 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 6 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 8 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 10 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0 12 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0
100 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0
Table A10.3.3: Preference Assessment Scoring Card
Aparticipatoryrapidassessment(prA)matrixorpocketchart,similartothepreferenceassessmentscoringcard,ispreparedinalargevisualformat,usingwordsorsymbolseasilyrecognizedbyparticipantswithdifferentlevelsofliteracy.thematrixispreparedorshowninapublicforumtosolicitfeedbackandvotingpreferencesfromparticipants.2
10.4. Mitigation Plans
the following isan indicative format tohelp theAsiandevelopmentBank’s (AdB)project teams inpreparingamitigationplanduringprojectdesign.itisnotintendedtobeprescriptiveandshouldbereadtogetherwiththemoredetailedguidanceprovidedoninvoluntaryresettlement(appendix7),indigenouspeoples(appendix8),retrenchmentplans(appendix9.3),affordability(appendix10.2),andparticipation(appendix5).
A. Objectives
toprepareamitigationplan,whichsetsoutstrategiestoalleviatetheproject’sunintendedadverseeffectsonthepoororothervulnerablegroups,themitigationplanwillsettheparametersfortheentitlementpackage for those affected, the institutional framework, mechanisms for consultation and grievanceresolution,thetimeframe,andcostestimates.Asamplemitigationframeworkisattached.
2 seeparticipatoryrapidAssessment(prA)inappendix5onconsultationandparticipation(c&p).
Total Number in Suggested Number Percentage the Group in the Sample
100 15 15
200 20 10
500 50 10
1,000 50 5
Table A10.3.2: Estimating Minimum Interview Sample Size
source:foodandAgricultureorganizationfieldprogrammanagementmanual.
Appendix10.4 mitiGAtionplAns 181
theagreedbenefit/entitlementspackagewillincludebothcompensationandmeasurestorestoretheeconomicandsocialbaseforthoseaffected,inconcurrencewithAdBpolicies,toensurethatpoorandvulnerablepeople—regardlessof race, skills,gender,or religious/politicalbeliefs—arenotunfairlydisadvantagedbecauseofaprojectintervention.
B. Time Frame
thefullmitigationplanshouldbecompletedbeforeprojectappraisal.AsummarymitigationplanshouldbepreparedbeforeAdB’smanagementreviewmeeting.
C. Personnel
Atotalof[number]person-monthsofaninternational[expertiseinresettlement/indigenouspeoples/labor/socialprotection/other]specialistisallocatedforpreparationofthemitigationplan.theinternationalconsultantwillbesupportedby[number]person-monthsofdomestictechnicalassistance.theconsultantswillworkinclosecooperationwiththeprojectpreparatorytechnicalassistance(pptA)team[orotherduediligenceteam]andtheexecutingagency,whichwillprovidepersonneltohelpinpreparingthemitigationplan.
D. Costs
thetotalcostisestimatedat[$]equivalent,tobefinancedbyAdBonagrantbasisfromtheAdB-funded[source].thedetailsofthecostestimatesandfinancingplanareattached.thegovernmenthasagreedtomeettheremainingcostsof[$]equivalent,whichwillcoverremuneration,perdiem,anddomestictravelcostsofcounterpartstaff;officespace,andsupplies.
E. Tasks
documentanystepstakenduringthepredesignphaseoftheprojecttoreduceunintendednegativeimpacts throughchanges in thealignmentor scopeof theproject components.prepareoptions fordiscussionwithotherteammemberstominimizenegativeeffectsthroughmodifyingthepreliminaryandfinaltechnicaldesigns.preventionofunintendednegativeimpactsisananticipatoryinterventionbyidentifyingat-risksituationsandapreferredoptionforAdB.
conductaprAintheproposedprojectarea.identifykeystakeholdersandconsultcloselywiththemontheirviewsaboutthelikelyimpactsoftheproject.identifyanyvulnerablegroups(forexample,thosewithoutassets/landtitle,thosewithoutalternativesourceofemployment,single-parenthouseholds,indigenouspeoples,isolatedgroups,ortheelderly)whomightrequirespecialassistanceandconsultthem.decidewhetheraprocessofsocialpreparationisrequiredforsomeorallofthepeopleaffectedtobuildtheircapacitytoaddressmitigationissues.ifso,designasocialpreparationphaseaspartofpreparingthemitigationplan.ifnot,choosemethodstofostertheparticipationofallkeystakeholdersintheprocessofmitigationplanningandimplementation.
182 HAndBookonsociAlAnAlYsis
conductacensus/socioeconomicsurvey3ofallofthepeoplepotentiallyaffected,todeterminethescopeandmagnitudeoflikelyeffects,andtolistlikelylosses.collectrelevantdataon(i)povertyincidence,(ii)householdexpenditureonbasicgoodsandserviceswhosepriceswouldbeaffectedbytheloan,and(iii)labormarkettrends.establishabaselineofincomesandexpenditures,occupationalandlivelihoodpatterns,useofresources,arrangementsforuseofcommonproperty,socialorganization,leadershippatterns,communityorganizations,andanyotherrelevanttopictotheplan.
consultwiththeagenciesresponsiblefortheprovisionofentitlementsandsuggestacutoffdateforanyproposedentitlements/benefits.prepareanentitlementsmatrixlistingalllikelyeffects.establishcriteriaforeligibilityofaffectedcommunities/households/individuals.preparestandardsforcompensationandrestorationofthesocialandeconomicbaseofthepeopleaffectedtoreplacealltypesofloss.prepareaformulaforsettingreplacementvaluesforassetsorentitlementslost,orthelackofcapacitytoaccessservicesinthefutureafterreformsarepassed.establishoptionsforculturallyacceptablereplacementsfor lost services, cultural sites, commonproperty,oraccess to resources for subsistence, income,orcommunityactivities.
prepare options formitigation and livelihood restoration,which build upon the existing social,economic, and cultural parameters of the people affected.make special provision for any vulnerablegroups, includingthosewithoutlegaltitletoassets/entitlements.Whereappropriate,preparerelocationplans—includingselectionandpreparationofrelocationsites—andmakeprovisionsforlandownership,tenureandtransfer,andaccesstoresources.Whereincomesmustberestored,provideforneedsassessment,employmentgeneration,andcreditdisbursement.Whereaffectedpeoplearetochangetheiroccupation,provideforcompensation/redeploymentmeasures,suchastrainingandvocationalsupportmechanisms.Wherelackofaffordabilitymayexcludepoorpeoplefromaccesstogoods/services,cross-subsidizationmeasuresormeans-testedtransferstothepoorwillbeanalyzedaspossiblecompensatorymechanisms.
prepareasocioeconomicevaluationtoanalyzethetrade-offsoftheproposedmitigationplanandevaluatethesocialandeconomicscostsofreforms.mitigationoptionsshouldalwaysaimtoadequatelybalancesocialfairnessandeconomicsustainability.Anumberofrequirementsshouldbeconsidered:(i)thesocialandeconomictrade-offsshouldbemadetransparenttohelpindecisionmaking;(ii)mitigationpackagesshouldbeexaminedcarefullytomakesurethattheyarenotunaffordableorcollapsingothersocialexpenditures,andthattheydonotleadtoadverseselectionproblems;and(iii)mechanismshavetobeputinplacetopreventleakagestothenonpoor.
prepareaframeworkforparticipationofaffectedpeopleinthemitigationplan.preparespecialmeasuresforconsultationwithwomenandanyvulnerablegroups.specifymechanismsfortheresolutionofgrievancesandanappealsprocedure.
preparean institutional framework thatdesignatesresponsibilities to implement themitigationplan, including consultation mechanisms and detailed benefit/entitlements inventories; providecompensationpackages;takeresponsibilityforincomerestoration;andsupervise,manage,andmonitortheimplementationofmitigationmeasures.recommendaninstitutionalstrengtheningstrategyand/orformationandtrainingofaresettlementunitwithintheexecutingagency,ifrequired.
includeprovisionsformonitoringandevaluation,identifyingtheresponsibilities,timeframe,andsomekeyindicators.thiswillincludeongoingmonitoringbykeyagenciessupplementedbyanindependentevaluation.specifythetimeframeformonitoringandreporting.
3 samplingsizesmayvarydependingatthenumberandlocationofaffectedpeopleandsocialrisksinvolved.forexample,forthepreparationofresettlementplans,20%isnormallyrecommended.
Appendix10.4 mitiGAtionplAns 183
prepareatimeframeandimplementationscheduleinconjunctionwiththeagreedimplementationschedulefortheloan,showinghowaffectedpoorpeoplewillbeprovidedforbeforetheyareaffectedbyunintendednegativeimpacts.
prepareanindicativebudget.preparebudgetaryallocationandtiming.specifysourcesoffundingandapprovalprocess.prepareanannualbudgetestimatebymajorcategoryofexpenditure.
Table A10.4.1: Sample Framework for Preparing a Mitigation Plan
source:AdB.2001.Handbook on Poverty and Social Analysis, A Working Document.manila.
Design Summary Performance Indicators Monitoring Assumptions and Targets Mechanism and Risks
•nopoorornear-poorgroup isworseoffinnetterms becauseoftheloan.
•prioritizeloanconditions thatwillnotincrease poverty.•mitigateinfullany unavoidablenegative impact/conditionalityonthe poor.
Aloanthat•avoidsimposingonpoorer socialgroups(i)cutsin entitlementtosocial benefits,(ii)highercharges forbasicnecessities,or (iii)lossoflivelihood;or•fullyoffsetsanynegative effectsonthepoorwith compensatorymeasures
•Agreed-uponmitigation planaddressingsocial problemstocompensate forpossibleunintended negativeeffectsofloan
• regularreviewsofprogramimplementation
• monitoringreportsonsocialimpactandapplicationofmitigatingmeasures
•monitoringreportsonsocialimpactandapplicationofmitigatingmeasures
•monitoringreportsonsocialimpactandapplicationofmitigatingmeasures
•consultants’reports•mitigationmeasures
includedinthedraftreportandrecommendationofthepresident
•monitoringreportsonsocialimpactandapplicationofmitigatingmeasures
•politicalandinstitutional commitmenttopro-poor agenda•thoroughnessand timelinessofmonitoring
•politicalandinstitutional commitmenttopro-poor agenda•thoroughnessand timelinessofmonitoring
•thoroughnessand timelinessofmonitoring
•inadequateresources•lackofpolitical commitments•Awarenessofpoverty considerationsand constraintsonthepartof projectpreparationteam•thoroughnessand timelinessofmonitoring
Impact
•Allowtheprogramloanadjustmentprocesstocontributetopovertyreductionwhileavoidingshort-termnegativeimpactofloanconditionsonthepoorand
near-poor.
Outcome
•Avoid,asfaraspossible,imposinganyloaneffectlikelytomakepoorornear-poorworseoff.
•Wheresomeunintendednegativeeffectsareunavoidable,prepareamitigationplanwithoffsettingmeasures.
Outputs
Aloanthatdoesnotcause•reallossofentitlementsbythe
poorwithoutcompensation,•increasednetcosttothepoor
ofbasicneedsgoods/services,or
•lossofemploymentofpoorornear-poorwithoutprovisionofalternativeopportunities.
Inputs
•collectsocioeconomicdata.•determine,basedondata
collected,thelikelynegativeimpactofloanonthepoor/near-poor.
•prepareoptionsformitigation,includinginstitutionalarrangements,targetingmechanisms,budgetarysupport,implementationschedule,socioeconomictrade-offs,etc.
•consultwithallstakeholders.•designmitigationplan.•monitorimplementation.
184 HAndBookonsociAlAnAlYsis
Appendix11 sAmplesociAlindicAtors 185
Appendix 11Sample Social Indicators
theAsiandevelopmentBank(AdB)monitorsandevaluatesresults in individualprojectsthroughitsprojectperformancemanagementsystem(ppms).thecornerstoneofppmsisthedesignandmonitoringframework(dmf),whichmustbepreparedforallloan,grant,andtechnicalassistanceprojects.includingsocial targets and indicators in thedmf for a specificproject helpsensure that social developmentactivitiesincludedintheprojectdesignwillbeimplementedandthatthesocialimpactsoftheprojectwillbemonitored.
performancetargetsandindicatorsareincludedinthedmftoindicatetheresultssoughtattheimpact,outcome,andoutputlevels.theseindicatorsshouldbespecific,measurable,achievable,relevant,andtime-bound(“smArt”).indicatorsshouldalsobepracticalandcost-effectivetomeasure.totheextentpossible,theyshouldbebasedondatacollectedbygovernmentagenciesorotherin-countrysources.
socialtargetsandindicatorsforloanandgrantprojectsshouldbebasedonthesocialanalysisandconsultationswithstakeholderscarriedoutduringtheprojectdesignphase.Becausesocialchangeisalong-termprocessandmaybedifficulttomeasuredirectly,intermediateindicatorsandproxyindicatorsmaybeusefultomonitorprogressinachievingsocialdevelopmentobjectivesoverthecourseoftheproject.theyshouldcapture
• at the impact level,positivemediumto long-termsocialdevelopment impacts towhichtheprojectisexpectedtocontribute,andmitigationofanynegativesocialimpactsoftheproject;
• attheoutcomelevel,effectsoftheprojectonclients/beneficiaries(e.g.,intermsoftheirstatus,accesstoservices/resources/opportunities,orattitude/behavior)orinstitutions(e.g.,intermsoftheirinclusivenessorresponsiveness);and
• at the output level, social attributes of key goods and services provided through theproject.
sample performance targets and indicators for the main social dimensions discussed in thehandbookareprovidedbelow.theyrepresentonlyasmallsampleofpossibletargetsandindicators.the social targets and indicators for aparticularproject shouldbe tailored to the sector, theprojectimpactandoutcomeandoutputs(scope),thecountryandlocalcontext,andthesocialissuesidentifiedandaddressedinthedesignoftheproject(includinganysocialactionormitigationplansdevelopedtoaddresstheseissues).
Participation• require propotional [___%] representation of small farmers in the [membership] and
executivecommittessofirrigationusergroupsthroughamendmentoftheirrigationcode.
186 HAndBookonsociAlAnAlYsis
• therepresentationofslumdwellers in themunicipalenvironmentalcommitteesof [theprojectmunicipalities] increasesfrom__%in[baseyear]toat least__%in[lastyearofprojectimplementation].
• theexecutingagencyestablishesacommunityliaisonofficeby[date],andacommunityliaisonofficermeetsat least[quarterly]withthevillagedevelopmentcommitteesin[theprojectdistricts].
Gender• completionratesforgirlsandboysinsecondaryschoolsin[theprojectdistricts]increase
from__%and__%in[baseyear]toatleast__%and__%in[middleyearofproject],andtoatleast__%and__%by[lastyearofprojectimplementation].
• thenumberoffemaleextensionworkersin[theprojectdistricts,orinalldistricts]increasesfrom__%in[baseyear]toatleast__%in[middleyearofproject],andtoatleast__%in[lastyearofprojectimplementation].
• representationofwomeninagriculturalcooperativesin[theprojectarea]increasesfrom__%in[baseyear]toatleast__%in[lastyearofprojectimplementation].
Involuntary Resettlement• Atleast__%ofresettledhouseholdsreceivetitletolandplotsintheresettledcommunities
by[date].• Water and sanitation infrastructure and services are provided to at least ___ resettled
householdsby[date],andtoatleastanadditional__resettledhouseholdsby[date].• Atleast__project-affectedhouseholdsreceivecompensationinaccordancewiththeproject
resettlementplanby[date].• mediationcommittees, includingat least__%women,areestablished ineachresettled
communityby[date]andmeetatleast[quarterly]thereafter.
Indigenous Peoples• immunizationratesforethnicminoritychildrenunder5yearsoldin[theprojectdistricts]
increasefrom__%in[baseyear]toatleast__%in[lastyearofprojectimplementation].• thenumberofethnicminoritycandidatesinteachertrainingprogramsincreasesfrom__
in[baseyear]toatleast__in[lastyearofprojectimplementation].• improvedwaterfacilitiesandservicesareprovidedtoatleast__ethnicminorityhouseholds
in[theprojectarea]by[date],andtoatleastanadditional__ethnicminorityhouseholdsby[date].
• By[date],at least__ethnicminorityhouseholdmembers, includingat least__women,participateinawarenessraisingprogramsconductedintheirownlanguageon[HiV/Aidsrisks,humantraffickingrisks,indigenousrightstolandandnaturalresources,etc.].
Labor
• Atleast___retrenchedworkersin[therestructuredministryorindustry]receiveretrainingandjobcounselingby[date].
• Atleast__%ofunskilledconstructionworkersfor[projectcivilworks]arehiredfromlocalcommunities,andatleast__%oftheseworkersarewomen.
Appendix11 sAmplesociAlindicAtors 187
• theaveragedelayinpaymentofwagesto[workersintherelevantsector]isreducedfrom[originaltimelag]in[baseyear]to[reducedtimelag]in[middleyearofproject],andto[furtherreductionintimelag]in[lastyearofprojectimplementation].
• thenumberoflaborinspectorsfor[therelevantsector]increasesfrom__in[baseyear]toat least___ in [last yearofproject implementation], andannual labor inspectionsof[enterprisesinthesector]increasefrom___in[baseyear]to___in[lastyearofprojectimplementation].
Affordability• therateschedulefor[waterorelectricitysupply]isamendedby[date]toprovidealifeline
tarifftohouseholdswithannualincomesbelow[amount].• thenumberof[girls/children]frompoorhouseholds(withannualincomesbelow____)
whoreceivesecondaryschoolscholarshipsincreasesto___by[middleyearofproject]andto___by[lastyearofprojectimplementation].
• thenumberofpoorwomenreceivingfreeantenatalcarein[theprojectdistricts]increasesfrom___in[baseyear]to___in[middleyearofproject],andto___in[lastyearofprojectimplementation].
• Atleast___poorhouseholdsreceive[freeorsubsidized]connectionstotheelectricitygridby[lastyearofprojectimplementation].
HIV/AIDS Risk• Atleast___constructionworkersinprojectworksitesreceiveHiV/Aidsawarenesstraining
by[date].• Atleast___studentsin___schoolsintheprojectareareceiveHiV/Aidsawarenesstraining
by[date].• freeHiV/Aidsscreeningandcounselingisprovidedtoatleast___personsinatleast___
primaryhealthcentersin[theprojectdistricts]by[date].• Awareness of the methods of HiV/Aids transmission among [adolescents, women,
constructionworkers,transportoperators,and/orsexworkers]in[theprojectarea]increasesfrom__%in[baseyear]to__%in[lastyearofprojectimplementation].
Human Trafficking Risk• Atleast___studentsin___schoolsintheprojectareareceiveinstructiononsafemigration
by[date].• Human trafficking awareness programs are conducted for at least ___ [police officers,
borderofficials,localgovernmentofficials,and/orcommunityleadersintheprojectarea]by[date].
• establish___numberofsafemigrationdesksandwillbemanagedbylocalnGosat[mainbordercrossings]by[date].
188 HAndBookonsociAlAnAlYsis
Appendix2 sAmpletermsofreference 189
Appendix 12Resources on ADB Policies, Strategies, and Procedures Related to Social Dimensions
Document
povertyreductionstrategy(1999)
enhancedpovertyreductionstrategy(2004)
operationsmanual(om)c1:povertyreduction
omc3:incorporationofsocialdimensionsinAdBoperations(2007)
Handbook on Social Analysis (2007)
Handbook on Poverty and Social Analysis(2001)
Handbook for Incorporation of Social Dimensions in Projects(1994)
Poverty Handbook(2006)
Handbook for Integrating Poverty Impact Assessments in the Economic Analysis of Projects(2001)
Guidelines for the Assessment of the Impact of Program Loans on Poverty(1995)
policyonGenderanddevelopment(1998)
implementationreviewofthepolicyonGenderanddevelopment(2006)
GenderanddevelopmentplanofAction(2007draft)
omc2:GenderanddevelopmentinAdBoperations
Genderchecklistsinagriculture,education,health,watersupplyandsanitation,urbandevelopment,resettlement
Gender, Law and Policy Issues in ADBOperations: A Tool Kit(2006)
Website
www.adb.org/documents/policies/poverty_reduction/poverty_policy.pdf
www.adb.org/documents/policies/poverty_reduction/2004/default.asp
www.adb.org/documents/manuals/operations/omc01_14jul04.pdf
www.adb.org/documents/manuals/operations/om-c3.pdf
www.adb.org/documents/Handbooks/poverty_social/default.asp
www.adb.org/documents/Handbooks/social_dimensions/default.asp
wwwadb.org/documents/Handbooks/Analysis-processes/default.asp
www.adb.org/documents/Handbooks/piA_eco_Analysis/default.asp
www.adb.org/documents/policies/Gender/default.asp?p=genpol
www.adb.org/documents/policies/Gender/gender-and-development.pdf
www.adb.org/documents/manuals/operations/omc02-25sep06.pdf
www.adb.org/Gender/checklists.asp
www.adb.org/documents/manuals/Gender-toolkit/Gender-law-policy-toolkit.asp
190 HAndBookonsociAlAnAlYsis
Document Website
www.adb.org/documents/policies/involuntary_resettlement/involuntary_resettlement.pdf
www.adb.org/documents/manuals/operations/omf02_25sep06.pdf
www.adb.org/documents/Guidelines/resettlement/involuntary-resettlement-form.doc
www.adb.org/documents/Handbooks/resettlement/default.asp
www.adb.org/documents/policies/indigenous_peoples/default.asp
www.adb.org/documents/manuals/operations/omf03-25sep06.pdf
www.adb.org/indigenouspeoples/ip-initial-screening-form.doc
www.adb.org/indigenouspeoples/ip-categorization-form.doc
www.adb.org/documents/policies/social_protection/default.asp
www.adb.org/documents/Handbooks/core-labor-standards/default.asp
adbweb/documents/reports/labor-issues-publicenterpriserestructuring/labor-issues-per.pdf
www.adb.org/documents/reports/disabled-people-development/disability-brief.asp
www.adb.org/documents/policies/pcp/default.asp?p=disclose
www.adb.org/documents/guidelines/strengthening-participation-for-dev/default.asp
www.adb.org/documents/policies/cooperation_with_nGos/default.asp
www.adb.org/documents/policis/Governance/default.asp?p=policies
www.adb.org/Governance/review/review-report-final.pdf
www.adb.org/documents/policies/Governance/GAcAp-ii.pdf
www.adb.org/documents/manuals/operations/omc04_15dec03.pdf
policyoninvoluntaryresettlement(1995)
omf2:involuntaryresettlement
involuntaryresettlementcategorizationform
Handbook on Resettlement: A Guide to Good Practice(1998)
policyonindigenouspeoples(1998)
omf3:indigenouspeoples
indigenouspeoplespolicyHandbook(June2007draft)
indigenouspeoplesscreeningchecklist
indigenouspeoplesimpactcategorizationform
socialprotectionstrategy(2001)
Core Labor Standards Handbook(2006)
Technical Note: Labor Issues in Public Enterprise Restructuring(2006)
disabilityBrief(2005)
publiccommunicationspolicy(2005)
Staff Guide to Consultation and Participation(2006)
policyoncooperationwithnGos(1998)
Governance: Sound Development Management (1995)
Implementation Review of the Governance and Anticorruption Policies(2006)
2nd Governance and Anticorruption Action Plan(2006)
omc4:Governance
Appendix2 sAmpletermsofreference 191
Appendix 13Selected References
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instruction).manila..1999.Fighting Poverty in Asia and the Pacific: The Poverty Reduction Strategy.manila..2000.Effectiveness of ADB Approaches and Assistance to Poverty Reduction.manila.. 2001. Handbook for Integrating Poverty Impact Assessment in the Economic Analysis of
Projects..Poverty Reduction(AdBwebpage, including links toother resources).Available:www.adb.org/
poverty/default.asp.2001.Global Poverty Report 2001: A Globalized Market – Opportunities and Risks for the Poor.
preparedforG8summit,Genoa,July2001..2004.Enhancing the Fight against Poverty in Asia and the Pacific: The Poverty Reduction Strategy
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Document. manila.AdB,etal.2000.Global Poverty Report 2000.preparedforG8summit,okinawa,July.carvalho,s.,andH.White.1997.combining theQuantitativeandQualitativeApproaches topoverty
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192 HAndBookonsociAlAnAlYsis
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.2001.Gender Checklist: Urban Development and Housing. manila.
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.2005.Azerbaijan: Country Gender Assessment. manila.
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194 HAndBookonsociAlAnAlYsis
.2005.The Kyrgyz Republic: A Gendered Transition – Soviet Legacies and New Risks (Country Gender Assessment).manila.
.2005.Uzbekistan: Country Gender Assessment.manila.
.2005. Viet Nam: Gender Situation Analysis.manila.
.2006.Gender, Law, and Policy Issues in ADB Operations: A Tool Kit.manila.
.2006.Implementation Review of the Policy on Gender and Development.manila.
.2006.Kazakhstan: Country Gender Assessment. manila.
.2006.Republic of the Fiji Islands: Country Gender Assessment.manila.
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.1998.Summary of the Handbook on Resettlement: A Guide to Good Practice. manila.
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Handbook on Social AnalysisA Working Document
About the Handbook on Social Analysis
ADB supports equitable and sustainable social development outcomes by giving attention to the social dimensions of its operations. The Handbook on Social Analysis, A Working Document contributes to this endeavor by providing practical guidance to ADB staff, government officers, and consultants involved in programming, preparing, and implementing activities to effectively integrate social dimensions into ADB-financed operations. The handbook provides a road map to specific ADB policies and procedures related to social development and social analysis.
About the Asian Development Bank
ADB aims to improve the welfare of the people in the Asia and Pacific region, particularly the nearly 1.9 billion who live on less than $2 a day. Despite many success stories, the region remains home to two thirds of the world’s poor. ADB is a multilateral development finance institution owned by 67 members, 48 from the region and 19 from other parts of the globe. ADB’s vision is a region free of poverty. Its mission is to help its developing member countries reduce poverty and improve their quality of life.
ADB’s main instruments for helping its developing member countries are policy dialogue, loans, equity investments, guarantees, grants, and technical assistance. ADB’s annual lending volume is typically about $6 billion, with technical assistance usually totaling about $180 million a year.
ADB’s headquarters is in Manila. It has 26 offices around the world and more than 2,000 employees from over 50 countries.
Asian Development Bank6 ADB Avenue, Mandaluyong City1550 Metro Manila, Philippineswww.adb.orgPublication Stock No. 091707 Printed in the Philippines
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