Note No. 13 September 1995 Social Assessment Social assessment (SA) provides a framework for incorporating participation and social analysis into the design and delivery of Bank-assisted operations. Since there are many social variables which potentially affect project impacts and success, SAs must be selective and strategic, and focus on issues of operational relevance. Prioritizing critical issues, and determining how to address them, requires consultation with stakeholders and other forms of data collection and analysis. Introduction on Resettlement (OD 4.30) and Indigenous Peoples (OD 4.20). People are the reason for and the means of development. Their cultures, societies, and SAs are carried out in a project context in organizations provide the foundation on which order to: development programs rest. Peoples' varied · identify key stakeholders and establish an needs, aspirations, beliefs and expectations are appropriate framework for their partici- among the factors which shape their response pation in project selection, design, to development activities. In the past these implementation, and monitoring and factors have often been analyzed separately, evaluation; with the result that some issues received attention while others were overlooked. · ensure that project objectives and incentives for change are acceptable to the range of Today, development practitioners recognize people intended to benefit, and that gender, that integrated, systematic social analysis can ethnicity and other social differences are help ensure that Bank operations achieve their taken into account in project design; objectives, and that they are sustainable and · assess the social impact of investment feasible within their social and institutional projects, and where adverse impacts are context. There is also a growing appreciation identified, determine how they can be that stakeholder participation in the selection avoided, minimized, or substantially and design of projects can improve decision mitigated; and making, strengthen ownership, and help poor and disadvantaged groups. · develop the capacity to enable participation, resolve conflict, permit service delivery, and Social Assessment (SA) is a process which carry out mitigation measures in ways that provides an integrated and participatory are socially sound. framework for prioritizing, gathering, analyzing, and using operationally relevant SAs may also be carried out in poverty social information. SA is consistent with Bank assessments and country economic and sector procedures and supports existing Bank policies work (CESW) in order to establish a framework This note was prepared by Kathryn McPhail and Sue Jacobs and is based upon the informal Social Assessment Guidelines printed in May 1994. The note was originally published as Environment Department Dissemination Note Number 36. The views expressed in this note are those of the author(s) and do not necessarily reflect the official policies of the World Bank. Box 1. Who are the Stakeholders? The range of stakeholders in Bank projects includes those affected by the outcome, negatively or positively, or those who can affect the outcome of a proposed intervention: The Borrower. The Bank's most immediate client is the government and agencies responsible for project implementation. Beneficiaries. The government's clients include individual people, communities, or organizations expected to benefit from the project or program. Affected Groups. Some individuals, families, communities or organizations may be indirectly or adversely affected by Bank policies or investments. At-risk groups such as the poor and landless, women and children, indigenous people and minority groups are particularly important. Other Stakeholders. Others who have vested interests in developing initiatives include donors, NGOs, religious and community organizations, local authorities, and private sector firms. for participation and identify priority areas for identifying problems and empowered to find social analysis. For example, SA may be used solutions. Where local participation in project to evaluate women's access to resources, or to design and implementation is expected, par- investigate the relationship between income ticipatory data collection and analysis can distribution and land tenure or ethnicity. help build trust and mutual understanding early in the project cycle. Assessment Design SAs may be carried out by a single social SAs involve consultations with scientist who contacts key stakeholders and stakeholders and affected groups and other identifies and resolves issues; or, where issues forms of data collection and analysis (see box are more complex or more systematic 1). Deciding how much investigation is participation is needed, by a team which needed, what information is required, and undertakes SA as part of project preparation. how it should be obtained, depends primarily SA activities can take place throughout the upon the significance or complexity of the project cycle, but the integration of social issues and the degree of participation needed factors into project design works best when it to gain stakeholder ownership of, and action begins at identification. upon, decisions that are made. A variety of methodological tools can For example, where social factors are contribute to SAs including quantitative complex and social impacts or risks are surveys, qualitative methods such as benefi- significant, formal studies generally need to be ciary assessment, and participatory processes carried out by consultants as part of project such as stakeholder workshops and participa- preparation. This does not mean that all tory rural appraisal. All methods should be problems can be solved in the project sensitive to gender, ethnicity and other social preparation process. Where there is differences (see World Bank Participation considerable uncertainty due to lack of Sourcebook, Annex I Methods and Tools). awareness, commitment or capacity, SAs can contribute to the design of projects which build on experience and are responsive to Box 2. Levels of Participation change. Information Dissemination One-way flow of information. The degree of stakeholder involvement Consultation needed also influences assessment design (see Two-way flow of information. box 2). In some cases stakeholders simply Collaboration provide information and no further interaction Shared control over decision making. is foreseen, but often projects are improved when issues are jointly assessed and agreed, or Empowerment Transfer of control over decisions and resources. beneficiaries are given the responsibility for 2 Regardless of techniques adopted, most sampling frames to be used, and the SAs carried out during project preparation arrangements for information dissemination, tend to follow a similar process (see box 3). consultation and participation of affected groups. This information should be summarized Initial Overview in the TOR for project preparation. Selection of Two of the most critical steps in SA are contractors generally involves an evaluation of identifying stakeholders and defining the institutional capacity, of experience with operationally relevant social issues that may beneficiary or affect populations, and of affect project delivery and outcomes. This is experience with SA methods and tools. generally done by listening to affected groups, experts and government officials who can Data Gathering identify relevant issues and who have Gathering data, often in local languages, knowledge of the larger socio-cultural, requires the identification, selection, training political and economic context that can affect and supervision of local researchers and project design and implementation. Where interviewers. Where local institutions lack issues are limited in number and there is little requisite experience, training and close conflict among stakeholders, information supervision by experts are required. It is dissemination followed by consultation with important to pre-test data collection instruments under close supervision to ensure Box 3. Common Questions in SA that they are appropriate for both data gatherers and informants, and that Who are the stakeholders? Are the objectives of the project consistent with their needs, interests and operationally relevant information will be capacities? obtained. In situations where beneficiary involvement and commitment are needed, What social and cultural factors affect the ability of participation in data collection and analysis are stakeholders to participate or benefit from the important to build trust, ownership and local operations proposed? capacity. What will be the impact of the project or program on the various stakeholders, particularly women and Data Analysis and Dissemination of Findings vulnerable groups? Are there plans to minimize or Analysis should focus on questions of mitigate adverse impacts? operational importance. Knowledge of the What are the social risks (lack of commitment or country and Bank procedures helps speed capacity, incompatibility with existing conditions) analysis and ensure relevance; however, it is which might affect the success of the project or also important that findings be discussed with program? affected people to ensure that conclusions and recommendations are appropriate. SA What institutional arrangements are needed for participation and project delivery? Are there adequate designers generally allot too much time to data plans to build the capacity required at the appropriate collection and too little time to analysis of level? findings and stakeholders discussions of the results and their implications. affected groups may suffice. However, where there is considerable uncertainty or social Incorporating Data Into Project Design issues are complex, systematic and Useful data are assembled in a format participatory data collection and analysis are which is relevant to planning and generally required (see box 4). implementation. One method of providing operationally relevant material is through an Assessment Design action plan. Action plans specify what social Where systematic data collection is needed, measures and institutional arrangements are to the second step is to design an appropriate be incorporated in the project; how they will be methodology for data collection with the carried out and monitored; and how changes individuals or organizations that will conduct which occur as the project is implemented will the SA. In most cases it is necessary to define be addressed and included. The action plan, the population to be studied, types of data and informed by the data and analysis in the SA, 3 should be incorporated into the overall project. issues; adverse impacts, if any; mitigation Sometimes these plans take the form of, or are plans as needed; and the type of consultation prepared in conjunction with, resettlement or and participation which has already occurred indigenous peoples development plans. and which is planned. Project changes resulting from public involvement should be Key Outputs carefully recorded. SAs carried out during preparation should contribute to: (a) clarification of project objec- Building In-Country Capacity tives and the means to achieve them; (b) a strategy for ongoing participation and for Participation and social analysis are easier developing commitment and capacity at where there is in-country capacity. This appropriate levels; and (c) mitigation plans capacity is greater where countries have where adverse social impacts are expected. enabling policies which support social Recommendations on these matters should be objectives such as poverty alleviation and discussed with stakeholders and affected participation, and where bureaucracies are groups to ensure that they are appropriate oriented to client or beneficiary-centered and acceptable. development. Professional skills can be strengthened through support for training of Support For SA in-country social scientists and community development professionals, as well as through Social issues are invariably complex. institutional strengthening of civil sector Making realistic assessments about what is research organizations and NGOs. possible and how social objectives can be met takes country knowledge, technical skills and time. For these reasons task managers gener- ally seek technical support for SAs from Box 4. Social Factors Affecting Poverty, specialists skilled in participatory processes Participation and Project Success and social analysis. Securing this support early in project identification helps to ensure effi- Demographic Factors cient use of time and to avoid delays later in The number of people, their location, population density, etc. the project cycle. Socio-economic Determinants The Bank's Technical and Country Factors which affect incomes and productivity such as risk aversion in the poorest groups, land tenure, Departments have strengthened their capacity access to productive inputs and markets, family to provide support for participation and SA, composition, and access to wage opportunities and and information and support is available from labor migration. ENVSP. Training in SA and participatory Social Organization methods is available to both technical staff and Organization and capacity at the household and task managers. community levels affecting participation in local level institutions, both informal and formal, as well Documentation as access to services, flow of resources, an ability to deliver/receive development goods and services. In order to promote transparency and Socio-political Context accountability, Bank procedures encourage the Context affecting development goals, control over disclosure of information at each stage of the resources, priorities of implementing agencies and commitment to project objectives. project cycle. To summarize key information in readily accessible form, internal project Needs and Values Stakeholder attitudes and values which determine processing documents should, from an early whether development interventions are needed and stage, include information on the social wanted, or, where conflicts exist, necessitate objectives of the project and the means to adequate mechanisms to promote awareness and achieve them. Topics to include are: key social provide incentives for change. Social Development Notes are published informally by the Social Development Family in the Environmentally and Socially Sustainable Development Network of the World Bank. For additional copies, contact Social Development Publications, The World Bank, 1818 H Street, NW, Washington, DC 20433, USA, Fax: 202-522-3247, E-mail: sdpublications@worldbank.org. Printed on Recycled Paper 4