NCORPORATING - World Bank

1 IINCORPORATING social DIMENSIONS INTO BANK-SUPPORTED PROJECTSSOCIAL ANALYSIS SOURCEBOOK:Incorporating social Dimensions into Bank-Supported ProjectsSocial Development DepartmentThe World BankWashington, DCDecember 2003iiiiiSOCIAL ANALYSIS SOURCEBOOKINCORPORATING social DIMENSIONS INTO BANK-SUPPORTED PROJECTSGood Practice Sourcebook on social AnalysisThis sourcebook describes good practice in the application of social analysis toBank-supported operations. It is based on the lessons learned from five years ofBank experience (1997-2002) in addressing social dimensions through the use ofsocial assessments by Borrowers to inform project design, and by social develop-ment specialists in project preparation and sourcebook does not represent operational policy and does not describeminimum requirements for Bank-supported sourcebook represents work in progress.

2 It describes the conceptual ap-proach recommended by the social Development Board as good practice andillustrates how this can inform the project cycle. Sector-specific guidance will beprepared and issued and good practice examples can be sent In due course, we plan to update the sourcebookto reflect any policy decisions eventually taken by Senior Management and Ex-ecutive Directors, and to include additional country Development Board, December 2003: Steen Lau Jorgensen (Director SDV), JudithEdstrom (SDV); Jeffrey Racki (SASES); Petros Aklilu (MNSRE); Shelton Davis (LCSEO);Maria Correia (AFTS2); Cyprian Fisiy (EASES); David Freestone (LEGEN); AlexandreMarc (ECSSD); Michael Woolcock (DECRG); Motoko Aizawa (IFC); Mary McNeil (WBI).The social Analysis Sourcebook was developed with the help of a regional advisorycommittee, consisting of:Dan Aronson (AFTES); Stan Peabody (ECSSD); Cyprian Fisiy (EASES); Bruce Harris(EASES); Estanislao Gacitua-Mario (LCSEO); Reidar Kvam (SASES); John Keith Rennie(MNSRE).

3 Chief Editor: Anis A. Dani (SDV)Coordinator, Project social Analysis: Reidar Kvam (SDV)CONTENTSCHAPTER 1: WHY SHOULD WE DO social ANALYSIS?..1 The Goal of the Sourcebook: Multidimensional Studies and Common s social Analysis Contributes to social Forms of social Analysis in Bank social analysis as a form of economic and sector analysis in the project appraisal assessment at various Common Framework for social Analysis: Five Entry of the 2: THE SCOPE OF social Diversity and work on social diversity and outputs of social analysis of diversity and , Rules and work on outputs of analytic work on work on outputs related to the equity and effectiveness of of opportunity to participate in effective outputs of analytic work on work on social outputs of social risk Entry Points, One 3.

4 BUILDING social ANALYSIS INTO PROJECT social Analysis into Project Design and Implementation What Doesit Take?..37 Adequate realistic of promises and ANALYSIS SOURCEBOOKINCORPORATING social DIMENSIONS INTO BANK-SUPPORTED PROJECTSCONTENTSCONTENTSA lliances and capacity among local the Project Cycle to Integrate social Analysis intoDesign and concept document (PCD)..42 Project appraisal document (PAD)..45 Operational implementation plan (PIP)..48 Project legal and the Five Entry Points of social Analysis in Project diversity and , rules and for Delivery of Project 4: social Concepts of social for social Whether to Do a social Facets and Phases of social of reference for social and and the Quality of social diversity and , rules and to equitable 5: THE WAY Practices in social practices for operational Instruments for social 1: EVOLUTION OF social ANALYSIS AT THE World Addressing World Roles for social Data, Better Methods, Better Resettlement Watershed and Interdisciplinary Fuller Concept of social 2.

5 APPLICATION OF social ANALYSIS IN SPECIALIZED LENDING and Innovation Pension Systems Reform Technical Assistance Quality Management Program Power Sector Restructuring Intermediary Poverty Alleviation Microfinance Project (Microfinance II)..86 India-ILFS-Private Infrastructure Finance Recovery Ni o Emergency Recovery Assistance Federation Coal Sector Adjustment Loan (SECAL) 3: HELP MENU ON social ANALYSIS FOR TASK of social Analysis to the the Information the social diversity and gender:..92 Institutions, rules and development and 4: GENERIC TERMS OF REFERENCE FOR social and 1: Description of the Proposed 2: Description of the Socio-Cultural, Institutional, Historical and 3: Legislative and Regulatory 4: Key social ANALYSIS SOURCEBOOKINCORPORATING social DIMENSIONS INTO BANK-SUPPORTED PROJECTSACKNOWLEDGEMENTSThis is a product of a team of colleagues and consultants from inside and outsidethe Bank.

6 We would like to express our gratitude to the social Development Board for itscontinuous encouragement and support, and to the social Analysis Advisory Committeefor overseeing this also thank our colleagues in the international community and in many Borrowercountries for their comments and for sharing their own materials. We owe special thanksto the Danish Trust Fund for their support, without which this task would never havebeen accomplished. Much of the data used in this sourcebook comes from our collabora-tion with the Quality Assurance Group, and we owe thanks to Prem Garg and our QAGcolleagues for their support during the quality assurance project has benefited from feedback and support received from many socialdevelopment colleagues from the regional social development teams during the consul-tation process organized for preparation of this sourcebook.

7 Many more colleagues, in-cluding staff from other sectors, influenced the preparation through feedback providedat two training courses, where the prototype conceptual framework was presented toparticipants to test the approach. The discussions and comments from participants atthose training courses contributed to the development of the conceptual framework. Weare very grateful for those valuable sourcebook has been written by a team of social scientists led by Anis A. to the text include Tom Dichter, Kathleen Kuehnast, Ayse Kudat, ZlatinaLoudjeva, B. Bulent Ozbilgin, Maria Clara Mejia and William Partridge. The editors ac-knowledge the comments and inputs received from Colin Bruce, Robert Chase, GloriaDavis, Nicolette K. Dewitt, Lawrence Salmen, Per Egil Wam, Gordon Appleby, AlexNorsworthy, Nora Dudwick and Helen Shahriari.

8 We also gratefully acknowledge thehelpful comments received from the regions and networks during the review Kennedy and John-Paul Ferguson have done yeoman s work in editing and achiev-ing consistency among the various contributions. Ralf Leiteritz coordinated the produc-tion of different sections. Joyce Chinsen provided outstanding support to the team byorganizing the series of planning and review workshops, and coordinating consultantinputs to produce this joint product. Deborah Youssef and Deborah Appel-Barker de-serve special mention for designing and producing the electronic version of the sourcebookunder extremely difficult circumstances, while the drafts were constantly JohnsonVice PresidentESSD NetworkCONTENTSTask 5: Data Collection and Research 6: Strategy to Achieve social Development 7: Implications for Analysis of 8: Recommendations for Project Design and 9.

9 Developing a Monitoring Outputs, Schedule and , FIGURES AND TABLESF igure social Analysis and the Bank s Three Approaches to social Analysis in World Bank social Analysis Sequencing in World Bank Investment Checklist of Diversity Case Study A Community-based Rural Infrastructure Case Study A Community-Based Poverty Reduction Task Teams Ignore Stake Holder Interests and Influence at Their Stakeholder Interest Versus Stakeholder Stakeholder Analysis Matrix (SAM)..25 Box Case Study Rural Analyzing Equity of Common Examples of the Five Kinds of Case Study Rethinking social Risk Assessment The Value of Key Design and Operational Generic Design Elements and Operational Factors Derived From the Recom-mendations of social Supporting the Borrower s social Assessment Tips For the social Making the Most of the PCD Tips For the social Staying on Top of the Operational Manual Tips for the social Participation Tips for social Borrower Role During social The social Assessment Process and the World Bank Project Selection of social Analysis Study Methods and social Diversity and Participation Participation in a Project in the East Asia and Pacific Participatory Design and Impact

10 Monitoring in the Philippines-Water DistrictsDevelopment Project (P004576)..74viiiixSOCIAL ANALYSIS SOURCEBOOKINCORPORATING social DIMENSIONS INTO BANK-SUPPORTED PROJECTSEXECUTIVE SUMMARYThis sourcebook presents a conceptual framework for social analysis and describeshow task teams can incorporate its principles into project design, implementation, andmonitoring and evaluation. It is not a policy statement and does not prescribe any manda-tory requirements. Instead, it provides guidance on good practice to improve the qualityand impact of social analysis by harnessing it to examine the social opportunities, con-straints and likely impacts of Bank-supported operations, based on the lessons learnedduring the past five years. The sourcebook describes a systematic approach that placessocial analysis in the service of poverty reduction by focusing directly on equity and socialsustainability to improve social development term social analysis has multiple meanings associated with the word social .