social analysis handbook

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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Handbook on Social Analysis FA.i1 1 02/11/2007 2:14:43 PM

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


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


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.


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).


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.”


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.


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).


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.


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


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.


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


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.


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.


• 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).


(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:


(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).


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.


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).


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).


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).


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.


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


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.


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


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).


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.


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.)


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.)


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.


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).


(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.


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.


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.


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


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


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.


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).


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.


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.


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


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.


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.


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.


(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).


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.


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.

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.


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.


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.


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).


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).


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.


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).


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

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.


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.


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)


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


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.


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


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;


(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;


(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).


(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.


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;


(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


(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


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.


(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;


(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.

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.


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.


(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


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.


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.


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.


(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.


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.


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.


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.}


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.


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.}


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


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?


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.}


• 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.


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.


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).


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.


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.


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


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.


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?


• 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).


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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;


(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.


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.


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.


(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.


cBos,providethemwithtraining,andhelpstrengthentheiroverallcapacity.contractednGosshouldbeexperiencedand reputableandhaveestablished relationshipswithcommunitygroups,especiallywiththepoor.


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


Activity ProfileWhodoeswhat?

Access and Control ProfileWhohaswhat?

Analysis of Factors and TrendsWhatisthesocioeconomiccontext?

Project Cycle AnalysisWhatgenderconsiderationsareneededfortheproject?


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


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.


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.


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.


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?__________


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.


(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


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.


(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.


(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,


(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.


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.


• 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.


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



• 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


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


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



• 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.


• 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.

Appendix8.2 indiGenoUspeoples’impActcAteGoriZAtionform 149

Appendix 8Indigenous Peoples

8.1. Indigenous Peoples’ Screening Checklist


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.


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.


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:___________________________


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


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.


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.


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.


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).


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.


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.


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


(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;


(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.


(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),


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


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?


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.


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


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.


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.


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.


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


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


•consultants’reports•mitigationmeasures

includedinthedraftreportandrecommendationofthepresident


•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.

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.


• 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].


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


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


Appendix 13Selected References

PovertyAsiandevelopmentBank(AdB).1995.Assessmentoftheimpactofprogramloansonpoverty(staff

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

of the Asian Development Bank.manila.. 2006. Poverty Handbook: Analysis and Processes to Support ADB Operations – A Working

Document. manila.AdB,etal.2000.Global Poverty Report 2000.preparedforG8summit,okinawa,July.carvalho,s.,andH.White.1997.combining theQuantitativeandQualitativeApproaches topoverty

measurement.World Bank Technical Paperno.366.Washington,dc:WorldBank.organisationforeconomicco-operationanddevelopment(oecd).2001.DAC Guidelines for Poverty

Reduction.paris..2006.Promoting Pro-Poor Growth: Harmonising Ex-Ante Poverty Impact Assessment.paris.

Unitedkingdomdepartmentfor internationaldevelopment(dfid).2000.Halving World Poverty by 2015: Economic Growth, Equity, and Security. london.

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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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