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Measuring Empowerment


									Social Analysis in PSIA

   Renate Kirsch
 Nairobi, December 2006

TIPS Sourcebook:
A framework for Social Analysis

           Social Analysis in PSIA
   Institutional: the “rules of the game” that people develop to govern
    group behavior and interaction in political, economic and social
    spheres of life

   Political: the structure of power relations and often-entrenched
    interests of different stakeholders

   Social: the social relationships that govern interaction at different
    organizational levels, including households, communities and social

 Important to signal that reforms
        are manifested through institutional mechanisms
        have important political economy dimensions
        have differential impacts on different social groups
What is the value added of social
analysis in PSIA?
   Explains how social identity and social relations may
    affect reform outcomes and impacts (ethnic minorities in
   Analysis of informal rules and behaviors helps to
    understand implementation issues and constraints
    (Tanzania Crop Board)
   Focus on Analysis of interests and influence of different
    stakeholders helps to understand effects of political
    economy (Indonesia Imported Rice Tariff Pricing)
   Helps to identify socio-political and institutional risks
    (Zambia land reform)
   Emphasis on PSIA process and dialogue helps to identify
    bottlenecks and preconditions for ownership of reforms
What are institutions?

   Organizations as well as “Rules of the Game”
       may be formal ( legal systems, property rights,
        enforcement mechanisms); or
       informal, (cultural practices and social norms)

       Institutions operate and influence behavior in different
        domains of daily life:
            the state domain (governing justice, political processes and
             service delivery),
            the market domain (governing credit, labor and goods) and
            the societal domain (governing community and family
             behavior).                                                     5
TIPS Sourcebook:
A framework for Social Analysis

Macro Level

                               •Country Social
                               •Power Analysis
                               •Drivers of Change

  Macro Level
  Country & Reform              •StakeholderAnalysis
  context                       Matrices
                                •Political Mapping
                                •Network Analysis
                     Reform     •TransactionCost
                     Context    Analysis
                                •The RAPID Framework

1. Macro level social analysis:
Understanding country context

   What is the significance of:
     Historical context
     Political-ideological climate

     Political-institutional culture

     Economic and social make-up

    Country Social Analysis (CSA)
   upstream, political economy analysis that seeks to inform policy
    dialogue and to improve the effectiveness and sustainability of
    development interventions

   provide recommendations for the removal of barriers to equal
    opportunities for participating in development, accessing public
    institutions and holding them accountable,

   The CSA framework analyzes the interaction between two dimensions:

        Social diversity, assets, and livelihoods
            What is the existing distribution of and access to assets and services across
             different social groups? What is the impact of that distribution in the
             livelihoods and coping strategies of the poor?

        Power, institutions, and governance
           What are the institutions that mediate access of the poor to assets and services?
            How do these institutions impact policy making and resource reallocation ?
    Country Social Analysis Yemen
Three objectives:
   Factors that contributed to inclusion/exclusion of specific socioeconomic
   The processes that enhanced or weakened cohesion within and among groups,
   The means by which people could hold institutions accountable.

Pursued through an Analysis of Livelihoods:
   Change of livelihood pattern in secondary towns and how this affects access to
    assets and services of different social groups.
   Livelihood strategies in rural areas. Most poverty is in rural areas with farming
    predominant livelihood, rural people’s access to assets, institutions
   Analysis of the alignment of government policies and investments with
    people’s strategies..

Country Social Analysis:
Yemen, Findings

     Inequality is increasingly becoming an issue in Yemen. Youth,
      women and rural people are becoming marginalized from the
      economy as traditional livelihood systems decline but are not
      replaced with new opportunities
     Insufficient integration of modern and customary norms is
      rapidly changing the rules for managing communal resources
      such as land and water. This is resulting in the concentration of
      productive land in the hands of a small number of powerful
      families, while the poor have diminishing access to either rural
      or urban land
     Poverty, inequality and patronage also threaten social cohesion
      in Yemen. Current systems of social solidarity at the household
      and communal levels are stressed as a result of deepening

Country Social Analysis:
Yemen, Findings II
     There are also new opportunities for
      socioeconomic inclusion. Social mobility in
      Yemen used to be based on social status, now
      the cash economy and state education provide
      are means for social advancement of
      historically marginalized groups

Macro Level

                               •Country Social
                               •Power Analysis
                               •Drivers of Change

  Macro Level
  Country & Reform              •StakeholderAnalysis
  context                       Matrices
                                •Political Mapping
                                •Network Analysis
                     Reform     •TransactionCost
                     Context    Analysis
                                •The RAPID Framework

1. Macro Level Social Analysis:
Understanding policy reform context

Policy reform is highly political and not a technical exercise. If
   political-economic and social context of the reform is not
   understood, danger that the designed is a „one-size-fits-all-
   solution‟ ignoring country specific factors that can be crucial for
   the success or failure of reform.

Macro-level stakeholder analysis: Understanding the interests of political actors,
   economic or social influential groups and the incentives under which they operate

   Questions: Who are the stakeholders? What is their position with respect to policy
    change? What motivates them? Who opposes? What is the danger of elite capture?
    Difficulty here: Interests change over time

Macro-level institutional analysis

   Questions: What are the institutional rules and relationships that influence policy
    reform? What is the capacity of the institutions to implement the reform?             14
Political Mapping
What is it?      Political Mapping is a tool for organizing information about the political landscape in an
                       illustrative way. Political mapping provides analysis of political alliances at the macro
                       (national or sector) level. The tool can provide an entry-point to a more in-depth analysis of
                       the political economy.
What can it be   Political mapping identifies the most important political actors and spatially illustrates their
   used for?           relationships to one another with respect to policy design and delivery.
                 •     Provide a graphic representation of the political viability of a regime
                      Offer clues about the vulnerabilities of the regime
                      Detect the existence of opposing alliances and potential support coalitions
                      Give an indication of the level of authority possessed by the regime
                      Help indicate implementation capacity of various actors
                      Detect new directions in policy
What does it     The tool can illustrate the distribution and nature of support or opposition to government
   tell you?          with respect to a given reform.

Key elements     For purposes of making sense of a complex political landscape, a political map simplifies the
                      real world into two dimensions: horizontal and vertical, with the actors on the vertical axis
                      and the degree of their support for the government on the horizontal axis. Since the
                      government is the primary focus of decision-making regarding how the benefits to society
                      will be distributed, it is always placed at the centre of the map
   Political mapping: Import tariff on Rice

Two opposing arguments:                     Opposition sectors                        Support sectors
•Higher Rice Tariff for
imported rice: higher         External                  International
                                                                                        World Bank,
                                                                                        IMF, WTO
incomes for farmers and
rural workers                 Sector      Anti-system     Legal         Ideological        Core         Ideological
                                                        opposition       support          support        support
(protectionist producer       position
focus)                                    Small                                         Urban
•Abolish/Reduce Rice          sectors     farmers in                                    consumers
                                          Region X
Tariff: poor people are net
                              Political                 Opposition                                    Opposition
rice consumers not            actors                    socialist                                     Neoliberal
producers and suffer                                    party                                         party

economic hardship with        Pressure                  Farmworker
higher prices (poverty        groups                    federation

consumer focus)
     Meso Level

                                                 Stakeholder Analysis Matrices
                        Stakeholder Analysis
                                                 Micro - Political Mapping
                                                 Force - Field Analysis
Meso Level
Policy Implementation
                                                 Static Mapping
                        Institutional Analysis   Process Tracing
                                                 Process Mapping

2. Meso Level Social Analysis:
Understanding the policy implementation

    Analysis of the process of implementation allows us to
     explore how, why and under what conditions a policy
     intervention might work, or fail

    Understand the rules and incentives that govern
     stakeholder behaviour and institutional relationships
     during the implementation of policy reform.

    Puts us in a better position to predict or explain how
     policies can change and sometimes distort the expected
     impact of policy reform.
2. Meso Level Social Analysis
Stakeholders and Institutions
   Meso-level Stakeholder Analysis
       Objective: To test assumptions about the
        interests of social actors.

   Meso-level Institutional analysis
       Objective: To test assumptions about the social
        rules governing the implementation of policy

    Stakeholder Analysis
What is it?         Stakeholder Analysis is a systematic methodology that uses qualitative data to
                    determine the interests and influence of different groups in relation to a reform.
What can it be      While stakeholder analysis can be carried out for any type of reform, it is particularly
used for?           amenable to structural and sectoral reforms. Basic stakeholder analysis should
                    precede reform design and should be consistently deepened as reform elements are
                    finalized. Stakeholder analysis is also critical for informing an end-of-exercise
                    assessment of the risks to policy reform.
What does it tell   Once different types of stakeholder have been identified and listed, matrices and
you?                other illustrative devices can be developed that map: (i) the nature of their interest
                    in policy reform (whether positive or negative); (ii) the extent to which
                    stakeholder interests converge or overlap; (iii) their importance to the reform;
                    (iii) their influence over the reform onto four quadrants.
Key elements        Stakeholder Analysis is iterative and usually proceeds through the following sources
                    of data to reach final conclusions: (i) background information on constraints to
                    effective government policy making; (ii) key informant interviews and group
                    workshops that identify specific stakeholders relevant to the sustainability of policy
                    reform. When working with groups, Participants should be drawn from diverse groups
                    of interest in order to limit bias; (iii) verification of assumptions about stakeholder
                    influence and interest through survey work and quantitative analysis of         20
                    secondary data.
     Government                  National Unions                         Endusers
                                                                   21    Residential Consumers
1    National Government    11   Trades Union Congress
                                                                    22   Non-Residential Consumers
2    Ministry of Finance    12   Civil Servants Association
                                                                    23   SLT Customers
3    Ministry of Energy     13   Ghana Bar Association
                                                                    24   VALCO
4    NDPC                        Interest Groups
                                                                    25   Irrigation Farmers
5    Ghana Water Co. Ltd.   14   Association of Ghana Industries
                                                                         Civil Society Organisation
                            15   Ghana Chamber of Mines
     Utilities                                                     26    Consumers Association of Ghana
                                 Political Parties
6    VRA/NED                                                       27    Ghana National Association of Consumers
                            16   New Patriotic Party
7    ECG                                                                 ISODEC
                            17   National Democratic Congress
8    TICO                                                                Energy Foundation
                                 Convention Peoples Party
     Regulators                                                          Media
                            19   Peoples National Convention
9    PURC                                                                Development Partners
                            20   Others
10   Energy Commission                                             31    World Bank

                                                                   32    IMF

                                       Stakeholders Analysis:
                                      Ghana Electricity Tariffs
                                  6                                        1

                                            2         31                                         17
                                                                                 16               15 14
Influence over decision

                                                            0      3
                                        7                     34                       28         12 11



                                 29                                                                   20

                                                                       5                   13

                                                               Neutral                Harm/Oppose
                                                     Effects of Tariff Reforms                                       22
   Organisational Mapping
What is it?           A visual illustration that combines mapping and tracing techniques to illustrate
                          and analyse the flows of resources, information and decision making.

What can it be used      Following the path of services, products, money, decisions and
   for?                   information in the implementation of policy reform
                         Communicating process-related ideas, information and data in an effective
                          visual form.
                         Identifying actual or ideal paths, revealing problem areas of risk and
                          potential solutions.
                         Showing intricate connections and sequences clearly.
                         Aids in critical communication, problem-solving and decision-making
                         Permits immediate identification of any element of a process.
What does it tell        What activities are completed, by whom, in what sequence.
   you?                  Hand-offs between departments or individuals.
                         Internal and external operational boundaries.
                         Helps identify areas where a process can be improved.
Key elements          Organisational mapping involves three analytical steps that can be used
                         sequentially or independently: static (institutional) mapping, process tracing
                         and process mapping.                                                    23
Institutional Analysis:
Analytical sequencing in organizational mapping

                    Figure 4.1. Analytical Sequencing in Organizational Mapping

   Static Mapping                        Process Tracing                     Process Mapping

  Identify and place                    Trace cause-effect                   Map out the
  actors in a spatial                   flows in key                         dynamics and
  map                                   processes between                    relations between
                                        actors                               actors

  Examples:                             Examples:                            Examples:
  Chad cotton                           Chittagong port                      Chad cotton

    Institutional Analysis: Static and Process Mapping
    Cotton Chad: Decrease in quality?
                             “White as
                           snow” … but       Accord d’Ouverture
                                         Interface               He “travels with the
                                                                  cotton” … and with
CT resp.       Marche Autogere                                   bribes, in case cotton
for quality                                                            has been
of cotton                                Convoyer                     downgraded
signing of       Transporters
in theory
                                                 Commission de
                                                 Classement                    Biased balance
               Transformation                                                     of power
               and Production
   97% first
     class                                                         -Europe
    cotton                                                                                      25
Micro Level
                                                   •Vulnerability Assessment
                                                   •Gender Analysis
                           Analytical Frameworks   •Livelihoods Analysis
                                     for           •Empowerment Analysis
                             Impact Evaluation
                                                    Secondary Research Methods
                                                    Contextual Methods
Micro Level               Data collection           Non-contextual Methods
Impact of Policy Reform   methods                   Participatory Methods
                                                    Mixed Methods

Micro Level Social Analysis
   Apply Analytical Frameworks for Impact Evaluation
       Livelihoods Framework Analysis
       Gender Analysis
       Vulnerability Assessment
   Use qualitative and quantitative methods for data
       Key informant Interviews, Focus Group Discussion
       Community Level Household Questionnaire
       Household Economy Approach
       Consultative Impact Monitoring
       Consumer Assessment
       PPA, RRA,

       Consumer Assessment
What is it?        A mixed-method tool that (i) spatially maps social indicators, indicators of access, quality
                   of service, formal and informal prices of services, and socio-economic data (ii)
                   combines this with information on willingness and ability to pay, and on consumer
                   preferences from both qualitative and quantitative field research; and (iii) for certain
                   sectors (utilities) inputs this data into financial models of the utility in an interactive
                   manner to inform policy choices.
What can it be     Data generated by consumer assessment can be used to understand how prices are
used for?          transmitted (or not) from the formal to the informal sector, and to analyzes
                   qualitative factors in price levels (social capital, neighborhood type, informal
                   networks) in order to determine the distributional impact of tariff changes, or
                   changes in service provision such as privatization of utilities. It can also inform the
                   indicators of performance included in private management contracts so that they respond
                   more closely to consumer priorities. Most useful for policy changes involving urban areas
                   such as utility reform.
What does     it   The consumer assessment method has been used in several African countries
tell you?          (Mozambique, Lesotho, Zambia, Angola among others) to help inform policies related to
                   the introduction of the private sector in the water and electricity services, and in
                   setting and structuring socially and economically sustainable tariff policies for these
                   services. It is useful in the African context, for services such as water, where formal
                   services may reach only a minority of the urban population, and where actual tariff
                   increases may depend on both the institutions that put them in place, and the informal
What determines the choice of
analytical focus and methods?
 Nature of impacts (direct and indirect)
 Channel through which impacts are
 Data, resources, client capacity and time

 Remember: You can not skip a level !!!!!
 However, the emphasis to each levels varies
  considerably according to case context
 Most information will be obtained via
  literature review and existing analyses     29
Mixed method approach

   Combining Social and Economic Analysis
       Bringing a social, economic and sectoral lens to
        the research questions

   Combining quantitative and qualitative
       Assess research questions with different
        methods and tools
           Analytical focus vs type of data
           and analysis
             Qualitative analysis       Quantitative analysis

             Socio-cultural basis of     Access to assets and
                social exclusion       services differentiated by
                                          gender or ethnicity

                  Institutional         Impact of removal of
                   economics           agricultural subsidies on

Qualitative and quantitative dimensions of poverty and social impact
More “qualitative” research <<<<<<<<           >>>>>>>>>>More “quantitative”
Non-numerical information                                Numerical information

Specific (contextual) population coverage   General (non-contextual) population
Active population involvement                    Passive population involvement

Inductive inference methodology                Deductive inference methodology

Broad social sciences disciplinary          Neo-classical economics (and natural
   framework                                   sciences) disciplinary framework
Combining tools from different
 Use qualitative methods to understand
  context, relationships, patterns – informs
  the design of a survey questionnaire
 Use quantitative methods to assess extent
  to which phenomena occur (generalization,
 Use qualitative methods to unpack issues
  which are hard to explain from survey
    Three ways to combine methods

                In parallel
                                  Basis for
                In sequential   identifying
   Joint                           results
conceptual                           and
framework                        developing
                Iterative       recommen-


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