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Social Analysis Tools
Social Analysis for Projects
Social analysis for a loan or grant investment program or project starts from the time of concept paper preparation and ends with evaluation of the program/project.
The Handbook on Social Analysis (2007) explains in detail what actions to be taken in each of the following project cycle to conduct social analysis.
Project conceptualization stage
The preparation of a 2-3 page project concept paper may happen at the time of its inclusion in the country business plan. The concept paper includes the rationale, objectives, intended results and key approaches of a proposed intervention. There are sections on
- social and environmental issues
- stakeholder consultation, which are relevant to early identification of key social dimensions and participatory approaches.
At this stage, the project team is encouraged to start thinking about project classification (e.g., poverty targeting classification and those related to social development, such as gender and development and inclusive social development themes) and the type of financing modalities to be pursued by the proposed intervention (e.g., sector lending, program lending, sector development program, financial intermediation loan, guarantee operations, private sector operations). The decision on classification and financing instruments will have direct implications for the types, methodologies and costs of social analysis to be conducted during the project design phase.
Read more on social analysis at the concept paper stage.
Project predesign stage
During the fact-finding mission for a project preparatory technical assistance, a feasibility study, or an early stage of due diligence, an initial poverty reduction and social analysis (IPSA) needs to be conducted by the ADB project team with inputs from the government and consultants as needed. IPSA is an early flagging exercise, designed to determine the scope, data collection methods, specialist inputs, timeframe and budget expected for a poverty and social analysis that should take place as part of the overall project preparation.
More specifically, the IPSA:
- Confirms that the project has been identified as a national priority in the national poverty reduction strategy and country poverty analysis, and as an ADB priority in the country partnership strategy
- Briefly summarizes the contributions of the sector to poverty reduction in the relevant country
- Identifies groups of people who may be beneficially or adversely affected by the project
- Scopes the broad characteristics of these groups and relevant subgroups
- Identifies possible institutions to be involved in the project and briefly assesses their capacities
- Flags poverty and/or social issues that need to be examined during project design (including gender, involuntary resettlement, indigenous peoples, labor, affordability, HIV/AIDS impact, human trafficking impact, conflict/political instability and other risks and vulnerabilities)
- Identifies resource requirements for the poverty and social analysis that will take place during the project preparation, such as specialists and survey requirements. For example, designing of the projects involving individual or households targeting for poverty reduction purposes must include an in-depth poverty analysis in addition to social analysis, often requiring additional data collection and consultative process. Policy-based lending require in-depth poverty impact analysis, which has a resource implication
Download the IPSA template, which also includes step-by-step instructions and tips. Read more about how to conduct IPSA.
Project design stage
Once the IPSA identifies key poverty and social issues to be investigated and how, a more in-depth (poverty analysis, if individual or household targeting, and) social analysis is conducted during the project preparatory TA or other due diligence process.
In general, the project design phase involves
- technical, economic, financial, social, and environmental analyses based on the original project concept and discussion with the developing member country counterparts
- consultation with relevant stakeholders
- consideration of alternative design options
- development of a detailed design and related budget, financing plan, and implementation arrangements
Project designs may be developed through a project preparatory TA implemented by a team of consultants but may be also be developed through other due diligence processes undertaken by or for the relevant government or other sponsor, in consultation with ADB project team.
The time required for project design depends on many factors, including the complexity, scope of the proposed project, financing modality, data availability, and the level of consensus built among the key stakeholders on the project concept.
It is essential that the social analysis findings feeds into the project designs while the project designs also influence the analysis of the likely social impacts.
More specifically, the social analysis:
- Provides a basis to confirm the project’s rationale and accesses the project’s potential to contribute directly or indirectly to inclusiveness, equity, empowerment, and social security
- Provides an opportunity for consultative process for project designing
- Examines alternative project components or activities to enhance social development opportunities and develops measures to overcome social barriers, constraints, and risks and to address institutional weaknesses
- Prepares any necessary plans, actions, and other measures to maximize positive social development outcomes (e.g., project participation plan, gender plan) and mitigate any negative impacts (e.g., involuntary resettlement framework/plan, indigenous peoples plan), while ensuring these measures are fully reflected in the components, implementation arrangements, budget, consultant terms of reference, timeframe, assurances and other legal agreement
- Develops social targets indicators to be integrated in the project design and monitoring framework
The findings and prepared actions of the social analysis (together with the poverty analysis when required) are synthesized in the summary poverty reduction and social strategy (SPRSS) format, which is a core appendix to the report and recommendation to the President.
Download the SPRSS template, which also includes step-by-step instructions and tips. Read more about how to conduct IPSA.
Project implementation stage
The implementation of the SPRSS and the relevant social development plans and actions for the project needs to be monitored throughout the project implementation phase.
Assessments of the progress in implementing social development-related plans and actions, and in achieving social targets and indicators among project outputs and outcomes needs to be integrated into the following monitoring mechanisms required by both the government concerned and ADB:
- Project administration memorandum (PAM): Generally drafted prior to the project inception mission, it is the main source of guidance to the Executing Agency (EA) and Implementing Agencies (IAs) if any, and ADB for monitoring the implementation of the project.
- Executing agency (EA) progress reports: The timing and format of periodic progress reporting by the EA and IAs are normally specified in the PAM and loan or grant agreements. These reports provide critical primary information of the project implementation progress.
- Project performance reports: They are prepared by ADB project officer with inputs from the EA and consultants. Periodical updates are required.
- Project mid-term review report: The mid-term review which often involves mission and stakeholder consultations provides an opportunity to take stock of progress, strengths and weaknesses and suggest ways to adjust designs and actions to solve problems if any.
- Project completion report: It is prepared jointly by the EA and ADB to summarize all the implementation experience and lessons learned.
- External monitoring reports: Sometimes one or two aspects of monitoring (e.g., implementation of the resettlement plan, financial auditing) are conducted by an independent monitoring agency such as a specialized firm or a civil society organization.
- Project performance evaluation report: It is an independent evaluation of the performance of selected completed projects.
See various monitoring and evaluation reports of ADB-assisted projects.
The general questions to be asked are:
- What is the progress in implementing components and design features intended to address gender and other social issues? What is the progress in implementing any social safeguards or other mitigation plans (or frameworks or actions)? Have the targets and indicators related to social development milestone actions, outputs, and outcomes (which are often disaggregated by sex, ethnicity/caste, and household income level) been achieved (e.g., % of female participation in agriculture extension, water user associations)?
- Is the project in compliance with any covenants related to social issues?
- Are there any problems in implementing all the above? What are the proposed actions to address these problems?
Needless to say, a consultative and participatory process is essential in collecting and verifying information regarding the project implementation progress, outputs and outcomes related to social targets and indicators.
Read more about how to conduct social development monitoring during the project implementation stage.
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