Social Equity Audit


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A presentation on what a social equity audit is, and what it is now. Would make more sense with the manual, but can be understood stand alone also

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Social Equity Audit

  1. 1. Social Equity Audit (What it is and what it is not) An exploration into the scope and limitations of SEA Anita Cheria and Edwin 125/1, cross 15, main 5, block 2, r t nagar, bangalore, india 560032 e:
  2. 2. SEA: History <ul><li>Tsunami </li></ul><ul><ul><li>‘ Sharpening contradictions’ and ‘shared ordeals’ alone don’t bring about solidarity. </li></ul></ul><ul><ul><li>‘ development’ should not lead to consolidation of discrimination and vulnerability. </li></ul></ul><ul><ul><li>Equity must be designed, programmed, executed and monitored. </li></ul></ul><ul><li>Developing the tools </li></ul><ul><li>Training </li></ul><ul><li>Audits </li></ul><ul><ul><li>NGO </li></ul></ul><ul><ul><li>iNGO </li></ul></ul>
  3. 3. SEA: Non-negotiables <ul><li>Professional </li></ul><ul><ul><li>Maintaining globally accepted standards of professional identification of processes, patterns and structures of social exclusions . </li></ul></ul><ul><li>Political </li></ul><ul><ul><li>Enabling organisations and communities to effectively move from exclusive to more inclusive approaches and processes . </li></ul></ul><ul><li>Value based approach </li></ul><ul><ul><li>Looking at development though the lens of the most vulnerable . </li></ul></ul><ul><ul><li>Recognising the no-name people and places. </li></ul></ul>
  4. 4. SEA: Core Values <ul><li>A social equity audit is a value based process, combining professional standards with a strong inclusion perspective. </li></ul><ul><ul><li>Perspectives of the marginalised. </li></ul></ul><ul><ul><li>Empowering the vulnerable. </li></ul></ul><ul><ul><li>Changing the power relations. </li></ul></ul>
  5. 5. SEA: Process and tool Key characteristics and benefits <ul><li>Enables social inclusion and accountability in development programmes. </li></ul><ul><li>Enables programming to live up to internationally accepted standards. </li></ul><ul><li>Enables accountability from all stakeholders and participants. </li></ul><ul><li>Is voluntary , and done on request of an organisation. </li></ul><ul><li>Is organisation-friendly: rigorous and professional, does not condemn nor condone, but gives concrete, practical suggestions on social inclusion. </li></ul><ul><li>Understand and address structural, organizational and strategic constraints and bottlenecks that prevent/limit marginalized and vulnerable communities from equitable participation and benefit sharing in development programmes. </li></ul><ul><li>Enable the organisation to ensure the participation of the vulnerable communities. </li></ul><ul><li>Support the organisation become inclusive in its organisational structure, process and delivery. </li></ul><ul><li>Develop more inclusive and equity based development interventions. </li></ul>
  6. 6. SEA: Role in inclusion <ul><li>Help better understand the root causes and the processes of social exclusion and discrimination in the social and community context. </li></ul><ul><li>Ensure that recovery programmes increase accountability and social inclusion. </li></ul><ul><li>Pro-actively address issues of social exclusion and negative discrimination affecting the poorest as well as other marginalised communities. </li></ul><ul><li>Facilitate analysis of complex social and economic relations affecting the poorest and the marginalised. </li></ul><ul><li>Assess how the principles of non-discrimination and inclusion are operational in the organisation as a whole: in its vision-mission statements, organisational structure, strategies and decision-making processes. </li></ul><ul><li>Collectively engage in design of programmes to unearth ongoing social exclusion and discrimination. </li></ul><ul><li>Identify best practices and blind spots regarding inclusion, for instance in staffing. </li></ul><ul><li>Provide capacity to assess the programme’s effectiveness in prioritising the poorest and most marginalised in interventions and ensuring responsiveness and accountability to the marginalised. </li></ul><ul><li>Share lessons learned to enhance quality of future development work as well as emergency relief and rehabilitation work with the poorest and most marginalised. </li></ul><ul><li>Engage in only those programmes that will reduce patronage and change power relations between individuals, households and communities, the State, corporate bodies and corporations and avoid social exclusion and discrimination against weaker and poorer categories. </li></ul><ul><li>Adopt appropriate tools from existing systems and evolve new ones. </li></ul>
  7. 7. SEA: The principles Organisation <ul><li>Open, voluntary and learning process to help move towards inclusion. </li></ul><ul><li>Organisation friendly and honest, but not a fault finding or policing exercise. </li></ul><ul><li>No condonation, no condemnation. </li></ul><ul><li>Rigorous, professional and supportive. </li></ul><ul><li>Based on </li></ul><ul><ul><li>mutual respect, </li></ul></ul><ul><ul><li>an openness to learn, </li></ul></ul><ul><ul><li>and an understanding of the difficult field circumstances. </li></ul></ul><ul><li>Focus on system flaws and programme content, rather than on individuals or organizations. </li></ul><ul><li>Findings will be constructive rather than critical and judgmental. </li></ul>
  8. 8. SEA: The principles community <ul><li>A participatory process. </li></ul><ul><li>Facilitative and not extractive. </li></ul><ul><li>All stakeholders will be actively involved throughout the audit, from the initial stages of design to implementing community-led solutions. </li></ul>
  9. 9. SEA: The standards <ul><li>SEA conforms to internationally accepted human rights and audit standards. It commits to </li></ul><ul><li>Professional approach. </li></ul><ul><li>Universally accepted tools and standards. </li></ul><ul><li>Qualified and trained auditors. </li></ul><ul><li>Enhance the capabilities of the organisations and communities. </li></ul><ul><li>Develop tools progressively and help to evolve programmes for inclusion. </li></ul><ul><li>The tools developed by SEA and all the tools used in the process are rigorous and ‘paper trail’ based. </li></ul><ul><li>The data collection formats are capable of being independently interpreted. </li></ul>
  10. 10. SEA: The basic beliefs and assumptions Sovereignty and solidarity based approach to development <ul><li>Social exclusion can be systematically countered. The ‘larger framework’—structural causes—cannot be excuses to ignore the social exclusions at the programme and community levels. </li></ul><ul><li>Increasing the participation of excluded social groups in both decision-making and benefit sharing is the means to development, social justice and communal harmony. </li></ul><ul><li>Formal and informal structures and institutions of the state and civil society have structural/ attitudinal biases that make them overlook social exclusions. </li></ul><ul><li>Increased knowledge of the social exclusion process will help develop appropriate strategies for inclusive interventions. </li></ul><ul><li>Communities have an inalienable right to their means of livelihood. This cannot be compromised under any pretext—security, tourism, protection or anything else. </li></ul><ul><li>Being a voluntary process, the organisation will own the findings. This could translate into actual implementation rather than a defensive response as does sometimes happen. </li></ul><ul><li>The goals are set based on the organisation’s vision and mission. It gives the organisation the space to change at a self-determined pace, if it does want to be inclusive. Being organisation-friendly, it provides the necessary support for such inclusion. </li></ul><ul><li>Emphasis on inclusion being win-win (and demonstrably so) would help surmount mental barriers, and building capacity would help put in place the necessary skill-sets for ‘inclusion by design’. </li></ul>
  11. 11. Format: Village infrastructure Are we making it accessible to the vulnerable? (c) Church (b) Mosque Location of (a) Temple 16 Bus stop 15 Polling booth 14 Police station 13 Bank/cooperative society 12 Panchayat office 11 Post office 10 High School 9 Primary School 8 Anganwadi 7 Balwadi 6 Community Hall 5 PDS Outlet 4 Primary Health Centre 3 Electricity 2 Drinking water bore well/hand pump 1 Dalit village/ street/ ‘colony’ Dominant village Infrastructure Sl Location of service infrastructure
  12. 12. Format: Coverage general Benefits Leadership Society Number of those who take decisions on utilisation Number who take decisions on actual budget allocation Number who take decisions on budget Beneficiaries Membership Leadership CBOs Board members Staff Pattern NGO … Religion Age Disability Physical] Disability [mental] Caste Gender Table I
  13. 13. Format: Coverage details Any other 10 Medium c Poor b Rich a Economic status 9 Physical b Mental a [Dis]Ability 8 … c … b … a Caste 7 … b … a Religion 6 Senior citizens 5 d 13-18 c 7-12 years b 0-6 years a Children 4 Widow/Single 3 Women headed households 2 Population 1 F M F M F M CBO Leadership Total covered Total in village Social exclusion Sl.No
  14. 14. Format: Budget and Budget realisation … Disabled Children Women Men Adivasi Disabled Children Women Men Dalits Disabled Children Women Men Fishing Community % of Total Total Rehab Relief Budget
  15. 15. Format: Governance Other decision making bodies Administration Programme Junior Staff Administration Programme Senior Staff Advisory body General body Trust/ governing board Governance % No % No % No % No % No % No Physical Disability Mental Disability Children Women Dalit Fisherfolk Structure
  16. 16. Format: Partner coverage (C) Tsunami budget (B) (A) (C) Total Budget outlay (B) Thematic focus (A) Geographic area of coverage Any prior experience with tsunami affected communities or with emergencies in general? Long or short Term support Whether partner prior to tsunami? Y/N Criteria for Selection of NGO Post-tsunami Pre-tsunami Name
  17. 17. Format: Partner budgets Other occupational groups disabled fisherfolk Dalits children Women (single/ widow/ separated/ abandoned) Women (general) Total budget Name of partner Sl number
  18. 18. Format: Staff 1 Social exclusions (gender, caste, single woman, physical/mental disability…) Years in the organisation Experience Salary Number of Committees/ decision making bodies the staff is member of. Designation Qualification Sex Age Name Sl.No
  19. 19. Format: Staff 2 Others 2 12 Others 11 Consultants 10 I 9 H 8 G 7 F 6 E 5 D 4 C 3 B 2 A 1 Upper Limit Lower Limit Grade Sl No
  20. 20. SEA timeline Chief of commissioning organisation One week after getting final report Final comments to be sent to the SEA secretariat by the commissioning organisation. 3.4 Audit team leader One week after getting comments. Final report to be sent to the commissioning organisation and to the SEA secretariat (also as hard copy) 3.3 Chief of commissioning organisation One week after getting draft 1 Comments on the draft 1 to be sent back to audit team leader 3.2 Audit team leader 10 days after exit conference Report draft 1 to be given to the organisation 3.1 Audit report 3 Audit team leader 3 days immediately after audit Report-writing as a team 2.5 Chief of Commissioning organisation and audit team leader Within the visit days Field visits/audit schedule 2.4 Chief of commissioning organisation and audit team leader Day 5 of visit Exit conference 2.3 Chief of commissioning organisation and audit team leader Day 1 of visit Entrance conference 2.2 Chief of commissioning organisation and SEA Coordinator 5 days Visits by auditors 2.1 Audit Audit team member and SEA Coordinator At least 10 days before audit begins MoU between audit team members and SEA Secretariat 1.3 Chief of commissioning organisation and SEA Coordinator 15 days before audit begins Documents to be sent by the organisation to the secretariat 1.2 Chief of commissioning organisation and SEA Coordinator One month before audit begins MoU between organisation and SEA secretariat 1.1 Pre-audit 1 Persons Responsible Date Timeframe/deadline Activity Steps
  21. 21. The scope and challenges of SEA Realising the potential <ul><li>From Audit to Planning </li></ul><ul><ul><li>Comprehensive and proactive. </li></ul></ul><ul><ul><li>At the moment PRA is used, but it needs more customisation. </li></ul></ul><ul><ul><li>Specific tools for equity and inclusion analysis. </li></ul></ul><ul><li>The urban challenge. </li></ul><ul><li>A community based approach. </li></ul><ul><ul><li>Especially for indigenous communities. </li></ul></ul><ul><ul><li>There is a need for stronger tools in this aspect, right from stronger frameworks on community inclusion (rather than just individual service delivery as at present) </li></ul></ul><ul><ul><li>The ‘format based’ rigour of data based paper trails is not present when being applied to traditional forms of community organisation. </li></ul></ul>
  22. 22. The scope and challenges of SEA Process <ul><li>The horizontal expansion of SEA </li></ul><ul><li>Engaging others such as the organisations of the marginalised and the excluded (Dalit, tribal, differently-abled, sexual minorities, children, senior citizens, women…) by bringing them into the core group. </li></ul><ul><li>Sharpening the tools by having more audits. </li></ul><ul><li>Training more auditors. </li></ul><ul><li>Embedding SEA within grassroots organisations as the preferred PME tool. </li></ul>
  23. 23. We owe it to the poor to work for their upliftment, not as a noble act of our charity, but as an atonement for our injustice towards them.