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Social Impact Assessment


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Social Impact Assessment
Presented by Dr. Nestor Castro (UP Diliman)
2019 ProSPER.Net Leadership Programme
24-30 November, 2019

Published in: Government & Nonprofit
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Social Impact Assessment

  1. 1. 1 Social Impact Assessment Prof. Nestor Castro, PhD University of the Philippines Diliman 2019 ProSPER.Net Leadership Programme University of the Philippines Diliman 24-30 November 2019
  2. 2. Objectives  Understand the key elements and methodology of a Social Impact Assessment;  Determine the scope of impact analysis;  Identify common key social impacts and risks of development projects;  Understand the importance of good baseline data and indicators for successful implementation, monitoring, and evaluation; and  Identify good practices and constraints for social impact assessment. 2
  3. 3. 3 Social Impact Assessment (SIA) Defined  A kind of policy research frequently done by social scientists entailing the collection of socio-cultural data about a community for use by planners of development projects (van Willigen 1986).  The study of the potential effects of natural physical phenomena, activities of government and business, or any succession of events on specific groups of people (Orbach 1979).
  4. 4. Social Impact Assessment  Social Analysis + Participation. 4
  5. 5. SIA = Social Analysis + Participation Social Analysis  The systematic investigation of demographic factors, socio-economic determinants, social organization, socio-political context, needs and values, and institutions.  Objectives: 1) account for social differences; 2) assess impact and risks; 3) mitigate adverse impacts; and 4) build capacity of institutions and individuals. 5
  6. 6. SIA = Social Analysis + Participation Participation  A process through which stakeholders influence and share control over development initiatives, decisions, and resources which affect them.  Participation ranges from information-sharing and consultation methods, to mechanisms for collaboration and empowerment that give stakeholders more influence and control. 6
  7. 7. Importance of Public Participation  Helps to identify and address concerns of stakeholders;  Focuses planning on issues or concerns;  Provides alternatives for consideration in planning;  Provides added sources of expertise;  Reduces level of misinformation and distrust;  Improves decision making; and  Empowers the citizens to take responsibility. 7
  8. 8. Essential Elements of Public Participation  Social preparation for the participation of stakeholders;  Identification and full representation of stakeholders and other concerned parties;  Implementation of procedures or protocols that are acceptable to all parties; and  Issues or concerns that emerged are stated clearly and made known to all participants. 8
  9. 9. 9 Benefits of SIA  Ability to identify possible impacts, both positive and negative, on host communities.  Being able to provide projections about future effects which inform all stakeholders involved in the project, including planners, designers, political leaders, and the public.  Identification of opportunities to engage communities and put in place early impact mitigation methods.
  10. 10. Some questions explored in SIA  What will be the impact of the project on the various stakeholders, particularly on vulnerable groups, such as indigenous peoples, women, and the elderly?  Are there plans to mitigate the adverse impacts?  What social risks might affect project or program success? 10
  11. 11. Some questions explored in SIA  What institutional arrangements are needed for participation and project delivery?  Are there adequate plans to build the capacity required at the appropriate levels? 11
  12. 12. Significance of SIA in relation to Management Policy  SIA as a tool for decision makers to frame development strategies;  SIA ensures the incorporation of social considerations into policies, plans, and programs at the earliest stages of decision making down to the implementation processes;  SIA as a research and development tool leading to new agency regulations and guidelines, general field manuals, etc. 12
  13. 13. SIA as part of EIA “The environment involves not only the biophysical aspects but also the socio- economic dimension of a proposed development. People are part of the environment and are often the subject of or directly affected by projects or undertakings.” - Philippine EIS Procedural Manual, 2003 13
  14. 14. Public Participation in EIA Process Recognition that people:  Possess intimate knowledge about their environment;  Have needs and aspirations for socio- economic upliftment;  Are recipients of benefits and/or environmental stress arising from these projects or undertaking. 14
  15. 15. Social Impact Assessment Process 1. Conduct stakeholder analysis; 2. Identify social factors; 3. Gather data; 4. Analyze data and assess priorities; and 5. Develop plans in consultation with stakeholders. 16
  16. 16. Stakeholders: definition  Stakeholders: persons or groups who may be significantly affected by the project or undertaking, directly or indirectly.  In the context of World Bank-supported activities, stakeholders are “those affected by the outcome – negatively or positively – or those who can affect the outcome of a proposed intervention.” 17
  17. 17. Guiding Principle in Stakeholder Engagement  Social Inclusion 18
  18. 18. SIA Steps 1. Baseline profiling 2. Projection 3. Assessment of impact 4. Evaluation 19
  19. 19. SIA Step 1: Baseline Profiling  Identification of the relevant populations and the assimilation of as much information as is possible concerning the group.  Details as to the scope of the area of impact can often be determined from an analysis of the technical specification of the project. 20
  20. 20. Baseline socio-cultural data needed  Demographic factors (number and age structure of population, ethnic grouping, population distribution and movement – including seasonal movements);  Housing and human settlements;  Health status of the community (particular health problems/issues, availability of clean water, infectious and endemic diseases, nutritional deficiencies, life expectancy, use of traditional medicine, etc.); 21
  21. 21. Baseline socio-cultural data needed:  Levels of employment, areas of employment, skills (particularly traditional skills), education levels (including levels attained through informal and formal education processes), training, capacity-building requirements;  Level of infrastructure and services (medical services, transport, waste disposal, water supply, social amenities, recreation, etc.); 22
  22. 22. Baseline socio-cultural data needed:  Level and distribution of income (including traditional systems of distribution of goods and services based on reciprocity, barter, and exchange);  Asset distribution (e.g. land tenure arrangements, natural resource rights, ownership of other assets in terms of who has the rights to income and other benefits); 23
  23. 23. Baseline socio-cultural data needed:  Traditional systems of production (food, medicine, artifacts), including gender roles in such systems;  Traditional, non-monetary systems of exchange, such as barter and other forms of trade including labor exchange;  Related economic and social relations;  Importance of gender roles and relations;  Traditional responsibilities and concepts of equity and equality in society; 24
  24. 24. Baseline socio-cultural data needed:  Traditional systems of sharing natural resources, including resources that have been hunted, collected, and harvested; and  Views of indigenous and local communities regarding their future and ways to bring about future aspirations. 25
  25. 25. Example: Land classification, use, and ownership among the Kalinga  Rice terraces are owned by the family.  Swidden fields are owned through usufruct.  Woodlands are owned by the extended kin group.  Forest lands are communally owned.  Residential lots are privately owned.  Burial grounds are owned by the spirits.
  26. 26. Some Data Gathering Techniques  Censuses and surveys  Key informant interviews  Focus group discussions (FGD)  Life stories  Mapping social networks
  27. 27. Other interactionist methods  Games  Role play  Participatory resource mapping  Village workshops
  28. 28. Community Profile Outline (After Vlachos 1975)  Human Ecology  Characteristic Institutions  Social Collectivities  Lifestyles  Historical Features  Worldviews, Beliefs, Perceptions and Definitions of Reality  Intercultural Perceptions 29
  29. 29. Some Tools for Social Analysis  Positions, Interests and Needs (PIN) Analysis  Strengths, Weaknesses, Opportunities, and Threats (SWOT) Analysis  Problem Tree or Webbing  Modified Venn Diagram
  30. 30. SIA Step 2: Projection  Projection involves the selection of a broad range of alternative courses of action, and elaborating their consequences for the present profiled situation over a specified period of time (Van Tassel and Michaelson 1976).  Forecasting – to actually predict the future. 31
  31. 31. Some Forecasting Techniques  Flow chart and diagram construction  Metaphors, analogies, and comparison  Delphi technique  Trend extrapolation  Scenarios  Cross-impact matrices 32
  32. 32. SIA Step 3: Assessment of Impact  Involves summarization and comparison of various projections.  Type of assessment used relates very closely to the kinds of projections 33
  33. 33. Characteristics to be Assessed  Affected groups  How they are affected  Likelihood of effects  Timing of effects  Magnitude of effects  Duration of impact  Breadth and depth of impact, or diffusion of effects  Source of impact, or the organization  Controllability of the impact generated by given technologies 34
  34. 34. SIA Step 4: Evaluation  A political process that takes the form of a selection from among the alternatives.  The analyst does not evaluate in the final accounting. This is the task of political officials and/or the public.  Often difficult because of confrontation between local community and development agency values. Transparency in decision making can minimize this difficulty. 35
  35. 35. Poor Practice of SIA  Undertaking SIA only for compliance purposes (i.e. to comply to government regulations or funding agency requirements).  “Cut-and-paste” type of SIA output.  Assessment only made by experts and excluded community participation.  Neglecting heterogeneity of stakeholders and impacts on them. 36
  36. 36. Case Study: Resettlement of Mamanwa indigenous people  The Mamanwa are indigenous people of northeastern Mindanao, Philippines.  Traditionally, they were semi-nomadic horticulturists although many of them have been transformed to wage labourers since the 1980s. 37
  37. 37. Original Mamanwa settlements in Tubod, Surigao del Norte 38  In 2002, there were two Mamanwa villages in the Municipality of Tubod, namely in Cawilan and Purok 2.  In the village of Cawilan, the Mamanwa residents primarily engage in cultivating banana, sweet potatoes, and other root crops in backyard plots.
  38. 38. Mamanwa settlements in Tubod  In the village of Purok 2, the Mamanwa residents are primarily wage labourers, working as coconut farmers and wood haulers.  Both villages are located in landslide- prone areas. 39
  39. 39. Establishment of Mamanwa Resettlement Site 40  Upon the initiative of the local government unit, and supported by private entities, the Mamanwa residents were transferred to a resettlement site located away from the danger zones.  The new houses were made of more durable materials and now had access to electricity.
  40. 40. Establishment of Mamanwa Resettlement Site  A school house was also built for the new community.  The originally two distinct villages are now found in one single community.  The houses are more clustered compared to the original scattered settlement pattern. 41
  41. 41. Adverse impacts of the resettlement project  There is increased conflict between the two original villages because of the proximity with one another. The two sections of the community had their own Tribal Councils and their own set of leaders.  Even within the same “tribe”, there is increased jealousy between neighbours.  Many of these new houses were eventually abandoned by their owners because they returned to the mountains in order to cultivate crops and to hunt.  There was also increased morbidity in the new settlement. 42
  42. 42. Lessons from the Mamanwa Resettlement Project  The resettlement project was planned by outsiders for the Mamanwa. The Mamanwa people were not really involved with the project’s conceptualization, planning, and construction. Government planners believe that they know better than the people.  Socio-cultural factors were never considered in the project design. There was no SIA prior to project implementation. 43
  43. 43. Cultural Competence  An ongoing process by which individuals and systems respond respectfully and effectively to people of all cultures, languages, classes, races, sexes, ethnic backgrounds, religions, sexual orientations, abilities, and other diversity factors in a manner that recognizes, affirms, and values the worth of individuals, families, and communities, and protects and preserves the dignity of each. - NASW 2001
  44. 44. Operationalization of cultural competence  Culturally competent organizations and individuals are able to integrate and transform knowledge about diverse groups of people into specific standards, policies, practices, and attributes used in appropriate cultural settings to increase the quality of services, thereby producing better outcomes. - Davis and Donald 1997
  45. 45. 46 Social Impact Assessment  Thank you very much.  Questions, Comments?  Email: