32966 The Environmentally and Socially Sustainable Development Network The World Bank 1818 H Street, NW Washington, D.C., 20433 USA sdcommunications@worldbank.org The findings, interpretations, and conclusions expressed in this paper are entirely those of the authors and editors and should not be attributed in any manner to the World Bank, its affiliated organizations or to the members of its Board of Executive Directors or the countries they represent. The World Bank does not guarantee the accuracy of the data included in this publication and accepts no responsibility whatsoever for any consequence of their use. First printing April 2005 Photos provided by Reidar Kvam. TABLE OF CONTENTS Foreword iii Acknowledgements v Overview 3 Introduction 3 Objectives 4 Participants 5 Format 5 Main Findings 6 Challenges and Opportunities 7 Workshop Proceedings 9 Inaugural Session and Participants' Expectations 9 Technical Sessions 9 Fieldwork 27 Closing Session 27 Conclusions and Recommendations 28 Endnotes 34 Annex 1: List of Participants 36 Annex 2: Workshop Agenda 40 Annex 3: Sample Rapid Social Assessment (RSA): Fieldwork Summary from 44 Chand Village, Khijri Block, Ranchi District Annex 4: Evaluation of Outcomes 47 The Jharkhand Participatory Forest Management Project ii Social Assessment for Inclusion, Equity, and Accountability FOREWORD The World Bank's involvement in the India obstacles to and opportunities for moving forestry sector dates back to the early 1950s and forward. Technicalassistance,includingtheSocial has passed through a series of distinct stages, with Assessment training workshop outlined in this early support to state-managed forest plantations report, has served to establish a common set of primarily for industrial raw material, followed by goals and to define priorities for evaluating social, a decade of support to social forestry on private legal, marketing, and management planning land holdings, and more recently to Joint Forest aspects of the forest sector in Jharkhand. Management (JFM). Social Assessment in a World Bank investment WhentheBankreviewedandcarefullyconsidered project is a process for obtaining the views and the outcome of its support to JFM in the late preferences of key stakeholders in order to 1990s and early 2000s, many independent improveprojectdesignandencouragestakeholder observers (including the Bank's Operations participation in project implementation and Evaluation Department, the Indian Institute of monitoring. It is primarily the responsibility of Forest Management, and others) concluded that the Borrower (in this case, the Jharkhand State JFM had been very good for forests, producing government), and is oriented to ensuring that the dramatic improvements in forest protection but project achieves its social development objectives less clear benefits for forest-dependent peoples, and contributes to equitable, sustainable including many tribal groups who live in and development. around forests. The "care and share" approach of JFM was found to be placing more My collaborators and I look forward to taking the responsibilities on communities to protect forest, principles and priority issues identified through but there was limited evidence of the program's the Social Assessment training workshop into the ability to enhance material and economic well- field, to develop concrete proposals to address being at the local level, at least in the short term. these issues as the Social Assessment itself is carried out. The active participation and genuine The Jharkhand Participatory Forest Management efforts made by all who attended the training project was conceived as a "next generation" contributed immeasurably to the value and engagement in the forestry sector in India. insights contained in this document. Jharkhand State government officials and their counterparts in the Bank recognized that forest Peter Jipp fringe dwellers could and should play a more Sr. Forestry Specialist active role in management decision-making and South Asia Agriculture & forest product marketing. To achieve this Rural Development Unit and objective, project preparation has focused on Task Team Leader developing a direct dialogue with local tribal Jharkhand Participatory leaders to pursue a mutual understanding of Forest Management Project iii The Jharkhand Participatory Forest Management Project iv Social Assessment for Inclusion, Equity, and Accountability ACKNOWLEDGEMENTS The workshop described in this report was Other Bank staff who were not present at the organized and financed by the Government of workshop, but who have provided vital support Jharkhand State, India, with support and to its implementation and follow up, include: assistance from the World Bank. The Peter Jipp, Task Team Leader of the Jharkhand Government officials who provided guidance Participatory Forest Management project; for the workshop were A. K. Singh, Adolfo Brizzi, Sector Director of the South Asia Department of Forests; J. L. Srivastava, Agriculture & Rural Development Unit Principal Chief Conservator of Forests; and (SASAR); Connie Bernard, Sector Director of Mukhtiar Singh, Forest Secretary. Support was SASAR; and Warren Waters, then Acting Sector also provided by government members of the Manager in SASES. project team: A. K. Singh, R. K. Zutshi, and Ashish Rawat. Thanks are due to Neeru Johri for all her help with organizing the workshop; she was a key The assistance from the World Bank was resource person. Thanks are also due to Dr. organized jointly by the central Social Alex Ekka, Mr. William Norman, and Mr. Ajit Development Department (SDV) and the Tirkey from the Xavier Institute of Social Social Development Unit of the South Asia Service (XISS) in Ranchi, Jharkhand, who Region's Environment and Social Development were instrumental in facilitating the Department (SASES), with inputs and fieldwork, selecting fieldwork sites, and contributions from several other units. The drafting a summary report of the workshop workshop was also supported by the World that served as an input into these Bank Institute (WBI). proceedings. The World Bank team responsible for workshop The final workshop proceedings report was organization and coordination consisted of the written by Hakon Nordang and Reidar Kvam, following individuals: Avik Ghosh, Sumir Lal, edited by Kenn Rapp, and prepared for desktop R. R. Mohan and Varalakshmi Vemuru from the publishing by Danielle Christophe. Helpful New Delhi office, and Reidar Kvam, Zlatina comments and corrections were provided by Loudjeva, Hakon Nordang, and Barbara Verardo Barbara Verardo. Photographs, charts, and from World Bank Headquarters in Washington. figures were provided by Reidar Kvam. v The Jharkhand Participatory Forest Management Project 2 Social Assessment for Inclusion, Equity, and Accountability OVERVIEW Introduction In early 2004, the Government of Jharkhand To be successful, the proposed project will State ("the Government"), India, in require active participation by all concerned collaboration with central and regional Social stakeholders, and the workshop was envisioned Development units of the World Bank, as an important first opportunity to set the organized a one-week workshop and training participatory process in motion. program on social analysis and social assessment in the forestry sector. A participatory and transparent process is particularly important when dealing with The workshop took place in Ranchi, Jharkhand, natural resources management in India. from February 3rd to 9th, 2004. It was Historically, the relationship between the Forest conducted as an input to the preparation of Department and local communities has been the proposed Jharkhand Participatory Forest characterized by mutual distrust and at times Management (PFM) project. The World Bank open conflict. The role of the Forest is supporting the development of this project, Department traditionally has been oriented which will promote a broad, multi-sectoral towards conservation of forest resources, and approach to poverty reduction in forest fringe there have been severe restrictions on how local communities through a series of culturally communities can utilize the forest. Large parts appropriate, community-driven activities. Both of the forest belt of India have also been the Government of Jharkhand and the World declared reserved and protected areas, leading Bank have emphasized the need to ensure many forest-dwelling people to be labeled as access to services and benefits for poor and illegal encroachers. Because of its past support vulnerable groups as a result of the project. for projects in the forestry sector, the World 3 The Jharkhand Participatory Forest Management Project Bank has been criticized for contributing to 2 To strengthen skills and capacity among conservation but insufficiently to poverty participants to contribute to the social reduction. However, the Indian Government assessment. is now attempting to balance the protection of natural resources with greater opportunity for 3 To promote understanding and build participation and involvement by local consensus in a setting historically communities, in particular through Joint Forest characterized by tension and lack of trust Management (JFM) initiatives. The Jharkhand among different stakeholder groups, workshop was important in that it explicitly particularly between the Jharkhand Forest discussed the rights and needs of local Department and tribal communities. communities, and involved multiple stakeholders to address areas of actual and The social assessment for the proposed project is potential conflict. intended to help guide the design processes, implementation arrangements, and monitoring The social assessment process described here and evaluation mechanisms for the proposed should not be seen in isolation. It is intended project. A high quality social assessment is an to be fully coordinated, and where possible important input to the World Bank's appraisal of integrated, with other analyses and studies the project proposal. undertaken for the project, including environmental assessment and economic The World Bank has recently developed a more appraisal. holistic and integrative approach to social assessment. Earlier approaches tended to focus It is also relevant to note that the discussions and primarily on potential negative project impacts recommendations related to the social assessment process in this case are detailed and comprehensive in part because of the complex and controversial nature of the proposed project. Inothersimplersettings,amuch"lighter"version of a social assessment may be more appropriate. The project-level social assessment is also likely to be reduced in scope, complexity, and cost as more macro-level social analysis is done on policies, reforms, institutions, and risks.i Objectives The objectives of the workshop were: 1 To agree on a common framework for a social assessment, which will be undertaken as part of project preparation. 4 Social Assessment for Inclusion, Equity, and Accountability related to involuntary resettlement and the members. Maintaining the same groups presence of tribal peoples, which are covered by throughout the workshop helped improve the World Bank's social safeguard policies. The communications and build a degree of trust emphasis is now on quality enhancement more among people of different backgrounds and broadly, using social analysis to improve perspectives, providing the basis for future understanding of the socio-cultural, institutional, collaboration. The Workshop Agenda is political, and historical contexts of a project. This, included in Annex 2. in turn, strengthens the likelihood that the project will be socially and environmentally sustainable, While most of the participants understood and contributes to the development priorities and English, some did not. Therefore, all sessions objectives of the Bank's clients. The current were conducted in both English and Hindi, approach is described in the Social Analysis with translations provided by various Sourcebookii, which was made available to all resource persons. The translation process workshop participants in both English and Hindi. Participants The participants in the workshop included senior Government officials from the Forest Department and other departments; Forest Department staff at different levels; World Bank staff; NGO staff; activists; tribal leaders and community members; academics; and media representatives. In total, nearly ninety participants took part throughout the week. A complete list of workshop participants is included in Annex 1. Format The workshop consisted of alternating presentations, plenary discussions, group work (including a full day's fieldwork), and practical exercises. On the first day, participants were divided into eight separate groups having ten to twelve participants each. Each group contained a mix of government and non- government participants, including academics, NGO representatives, and community 5 The Jharkhand Participatory Forest Management Project had an unexpected, positive effect, in that it numerous opportunities for workshop made the sessions more interactive and had participants to comment on and respond to many of the participants discussing among the information being presented. This themselves what the correct term or phrase included a field-based data gathering for translating various concepts would be. experience, which allowed participants to apply what they were learning about social Except for the fieldwork, all sessions were assessment in a real-life setting. conducted in a large conference room at the Ranchi Ashoka Hotel. Meals, coffee and tea The various comments, questions, and for breaks, and logistical support were all recommendations that emerged in the course provided by the hotel, where many of the of the week can be grouped under seven participants and all of the resource persons general headings. These are provided below, stayed. together with a summary of the findings associated with each of them: A one-day field visit to nearby villages was organized for the fifth day of the workshop, n Legal and institutional issues: While the after the participants had discussed basic project is taking JFM as a starting point, it concepts of social analysis and practical tools needs to incorporate a more inclusive legal and and techniques for fieldwork. As with the institutional framework, one that allows forest- other sessions and activities, the fieldwork dependent communities to gain management was carried out by the various groups that control over their natural resources. This will had formed at the beginning of the workshop. require project authorities to coordinate effectively among institutions operating at The workshop was organized with support from various levels, and clarify the duties and the World Bank Institute, which coordinates accountabilities of more traditionally powerful the World Bank's learning and capacity building stakeholders--such as the Jharkhand Forest programs. All participants received diplomas Department--in relation to poor and from the Institute after having completed the vulnerable groups. training. n Involving tribal groups: Several participants spoke of the need to ensure the participation Main Findings of tribal people (also known as adivasis) in a way that both responds to their livelihood needs As hinted earlier, the workshop was and respects their traditional culture and structured around a series of training knowledge. presentations that aimed to expose participants to the principles and practices n Balancing conservation and livelihoods: of social assessment, within the specific There was general agreement that, while context of the Jharkhand PFM project. But difficult, this is the impetus for most all project insofar as it was meant to involve activities. Some participants suggested several representatives of stakeholder groups having ways of alleviating poverty through more different needs and interests, it also provided effective forest asset management and 6 Social Assessment for Inclusion, Equity, and Accountability generation, including the exploitation of non- Challenges and Opportunities timber forest products such as medicinal plants; common species such as sal trees; and activities The Jharkhand workshop should not be seen such as dairying, piggery, and poultry breeding. as a substitute for systematic consultation Other participants put more emphasis on the processes. It did not involve the full range of physical and social infrastructure needed for actors in the public, private, and civil sectors local development. that are likely to be involved in the Jharkhand PFM project. But it did provide a good nCapacitybuildingneeds:Therewasagreement understanding of who the main stakeholders that the proposed project cannot succeed are, and what concerns and priorities they have. unless stakeholder capacity is enhanced It also served to build a platform for addressing through sensitivity training for Forest issues such as social diversity and gender, Department members, and village-level livelihoods, and social risk. capacity building in such areas as natural resources management micro-planning, communications and consensus-building skills, and community organizing. nInformationdisseminationneeds:Participants called for communications founded on transparency and open access to information relating both to the Bank-sponsored project and to Government-sponsored opportunities for local development generally. nPilotactivities: Participantsagreedthatpilots can be a good way to test out innovative approaches before they are officially incorporated into the project, provided such pilots are planned with community inputs and carried out in a participatory fashion. The challenges in the case of Jharkhand are n Overall design issues, including for social substantial. Many NGOs and activists remain assessment: Many participants argued for a deeply skeptical of the development agenda project design that was beneficiary-oriented in promoted by the World Bank. In April 2004, a the dual sense--generating clear benefits for number of them met in the village of Chalkhad, poor and vulnerable groups, while at the same Jharkhand to discuss the theme "Oppose World time avoiding adverse impacts on local Bank and Save Forests." Local groups and tribal populations. Otherwise, participants favored leaders have stated that "the World Bank a social assessment process founded on a clear programme, rather than empowering the forest baseline, local knowledge by the selected communities with ownership and management researchers, and continued dialogue. rights, aims to deprive them and economically, 7 The Jharkhand Participatory Forest Management Project socially and culturally alienate them from the Provided this follow up happens, and the project forests."iii This perception is not uncommon, stays on the right track, it is expected that the and while participants in the Bank workshop-- Jharkhand workshop and the activities that including tribal leaders and NGO activists-- follow from it will serve to guide the World expressed great support for the approach taken, Bank and the Government of India in they also stressed the need for conscientious developing other projects in the forestry sector follow up, in order to turn the opinions and which combine attention to sustainable natural ideas discussed at the workshop into concrete resources management and livelihoods actions for the benefit of local communities. enhancement for poor and vulnerable groups. 8 Social Assessment for Inclusion, Equity, and Accountability WORKSHOP PROCEEDINGS Inaugural Session and Participants' Expectations The inaugural session was opened by the then n How to reconcile tribal rights, culturally Minister of Forestry for Jharkhand, with appropriate development, and sustainable participation from several other Government resource use and conservation. officials and dignitaries. It got broad and positive press coverage, and served to demonstrate the n Howtounderstandbetterthemotivesandrole Government's commitment to a development of the World Bank. process that will address the needs of poor and vulnerable people in the context of sustainable natural resources management. Technical Sessions After introductory remarks by workshop The main technical sessions were led by R. R. organizers, participants gathered in groups and Mohan, Social Development Specialist, SASES discussed their expectations for the workshop. and Reidar Kvam, Coordinator of the Social Each participant then took pen to colored cards Analysis Unit, SDV of the World Bank. Inputs and wrote in either English or Hindi the topics and facilitation support were provided by Barbara s/he felt were most important to cover. The Verardo, SASRD, Sumir Lal, SAREX, comments that came out of this exercise can be Varalakshmi Vemuru, SASES, and Hakon groupedasfollows,withtopicslistedfromhighest Nordang and Zlatina Loudjeva, SDV, also of the to lowest importance based on the number of World Bank. mentions: 1. Introduction to Social Assessment n How to ensure sustainable livelihoods using The introduction to social assessment on the first local resources, addressing issues of poverty day of the workshop went over the conceptual reduction. n How forests can benefit people, and how disadvantaged groups can get better access to resources and opportunities. n Howtounderstandandagreeonconceptsand processes such as participation, NGO involvement, transparency, focusing on people's needs, and targeting. n How the social assessment process works. n How to address social diversity and conflict. 9 The Jharkhand Participatory Forest Management Project This represents a more holistic and integrative approach to social assessment than that applied in the past. While the standards and requirements in the Bank's social safeguards remain essential and mandatory in Bank- supported projects, the broader approach followed here ensures not only that the focus is on adverse impacts and mitigation, but that the "do no harm" policies fit within a larger concern for producing opportunities and benefits for targeted populations. The social assessment process for the Jharkhand PFM project is of particular importance given the proposed project's dual purpose of framework and approach which the rest of the contributing positively to sustainable forest workshop addressed in greater detail, with an management and reducing poverty in a way that emphasis on the specifics of forest management shares benefits with local communities. There in Jharkhand. has so far been little consensus in Jharkhand, or in India more generally, on how to balance Presentation conservation needs with rights to land and Social assessment is the instrument which the resources for adivasis and other poor people. Borrower uses to mainstream social Indeed, forest management in Jharkhand has development objectives--inclusion, cohesion, been historically characterized by tension and and accountabilityiv--into World Bank- conflict between the Forest Department and supported investment projects, by (i) analyzing tribal communities. Against such a backdrop, a social opportunities, constraints, likely impacts, social assessment process that can provide the and social risks relevant to a project, and (ii) spaces and places for consensus-building, soliciting stakeholder views and participation collaboration, and participation is key for the in the design, implementation, and monitoring equitable sharing of benefits via the proposed and evaluation of projects. A social assessment project. This in turn can help ensure the project's is used to channel project benefits to the poor social and environmental sustainability, and and vulnerable in ways which: ensure access create new models for forest management in of the poor to markets and public services; Jharkhand and other Indian states. increase the social and economic assets and capabilities of people, especially the poor and The World Bank's framework for social analysis vulnerable; enhance the accountability of grounds the social assessment process in: institutions to the poor; address social tensions and conflict; mitigate potential adverse impacts n A detailed analysis of the broader social which the project may cause; and build a context, focusing on social diversity and framework for dialogue and consensus-building gender dynamics and on socio-cultural, among stakeholders on development priorities. political, and historical factors 10 Social Assessment for Inclusion, Equity, and Accountability n An analysis of relevant institutions, rules, and behavior, which consists of looking at formal and informal institutions that are likely to affect the project and at informal rules and behaviors n An analysis of relevant stakeholders, which involves identifying and describing the characteristics of people and groups who affect or are affected by the project, and who therefore have an interest in and some degree of influence over the project's outcome n A framework for participation, providing the mechanisms for the various stakeholders to Comments and Suggestions participate in the project, both during the In a general discussion, it was suggested that design and implementation stages. The the Jharkhand project's social assessment--and, participation process should particularly enable by extension, the workshop itself--would need likely beneficiaries and directly affected to address a range of social issues, including: populations to become actively involved, and make the necessary arrangements so that poor n How best to balance natural resources and vulnerable groups are able to participate management concerns with poverty in a meaningful way reduction and improved livelihoods n An analysis of issues related to social risks n Howtoenhancelivelihoodopportunitiesina and vulnerability, to ensure that the project sustainable manner, through the exploitation does not affect people negatively, and that of forest products and other means potential social risks of weak governance structures, elite domination, or other risks n Limited physical and organizational to successful outcomes are addressed infrastructure for making schemes and (including via the Bank's social safeguard services work well for the poor policies) n Weak traditions and capacity among state Ultimately, the social assessment process institutions, as well as among communities, intends to improve project design, involve the for participatory forestry management concerned stakeholders, help build consensus and mutual understanding on development n Issues of rights and entitlements, access, priorities, and strengthen equity in the and encroachments for local communities allocation of benefits to the poor and and especially for tribal groups marginalized. The process also aims to provide socially relevant benchmarks and indicators for n Conflicting interests and a lack of cohesion comparison, monitoring, and evaluation. among concerned stakeholders 11 The Jharkhand Participatory Forest Management Project 2. Social Diversity and Gender overwhelmingly large proportion of the forest- This session introduced concepts and dependent population in Jharkhand.v They have frameworks for understanding the underlying a very strong cultural and economic affinity with social reality and context within which forests, claiming the forests to be "the sources investment projects and other development of [their] life and livelihood--the base of [their] interventions take place. society and culture."vi Despite this, however, tribals have in the past often been marginalized Presentation and excluded from access to forest resources and All societies are composed of diverse social decision-making processes related to forest groups that may be distinguished and understood management. Indeed, they have often been according to gender, ethnicity, religion, class, age, displaced from their traditional territories and and culture, as well as to "spatial" (geographic) forest resource bases. and economic characteristics. These social categories are important to social analysts for the Gender is a frequently neglected dimension of simplereasonthattheyareimportanttothepeople social diversity that is also of great importance who use them to define themselves and their to natural resources and forest management. neighbors. They also frequently form the basis The World Bank's framework for social analysis of vested interests, provoke or restrain action, involves gender analysis as an explicit element and determine access to opportunity. As such, in the overall inquiry. Gender refers to the they are inherently contestable and reflect the socially constructed identities, roles, rights, and power relations that constitute political life. responsibilities of women and men. It has to be seen as part of the broader social context, a It is especially important to consider the role of set of relations between women and men that tribal groups. Adivasis comprise an cross-cuts as well as interacts with other social identities. Gender matters because it relates to the social relations and power balance BOX 1: Tribal Groups in Jharkhand: between women and men, with great Questions for Consideration implications for how access and benefits related to forest resources and products are n What are the characteristics of tribal groups? distributed. Women and men tend to relate to forests, forest resources, and forest n How do they relate to non-tribals? management in different ways. Women's work and economic roles are often less valued than n How do they traditionally use forest resources? men's, and often less public. Women are also frequently under-represented in governance and n How are land rights and access to resourcesorganized? decision-making processes. And in terms of land and property rights, women are often n How do tribals organize themselves locally? legally discriminated against. These are issues that should be addressed in ensuring that - Who makes decisions? women participate fully in forest management, - How are different groups represented? alongside men, and have proper access to project benefits and opportunities. 12 Social Assessment for Inclusion, Equity, and Accountability Comments and Suggestions A facilitated discussion took place on the social BOX 2: Gender and Forestry: context within which forestry management Questions for Consideration currently takes place in Jharkhand, and how social n What are the development needs of men diversity and gender dimensions often determine andwomen? access to resources, particularly forest resources, service delivery, and development schemes. n Activities - Who carries out what tasks in the Manyadivasiareashavetheirowntraditionaltribal household? governance structures, based on a two-tiered - What is the gender division of labor? system that encourages decision-making through Resources and constraints consensus. The system functions well in many n parts of Jharkhand, especially in traditional - Who has access to and control of khuntkatti villages, although in other less productive resources? "homogenous" areas, the system has broken n Access and opportunity down.vii Where it works, people are actively - How does access to extension services involved in local forest protection and and other benefits differ between men and management. Many participants highlighted the women? importance for the project to try to strengthen - What needs and opportunities exist for these institutions, or at a minimum not to increasing women's access to and control of benefits? undermine them. - What are the appropriate types of intervention? In spite of the importance of building on existing - How can we monitor activities and results local institutions, it is important not to from a gender perspective? romanticize them or assume that they are fully egalitarian. Indeed, some participants noted that traditional tribal institutions do not always accord adequate rights to participation and decision- making by women. It was noted that the social assessment should analyze the potential impact of the project on other stakeholders, including head loaders, cultivators, people dependent on grazing lands, and other forest-dependent people, and recommend ways in which they too can benefit from the project. Particular attention should be focused on viable livelihood strategies for poor and marginalized groups living in forest fringe areas. For many landless people and marginal farmers, migration often becomes a livelihood strategy. Migration, however, poses particular 13 The Jharkhand Participatory Forest Management Project challenges which the social assessment should Presentation takeintoconsiderationbyexaminingopportunities Institutional analysis is used to understand the forenhancinglivelihoodopportunitiesformigrant relationship between organizations and laborers; the effects of migration on women and institutions, that is, between the formal and families in the villages; and the implications of informal structures that people belong to, and migration for the delivery of services such as the formal and informal rules that govern their health and education. interactions. Many development interventions, including projects, depend for their Some suggested that attention should also be implementation on institutional and behavioral given to the nature of so-called "encroachments" change. Understanding how institutions, rules, in the project context, and particularly to how and behaviors relevant to forest management such encroachments tend to differ depending on in Jharkhand function is therefore of critical socio-economic status (i.e. poor and vulnerable importance for the success of the proposed groups vs. opportunistic encroachments by project. wealthier, more powerful groups), traditional tenure rights, and other issues. Another thing that The session continued with a lecture on the was mentioned in this regard is the importance concept of stakeholders and the tools of stakeholder mapping and analysis. Stakeholders can be defined as organizations, groups, or individuals who have interests--something at stake--in a project's outcome. They may also have some degree of influence over the project. Stakeholders thus include both those who can affect and those who are affected by a project (i.e. the project's "winners and losers"). In mapping and analyzing the different stakeholder groups relevant to a project, it is useful to focus on three dimensions of each stakeholder: of shifting cultivation among poor forest dwellers n Defining characteristics, including social and people in forest fringe areas. dimensions, organizational strength and capacity, formal or informal power and 3. Institutions and Stakeholders authority, etc. This session focused on the ways in which the social context, described in the previous n An assessment of the stakes or interests in session, interacts with the institutional setting the project, and the stakeholder's potential of a project. It also allowed for a clearer support or opposition to the project. This definition of the individuals and groups that may include degree of commitment to the have "something at stake" in the way the status quo; openness to change; and an proposed project is designed and implemented. assessment of whether the proposed project 14 Social Assessment for Inclusion, Equity, and Accountability is aligned with the interests of the concerned n Are there formal Joint Forest Management stakeholders committees in place in certain communities which ensure environmentally and socially n An assessment of the degree of influence the sustainable use of forest resources? Are there stakeholder group has, and whether potential any other formal organizations in place, such opposition from the stakeholder (individually as local panchayats, which perform a similar or in concert with other stakeholder groups) function? Arethereinothercommunitiesother constitutes a high, substantial, medium, or tribal, "traditional," or informal systems of low risk to expected project outcomes governance, decision-making, and conflict resolution in place which facilitate To emphasize the value of understanding the environmentally and socially sustainable use of different needs, concerns, and potential forest resources? How do these different influence of different stakeholders, as well as institutional mechanisms and structures to provide an example of a stakeholder mapping currently interrelate with one another? What and analysis, a case study on a stakeholder opportunities are there for the project to draw analysis of land reform in Zambia was on and integrate these different institutional and presented.viii organizational approaches to managing forests? Comments and Suggestions The discussion on institutions, rules, and behaviors raised a number of questions that commentators felt the social assessment process needs to address: n Do current reporting and incentive structures within the different levels of the Jharkhand Forest Department (policy makers; implementing agency staff; forest guards) provide opportunities for moving away from a top-down "policing" mode and towards a collaboration and facilitation mode that promotes community participation and local n What is the likelihood that encroachments access to, and shared ownership of, forest will continue through collusion between resources? Government officials and the encroachers? n Do current inter-departmental coordination n What are the opportunities for poor people mechanisms and incentive structures provide to access markets for their various produce opportunities for collaboration between the and products, including non-timber forest Forest Department and other relevant products (NTFPs)? How should the project Departmentsoragenciesinprovidingeconomic provide marketing and infrastructure alternatives and livelihoods opportunities to assistance to help the poor sell their forest-dependent communities? products? 15 The Jharkhand Participatory Forest Management Project n What roles do NGOs or CBOs currently play Presentation in different forest-dependent communities in Based on the stakeholder analysis, a consultation Jharkhand? andparticipationframeworkshouldbedeveloped as part of the social assessment process. In Box n The proposed project is supposed to include 3, different levels of participation are set out, preparation and implementation of locally ranging from cases where people are neither developed micro-plans. How realistic is this? informed about nor have a say in decisions that What is the local capacity to develop such affect them, to cases where the people are agents plans? Who would provide inputs to these of their own development, empowered to take plans, and who would make the approval or share authority over decision-making. decisions? How transparent is such decision- making likely to be? While certain projects, or different stages in a project, lend themselves to greater participation n How do social identities and roles interact with than others, to ensure equity and social these institutions, rules, and behaviors? How do sustainability in projects, the emphasis should be suchinstitutionsandrulesfunctionin,fromatribal on higher rather than lower levels of participation. perspective, more homogenous as opposed to This tends particularly to be the case in projects moreheterogeneouscommunities? Aretheneeds, with high risk and high complexity, such as concerns, and participation of women and other Jharkhand PFM. Indeed, given the history of marginalizedgroups,suchasScheduledCastesand tensions among the different stakeholders in Scheduled Tribes, ensured? What is the risk of Jharkhand, effective strategies for creating a more poor and marginalized people being pressured by trusting, participatory project setting, in which more powerful groups in the community, or by outsiders, to relinquish their access to forestlands or other resources? BOX3: DifferentLevelsofParticipation 1. None Workshop participants then engaged in a series - Decisions are taken at upper levels; of group-work exercises. In one of these, they people at lower levels are not informed used a stakeholder analysis matrix to identify the key stakeholders in the proposed project, their 2. Information sharing - One-way communication: people are told respective interests or stakes in the project, and about what is going to happen the level of their influence. A summary of the initial stakeholder analysis conducted by the 3. Consultation - Two-way communication: people's views workshop participants is included in Table 1. are listened to, but not necessarily taken into consideration 4. Consultation and Participation 4. Participation This session discussed the role and importance - People participate in different ways, and of providing meaningful spaces and places for their views are taken into consideration key stakeholders to participate in project design 5. Empowerment andplanning,implementation,andmonitoringand - Decision-making authority is transferred evaluation, in order to take full advantage of the or shared opportunities created by the project. 16 Social Assessment for Inclusion, Equity, and Accountability adivasis and other forest-dependent people feel should outline strategies for involving they have a full stake in the outcomes of the stakeholders as participants, building on existing project, are necessary for its success. modes and structures of participation where appropriate, and suggesting new incentives and When looking at participation as a dimension of mechanisms to include stakeholders excluded a social assessment, one should first examine the from existing frameworks. In designing these degreetowhichsocialgroupsaffectedbyaproject incentives and mechanisms, several basic can participate in the opportunities created by the questions need to be addressed: project. This will include an assessment of the equityof opportunityof differentgroups,interms nWhichstakeholderswillbehiredtoworkinthe of their assets and capabilities, to share in project project as employees, contractors, laborers, benefits. Drawing on this, the social assessment managers,qualitycontrolinspectors,andsoon? TABLE 1: Stakeholders Summary, Jharkhand Participatory Forest Management Project 17 The Jharkhand Participatory Forest Management Project nWhoamongthestakeholderswillcontroland by the presence of more educated people; citizens distribute the goods, services, and work that may fear criticizing or even disagreeing openly the project offers? with authorities. In some cultural contexts it is not appropriate for young people to speak when n How are those controlling the flow of in the presence of older people, or for junior staff resources held accountable? If they to speak when their superiors are present. undermine the project objectives or fail in their responsibilities, can they be removed? This analysis should provide the basis for the If so, through what grievance mechanisms? development of an overall consultation and participation framework, which sets out the n Who will control and disseminate approach and process used to integrate key information, measure performance, monitor stakeholder groups. Consultation and compliance, and determine success? participation would not be one-off event in the proposed project, but a process that continues n Can training and capacity-building enhance throughout its life span. And the consultation the performance of stakeholders in any of and participation framework developed for this the above areas? project would find applications beyond it, in other forest management processes in India. Finally, the social assessment needs to account and plan for the costs of participation. Project 5. Empowerment and Social Accountability participation has various costs: in time away from The previous sessions focused mainly on work; in money for transportation, lodging, and analytical concepts of use in mapping out and food;intheenergyparticipantsexpendintraining, describing the social context, stakeholders, and studying, and negotiating to reach agreements. institutions relevant to the project. Following There are "social" costs to participation as well. on these discussions, this session explored the Women may not feel free to talk in the presence dynamic interplay among the various actors of men; less educated people may be intimidated and structures associated with forestry management in Jharkhand. It did so, however, in light of the role of social accountability and empowerment in the "service delivery problem," which boils down to how to make public services work for poor people.ix Presentation India has a policy and legal framework, enshrined in its Constitution, which is strongly pro-poor. It recognizes the rights of marginal and vulnerable groups and provides guaranteed representation of women in local legislative bodies. Both the central government and the states have developed numerous schemes and development programs benefitingpoorgroups. Yetmuchcanstillbedone 18 Social Assessment for Inclusion, Equity, and Accountability to make these policies, programs, and services policies more effective. Challenges remain when it comes to ensuring quality, reliability, effectiveness, and equity in public service delivery. Accountability, as defined in this workshop, is the ability to call public officials, private employers, or service providers to account, requiring that they be answerable for their policies, actions, and use of funds.x Accountability is social when it deals with the accountability of agents towards society as a whole, and is exacted by multiple stakeholders. Accountability is public when instead of being an internal process, it is transparent and in the public domain. Social and public accountability mechanisms, then, refer to the range of methods, tools, and choices that about investing in the assets and capabilities of ensure greater accounting to citizens and society poor people at the micro level. as a whole for public actions and outcomes. In the case of local communities, social groups, and Tohelpcontextualizethepresentation,thesession relationships, the focus is on inclusive and pro- continued with two case studies from the Rural poor institutions developed through partnerships Women's Development and Empowerment and mutual accountability, as well as on equity in ("Swa-Shakti") project in India, presented in the access to services and development opportunities. case of Jharkhand by Himani Pande, Project Director, and in the case of Bihar by Irina Sinha, Closely related to social and public accountability Project Director. A general overview of the is the concept of empowerment. This may be project was given by Varalakshmi Vemuru, defined as the process of enhancing the capacity project Task Team Leader from the World Bank. of individuals or groups to make choices and to transform those choices into desired actions and Both social accountability and empowerment are outcomes. Central to this process are actions keytomakingservicesworkforpoorpeople. This which both build individual and collective assets, interplay is also at the very heart of participatory and improve the efficiency and fairness of the forest management. Moving from a policing organizational and institutional context which approach to forest management towards a governs the use of these assets.xi Strategies for regulationandcoordinationapproachthatenables empowering poor and marginalized people community participation would represent an include information sharing, inclusion and advance in terms of providing more transparent participation, accountability, and organizational mechanisms for managerial decision-making. In capacity building. Empowerment is as much addition to creating spaces for the poor to about institutional reform as it is about individual participate, empowerment depends on the benefits--as much about providing an enabling expansion of livelihood opportunities through, framework at the macro and meso levels as it is among other things, the removal of market 19 The Jharkhand Participatory Forest Management Project To conclude the session, each group of participants was asked to pick two important stakeholder groups for the proposed project who have a relationship (e.g. based on citizens' voice, service delivery, bureaucratic functions, etc). Through role-playing excercises each group presented the service-based or other relationships between the two stakeholder groups, their main means of interaction, and the potential for improved relations of public and social accountability between them. This role play was particularly popular with the participants, and demonstrated vividly how roles and actions of different stakeholders were perceived. 6. Social Risks and Safeguards As noted previously during the workshop, the proposed project is considered controversial, and involves substantial or high risks. The distortions, as well as the provision of access to social assessment process, therefore, has to economic opportunities outside those offered by explicitly address these risks, and provide forests and the Forest Department--including guidance for how they can be mitigated through rational use of NTFPs, marketing of herbal/ proper project management and consensus- traditional medicines, employment, micro- building mechanisms. That was the focus of finance, etc. this session. Comments and Suggestions Presentation The discussion that followed focused on ways The session began with a presentation by Simon in which both communities and institutions Oraon, a tribal leader from Bero, Jharkhand. He responsible for service delivery in the case of described how his village had managed to the Jharkhand PFM project can be assisted in preserve its forests while providing livelihood working together more effectively. To enhance opportunities for its inhabitants through a responsiveness of policymakers and service- traditional system of cooperation, governance, providers to the poor, through both "voice" and and dispute resolution. Against the odds, a large, "service" relationships, respectively, a two- well-preserved tract of forest still exists in the pronged approach was discussed: from the village, one that has been subject to sustainable supply side, social and public accountability use by the people. needs to be raised and incorporated into government policies and practices; and from the The presentation shed light on a case where not demand side, there is a need to empower the only had environmental and social risks been poor and marginalized to enable them to hold mitigated, but social and economic opportunities policymakers and service providers to account. had been created through appropriate forest and 20 Social Assessment for Inclusion, Equity, and Accountability risk management mechanisms that took into institutionalmechanisms;xii and(ii)risksemanating account the concerns of the poor. As such, it from the project, in terms of possible adverse introduced the main topics of discussion of the impacts on poor and vulnerable groups, including session: social risk analysis, risk management, and tribalpopulations. TheriskscoveredbytheWorld consensus-building. Bank's social safeguard policies on involuntary resettlement and indigenous and tribal peoples The social assessment for the Jharkhand PFM (see below) fall into this second category. For project needs to focus on two kinds of risks: (i) each type of risk, the risk analysis should aim to potential risks to the project's achieving its identify: development objectives, i.e. through stakeholder opposition, or inadequate incentives or n Who are the "winners" and "losers"? FIGURE 1: Social Risk Analysis 21 The Jharkhand Participatory Forest Management Project n Howdopoorandvulnerablepeoplecopewith risk? BOX 4: Safeguard Policies and Forestry Projects n What actions can be taken to avoid, reduce, or OD 4.20: Indigenous Peoples mitigate risks? n Objectives: Indigenous peoples - Are afforded respect for their cultural Once the risks have been identified, the analysis uniqueness in the development process - Do not suffer adverse impacts should also assess both the probability and - Receive culturally compatible social and importance of all of the risks using the matrix economic benefits Triggers: in Figure 1(previous page). n - Do indigenous peoples live in the project area? An assessment of vulnerability and social risks, - Are they project beneficiaries? - Could the project adversely affect them? especially in view of the complexity of the n Problem issues project's social context, should also conclude - Identification of indigenous peoples with a consideration of alternative project - Adequacy of consultations - "Prior, informed consent" designs or approaches. If the social risks are - Incorporating IP issues in project design deemed to be too high, this should also include the option of postponing the proposed project OP 4.12: Involuntary Resettlement n Largely community impacts until appropriate risk management mechanisms n Focus on restriction of access have been identified, or the risks have otherwise n Avoid direct displacement where possible n Consider wider impacts been mitigated. An important dimension of - Access roads such an assessment, however, is also to consider - Schools the social risks related to not pursuing the project. - Health services n Identify unit of impact, consultation, benefits - Households The presentation went on to focus on two - Community particularoperationalpoliciesthattheWorldBank n Identify and document livelihood opportunities has in place to safeguard individuals or groups that may be negatively affected by a project: traditional territory and resource base. The social assessment process needs to properly n Operational Policy 4.12 on Involuntary address this fact, and provide guidance for how Resettlement the project can benefit the local communities in a manner that is not only oriented towards n Operational Directive 4.20 on Indigenous livelihoods improvement and environmentally Peoples sustainable development, but also culturally appropriate and built on informed participation The Jharkhand PFM project triggers both of by the tribal communities affected. these safeguard policies. This implies a series of considerations that need to be taken into At the end of a general discussion of potential account both the Government of Jharkhand risks to the project, Sumir Lal of SAREX, World and its World Bank counterparts (see Box 4). Bank presented a case study on the political The project involves poor adivasi groups that economy of power sector restructuring in India. in the past have been displaced from their Though focused on a sector other than forestry, 22 Social Assessment for Inclusion, Equity, and Accountability the case study called due attention to the importance of understanding the interests, concerns, and potential influence of the "winners and losers" of a project. So-called potential "losers" are very likely to attempt to stall a reform process or project implementation, or to otherwise capture project benefits, unless their concerns and interests are addressed in the course of project design and implementation. Comments and Suggestions The presentation on the potential risks to the project raised a number of issues of great relevancetoforestmanagementinJharkhand,and led to a structured discussion around the need for the social assessment to carefully design mechanisms for risk management, consensus building, and dialogue promotion among the different stakeholders involved in the project. of its outcomes. However, it is unlikely that this process will come out to the satisfaction of all Balancing Conflicting Views and Interests: The interest groups. Particular emphasis should social context of the proposed project consists therefore be put on demonstrating transparency of groups having very different concerns and in decision-making processes, and on providing interests, particularly with regards to the dual regular feedback from the consultations and goals of forestry conservation and poverty discussions held. Dispute-resolution and reduction. Historically, these divergent views grievance-redress mechanisms at different levels have resulted in tension and mutual distrust shouldalsobeconsidered,toensurethatadequate among different stakeholder groups--and institutional elements are in place to allow people particularly between the Forest Department to express disagreements and opinions, voice and tribal communities. The presence of concerns or complaints, and, generally, be heard. militant "Naxalite" groups (the People's War Group and the Maoist Communist Centre) in Protecting the Rights of the Poor and Marginalized: several adivasi areas further complicates While it is important to account for the risks matters.xiii These conflicting views and resulting from stakeholders' divergent interests interests therefore constitute a very high risk and concerns, the social assessment process to the project. should also look at the need to protect the rights of the poor and marginalized. That is, the It is crucial to find ways to channel the divergent process should address the risk that the security interests of the different stakeholders through the and well-being of the poor are compromised consultation and participation framework. This when the project attends to the interests of should build consensus around the objectives of other, more powerful stakeholder groups. This theproject,andenablesupportforandownership applies to a range of actions and situations, 23 The Jharkhand Participatory Forest Management Project from safeguarding the poor from the adverse proposed project is expected to bring benefits to effects of involuntary displacement to ensuring local communities and individuals, as mentioned the well-being of tribal groups. earlier. However, there is still a possibility that project activities will adversely affect some Institutional Capacity and Incentives: The question individuals or groups. Working in their groups, of institutional capacity and incentives raised the participants were asked to identify potential in a previous discussion was also found to be risks caused by the project, and to suggest ways relevant to the discussion of risks to the project. to manage these risks. The focus here was on the Forest Department, which has languished under a hiring freeze for 7. Methods and Tools for Social Assessment almost 20 years, and has had a modus operandi Socialscientistsuseabroadarrayofdata-gathering of a top-down policing organization. Yet for and analytical tools and methods, both qualitative the purposes of the proposed project, Forest and quantitative, during the social assessment Department staff will be expected to facilitate process. This session briefly described key community participation and local access to methodological principles, qualitative and resources. While in many areas collaboration quantitative tools, and participatory techniques is taking place between the Department and that are at the disposal of the analyst wishing to village communities, with many positive put an investment project on the path to social changes reported, the social assessment process sustainability. needs to make a realistic assessment of the potential risks to the project of an institutional Presentation setup in which the Forest Department will play There are a number of field-based methods for a leading role. data collection and analysis that are likely to be used in preparing the Jharkhand PFM project. The rest of the risks discussion focused on the These include the following: potential risks from the project, including the avoidance or mitigation of adverse impacts. The n Review of secondary material n Key informant interviews n Direct observation of processes and behavior n Participant observation of processes and behavior n Diagramming n Communitymapping n Production / livelihood diagramming n Gender analysis 24 Social Assessment for Inclusion, Equity, and Accountability n Socio-economic surveys summarizes some of the core principles involved in doing this kind of research. n Full census 8. Social Assessment and the Project Cycle n Community information and consensus- The last of the technical sessions focused on building the operational entry points for social assessment in the World Bank project cycle (see n Project design techniques: Needs assessment the diagram in Figure 2), providing insights on and identification of risks how to operationalize the concepts and analytical tools and methods discussed during Given the emphasis on social assessment as a the previous days. Specific attention was given process in which data on stakeholder views is to explaining the roles and responsibilities of gathered in a participatory manner, it is little the Borrower at the various stages of the cycle, surprise that it should have a more qualitative the entry points for meaningful consultations bent than many other assessments and analyses and stakeholder participation, the importance conducted during the preparation of a forestry of developing a suitable implementation plan sector project. Box 5 (see next page) (one containing appropriate action plans, FIGURE 2: Social Assessment in the Project Cycle 25 The Jharkhand Participatory Forest Management Project budgets, implementation arrangements and BOX 5: Key Principles of responsibilities, monitoring and evaluation Qualitative Research systems, etc.), and outlining a generic terms of reference for social assessment. n Reliability: The need for careful design - Reduction of bias, improved trustworthiness of data Presentation - Consistency; the same questions are asked in the same way of all respondents A two-stage approach to conducting social assessment for this project was recommended. n Validity: Asking the right questions An initial process, a rapid social assessment - Measures and indicators reflect and inform (RSA), should take stock of existing relevant issues and hypotheses information and provide a summary report n Triangulation: Studying the issue from different setting out a preliminary problem analysis, perspectives and data sources stakeholder analysis, proposed participation - Different methods and tools - Cross-checking of information framework and communication strategy, and risk analysis, including a proposal for n Multiple indicators: Studying complex issues transparent consensus-building and dispute- - The need for multiple indicators in defining resolution procedures. The RSA should also empowerment, for example provide information for identifying gaps and drawing up a more detailed terms of reference and a refined methodology for the second phase. This should be informed by feedback received at a stakeholder workshop organized to share the findings of the RSA summary report. Following the RSA there would be a detailed design phase, when the necessary studies and data collection should be undertaken, through ongoing consultations and the participation of key stakeholders. The detailed design of this second stage should be informed by the learning from the RSA. Specific action plans should be drawn up, including a framework for preparing Indigenous Peoples Development Plans (if required), and specific inputs to implementation mechanisms should be produced. This should include establishing monitoring and evaluation arrangements to provide ongoing documentation, learning, and the necessary adjustments during project implementation. The findings of this second stage should also be shared at a stakeholder 26 Social Assessment for Inclusion, Equity, and Accountability workshop, and the workshop outcomes incorporated into the final recommendations for project design. Fieldwork Days five and six of the workshop were dedicated to fieldwork and post-fieldwork analysis and presentations. Here the eight participant groups were given the opportunity to apply the concepts, tools, and methods of social assessment in a real setting. Each group visited one of the following eight villages situated in the vicinity of Ranchi, Jharkhand: Chand, Dundun, Kutchu, Ramdaga, Sadma, Semra, Siladon, and Tilaksuti. Each group was asked to conduct a village- specific rapid social assessment, preparing (a) a summary of the key social issues (social diversity and gender, social organization and Closing Session institutional structures, stakeholders and The closing session of the workshop began with participation processes, potential risks and how statements by representatives of three of the main to avoid them); (b) recommendations for a stakeholder groups present: CBOs and tribal project participation framework; (c) peoples'organizations;NGOsandacademics;and recommendations for pilots and operational the Jharkhand Forest Department. These approaches (based on community needs); and statements are paraphrased below. (d) a summary of suggested priorities and next steps. The groups were then asked to present CBOs and Tribal Peoples' Organizations on the results of their RSAs once they were Prabhakar Tirkey spoke on behalf of the CBOs back together in the workshop. and tribal peoples in attendance. He said that it was a special experience for the tribals to be The post-fieldwork analysis and presentations able to participate in a workshop where they provided a wealth of relevant information, were heard. There was also time for mutual most of which has been integrated into the consultation on tribal issues. And yet some recommendations from the workshop set out concepts were not clear, though a start at below. The fieldwork summaries of one group, understanding had been made. Also a lot of which had visited the village of Chand in the information had been gained about the tribals Khijri Block, Ranchi District, is included in this in the last 50 years, without proper action in report as an example of the rapid social their favor. On the contrary, tribal rights had assessments produced by the participants (see been violated. In the workshop there was Annex 3). genuine attention to tribal needs and problems. 27 The Jharkhand Participatory Forest Management Project It was necessary to understand the psychology Jharkhand Forest Department of adivasis, who saw much and analyzed The representative of the Forest Department said situations according to their views, even as they that in every seminar there were different inputs maintained the culture of silence. If they and responses. But being together with other seemed slow, it was because they had not put stakeholders was very fruitful, as that led to a themselves completely in the modern fuller understanding of everyone's views. Now development fray. Their understanding of there was a need for continued coordination and development was different, in that they saw it dialogue. The resources created in the workshop as integral and symbiotic with nature and had to be used. Additionally, frontline staff had natural resources. In agriculture they preferred to be adequately prepared. Their mindset needed natural farming methods. So also in questions to change. Through capacity training the right of health, they went for herbal medicine. The attitudinalchangescouldcomeabout. Therewere modern world was going the tribal way of about 14,000 Forest Protection Committees, understanding the value of nature and natural which needed a lot of inputs and training. The resources, which were not only the means of Forest Training School could also train self-help production but also a means of livelihood and groups. Project financing during the preparation the foundation of cultural and religious beliefs. period could be used for this purpose. There was an urgent need for coordination between the World Bank, the Government of Jharkhand, and the Government of India for Conclusions and Recommendations tribal development. Overthesixdaysof theworkshop,alargenumber NGOs and Academics of views and concerns were expressed by all the Heera Lal Gupta spoke on behalf of the participants. Oneoverarchingconclusionwasthat academics and the NGO sector. He said that it is necessary to allow for enough time and the workshop gave an understanding of social flexibility to design a project that truly responds assessment and the relevant stakeholders. to the needs and aspirations of Jharkhand's forest Many ideas and views had been presented for fringe communities. Another was that continued reaching down to the people and engaging them. dialoguebetweenthevariousstakeholdersisgoing Now there was a need for networking among to be critical to keeping project activities on track. all the stakeholders. There was also a need for regional dialogue and broader consultations, Many of the participants' concerns and especially with potential participants in the recommendations focused on legal and project. However, there were different roles institutional issues. In particular, the workshop for different stakeholders. They all needed to participants made the following points: get involved in the various tasks related to building grassroots organizations, carrying out n Conditions in Jharkhand are not uniform, so social assessment at different levels, a "one-size-fits-all" approach will not work. disseminating information, conducting action Taking JFM as a starting point, a process of research, building capacity, making linkages in consultation, participation, and piloting can the marketing of village produce, and improve the impact of forest management documenting progress. on poverty reduction and development. 28 Social Assessment for Inclusion, Equity, and Accountability nInsteadoflimitingforestmanagementtoJFM coordinated. Where viable, JFM committees committees, partnerships should be built to should also be allowed to access such schemes. enable forest-based village communities to have ownership of and management control n Particularly in the context of the proposed over their natural resources. project, the role of NGOs should be clarified. A number of different functions can be n In Jharkhand traditional institutions and considered: direct implementation; assistance authorities in tribal communities play an in consultation and community mobilization; important role. At the same time, the legal monitoring and evaluation; etc. Agreement status of traditional local institutions needs to should be reached on how they can contribute, be clarified. For example, can they be eligible and on suitable mechanisms for transparency to receive direct funding for development and accountability. purposes? n Finding the right mechanisms for dispute and n It is necessary to clarify and agree on the role conflict resolution is critical, especially when of Panchayati Raj Institutions (PRIs), i.e. it comes to dealing with land rights in the panchayats and gram sabhas.xiv Similarly, greater clarity is needed on the relationship between these and other local institutions such as village blocks, self-help groups, NGOs, etc. n ThecurrentJFMresolutionretainstheauthority of the Forest Department. Greater clarity is needed on the status of the JFM committees, their control over forest resources in scheduled and non-scheduled areas, and the delegation of authority from the Forest Department to JFM committees and local communities. The provisions of the JFM resolution should be carefully examined, and variances or contradictionswithvariouslegalorinstitutional requirements should be resolved. villages. It is necessary to find workable ways to resolve disagreements or conflicts between nMorecoordinationamongdifferentGovernment the Forest Department and adivasis; within departments is needed as they often have communities; and between communities and different and contradictory rules and outsiders. In doing so, it is necessary to assess procedures. who controls what resources and with what authority. n Local communities are potentially eligible for a large number of development schemes and n The traditional rights and functions of the opportunities, but these are provided by tribal gram sabhas should be respected by different agencies and are not always well the Forest Department and other agencies. 29 The Jharkhand Participatory Forest Management Project n The project needs to concern itself with additional work and thinking are required to adequate rules, regulations, and design appropriate strategies for reducing compliance mechanisms for protecting the poverty and creating economic opportunities, environment, not just with social issues the workshop participants offered several and poverty reduction. thoughts and suggestions in this regard: nSignificantpartsofJharkhandareunderNaxal nArrangementsshouldbeputinplacetogenerate control or influence, making it necessary to and provide access to market opportunities and develop institutional mechanisms for information, to optimize returns for the village working in these areas. communities. This would allow for the selling of forest produce and other products the Having tribal representatives at the workshop project can help develop. Marketing provided valuable opportunities for considering opportunities should be developed for herbal theparticularneedsandinterestsof tribalpeoples. and medicinal plants and products. Among the points made were: n Several activities could help in income nTribalandothervillagecommunitiesneedmore generation,suchasimprovedforestrypractices, alternative livelihood opportunities, in order plantations, and food processing. But asset to maintain the sustainability of forest generation is also needed; activities that could resources. help with this include lift irrigation and cultivation of community gobargas plants. n Addressing the fundamental issue of cultural Individual activities could include dairying, alienationiskeytoensuringthesupportoftribal piggery, and poultry breeding. stakeholders. Traditional culture and knowledge, especially as they relate to the n Because of the potential restraints on grazing, management of forests and other natural dairying may constitute a risk. resources, need to be respected, protected, and revitalized by the proposed project. n The project should focus on the sustainability of various species, such as sal trees. n In designing the proposed project or other interventions, it is important to ensure that n There is a need for preservation of small veg- tribals are on an equal footing with the rest of etable produce in village blocks. society, yet are able to retain their unique identities and belief systems. n Support should be provided for electrification, water supply including for irrigation, etc. n Tribals need to be able to participate in every stage of the project. n There is a need to counter migration pressures and livelihood dependence on the cities. The Jharkhand PFM project faces the challenge of balancing conservation of natural resources n Anysurplusorprofitgeneratedthroughtheac- with creation of livelihood opportunities for tivitiesoftheJFMcommitteesshouldbeshared forest fringe communities. While much adequately among their members. 30 Social Assessment for Inclusion, Equity, and Accountability n Benefits from JFM-type projects tend to n Capacity building and attitudinal change are accrue to villagers only in the mid to long also needed for staff in other agencies and term. It is essential to ensure that such a for district- and block-level officials. project also provides quick benefits to participants; otherwise support for it is n Training and capacity building would be unlikely to be sustained. especially useful in relation to the following: n Community health should be improved - Micro-planning and natural resources through a system of health volunteers from management (including on traditional the villages. Also, basic health kits and first methods of forest protection and aid boxes financed through recurrent regeneration) expenditures on medicines could be - Accounting provided. - Marketing - Legal and administrative skills n Education improvement should include - Communication and consensus-building strengthening of both formal and non-formal skills education, based on local needs and - Conflict management resources. Services should be provided for - Community organizing primary and secondary education, and for vocational training centers. n Given that many staff in the Forest Department are demoralized, it is necessary As in most projects of this type, the issue of to provide all of them (but particularly the existing capacity of the project agents and the front-line workers) with better incentives to concomitant need for capacity building came up. do a good job. Among the points made were: n The Forest Department is understaffed, so n Capacity building activities should be based the project would do well to contribute to on a needs assessment of all concerned providing better employment. At the very stakeholders: village communities, JFM least, vacant posts should be filled. committee members, Forest Department officials, and field staff. Needs-based n There is a perception that representatives of capacity building is particularly important for the Government and the Forest Department women and other marginalized groups. are "anti-tribal." Sensitivity training for a heightened awareness of tribal concerns is n Capacity building needs to take place in very important. the Forest Department at all levels, or the project will be at risk of not succeeding. n Thereisaneedtoupgradethestate'straining Imparting a new orientation is necessary, facilities, including the State Forest Academy particularly for front-line workers, as they at Mahilong. Similarly, there is a need to will be expected to move away from address the lack of basic infrastructure, e.g. enforcement and policing towards vehicles, communications equipment, and regulatory and facilitation roles. other facilities. 31 The Jharkhand Participatory Forest Management Project n Unless people are better educated, they cannot n The JFM resolution and its modifications participate fully, nor can they guard against are not well known. They should be various forms of "elite capture" of project widely disseminated, for people to know benefits. about their rights and duties, especially with regard to terms of engagement and n Targeted training is required for people to be profit sharing. able to participate fully in participatory monitoring and evaluation. n Local and tribal institutions could help with information dissemination and consultations Several participants additionally pointed to the around the proposed project. need for fluid communications and effective information dissemination. They offered At the time of the workshop, the thinking several comments and suggestions in this of project authorities was that rather than regard: launching a large-scale project all at once, ideas and approaches could be tested out n Information about the proposed project and through a series of pilot activities. The the social assessment process should be made participants had several suggestions available in all local languages, not just regarding this: Hindi. The information should be disseminated widely, using print, electronic, n There are good opportunities for promoting and popular folk media. The written traditional tribal culture and building on local information should be supplemented with communities' knowledge of forests, forest oral information. This access to information products, and other natural resources. Pilots is particularly crucial during the planning and could take up related themes such as design stage of the project. cultivation of herbal/medicinal plants for processing and marketing, revival of n Regional Information Centers should be traditional healthcare systems, etc. organized in different areas (even in those controlled by Naxalites). n Pilots could also address such disparate areas as irrigation, watershed development, n Greatertransparencyandaccesstoinformation drinking water, tourism, etc. is the best way to reduce suspicion of the proposed project, and of agencies such as the n The planning and implementation of pilot Forest Department and the World Bank. activities should be done in participatory fashion. n Information about government outreach programs and schemes, particularly at the n Pilots should be designed to allow for village and block levels, should be variations in community needs, institutional disseminated better. arrangements (JFM-style; gram sabhas; tribal institutions), social diversity (both tribal and n Rights-awareness campaigns should be non-tribal areas), and geography (both forest organized. and non-forest areas). 32 Social Assessment for Inclusion, Equity, and Accountability In general, the discussions in the workshop n While partnerships are essential in preparing focused more developing an approach for and implementing a project, it is necessary to taking social issues into consideration, than clarify who will partner with whom. Will the on hashing out concrete project design issues. Forest Department be ready to accept a real The participants nevertheless made several partnership in terms of sharing rights, comments and recommendations regarding responsibilities, resources, and power? overall design: n Project evaluation needs to be done by n Social and economic equity has to be at the independent,externalbodies(i.e.nottheForest core of the project. Project benefits must Department, NGOs involved, or the World not go to a few elite groups or individuals. Bank). But evaluation also needs to be draw Land reform may be needed to ensure a more on the actual experiences and voices of the equitable distribution of benefits. participants. nProjectactivitiesshouldbedesignedtobenefit n In preparing the proposed project, the role of women and other vulnerable groups. local communities should be clarified in areas such as design and planning; implementation; Gender considerations need to be taken into and monitoring and evaluation. account when addressing economic opportunities, given the strong relationship n Indesigningtheproject,careshouldbetaken between gender roles and economic to avoid any negative impacts on local activities. Women also tend to depend more populations. In particular, local cultural rights on the environment, so it is crucial to need to be respected and protected. ensure that the environment does not deteriorate further. Finally, workshop participants had some comments and suggestions with regard to the nProjectplanningshouldbebasedonaholistic, social assessment process: long-term shared vision of forest conservation and poverty reduction. n A baseline study should be completed. n Project planning should be needs-based. n Atleastsomeoftheresearchersandfacilitators contracted to do the social assessment should n The project should not be based on charity know the applicable local languages. or handouts, as these create dependency. It should focus on sustainable schemes that nThesocialassessmentshouldpromotecontinued provide secure opportunities for the dialogueamongdifferentstakeholders;otherwise, poorest and excluded. its outputs won't be sustained. 33 The Jharkhand Participatory Forest Management Project ENDNOTES i See the approach developed for Poverty and of about 6.5 million tribal people, which Social Impact Analysis (PSIA) of reforms, as constitutes about 30% of the State's population. well as recent work and frameworks being Heavily concentrated along the forested belt, the piloted for country-level social analysis. tribal population comprises an overwhelming majorityof Jharkhand'sforestfringecommunities. ii World Bank 2003. For more information These data are taken from The Scheduled Tribes and refer to http://www.worldbank.org/ Scheduled Castes in the Forests of Bihar: Facts and socialanalysissourcebook/ Figures, Forest Department, Bihar, 1996. iii WRM Bulletin No. 81, April 2004. See vi Statement 1, the Khunti Declaration 2003 http://www.wrm.org.uy/bulletin/81/ adopted by the Jharkhand Forest Protection viewpoint.html Movement (Jharkhand Jangal Bachao Andolan) at their 3rd Annual Convention, November 27- iv As described in the World Bank strategic paper 29, 2003, Khunti, Jharkhand (unofficially on Social Development, Empowering People by translated from the original Hindi version). Transforming Institutions: Social Development in World Bank Operations (Social Development vii Khuntkatti refers to a system of communal Department, January 12, 2005), inclusive forest ownership that has underlain forest institutions promote equal access to development management practices in tribal areas of opportunities. To move towards this goal, Jharkhand, Bihar, and other states. institutional barriers must be removed so as to encourage the participation of diverse individuals viii Jorgensen, S. L. and Loudjeva, Z., Poverty and groups in development activities. Cohesive and Social Impact Analysis of Three Reforms in societiesenablewomenandmentoworktogether Zambia: Land, Fertilizer, and Infrastructure. Social to address common needs, overcome constraints, Development Paper No. 49. Social and consider diverse interests. Accountable Development Department (World Bank 2005). institutions are transparent and responsive to people's needs, and serve the public interest in ix World Development Report 2004: Making aneffective,efficient,andfairway. Accountability Services Work for Poor People (World Bank 2003). islinkedtoempowerment,participation,andcivic engagement in that these processes enhance the x Drawing on the definition set out in assets and capabilities of individuals and groups Empowerment and Poverty Reduction: A Sourcebook, to engage, influence, and hold accountable the (World Bank 2002), p. 20. institutions that affect them. xii The Swa-Shakti project has helped form v Based on an extrapolation of the 1991 census, more than 17,000 Self-Help Groups (SHGs) the newly created State of Jharkhand has a total benefiting more than 240,000 people 34 Social Assessment for Inclusion, Equity, and Accountability throughout India. It works in innovative administrative capacity, design complexity; and partnership arrangements with more than 700 exogenous risks: terms of trade, regional local NGOs. With the exception of some conflict, climate effects. minor assistance towards developing community assets, the project does not provide xiv The Naxalites, also sometimes called the direct financial support to the members. Naxals, are a loose association of self-styled Instead, it focuses on strengthening women's insurgent groups waging a violent struggle on capacity to leverage resources from existing behalf of landless laborers and adivasis against institutions: financial institutions for access to landlords and others. In recent years, Jharkhand credit; government departments for improved has been severely affected by Naxal violence, services, particularly in health and education; with 156 deaths recorded in 2002, according and the private sector for better access to to the New Delhi-based Institute of Peace & information and markets for locally produced Conflict Studies. products. xv Gram sabhas are village-based assemblies xiii These risks to the project can be further or committees. They normally act as subdivided into four distinct risk types: country conduits for the views of the rural poor, risks: conflict and violence, political instability, women, and other marginalized groups in ethnic and religious tensions; political economy deliberations by more formal bodies such as risks: capture of benefits, opposition to or the panchayats (village councils). Both of distortion of project objectives by influential these PRIs have been vested with decision- stakeholders; institutional risks: poor making authority over local natural resources governance, limited technical and by the Constitution Act of 1992. 35 The Jharkhand Participatory Forest Management Project ANNEX 1: List of Participants NAME DESIGNATION/TITLE INSTITUTION/AGENCY PUBLIC SECTOR A.K. Malhotra (Dr) CCF (WFP) Jharkhand Department of Forests and Environment A.K. Mishra C.F.Hazaribagh Department of Forests and Environment A.K.Prabhakar C.F. TerritorialCircle,Ranchi Department of Forests and Environment A.K. Rastogi DFOResearch&Eval,Ranchi Department of Forests and Environment A.K. Singh Regional Chief Conservator of Forests, Department of Forests and Environment Singhbum, Jamshedpur Amarnath Singh ACF, Khunti Forest Division, Ranchi Department of Forests and Environment Arun Kumar RangeOfficerofForest, Department of Forests and Environment Dumka Forest Div (Simra Range) Ashish Rawat Dy Conservator of Forest,Social Department of Forests and Environment Forestry Monitoring & Evaluation, Ranchi Awadhesh Pal Singh Forester,GarhwaSouthDiv Department of Forests and Environment Balbhadra Sahu Forester, Forest Div, Simdaga (Gumla) Department of Forests and Environment Brijnandan Sah Forester,DaltonganjWestern Circle, Department of Forests and Environment LateharDiv C.R.Sahay C.C.F. Development Department of Forests and Environment Chaturgun Ram Forest Guard Department of Forests and Environment D.J. Mitra C.FHq.Ranchi Department of Forests and Environment D.K. Srivastava (Dr) C.F. Wild Life, Ranchi Department of Forests and Environment DayaShankarTiwary Forester, Ajay Soil Cons Div, Deoghar Department of Forests and Environment Dhirendra Kumar Conservator of Forests Department of Forests and Environment Diksha Prasad DFO, Information and Extension, Ranchi Department of Forests and Environment Ganesh Lal Bhagat RangeOfficerofForest,Ranchi Department of Forests and Environment H.S. Gupta DFO,Saranda,Chaibasa Department of Forests and Environment Harendra Kumar Forest Guard, Ranchi East Forest Div Department of Forests and Environment J.B. Jauher CCF-cum-M.D. Jharkhand State Department of Forests and Environment Forest Dev. Corp, Ranchi J.L. Srivastava P.C.C.F. Jharkhand Department of Forests and Environment Jabber Singh DFO, Ranchi (W) Department of Forests and Environment John Kerketta Range Officer of Forest, Kolhan Department of Forests and Environment K.K. Pandey RangeOfficerofForest, Department of Forests and Environment RanchiWestLohardagaDiv 36 Social Assessment for Inclusion, Equity, and Accountability NAME DESIGNATION/TITLE INSTITUTION/AGENCY Kalyan Kumar Chatterjee Conservator of Forests, Department of Forests and Environment SouthernCircle,Chaibasa Kuldip Chaube Forest Guard Department of Forests and Environment L.N.Damor G.M.M.F.P.Project,Ranchi, Department of Forests and Environment Forest Dev Corpn Mahendra Kardam C.F. State Trading,Ranchi Department of Forests and Environment MangalBara RangeOfficer Department of Forests and Environment Manoj Singh DFORanchiEast Department of Forests and Environment Manraj CFRanchi Department of Forests and Environment MuktiPrakashPanna Range Officer of Forests, Balumath Department of Forests and Environment P.K. Sinha D.F.O. Simdega Forest Div. Department of Forests and Environment P.P.Singh ACF South Div., Garhwad Department of Forests and Environment ParitoshUpadhyay D.F.O. Chaibara North Div Department of Forests and Environment Probindra Kr Sharma Forest Guard, Mango Range, JSR, Department of Forests and Environment Dhalbhujm Forest Div R.Bharat DFO, WFP, Dumka Forest Division Department of Forests and Environment R.R. Hembrom CFDumkaCircle Department of Forests and Environment Raj Kumar Singh Forester, Ranchi Forest East Division Department of Forests and Environment Rajiv Ranjan Deputy Conservator of Forests, Planning, Department of Forests and Environment Monitoring and Evaluation Cell, Ranchi Rajiv Ranjan Asst. Conservator of Forests, Department of Forests and Environment DeogharSocialForestryDivision RamSewakTiwary Forest Guard, Ranchi West Lohardaga Div Department of Forests and Environment Rama Shish Singh Forester,RanchiWest Lohardaga Div Department of Forests and Environment RaviRanjan D.F.O.South Div. Garhwa Department of Forests and Environment S.K. Adhikari Range office of Forest, Musaboni, Department of Forests and Environment Dhalbhujm Forest Div S.N. Trivedi (Dr) Regional Chief Conservator of Forests, Department of Forests and Environment Ranchi Shambhu Prasad Astt. Conservator of Forest, Department of Forests and Environment Simdege Forest Div, Simdega Shashi Nandkeolyar D.F.O.Pakur Department of Forests and Environment Shivashish Ram DivisionalForestOfficer,Latehar Department of Forests and Environment ShyamBihariPrasad Asst. Conservator of Forest Department of Forests and Environment Sukh Ram Puran Forester, Kolhan Div, Chaibasa Department of Forests and Environment Suresh Kumar Sinha Asst. Conservator of Forest, Department of Forests and Environment RanchiEastForestDiv U.R. Biswas CCF-cum-ChiefWildlifeWarden,Jharkhand Department of Forests and Environment 37 The Jharkhand Participatory Forest Management Project NAME DESIGNATION/TITLE INSTITUTION/AGENCY Umesh Ch Choudhary Forest Guard, Dumka Division Department of Forests and Environment CIVIL SECTOR & VILLAGES A. Ahmad SnrProj.Officer XavierInstof Social Service (XISS) A. Dean Member Jharkhand Org for Human Rights A.K. Jha Dty Director, Animal Husbandry Nepal House AjitTirkey SnrProj.Officer XavierInstof Social Service (XISS) Alex Ekka (Dr) DirectorResearch XavierInstof Social Service (XISS) Anupama Sinha ProjectPlanner Alternative for Indian Development Arun Kumar Singh Coordinator LokPrerna B.K. Sinha DySecretary Revenue & Land Reforms, Jharkhand Bandhu Oraon Bikas Bharti Barkha CommunicationOfficer Jharkhand Women Dev Society, SWA-ShaktiProj Bhikhari Bhagat JointSecy Vikas Bharti Bishunpur, Gumla Brahmachari Farm incharge, Divya KVK Ramakrishna Mission Ashram, Nirliptachaitanya Morabadi,Ranchi Chami Murmu Secy Sahayogi Mahila Baghraiensai D.P. Sinha Secy Ranchi Consortium for Comm Forestry Diptiman Bose Prog. Coordinator NagrikManch,Ranchi Haldhar Mahto Proj Dir Nav Bharat Jagriti Kendra HarishwarDayal Lecturer St.XaviersCollege HeeraLalGupta Secretary Trust for Comm Dev.&Research IndrajeetPrasad Proj.Incharge ERC Group Indu Kumari Member PeasureGlobe(PG),Kanke,Ranchi Jawahar Mahato FieldOfficer SahayogiMahilaBaghraisai Jigisha Srivastava Lecturer St.XaviersCollege Kunal Shekhar ProjectCoordinator Krishi Gram Vikas Kendra Malancha Ghosh (Ms) Reader in Dept of Zoology, Ranchi Women's College RWC&President,M.U.V&V.S. Manoranjan Kr Jamuar Regl.Dir ADRI Neeru Johri (Dr) Consultant(Freelancer) O.N. Panday (Dr) Dean,FacultyofForestry Birsa Agril Univ, Kanke, Ranchi, 834006 PrabhakarTirkey President Patra PradeepKrSarkar Proj.Incharge ERC Group PrafullaKrMallik(Dr) Training Coordinator Jharkhand Women Dev Society, SWA-ShaktiProj 38 Social Assessment for Inclusion, Equity, and Accountability NAME DESIGNATION/TITLE INSTITUTION/AGENCY Pramod Kr Singh Fieldworker Indian Rural Association Praveen Kumar Singh ForestryIncharge/PPFT Gramin Vikas Trust, Ranchi R.B. Singh R.Bhengra Member Jharkhand Tourism Coordination Comm (JTTC) RajeevRanjan Proj.Incharge Environmental Research & Consulting Gp Ravi Sinha Consultant SRIRanchi Rini Sinha ProjectOfficer Society for Rural Industrialization (SRI) Rohini Singh Student SCMHRD,Pune S.S.K. Biswas Member Ranchi Consortium for Comm Forestry Shamim Akhtar Proj. Coord KarraSocietyforRuralAction Shashi Kumari FieldSpecialist Gramin Vikas Trust Shiukar Purty GenlSecy SocietyforReformation& Advancement of Adivasis Shiv Kumar Sharma Advocate High Court Simon Oraon Sr.CeliaBranganza Director Centre for Womens Development, Torpa Sr.MariaElena Asst.Director Centre for Womens Development, Torpa V.K. Munjani UnderSecretary Rural Development, Jharkhand Vasavi Bhagat Journalist Ranchi William Norman ResearchAsst. XavierInstof Social Service (XISS) WORLD BANK LorraineGhosh World Bank, New Delhi R.R. Mohan World Bank, New Delhi Sumir Lal World Bank, New Delhi Varalakshmi Vemuru World Bank, New Delhi BarbaraVerardo World Bank, Washington Hakon Nordang World Bank, Washington Reider Kvam World Bank, Washington Zlatina Loudjva World Bank, Washington 39 The Jharkhand Participatory Forest Management Project ANNEX 2: Workshop Agenda Jharkhand Participatory Forestry: Social Assessment Workshop February 3-9, 2003 Ashoka Hotel Ranchi, Jharkhand Day 1, Tuesday, February 3, 2004 12:30 ­ 13:30 Lunch 09:00 ­ 12:30 Morning session 13.30 ­ 18:00 Afternoon session: Elements (with coffee/tea break) of Social Assessment (with coffee/tea break) Registration Discussion of presentations Opening and welcome Presentation of participants' feedback. Opening Remarks by Govt. of Jharkhand & World Bank Stakeholder mapping and analysis Introduction to project · Plenary presentation · Group work on stakeholder matrices Workshop objectives · Group presentations and discussions in plenary Social Assessment: a brief introduction Conceptual framework, project cycle and Discussion of groups and individuals who discussion of key concepts. have an interest or a stake in the proposed project, in the sense that they are likely to Social diversity and gender issues benefit or be affected by it, or they can Presentation and discussion of relevant influence its outcomes and success. The social groups and categories, and the purpose is to identify winners and losers, importance of gender, ethnicity, religion, and develop a systematic and explicit age, culture, caste, or other criteria which grounding for further analysis, participation are used to define and organize social and consultation, identification of risks and interaction. Discussion of relevance to the opportunities, and likely capacity building proposed project. needs. The group work will include an exercise where different stakeholder groups Introductions are identified in terms of their relative interest in and influence over the project. Workshop expectations 40 Social Assessment for Inclusion, Equity, and Accountability Logistics and practical information · Group work Discussion of next days and the field trips. · Group presentations and discussions in Handout of binders, materials to read. plenary Informal discussions and time for participants to get to know each other. This session focuses particularly on proposed beneficiaries and other Reception and welcome dinner community members; their ability to access Hosted by the World Bank. improved services, livelihoods, or other opportunities, and the potential for improving "downward" accountability Day 2: Elements of Social Assessment through more efficiency, transparency, and (continued) decentralized methods of operation in responsible agencies such as the Forest 09:00 ­ 12:30 Morning session Department. (with coffee/tea break) Prioritizing and working together Day 3: Risks and Consensus Building · Group work: What are the expectations of, and the key issues to be addressed The full day will be dedicated to by, the social assessment and the presentation and discussion of a project? comprehensive risk management · Group presentations and discussions in framework from a social perspective, plenary: Deciding on priorities focusing on both risks of adverse impacts, vulnerability or unevenly distributed Formal Inaugural session benefits from the project. This will be · Chief Guest: His Excellency, the Chief linked with the previous day's stakeholder Minister analysis, to determine risks and risk mitigation strategies for different 12.30-13.30 Lunch stakeholder groups. Mechanisms for dealing with dissent and building consensus 13.30 ­ 18:00 Afternoon session will be presented and discussed. (with coffee/tea break) Case study: Stakeholder analysis and 09:00 ­ 12:30 Morning session how the five core elements interact (with coffee/tea break) Empowerment and social accountability Risk analysis framework Introduction to the framework and a · Plenary presentation discussion of "winners" and "losers". · Case study: The Rural Women's Development and Empowerment Risks from the project: vulnerability Project (Swa-Shakti) issues and social safeguards 41 The Jharkhand Participatory Forest Management Project i. Social safeguards Methods and tools ii. Other risks Overview and discussion of principles of quantitative and qualitative data collection 12.30-13.30 Lunch for a social assessment process. Discussion of methods such as participant observation, 13.30 ­ 18:00 Afternoon session structured and unstructured interviews, (with coffee/tea break) focus group discussions, and social surveys. Riskstotheproject:Capacity,governance, 12.30-13.30 Lunch political economy 13.30 ­ 18:00 Afternoon session · Plenary presentation and discussion (with coffee/tea break) · Group work: How to deal with dissent and build consensus? Preparation for fieldwork: Sample · Group presentations and discussions in Terms of Reference, implementation plenary plan, Rapid Context Assessment · Plenary presentation and discussion · Group work: The groups prepare for the Day 4: Methodology and Fieldwork next day's fieldwork, work on the Terms Preparation of Reference and plan for a Rapid Context Assessment 09:00 ­ 12:30 Morning session (with coffee/tea break) Overview of the objectives of the fieldwork, as well as the focus of the Project cycle different groups. Brief introduction and A brief introduction to the standard cycle background to the context of the fieldwork of events of World Bank projects. Specific will also be provided. attention is paid to the role of social assessments during the project cycle: When to do it, who does it, and how the findings Day 5: Fieldwork translate into project relevant design options, implementation mechanisms, and Field work will be done in small groups, at monitoring and evaluation systems with sites which have been selected purposefully appropriate indicators. to address the main issues and possibly the pilot areas for proposed project Consultation and Participation components. It will be organized by local Building on the previous discussions on organizations or resource persons (NGOs participation, emphasizing the role, or others), using an informal approach. importance and opportunities for popular Each group will be accompanied by a participation during social assessment as resource person, and will be made up of a well as during the project cycle. mix of the different participants in the learning program. 42 Social Assessment for Inclusion, Equity, and Accountability Day 6: Fieldwork Analysis Day 7: The Way Ahead 09:00 ­ 12:30 Morning session 09:00 ­ 12:30 Morning session (with coffee/tea break) (with coffee/tea break) Fieldwork analysis and presentations Pilots and approaches · Group work: The groups prepare their presentations and discussion-points Participation framework based on the field work · Group presentations and discussions in Expected output: An agreed-upon plenary framework for participation and consultations with key stakeholder groups 12.30-13.30 Lunch duringprojectpreparation,implementation, and monitoring and evaluation. 13.30 ­ 18:00 Afternoon session (with coffee/tea break) 12.30-13.30 Lunch Feedback on presentations and case 13.30 ­ 18:30 Afternoon session studies (with coffee/tea break) Discussion of priorities and follow up Participant feedback Workshop facilitators will comment on the field studies, and discuss implications for Summary of key issues the project, data gaps and implications for the social assessment process, and likely Next steps and closing remarks capacity building needs. Closing Dinner Workshop evaluation Hosted by the Government of Jharkhand. 43 The Jharkhand Participatory Forest Management Project ANNEX 3: Sample Rapid Social Assessment (RSA) Fieldwork Summary from Chand village, Khijri Block, Ranchi District I) KEY ISSUES 4) Health Profile: A) Social Diversity General good health 1) Social and Demographic Profile Minor illness taken care by the traditional a) Social composition: Tribal = 80%, method Munda = 50% Some also take allopathic medicines Uraons = 30% Mahtos = 10% B) Gender Relations and Issues Others = 10% 1) Equal love and care for boy child and b) Households = 82, girl child total population = 500 2) No dowry practiced, only bride price is c) Religious groups: Traditional Sarna = given (boy's party to girl's party) 80% Hindu = 10%, Christianity = 10% 3) Though husbands consult their d) Male-Female Ratio 1000:990 wives, the decision is ultimately of husbands 2) Educational Profile: 4) Women do mostly the household Majority is illiterate work, including the agricultural Few literate persons, including some women work except for plowing and other Some children go the Hulhundu school hard labor Most of the children don't go to school 5) Women are paid lower wages - No school in the village 6) Migration of women for domestic - Muslim school in the neighboring works to cities village is hostile to the tribal children C) Organizational Structure 3) Economic Profile: 1) Traditional leadership exists ­ but Agriculture is the main occupation ­ mono weakened cropping 2) No Gram Panchayat, no Gram Casual labor during lean season ­ coolie, Sabha rickshaw pulling, working at stone quarries 3) No PDS, No Red card (for people and crushers, selling of rice beer. Except below poverty line) for a few, majority is poor. Many of them 4) Weak Mahlia Mandal are marginal farmers. Most people don't 5) One Anganwadi ­ not very effective have irrigation facilities. Sources of credit are bank and relatives. No income D) Institutional Structure generating activities in the village except for 1) Communal harmony a few growing cash crops & vegetables. No 2) Sometimes practice of superstition self-help groups (SHGs), no schools, no and witchcraft electricity in the village 3) Lack of self-esteem 44 Social Assessment for Inclusion, Equity, and Accountability E) Stakeholders the leadership of the Pahan, 1) All the men and women of the village consisting of the following 2) But greater dependence on Government stakeholders: People, NGOs, Forest 3) Not much enterprising as a community Dept., Other departments 4) Not mobilizing their human resources: 3) Training of these stakeholders educated youth, retired military men 4) Exposure program 5) Allocation of responsibilities F) Participation Process a) NGOs = Establishing linkages 1) No bargaining power: i.e. can't insist with other stakeholders that the Block Development Officer = Giving ongoing training give them a check dam and capacity building to 2) Lack of awareness of development stakeholders schemes, lack of self-confidence b) Forest Dept.= Frontline staff 3) Conflict between the younger and the more active with older generations necessary skills and facilities G) Potential Risks = Vertical and 1) Increasing alcoholism horizontal 2) Cattle let loose, which eats up the communication standing crops in summer and relationship 3) Increasing dependency on Government = Benefiting people 4) Fatalistic attitude through their 5) Outsiders grabbing land of the villagers know-how and schemes H) Avoiding Risks c) Other Depts. = Keep up the 1) Strict control over alcoholic beverages contact with and alternative occupation to rice beer people selling = Give need-based 2) Mutual agreement to keep the cattle schemes to people tended by cowherds, etc. = Vertical and 3) Schools through the local youth horizontal 4) NGO presence or contact needed communication 5) Awareness of land rights and relationship 6) Team building 7) Training of youth for hand-pump repairs 8) Regeneration of forests III) Recommendation for Pilot and Proposed approaches 1) Proper information and awareness II) Recommendation for Project building Participation Framework 2) Baseline survey 1) Baseline survey 3) Formation of the stakeholders 2) Formation of core committee, under committee 45 The Jharkhand Participatory Forest Management Project 4) Training at all levels of the stakeholders IV) Suggest Priorities 5) Making of check dam 1) Awareness building and motivation 6) Social forestry: on Government land of stakeholders and people's land 2) Repair of hand pumps 7) Primary education in the village 3) Making of check dam 8) Health and hygiene to be attended to 4) Primary education, adult 9) Herbal medicines to be propagated: education, SHGs, Mahila Mandals people's efforts and Forest Dept.'s efforts fostered 10) Hand pump repairing 5) Health through traditional system to 11) Improved seeds and agriculture be fostered 12) Marketing of produce 6) Improved agriculture 13) Constant monitoring and evaluation 7) Marketing of produce 46 Social Assessment for Inclusion, Equity, and Accountability ANNEX 4: Evaluation of Outcomes Workshop participants "voted" at the end of and deliberations and full participation" each day to register how they felt about that [female NGO representative] day's presentations and discussions. The results of these informal daily polls were very positive n "Background materials (especially ODs/ overall. OPs)" [male CBO representative] At the end of the workshop, the generally n "The fieldwork exercise--i.e. social positive impressions of the proceedings were analysis in the village--sharing reconfirmed via a formal evaluation process. experiences with people coming from All participants were asked to fill out a two- various [sectors]" [male NGO sided evaluation form, and 81 did so. On representative] the front side of the form, respondents had to rate a number of positive statements from 1 ("strongly disagree") to 6 ("strongly agree"). What part of the workshop was most In a tabulation of the results, the mean useful? response to all the questions came out at n "The most useful part in the workshop 5.08. The statement that rated highest (with was [the] `role play' as it broke the ice a mean of 5.31 for all respondents) was "The between participants in the group" training was relevant to my work."; the one [female academic sector representative] that rated lowest (with a mean of 4.69) was "The pace of the presentations was n "The presentations of the fieldwork adequate." The evidently small amount of which leads to concrete answers to many variance would indicate considerable unanimity, across gender and sectoral differences, on the high value of workshop inputs, and on the perceived high likelihood that workshop outputs will contribute to better project design. On the back side of the form, participants were asked to provide open-ended responses to four questions. A sample of responses is given below: What part of the workshop did you enjoy most? n "The bilingual explanation on all issues 47 The Jharkhand Participatory Forest Management Project complex questions" [male NGO n "Number of participants should be representative] less" [male NGO representative] n "The discussion on the 6th day was n "There were some people who were less quite useful as some problems and experienced, especially from NGOs, solutions related to village development which made difference in sharing/ could be addressed" [male Forest learning" [male CBO representative] Department official] n "More representation from traditional n "Risk factor analysis" [female Forest people in the workshop, so that we Department official] could learn from their experiences" [male Forest Department official] What would you have liked to have done differently? n "Additionaltechnicalinputsshould[have How are you likely to make use of what been]providedinthetrainingwhiledoing you have learned during this week? social impact assessment" [male n "Motivate the people for making forest consulting company representative] management for environment and self- reliance" [female Forest Department n "To stay in the field for a few days for official] more close interaction with different groups and communities" [female n "It will help me in understanding social NGO representative] issues more clearly" [male Forest Department official] n "More Jharkhand based social and anthropological inputs in terms of n "This outlook can be used in future literature, history, and analysis" [male interaction with different stakeholders" Forest Department official] [male Forest Department official] 48 Social Assessment for Inclusion, Equity, and Accountability 49