Empowering People By Transforming Institutions: Social Development in World Bank Operations January 12,2005 Table of Contents List of Annexes. Boxes. Tables and Figures...................................................................... ... 111 Acronyms ........................................................................................................................... iv Foreword.............................................................................................................................. v Executive Summary........................................................................................................... vi PART I:Social Development Strategic Priorities Introduction.......................................................................................................................... 1 What is Social Development?.............................................................................................. 1 Social Development Works ................................................................................................. 3 Commitment to Social Development................................................................................... 5 World Bank Progress on Social Development .................................................................... 7 Strategic Priorities................................................................................................................ 9 PART 11:Implementation Plan A New Business Model ..................................................................................................... Social Development Activities .......................................................................................... 14 15 Resources ........................................................................................................................... 15 Operational Policy and Strategy Framework..................................................................... 18 Facilitating Cross-Sectoral Work....................................................................................... . . . 18 MonitonngResults............................................................................................................. . . 19 Managing Risks ................................................................................................................. 20 Conclusion ......................................................................................................................... 21 .. 11 ListofAnnexes. Boxes. Tables and Figures Annex 1: Summaries o f Regional. DEC. WBI and ESSD Action Plans......................... 22 Annex 2: Management Action Record to OED Report on Social Development .......................................................................................... 37 Annex 3: Social Development (SD) Results Framework ................................................. 41 Annex 4: Social Development. Gender and Inclusion (SDGI) Thematic Portfolio............................................................................................ 45 Annex 5: Social Development Partnerships and Harmonization...................................... 48 Annex 6: Responsibilities for Implementing the Social Development Strategic Pnorities............................................................................................. . . . 50 Bibliography ...................................................................................................................... 51 Box 1: Human Security and Japanese Official Development Assistance ........................... Boxes 2 Box 2: Copenhagen to Islamabad- A Decade o f International Commitments to Social Development .................................................................... 6 Box 3: Social Development inWorld Bank Operational Policies and Procedures ........................................................................................................ 7 Tables Table 1: Ratings for Projects Addressing One or More Social Development (SD) Themes. 1972-02 ........................................................ 4 Table 2: Social Development Outputs .............................................................................. 10 Table 3: Changes in Social Development Activities ........................................................ 16 Figures Figure 1: Assets and Institutions for Social Development.................................................. 3 Figure2: Accountable Institutions and Developing Country Growth ............................... 4 ... 111 Acronyms CAS Country Assistance Strategy CDD Community-Driven Development CPZA Country Policy and Institutional Assessment DEC Development Economics Group DPL Development Policy Lending ESSD Environmentally and Socially Sustainable Development Network IDA International DevelopmentAssociation MDGs Millennium Development Goals NGOs Non-Governmental Organizations OED Operations Evaluation Department OMS Operational Manual Statement OP Operational Policy OPCS Operations Policy and Country Services PRS Poverty Reduction Strategy PSIA Poverty and Social Impact Analysis QAG Quality Assurance Group SD Social Development WBI World Bank Institute WDR World Development Report Inthis document "the Bank" refers to IBRDand IDA,not to the WorldBankGroup. iv Foreword This is the last inthe series o fpapers that set out the World Bank's priorities on sustainable development. Like the other sustainable development papers, it presents the World Bank's approach to ensure responsible and sustainable growth. This paper does not set out a new conceptual agenda but presents a plan to implement the existing agenda more completely and effectively. It recommends no new policies or requirements. As an operational document, this paper responds to comments from the World Bank's Executive Directors' Committee on Development Effectiveness inDecember 2004, on an earlier version of the document inDecember 2003, and on the initial Issues Paper inApril 2002. It is also based heavily on recommendations included inthe OEDReview of SociaZDevelopment in Bank Activities. The paper was discussed widely inconsultations inmost regions and at a variety o f intemational conferences. Participants included govemment, UNand donor agencies (including other international financial institutions), civil society, youth, faith-based organizations and development practitioners. Consultations confirmed the strategic priorities and highlighted that the Bank should outline how it would implement these priorities. Steen LauJorgensen ledthe preparation o f the document from conception to completion. Robert S. Chase task managed the team writing the document, consisting o fNina Bhatt, Susan Jacobs Matzen, CamillaRossaak, Colin Scott, and Susanna Shapiro. Yoko Eguchi and Mojgan Sami ably coordinated the consultations. Milagros Benedicto, Carmen Martinel and Laurence Nyook Paul provided excellent editorial and logistical support. V Executive Summary At the start o fthe 21St century, while manypeople aroundthe world benefitfrom increasedflows o f goods, capital and information, too many others confront seemingly intractable challenges. To reduce poverty and reach the MillenniumDevelopment Goals, the World Bank adopts a comprehensive approach that promotes economic growth, improves services and strengthens institutions. Social development is a crucial component o f this approach. With the goal o f empowering poor and marginalized women and men, social development is a process o f transforming institutions for greater inclusion, cohesion and accountability. Empirical evidence and operational experience show that social development promotes better growth, better projects and better quality o f life. The global community has affirmed its commitment to social development inseveral forums, from the World Summit on Social Development to the Millennium Summit. Further, many regional bodies, such as the South Asia Association for Regional Cooperation andthe Africa Development Forum, have confirmed their support for social development as essential to reducing poverty. World Bank policies, strategies andoperational documents reflect a similar commitment. The World Bankhas successfully incorporatedkey social development principles into the preparation o f many projects. Based on an Operations EvaluationDepartment (OED) review o f more than 4000 World Bank-funded projects inthe last thirty years, attention to social development has improvedproject impact and sustainability. Over these years, the Bank has increasedthe proportion o f projects that pay attention to social development, reaching about one halfinthe last decade. However, inits project-by-project approach, the Bank has not been sufficiently systematic inits attention to social development processes, analysis and content. Givenrecent initiatives to increase lending for infrastructure and agriculture andconcems about hightransaction costs, the Bankrealizes that itneeds to revise its approachto social development. To enhance impact and improve efficiency, the Bank proposes a new business model for how it will promote social development inits operations. The new model implies a shift towards an integrated, multi-sectoral, upstream approach, which i s reflected inthree strategic priorities: 0 Strategic Priority 1- M o r e Macro: Improve macro-level processes, analysis and content bybetter supporting countries to incorporate social development into their poverty reduction or development strategies. Enhance policy dialogue, Bank country assistance strategies and Bank-financed policy lendingby buildingon these country-led strategies. 0 Strategic Priority 2 - Better Projects: Improve development effectiveness o f investment lending through more comprehensive and efficient mainstreaming o f social development into project-level processes and analyses as well as strengthening the social development thematic portfolio. 0 Strategic Priority 3 - Better Grounding: Improve research, capacity building and partnerships to solidify the grounding for better operations. vi Under Strategic Priority 1the Bank will increase support for countries to bring social development processes, analysis and content into their overall poverty reduction or development strategies. This shift implies buildinggovemment capacity for more effective and representative stakeholder participation while countries prepare and implement their country strategies. Further, the Bank will base its country assistance strategies on the outcome o f these processes. It will also buildinto its country-wide analytic work analyses o f social opportunities, constraints and risks. Finally, requiring no additional Bank-imposed conditionality, development policy lending will support govemment efforts to improve inclusion, cohesion and accountability using countries' own systems. For example, it will support policies that promote greater budget transparency or enable communities to manage public funds. Under Strategic Priority 2 the Bank will enhance the impact and reduce the cost o f how it approaches social development processes, analysis and content ineach o f its projects. Inproject preparation, it will seek to build on the country-level participation that Strategic Priority 1 promotes. The Bank can then allocate some o f the resources previously usedfor participation duringproject preparation to enhance stakeholder involvement inmonitoring andevaluation. Similarly, buildingon the upstream country-level social analysis, project-level social analysis can be more focused and less costly. Given the Bank's emphasis on more andbetter agriculture andinfrastructure lending, it will increase support for communityinvolvement, participation and understanding o f the social context insuchprojects. Under Strategic Priority 3 the Bank will strengthen the grounding for its social development work by enhancing research, capacity buildingandpartnerships. Bank-supportedresearchwill buildupon existing context-specific analysis to improve understanding o fthe complex relationship between social development and economic growthwith a special emphasis on supporting local research indeveloping countries. The Bank will also strengthen evaluations o f social development impacts o f its activities. Similarly, inan effort to collaborate more effectively with local experts, it will scale up efforts to buildthe capacity o f developing country social development practitioners and support networks among them. Finally, the Bankwill strengthen its social development partnerships to assure sustained, harmonized support for developing countries intheir social development efforts. The Bank can implement these strategic priorities by better coordination among units that address social development objectives, reallocating resources towards upstream work for key clients, greater involvement o f in-country expertise and adjusting its staffs skills. Overall, as the newbusiness model deliversreturns to scale, borrowers will enjoy significant savings and improved effectiveness. The Bank will also save resources by working on social development at the country level. It can reallocate those savings for better monitoring and evaluation, as per OED's recommendations. The Bank will measure country outcomes usingexistingproxy indicators for inclusion, cohesion and accountability. Similarly, it will also track intermediate World Bank and country process improvements using existing indicators. Given the importance o f inclusive, cohesive and accountable institutions inempowering people, the World Bank will transform how it promotes social development to better support the MillenniumDevelopment Goals andrealize its goal o f a "world free o fpoverty." vii Part I: Social Development Strategic Priorities "We believe that the central challenge weface today is to ensure that globalization becomes apositiveforce for all the world's people. For while globalization ofers great opportunities, at present its benefits are very unevenly shared", UnitedNations Millennium Declaration September 2000. Introduction 1. At the start o fthe 21st century, while manypeople aroundthe world benefit from increased flows o f goods, capital and information, too many others confront seemingly intractable challenges. Pattems o f structural inequality often exclude people, such as those in rural areas, women, youth, people with disabilities, and other historically disadvantaged social groups. Many govemments have put inplace public policies and programs to redress these inequities. Nonetheless, many o f these social groups have beenunable to tap into the prosperity that others enjoy, often because they are unable to hold those inpower accountable. Lack o f inclusion and accountability can cause disruptions that discourage investment, reduce growth and threaten the cohesiveness o f societies. To reach the Millennium Development Goals (MDGs), we must break this vicious cycle, adopting comprehensive and inclusive strategies that empower poor andmarginalized people to take advantage o f burgeoning global opportunities. 2. Economic growth is essential for the world to meet the MDGs. Only with the additional resources that growth generates can countries invest inbetter services for poor women and men. However, this growth needs to be pro-poor and sustainable. For growth to benefit poor people, development agencies need to invest inhuman and physical assets. Inaddition, development agencies need to help transform the broad set o f institutions' that determine the quality o f growth, service delivery and human development. The world won't meet the MDGs without complementary economic and social development efforts. What is Social Development? 3. For the purpose o f this document, social development means transforming institutions to empower people.' But how can institutions be tranformed for this purpose and what role does the Bank have infacilitating this transformation? No single, comprehensive theory captures how to support institutions appropriate for empowerment. Those institutions must respond to the ''W e refer to institutions broadly as the set o f formal and informal rules, norms and values that operate within societies. See OED report on Social Development for a discussion o f the different definitions of social development among practitioners. 1 local context. However, the application o f some broadprinciples appear to serve poor and vulnerable women and men well. Based on its experience, the World Bank has identified three operational principles to guide its approach to social development: inclusion, cohesion and accountability. 0 Inclusive institutions promote equal access to opportunities, enabling everyone to contribute to social and economic progress and share inits rewards. 0 Cohesive societies enable women andmento work together to address commonneeds, overcome constraints and consider diverse interests. They resolve differences ina civil, non-confrontational way, promoting peace and security.' 0 Accountable institutions are transparent and respond to the public interest inan effective, efficient and fair way. 4. These operational principles are consistent with a number o f mutually reinforcing frameworks. k a r t y a Sen's approach to assets and pabilities, Robert Chambers' work on sustainable livelihoods, and recent conceptual work on human security (Box 1) all recognize that formal Box 1:HumanSecurity andJapanese OfficialDevelopment Assistance and informal institutions can facilitate or constrain The concept o f human security forms the basis efforts to move people out o f poverty. Based on a for Japan's Official Development Assistance person-centered approach, they all insist on starting Charter. Human security focuses o n from the perspective o fpoor people, their families empowering as well as protecting vulnerable and communities. Sen not only emphasizes the people-seeking "freedom from want," as well as "fkeedom from fear." It i s a person-centered importance o f assets but draws attention to their approach that necessitates a holistic view about returns-how those assets translate into improved people and their society. Based o n t h s well-being for poor people. To ensure those returns, approach, Japan has realigned its aid expertise institutions must allow assets to be used and resources to respondmore effectively to productively and freely, promotingwhat Sen calls the complex crises presently facing the world. The approach presented inthis document share capabilities. Similarly, the sustainable livelihoods many aspects with human security and will framework (Figure 1)4identifies five asset classes enhance the basis for partnerships. as important for well-being and livelihoods: I physical, financial, human, natural and social. Institutions determine how these assets improve livelihoods. Based on this framework, development interventions needto both build assets and to improve the returns to the assets by transforming social and economic institutions. Research from the Bank's Development Economics Research Group (DEC) has fruitfully articulated the interplay between inclusion and social cohesion. For instance, William Easterly and Michael Woolcock's work sees social cohesion as essential " for generating trust needed to implement reforms. Inclusiveness o f the country's communities can greatly help to build cohesion., ,[the authors] propose that key development outcomes (the most widely available being "economic growth") are more likelyto be associatedwith countries that are socially cohesive and hence governed by effective public institutions", in "On `Good` Politicians and `Bad' Policies: Social Cohesion, Institutions, and Growth," DEC, The World Bank, pages 3 & 4. Figure 1represents a simplified form of this framework. Chambers' original work highlights sustainability and risk where the system described in Figure 1 i s exposed to shocks. With shocks and vulnerability built in, the framework closely resembles the social risk management framework promoted by the World Bank (Holzmann and Jorgensen, 2000). 2 Figure 1: Assets and Institutions for Social Development I - - - - - - ------- Social Development Works 5. Given the importance o f institutions inpromoting or constraining development, their transformation through social development promotes better growth, better projects andbetter quality o f life. Better Growth 6. Bytransforming institutions to empower people, social development matters for growth and who benefits from it. Growth depends on efficient use o f resources. Ifinstitutions systematically exclude certain groups from economic opportunities, so that people are unemployed, or discriminated against, the result is wasted resources and reduced growth. Discussing conditions for a productive investment climate, the 2005 World Development Report highlights the importance o f social stability, which requires robust institutions. Researchshows that some social development indicators, particularly cohesion indicators, correlate positively with foreign direct in~estment.~Conversely, from a cross-section o f 98 countriesY6Robert Barro found that lower initial conditions of cohesion hampered growth. Conflict, or the extreme absence o f cohesion, i s detrimental to growth: studies on civil war show that incomes are, on average, 15 percent lower at the end o f a conflict than they would have been otherwise. Finally, based on cross-country data o f social development indicators, more accountable institutions ina given year correlate with higher growth inthe following decade (Figure 2).7 There is also increasing evidence that more inclusive, cohesive and accountable institutions help ensure that growth is sustainable and benefits the poor.8 As the recent World Bank Annual Review o f Development Effectiveness shows, sustainable growth depends on appropriate policy environments. When countries reform their policies through an inclusive, consensus-driven process, those reforms seem to work better and to be more sustainable than those that are promoted through top-down approaches. The ChristianMichelsen Institute (Kolstad and Tondel, 2002) found that cohesion, measured by political stability, internal conflict and ethnic tension, had significant impact on foreign direct investment. Inclusion and accountability, measured by political rights, civil liberties and democratization, also have a positive, though smaller, effect on foreign direct investment. ' Barro, 1996, "Determinants o f Growth: A Cross-Country Empirical Study," NBER. The country accountability index combines publicly available indicators for political rights, civil liberties, bureaucratic quality, press freedom, corruption, democratic accountability, and an index o f law and order. In a regression framework, controlling for initial income levels, the accountability index retains its significant positive correlation with growth inthe following decade. * For a comprehensive exploration o f the local institutions that affect pro-poor growth, see the World Bank's Program on "Pro- poor Growth and Inequality." 3 Figure 2: Accountable Institutions and Developing Country Growth (I 984-1993) Better Projects 7. Social development promotes better projects. Social development's impact on effectiveness operates across sectors, includinginhighpriority areas for the Bank such as infrastructure and agriculture. The independent Operations EvaluationDepartment (OED) reviewed over 4,000 projects the World Bank financed duringthe past 30 years.' OED found that 26% o f all projects reviewed address some aspect o f social development." These projects had better outcomes, have beenmore sustainable and had greater impact on institutional development than those that do not address social dimensions (Table 1). These data also show that the more comprehensively social development is integratedinto a given project, the greater the overall impact: projects that deal withmore social development themes progressively improve on each o f these output indicators. Table 1: Ratings for Projects Addressing One or More Social Development (SD) Themes, 1972-02 Number of SD Outcome Institutional Share of Rated Overlapping Themes Satisfactory) ( Y O Sustainability (% Likely) Development Impact (YOSubstantial) Portfolio (O/O) EntirePortfolio 68 50 34 100 At least 1 72 53 37 26 At least 2 81 62 45 8 At least 3 84 63 47 5 At least4 90 64 49 1.5 Source: OED, 2003. Annex 2 presents the managementactionrecordto OED's recommendations. lo OED usedeight proxy indicators for social development:conflict, culture, gender, indigenouspeoples, NGOicivil society participation,resettlement and social funds. 4 8. Operational staff and managers inthe Bank confirm the findings o fthe OED portfolio review. Inan OED survey, 96% o f Country Directors and 83% o f task managers stated that attention to social development improved the outcomes o f Bank-financed operations. Specifically, task managers noted that attention to social development: 0 Improves project designthrough better understanding o f the social context; 0 Clarifies understanding o f project impact; 0 Contributes to sustainability; and 0 Improves relations with clients. Better Quality of Life 9. Inclusive, cohesive and accountable institutions promote better quality o f life, particularly for poor andvulnerable women and men. Conversely, institutions that do not offer equal access to employment and other economic opportunities keep many inpoverty, for employment is the single most crucial path to enhance welfare. For example, an extensive literature on discrimination inLatin America provides evidence that, even after controlling for differences in education, age and experience, Afro-descendants and indigenous people earn lower incomes than people o f other ethnic groups, suggesting that existing institutions systematically exclude them. Usingsocial capital as a proxy, evidence suggests that cohesion facilitates broader access to services and correlates with higher income.l1Finally, as discussed inthe World Development Report 2004 on service delivery, service providers are more effective when clients can consistently hold them accountable for their performance. 10. Beyondthe instrumental value highlighted here, social development has deep intrinsic value. It matters, inand o f itself: people are better o f f ifthey are empowered. Infact, manypoor people define poverty interms o fpowerlessness.l2Recognition o f social development's intrinsic value implies recognition that across nations, cultures, and social systems, there are ethical principles that are virtually universal-such as respect for human dignity, nondiscrimination, equity and solidarity. While conceptual andphilosophical debates about ethics and socialjustice are beyond this paper's scope, these debates will continue to shape the Bank's understandingof development and its role insupporting it. Commitment to Social Development 11. Given that social development contributes to better growth, better projects and better quality o f life, there is a global consensus that social development i s essential to reduce poverty. This commitment has been expressed ina variety o f international and regional fora (Box 2). These began with the World Summit on Social Development inCopenhagen in 1995, were reaffinned inthe Millennium Development Declaration in2000 and are highlighted by the World Commission on the Social Dimension o f Globalization in200413. Regional organizations, such as the South Asian Association for Regional Cooperation and the African Development Forum, likewise support social development inways appropriate for their contexts. '* For '* access to the very broad literature on social capital and development, see www.worldbank.ors!socialcauital. Narayan, Deepa, et.al., Voices ofthe Poor: Can Anyone Hear Us? (2000) New York, NY. l3 Using language o f inclusion and accountability, this report calls for "a focus on people", a "democratic and effective state", "sustainable development", "productive and equitable markets", "fair rules", "globalization with solidarity", and "greater accountability to people." 5 Box 2: Copenhagen to Islamabad A Decade of International Commitments - to Social Development The 1995 Copenhagen Summit on Social Developmentpledgedto "make the conquest of poverty, the goal of full employment andthe fostering of stable, safe andjust societies" their overriding objectives, makingthe following commitment^:'^ Commitment I:Enabling environment for social development Commitment 2: Poverty eradication Commitment 3: Full employment Commitment 4: Social integration Commitment 5: Gender equity Commitment 6: Basic services andpromotion of culture Commitment 7: Accelerated development of Africa and the least developed countries Commitment 8: Including social dimensions in structural adjustment Commitment 9: Increasing resources for social development Commitment IO: Strengthening cooperationfor social development In2000, the MillenniumDevelopmentDeclarationunderlinesthe importance ofsocial development, basingthe MDGs on "certainfundamental values essential to international relations in the twenty-first century." These include: Freedom.Men and women have the right to live their lives and raise their children in dignity,free from hunger andfrom thefear of violence, oppression or injustice. Democratic andparticipatory governance based on the will of thepeople best assures these rights. Equality No individual and no nation must be denied the opportunity to benefitfrom development. The equal rights and opportunities of women and men must be assured. Solidarity Global challenges must be managed in a way that distributes the costs and burdensfairly in accordance with basicprinciples of equity and socialjustice... Tolerance Human beings must respect one another, in all their diversity of belieJ culture and language. Regional organizations show similar commitment to social development. For example, at the 12" South Asian Association for Regional Cooperation (SAARC) Summit, inIslamabad inJanuary 2004, the seven heads o f state of South Asia signed the SAARC Social Charter. The Charter commits the member countries to "maintain a socialpolicy and strategy in order to ensure an overall and balanced social development of theirpeoples." The Charter stresses the importance o f poverty alleviation through inclusion and equality o f opportunity for all; supports transparency and accountability o f institutions; highlights the importance o f cultural diversity; and places special emphasis on empowerment o f women and youth mobilizationto achieve the Charter's goal. Similarly, inthe 2004 Consensus Document o fthe African Development Forum, which brings together the UN Economic Commission for Africa, heads o f state from the Afiican Union, and the African Development Bank, members stated that "the lack ofparticipation at all levels constitutes a key weakness ingovemance and serves to marginalize key stakeholders.. ." 12. The World Bank aligns itselfwith this global consensus that social development matters to reach the MDGs. A number o f Bank documents, strategies and policies reflect different aspects of the Bank's commitments. The Comprehensive Development Framework discusses why development practitioners must adopt a country-driven participatory framework to address l4 For the five year anniversaryof the summit, the WorldBank summarizedits alignment withthe commitmentsinNewpaths to Social Development, WorldBank, Geneva 2000. A recent draft document summarizesthe accomplishments madebythe Bank in meetingthe commitments:www.worldbank.org/socialdevelopment. 6 the social, economic, human and environmental aspects o f development. The Strategic Framework Paper o f 2001 focuses the Bank's development support along the two pillars o f empowerment and investment climate. Similarly, a number o f Bank operational p ~ l i c i e sreflect ' ~ the importance o f social dimensions o f development (Box 3) as do specific sectoral andthematic strategies, particularly strategies for environment, agriculture, gender and social protection. Box3: SocialDevelopmentinWorld Bank OperationalPolicies and Procedures The first policy guidance providedto staff on social development was inthe 1984Operational Manual Statement (OMS)162.20 section on "Sociological Aspects of Project Appraisal." This defined sociological aspects to include "the social factors bearing on feasibility, implementation and operation of projects; and the pursuito f objectives such as poverty alleviation." The Bank's overarching directive on poverty linkssocial development withpoverty reduction, stating that: "Poverty encompasses lack o f opportunities (including capabilities), lack o f voice and Irepresentation, and vulnerability to shocks." l7 The Bank has also codified special measures to protect and enhancethe well beingo f indigenous peoples,'8 and involuntarily resettled people." The Bank has a policy for mainstreaminggender in development as The 2001policy on "Development Cooperationand Conflict" begins with: "The Bankrecognizes that economic and social stability and human security are preconditions for sustainable development." 21 Most recently, the Bank's policy on Development Policy Lending22states that ". ..the Bank advises borrowing countries to consult with and engage the participation o f key stakeholders inthe country inthe process o f formulating the country's development strategies." World Bank Progress on Social Development 13. The World Bank's recognition that social development i s critical for poverty reduction has led to an evolutionary process o f change inhow it approaches development. When the Bank began its work on social development, it focused on safeguards, puttinginplace mechanisms that ensure the Bank's portfolio would do no harm. As it has sought to identify and implement a broader vision for social development, its agenda and approach has evolved, so that now many parts o f the World Bank promote transformation o f institutions, includingthe gender, poverty, empowerment and governance groups. Inaddition, for almost a decade, the World Bank has had staff dedicated to mainstreaming social development. 14. These efforts have ledto increasing project coverage: roughly halfo f projects completed inthe last tenyears address at least one ofOED's socialdevelopment themes, up from less than l5 A background paper is available summarizing the key social development aspects of World Bank documents, strategies and policies. l6 OMS, unlike the updated Operational Policies (OP), contain a mix of policy, strategy and good practice. This OMS remains inforce. OP 1.0,2004. Operational Directive 4.20, 1991. l9 OP 4.12,2001. 2o OP 4.20,2003. OP 2.30, 2001. 22 OP 8.60, 2004. 7 a third inthe last thirty years.23 According to the Bank's Quality Assurance Group (QAG), quality at entry reviews o fprojects showed an improvement in satisfactory ratings for social analysis and participation from 78% in 1999 to 92% in2002. Supervision o f social development issues inprojects i s also improving, with satisfactory ratings increasing from 80% in 1999 to 90% in2002. With the increase inattention to infrastructure, agriculture and human development sectors inrecent years, the value o f community-driven development (CDD) projects has increased from $247 millioninFY90 to over $1billion inrecent years. A similar effect can be seen on the thematic portfolio24for social development, increasing from 2.4% in 1990 to 8.1% in2004 as the quality and quantity o f sectoral portfolios inhigh-priority areas increase.25 15. Integration o f social development i s less prevalent incountry assistance strategies and policy-based lending. Compared to investmentoperations, a smaller share o f these operations benefit from attention to social development. Also, the Bank's QAGhas found that the quality o f attention i s not as good as for investment projects. Considering that the Bank's approach to social development thus far has focused on investment projects, these results at the macro level are not surprising. Social development staff pioneered stakeholder participation inproject design processes. Social analysis and social assessments helped to understandprojects' social dimensions, with a special focus on mitigating potential negative impacts on both women and men.26 Ina small investment portfolio, activities were focused on directly supporting community-implemented projects that often progressed separately from government systems. 16. The Bank's project-by-project approach to social development hampers fkrther progress towards greater development impact o f Bank interventions and greater responsiveness to priority country demands inareas such as infrastructure, agriculture, and HIV-AIDS. Despite the demonstratedbenefits to adopting them, there are several reasons why social development approaches are not being adoptedmore widely. First, the Bank has focused mainly at the project level, as mentioned above. Second, it is often seen as costly to implement social development approaches. Third, social development staff were seen as ``policing"27 andprimarilyseeking to "do no harm" rather than enhancing quality. Fourth, the knowledge base was weak, and there has not been enough effort to strengthen country capacities for carrying out social development activities. Specifically, we need to understandbetter the process bywhich social development inputs (participation, analysis and content) translate into improveddevelopment outcomes. 23 Source: OED Review o f Social Development inBank Activities, 2003. 24 Defined as the share o f total lending volume that has been tagged as contributing to social development and gender theme (Annex 4). 25 The World Banktracks three aspects o f its portfolio: sectors, themes and responsible sector boards. Attention to sectoral issues such as infrastructure, energy, education or agriculture i s tracked by the sector codes. The thematic codes track attention to themes, including social development. For example, adding an infrastructure project that promotes better sustainability through better participationby user's groups would increase both the sectoral portfolio for infrastructure and the thematic portfolio for social development. 26 For a discussion o f the history o f World Bank social development activities, see Gloria Davis, "Who We Are and What We Do", October 2003. " OED,2003. 8 Strategic Priorities 17. The overall strategic direction is to deepen the Bank's support to countries intheir efforts to transform social institutions so that they can enhance growth, project effectiveness and quality o f life. To address the challenges described above, the Bank needs to: (1) integrate social development processes, analysis and content upstream instrategies and policy support within existing Bank products; (2) through this upstream support, lower the long-term costs o f addressing social development ineach lending operation; (3) accentuate the role o f social analysis and participation to identify social opportunities, constraints and risk at a broad country or sector level, changing "policing" perceptions o f social development; and (4) strengthen the basis for operational work by enhancing knowledge, capacity buildingand partnerships. 18. Accordingly, the World Bank's Strategic Priorities for Social Development are: 0 Strategic Priority 1- More Macro: Improvemacro-level processes, analysis and content bybetter supporting countries to incorporate social development into their poverty reduction or development strategies. Enhance policy dialogue, Bank country assistance strategies and Bank-financed policy lending bybuildingon these country-led strategies. 0 Strategic Priority 2 -Better Projects: Improve development effectiveness o f investment lending through more comprehensive and efficient mainstreaming o f social development into project-level processes and analyses as well as strengthening the social development thematic portfolio. 0 Strategic Priority 3 -Better Grounding: Improve research, capacity buildingand partnerships to solidify the grounding for better operations. 19. Strategic Priorities 1and 2 seek to incorporate the social development principles o f inclusion, cohesion and accountability throughout World Bank operations. To improve results and enhance sustainability, the process o f developing and implementing strategies and operations must include stakeholders. Further, it i s imperative to understandthe social context in which programs or strategies operate through analysis of social opportunities, constraints and risks. Finally, the Bankwill support social development objectives inthe content o f its strategies and operations. outputs 20. Table 2 summarizes how the outputs of World Bank operations will be different as a result o f implementing these strategic priorities. Under Strategic Priority 1, the Bank will offer better advice and support to countries indeveloping their country poverty reduction strategies (PRSs). The Bank will rely on social development operationalprinciples to improve the process, analysis and content o f its own country assistance strategies and the resulting support through Development Policy Lending (DPLs) and policy dialogue. This will all build on analyses and processes for the country-led strategies. The Bank will encourage participation during implementation and monitoring, broadeningthe current focus on preparation. 9 21. Over the next three years, regions plan to enhance participation in82 CASs and advise governments on participation inPRSs, so that participation will be o f satisfactory quality (according to QAG) in 80% o f DPLL~*While seeking to promote inclusive processes, the Bank recognizes that participation has costs, both for participants and for the agency facilitating this process. Insome cases - such as informulating monetary policy -participation may not even be desirable. Table 2: Social DevelopmentOutF ts ~~ Process Analysis Content Enhance participationin Improve understandingof Include social development content in country strategies and policy country social context, policiesand strategiesto improvethe dialogueby: opportunities,constraints and enabling environment for inclusion, 0 Promoting participationo f riskby: cohesion and accountability, e.g., SP1 More groups otherwise excluded Sustaining interdisciplinary More CAS programs have components Macro because o f age, ethnicity or PSIAs; that directly promote SD principles; gender; 0 Expanding country-level social The policy reforms supported by more Expanding participatory analyses, integrating various DPLs directly promote SD principles. efforts beyond preparation to existing analyses. implementation, monitoring and evaluation. ImDrove imDact and lower Improve impactand lower cost Enhanceportfoliothat focuses cos'tof partkipation by: of social analysis and safeguards specificallyon socialdevelopment Integratingproject by: objectives,e.g., implementationwith Reducing project-by-project o f LinkCDD-decentralization; participatorylocal planning social analysis and safeguards Improve post-conflict reintegration SP2 Better processes; activities by relying more on through CDD; Projects Enhance participation country and sectoral analyses. Expand inclusion projects, e.g. downstream especially in targeting ethnic minorities, disabled monitoring and evaluation. people, indigenous peoples or youth; 0 Expand accountability projects, e.g. capacity building, local participatory planning and community monitoring. SP3 Better Grounding 1 Deepen understanding o f how socio-cultural contexts influence policy and project design; Operational 0 Explain how inclusion,cohesionand accountability interactwith growth and human development; Research 0 Improvedresearch on youth, gender, and social exclusion; 0 Evaluatehow Bank operations affect formal and informal institutionsso as to empower the poor and vulnerable. Strengthen in-country and regional networks of SD practitioners; Capacity- 0 Buildlocalcapacity for civic engagement, voice and accountability, particularly for disadvantaged and building vulnerable groups; Increase emphasis on capacity building as output o f SD project lending; 0 Strengthen understanding o f role o f context and process in capacity building. Strengthen partnershipswith keyregional institutions and development partners, media, NGOs, academia, & Partnerships private sector to promote operational coherence and knowledge sharing. 22. Two types o f actions will improve macro-level social analysis: Country-level social analyses that investigate broad social development themes and institutions, andpoverty and social impact analyses (PSIAs) that consider specific impacts o f proposed policy reforms. Both ofthese types o f analysis will be integrated into existing analytic work, such as poverty assessments or country economic memoranda. Concretely, working with local experts, the Bank will sustain and enhance PSIAsbycarrying out about 60 analyses inthe next three years. In response to requests from client governments and according to the timing o f country strategies, 28 These indicators are summarized inthe results framework inAnnex 3 10 the Bank also plans to carry out between 20 and 40 country-level analyses that buildon local research to consider issues o f conflict, civil society, gender, caste and indigenous peoples, as appropriate for the country context. 23. Concerning the content o f macro-level operations, the Bank will expand the presence o f social development inCAS programs29as better upstreamwork on participation and social analysis identify more lending opportunities. The upstream work i s also likely to identify policy reforms to be included inDPLs. Examples may include operations to improve the enabling environment for gender-sensitive social accountability, community-driven development, and conflict prevention. The goal i s for a 6% o f DPLs to have social development among its top three themes. 24. While the Bank increases its attention to macro-level social development work, under Strategic Priority 2 it will simultaneously improve the quality and coverage o f social development inits project portfolio. Greater policy attention to social development will allow more comprehensive, efficient attention to inclusion, cohesion and accountability inprojects. For example, upstream policies that make localplanning processes more inclusive and accountable will enhance participation and accountability for all investment operations. Efficiency gains fiom upstream work can be used to expand andimprove stakeholder participation inproject monitoring and evaluation. It is expected that 15 new projects will have participatory monitoring components. The quality o fparticipation as assessedby QAGwill remain at 90% satisfactory duringpreparation and 75% satisfactory during supervision. Likewise, once country or sector analyses are carried out, social analysis for projects will be better targeted, complementing knowledge already available by focusing on a few selected project specific aspects (e.g.,opportunities to transform crucial social institutions inthe specific project area). This will allow the Bank to maintain the current QAGratings for quality at entry and supervision at lower cost. 25. An increasing share o fthe Bank's portfolio will have social development themes among its top three objectives. It i s expected that the trend over the last five years will continue and the share will increase to 9% o f the total portfolio infiscal year 2007. This does not necessarily implymoreprojects, but rather anincreasing share o flarger projects that address social development themes. Especially inmiddle income countries, there is little scope for doing more, small projects, which hadbeen the main venue for social development themes inthe past. 26. As outlined inTable 2, Strategic Priority 3 supports better groundingo fthe Bank's Social Development work through improved operational research, capacity building, and partnerships. To strengthen its social development research,the Bank needs to build on existing understanding o f how socio-cultural context influences policy andproject design. With their first hand understanding o f context, local experts have often produced research on local institutions that can inform Bank operations. Active engagement with these local experts, can serve both to advance knowledge while buildingtheir capacity. When looking for operational lessons, the Bank will also seek insights from development partners who may have already explored questions o f interest. Given its global perspective, the World Bank has unique opportunities to support research into general social development issues, synthesizing findings 29 OED found that CASsmention social development issuesmore often in the text ofthe paper, compared to how often they are addressed inthe CASs' operational program. 11 from across contexts. For example, to strengthen its operational approach to social development, itwill explore the circumstanceswhere participation is most appropriate; explain how inclusion, cohesion and accountability interact with growth and human development; and evaluate how projects impact social institutions. Finally, as part o f its contribution to the global discussion ten years after the Copenhagen Summit on Social Development, the World Bank will produce a paper considering conceptual aspects o f social policy for developing countries ina globalizing world. 27. Implementing these social development strategic priorities depends on identifying and buildingmore effective local capacity. Onthe one hand, the Bank will support existing country processes and established institutions intheir efforts to promote inclusive, cohesive and accountable societies, allowing mutual learning by doing. Onthe other hand, the World Bank will continue to buildcapacitybyprovidingtraining and supporting regional networks o f national social development specialists. 28. Finally, better grounding for the World Bank's social development strategic priorities requires better partnerships. Giventhe global commitment to social development, many multilateral and bilateral development organizations have been working to empower people by transforming institutions. Boththrough country-focused partnerships andmore global efforts, the WorldBankwill identifyhow its approachto social development complements and adds to that o f its development partners. It will build on successful knowledge partnerships already existing, such as the multi-donor collaboration on PSIA, and contribute to networks o f donors already working on social development. (See Annex 5 for more details on existing World Bank social development partnerships.) As an essential step to enhance its social development partnerships, the Bank will more clearly and comprehensively communicate its approach to social development and its state o f implementation to other multilateral andbilateral donors. Through these partnerships, the Bank will seek to harmonize donor efforts and lower costs for recipient countries. RegionalExamples 29. The summary o f outputs inTable 2 is based on Regional Action Plans.30 Presented in Annex 1, these plans illustrate how the Bankwill implementits social development strategic priorities ineach regional context. Drawing from those plans, the following gives examples o f the specific innovations that these strategic priorities will support. Strategic Priority 1 - More Macro: 0 All Regions will sustainthe delivery o finterdisciplinary PSIAs, often as part o f other analytical work. 0 InLatinAmerica andthe Caribbean, the Bank will analyze youth anddevelopment, social violence, gender and the impact o f migration and remittances. 0 Europe and Central Asia and East Asia plan to promote country systems analyses for ' safeguards on a pilot basis. 0 InAfrica, country social analyses or conflict analyses will informpolicydialogue in Uganda, Sudan, Liberia, Angola and Kenya. 0 InAhca, PRSCswill include measures to support government efforts to engage civil 30 As well as the other unitsrepresented on the Social Development Sector Board - DEC, ESSDand WBI. 12 society inpolicy making, participatory planning, or expenditure management and monitoring. Strategic Priority 2 - Better Projects: 0 InEastAsia andthe Pacific, the Bankwill enhance its existingportfoliothat promotes C D D and decentralizationinIndonesia and the Philippines. 0 InAfnca, the Regionwill expandandenhance its CDD portfolio, especially inconflict- affected countries. 0 Inthe MiddleEast andNorthAfnca, the Regionwill generate youth andinclusion projects. 0 InLatinAmerica andthe Caribbean, the Regionwill enhance its portfolioofindigenous peoples projects. 0 InEurope and CentralAsia, the Regionwill bolster youth andpost-conflict work. 0 InSouthAsia, the Regionwill improve efficiency by assessing the effectiveness ofrisk management for safeguards inthree sector portfolios. Strategic Priority 3 - Better Grounding: 0 ESSD will support DEC inenhancing social aspects o f the 2006 WDR on equity. 0 InEastAsia andAfrica, operationalresearch onimpact evaluation ofcommunity-driven development will be carried out. 0 Inthe Middle East andNorthAfrica, the existing network o fsocial development experts will be strengthened to allow for their better integration into Bank-supportedwork. 0 Partnershipswith bilateral donors (e.g.,Finland, Germany, Japan, Norway and the UK) will be further strengthened. 13 Part II: Implementation Plan A New Business Model 30. This implementationplanproposes a new business model for social development based on a more upstreamand integrated approach.31 This modelmoves away from current practices that support social development processes, analysis or content on a project-by-project basis. In the longer run, the vision i s for social development issues to be well integrated incountry-led analyses (e.g.,poverty assessments) andparticipatory processes that inform country poverty reduction or development strategies. Bank support for such analyses andparticipation will combine topics currently being done inseparate efforts. Based on national strategies, the Bank will integrate the most relevant social development processes and analyses into its country assistance strategies and country programs. This country-focused, upstream approach will help integrate better the many parts o fthe World Bank working to transform institutions and empower people. 31. With anintegratedupstream approachto social development articulated incountry strategies, participation and social analysis for investment lending and DPLs can be more focused on the specific area the loan covers. This focus can help reduce processing time o f economic and sector work.32 Inaddition, the upstream analysis and participatory processes informing the PRS and CASs can inform the content o fpolicy reforms (supported by DPLs where relevant) and investment lending. Skilled local social development experts based in- country will do analysis and promote participation. Better partnerships will assure that social development work supported by different donors support similar processes (e.g., around PRSs). Rather than focusing on compliance once a program has been articulated, due diligence would consist o f ongoing monitoring o f the situation incritical areas (e.g., where there i s potential for violent conflict) by tracking key indicators andtargeted analyses by local experts. Safeguards will increasingly form a part o fthe country dialogue. This agenda will focus on building government capacity to move towards a more sustainable partnership for safeguards without abrogating the Bank's ultimate accountability for following its own policies. A strategic research program set out by the Sector Boardwould makeknowledge o f what works, when and how more available to countries and Bank operational staff. 3' While this document does notcover the IFC, the IFC's sustainabilityframework similarly focuses onupstreamwork to facilitate greaterpositivesocial development impacts. 32 The Sector StrategyImplementationUpdatehighlightsan increaseinprocessingtime for ESW acrosssectorsandthemes, includingfor social development. 14 32. The change to a more systematic, upstream business modelwill not happeninstantly. For the transition, it will be critical to phase inthe new approach. The Bank will take a practical approach to selecting its initial focus countries. It will roll-out its new approach synchronized with country assistance strategy andPRSP development. Priority will be given to countries based on the importance o f country social development issues, country capacity, and interest from governments. Social Development Activities 33. To implement this model, the World Bank needs to change how it works on social development. There are several parts o f the organization that work to promote social development, strengthening institutions that empower people. One o f those groups i s called the Social Development Network. For that network, currently, social development activities are organized around mainstreaming and portfolio a c t i v i t i e ~ .The mainstreaming activities ~ ~ include: 0 Participation and civic engagement; Social analysis; 0 Social safeguards (indigenous peoples and involuntary resettlement); and 0 Capacity building. The portfolio activities include: 0 Community driven de~elopment;'~ 0 Conflict prevention and reconstruction; and 0 Inclusion and accountability projects and components. 34. Table 3 summarizes changes inthe Social Development Network's business lines to implement the strategic priorities. For the mainstreamingbusiness lines the Bank will improve efficiency and impact by focusing more on the macro level, integrating social development staff better with task teams,35and explicitly focusing on buildingup country systems through strategic capacity building. The portfolio business lines focus on work to scale up impact through better linkages with the macro agenda and alignment with national poverty strategies (e.g., PRSs) and Bank CASs. Resources FinancialResources 35. For borrowers, implementing the new business model will reduce costs and improve results. Movingto a more systematic, upstreambusiness modelwill achieve economies o f scale. First,by integrating social development issues into existing analyses, there will be fewer free- 33 Many other activities are linked to meeting the social development principles o f inclusion, cohesion and accountability such as the PREM network's work on measuring empowerment and vulnerability, public sector management and legal andjudicial reform. All these areas have existing action plans and strategies so this paper focuses on these seven. 34 Most CDD interventions are carried out in the context o f human and infrastructure development sectors and thus often do not include SD themes among the top three. 35 Responding to OED concerns about better making information available to country teams (Annex 2). 15 standing analytical pieces that will require Government inputs. For example, combining analyses on specific vulnerable groups and understanding o f the social context into apoverty assessment or other already planned analytical work will save cost and help integrate social development into the overall country strategy. Second, bybuildingon insights from upstream country-level or sectoral analyses (including regional and country gender analyses) borrowers can do fewer, targeted poverty and social impact analyses andproject-level social assessments. Since many opportunites and constraints would have been addressed upstream, these analyses Do more Do less Participation Macro-level work, including promoting an enabling Setting up o f separate participatory and civic environment for participation; processes for each project; engagement 0 Work on monitoring and evaluation both at the Event-driven participation. macro and project levels. Socialanalysis Policy, sector or country social analysis; Project by project social assessments as Targeting o f project-level operational issues. relevant country or sector level analyses are carried out. Socialsafeguards 0 Systematic approach to building Bank and client Ex-ante assessment for each project; capacity; 0 Asking each project to address policy level 0 Country-levelwork to understand generic safeguard safeguard issues; issues for inclusion inpolicy dialogue; 0 "Watch dog" role to review projects and 0 Team-based, solution-oriented approach. identify problems. Capacity Country Capacity Assessment; 0 Project by project capacity buildingnot building Strategic capacity buildingprograms; linked to strategic assessment o f needs and Integrationo f social and gender issues into training. priorities. Portfolio of social I welopment interventions Community- 0 Buildingo flinkageswith macro-policies o f 0 By-passing o f government structures driven decentralization; 0 Non-CAS programmed intervention^.^^ development Integratinglocal govemments. Conflict 0 Conflict prevention work; Interventions isolated from strategies and prevention and Country systems analysis; other programs, as occurred prior to the reconstruction 0 Policy dialog ; introduction o f transitional support stragies Reconstruction efforts that help rebuild communities (OP2.30). and institutions. Accountability 0 Comprehensive programs o f projects designed as Not applicable, not much done inthe past. and inclusion part o f country assistance dialogue focusing on: programs and Ensuring enabling environment for projects accountability and inclusion through policy and institutional reform; 0 Specific investment projects or components to finance implementation o f inclusion or accountability programs. and assessments would no longer have to address sector or country-wide issues. Third, as Strategic Priority 3 i s implemented and networks o f regional social scientists are strengthened, local experts can undertake much o f the work now done by intemational consultants, a change that will lower costs and further enhance capacity. Fourth, promotinginclusionthrough local and national processes o f participation also generates savings, as each project that seeks to involve stakeholders will no longer need to develop those processes from scratch. Fifth, because complyingwith safeguards i s most costly when problems are found late inan operation's development, the upstream approach outlined here will simultaneously reduce project-specific 36 OED's review o f social funds noted that this hadbeen a problemfor that subset o f CDD projects. 16 processing and costs and enhance protection for indigenous peoples and involuntarily resettled persons. Finally, the shift to upstreamwork will lead to better policy choices and program designs. 36. The World Bankcan implementthese strategic priorities withinits existing budget envelope. Inthe medium term, individuals will realize net savings. For instance, as social analysis i s done upstream and integratedinto the country assistance strategy processes, project level social analysis will be much better targeted and less expensive. Estimates show that after five years, the net annual savings on social analysis will be inthe order o f one million dollars in administrative budgets. These savings result from the reduced cost o f project-level preparation work minus the additional cost o f country-level work. As country level analysis is carried out as part o fthe updating o f country strategies, the up-front investment incountry-level analyses is estimated at two million dollars37per year for the first two years. Over the next twelve years, this is equivalent to a 19% internal rate o freturnonthe upfront investment incountry-level analysis. This rate o freturn i s a conservative estimate since (1) it only estimates the savings related to social analysis, there would be additional savings from safeguards and participation; (2) it does not consider savings interms o f staff costs nor the savings generated from better targeted PSIAs; and (3) it does not account for savings that result from involving local experts more regularly. Given the evidence from OED that better project-level social development inputs improve project effectiveness, it i s likely that the savings will be allocated to better support implementation and evaluation, including capacity-building. 37. The additional cost for better research and capacitybuildingare good candidates for cost sharing with partners. For instance, the Governments o fNorway andthe UK are financing backgroundresearch to strengthenthe social development content o f the 2006 WDR on equity; the trust fund for sustainable development from Finland and Norwaywill continue to finance operational research and capacity buildingon social development, with a special focus on Afnca; and the Bank Netherlands Partnership Program i s financing critical capacity buildingactivities. Part o f the additional cost o fbetter capacity buildingand research will be off-set bybetter strategic alignment o f WBI's, DEC's and ESSD's programs. 38. The ESSD anchor expects overall lowered funding as the cuts for the network anchors are projected to continue. Today the anchor raises about five times its annual budget intrust funds for regional work, it is unlikelythat this ratio will shift, meaning that there will be fewer trust funds available as the Bank shrinks anchor budgets. Within the budget, there will be a shift to more cross-support to regions and more spending on portfolio activities as compared with the mainstreaming activities. This also reflects a shift away from tool development to regional implementation o f existing tools. HumanResources 39. While the World Bank will identify andwork more effectively with local experts, as demand increases for macro-level work and changes for project-level work (e.g., from project review to project management), this implementation planwill require significant shifts inskills- mix for the World Bank's international and local staff Incollaboration with HumanResources, the Sector Boardwill expand its effort to facilitate retraining, exits and recruitment to enable this shift. As was done for education a decade ago, the Bank is lookingto partner with an academic 37 Two milliondollars is equivalent to about 0.33% o f Regionalbudget for analytical work in fiscal year 2004. 17 institution to deliver a core training module inmacro-level social development. Several other donor agencies have shown an interest inparticipating and sharing costs. Similarly, the Social Development Sector Boardwill work with OPCS to integrate social development aspects into basic and advanced operational training courses to support the mainstreaming o f social development approaches. WBI i s reducing its social development staff resultingincapacity buildingactivities beingshifted to ESSD and the Regions. Operational Policy and Strategy Framework 40. The World Bank's operationalpolicy framework is adequate for implementingthe strategic priorities, requiring no new layer o f bureaucracy. The recently approved policy on DPLs (OP 8.60) refers to the importance o f understandingpoverty and social impacts as well as supporting borrowers' participatory processes. This policy will allow a country-focused, flexible implementation o f the lending components o f Strategic Priority 1, while enhancing the Bank's due diligence at lower cost. As part o f its effort to simplify processing, the Bank i s looking to update its policies on investment lending. This update i s likely to include reference to social analysis, updating the existing OMS 2.20 on "Sociological Aspects o f Project Appraisal." 41. Concerning social safeguards, the Bank will learn as much as possible from implementing the country system pilots and applying the interim operationalpolicy that will guide these pilots. With an emphasis on country-level work and capacity building, the social development strategic priorities supports a more systematic, more results-oriented approach to safeguards. The procedural changes introduced in2003 that delegate safeguard clearances to relevant sector units for lower risk projects will help mainstream social development and change the role o f SD staff away from "policing" towards providing constructive solutions as team members. 42. The upstreambusiness modelproposed here complements other sectoral and thematic strategies, especially the agriculture andrural development, gender mainstreaming and social protection strategies, as well as the infrastructure action plan. All promote greater reliance on upstream, integrated analytical work. The new business model proposedhere will help social development staff better do their part to help implement the strategies and action plan. Facilitating Cross-Sectoral Work 43. The Bank's responsibility for following through on the implementation o f the ten commitments from the World Summit on Social Development (Box 2) currently involves six sector boards and three networks as well as the IFC. A s discussed above, many parts o f the Bank outside o f the Social Development Network address the social development agenda o f empowering poor and vulnerable women andmenby transforming institutions. Given the need for a multi-sectoral, comprehensive approach to social development objectives, the appropriate role for the Social Development Network i s to build substantive knowledge bridges across sectors, ensuring that emergingknowledge from across the Bank i s made available for broad operational use. 44. While the collaboration across sector groups functions well in several areas such as PSIA, CDD, empowerment, gender (e.g.,intwo regions, gender and social development are within the same unit) and QAGwork, sometimes this is not supported byproper incentives. There are likely to be significant gains inthe longer runby enhancing incentives for cross-sectoral 18 collaboration to better integrate the social development work o f the different Bank units that share an agenda to transform instititions and empower people. These incentive changes are more important than changing the organizational structure, though there are opportunities to enhance collaboration with better internal communication andjoint learning events. With its platform approach, the Indonesia CAS attempts to improve organizational incentives. The CAS i s structured around different platforms such as community, local government, regional government and central government levels instead o f a more traditional sectoral approach. This approach will allow the country team to better integrate thematic activities across sectors to address the MDGs. Monitoring Results 45. To implement these strategic priorities effectively and maintain a focus on results, the Bank will rely upon a carefully developed framework to track its progress towards meeting its social development objectives. Consistent with the Bank-wide results monitoring approach (Annex 3), it will track the impact o f implementing the strategic priorities at four levels: (1) global/MDG links; (2) intermediate outcomes; (3) country processes; and (4) Bank processes. To monitor outcomes, the Social Development Boardhas assembled a set o f indicators inthe social development indicators database38that monitor progress on inclusion, cohesion and accountability across more that 120 countries. Taking a pragmatic approach to results, the indicators are all based on existing indicators from the Bank and external sources, so that the Bank can monitor progress without significantly increasing its efforts to collect information. The indicators are beingusedto inform country-level social analyses as well as the overall preparation o f CASs. They are relevant for and are consistent with a number of global monitoring efforts. For example, Annex 3 includes indicators that are also used for monitoring progress towards the MDGs, while others are included inthe World Bank's World Development Indicators. 46. For Strategic Priority 1and 2, intermediate outcome indicators measure how well country policies and expenditure programs promote inclusion, cohesion and accountability. The indicators are based on the Bank's Country Policy and Institutional Assessment as well as existing Bank analytical work such as expenditure reviews. For Strategic Priority 3, progress towards the intermediate outcomes o fbetter research, capacity buildingandpartnerships are measuredby reviewing the World Bank Institute's Country Capacity Assessments. The Bank process indicators are based on the volume and quality of the social development thematic portfolio and on measures for how well the mainstreaming into Bank-financed projects is progressing (based on existing Quality Assurance Group and OED reviews). Inaddition to the indicators inthe framework, the Social Development Sector Board will also monitor inputs, includinghuman and financial resources. All the relevant indicators are already available or built into ongoing work-programs. Social development's emphasis on strengthening accountability o f institutions is particularly important and relevant to the Bank's broader results agenda. 38 http:ilesd.worldbank.oszisdstatsl 19 Managing Risks 47. Risks surrounding implementing the strategic priorities fall intwo categories- implementation risks andreputationrisks. The risks to implementation are: (1) that reallocation o f resources will happen too slowly; (2) that the resources allocated will not lead to the desired Bankprocess changes; and (3) that the Bankprocess changes will occur butwill not leadto desiredprocesses/SD outcomes incountries. Reputationrisks refer to the danger that, once accepted, the SD Implementation Planwill not live up to its promise, thus reinforcing a perceived gap between Bank rhetoric and operational reality. This section briefly discusses both sets o f risks and highlights efforts to mitigate them. ImplementationRisks Resource allocations: Basedonthe experience with implementing other sustainable development strategies, there i s a moderate risk that regional resource reallocations will move less rapidly than expected. This risk i s mitigated by corporate Bank buy-in to the strategies includingby Regional management teams and bybuildingthe corporate implementation plan by adding up regional plans. The fact that a range o f other stakeholders, including civil society, borrowing governments and donors to IDA, have highlightedthe importance of social development combined with the increase inoperational effectiveness and sustainability that results from social development inputs, also improve the chances for adequate resource allocation. Inputsto processchanges: There is a moderate to significant riskthat resources reallocated will not leadto desiredprocess changes inthe Bank and, specifically, that existing staffwill not be able to support the upstream macro-level work proposed under Strategic Priority 1. To mitigate this risk, the implementation planproposes strengthening regional networks of in-country social development practitioners to carry out significant parts o f the agenda, as well as enhancing the retraining, exit andrecruitment o fBank social development staff. Processesto outcomes: There is a riskthat the Bank process changes will not lead to improvedoutcomes ifgovernments are reluctant to embrace the importance o f social development. This risk is moderate, as participation and social analysis are already incorporated as key elements o f many Bank-supported country assistance programs. Actions proposedto mitigate this risk include improving researchthat links social development work with improveddevelopment outcomes; supporting a free-standing social development portfolio o f projects and studies that would enhance capacity for social development within governments; working with member governments to build a broader constituency for reform; tailoring social development approaches to each country context; and finally, lowering the transaction costs for borrowers by greater reliance on upstream work. ReputationRisks There is a low reputation risk o f approving an SD implementation plan, ifonce approved, the document will not fulfill its stated promise, fueling outside groups' argument o f a growing rhetoric-reality gap inthe Bank. This is a low risk given the very operational nature o f the paper and its acknowledgement o fpast successes and shortcomings. 20 0 There i s also a reputation risk that implementing the strategic priorities will beperceived as moving the Bank too far towards interfering indomestic politics o f member countries. This is mitigated by focusing the upstream work on supporting existing country participatory processes and focusing upstream analysis on better understanding a country's reality, not on normative aspects. Inaddition, the Regions and ESSDwill collaborate with legal staff at an early stage to consider these issues and seek their advice as new areas and activities open up. 48. Given the substantialBank public commitments to social development as integral to poverty reduction, the reputation risks to the Bank are lower ifthe institution puts forth and implements these operational strategic priorities than ifit chooses to lessen its attention to social development by dismissingthe need for a coherent implementation plan and neglecting to reform its business practices. Conclusion 49. The Bank finds itself at an important crossroads. It can better operationalize its vision by buildingon past successes anddrawing on emerging opportunities or it can choose to limit its engagement insocial development. There are risks ingoing forward, but the risks to poor and marginalized women and men would be greater ifthe Bank chose inaction, or a less strategic use o f its resources. By implementing these strategic priorities, the Bank will be a more effective partner indelivering the MDGs and pursuing a "world free o f poverty." 21 Annex 1 Annex 1: Summaries of Regional, WBI and ESSDAction Plans (FY05 FY07) - Sub-Saharan Africa Region (AFR) Strategic Priority 1: More Macro Increase Attention to Social - Development in the Bank's policy dialogue and policy-based lending PolicyDialogue: 0 CASs and PRSPs include effective multi-stakeholder policy dialogue duringpreparation, including conflict affected countries; 0 Countries include multi-stakeholder processesto monitor PRSP implementation (Ethiopia, Chad, Benin,Kenya, Cameroon); 0 Country social analyses or conflict analyses are carried out inorder to inform policy dialogue (Uganda, Sudan, Liberia, Angola, Kenya); 0 "New Voices for Youth" consultation groups are establishedstrengthened to advise the Bank on youth friendly policies and programs (Ethiopia, Benin, Chad, Kenya, Mozambique, Rwanda); 0 Civil society assessments (Angola, Ethiopia, Malawi, Zambia) and civil society enabling environment studies (Ethiopia, Cameroon, Mozambique) are carried out to inform policy dialogue. Policy-basedlending: 0 Afhca RegionPRSCs include social development content (e.g. address issues such as civil society capacity building, youth, gender, indigenous or excluded groups, conflict); 0 PRSCs includemeasures to engage civil society inpolicy making, participatoryplanning, or expenditure management and monitoring (Ghana, Uganda, Mozambique, Ethiopia, Benin); 0 PSIASare carried out, e.g. to inform PRSCs (Tanzania, Ghana) or sectoral policies (DRC, Madagascar, Mauritania, Botswana); 0 PRSCs include CDD enabling environment conditions (Benin, Mozambique, Sierra Leone). Strategic Priority 2: Better Projects Increase Attention to Social - Development in the Bank's investment lending Own managedoperations: Investmentloans and grants (e.g. JSDF) managed byAFR Social DevelopmentTeam in the following themes: (a) Post conflict (Burundi, Rwanda, Angola, Great Lakes Region-MDRP, Sudan); (b) Peacebuilding (Chad), youth (Kenya, Chad, GuineaBissau); (c) CDD (Ethiopia, Kenya); (d) Civil society (Ethiopia); 22 Annex 1 (e) Cultural heritage (Ethiopia, Eritrea); (f) HIV/AIDS (Cameroon), confidence building + stakeholder involvement (Nile Basin); (g) Natural resourcesmanagement + SD (Nile Basin, Lake Victoria). MainstreamingSD contentand process inBank investmentlending: 0 All Bank-financed investment projects are reviewedfor safeguards; allprojects receive technical support to increase SD content andprocess; 0 Bank-financedinvestment projects include an SDproject component (social accountability, civil society capacity building, gender, youth, indigenous or excluded groups, conflict) (Nigeria, Mauritania, Tanzania, Malawi); 0 "New Voices for Youth" consultation groups advising the Bank on youth friendly projects (Ethiopia, Benin, Chad, Kenya, Mozambique, Rwanda); 0 Portfolio review anddatabase set up on youth interventions inBank operations inthe A h c a Region. StrategicPriority 3: Better Grounding Improve the Bank's Research and - Capacity-Building 0 Capacity-buildingactivitiesandlearningevents carried out that are aimed at enhancing: (a) PSIA skills inthe region (Mauritania, DRC, Madagascar, Tanzania); (b) Social accountability (Chad, Ethiopia, Benin); (c) Analysis o f youth issues (Benin, Ethiopia, Mozambique); (d) Conflict analysis (Uganda, Chad, NigerDelta/Nigeria), andrapid social/conflict analysis (Cote d'Ivoire); (e) In-countrycapacity to manage safeguards (Multi-country Francophoneworkshop, Tanzania, Ethiopia, NileBasin countries). 0 Analytical reports,policynotes, strategies completed to strengthen the knowledgebase o f social development inthe Africa Region: (a) Analytical studies; (b) Policynotes; (c) Strategies, as required(e.g. FY05 on Youth development); (d) Numberof databases established (Youth for FYOS). 0 Strategicpartnershipsestablished:LCR and HDAnchor on youth, ECA on cultural heritage/CDD, AFR PREMon poverty and social analysis, AFR HD on CDD and conflict (Sudan, Liberia), M A P on youth development. 23 Annex 1 East Asia & the Pacific (EAP) Strategic Priority 1: More Macro Increase Attention to Social Development - in the Bank's policy dialogue and policy-based lending Policydialogue: 0 Ensureconsultations for CAS function as dynamic processesof sharedinput (Philippines, Indonesia, Vietnam, China, Cambodia and Lao PDR); 0 Increase civil society participation inPRSP processthrough incentives such as process- mapping (Cambodia, Lao PDR and Mongolia); 0 Increasenumber o fcountries inwhich CDD i s usedas operational platform for two-way communication on governance/policy; 0 Possibly one Country Systems Analysis for safeguards & Civil Society mapping; 0 PSIA on landreform inCambodia; 0 Conduct regular Civil Society Assessments (CSAs)--survey institutional landscape in Mongolia, Lao PDR and Thailand; 0 Country GenderAssessments (Lao PDR, Cambodia, Philippines, China). Policy-basedlending;: 0 Increase number o f operations that inform decentralization policy and operationalize it on the locallevel, enhancing inclusion(gendedmarginalized groups) and accountability, such as the Kecamatan Development Program (KDP) inIndonesia; 0 Focus on decentralization inCambodia and Philippines (KALAHI); 0 Country Gendermonitor inVietnam; 0 TA to Government onNationalYouth Policy and GenderPortfolio Review inthe Philippines; 0 Assess WTO impacts on rural minorities inChina. Strategic Priority 2: Better Projects Increase Attention to Social - Development in the Bank's investment lending Own Managedoperations: 0 CDD/PovertyReduction(China, Indonesia, Philippines, Timor L'Este); 0 Conflict andPost-Conflict (Indonesia, Philippines, Cambodia); 0 Gender, Ethnicity and/or Social Inclusion(China, Indonesia, Lao PDR andPhilippines); 0 Youth (Indonesia, Philippines, Timor L'Este); 0 Capacity-building (Indonesia, Philippines); 0 Investment for innovation-Small grants to experiment with new ideas for pro-poor projects (China, Indonesia, Philippines, East Timor, Lao PDR, Cambodia and Mongolia). 24 Annex 1 MainstreamingSD contentand process inInvestmentLending;: 0 Promote Civil Society participationininvestment lending through relationship-building, coalition-building and long-termmonitoring (Anti-Corruption-Indonesia; Coordination o f Mindanao Task Force-Philippines). Strategic Priority 3: Better Grounding Improve the Bank's Research and - Capacity-Building 0 Change perspective on safeguards to recognize clients as agents o f change (Safeguard capacity-building and urbanresettlement inChina); 0 Use CDD to build coalitions and to strengthen policy-project linkages; experiment with newprocessesfor conducting local level institutional analyses (Poverty Reductiodvillage levelplanning through CDD Initiative inChina); 0 Conduct "Justice for the Poor," a study about who poor turnto for justice (Indonesia and Cambodia); 0 Researchon groups excluded from CDD, such as women (Philippines); Enhance relationships through cross funds and TA programs (Philippines). 25 Annex 1 Europe & Central Asia (ECA) StrategicPriority 1:More Macro IncreaseAttention to Social Development in the Bank's policy dialogue and policy-basedlending Policydialogue: 0 Increase youth participation and social accountability inPRSP for Georgia and Albania, Moldova; 0 Increase efforts to strengthen enabling environment for Roma inclusion (Romania, Bulgaria, F Y R o fMacedonia); 0 LinkCDDwithamore integratedgovernance agenda (macro-level framework), (Kyrgyz, Tajikistan, Albania, Georgia, Turkey, Ukraine); 0 Increase dialogue on regional disparities incountries (Russia, Central Asia); 0 Increase focus on Youth inECA: (a) "Youth Voices" Initiative to increase employment/reduce risky behavior, human trafficking, prostitution; (b) Policynotes on youth inclusion inBosnia & Herzegovina, Georgia, Azerbaijan, Romania. Policy-basedlending: Youth Inclusion: 0 Youth emphasis inMacedonia, Bosnia, Moldova, Kosovo, Russia, Romania and Southern Caucasus; Helpgovernment with Youth Strategy and Action Plan (Georgia, Albania, Azerbaijan); 0 Outreach to youth inisolated regions inMacedonia, Moldova. Accountability 0 Social Accountability at Macro level-Ukraine, Moldova, Albania, Kyrgyz; 0 Increase transparency o f public expenditures (reduce corruption and enhance use o f public funds)--Kyrgyz, Georgia, Moldova, Russia; 0 Expenditure Tracking (track money flows through interviews and other methods)-- Ukraine, Moldova, Kyrgyz, Tajikistan (half funded by PREM). PSIA At least 2 PSIA onEnergyReform (Kyrgyz Republic, Georgia, Armenia, Azerbaijan, Ukraine, Moldovahave already been conducted); 0 Farm restructuring (impact on poor)-Ukraine, Moldova, Kazakhstan, Azerbaijan; 0 Water and Infrastructure-Albania, Armenia. Gendedethnicminorities 0 Gender studies (Ukraine and Tajikistan); 0 Analyses o f Roma Inclusion-(Albania, Romania, Bulgaria, Macedonia, Slovakia); 0 Studies o f conflict and internally displaced people-learn about well-being o f internally displaced people in(Azerbaijan, Georgia, Serbia and Croatia). 26 Annex I Strategic Priority2: Better Projects IncreaseAttention to Social - Developmentin the Bank's investmentlending Own managedoperations:investmentloandgrantsmanapedby ECA SD Teaminthe followingthemes: 0 Post-conflict work-(Croatia, KOSOVO, Bosnia); 0 Youth programs-Macedonia, Moldova (youth LILsupport linkages and work inholistic fashion; may be Romania and Russia; 0 C D D (especially inrural areas and re: cultural heritage)-Romania, Azerbaijan, Macedonia, Georgia, Armenia, Albania. MainstreamingSD content and process inBankinvestmentlending: Support partnerships between community organizations and local governments in implementing World Bank-financed projects (SIF ,Rural development project scaling UP); 0 Support to Roma Education Fundand implementation o f Decade o f social inclusionfor Roma; 0 Provide assistance to governments and community organizations inparticipatory monitoring and evaluation; 0 Mainstream Gender (Tajikistan and Ukraine); 0 Support integration o f SD inDevelopment Policy Lending. Strategic Priority 3: Better Grounding Improvethe Bank's Capacity- - Building and Research, and Sustain Advocacy on Social Development Conductresearchon: 0 Energy Reform (PSIA)-Kyrgyz Republic, Georgia, Armenia, Azerbaijan, Ukraine, Moldova; 0 Farm restructuring (impact on poor)--Ukraine, Moldova, Kazakhstan (maybe Central Europe); 0 Water and Infrastructure--Albania. Expenditure Tracking (track money flows through interviews and other methods)--Ukraine, Moldova, Kyrgyz, Tajikistan (half-funded by PREM); 0 Roma Inclusion--Albania, Macedonia; 0 Social Inclusion policy issues related to EUaccession; 0 Conflict and internally displaced (Azerbaijan, Georgia, Armenia, Serbia and Croatia); 0 Raise awareness on cultural issues; 0 Raise awareness on strategic implementation issues/social accountability agenda; 0 Brownbag lunches (CDD, social accountability), training workshops; 0 Partnerships: L A C (partner with Brazil and cross-regional); PREM--poverty and governance, DEC--Romania/Social Capital; Office o f Children andYouth Advisor; HIV/AIDs Team; Rural Development; 0 Social capital studies--To what extent this research i s linked to policy issues such as peace building, social solidarity. 27 Annex 1 LatinAmerica & the Caribbean (LAC) Strategic Priority 1: More Macro IncreaseAttention to Social - Development in the Bank's policy dialogue and policy-based lending Policy dialogue: Increase inthe % o f CASs and other Bank-led Policy Dialogues that have involved consultations with civil society, parliamentarians andwhere relevant indigenous peoples, afro-descendant populations, women and youth groups and other stakeholders: (a) PRSP: Guyana, Honduras, Haiti and Nicaragua; (b) CAS: Bolivia, DominicanRepublic, El Salvador, Honduras, Jamaica, Nicaragua, Organization o f the Eastern Caribbean States (OECS), Venezuela, Ecuador, Colombia; Increasenumber o f CASs andPolicyDialogues that include disaggregated analysis o f the MDGsvis-a-vis vulnerable andexcludedpopulations; Number o f PSIAs, Country level analyses and ESWs focusing on Youth and Development (e.g. Argentina, Jamaica, Andean Region) Social Violence, Gender, Impact o f Migration and Remittances (e.g. Caribbean, Ecuador, El Salvador, Honduras), Ethnic Minorities, Forced Displaced Population (e.g. Colombia); Increased attention inCASs, PSIAs, ESWs and Policy Dialogues to mechanisms conducive to improving national environments for participation and accountability (i.e strengthening NGOs and Civil Society participation related legal and constitutional frameworks, among others); Incorporate lessons learned from C D D andpost-conflict operations into government programs and policies (e.g post-conflict funds inHaiti and Colombia). Policy-based lending: Support in-country capacity to generate disaggregated poverty information by race and ethnicity inCensus, Household Surveys andPoverty analyses; 0 Address gender, ethnic and racial diversity and their social and economic inclusion in CASs and relevant operations (e.g. Colombia, Ecuador, Peru, Argentina, Bolivia, Nicaragua, Panama, Venezuela); Identify,integrate and evaluate mechanisms o fconsultation andparticipation o f social groups inPolicy based lending; integrate social impact stock taking inpolicy based lending(specifically withregard to OP8.60 requirements). Strategic Priority 2: Increase Attention to Social Development in the Bank's investment lending Own-managed operations: 0 Increase own-managed SD projects, includingthe thematic lending portfolio (i.e indigenous peoples, gender, afrodescendents, youth and violence, etc.); 28 Annex 1 0 Improve and expand LCSEO support for countries undertaking poverty and social impact analysis (PSIA), Country Social Analysis, and other social ESWs (monitor the number o f PSIAs, Country level analyses, ESWs that are systematically conducted); 0 Expand inclusion o f CDD approach inL A C LendingPortfolio. MainstreamingSD content andprocess inBankinvestmentlending: 0 Increasethe impact o f social analysis on investment loans; 0 Increasenumber o f L C Rprojects to which Social Development Indicators are applied, and bring SD themes to bear incross-sectoral operations; Assist incapacity development across all sectors regarding application and evaluation o f social safeguard policies; 0 Provide support across sectors inthe preparation and supervision o f projects that trigger social safeguard policies; 0 Develop successful LILs into specific investment operations. Strategic Priority 3: Improve the Bank's Capacity-Building and Research, and Sustain Advocacy on Social Development 0 Expand Leadership Programs for Indigenous and Afiodescendents (Andean Region, Central America) to include other countries; 0 Strengthen and expand partnership with FLACSO Costa Rica, IADB, CEPAL, Inter- Agency Coalition on Race (IAD), Red de Organizaciones afro-descendientes LAC, Fondo Indigena and various government institutes and ministries responsible for social development so as to increase impact, add value, exchange information, and increase the number o fjoint activities; 0 Consolidate a regional community o fpractice and develop in-house capacities on CDD; 0 Prepare CDD thematic notes to disseminate knowledge within the Bank and across the region; 0 Increase cross-sector collaboration to mainstream social analysis, social participation and social safeguard policies inoperations. Internal partners include PREM, FPSIand HD; 0 Broaden existing network o f consultants to improve service on projects; support networks of local partners who could collaborate insupport o f Bank operations; 0 Improve social development research on youth, social exclusion and urban issues; 0 Disaggregate socioeconomic data to measure MDGs by race, ethnicity and gender. 29 Annex 1 Middle East & North Africa (MNA) Strategic Priority 1: More Macro Increase Attention to Social Development in the - Bank's policy dialogue and policy-based lending Policy dialogue: Incorporate social development in policy dialogue: PSIA, CAS, CSA and PRSP: 0 Conduct at least 2 PSIA: Morocco Housing Sector Reform and Djibouti Energy; 0 Provide social development input inupcoming CASs and increase stakeholders' participation inthe preparation process (Morocco, Djibouti, Lebanon, Egypt); 0 Carry out at least 4 CSA to inform policy dialogue (Iraq, Morocco, Yemen, Iran); 0 Participate inthe preparation o f and provide social development inputto PRSPs (Djibouti, Yemen). Policy-based lending: 0 Promote participatory country and sectoral social analysis; 0 Enhance social development staff participation inpolicy and country teams; 0 Buildup in-country social safeguards capacity, promote upstreaming o f social safeguards at the national level and establish institutional partnershipinsocial safeguards; 0 Measure social development outcomes through indicators. Strategic Priority 2: Better Projects Increase Attention to Social Developmentin - the Bank's investment lending Co-task managed operations: Build-upcross-sector operations to promotesocial inclusion, cohesion and accountability: 0 Post-Conflict project with the HD unit (Iraq); 0 HIV/AIDS project with the HDunit (Yemen); CDD project with the HD/INFunit (Egypt); 0 Youth Inclusion project with HDunit (Morocco). Mainstreaming SD content and process in Bank investment lending: Mainstream the use o f SD approach and tools inkey sectors (Transport, Infrastructure, Education, Water, RD) while building-up partnerships with them; Involve social "champions" from various sectors within the Bank as well as inthe countries; Promote active participation o f key stakeholders and local ownership, while building-up sustainable institutions; Progressively decentralize Bank social development expertise to country and sub- regional levels (Amman, Egypt, Morocco); Strengthen task management skills o f social development experts and expand skill mix to meet rising social challenges (Conflict, Youth, Gender, Migration, HIV/AIDS, Disability). 30 Annex 1 Strategic Priority3: Better Grounding Improvethe Bank's Research and - Capacity-Building 0 Strengthen capacity of Bank teams invarious sectors (HD, PREM, INF,RD) to address key SD principles of Inclusion, Cohesion andAccountability; 0 Build-upregional and sub-regional networks of social development practitioners and local institutions to provide a 2-way process o f knowledge sharing (Iran, Morocco, Yemen); 0 Align on-going research and analytical work with the specific social development challenges o f the region (Conflict, Youth, Gender, Migration, HIV/AIDS,Disability); 0 Expand collaboration with key regional partners such as Islamic Development Fund, OPEC Fundfor Intemational Development, Arab Fund, as well as with bilateral and multilateral institutions, such as AFD, DFID, JICA, CIDA, KfW, IFAD, FA0 and UNDP; 0 Disseminate social development good practice through brownbag lunches, workshops, andregional and sub-regional conferences. 31 Annex 1 South Asia Strategic Priority I:More Macro IncreaseAttention to Social Development - in the Bank's policy dialogue and policy-based lending Complete Country Gender Assessments (CGA)-Afghanistan, India, Sri Lanka (also social assessment o f effects o fmigratiodremittance economy and conflict on gender), Pakistan, Bangladesh; Gender and Social ExclusionAssessment (GSEA)-Nepal; Implementationo f agreedGender or Social Exclusion recommendations inmacro- policies (Nepal, Afghanistan, Sri Lanka); Introduce Social Accountability mechanisms inPRSP (Nepal); Social Appraisals for programmatic lendinginhighways and one other sector; Assist clients ininternalizing accountability approaches (RWSS and one other sector); Buildrecognitionandrewardmechanisms for accountable programs; Engage inpolicy dialogue on nationalresettlement and indigenous people's policies (India, Pakistan, Nepal, and Sri Lanka; strengthen social safety nets to complement impact mitigation). Strategic Priority2: Better Projects Increase Attention to Social - Development in the Bank's investment lending MainstreamingSD contentand process in Bank investmentlending: 0 Accountability monitoring strategy for civil society inhigh risk investmentoperations-- Bangladesh, India, Pakistan; 0 Apply findings ofparticipatorymonitoring and learning pilots and local organization study inoperations India; - 0 Assess social constraints and opportunities to increase accountability inindividual operations, particularly decentralization, urban, transport, water, power and natural resource operations; 39This Action Plan represents initial thinking by the Region andwill be revisedas the regional strategy i s further developed. 32 Annex 1 Address gender constraints indevelopment: India-- assess impact o f Rural Women's Empowerment Project and agree on best approach for future support inthe sector; Women's entrepreneur andproject safeguard staff exchange between Afghanistan and India; Assess effectiveness o f risk management in Safeguards inthree sectors (possibly urban, transport and water); Assess lessons from Upper Krishna resettlement experience (India) to improve safeguards for future highrisk projects; Buildborrower's capacity to safeguard vulnerable populations inlow-risk projects. In medium-risk project, assist government move towards country safeguard measures (eg. Pakistan--training for NHA staff); Promote Social Accountability measures within activities o f all country teams; Identify successful Social Accountability mechanisms globally, then select and pilot in region. Strategic Priority 3: Better Grounding Improve the Bank's Research and - Capacity-Building 0 Strengthenborrower system--Sri Lanka R&R policy implementation capacity building and India, Pakistan and Nepalpolicy dialogue; 0 Carry out analytical work to deepen Bank's understanding o f ground realities, especially informal systemshnstitutions, looking specifically at: (a) Indigenous peoples' institutions that can aid their development; (b) Role o fpatronage, and gender inequities within informal systems. 0 Identify social development constraints to service delivery reform, e.g. political economy o f farm and labour informal systems; 0 Assessment o fwomen's legal position, girls' school attendance, family planningand agricultural income generation opportunities for women inAfghanistan; 0 Assess net benefits o f inclusion (e.g. the changing caste system inIndia). 33 Annex 1 Environmentally and Socially Sustainable Development (ESSD) Strategic Priority I:More Macro IncreaseAttention to Social Development - in the Bank's policy dialogue and policy-based lending 0 Enhance integration o f existing macro tools including civil society and conflict assessments by supporting regions inpiloting and implementing country-level social analysis; e Maintain close collaboration with PREM on PSIA, draw out lessons learned and disseminate through training. Enhance exchange with sector units as lessons from sector reforms become available; e Strategic (subsidized) cross support to critical DPLs with social development content 0 Enhance knowledge generation and sharing on macro-level social development interventions. 0 Enhance knowledge sharing on SD business lines; 0 Support OPCS indeveloping OP on investment lending and inincluding SD aspects incore andadvanced operationaltraining for Bank staff; 0 Maintain quality enhancement work with QAGand with Social Protection on CDD; 0 On-demand cross support. Strategic Priority 3: Better Grounding Improve the Bank's Research and - Capacity-Building 0 Support regional research and conduct global policy research on C D D impacts, social capital, links between social and economic development; e Support WDR on equity; 0 Support the Legal Vice-presidency on operational research related to humanrights andde~elopment;~' 0 Support Regions and WBI inestablishing and strengthening in-country networks o f social development practitioners; 0 Develop curriculum for intensive training course inmacro-level social development work jointly with other donor agencies; e Strengthen donor alliance for PSIA; e Enhance existing Social Development Advisors' Network; e Maintain and enhance partnerships with donors for the benefit o f regional operations. 40 The Legal Vice-presidency is currently undertaking a number o f research projects designed to further a strategy for exploring the linkages betweenthe Bank'smandate, policies, and activities and human rights. Inparticiular, adetailed analysis ofthe connection between the respect for and fulfillment o f human rights and development effectiveness (or the success o f projects) is being explored. 34 Annex 1 World Bank Institute (WBI) Strategic Priority2: Better Projects Increase Attention to Social - Development in the Bank's investment lending 0 Facilitate trainings and learning activities for diverse stakeholder groups to strengthen their ability to holdgovernments andNGOs accountable and improve service delivery. Examples include: (a) CDD andNaturalResource Management (Nigeria); (b) CDD and community/government partnerships (Tanzania); (c) Social Auditing (Bolivia); (d) Social accountability andperformance monitoring (Sri Lanka); (e) Participatory Budgeting (Bosnia). 0 Partnerships with targeted CDD projects inGhana, Tanzania, Bosnia, Sri Lanka to mainstream capacity-building components into community-based/local development lending. riority 3: Bett unding Improvethe Bank's Research and - pacity-BuiIding Foster regionalnetwork o f social scientists, with focus on building local capacity in social analysis; Deliverwith localpartners arange of learningevents, dialogues, andweb-based courses to buildlocal capacity for participationinpolicymaking and investmentlending; create and support regionalnetworks and communities o fpractice to promote knowledge sharing. Examples include: (a) Stocktaking on Social Accountability Tools and Mechanisms (Anglophone Africa and Asia); (b) Regional Course on Social Accountability/WDR 04 (Anglophone andFrancophone Africa); (c) A h c a Municipal Radio Project, Participationand Participatory Budgeting; (d) CDD On-line Course--Africa; (e) InvestinginCommunities (private-community linkages)--Anglophone Africa; (f) Francophone CDD TOT; Africa; (g) Francophone CDD Distance Learning(DL) Course; (h) TraditionalAuthorities inLocal Governance--Asia; (i)AccesstoInformationforGoodGovernance--SoutheastEurope; (i) RomaEmpowerment and SocialInclusionNetwork--Southeast Europe. 0 Cross-regional comparative research on capacity building insocial development; preparation o f client/stafftraining on social development skills. 35 Annex 1 Development Economics (DEC) Strategic Priority 3: Better Grounding Improve the Bank's Research and - Capacity-Building 0Enabling environment (a) PoliticalEconomy (Pro-poor growth; Land inequality); (b) Conflict (Civil wars; Crimehequality inSthAfrica; Local conflict management in Indonesia). 0 Empowerment (a) Governance (Caste-based affirmative action inIndia; Measuring empowerment); (b) Culture (Public celebrations inIndia; `Culture andPublic Action' book); (c) C D D (Review o f empirical evidence; Evaluations inIndonesia); (d) Gender (Women's participation inruralIndia; Persistent sonpreference inAsia; Constraints on girls' schooling inPakistan); (e) Social Exclusion (Caste inIndia; Ethnic diversity inAlbania); ( f ) Social Institutions and Rights-based Approaches (NGO location decisions in Bangladesh; Social rights; Migration andnetworks inIndia). 0 Policy Analysis (a) Survey Research (Subjective welfare measures; Poverty Assessments); (b) Policy/Project Evaluations (Usingmixedmethods; Strategies for evaluating SD projects; Community-basedtargeting); (c) Qualitative Research(understanding impact o f context andprocess on project performance). 36 Annex 2 Annex 2: Management Action Record to OED Report on Social Development inBankActivities41 OEDRecommendation ManagementResponse 1, Since the study shows the Management welcomes OED's documentation of the strong positive strong positive interaction o f interaction o f social themes. The OED report supports and substantiates some social themes, the evidence of the findings emerging from the review o f poverty and social Bank (through the Social aspects inQAG reviews. Management agrees with the need to maximize Development Sector Board) the use of integrated approaches to social development issues, and i s should identify, and promote taking up this issue inthe draft SPP.42 integration within, the Inaddition, the SD Sector Boardalready has undertakenwork, under thematic combinations that Management's direction, to develop policy and guidance to task teams on improve outcomes. an integrated approach to social development. 1. The Social Analysis Sourcebook, released inAugust 2002 after Bankwide review, provides explicit guidance on an integratedapproach. 2. The work o fthe SD Sector Board on social analysis issues i s an important input into the proposednew effort to clarify and simplifythe investment lendingprocess. 3. The ongoing update of the Bank's operational policy on adjustment lending (OPBP8.60) proposes an integrated approachto the treatment o f social and poverty impact at the country and operational levels, reflecting SD Sector Boardadvice.43 Agreed Actions 1. Management plans to cover social analysis inits simplified policy framework for investmentlending slated for issuance by the end o f FY05.44 2. Management has recently revamped the processes for systematic sectoral input, includingfrom social development staff, into CASs and operational products. The draft SD SPP discusses tools and practical steps for improvements inthe provisionof social development inputs. (See draft SPP, Chapter 111,Strategic Priority 3. The SD Sector Boardwill continue its strategic collaboration with QAG to monitor operational quality and document good practices on the poverty and social dimensions of Bank-supported operations. This will be covered inthe internal business and implementationplanunder development. 4. Management will support a strategic research agenda on the linkages between social development and poverty, as outlined inthe draft SPP. The SD Sector Boardi s extracting further lessons on integrated SD approaches, summarizing the results from Implementation Completion 4' This document was prepared inFebruary 2004. Since then some items have changed, they are reflected in footnotes to this Annex but not included inthe original OED report. 42 At the time o fwriting the management action record the earlier draft of this document was referred to as Strategic Priorities Paper (SPP) 43 OP8.60 was issued in September 2004. 44 The work on an updated investment lending policy framework i s still ongoing. 45 Strategic Priority 1 46 Strategic Priority 3 37 Annex 2 -0EDRecommendation ManagementResponse Reports and OED's Evaluation Summaries for compilation inFY05.46 (See draft SPP, Chapter 111, Strategic Priority 4). 2. The Bank's human capital Management agrees that effective social development outcomes depend and the Borrowers' existing on attention to social development issues throughout the project cycle. To institutional capacity need to this end, the draft SPP explores the use of SD approaches inupstream be employed to provide task ESWto informthe CAS and country programs, and downstreamin and country teams with the implementationandM&E. The intemal business and implementation relevant social development plan will explore further the implications for the operational skills of SD expertise throughout the staff and the incentives for staff working on SD issuesto work across the project cycle. structuralboundaries between PREM, HDand SD. It also addressesthe use o f local expertise, the demand for investmentinclient capacity buildingfor social development, andWBI's role inthis regard. (See draft SPP, Chapter 111, Strategic Priority 2 ~ ~ ' AgreedActions 1. Decentralizationo f SD experts has yieldedbenefits interms o f more in-depthandrelevant knowledge ofcountries' social and institutional context, andhas also lowered supervision costs. Management will continue to promote decentralization o f SD expertise to country offices (or subregions) with significant SD issues where there i s a strong business case to do so. Incountries with a large portfolio, this may entail placement of intemational expertise. Inothers, it may entail deployment o f national staff with the skills to provide integrated SD inputsto operations. The internal business plan will address these staff deployment issues and will discuss the use of local expertise to provide SD support to countries, for bothupstreamwork andduringthe project cycle. (See draft SPP, Chapter 111,Strategic Priority 4.)4* 2. Management will help to strengthen country capacity by supporting local networks o f social scientists (as inECA and MNA). (See draft SPP, Chapter 111,Strategic Priority 4.)49 3. The draft SPP explores howbest to promote projects andproject components to develop the ability o f local government and nongovernmental institutions to address SD issues and enhance project sustainability. (See draft SPP, Chapter 111, Strategic Priority 4.)" 3. Country teams need to Management agrees with this recommendation. The draft SPP suggests a have the capacity to identify major strategic shift from individual projects to the country as the most xitically neededsocial important unit o f analysis and action. This shift is fully consistent with mowledge and to facilitate the CDF/PRSP framework, and entails a programmatic, long-term .ts flow. approach to country-owned social development at the national (or inlarge countries, at subnational) and sectoral levels. We have made significant initial strides at the macroeconomic level by helpingcounties facilitate participation inPRSP processes and conduct their PSIA analysis, social accountability analysis, and conflict analysis. Assistance relatedto the first three areas i s provided in close collaboration with PREM, reflecting increased efforts to work across sectoral boundaries as well as the benefits 47 Now Strategic Priority 2 and 3 48 Strategic Priority 3 49 ibid 50 ibid 38 Annex 2 OEDRecommendation Management Response o f a country-driven approach. (See draft SPP, Chapter 111, Strategic Priority 1.I" SDGi s developing social developmentindicators that are beingtested and refined through cross-country and in-country research. The indicators will be integratedinto the WorldDevelopment Indicators (WDI), providedas background for Country Policy and Institutional Assessment (CPIA) work, and incorporatedinto the Country-at-a-Glance data. (See draft SPP, Chapter 111, Strategic Priority 4.) Finally, several regions are experimentingwith assigning responsibility to staff for integrating social development information and making it available to country teams ina timely manner - similar to the role that country economists play on the economic side. The draft SD SPP takes stock of these experiments; inthe next stage, it will examine a generic approach. AgreedActions 1. Management will strive to integrate social analysis and gender analysis with poverty assessments, and will take stock o f progress annually as part o f portfolio monitoring. (See draft SPP, Chapter 111, Strategic Priority 2.)s2 2. The draft SPP explores how best to: (1) ensure that relevant social development informationi s made available to country teams ina timely manner; (2) strengthen social analysis at the country level; and (3) strengthen, over time, borrowers' capacity to undertake social assessmentsas routine inputsinto project preparation, while retaining Bank responsibility for due diligence on social development issues in Bank-supported operations. (See draft SPP, Chapter 111, Strategic Priority 2.1'~ 41 Sector staffneed to The formulation o f Regional strategies and the draft SPP i s helping to xsure that stated Bank or clarify and buildconsensus around strategic priorities. Management has policy priorities receive increased its attention to high-priority issues for borrower countries idequate treatment across through SDG's recent work on conflict, community-driven development, Regions and countries, and and the development o f PSIA and social accountability tools for use by Bank strategic planning borrowers. Work ineach o f these areas has involvedcreating a new ieeds to address current knowledge base, broadening the Bank's own skills mix, and developing skills and monitoringand partnerships with anew series of institutions for effective implementation. :valuation gaps. Management agrees with the value o f increasing the slulls o f all Bank operational staff to take account of SD issues. This important topic i s beingaddressedinthe intemalbusiness and implementation planunder preparation. Agreed Actions 1. The draft SPP addresses the shift in strategic priorities to the country level in support o f country-owned poverty reduction strategies, and the implications of that shift for social development work inthe Bank. (See draft SPP, Chapter I1and Chapter 111, Strategic Priority 1.)s4 Strategic Priority 1 and ImplementationPlan 52 Strategic Priority 1 and Annex 3 53 Strategic Priority 1 and 3 plus ImplementationPlan 54 Implementation Plan 39 Annex 2 OEDRecommendation ManagementResponse 2. The SD slulls mix i s being further diversified by recruiting political scientists, policy analysts, institutional specialists and economists within the SD group. Giventhe institutional andresource constraints within the SDgroup, other sectorswill be encouraged to recruit SD specialists to provide more specialized knowledge and SDinputsrelevant to each o f those sectors. The slulls mix strategy will be an important element o f the intemalbusiness and implementation plan under preparation. 3, The internal business and implementation plan under preparationwill cover training issues, including the integration of SD in core learning activities for Bank operational staff. 40 cci 6 0 1 43 L? 0 a3 U a 3 3 3 ri !- 2.-M * 0 .-* W v) L 6i 2 x m 4 E s o m 0 0 b o 0 0 Y 2. U n u Yw 0 E '7 Y * * 0X C -z 8 .e g-, ru 04 i- d m Annex 4 Annex 4: Social Development, Gender and Inclusion (SDGI) Thematic Portfolio Cumulative SDGl Allocation (FY90-FYO4): $15.9 Billion SDGI as percent of total IBRDIIDA commitments in FY04: 8.1% SDGl as percent of cumulative Bank commitments (average FY90- FY04): 4.9% Percent of SDGI Allocation to Total Bank Commitment (FY90-FY04) curmlative sDQ/BankPortfolio "1 9 0 % - 8 0 % - 7.84 7.0% - $250,033 6 0% - 5 0% - .I$200,033 -.- G. 4 0 % - E $19,033 3.0% - 2 0 % - E$100,033 $9,033 $0 Actual -Moving Average +Reporting o f IBRDandIDA lendingby thematic categories inthe World BankAnnual Report startedinFY02. CE&P is Civic EngagementandParticipation IP is IndigenousPeoples CDD is CommunityDrivenDevelopment OSD is Other SocialDevelopment CP i s Conflict Prevention SA&M is SocialAnalysis andMonitoring Gis Gender 45 Annex 4 Number of Operationsthat includea SDGITheme amongthe top three (W90-04) Cruc Fngagemnt &P'Cipation/ am AFR 43Yo 21% 6% CumulativeSDGIPortfolio by Theme (FW90-WO4) 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 ElPCEKDD CP OG IP 0OSD SA&M 46 Annex 4 Number of Operations thatincludeaSDGITheme (FY90-FYO4) SI800 81 89 86 S1600 81 92 S1,400 61 65 76 $1,200 53 50 $1,000 35 S800 45 30 5600 S400 $200 so Numbers indicate number of projects per year. ProjectsMappedto the SD Sector Board Commitment Proiects 1997-2000 11 5 161.3 2001 6 6 567.7 2002 6 5 91.0 2003 8 8 469.8 2004 7 7 211.3 Total 38 31 1,509.1 Projects mapped to the sector board are projects for which the SD Sector Boardhas primary responsibility for quality assurance. The Sector Board i s also responsible for the quality of SD inputs in other projects. 47 Annex 5 Annex 5: Social Development Partnershipsand Harmonization Strong partnerships and coordination are necessary to promote good social development outcomes. The Bank needs to rely on a broad range o f partners -- including regional and bilateral development agencies, the IMF, the UN, civil society, the private sector and academia -- to implement the Social Development strategic priorities effectively. The Bank's partnerships involve sharing resources, including knowledge, staff and funds. There are several innovative options to developing such partnerships, such as Sector Wide Approaches that seek to harmonize donors' support to a government's sector program. The Bank has establishedpartnershipswith several multilateral development organizations. For example, it has long-standing cooperationwith the Interamerican Development Bank on efforts to support indigenous people and to promote accountable institutions. It works with the Asian Development Bank to develop more effective ways to address safeguards and to build local social development capacity. Further, it collaborates with the A h c a n Development Bank o n community drivendevelopment and the local govemance agenda. The European Investment Bankhas recently launched a social development unitandthe WorldBankwill look to collaborate with its staff. Concerning other intemational financial institutions, the World Bank is looking to follow the example o f harmonizing its work on environmental assessment so that it applies more broadly to social safeguards. Finally, it currently works with the UnitedNations to address conflict-affected areas. While each o f these efforts to work with multilateral partners has beenproductive, as part o f its implementation o f these strategic priorities, the World Bank will look to broaden and deepen these operational partnerships. Many bilateral partners undertake work that complements that o f the Bank, such as inthe area o f PSIA. The Bank already works with the German Technical Cooperation Agency (GTZ), and the Department for Intemational Development of the UK (DFID) on PSIA to ensure consistent approaches that buildon each organization's comparative advantage and a donor alliance for PSIA has been established. The Bank also works very closely with the Governments o fFinland and Norway, through the Trust Fundfor Environmentally and Socially Sustainable Development. This partnership develops donor and client country capacity for social development, promotes inclusion o f these cross-cutting issues into World Bank supported operations, and harmonize cooperation between different units inthe World Bank and with the UN. Similar support for capacity buildingwas provided 2003 by the Bank Netherlands Partnership Program. The Japan Social Development Fundis potentially an important tool to provide direct support to the goals o f inclusion, cohesion and accountability, both interms o f investments and capacity building. Examples include the Fund's support to social accountability inthe Philippines and Peru. To support implementation o f better and more sustainable C D D efforts, the Bank is engaged ina partnership with several private foundations to explore how the Bank can support community- foundations. This i s a very operational partnership with financial and knowledge contributions from both sides. Though this partnership is still inits early phase, it has the potential to be an 48 Annex 5 important element insupporting implementation. Collaboration i s ongoing with the multi-lateral development Banks to harmonize procedures. The good progress on environmental dimensions also holds promise for future work on social development. Several important global programs partially funded by the Development Grant Facility are strengthening the implementation o f social development inthe Bank. The Post-Conflict Fund makes grants to a wide range o f partners (civil society organizations, UNagencies, transitional authorities and governments) to provide early and broad World Bank assistance to conflict- affected countries. Grants are focused on the restoration o f the lives and livelihood o fwar- affected population, with a premium placed on innovative approaches to conflict, partnerships with donors and executing agencies, and leveraging resources through a variety o f funding arrangements. The Fundwas recently externally evaluated and found to be a very effective and efficient instrument. The evaluation recommended a significant increase inthe size o f the Fund (currently about US$8 millionper year). The Fundalso administers the implementation o f the trust fund for Bank support to low-income countries under stress, most o f which are conflict- affected. The Small Grants Program provides block grants to country offices to be allocated to activities insupport o f civic engagement. While small inscale (about US$2 million per year and between US$20,000 and US$35,000 per country office), a recent evaluation noted the important impact o f the program interms o f leveraging other funding and improving the Bank's ability to engage with local civil society. Recently the Bank has also established the Global Fundfor Indigenous Peoples, which provides direct grants to indigenous peoples and support to the UN permanent forum o f indigenous peoples. A board o f indigenous leaders governs the Fund. As part o f the implementation o f these strategic priorities, the Bank will strengthen its efforts to increase funding for these three programs. 49 Annex 6 Annex 6: Responsibilities for Implementing the Social Development Strategic Priorities Position 1Responsibility President Continues providing leadership and advocacy on the importance o f the social dimensions of development Management 10 Improves incentives for multi-sectoral work Committee RegionalVice 1 Oversee the implementation o f regional strategies and action plans Presidency Country Directors 0 Ensurethat social development issues are addressed throughout the CAS cycle as appropriate to country circumstances RegionalESSD 0 Together with Sector Board and anchor assure quality o f Social Development inputs and managers operations ChiefEconomist Oversee research work on links between social and economic development including 2006 WDR on equity Network VPs 1 Encourage collaboration among sectoral and SD staff Legal VP 0 Provide guidance and support on legal aspects o f SD Oversee inclusion o f SD issues into legal andjudicial reformprograms WBI VP 1 Enable WBI to be more involved inSD capacity buildingagenda 0 Provide feed-back on quality o f SD board work. 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